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steps of root cause problem solving

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

A hand stacking building blocks that read "root cause"

  • 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.

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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.”

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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.

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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 .

steps of root cause problem solving

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Root Cause Analysis Guide for Efficient Business Problem-Solving

Updated on: 5 January 2023

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 diagram or a fishbone diagram 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.

5 Whys Analysis - Root Cause Analysis Tools

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.

Fishbone Diagram

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 .  

Pareto Chart Example

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 .

Scatter Diagram Example - what is root cause analysis

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.

Fault Tree Analysis - what is root cause analysis

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.

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How to Perform Root Cause Analysis in 6 Steps

Our article, Benefits of Root Cause Analysis in Manufacturing , introduced readers to the benefits of root cause analysis (RCA) and discussed its use in manufacturing. However, we stopped short of explaining the process itself.

This article continues our exploration of the topic and focuses on how to perform root cause analysis through an examination of two problem-solving methodologies.

First, we look at the American Society for Quality (ASQ) six-step process and then cover the A3 Problem Solving Method as it relates to RCA.

The Root Cause Analysis Process

The methodology of root cause analysis.

You’ll recall from our last article on the benefits of root cause analysis in manufacturing there is no standard definition of RCA. Thus, over the years, many methods for understanding the core issue beneath a problem have become part of the root cause analysis toolkit.

So it is easy to drown in the literature to find what is best for you. To make the process easier, we’ll cover two of the methods that we see Evocon clients implement successfully to reduce machine downtime and improve OEE while using our downtime tracking software .

As mentioned in the introduction of the article, the first is the six-step method, as defined by the American Society for Quality (ASQ) . It is holistic and widely used in the manufacturing sector due to the industry’s trust of familiarity with ASQ standards. The second, and a very similar process, is the A3 problem-solving method .

We’ll see that while they have different descriptions of steps, they still share the same intent. Further, when looked at holistically, they both accomplish the same series of steps.

Before you move forward with any of the two methods, let’s take a quick look at who should be involved when you perform root cause analysis on any of the issues that you’ve identified in your production process.

Forming RCA teams – Who needs to be involved?

Anyone can contribute to the root cause analysis process and benefit from its tools and principles. So, the answer is simple: everyone . When it comes to the formation of a project team though, there are some general guidelines to keep in mind.

team involved in root cause analysis

Most teams using root cause analysis to solve problems are small, only having 2-5 members. That said, depending on the problem and situational complexity, team size can vary. On rare occasions, they can even grow very large, spanning multiple departments with 30-60 members.

These teams are by nature and need, cross-functional. Typically, they will contain some variation of the following.

  • Subject matter experts (SME) . SMEs provide specialized knowledge of the problem type. Or, they have experience working directly in the process being studied. For example, if we found that the format of the start of shift meetings that are run by the Operations Manager was not effective and we formed an RCA team to get to the bottom of why , the Operations Manager would be a good candidate to consider as SME.
  • Manufacturing Engineering (ME) . ME’S have a broad knowledge of the plant and deep expertise on its processes and equipment.
  • Quality Engineer or Process Improvement Specialist. Provide specialized expertise in quality and process improvement.
  • Manager or Supervisor of Process . This is crucial so that the team contains the authority to implement the proposed solution.

Now that we know who should be involved in the process, we can look at which method to use and how.

ASQ Six Steps Method

Let’s start by looking at the six steps to perform root cause analysis, according to ASQ.

  • Define the event
  • Find causes
  • Finding the root cause
  • Find solutions
  • Take action
  • Verify solution effectiveness

root cause analysis steps asq evocon

Step 1. Define the event

Step 1 transforms the “big hairy problem” known at project initiation, into an accurate and impartial description of the event. It includes everything from forming the team, which we discussed in the previous section, to making a plan for the project. Though the most critical purpose of the step is to clarify what the problem is and define its scope .

If you are using Evocon’s OEE software to monitor your production, then you should start the process by opening your machine downtime report and analyze which breakdown causes contribute most to losses in production performance .

Production downtime and OEE

It is critical to the success of the process that the team shares a common understanding of the problem . So, take your time at this step to make sure the groundwork is complete and correct. At a minimum, the team must gather specific details that provide answers to the following clarifying questions.

Clarifying Questions

  • What happened?
  • Where did it happen?
  • Did something change?
  • What impact or consequences are there?
  • Who was involved?

Remember, there is no room for bias or emotion in your answers. Further, try to refrain from including symptoms or suspected causes.

TIP: Go to the source of the problem

This is a good point to bring an essential principle of root cause analysis to your attention. To be effective, it must be more than mere theoretical exercises (though these do have merit and use).

It is important that those investigating the problem get out of the office and out to the shop floor . This was where the problem starts and where most information about it will be found.

Step 2. Find causes

Step two, as you may guess from its name, focuses on finding potential causes of the event in question . Your goal should be to uncover as many causal reasons as possible. This pushes you to dig into the issues which will help you develop a deeper understanding of the problem.

In this step, all voices should be welcomed and encouraged through exercises such as brainstorming , process mapping, and Fishbone Diagrams . Creativity and free-thinking will serve the team well and deserve encouragement almost to the point of a mandate.  All kidding aside, the goal is to cast a net wide enough around the problem scope so that identification and consideration of all possible causes are achievable.

fishbone diagram manufacturing evocon

Step 3. Finding the root cause

In step three, we have arrived at the reason why we began: to uncover the root cause that lies at the heart of the problem . Several tools can help us reach our goal. Below is a list of the most common tools that manufacturers use.

While covering each of the tools is outside our scope, you can learn more in our article on Five Whys .

Common tools

  • Scatter Chart
  • Cause & Event Tree
  • Pareto Analysis

5 whys diagram evocon

Step 4. Find solutions

Now it is time to turn our minds to the process of attempting to design a possible solution or solutions . Brainstorming is a very effective method for identifying potential solutions in a team environment.

As you work through this step, we encourage you to involve as many people as possible . Anyone with a possible solution or who will face change from the implementation of a solution should be welcome.

  • Interviewing
  • Brainstorming
  • Benchmarking
  • Why Not Process

Step 5. Take action

steps of root cause problem solving

The intent of step five is to implement the proposed solution that the team has created . Further, the team must take steps to ensure the sustainability of the change. Using an Impact Effort Matrix or Force Field Analysis may be helpful tools for this step.

The main ingredient for success at this step is tenacity and patience to see the project through to completion . There can be a tendency of project team members to bring the project to a conclusion. This is because the team will be approximately 4-8 weeks into the process at minimum at this point. Therefore, the team must be willing to avoid prematurely concluding that the problem was solved.

Finally, we need to ensure the changes and improvement stick . To this end, we recommend involving anyone who will be affected by a change now.

Step 6. Assess solution effectiveness

In this step, we measure and assess the effectiveness of our implemented solution . This requires us to turn a critical and analytical eye on the solution to confirm that it has worked.

If it has, then congratulations, the project’s conclusion has arrived. And it is time to look at the next issue that needs your attention.

A3 Problem Solving Method

A3 Problem Solving has its origins in the Toyota production system (TPS). It takes its name from the 11×17 A3 paper that TPS often employs. A3 ensures everything about a potential problem, proposal, etc. can be succinctly found on one sheet of paper.

We have included the A3 method for three reasons. First, it is often the method that will be taught in connection with lean manufacturing principles. Second, many Evocon clients have had success using it. And third, by contrasting it with ASQ, we reinforce our point that root cause analysis has no standard definition.

Yet as we will see, while the steps differ slightly, the two methods ultimately work through the same sequential process when looked as a whole.

Similarly to the ASQ method, problem-solving using A3 also follows a six-step process.

If you would like to get a more in-depth overview of the A3 Problem Solving method, then we recommend reading “OEE at Work” by Mark Wetherill and Aivar Künnapuu.

blank A3 problem solving sheet evocon

Download the A3 template as a PDF file

Step 1: Stating the problem

The first step in A3 is stating the problem. While it uses different words than the first ASQ step, they are effectively the same. In fact, everything said regarding step 1 for ASQ above applies here.

To avoid going through the same thing again, please refer back to that section if you need to refresh it.

Step 2: Identifying potential root causes

Here again, A3 is essentially the same as ASQ in that both are concerned with identifying causes. The key difference here is that A3 does not separate the search for all potential causes for the search for the root cause. Other than this point, everything that has said in step 2 for ASQ applies here as well.

Download our Fishbone diagram template and 5 Whys template

Step 3: Find potential solutions

This step is the same as ASQ step 3 and everything that is said there also applies here as well. We encourage the reader to refer back as necessary.

Step 4. Evaluating potential solutions

In this step, you will need to assess the options that you have brainstormed to select which one works best. To do this, you can use a simple evaluation matrix that organizes each solution to be assessed based on:

  • How effective will it be in eliminating the specific root cause? – Effect
  • How easy is the solution to implement? – Effort

To keep with comparison to ASQ, we find that the evaluation of solutions takes place in step 4 as part of the “find solutions” process.

Download the Effort & Effect Matrix template

Step 5. Implementation and follow up

Based on the evaluation and prioritization of solutions, you now need to create an action plan for implementation .

The process of creating an action plan is quite straightforward:

  • Create a list of actions based on the effort and effect of implementation.
  • Reference each action to the category of the Fishbone diagram. You can skip this step if you only use 5 Whys for the root cause analysis.
  • Assign a person responsible for each action.
  • Define a time when the action must be completed.

After this is done, it is time to follow through and continuously review the progress . Your checklist for follow up should consist of the following questions:

  • Did the implemented solution solve the problem?
  • Are any adjustments needed for actions?
  • What is the date and time to review the actions?

Again, to continue the point on ASQ, this step is the same purpose as “Take Action” found in ASQ’s fifth step.

Download the Waste Elimination plan template

Step 6. Prevent recurrences

This final step of the A3 problem-solving is all about preventing the recurrence of the problem that you have worked to eliminate . Assuming the actions you took eliminated the loss, you should:

  • Standardize new methods and solutions.
  • Apply elsewhere if possible.
  • Share best practices to similar sites with similar processes where the result of the root cause analysis process can be applied.

Similar to other steps compared above, ASQ does not have a dedicated step for preventing occurrences. Rather it is a substep of Step 5 “Take action”.

Download all A3 process templates in one PDF file

In this article, we have introduced the process to perform root cause analysis in much detail. This was accomplished by walking through six steps of two methodologies: ASQ Six Steps and A3 problem-solving . This step-by-step look at the process and tools of both will have given you the base level knowledge necessary so that you can begin utilizing root cause analysis in your plant today.

However, it must be said that there are indeed whole books dedicated to the subject of root cause analysis, many of which contributed to the basics presented in this article. If you are interested in further study, the following titles are a great place to start.

Root Cause Analysis: Simplified Tools and Techniques, Second Edition, Bjørn Andersen and Tom Natland Fagerhaug

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

Understanding A3 Thinking: A Critical Component of Toyotas PDCA Management System

OEE at Work – A Practice Guide to Managing Overall Equipment Effectiveness

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Better problem solving with root cause analysis (with template)

steps of root cause problem solving

If you walk into your kitchen to find your favorite vase smashed on the floor, it might be safe to assume that the grinning cat nearby was the root cause of this problem. If only it was this simple in business and we could just say “the cat did it.” Product problems are often much more complex and connected to a variety of root causes.

Better Problem Solving With Root Cause Analysis (With Template)

If you think of a weed, the surface is only the problem you can immediately see. However, if you cut the weed from the ground level, it’s likely to grow back from the root. This is just like fixing product problems with a band-aid with little to no investigation of a root cause — it’s likely to return.

These types of problems need a more thorough root cause analysis (RCA) to determine how, and why the problem happened, and how to prevent it in the future.

What is root cause analysis?

Root cause analysis is a tool you can utilize when determining the true cause of a problem. You might have assumptions about what the cause of a problem might be or experience biases towards one as the main cause.

Performing a root cause analysis can help you determine what the underlying causes of a problem are to help address a more impactful and valuable solution:

Root Cause Analysis Graphic

What are the 4 steps in a root cause analysis?

When you’re trying to uncover the roots of a problem, it can be daunting to figure out where to start. The process to conduct a root cause analysis can be broken down into a few easy steps:

  • Define the problem
  • Identify and map the problem causes
  • Identify the evidence that supports your causes
  • Create a root cause analysis report and set up your action plan

1. Define the problem

A clear definition of the problem is the first step. Sometimes problems are easy to identify, like a broken link. More often, problems can be abstract and need clarification, like a decrease in overall purchases through a site or an increase in bugs reported.

Here are some more examples of problems:

  • A 20 percent drop in customer purchases placed from the shopping cart page from the previous week
  • 60 percent of customers on hold end up dropping their call and, as a result, the company has experienced a decrease in NPS scores
  • A 40 percent increase of customer reported issues with using the folders feature in a CRM
  • A 15 percent decrease in user engagement with a core feature on a social media site

It’s also critical to understand how to define a problem:

2. Identify and map the problem causes

Using tools like a fishbone analysis and the Five Whys framework can help you put together causes and start to categorize themes of the problem. When going through a Five Whys diagram, try to come up with a few alternate pathways and you might notice overlapping areas.

Each example of a Five Whys diagram is accurate, but only looking at one cause can prevent you from understanding the fuller picture. For example, there was more than one reason why the Fyre Festival failed and it’s important to identify overlapping themes to avoid leaning on only one cause:

Fyre Festival Root Cause Analysis Example

In a product example, there might be numerous reasons why session times have decreased, or user reported bugs are up.

After evaluating the size, impact, general cause themes, and urgency of the problem, you’ll have a better understanding of how much effort will be needed for the analysis. The larger the problem on the surface, the more underlying causes you might find. Even simple problems can sometimes have numerous causes to consider and you need to determine how in-depth you need to dig to “unroot” the causes.

It’s also critical to check all your bases. Once you have evaluated and categorized the different potential causes to a problem, use the following as a checklist to ensure you’re covering all areas of where and how this problem happened. Be sure to identify any changes or recent events that might have occurred that could have impacted the problem.

steps of root cause problem solving

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steps of root cause problem solving

  • Demographics : is the problem happening to one specific demographic? Only happening to iPhone users? Users in a specific location?
  • Time specific : when did the problem happen? Is it continuing to happen? Did the problem only occur during a specific time? You might discover that the problem is related to a time-specific cause, like a release or outage
  • User journey : did anything change within the user journey? Map the workflow to determine if any new developments have occurred
  • External factors : is this an issue with a third party integration? Did a competitor launch a successful new feature that might be taking business from you? Some of these external factors could be out of your control, but important to recognize
  • Internal factors : how many feature releases happened during this time frame? Was there any product downtime or maintenance at that time?

3. Identify the evidence that supports your causes

Collecting evidence is a key part of a root cause analysis. Without evidence, your problem causes are based on assumptions and potentially harmful biases.

Start evaluating any data you might have available. Using session replay tools like LogRocket can help you collect evidence of the problem. Here are a couple of examples of the type of data that can be used to collect evidence:

  • User count — number of users impacted by the problem
  • Usage — daily, weekly, or monthly active users and a decrease or increase in session time
  • Decrease or increase in events — for example, a decrease in users selecting the Add to cart button from a page or an increase in error pages
  • Error tracking and user frustration — tools like LogRocket can help track where things are going wrong in your product and surface critical issues
  • Qualitative evidence — run user interviews or user-submitted feedback with tools like Loom. Are multiple users running into the same roadblock? Are you seeing the same complaint from multiple users in feedback tickets?

4. Create a root cause analysis report and set up your action plan

Collect your evidence and root cause evaluation into an RCA template. Once you have your causes identified and your discovery efforts into one root cause analysis report, you can start creating a plan to address the problem and prevent it from happening in the future.

Collaborate with a team to brainstorm solutions and discuss which options might address multiple causes. Evaluate if you need both a short-term and long-term solution, depending on the level of effort and urgency required. As part of your analysis report, discuss how you can avoid this problem again in the future and any other risk mitigation plans.

Root cause analysis template

You can use this root cause analysis template on Google Sheets to organization your investigation, collect your evidence, and share with your team to determine next step solutions:

Blank Prep Root Cause Analysis Example Screenshot

Root cause analysis example

Below is an RCA for Company B, a tax preparation product that experienced an increase in dropped customer calls.

Company B experienced an increase of 60 percent of customers on hold that ended up dropping their call. They also experienced an increase in NPS dissatisfaction and have concerns about losing customers.

After going through a root cause analysis, they discovered an 80 percent increase in user calls during tax season. This increase of call volume indicated much longer wait times to speak to a live agent.

After investigating some of the customer call reasons, they discovered that numerous customers had simple questions that could be answered quickly without too much support.

More great articles from LogRocket:

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Company B gathered call logs that confirmed their suspicions. They brought the logs together that demonstrated the simplicity of repeated questions and gathered records of customers that dropped off after a certain amount of time on the phone.

Company B implemented a conversational AI chatbot that could answer generic questions and direct more complex questions to a live agent. Further, they implemented tooltips throughout the tax process flow to help users that appeared to be stuck.

Through the RCA process, you might discover that some parts of the user’s experience are confusing and create a plan to address minor UI challenges.

These solutions helped Company B improve their accessibility and scalability needs during an increase in call volume, without having to add more employee support. Going forward, Company B can plan to monitor call times and continuously evaluate customer service topics to determine where users might need further support and guidance in the future:

Tax Prep Root Cause Analysis Example

Common mistakes to avoid

There are a number of easy-to-fall-into traps when performing root cause analysis, including:

  • Don’t rely on assumptions when determining root causes. Use evidence to support to disprove a cause
  • Don’t limit your investigation. Go beyond one Five Why framework and be sure to exhaust all possibilities to avoid leaning on the first cause
  • Don’t rely on the first idea — come up with multiple solutions to solve a problem
  • Don’t work alone. Collaborating with a team will help you come up with a variety of potential solutions or new opportunities
  • Don’t think this is a one-time thing. Prepare for the future and discuss risk management and mitigation if you expect this problem to happen again, especially with issues that might be related to factors out of your control. What’s the worst that can happen, and what can we do about it to make sure the problem is addressed quickly with minimal interruption?

Final thoughts

A root cause analysis can be a great tool to help you uncover the true causes of a problem and reduce any reliance on assumptions or biases. With the right investigation and evidence collection, you can learn more about how and why a problem happened and identify causes below the surface.

RCA can ensure your solutions address the root problem and help you better plan for the future.

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Issues and mishaps are inevitable in any organization, even in the best of circumstances. Both ethical, proactive, well-run companies and those with a reactive approach will encounter problems, but the former will experience fewer and recover faster because they prioritize root cause analyses.   

Root cause analysis (or RCA) is the quality management process by which an organization searches for the root of a problem, issue or incident after it occurs. While it may 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.

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.

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Organizations perform root cause analyses when a problem arises or an incident occurs, but there are any number of issues that necessitate an RCA. Triggers for a root cause analysis fall into three broad categories.

When real-world materials or equipment fails in some way (e.g., 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 (e.g., 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 (e.g., 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 sort of 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 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 personal and/or professional knowledge of the systems, processes, and incidents 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 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/department have to prove 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/or 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 has 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.

Lower 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.

Preventing product defects : 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 associated with product defects down the line.

Reducing risks : Improving business processes and systems keeps equipment running safely and helps workers avoid safety hazards in the workplace.

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Getting to the Root of a Problem Quickly

By the Mind Tools Content Team

5 Whys Root-Cause Analysis

Have you ever had a problem that refused to go away? No matter what you did, sooner or later it would return, perhaps in another form.

Stubborn or recurrent problems are often symptoms of deeper issues. "Quick fixes" may seem convenient, but they often solve only the surface issues and waste resources that could otherwise be used to tackle the real cause.

In this article and in the video, below, we look at the 5 Whys technique (sometimes known as 5Y). This is a simple but powerful tool for cutting quickly through the outward symptoms of a problem to reveal its underlying causes – so that you can deal with it once and for all.

Origins of the 5 Whys Technique

Sakichi Toyoda, the Japanese industrialist, inventor, and founder of Toyota Industries, developed the 5 Whys technique in the 1930s. It became popular in the 1970s, and Toyota still uses it to solve problems today.

Toyota has a "go and see" philosophy. This means that its decision making is based on an in-depth understanding of what's actually happening on the shop floor , rather than on what someone in a boardroom thinks might be happening.

The 5 Whys technique is true to this tradition, and it is most effective when the answers come from people who have hands-on experience of the process or problem in question.

The method is remarkably simple: when a problem occurs, you drill down to its root cause by asking "Why?" five times. Then, when a counter-measure becomes apparent, you follow it through to prevent the issue from recurring.

The 5 Whys uses "counter-measures," rather than "solutions." A counter-measure is an action or set of actions that seeks to prevent the problem from arising again, while a solution may just seek to deal with the symptom. As such, counter-measures are more robust, and will more likely prevent the problem from recurring.

When to Use a 5 Whys Analysis

You can use 5 Whys for troubleshooting, quality improvement, and problem solving, but it is most effective when used to resolve simple or moderately difficult problems.

It may not be suitable if you need to tackle a complex or critical problem. This is because 5 Whys can lead you to pursue a single track, or a limited number of tracks, of inquiry when, in fact, there could be multiple causes. In cases like these, a wider-ranging method such as Cause and Effect Analysis or Failure Mode and Effects Analysis may b e more effective.

This simple 5 Whys technique, however, can often direct you quickly to the root cause of a problem. So, whenever a system or process isn't working properly, give it a try before you embark on a more in-depth approach – and certainly before you attempt to develop a solution.

The tool's simplicity gives it great flexibility, too, and 5 Whys combines well with other methods and techniques, such as Root Cause Analysis . It is often associated with Lean Manufacturing , where it is used to identify and eliminate wasteful practices. It is also used in the analysis phase of the Six Sigma quality improvement methodology.

How to Use the 5 Whys

The model follows a very simple seven-step process: [1]

1. Assemble a Team

Gather together people who are familiar with the specifics of the problem, and with the process that you're trying to fix. Include someone to act as a facilitator , who can keep the team focused on identifying effective counter-measures.

2. Define the Problem

If you can, observe the problem in action. Discuss it with your team and write a brief, clear problem statement that you all agree on. For example, "Team A isn't meeting its response time targets" or "Software release B resulted in too many rollback failures."

Then, write your statement on a whiteboard or sticky note, leaving enough space around it to add your answers to the repeated question, "Why?"

3. Ask the First "Why?"

Ask your team why the problem is occurring. (For example, "Why isn't Team A meeting its response time targets?")

Asking "Why?" sounds simple, but answering it requires serious thought. Search for answers that are grounded in fact: they must be accounts of things that have actually happened, not guesses at what might have happened.

This prevents 5 Whys from becoming just a process of deductive reasoning, which can generate a large number of possible causes and, sometimes, create more confusion as you chase down hypothetical problems.

Your team members may come up with one obvious reason why, or several plausible ones. Record their answers as succinct phrases, rather than as single words or lengthy statements, and write them below (or beside) your problem statement. For example, saying "volume of calls is too high" is better than a vague "overloaded."

4. Ask "Why?" Four More Times

For each of the answers that you generated in Step 3, ask four further "whys" in succession. Each time, frame the question in response to the answer you've just recorded.

What Is a 5 Whys Template?

The diagram, below, shows an example of 5 Whys in action, following a single lane of inquiry.

Figure 1: 5 Whys Example (Single Lane)

steps of root cause problem solving

The 5 Whys method also allows you to follow multiple lanes of inquiry. An example of this is shown in Figure 2, below.

In our example, asking "Why was the delivery late?" produces a second answer (Reason 2). Asking "Why?" for that answer reveals a single reason (Reason 1), which you can address with a counter-measure.

Similarly, asking "Why did the job take longer than expected?" has a second answer (Reason 2), and asking "Why?" at this point reveals a single reason (Reason 1). Another "Why?" here identifies two possibilities (Reasons 1 and 2) before a possible counter-measure becomes evident.

There is also a second reason for "Why we ran out of printer ink" (Reason 2), and a single answer for the next "Why?" (Reason 1), which can then be addressed with a counter-measure.

Figure 2: 5 Whys Example (Multiple Lanes)

steps of root cause problem solving

Step 5. Know When to Stop

You'll know that you've revealed the root cause of the problem when asking "why" produces no more useful responses, and you can go no further. An appropriate counter-measure or process change should then become evident. (As we said earlier, if you're not sure that you've uncovered the real root cause, consider using a more in-depth problem-solving technique like Cause and Effect Analysis , Root-Cause Analysis , or FMEA .)

If you identified more than one reason in Step 3, repeat this process for each of the different branches of your analysis until you reach a root cause for each one.

6. Address the Root Cause(s)

7. monitor your measures.

Keep a close watch on how effectively your counter-measures eliminate or minimize the initial problem. You may need to amend them, or replace them entirely. If this happens, it's a good idea to repeat the 5 Whys process to ensure that you've identified the correct root cause.

Appreciation

A similar question-based approach known as "appreciation" can help you to uncover factors in a situation that you might otherwise miss.

It was originally developed by the military to assist commanders in gaining a comprehensive understanding of any fact, problem or situation. But you can also apply it in the workplace.

Starting with a fact, you first ask the question, "So what?" – in other words, what are the implications of that fact? Why is this fact important?

You then continue asking that question until you've drawn all possible conclusions from it.

The major difference between this and the 5 Whys technique is that appreciation is often used to get the most information out of a simple fact or statement, while 5 Whys is designed to drill down to the root of a problem.

Tips for Using the 5 Whys Technique

  • Try to move quickly from one question to the next. That way, you'll have the full picture before you jump to any conclusions.
  • The "5" in 5 Whys is really just a " rule of thumb ." In some cases, you may need to ask "Why?" a few more times before you get to the root of the problem. In other cases, you may reach this point before you ask your fifth "Why?" If you do, make sure that you haven't stopped too soon, and that you're not simply accepting "knee-jerk" responses.
  • Know when to stop! The important point is to stop asking "Why?" when you stop producing useful responses.

Frequently Asked Questions About 5 Whys

1. what is the 5 whys technique.

The 5 Whys Technique is a problem-solving method involving repeatedly asking "why?" It's a way of quickly getting to the root cause of a situation.

2. Who Invented 5 Whys?

5 whys infographic.

See our infographic on the 5 Whys and use it to get to the root of your problems!

steps of root cause problem solving

Bear in mind that appreciation can restrict you to one line of thinking. For instance, once you've answered your first "So what?" question, you might follow a single line of inquiry to its conclusion. To avoid this, repeat the appreciation process several times over to make sure that you've covered all bases.

The 5 Whys strategy is a simple, effective tool for uncovering the root of a problem. You can use it in troubleshooting, problem-solving, and quality-improvement initiatives.

Start with a problem and ask why it is occurring. Make sure that your answer is grounded in fact, and then ask the question again. Continue the process until you reach the root cause of the problem, and you can identify a counter-measure that will prevent it from recurring.

Bear in mind that this questioning process is best suited to simple or moderately difficult problems. Complex problems may benefit from a more detailed approach, although using 5 Whys will still give you useful insights.

[1] Pojasek, R. (2000). 'Asking "Why?" Five Times,' Environmental Quality Management , Volume 10, Issue 1, 79–84. Available here . [Accessed July 1, 2022.]

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Root Cause Analysis

Used throughout every major industrial and business sector, sologic root cause analysis (rca) is an evidence-based, problem-solving method based on cause & effect logic., what is root cause analysis (rca).

Root Cause Analysis (RCA) is a structured problem solving method. The aim of RCA is to identify, understand and solve the deeper ‘root causes’ of problems.  RCA is built on the principle that causal relationships exist for all events. By understanding these we can move beyond the symptoms and address the root causes at source .

For many of us, when there is a problem at work, it is difficult to get beyond immediate symptoms, meaning that the underlying causes have not been dealt with and will need fixing time and time again.  A scenario we often refer to as “fire-fighting”.   

The Root Cause Analysis method or ‘RCA’ as it is often abbreviated to, is a widely used technique that helps people get beyond the symptoms of a problem and reveal the, often hidden, and multiple root causes.

There are a variety of Root Cause Analysis processes to choose from, some are quick and easy, such as 5 Whys, others are longer and more complex such as FMEA and Ishikawa. The Sologic RCA methodology is quick to learn, logical and scalable.  It is also universal in that it can be applied to any problem, in any sector .  

Who is responsible for Root Cause Analysis?

Anyone can lead an RCA - especially if they are using the right method and tools. Best practice in RCA shows us that subject matter expertise in the area being investigated is not usually required. An expert Root Cause Analysis training course can ensure your RCA Champions have the skills they need.

The RCA Lead or Facilitator usually assembles the RCA Team and gathers the information required from a variety of sources. They then use this information to determine the three main components of any Root Cause Analysis:

  • What happened?
  • Why did it happen?
  • What is required to prevent this problem from happening again?

These investigations may be recorded as individual reports or form part of a formal company-wide RCA Program .  

How to conduct an RCA?

When an incident occurs it’s important that it is understood in a logical, objective and critical manner. To do this successfully we must gather and manage the available evidence.  Once collected in full we can define the problem and record its impacts.  High quality cause and effect analysis adds a deeper understanding, leading to targeted and more effective solutions.  If these are clearly documented and shared an organisation can learn from past failures and prevent future problems.     

What are the steps in Root Cause Analysis?

5 Step Sologic Root Cause Analysis Method

Sologic-RCA-5-Steps-2.png

RCA Step 1: Gather and Manage Data

An RCA investigation should be based on facts – making sure the RCA is evidence-based helps ensure accuracy.  High-quality evidence helps ensue your RCA is based on known data, not supposition.   

RCA Step 2: Create a Problem Statement

RCA Problem Statement Template

RCA Step 3: Analyse Cause and Effect

What were the causes of your incident?  Cause and Effect Analysis reveals that actions and conditions are interrelated.  A change in one area creates a change another.  These coincide to create the specific problem you are investigating.   The following common Root Cause Analysis Tools are favoured amongst those looking to conduct an effective visual analysis:   5 Whys   Cause & Effect Diagrams  (Continued Below) Failure Mode & Effects Analysis FMEA Fishbone Ishikawa  Lean / Six Sigma    In practice, the majority Root Cause Analysis specialists prefer the 5 Whys tool for simple problems and Cause and Effect charts for complex problems.  

What is a cause and effect diagram?

Simple cause and effect template diagram

RCA Step 4: Generate Solutions

RCA solutions chart example

RCA Step 5: Complete and Share a Final Report

Once the analysis is complete, we assemble a final RCA report.  The final report is the communication vehicle for a broader audience so that others can recognize and mitigate risks in their areas.  The report also becomes the ‘lesson learned’ document enabling the new knowledge to be shared with future employees. Cause and Effect charts are scalable and transferable. The logic is applicable to small recurrent issues as well as large, one-off, never-events.  Visit our  root cause analysis examples  pages to see examples covering areas such as safety, quality, reliability, operations and compliance.   

How To Make a Simple Cause and Effect Chart

Root Cause Analysis Software  Sologic’s  Root Cause Analysis software tool, Causelink  allows problem-solving professionals to investigate events in a simple, standardized and evidence-based manner. Causelink supports 5 Whys and Cause and Effect charting, encourages the breaking of causal chains and pinpoints the effective solutions that overcome repeat failures.    Further Root Cause Analysis reading

  • Root cause analysis training
  • Root cause analysis ebooks
  • Root cause analysis examples and templates
  • Root cause analysis case studies
  • Root cause analysis in healthcare and nursing
  • Root cause analysis in construction and engineering

How to Do Root Cause Analysis

Conducting a root cause analysis ( RCA ) helps trace recurring problems to their source. It begins with identifying a problem. Next, data collection helps you to pinpoint the root cause and take corrective action . 

In healthcare , RCA ensures that doctors address the underlying causes of conditions instead of wasting their time on symptoms alone. The same principle applies in manufacturing, facilities maintenance, and any other industry. 

Businesses conduct RCA to find the causal factors behind their problems and eliminate them. Ultimately, RCA enables proactive maintenance and asset management . Instead of correcting issues after they occur, you’ll stop them from happening in the first place .

How to conduct an effective root cause analysis in 4 steps

You can conduct root cause analysis with the help of a range of different tools and techniques. Though these processes may look different, they all share a common goal: fixing the root cause of an issue. To do a root cause analysis the right way, you should follow four basic steps:

  • Define the problem
  • Collect data
  • Map out the events to identify root causes
  • Implement solutions to solve the problem

Step 1: Define the problem 

By defining the problem, its symptoms, and its consequences, you’ll set the scope and direction of the analysis.

Without a specific problem statement , you’ll struggle to create a path to a solution. A well-defined problem statement also helps determine the scale and scope of the solution you’ll ultimately implement. When you’re writing your problem statement , keep these three questions in mind: 

  • How would you describe the problem at hand?
  • What do you see happening?
  • What are the specific symptoms?

Step 2: Collect the data

Next, gather data related to your problem or incident. Record anything that might help you get to the source of your organization’s trouble.

Take, for example, a machine failure in a manufacturing plant. You’ll want to track data like: 

  • The age of your equipment
  • Your equipment’s operational time
  • Your equipment’s operating patterns
  • The typical maintenance schedule
  • Characteristics of the operating environment
  • The names of the operators who typically handle the machine
  • The technical specifications of the machine

Inspecting the machine in person provides plenty of information that could serve your root cause analysis . Facilities that run predictive maintenance need to take particular care to collate their data quickly.

Step 3: Map out the events

Then, establish a timeline of events. This will help you determine which factors among the data collected are most worth investigating. Putting events and data in chronological order helps to differentiate causal factors from non- causal factors . From the data collected, you can identify correlations between various events, their timing, and other data collected. Remember that correlation does not mean causation . 

causation vs correlation

Here’s the difference between causation and correlation in a maintenance context. 

Questions to ask yourself when looking for correlations: 

  • What sequence of events allowed this to happen? 
  • What conditions allowed this to happen? 
  • What additional problems result from the main problem? 

The next step is to employ additional root cause analysis tools to identify potential causes . 

For example, you might map out events with the help of a causal graph . These graphs represent the relationship between the events that happened and the data you’ve collected. The different paths are given different probability weights. They can serve as a visual tool to track down the root cause.

Step 4: Address the root of the problem

Once you’ve identified the root cause, you can quickly determine the best solution to fix it. Map the solution against the scope defined in your initial problem statement . Do you have the resources you need? If so, it’s time to implement a solution. 

Once the problem is solved, you will need to take preventive steps to ensure it doesn’t happen again. If the symptoms occur again, it’s time to return to the drawing board and conduct RCA again.

The 3 Rs of Performing Root Cause Analysis

Another simple way of understanding root cause analysis focuses on the 3 Rs of RCA : recognize, rectify, replicate. 

  • Recognize : Taking corrective action begins with identifying the problem. With a detailed problem statement , you’ll have a dependable procedure for digging into the issue and finding the root cause.  
  • Rectify : Once you’ve identified the root cause, you can take measures to ensure it doesn’t happen again. If it reappears, you may have addressed symptoms alone.
  • Replicate : Attempting to recreate a problem helps you test whether you actually fixed the root issue. You might also try to replicate the conditions that led to a positive outcome.

Root cause analysis tools and techniques

There are many tried and trusted frameworks for executing RCA . Some offer a better fit for certain industries than for others or help to address specific types of problems. 

Your company should establish its own unique methodology for conducting RCA and always tailor its approach to the issue at hand. In some instances, you might bring in external consultants to guide your efforts or even execute the analysis. Let’s look at some of the different forms of root cause analyses . 

5 Why analysis

The 5 Whys technique for root cause analysis and problem solving was developed by Sakichi Toyoda. It is at the heart of the Toyota Motor Company’s lean manufacturing processes . 

Simply put, the process involves asking ‘why’ over and over again until you’ve reached the root cause of a problem . The goal is to ask why until you can’t anymore. A rule of thumb holds that 5 ‘whys’ is usually enough. 

5 Why analysis

Asking ‘why’ brings businesses closer to the root cause of their problems. 

Benefits of 5 Why analysis :

  • Quickly identifies the root cause of a problem
  • Illustrates how one process can cause a chain of problems
  • Helps determine the relationship between different root causes
  • No need for complicated evaluation techniques

When to use the 5 Whys : 

  • For simple to moderately complex problems
  • When human error has contributed to your problems

Fishbone diagram (a.k.a. Ishikawa diagram)

The Ishikawa method for root cause analysis emerged from quality control techniques employed in the Japanese shipbuilding industry by Kaoru Ishikawa. It results in a fishbone diagram (named for its resemblance to a fish skeleton ) that explores the various potential causes of one key problem. 

Typical fishbone diagrams break causes into six categories, the six Ms: 

  • Manpower (personnel) 
  • Measurement
  • Mother nature (environment)

Fishbone digram (Iskikawa method)

An Ishikawa diagram (also known as a fishbone diagram ) outlines the various causes of a key business problem. 

Teams explore potential contributing factors until they identify the root cause of the problem . Benefits of fishbone diagrams :

  • Provides a useful structure to guide brainstorming
  • Identifies potential bottlenecks
  • Explores the full scope of potential causes

When to use a fishbone diagram :

  • to analyze a complex problem with many potential causes
  • to identify bottlenecks and obstacles to process flow

Failure mode and effects analysis (FMEA)

FMEA is a proactive approach to root cause analysis , preventing potential machine or system failures. It combines reliability engineering , safety engineering, and quality control efforts. The process involves predicting future failures and defects by analyzing data. 

FMEA

A diverse, cross-functional team is essential for performing effective FMEA . Make sure to clearly define and communicate the scope of the analysis to your team members . 

Your team will closely review each subsystem, design, and process to better understand their purposes and functions. Next, the seam should brainstorm potential failure modes based on data and past experiences. 

Then, the team can calculate the risk priority number (RPN) for each potential failure mode. The formula below shows how the severity, likelihood, and detectability of potential causes contribute to its RPN. 

(RPN) risk priority number formula

If the failure mode has a higher RPN than you’re comfortable with, you can begin planning out corrective actions . Benefits of FMEA :

  • Enables your team to identify failure points early
  • Takes advantage of your team’s collective knowledge
  • Improves the quality, reliability, and safety of corrective actions
  • Introduces a logical, structured approach for identifying process areas of concern
  • Documents and tracks risk reduction activities

When to use the FMEA methodologies :

  • When you’re designing new products, business processes , or service offerings ( DFMEA )
  • When you have a plan for quality improvement
  • When you need to understand the failures in a business process and improve upon them ( PFMEA )

Fault tree analysis (FTA)

Fault tree analysis is an RCA process that uses boolean logic to identify the cause of a fault or failure.The process involves mapping the logical relationships between faults and the subsystems of a machine. 

You first place the failure you’re analyzing at the top of the chart. If two causes have a logical or combination causing effect, they are combined with a logical or operator. For example, if a machine can fail while in operation or while under maintenance, it is a logical or relationship.

Fault tree analysis example

An example of a fault tree analysis Source: Six Sigma Study Guide

If two causes need to occur simultaneously for the fault to happen, the situation is represented with a logical and . For example, if a machine only fails when the operator pushes the wrong button and relay fails to activate, it is a logical and relationship. 

Your team can then analyze the fault tree to identify process improvements and risk management opportunities. It’s an especially effective tool for analyzing automated machines and systems. In the above example, and is in blue and or is in purple.  Benefits of using a fault tree analysis :

  • Deduces the cause of events
  • Highlights the critical elements related to system failure
  • Creates a visual representation to simplify failure analysis
  • Accounts for human error
  • Promotes effective communication between team members

When to use a fault tree analysis :

  • When you need to determined if a combination of contributing factors is causing a problem
  • When you are designing a solution and need to identify potential sources of failure to make the solution more robust 

To find issues that can cause fault-tolerant systems to experience total failure

Pareto charts

A Pareto chart indicates the frequency of defects and their cumulative effects. Italian economist Vilfredo Pareto recognized a common theme across all the frequency distributions he could observe. He noticed a vast imbalance between the ratio of failures and the effects caused by them. In any system, he proposed that 80% of the results (or failures) are caused by 20% of all potential causes . This concept is known as the Pareto principle or the 80-20 rule. 

With the 80-20 principle in mind, you can use Pareto analysis to dig into failures and their possible causes . To start, draw a bar graph that includes the frequency of faults and causes. This graph will make it much easier to see the skewed relationship between causes and effects. Next, you’ll analyze the causes that contribute to the largest number of faults and take corrective action to eliminate the most common defects. Benefits of using pareto charts :

  • Defects are ranked in order of severity, making it simple to organize priorities
  • Helps cumulative the cumulative impact of defects

When to use a pareto chart :

  • To narrow down a list of problems and find the most significant
  • To analyze a problem with a broad list of causes and identify specific components

More root cause analysis methods and tools

The root cause analysis process looks different for different organizations and varies based on the problem you’re addressing. Here are some additional approaches:  

  • Cause and effect diagrams try to map the relationship between causes and effects in a system. 
  • Barrier analysis is an RCA technique commonly used for safety incidents. It is based on the idea that a barrier between personnel and potential hazards can prevent most safety incidents.
  • Change analysis is used when a potential incident occurs due to a single element or factor change.
  • A scatter diagram is a statistical tool that plots the relationship between two data points in a two-dimensional chart. 

Get started with maintenance management software

If you’re feeling overwhelmed, don’t worry. Whether you’re conducting a root cause analysis for the first time or looking to refine your existing processes, Limble’s computerized maintenance management solution (CMMS) can help. By enabling maintenance teams to say goodbye to pen, paper, and spreadsheets, it simplifies every aspect of asset management.

If you want to learn more about how Limble could make your job less stressful, get started with a free trial or set up a demo today.

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steps of root cause problem solving

Is there a list of RCA examples for IT environment such as Application, Database, Server, Network Device, Network. Also, please recommend insightful RCA resources for IT

Hey Kenny, I do not know any from the top of my head. Most guides we come across while writing this piece, even when they were for specific industries, still just focused on explaining the general concept.

I would have to google it the same as yourself. Good luck with the search!

These tools are not easy to use, espicallly in complex problems, but explanation is good.

Comments are closed.

steps of root cause problem solving

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Project Management Mastering Root Cause Analysis for Effective Problem Solving

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Mastering Root Cause Analysis for Effective Problem Solving

root cause analysis

The first step in any problem-solving process is to identify the problem. It’s a daunting but necessary step that cannot be bypassed even if you don’t know how to solve the problem itself. One of the most effective ways to identify the problem is to conduct a root cause analysis. But what is a root cause analysis, exactly? In this article, we cover everything from root cause analysis and its approaches to how to conduct a root cause investigation effectively.

What Is Root Cause Analysis?

what is root cause analysis: the best approaches and how to run an effective investigation

When faced with a problem, it can be tempting to only fix the immediate issue and move on as quickly as possible. But if you want to get to the bottom of things and avoid future problems, you need to conduct a root cause analysis. To even begin to understand the process, we first need to define root cause analysis.

❗ What is Root Cause Analysis ?

Root cause analysis is a systematic process for finding the real source of a problem.

Once you’re able to identify the root cause, you can put measures in place to prevent similar issues from happening in the future. You might be thinking,

Root cause example

An example of a root cause might be an IT system failing because someone didn’t update it when they were meant to. Another example is implementing training programs, career advancement paths, and mentorship initiatives to reduce employee turnover.

Once you’ve identified the problem, you can put measures in place to prevent it from happening again—this might involve changes to processes, procedures, or training. It could also require changes to equipment or materials, depending on the nature of the issue. 

✅ The Advantages of Root Cause Analysis

There are several advantages to conducting a root cause analysis. When done correctly, root cause analysis can:

🔮 Prevent future problems Conducting a root cause analysis investigation can help organizations identify and correct the underlying causes of problems, preventing them from recurring in the future.

👨🏽‍🤝‍👨🏼 Improve team communication Conducting root cause analysis investigations can help to improve team members’ communication and help organizations better understand their customers’ needs.

what is root cause analysis: the best approaches and how to run an effective investigation

⌛ Save time and money Root cause analyses can also save organizations time and money by preventing issues from reoccurring. 

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💡 Foundation for continuous improvement Additionally, it can help organizations of all kinds build a foundation for continuous improvement by identifying opportunities for process improvements.

🤝 Promotes knowledge sharing  Finally, root cause analyses promote learning and knowledge sharing within an organization by documenting the investigation process and findings.

As long as it is done properly, conducting root cause analysis investigations will help your organization solve problems, promote team communication, encourage knowledge sharing and save you precious time and money which can be spent improving other parts of the business.

❌ Drawbacks of Root Cause Analysis

There are several potential challenges associated with root cause analysis. For example, root cause analysis is:

🙅‍♀️ Time-consuming Root cause analysis investigations can be time-consuming and resource intensive, especially if you’re part of a small organization with a limited budget for such activities. Investigators need to have a good understanding of the problem and the systems involved in order to identify all possible causes. 

🕵️‍♀️ Data access RCA often requires access to data that may be difficult to obtain. If the relevant data isn’t available to the investigators, the investigation may not be able to find the root causes of an issue.

🤹‍♀️ Multiple factors Another challenge with RCA is that it can be a challenge to identify the cause, often because multiple factors contribute to the issue. Additionally, changes in the system or environment can impact the results of an RCA investigation. For example, a change in the production process might eliminate a reported problem but, unfortunately, may introduce new ones that need to be tackled.

what is root cause analysis: the best approaches and how to run an effective investigation

🤷‍♀️ Recommendations not implementable or meaningful Finally, RCA can sometimes lead to recommendations for changes that are difficult (or, in some cases, impossible) to implement. For example, the recommended changes may be too expensive or disruptive to implement fully, meaning the same issues may continue to occur. In other cases, investigators may not have enough information to make meaningful recommendations for change, limiting the effectiveness of a root cause analysis investigation.

Although root cause analysis has its advantages, in some cases, it may be met with roadblocks such as access to data, challenges identifying the cause due to lots of cause factors, and problems implementing meaningful change after the investigation closes.

Root Cause Analysis Approaches 

The main goal of root cause analysis is to find out the source of a problem. But there’s not just one approach—there are several approaches to root cause analysis: 

what is root cause analysis: the best approaches and how to run an effective investigation

The 5 Whys is a popular approach to root cause analysis. It involves asking five successive questions about a problem in order to identify its root cause. For example, if a machine is not functioning as it should, the 5 Whys approach would involve asking five successive questions such as ‘why is the machine not working?’, ‘what is causing the machine to not work?’, ‘what are the consequences of the machine not working?’, and so on. By asking these questions, it should be possible to identify root causes and take the necessary steps to fix them.

One of the key advantages of the 5 Whys approach is that it is a relatively simple and straightforward way to identify the root causes of various problems. However, this specific approach may not always be successful in identifying root causes in all scenarios. For example, it may be necessary to ask more than five questions or use other approaches to define a root cause.

Fishbone Diagrams

what is root cause analysis: the best approaches and how to run an effective investigation

Another popular root cause analysis (RCA) approach is to create a fishbone diagram. This approach helps investigation teams to visualize the relationships between different factors that may have contributed to a problem. They are also sometimes called cause and effect diagrams or Ishikawa diagrams, named after Kaoru Ishikawa, who developed this approach to root-cause analysis.

To create a fishbone diagram:

  • Start by drawing a large bone shape on a piece of paper.
  • Add branches coming off of the main bone, representing different factors that could have caused the problem.
  • For each factor, ask why it may have contributed to the problem.

After adding a range of factors, you’ll likely soon find the source of the problem. 

Fishbone diagrams have their advantages over some other root cause analysis approaches. For example, the technique is relatively straightforward, meaning it’s easy for those who’ve never encountered it before to learn how it works. On the other hand, for complex investigations, fishbone diagrams quickly become messy, and this may lead to confusion.

Change Analysis/Event Analysis

what is root cause analysis: the best approaches and how to run an effective investigation

Another way to approach root cause analysis is with the change and event analysis method. Change analysis involves looking at how a system or process has changed over time, while event analysis focuses on understanding what happened during a specific incident.

Both approaches have their strengths and weaknesses, but change and event analysis can be used together to get a complete picture of exactly what caused a problem. So if you’re looking to solve a problem and prevent it from happening again, this might be the best method.

Change and event analysis is a great approach because it is conceptually simple, making it easy for those who haven’t encountered it before to grasp. However, it can be resource-intensive compared to other approaches because the results may not be conclusive, meaning investigation teams need to conduct time-consuming testing.

Pareto Charts

A Pareto chart is a simple graphical tool that is used to perform root cause analysis. The charts are useful for identifying the most important factors in a given situation, and they can help you prioritize actions and allocate resources effectively to save precious time and money. 

To create a Pareto chart, you will first need to collect data on the different factors involved in the problem or issue you are investigating. Once you have this data, you can use it to create a bar chart with the different factors on the x-axis and their relative importance on the y-axis.

what is root cause analysis: the best approaches and how to run an effective investigation

The most crucial factor is typically the one that contributes the most to the overall problem or issue. In most cases, this will probably be quite obvious. However, sometimes it may take time to determine which factor has caused the issue. In these cases, you can use the Pareto principle to help guide your analysis. The principle states that for most events, approximately 80% of the effects come from just 20% of the causes. This means that for many problems, most of the impact comes from a small number of contributing factors.

Applying this principle to root cause analysis can help you focus your attention on the factors with the biggest impact. This will be especially useful when dealing with a complex problem with many different contributing factors, but you have limited time or resources at your disposal.

Pareto charts are favored by many because problems are ranked in severity order, meaning it’s clear to all involved which issues need tackling first. Plus, these charts often provide a more complete explanation of a problem than other root cause analysis approaches. However, Pareto charts need good data to be effective. For this reason, they may not be suitable for teams that cannot access the data they require.

Failure Mode and Effect Analysis

Another potential approach is Failure Mode and Effect Analysis (FMEA), a tool used to identify possible failures in a system or process and determine the impact of those failures. This approach can also be used to develop corrective actions to prevent or mitigate the effects of the failures.

FMEA is typically performed during the design phase of a project, but it can also be used after a problem has occurred to help identify the root cause. When used in an investigation, FMEA can help identify all potential causes of a problem so that they can be explored further.

There are three steps involved in conducting an FMEA:

1. Identify potential failure modes: What could go wrong? 2. Determine the effect of each failure mode: What would be the consequences if this happened? 3. Prioritize corrective actions based on risk: What are the chances of this happening, and how severe would the consequences be?

Conducting an FMEA ensures that all potential causes of a problem are considered during an investigation and that corrective actions are prioritized based on the level of risk involved. This is beneficial because the investigation team can fix problems based on the severity level. However, this approach might not be suitable for all root cause analysis investigations because the method is only as good as the investigation team’s. For example, problems beyond the team’s knowledge may go undetected, meaning the root cause is never identified. 

❓ How To Conduct a Root Cause Investigation

To conduct an effective root cause investigation, there are a few key things to be mindful of:

1️⃣ Establish a clear problem statement

First and foremost, it is vital to establish a clear and concise root cause problem statement—this will help to ensure that the investigation stays focused and on track. A vague problem statement may cause confusion and could drag the investigation out. 

2️⃣ Work in a team

When it comes to conducting root cause analysis, you shouldn’t go it alone, if possible. Whether you’re working with one other colleague or an investigation team, more people will help you spot problems, challenge assumptions and figure out workable solutions. 

3️⃣ Scrutinize (and improve) the process

This probably won’t be the last time you perform root cause analysis. So when you’re conducting the investigation, make sure to identify ways that you can improve the process for next time. Do you need a larger team? Should you pursue a different root cause analysis approach? The root cause problem-solving process won’t be perfect the first time!

4️⃣ Gather data

Gather as much relevant data as possible during root cause investigations. This data can come from a variety of sources, including interviews, observations, records, and documents. 

5️⃣ Verify findings

Once potential root causes have been identified, they should be verified through additional testing and analysis to ensure the investigation team has found the true problem.

6️⃣ Make findings accessible

Once you’ve successfully identified the root cause of the problem, you should make the findings available to all those who might benefit from them. Your RCA analysis might help other colleagues solve problems in the future.

A variation of the process we outlined before can be seen in the picture below. Even though the steps may vary, all in all

what is root cause analysis: the best approaches and how to run an effective investigation

Root cause analysis approaches may seem complicated when encountering them for the first time, but they are practical problem-solving tools that are helpful in various situations. The key to conducting an effective root cause analysis is to work as a team, ask the right questions, and use the information you gather to improve your processes over time. By following any of the approaches outlined above, you can run an effective root cause analysis investigation and help your business or organization avoid future problems.

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steps of root cause problem solving

Maria Kharlantseva

  • Business strategy |
  • Problem management: 8 steps to better p ...

Problem management: 8 steps to better problem solving

Alicia Raeburn contributor headshot

Problem management is an 8 step framework most commonly used by IT teams. You can use problem management to solve for repeating major incidents. By organizing and structuring your problem solving, you can more effectively get to the root cause of high-impact problems—and devise a solution. Solving the root cause prevents recurrence and creates a repeatable solution to use on similar errors in the future.

In an IT department, errors and mishaps are part of the job. You can't always control these problems, but you can control how you respond to them with problem management. Problem management helps you solve larger problems and reduce the risk that they’ll happen again by identifying all connected problems, solving them, and planning for the future.

What is problem management?

Problem management is an 8 step framework most commonly used by IT teams. Your team can use problem management to solve for repeating major incidents. By organizing and structuring your problem solving, you can more effectively get to the root cause of high-impact problems—and devise a solution. Problem management is a process—used mostly by IT teams—to identify, react, and respond to issues. It’s not for every problem, but it’s a useful response when multiple major incidents occur that cause large work interruptions. Unlike problem solving, problem management goes beyond the initial incident to discover and dissect the root causes, preventing future incidents with permanent solutions.

The goals of problem management are to:

Prevent problems before they start.

Solve for repetitive errors.

Lessen each incident’s impact. 

Problem management vs. incident management 

Example: Someone leaves their unprotected laptop in a coffee shop, causing a security breach. The security team can use incident management to solve for this one, isolated event. In this case, the team could manually shut down the accounts connected to that laptop. If this continues to happen, IT would use problem management to solve the root of this issue—perhaps installing more security features on each company laptop so that if employees lose them, no one else can access the information.

Problem management vs. problem solving

While similar in name, problem management differs slightly from problem-solving. Problem management focuses on every aspect of the incident—identifying the root cause of the problem, solving it, and prevention. Problem solving is, as the name implies, focused solely on the solution step. 

Example: You’re launching a new password management system when it crashes—again. You don’t know if anything leaked, but you know it could contain confidential information. Plus, it’s happened before. You start the problem management process to ensure it doesn’t happen again. In that process, you’ll use problem solving as a step to fix the issue. In this case, perhaps securing confidential information before you try to launch a new software.

Problem management vs. change management 

Change management targets large transitions within your workplace, good and bad. These inevitable changes aren’t always negative, so you can’t always apply problem management as a solution. That’s where change management comes in—a framework that helps you adjust to any new scenario.

Example: Your company is transitioning to a new cloud platform. The transition happens incident-free—meaning you won’t need problem management—but you can ease the transition by implementing some change management best practices. Preparing and training team members in the new software is a good place to start.

Problem management vs. project management

Project management is the framework for larger collections of work. It’s the overarching method for how you work on any project, hit goals, and get results. You can use project management to help you with problem management, but they are not the same thing. Problem management and project management work together to solve issues as part of your problem management process.

Example: During problem management, you uncover a backend security issue that needs to be addressed—employees are using storage software with outdated security measures. To solve this, you create a project and outline the tasks from start to finish. In this case, you might need to alert senior executives, get approval to remove the software, and alert employees. You create a project schedule with a defined timeline and assign the tasks to relevant teams. In this process, you identified a desired outcome—remove the unsafe software—and solved it. That’s project management.

The 8 steps of problem management

It’s easy to get upset when problems occur. In fact, it’s totally normal. But an emotional response is not always the best response when faced with new incidents. Having a reliable system—such as problem management—removes the temptation to respond emotionally. Proactive project management gives your team a framework for problem solving. It’s an iterative process —the more you use it, the more likely you are to have fewer problems, faster response times, and better outputs. 

1. Identify the problem

During problem identification, you’re looking at the present—what’s happening right now? Here, you’ll define what the incident is and its scale. Is this a small, quick-fix, or a full overhaul? Consider using problem framing to define, prioritize, and understand the obstacles involved with these more complex problems. 

2. Diagnose the cause

Use problem analysis or root cause analysis to strategically look at the cause of a problem. Follow the trail of issues all the way back to its beginnings.

To diagnose the underlying cause, you’ll want to answer:

What factors or conditions led to the incident?

Do you see related incidents? Could those be coming from the same source?

Did someone miss a step? Are processes responsible for this problem?

3. Organize and prioritize

Now it’s time to build out your framework. Use an IT project plan to organize information in a space where everyone can make and see updates in real time. The easiest way to do this is with a project management tool where you can input ‌tasks, assign deadlines, and add dependencies to ensure nothing gets missed. To better organize your process, define:

What needs to be done? 

Who’s responsible for each aspect? If no one is, can we assign someone? 

When does each piece need to be completed?

What is the final number of incidents related to this problem?

Are any of these tasks dependent on another one? Do you need to set up dependencies ?

What are your highest priorities? How do they affect our larger business goals ? 

How should you plan for this in the future?

4. Create a workaround

If the incident has stopped work or altered it, you might need to create a workaround. This is not always necessary, but temporary workarounds can keep work on track and avoid backlog while you go through the problem management steps. When these workarounds are especially effective, you can make them permanent processes.

5. Update your known error database

Every time an incident occurs, create a known error record and add it to your known error database (KEDB). Recording incidents helps you catch recurrences and logs the solution, so you know how to solve similar errors in the future. 

[product ui] Incident log example (lists)

6. Pause for change management (if necessary)

Larger, high-impact problems might require change management. For example, if you realize the problem’s root cause is a lack of staff, you might dedicate team members to help. You can use change management to help them transition their responsibilities, see how these new roles fit in with the entire team, and determine how they will collaborate moving forward.

7. Solve the problem

This is the fun part—you get to resolve problems. At this stage, you should know exactly what you’re dealing with and the steps you need to take. But remember—with problem management, it’s not enough to solve the current problem. You’ll want to take any steps to prevent this from happening again in the future. That could mean hiring a new role to cover gaps in workflows , investing in new softwares and tools, or training staff on best practices to prevent these types of incidents.

Read: Turn your team into skilled problem solvers with these problem-solving strategies

8. Reflect on the process

The problem management process has the added benefit of recording the process in its entirety, so you can review it in the future. Once you’ve solved the problem, take the time to review each step and reflect on the lessons learned during this process. Make note of who was involved, what you needed, and any opportunities to improve your response to the next incident. After you go through the problem management process a few times and understand the basic steps, stakeholders, workload, and resources you need, create a template to make the kickoff process easier in the future.

5 benefits of problem management

Problem management helps you discover every piece of the problem—from the current scenario down to its root cause. Not only does this have an immediate positive impact on the current issue at hand, it also promotes collaboration and helps to build a better product overall. 

Here are five other ways ‌problem management can benefit your team:

Avoids repeat incidents. When you manage the entire incident from start to finish, you will address the foundational problems that caused it. This leads to fewer repeat incidents.

Boosts cross-functional collaboration. Problem management is a collaborative process. One incident might require collaboration from IT, the security team, and legal. Depending on the level of the problem, it might trickle all the way back down to the product or service team, where core changes need to be made.

Creates a better user experience. It’s simple—the fewer incidents you have, the better your customer’s experience will be. Reducing incidents means fewer delays, downtime, and frustrations for your users, and a higher rate of customer satisfaction.

Improves response time. As you develop a flow and framework with a project management process, you’ll be better equipped to handle future incidents—even if they’re different scenarios.

Organizes problem solving. Problem management provides a structured, thoughtful approach to solving problems. This reduces impulsive responses and helps you keep a better problem record of incidents and solutions.

Problem management leads to better, faster solutions

IT teams will always have to deal with incidents, but they don’t have to be bogged down by them. That’s because problem management works. Whether you employ a full problem management team or choose to apply these practices to your current IT infrastructure, problem management—especially when combined with a project management tool—saves you time and effort down the road.

With IT project plans, we’ve made it easier than ever to track your problem management work in a shared tool. Try our free IT project template to see your work come together, effortlessly.

Root Cause Analysis in Product Management: A Step-By-Step Guide

How do you conduct root cause analysis in product management?

This is the main question we explore in this article. We also explain why it’s important for product managers and share useful tips.

Let’s dive in, shall we?

  • Root cause analysis (RCA) is a problem-solving process that focuses on identifying their underlying causes.
  • RCA helps organizations eradicate recurring issues and not just symptoms. This is more cost-effective and allows organizations to improve the customer experience in the long run.
  • The RCA process starts by defining the problem . Be specific, use data , not assumptions or speculations, and refrain from jumping to conclusions about possible causes.
  • To get access to unique perspectives and expertise, build a cross-functional team .
  • Collecting data about the problem’s nature and its extent is key to making informed decisions.
  • Based on the data, formulate hypotheses on potential causes. Consider both internal and external factors.
  • Next, conduct further research, run experiments , and dig deeper into issues to validate or refute the hypotheses.
  • Once a hypothesis is proven right, generate solution ideas and prioritize them in terms of impact and technical feasibility.
  • Finally, implement the solutions and monitor their impact . Iterate on the feedback if necessary.
  • Userpilot offers advanced analytics and feedback features. Book the demo to see how it can help your team conduct RCA!

What is root cause analysis in product management?

Root cause analysis (RCA) is a problem-solving method . It’s used to identify the underlying causes of issues or faults in a product or the product management process.

The objective of RCA is to discover what caused a particular problem, why it happened, and how to prevent it from happening again.

Benefits of conducting root cause analysis for product managers

Root cause analysis is essential for product organizations for several reasons.

First and foremost, it helps teams find the actual cause of an issue instead of merely addressing its symptoms. This is important because fixing the root cause prevents the problem from recurring.

Dealing with root causes instead of symptoms helps organizations to save time and resources in the long run.

More importantly, through root cause analysis teams gain insights on how to improve the product experience . This translates into fewer complaints and support tickets and overall higher customer satisfaction and retention .

What are the steps in a root cause analysis template?

With the theory out of the way, let’s have a look at how to conduct root cause analysis, step by step.

1. Clearly define the problem statement

The first step in the process (and arguably the most crucial one) is to clearly and accurately define the problem .

This normally involves a detailed description of the problem: what is happening, where, and when.

When defining the problem statement, it’s important to:

  • Be specific.
  • Base it on observable facts rather than assumptions or speculations.
  • Keep it objective and free from biases or predetermined conclusions about the causes.

For example, instead of saying, ‘Retention is declining,’ a more specific problem statement would be, ‘Retention has decreased by 8% in the last quarter.’

A clear problem statement helps you maintain focus throughout the RCA process and ensures that it is aligned with the actual issue rather than perceived problems.

2. Assemble a team for problem-solving

After defining the problem statement, the next step in root cause analysis is to gather a team dedicated to solving the issue.

While the product manager holds the overall responsibility for RCA, you can’t do it alone. That’s because without the perspectives and expertise of team members from across the organization you may struggle to come up with diverse insights into potential causes and solutions.

Depending on the problem, you may seek input from data analysts , customer success managers , developers/engineers, or the sales and marketing teams.

For example, to deal with declining retention, the PM is mostly likely to involve customer success, customer support , and marketing at the very least.

3. Collect and analyze data to understand the problem’s nature and extent

The third step in root cause analysis involves collecting and analyzing the data related to the problem.

The insights gathered at this stage guide the further steps in the RCA process.

For example, when investigating the root cause of declining retention, customer data may reveal that a specific user segment is affected in particular, while funnel analysis may help you narrow down the scope of your investigation to a specific stage in the user journey.

Moreover, you may be able to gain initial insights into potential root causes.

For instance, you may spot the correlation between falling customer retention and lower usage of a particular feature, or retention analysis can reveal that the retention started dropping after an update release.

4. Develop hypotheses of the underlying causes

Once you have a clear understanding of the problem’s nature and extent from the collected data, the next step is to develop hypotheses about what the underlying causes might be.

For example, your hypothesis may be that ‘the retention drop was caused by sunsetting feature X.’

When formulating your hypothesis, consider both external and internal factors.

Check for external factors

External factors that could impact the problem include:

  • Market changes (new competitors, economic changes)
  • Regulatory changes (new laws and regulations)
  • Technological developments (new technologies making your product obsolete)
  • Geopolitical factors (social unrest, conflicts)

List down internal factors

Internal factors to consider include:

  • Changes in user behavior patterns
  • Shifts in customer preferences
  • New features, product updates , or changes to user flow
  • Changes in internal processes
  • Bugs and errors
  • Organizational changes

5. Investigate and validate the root cause hypotheses

After developing a list of potential root causes, both external and internal, the next step in root cause analysis is to investigate and validate these hypotheses.

This step involves a combination of further data analysis, experimentation , and logical deduction to confirm or refute each hypothesis.

For example, to identify the causes of friction that could lead to user churn , you may conduct path or heatmap analysis and watch session recordings. You can also run in-app surveys and conduct interviews to gather customer feedback.

To dig deeper into each hypothesis, use techniques like the ‘5 Whys’, which involves asking ‘why’ repeatedly until you get to the bottom of the problem, and record the findings in the fishbone diagram.

6. Brainstorm and prioritize the solutions with the greatest impact

Once the root causes of the problem have been validated, the next step in the RCA is to ideate and prioritize solutions that will effectively address these causes.

This phase is about generating a wide range of potential solutions, so this is the time when involving multiple team members with diverse perspectives and expertise pays off.

Apart from regular brainstorming sessions, consider using techniques like brainwriting, the Nominal Group Technique (NGT), Storyboarding, SCAMPER, or Six Thinking Hats.

Having generated a list of solutions, prioritize them.

To do so, use frameworks like ICE, RICE, or Value vs Effort, or create your own scoring matrix. The latter gives you the flexibility of using criteria relevant to your situation. For example, you may consider not only the impact of the solution but also its technical feasibility.

7. Implement the solutions

The final step is all about implementing the selected solutions.

It’s good practice to do it gradually and test their impact before rolling it out for all users.

For example, you can conduct beta tests to ensure that the new solutions aren’t plagued with any issues like technical glitches or missing elements.

In this way, you reduce considerably the risk of releasing solutions that cause even further damage.

Releasing the fix isn’t the end of work for you. To ensure that it solves the problem, monitor the key metrics regularly. For instance, if your goal was to increase user engagement and retention, has the number of monthly active users actually increased?

Iterate on the insights and tweak the solution as necessary.

Example of a root cause analysis

Here’s what root cause analysis could look like in practice.

  • The problem was identified as a 30% increase in customer churn rate over the past three months, primarily among small to medium-sized business clients.
  • A cross-functional team is formed, including members from customer support, sales, product development, data analysis , and a senior product manager.
  • The team members gather data on customer usage patterns, support ticket histories, churned customer feedback , and recent product updates. They analyze trends and look for correlations between churn rates and specific product features or customer segments.
  • They develop hypotheses of the underlying causes, including: – Recent software updates may have introduced bugs . – Changes in pricing strategy make the product less attractive to small businesses.
  • To investigate and validate the root cause hypotheses, the development team reviews recent updates and tests them for bugs, customer service logs are analyzed for patterns in complaints or queries, and sales data and customer feedback are reviewed to assess the impact of recent pricing changes.
  • The following solutions have been proposed: – If bugs are found, prioritize fixing them in the next update. – Consider a tiered pricing model that remains attractive to small businesses.
  • Once implemented, the team monitors the impact of these changes over the next quarter, tracking customer churn rate and feedback to ensure that the problem is effectively resolved.

Tips for carrying out root cause analysis accurately

To wrap it up, here are a few pro tips on how to improve the RCA process at your SaaS organization.

Document the RCA process

Proper documentation is vital for effective root cause analysis, especially in complex SaaS products. Documenting the RCA process helps you avoid going around in circles and build a knowledge base that can inform future decision-making and process improvements.

Use a template like the one from Smartsheet to record every step of the process. Include the rationale for each decision and keep the record up to date.

Make it a continuous activity

Rather than seeing RCA as a one-time exercise, integrate it into the standard operating procedures to enhance problem-solving capabilities.

Such a proactive approach will help you identify and deal with potential issues before they escalate.

To achieve this, train all your team members in basic RCA techniques, establish feedback loops, and schedule regular reviews. More importantly, promote a blame-free culture and foster a mindset of continuous improvement.

Choose the right tool stack

PMs in SaaS are lucky because every user interaction with a product happens in the digital space. This makes it easy to collect user behavior data that’s essential to conduct RCA.

And with modern code-free tools, like Userpilot , even non-technical team members can analyze user behavior and act on the insights.

Root cause analysis is an essential aspect of product management. By getting to the bottom of the problem, PMs can prevent recurring issues that are expensive to deal with and have detrimental effects on customer satisfaction and product performance.

If you want to learn more about Userpilot and how you can use it for root cause analysis, book the demo!

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Flying the extra mile - part 1: 9s methodology, introduction to 9s methodology.

There are a number of tools out there such as 5Whys and Fishbone Diagrams but the IAQG along with the aerospace community have devised a supporting standard to the AS91XX series of guidance documents to help organizations with the root cause and problem-solving process. It is called ARP9136 and although you cannot be certified to this standard (currently) it will support your management system controls. It would also help any organization whether you are certified or not or even have ISO 9001, there is nothing stopping you also implementing this standard. The guidance document was created to provide a methodology for performing root cause analysis to resolve a significant or recurrent issue (e.g., quality, On-time delivery (OTD), process, documentation), and has used some well-known tools such as 7 Steps, Root Cause Corrective Action (RCCA), 8D. ARP9136 is titled Root Cause Problem Solving (9S Methodology). It is called the 9S methodology for the simple fact that there are 9 process steps to take in order to complete an effective root cause and problem-solving process, similar to the theory behind 8D.

Process Steps

The process steps for the 9S methodology are:

Step 0  - start immediate containment actions

Step 1  - build the team

Step 2  - define the problem

Step 3  - complete and optimize containment actions

Step 4  - identify the root cause(s)

Step 5  - define and select permanent corrective actions

Step 6  - implement permanent corrective action and check the effectiveness

Step 7  - standardize and transfer the knowledge across business

Step 8  - recognize and close the team

Full implementation whenever an issue is identified may not be necessary as it can be time-consuming; it is designed to be used when the root cause is unknown or inconclusive and should be based on risk.  Under each of the process steps there are 9 elements that should be considered:

Objective(s) of the step

Output(s) of the step

What are the associated actions for this step

Why this step is necessary and the potential risk if no action is taken

When does the activity take place

Who are the principle process performances and applicable stakeholders

How to manage this process step so that it is effective, including providing some proposed tools to be used

Communication aspects to take into consideration

Specific items to be considered

Step 0: Immediate Containment

Immediate containment should not be a new concept to anyone but is sometimes misunderstood in its requirement. Some of the major aerospace manufacturers state that immediate containment should be performed every time no matter what. Others state that it should only be performed when there is risk of product escape or if there needs to be a recall. The “objective” part of this step states: “To mitigate the impact of the problem, to protect customer operations and the organization (i.e., stop the problem from getting worse), and verify that the situation does not deteriorate until the root cause and contributing causes are known.” I won’t go into all of the elements of this step but the objective makes it pretty clear to understand. You need to ensure that the problem is not going to get worse, some people will refer to this step as “putting a plaster on it”, “stop the bleeding”. You should remember to identify who internally and externally is impacted by this issue and inform those parties and in some cases the authorities might need to be contacted. Consider work in WIP or that has already been shipped, what is currently at suppliers etc. There are lots of good tips within the guidance document on how to deal with the immediate containment that goes through the 9 elements.

Step 1: Build the Team

Objective:  “To ensure that all process performers and applicable stakeholders and functions (e.g., organizations, department, suppliers, customers) that may have an influence on the corrective action process and associated investigation are on the team.” This step might get confused with step 0 where you identify who is impacted but it is separate, just because you identify a party as being impacted does not mean that you involve them as part of the corrective action team. Your team should represent different functions that may have an influence on the problem and are able and willing to assist in the associated investigation and problem-solving activities. This could involve your customer as they could have design authority over the product you have manufactured, you may need their input into whether the product should be recalled or if the issue is not detrimental to the functionality of the product itself. Other members of the team are likely to be the persons who are dealing with that product day to day and aren’t necessarily management. The people who are touching the product every day are likely to know it better than anyone else and can be very effective at identifying the fixes and solutions. Don’t assume that managers are the best personnel for the closure of issues. The guidance document itself has a great table that you can use to help identify the right people and they identify at least one person that meets each requirement:

Sees the problem

Suffers from the problem

In charge of solving the problem (problem owner)

Could help to solve the problem

Actor in the process; generates or contributes to the problem

Will help to select the solution

May be impacted or disturbed by the fixing of the problem

Step 2: Define Problem

Objective:  “To understand the significance, impact, and size of the problem (i.e., depth and breadth of current conditions) and ensure the situation (i.e., problem) is accurately defined and thoroughly understood by the team and applicable stakeholders.” You need to spend some time with this area to fully appreciate the situation and think wider than the issue itself as it can be impacted by a number of areas such as operations, different products, materials, defects, and malfunctions.  The tendency at this point is to identify the root cause but this should be avoided, you need to fully understand the problem before focusing on the whys and fixes. Take time to fully describe the current situation; how big is the problem, what is the impact (OTD, quality, cost, scrap, safety etc).

Step 3: Complete and Optimise Containment Actions

Objective:  “To ensure containment actions suitably address the problem statement and to verify that immediate corrective action is commensurate with the problem, implemented, and effective.” This should be the actions you take to stop the “bleeding” defined in Step 0. You should be checking that all nonconforming product or data has been isolated and corrected to prevent escape, and optimise immediate corrective actions to minimize impact on the customer, operation, and organization until the root cause of the problem is understood, permanent corrective action is taken, and their effectiveness is verified. It may be that the fix you done in step 0 is sufficient but you should use this step to verify that and not just assume that what you done in step 0 was actually effective in stopping the bleeding. Maybe you need another plaster (or band aid if you are from USA).

Step 4: Identify root cause(s)

Objective:  “To identify, through structured root cause analysis, the root cause for the undesirable condition, situation, nonconformity, or failure, including the reason it was not detected.” This step is where some of your traditional root cause analysis tools come into play such as Fishbone, 5 whys, cause and effect, FMEA, Fault Tree Analysis, Root cause chain and design of experiments. The tool of choice (or multiple tools) should be used to identify the root cause(s) of the problem, there is a risk that you jump to what appears obvious so ensure that you apply the tools fully as what may first seem like the root cause is, in fact, just part of it. You can also have multiple root causes, it doesn’t have to be just one root cause. Make sure this is done as a team, time and time again I see people try to do root cause on their own but you can only see one side of a coin at any one time. You need to involve other team members who can see the other side of the coin!

Step 5: Define and Select Permanent Corrective Actions

Objective:  “To define, prioritise, and select corrective actions that should be implemented to address the causes (root causes and contributing causes) and permanently prevent the undesirable condition, situation, nonconformity, or failure from recurring.” This part catches out a lot of people when identifying corrective actions. The key here is to make sure the permanent corrective action addresses the root cause. I see a lot of times that organizations will either identify great root cause and not the corrective action to fix that root cause or they do it the other way around, identify great corrective action which doesn’t have anything to do with the root cause. One of the steps is wrong if they do not match. The corrective action should always fix the root cause. To help with this concept, imagine having a gutter that is leaking in one area and water is pouring out, you wouldn’t replace the gutter on another part of the house! You need to ensure that the problem doesn’t reoccur when identifying your actions. 

Step 6: Implement Permanent Corrective Action and Check Effectiveness

Objective:  “To ensure all selected corrective actions are implemented (as defined), and to assess their effectiveness in preventing the undesirable condition from recurring and/or in detecting it sufficiently upstream in the process.” Time and time again this element is not done correctly, often rushed and never reviewed. Organizations assume that the fix they identified has been implemented and has indeed worked and never verify it. We often see corrective actions not actually implemented or only partially implemented. You need to follow things up to check they have been implemented as planned. The verification of effectiveness is also key. Many organizations will sign off their verification activity on the same day that the corrective action has been implemented. You cannot verify that it has been effective in addressing the issue until sometime in the future when the system has been tested again. Maybe this is the next time the product is manufactured? Never assume that what you said will solve the problem has indeed worked. A little tip, if you are getting trends in your non-conformances then the chances are the corrective actions you have implemented have not been effective, if they were effective then you wouldn’t have the same issue happen again.

Step 7: Standardize and Transfer knowledge across the business

Objective:  “To document analysis, results, and changes to capture and share learning with applicable stakeholders to prevent the similar undesirable conditions, situation, nonconformity, or failure occurring on other products, production lines, factories, or suppliers.” Why keep solutions to yourself? It does not help anyone if you do not think about other parts of the business or products which may also be impacted by the issue. Think about other parts of the business that could be impacted, you want to stop the same issue from occurring in other areas. Think of it like this. You may be painting a car and by the time the car gets to the end of the production line it’s started flaking, you go back to the painter and find out the paint is contaminated so quarantine the paint etc.  That same batch of paint might be used on another production line for another type of car, you should probably go and quarantine that paint also. Or maybe you have found a better way of painting the car which uses less paint or is quicker but you get the same quality. Why keep that secret to yourself, share the knowledge and then the other painting lines can implement the same technique.

Step 8: Recognize and Close the Team

Objective:  “To ensure all team members and stakeholders are aware of the successful implementation of all corrective action, to confirm that the activity is closed, and to recognize and reward their work and accomplishment.” This one should be self-explanatory. Too often action items are left open, diverting people from their primary roles. Furthermore, closed-loop corrective action is not achieved because there is no feedback or actions/results to applicable stakeholders and team efforts are not recognized, which negatively affects the dynamics of the RCCA culture. Lessons should be learned and shared, ensure the customer has been informed of the closure.

steps of root cause problem solving

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Step-by-Step Guide: Root Cause Analysis Example for Effective Problem Solving

When faced with a problem, it’s important to not just treat the symptoms but to identify and address the underlying root cause. This is where root cause analysis comes into play. Root cause analysis is a systematic approach used to determine the fundamental reason behind an issue or problem. In this article, we will provide a step-by-step guide on how to conduct a root cause analysis, using a real-life example to illustrate each step.

Step 1: Define the Problem

The first step in conducting a root cause analysis is to clearly define the problem you want to solve. It’s important to be specific and concise when defining the problem, as this will help focus your analysis efforts. For example, let’s say you work for a manufacturing company that has been experiencing an increase in product defects. The problem statement could be defined as “Increase in product defects leading to customer complaints and decreased sales.”

Step 2: Gather Data

Once you have defined the problem, it’s time to gather data related to the issue at hand. This can include customer feedback, production records, quality control reports, and any other relevant information. In our example of increased product defects, you might gather data on defect rates over time, customer complaints received, and any changes made in the production process during that period.

Step 3: Identify Possible Causes

With the data in hand, it’s time to identify potential causes of the problem. Brainstorming sessions and group discussions can be helpful during this step. In our example of increased product defects, possible causes could include faulty machinery or equipment, inadequate employee training, changes in raw materials or suppliers.

Step 4: Analyze and Determine Root Cause(s)

Once potential causes have been identified, it’s time to analyze them further and determine which one(s) are the root cause(s) of the problem. This can involve using tools such as the 5 Whys technique, which involves asking “why” multiple times to get to the underlying cause. In our example, if faulty machinery is identified as a potential cause, you would ask “why is the machinery faulty?” and continue asking “why” until you reach the root cause, such as lack of regular maintenance.

It’s important to note that there may be multiple root causes contributing to a problem. In our example, it’s possible that both faulty machinery and inadequate employee training are root causes of increased product defects.

Root cause analysis is a powerful tool for effective problem-solving. By following these four steps – defining the problem, gathering data, identifying possible causes, and analyzing and determining root cause(s) – you can uncover the underlying reasons behind an issue and implement targeted solutions. Remember that conducting a root cause analysis requires time and effort but can ultimately lead to long-term improvements in your business processes. So next time you encounter a problem, don’t just treat the symptoms; dig deeper with root cause analysis.

This text was generated using a large language model, and select text has been reviewed and moderated for purposes such as readability.

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    3. Collect and analyze data to understand the problem's nature and extent. The third step in root cause analysis involves collecting and analyzing the data related to the problem. The insights gathered at this stage guide the further steps in the RCA process. For example, when investigating the root cause of declining retention, customer data ...

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    Root cause problem-solving involves steps like defining the issue, gathering data, identifying potential causes, digging deep to find the root causes, developing solutions, implementing them, and ...

  20. What is 8D? Eight Disciplines Problem Solving Process

    The 8D problem solving model establishes a permanent corrective action based on statistical analysis of the problem and focuses on the origin of the problem by determining its root causes. Although it originally comprised eight stages, or disciplines, the eight disciplines system was later augmented by an initial planning stage.

  21. Flying the Extra Mile

    ARP9136 is titled Root Cause Problem Solving (9S Methodology). It is called the 9S methodology for the simple fact that there are 9 process steps to take in order to complete an effective root cause and problem-solving process, similar to the theory behind 8D. Process Steps. The process steps for the 9S methodology are:

  22. Step-by-Step Guide: Root Cause Analysis Example for Effective Problem

    Step 1: Define the Problem. The first step in conducting a root cause analysis is to clearly define the problem you want to solve. It's important to be specific and concise when defining the problem, as this will help focus your analysis efforts. For example, let's say you work for a manufacturing company that has been experiencing an ...

  23. Four Steps to Ensure Continuous Root Cause Problem Solving

    1 Define your problem 2 Analyze your problem 3 Solve your problem 4 Review your problem 5 Here's what else to consider Root cause problem solving is a powerful skill that can help...