Learn the best practices for conducting a root cause analysis, a valuable tool for quality management that helps to prevent recurrence and improve performance.

A successful root cause analysis focus first on the system flaws that potentially allowed the error to happens, instead of the human that made the error. It uses the 5-Whys to dig deep into why the error occurred. A successful analysis also engages multiple stakeholders as well as those who are not close to the problem, in order to get an objective, unbiased viewpoint.

I would spend less time looking for a "root" cause and more on the cultural environment we created to enable the problem. In Richard Cooks seminal piece on "How Complex Systems Fail" he states: "Post-accident attribution accident to a ‘root cause’ is fundamentally wrong. Because overt failure requires multiple faults, there is no isolated ‘cause’ of an accident. There are multiple contributors to accidents. Each of these is necessary insufficient in itself to create an accident. Only jointly are these causes sufficient to create an accident." Looking for "root" causes IME also speeds the plough to a blame culture, particularly when it comes to software testing...

What are the best practices for conducting a root cause analysis?

A root cause analysis (RCA) is a systematic process of identifying and solving the underlying factors that contribute to a problem or an incident. It is a valuable tool for quality management, as it helps to prevent recurrence, improve performance, and enhance customer satisfaction. However, conducting a RCA can be challenging, especially if the problem is complex, involves multiple stakeholders, or has unclear causes and effects. To help you conduct a RCA effectively, here are some of the best practices that you should follow.

1 Define the problem

Before you start digging into the root causes, you need to have a clear and specific definition of the problem that you are trying to solve. A vague or broad problem statement can lead to confusion, wasted time, and irrelevant solutions. To define the problem, you should describe what happened, when and where it happened, who was involved, and what was the impact. You should also gather relevant data and evidence to support your problem statement and quantify the severity of the issue.

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2 Identify the causes

Once you have defined the problem, you can start to identify the possible causes that led to it. There are many methods and tools that you can use to facilitate this step, such as brainstorming, fishbone diagram, 5 whys, fault tree analysis, and cause and effect matrix. The choice of method depends on the nature and scope of the problem, as well as the availability of data and resources. The goal is to generate as many potential causes as possible, and then narrow them down to the most likely and significant ones.

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Keith Klain

Quality Engineering | Risk Management | Process Improvement | MCMI ChMC
(edited)
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I would spend less time looking for a "root" cause and more on the cultural environment we created to enable the problem. In Richard Cooks seminal piece on "How Complex Systems Fail" he states: "Post-accident attribution accident to a ‘root cause’ is fundamentally wrong. Because overt failure requires multiple faults, there is no isolated ‘cause’ of an accident. There are multiple contributors to accidents. Each of these is necessary insufficient in itself to create an accident. Only jointly are these causes sufficient to create an accident." Looking for "root" causes IME also speeds the plough to a blame culture, particularly when it comes to software testing...

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Vikas Pandey , CMRP

Senior Engineer at Sohar aluminium
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One thing which is very important before moving forward for the causes is casual factor identification. in many problems a casual factor such as human error or wrong operation can easily be spotted. this will prevent the time and resources to further drill down on the cause analysis.

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3 Validate the causes

After you have identified the potential causes, you need to validate them with facts and evidence. This step is crucial to ensure that you are not basing your analysis on assumptions, opinions, or biases. You should collect and analyze data from various sources, such as records, reports, interviews, observations, and tests. You should also use appropriate tools and techniques, such as statistical analysis, hypothesis testing, correlation analysis, and root cause verification matrix. The aim is to confirm or reject the causes based on objective criteria and logic.

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Matthew Drew

Engineering Process and Performance Manager
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For problem solving in most industries, understanding that a single root cause is reductive is fundamental. There are always multiple inputs. I'd factor in human factors assessments into any problem solving strategy to enhance corporate learning. Removal of blame fosters greater transparency and ownership.

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4 Find the solutions

The next step is to find the solutions that can address the root causes and prevent the problem from recurring. You should consider different options and evaluate them based on their feasibility, effectiveness, cost, and impact. You should also involve relevant stakeholders and solicit their feedback and input. Some of the tools and methods that you can use to generate and select solutions are brainstorming, nominal group technique, multi-voting, decision matrix, and cost-benefit analysis. The outcome is a list of prioritized and actionable solutions that can be implemented.

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5 Implement the solutions

The final step is to implement the solutions that you have chosen and monitor their results. You should develop a detailed action plan that specifies the tasks, responsibilities, resources, timelines, and measures for each solution. You should also communicate the plan to all the stakeholders and ensure their commitment and support. Moreover, you should track the progress and performance of the solutions and compare them with the baseline data and the expected outcomes. You should also document the results and lessons learned and share them with the relevant parties.

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6 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Brandy Wilkins

Fierce Advocate for Safe Healthcare | Podcast Hostess | Clinical Quality Leader & Advisor | I chat about life, health, career transitions, and Christ. 💖
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A successful root cause analysis focus first on the system flaws that potentially allowed the error to happens, instead of the human that made the error. It uses the 5-Whys to dig deep into why the error occurred. A successful analysis also engages multiple stakeholders as well as those who are not close to the problem, in order to get an objective, unbiased viewpoint.

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What are the best practices for conducting a root cause analysis?

1

2

3

4

5

6

1 Define the problem

2 Identify the causes

3 Validate the causes

4 Find the solutions

5 Implement the solutions

6 Here’s what else to consider

Quality Management

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What are the best practices for conducting a root cause analysis?

1

2

3

4

5

6

1 Define the problem

2 Identify the causes

3 Validate the causes

4 Find the solutions

5 Implement the solutions

6 Here’s what else to consider

Quality Management

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