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3 Root Cause Analysis Templates (and Examples)

Root Cause Analysis (RCA) is a powerful tool used by organizations and professionals to identify, understand, and address the core issues behind recurring problems. By analyzing and addressing the root cause of a problem, you can ensure that the issue will not repeat itself, enhancing your organization’s overall performance, safety, and efficiency. This article will give you an overview of root cause analysis templates and examples to help you adopt this approach for your own processes.

To launch a successful root cause analysis, you need to start by defining the problem clearly. This ensures that your team remains focused on addressing the correct underlying issue. Next, explore various strategies to identify the root cause of your problem. This may involve brainstorming, data analysis, or consultations with experts. Once the root causes have been identified, you can develop targeted solutions to eliminate them and prevent future occurrences.

Related: Root Cause Analysis (RCA) Methods for Effective Problem Solving

5 Whys: How to Uncover Root Causes [Examples]

Root Cause Analysis Template

Five Whys Technique

To apply the Five Whys Technique in root cause analysis, begin by stating the problem and then, ask “why” the problem occurred. Keep asking “why” until identifying the root cause. This method works best when working with simpler, specific problems. As an example, consider the following problem and its subsequent analysis:

  • Problem: Production is delayed.
  • Why? There’s a machine breakdown.
  • Why? The machine’s belt is damaged.
  • Why? The belt has worn out due to extended use.
  • Why? Maintenance and replacement schedules were not followed. (Root cause)

Learn more: 5 Whys: How to Uncover Root Causes [Examples]

Fishbone Diagram

A Fishbone Diagram, also known as an Ishikawa Diagram or Cause and Effect Diagram, is a visual tool used to identify and organize possible causes for a specific problem. To create a Fishbone Diagram, follow these steps:

  1. Write down the problem statement at the head of your diagram.
  2. Identify main categories of potential causes (e.g., people, processes, environment, equipment).
  3. Add these categories as “ribs” branching off the main “spine” of the fishbone.
  4. Brainstorm specific potential causes under each category.
  5. Analyze and prioritize the identified causes to determine the root cause(s).

As a simple example, suppose the problem is “late product deliveries.” Categories could include:

  • People: staff shortages, lack of training
  • Processes: inefficient processes, lack of communication
  • Environment: disruptions due to weather, shipping provider issues
  • Equipment: outdated equipment, vehicle breakdowns
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Learn more: Fishbone Diagram (Components, Factors, Examples) and Ishikawa Diagram: Examples and Applications

Pareto Analysis

Pareto Analysis is a decision-making tool that helps prioritize the most significant causes contributing to a problem. It’s based on the 80/20 rule, which states that about 80% of the effects come from 20% of the causes. To perform a Pareto Analysis:

  1. List all possible causes of the problem.
  2. Assign values (e.g., frequency, cost, or time) to each cause.
  3. Rank the causes in descending order based on the assigned values.
  4. Calculate the cumulative percentage for each cause.
  5. Create a Pareto chart with causes on the x-axis and assigned values on the y-axis, and draw a line representing the cumulative percentage.
  6. Identify the causes contributing to 80% of the problem (starting from the highest value) to address and fix the problem.

When using a Pareto Analysis in root cause analysis, focus on the top contributing causes to solve the most significant aspects of the problem. This technique is especially valuable when dealing with complex problems or when resources are limited.

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Root Cause Analysis Examples

  1. Example 1: Manufacturing Defects Problem Statement: The production line of a manufacturing company is experiencing a high number of defects in their products.

Root Cause Analysis:

  • The first step is to gather data and identify the problem. The data shows that the defects are occurring in a specific area of the production line.
  • The team then conducts a brainstorming session to identify possible causes of the problem. They identify that the machine used in that area may be malfunctioning.
  • The team then conducts further investigation and finds that the machine is not being maintained properly and is causing the defects.
  • The team then develops a plan to fix the machine and improve maintenance procedures to prevent similar issues in the future.

 

  1. Example 2: Employee Turnover Problem Statement: A company is experiencing high employee turnover rates.

Root Cause Analysis:

  • The first step is to gather data and identify the problem. The data shows that the highest turnover rates are in a specific department.
  • The team then conducts a survey to identify the reasons why employees are leaving. The survey results show that employees are leaving due to lack of growth opportunities and poor management.
  • The team then conducts further investigation and finds that the department has not had any promotions or job rotations in the past year, and the manager has received multiple complaints from employees.
  • The team then develops a plan to provide growth opportunities for employees and address the management issues to improve employee retention.
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  1. Example 3: Customer Complaints Problem Statement: A company is receiving an increasing number of customer complaints.

Root Cause Analysis:

  • The first step is to gather data and identify the problem. The data shows that the majority of complaints are related to a specific product.
  • The team then conducts a survey to identify the reasons for the complaints. The survey results show that customers are experiencing issues with the product’s durability and performance.
  • The team then conducts further investigation and finds that the product was recently redesigned to reduce costs, but the changes resulted in lower quality.
  • The team then develops a plan to improve the product’s quality and durability to address the customer complaints and prevent similar issues in the future.
  • The team also decides to conduct regular quality checks and involve customers in the product development process to ensure their needs are met.

These examples show how root cause analysis can be used to identify the underlying cause of a problem and develop a plan to address it. It involves gathering data, conducting investigations, and using problem-solving techniques to identify the root cause and develop solutions. By addressing the root cause of a problem, organizations can prevent similar issues from occurring in the future.

Guidelines for Effective Root Cause Analysis

Gathering Information

To perform a successful root cause analysis, begin by gathering information about the problem. Collect data from diverse sources, including employees, documents, and other relevant records. Organize this information systematically to gain a clear understanding of the issue at hand. Key steps in gathering information:

  • Identify the problem and clarify its scope
  • Gather data from relevant sources (e.g., documents, personnel, external experts)
  • Organize data systematically for easy analysis

Identifying Possible Causes

After gathering information, work to identify possible causes of the problem. This step requires examining the data closely and using analytical methods, such as brainstorming, fishbone diagrams, and flowcharts.

Consider multiple probable causes for the issue rather than focusing on a single explanation. These potential causes can be refined and ranked by probability and impact later in the analysis process. Some tips for identifying possible causes:

  • Use various analytical techniques (brainstorming, fishbone diagrams, flowcharts)
  • Consider multiple causes and don’t focus on one explanation
  • Keep an open mind and avoid jumping to conclusions
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Evaluating Data

Once the possible causes have been identified, the next step is to evaluate the data to pinpoint the root cause of the problem. Assess the impact and probability of each potential cause, then determine the most likely root cause(s).

Investigate the relationships between causes and the problem to understand the underlying mechanisms that need to be addressed. This step may require further data collection or revisiting previously gathered information. Key aspects of evaluating data:

  • Assess the impact and probability of each possible cause
  • Determine the most likely root cause(s)
  • Investigate relationships between causes and problem to understand underlying mechanisms

Benefits of Root Cause Analysis

Continuous Improvement

Root cause analysis (RCA) encourages continuous improvement in your organization by identifying the underlying causes of problems and implementing solutions. When you conduct RCA, you build a foundation for long-term improvement that goes beyond simple fixes.

Preventive Action

Another benefit of root cause analysis is its focus on preventive action. When you identify and address the root causes of problems, you can prevent similar issues from occurring in the future. This proactive approach helps your organization improve its performance and reduce the likelihood of encountering the same issues again. Not only does this save time and effort, but it also fosters a culture of problem-solving and accountability.

Cost Savings

Finally, root cause analysis can lead to significant cost savings for your organization. By identifying and resolving the root causes of problems, you can avoid the expenses associated with repeated failures, downtime, and operational inefficiencies. Moreover, a well-executed RCA provides valuable insights that inform better decision-making and resource allocation. As a result, your organization can operate more efficiently, ultimately cutting costs and improving its bottom line.

See also: Root Cause Analysis (RCA) Methods for Effective Problem Solving

5 Whys: How to Uncover Root Causes [Examples]

Fishbone Diagram (Components, Factors, Examples)

Ishikawa Diagram: Examples and Applications

What is Poka-Yoke? [Examples, Principles, Methods]