Root Cause Analysis


Root Cause Analysis - short version


Root Cause Analysis - long version


The practice of RCA is predicated on the belief that problems are best solved by attempting to address, correct or eliminate root causes, as opposed to merely addressing the immediately obvious symptoms. By directing corrective measures at root causes, it is more probable that problem recurrence will be prevented. However, it is recognized that complete prevention of recurrence by one corrective action is not always possible. Conversely, there may be several effective measures (methods) that address the root causes of a problem. Thus, RCA is often considered to be an iterative process, and is frequently viewed as a tool of continuous improvement.

RCA is typically used as a reactive method of identifying event(s) causes, revealing problems and solving them. Analysis is done after an event has occurred. Insights in RCA may make it useful as a pro-active method. In that event, RCA can be used to forecast or predict probable events even before they occur. While one follows the other, RCA is a completely separate process to Incident Management.

Root cause analysis is not a single, sharply defined methodology; there are many different tools, processes, and philosophies for performing RCA analysis. However, several very-broadly defined approaches or "schools" can be identified by their basic approach or field of origin: safety-based, production-based, process-based, failure-based, and systems-based.

* Safety-based RCA descends from the fields of accident analysis and occupational safety and health.

* Production-based RCA has its origins in the field of quality control for industrial manufacturing.

* Process-based RCA is basically a follow-on to production-based RCA, but with a scope that has been expanded to include business processes.

* Failure-based RCA is rooted in the practice of failure analysis as employed in engineering and maintenance.

* Systems-based RCA has emerged as an amalgamation of the preceding schools, along with ideas taken from fields such as change management, risk management, and systems analysis.

Despite the different approaches among the various schools of root cause analysis, there are some common principles. It is also possible to define several general processes for performing RCA.

General principles of root cause analysis








8. RCA is a threat to many cultures and environments. Threats to cultures often meet with resistance. There may be other forms of management support required to achieve RCA effectiveness and success. For example, a "non-punitory" policy towards problem identifiers may be required.

General process for performing and documenting an RCA-based Corrective Action





4. Classify causes into causal factors that relate to an event in the sequence, and root causes, that if applied can be agreed to have interrupted that step of the sequence chain.

5. If there are multiple root causes, which is often the case, reveal those clearly for later optimum selection. identify all other harmful factors that have equal or better claim to be called "root causes."


7. Identify solutions that effective, prevent recurrence with reasonable certainty with consensus agreement of the group, are within your control, meet your goals and objectives and do not cause introduce other new, unforeseen problems.

8. Implement the recommended root cause correction(s).

9. Ensure effectiveness by observing the implemented recommendation solutions.




