How to Conduct a Root Cause Analysis for Effective Problem-Solving

Written by Coursera Staff • Updated on

Explore root cause analysis, including when and how to conduct a root cause analysis and how to use the information you gather to prevent recurring issues.

[Feature Image] After learning how to conduct a root cause analysis, two colleagues review the results on their laptops as they devise a strategy to solve a business problem.

Key takeaways

Root cause analysis provides a thorough examination of an issue to identify the underlying contributing factors and develop effective solutions. Here are some important facts to know:

  • Root cause analysis encourages continuous improvement and helps prevent recurring problems by addressing the underlying issue.

  • Several people, including subject matter experts, those with firsthand experience of the problem, and data analysts, contribute to root cause analysis.

  • You can gain valuable skills in problem-solving and data analytics to perform a root cause analysis and enhance your organization's problem-solving capabilities.

Learn more about how performing root cause analysis can help you get to the bottom of the problem you’re dealing with and stop it from continuing. If you want to pursue a career in data analysis, which allows you to play an important role in finding the causes and identifying an optimal solution, consider building your skills with the IBM Data Analysis and Visualization Specialization. During this four-course series, you can learn to use tools to analyze data, as well as create visualizations to communicate the results of your analysis effectively.

Getting to the root cause: What is root cause analysis?

Root cause analysis, or RCA, is a process focusing on identifying a problem’s core (root) causes. By doing so, the results empower you to implement a solution that addresses those underlying issues, effectively preventing recurrences and contributing to continuous improvement. The reasons for conducting a root cause analysis can vary, as can the methods you use, with several options available depending on the unique circumstances of the situation. However, the end goal remains the same: identify the root issue and prevent it from happening again. 

When to conduct a root cause analysis

The correct time to conduct a root cause analysis is when you notice a recurring trend of issues or following a major incident. The contributing factors leading up to the need for root cause analysis are generally attributable to an organizational issue, such as failing to follow policies; human errors, such as someone failing to complete their job duties; or a physical error, like a breakdown in technology infrastructure. When one of these three problems occurs, whether it's a repetitive minor incident or a much larger one, it’s a good time to perform root cause analysis. 

What are the five steps of a root cause analysis?

While you won’t find a one-size-fits-all approach for conducting a root cause analysis, you can consider following five general steps, which include: identifying the problem, gathering information, identifying causal factors, determining the root cause, and creating solutions.

Who usually conducts root cause analysis?

To ensure a wide range of knowledge and skills, a diverse team conducts root cause analysis. This team should consist of a designated leader or facilitator who puts the team together and takes a leadership role as you work through the process. It’s also important to have people who work closely with the problem on the team. Having team members with knowledge and experience of the issue you’re working to address helps provide crucial insight. Additionally, a root cause analysis team needs a data analyst to collect and analyze data, identify the factors contributing to the problem, as well as measure the effectiveness of the implemented solutions. 

How to conduct a root cause analysis investigation

Regardless of the type of root cause analysis you perform, the guiding principles for conducting an analysis remain the same: define the problem, identify the root cause and other contributing causes, then establish and implement a plan to solve the problem. To accomplish this, you can choose an approach, such as a fishbone diagram, diagnostic tree, or circle map, among others, that works for your situation. Examine some of the key steps to take when conducting a root cause analysis in more detail:

  • Identify the problem: Begin your root cause analysis by clearly defining the problem. When identifying the problem, you can gain a deeper understanding of the issue by collecting information such as the repercussions of the situation and the frequency of its occurrence.

  • Gather information: To perform root cause analysis, collect as much relevant data as possible. You might collect data through surveys and interviews, for example, where you can gather information about the duration of the problem, who it affects, and the challenges it creates.

  • Identify causal factors: When identifying potential causal factors, RCA team members can get creative and brainstorm potential causes to explore. While it may be tempting to jump straight to identifying the root cause, it’s important to consider all possible factors and examine the possibility of each.

  • Determine the root cause: After establishing the causal factors, you can proceed with your analysis and begin to determine the full impact each causal factor has on the problem. Organize the causal factors by the extent of their effect to isolate the ones with the greatest potential to be the root cause. Once you identify these high-likelihood factors, you can further analyze each and work with your team members to decide which is the root cause.

  • Create solutions: With a root cause identified, it’s time to develop potential solutions and implement them. When devising a solution, it’s essential to communicate with those the solution directly affects to gather any additional details that will help ensure your plan is set up for success.

Read more: What is Data-Driven Decision-Making (DDDM)?

What skills are needed for RCA?

Valuable skills for root cause analysis include both technical skills, such as data analysis, so that you can find trends within the data, as well as workplace skills like teamwork, communication, and creativity, which will help you work with other members of your team to come up with an innovative plan.

Common mistakes to avoid when identifying root causes

During root cause analysis, you can sometimes make easily avoidable mistakes, such as confirmation bias, where you become overly focused on proving a specific hypothesis, and you ignore other possibilities. To prevent this, do your best to evaluate each potential cause equally and avoid making any assumptions. Taking a systemic approach to your root cause analysis can help you do this. 

Another mistake to avoid is not having people on your RCA team with the necessary knowledge. Without involving team members who have experience and expertise directly relating to the problem you are trying to solve, you could miss out on key context. 

How to prevent recurrence

You can prevent recurrence by correctly identifying the root cause and implementing the appropriate solution, while continuously monitoring the results. The ultimate goal of root cause analysis is to resolve the problem permanently, preventing any recurrence. Monitoring the results of the root cause analysis and the effectiveness of your implemented solution helps you ensure the problem is actually being solved, rather than assuming it’s working. If you find that your solution isn’t producing the results you’re looking for, continue making adjustments and monitoring the outcome.

Root cause analysis tools 

You have a variety of available methods and tools for performing root cause analysis, including circle maps, affinity diagrams, causal factor charting, and force field analysis. Two common approaches to RCA are Pareto charts and the 5 Whys. Get to know these two popular root cause analysis tools:

  • Pareto chart: A Pareto diagram uses a bar chart to illustrate the level of significance of various causal factors, with the largest bars on the left-hand side of the chart, decreasing in size to the right to highlight the more significant data.

  • 5 Whys: The 5 Whys approach encourages you to ask continuous questions to avoid making assumptions. For example, if the potential causal factor was low sales, you could ask “why are sales low?” and if the answer to that question is that market demand is down, you would then ask “why is market demand down?”, continuing this pattern of questioning for each answer to find a root cause.

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