Root Cause Analysis (RCA): Basic principles, benefits, and steps

Introduction

In industries and other disciplines, where equipment availability and operational reliability are key premises, the search for effective solutions is based on the use of proven methodologies. Root Cause Analysis (RCA) is one of these tools, used to face complex challenges, linking problems and solutions in an effective way.

This article focuses on the principles, benefits, and steps of this methodology, providing knowledge for the analysis and resolution of problems within your organization and thus contributing to the prevention of recurring failures, process availability and continuous improvement.

What is root cause analysis (RCA) and how does it work?

Root Cause Analysis (RCA) is a logical, methodical, and orderly approach used to identify the root causes of problems or failures in processes, products or services. This diagnostic methodology, which focuses on eliminating the causes and not the symptoms of a problem, aims at proposing solutions to avoid the recurrence of events.

The causal analysis process involves collecting data about an event or problem and using various analysis tools to identify the causes. An event is defined as an occurrence that causes a negative effect, such as a process failure, product defect, or customer dissatisfaction. This can be the basis for initiating a causal analysis.

To conduct the RCA analysis, it is crucial to collect evidence that supports the existence of the problem and helps to understand its context. This evidence may include records, incident reports and testimonies of the personnel involved. From this evidence, hypotheses are formulated to explain the possible causes of the event. These hypotheses are assumptions that should be tested throughout the RCA process.

By applying tools such as the Ishikawa Diagram, the “5 Whys” and the Failure Mode and Effects Analysis (FMEA), Cause and Effect Diagram, organizations can break down a complex problem into more manageable parts and gain valuable information to help them implement effective solutions (Castro, et al., 2023).

What are the basic principles of root cause analysis?

Problem decomposition with a general to specific approach

By breaking the problem down into more manageable components, the team can trace a logical path from surface causes to root causes, ensuring that no relevant factor is left unanalyzed during problem analysis.

Focus on causes, not symptoms

RCA is based on the premise that the symptoms of a problem are only the visible manifestation, while the underlying causes are what really need to be addressed. Identifying and eliminating these causes helps prevent recurrence of the problem.

Objective data collection

The basis of causal analysis lies in the collection of quantifiable and verifiable data. This may include records, reports, and testimonials, which help to understand the context of the problem. Without objective data, it is difficult to identify causes accurately.

Structured methods usage

Structured methods are used to guide the problem analysis process to ensure a comprehensive analysis. Tools such as the Cause and Effect Diagram, the “5 Whys”, among others, make it possible to break down complex problems and visualize the relationships between different causal factors.

Intermediate causes identification

During causal analysis, it is common to identify intermediate causes that contribute to the problem but are not root causes. Intermediate causes can be direct influences that, if resolved, can mitigate the problem, even if they do not eliminate it entirely.

Multidisciplinary approach

The participation of teams from different disciplines in the RCA enriches the analysis by providing diverse perspectives. This collaboration is essential to identify causes that might go unnoticed in an isolated analysis.

Senior management commitment

Top management support is critical to the success of the RCA. This commitment provides the necessary resources and motivation to implement changes based on the findings of the analysis.

Final result assurance

Validation allows unfounded conjectures to be ruled out and ensures that only the causes truly linked to the event are addressed. This avoids the implementation of ineffective or misdirected solutions, which reinforces the effectiveness of corrective actions and prevents the recurrence of the problem. Complement the information by visiting the following video.

How is a step-by-step root cause analysis carried out?

Conducting a Root Cause Analysis (RCA) involves following a series of structured steps that guide teams in identifying and resolving problems. According to Garcia (2006), RCA employs a deductive approach that allows determining up to three levels of root causes for a specific event.

A common approach is presented below:

Problem definition

The first step is to identify, define, and document the specific problem being analyzed. This includes delineating the scope and nature of the problem (Castro et al., 2023). To ensure that all team members have a clear and common understanding, it is advisable to organize an initial meeting where the problem situation is discussed in detail.

A useful tool at this stage is the use of a problem statement format, which should include the “what,” “where,” “when,” and “who,” thus ensuring that all participants share the same view of the problem.

Formation of a work team

An important premise for carrying out the causal analysis is that a multidisciplinary work team must be formed to manage the respective analysis. The analysis can be guided by a facilitator/consultant. Ideally, all areas involved should participate.

Data collection

The collection of relevant data is fundamental to the analysis, which can include historical records, performance reports, and interviews with the personnel involved, helping to identify both chronic and sporadic failures. During this process, the use of tools such as the Pareto Diagram can be very effective in identifying the most problematic areas and prioritizing efforts. In addition, surveys can provide valuable qualitative information to complement quantitative data.

Identification of potential causes

In this phase, tools such as the Ishikawa Diagram (or Fishbone Diagram), Cause and Effect Diagram, and the 5 Whys technique are used to identify and list the possible causes of the problem. Fostering a collaborative environment where all participants can contribute is key. In addition, constructing a logical cause-effect tree, as suggested by Prada (2013), helps to identify important findings and provides a clear graphical representation of the causes. It is important to prioritize the causes, from the general to the particular.

Cause analysis

Once the potential causes have been identified, they need to be evaluated and validated using the data collected to determine the true root causes of the problem. At this stage, the team must be guided by logical thinking and apply tools such as Failure Mode and Effects Analysis (FMEA) to quantify the impact of each cause and formulate hypotheses that can be validated. This ensures that the physical causes, human error, and organizational causes that led to the problem are identified.

Solution development

With root causes confirmed, the team should generate and evaluate possible solutions. The solutions should be directly focused on the root causes, identified and validated. For this process, an effective technique is brainstorming followed by a prioritization matrix, which allows the proposed solutions to be evaluated based on their cost, ease of implementation, and expected effectiveness. This prioritization helps determine which actions should be implemented first to effectively solve the problem.

Implement the selected solutions and assign responsibilities to ensure their application

It is important to document the entire process for future reference and lessons learned. Corrective action implementation is the next step, where an action plan is developed that assigns specific responsibilities to team members. At this point, using a Gantt chart can be very helpful in scheduling and tracking the progress of corrective actions, ensuring that all tasks are completed in a timely manner and with clear accountability.

Monitoring and evaluation

After implementing solutions, follow-up should be performed to evaluate their effectiveness and ensure that the problem does not recur. This monitoring is key to continuous improvement and to adjust solutions as needed. Follow-up meetings and the use of KPIs allow the effectiveness of solutions to be measured over time. Metrics such as the number of recurring incidents or customer satisfaction can provide valuable information on the impact of actions taken.

Benefits of Root Cause Analysis for continuous improvement

Using the RCA tool, organizations can prevent the recurrence of problems by identifying and correcting their underlying causes. Each industry presents unique challenges, where repeated errors can have serious consequences, including significant financial loss or even loss of life. Addressing root causes not only improves operational efficiency but also enhances safety and reduces the risks associated with recurring failures.

In addition to the above, by establishing an RCA process, organizations promote continuous improvement, while internalizing a culture of quality, allowing them to learn from mistakes and strengthen processes. This aligns with quality principles such as those established in ISO 9001:2015. In turn, the practice of questioning with the use of the 5 Whys contributes to internalize critical thinking and learning in the organizational culture, which are determining factors in continuous improvement.

Solving root cause problems not only improves product or service quality but also impacts the process and in turn increases customer satisfaction, which can translate into loyalty and positive recommendations. Consequently, eliminating recurring problems leads to increased operational efficiency, reduced costs, which contributes to long-term profitability and the achievement of operational reliability.

Conclusions

Root Cause Analysis (RCA) is a fundamental tool that, although applicable in various disciplines, has had a decisive impact in the field of maintenance, contributing significantly to operational reliability.

Organizations that want to solve problems efficiently and foster a culture of continuous improvement can benefit greatly from its implementation. By following the principles and steps of RCA, it is not only possible to eliminate recurring problems but also to establish proactive and lasting strategies.

With the support of senior management and the collaboration of multidisciplinary teams, RCA has the power to transform the way organizations address their challenges, thereby improving their overall performance and ensuring safer and more efficient operations.

References

1. Gestartec. (2024). El proceso del análisis de causa raíz aplicado al mantenimiento. Retrieved from [Gestartec](https://gestartec.com.ar/2024/05/17/el-proceso-del-analisis-de-causa-raiz-aplicado-al-mantenimiento/)
2. Castro, R; Herrera, N.; Quezada, L; Sánchez, K; Silva; C. (2023). Aplicación de las herramientas de la industria 4.0 para mejorar los procesos de Análisis Causa Raíz (RCA) y el Mantenimiento Centrado en Confiablidad (RCM).
3. García, Oliveiro (2006). El análisis causa raíz, estrategia de Confiabilidad operacional. https://repositorio.uptc.edu.co/bitstream/handle/001/1275/RED-54.pdf?sequence=1&isAllowed=y
4. Prada, R. (2013). El mantenimiento en los procesos industriales y la causa raíz de los problemas. Revista ONTARE. Revista de la Facultad de Ingeniería, Universidad EAN. Pág 63 a 79.
5. Gestartec (2024). https://gestartec.com.ar/2024/05/17/el-proceso-del-analisis-de-causa-raiz-aplicado-al-mantenimiento/