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Root Cause Analysis Principles

Root Cause Analysis principals will discuss about the concept, general principals, tools and techniques, and the process of RCA.


Root Cause Analysis Definition

Root cause analysis is a problem solving methodology focused on the identification of the root causes of problems. The logic behind the RCA is correcting or completely removing root causes, rather than addressing the surface symptom is the best way to solve the problems. Conducting corrective calculations at root causes minimize the possibilities of problem recurrence.

General Principles of Root Cause Analysis

  • The primary goal of RCA is to determine the factors that resulted in the nature, the magnitude, the location, and the timing of the harmful outcomes of one or more previous incidents. This is to determine which behaviors, actions, in-actions, or conditions must be changed to inhibit happening similar harmful outcomes again
  • The purpose of considering all possible solutions to a problem is to inhibit recurrence at the lowest cost and in the simplest way. Thus, always the the simplest or lowest cost approach is preferred
  • Concentrating on performance improvement evaluations at root causes is more effective than only removing the symptoms of a problem
  • A successful RCA is performed systematically, with conclusions and causes supported by real evidence
  • Usually, there is more than one root cause for any problem
  • All known causal relationships between the root cause(s) and the defined problem must be defined
  • Root causes determined vary with the way in which the problem or event is defined
  • To be efficient, the analysis should set a chain of events or timeline to comprehend the relationships between contributory (causal) factors, root cause(s) and the defined problem or event to prevent in the future
  • Root cause analysis can transform a reactive culture into a proactive culture that solves problems before they occur or escalate
  • RCA is not welcome to the cultures and environments resistant to change.

Root Cause Analysis Simple Process

  • Defining the problem
  • Gathering data
  • Determining the causal relationships relevant to the targeted problem
  • Recognizing the causes removal of which will prevent recurrence
  • Determining effective solutions that inhibit recurrence
  • Implementing the recommendations
  • Monitoring the recommended solutions to ensure effectiveness

Root Cause Analysis Techniques

  • 5Whys
  • FMEA
  • 8D
  • Pareto analysis
  • FTA
  • Bayesian inference
  • Ishikawa (fishbone) diagram
  • Cause Mapping
  • Barrier analysis
  • Change analysis
  • Causal factor tree analysis
  • ARCA; Apollo Root Cause Analysis

Essential Components Of Root Cause Analysis

  • Materials
  • Defective raw material
  • Wrong type for job
  • Lack of raw material
  • Machine/Equipment
  • Incorrect tool selection
  • Poor maintenance or design
  • Poor equipment or tool placement
  • Defective equipment or tool
  • Environment
  • Orderly workplace
  • Job design or layout of work
  • Surfaces poorly maintained
  • Physical demands of the ta7sk
  • Forces of nature
  • Management
  • No or poor management involvement
  • Inattention to task
  • Task hazards not guarded properly
  • Stress demands
  • Methods
  • No or poor procedures
  • Practices are not the same as written procedures
  • Poor communication
  • Management system
  • Training or education lacking
  • Poor employee involvement
  • Poor recognition of hazard
  • Previously identified hazards were not eliminated

TONEX Training Courses Features

  • All the courses are delivered in a fun and dynamic way, in the form of interactive presentations
  • Each course contains group activities, practical exercises, labs, and hands-on workshops
  • Participants will solve problems from real-world examples or the cases they bring in the class
  • In order to see which training course fits your needs, check out all the TONEX training courses about reliability engineering HERE


  • Quality managers/supervisors
  • Production managers
  • Operations managers
  • Product development managers
  • IT managers/supervisors
  • Business owners
  • Regional managers
  • Lab managers
  • Healthcare managers
  • Project managers
  • LEAN supervisors
  • Maintenance supervisors
  • Safety representatives
  • Administrators
  • Human resource managers
  • Supply chain managers
  • Logistics managers/supervisors
  • Healthcare managers
  • Quality scientists
  • Medical, microbiology, chemistry, and genetics lab managers
  • Hospital personnel
  • Marketing and sales people
  • Quality, safety, risk, and reliability engineers
  • Process engineers
  • Operations engineers
  • Project engineers
  • LEAN engineers
  • 6 Sigma engineers
  • Designer engineers
  • IT engineers

Learn About:

  • Problem solving tools
  • Identifying all the potential causes
  • 5Whys
  • FMEA
  • Pareto analysis
  • FTA
  • Bayesian inference
  • Ishikawa (fishbone) diagram
  • Cause Mapping
  • Barrier analysis
  • Change analysis
  • Causal factor tree analysis
  • ARCA; Apollo Root Cause Analysis
  • TapRooT
  • Data gathering tools
  • Analyzing the collected data
  • Human factors
  • Root cause elimination
  • Using data
  • Statistical hypothesis
  • Developing corrective and preventive actions

Root Cause Analysis Principles

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