What is Root Cause Analysis (RCA)?

Root Cause Definition

Root Cause Analysis (RCA) is a set of analyzing and problem solving techniques targeted at identifying
the actual root cause or the reason that caused the problem. The need for RCA stems from the fact
that the elimination of the symptoms of the problems is not alone sufficient to address the problem, it
has to be addressed at the cause level. If you solve a problem at this root level, it is highly probable
that you can prevent its recurrence.
A root cause is just what it sounds like: the "root" of the problem.
Here is an example:
A tennis court looks sloppy because weeds are growing in the cracks.

Cutting the weeds only eliminates the symptom as it may grow back.

Killing/removing the root will eliminate the problem.

If there are more than one root causes discovered after analysis, all the causes have to be addressed
at sufficiently satisfactory level for the success of the RCA. A root cause analysis is considered
successful when the problem does not recur again.

Filling the crack will prevent the problem from reoccuring.

RCA is mainly a reactive type of action where the corrective action and the analysis takes place after
the happening of the event or problem.
The most common approach to solve problems for us is to rush and find an immediate action to solve
the problem. This approach will not help in the long run. Here we are not taking any steps to
understand the reason why it occurred. We are not taking any steps to prevent it from occurring
again. A better approach would be to think beyond the obvious and find an effective way to eliminate
the root cause that led to this problem.

A critical requirement of ISO 9001 is corrective & preventive action (Sec. 8.5.2-3), and we are often
asked the difference. Here is a quick evaluation and example to help you:
ISO 9000:2005 Sec. 3.6 defines them as follows:

Correction - Action to eliminate a detected nonconformity

Corrective action - Action to eliminate the cause of a detected nonconformity

Preventive action - Action to eliminate the casue of a potential nonconformity

To expand on these definitions a bit

1.

Correction: When a problem occurs, you need to keep several aspects in mind.

Determine the magnitude of the problem.

Determine how to prevent it from getting bigger.

How to address current situation.

You could call this Damage Control. Although this correction takes steps to correct the problem it
has no bearing on cause.
2.

Corrective Action: Now determine if the importance of the situation requires further action:

Was it a big deal?

Whats the chance it will happen again?

Estimate of any future threat

The causes need to be looked into to prevent recurrence if it was a big deal.
3.

Preventive Action: First you need to assess the risk and mitigate it based upon severity. The
following tools are helpful: Source: Carnegie Mellon University

Checklists

FMEA - Failure mode & effects analysis

Hazard and operability analysis (HAZOP)

Fault tree analysis (FTA)

Difference between:

Correction & Corrective Action

o

HIGH risk/impact/frequency

Correction fixes the CURRENT set of issues

Corrective action prevents it from happening again by looking at causes

LOW risk/impact actions are similar since likelihood of reoccurrence is low

Corrective & Preventive Action - the damage is already done in corrective action

Simple Example to demonstrate the differences

A customer orders 500 parts, but only 450 are delivered.

Correction Fix the current issue

Corrective Action Why were we short?

o

get the customer 50 more parts

Operator miscounted 9 boxes of 50 as 10 boxes of 50

Preventive Action make sure it doesnt happen again

o

Weigh products on scale so you know if quantity is met

ISO 9001 requires the organization to have a documented procedure for corrective an preventive
action.
Note: The combination of corrective action and preventive action documented procedures into a single
QMS document is acceptable, but is not recommended. If these are combined, then it is important to
verify that the organization understands clearly the difference between the intent of corrective and
preventive actions.