Root cause analysis (RCA) is a structured process to determine the underlying cause of problems or risks. It involves defining the problem, analyzing causes and effects, identifying solutions, and tracking effectiveness. RCA helps prevent recurrence by examining why risks happen and altering environments to minimize or eliminate causes. The key steps are: 1) defining the problem, 2) analyzing causal relationships through cause-and-effect charts, 3) evaluating and selecting solutions, and 4) designing metrics to track solutions and ensure prevention. While RCA is often reactive, it can also be proactively applied to hypothetical risks to help organizations learn and implement preventative measures.

1. S
ROOT CAUSE
ANALYSIS
Lydiah Otienoh
06/07/13

2. What is RCA
S An analytical technique used to determine the basic underlying
reason that causes a variance or a defect or a risk. (PMI, 2013)
S Structured process designed to help an organization define
problems that caused past events, understand their causes and
prevent recurrence. (Hughes, Hall and Rygaard, 2009)
S Examining the nature of why risks are happening (or may
happen) and what can be done to alter the environment to
minimize or eliminate the cause. (Pritchard, 2010)
S It helps identify what, how and why something happened thus
preventing recurrence. (Rooney, 2004)

3. What are root causes
S An initiating cause that gives rise to a causal chain which
may give rise to risks. (PMI, 2009)
S Rooney, J (2004) defines root causes as being;
S Specific underlying causes,
S Can reasonably be identified,
S Management has control to fix them, and
S Those for which effective recommendation for preventing
recurrence can be generated

4. Application of RCA
S Identifying risks
S Quantitative Risk Analysis
S Risk response planning

5. Steps involved in RCA
S 1. Define the problem
S 2. Define a causal understanding and analyze
cause/effect
S 3. Identify solutions –a) analyze solutions b) select the
best solutions
S 4. Design metrics and track effectiveness

6. 1. Define the problem
S This is the what statement, referred to as the primary
effect in an RCA
S Define the type and scope of risk that needs to be
mitigated
S Draft a formal statement that defines the problem, where
and when it occurred (including frequency), and its
significance

7. 2. Define a causal
understanding and analyze
cause/effect
S This is the why statement.
S Create a cause-and-effect chart to understand why a
problem happened and the evidence proving it.
S What are the causal relationships among all the
interdependent sets of action and conditional causes?
S What are all the risk agents and conditions under which the
risk agents could occur and cause an adverse outcome?
S Conduct a cause-and-effect analysis of the major cause
paths on the chart to identify common causes

8. 2. Cont.
Cause 1
Cause 2
Cause 3
Cause 4

9. 3. Identify solutions
S A) analyze solutions
S Evaluate the potential effectiveness of various solutions
relative to the cost of the problems and the solution’s
probability for success.
S Focus more on identifying the risk of specific individual
causes rather than generic categories of causes.
(Rooney, 2004)

10. Identify solutions
S B) select the best solutions
Select the best solutions using predetermined criteria for example
S buy-in from those responsible for implementing the new
solution,
S best value/return on investment/cost benefit,
S will it address multiple causes and common causes,
S how quickly can it be implemented to immediately reduce
vulnerability,
S is it long term and does it increase the certainly of preventing
recurrence. Etc.

11. 4. Design metrics and track
effectiveness
S Properly prescribed solutions must take shape in the
form of a specific action, accomplished by a specific
person(s), within a specific timeframe
S Each solution must be assigned a metric and a deadline
by which it will be tracked to ensure that it’s effective in
preventing the cause(s) it is acting on (Gano, 2007)
S Once the success of a solution is confirmed, it can be
ideally implemented where the same causes are creating
risk
S The more causes are controlled, the greater the
probability that problem recurrence is reduced

12. Pros & Cons of RCA
PROS CONS
It uncovers relationships between
causes and symptoms of problems
Why wait for an incident to perform
a root cause analysis?
Works to solve issues at the root
itself
You eliminate taking action on
possible causes
Provides tangible evidence of
cause and effect and solutions
Delays a response to the last
responsible moment when the
actual root cause of an effect is
identified.
A learning process to follow for
thorough understandings of
relationships

13. Conclusion
S Although RCAs are often considered reactive to an incident or
problem, they are actually proactively working to eliminate risk
and prevent the same problem from recurring. It can be
valuable to perform RCAs on hypothetical problems or
scenarios an organization is likely to encounter.
S When one company encounters a problem, others from within
the same industry and beyond can learn from it lessons that
include;
S what incidents to analyze, the circumstances that cause it to
happen, solutions to be proactively implemented to eliminate
those circumstances and avoid it.

14. References
S Gano, D.L. (2007). Apollo root cause analysis: A new way of thinking (3rd ed.)
Yakima, WA: Apollonian Publications
S Hughes, B., Hall, M., Rygaard, D. (2009). Using root-cause analysis to
improve risk management. Professional safety magazine by the American
Association of Safety Engineers
S Pritchard, C. (2010). Risk management: Concepts and guidance. Arlington,
VA: ESI International
S Project Management Institute (2013). A guide to the project management
body of knowledge. (5th Ed.). Newton Square, PA: Author.
S Project Management Institute (2009). Practice Standard for Project Risk
Management. Newton Square, PA: Author.
S Rooney, J., (2004). Root Cause Analysis for Beginners. Quality progress
magazine, vol. 37(7). The H.W. Wilson Company