Root cause analysis template: Free download + steps

People often say, "Let's get to the root of the problem" when searching for solutions. You can picture this as tree roots growing underground. While you can't see the roots, their effects are clear above the surface.

You may not initially understand why some problems occur, which is why understanding the root cause is so important. Conducting an RCA using tools such as the fishbone diagram and the five whys method can clarify complex issues, leading to effective and sustainable solutions. In this piece, we'll discuss how to perform a root cause analysis and provide problem-solving strategies for process improvement.

What is root cause analysis?

Root cause analysis (RCA) is a step-by-step way to find out why a problem happened, instead of just fixing the symptoms. When teams find the real causes, they can put solutions in place to stop the problem from happening again. RCA is used in many fields, like manufacturing, healthcare, IT, and project management.

For example, if your company has trouble keeping employees, hiring more people might seem like a quick fix. But with RCA, you can find out why employees are leaving and work on keeping them for the long term.

Root causes of low retention could include:

• Lack of professional development opportunities

• Poor team member benefits

• Low pay compared to the market range

• Low team morale

After you look at possible root causes, research can help you figure out which ones are most likely. Once you know the real causes, you can put solutions in place. RCA helps you solve problems for good, instead of just covering them up and risking that they come back.

Key principles of RCA

Root cause analysis can resolve recurring project issues or larger bottlenecks within business processes. If you want to reap the unique benefits of this method, keep these key principles of RCA in mind:

• Instead of correcting the symptoms of a problem, focus on its root causes.

• Focus less on who caused the problem and more on how and why the problem occurred.

• Find cause-and-effect evidence to support the root causes you've identified.

• Develop an informative action plan to support your solutions.

• Consider how you can prevent root causes from recurring.

Keep in mind that a problem can have more than one root cause, and that's normal. Focus on the causes that seem most accurate, and prepare to address them with solid solutions.use analysis

You can use different strategies to find root causes in RCA. The steps below will help guide your team through the process.

1. Define the problem

To do a root cause analysis, start by clearly defining the problem. If you have several problems, focus on one at a time and do a separate RCA for each. Solving one problem at a time makes it easier to find and fix the real cause.

Make sure everyone agrees on the problem. For example, you might think your team has low productivity, but if others don't see it that way, it's hard to move forward. Define the problem in clear, measurable terms, then go to the next step and use evidence to confirm it.

2. Collect data

Gather evidence to show the problem is real and to understand its symptoms. Ask questions like:

• How long has the problem existed?

• Who is suffering because of this problem?

• What is the short-term and long-term impact of this problem?

• What are the key symptoms of this problem?

• What evidence do we have to support the idea that there's a problem?

Once you know more about how this issue affects your company and team members, you can brainstorm potential causes of the problem.

3. Identify possible root causes

Finding possible root causes is the key step in root cause analysis. The causes you identify here will help you create a solution and action plan. Some common problem-solving strategies are:

• Cause-and-effect flow chart: The free root cause analysis template provided below features a cause-and-effect flowchart. This flowchart breaks the problem into symptoms, possible causes, and actual causes to identify a logical solution.

• 5 whys approach: You can also use the 5 whys approach to get to the root cause of a problem. Instead of taking the problem at face value, ask "why" until you uncover a process or system that isn't working as it should. Using a 5 Whys template helps structure the process so you don't settle for the first answer you land on and can discover layers of issues that weren't noticeable right away.

4. Determine the root cause

To find the root cause of your problem, review all the possible causes you identified. After you've considered each one, ask yourself these questions:

• Are there any similarities between the root causes I've identified?

• Are there reasons to eliminate any of these possible root causes?

• Which root cause seems most problematic?

Just like when you searched for possible root causes, there are ways to find the actual root cause. These include:

• Failure Mode and Effects Analysis (FMEA): FMEA is a tool similar to risk analysis where you'll look at the possible root causes you've identified and eliminate the ones that are most likely to result in failure later on.

• Impact analysis: Use an impact analysis to assess the positive and negative effects of each possible root cause you've identified. When you make this hypothetical pro and con list for each cause, you can feel more confident narrowing down your list.

It can be hard to find just one root cause, and that's normal. If your problem has several causes, you don't have to pick only one. While it's helpful to keep your action plan simple, sometimes you'll need more than one plan to fix the issue.

5. Implement solutions

When you're sure of the root causes, start finding solutions and taking action. Your solutions should target the root causes, which will help fix the main problem.

If you want a structured way to track each step of this process, a corrective action plan template helps you document solutions, assign responsibilities, and monitor progress until the issue is fully resolved.

Ask yourself these questions when developing solutions:

• How will we implement this solution if we choose it?

• What roadblocks will we face when implementing this solution?

• How long will it take to implement this solution?

• Who will implement this solution?

• Could implementing this solution lead to other problems?

Once you're ready to create your implementation plan, share it in a tool that all stakeholders can view. Project management software makes it easy for your team to collaborate and coordinate work.

Implementation may take several weeks, meaning some objectives may depend on other milestones. Use Gantt charts to view project dependencies and collaborate in real-time.

Root cause analysis template and example

An RCA template makes root cause analysis easier by letting you see your problem and its causes in a flowchart. Like tree roots, the chart branches out from the main problem in different directions.

In the example below, you'll see how the template starts with one problem, then breaks it down into symptoms. From there, the template helps you find possible root causes, narrow them down, and come up with solutions.

In this example, the company is experiencing a decline in website views. The root cause analysis flows as follows:

Problem:

• Website views are down

Symptoms:

• Reduction in brand visibility

• Lack of online purchases

• Low domain authority

Possible root causes:

• Technical issues with our website

• Competitor ranking higher in SERPs

• Weak CTAs

• Customers don't like our product

• Customers can't find our website to make purchases

• Poor quality content

• Irrelevant backlinks

Actual root causes:

• Lack of SEO content

• The website isn't ranking in the SERPs

• Lack of relevant keywords

Solution:

• Revamp content

You can download a free root cause analysis template below to help find causes and solutions for problems at work. This template can help you spot issues that might not have been clear right away.

Root cause analysis tools and methods

Root cause analysis tools help teams look past symptoms and find the real reasons behind problems. The best tool for you depends on how complex your problem is and what your team needs.

Pareto charts

Pareto analysis, based on the Pareto Principle (also known as the 80-20 rule), is a decision-making technique that helps identify the tasks or problem areas with the greatest payoffs. Pareto analysis is particularly effective when multiple causes lead to a single effect. This method is widely used across various business and organizational sectors, helping prioritize actions with the greatest impact.

5 Whys

The 5 Whys method is a way to find the root cause of a problem by asking "Why?" several times. Each answer leads you closer to the real issue. This technique is common in lean methods to solve problems, cut costs, and improve quality.

Ishikawa fishbone diagram

The fishbone diagram, or Ishikawa diagram, is a visual tool for exploring cause and effect. It helps teams brainstorm possible root causes of a problem and is often used in product design and quality management. The problem is shown at the head of the fish, with possible causes branching off as smaller "bones."

Fault tree analysis

Fault tree analysis is a visual tool that uses yes-or-no questions to find the causes of system failures. It's useful for risk assessment across fields such as pharmaceuticals, aerospace, and software engineering. The tool shows events in order and uses symbols to indicate their connections.

Failure Mode and Effective Analysis (FMEA)

FMEA involves reviewing components, subsystems, and assemblies to find weak links in a system and their causes and effects. Developed in the late 1950s, it is both a quantitative and qualitative analysis method used in designing products, processes, or services, as well as in creating control plans for new or modified processes.

Scatter diagram

A scatter diagram is a graphical tool that plots pairs of numerical data, with one variable on each axis, to examine their relationship. When variables are correlated, the points will align along a line or curve. This root cause analysis tool is one of the seven basic quality tools and is essential for determining relationships among variables in root cause analysis.

DMAIC template

DMAIC, standing for Define, Measure, Analyze, Improve, and Control, is a structured approach used in Six Sigma to optimize processes. It provides quantifiable evidence of improvements and is a repeatable and easy-to-understand method for detecting issues and developing solutions. This template is excellent for project managers and RCA teams.

8D report template checklist

The 8D report template is used for detailed root-cause analysis based on the eight disciplines of problem-solving. It's widely used in industries that are customer-focused, such as the automotive and healthcare sectors. The template helps identify and eradicate the problem by focusing on the "escape point," the point at which the issue first went undetected.

Events and causal factor analysis

Events and causal factor analysis identify the sequence of events and the causal factors that led to an issue or problem. This analysis focuses on understanding the chronological order of events and the specific conditions or actions that contributed to the problem. A cause-and-effect diagram is particularly useful in complex situations where multiple factors interact to cause an issue.

Change analysis

Change analysis is a key component of effective root cause analysis, particularly in quality management and continuous improvement efforts. This method involves examining and comparing the situation or system before and after the problem occurs.

By identifying what changed, you can isolate causal factors more accurately. Change analysis is valuable when the issue arises after changes to processes, materials, personnel, or equipment.

Barrier analysis

Barrier analysis looks at the controls and safety checks meant to stop an incident and why they didn't work. By studying what went wrong or what was missing, teams can find human errors, system problems, and other root causes. This helps build stronger systems and prevents similar problems in the future.

Tips for conducting an effective root cause analysis

Effective root cause analysis requires more than following the steps. How you approach the process matters just as much as the tools you use. Keep these best practices in mind:

Encourage team collaboration

Promoting team collaboration can significantly enhance the effectiveness of root cause analysis. Diverse perspectives and expertise contribute to a more comprehensive understanding of the issue and the development of effective solutions.

Example: A manufacturing company facing frequent equipment breakdowns forms a cross-functional RCA team. An engineer pinpoints a design flaw, a maintenance worker identifies wear issues, and an operator highlights operational errors. This collaborative approach leads to a comprehensive, multifaceted solution.

Ask open-ended questions

Open-ended questions are key in root-cause analysis. Asking questions encourages a detailed exploration of the issue, allowing team members to consider various possibilities and delve deeper into the underlying causes.

Example: In a healthcare setting, if there's a rise in patient readmissions, asking open-ended questions like "What are the common factors among these readmissions?" can reveal deeper issues. These questions could reveal that certain discharge procedures aren't consistently followed.

Avoid blame

An essential aspect of successful root cause analysis is focusing on the process rather than assigning individual blame. Concentrating on the "why" and "how" of the problem rather than "who" was responsible creates an environment conducive to genuine problem-solving and improvement.

Example: In a software development team experiencing frequent project delays, focusing on the process rather than blaming individuals can be more productive. They might discover that the root cause is not individual incompetence but an unrealistic timeline or unclear communication channels.

Common root cause analysis mistakes to avoid

Even experienced teams can fall into common traps during root cause analysis. Avoid these mistakes to get better results:

• Stopping at the first obvious cause: Surface-level causes often mask systemic issues. Always ask "why" multiple times to ensure you've reached the true root cause.

• Focusing on blame instead of systems: When RCA becomes about blame, team members become defensive. Keep the focus on processes to encourage honest discussion.

• Using vague problem statements: If the problem isn't clear, your analysis won't be focused. Be specific and measurable. For example, "Customer satisfaction scores dropped 15% in Q3" is better than "Customer satisfaction is low."

• Not verifying findings with data: Assumptions can lead you astray. Support your identified root causes with evidence from data, documentation, and interviews.

• Failing to follow through on solutions: Finding root causes isn't enough if you don't act on them. Make a clear action plan with people in charge, deadlines, and ways to measure success.

Turn solutions into action with workflows

RCA doesn't deliver instant results, but finding the root cause of a problem solves it for good. After coming up with an effective solution, you'll need to put a plan into action. Asana workflows provide a single source of truth for setting goals, monitoring progress, and watching your problems fade in real time. Ready to streamline your problem-solving process? Get started with Asana today.

Frequently asked questions about root cause analysis