ROOT CAUSE ANALYSIS (RCA) – A Complete Guide

Root Cause Analysis (RCA) is a systematic process used to identify the underlying cause(s) of problems or incidents. Instead of treating symptoms, RCA helps you find and resolve the fundamental issue, preventing recurrence. It is widely used in facilities management, administration, manufacturing, healthcare, and other industries.

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📌 Why is RCA Important?

✅ Identifies the Real Cause – Addresses the root issue, not just the symptoms.

✅ Prevents Recurrence – Reduces the chance of similar problems happening again.

✅ Improves Processes – Helps optimize workflows and increase operational efficiency.

✅ Reduces Costs – Fixing problems at the source minimizes repeated repairs or disruptions.

✅ Ensures Compliance & Safety – Helps meet industry regulations and enhances workplace safety.

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📄 When to Use Root Cause Analysis

• Equipment or System Failures – Recurring facility breakdowns or malfunctions.
• Operational Issues – Delays, inefficiencies, or process errors.
• Safety Incidents – Workplace accidents or security breaches.
• Quality Problems – Consistent errors or non-compliance in outputs.
• Customer Complaints – Repeated service-related grievances.

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🔍 RCA Process: Step-by-Step Methodology

1️⃣ Define the Problem

• What happened?
• Where and when did it happen?
• Who is affected?

📌 Example: Office air conditioning (AC) system failure occurred on the 3rd floor, causing discomfort to employees and reduced productivity.

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2️⃣ Collect Data & Evidence

• Gather records, logs, and maintenance reports.
• Interview employees and stakeholders.
• Identify when and how often the issue occurs.

📌 Example: Review maintenance logs showing repeated AC failures during peak summer months.

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3️⃣ Identify Possible Causes

• Brainstorm all potential factors (technical, human, environmental).
• Use cause-and-effect analysis to explore multiple possibilities.

📌 Example: Possible causes of AC failure:

• Lack of preventive maintenance.
• Overloaded electrical circuits.
• Faulty equipment parts.
• Incorrect installation.

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4️⃣ Apply Root Cause Analysis Techniques

Here are some common RCA methods:

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🔹 5 Whys Method

A simple, iterative technique where you ask “Why?” five times until the root cause is identified.

📌 Example – AC Failure:

1. Why did the AC stop working? – The compressor overheated.
2. Why did the compressor overheat? – The air filter was clogged.
3. Why was the air filter clogged? – It was not cleaned regularly.
4. Why was it not cleaned? – There is no preventive maintenance schedule.
5. Why is there no schedule? – Lack of oversight and procedural gaps.

👉 Root Cause: No preventive maintenance system in place.

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🔹 Fishbone Diagram (Ishikawa)

A visual method to categorize causes into key areas:

✅ People – Human error, lack of training.

✅ Process – Flawed procedures.

✅ Equipment – Faulty tools, machines.

✅ Environment – External conditions.

📌 Example: A fishbone diagram can visually map potential causes of facility breakdowns across multiple factors.

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🔹 Failure Mode and Effects Analysis (FMEA)

A proactive technique to analyze:

1. What can go wrong?
2. How serious is the failure?
3. What’s the likelihood of recurrence?

📌 Example: Assessing all failure points in critical security systems and developing preventive solutions.

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5️⃣ Identify & Implement Solutions

• Develop corrective actions targeting the root cause.
• Ensure solutions are practical, cost-effective, and measurable.

📌 Example Solution: Introduce a preventive maintenance program and schedule monthly AC inspections to avoid future failures.

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6️⃣ Monitor & Verify Effectiveness

• Track progress and measure if the solution resolves the issue.
• If the problem persists, revisit the analysis.

📌 Example: After implementing the maintenance plan, monitor AC performance quarterly to confirm no recurring failures.

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🛠️ Real-Life Example of RCA (Facility Management)

Problem: Persistent elevator malfunctions in an office building.

RCA Process:

1. Define: Elevators fail during peak hours, causing service delays.
2. Collect Data: Maintenance logs show irregular servicing and excessive load during office hours.
3. Identify Causes:
• Poor preventive maintenance.
• Overload due to high employee traffic.
4. Root Cause (5 Whys):
• Why? – Excessive use during peak hours.
• Why? – No load control or scheduling.
• Why? – No clear maintenance policy.
5. Solution:
• Implement routine monthly maintenance.
• Set load limits and manage peak-hour traffic flow.
6. Verify: No breakdowns reported in the next 6 months.

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✅ Best Practices for Effective RCA

✔ Be Objective: Focus on facts, not assumptions.

✔ Involve Stakeholders: Include staff familiar with the issue.

✔ Document the Process: Keep records for future learning.

✔ Focus on Systems: Identify process failures, not just human error.

✔ Review & Refine: Regularly reassess solutions to ensure long-term success.

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📊 RCA Template Example

Step	Details
Problem	Describe the issue clearly.
Evidence	Collect data, reports, and logs.
Root Cause Method	5 Whys, Fishbone, FMEA, etc.
Root Cause	Identify the primary cause.
Solution	Action plan to address the cause.
Outcome	Measure results and verify success.

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