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ROOT CAUSE ANALYSIS

Seven-section RCA worksheet with containment, immediate cause, root cause, corrective action, preventive read-across, and 30/60/90 verification plan. Flags training-only corrective actions and blame-language root causes. Print or share when you sign it off.

ROOT CAUSE ANALYSIS

1.

PROBLEM STATEMENT

Specific. Observable. Measurable. What happened, where, when, what was the impact in numbers (parts affected, hours lost, dollars). One paragraph, not a page.

2.

CONTAINMENT (IMMEDIATE ACTIONS)

What did you do in the first 24 hours to stop the bleeding? Quarantine bad parts, redirect production, notify the customer, contain the defect. Containment is not a fix; it is the dam while you investigate.

3.

IMMEDIATE CAUSE (WHAT HAPPENED, MECHANICALLY)

The direct technical or process failure. The bearing failed because of inadequate lubrication. The part was machined wrong because the offset was 0.05mm off. Just the mechanism, no system explanation yet.

4.

ROOT CAUSE (WHY THE SYSTEM ALLOWED IT)

Why was lubrication inadequate? Why did the offset not get caught? Push past the operator. The root cause is in the process, the standard, the equipment, the layout, or the supervision system. If your root cause is 'operator did not follow the procedure,' you have not gone far enough.

5.

CORRECTIVE ACTION (THIS INSTANCE, PERMANENT)

The change that prevents this exact failure mode from recurring. Not training, not a reminder. Process change, fixture, error-proofing, equipment fix, standard work update. Tied directly to the root cause. Owner and date.

6.

PREVENTIVE ACTION (ACROSS OTHER LINES, PRODUCTS, PLANTS)

Where else could this same root cause produce a similar failure? If line 2 had this issue, do lines 1, 3, and 4 share the same risk? Read across to other products, equipment, shifts, or plants. List the specific extensions and owners.

7.

VERIFICATION PLAN (30 / 60 / 90 DAYS)

How will you confirm the corrective and preventive actions actually worked? Specific data, walks, or audits at 30, 60, and 90 days. Who signs off the problem did not recur.

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FAQ

QUESTIONS PLANT MANAGERS ASK

WHAT IS THE DIFFERENCE BETWEEN AN IMMEDIATE CAUSE AND A ROOT CAUSE?

The immediate cause is the mechanical or process failure. The root cause is why the system allowed it: the lubrication schedule was missing, the offset check was not in the standard work, the cleanliness procedure had not been audited. Most failed RCAs stop at the immediate cause and call it the root. The corrective action then fixes the symptom, and the failure recurs.

WHAT IS THE DIFFERENCE BETWEEN CORRECTIVE AND PREVENTIVE ACTION?

Corrective action fixes the specific instance permanently. Preventive action reads across to other lines, products, shifts, or plants where the same root cause could produce a similar failure. If your scrap problem on line 2 traced to a missing offset check, the corrective is to add that check on line 2. The preventive is to audit lines 1, 3, and 4 for the same gap.

WHEN DO I NEED A FULL RCA VERSUS JUST A 5 WHY?

Use a full RCA when the problem is high-severity, customer-facing, recurring, or has safety implications, and the corrective action needs documented sign-off. Use a 5 Why for everyday floor problems where the team can investigate, fix, and move on without formal review. The full RCA adds containment, preventive read-across, and 30/60/90 verification.

WHY DOES THE TEMPLATE WARN ABOUT TRAINING-ONLY CORRECTIVE ACTIONS?

Because retraining is the most common failed corrective action. It does not change the system; it just relies harder on the same operator who already failed. Real corrective action changes the process, the standard, the equipment, the visual signal, or the supervision routine. Retraining is fine as a step within a corrective action, but it is never the only step.

HOW LONG SHOULD CONTAINMENT LAST?

Containment is temporary by definition. It runs from the moment you discover the problem until the corrective action is verified, typically 30 to 90 days. If you find yourself doing 100 percent inspection on a containment basis for six months, the corrective action did not actually solve the problem and the RCA needs to be re-opened.

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