This module provides a roadmap to understanding the process of root- cause analysis and how this technique can aid problem-solving and mitigate issue recurrence.
These resources provide a baseline of understanding, but as the strategic environment continues to evolve, new data will become available.
- Root Cause Analysis for Beginners: Rooney and Heuvel give an overview of methods for using root-cause analysis to identify what, how, and why an undesired outcome occurs and preventing future recurrence.
- Citation: Rooney, J.J., Heuvel, L.N.V., 2004. “Root Cause Analysis for Beginners”. Quality Progress. 37, 45–56. Web. https://www.env.nm.gov/aqb/Proposed_Regs/Part_7_Excess_Emissions/NMED_Exhibit_18-Root_Cause_Analysis_for_Beginners.pdf
- Techniques for Root Cause Analysis: Williams presents multiple techniques and processes of root cause analysis at varying levels of depth and complexity to identify and mitigate root issues in processes.
- Citation: Williams, Patricia M., “Techniques for Root Cause Analysis.” Proceedings (Baylor University. Medical Center) 14.2 (2001): 154–157. Web. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC129299
- Understanding how to use the 5-Whys for root cause analysis: This document describes the proper methodology for using the 5-Why technique, a method of root cause analysis, to accurately identify the root cause of an issue and prevent recurrence.
- Citation: Lifetime Reliability Solutions, “Understanding How to Use the 5-Whys for Root Cause Analysis.” Web. http://www.lifetime-reliability.com/tutorials/lean-management-methods/How_to_Use_the_5-Whys_for_Root_Cause_Analysis.pdf
- The Application of Formal Methods to Root Cause Analysis of Digital Incidents: Stephenson describes a formal approach to the utilization of root cause analysis for incident response specifically in the domain of security.
- Citation: Stephenson, Peter. “The Applications of Formal Methods to Root Cause Analysis of Digital Incidents.” International Journal of Digital Evidence.3.1 (2004). Web. https://www.utica.edu/academic/institutes/ecii/publications/articles/A0B62ABA-F4C9-CBCE-8B9812B7B4055CAC.pdf
Other Scholastic Resources
- Root Cause Analysis Overview: This PowerPoint presentation presents suggested steps for root-cause analysis and a distinction between proximate and root causes, as well as examples of application of the method.
- Citation: Office of Safety & Mission Assurance. NASA, July 2003. Web. 16 Feb 2017. http://www.au.af.mil/au/awc/awcgate/nasa/rootcauseppt.pdf
- Root Cause Analysis: A Tool for Improvement: This PowerPoint presentation examines root causes analysis as applied to systems.
- Citation: North Dakota Health Care Review, Inc., Center for Rural Health, UND School of Medicine, October 11, 2006. Web. 16 Feb 2017. http://www.health.state.mn.us/patientsafety/toolkit/rca_ndpresentation.pdf
- Management Oversight Risk Tree: This webpage describes the Management Oversight Risk Tree (MORT), a highly effective diagram used to identify underlying management root causes of hazards.
- Citation: Federal Aviation Administration, Management Oversight Risk Tree. Web. 16 Feb 2017. http://www.hf.faa.gov/workbenchtools/default.aspx?rPage=Tooldetails&subCatId=43&toolID=151
These materials were developed as an initiative of the Advanced Thinking in Homeland Security (HSx) curriculum at the Center for Homeland Defense and Security.