Chapter 05 · Standards & assuranceConformity Assessment, Certification & Assurance
Root cause analysis
Definition
Root cause analysis is the process of identifying the underlying reason a problem, failure or nonconformity occurred.
References
This reference provides supporting context for how “Root cause analysis” is defined and used.
Overview
What it means in practice
Root cause analysis should be read as a conformity-assessment term. Its meaning depends on the criteria, assessor competence, scope and decision that relies on the assessment.
In practice, users should state the standard, boundary, method and evidence behind the term. That keeps root cause analysis useful without overstating assurance or performance.
Why it matters
Root cause analysis matters because certification and assurance language affects trust. Clear use helps readers understand who assessed what, against which criteria, with what independence and with what limits.
Common misconception
A common error is to treat Root cause analysis as a guarantee by itself. The stronger approach is to state the applicable standard, scope, assessor role and limits of the conclusion.
Review questions
What criteria or boundary gives the term meaning? Who assessed or evidenced it? What limitation should be stated so a reader does not treat the term as broader than it is?
How it is used
In professional practice, “Root cause analysis” helps standard setters, scheme owners, certification bodies, auditors and organisations seeking assurance describe or assess the process of identifying the underlying reason a problem, failure or nonconformity occurred. It is commonly encountered in standards, certification, conformity assessment, audits, controls and assurance engagements.
A credible application identifies the named standard or scheme, version, scope, criteria, assurance level and competent decision-maker.