Root Cause Analysis

What is Root Cause Analysis?

Root Cause Analysis (RCA) is a systematic method used to identify the underlying cause of a problem, risk, non-compliance issue, or incident. Instead of focusing only on symptoms, RCA seeks to uncover the primary source of failure so organizations can implement corrective and preventive measures that stop the issue from recurring.

RCA is widely applied in compliance, risk management, healthcare, manufacturing, IT, and governance to strengthen accountability and improve performance.

Why Root Cause Analysis Matters

Effective RCA is critical because it:

  • Prevents recurrence of compliance violations and operational failures

  • Improves efficiency by addressing problems at their source

  • Supports compliance by resolving audit findings and regulatory breaches

  • Strengthens governance through data-driven decision-making

  • Builds resilience by reducing risks and vulnerabilities

  • Demonstrates accountability to regulators, auditors, and stakeholders

Common Root Cause Analysis Techniques

  1. 5 Whys Method – Asking “why” repeatedly until the root cause is uncovered.

  2. Fishbone (Ishikawa) Diagram – Visual tool that categorizes possible causes (people, processes, technology, environment).

  3. Failure Mode and Effects Analysis (FMEA) – Identifying potential failure points and their impact.

  4. Pareto Analysis (80/20 Rule) – Prioritizing the causes that contribute most to problems.

  5. Fault Tree Analysis (FTA) – Logical diagram tracing events back to possible causes.

Example of Root Cause Analysis

An organization receives a regulatory fine for late compliance filings.

  • Symptom: Filing deadlines missed.

  • Root Cause: Compliance calendar not automated, leading to manual errors.

  • Solution: Implement automated compliance management software with deadline alerts.

Root Cause Analysis vs. Corrective Action

  • Root Cause Analysis – Focuses on identifying why a problem occurred.

  • Corrective Action Plan – Focuses on resolving and preventing the problem once the cause is identified.

How VComply Can Help

VComply supports effective root cause analysis by:

  • Tracking audit findings, compliance breaches, and incidents in one platform

  • Automating workflows to investigate and document root causes

  • Linking RCA outcomes to corrective and preventive action plans

  • Maintaining audit-ready records for regulators and stakeholders

  • Providing dashboards to monitor trends and recurring issues

With VComply, organizations can perform root cause analysis more efficiently, strengthen compliance processes, and reduce the risk of repeat violations