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Root Cause Analysis

A comprehensive checklist for conducting thorough Root Cause Analysis to identify and address the underlying causes of problems, incidents, or failures across various industries.

Root Cause Analysis

by: audit-now
4.2

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About This Checklist

Root Cause Analysis (RCA) is a critical process in identifying and addressing the underlying causes of problems, incidents, or failures in various industries. This comprehensive checklist serves as an essential tool for conducting thorough and effective RCAs, ensuring that organizations can pinpoint the true source of issues and implement lasting solutions. By systematically guiding auditors and investigators through the RCA process, this checklist helps prevent recurrence of problems, improve operational efficiency, and enhance overall quality and safety standards.

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Industry

Cross-Industry

Standard

Workspaces

Laboratory
Hospitals
Field Sites
Manufacturing Facilities
Office Buildings

Occupations

Quality Assurance Manager
Process Improvement Specialist
Safety Engineer
Operations Manager
Risk Analyst
Continuous Improvement Coordinator
1
What was the incident that occurred?
2
Was the 5 Whys technique effectively applied?
3
How many root causes were identified?
Min: 0
Max: 10
4
Was an action plan developed to address the root causes?
5
What lessons were learned from this analysis?
6
When was the root cause analysis completed?
7
Who were the members involved in the investigation?
8
How would you rate the thoroughness of the investigation?
9
How many data points were collected during the investigation?
Min: 1
Max: 100
10
Were recommendations provided based on the investigation findings?
11
Provide a summary of the investigation findings.
12
When did the investigation start?
13
What was the specific failure mode observed?
14
Which investigation method was utilized?
15
How many contributing factors were identified during the analysis?
Min: 1
Max: 20
16
Were corrective actions implemented following the analysis?
17
What strategies will be implemented to prevent future failures?
18
When was the failure analysis reviewed?
19
What quality issue was identified?
20
Was the root cause of the quality issue identified?
21
How many non-conformance reports were issued?
Min: 0
Max: 50
22
Was training provided to staff regarding the quality issue?
23
What corrective action plan has been developed?
24
When is the follow-up date for reviewing the corrective actions?
25
Describe the process that is being reviewed for improvement.
26
Was potential for improvement identified in the process?
27
How many improvement ideas were generated during the review?
Min: 1
Max: 100
28
Were stakeholders involved in the improvement review?
29
What are the key recommendations for process improvement?
30
When was the process improvement review conducted?

FAQs

Root Cause Analysis checklists are valuable in various industries, including manufacturing, healthcare, aviation, IT, and energy sectors. Any industry where identifying and resolving underlying causes of problems is crucial can benefit from RCA.

RCA should be conducted whenever a significant problem, incident, or failure occurs. Additionally, it can be performed proactively as part of continuous improvement initiatives or at regular intervals to assess and improve processes.

The RCA team should include subject matter experts, employees directly involved with the problem, management representatives, and a facilitator trained in RCA techniques. Cross-functional teams often yield the best results.

Common RCA techniques include the '5 Whys' method, Fishbone (Ishikawa) diagrams, Fault Tree Analysis, Pareto Analysis, and Failure Mode and Effects Analysis (FMEA). The choice of technique depends on the complexity of the problem and the industry context.

The effectiveness of RCA can be measured by tracking the recurrence rate of similar problems, the success of implemented corrective actions, improvements in key performance indicators, and the overall reduction in incidents or failures over time.

Benefits of Root Cause Analysis

Systematically identifies the true root cause of problems

Prevents recurrence of issues by addressing underlying factors

Improves operational efficiency and reduces downtime

Enhances organizational learning and continuous improvement

Supports data-driven decision-making for corrective actions