Root Cause Analysis Checklist

Use this Root Cause Analysis Checklist to investigate and identify the fundamental reasons behind issues, aiding effective problem-solving and prevention.

Root Cause Analysis Checklist



Policy

1. Is a policy in place?


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Planning

1. Is there a plan in place?


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Control

1. Who is responsible for the standard- Organization?


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2. Who is responsible for the standard - Management?


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3. Who is responsible for the standard - Supervision?


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4. Who is responsible for the standard - Operative


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5. Was the responsibility re-assigned?


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6. Was it in accordance with the standard?


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Competence

1. Is there a required standard?


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Implementation

1. Was the system specified?


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2. Was the system implemented?


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Communication

1. Was the system communicated?


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Cooperation

1. Was a standard specified?


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Measuring

1. Was there a standard for measuring the system?


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Reviewing

1. Was there a system for reviewing?


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Root Cause

1. What is the root cause of the following: No system in place


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2. What is the root cause of the following: System adequate but not implemented


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3. What is the root cause of the following: System poorly defined


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4. What is the root cause of the following: System defined but not implemented at all


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5. What is the conclusion?


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Initial Data

1. Is Initial data collected?


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2. Is information about management systems collected?


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3. Is information regarding physical controls collected?


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4. Is information regarding behaviors collected?


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5. Is the worksite examined?


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6. Are personnel involved identified?


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7. Is the equipment involved identified?


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8. Are staff/witnesses interviewed?


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9. Is documentation examined?


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10. Are training records examined?


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11. Are health & safety inspection reports examined?


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12. Are any required tests conducted?


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13. Are the events depicted using the five "W's" (who, what, why, where, when)?


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14. What are the causal factors?


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15. What is the Factual Evidence?


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16. What are the relationships like?


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17. Is the system that failed identified?


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18. Is the system examined for problems?


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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