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How to Conduct a Root Cause Analysis for Workplace Safety
Conduct a root cause analysis (RCA) as part of an investigation to ensure you correct the underlying cause of an issue, not just the symptoms.
When you're investigating a workplace accident, it's important to remove the immediate hazard, such as a faulty piece of machinery or an unstable shelf. But even more crucial is figuring out the underlying cause of the problem.
A root cause analysis (RCA) helps you determine core issues that led to the accident. When you know the root cause(s), you can correct them to prevent similar incidents going forward.
Outdated workplace processes are a common cause of accidents. Review or rewrite your policies and procedures using our free template as a guide.
What is a Root Cause Analysis (RCA) for Workplace Incidents?
A root cause analysis refers to the process of identifying the underlying cause of an issue or incident. Whether you're investigating an employee who crushed their foot when they dropped a heavy box or one who tripped over a cord in a poorly-lit office, an RCA goes beyond simply removing the immediate cause of the accident.
Performed near the end of an accident investigation, RCAs aim to determine the true cause of the problem, rather than just addressing the symptoms. A root cause is a fundamental cause that, had it not been present, the issue wouldn't have occurred. Identifying an accident's root cause and eliminating it should prevent the issue from recurring.
Why Conduct a Root Cause Analysis After an Accident?
No matter what industry you're in, workplace accidents, especially repeat accidents, disrupt the workplace. An employee gets hurt and the work environment feels tense. You may even face fines or a lawsuit.
Conducting a root cause analysis prevents similar accidents, and their consequences, from happening again. When you remove the root cause of a problem, your employees feel safer at work and you'll be protected from costly legal fees or reputation damage.
RCAs aren't just for workplace accidents, though. You can correct any type of incident with a root cause analysis. Use RCAs to resolve:
- Injuries and illnesses
- Near misses
- Physical security breaches
- Data security breaches and incidents
- Workplace violence
- Harassment, discrimination and bullying
- Quality control problems
- Processes and procedures
- Health and safety issues
- Equipment or tool failure and malfunction
RELATED: Workplace Accidents: The Definitive Guide
Root Cause Analysis Steps
No matter what method or tool you use to conduct your root cause analysis, you should follow the same general steps. During the RCA process, watch out for employees who try to downplay root causes that place blame on their departments or that would require significant changes or funding to correct.
1. Define the Scope of Your RCA
Defining the specific issue you want to address increases the odds that you'll find the root cause and correct it. For example, if an employee slips in some spilled oil and falls, the scope of the RCA would just include slips and falls that involve oil puddles. If you included every slip and fall accident, you probably wouldn't remove the root cause of this particular incident.
2. Assemble the Root Cause Analysis Team
Compile a team including employees who are familiar with the processes related to the problem. The victim's manager and coworkers who have experience with the work can shed light on root causes best. While one person could conduct a root cause analysis on their own, brainstorming as a team works better.
3. Organize Data for the Incident Investigation
Create a timeline to describe the accident. This will help you visually organize the investigation information and see where things went wrong.
Credit: Centers for Medicare & Medicaid
4. Identify Contributing Factors to Workplace Accidents
Next, add details to the timeline, asking why each event occurred. This helps you figure out factors that led to the accident.
Credit: Centers for Medicare & Medicaid
5. Determine the Root Causes of Workplace Incidents
Then, ask why each contributing factor occurred. You may find the same root cause for multiple contributing factors.
Credit: Centers for Medicare & Medicaid
6. Develop a Corrective and Preventive Action (CAPA) Plan
Write and implement a corrective and preventive action (CAPA) plan based on your findings. Include corrective actions to remove immediate hazards and preventive actions to reduce the risk of similar incidents in the future.
7. Review and Monitor Changes for Safety Improvements
Assign and schedule corrective and preventive actions at the end of your RCA. The team should then report on and review changes to measure success.
Download our free root cause analysis methods cheat sheet to learn different ways to conduct your RCA.
Frequently Asked Questions
1. What are five root causes of accidents in the workplace?
Five root causes of accidents in the workplace are:
- Outdated workplace processes
- Physical security breaches
- Data security breaches and incidents
- Workplace violence
- Harassment, discrimination, and bullying
2. What are the 5 factors used to find the root cause of an accident?
The five factors used to find the root cause of an accident are:
- Defining the scope of the investigation to focus on the specific issue.
- Selecting a team with relevant expertise to conduct the analysis.
- Organizing data into a timeline to understand the sequence of events leading to the accident.
- Identifying contributing factors by asking why each event occurred.
- Determining root causes by further analyzing why each contributing factor occurred.
3. What is the difference between a root cause analysis and an incident report?
The main difference between a root cause analysis and an incident report is that while an incident report documents the details of an accident or event, a root cause analysis aims to identify the underlying causes of the incident to prevent similar occurrences in the future.
4. What is a good source of information to determine the root cause of an accident?
Reliable sources include witness statements, accident reports, safety audits, equipment maintenance logs, and video surveillance. These resources provide crucial data for identifying the root cause effectively.
5. What are the examples of incident root cause analysis in workplace safety?
Examples include analyzing slips and falls caused by wet floors (environmental factors) or equipment malfunction due to lack of maintenance. Using tools like fishbone diagrams or 5 Whys can help illustrate these analyses.
6. How can I use an accident root cause analysis template?
An accident root cause analysis template can guide you through the process of identifying the underlying causes of a workplace accident. It typically includes sections to document the event, investigate contributing factors, and recommend corrective actions. Using a template ensures that no key element is overlooked during the analysis.
7. What are the possible cause categories for an accident?
Possible cause categories for an accident include human error, mechanical failure, lack of training, environmental conditions, and organizational issues. These categories help to group different types of causes and focus on specific areas for investigation.
8. How does incident root cause analysis differ from other methods?
Incident Root Cause Analysis (RCA) focuses specifically on uncovering the deeper issues behind workplace incidents. It differs from standard reporting by seeking to understand not just what happened, but why it happened and what systemic changes are needed to prevent future incidents.
9. How do you ensure the root cause analysis process is effective?
To ensure the effectiveness of the root cause analysis process, it's essential to involve all relevant stakeholders, use a systematic approach, and follow a detailed accident root cause analysis template. Additionally, regularly reviewing the safety measures post-incident ensures continuous improvement.