Top 10 Root Cause Analysis Categories

Incident Analysis Tool

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The purpose of an incident investigation process is to determine what happened so that you can find a way to influence the future in a positive way.  The following table is a Top 10 Root Cause Analysis tool you can use to determine general root causes and then you can narrow down your analysis to determine more specific causes.  After you feel comfortable with the specific causes that you identify, you an choose the most applicable defense and control to influence the future.After 25 years of investigating injuries, I have discovered there are 10 common root causes that influence injuries.  If you know what these 10 causes are, how should you respond in a proactive way? Improve your performance in these 10 areas and you WILL improve your safety culture.

Past events are a good indicator of future performance.  Pay attention to what you have learned and focus on improvement.  Develop your leaders to perform well in these areas.

To read more about the root cause analysis process, read here.

 

General Cause

Specific Cause

Defenses & Controls

Training •        Training Content

•        Comprehension

•        Management Visibility

•        Training Delivery

•        Instructor Knowledge

•        Mentoring

•        Supervisor Coaching

•        Frequency

•        Duration

•        Safety Orientation

•        Regulatory Training

•        Mentoring Program

•        Train the Trainer

•        Management in Action

•        Equipment Specific

•        Leadership Training

•        OSHA 10/30

•        Tool Box Topics

Communication •        Trend Awareness

•        Expectations Unclear

•        Hazard Awareness

•        Critical Messages

•        Lessons Learned

•        Safety Promotions

•        Signage – Warning

•        Communication Between Groups

•        Awareness Information

•        Document Expectations

•        Weekly Safety Meetings

•        Daily Pre-job Briefs

•        Lessons Learned

•        Post Alerts

•        Report Near Misses

•        Stand Downs

•        Turnover Documentation

Pre-Planning •        Risk Perception

•        Hazard Identification

•        Anticipating the Risk

•        Work-planning

•        Contingency Plans

•        Materials

•        Resources & Staffing

•        Deviations from the Plan

•        Tools

•        Job Safety Analysis

•        Pre-Job Briefs

•        Permits

•        Stage Tools & Materials

•        Schedule Resources

•        Site Specific Plan

•        Pre-Job Walk down

•        SAFER DIALOG

•        Risk Assessments

Procedures •        No Procedure

•        Incomplete Procedures

•        Compliance

•        Assumptions

•        No General Rules

•        Incomplete Rules

•        Enforcement

•        Leadership Example

•        Monitoring

•        Safety Manual

•        Training & Promotion

•        Disciplinary Action

•        Annual Self Assessment

•        Weekly Audits

•        Documented Rules

•        PPE Assessment

•        Peer to Peer Check

•        Questioning Attitude

Management & Commitment •        Management Visibility

•        Example

•        Work Monitoring

•        Performance

•        Hazard Recognition

•        Equipment

•        Risk Perception

•        Hazard Correction

•        Accountability

•        Pre-Job Brief Participation

•        Audit Participation

•        Training Attendance

•        Permit Reviews

•        Hazard Elimination Program

•        Questioning Attitude

•        Performance Scorecard

•        Self Check

Employee Ownership •        Hazard Identification

•        Risk Perception

•        Hazard Correction

•        Compliance with Rules

•        Responsibility

•        Example

•        Peer to Peer Coaching

•        Participation

•        Knowledge

•        Hazard Reporting

•        Inspections

•        Pre-Job Briefs

•        Communication

•        Questioning Attitude

•        Self-Check

•        Stop When Unsure

•        STAR

•        Mentoring Program

Organizational Interfaces •        Unclear Priorities

•        Lack of Communication

•        Limited Information

•        Conflicting Goals

•        Alignment with Groups

•        Double Standard

•        Turnover

•        Consequences Unclear

•        Documented Expectations

•        Pre-Job Briefs

•        Communication Between Groups

•        Turnover Documentation

•        Alignment Meetings

•        Frequent Assessments

•        Follow Up Process

Work Practices •        Prevention Tools

•        Unsafe Speeds

•        Equipment Safely

•        Short Cuts

•        Housekeeping

•        Compliance

•        Unsafe Practice

•        Enforcement

•        Pre-Planning

•        Job Safety Analysis

•        Pre-Job Briefs

•        Documented Audits

•        Disciplinary Action

•        Tool/Equipment Inspection

•        Specific Training

•        Monitoring

•        Management in Action

Work Environment •        Poor Lighting

•        Personal Hygiene

•        Unsafe Condition

•        Working at Heights

•        Stressful

•        Heat

•        Cold

•        Wet

•        Dusty

•        Job Safety Analysis

•        Pre-Job Briefs

•        Documented Audits

•        Work Area Inspections

•        5S Audits

•        Climate Control

•        STAR Process

•        Stop When Unsure

•        SAFER Dialog

Worksite Analysis •        Trending

•        Risk Perception

•        Hazard Recognition

•        Investigations

•        Corrective Action

•        Follow Up

•        Management Visibility

•        Training & Communication

•        Job Safety Analysis

•        Pre-Job Briefs

•        Documented Audits

•        Work Area Inspections

•        Risk Perception Training

•        Hazard ID Training

•        RCA Training

•        Follow Up Process

•        Management in Action

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