Root Cause Analysis Template

Root cause analysis (RCA) is a systematic investigation methodology that goes beyond the immediate cause of an incident to identify the underlying systemic factors that allowed the incident to occur. Effective root cause analysis is essential for preventing recurrence because corrective actions that address only the immediate cause leave the underlying systemic weaknesses in place.

This template provides three complementary RCA methodologies. The 5-Whys technique uses iterative questioning to drill through the causal chain from the immediate cause to the root cause. The fishbone (Ishikawa) diagram organises contributing factors into categories (people, process, plant, environment, management, materials) to ensure a comprehensive analysis. The contributing factor framework provides a systematic checklist of potential contributing factors organised by the Defence in Depth model.

The template guides investigators through each methodology with worked examples and structured worksheets. It includes the critical step of translating root causes into specific, measurable, and verifiable corrective actions that address the systemic issues identified.

Root cause analysis should be conducted for all significant workplace incidents, near misses with high potential consequence, recurring incidents regardless of severity, quality and environmental non-conformances, and any event where the organisation needs to understand why something happened and how to prevent recurrence.

WHS Regulation 2025 requires the PCBU to review and revise control measures after incidents. An effective root cause analysis provides the foundation for this review by identifying the specific control measure failures or gaps that contributed to the incident. Without root cause analysis, control measure reviews tend to be superficial.

Many safety management systems and ISO certification standards require documented root cause analysis as part of the incident investigation and corrective action process. The analysis provides the evidence base for corrective action decisions and demonstrates that the organisation's response to incidents is systematic and effective.

How This Is Different

This root cause analysis template is authored by safety professionals who conduct incident investigations. The template provides practical guidance on selecting the right RCA methodology for the incident complexity and on translating root causes into effective corrective actions. Many RCA templates help identify root causes but provide no framework for developing corrective actions, which is where the analysis must deliver practical value. The template includes specific guidance on avoiding common RCA pitfalls such as stopping the analysis too early (at the human error level rather than the systemic level), generating root causes that are actually symptoms, and developing corrective actions that address symptoms rather than causes.