How to Perform a Root Cause Analysis for Workplace Accidents

Even in the safest workplaces, accidents can happen. When they do, it’s essential to understand not just what occurred, but why. That’s where root cause analysis (RCA) comes in—a structured process for identifying the deeper issues behind an incident.

In this post, we’ll walk you through how to perform a root cause analysis, how the “5 Whys” method works, and common pitfalls to avoid.

Root Cause Analysis: What It Is & Why It Matters

A root cause analysis is a process where the employer and their team review all the factors involved in an incident to determine the fundamental reason behind it. Then the team implements solutions to prevent similar incidents from happening again.

A thorough RCA matters because it:

• Reduces the risk of recurring incidents
• Contributes to accurate and compliant workplace accident investigations
• Demonstrates due diligence to regulators, stakeholders, and insurers
• Improves operational efficiency by targeting issues and improving them
• Helps organizations prevent accidents at the workplace rather than just react to them

There is no set method for conducting a root cause analysis; however, it typically begins by defining the problem and its associated consequences. In most cases, the “5 Whys” method is a good first step after you’ve collected the data surrounding the incident.

The “5 Whys” Methodology Explained

Sakichi Toyoda, the founder of Toyota, developed the “5 Whys” methodology in the 1930s. It involves asking “Why?” repeatedly until the underlying cause becomes clear.

Traditionally, you ask the question five times because Sakichi Toyoda believed “by repeating why five times, the nature of the problem as well as its solution becomes clear.” However, your team can go through as many rounds as it takes. You want to stop when asking “why” no longer provides useful insights into the issue.

A simplified example would look like:

• Why did the worker slip? (Because there was oil on the floor.)
• Why was there oil on the floor? (Because a machine was leaking.)
• Why was the machine leaking? (Because the gasket was worn out.)
• Why wasn’t the gasket replaced? (Because the maintenance plan didn’t include it. It arrived after the plan was put in place.)
• Conclusion: An outdated maintenance plan fails to cover all necessary equipment and machinery. This is leading to machine failure and workplace hazards.

In this case, it only took four rounds to realize the root cause isn’t the oil spill itself—it’s the missing maintenance plan. The organization can prevent similar incidents in the future by having the affected machines inspected and repaired, updating the plan to include any excluded machinery, and scheduling regular reviews to keep the plan updated.

In some cases, the root cause will be more complex. For example, in the situation above, there may also be valuable insights into gaps in worker safety training or inadequate PPE gear. In this case, you may need to repeat the “5 Whys” several times to address each point or use a different method entirely, like our EHS software.

How to Conduct a Root Cause Analysis

Performing an effective RCA involves several clear, structured steps. Each step should focus on evidence and process, not assumptions or blame.

• Gather incident data. Collect details about what happened, where, when, and who was involved. Review witness statements, photos, maintenance logs, training records, and environmental conditions. The more factual information you gather, the more reliable your analysis will be.
• Define the problem clearly. Describe what occurred, what the consequences were, and what should have happened instead. A clear problem statement keeps the team focused on facts and outcomes. The 5 Whys methodology or other RCA methods can help during this stage.
• Determine the root cause(s). Root causes often relate to issues in systems and processes, such as gaps in training, unclear procedures, or outdated methods. A single accident can have multiple root causes, each requiring its own investigation and corrective action.
• Develop and implement corrective actions. Create corrective actions that address each root cause. Measures could include changes like updating maintenance schedules, improving training programs, revising safety procedures, and upgrading equipment. Assign responsibilities and deadlines to each team member to ensure accountability and transparency.
• Schedule regular follow-ups. Conduct audits, review new data, and check for recurring issues. Continuous monitoring ensures that changes truly solve the problem and improve workplace safety.

Common Pitfalls to Avoid in RCAs

While a root cause analysis is straightforward in theory, several mistakes can undermine its effectiveness. Some common pitfalls to avoid in an RCA include:

• Lack of proper training. The team should have adequate training in workplace safety compliance and workplace skills. Otherwise, the team will struggle to find the actual root cause and create effective solutions.
• Jumping to conclusions. Many teams stop after identifying an immediate cause. In our earlier example, this could be an oil leak or a faulty gasket. However, these are only the symptoms of a larger issue. Failing to solve the larger issue means similar incidents will continue to repeat.
• Failing to involve the right people. Include employees familiar with the task or environment being analyzed. Otherwise, you will miss out on valuable insights and risk missing the root cause.
• Failing to assign accountability. A solution goes nowhere if everyone assumes someone else is on the case. Assign specific, relevant tasks to each team member so that someone is accountable for each part of the solution.
• Poor documentation. Findings and corrective actions can be lost or misunderstood if they are not adequately documented. Always document your process, results, and the tasks assigned to each person for future reference.
• Fail to follow up. Follow-up is an essential part of preventing issues from repeating themselves. Ensure that you schedule regular follow-ups to confirm the problem is resolved and to make any necessary adjustments.

Avoiding these pitfalls ensures that the RCA is an effective solution, not just a paperwork exercise.

How RCAs Factor into Compliance Standards

Regulatory agencies, such as the Occupational Safety and Health Administration (OSHA), expect employers to conduct thorough workplace accident investigations and implement corrective actions to prevent the issues from happening again. Recording the RCA process is also mandatory for audits and insurance claims in some industries.

A well-documented RCA demonstrates that an organization takes its safety obligations seriously. It demonstrates to regulators, employees, and stakeholders that management is committed to understanding why accidents occur and how to prevent them.

EHS Navigator Makes Root Cause Analysis Faster and More Effective

EHS Navigator helps you with everything needed to handle an incident. Frontline workers can easily log observations or incidents while in the field, using a smartphone or tablet. Teams can perform root cause analysis and record the results. Our software will even make automatic reports to OSHA for compliance.

Have a question or wondering how EHS Navigator can solve your specific safety, workflow, and compliance challenges? Book a demo today to see it in action.