December 14, 2022 | Mark Paradies

Root Cause Analysis Audit Ideas


Review Past Investigations

In the past couple of years, has your company had a major accident?

If so, were there previous smaller incidents that should have been learned from?

Were there corrective actions that should have prevented a follow-on accident?

Do you review past investigations to see why they didn’t prevent repeat incidents?

Always a Precursor

I don’t think I have ever seen a major accident that didn’t have precursor incidents that could have been learned from to improve performance. The failure to learn from previous precursor incidents and improve is a problem that needs a solution. You may need better root cause analysis. Or you may have other problems.

When using TapRooT® Root Cause Analysis for a major accident, the failure to fix previous precursor incidents should get you to the root cause of “corrective action NI” if you didn’t develop adequate corrective actions or “corrective action not yet implemented” if you failed to implement effective corrective actions from the previous investigations.

Time for an Audit

If this review seems like a new idea at your facility, here is something that you might try. Go back to your previous major accidents. Review your database to look for similar precursor incidents for each major accident. Then…

No Precursor Incidents

If there aren’t any precursor incidents, you have identified a problem. You aren’t getting good reporting of minor incidents with potentially serious consequences. You need to find out why precursor incidents aren’t being reported and fix that problem.

Previous Precursor Incidents Reported

If you find previous precursor incidents for a major accident, it’s time for a precursor incident investigation audit.

Review previous precursor incident investigations. Determine why the previous investigation’s corrective actions weren’t effective or weren’t implemented. Those are problems you need to fix.

Implement Fixes

Implementing effective fixes should improve your root cause analysis processes, training, or other aspects of your incident reporting and investigation system.

Learn to Perform Better Audits and Become Proactive

On April 24-25, 2023, we are having a course titled:

Auditing & Proactive Improvement Using TapRooT®


It is designed to help you perform better audits, assessments, and reviews using the TapRooT® Root Cause Analysis Process. The course helps people understand how to use advanced root cause analysis tools to develop their audit protocols and use the human performance and equipment reliability knowledge that is built into the TapRooT® Root Cause Analysis System to understand the root causes of conditions adverse to quality, including non-conformities and non-compliance issues.

Applying TapRooT® Root Cause Analysis proactively when auditing can help your company avoid quality issues, incidents, equipment failures, and accidents by being more effective in your audit processes.

What’s in the course? Here’s the course outline…


  • TapRooT® Process Introduction and Initial Audit
  • SnapCharT® and Exercise
  • Significant Issues and Exercise
  • Root Cause Tree® and Exercise
  • Generic Causes
  • Corrective Actions and Exercise


  • The Root Cause Tree® and Preparing for Audits with Root Cause Exercise
  • Audit Programs, Trend and Process Root Cause Analysis
  • TapRooT® Software Introduction
  • Frequently Asked Questions about TapRooT®
  • Final Audit Observation Exercise

Upon completion of the course, attendees will receive a certificate of completion and a 90-day subscription to TapRooT® VI Software, our dynamic cloud-based software that computerizes the TapRooT® Process to make it even easier and more effective.

The materials provided in the course include:

  • “TapRooT® Root Cause Analysis for Audits and Proactive Performance Improvement” Book
  • Course Workbook
  • Laminated TapRooT® Root Cause Tree®
  • TapRooT® Root Cause Tree® Dictionary
  • Corrective Action Helper® Guide
Book 6: TapRooT® Root Cause Analysis for Audits and Proactive Performance Improvement

Don’t wait for the next big accident to improve your processes. You have all the data that you need to start improvements today! REGISTER for the Auditing and Proactive Improvement Using TapRooT® Course by CLICKING HERE.

Need to improve your Root Cause Analysis, Investigations, or Incident Reporting System?

If you do, YOU ARE IN LUCK! The Upcoming 2023 Global TapRooT® Summit (April 26-28) has several sessions in the eight Best Practice Tracks that can help you. They include:

  • Using TapRooT® to Improve Learning Teams | Alex Paradies
  • Sharing Investigations & RCA Best Practices | Tim Diggs
  • Best Practices for TapRooT® Implementation | Mark Paradies
  • TapRooT® Users’ Success Stories | TapRooT® Users with Ken Reed Facilitating
  • Building a Roadmap to Success | Rick Hulse
  • How to Use TapRooT® for Minor and Major Accidents & Proactive Improvement | Marcus Miller
  • Three Skills to Take Your Investigations to the Next Level | Barb Carr
  • The Intelligent Investigator – Affective Techniques for Effective Results | Emily Pritt

And that’s just a sample.

The Auditing Course is one of the pre-Summit Courses on April 24-25. The Summit is being held on Wednesday – Friday, April 26-29, 2023. If you register for both a pre-Summit Course and the Summit, you geta $300 DISCOUNT OFF the combined course and Summit price.

The pre-Summit Courses and the Summit are being held at the Margaritaville Lake Resort, Lake Conroe, near Houston, Texas. It’s a great place to hold the Summit. Watch the video below for more information about the resort…

Doesn’t that sound like fun!

How do you register for the pre-Summit Course of your choice and the 2023 Global TapRooT® Summit and SAVE $300? Just CLICK HERE. Then make you travel plans and register for the hotel room block by CLICKING HERE.

We look forward to seeing you there…

2023 Summit Margaritaville Lake Resort
Implementation, Investigations, Root Cause Analysis, Root Cause Analysis Tips, Summit
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