September 28, 2022 | Barb Carr

How To Use TapRooT® RCA for Audits and Observations

RCA for Audits

Auditing is one of the most common proactive measures employed by organizations. If you use the TapRooT® System for investigations, you have all the tools you need to perform TapRooT® RCA for audits and observations. You’ll be happy to learn how similar the investigation process is to the audit process, and how easy it is to learn.

Do you already have an audit process you like? Keep reading to learn ideas on how to improve it.

Comparison of TapRooT® RCA for Investigations and TapRooT® RCA for Audits

RCA for InvestigationsRCA for Audits
Define an Incident in the circle on your SnapCharT® Diagram.(An audit is proactive – no incident.)
Plan investigation and collect information to reconstruct what happened on a SnapCharT® Diagram.Plan audit and determine process flow on a SnapCharT®. Observe work as performed and add observations to SnapCharT® Diagram.
Identify Causal Factors.Identify Significant Issues. (This is a *potential* Causal Factor identified in the observation).
Analyze each Causal Factor in the Root Cause Tree® Diagram.Analyze each Significant Issue in the Root Cause Tree® Diagram.
Analyze Generic Causes.Analyze Generic Causes.
Develop Corrective Actions.Develop Corrective Actions.
Report Findings.Report Findings.

If you already have an audit observation program you like, use TapRooT® to improve it.  For example, if you already have a defined audit scope, audit checklists, and processes, and you’re comfortable that you are finding the issues, great!  Use the TapRooT® Root Cause Tree® Diagram and Dictionary to find the root causes of those issues and the Corrective Action Helper® Guide to help you fix the problems.

Best Resources to Improve Your Audits and Proactive Performance Improvement Using the TapRooT® System

If you want additional resources for proactive improvement, we offer training and books.

Book: TapRooT® Root Cause Analysis for Audits and Proactive Performance Improvement

Book: TapRooT® Changing the Way the World Solves Problems (Chapter 4)

Training: 5-Day TapRooT® Advanced Root Cause Analysis Team Leader Training

Training: 2-Day Auditing & Proactive Improvement Using TapRooT®

The TapRooT® System can be used proactively to avoid incidents. Apply it to any improvement program, including Six Sigma, PDCA, and Lean. It takes less time to be proactive with RCA than reactive and prevents incidents and accidents from occurring.

Human Performance, Root Cause Analysis
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