ROOT CAUSE ANALYSIS (RCA) CHECKLIST

Created by ChecklistGuro (https://checklistguro.com)

--- PROBLEM DEFINITION & DATA GATHERING ---
[ ] Detailed Problem Description
[ ] Quantity of Affected Units/Batches
[ ] Date Problem First Noticed
[ ] Time Problem First Noticed
[ ] Observed Symptoms and Impacts
[ ] Affected Processes/Departments (Production, Quality Control, Maintenance, Supply Chain, Engineering)
[ ] Relevant Photos/Videos of the Problem
[ ] Description of the environment when the problem was observed (temperature, humidity, etc.)

--- TEAM FORMATION & ROLES ---
[ ] Team Lead Assigned? (Yes, No)
[ ] Team Lead Name
[ ] Key Functional Areas Represented (Select all that apply) (Production, Engineering, Quality, Maintenance, Supply Chain, Process Engineering)
[ ] Team Member 1 Name & Role
[ ] Team Member 2 Name & Role
[ ] Number of Team Members
[ ] Brief Description of Team Member Roles & Responsibilities
[ ] Has the Team Received RCA Training? (Yes, No, Not Applicable)

--- 5 WHYS & CAUSE-EFFECT DIAGRAM (FISHBONE) ---
[ ] Describe the Problem Statement in Detail (as understood so far)
[ ] Number of 'Whys' Asked for the Initial Problem
[ ] Record the First 'Why' and the Answer
[ ] Record the Second 'Why' and the Answer
[ ] Record the Third 'Why' and the Answer
[ ] Record the Fourth 'Why' and the Answer
[ ] Record the Fifth 'Why' (or subsequent 'Whys' if needed) and the Answer
[ ] Potential Categories for Fishbone Diagram (e.g., Man, Machine, Method, Material, Measurement, Environment) (Man, Machine, Method, Material, Measurement, Environment, Other)
[ ] List Potential Causes within Each Category of the Fishbone Diagram

--- DATA ANALYSIS & VERIFICATION ---
[ ] Statistical Process Control (SPC) Data Points Analyzed
[ ] Description of Statistical Analysis Performed (e.g., Regression Analysis, Hypothesis Testing)
[ ] Control Chart Type Used (if applicable) (X-Bar and R Chart, X-Bar and S Chart, Individual Measurements Chart, C Chart, U Chart, Other (Specify))
[ ] Summary of Data Trends & Anomalies Observed
[ ] Data Sources Verified for Consistency (ERP System, MES System, Quality Management System, Machine Logs, Manual Records, Calibration Records, Other (Specify))
[ ] Hypothesis Testing Outcome (If Applicable) (Hypothesis Supported, Hypothesis Rejected, Inconclusive)
[ ] Supporting Data Files (e.g., Excel Spreadsheets, Charts)
[ ] Description of how data was verified and cross-referenced

--- ROOT CAUSE IDENTIFICATION & VALIDATION ---
[ ] Describe the identified root cause(s) in detail. Provide supporting evidence and data.
[ ] Which of the following categories best describes the root cause? (Equipment Failure, Process Variation, Human Error, Material Defect, Design Flaw, Environmental Factor, Supplier Issue)
[ ] Assign a risk score (1-10, 10 being highest) to the likelihood of the identified root cause recurring if no corrective action is taken.
[ ] Upload any supporting documents, charts, or graphs that validate the identified root cause(s).
[ ] Explain the methodology used to validate the identified root cause(s). (e.g., statistical analysis, simulation, observation, experimentation)
[ ] Is the identified root cause validated by the team? (Yes, No)
[ ] If the root cause is not validated, explain why and what further investigation is needed.

--- CORRECTIVE ACTIONS & IMPLEMENTATION PLAN ---
[ ] Detailed Description of Corrective Action(s)
[ ] Estimated Cost of Implementation
[ ] Planned Start Date of Implementation
[ ] Planned Completion Date of Implementation
[ ] Responsible Department/Team (Production, Maintenance, Engineering, Quality Assurance, Supply Chain)
[ ] Implementation Priority (High, Medium, Low) (High, Medium, Low)
[ ] Resources Required (Check all that apply) (Personnel, Equipment, Software, Training, Materials)
[ ] Potential Risks/Challenges in Implementation

--- VERIFICATION & MONITORING ---
[ ] Baseline Performance Metric Value (Before Action)
[ ] Target Performance Metric Value (After Action)
[ ] Actual Performance Metric Value (Post-Implementation)
[ ] Date of First Verification Measurement
[ ] Frequency of Verification Measurements (e.g., weekly, monthly)
[ ] Verification Measurement Status (Within Tolerance, Outside Tolerance, Data Not Available)
[ ] Notes on Verification Measurement (e.g., deviations, anomalies)
[ ] Date of Next Scheduled Verification

--- DOCUMENTATION & LESSONS LEARNED ---
[ ] Summary of RCA Process & Findings
[ ] Detailed Description of Corrective Actions Implemented
[ ] Estimated Cost of Corrective Actions
[ ] Date of RCA Completion
[ ] Lessons Learned & Recommendations for Future RCAs
[ ] Categories of System/Process Impacted by the Root Cause? (Equipment, Process, Material, Training, Design, Other)
[ ] Contact Person for Follow-up & Verification
[ ] Supporting Documentation (e.g., data reports, diagrams)

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