What is the difference between a root cause and a contributing factor?

A root cause is the fundamental underlying condition or systemic failure that, if eliminated, would prevent the incident from recurring. A contributing factor is a condition that increased the likelihood or severity of the incident but did not directly cause it on its own. For example, if a machine failed because a bearing was not replaced at the scheduled interval, the root cause might be an inadequate maintenance scheduling system that failed to generate the work order. Contributing factors might include high workload that discouraged proactive maintenance and a parts inventory system that did not stock the replacement bearing.

How does root cause analysis relate to ISO 9001 corrective action requirements?

ISO 9001:2015 Section 10.2 requires organisations to determine the cause of non-conformities and take action to eliminate the root cause so the non-conformity does not recur. Root cause analysis is the investigation methodology that fulfils this requirement. The standard requires that the organisation evaluate the need for action, implement corrective actions, review effectiveness and update risks and opportunities. A structured RCA template provides the documented evidence that these requirements have been met, which is reviewed during internal and external certification audits.

When should a formal root cause analysis be conducted?

A formal team-based RCA should be conducted for every significant incident, including safety injuries, regulatory breaches, major quality failures, significant equipment failures and serious customer complaints. Near misses with high potential consequences also warrant formal investigation. The depth of investigation should be proportional to the actual and potential severity of the event. Minor non-conformances may be investigated using a simplified 5 Whys approach by the process owner, while critical incidents require a dedicated investigation team with a structured methodology.

What is the difference between 5 Whys and a fishbone diagram in root cause analysis?

The 5 Whys method is a linear questioning technique that follows a single chain of causation by repeatedly asking "why" until the root cause is reached. It works well for straightforward problems with a clear causal chain. A fishbone (Ishikawa) diagram is a visual tool that categorises potential contributing factors across multiple categories (people, process, equipment, materials, environment, management) simultaneously. It works well for complex problems with multiple contributing factors. Many investigators use both methods together, starting with a fishbone diagram to map all potential factors and then applying 5 Whys to drill down on the most significant causal chains.

Is this root cause analysis template free?

Yes. Download and use this root cause analysis template at no cost. Open the file in your browser and use Print then Save as PDF for a paper copy. No MapTrack account is required. If you want digital RCA investigations on mobile with photo evidence, corrective action assignment, effectiveness verification tracking and incident trend dashboards, MapTrack can do that. Book a demo to see how it works.

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Free root cause analysis template (PDF-ready). Covers 5 Whys, fishbone diagrams, contributing factors, corrective actions and effectiveness verification. Download free.

Jarrod Milford

Commercial Director

Updated 3 May 2026

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What is a root cause analysis template?

A root cause analysis (RCA) template is a structured document used to systematically investigate an incident, failure, non-conformance or undesirable outcome to identify its underlying cause rather than just its symptoms. It guides investigators through defining the problem, collecting evidence, analysing contributing factors using structured methodologies (5 Whys, fishbone diagrams, fault tree analysis), identifying the root cause, developing corrective actions and verifying their effectiveness. The template provides a repeatable framework that ensures investigations are thorough, objective, evidence-based and documented.

Root cause analysis is used across every industry where understanding why something went wrong is essential for preventing recurrence. In manufacturing, it investigates product defects and process failures. In healthcare, it analyses adverse events and near misses. In construction and mining, it examines safety incidents and equipment failures. In quality management systems such as ISO 9001, it forms the investigation component of the corrective action process. Without a structured RCA approach, organisations tend to address only the visible symptoms of problems, implementing quick fixes that leave the underlying cause untouched. This results in recurring failures, repeated incidents, wasted resources and a gradual erosion of confidence in the organisation ability to manage quality and safety.

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Benefits of using this root cause analysis template

Recurrence prevention: identifying and addressing the true root cause eliminates the underlying condition that caused the problem, rather than just treating symptoms.
Structured investigation: the template provides a step-by-step framework that ensures investigators follow a logical, evidence-based process rather than jumping to conclusions.
Consistent documentation: a standardised template ensures every investigation is documented with the same level of rigour, making it easier to compare, review and learn from past investigations.
Compliance support: a documented RCA process satisfies the investigation requirements of ISO 9001:2015 Section 10.2, WHS legislation, industry regulations and customer quality requirements.
Knowledge capture: completed RCA documents capture organisational knowledge about failure modes, contributing factors and effective countermeasures that can be referenced for future investigations.
Accountability: clear assignment of corrective actions to named individuals with due dates and effectiveness verification ensures that investigation findings translate into actual improvements.

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What to include in a root cause analysis template

This root cause analysis template covers 8 key areas:

Investigation header: unique RCA reference number, investigation title, date of event, date investigation initiated, lead investigator name, investigation team members and investigation status (open, in progress, awaiting verification, closed).
Problem statement: clear, factual description of what happened, when it happened, where it happened, who was affected, the magnitude or severity of the impact and the immediate consequences.
Evidence collection: list of evidence gathered during the investigation, including photographs, measurements, process records, equipment logs, maintenance records, training records, witness statements and environmental data.
Timeline reconstruction: chronological sequence of events leading up to, during and after the incident, with times, actions, decisions and conditions recorded to establish the chain of events.
5 Whys analysis: iterative questioning starting from the problem statement, asking "why" at each level until the root cause is reached (typically five to seven iterations, though the actual number depends on the complexity).
Fishbone (Ishikawa) diagram: categorised analysis of contributing factors across people, process, equipment, materials, environment and management system categories.
Root cause statement: concise statement of the identified root cause, supported by evidence from the investigation, distinguishing the root cause from contributing factors.
Corrective action plan: specific actions to eliminate the root cause, responsible person for each action, due dates, resources required, changes to procedures or controls, and effectiveness verification method and date.

How to use this root cause analysis template

Define the problem clearly, assemble the investigation team and collect all available evidence before beginning the analysis.: Write a clear, factual problem statement that describes what happened, when, where, who was affected and the severity of the impact. Avoid assumptions, opinions or premature conclusions. Assemble an investigation team that includes people with knowledge of the process, equipment or system involved. Collect all available evidence including photographs, process data, equipment logs, maintenance records, training records and witness statements. Preserve physical evidence where relevant.
Reconstruct the timeline of events and identify the sequence of actions, decisions and conditions that led to the incident.: Map out the chronological sequence of events from normal operating conditions through to the incident and its immediate aftermath. Include times, actions taken by each person, decisions made, equipment states, environmental conditions and any deviations from normal procedures. Identify the points where the sequence diverged from the expected or planned path. The timeline often reveals contributing factors that are not immediately obvious from the problem statement alone.
Apply structured analysis methods (5 Whys, fishbone diagram or both) to identify contributing factors and drill down to the root cause.: Start the 5 Whys analysis from the problem statement and ask "why" at each level, following the chain of causation until you reach a cause that can be directly addressed. If multiple causal chains exist, follow each one. Use a fishbone diagram to categorise contributing factors across people, process, equipment, materials, environment and management system categories. The root cause is typically a systemic issue such as an inadequate procedure, missing control, insufficient training, design flaw or management system gap, rather than individual human error.
Document the root cause statement, distinguishing it from contributing factors, and develop corrective actions that specifically address the root cause.: Write a concise root cause statement that is supported by the evidence collected during the investigation. Contributing factors that increased the likelihood or severity of the incident should be documented separately but also addressed. Develop corrective actions that specifically eliminate the root cause, not just the symptoms. For each action, define what will be done, who is responsible, the due date, the resources required and any changes to procedures, training, equipment or controls.
Implement corrective actions, verify their effectiveness after an appropriate period and close the investigation with lessons learned documented.: Implement each corrective action by the assigned due date and record the completion evidence. After an appropriate verification period (typically 30 to 90 days), assess whether the corrective action has been effective by reviewing whether the problem has recurred, whether similar issues have been prevented and whether the intended improvement is sustained. Document lessons learned and share them with relevant teams. Close the investigation with sign-off from the lead investigator and the accountable manager.

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How often should you complete this report?

Root cause analysis is conducted in response to specific events rather than on a fixed schedule. Every significant non-conformance, safety incident, near miss, equipment failure, customer complaint or quality escape should trigger an RCA investigation. The depth and rigour of the investigation should be proportional to the severity and potential consequences of the event. Critical incidents (injuries, regulatory breaches, major quality failures) warrant a full team-based RCA within days. Major non-conformances should be investigated within two weeks. Minor issues may be investigated using a simplified 5 Whys approach.

Organisations should review their RCA register at least monthly to monitor open investigations, track corrective action completion and identify recurring themes. Quarterly management reviews should include a summary of RCA findings, trends and systemic issues identified. An annual review of the RCA programme itself, assessing investigation quality, timeliness and effectiveness of corrective actions, helps drive continuous improvement of the investigation process.

Frequently asked questions

What is the difference between a root cause and a contributing factor?: A root cause is the fundamental underlying condition or systemic failure that, if eliminated, would prevent the incident from recurring. A contributing factor is a condition that increased the likelihood or severity of the incident but did not directly cause it on its own. For example, if a machine failed because a bearing was not replaced at the scheduled interval, the root cause might be an inadequate maintenance scheduling system that failed to generate the work order. Contributing factors might include high workload that discouraged proactive maintenance and a parts inventory system that did not stock the replacement bearing.
How does root cause analysis relate to ISO 9001 corrective action requirements?: ISO 9001:2015 Section 10.2 requires organisations to determine the cause of non-conformities and take action to eliminate the root cause so the non-conformity does not recur. Root cause analysis is the investigation methodology that fulfils this requirement. The standard requires that the organisation evaluate the need for action, implement corrective actions, review effectiveness and update risks and opportunities. A structured RCA template provides the documented evidence that these requirements have been met, which is reviewed during internal and external certification audits.
When should a formal root cause analysis be conducted?: A formal team-based RCA should be conducted for every significant incident, including safety injuries, regulatory breaches, major quality failures, significant equipment failures and serious customer complaints. Near misses with high potential consequences also warrant formal investigation. The depth of investigation should be proportional to the actual and potential severity of the event. Minor non-conformances may be investigated using a simplified 5 Whys approach by the process owner, while critical incidents require a dedicated investigation team with a structured methodology.
What is the difference between 5 Whys and a fishbone diagram in root cause analysis?: The 5 Whys method is a linear questioning technique that follows a single chain of causation by repeatedly asking "why" until the root cause is reached. It works well for straightforward problems with a clear causal chain. A fishbone (Ishikawa) diagram is a visual tool that categorises potential contributing factors across multiple categories (people, process, equipment, materials, environment, management) simultaneously. It works well for complex problems with multiple contributing factors. Many investigators use both methods together, starting with a fishbone diagram to map all potential factors and then applying 5 Whys to drill down on the most significant causal chains.
Is this root cause analysis template free?: Yes. Download and use this root cause analysis template at no cost. Open the file in your browser and use Print then Save as PDF for a paper copy. No MapTrack account is required. If you want digital RCA investigations on mobile with photo evidence, corrective action assignment, effectiveness verification tracking and incident trend dashboards, MapTrack can do that. Book a demo to see how it works.

Applicable regulatory standards

This template aligns with the following regulations and standards:

ISO 9001:2015 Section 10.2 (Nonconformity and corrective action)
WHS Act 2011 Section 19 (Primary duty of care - investigation obligations)
ISO 45001:2018 Section 10.2 (Incident, nonconformity and corrective action)

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