ISO 14001:2015 EMS Internal Auditor Training

09 Root Causes and Corrective Actions

Root Cause(s):

 The basic cause of something.

 The fundamental reason for the occurrence of a problem.

 A root cause is an initiating cause of either a condition or a causal chain that leads to an outcome or effect of interest.

 The most fundamental, central, or basic causal element of something.

Root Cause Analysis:

 Method of problem solving used for identifying the root causes of faults / nonconformities or problems.

Corrective Action:

 Action to eliminate the cause of a nonconformity and to prevent recurrence

5 Why? Why? Method

 Why? Cause

 Why? Cause

 Why? Cause

 Why? Cause

 Why? Root Cause (no further answer)

Most Popular Root Causes:

ROOT CAUSES CORRECTIVE ACTIONS

 Lack of Awareness / Knowledge  Provide training

 Lack of Competence  Provide training

 Lack of proper Guidance  Provide guidance

 Lack of Systems and Procedures  Develop systems and procedures

 Provide training on systems and procedures

 Systems and Procedures are not effective
 Conduct periodical audits and take suitable actions

 Develop Communication Matrix.

 Poor Communication
 Conduct periodical audits and take suitable actions

 Roles, Duties, Responsibilities, Authorities

 Define and Review the Roles, Duties, Responsibilities,
and Accountabilities not defined or no
Authorities and Accountabilities.
clarity

 Lack of Motivation  Provide training. Change of principles.

 Lack of good culture  Conduct get-together / cultural programs.

 Non-availability of resources (includes

 Provide required resources.
Poor quality tools and equipment)

 Working conditions are bad  Improve working conditions.

 

www.harshatech.com Page: 1 of 1