Determining root causes and implementing preventative measures are essential for maintaining workplace safety in Australia.
This guide walks business owners, managers, and supervisors through the process of conducting root cause analysis (RCA) and implementing preventative actions in line with Australian Work Health and Safety (WHS) legislation.

Understanding Root Cause Analysis (RCA)
Root cause analysis is a systematic process used to identify the underlying causes of workplace incidents, near-misses, or safety concerns. By addressing these root causes, businesses can then prevent similar issues from recurring, ensuring a safer and more efficient workplace.
Why RCA is Crucial for Workplace Safety
Conducting RCA benefits organisations in several ways:
- Developing effective safety strategies that address risks at their source.
- Preventing recurring incidents, reducing workplace disruptions.
- Building trust through improved safety records and compliance.
- Attracting and retaining talent by fostering a culture of safety.
Every investigation is an opportunity for growth and improvement!
How to Conduct Root Cause Analysis
A thorough RCA involves a step-by-step approach to uncover the root causes of workplace incidents:
Step 1: Identify the Problem
Clearly define the safety issue or incident by creating a problem statement that outlines:
- The nature of the issue.
- Observable symptoms.
- Potential consequences.
Step 2: Gather Data
Collect all relevant information about the incident, including:
- Incident reports and documentation.
- Initial observations and actions taken.
- Input from personnel involved.
Documenting all available data is essential for a thorough root cause analysis. Use an incident investigation report form to record details such as the incident description, personnel involved, contributing factors, and initial corrective actions.
If you don’t have an incident investigation report form, we’ve created a Safety Incident Investigation Form that you are welcome to access and use to help you capture essential details.
Step 3: Determine Causal Factors
Identify key contributors to the incident by reconstructing the sequence of events. Understanding these factors helps uncover where processes or systems may have failed.
Step 4: Identify Root Causes
Use tools such as Pareto Analysis or the “5 Whys” technique to trace each causal factor back to its root cause. For example, if a machine failure led to an incident, dig deeper to determine why the machine failed in the first place.
Implementing Preventative Measures
After identifying root causes, the next step is to implement strategies that address risks and prevent recurrence.
Step 1: Develop Safety Procedures
Create clear and practical safety procedures based on the risks associated with specific tasks. Collaborate with employees to ensure the procedures are realistic and effective.
Step 2: Apply the Hierarchy of Control
For most workplace hazards, the hierarchy of control provides a structured way to prioritize safety measures by their effectiveness. This approach ensures that risks are managed using the most reliable controls first:
- Elimination – Remove the hazard entirely.
- Substitution – Replace the hazard with a safer alternative.
- Engineering controls – Isolate people from the hazard through design or physical barriers.
- Administrative controls – Implement policies, procedures, or training to reduce exposure to hazards.
- Personal protective equipment (PPE) – Use equipment to protect workers when other controls are not feasible.
However, psychosocial hazards, such as workplace stress, bullying, or fatigue etc require a different approach. Instead of applying the hierarchy of control, these hazards are required to be managed through strategies like:
- Identifying and addressing workplace culture or systemic issues.
- Providing mental health support and training.
- Implementing fair workloads, clear job expectations, and effective communication systems.
- Encouraging regular feedback and fostering an environment where employees feel safe to report concerns.
Understanding the nature of the hazard and choosing the right management strategy is key to maintaining a safe and healthy workplace for all employees.
For further details on effectively managing psychosocial hazards, consult Safe Work Australia’s Guide to Managing Psychosocial Hazards at Work.
Step 3: Provide Training and Communication
Ensure employees understand the new procedures and their role in maintaining safety. Regular communication between management and staff is key to fostering compliance and engagement.
Step 4: Conduct Inspections and Maintenance
Perform regular workplace inspections and maintain equipment to minimise risks. Ensure tools are in good condition and that any potential hazards are addressed promptly.
Legal Obligations Under Australian WHS Legislation
As a business owner, manager, or supervisor, you are required to:
- Provide a safe work environment and minimise risks, including psychosocial hazards.
- Ensure workers receive appropriate training, information, and supervision.
- Monitor workplace conditions and worker health.
- Maintain workers’ compensation insurance.
Adhering to these obligations helps ensure compliance while protecting employees from harm. For detailed guidance, refer to the resources provided by Safe Work Australia and the relevant WHS Codes of Practice.
Encouraging Continuous Improvement
You might have realised by now that workplace safety isn’t a one-and-done effort. We need to continuously review safety procedures, conduct regular risk assessments, and encourage employee feedback to identify areas for improvement.
By adopting a proactive approach to safety through RCA and preventative measures, businesses can create a safer environment, reduce incidents, and build a culture that prioritises the well-being of employees.
Key Takeaways
Root cause analysis and preventative measures are not only compliance exercises, they are also investments in the safety and success of your business. By addressing risks at their source and promoting and supporting a culture of safety, you can protect your most valuable asset: your people.
ABOUT THE Author - Kylie Dowell
Kylie Dowell is a seasoned WHS consultant, trainer, and safety advocate with over 25 years of experience helping Australian businesses create safer, compliant workplaces.
Through her partnership with TEAMS, an accredited Registered Training Organisation, Kylie delivers a wide range of training up to Advanced Diploma level, empowering businesses with the knowledge and skills to manage safety effectively.
As an approved trainer for Health and Safety Representative (HSR) courses by three Safety Regulators, Kylie has guided countless organisations in building stronger safety cultures and fostering healthier work environments.
Specialising in practical and effective safety solutions, she works closely with small and medium-sized businesses to simplify complex WHS requirements, making safety approachable and achievable.
When she’s not delivering high-quality training or conducting ISO 45001-certified audits, Kylie enjoys collaborating with her clients to design tailored workshops and strategies that suit their unique needs.
Ready to make safety simpler? Get in touch with Kylie today for personalised support.