Root cause analysis | Civil Aviation Authority

This page provides a guide for airworthiness approved organisations to assist in the process of identifying a root cause of an occurrence/non-conformance and the subsequent corrective and preventive action planning required to satisfy the requirements of ICAO, EASA, the EU and the UK CAA.

Current Part M, Part 21, Part 145 and Part 147 regulations require organisations to ‘identify the root cause and ensure ‘corrective action to the satisfaction of the competent authority for both NAA audit non-conformances and occurrence reports.

From a CAA perspective the quality of responses detailing with root cause, corrective and preventive actions varies considerably and is believed to contribute, at least in part, to repeat or similar non-conformances that can affect both safety and compliance.

With the advent of Regulation (EU) No 376/20143 on the reporting, analysis and follow-up of occurrences in civil aviation, the Authority is required to assess all submitted Mandatory Occurrence Reports (MORs) / Voluntary Occurrence Reports (VORs) with respect to root cause and corrective actions to enable closure in ECCAIRS. Poor organisational, root cause analysis and corrective action response
plans could lead to organisations exceeding the reporting/closure times mandated by the regulation or a repeat of the occurrence internally due to inadequate identification of the true root cause.

Policy

Root cause analysis process document (CAP 1760) - provides detailed information on recommended practices with regard to identifying root cause.
Tables
- Root cause analysis table (Word document)
- Event closure table (Word document)
- Event record table (Word document)
Root cause analysis roadmap - provides guidance on the key steps of root cause analysis, corrective action and preventative action identification.