Root Cause Analysis

This form is a tool for finding causes of process problems and developing actions for eliminating, preventing, and minimizing future problems. Incident Date: Investigator: RCA Initiated by:

Page 1 of 5 Date:

1.Define the problem

Describe the incident. What was defect, how many, how often, etc.

Step (not all required, depending on problem) D 1 Define the problem 2. Map Process (if required) M 3. Gather data 4. Cause/Effect Analysis (Seeking Root Cause) A 5. Verifying root cause with data 6. Solutions & Prevention steps development (including cost/benefit)

Date completed

I C

7. Pilot of implementation 8. Implementation 9. Control/Monitoring Plan (including Process Metrics) 10. Lessons Learned
Do in Visio, then copy to here. Keep Visio page rectangular no more than 7.5 inches wide.

2.Process Map
Sample

Process Incident Investigation

Page 2 of 5

4. Cause/Effect Diagram
Remember Do in Visio, then copy to here. Keep Visio shape rectanular no more than 7.5 inches wide.

SAMPLE

Put Problem Here

Cloud potential root causes

5. Verifying root cause with data

Root Cause Investigation

6.Recommended Solutions
Root Cause
Double-click on template and enter data with Visio
Proposed Solutions Practical Methods Effectiveness Feasibility Cost Benefit

Page 3 of 5
Approval needed by:
Overall Action

Root Cause

Proposed Solutions

Practical Methods

Effectiveness

Feasibility

Cost Benefit

Overall

Action

Scale: 1-None 2-Somewhat 3-Moderate 4-Very 5-Extreme Cost Benefit Annualized cost of problem Percent of problem reduction Cost of proposed solution

1 2 3

Total first year savings (1 x 2 - 3) 7- 8. Action plan for implementation

Who, what , when, where and how

$0.00 0% $0.00 $0.00

If FMEA needed go to FMEA tab

Root Cause Resolution

9. Control Plan (include process metrics)

Page 4 of 5

Lessons Learned

Root Cause Investigation Team:

Role
Process Owner: Team Leader: OE Support: Team member: Team member: Team member: Team member: Team member: Team member: Team member: Name Business Phone Cell Phone

Root Cause Investigation

Assignments Page
DATES Assigned Due Completed Person Task

Page 5 of 5

Page 1

R 3 10/24/2002

FMEA For
SE V Potential Causes OC C Current Controls D ET RPN

Process Step/Input

Potential Failure Mode

Potential Failure Effect

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Page 2

R 3 10/24/2002

FMEA For
SE V Potential Causes OC C Current Controls D ET RPN

Process Step/Input

Potential Failure Mode

Potential Failure Effect

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 Page 3 R 3 10/24/2002 FMEA For

SE V Potential Causes OC C Current Controls D ET RPN

Process Step/Input

Potential Failure Mode

Potential Failure Effect

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 Page 4 R 3 10/24/2002 FMEA For

SE V Potential Causes OC C Current Controls D ET RPN

Process Step/Input

Potential Failure Mode

Potential Failure Effect

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0

Actions Recommended

Responsibility

Action Taken

SE OC D V C ET RPN

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Actions Recommended

Responsibility

Action Taken

SE OC D V C ET RPN

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Actions Recommended

Responsibility

Action Taken

SE OC D V C ET RPN

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0

Actions Recommended

Responsibility

Action Taken

SE OC D V C ET RPN

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0

SEVERITY EVALUATION CRITERIA Effect Criteria: Severity of Effect

HazardousWithout warning HazardousWith warning Very High High Moderate Low

Ranking
10

Very high severity ranking when a potential failure mode effects safe system operation and/or involves noncompliance with a government regulation without warning Very high severity ranking when a potential failure mode effects safe system operation and/or involves noncompliance with a government regulation with warning System / item inoperable, with loss of primary function System / item operable, but at a reduced level of performance. Customer dissatisfied. System / item operable, but comfort / convenience item(s) inoperable. Customer experiences discomfort. System / item operable, but comfort / convenience item(s) operable at a reduced level of performance. Customer experiences some dissatisfaction. Fit & Finish / Squeak & Rattle item does not conform. Defect noticed by most customers. Fit & Finish / Squeak & Rattle item does not conform. Defect noticed by average customers

8 7 6 5

Very Low Minor

4 3

Very Minor None

Fit & Finish / Squeak & Rattle item does not conform. Defect noticed by discriminating customers No effect

2 1

OCCURANCE EVALUATION CRITERIA

Likelihood Failure Mode Will Occur

Probability of failure
Very High: Failure is almost inevitable High: Repeated Failures Moderate: Occasional Failures Low: Relatively few failures Remote: Failure is highly unlikely

Possible failure Rates

> or = 1 in 2 1 in 8 1 in 20 1 in 80 1 in 400 1 in 2,000 1 in 15,000 1 in 150,000 < or = 1 in 1,5000,000

Ranking
10 8 7 6 5 4 3 2 1

DETECTION EVALUATION CRITERIA Likelihood the cause will be detected using the process controls Detection Criteria: Likelihood of Detection by Process Control
Absolute Uncertainty

Ranking
10

Process Control will not and/or cannot detect a potential cause / mechanism and subsequent failure mode; or there is no Process Control Very remote chance Process Control will detect a potential cause / mechanism and subsequent failure mode Remote chance Process Control will detect a potential cause / mechanism and subsequent failure mode Very low chance Process Control will detect a potential cause / mechanism and subsequent failure mode Low chance Process Control will detect a potential cause / mechanism and subsequent failure mode Moderate chance Process Control will detect a potential cause / mechanism and subsequent failure mode Moderately high chance Process Control will detect a potential cause / mechanism and subsequent failure mode High chance Process Control will detect a potential cause / mechanism and subsequent failure mode Very high chance Process Control will detect a potential cause / mechanism and subsequent failure mode Process Control will almost certainly detect a potential cause / mechanism and subsequent failure mode

Very remote Remote Very Low Low Moderate Moderately High High Very High Almost Certain

9 8 7 6 5 4 3 2 1