Root Cause Analysis

Site: Problem Statement: Location:

Problem Containment:

Improvement Objective, Scope and Goals (timeframe):

Metric(s) where required:

18 16 14 12 10 8 6 4 2 0

Project Y

Steps 1. Define & Contain the Problem 2. Measure the Problem 3. Perform Root Cause Analysis 4. Plan & Implement Improvement 5. Assess Effectiveness

Tasks and Timelines Activity

of Improvement 6. Standardize & Control 7. Realize & Reflect

Team Members Team Leader: Team Members:

Responsible Manager:
Thomas A. Little Consulting 2002

Metric Name: Measurement Frequency: Date: 1 11/16/2001 2 11/17/2001 3 11/18/2001 4 11/19/2001 5 11/20/2001 6 11/21/2001 7 11/22/2001 8 11/23/2001 9 11/24/2001 10 11/25/2001 11 11/26/2001 12 11/27/2001 13 11/28/2001 14 11/29/2001 15 11/30/2001 16 12/1/2001 17 12/2/2001 18 12/3/2001 19 12/4/2001 20 12/5/2001 21 12/6/2001 22 12/7/2001 23 12/8/2001 24 12/9/2001 25 12/10/2001

Measure 15 16 14 15 16.5 14.8 15.2 13.8 12.9 13.4 12.5 6.5 5.4 5.3 4.3 3.3 4.5 4.8 3.7 3.8 2.9 3.5 3.8 2.7 2.5

Problem Name: Revision Date:

Number:

Summary of Root Cause (Use RC Analysis Sheet):

Solution(s) to the Problem:

Assigned to:

Start Date:

End Date:

Status:

Review Date

On Plan/On Schedule Behind Plan, with effort can return to schedule Behind Plan and unable to meet schedule Change of Plan Task Completed

On Plan Behind Late Change Complete

What must my Who are the suppliers for our product suppliers provide to or service? How capable are they in my process to meet meeting our process requirements? my needs?

Determine the start and end points of the process associated with the problem and the major steps in the process.

Suppliers
1 2

Input
1 2 3 1 2 3 1 2 3 1 2 3

Process
Start Point:

(High Level)

Add additional rows where needed

Operation or Activity 1 2 3 4 5 6 7 8 9 10 11 End Point:

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What is the most appropriate end point for the process? What termine the start and end points of the process product or service does sociated with the problem and the major steps the process deliver to he process. the customer? (High Level)

Who are the customers for our product or service? What are their requirements for performance

rocess

Output
1 2

Customers
1 2 1 2 1 2 1 2 1 2 1 2

Operation or Activity

3 4 5 6

Root Cause Analysis

Phase: 1. Define and Contain the Problem 2. Measure the Problem Activity

Start Date: Use lines and or color bars to in Start Date End Date Assigned to: 11/16/2001

3. Perform Root Cause Analysis 4. Plan and Implement Improvement 5. Assess Effectiveness of Improvement 6. Standardize and Control

7. Realize and Reflect

11/16/2001 Use lines and or color bars to indicate start and stop dates for each activity 11/17/2001 11/18/2001 11/19/2001 11/20/2001 11/21/2001 11/22/2001 11/23/2001 11/24/2001

11/25/2001 11/26/2001 11/27/2001 11/28/2001 11/29/2001 11/30/2001 12/1/2001 12/2/2001

12/3/2001 12/4/2001 12/5/2001 12/6/2001 12/7/2001 12/8/2001 12/9/2001 12/10/2001 12/11/2001

12/12/2001 12/13/2001 12/14/2001 12/15/2001 12/16/2001

RCA Brainstorm Potential Root Causes

Problem Statement:

Rank

Potential Root Cause

Supporting Data & Analysis?*

Source?

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*Common types of data and analysis 1 Detailed Process Review 2 Process Mapping 3 Visual Analysis 4 Cause and Effect (Event) Analysis 5 Data Collection and Analysis 6 Additional Tests and Experiments

Analysis description: Careful walkthrough of the process step by step to determine the s Detailed process flow analysis to understand all the steps of the pro Visual examination of the problem and visual documentation such Examination of the potential relationship of factors and or event con Measurement of performance from the product or process and an a Additional tests or experiments designed to understand the current

Who?

When?

tep by step to determine the source, nature and frequency of the problem derstand all the steps of the process, how the problem occurs and to document the process flow nd visual documentation such as digital photos and videos ship of factors and or event conditions on the problem he product or process and an analysis of current data and associated factor effects gned to understand the current situation and determine the root cause

Measure
Responses or Outputs (Ys) Dependent Variable Factors (Xs) USL LSL Target Independent Variable(s) USL

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LSL Target

RCA Process Map

Organization
Organization 1
Operation 1

Operation Sequence or Time

Start or End

Operation

Start

Organization 2
Operation 2 Correct?

Yes

No Organization 3
Operation 2

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Storage Operation Wait or Delay

Decision

Operation 2

End

RCA Data Collection Plan

Define What to Measure
Type of Measure X or Y attribute or discrete data, product or process data Operational Definition

Define How to Measure

Measurement or Test Method Data Tags Needed to Stratify the Data Data tags are defined for the measure. Such as: time, date, location, tester, line, customer, buyer, operator, etc.

Measure Name of parameter or condition to be measured

Clear definition of Visual the measurement inspection defined in such a or automated way as to achieve test? repeatable results Test instruments from multiple are defined. observers Procedures for data collection are defined.

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w to Measure
Data Collection Method

Who will Do it?

Person(s) Assigned What?

Sample Plan
Where? When? How Many?

Manual? State What Spreadsheet? who has measure is Computer based? the being etc. responsibility? collected

Location for data collection

How The number often of data the points data collected is per sample collected

RCA Cause and Effect Table

Place an X in all boxes that may apply to the problem under investigation. Add additional issues that may apply based on

Measurement
Poor repeatability Poor reproducibility Poor accuracy Poor stability Poor linearity Invalid measurement or test method Excessive test or measurement Other (state potential cause) Incorrect definition Incorrect sequence Missing definitions, implicit rules Poor process controls Poor measurement controls Lack of critical information Incorrect information Excessive queues or out-time Handling Orientation Poor management of change Incorrect revision Other (state potential cause)

Materials
Defective Off-specification Contaminated Improper storage conditions Labeling or identification Incorrect amount or quantity Improper transportation or handling Expiration date exceeded or unknown Problem with product design Wrong materials Other (state potential cause)

Machine (Proce

Method

Environment

People
Level of staffing Training Competency or experience Supervision Conflicting goals Compliance with procedures Personality issues Physical ability or function Cognitive ability and function Knowledge deficit Communication with peers or supervisor Other (state potential cause) x

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ues that may apply based on brainstorming.

Machine (Process and Test)

Machine maintenance or calibration Machine controls or lack of controls Machine fault or defect Software or network fault Machine related contamination Machine tooling or fixtures Incorrect machine or tester Other (state potential cause)

Environment
Physical environment (ESD, lighting, etc.) Security or safety systems Distractions in the environment Particulates Contamination Other (state potential cause)

Root Cause(s) Analysis Summary

Analysis Method

Process Review
Priority 3 Priority 5

Potential Factor Factor 1 Factor 2 Factor 3 Factor 4 Factor 5 Factor 6 Factor 7 Factor 8 NC - Non Contributor PC - Partial Contributor ID - Insufficient Data

Completed Review Date

Who?

Process Map
Priority 1 Priority 2

Visual Analysis
Priority 6

Analysis of Data
Priority 7 Priority 8 Priority 4
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Additional Tests or Experiments Cause and Effect (Event) Analysis

IDX - Data not available RC - Root Cause RCX - Root Cause Not Controllable

*Common types of data and analysis 1 Detailed Process Review 2 Process Mapping 3 Visual Analysis 4 Cause and Effect (Event) Analysis 5 Data Collection and Analysis 6 Additional Tests and Experiments

Analysis description: Careful walkthrough of the process step by step to determine th Detailed process flow analysis to understand all the steps of the Visual examination of the problem and visual documentation su Examination of the potential relationship of factors and or event Measurement of performance from the product or process and Additional tests or experiments designed to understand the curr

Investigation Method

Result

% Validation Effect Method

Validation Date

Validation Results

% Unexplained

he process step by step to determine the source, nature and frequency of the problem nalysis to understand all the steps of the process, how the problem occurs and to document the process flow e problem and visual documentation such as digital photos and videos ntial relationship of factors and or event conditions on the problem mance from the product or process and an analysis of current data and associated factor effects iments designed to understand the current situation and determine the root cause

Solution Evaluation Form

List Root Cause(s) Root Cause 1 List Solutions Solutions 1 % Effect % of effect solution will have on the root cause Estimated Cost cost of solution implementation Complexity time or effort to implement short term? long term?

Root Cause 2

* Use Risk Assessment Form

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Estimated Benefit savings due to solution or improvement in customer satisfaction

Risk* High Medium or Low

Priority Order of potential solution implmentation 1st, 2nd, 3rd

Validation? Need to verify effectiveness of solution

Risk Assessment Form

List the Solution or Major Elements of Your Solution 1.Solution a) b) c) Failure Mode (What can go wrong) List each failure mode Severity (1-10) 10 is Worst Probability (10 is very probable)

2. Solution

a) b) c)

3. Solution

a) b)

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Score (High scores need attention)

Action Plan

Owner

Due Date