Root Cause Analysis

Site: Location:
Problem Statement:

Problem Containment:

Improvement Objective, Scope and Goals (timeframe):

Metric(s) where required:

17.5
15
12.5
Project Y

10
7.5
5
2.5
0
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1/1 1/1 1/1 1/1 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/3 2/1/ 2/2/ 2/3/ 2/4/ 2/5/ 2/6/ 2/7/ 2/8/ 2/9/ 2/1
6/2 7/2 8/2 9/2 0/2 1/2 2/2 3/2 4/2 5/2 6/2 7/2 8/2 9/2 0/2 200 200 200 200 200 200 200 200 200 0/2
001 001 001 001 001 001 001 001 001 001 001 001 001 001 001 1 1 1 1 1 1 1 1 1 001
Tasks and Timelines
Steps Activity

1. Define &
Contain the
Problem

2. Measure
the Problem

3. Perform
Root Cause
Analysis

4. Plan &
Implement
Improvement

5. Assess
Effectiveness
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: Measure
1 11/16/2001 15
2 11/17/2001 16
3 11/18/2001 14
4 11/19/2001 15
5 11/20/2001 16.5
6 11/21/2001 14.8
7 11/22/2001 15.2
8 11/23/2001 13.8
9 11/24/2001 12.9
10 11/25/2001 13.4
11 11/26/2001 12.5
12 11/27/2001 6.5
13 11/28/2001 5.4
14 11/29/2001 5.3
15 11/30/2001 4.3
16 12/1/2001 3.3
17 12/2/2001 4.5
18 12/3/2001 4.8
19 12/4/2001 3.7
20 12/5/2001 3.8
21 12/6/2001 2.9
22 12/7/2001 3.5
23 12/8/2001 3.8
24 12/9/2001 2.7
25 12/10/2001 2.5
 Problem Name: Number:
Revision Date:

Summary of Root Cause (Use RC Analysis Sheet):

Solution(s) to the Problem:

1 1 1
2/8/ 2/9/ 2/1
200 200 0/2
1 1 001

Assigned to: Start Date: End Date: Status: Review Date

 On Plan/On Schedule On Plan
Behind Plan, with effort can return to schedule Behind
Behind Plan and unable to meet schedule Late
Change of Plan Change
Task Completed Complete
Who are the suppliers for our product What must my
or service? How capable are they in suppliers provide to Determine the start and end points of the process
meeting our process requirements? my process to meet associated with the problem and the major steps
my needs? in the process.

Suppliers Input Process

1 1 Start Point:
2
3
2 1
2 Operation or Activity
3 1
3 1 2
2 3
3 4
4 1 5
2 6
3 7
Add additional rows where needed 8
9
10
11
End Point:

© Thomas A. Little Consulting 2002

 What is the most
appropriate end point Who are the customers for
for the process? What our product or service?
ermine the start and end points of the process product or service does What are their
ociated with the problem and the major steps the process deliver to requirements for
he process. the customer? performance

rocess (High Level) Output Customers

1 1
2
2 1
2
Operation or Activity 3 1
2
4 1
2
5 1
2
6 1
2
Root Cause Analysis Start Date:
Use lines and or color bars to in
Phase: Activity Start Date End Date Assigned to: 11/16/2001
1. Define and
Contain the
Problem

2. Measure the
Problem

3. Perform
Root Cause
Analysis

4. Plan and
Implement
Improvement

5. Assess
Effectiveness of
Improvement

6. Standardize
and Control

7. Realize and
Reflect

© Thomas A. Little Consulting 2002

 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
© Thomas A. Little Consulting 2002
*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
Supporting Data & Analysis?* Source?
Analysis description:
Careful walkthrough of the process step by step to determine the so
Detailed process flow analysis to understand all the steps of the pro
Visual examination of the problem and visual documentation such a
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?

step 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) Factors (Xs)
Dependent Variable USL LSL Target Independent Variable(s) USL LSL

© Thomas A. Little Consulting 2002

Target
 RCA Process Map
Organization Operation Sequence or Time Start or
Operation
Wait or
End Delay
Organization 1

Operation 1
Start

Organization 2

Operation 2 Yes
Correct?

No

Organization 3
Operation 2

© Thomas A. Little Consulting 2002

 Storage
Wait or Decision
Delay

End
RCA Data Collection Plan
Define What to Measure Define How to Measure

Type of Operational Measurement Data Tags Needed

Measure Measure Definition or Test Method to Stratify the Data

Name of X or Y Clear definition of Visual Data tags are

parameter attribute or the measurement inspection defined for the
or condition discrete defined in such a or automated measure. Such
to be data, way as to achieve test? as: time, date,
measured product or repeatable results Test instruments location, tester,
process from multiple are defined. line, customer,
data observers buyer, operator,
Procedures for etc.
data collection
are defined.
© Thomas A. Little Consulting 2002
w to Measure Who will Sample Plan
Do it?
Data Collection Person(s) What? Where? When? How Many?
Method Assigned

Manual? State What Location How The number

Spreadsheet? who has measure is for often of data
Computer based? the being data the points
etc. responsibility? collected collection 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 Materials Machine (Process
Poor repeatability Defective
Poor reproducibility Off-specification
Poor accuracy Contaminated
Poor stability Improper storage conditions
Poor linearity Labeling or identification
Invalid measurement or test method Incorrect amount or quantity
Excessive test or measurement Improper transportation or handling
Other (state potential cause) Expiration date exceeded or unknown
Method Problem with product design Environment
Incorrect definition Wrong materials
Incorrect sequence Other (state potential cause)
Missing definitions, implicit rules People
Poor process controls Level of staffing
Poor measurement controls Training
Lack of critical information Competency or experience
Incorrect information Supervision
Excessive queues or out-time Conflicting goals
Handling Compliance with procedures
Orientation Personality issues
Poor management of change Physical ability or function
Incorrect revision Cognitive ability and function
Other (state potential cause) Knowledge deficit
Communication with peers or supervisor
Other (state potential cause)

© Thomas A. Little Consulting 2002

sues 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 Completed
Process Review Potential Factor Review Date Who?
Priority 3 Factor 1
Priority 5 Factor 2
Process Map
Priority 1 Factor 3
Priority 2 Factor 4
Visual Analysis
Priority 6 Factor 5
Analysis of Data
Priority 7 Factor 6
Additional Tests or Experiments
Priority 8 Factor 7
Cause and Effect (Event) Analysis
Priority 4 Factor 8
© Thomas A. Little Consulting 2002

NC - Non Contributor IDX - Data not available

PC - Partial Contributor RC - Root Cause
ID - Insufficient Data RCX - Root Cause Not Controllable

*Common types of data and analysis Analysis description:

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
Careful walkthrough of the process step by step to determine the
Detailed process flow analysis to understand all the steps of the
Visual examination of the problem and visual documentation suc
Examination of the potential relationship of factors and or event
Measurement of performance from the product or process and a
Additional tests or experiments designed to understand the curre
 Investigation % Validation Validation Validation
Method Result Effect Method Date 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) List Solutions % Effect Estimated Cost Complexity
Root Cause 1 Solutions 1
% of cost time or
effect of effort to
solution solution implement
will have implementation short term?
on the long term?
root cause

Root Cause 2

* Use Risk Assessment Form

© Thomas A. Little Consulting 2002

Estimated Benefit Risk* Priority Validation?

savings High Order Need

due to Medium of potential to
solution or solution verify
or Low implmentation effectiveness
improvement 1st, 2nd, 3rd of solution
in customer
satisfaction
Risk Assessment Form
List the Solution or Failure Mode Severity Probability
Major Elements of (What can go wrong) (1-10) (10 is
Your Solution List each failure mode 10 is Worst very probable)
1.Solution
a)

b)

c)

2. Solution a)

b)

c)

3. Solution a)

b)

© Thomas A. Little Consulting 2002

 Score Action Owner Due
(High scores Plan Date
need attention)