root cause analysis forms

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Root Cause Analysis Site: Location: Problem Statement: Problem Containment: Improvement Objective, Scope and Goals (timeframe): Metric(s) where required: 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 11/16/2001 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 0 5 10 15 20 Project Y

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Page 1: Root Cause Analysis Forms

Root Cause Analysis

Site: Location:Problem Statement:

Problem Containment:

Improvement Objective, Scope and Goals (timeframe):

Metric(s) where required:

Tasks and TimelinesSteps Activity

1. Define &Contain the Problem

2. Measurethe Problem

3. PerformRoot CauseAnalysis

4. Plan & ImplementImprovement

5. Assess

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Page 2: Root Cause Analysis Forms

Effectivenessof Improvement

6. Standardize& Control

7. Realize &Reflect

Team MembersTeam Leader:

Team Members:

Responsible Manager:© Thomas A. Little Consulting 2002

Metric Name:Measurement Frequency:

Date: Measure1 11/16/2001 152 11/17/2001 163 11/18/2001 144 11/19/2001 155 11/20/2001 16.56 11/21/2001 14.87 11/22/2001 15.28 11/23/2001 13.89 11/24/2001 12.9

10 11/25/2001 13.411 11/26/2001 12.512 11/27/2001 6.513 11/28/2001 5.414 11/29/2001 5.315 11/30/2001 4.316 12/1/2001 3.317 12/2/2001 4.518 12/3/2001 4.819 12/4/2001 3.720 12/5/2001 3.821 12/6/2001 2.922 12/7/2001 3.523 12/8/2001 3.824 12/9/2001 2.725 12/10/2001 2.5

Page 3: Root Cause Analysis Forms

Problem Name: Number:

Revision Date:

Summary of Root Cause (Use RC Analysis Sheet):

Solution(s) to the Problem:

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

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Page 4: Root Cause Analysis Forms

On Plan/On Schedule On PlanBehind Plan, with effort can return to schedule Behind

Behind Plan and unable to meet schedule LateChange of Plan Change

Task Completed Complete

Page 5: Root Cause Analysis Forms

Suppliers Input1 1 Start Point:

23

2 12 Operation or Activity3 1

3 1 22 33 4

4 1 52 63 7

Add additional rows where needed 89

1011

End Point:

© Thomas A. Little Consulting 2002

Who are the suppliers for our product or service? How capable are they in meeting our process requirements?

What must my suppliers provide to my process to meet my needs?

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

Process

Page 6: Root Cause Analysis Forms

Output Customers1 1

22 1

2Operation or Activity 3 1

24 1

25 1

26 1

2

What is the most appropriate end point for the process? What product or service does the process deliver to the customer?

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

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

Process (High Level)

Page 7: Root Cause Analysis Forms

Root Cause Analysis Start Date:Use lines and or color bars to indicate start and stop dates for each activity

Phase: Activity Start Date End Date Assigned to: 11/16/20011. Define andContain the Problem

2. Measure the Problem

3. Perform Root CauseAnalysis

4. Plan andImplementImprovement

5. Assess Effectiveness ofImprovement

6. Standardizeand Control

7. Realize andReflect

© Thomas A. Little Consulting 2002

Page 8: Root Cause Analysis Forms

11/16/2001Use 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

Page 9: Root Cause Analysis Forms

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

Page 10: Root Cause Analysis Forms

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

Page 11: Root Cause Analysis Forms

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

Page 12: Root Cause Analysis Forms

RCA Brainstorm Potential Root Causes

Rank Potential Root Cause Supporting Data & Analysis?* Source?

© Thomas A. Little Consulting 2002

*Common types of data and analysis Analysis description:1 Detailed Process Review Careful walkthrough of the process step by step to determine the source, nature and frequency of the problem2 Process Mapping Detailed process flow analysis to understand all the steps of the process, how the problem occurs and to document the process flow3 Visual Analysis Visual examination of the problem and visual documentation such as digital photos and videos 4 Cause and Effect (Event) Analysis Examination of the potential relationship of factors and or event conditions on the problem5 Data Collection and Analysis Measurement of performance from the product or process and an analysis of current data and associated factor effects6 Additional Tests and Experiments Additional tests or experiments designed to understand the current situation and determine the root cause

Problem Statement:

Page 13: Root Cause Analysis Forms

Who? When?

Careful walkthrough of the process step by step to determine the source, nature and frequency of the problemDetailed process flow analysis to understand all the steps of the process, how the problem occurs and to document the process flowVisual examination of the problem and visual documentation such as digital photos and videos Examination of the potential relationship of factors and or event conditions on the problemMeasurement of performance from the product or process and an analysis of current data and associated factor effectsAdditional tests or experiments designed to understand the current situation and determine the root cause

Page 14: Root Cause Analysis Forms

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

© Thomas A. Little Consulting 2002

Page 15: Root Cause Analysis Forms

LSL Target

Page 16: Root Cause Analysis Forms

RCA Process MapOrganization Operation Sequence or TimeOrganization 1

Organization 2

Yes

No

Organization 3

© Thomas A. Little Consulting 2002

StartOperation 1

Correct?

Operation 2

Operation 2

Start or End Operation

Page 17: Root Cause Analysis Forms

Operation 2End

OperationWait or Delay

Decision

Storage

Page 18: Root Cause Analysis Forms

RCA Data Collection PlanDefine What to Measure Define How to Measure

Type of Operational Measurement Data Tags NeededMeasure 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. Suchto 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 collectionare defined.

© Thomas A. Little Consulting 2002

Page 19: Root Cause Analysis Forms

Define How to Measure Who will Sample PlanDo it?

Data Collection Person(s) What? Where? When? How Many?Method Assigned

Manual? State What Location How The numberSpreadsheet? who has measure is for often of data

Computer based? the being data the points etc. responsibility? collected collection data collected

is per samplecollected

Page 20: Root Cause Analysis Forms

RCA Cause and Effect Table

Measurement Materials Machine (Process and Test)Poor repeatability Defective Poor reproducibility Off-specificationPoor accuracy ContaminatedPoor stability Improper storage conditionsPoor linearity Labeling or identificationInvalid measurement or test method Incorrect amount or quantity Excessive test or measurement Improper transportation or handlingOther (state potential cause) Expiration date exceeded or unknown

Method Problem with product design EnvironmentIncorrect definition Wrong materials

Incorrect sequence Other (state potential cause)

Missing definitions, implicit rules PeoplePoor process controls Level of staffing

Poor measurement controls Training

Lack of critical information Competency or experience

Incorrect information SupervisionExcessive queues or out-time Conflicting goalsHandling Compliance with proceduresOrientation Personality issuesPoor management of change Physical ability or functionIncorrect revision Cognitive ability and functionOther (state potential cause) Knowledge deficit

Communication with peers or supervisorOther (state potential cause)

© Thomas A. Little Consulting 2002

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

Page 21: Root Cause Analysis Forms

Machine (Process and Test)Machine maintenance or calibrationMachine controls or lack of controlsMachine fault or defectSoftware or network fault Machine related contaminationMachine tooling or fixturesIncorrect machine or testerOther (state potential cause)

EnvironmentPhysical environment (ESD, lighting, etc.)

Security or safety systems

Distractions in the environment

Particulates

Contamination

Other (state potential cause)

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

Page 22: Root Cause Analysis Forms

Root Cause(s) Analysis Summary

Analysis Method Completed

Process Review Potential Factor Review Date Who?

Priority 3 Factor 1

Priority 5 Factor 2

Process MapPriority 1 Factor 3

Priority 2 Factor 4

Visual AnalysisPriority 6 Factor 5

Analysis of DataPriority 7 Factor 6

Additional Tests or ExperimentsPriority 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 Careful walkthrough of the process step by step to determine the source, nature and frequency of the problem2 Process Mapping Detailed process flow analysis to understand all the steps of the process, how the problem occurs and to document the process flow3 Visual Analysis Visual examination of the problem and visual documentation such as digital photos and videos 4 Cause and Effect (Event) Analysis Examination of the potential relationship of factors and or event conditions on the problem5 Data Collection and Analysis Measurement of performance from the product or process and an analysis of current data and associated factor effects6 Additional Tests and Experiments Additional tests or experiments designed to understand the current situation and determine the root cause

Page 23: Root Cause Analysis Forms

Investigation % Validation Validation Validation

Method Result Effect Method Date Results

% Unexplained

Careful walkthrough of the process step by step to determine the source, nature and frequency of the problemDetailed process flow analysis to understand all the steps of the process, how the problem occurs and to document the process flowVisual examination of the problem and visual documentation such as digital photos and videos Examination of the potential relationship of factors and or event conditions on the problemMeasurement of performance from the product or process and an analysis of current data and associated factor effectsAdditional tests or experiments designed to understand the current situation and determine the root cause

Page 24: Root Cause Analysis Forms

Solution Evaluation FormList Root Cause(s) List Solutions % Effect Estimated Cost ComplexityRoot Cause 1 Solutions 1

% of cost time oreffect of effort to

solution solution implementwill have implementation short term?on the long term?

root cause

Root Cause 2

* Use Risk Assessment Form

© Thomas A. Little Consulting 2002

Page 25: Root Cause Analysis Forms

Estimated Benefit Risk* Priority Validation?

savings High Order Needdue to Medium of potential to solution or solution verify

or Low implmentation effectivenessimprovement 1st, 2nd, 3rd of solutionin customersatisfaction

Page 26: Root Cause Analysis Forms

Risk Assessment FormList the Solution or Failure Mode Severity ProbabilityMajor 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

Page 27: Root Cause Analysis Forms

Score Action Owner Due(High scores Plan Date

need attention)