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Root Cause Analysis

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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:

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)
I
7. Pilot of implementation
8. Implementation
C
9. Control/Monitoring Plan (including Process Metrics)
10. Lessons Learned

2.Process Map
Do in Visio, then copy to here. Keep Visio page rectangular no more than 7.5 inches wide.

Sample

Date:

Date completed

Process Incident Investigation

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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

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Double-click on template and enter data with Visio

Proposed
Solutions

Practical Methods

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

If FMEA needed go to FMEA tab

$0.00
0%
$0.00
$0.00

Effectiveness

Approval needed by:

Feasibility

Cost Benefit

Overall

Action

Root Cause Resolution

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9. Control Plan (include process metrics)

Lessons Learned

Root Cause Investigation Team:


Role
Process Owner:
Team Leader:
OE Support:
Team member:
Team member:
Team member:
Team member:
Team member:

Name

Business Phone

Cell Phone

Team member:
Team member:

Root Cause Investigation

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Assignments Page
DATES
Assigned
Due

Completed

Person

Task

Page 1

R 3 10/24/2002

FMEA For

Process Step/Input

Potential Failure Mode

Potential Failure Effect

SE
V Potential Causes

OC
C Current Controls

D
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
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R 3 10/24/2002

FMEA For

Process Step/Input

Potential Failure Mode

Potential Failure Effect

SE
V Potential Causes

OC
C Current Controls

D
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
Page 3

R 3 10/24/2002

FMEA For

Process Step/Input

Potential Failure Mode

Potential Failure Effect

SE
V Potential Causes

OC
C Current Controls

D
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
Page 4

R 3 10/24/2002

FMEA For

Process Step/Input

Potential Failure Mode

Potential Failure Effect

SE
V Potential Causes

OC
C Current Controls

D
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

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

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

Ranking

Very high severity ranking when a potential failure mode effects safe
system operation
Without warning and/or involves noncompliance with a government regulation without
warning

10

Hazardous-

Very high severity ranking when a potential failure mode effects safe
system operation

With warning

and/or involves noncompliance with a government regulation with


warning

Very High

System / item inoperable, with loss of primary function


System / item operable, but at a reduced level of performance.
Customer dissatisfied.

Moderate

System / item operable, but comfort / convenience item(s) inoperable.


Customer experiences discomfort.

Low

System / item operable, but comfort / convenience item(s) operable


at a reduced level of performance. Customer experiences some
dissatisfaction.

Very Low

Fit & Finish / Squeak & Rattle item does not conform. Defect noticed
by most customers.

Minor

Fit & Finish / Squeak & Rattle item does not conform. Defect noticed
by average customers

Hazardous-

High

Very Minor

Fit & Finish / Squeak & Rattle item does not conform. Defect noticed
by discriminating customers

None

No effect

OCCURANCE EVALUATION CRITERIA


Likelihood Failure Mode Will Occur

Probability of failure

Possible failure Rates

Ranking

Very High: Failure is almost


inevitable

> or = 1 in 2

10

1 in 8

1 in 20
1 in 80
1 in 400
1 in 2,000
1 in 15,000

7
6
5
4
3

1 in 150,000

< or = 1 in 1,5000,000

High: Repeated Failures


Moderate: Occasional
Failures
Low: Relatively few failures
Remote: Failure is highly
unlikely

DETECTION EVALUATION CRITERIA


Likelihood the cause will be detected using the process controls
Detection
Criteria: Likelihood of Detection by Process Control

Ranking

Absolute
Uncertainty

Process Control will not and/or cannot detect a potential cause / mechanism
and subsequent failure mode; or there is no Process Control

10

Very remote

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

Very low chance Process Control will detect a potential cause / mechanism
and subsequent failure mode

Low

Low chance Process Control will detect a potential cause / mechanism and
subsequent failure mode

Moderate

Moderate chance Process Control will detect a potential cause / mechanism


and subsequent failure mode

Moderately High

Moderately high chance Process Control will detect a potential cause /


mechanism and subsequent failure mode

High

High chance Process Control will detect a potential cause / mechanism and
subsequent failure mode

Very High

Very high chance Process Control will detect a potential cause / mechanism
and subsequent failure mode

Almost Certain

Process Control will almost certainly detect a potential cause / mechanism


and subsequent failure mode

Remote