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: RCA Initiated by:

Investigator:
1.Define the problem Describe the incident. What was defect, how many, how often, etc.

Step (not all required, depending on problem) Date completed

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
Process Incident Investigation
 Page 1 of 5
Date:

Date completed
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
Cloud potential
root causes

5. Verifying root cause with data

Root Cause Investigation
6.Recommended Solutions D
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here. Keep Visio shape rectanular no more than 7.5 inches wide.

Put Problem Here

Cloud potential
root causes

h data
nvestigation Page 3 of 5
Effectiveness Feasibility Cost Benefit Overall Action
Root Cause Solutions
Practical Methods

Scale: 1-None 2-Somewhat 3-Moderate 4-Very 5-Extrem e

Cost Benefit
Annualized cost of problem 1 $0.00
Percent of problem reduction 2 0%
Cost of proposed solution 3 $0.00
Total first year savings (1 x 2 - 3) $0.00

7- 8. Action plan for implementation

Who, what , when, where and how
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 Name Business Phone Cell Phone
Process Owner:
Team Leader:
OE Support:
Team member:
Team member:
Team member:
Team member:
Team member:
Team member:
Team member:

Root Cause Investigation

Assignments Page
DATES
Assigned Due Completed Person Task
hone

Page 5 of 5
Page 1 R 3 10/24/2002

Process Step/Input Potential Failure Mode

Page 2 R 3 10/24/2002

Process Step/Input Potential Failure Mode

FMEA For
SE OC
V C

Potential Failure Effect Potential Causes

FMEA For
SE OC
V C

Potential Failure Effect Potential Causes

 D
ET

Current Controls RPN

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Current Controls RPN

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Page 3 R 3 10/24/2002

Process Step/Input Potential Failure Mode

Page 4 R 3 10/24/2002

Process Step/Input Potential Failure Mode

FMEA For
SE OC
V C

Potential Failure Effect Potential Causes

FMEA For
SE OC
V C

Potential Failure Effect Potential Causes

 0

D
ET

Current Controls RPN

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Current Controls RPN

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 SE OC D
V C ET

Actions Recommended Responsibility Action Taken RPN

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SE OC D
V C ET

Actions Recommended Responsibility Action Taken RPN

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SE OC D
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Actions Recommended Responsibility Action Taken RPN

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SE OC D
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Actions Recommended Responsibility Action Taken RPN

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SEVERITY EVALUATION CRITERIA
Effect
Hazardous-

Without warning

Hazardous-

With warning

Very High
High

Moderate

Low

Very Low

Minor

Very Minor

None
TY EVALUATION CRITERIA
Criteria: Severity of Effect
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
Fit & Finish / Squeak & Rattle item does not conform. Defect noticed by discriminating
customers
No effect
Ranking
10

8
7

1
OCCURANCE EVALUATION CRITERIA
Likelihood Failure Mode Will Occur

Probability of failure Possible failure Rates

Very High: Failure is almost > or = 1 in 2
inevitable

High: Repeated Failures 1 in 8

1 in 20
Moderate: Occasional Failures 1 in 80
1 in 400
1 in 2,000
Low: Relatively few failures 1 in 15,000
1 in 150,000
Remote: Failure is highly < or = 1 in 1,5000,000
unlikely
Ranking
10

8
7
6
5
4
3
2
1
DETECTION EVALUATION CRITERIA
Likelihood the cause will be detected using the process controls
Detection
Absolute Uncertainty

Very remote

Remote

Very Low

Low

Moderate

Moderately High

High

Very High

Almost Certain
ON EVALUATION CRITERIA
d the cause will be detected using the process controls
Criteria: Likelihood of Detection by Process Control
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
Ranking
10