Root Cause Analysis Forms

Root Cause Analysis Site: Problem Statement:

Location:

Problem Containment:

Improvement Objective, Scope and Goals (timeframe):

Metric(s) where required: 17.5 15 Project Y

12.5 10 7.5 5 2.5 0 1 1/1 6/2 001

1 1/1 7/2 001

1 1/1 8/2 001

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

1 1/1 9/2 001

1 1/2 0/2 001

1 1/2 1/2 001

1 1/2 2/2 001

1 1/2 3/2 001

1 1/2 4/2 001

Tasks and Timelines Activity

1 1/2 5/2 001

1 1/2 6/2 001

1 1/2 7/2 001

1 1/2 8/2 001

1 1/2 9/2 001

1 1/3 0/2 001

1 2/1/ 200 1

1 2/2/ 200 1

1 2/3/ 200 1

1 2/4/ 200 1

1 2/5/ 200 1

1 2/6/ 200 1

1 2/7/ 200 1

1 2/8/ 200 1

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1 2/1 0/2 001

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:

Number: Revision Date:

Summary of Root Cause (Use RC Analysis Sheet):

Solution(s) to the Problem:

1 2/8/ 200 1

1 2/9/ 200 1

1 2/1 0/2 001 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

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

Suppliers

Process

1

2

3

4

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

Start Point:

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

Add additional rows where needed

End Point:

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

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

rocess (High Level)

Customers

Output 1 2

Operation or Activity

3 4 5 6

1 2 1 2 1 2 1 2 1 2 1 2

Root Cause Analysis Phase: 1. Define and Contain the Problem

Activity

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

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

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 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) Dependent Variable

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

USL LSL

Target

RCA Process Map Organization

Operation Sequence or Time

Start or End

Organization 1 Start

Operation

Operation 1

Organization 2 Yes

Operation 2 Correct?

No Organization 3 Operation 2

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Wait or Delay

Storage

Wait or Delay

Decision

End

RCA Data Collection Plan Define What to Measure Measure Name of parameter or condition to be measured

Type of Measure X or Y attribute or discrete data, product or process data

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Operational Definition

Define How to Measure Measurement or Test Method

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.

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.

w to Measure Data Collection Method

Who will Do it? Person(s) Assigned

Sample Plan What?

Where?

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

When?

How Many?

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)

Method 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)

© Thomas A. Little Consulting 2002

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)

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)

Machine (Process

Environment

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

Process Review Priority 3 Priority 5

Potential Factor Factor 1 Factor 2

Completed Review Date

Who?

Process Map Priority 1 Priority 2

Factor 3 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 PC - Partial Contributor ID - Insufficient Data *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

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

Analysis description: 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 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

Root Cause 2

* Use Risk Assessment Form © Thomas A. Little Consulting 2002

% Effect

Estimated Cost

Complexity

% of effect solution will have on the root cause

cost of solution implementation

time or effort to implement short term? long term?

Estimated Benefit

Risk*

Priority

Validation?

savings due to solution or improvement in customer satisfaction

High Medium or Low

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

Need to verify effectiveness of solution

Risk Assessment Form List the Solution or Major Elements of Your Solution 1.Solution

Failure Mode (What can go wrong) List each failure mode a) b) c)

2. Solution

a) b) c)

3. Solution

a) b)

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Severity (1-10) 10 is Worst

Probability (10 is very probable)

Score (High scores need attention)

Action Plan

Owner

Due Date