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Reliability Engineering
Fred Schenkelberg
fms@fmsreliability.com
ROOT CAUSE ANALYSIS
Day 3 Session 2
Objectives
• Examining different root cause techniques
• Conducting incident investigations
• Evaluating corrective actions
• Advancing equipment troubleshooting
• Failure reporting, analysis and corrective
action system (FRACAS)
Root Cause
• Initiating cause in a causal
chain which leads to
failure
• Depth of causal chain
where an intervention is
possible that changes
performance or avoids
failure
• Physical or Decision point
Root Cause Techniques
• Causation
• Forensic engineering
• Proximate & ultimate
causation
• Root Cause Analysis
Technique Overviews
Causation
• Understanding of the
system inputs as related
to the output.
• Dependence – output
values directly predictable
by inputs to system.
Forensic engineering
• The investigation of
materials, products,
structures or components
that fail or do not operate
as intended
• The recreation of timeline
of events leading to
failure
Technique Overviews
Proximate and Ultimate Causation
• Proximate cause is the event
which is closest to or immediately
responsible for causing the
failure.
• Ultimate cause is the real reason
something occurred.
Root Cause Analysis, 8D
D0. Plan
D1. Use a team
D2. Define and describe the problem
D3. Develop Interim Containment
Plan (implement and verify)
D4. Determine, Identify and Verify
root causes
D5. Choose and verify permanent
corrections
D6. Implement and validate
corrective actions
D7. Take preventative measures
D8. Congratulate the Team
Discussion & Questions
Incidents
• An unplanned or
undesired event that
adversely affects
operations
• Work related injuries
• Occupational illnesses
• Property damage
• Spills
• Fires
• Near misses
Investigation
• Get the facts
– Reporting
– Data collection
– No blaming…
• Determine root cause
• Recommend corrective
actions
Poor examples
• It was Bill’s fault
• Insufficient budget
• No root cause – so must
be deliberate error
• I was ordered to by pass
safety equipment
Incident investigation process
• All incidents are
investigated
• Corrective action
determined to avert root
cause
• Corrective action tracked
till completed
• Trends reviewed, gaps
identified and
improvement plans
implmented
Discussion & Questions
Corrective Actions
• Action in response or
reaction to a failure
• Use root cause
techniques
• Incident analysis
Predictive Action
• Proactive or prediction
of problem and taking
steps to avoid the
failure
• Root cause analysis
• Risk analysis techniques
Examples
• Error proofing
• Visible or audible
alarms
• Product or process
redesign
• Process control
improvements
• Condition monitoring
Tactical & Strategic
• Tactical
• Immediate effects
• Local processes
• Physical causal chain
interruption
• Strategic
• Cumulative effects
• Overall process
• Information causal
chain improvements
Discussion & Questions
Troubleshooting
• Problem solving applied
after a failure
• Logical
• Systematic
• Determine the cause(s)
of the observed
symptoms
Troubleshooting Guidance
• Critical vs magical
thinking
• Correlation vs causation
• Understanding what is
supposed to happen
• Reproducible?
• Intermittent causes
• Multiple problems
Diagnostics
• The identification of the
nature and cause of a
failure.
• Focus on cause and
effect
Diagnostic Guidance
• Black box recordings
• Condition monitoring
information
• Sources of variation
• Theory of operation
support
Discussion & Questions
FRACAS
• Failure Reporting
Analysis and Corrective
Action System
• Corrective and
Preventive Action
(CAPA) system
Purpose
• Provide closed loop
failure reporting system
• procedures for analysis of
failures to determine root
cause
• documentation for
recording corrective
action
• Basic project
management and
prioritization
Poor examples
• Multiple systems
• No periodization – first
reported first resolved
• Rewarding entries and
completions
Discussion & Questions
Summary
• Examining different root
cause techniques
• Conducting incident
investigations
• Evaluating corrective
actions
• Advancing equipment
troubleshooting
• Failure reporting, analysis
and corrective action
system (FRACAS)
Root Cause Analysis

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Reliability Maintenance Engineering 3 - 2 Root Cause Analysis

  • 3. Objectives • Examining different root cause techniques • Conducting incident investigations • Evaluating corrective actions • Advancing equipment troubleshooting • Failure reporting, analysis and corrective action system (FRACAS)
  • 4.
  • 5. Root Cause • Initiating cause in a causal chain which leads to failure • Depth of causal chain where an intervention is possible that changes performance or avoids failure • Physical or Decision point
  • 6. Root Cause Techniques • Causation • Forensic engineering • Proximate & ultimate causation • Root Cause Analysis
  • 7. Technique Overviews Causation • Understanding of the system inputs as related to the output. • Dependence – output values directly predictable by inputs to system. Forensic engineering • The investigation of materials, products, structures or components that fail or do not operate as intended • The recreation of timeline of events leading to failure
  • 8. Technique Overviews Proximate and Ultimate Causation • Proximate cause is the event which is closest to or immediately responsible for causing the failure. • Ultimate cause is the real reason something occurred. Root Cause Analysis, 8D D0. Plan D1. Use a team D2. Define and describe the problem D3. Develop Interim Containment Plan (implement and verify) D4. Determine, Identify and Verify root causes D5. Choose and verify permanent corrections D6. Implement and validate corrective actions D7. Take preventative measures D8. Congratulate the Team
  • 10.
  • 11. Incidents • An unplanned or undesired event that adversely affects operations • Work related injuries • Occupational illnesses • Property damage • Spills • Fires • Near misses
  • 12. Investigation • Get the facts – Reporting – Data collection – No blaming… • Determine root cause • Recommend corrective actions
  • 13. Poor examples • It was Bill’s fault • Insufficient budget • No root cause – so must be deliberate error • I was ordered to by pass safety equipment
  • 14. Incident investigation process • All incidents are investigated • Corrective action determined to avert root cause • Corrective action tracked till completed • Trends reviewed, gaps identified and improvement plans implmented
  • 16.
  • 17. Corrective Actions • Action in response or reaction to a failure • Use root cause techniques • Incident analysis
  • 18. Predictive Action • Proactive or prediction of problem and taking steps to avoid the failure • Root cause analysis • Risk analysis techniques
  • 19. Examples • Error proofing • Visible or audible alarms • Product or process redesign • Process control improvements • Condition monitoring
  • 20. Tactical & Strategic • Tactical • Immediate effects • Local processes • Physical causal chain interruption • Strategic • Cumulative effects • Overall process • Information causal chain improvements
  • 22.
  • 23. Troubleshooting • Problem solving applied after a failure • Logical • Systematic • Determine the cause(s) of the observed symptoms
  • 24. Troubleshooting Guidance • Critical vs magical thinking • Correlation vs causation • Understanding what is supposed to happen • Reproducible? • Intermittent causes • Multiple problems
  • 25. Diagnostics • The identification of the nature and cause of a failure. • Focus on cause and effect
  • 26. Diagnostic Guidance • Black box recordings • Condition monitoring information • Sources of variation • Theory of operation support
  • 28.
  • 29. FRACAS • Failure Reporting Analysis and Corrective Action System • Corrective and Preventive Action (CAPA) system
  • 30. Purpose • Provide closed loop failure reporting system • procedures for analysis of failures to determine root cause • documentation for recording corrective action • Basic project management and prioritization
  • 31. Poor examples • Multiple systems • No periodization – first reported first resolved • Rewarding entries and completions
  • 33. Summary • Examining different root cause techniques • Conducting incident investigations • Evaluating corrective actions • Advancing equipment troubleshooting • Failure reporting, analysis and corrective action system (FRACAS) Root Cause Analysis

Editor's Notes

  1. Examining different root cause techniques
  2. Balance between investment and value
  3. Conducting incident investigations
  4. Balance between investment and value
  5. Evaluating corrective actions
  6. Balance between investment and value
  7. Advancing equipment troubleshooting
  8. Balance between investment and value
  9. Failure reporting, analysis and corrective action system (FRACAS)
  10. Balance between investment and value