Root cause analysis is a systematic approach for uncovering the root cause of problems. Below we'll take a look at how to conduct a Root cause analysis, including the tools and methods used and the phases of the RCM process. Show
What Is Root Cause Analysis?Root cause analysis (RCA) is defined as a systematic process for identifying the root causes of problems or events and an action plan for responding to them. Many organizations tend to focus on or single out one factor when trying to identify a cause, which leads to an incomplete resolution. Root cause analysis helps avoid this tendency and looks at the event as a whole. Another common occurrence is for companies to treat the symptoms rather than the actual underlying problems contributing to the issue, leading to recurrence. Using root cause analysis to analyze problems or events should help you tackle the primary goal of determining:
In the end, root cause analysis boils down to three goals. The first goal is just as the name implies: to discover the root cause of a problem or event. The second goal is to understand how to fix, compensate for or learn from issues derived from the root cause. The third and most important goal is to apply what you learn from the analysis to prevent issues in the future. How to Conduct a Root Cause Analysis (RCA)Root cause analysis can be used in a variety of settings across multiple industries. Each industry might conduct the analysis in a slightly different way, but most follow the same general five-step process when investigating issues involving heavy machinery. This process was laid out by the United States Department of Energy (DOE-NE-STD-1004-92) back in 1992. Root cause analysis is commonly referred to as detective work at its finest. You’ll see similarities between how a detective works to solve a case and how manufacturers can figure out the root cause of an issue in the five-step process. Phase 1 - Data Collection Just like how detectives preserve a crime scene and meticulously collect evidence for review, collecting data is probably the most important step in the root cause analysis process. It’s best practice to collect data immediately after a failure happens or, if possible, while the failure is occurring. In addition to data, be sure to note any physical evidence of the failure as well. Examples of data you should collect include conditions before, during and after the occurrence; employee involvement (actions taken); and any environmental factors. When machinery is involved, collect data and samples on things like lubrication systems, filters and separators, byproduct deposits (gums, varnish or sludge), oil analysis, and tank and sump conditions. Phase 2 - Assessment During the assessment phase, analyze all collected data to identify possible causal factors until one (or more) root causes are determined. According to the DOE’s process, the assessment phase incorporates four steps:
Common assessment conclusions for manufacturers include things like contaminated lubricant, using the wrong lubricant, using too much or too little lubricant, and abnormal wear debris. Later we will discuss common root cause analysis methods and tools to help with the assessment phase of this process. Common methods include Pareto charts, determining the “5 Whys,” fishbone diagrams and more. Phase 3 - Corrective Action Implementing corrective action once a root cause has been established lets you improve your process and make it more reliable. First, identify the corrective action for each cause. Then, ask these five questions or criteria laid out by the DOE and apply them to your corrective actions to make sure they are practical.
Before taking corrective action, your company as a whole should discuss and weigh the pros and cons of implementing these actions. Consider the cost of carrying out these changes. The costs may include training, engineering, risk-based and operational expenses among others. Weigh the benefits of the costs associated with eliminating the failure(s) with the probability the corrective action(s) will work. In addition to cost, your team should discuss questions like:
Phase 4 - Inform Communication is key. Ensure all affected parties are informed of the pending correction or implementation. In the manufacturing setting, these parties may include supervisors, managers, engineers, and operations and maintenance staff. It’s also a good idea to communicate any corrective actions with suppliers, consultants and subcontractors. Many companies inform all departments of any changes so they can be aware and determine if or how the changes apply to their unique situation as it relates to the overall manufacturing process. Phase 5 - Follow-up The follow-up phase is where you establish if your corrective action is effective in resolving the issues.
Following up regularly lets you see how well your corrective actions are working and helps you identify new issues that could lead to future failures. For a more detailed look at how to conduct root cause analysis specifically for lubrication professionals and manufacturers, check out "Root Cause Analysis Techniques for the Lubrication Professional.” Root Cause Analysis (RCA) Tools and MethodsAs discussed earlier, the data collection and assessment phases in the RCA process are perhaps the two most important aspects when it comes to properly determining the root cause of a particular failure. There are many root cause analysis tools to choose from when you’re assessing data. Each one can be used to evaluate different information or provide another way to look at similar data. Below are eight common root cause analysis tools and methods:
Root Cause Analysis FAQs
What is the primary purpose of root cause analysis and failure mode?The primary purpose of the root cause analysis process is to analyze a problem or sequence of events in order to identify what happened, why it happened, and what can be done to prevent it from happening again.
What is the purpose of root cause analysis quizlet?Root cause analysis is used to determine the underlying cause of a harmful event.
What is the ultimate goal of the root cause analysis process?Root Cause Analysis (RCA) is a detailed process that leads to the discovery and elimination of the true, underlying cause(s) of a problem. The ultimate goal of RCA is to prevent a problem from recurring, which saves time, money and resources.
What is the primary reason for analyzing patient incident data?It helps identify root causes: All healthcare incidents have a cause. The root causes must be identified—and corrected—to try to prevent adverse events from recurring. A patient incident report is a detailed, written account of the chain of events leading up to an adverse event.
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