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Root Cause Analysis 1 - PDF

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                                                Root Cause Analysis

Audience Profile
The book is suitable for everybody seeking to improve their problem solving skills and who
would like to apply a successful method to assist in achieving most effective and efficient asset
or facility management. The Root Cause Analysis method systematically guides you through
solving problems, faults or failures. At the same time, the method records the experience of
many people, addresses risk, selects necessary tasks only and optimises the budget and profits.

Asset Owners, Managers, Engineers, Planners, Trades People, Operators, Finance Managers,
Safety Officers and all those who contribute in their roles of operators and maintainers,
engineers, designers, logisticians, administrators, workshops, etc. to the development of

                                                              To provide the reader with:

                                                              • knowledge, understanding,
                                                              skills and attitude necessary to
                                                              perform RCA analyses for solving
                                                              problems, faults or failures

                                                              • practical methods for solving

                                                              • all the documentation, forms
                                                              and flow-charts required for easy
                                                              implementation of this technique

                                                              What makes our
                                                              RCA approach
                                                              We produced analysis and
solution evaluation sheets.

EerCons Pty Ltd ACN 094 494 756
                                                      Root Cause Analysis

                                                      Symptoms and Causes
Contents                                              What is the Difference between a Cause and an
                                                      So, What Is a Root Cause?
1. Root Cause Analysis Explained                      Two Types of Root Causes
Historic Development                                  Three Root Causes Areas
What is Root Cause Analysis?                          How to Deal with Human Error?
What Are the Objectives and Goals of Root Cause       What is the close Link between Root Cause and
Analysis?                                             Solution?
How Does Root Cause Analysis Link to Asset            Why Identify All Root Causes?
Management?                                           What Are Fault Effects?
How does Root Cause Analysis link to Reliability      Rules for Defining Fault Effects
Driven Asset Management?                              Main Outcomes of Chapter Four
Definitions and Acronyms                              5. What is Adequate Problem Solving?
Definitions                                           Desired Learning Outcomes
Acronyms Used in this Manual                          Isn’t Problem Solving a Natural Skill?
What Are the Benefits of Applying Root Cause          Why is Problem Solving Often Ineffective and
Analysis?                                             Inefficient?
Why should You Consider Using Root Cause              Jumping to Conclusions or Not Defining the
Analysis?                                             Problem
What Is the Root Cause Analysis Process?              Placing Blame and Issuing Penalties
How Should You Implement Root Cause Analysis?         Using the Wrong Analysis Method
2. How to Identify Process or Asset Functions         What Do You Need for Effective Problem Solving?
and Performance Standards?                            To Which Problems Can You Apply Root Cause
Desired Learning Outcomes                             Analysis?
How to Identify the Process or Assets for Analysis?   Is There a Need for Consensus?
How Important Is an Asset Hierarchy?                  When to Apply Root Cause Analysis?
What Are Process and Functional Block Diagrams?       Continuous Improvement and Root Cause Analysis
What Is an Asset Register?                            Can You Use Computers in Root Cause Analysis?
Which Asset Register Structure?                       Main Outcomes of Chapter Five
How to Collect Data?                                  6. How to Prevent Faults, Failures and Problems
Who Should Be Responsible for Data Collection?        with Root Cause Analysis?
Which Asset to Analyze First?                         Desired Learning Outcomes
Pareto Analysis                                       Effective Problem Solving
How to Select Significant Functions?                  Record Assumptions
How Do You Assess Criticality?                        Step 1. Define the Problem
How Can You Rank Asset Reliability Costs?             What Is the Problem, Fault or Failure?
Obtaining the Biggest Return on Effort                When and Where Did the Problem, Fault or Failure
How Do You Comprehensively Describe                   Happen?
Functions?                                            Information Gathering
What Are Process or Asset Functions?                  Additional Tasks for Events that already Happened
What Are the Functional Performance Levels?           Who Was Involved in the Problem, Fault or Failure
What to Include in the Function and Performance       or in its Detection?
Level Description?                                    What Is the Criticality of the Problem, Fault or
Main Outcomes of Chapter Two                          Failure?
Syndicate Exercise 1                                  Step 2. Identify Cause and Effect Relationships
3. What Are Faults, Failures and Problems?            Causes and Effects
Desired Learning Outcomes                             Evidence
What Are Functional Faults or Failures?               Diagram Development Technique
How to Deal With Safety or Stand-by Device            Allocating Severity and Likelihood to Causes
Faults?                                               Benefits of the Cause and Effect Diagram Method
Different Views on the Same Loss of Performance       Example of a Cause and Effect Diagram
How to Describe Functional Faults?                    Development
Do You Need Asset Performance Data?                   Step 3: Identify Effective Solutions
What Are Problems?                                    What Are Effective Solutions?
Can you use Root Cause Analysis for Meeting           What Solutions Are Available?
Challenges?                                           Solution Finding Technique
Main Outcomes of Chapter Three                        Assessing Solutions for Effectiveness and
4. What Are Symptoms, Root Causes and                 Efficiency
Desired Learning Outcomes

EerCons Pty Ltd ACN 094 494 756
                                                    Root Cause Analysis

Ensure that the Solution Does not Introduce Other   Pre-requisites to Successfully Implementing Root
Problems                                            Cause Analysis
Extending the Solution Assessment Sheet             Realize and Understand the Need for Root Cause
Presenting the Findings                             Analysis
Which Solutions to Approve?                         Why Do You Need Management Support?
Step 4: Implement the Best Solutions                Adopt Root Cause Analysis Policies and Procedures
Implementing the Solutions                          Training Root Cause Analysis Teams
Monitoring the Effectiveness of the Implemented     Who Must Be on the Team?
Solutions                                           How to Implement Root Cause Analysis?
Root Cause Analysis Documentation                   1. Introduce Root Cause Analysis to the Decision-
Additional Administrative Tasks                     makers in the Organization
Can You Apply the Same Analysis Results to Other    2. Develop Root Cause Analysis Program, Policy
Assets?                                             and Procedures
Can You Use Root Cause Analyses for Finding         3. Set-up and Train Root Cause Analysis Teams
Systematic Problems?                                and Identify Champions
Main Outcomes of Chapter Six                        4. Identify the Criticality of Assets or Possible
7. Other Problem Solving Techniques                 Problems
Desired Learning Outcomes                           5. Select a Process or Asset for an Initial Root
Selecting the Best Root Cause Analysis Method       Cause Analysis
What Are Time Sequence Models?                      6. Describe Functions and Performance Levels
What Are the Gate/Logic and Event/Terminal          7. Define the Problem, Fault or Failure
Symbols?                                            8. Analyze the Problem, Fault or Failure with the
What Are Fault or Success Trees?                    Cause and Effect Diagram
What Are Event Trees?                               9. Communicate Findings & Recommendations and
Failure Cause and Effects Analysis                  Obtain Approval for Implementation
Interrelationship Diagrams                          10. Immediately Implement the Solutions
Current Reality Tree                                11. Track and Analyze the Results and Feed Back
The Ishikawa or Fishbone Diagram                    Findings
Checklists                                          12. Make Root Cause Analysis Part of Asset
Management Oversight and Risk Tree Analysis         Management
Barrier Analysis                                    Some Additional Comments
Human Performance Evaluation                        Analyze One Primary Effect at a Time.
Change Analysis                                     Have Two Teams Analyze Critical Assets or
Employee Brainstorming                              Problems
Main Outcomes of Chapter Seven                      Do not let Consultants Perform Your Root Cause
8. How to Implement Fault, Failure and Problem      Analyses!
Prevention with Root Cause Analysis?                Main Outcomes of Chapter Eight
Desired Learning Outcomes                           BIBLIOGRAPHY

EerCons Pty Ltd ACN 094 494 756

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