root cause and corrective action (rcca) workshop

Root Cause and Corrective Action (RCCA)

Workshop

Developed by: Greg Swartz, CQE

Greg Swartz, MA, CQETrainer/ Statistician / Facilitator

Greg has expertise for over twenty years in the areas of applied data analysis techniques, instructional design, training and development. Highlights are as follows:

Expertise in implementing statistical techniques including: MSA, SPC,FMEA and DOE techniques, for biotech and high-tech organizations.

Six Sigma consultant working with several DMAIC projects.

Expertise in Sampling methodologies. Published in Quality Assurance for Biopharmaceuticals, and Yield Improvement Methodologies.

Greg has expertise in data characterization and correlation techniques. Mr. Swartz was WW Partner Survey Manager and Sr. Quality Manager at Sun Microsystems

for 7 years. Greg is an expert in customer perception research, applied data analysis techniques, yield improvement methods, and Supplier Development.

Education:MA, Instructional Technology - University Of Oregon

M.Ed., Educational Research, GTF in Statistics and GRF - University Of OregonBA, Psychology Statistics - Southern Oregon State College

Teaching Experience:De Anza College Professional Development Program, Consultant and Trainer

San Jose State University- Assist. Professor, MS. Program in QASan Francisco State University – Lecturer in Business Statistics

Stanford IE Dept. – Guest Lecturer, Sampling Methodologies

RELIABILITY CONSULTING

Company Overview

provides clients with integrated reliability solutions across the Product Life Cycle.

We have the unique ability to assess a product and understand the key reliability elements necessary to measure/improve product performance and customer satisfaction.

Our strength lies in our ability to tailor a solution to fit your needs based on your product reliability requirements, schedule and budget.

Three Different Types of Solutions

We work with companies on three different levels

1) Organizational – These companies don’t know where to start, and for this, we start off with an Assessment, and use it to determine how to structure a reliability program.

2) Product – These companies have a specific product level problem they need to resolve, from start to finish.

3) Life Cycle Phase – These companies know exactly what specific help they need at each phase, and for this, we have a menu of services for them to choose from.

Ops A La Carte offers a wide range of Reliability Services and solutions to help

assess the customer’s situation develop goalswrite program plan execute program plan

All focused on developing reliable products and improving customer satisfaction.

Customizing our Solutions

Reliability Integration Education

1) Overall Program Reliability Integration

2) Concept Phase Reliability Tools & Integration

3) Design Phase Reliability Tools & Integration

4) Prototype Phase Reliability Tools & Integration

5) Manufacturing Phase Reliability Tools & Integr.

6) Reliability Techniques for Beginners

7) Reliability Statistics

8) FMECA

9) CRE Exam Preparation

10) CQE Exam Preparation

11) Design for Reliability (DfR)

12) Design for Manufacturability (DfM)

13) Design for Testability (DfT)

14) Design for Warranty Cost Reduction (DfW)

15) Design for 6 Sigma (DfSS)

16) Design for Safety

- 31 different seminars on reliability -17) Design for ‘X’ (DfX)

18) Mechanical Design for IC Packaging

19) Design of Experiments (DoE)

20) HALT and HASS Application

21) Statistics for 6 Sigma

22) Fundamentals of Climatic Testing

23) Design for Vibration and Shock

24) Software Reliability

25) Root Cause Analysis

26) Reality of Pb-Free Reliability

27) Statistical Process Control

28) Innovative Problem Solving

29) Mechanical Design for Reliability

30) Problem Solving Tools

31) Applied Data Analysis

Red – Part of our yearly symposium

HALT and HASS Labs• Our own lab facility located in Northern California in the heart of Silicon

Valley. We provide HALT/HASS services on a world-wide basis, using partner labs for tests outside California.

• Second oldest HALT facility in the world, established in 1995 (originally owned by QualMark)

• HALT equipment has all latest technology – only lab in region• Highly-experienced staff with over 100 years of combined experience in

HALT and HASS• Tested over 500 products in over 30 different industries• Our HALT/HASS services are fully integrated with our other consulting

services.

We Can Help You Sell to Your Management

Often times, our main contact has difficutly selling reliability into their company. We have many techniques to help:

1) Detailed Proposals with Case Examples2) Free Presentations at your site3) Technical Articles/White Papers4) Blog Articles covering your situation5) Newsletter articles

1) a new HALT calculator2) Semiconductor Reliability3) Software Reliability4) RoHS conversion services5) Warranty analysis services6) New Accelerated Life Test methodology7) Quality/6 Sigma Seminars8) Offices: Singapore, China, Taiwan, UK, India9) Solutions Services10) Green Reliability Services

What’s New at Ops?

DFX South – May, 2010CRE Course – Aug-Oct, 2010DFX East – Oct, 2010

We offer 31 different courses and seminars in Reliability, Quality, and Technical Operations.

Please see our Educational Brochure inside your Ops A La Carte packet for more details

Upcoming Seminars

ARS – June, RenoWe are a co-sponsor and we will be exhibiting and will be presenting a paper on “HALT Calculator”

ASTR – October, ’10, DenverWe are on the committee and will be exhibiting and presenting.RAMS – January, ’11, Orlando

We are on the committee and will be exhibiting and presenting.

Upcoming Events

CORPORATEOps A La Carte, LLC

Mike SilvermanManaging Partner(408) 472-3889

[email protected]

Contact Information

RCA/6 SIGMA GROUPOps A La Carte, LLC

Greg SwartzSenior Quality Engineer

[email protected]

www.opsalacarte.com

Root Cause and Corrective Action (RCCA)

Workshop

Developed by: Greg Swartz, CQE

RCCA Defined

" RCCA is a systematic closed loop process for identifying issues and associated causes that are contributing factors to key problems. The RCCA process facilitates concrete corrective actions in preventing reoccurrence, while promoting a team problem solving approach."

RCCA Workshop ContentsI. RCCA OverviewII. Implementing an Effective RCCA Process:

1) Engaging2) Initiating3) Performing4) Facilitation Agenda – Class Exercise

III. Problem Solving Process Improvement ModelIV. Corrective Action Quality ToolsV. Documenting your RCCAs (Fact Sheets)VI. Root Cause Definitions

I. RCCA Process Overview

3. Plan/SelectCorrective Action

2. Analyze Problem

1. IdentifyProblem

History Describe Environment Customer Expectation

vs. what they received GAP Problem Statement

Create Cause and Effect Diagram Brainstorm Contributing Causes Select Major Cause in selected categories Drill down (peeling the onion) asking

“5 Whys” for each selected Major Cause Obtain consensus on Root Cause

5. Evaluate/ MeasureResults

4. ImplementCorrective/PreventiveAction

RCCA Fiscal Year Analysis Trend Analysis with Process

Control or Scatter Charts Correlate Cause and Effect Variables Monitor for Improvements

Log Corrective Action (CA) Quality / Reliability identifies

and assigns Owner(s) with CA Quality Officer/Investigator

reviews status weekly

II. The RCCA Process

Step 1: Triggers for Engaging RCCAs

RCCAs can be triggered by:Customer or Vendor request

Internal Quality or Yield Issue

Defect Rate

Special Request – e.g. manufacturing,reliability engineering, supplier quality.

Initiating the RCCA

Step 2: Initiating the RCCA Process –

1. Describe the issue at hand, work on clarity of Problem definition.

2. Systems / Environment considerations.3. What did the customer (internal or external)

perceive in terms of a quality and reliable product or service?

Creating a Problem Statement

Problem Statement When creating a Problem Statement, you need be

specific while describing the problem.

Quantify the problem when ever possible.

Include any Gap that exist between what the Customer expected, versus what they actually received!

Step 3: Performing RCCAs1. Description of the problem, history, and systems environment

2. Problem Statement including the gap between whatthe customer expected vs. what they actually received.

3. Discuss/brainstorm contributing causes to the areas of:People, Systems, Policy and Procedures

4. Vote on Major Limbs using “star” votes. # of votes = 5/person

5. Gain consensus by selecting one or two key limbs.

6. Peel the Onion on major cause variable(s) with the “5 Whys”

People Systems

Policy Procedures

ProblemStatement

Details of Performing RCCAs (continued)

7. Gain consensus as group, and select the Root Cause from the nth why

8. Collectively discuss the short term fix and long-term corrective actions with Owners assigned.

9. Obtain consensus on Root Cause categorization,e.g. process breakdown, product defect, account management, systems or technology issue, or policy.

Cause and Effect Diagrams (Fishbone)

Cause and Effect Diagrams can:• Serve as the basis for group discussion and brainstorming• Increases awareness of your own process• Provides guidance for concrete corrective action• Be used for any service, product, or reliability problem

This image cannot currently be displayed.

Effect (Problem )

Caus es (Independent Variables )

People Equipm ent Methods

Materia ls Meas urem ent Environm ent

EXERCISE: Create a “Fishbone Diagram”

1. Identify a problem (effect): e.g. Yield, Productivity, Quality, Risk Analysis, or Reliability Issue.

2. Brainstorm all possible causes — capture all ideas generated. HINT: without evaluating causes as you brainstorm.

3. Identify and circle a branch(es) for corrective action.

CAUSES EFFECT

See example,page 30

4. RCCA Facilitation Agenda Describe Systems Environment Discuss History (escalation events) Identify Problem Statement (include gap) Brainstorm Limbs (causes) Pick major cause from each limb Ask (5) Whys for each major cause (peeling the onion) Obtain consensous on Root Cause Describe Short-Term Fix Describe Official Fix Create Corrective Action Plan

RCCA Facilitation ExerciseEXERCISE: Please use the 10 step Facilitation Agenda to work on a

real-world Quality, Yield, or Reliability problem. Decide on a Presenter, Scribe, and Facilitator, and then present back your findings.

1. Describe Systems Environment2. Discuss History (escalation events)3. Identify Problem Statement (include gap)4. Brainstorm Limbs (causes)5. Pick major cause from each limb6. Ask (5) Whys for each major cause (peeling the onion)7. Obtain consensous on Root Cause8. Describe Short-Term Fix9. Describe Official Fix10. Create Corrective Action Plan

Exercise: Performing an RCCA – Case Study� Instructions: Please read the following scenario, and then use the RCCA Agenda on the previous

page to perform your RCCA. Your instructor will have you break into groups for completing this exercise.

� Cast of Characters:

Betty Joe Underwood, Interface Designer, for Soft ID, Inc.Mary Mathieson, Escalation Mgr., Computer Accelerators, Inc.John Lickstein, Software Development, Computer AcceleratorsPatrick Evangelical, Program Manager, Strong Widgets Int’l.

SCENARIO:Computer Accelerators is a world renowned developer of “Links” operating systems, a virtual thin client that is capable of running a variety of enterprise level software applications for small business applications. Strong Widgets has purchase thecomplete suite of Software from Computer Accelerators, including a special GUI provided with the Suite originally built by Soft ID, Inc. Strong Widgets experienced normal growth and sales of their photo ID Widget product for the first half of FY’04.

� However, now due to a broadened marketplace, Widgets has been taking on hundreds of more interested customers every week, and think that there total number of users hitting their web-site has exceeded 225,000.Intermittent failures in the App. occurred, which prompted Patrick Evangelical to submit an Escalation. Mary designated the escalation as yellow upon entering into Computer Accelerators tracking database.

The GUI produced by Soft ID was simulated to test reliably at 100,000 users by Computer Accelerators Operating Systems Test personnel. Recently, due to possible both the scalability issue as well as an interoperability failure inside the GUI, Computer Accelerator’s OS is now hanging for indeterminable amounts of time, causing Strong Widget’s to reboot the system for their web-site applications to become once again, and again “Available.” This has moved the Escalation from yellow to red, which necessitates an RCCA.

� Patrick, taking a full head of steam, follows up on the already escalated issue within Computer Accelerators, and contacts Mary Mathieson to perform an RCCA on this heated issue.

Question: Who do you think Mary bring to the RCCA session?Please answer this question, and then in your groups, perform an RCCA using the Facilitation Agenda.

Exercise: Performing an RCCA

Perform an RCCA using the Facilitation Agenda:

1. Use a Flip Chart to address those items from page 11 – RCCA Agenda

Hint: Be as creative as you’d like within the guidelines of the RCCA Agenda.

2. Create a separate Flip Chart Page for your Cause and Effect Brainstorming Session

3. Present your process and conclusion back to the class.

III. Problem Solving Improvement Model

Using the “Plan, Do, Check, Act” (PDCA) Method.

1. PLAN: Select Problem, Explore Causes, and Create Plan

4. ACT: Reflect and Act on Learning

Outcomes

3. CHECK: Review & Evaluate Results

2. DO: Implement Solution (CA)

Attribute Process Improvement Flow Using the “Plan, Do, Check, Act” (PDCA) Method.

C a u s e s E f f e c t

N e e d M o r e D a t a ?

N o

Y e s

C a u s e T a l l y

T a k e C o r r e c t i v e

A c t i o n

Pareto ChartsPareto Analysis (The 80-20 effect)

Value of Pareto Analysis: When you identify the “vital few” you improve your ability

to identify the root causes to the majority of the problems.

By solving the largest problem in many cases, decreases the overall percent defective or the product or service.

Cost benefit of product can be determined with the assistance of Pareto Analysis.

Solving major problems often reduces or eliminates the minor problems (noise).

Refer to: page 95

Procedure for Using Check Sheets

1. List all possible causes (defects) to your process2. Tally up (checks) over a specified time period.3. Re-rank cause in order of Frequency.4. Calculate %

Pareto Analysis Worksheet

Causes T ally Mark Freq. Rank %

Smear II

Color IIII I

ContaminatioIIII IIII IIII IIII IIII IIIIIIII I

M isc. IIII IIII IIII IIII IIII

Misc.2 IIII

empty well

IIII IIII IIII IIII IIII IIII IIIIIIII IIII IIII IIII IIII IIII IIIIIIII III

Totals

2 6

36

24 4

78

150

52%178Missing hardware

54NTF324Misc.

24%236Misaligned

46Insufficient solder

62Bent pin%RankFreq.Tally MarkCauses

Totals 150

ACTIVITY: Given the set of data below, please address the following:

1. What is the data type?2. Which graphical output might be most effective?

Check Sheet and Pareto ExerciseGiven the set of data below, please address the following:1. Sort the Data by Frequency and complete the table.2. Create a Pareto Diagram.3. Decide on which Cause category should be

targeted for Corrective Action

78Missing hardware

4NTF24Misc.

36Misaligned

6Insufficient solder

2Bent pin%RankFreq.Tally MarkCauses

Totals 150

Creating Pareto in ExcelProcedure for Creating a Pareto Diagram in ExcelTM

1. Sort your cause categories so they are ranked (highest to lowest).2. Create an ordered Check Sheet3. Tabulate both fraction defective and Cum. Fraction def.

as in the table below:

RankinCauses Count Freq. Cumulative (%)1 Scratches 77 0.51 0.512 Misaligned 36 0.24 0.753 Misc. 25 0.17 4 Wrong # 11 0.07 5 TOTAL 1496

4. Use the mouse to block off the causes, Frequency in %, and Cumulative %.

5. Use the Chart Wizard to create your Pareto Chart (see below).

Pareto Example with Cumulative %

Analysis: Over 90% of the defects detected by the 2490 were Residue and Small Particles.

2490 Pareto

0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

Residue

Small Part

icleLa

rge P

article

SEM NVD

Sphere

Bridge

Part.Brid

ge VoidMisc

. 1Misc

. 2

Prop

ortio

n De

fect

ive

0

0.2

0.4

0.6

0.8

1

1.2

%Cummu.%

Quality Tools Integration

CAUSES EFFECT

Procedure:1. Identify Primary

Problem with Pareto

2. Place Problemin Effect Sideof Fishbone Diagram

3. Brainstorm allpossible causes

4. Isolate Limb forCorrective Action

Refer to: page 104 for Integrating Cost Pareto

Report Out Exercise: Process your own RCCA!

Instructions:

1. Break out into small groups (4-6 people), and decide upona real-world problem issue from one of the participant’s workplace.

2. Use the RCCA Agenda (refer to back to page 11), and work together to address all those items.

3. Detail your Corrective Action Plan while deciding on the potential use of other quality tools to implement. Refer to page 27 for clues…

4. Report back the following: A. Quantifiable problem statementB. Cause and Effect diagram showing all possible variablesC. Exploration of significant cause variables (5 whys)D. Decide on specific statistical tools to address key variablesE. Determine short-term fix and long – term corrective action.

Decision Tree for Corrective Action Quality Tools

T ype s o fD a ta

A ttr ib u te D a ta V a ria b les D a ta

C heckS h ee ts

P ieC ha rts

P a re toC ha rts

H istog ram

S ca tte rD iag ram s

C ha rtsC on tro l

N eed fo rD a ta

T w oV a ria b les

R u nC ha rts

F e edb ackba sed on da ta

C on tinuo us P roce ssIm prove m e n t

N o

Y es

A ttr ibu teC h a rts

C a te g o ric a l M e a s u ra b le

Process Improvement Flow Chart

IV. Corrective Action Quality Tools

Preface: You’ve learned how to perform RCCAs and how to integrate Problem Solving Methods. “Corrective Action Quality Tools” help hone and reduce variation to your existing processes.

This section will discuss the following:1. Variation – Abnormal and Normal causes of variation2. Data Collection Do’s and Don’ts3. Variables and Attribute Control Charts4. Approaches to improving Quality Service

Variation – Abnormal and Normal Causes

• Normal causes of variation result from the problems in the system as a whole.

• Abnormal causes of variation result from special problems within a system.

Normal cause Abnormal causecommon specialrandom non-randomsystematic localexpected irregularunidentifiable identifiable

Sources of Variation

Sources of Variation: People lack of training, shifting priorities,

motivation, work habits

Machinery obsolete, inadequate, difficult to use

Materials contamination, faulty, expired, make-shift

Environment temperature, humidity, poor lighting, poor working conditions

Measurement inaccurate or not precise, out of calibration

Methods inappropriate, unclear methodology, inadequate documentation

Measures of Variation Variation: Spread, dispersion or scatter around

the Central Tendency, e.g. the mean or average.

Range: Difference between the largest and smallest value.

Standard Deviation ( σ or S ): A measure of variance.

Normal Distribution Curvemean

-3 -2 -1 +1 +2 +3X oo o o o o

DATA COLLECTION METHOD: Do’s and Don’ts

DO’s:

1. Specify the type of data that is being collected

2. Present data in order of importance to the problem

3. Include summary statistics, e.g. averages, sigma levels, etc.

4. Depending on your audience, for example peers, data may consist of:

All test methods All samples and test conditions Data gathering method, source, and time period.

DATA COLLECTION METHOD:

Don’ts:

1. Confuse data collection methods with your Results.(This is “How” you got there, vs. “What” you have)

2. Present extensive tabled data (avoid eye charts)3. Present raw data by itself

Pick the best Quality Tool for your data!

P, NP, or C Charts

Pie Chart

Pareto Chart

Check Sheet

Data Collection

Sheet

X and MR Run Chart

Histogram

Process Capability

Tools

_X and R Control Chart

Display Data Over

Time?

No Yes

Display Data Over

Time?

No Yes

Data

Attribute Variable

Control LimitsControl Limits:• Help define acceptable variations of the process.• Are calculated and represent true capability of

the target process.• Can change in time as the process improves.

General Rule: Don’t apply specification limits on control charts, especially on average control charts.

1 2 3 4 5 6 7 8 9 10 11 12

LCL

UCL

X

Time or Sample Number

X Bar and R Chart

x

UCL x

LCL

R

UCL R

x

M E A S U R E M E N T

Short-Run Control Charts

Key Points for Plotting the X (individual) Control Chart:

X is the individual measurement to be plotted.

is the average of the individual plot points.

This becomes the center line for the control chart.

UCL is the Upper Control Limit and is calculated by:

LCL is the Lower Control Limit and is calculated by:

xXUCL 96.1

xXLCL 96.1

X

Short-Run Control Charts Exercise

Variables Data Exercise:

" Create Upper Control Limit = Ave. plus 1.96 Std. Dev.

" Create Lower Control Limit = Ave. minus 1.96 Std. Dev.

" Create 3 additional columns for UCL, LCL, and Ave.

" Swipe Mouse over Dates, Averages, UCL, LCL, and Average

" Use chart wizard to create a multiple line chart

" Include Interpretation Sectionfor Out-Of-Control points

Date Phred 20 Ave. UCLx LCLx5/1/2004 3515/2/2004 3755/3/2004 3685/4/2004 3645/5/2004 3215/6/2004 2895/7/2004 3255/8/2004 3665/9/2004 378

5/10/2004 3475/11/2004 3395/12/2004 3355/13/2004 3895/14/2004 3485/15/2004 3545/16/2004 3685/17/2004 3565/18/2004 3925/19/2004 3735/20/2004 352

Sum= Ave. = 354.5

Std. Dev.= 24.62455

Attribute ControlsAttribute Control ChartsAttribute Control Charts consist of primarily three basic types of

charts following the binomial and poisson distributions:

np Charts - used for monitoring the # of defects per samplewhen the sample size is constant, for example, n = 50.

p Charts - can be used either with a constant sample size or variable sample (n) size. Variable control limits or average n size control limits may be imposed.

c Charts – is applicable for the number on defects per sample unit, e.g. # of defects on a car. Sample unit size is constant.

np Chart (Attribute Data) Procedure� Steps for creating NP Chart in Excel:

1. List in horizontal rows your data and sample size as shown on previous page.

2. Next, Create average column, and Upper Control Limit column based on 95% confidence. Hint: you will need to calculate the standard deviation for NP.

3. Create fourth column with Limit included for every point

4. Use chart wizard to create your control chart.

NP Chart Formulas

pnpnpUCLnp 1.3

pnpnpLCLnp 1.3

np Chart ExerciseNP Chart Exercise in ExcelInstructions: Using data from the Bowl of Beads Experimentthat Instructor provides, construct an NP Chart in Excel, applying +/-1.96 standard deviation limits. Lastly, Interpret for process control.

Refer to: page 37

p Chart Formulas (99.7% confidence.)

n

pppUCLp

1.3

n

pppLCLp

1.3

Attribute Control Chart ExerciseP Chart Exercise: Given the following set of data, please create a “p”chart with Upper and Lower Control Limits, along with a process average.

Refer to: page 39 & 49

sample n np (defects np/n =p Ave. p UCLp LCLp1 50 2 0.040 0.0607212 35 4 0.114 0.063 45 3 0.067 0.064 65 5 0.077 0.065 75 1 0.013 0.066 35 3 0.086 0.067 45 2 0.044 0.068 75 3 0.040 0.069 50 2 0.040 0.0610 45 5 0.111 0.0611 58 8 0.138 0.0612 25 5 0.200 0.0613 40 3 0.075 0.0614 60 1 0.017 0.0615 80 0 0.000 0.0616 65 1 0.015 0.0617 46 4 0.087 0.0618 50 3 0.060 0.0619 25 4 0.160 0.0620 85 5 0.059 0.06

Totals 1054 64

Average P 0.060721

Control Charting Tools - Overview

There are over 50 different control charts available. As can be seen, various data types correspond to particular control charts.

Refer to: page 37

Best Practices: Graphical Presentation of Data

Include an Analysis with each graph (Interpretation statement)

Use Cumulative % with Pareto Charts(showing 80/20 effect)

“Each Slide Should Stand On Its Own”

Select the most effective display of your data.

Graphical Presentation of Data –Report Out Activity 2

Given this data set, please address the following:

1. What is the data type?

2. Which graphical output would you think to be most effective? (refer to decision tree)

3. Based on your decision in step 2, create the graph or chart selected.

Std. Dev.MEDIANAVERAGE

.0917.63/10

.0717.83/9

.0817.53/8

.04518.03/7

.06517.43/5

.0617.73/4

.0517.93/3

.04617.753/2

.04217.83/1

.0417.62/29

FilmStd. Dev.

FilmThickness

Dates

Bonnie Small’s Rules (AT&T)

Bonnie Small's guidelines for interpreting control chart data:

• Points beyond the control limits usually indicate:- The process performance is sporadic- Measurement has changed (inspector, shift, gage, etc.)

• Runs indicate a shift or trend. Runs include:- 7 points in a row on one side of the average- 7 points in a row that are consistently increasing or decreasing

• Non-random patterns may indicate:- The plot points have been miscalculated or misplotted.- Subgroups may have data from two or more processes.

Corrective Action Process FlowSPP Quality Officer brings to VP Staff

Owner(s) assigned

�Eng./Mgr. assigned to CA

�Program Coordinator contacts new owner to get time frame to fix.

�Discuss Problem statement, Root Cause and Corrective Action.

�Identify appropriate organization to take ownership.

Investigator brings to Staff

CA Status Posted on Web Or Repository

Program Coordinator updates Corrective Action Web page.

Program Coordinatorfollows up until fix

�No fix, then presented back up to VP Staff for sign off.

�Open CAs are reviewed on a regular basis at VP Staff.

�TBD Process is still under review�Components include:- Sign off from Engineering/

Support- Review by Legal- Process is reviewed for

thoroughness and consistency

CleansedRCCA Letter to Customer

Documenting your InformationFact Sheets provide a snapshot of the RCCA. Fact sheets are

distributed by category and posted on the web updating the RCCA Reports & Analysis.

Highlights include:

Problem Statement including "GAP."Breakdown and sequence of main causesShort Term and Official FixDetailed Corrective Action Plan

RCCA and Corrective Action information should be located ata web-site or other repository.

Each Corrective Action is logged for tracking and follow-up.

Fact Sheet Example Form

Customer Name:________________________________ Date:_________

Company: ________________________________

Escalation Mgr.:________________________________

1. Describe (Systems) Environment:

1. Discuss History (escalation events):

2. Identify Problem Statement (include gap):

1. Corrective Action Plan including:

1. Breakdown and sequence of main causes

2. Short Term and Official Fix

3. Detailed Corrective Action Plan

5. RCCA and Corrective Action (CA) information should be located ata web-site or other repository.

6. Follow-Up to CA made on: ___________________ by: ___________________________

Root Cause Category DefinitionsProcess Breakdown

Apparent stall at a particular point within the escalation process

Inadequate communication about progress or next step

Too many re-assignments to different people

Process doesn't exist for these circumstances

Product DefectNonconformance to stated/expected design or intent of code

Account ManagementCustomer expectations are set incorrectly or not set at all

Is either non-existent, or there is lack of customer care

May apply to Sales or Service for ownership issues

Root Cause Category Definitions (continued)

Difficult to Diagnose

Non-reproducible problems or infrequent occurrence of a problemProblem ages due to unavailable or hard to capture information

Invalid Configuration

Unsupported configuration, invalid sizing, improperly tuned system

Third-Party Hardware/Software

Issues related to third-party product design, procedure, testing, or implementation