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But despite high acceptance and excitement following attendance at a training course, we still see some pitfalls that can be avoided. This ebook lays them bare. Our intent is in line with our training, a problem recognised is a problem half solved. These chapters are written by staff of ARMS Reliability who are experienced in delivering Root Cause Analysis training and conducting investigations for companies from a wide cross section of industries. Foreward By Michael Drew CEO, ARMS Reliability View Public Training Schedule Request Quote for Onsite Training
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CHAPTER 1
By challenging the imprecise words consistently, you will create CLARITY where previously there was none.
How many times have you read an incident report and been left wondering what was being investigated, or what the causal relationships were all about? This often occurs when vague or nebulous descriptors are used to explain causal relationships. Below we give some examples of non-descriptive language commonly found in incident reports and suggest strategies you can use as a Root Cause Analysis facilitator to prevent ambiguity or misinterpretation. Three types of vague descriptors commonly used to explain causal relationships, and how to address them:
Wrong | Incorrect
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EXAMPLE
Poor maintenance
EFFECTS
Leads easily into the categorising of causes, such as human error, which can quickly move down the blame path. We will tend to end up with the same generic types of solutions for each category. These terms are often emotive, inflammatory, and can lead to conflict.
SOLUTION
As a means of clarification, ask something to the effect of what is it that makes the maintenance poor? By challenging the imprecise words consistently you will create CLARITy where previously there was none.
EXAMPLE
It was the shaft was worn because of wearing over time The Car crashed because the person didnt see the other car and speed The pipe corroded because it was a metal pipe and age We couldnt stop it because it was rolling and its weight Another example of a different context would be maintenance... i.e the machine failed because of maintenance.
EFFECTS
Now whilst all of these causes probably have some specific relevance within the causal pathways in which you find them they all create confusion as there is no clear descriptor to explain the relationship. This will again lead to subjective assessments. People will interpret the reference in their own way. Speed will mean different things to different people, as will weight, age and time.
SOLUTION
Typically what is required is to quantify each of these words. In other words: How much time are you talking about?, What was the speed?, How old is it?, How heavy is it? and What is it about the maintenance that was less than adequate?
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Wrong | Incorrect
EXAMPLE
This sort of description is purely subjective, opinionated and may not be based in fact. If what we are trying to do is to present the facts then these types of words would fail to achieve that.
SOLUTION
your task as a facilitator is to seek clarification of these words. Why is it wrong? What makes it wrong or incorrect? When these questions are asked the responses to them need to be recorded and added to the RealityCharting. The original reference has been replaced by something far more factual and meaningful.
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CHAPTER 2
There is tendency to see the obvious however. We see the things that happen, the things that people do. These are all the action type of causes. What we fail to see as easily are all of the conditions that are there. The benefit of finding the conditions is that conditions are easier to control.
Actions or Conditions
When describing causes, you are searching for words to adequately describe the cause. Clues for finding the causes and for the description of these causes can be taken from the effect that you are questioning.
If you follow the Apollo methodology of causal analysis, you need to find at least one action and one condition for each effect, but typically there are more conditions. The context of many conditional causes is that it, something, must exist. Now what does this mean? E.g. To be able to break a rule firstly there must be a rule. The rule must exist. The same can be said of not following a procedure, or not meeting a standard, not following a protocol. In each case the rule, the procedure, the standard or protocol must exist otherwise you can never say that you failed to follow it or achieve it.
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In another example the pipe dropped because the scaffold collapsed. For this to make any sense we first need to understand the relationship between the two. So unless you put the pipe on the scaffold then the scaffold collapsing would have absolutely no bearing on the pipe dropping. So to clarify, the pipe dropped and this was caused by the pipe being on the scaffold when the scaffold collapsed. A way of testing the logic of this connection is to work the connection from right to left. i.e.. if the pipe is on the scaffold and the scaffold collapses will the pipe drop? Now this statement is, to all intents and purposes, quite logical but there is a catch here. It will only fall if it is unsupported by anything else. you have just identified another cause. So in reality what you are really saying (working from right to left) is that if the pipe is on the scaffold and is unsupported by anything else, then when the scaffold collapses the pipe will drop. Does this make sense? yes it does. So you now know that the logic of that connection is sound. you have tested the logic of the connection.
HINTIn other words it should make sense if you were to read it from left to right
which is how the caused by logic works, but that it should also make sense when you read it from right to left. Actively look for any exceptions that make a lie out of this statement. If you find an exception then you have effectively found another cause to add to your list.
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Another area that could be improved upon is in regards to the number of words that are used to describe causes. A common pitfall is to use too many words to describe causes. What is then far more likely to happen is to combine a couple of causes into one cause box. The impact of this will be displayed in the logic of the next connection. Because the cause is now far more complex it is a lot harder to clearly identify specific causes. Often causes will be related to a part of the effect but not the other part. So the logic starts to break down and the chart becomes harder to understand.
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Actions or Conditions
There is often confusion with labelling causes correctly. Some people will label a cause as an action whilst others will label the same cause as a condition. Does this matter? The answer is yes it does. This is based on the understanding that it is easier to control a conditional cause. It is controllable. It tends to deal with tangibles. The actions, the things that happen instantaneously, are far harder to control. They are unpredictable otherwise we would have done something about it already, and they are also largely centred around the people elements and therefore it is difficult to get reliable, consistent outcomes from controls centred on these types of causes. So then yes it is important to try and label causes correctly.
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Actions or Conditions
If you have two conditional causes for an effect essentially you should automatically be searching for an action that made use of those conditions. The labelling process prompts you to ask the next question. By being diligent in this pursuit you will find more causes. More causes are better because you now have more opportunities for control.
EXAMPLE: Fire
If I were to ask What are the causes of a fire what would you say? Well there needs to be some fuel. There needs to be oxygen. There needs to be an ignition source. Well you can have paper, oxygen and matches but that doesnt mean you have to have a fire. Something needs to happen. Something needs to make use of the conditions that are present, the ability of fire to happen, to actually cause a fire. This is what has changed, happened. This is the action. It is that single moment in time when the action makes use of the available conditions to create an effect. If even one of the conditions were eliminated the fire would have no opportunity to occur. There is tendency to see the obvious however. We see the things that happen, the things that people do. These are all the action type of causes. What we fail to see as easily are all of the conditions that are there. The benefit of finding the conditions is that conditions are easier to control.
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This simple statement should bring to mind what all of the conditions are that need to exist for an event to occur. When you examine the last part of the statement you are essentially trying to understand the ability of something to occur.trying to understand what conditions are present. Why does an object fall? For example why does an object (anything for that matter) fall?...It falls because it can fall. Why can it? Because it is at height (elevated above a surface).because it is heavier than air, because it is in the presence of gravity. Surely all of these conditions must be true for something to fall, to be able to fall? Then something happens that makes use of these conditions.the action.
EXAMPLE:
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CHAPTER 3
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How often have you looked at corrective actions and thought that they would have little, if any, impact in preventing the problem from reoccurring? It wasnt just once. and it continues to happen.
Now dont get us wrong here because the ability to do the quick fix is and always will be a valuable skill, but the real challenge is to understand whether we have prevented the problem from re-occurring?
What happens after the initial fix is put into place? Where do you go to from there? In the completely reactive model, the fire-fighting model, where breakdown maintenance often takes precedence over planned maintenance (which then sets you up for the next round of failures), there is always a fire that needs tending, so we will typically tend to jump to that fire, to the next problem on the list. I have dealt with that one, whats next?
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The who side of the question is pretty easy to determine, but if that is what we focus on then it is likely to limit thorough questioning, and leads quickly and easily down a blame path. Sanctions are given or jobs lost, all based on the knowledge of who was at fault. But where does this lead? Wouldnt this lead to a lack of reporting mistakes or faults as there will be unwanted consequences because of the report? Doesnt it elevate risk as there would now be a culture of hiding or covering up mistakes? When you ask questions, what are likely to get? The truth? Something else to consider is whether people intend to cause damage, create failures, injure themselves or hurt others? Again the overwhelming answer is still NO. That people are often involved in many incidents, and make mistakes, is seemingly the constant part of the equation. But that is the nature of the beast. People are fallible, they do make mistakes and no matter how hard we try to control this aspect, the human error side of causes, it is forever doomed to failure. If we rely on trying to control people then our solutions will have no certainty in their outcome. Going down this path is simply not reliable.
Hierarchy of Control
This is echoed in the concept of the Hierarchy of control where corrective actions are placed within the Hierarchy, as being either a form of Elimination, Substitution, Engineering, Administrative or P.P.E. controls. The first three of these are perceived to be very strong controls, or hard controls, with almost guaranteed, reliable, consistent results. They are however more time consuming and typically involve spending money to achieve your desired outcome. Administrative controls or the use of PPE as a form of control are perceived to be soft controls. They are relatively quick to implement and dont cost too much and yet if you were to ask the question will they prevent recurrence, almost universally the response will be NO! They may however satisfy the need to report. I have ticked the box and created a perception of having done something about the incident. To take this a step further, these soft options now get signed off by management who are fully cognisant of the Hierarchy of control. If we keep taking the soft options however is it any wonder that we are still fire-fighting. If we dont fundamentally change or control causes that create the problem then the problem still has an ability to happen again, regardless of the who, the person involved. This could be anyone.
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CHAPTER 4
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The downtime lost on this insignificant problem was quantified to be worth over $1million in losses to the business. The solution identified during the Root Cause Analysis equalled $34,000!
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When it comes to looking for failures during a Reliability Study or for causes during a Root Cause Analysis investigation, Listen to your operators. They are the eyes and ears of your production facility. it doesnt matter if you are running a chocolate factory, bottling beer, or drilling for oil, they all have one thing in common operators on the front line. These valuable members of your team are often the first to notice problems occurring; these problems may only stop the machine once a shift for a few minutes while they go and hit the reset button. These high frequency short duration issues often get reported but are not seen or considered as critical because we have not yet witnessed a major stoppage. After all, we hit the reset button and the machine starts again. A few things start to naturally happen at this stage.
Operators stop reporting faults because nobody does anything about them operators start to change the operating practice of the machine to allow for these
issues during their shift. This then becomes normal operating practice, without any form of risk assessment having been performed. These changes are usually only identified following a major incident investigation. When it is often too late. Reliability is like Safety - Ignore the little things and before long it could be something major. Typical comments used by operators during Reliability Studies and RCA investigations are:
Weve been doing it that way for years We kept reporting it to management I used to do that task but we removed it from our check list because we never found
anything
Great examples exist like the operator who used to carry out torque checks on a rotating piece of equipment at the end of shift, only to be told it was no longer required. Two years later the Reliability investigation into downtime on the machine revealed sheared bolts as the number one failure mode on the machine. We re-introduce the torque checks and the problem disappears. Or the Root Cause Analysis performed on a light curtain trip that stopped the machine once a shift for five minutes. The downtime lost on this insignificant problem was quantified to be worth over $1million in losses to the business. The solution identified during the Root Cause Analysis equalled $34,000! The problem solved. So during Reliability Studies and Root Cause Analysis, listen to your plant engineers, equipment specialists and OEMs, but, whatever you do, dont forget to Listen to your operators.
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CHAPTER 5
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Change will only occur when the pain from changing becomes less than the pain of staying the same.
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Q. Do companies get the most out of the training dollar that they increase for their employees? Answer. No!
Whilst training per se is perceived to be important, as evidenced by the volume of training that occurs throughout industry, I feel that companies are still not getting the biggest bang for their buck from the training that they provide their employees. Training is provided regularly for employees to attend for the benefit of the company and also of the employees and in completing the course the employee(s) will leave with some new knowledge and skills or perhaps with prior knowledge being challenged, changed, reinforced or enhanced. What then happens though when these people get back into the workforce? Do they apply this new learning or do they go back into their comfort zones continuing to do what they did before? If there is no compulsion to utilise their training, then it is quite possible that those people who have received the training may not use it, as trying anything new or different often requires more initial effort and it is possible, even probable, that they may get it wrong to start with and become disillusioned by the experience. Practice takes time and we are typically, across industries, time poor. Unless people are given the time and opportunity to practise, using and perfecting these new skills, then there is the chance that they wont use it of their own volition. Is this the outcome that we desire? Change will only occur when the pain from changing becomes less than the pain of staying the same. Change will occur when there is enough motivation for that change. People who have attended training are often perceived to be experts following their return to the workplace. Sometimes this results in being thrown into the deep end of the of the next big incident that occurs. youve had the training! Often there is a perception that there is little time available to investigate the root cause A few hours or days of training and practice however makes no-one an expert in anything. It is the constant application or use of this training that will create competence.
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All of this boils down to the question about what structures exist within the company to support the training (any type of training) that is being provided? The training itself starts people along a learning curve and progresses them to a point along that curve with as many variations as there are people attending the training as to where they sit along that curve, at the completion of the training program. Important questions to ask as you embark on a training course:
Who reinforces this learning or monitors the standard of facilitation and the reports that are Who provides any feedback or confirms and endorses the process or endorses the outcomes Is there a mentor or expert to provide the appropriate feedback? Is there a compulsion to use or demonstrate competency in the use of the training material they
have learned? If there is no strategy in place to address the questions above then do we move training attendees from where they sit along that learning curve to application of excellence in the subject matter that they were trained in? Surely this is the end goal. Unless organisational structures exist to support the training then much of it is predestined to fail and not live up to the expected outcomes that generated the initial interest for the training in the first place. If 6, 12 or even 18 months down the track the training received is not being used then what will the perception be? The perception at that time may be that the training was poor, of little value, too hard or didnt work and so on. The training is then perceived as being inadequate and consequently that particular training package is not sourced again or may be sourced from an alternative supplier supplying a similar product to attempt to provide what was initially sought. If this cycle were to continue, (which it inevitably does) without making changes to how training is presented and managed, in a few years the client company will be back to square one and lining up for another go at a training package that was presented at some time previously. Does this ring any bells with anybody?? It is my opinion that it is not necessarily the training that is at fault here, but perhaps the lack of effective support for the training. Support should move people systematically from their early learnings into the application of excellence in its practice and use. If the training is seen to be important enough to conduct, then surely this support is where the client company ensures the biggest bang for the training buck! What is the purpose of the training? Is it to bring about some change in the people being trained? Is it to cover/correct perceived weaknesses in learning? Upskilling? For whatever reason the training is being conducted, the training must be have been considered to have value. Then why is it that there is limited or non-existent support for much of the training after the course?? that are generated from it? generated?
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In this eBook we discussed some of the common challenges our clients face when facilitating or participating in an RCA investigation.
By reading this book we hope you have acquired a new perspective on the language used in investigation reports, cause-and-effect relationships, escaping a corrective action mindset, avoiding the blame game, and where to look for valuable facts about failures. Its important to have the correct performance measures to ensure the process is adding value to your organisation. ARMS Reliability is able to assist in improving your RCA program on a number of levels. Click to learn more about Continuous Improvement. If you are interested in learning more about the Apollo Root Cause Analysis method, visit our website for more information www.apollorootcause.com.
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FACILITATION SERVICES
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Acknowledgements
Apollo RCA: Apollonian Publications, LLC is the owner of
Apollo Root Cause Analysis and RealityCharting software. Apollo RCA is a powerful methodology to help you become one of the best problem-solver on the face of the planet.