RCFA Report Template for Mechanical Equipment

8/19/2019 RCFA Report Template for Mechanical Equipment

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Report No.

Root Cause Failure Analysis Report

A) What Are The Details Of The Event/Failure?

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Failure Report Title

Date Of Event/Failure _____________________________Equipment Tag No _____________________________Tag Descript ion _____________________________Equipment Type _____________________________Equipment Vendor _____________________________Equipment Serial No _____________________________CMMS Work Order No _____________________________Work Order Opened (date) _____________________________Work Order Closed (date) ________________________________

NOTE: Complete only relevant sections. If certain sections are not considered relevant, you muststate why it is not relevant. Incomplete reporting is unacceptable.

What does ‘it’ do?

(May be based on the work order title)

B) Function

Very often there is a lack of clarity on, what the equipment should actually do, what the performancestandards are for the equipment (e.g. to pump 350cu meter/hour of crude at 40bar). This lack of clarity canmake the process of failure analysis very difficult. Consider what the normal operational performancestandard is for this equipment in its normal operating mode. It is necessary to know the normal parametersfirst, as a reference/datum.

In this section record the entire key data regarding the equipment’s primary function.

What is the operating con text for this equipment you have worked on? (State the primary function and the performance, throughput, in a specified time, i.e. pressure,temperature, etc?)

If relevant, please describe secondary functions.

State what the standard primary function performance standard is, i.e., it is the datum forcomparison, and who has set this performance standard?

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• Work - What is expected? Cycles/Load Etc. __________________________________________________• Time - How long for? Duration __________________________________________________• Throughput - At what rate? __________________________________________________• Output quantity & quality. At what quality? __________________________________________________• Safety & risk compliance __________________________________________________

• Standard set by (whom) __________________________________________________

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How has ‘it’ not done what it should?

In what way has this piece of equipment been deemed to have failed to fulfil its function?3 Provide a brief statement of the ‘problem’ or failure that Maintenance was asked to

investigate/resolve. [This may be the key point from the maintenance work order .]

What change or deviation was observed from the normal operating condition?4

Compared to the function details previously in Q1 & Q2, e.g. was deterioration, slow down,increases noted, etc? State how? By how much? Over what time frame, etc?

Please describe what changed/deviated below, e.g. reduced by x% in time t.

What was the sequence of events that lead up to this failure?

Can this be supported with hardcopy documentation such as logs/trends/journals? (ViaSER/DCS/RMPIS/Other_________ ) Consider all aspects. 5

Yes? No?If Yes please attach the logs/trends/journals to this report.

The attached documentation demonstrates/proves that:

What happened?

State in words briefly what happened when the failure occurred? Consider the effect on

the equipment, system, and plant. 6

How serious was the failure in terms o f downtime, secondary damage?7

(More detailed consequences analysis, see Section H)

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C) Functional Failure

D) Failure Effect

_______________ and then subsequently


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State clearly what exactly has been done physically to overcome this functional failure?

Explain beneath:-8

3 Action Code Description

CleanedRepairedResetRefurbished in situ

OverhauledRecalibrated

AdjustmentOther, specify

If the item was replaced please state the condition of the fitted item:9

3 Action Code

Replaced with new itemReplaced with refurbished itemRefurbished and then replacedReplaced with modified itemOther

Where are the primary failed components now?10

Lost/Discarded Available for review (tagged and stored) Refurbished and reinstalled

A) Good as new B) Better than old

Refurbished and returned to store Returned to vendor Other, explain ________________________

Has this equipment been returned to as good as new condition and function?11 Yes? No?

If Yes how did you verify, test and confirm that the equipment meets the required performancestandards following the response?

Note: Attach test sheets, start-up/ acceptance logs to validate.

If you have indicated No: By how much was it degraded? _____________%Is this considered a temporary repair? or Yes? No? Is this considered a modification temporary or otherwise? Yes? No?

If a temporary repair has been made, what is required and when?12

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E) Action to Restore Function

• Requirement _________________• Due date: _______________________• Consequence if due date missed ______________________________________________________________• Follow on MWO Number _______________________________________


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How long will the equipment run now ? ______________________________.13Until what next datum? _________________________________________.When? ____________________________.

If you have performed a modification that alters the original fit, form or function, (this includes thesubstitution of components, different manufacturers, in house made) then this may significantlychange its life.

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These changes must be tracked.

Please explain technically the reason, purpose and who authorised this modification, -

Detail what effect this modification will have on the function and performance of the

equipment/component?

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Please indicate what updates are needed as a result of th is repair?16 When permanent changes are made it is very important that all the records, documentation and

support are also updated so that the maintenance support remains valid. Remember thatMaintenance is mandated to maintain and not modify – without review/approval and disciplinedchange management.

The following must be re-validated:• Equipment Master Record in CMMS Yes? No? • Material Spare Parts details, stocking, specifications Yes? No? • Drawings & documentation (to be red lined and returned to design

agencies to formally update corporate documentation records) Yes? No? Support equipment and tools, updated, provisioned Yes? No? Standard Job Plan (PM or corrective) Yes? No? Standard Operating Procedure’s Yes? No? Start-Up/Acceptance Forms Modified Yes? No?

Provide details as necessary in the box below

Any items with No – State Why!

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F) Change Control

• Reason [s] _____________________________________________________• Purpose _____________________________________________________

• Authority To Modify Is _____________________________________________________ (Letter No., Engineering Package No, etc)


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G Failure Mode/Cause

What are the initial recorded CMMS Failure Codes for the work that was conducted?

Failure _________________ Failure Code _________________ Problem _________________ Problem Code _________________ Cause Description _________________ Cause Code _________________

What do you think happened?What can you prove, support and how? Consider also your comments in section C.

State clearly in words in the box below

-Initially _______________________________________________________________________________________-Subsequently _________________________________________________________________________________

Please expand and support your conclusion(s): -

What was the failed component (s) and it s mode of failu re, e.g., Oil Filter Blocked?

Has this failure occurred on simi lar equipment or a group of equipment?Yes? No?

If YES, – how often? _______________ in _________________duration.

Have you conducted a five-why or other technique to arrive at the Root Cause? Yes? No?

Be aware that the initial reported cause is rarely the root cause codes and a further level of detailed,analysis and comparison is necessary to arrive at the real root cause.

If YES - What were the findings from this kind of techniques?

Please list the possible Root Cause of failure into the table below.

NOTE if further investigation is ongoing or required do not complete this section until the investigation iscomplete.

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Root Cause Yes No

Maintenance Related

Skills (Competency Deficiency Of Craftsmen)

Incorrect Tooling or Equipment Utilised

Improper Previous Repair (Rework Issue)

Improper Alignment or Field Installation

None Standard or Original Materials, Parts UsedOriginal Design or Selection In Question

Operational Related

Mal-operation. (Improper Operation/Sequence/Etc)

Improper Start-up or Shutdown

Equipment Overloaded, Operated Too Hard or Too Slow

Operating Context/Condition has Changed Since Design

Lubrication Issue (Insufficient/Incorrect/Contaminated)

Other, explain

E.g., design related

E.g., purchasing related

You must say what it may be and what it is not; i.e. a Y or N is required for each. No omissions allowed.

22 State what you consider are the real Root Causes.

23Evaluate the Reliability of this failure?

Based upon the initially reported fault codes, the historical data that has been gathered, the evidence of thisevent/failure and the basic causes of failure from the table above, from a maintenance perspective wouldyou say this failure is:-

a) Considered ‘normal’ due to appropriate wear & tear. Yes? No? b) Considered abnormal & unusual. Yes? No?c) Considered chronic or repetitive. Yes? No?

If you indicated Yes to either of the last two questions above.I.e. [abnormal/unusual or chronic/repetitive]

What is the historical frequency (number of occurrences)? ___________ Attach the support through the relevant CMMS Reports.

d) Considered unacceptably costly. Yes? No?

Please support financially with the relevant CMMS report that considers lifetime maintenance costsincurred for this asset.What is the ‘normal’ unit cost per work/time/throughput for this equipment for a comparator?

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Please comparethese to Nos.1&2(on Page 1 todefine thedeviation inperformance

____ $’s per ________ _____


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Does it matter? How much?

State the consequences of this failure in terms of safety, environment, production, andcosts?

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Safety: Was there an actual safety loss associated with this event /failure? (This refers to aquantifiable safety loss that was sustained.) Yes? No?

24a

If Yes - then how can this actual safety loss be quantified in financial terms? Indicate the value of this safetyloss in the box provided

Environmental: Was there an actual environmental loss associated with this event/failure?(This refers to a quantifiable environmental loss that was sustained.) Yes? No?

24b

If Yes – then how can this actual safety loss be quantified in financial terms? Indicate the value of thisenvironmental loss in the box provided.

As this was an actual safety and/or environmental loss, has this been documented separately, accompaniedwith the near miss or preliminary incident reportage and channelled through to population of, e.g., HAZOPdatabases? Yes? No?

If Yes, - record the transmittal reference to Safety & Environmental Department ______________________If No, - why not?

Production: - Was there an actual production loss associated with this failure/event?24c

Note. This refers to a quantifiable loss that was sustained that was not recovered by increasingthroughput through the plant/unit/equipment once the failure/event was dealt with.

Yes? No?

If Yes, - then how can this actual production loss be quantified in financial terms? Indicate the value of thisloss in the box provided. (You may need to discuss this with a performance-monitoring engineer.)

Maintenance: When maintenance responded to this event/failure. (It is important to understand ifthis was a completely unbudgeted/unplanned response.)

24d

Was this a breakdown response? Yes? No?Did this occur out of hours and require call out/overtime? Yes? No? Were all the costs directly apportioned to this failure/event? Yes? No? If No, - then what other work (opportunistically) was conducted whilst the event/failure was being dealt with?

What were the total maintenance costs associated with the response to this event/failure?

What was the total downtime of the equipment?

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H) Consequences of Failure

for ___________________________ of for

for ___________________________

for ___________________________

Total _________________Labour _________________Materials _________________Other _________________

Hr’s

Hr’s


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What was the total maintenance time within this total downtime?

Where is the balance of the downtime to be attributed to if the maintenance downtime is less than 50% ofthe total?

Non Operational/Other 24e

Did this event/failure result in other non operational cost other than the direct costs of response/repair?Perhaps taxes, penalties, logistics etc. Yes? No? If Yes what were these costs by type and cost?

Determine the Total Financial Cost Of This Event/Failure. (Add together numbers 24a –24e.) 25

What should (could), be done to prevent this failure from re-occurring?26(Brief statement only)

Define the tasks or ideas that your work group shou ld do to resolve this issue?27

Have you any other suggestions that would prevent a re-occurrence? (Perhaps outside ofyour control.)

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29Do you consider your suggestions to be: - An in-house maintenance activity(s) Yes? No? A outsourced specialist maintenance activity Yes? No? A redefined operations activity (s). Yes? No? A modification or enhancement. Yes? No?

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I) Preventive Action

• _____$’s

• For _______

______ $’s

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

1. _______________________________________________________________________________________2. _______________________________________________________________________________________3. _______________________________________________________________________________________4. ________________________________________________________________________________________ 5. Approximate Cost?_______________ ROI v/s cost @ Number 25 = x:1 in y period

My suggestion is to _____________ because _________________. This needs to be ________________,By ____________________________________.


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Would checking the equipment at different intervals have been sufficient to detect the failurebefore it occurred? How would it then become detectable and preventable? Please explain.

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Should we consider a scheduled overhaul / strip down for this equipment? Would the timelyreplacement of a component have retained the original system resistance to failure as a whole?Please expand/support below.

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Is this equipment currently in the preventative maintenance (PM) programme?32Yes? No?

If NO - What are the reasons why it should be included in the PM program ? What specific individualfailure modes would be targeted and how, in the revised preventative maintenance checks?

If YES - Why didn’t the current preventative measures avoid this current failure?

If YES - What was the date of the last PM? __________ Type/Code Used ___________Have the PM’s been conducted on time/schedule in the last year? Yes? No?(Please attach the proof that the scheduled PM’s have been completed on schedule and completed.

Do you still believe a review of the preventative maintenance -content/frequency is warranted?Yes? No?

33 Is this equipment currently included in the predictive maintenance program?

Yes? No?

If YES, should or could the failure have been predicted?

If NO, should condit ion monitor ing be considered?

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J) Maintenance Strategy Review

We should check ___________________ by _______________ at ____________ . Thiswould then make _______________________ detectable & preventable because ______________________________________________________________________________________

- Wear pattern ____________________________ - characteristic _____________________

It should be included in the preventative maintenance program because ____________________________. Wewould target ________________________________ failure mode(s) with _________________________________activities/tasks________________________________ using __________________________ techniques.

The equipment is in the PM program and the current PM activities did not prevent this current failure because _____________________________________________________________________________________________ _____________________________________________________________________________________________My support/evidence for this conclusion is ___________________________________________________________

Explain _______________________________________________________________________________

Explain _______________________________________________________________________________


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Do we need to change ‘it’?

What should be done if no suitable preventative task can be found? Is there an inherentsystemic or equipment ‘problem’ that can only be resolved by a redesign action?34

What needs to be done, by whom & by when?

What tangible & supportable actions are recommended? 35

Category Yes No Next Acti on To Due Date.Inconclusive Need to Send Failed Components For AnalysisMaintenance Costs Are Unacceptable – ConsultVendor/TSDDesign Change Is Necessary

Review Materials Of Construction Change

Revise Preventative Maintenance Content/Frequency

Revise Predictive Maintenance Content/Frequency

Review/Revise Operating Procedures

Training Is Required

Improve, Prove Different Tools/Test Equipment

Corrosion/Erosion Issue. Refer To TSD Inspection

Other, specify

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K) Design out.

L) Status/Conclusion

A design out initiative needs to be considered here because _____________________________________________.This is supportable, as ________________ is unacceptable in accordancewith________________________________________________standard/regulation/required performance standard.The consequences (in cost, danger terms) of not making this change are ________________________


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Team Leader/Title/Department

Name:_______________________

Title:_________________________

Department:_ __________________

Team Members/Discip line/Dept

Name Discipline Department

___________________________ ___________________________ ___________________________

___________________________ ___________________________ ___________________________

___________________________ ___________________________ ___________________________

___________________________ ___________________________ ___________________________

___________________________ ___________________________ ___________________________

Date Report Closed Out: _____/______/______

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Scratchpad - Anything To Add or Record?

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2.3.4.5.6.7.8.9.10.

RCFA Report Template for Mechanical Equipment

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