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TapRooT®
Changing the Way the World Solves Problems
TapRooT® Presentation
SMARTER Corrective ActionsRevision 0, 7/00
HUMAN ENGINEERING
labels NI
arrangemen t/plac emen t
dis play s NI
plant/uni tdi ffe renc es
Human - Mac hineIn te rfac e
mon ito ringale rtnes s NI
hous ek eepingNIho t/c old
l ights NI
no is y
equipment gua rd NI
W orkEnv i ronment
k nowledge-
bas ed dec is ionrequi red
Comp lex
Sy s tem
mon ito ring toomany i tems
e rro rs no tdetec tab le
e rro rs no trec ov e rable
Non-Fau l tTole ran t Sy s tem
c on tro ls NI
c ramped qua rters
we t/s l ic k
too ls /ins truments NI
ex c es s iv eli fti ng
obs truc tion
Pages 93-112
high rad ia tion /c on tamina tion
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.2
The most basic cause (or causes) that can reasonably be identified that management has control to fix and, when fixed, will prevent (or significantly reduce the likelihood
or consequences of) the problem's recurrence.
Root Cause Definition
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.3
Fixing Root Causes to Improve Performance
• Problems alert us to the need for improvement.
• We could try to "change anything/everything" but it's more effective to pinpoint fixes.
• For most problems we can identify changes that will enhance performance and eliminate the problem.
• You need a reliable, systematic process to find fixable root causes.
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.4
Choosing the Right Investigation Program
• Must satisfy JCAHO requirements
• Must identify true, fixable root causes consistently
• Must be credible with the work force and encourage their active participation in the investigation and review process
• Must not overextend our ability to investigate and follow-up on incidents
• Must allow collection, comparison, and measurement of root causes to provide meaningful trends
• Must have consistency of results to facilitate the sharing throughout organization of lessons learned to prevent recurrence
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.5
TapRooT®
• Use technique called SnapCharT®
• To understand what happened and how it happened.
• Use TapRooT® Root Cause Tree®
• To use systematic process to find each problem's root causes.
• SMARTER Corrective Actions and Corrective Actions Helper®
• To develop effective fixes
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.6
Diagram of TapRooT® Process
Read through NCPSTriage Cards
DetermineSequence of
Events(SnapCharT)
DefineCausal Factors
Analyze EachCausal Factor's
Root Causes(Root Cause
Tree)
Develop &Evaluate
CorrectiveActions
(SMARTER)
Report andImplement Corrective
Actions(DoD RCA Form)
Review EventReport
Analyze EachRoot Caus's
Generic Cause(Root Cause
Tree)
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.7
SnapCharT®
“Condemnation without investigation is the height of ignorance.” Albert Einstein
SnapCharT® Allows You To:
• Have a thorough Understanding of “What Happened”
• Spot missing or conflicting information
• Keep focused on the incident (maintain objectivity)
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.8
SnapCharT® Simple Example
Person walks to car
Person steps in pothole
Transported to hospital & treated
Person sprains ankle
Car in usual spot in company lot
Pothole reported 4 weeks ago -
no action taken
Parking lot light out
No barricades around hole
Hole not visible after dark
Light failed 3 days ago - not reported
Incident Reason for the Root Cause Analysis
Events Who did what? What equipment did what?
Condition or Causal Factor Amplifying information. Explains event.
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.9
TapRooT® Root Cause Tree ®
Chance is a word without sense; nothing can exist without cause. Voltaire
TapRooT® Root Cause Tree ® Allows You To:
• Determine why people make mistakes
• Determine why equipment fails
• Understand the system causes behind incidents
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.10
TapRooT® Root Cause Tree®
• 15 questions to help team isolate causes for human performance problems AND
• A “Tree” of incident causes
Used to: • Systematically guide team to the root causes of human
performance & equipment problems
• Focus on finding fixable causes rather than on placing blame
• Provide common language for discussions & trending
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.11
TapRooT® Root Cause Example
Not Used / Not Followed
PROCEDURES
procedure use not required but should be
no procedure
procedure not available or inconvenient for useprocedure difficult to use
typosequence wrong
facts wrong
situation not coveredwrong revision usedsecond checker needed
> 1 action / step
checkoff misused
Followed Incorrectly
format confusing
no checkoff
graphics NI
limits NI
excess references
details NI
Wrong
Pages 36-52
mult unit references
data/computations wrong or incomplete
equip identification NIambiguous instructionsmisused second check
TapRooT® Root Cause
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.12
TapRooT® Generic Cause
• A systems issue/problem that allows a root cause to exist
• Fixing the generic cause eliminates whole classes of specific root causes
13
Develop SnapC
harT®
Get Started
- Determ
ine what you are investigating
Define sequence of events
- Identify missing or needed
information
- Investigate further to find missing
information
Define causal factors
Root C
ause Analysis
Analyze each C
ausal Factor’s Root
Causes
- Analyze one C
ausal Factor at a tim
e- B
egin at the top of the Tree and work
through the questions to determine
what B
asic Cause C
ategories apply- Exam
ine all of the Basic C
ause C
ategories that apply to determine
what root causes apply
Use the TapR
ooT® R
oot Cause Tree
®
Dictionary for definitions to all of the
questions and root causes on the Root
Cause T
ree®
©C
opyright 2000 by System Im
provements Inc., K
noxville, TN. A
ll Rights R
eserved Worldw
ide. Duplication Prohibited.
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.14
Corrective Actions
• S pecific• M easurable• A ccountable person• R easonable• T imely• E ffectiveness review• R eview for unintended consequences
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.15
Corrective Action Implementation
Incident
Immediate Fixes
Long TermCorrective
ActionsRecommended
FixesImplemented
Re-Analyze &Develop New
CorrectiveActions
TEST
Share with OtherFacilities
Evaluate & Decideon Implementation
DocumentDecision
Implement Fixes
TEST
Done
Re-Analyze &Develop New
CorrectiveActions
Investigation
STARTHERE
On-Site
Document
OtherFacilities
No
Yes
Doesn'tWork
Effective
MeasureEffectiveness
Document/Track/
Validate
Document/Track/
Validate
MeasureEffectiveness
Effective
Doesn't Work
Off-Site
©Copyright 2000 by System Improvements Inc., Knoxville, TN. All Rights Reserved Worldwide. Duplication Prohibited.16
QUESTIONS?
HUMAN ENGINEERING
labe ls NI
arrangement/plac ement
dis p l ay s NI
plan t/un itdi f fe rences
Human - Mac h ineIn te rfac e
mon itori ngale rtnes s NI
hous ek eepi ngNIhot/c ol d
l i gh ts NI
noi s y
equ i pment guard NI
W orkEnv i ronment
knowledge-
bas ed dec i s i onrequ ired
Co mplex
Sys tem
mon i toring toomany i tems
erro rs notde tec table
erro rs notrec overab le
Non-Fa u ltTol e ra nt Sy s tem
controls NI
c ramped quarte rs
wet/s l ic k
too l s /i ns truments NI
ex c ess iv eli ft ing
obs truc tion
Pages 93-112
h igh rad ia tion /contamina ti on
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