This is our sixth installment in our blog series on Root Cause Analysis Program Development. Earlier in the series we introduced the six necessary functions within an RCA program and then outlined a recommended team structure to fulfill those functions. In this article, we’ll provide a detailed description of the part each of the six roles plan within an effective RCA program.bigstock-Teamwork-Of-Businesspeople-48286511.jpg

Let’s dive right in.

The RCA Steering Committee

It is the responsibility of the Steering Committee to develop and oversee the strategic functions of the RCA effort.  Steering Committee members should collectively have the authority to assign RCA roles and responsibilities, allocate resources to the effort, and most importantly, have a vested interest in the success of the program.  

Leadership teams of this nature usually already exist in almost all organizations and as such, can double as the Steering Committee by simply adding RCA program status review to regularly scheduled routine meetings as an agenda item. This avoids the creation of more bureaucracy and duplicate meetings.   Steering Committee responsibilities and functions are as follows.

Strategic Responsibilities:

  • Define the scope and breadth of the RCA effort
  • Assign RCA roles and responsibilities
  • Review and approve RCA resource requirements for annual budgeting purposes
  • Set and adjust program KPI’s (at least annually) to reflect improvements in the organization’s performance
  • Set and review threshold criteria (at least annually) to ensure proper balance between trained RCA facilitators and formal RCA demand
  • Sponsor a human change management plan where needed to ensure support from affected positions and departments.

 Tactical Responsibilities:

  •  Approve (or not) recommended RCA solutions for implementation including prioritization and resource allocation
  • Monitor status of open RCAs
  • Monitor and ensure timely implementation of approved RCA solutions
  • Monitor the effectiveness of implemented solutions

The RCA Champion

The Champion serves as a primary sponsor of the RCA effort.  The Champion’s key functions are to promote the RCA effort through sustained advocacy and to make recommendations to the Steering Committee for the resources necessary for the tactical maintenance of the program.  Primary responsibilities include the following.


  • Monitor RCA solution impact on the program KPIs and regularly communicate these results throughout the organization
  • Promote a spirit of success by recognizing and celebrating specific RCA team’s accomplishments and contributions to the organization
  • Attract individual interest in having a role in the RCA effort by communicating its career enhancement value and benefits to the organization   

Tactical Resource Recommendations:

  • Make recommendations to the Steering Committee for RCA program resource requirements for the budgeting process (man hours, positions, training, etc.) necessary to sustain a successful RCA effort
  • Manage the organization’s overall RCA training schedule
  • Regularly track the status of open RCAs and solution implementation
  • Ensure the Steering Committee has accurate and up-to-date RCA and solution status data to make informed decisions regarding allocations of resources and action item prioritization.


The Super User

Depending on the size and structure of the organization, the role of Super User may be beneficial. The Super User is the level above Facilitator in terms of formal RCA training, experience, and expertise with both the RCA methodology and any supporting software. They will also have advanced group facilitation skills and should also be the most experienced facilitator on site.  It is not uncommon to combine the roles of Super User and RCA Champion. Super User responsibilities include the following.

  • Facilitate, or assisting in facilitating, the more significant events and complicated analyses for the organization
  • Performing critical quality assurance reviews of other facilitators’ analysis
  • Act as a mentor to new facilitators
  • Ensure that all facilitators use the proper RCA methodology
  • Deciding, in conjunction with the Champion, when to recommend bringing in facilitation assistance from impartial third-party experts.


The RCA Facilitator

The RCA Facilitators, or methodology practitioners, are fundamental to leading the RCA team in discovering the causes of the incident under review and associated preventative measures or solutions. The Facilitator needs to be neutral in the process. Too often facilitation duties are assigned to positions or individuals because of their technical skills, which can be a mistake. Facilitation skills and technical expertise are two distinctly different talents. Quality RCA facilitators have a naturally engaging personality, logical thought processes, superior group management techniques, and mastery of the RCA methodology. They must create effective RCA team dynamics by ensuring that all team participants are heard, keeping dominate personalities in check, and avoiding group think. Technical responsibilities include ensuring the RCA methodology is accurately followed which includes:

  • Creating a clear and precise problem definition
  • Ensuring that all incident causes are identified and documented in the proper causal relationships
  • Encouraging “out of the box” thinking of the team members during the solution identification process
  • Summarize the results of the RCA with recommended solutions for submittal to appropriate personnel


The RCA Participant

The Participants’ primary role is to be an RCA team member when called upon to do so. They can be anyone from hourly employees, to upper level managers and every position in between. Participants need to receive a level of training on the RCA methodology such that they understand the terminology and the steps involved. Although the level of training is significantly less than that of the Facilitators, Participants often comprise the bulk of the trainees because of the diversity of the personnel requirements for the various RCA incidents. Responsibilities often include the following:

  • Maintain a fundamental understanding of the RCA methodology employed
  • Participate as an RCA team member when called upon
  • Apply their own specific knowledge, skills, and expertise in identifying incident causes
  • Assist in identifying and gathering incident evidence as directed
  • Participate in the solution identification process


The First Responders

The role of a First Responder is to gather as much information and preserve as much evidence as reasonably possible when a trigger incident occurs.  This role is especially important for 24/7 manufacturing operations. Since response time is often critical to preserving evidence, it is important that First Responders be readily available to serve in this role.  For such operations, typical First Responders are shift supervisors, lead hands, shift maintenance personal, etc. Activities of the First Responders primarily include:

  • Notifying appropriate personnel that a triggered RCA event has occurred
  • Securing incident information and evidence for the RCA team which may include:
    • Taking photographs if applicable
    • Identifying eye witnesses for debriefing by the RCA team
    • Securing electronic data related to the incident in question
    • Preserving any physical evidence relative to the incident

By understanding the responsibilities of each of these roles, you can ensure that the appropriate personnel are assigned to the proper roles, while at the same time, balancing existing position duties with any added RCA responsibilities. 

So far, this blog series has covered:

The Key Steps of Designing Your Program

Defining Goals and Current Status

Setting KPIs and Establishing Trigger Thresholds

RCA and Solution Tracking and Roles and Responsibilities

Recommended RCA Team Structure

And, descriptions of each of the six roles within an RCA program.

Next up – Training Strategy and RCA Effort Oversight and Management. Stay tuned for more.

Nuestro artículo anterior en esta serie de blog de Desarrollo de Programas de RCA introdujo los seis roles requeridos en su equipo de análisis de causas para cubrir todas las funciones necesarias. Esta entrega de la serie profundiza en la estructura del equipo y proporciona algunas consideraciones importantes para decidir a quién debe participar.

Roles y Responsabilidades

El esfuerzo de RCA en cualquier organización requerirá un número de participantes en varios niveles de la organización que tengan papeles distintos con responsabilidades muy específicas. Una vez que se establecen los procesos de flujo de trabajo, es hora de asignar estos roles y responsabilidades a individuos específicos, determinar las necesidades de capacitación y decidir si un plan de gestión del cambio humano formal será deseable para ayudar a los empleados a asumir sus nuevas tareas. Estas responsabilidades deben ser claramente entendidas para asegurar que el personal apropiado sea asignado a los diversos roles que incluyen lo siguiente:



Para ayudar en lo anterior, es útil revisar la naturaleza y dinámica de un equipo RCA en funcionamiento.

El papel de un equipo de análisis es aplicar la metodología RCA a un incidente particular. Se utiliza un conjunto predeterminado de condiciones o disparadores para determinar qué incidentes califican para una RCA formal. El Campeón de RCA en colaboración con un Facilitador designado entonces decide a través del proceso de definición de problemas cuánto esfuerzo se va a gastar en el análisis, es decir, qué habilidades deben tener los participantes que estarán en el equipo y cuántos de cada uno, basados en la gravedad del incidente. Como regla general, el costo de los recursos gastados debe ser significativamente menor que el beneficio potencial de un resultado exitoso. En otras palabras, el esfuerzo debe producir un ROI favorable o reducir en gran medida el riesgo de una recurrencia de incidentes ambientales o de seguridad. A menudo es útil definir niveles de umbral, o puntos de quiebre para esfuerzos menores, significativos o mayores de RCA para proporcionar orientación.

El Facilitador lidera el proceso de análisis. Los equipos deben ser multi funcionales y constarán de 6 a 8 miembros, dependiendo de la naturaleza, complejidad y gravedad del incidente bajo investigación. Al montar un equipo RCA, el Campeón o Facilitador tienen la opción de incluir a las personas directamente involucradas en el incidente que está siendo analizado en el equipo, o involucrarlos solo como entrevistados. A menudo es beneficioso incluir un miembro del equipo sin el conocimiento de primera mano del incidente, pero que tenga familiaridad con el proceso, equipo, etc., a fin de ayudar a la objetividad al grupo y evitar el “pensamiento de grupo”. Estos miembros deben ser cuidadosamente seleccionados para asegurarse que agreguen valor. Tener personas asignadas al equipo de análisis porque están disponibles sólo hará perder tiempo. El equipo también debe tener a su disposición todos los hechos, pruebas y la línea de tiempo de todo lo relativo al incidente.

Ciertos puntos en el análisis pueden requerir información adicional que no está disponible dentro de la organización. Por ejemplo, puede ser necesario ponerse en contacto con proveedores o vendedores en relación con las cuestiones de diseño. El propietario del incidente deberá comprender y fomentar el seguimiento de este tipo de recolección de información.

Cuando se inicia el programa RCA, se recomienda enfocarse en la calidad del análisis y no en la cantidad. Unas pocas victorias rápidas son importantes para generar impulso y confianza en el proceso.

Las responsabilidades específicas del equipo RCA incluyen lo siguiente:

  • Revisar los hechos, pruebas y línea de tiempo de todo lo relativo al incidente.
  • Entreviste testigos oculares u otros que puedan tener un conocimiento útil del incidente en cuestión, pero no están en el equipo de análisis.
  • Entreviste expertos en la materia.
  • Proporcionar la experiencia técnica para la resolución de problemas incluyendo reconocimiento de acciones y condiciones y posibles propuestas de solución.
  • Realice un análisis RCA. La metodología Apollo Análisis Causa Raíz incluye: 
    • Validación de la definición del problema según lo determinado previamente por el Campeón y el Facilitador.
    • Creación del diagrama de causa y efecto utilizando el software RealityCharting®.
    • Identificar las condiciones y acciones que precipitaron el incidente bajo investigación.
    • Proponer soluciones efectivas para eliminar las condiciones y acciones seleccionadas que sean realistas y bajo el control de la gerencia de la instalación.
  • Resumir las conclusiones en un informe al Campeón que se presentará al Comité Directivo. Estar disponible para responder cualquier pregunta que el Comité Directivo pueda tener en relación con el informe.

Una vez asignados los roles y responsabilidades, se debe desarrollar un plan integral de capacitación que abarque la metodología RCA y cualquier necesidad identificada de manejo del cambio, con un calendario específico.

Hasta el momento, esta serie de blogs ha cubierto:

Los Pasos Clave para Diseñar Su Programa

Definición de Metas y Estado Actual

RCA y Seguimiento de Soluciones y Roles y Responsabilidades

Y, Estructura Recomendada del Equipo RCA.

La próxima edición revisará las responsabilidades específicas de los seis roles del RCA. Mantente sintonizado para más.


This is a guest post written by Copperleaf.  ARMS Reliability is an authorized distributor of Copperleaf’s C55 Asset Investment Planning & Management solution. 

Author: Stefan Sadnicki

Modern urban wastewater treatment plant. Close-up view

Anglian Water is an innovative company whose mission is “to put water at the heart of a whole new way of living” and raise awareness about how essential water is to life, to the environment, and to a vibrant and growing economy. The company is the largest water and water recycling company in England and Wales—and Copperleaf’s first client in this sector!

We recently completed the implementation of Copperleaf C55 and it was one of the most challenging, yet rewarding projects any of us have ever worked on. I sat down to catch up with Chris Royce, our primary stakeholder and project champion, to get his thoughts on how everything went. As Head of Strategic Investment Management for Anglian Water, Chris was involved with the project from before it was a project! As the implementation draws to a close, I’d like to share some of the highlights:

What was the most challenging part of the project?

For Copperleaf, this was a new country (UK) and a new sector (water). We could see the potential of the C55 system and the benefits it would provide, and in reality many utility assets are very similar and the principles of risk-based decision making are similar. Ultimately, we now have a fantastic solution that combines the power and capability of the core C55 solution with the maturity of the UK water sector. It’s really exciting to see. This continuous planning and management capability really puts us in a new space.

What was the most rewarding part?

For the procurement process, we put together our set of requirements, including many ambitious areas of functionality that we were going to need to meet future challenges. We were unsure if any suppliers could achieve them all, but we knew what best practice could look like—and the Copperleaf team committed to deliver them all. It’s been hugely rewarding to see the vision become reality throughout the project.

Is there anything unique that AW is doing with C55 – something that hasn’t been done before?

There are lots of things. In particular, we started capturing cost data in 2005 and have been carrying out cost estimation-linked investment planning since 2007, using over 1,800 cost models built up from that data. As such, it was very important for our new solution to be able to build on that library of knowledge. Working closely with our Cost Estimating Team, Copperleaf built out a new Cost Estimation module, integrated with the rest of C55, to execute our cost models within the planning process.

Have there been any other added benefits?

At the start of the process, we undertook a comprehensive process mapping of ‘as is’ and ‘to be’. This highlighted a number of pinch points in our process, which Copperleaf was able to ‘systemise’ as part of the implementation.

How has the C55 solution been received in the wider business?

We’ve had a great response from end users. As one user put it during a training session: “I’ve only been using C55 10 minutes and it’s already a significant improvement over our previous system.”

Any anecdotes from the project?

During evaluation, we held a number of reference calls and I joked that Copperleaf must have some magic stardust they put on their users’ keyboards, because I had never heard such positive references about an IT provider. I have to say they were honest! I believe it’s Copperleaf’s focus on the customer experience that made the difference.

What made the project a success?

It may be a cliché, but the joint Anglian Water and Copperleaf delivery team deserves a large amount of credit. We started from a strong position; we had a clear idea of what we wanted to achieve due to our maturity, and the right product to deliver it. But ultimately, the drive and dedication of the team is what has carried us to a successful go-live. Anglian Water is very strong in alliancing and is recognised as an industry leader in this regard, so I wanted to carry this through into this project. And on the Copperleaf side, just the simple thing of having one dedicated project manager for the duration of the project made all the difference in having a collaborative and innovative delivery approach.

To learn more about Copperleaf’s work with Anglian Water, click here.

About Stefan Sadnicki

Stefan is Managing Director for Copperleaf in Europe. He works both with Copperleaf partners and directly with asset-intensive organisations to solve their asset investment planning challenges. His background is in business analytics and consulting and he is an active member of The Institute of Asset Management (IAM). Connect with him on LinkedIn.

Our previous article in this RCA Program Development blog series introduced the six roles required in your root cause analysis team in order cover all of the necessary functions. This installment in the series goes into more depth on the team structure and provides some important considerations for deciding whom should be involved.  

Roles and Responsibilities

The RCA effort in any organization will require a number of participants at various levels of the organization having distinct roles with very specific responsibilities.  Once the workflow processes are established it is time to assign these roles and responsibilities to specific individuals, determine training needs, and decide if a formal human change management plan will be desirable to assist employees in assuming their new assignments.  These responsibilities must be clearly understood to ensure that the appropriate personnel are assigned to the various roles which include the following:




To assist in the above, it is helpful to review the nature and dynamics of a functioning RCA team.

The role of an analysis team is to apply the RCA methodology to a particular incident.  A predetermined set of conditions or triggers is used in determining what incidents qualify for a formal RCA.  The RCA Champion in collaboration with a designated Facilitator then decides through the problem definition process how much effort is to be expended on the analysis i.e. what skills participants will be on the team and how many of each, based upon the severity of the incident.  As a general rule, the cost of the resources expended should be significantly less than the potential benefit of a successful outcome.  In other words, the effort should yield a favorable ROI or greatly reduce the risk of a safety or environmental incident recurrence.  It is often useful to define threshold levels, or break points for minor, significant, or major RCA efforts to provide guidance.

The Facilitator leads the analysis process.  Teams should be cross functional and consist of 6 to 8 members depending upon the nature, complexity, and severity of the incident under investigation. When assembling an RCA team, the Champion or Facilitator has the option of including people directly involved in the incident being analyzed on the team, or involve them as interviewees only.  It is often beneficial to include a team member with no firsthand knowledge of the incident, but having familiarity with the process, equipment, etc. in order to help bring objectivity to the group and avoid “group think”. These members need to be carefully selected to ensure they add value. Having people assigned to the analysis team because they are available will only waste time. The team should also have at its disposal all the facts, evidence, and a timeline surrounding the incident. 

Certain points in the analysis may require additional information that is not available within the organization.  For example, it may be necessary to contact suppliers or vendors concerning design issues. The incident owner will need to understand and encourage the follow-up on this type of information gathering.

When the RCA program is launched, it is recommended to focus on the quality of the analysis and not quantity. A few quick-wins are important to building momentum and confidence in the process.

Specific RCA team responsibilities include the following:

  • Review the facts, evidence, and timeline surrounding the incident  
  • Interview eye witnesses or others that may have useful knowledge of the incident at hand but are not on the analysis team
  • Interview subject matter experts
  • Provide the technical expertise for problem solving including action and condition recognition and possible solution proposals
  • Perform an RCA analysis. The Apollo Root Cause Analysis methodology includes:
  • Validating the problem definition as previously determined by the Champion and Facilitator
  • Creating the cause and effect diagram using RealityCharting® software
  • Identifying conditions and actions that precipitated the incident under investigation
  • Proposing effective solution to eliminate selected conditions and actions that are realistic and under the control of the facility’s management
  • Summarize the findings in a report to the Champion to be presented to the Steering Committee. Be available to answer any question the Steering Committee may have regarding the report.

Once the roles and responsibilities are assigned, a comprehensive training plan covering the RCA methodology and any identified change management needs must be developed with a targeted timeline. 

So far, this blog series has covered:

The Key Steps of Designing Your Program

Defining Goals and Current Status

Setting KPIs and Establishing Trigger Thresholds

RCA and Solution Tracking and Roles and Responsibilities

And, Recommended RCA Team Structure.

The next edition will review the specific responsibilities of the six RCA roles. Stay tuned for more.

Every year, millions of dollars needlessly go down the drain in large organisations. It’s money that can easily be saved, if you know why it’s disappearing and how to save it.

To illustrate, let’s look at a real-life example. Links

We are regularly asked to lead projects to review maintenance strategies sites and assets that are not meeting their availability targets, are suffering frequent unplanned failures, or high costs.

We typically set to work collecting the asset hierarchy, work order history and current maintenance plans. Using all this data, we apply sophisticated methodologies to build an optimised maintenance strategy. In a particular project the resulting revised strategies were forecast to reduce maintenance costs by -18% per annum, and improve availability by +3%.

It was a great outcome. But – and herein lies the problem – the site failed to effectively implement and execute the strategy, and so continued to suffer from unplanned failures and poor availability. There’s the money down the drain.

To truly realise the value good strategy needs to be implemented and then updated over time. In essence the strategy needs to be managed. This includes workflows, review and approval by appropriate subject matter experts, use of generic content wherever possible and data driven decision making.

Learning from past failures

Ten years ago, when Reliability Centred Maintenance (RCM) was really hitting its strides, more and more organisations started investing in the task of developing maintenance strategies. But according to research a massive 60 per cent of these strategies were never implemented. Think of the money wasted.

Or, if a strategy was implemented, it is likely that it may get changed over time with little or no oversight, typically the good strategy work is undone for it only to be put back to how it was.

Realistically any change to a strategy such as the interval, durations, specific tasks, and instruction content should be managed with a dedicated workflow which would include justification and the opportunity to utilise any great improvements across your entire asset base.

The power of combining Work Management with Strategy Management

To fix these endemic problems, the focus of an organisation needs to evolve to strategy management as well as work management.

 Think about it. Work management is all about executing tasks. Strategy management is all about deciding what tasks should be executed. You can have the best work execution process, but if you’re not working on the right strategies then it won’t deliver results. Asset Managers need to make sure that teams are effectively executing the right strategy.

ASM Graphic

Furthermore, reliability and maintenance teams need the agility to adapt if a positive change is made to a strategy at one site in a multi-site organisation, or a common asset used multiple times on a single site. How do you quickly deploy this cost-saving change across other sites in the organisation?

For example, think of a water utility that operates 400 pump stations across the country, with each one operating the same equipment. Say there’s a pump failure at one site, and a technician does some good root cause analysis work which leads to a recommended strategy around a task that needs to be done. If their decision could come back to a central area for review and approval, and then get deployed efficiently and electronically to all the other pump stations, the utility could potentially save thousands on future fixes, reduce risk and improve performance.

Wherever you find pockets of excellence you need to deploy them everywhere, effectively.

Adopt a best practice approach and create a culture of excellence

 The secret of successful strategy management lies in looking beyond the SAPs and Maximos of the world. You can try to standardise these systems for a “generate once, use many times” approach, but it won’t work. A CMMS is designed to manage work tasks, not manage strategy.

Instead, you need a separate approach and solution for strategy management, which directly integrates with your work management system. This way, if your reliability team and subject matter experts devise a new asset strategy that is going to save your organisation millions of dollars, then you can be assured that it will successfully be applied to all the relevant assets across all sites. Likewise, you will gain visibility into single site strategy excellence and be able to quickly and easily deploy it enterprise wide. With an Asset Strategy Management program, your asset strategies will be dynamic, constantly evolving and will instill a culture towards achieving excellence in reliability.

This makes reliability a reality.

Find out how you can adopt a best practice approach to Asset Strategy Management  and unlock unrealised value, enterprise wide.

Para la cuarta entrega de esta serie de blogs sobre los pasos clave del desarrollo de programas de RCA, estamos cubriendo el paso # 5 – RCA y Sistemas de Seguimiento de Soluciones y # 6 – Roles y Responsabilidades. Recuerde, para tener una implementación exitosa y adopción de su nuevo (o rediseñado) programa de RCA, es crucial tener todos los elementos de un programa eficaz y eficiente estén claramente identificados y acordados de antemano. bigstock-Top-view-of-businesspeople-sha-133364732.jpg

Esto es lo que hemos cubierto en esta serie de blogs hasta ahora:

Los Pasos Clave Para Diseñar Su Programa

Definir Objetivos y Estado Actual

Configuración de KPI y Establecimiento de Umbrales de Acción

Ahora nos sumergiremos en los aspectos importantes para el seguimiento de sus soluciones de RCA y las responsabilidades de cada rol que debe desempeñar dentro de sus procesos de RCA.

RCA y Sistemas de Rastreo de Soluciones

Es muy importante que el estado de RCAs sobresalientes y soluciones pendientes sea monitoreado por dos razones básicas: Para asegurar la terminación oportuna de las tareas, y medir su efectividad en prevenir la recurrencia del incidente indeseable.

Cuando un RCA formal es activado y asignadao a un facilitador, la tarea también debe incluir una fecha de finalización razonable que debe ser acordada con el facilitador. Hago hincapié en la palabra “razonable”, porque la naturaleza humana es cortar el tiempo y tomar atajos, lo que a su vez puede resultar en un producto de baja calidad. No he conocido a nadie que haya sido amonestado por completar una tarea antes de tiempo, así que asegúrese de que la fecha de vencimiento sea fácilmente alcanzable.

Una vez que se haya completado un RCA, se presentará una lista de posibles soluciones para su aprobación. Al igual que con los RCAs, la implementación de la solución debe tener una fecha de vencimiento realista y un equipo de trabajo responsable para su cumplimiento. Los progresos hacia el cumplimiento de las fechas de vencimiento deben ser rastreados para asegurar el cumplimiento oportuno. Además, la efectividad de la solución, medida por la recurrencia del incidente (o esperemos que la falta de ella), también debe ser monitoreada para demostrar el valor tanto de los RCAs individuales como del programa de RCA en conjunto.

Al discutir el rastreo de la acción, a menudo el primer pensamiento es crear un nuevo sistema. Sin embargo, sugiero pensar en sus sistemas y tecnología existentes primero y de haber una oportunidad (y tener sentido) se pueden integrar con una solución de rastreo de acciones. Las listas de solución y elementos de acción se pueden exportar desde RealityCharting® a Excel® y luego importarlas a su sistema actual de seguimiento de acciones. Si no tiene un sistema de seguimiento existente que satisfaga todas sus necesidades, considere una herramienta de RCA empresarial, como RC Pro.

Funciones y Responsabilidades

Un esfuerzo de RCA eficaz, eficiente y sostenible requerirá una serie de funciones que se cumplirán en los diversos niveles de la organización. Para lograr esto, debe haber funciones distintas del programa RCA, cada una con un conjunto único de responsabilidades o, en algunos casos, con tareas compartidas. Las responsabilidades de cada rol deben ser claramente auentendidas para asegurar que el personal apropiado sea asignado a las tareas apropiadas mientras que al mismo tiempo se equilibren los deberes existentes de su carga de trabajo adicional de RCAs.

Aquí están las funciones necesarias:

  1. Comité directivo – ¿Qué equipo de gestión supervisará el esfuerzo de RCA?
  2. Campeón del Programa – ¿Quién será el patrocinador de RCA que aporte legitimidad al esfuerzo?
  3. Experto en Metodología de RCA – ¿Quién comprobará la calidad de los RCA finalizados o facilitará los más difíciles?
  4. Facilitadores de RCA – ¿Cuántos y quiénes serán capacitados como facilitadores estándar de RCA?
  5. Primeros Auxilios – Cuando se descencadena un evento, ¿quién será responsable de preservar la evidencia?
  6. Habilidades de los Participantes – ¿Qué personas participarán en RCAs?

Vamos a profundizar en cada uno de los puntos anteriores en nuestra próxima entrega de blog.

Obtenga más información sobre nuestro taller recomendado que cubre los 11 pasos clave y póngase en contacto con nosotros para obtener más información.

¡Estén atentos para el siguiente artículo de esta serie!

A true Asset Strategy Management program delivers predictable outcomes and avoids unexpected failures, outages, safety exposures and costs. ???????????????????????????????????????????????????

Poor reliability of equipment and processes can have sudden and disastrous effects on the ability of an organisation to deliver operational or project objectives. Reliability problems can lead to unexpected downtime, poor quality product or service, missed operational targets, significant remedial costs, poor safety and a rise in incidents.

Managing reliability well seems elusive to most organisations who find it difficult to connect reliability strategy to maintenance execution. In many organisations, the tendency is to focus on maintenance execution alone, in the belief that plant reliability will improve. In order to improve execution, focus is placed on the work management process, work management KPIs, and Master Data. The reality is that even world class execution of a poor strategy won’t deliver on operational objectives in a predictable consistent way. Many organisations are executing inconsistent or sub optimal strategies, leading to variable results, continued under-performance, and significant failures and outages.

Institutionalising Asset Strategy Management (ASM) into the operation reduces failures, downtime and risk, and as a consequence, total cost of operations are lower. Deploying the optimal strategy across all assets and monitoring performance provides the means to improve reliability across all assets, and to sustain the improved performance over time, and throughout periods of change.

ASM removes the inconsistent outcomes from asset strategies, allows for any pockets of excellence to be deployed to all relevant assets, and drives continuous reliability improvement.

What’s the roadblock?

Enterprise Resource Planning (ERP) systems are designed to execute strategy, they are not designed to develop, maintain and manage good strategy.  Many organisations have not yet realised that strategy is separate to execution. ERP systems are designed to support efficient execution, and in order to be effective, have to be continually populated with appropriate Master Data and optimal strategies.

What’s the Solution?

An ASM solution acts as the thread across all systems. It allows organisations to capture and review data from all sources and leverage learnings to enhance reliability strategies by identifying the pockets of strategy excellence and deploying those strategies across the organisation wherever they are relevant.

Standardising and leveraging good strategy

At the core of an ASM solution sits an asset strategy library which houses reliability-based tactics. These asset strategies can be deployed rapidly and support regional or local variations to cater for different operational or environmental conditions. Strategy variation is visible organisation-wide via a reporting functionality, where all learnings drive continual improvement in the asset strategy library, which can be accessed and redeployed to any asset.

Achieve better benchmarking

Operation executives are held accountable for performance, but they don’t have access to all of the data and knowledge they need in order to make accurate decisions. In numerous multi-site organisations, reliability strategies are not standardised across all sites, adding to the confusion between data, strategies, and outcomes. These factors make it difficult to benchmark and thus compare costs and performance of like equipment across the organisation. An ASM solution captures data from many sources and presents it in one place. It allows managers to set up benchmarks, develop and deploy the best strategies consistently, monitor KPIs and align strategies across their whole operation.

Gain control over execution

Asset Managers often have no control over the deployment and execution of the strategies they develop. An ASM solution gives managers the ability to ensure that standardised procedures for strategies are deployed to all assets, at all sites, and to make certain that any modifications to procedures go through an approval process first. In addition, managers gain the ability to monitor the effectiveness of all strategies and to identify system wide and specific enhancements that should be made.


When changeover takes place among maintenance, reliability and project engineering personnel, quality and consistency issues can arise. It’s critical that standardisation is maintained over the longer term regardless of personnel changes, such that baseline strategies are deployed and monitored according to standards and quality assurance rules. To ensure strategies remain optimum over the asset life, the rationale for each strategy decision is maintained and can be revised, improved or changed as business needs change.

Rapid integration

Time is money. The sooner a reliability strategy can be developed and deployed, the better. An ASM system integrates with an organisation’s existing ERP system for easy, efficient and rapid deployment.

Case in Point

Major LNG operator develops & deploys strategies in only 44 days

The Goal

  • To develop maintenance strategies for a major LNG brownfield operation.

The Situation

  • Had no clear method to develop and standardise maintenance strategies in a rapid and efficient manner for all brownfield assets.
  • Many existing PMs were outdated.
  • Many assets did not have strategies.

How an ASM solution was leveraged

  • Generic maintenance strategies were developed for 122 unique equipment types.
  • Variations were made on generic strategies where applicable to meet asset operating context.
  • Strategies were then uploaded to SAP and deployed to 3,631 assets.


  • Client now has a single, standardised database in which strategies can be quickly updated and uploaded to SAP.
  • Entire process was completed in 44 days vs. 90+ days if a traditional method had been used.
  • Client is going to leverage the strategies and learning from this project to assist with the rollout of an upcoming Greenfield initiative.

Would you like to know how you can leverage your organisation’s pockets of excellence and build a best in class asset strategy management program? OnePM® is an innovative reliability strategy management solution, created by ARMS Reliability. LEARN MORE

OnePM® is a trade mark of ARMS Reliability and registered in Australia.

For the fourth installment in this blog series on the key steps of RCA program development we are covering step #5 – RCA and Solution Tracking Systems and #6 – Roles and Responsibilities. Remember, to have a successful implementation and adoption of your new (or redesigned) RCA program, it’s crucial to have all the elements of an effective and efficient program clearly identified and agreed upon in advance. RCA Program Roles and Responsibilities

Here’s what we’ve covered in this blog series so far:

The Key Steps of Designing Your Program

Defining Goals and Current Status

Setting KPIs and Establishing Trigger Thresholds

Now we’ll dive into the important aspects of tracking your RCA solutions and the responsibilities of each role that must be played within your RCA processes.         

RCA and Solution Tracking Systems

It is very important that the status of outstanding RCAs and solutions be monitored for two basic reasons: To assure timely completion of the tasks, and to measure their effectiveness in preventing recurrence of the undesirable incident.

When a formal RCA is triggered and assigned to a facilitator, the assignment should also include a reasonable completion date that is agreed upon with the facilitator. I emphasize the word “reasonable” because human nature is to cut ourselves short on schedule time leading to rushing and taking short cuts, which in turn can result in an inferior work product.  I’ve not known anyone that has ever been admonished for completing a task ahead of time, so be sure the due date is readily achievable.

Once an RCA has been completed, a list of possible solutions will be submitted for approval.  As with the RCAs, solution implementation should have a realistic due date and a responsible party for completion. Progress towards meeting the due dates must be tracked to ensure timely completion. In addition, solution effectiveness, as measured by incident recurrence (or hopefully the lack thereof), should be monitored as well in order to demonstrate the value of both the individual RCAs and the RCA program as a whole.

When discussing action tracking, often the first thought is to create a new system. However, I suggest thinking about your existing systems and technology first and whether there is an opportunity (and if it makes sense) to integrate action tracking into those. Solution and action item lists can be exported from RealityCharting® to Excel® and then imported into your current action tracking system. If you don’t have an existing tracking system that will serve all your needs, then consider an enterprise RCA tool, such as RC ProTM.

Roles and Responsibilities

An effective, efficient, and sustainable RCA effort will require a number of functions to be fulfilled at various levels of the organization. There must be distinct RCA program roles to accomplish this, each with either a unique set of responsibilities or, in some cases, shared duties. The responsibilities of each role must be clearly understood to assure that the appropriate personnel are assigned to the proper roles while at the same time balancing existing position duties with any added RCA workload.

Here are the necessary functions:

  1. Steering committee – What existing management team will oversee the RCA effort?
  2. Program Champion – Who will be the RCA sponsor that brings legitimacy to the effort?
  3. RCA Methodology Expert – Who will quality-check completed RCAs or facilitate the most difficult ones?
  4. RCA Facilitators – How many and who will be trained as standard RCA facilitators?
  5. First Responders – When a triggered event occurs, who will be responsible for preserving evidence?
  6. Skills Participants – What people will participate in RCAs?

We will go into more depth on each of the above in our next blog installment.

Learn more about our recommended facilitated workshop that covers all 11 of the key steps, and contact us for more information.


Stay tuned for the next article in this series!


En nuestro artículo de blog anterior, “Desarrollo del programa de RCA: Pasos Clave para Diseñar su Programa”, proporcionamos un esquema de alto nivel de los once elementos clave que deben definirse para tener un programa eficaz de análisis causa raíz en su organización. Ahora, en una serie de artículos, vamos a desglosar cada uno de los once elementos clave a más detalle, expandiendo en las consideraciones importantes que deben tenerse en cuenta, comenzando aquí con sus metas y su estado actual. bigstock-Group-of-three-successful-busi-68707195.jpg

La primera pregunta es, “¿Qué estamos tratando de lograr con el RCA?” La respuesta desde una perspectiva general se puede encontrar en las metas y objetivos de la organización. Cada organización, e individuo, tiene un conjunto de metas y objetivos que se utilizan como criterios para medir el desempeño a corto y largo plazo. Es críticamente importante que el esfuerzo de RCA esté en completa alineación con las metas y objetivos de la organización y de los integrantes. Hacemos esto usando las metas y objetivos para guiarnos en la identificación de los Indicadores Clave de Desempeño (KPIs) del esfuerzo de RCA y establecer los Criterios Umbral (Diagrama de Activación) para determinar cuándo debe realizarse un RCA formal. Si la alineación es verdadera, habrá una mejora tangible y mensurable en el logro de metas y objetivos a lo largo del tiempo.

1. Objetivos del RCA y Alineación Objetiva

La primera pregunta es, “¿Qué estamos tratando de lograr con el RCA?” La respuesta desde una perspectiva general se puede encontrar en las metas y objetivos de la organización. Cada organización, e individuo, tiene un conjunto de metas y objetivos que se utilizan como criterios para medir el desempeño a corto y largo plazo. Es críticamente importante que el esfuerzo de RCA esté en completa alineación con las metas y objetivos de la organización y de los integrantes. Hacemos esto usando las metas y objetivos para guiarnos en la identificación de los Indicadores Clave de Desempeño (KPIs) del esfuerzo de RCA y establecer los Criterios Umbral (Diagrama de Activación) para determinar cuándo debe realizarse un RCA formal. (Aprenda más sobre cómo establecer los criterios base.) Si la alineación es verdadera, habrá una mejora tangible y mensurable en el logro de metas y objetivos a lo largo del tiempo.

2. Estado del esfuerzo actual de RCA

Cada organización tendrá alguna forma de RCA en práctica. Vale la pena invertir tiempo evaluando el estado, o nivel de madurez, del proceso de RCA existente. El nivel de madurez puede clasificarse en una de cuatro categorías generales.

  • Nivel 1: Aprendizaje y Desarrollo
  • Nivel 2: Eficiente
  • Nivel 3: Retroalimentación
  • Nivel 4: Proactivo

Nivel 1, Aprendizaje y Desarrollo, es donde se encuentran la mayoría de las organizaciones sin un programa de RCA. La gerencia reconoce la necesidad de un método formal de resolución de problemas, pero el enfoque se centra principalmente en la capacitación. Existe poca o ninguna estructura para apoyar a los facilitadores capacitados y no hay KPI bien definido o guía de criterios base. En esta etapa, la organización usualmente obtendrá algunas mejoras organizacionales a partir de la eliminación de problemas, pero de una manera ineficaz o “aprendiendo sobre la marcha.” 

En el Nivel 2, RCAs Eficaces y formales y los KPI están en lugar y están alineados con las metas y los objetivos comerciales antes de la capacitación en RCA. Esto incluiría definiciones claras sobre las funciones y responsabilidades del RCA, así como la identificación de la infraestructura de apoyo, como el seguimiento del estado de RCA, la efectividad de las acciones correctivas implementadas y similares.

En el nivel de Retroalimentación, la efectividad de los solucionadores de problemas entrenados ha madurado a través de la experiencia. Por lo tanto, su capacidad para resolver problemas organizacionales ha dado lugar a un logro documentado de los KPI del programa y las mejoras resultantes de las metas y objetivos de la organización. La organización está ahora en el proceso continuo de endurecer el alcance de los KPIs para obtener un mayor retorno. Ahora los facilitadores de RCA estaran seguros, y serán eficientes y efectivos en la eliminación de impedimentos para alcanzar metas y objetivos.

En el nivel de Proactivo, su organización ahora ha integrado el proceso RCA en su cultura central. La eliminación eficaz del problema es la norma y se espera en todos los niveles de la organización. La gente ya no busca culpar a los problemas, sino que se centra en la prevención y la eliminación. El retorno de la inversión tanto monetaria como de salud / seguridad / cuestiones medioambientales es extremadamente alto actuando como gratificación y motivación. El RCA se ha convertido en una clave dentro de su cultura, por la cual las personas son intolerantes a la solución ineficaz de problemas y están encontrando formas proactivas de usar RCA para evitar que se produzcan problemas de inicio.

Existen métodos o encuestas que pueden utilizarse para determinar el nivel de madurez de una organización. ¿Porque es esto importante? La determinación de su nivel de madurez actual marca una línea que muestra dónde comenzó, o tomó un enfoque renovado en este viaje de desarrollo de su programa de RCA. Puede establecer metas alrededor de donde desea estar durante un período de tiempo y mirar hacia atrás para ver cómo ha evolucionado realmente su programa.

Este artículo le ha dado una introducción a los dos primeros elementos clave, pero por supuesto, hay más sobre la configuración de su programa de RCA para legar al éxito. Los expertos en RCA de ARMS Reliability pueden ayudarle con el diseño de su programa completo de RCA o revitalizar el actual. Esto, por supuesto, incluye ayudar a determinar el estado de su esfuerzo actual de RCA y asesorar en el establecimiento y alineación de las metas. Aprenda más sobre nuestro taller y contáctenos para más información.


Sin comprender realmente los elementos clave (y poseer las habilidades necesarias) para llevar a cabo una investigación exhaustiva y efectiva, la gente corre el riesgo de no tener los factores causales clave de un incidente mientras llevan a cabo el análisis real. Esto podría resultar en la no identificación de todas las posibles soluciones, incluyendo aquellas que pueden ser más rentables, más fáciles de implementar o más efectivas para prevenir su recurrencia. Prevencion de Incidentes

Aquí se describen los 5 pasos clave de una investigación de incidentes que preceden al análisis real.

1. Asegure la escena del incidente

  • Identifique y preserve evidencia potencial
  • Controle el acceso a la escena
  • Documente la escena utilizando su “Plantilla de Respuesta a Incidentes” (¿Tiene una?)

2. Seleccione el equipo de investigación

Las funciones que deben ser llenadas son:

  • Jefe de Investigación de Incidentes
  • Recolector de Evidencia
  • Coordinador de Preservación de Evidencias
  • Coordinador de Comunicaciones
  • Coordinador de Entrevistas

Otras consideraciones importantes para la selección de los miembros del equipo son:

  • Asegúrese de que los miembros del equipo tengan los rasgos deseables (¿Cuáles son?)
  • La naturaleza del incidente (¿Cómo influye esto en la selección del equipo?)
  • Elija las personas adecuadas dentro y fuera de la organización (¿Cómo decide?)
  • Tamaño adecuado del equipo (¿Cuál es el tamaño óptimo del equipo?)

3. Planifique la investigación

Al recibir la llamada inicial:

  • Obtenga el preliminar Qué, Cuándo, Dónde e Importancia
  • Determine el estado del incidente
  • Entienda cualquier sensibilidad
  • Si es necesario y apropiado, emita una solicitud para aislar el área del incidente
  • Escale las notificaciones según proceda

El informe preliminar:

  • El Jefe de Investigación presenta un informe preliminar al equipo investigador
  • Prepare un plan de investigación para el equipo

4. Recoga los hechos basados en evidencias


  • Esté preparado y listo para dirigir o participar en una investigación en todo momento para asegurar su puntualidad y minuciosidad.
  • Haga que su “Maleta” esté lista con elementos útiles para ayudarle a proteger la escena, tomar fotografías, documentar los detalles de la escena y recopilar evidencia física.
  • Recopilar tanta información como sea posible … analice más tarde
  • Inspeccione la escena del incidente
  • Recopile hechos y pruebas
  • Realice Entrevistas

*Aunque cada paso en el Proceso de Prevención de Incidentes es crucial, el paso 4 requiere un conjunto de habilidades particularmente distinto. Gran parte del tiempo en nuestro curso de formación para el Investigador de Incidentes se dedica a aprender las técnicas y habilidades necesarias para completar este paso bien hecho.

5. Establezca una línea de tiempo

Esta puede ser la forma más rápida de agrupar información proveniente de muchas fuentes


  • Las etiquetas se pueden utilizar en la cartulina para comenzar a reorganizar la información en una línea de tiempo. Utilice diferentes colores para obtener datos precisos en lugar de imprecisos y enumere la fuente de la información en cada nota.

Después de los pasos 1 a 5 viene el Análisis de Causa Raíz del incidente, la implementación y el seguimiento de la solución y el reporte a la organización:

6. Determine las causas raíz del incidente

7. Identifique y recomiende soluciones para prevenir la recurrencia de incidentes similares

8. Implemente las soluciones

9. Restree de la eficacia de las soluciones

10. Comunique los hallazgos en toda la organización

* Los pasos 6 al 10 se detallan en nuestro curso de capacitación del Facilitador de Análisis Causa Raíz.

Para obtener más información sobre la diferencia entre nuestro investigador de incidentes y los cursos de capacitación de facilitadores de RCA, consulte nuestro artículo en el blog anterior y, por supuesto, si desea discutir cómo implementar o mejorar el proceso de prevención de incidentes en su organización, póngase en contacto con nosotros.