Failure Mode and Effects Analysis (FMEA)

© 2001 ConceptFlow 1
 Module Objectives

By the end of this module, the participant should be able to:

• Identify and prioritize risk of failure occurring
• Identify Xs and their relationship to Y
• Construct a complete FMEA
• Generate action items

© 2001 ConceptFlow 2
 Why Use FMEA?

• Identify potential failure modes

and analyze risks
• Identify key characteristics 30 - 50 Inputs
• Document the control plan
• Increase client satisfaction 10 - 15 Xs
• Improve quality, reliability, and 8 - 10 KPIVs
safety of product

4-8 Key KPIVs

3-6 Key KPIVs

© 2001 ConceptFlow 3
 Two Approaches To The FMEA

• Two major approaches:

• Starting with the Cause & Effect Matrix
• Starting with FMEA directly from the Process Map
• We will explain the approach using the C&E matrix
• Both approaches are very similar

© 2001 ConceptFlow
 Starting With C&E Matrix

• The C&E Matrix defined the important issues by helping to prioritize:

• Important client requirements
• Process inputs that could potentially impact these requirements
• Prioritize the potential Key Process Inputs (KPIV) according to their
impact on the output variables

Focus on inputs that highly impact a large number of outputs

© 2001 ConceptFlow
 What Is A FMEA?

A systematic approach to:

• Identify potential failure modes and their effects
• Prioritize risks associated with specific causes
• Identify ways of eliminating or reducing the specific causes
• Document a plan to prevent the failures

© 2001 ConceptFlow 6
 Types Of FMEA

Types of FMEA
• Product/Service: Identifies what can go wrong with the design of a
product or service
• Process: Identifies what can go wrong with the design of a process
• Project: Identifies what can go wrong with a major project

© 2001 ConceptFlow 7
 The FMEA Form

S O D R
Process Actions
Potential Failure Mode Potential Failure Effects E Potential Causes C Current Controls E P
Step/Input Recommended
V C T N

What is the 0 How 0

How can 0
How
0

Effect on the Bad? this be well?

0 0 0 0
Outputs? found?
What
can go 0 0 0 0

wrong What are What can

with the
0
the
0 How 0 0
be done?
Process Causes? Often?
0 0 0 0

What is step?
the
Process
Step

© 2001 ConceptFlow 8
 From Cause To Effect…

Failure Mode
Cause Effect
(Defect)
Material or Process Step External client
process input or downstream
process step

Controls

© 2001 ConceptFlow 9
 Risk Priority Numbers, RPN

• The risk priority number (RPN) is the product of the rankings for:
• Severity (SEV)
• Probability of Occurrence (OCC)
• Difficulty to Detect (DET)
• High RPN’s are flags to take effort to reduce the calculated risk
• Regardless of RPN, high severity scores should be given special
attention

RPN = SEV x OCC x DET

Effects Causes Controls

© 2001 ConceptFlow 10
 Rating Definitions

Severity Occurrence Detection

Rating
High 10 Hazardous without Very high and Cannot detect or
warning almost inevitable detection with very
low probability
Loss of primary High repeated Remote or low
function failures chance of detection

Loss of secondary Moderate failures Low detection

function probability

Minor defect Occasional failures Moderate detection

probability

No effect Failure unlikely Almost certain

Low 1 detection

© 2001 ConceptFlow 11
 Detection Scores At Various Levels Of The
Process

Det = 1 Det = 3 Det = 7 Det = 10

Prevention Detection Detection Detection

Failure Mode
Cause Effect
(Defect)
Material or Process Step External client
process input or downstream
process step
Material or process
input

Controls

© 2001 ConceptFlow 12
 The First Half Of The FMEA Form

FMEAform.xls

© 2001 ConceptFlow 13
 The Last Half Of The FMEA Form

© 2001 ConceptFlow 14
 Method To Complete A FMEA

1. For each Process Input, determine the ways in which the Process
Step can go wrong (These are Failure Modes)
2. For each Failure Mode associated with the inputs, determine Effects
3. Identify potential Causes of each Failure Mode
4. List the Current Controls for each Cause
5. Assign Severity, Occurrence and Detection ratings to each Cause
6. Calculate RPN
7. Determine Recommended Actions to reduce High RPN’s
8. Take appropriate Actions and Document
9. Recalculate RPN’s

© 2001 ConceptFlow 15
 Airline Reservation Detailed Process Map

 Correct
 Authorized Travel Traveler Billing
 Auth. Code  Agency Request  Correct Traveler
Info Into
 Travel Request Entered Information  Updated
System
Profile

Focus of Need For

Travel
Complete
Travel Request
Form
Complete
Travel
Authorization
Contact
Agency
Traveler
Information
Verification
Information
Correct
Gather
Customer
Billing Info
N
Auth.
Code? Y

Project identified  Rationale, N



Request Form, S
Charge No., S
 Authorization
Form, S
 Contact Service, S
 Phone/Web


Traveler Info, S
Company Info, S


Client name, S
Location, S

By the C&E
 Viable Alternatives, N  Traveler N  Travel Information,S  Restrictions if applicable, S  Auth. Code, S
 Traveler N  Domestic  Traveler/Designee, N  Preferences, S (seat, class)  Operator, S
 Location
 Destination  International  Agency Resources  Agent N  Agent N
Variation, N
Customer,N  Traveler  day time, SN  Traveler N  Traveler N
 Computer

Matrix
 Approver  after hours, SN  Computer Systems, N  Computer Systems, N
Systems, N
 Website, S  Computer Systems, N  Measurement Systems, S  Measurement
 Other Personnel?
 Travel Budget C  Measurement Systems, N
 Form Procedure
 Cost Estimate S Systems, S
S
 Computer  Time In Queue
 Travel
Systems,N  Time in VRU
Information N
 Location  Call Volume
Variation,N  Peak Hours
 Request
Entered Into  Service
 Flag  Travel Info
Saber System Options  Lowest Cost
discrepancy Determined Entered
 Confirmation # to Company Into Saber
Policy
Enter Travel Enter Travel
Request for Acceptable
Acceptable Cost? Carrier Search SNAP Preferences Information
Reservation Arrangements?
Into Saber Into Saber

 Real time Saber system, SN  Company Policy, S  Traveler input, S  Service, S  Saber, S  Frequent Flyer Programs, N  Depart City, S
 Operator input, N  Travel Authorization S  Company Policy, S  Dates, S  Button, C  Preference for Carrier, N  Destin City, S
 Agent N  Traverl Input N  Operator input, S  Times, N  Operator input, S  Traveler Input, S  Dates of Travel, S
 Computer Systems, N  Cost, N  Saber updates, N  Agent N  Operator input, S
 Measurement Systems, N  Saber Program, SN  Traveler N  Agent N
 Computer Service, S  Computer Systems, N  Traveler N
 Operator input, S  Measurement Systems, N  Computer Systems, N
 Measurement Systems, N
 Reservation
Booked

Payment Card Reservation E-ticket or Yes Email

Processing Approved Booking Paper Verification

 Profile Match, S  Credit System, S  Saber System, S No  Operator, S VA: Value Added
 Credit Card #, S  Operator, S  Operator, S  Traveler, S
 Expir. Date, S  Computer System N BVA: Business Value
 Name on Card, S Added
 Traveler input, S
 Address Verified NVA: Non-Vale Added
 Computer System S  Courier Selected  Profile Updated
 Measurement Systems?

Confirm Delivery
Print tickets & Address
Arrangements Method
Itinerary Verification
w/ Traveler Selection

 Printer, CN  Mail, S  Agent N

 Ticket Machine, CN  Overnight, S  Traveler N
 Courier, S  Computer Systems
 Operator  Measurement Systems
input, S
 Itinerary Copied
 Traveler Input
 Call time
Package For Generate
Outgoing Mail End Confirm
Email Itinerary Saber E-ticket
Call Arrangements
Itinerary
 Meter, C  Screen Copy, S
 Packaging, S  Email Address, CS
 Weight, CN  Internet Connect, S  Traveler Input, S
 Size, CN  Operator input, S
 Operator or
© 2001 ConceptFlow admin, S
16
 C&E Matrix Example

This is the C&E Airline Reservation Process

Matrix for the Cause and Effect Matrix

previous Map with Rating of Importance to Customers 8 10 7 4 7 6 10 9 7 9 8 9

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

Service Profes-

Ticket/Itinerary
Traveler Profile
Time in queue
Lowest Fares

Delivery Time

Process (call

Transacttion
Steps (PIV’s)

Corp Billing
Resources

Delivery of

Courteous
sionalism

Calls Per
of Ticket

Service:
Itinerary

Time to

Correct
time)
Pareto’d by the Process Step
Total

Total Score 5
13
Information Verification
Acceptable Arrangements
5
5
0
9
9
3
9
0
6
6
7
7
6
8
9
7
7
0
5
7
0
4
7
2
521
491
10 Travel Preferences 0 10 0 0 6 7 7 8 0 6 3 7 467
6 Information Correct 5 1 1 3 3 3 6 9 7 5 7 7 462
7 Gather Customer Information 5 1 1 1 6 7 6 3 10 5 6 6 449
20 Address Verification 7 0 8 8 6 7 2 9 1 3 0 8 435
9 Travel Information 0 0 0 0 6 7 6 0 0 5 10 10 359
14 Acceptable Cost 4 10 0 0 6 7 2 2 2 2 4 0 318
19 Type of Ticket 7 0 9 9 0 0 7 0 0 8 0 0 297
4 Contact Agency 8 0 0 0 6 7 10 0 0 5 0 0 293
11 SNAP 7 10 0 0 0 0 2 0 0 2 7 4 286
21 Delivery Method 5 0 9 9 0 0 7 0 8 1 0 0 274
22 Confirm Arrangements 4 0 0 0 6 7 3 0 0 3 0 9 254
26 Confirm Arrangements 4 0 0 0 6 7 3 0 0 3 0 9 254
24 Package for outgoing mail 2 0 9 9 0 0 5 0 0 7 0 0 228
17 Card Approved 0 0 0 0 0 0 6 2 7 6 5 0 221
8 Authorization Code 0 0 0 0 0 0 7 0 10 0 9 0 212
12 Carrier Search 3 8 3 0 0 0 4 0 0 2 3 0 207
27 Email Itinerary 2 0 7 7 0 0 1 3 0 2 1 4 192
15 Request For Reservation 6 0 0 0 0 0 4 2 1 5 4 0 190
16 Payment Information 0 0 0 0 0 0 3 9 6 2 0 0 171
25 Saber e-tickets 2 0 9 9 0 0 1 3 0 2 0 0 170
23 Print tickets and itinerary 2 0 3 3 0 0 5 0 0 7 0 0 162
18 Reservation Booking 7 0 0 0 0 0 3 0 8 2 0 0 160
28 End Call 0 0 0 0 0 0 4 0 0 4 0 0 76
1 Need for travel 0 0 0 0 0 0 0 0 0 0 0 0
2 Travel Request Process 0 0 0 0 0 0 0 0 0 0 0 0 0
3 Travel Approval 0 0 0 0 0 0 0 0 0 0 0 0 0

1180
720

490

497

268

441

438

594

469

891

504

657
Total
© 2001 ConceptFlow
 FMEA Worksheet

Before we move to the example let’s look at an FMEA worksheet. The

information on this sheet is transferred directly to the FMEA form. The
purpose of this worksheet is to focus the team on the FMEA inputs and
not on scoring
The scoring should be done after the basic inputs have been made

© 2001 ConceptFlow
 FMEA - Step 1

• For each critical (high value) Process Step/Input, determine the ways
in which the Process Step/input can go wrong
• The first two Key Process Inputs are Preference for Frequent Flyer
Program and Preference for Carrier

© 2001 ConceptFlow
 FMEA - Step 1 (Cont’d)

• For each Process Input Variable (PIV), determine the ways in which
the input can go wrong (These are Failure Modes)
• There is at least one way that Preference for Frequent Flyer Program
and Preference for Carrier can fail

© 2001 ConceptFlow
 FMEA - Step 2

• For each Failure Mode associated with the inputs, determine Effects
• These effects are internal requirements for the next process as well as
client effects

© 2001 ConceptFlow
 FMEA - Step 3

• Identify potential Causes of each Failure Mode

• In most cases, there will be more than one Cause for a Failure Mode.
We’ll keep it simple for this exercise

© 2001 ConceptFlow
 FMEA - Step 4

• List the Current Controls for each Cause

• For each Cause, we list how we are either preventing or detecting it.
We’d like to place a procedure number wherever we have an SOP

This is how the FMEA identifies initial holes in the Current Control
Plan. Process teams can start working on these holes right away
© 2001 ConceptFlow
 FMEA - Step 5

• Assign Severity, Occurrence and Detection ratings to each Cause

• We are now ready to assign appropriate criteria. The team then starts
scoring each cause to compute an RPN number

© 2001 ConceptFlow
 FMEA - Steps 6 And 7

• Calculate the RPN’s and determine Recommended Actions to reduce

High RPN’s
• Which issues may we want to address first?

© 2001 ConceptFlow
 FMEA - Step 7
Continued

• Determine Recommended Actions to reduce High RPN’s

• Now fill in recommended actions for top RPN’s

© 2001 ConceptFlow
 Pareto Of Top Ranking RPN’s

• Actions recommended for high RPN’s

• Key is FOCUS!

© 2001 ConceptFlow 27
 Graphical Interpretation Of Action Priorities

• Rate the actions based on ‘Ease of Completion’ on the X axis

• 1=hard and 10=quick, simple and cheap
• Plot the rpn’s versus ease in the respective quadrants
• Address low-hanging fruit issues in the top right quadrant first

Low-
Hanging
Fruit!
RPN

Hard Ease of Completion Easy

© 2001 ConceptFlow 28
 RPN Versus Ease Of Completion

Adding a ‘Ease of Completion’ column and scores indicates that the

highest ranking RPN is also a quick, simple and easy action to
correct

© 2001 ConceptFlow 29
 FMEA - Steps 8 And 9

Take appropriate actions, document and recalculate RPN’s

© 2001 ConceptFlow
 Document The Current Control Plan

• Recall the control plan mentioned in Process Mapping

• Complete the Current Control Method column taken from the FMEA
Core Team: Date (Orig):

Date (Rev):

Process Current
Cpk /
Spec Measure Control
Process Date %R&R or Reaction
Input Output (LSL, ment Method Who Where When
Step (Sample P/T Plan
USL, System (from
Size)
Target) FMEA)

Control Plan.xls

© 2001 ConceptFlow 31
 Airline Reservation Example

© 2001 ConceptFlow 32
 New Detailed Process Map

• Larger process focus is narrowed to a small portion as indicated by the

C&E Matrix
• SNAP is the name of a button on the Travel Agency Computer System
called Saber
• If SNAP is activated during the search for carrier service, Saber is
programmed to return alternative itineraries in order of lowest fares

 Service
 Flag Options
discrepancy  Lowest Cost
Determined
to Company
Policy
Enter Travel
Acceptable
Acceptable Cost? Carrier Search SNAP Preferences
Arrangements?
Into Saber

 Company Policy, S  Traveler input, S  Service, S  Saber, S  Frequent Flyer Programs, N

 Travel Authorization S  Company Policy, S  Dates, S  Button, C  Preference for Carrier, N
 Traverl Input N  Operator input, S  Times, N  Operator input, S  Traveler Input, S
 Cost, N  Saber updates, N  Agent N
 Saber Program, SN  Traveler N
 Computer Service, S  Computer Systems, N
 Operator input, S  Measurement Systems, N

© 2001 ConceptFlow 33
 Failure Mode Effects Analysis

© 2001 ConceptFlow 34
 Prioritized Actions

Pareto of FMEA rpn’s Quadrant chart:

High rpn vs. Ease of Completion

Most of the currently identified actions appear to be relatively

easy to address; There are a few items out of our control
© 2001 ConceptFlow 35
 Conclusions From FMEA

• Categorized inputs into related causes and Pareto’d sum of results

• Recognized that most of Saber-related issues are out of our control
• Created a data collection plan to validate assumptions in remaining
areas

© 2001 ConceptFlow 36
 Catapult Team Exercise

• How could a projectile fail to hit the target or result in excessive

variation?
• Build a FMEA on the catapult using the top five inputs identified on the
C&E Matrix
• List as many failure modes and effects for each of the five inputs
• Flipchart a Pareto of rpn’s versus PIV’s

© 2001 ConceptFlow 37
 Getting Started

• Utilize Process Maps, C & E diagrams, C & E matrices, data collection,

warranty analysis, testing, and other pertinent information
• Select people from functions directly upstream and downstream from
the process under analysis
• Engineering
• Manufacturing
• Quality Assurance
• Marketing
• Suppliers
• Required business functions
• Health, Safety and Environment (HSE)

© 2001 ConceptFlow 38
 Relationship To Other Tools

• Metrics Identification
• Process Map
• C & E Diagrams
• C & E Matrix

Design FMEA (Product or Business Process)

Process FMEA (Product or Business Process)

• Multivariate analysis
• Identification of vital few inputs
• Design reviews
• Quality Control Plan

© 2001 ConceptFlow 39
 Things To Remember

• Do not try alone, use a group

• Time consuming process
• Activities are required for completion
• Train team
• Proper preparation for meetings
• Summarize often
• Independent voting
• Negotiate issues

© 2001 ConceptFlow 40
 Key Learning Points

•
•
•
•
•

© 2001 ConceptFlow 41
 Objectives Review

The participant should be able to:

• Identify and prioritize risk of failure occurring
• Identify Xs and their relationship to Y
• Construct a complete FMEA
• Generate action items

© 2001 ConceptFlow 42
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