Iris guideline 7 problem solving 14112014
- 1. 1 IRIS International Railway Industry Standard English GUIDELINE 7 : 2014 PROBLEM SOLVING
- 2. 2 Sub-working Group Problem Solving Fabien Thibault Alstom Transport Martin Redhardt Bombardier Transportation Gorden Falk DB AG Sebastian Bartels DB AG Marie-Laurence Lescure Faiveley Transport Wolfgang Emgen GHH - Radsatz GmbH Ekaterina Bochkareva Russian Register Hubertus Illmer Siemens Bernard Kaufmann UNIFE Angela de Heymer UNIFE Technical Forum for Improvement representatives Angela de Heymer (Leader) UNIFE David Martinez AENOR Anne Pouyanne AFNOR Jean-Christophe Coulaud Alstom Transport Dario Montefusco AnsaldoBreda Giuseppe Greco Bombardier Transportation Michael Lindstrom Bureau Veritas Wolfgang Domke DEKRA Hans Jahn DQS Thomas Beck DNV GL Business Assurance Zertifizierung & Umweltgutachter GmbH Benoit Guillon Faiveley Rüdiger Mesterheide Hanning & Kahl Oliver Stein Knorr-Bremse Hans van Mulekom Nedtrain Andrea Alfonso RINA Ekaterina Bochkareva Russian Register Susanne Schaub SBB CFF FFS Bernd Diekmann Siemens Ludivine Francart SNCF Kay Jürgensen TÜV NORD Riccardo Lasagna TÜV Rheinland Alexander Rathiens TÜV SÜD Bernard Kaufmann UNIFE Marcus Schmid VOITH TURBO IRIS Management Centre Bernard Kaufmann IRIS General Manager Angela de Heymer IRIS Senior Manager Kujtesa Hajredini IRIS Manager Maxime Schaub-Crouan IRIS Technical Coordinator Marcos Mendez UNIFE Operations Manager We would like to thank the following people for the excellent cooperation and contribution, without which this Guideline would not have been possible:
- 3. 3 Guideline 7 : 2014 PROBLEM SOLVING 1 INTRODUCTION The aim of this guideline is to define problem solving activities and methods required to facilitate the application of respective IRIS requirements. 2 PURPOSE The purpose of this guideline is to give guidance and examples for implementation of IRIS requirements and ensure through that a better application of the requirements and a common understanding in the rail sector. This guideline focuses on the widely known 8D method for problem solving. Depending on the individual situation of the company and the kind/impact of the problem, alternative methods may be used. In case of the involvement of several organizations the use of this 8D method facilitates collaboration. 3 TERMS, DEFINITIONS, ABBREVIATIONS For the purposes of this guideline in general, the terms, definitions and abbreviations given in ISO 9000 and IRIS apply. Terms in this guideline beginning with capital letters are listed and defined in ANNEX 5 of the IRIS booklet. <S>: Tag to identify items related to safety. 5W2H: Who, What, Where, When, Why, How, and How many (method based on seven questions to characterize an issue). 8D: Eight disciplines to follow and to secure accurate solving of technical problems. FMECA: Failure Mode, Effect and Criticality Analysis (preventive method for identifying potential issues). FTA: Factor Tree Analysis (method for analyzing potential factors). VDA QMC: German Automotive Industry Association (VDA) Quality Management Center (QMC). Containment/Remedial action: Action taken to limit the extent of a problem and to protect customer and people. Normally these actions are only interim actions. The final solution is the so called “corrective and preventive action”. Material in transit: Material that has left its initial location and has not yet arrived at its destination. Poka Yoke: Japanese term that means „mistake- proofing“. It stands for any mechanism that helps to avoid mistakes. Problem: A difference between actual conditions of a component, system or vehicle and those that are required or desired for operation. Another term is nonconformity. Root cause: Initiating cause of a causal chain which leads to a problem. To prevent the occurrence of the problem in the future the root cause of the problem needs to be determined and eliminated. Safety relevant problem: Problem that may have © 2014 UNIFE. All rights reserved. 3
- 4. 4 GUIDELINE 7 : 2014 - Problem solving - © 2014 UNIFE. All rights reserved. influence on a safe operation of a component, system or vehicle. San Gen Shugi: Japanese words meaning the “3 Real Principle”, attitude expected in front of a problem. 4 IRIS REQUIREMENTS IRIS refers to problems and nonconformities, and requirements how to deal with them, in: • Analysis of data Chapter 3, clause 8.4, • Corrective Actions Chapter 3, clause 8.5.2, • Preventive Actions Chapter 3, clause 8.5.3, • Commissioning and Customer Services Chapter 3, clause 7.10 (KO question ANNEX 4 and IRIS Questionnaire #7.10-1). 5 RESPONSIBILITIES All employees and stakeholders: To report problems once they are detected. Management: - Ensure that a company is able to do proper and structured problem solving and to provide qualified resources for problem solving, - Ensure that company follows the defined problem solving process understanding the process as one important means for continuous improvement, - Management should be careful when defining problem solving teams to avoid that resource gaps are created which could be the origin for new problems, - Define and document the processes to (a) detect and report problems and (b) initiate, execute and conclude the problem solving, - Prioritize problems and problem solving activities by using prioritization approaches, e.g. decision/impact matrix, - Congratulate the team after succesful problem solving process. Team leader: - Manage the problem solving team, - Ensure the required communication and documented output of the problem solving process within the required timeframe, - Escalate any issues as required, - Ensure that the 8D process as documented in this guideline is respected and fulfilled. Team: To actively participate in the problem solving process. 6 PROCESS 6.1 General The 8D method, as documented in the VDA QMC volume 4 (German Version 2009), can be used where the cause of a problem is unknown. It fulfills three tasks complementing each other. It is: • a problem solving process, • a standard method, • a report form. As a problem solving process, it is a sequence of steps that should be run through as soon as a problem appears. If handled correctly, it helps to identify early enough a complete solution of the problem. The 8D methodology is also a standard method, which is based in particular on the following areas: • Fact-oriented system: System in which problem solving, decision making and planning are based on real data and are monitored by collecting real data. • Termination of the root cause: It is characteristic for the problem solution that it focuses on the eliminating of the root cause of the problem and not just covers the occurred effects. The 8D methodology is also a report form for progress tracking. Individual steps of the process can only be completed when the respective information on their execution is available. As long as only some of the eight steps are executed, the 8D report also serves as an action plan which shows the outstanding actions. Note: It is the intention of this guideline to describe the 8D process steps but not to recommend any template for an 8D report.
- 5. 5 6.2 Process steps of 8D The original 8D method is based on eight process steps (or disciplines). The checklist provided in the ANNEX 1 lists these eight process steps and proposes items to be addressed in each of the process steps. Some items consider specific aspects and requirements of the rail sector. In addition, a step 0 is added to address preparation and initial clarification - effectively resulting in nine process steps: 0 Preparation and initial clarification, 1 Establish a problem solving team, 2 Describe the Problem, 3 Implement and verify interim containment/remedial actions, 4 Identify root causes and verify them, 5 Define corrective actions and proof their effectiveness, 6 Introduce the corrective actions and validate their effectiveness, 7 Take actions to prevent recurrence of the problem, 8 Conclude problem solving and congratulate team. 6.3 Management attention Make sure that the management team is informed and involved into the resolution of the problems, starting by step 0. Additionally it needs to have the opportunity to escalate the issue further if necessary. Benefit for the problem team to have management attention: - Alignment and sharing of goals and objectives, - Escalation for management decision when necessary, - Get additional support and means (resources, time, budget) when necessary, - Further sharing and cascade of “lessons learned”. Benefit for the management to focus their attention on problem solving: - Proper understanding and evaluation of risk exposure regarding problem encountered, - Keep the team motivated through management attention and support, - Forecast and evaluation of workload and resources needed for problem solving activity, - Ensure proper sense of urgency on problem solving. In order to control the process, management should set up and monitor KPIs regarding e.g.: - Criticality of backlog of problems, - Quantity of problems, - Resolution time. 6.4 Problems with the suspicion that they may be safety relevant This application guide also covers recommendations regarding the solving of problems with the suspicion that they may be safety relevant, i.e. that they may influence the safe operation of the component, system or vehicle. For such cases, the checklist below provides special process steps marked with “<S>”. In addition, the following recommendations should be followed: • Reporting: Define and communicate processes, tools and communication channels which make it easy for all involved parties to report problems with the suspicion that they may be safety relevant. • Documentation: Make sure that all data, decisions and communications are documented according to the relevant laws or regulations and could (in worst case) stand up in court. • Information: Define clear internal communication channels for all information regarding problems that may be safety relevant and their status. These channels should include the relevant management functions and the person in charge of product safety within the organization. 7 ANNEXES ANNEX 1: Checklist process steps of 8D ANNEX 2: Do’s and Don’ts © 2014 UNIFE. All rights reserved.
- 6. 6 GUIDELINE 7 : 2014 - Problem solving - © 2014 UNIFE. All rights reserved. ANNEX 1: Checklist process steps of 8D
- 7. 7 © 2014 UNIFE. All rights reserved.
- 8. 8 GUIDELINE 7 : 2014 - Problem solving - © 2014 UNIFE. All rights reserved.
- 9. 9 © 2014 UNIFE. All rights reserved. ANNEXE 2: DO’S AND DON’T Following examples of good and bad practices may help to apply problem solving effectively. Do’s : - Speak with data. The recommended attitude to face the problem is based on San Gen Shugi, “three real principle”: a) Go on the real place where the problem occurred, b) Compare regular and problem situation, c) Obtain objectives characteristics/data. - Take necessary time at the beginning to ensure that team members know each other to ease collaboration, - Define clear goals that the team needs to achieve, - Set-up proper and clear ways of working (frequency of periodic meeting at team level/with management/ with external parties), - Problem solving process is an action driven process and require to set-up a clear and shared action plan, - When confirming root cause and defining solution, it is important to ensure proper validation - Take time to share the lessons learned and perform the necessary changes to prevent recurrence of problem, - Have fun: problem solving is exciting, challenging and rewarding. Don’ts : - Use the problem solving approach with the main objective to identify who is responsible of the problem, - “Finger pointing”, - Jump prematurely to conclusion without proper analysis and validation, - Hesitate to ask for help and external support, - Underestimate the time and energy that will be needed to perform problem solving, - Twist facts to suit theories (instead of theories to suit facts).
- 10. 10 A UNIFE initiative supported by The rail industry The rail operators The rail associations This document and its contents are the property of UNIFE. This document contains confidential proprietary information. The reproduction, distribution or communication of this document or any part thereof, without express authorization is strictly prohibited. Offenders will be held liable for the payment of damages. © 2014 UNIFE. All rights reserved