OPERATIONS MANAGEMENT

FAILURE MODE AND EFFECTS ANALYSIS

Balázs Sztrapkovics
Failure mode and effects analysis

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 Meaning of FMEA
English: Failure Mode and Effect Analysis
German: Fehler Möglichkeits Und Einfluß Analyse

Highly structured, systematic techniques for failure

analysis
FMEA is a prevention method, not a problem solving
method.

It is used for planning new processes and for overviewing

processes after prototype production.

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Prevention

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 History of FMEA
By the early 1960s NASA developed and used for Apollo.

Nuclear industry has taken over its application.

The automotive industry began to use FMEA by the mid

1970s (Ford) and it became well-known everywhere by use
of QS9000 quality standard.
It must be used in case of high value new products and
significantly modified products (for example: caravan
production)

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 The basic idea of FMEA
FMEA is a risk analysis technique, used for examination
of production, logistics and service processes.
FMEA concentrates on the possible failures in the
processes. The general properties of the failures:
 Occurance
 Severity
 Detection
We can rate the properties on a predetermined scale.

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 FMEA types
Design Failure Mode and Effect Analysis (DFMEA):
• Analysis and elimination of failures they come from the
construction and the rules given by the desginer.
• We can use it in case of products in experimental
production and for new constructions too.
• At the development proposal the construction, the
material and the technology can change too.
Process Failure Mode Effects Analysis (PFMEA):
• Analysis of manufacturing and assembly processes.
Both quality and reliability may be affected from
process faults. 7
 Failures, failure mode
Failure: The loss of a function under stated conditions.

Failure mode:
The specific manner or way by which a failure occurs in terms of failure of
the item (being a part or (sub) system) function under investigation; it may
generally describe the way the failure occurs. It shall at least clearly
describe a (end) failure state of the item (or function in case of a
Functional FMEA) under consideration. It is the result of the failure
mechanism (cause of the failure mode). For example; a fully fractured axle,
a deformed axle or a fully open or fully closed electrical contact are each a
separate failure mode of a DFMEA, they would not be failure modes of a
PFMEA. Here you examine your process, so process step x - insert drill bit,
the failure mode would be insert wrong drill bit, the effect of this is too big
a hole or too small a hold.

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 Failure cause, failure effects
Failure cause and/or mechanism:
Defects in requirements, design, process, quality control, handling or part
application, which are the underlying cause or sequence of causes that
initiate a process (mechanism) that leads to a failure mode over a certain
time. A failure mode may have more causes. For example; "fatigue or
corrosion of a structural beam" or "fretting corrosion in an electrical
contact" is a failure mechanism and in itself (likely) not a failure mode. The
related failure mode (end state) is a "full fracture of structural beam" or
"an open electrical contact". The initial cause might have been "Improper
application of corrosion protection layer (paint)" and /or "(abnormal)
vibration input from another (possibly failed) system".

Failure effect:
Immediate consequences of a failure on operation, function or
functionality, or status of some item.
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 Preparation
FMEA analysis should be carried out in group work.
Participants should be selected to be attendees,
leaders, and outsiders.
Participants should have a short training on the rules of
group work and the essence of the method.
In the letter of invitation, all information must be given
in advance (venue, participants, breaks, etc.).
Draw the drawing of the subject of the analysis,
prepare the flowcharts in advance.

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 Recording processes
We focus on the errors so it is not worth the drift in
processes, do not use complex descriptive tools. (EPC,
BPMN)
During the FMEA the most commonly used is the SIPOC
table
A special recording arrangement is SIPOC (Supplier, Inputs,
Process, Outputs, Customer) focusing on the requirements
of the process.
The advantage of SIPOC is that it is standard and is
essentially irrelevant.

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 SIPOC Table
It is important to determine the exact process boundaries.

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 First step: failure mode collection
Requirement: the conditions required for the correct
performance of the process. A requirement may have several
bugs, but if you have a lot of stuff, the requirements are not
well defined
Flow and Requirement Possible error code
function
Action 20: 4 screws Less than 4 screws
Attach a seat Required screws are Use incorrect screws
cushion to the prepared
frame using a
torque Assembly sequence first They start with
screwdriver screw in the right front another screw
hole
The screws are attached to The screw does not
the surface lie properly
The bolts are tightened The torque is too
with the correct torque small 13
Failure mode collection
• Based on experiences
• Based on customer feedbacks
• They can be traced back to technical reasons
• Based on suppositions (in case of totally new
processes)

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 Possible effects of failures
The possible effect of the error should be entered in this
column, which can be perceived by the "buyer".
Is the fault causing a risk of injury to the equipment,
operator?
Is the error stopping the production process? (eg: the
component can not be installed in the next operation)
What is the impact of the error on the final user? (eg:
noise, unpleasant smell, danger of injury, life-threatening
(pedal accelerator))
What is the impact of the error on the product? (eg:
repaired at low cost, substantial repair, full scrapping)
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 Defining the effects
Flow and Requirement Possible error Effect
function code
Action 20: Attach a 4 screws Less than 4 screws Buyer: seat cushion loosens, noise
seat cushion to the Production: recall post production
frame using a
torque screwdriver
Required screws are Use of incorrect Production: Cushion can not be fixed
prepared screws
Assembly sequence first They start with Production: It is difficult to tighten the
screw in the right front another screw bolts
hole Product: Danger of material damage

The screws are attached The screw does not Buyer: seat cushion loosens, noise
to the surface lie properly Production: fitting problems, recall
posting

The srews are tightened The torque is too Buyer: seat cushion loosens, noise
with the correct torque small
The torque is too Buyer: The cushion is discharged
high Production: cushion must be discarded

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 Severity (S)
The value representing the severity of the effect of the
error. The effect of the error is examined in three ways:
• Buyer (s1)
• Production (s2)
• Product (s3)
An objective classification system should be created that is
consistently applied in all three aspects (1 to 10)

𝑆 = 𝑚𝑎𝑥 𝑠1 ; 𝑠2 ; 𝑠3

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 Severity reduction
Possibilities for Severity Reduction:
• Reducing the Impact of a Fault (eg Noise Reduction)
• Reducing the number of replacement parts (eg
modular design, counter-smartphone, cars)
• Ensuring continuity of production (eg exit points for
defective products)
• Protection of operator in case of an error (eg use of
glasses when handling windscreens)
• Protection of a manufacturing machine (eg in case of
an immediate stop overload)

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 Rating (severity)
Rating Meaning
1 No relevant effect on reliability or safety
2
Very minor, no damage, no injuries, only results in a maintenance
action (only noticed by discriminating customers)

3 Minor, low damage, light injuries (affects very little of the system,
noticed by average customer)
4 Critical (causes a loss of primary function; Loss of all safety Margins, 1
failure away from a catastrophe, severe damage, severe injuries, max
1 possible death )
5 Catastrophic (product becomes inoperative; the failure may result in
complete unsafe operation and possible multiple deaths)

We usually rate between 1 and 10.

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Severity (customer)

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 Exploring the failure causes
It is assumed that the supplied components are not
defective (detection of this is not the task of FMEA)
It is important to get to the roots, so you can use one or
multi-dimensional 5 why.
Avoid unclear terms (eg operator error)

It is important that the reasons are clear, since this will be

the basis for subsequent corrective measures!

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5 Why? 1 How?
• If you encounter a problem, ask the question as
many times as you can: why?

• The more times we ask why the question gets

closer to the root cause.

• This way we can find the root cause of one or even

more problems.

• If you have the root cause, ask the question: How

can we stop it?

• If we remove the root cause, the efficiency of the

process can be significantly improved. 22
 5W+1H
• 5W+1H -> one-dimensional
version

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 Multi-dimensional 5W+1H
We should use this when the process environment is
complex and important. (Solution can be to change the
process sequence)

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 Defining the failure causes
Flow and Requirement Possible error code Effect
function
Required screws Use of Production: the cushion is broken, The screws are easily
are prepared incorrect it must be scrapped mistaken
screws
Assembly sequence They start with It is difficult to tighten the bolts Incomplete work
first screw in the another screw Product: Danger of material instructions
right front hole damage
The screws are The screw does Buyer: seat cushion loosens, noise The worker can not access
attached to the not lie properly Production: fitting problems, recall the bolt properly
surface posting
The bolts are The torque is Buyer: The cushion is discharged The screwdriver is not
tightened with the too high Production: cushion must be well controlled
correct torque discarded

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Occurance (O)
We can model the likelihood of a failure by its
frequency.

This feature must also be graded on an objective

scale from 1 to 10.

These are relative values, and in some areas there

may be other frequencies behind the same score.

Frequency determination: based on historical data or

subjective estimation (new process)

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 Occurance reduction
Reduce the frequency value:

Construction modification (eg alteration of material in

case of wear, other fixing method)

Modifying a process (eg using a constant torque wrench)

Standardization (eg eliminating differences between shifts)

Work organization solutions (eg "rotation" for monotone

work)

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 Rating (occurance)
Rating Meaning

1 Extremely Unlikely (Virtually impossible or No

known occurrences on similar products or
processes, with many running hours)
2 Remote (relatively few failures)

3 Occasional (occasional failures)

4 Reasonably Possible (repeated failures)

5 Frequent (failure is almost inevitable)

We usually rate between 1 and 10.

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 Detection (D)
If there is a failure, in which phase of production…sale can we detect it?
We can rate the failure based on the phase of detection.

Failure costs:

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 Rating (Detection)
Rating Meaning

1 Extremely Unlikely (Virtually impossible or No

known occurrences on similar products or
processes, with many running hours)
2 Remote (relatively few failures)

3 Occasional (occasional failures)

4 Reasonably Possible (repeated failures)

5 Frequent (failure is almost inevitable)

We usually rate between 1 and 10.

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 Improvement of detection
In the event of a problem that is noticeable, the following
tools are available:
• Poka-Yoke is a foolproof solution to prevent the error
(eg because it can not be formatted due to shape)
• In Jidoka, ie in case of failure, the machine stops (eg if
the tree is cut in case of surface defect)
• Prevention (eg operator training)
• Detective control on the production line (feature to be
verified by the operator)
• End-of-life quality control (can be machine and / or
human, can be complete or sampled)
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 Risk Priority Number
We can prioritize the failures by use of Risk Priority Number
(RPN).
RPN = Severity * Occurance * Detection
• If we rate between 1 and 10, pssible values of RPN are
between 1 and 1000. (In case of rating between 1 and 5,
RPN can be between 1 and 125).
• If the value of S, O or D is high, RPN will be high too.
• The primary prioritization viewpoint is RPN, but it is not
the only one.
Element Severity Occuracy Detection RPN
A 9 2 5 90
B 7 4 4 112 32
FMEA subjective scoring table

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 Recommended measures
Measures should be taken to address errors over a
given RPN number. (Eg: over 100)
In the first round we try to reduce the characteristic
with the highest value.
For roughly the same values, the priority is as follows:
• Seriousness
• Frequency
• Perceptibility
In addition to the measure, the deadline and the
responsible should also be included.

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 FMEA follow-up
• After the measures are taken and their "entry", their
effects have to be reviewed.
• You have to categorize the error again according to
the three features and this must be included on the
FMEA tab.
• If you do not achieve the desired reduction you will
need to uncover the causes.
• If necessary, new measures should be formulated.

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 Standard FMEA documents
They are widely available and have the advantage of
keeping our hands in hand.
There are 8 standard formats depending on the area
applied, and what we want to highlight (from A to H). The
document also includes the scales.
The manager of the FMEA is responsible for managing
the document
Today, templates of excel format are typically used.
If a customer requirement for using FMEA often they
provide a document.

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FMEA document

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 Important statements
• To accumulate errors, do not be sorry for the time, we
think over the processes structurally
• Exploring the Root Causes of Errors (for example, see
Why 5?)
• It is always advisable to agree on a single interpretation
of each scale before estimating it. (scaling tables)
• Use standard FMEA documents
• If available statistical data is used (subjectivity
reduction)

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Use of FMEA
1. New product, technology or process. FMEA
application to the whole process
2. Change an existing product or process. The FMEA
should concentrate on the changed points.
3. Production of an existing product in a new
environment, site. FMEA needs to focus on the
effects of new environments on the processes
(eg, the arrangement of the cell is different)

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Balázs Sztrapkovics

email: balazs.sztrapkovics@logisztika.bme.hu