BSI Standards Publication

Root cause analysis (RCA)

BS EN 62740:2015

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National foreword

This British Standard is the UK implementation of EN 62740:2015. It is identical to IEC 62740:2015.

The UK participation in its preparation was entrusted to TechnicalCommittee DS/1, Dependability.

A list of organizations represented on this committee can be obtained onrequest to its secretary.

This publication does not purport to include all the necessary provisions ofa contract. Users are responsible for its correct application.

© The British Standards Institution 2015.

Published by BSI Standards Limited 2015

ISBN 978 0 580 79741 5

ICS 03.120.01

Compliance with a British Standard cannot confer immunity fromlegal obligations.

This British Standard was published under the authority of theStandards Policy and Strategy Committee on 30 April 2015.

Amendments/corrigenda issued since publication

Date Text affected

BRITISH STANDARDBS EN 62740:2015

This is a preview of "BS EN 62740:2015". Click here to purchase the full version from the ANSI store.

EUROPEAN STANDARD

NORME EUROPÉENNE

EUROPÄISCHE NORM

EN 62740

April 2015

ICS 03.120.01

English Version

Root cause analysis (RCA)(IEC 62740:2015)

Analyse de cause initiale (RCA) (IEC 62740:2015)

Ursachenanalyse (IEC 62740:2015)

This European Standard was approved by CENELEC on 2015-03-20. CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.

Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by translation under the responsibility of a CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the official versions.

CENELEC members are the national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland,Turkey and the United Kingdom.

European Committee for Electrotechnical Standardization Comité Européen de Normalisation Electrotechnique

Europäisches Komitee für Elektrotechnische Normung

CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels

© 2015 CENELEC All rights of exploitation in any form and by any means reserved worldwide for CENELEC Members.

Ref. No. EN 62740:2015 E

This is a preview of "BS EN 62740:2015". Click here to purchase the full version from the ANSI store.

EN 62740:2015 - 2 -

Foreword

The text of document 56/1590/FDIS, future edition 1 of IEC 62740, prepared by IEC/TC 56 "Dependability" was submitted to the IEC-CENELEC parallel vote and approved by CENELEC as EN 62740:2015. The following dates are fixed:

• latest date by which the document has to be implemented at national level by publication of an identical national standard or by endorsement

(dop) 2015-12-20

• latest date by which the national standards conflicting with the document have to be withdrawn

(dow) 2018-03-20

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CENELEC [and/or CEN] shall not be held responsible for identifying any or all such patent rights.

Endorsement notice

The text of the International Standard IEC 62740:2015 was approved by CENELEC as a European Standard without any modification.

In the official version, for Bibliography, the following notes have to be added for the standards indicated:

IEC 60300-1 NOTE Harmonized as EN 60300-1.

IEC 61025 NOTE Harmonized as EN 61025.

IEC 61649 NOTE Harmonized as EN 61649.

IEC 61163-1 NOTE Harmonized as EN 61163-1.

IEC 62508:2010 NOTE Harmonized as EN 62508:2010 (not modified).

ISO/IEC 31010:2009 NOTE Harmonized as EN 31010:2010 (not modified).

BS EN 62740:2015

This is a preview of "BS EN 62740:2015". Click here to purchase the full version from the ANSI store.

- 3 - EN 62740:2015

Annex ZA (normative)

Normative references to international publications with their corresponding European publications

The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. NOTE 1 When an International Publication has been modified by common modifications, indicated by (mod), the relevant EN/HD applies. NOTE 2 Up-to-date information on the latest versions of the European Standards listed in this annex is available here: www.cenelec.eu. Publication Year Title EN/HD Year IEC 60050 Series - International Electrotechnical Vocabulary

(IEV) - -

BS EN 62740:2015

This is a preview of "BS EN 62740:2015". Click here to purchase the full version from the ANSI store.

– 2 – IEC 62740:2015 © IEC 2015

CONTENTS

INTRODUCTION ..................................................................................................................... 8 1 Scope .............................................................................................................................. 9 2 Normative references ...................................................................................................... 9 3 Terms, definitions and abbreviations ............................................................................... 9

3.1 Terms and definitions .............................................................................................. 9 3.2 Abbreviations ........................................................................................................ 12

4 RCA – Overview ............................................................................................................ 12 5 The RCA process .......................................................................................................... 13

5.1 Overview............................................................................................................... 13 5.2 Initiation ................................................................................................................ 14 5.3 Establishing facts .................................................................................................. 15 5.4 Analysis ................................................................................................................ 17

5.4.1 Description .................................................................................................... 17 5.4.2 The analysis team ......................................................................................... 18

5.5 Validation .............................................................................................................. 19 5.6 Presentation of results .......................................................................................... 19

6 Selection of techniques for analysing causes ................................................................. 20 6.1 General ................................................................................................................. 20 6.2 Selection of analysis techniques ........................................................................... 20 6.3 Useful tools to assist RCA..................................................................................... 21

Annex A (informative) Summary and criteria of commonly used RCA techniques ................. 22 A.1 General ................................................................................................................. 22 A.2 RCA techniques .................................................................................................... 22 A.3 Criteria .................................................................................................................. 23

Annex B (informative) RCA models ...................................................................................... 26 B.1 General ................................................................................................................. 26 B.2 Barrier analysis ..................................................................................................... 26

B.2.1 Overview ....................................................................................................... 26 B.2.2 Strengths and limitations ............................................................................... 27

B.3 Reason’s model (Swiss cheese model) ................................................................. 27 B.3.1 Overview ....................................................................................................... 27 B.3.2 Strengths and limitations ............................................................................... 28

B.4 Systems models .................................................................................................... 28 B.5 Systems theoretic accident model and processes (STAMP) .................................. 29

B.5.1 Overview ....................................................................................................... 29 B.5.2 Strengths and limitations ............................................................................... 29

Annex C (informative) Detailed description of RCA techniques ............................................ 30 C.1 General ................................................................................................................. 30 C.2 Events and causal factors (ECF) charting ............................................................. 30

C.2.1 Overview ....................................................................................................... 30 C.2.2 Process ......................................................................................................... 31 C.2.3 Strengths and limitations ............................................................................... 31

C.3 Multilinear events sequencing (MES) and sequentially timed events plotting (STEP) .................................................................................................................. 32

BS EN 62740:2015

This is a preview of "BS EN 62740:2015". Click here to purchase the full version from the ANSI store.