BOLT 1397929 - Caterpillar

When is an Applied Failure Analysis (AFA) Necessary?
Utilizing the Applied Failure Analysis (AFA) principles is necessary to determine the true root cause of a failure in every repair where a component is prematurely worn out early or in an unusual way, is deformed so that the parts can no longer perform the intended function, or broken. Failure analysis begins with the complaint and component. Facts (product status reports, oil analysis data, and so forth) should be gathered throughout the repair process. Analyzing the failed iron will answer “what happened” and yield questions to determine “how the failure occurred” and “who is responsible”. Gathering background facts such as: interviewing the operator, understanding the failure mode, and using the relevant facts, for example, maintenance records, previous repairs, etc. to define the timeline of events that led to the failure are also important.In every case, root cause must be determined by the dealer for any unscheduled repair and included in the Work Order Summary.At minimum, an AFA report should be developed by the dealer (Reference Warranty Bulletin 1.03) under the following circumstances where a claim may be submitted to CAT:
A catastrophic failure.
An overspeed event.
Repeat failures on the same product.
Multiple occurrences of the same failure mode for the same customer/application/region.
When requested by the customer.
When parts are requested to be sent to a Caterpillar Metallurgical Lab for analysis.The dealer owns the customer relationship and the customer is most concerned with prevention of a repeat failure, which is why the dealer is responsible to determine root causes and confirm if there was a defect in material or workmanship from Caterpillar for all Warranty and Goodwill claims (Reference Warranty Bulletin 1.01). The communication must come from the dealer to create a professional image to the customer and develop trust in the expertise of the dealer. Such communication aids in velocity of quick customer resolution, utilizing local dealer expertise to understand the root cause of failure and quickly work to resolve the customer issue and limit downtime.8 Steps of Failure Analysis
Caterpillar experience has shown that timely investigation and reporting leads to increased customer satisfaction and settlement of claims. Caterpillar has an established and proven failure analysis process and training that is required per the Marine Service Assessment. That process includes the Eight Steps of Applied Failure Analysis are as follows (Reference AFA I - 26213 ILT & AFA II - 26214 ILT):
State the Problem Clearly and Concisely - What is the complaint and component?
Organize Fact Gathering - Identify areas that could have led to failure.
Observe and Record Facts – Failed component/hardware, pictures, operator interviews, oil samples, ECM downloads, etc.
Think Logically with the Facts – Create a timeline of events leading to a determination of what failed first.
Identify Most Probable Root Cause - List all probable root causes and eliminate all unlikely root causes based on the facts.
Communicate with Responsible Party - Present a logical, organized message, and engage the DSN for more assistance, if necessary.
Make Repairs as Directed.
Follow-Up with Customer - Ensure that problem was corrected