Key Elements for Effective Root Cause Analysis & Problem SolvingPresented by:DIEGO CELYQuality Improvement Advisor

What we will discuss. . .What are problemsHow problems are communicated: CREI statementTypes of problems and problem solving methodsProcess View of problemsIsolating problems to their process of origin; establishing context for Root Cause AnalysisLevels of Root Cause investigationData collection/analysis tools to apply at each level of Root Cause investigationConfirming root causes before applying solutionsThree possible solutions to each root causeGetting the most out of Root Cause Analysis investigations

Visual Definition of ProblemGap between current condition, (what is), and the desired performance level, (what must be, should be or could be)This gap can exist in a process, product or systemA problem can only be considered to be valid if what should be is specified

Where do gaps arise?Customer complaintNonconforming output of a processOut of control processManagement systems not being followedSafety incidentsEnvironmental releasesGoals not being achievedCan be actual, potential or generated

Communication of Problems

CREI Problem StatementA tool for communicating the gap:Concern: what is wrong; statement of nonconformityRequirement: what should be; documented requirement or reference toEvidence: data demonstrating that something is wrong; objective evidence observed that supports statement of nonconformity(Impact): how significant is the problem from a performance and/or cost standpoint

ConcernWhat is wrong?What is different than what should be?May be recognized as a symptom, (effect), or as a failure condition, (failure mode)Define in terms of requirement, (language of organization)

RequirementWhat should beMust be defined and validCan be found in procedures, policies, drawings, specifications, etc.#1 reason problems are not effectively solved is that Requirement is not clearly known or definedReference where Requirement can be foundState as defined in Requirement document

EvidenceDemonstrates requirement is not being fulfilledData initially gathered associated with problemObjective evidence collected while auditing process or systemMust be verifiableCan be tangible, a statement of admission or observed

ImpactHow big is the problem?How much does it cost?Is the customer affected?Is it affecting fulfillment of organizational goals?Refer to effect and severity ranking on FMEA for performance impactAlso consider cost impactIn the case of auditing findings: typically, auditors do not cite Impact as this could be viewed as subjectiveImpact should be determined by auditee upon their review of the audit finding

Utilizing CREI FormatIncorporate these fields on problem solving and nonconformance report formats to prompt complete recording of information re: problemsMay require some investigation to identify necessary information for completing CREI statement, especially location and actual statement of RequirementCritical success factor to effective problem solving is consistent and complete communication of problem condition

Problem Categoriesand Problem Solving Approaches

Types of ProblemsSimple, cause known; Just do it issuesComplex, cause unknown; need to dig deeper issuesSometimes the financial impact of a problem dictates how it will be classified

Just Do It IssuesTypically isolated, sporadic incidentsAre easily fixed; apparent cause tends to be knownOften recognized during process planning and reflected in PFMEAAddressed through troubleshooting, (diagnosis and remedy) and reaction plans on control plans, (control of nonconformity)Can be fixed by process owner; addressed at process levelOccurrence should be monitored ongoing for cost and impact

Troubleshooting

Company Name

Recognize problem condition

Communicate problem condition to process owner

Diagnose problem condition

Decide on appropriate action

Implement remedy

Observe results of remedy

Record condition and remedy

Periodically review records of conditions for trends

Dig Deeper IssuesSometimes referred to as ChronicLong-term and/or complex issuesCause is not readily apparent, unknownRequire in-depth investigation to identify root causeAddressed through root cause analysis, disciplined problem solving and improvement processSource of problem typically unknownCross-functional participation needed to solveEffective resolution requires both process and system solution considerationRequire management intervention via resource commitmentWhen available data re: problem is limited, may be handled as Just do it based on impact and/or risk

Steps in Disciplined Problem Solving1. Establish Team2. Operational Problem Definition3. Containment & Interim Actions, (if needed)4. Root Cause Analysis, (process & system)5. Plan & Implement Solutions6. Results of Solutions7. Verification, (including independent)8. Closure & Congratulate the Team

Problem Type ConsiderationsJust Do ItReflects product or process controls established when planning the processManagement decision to live with such conditions based on acceptable level of riskShould be routinely evaluated for cost and impactCan only be eliminated by applying disciplined problem solving to understand true root cause in order to improve process Dig DeeperUnanticipated conditions which occurMay also be anticipated issues for which actual level of risk is now determined to be unacceptableRequire concentrated investigation to understand source of problem and process factors leading to problem condition to allow appropriate solutions

A Note about Fire-fighting!Fire-fighting is essentially un-prescribed actions taken on a process without understanding the relation of causal factors and process outputFire-fighting is dangerous as these actions tend not to be specifically focused to a particular causeThe resulting impact of fire-fighting is typically not known ahead of timeTherefore, chaos is introduced into the processA very high-risk approach to problem solving!

Problem Type Considerations

Problem TypeProcess of OriginMethodConsidera-tionsJust do itKnownTroubleshooting; reworkSeen before; can live with impact when problem recursDig DeeperUnknownRoot cause analysisData-driven investigation to determine actual factors causing problem conditionUnknownFire-fightingTaking action possibly on wrong process; not using data to confirm root cause

Prioritize ProblemsMost organizations should only be actively working on 3-5 disciplined problem solving efforts, (Dig Deeper issues), at a time to balance the use of resources and get the most effective solutions; (no one person should be working on more than 2 Dig Deeper teams at any given time)Impact portion of CREI statement facilitates prioritization of problems for allocation of problem solving resourcesManagement is responsible for establishing the priority

Process View of Problems

The Secret to Solving ProblemsThe source of every problem is a process: typically the gap is found in the output of the process

The cause of every problem is one or more process factors not behaving as they should

Understanding the relationship between process factors and process outputs is important to effective problem solving

Data about the process and the problem is required to gain enough understanding to effectively solve any problem

The result of any problem solving effort is increased knowledge about processes and their outputs

Components of Process

What are the Process Factors?Processes are mainly influenced by:ManMaterialMachineMethodsMother Nature, (environment)Other factors which influence processes include:MeasurementManagement System, (policies including SOPs, targets, operational decisions)MoneyOther?

Process ViewSystem Processes = Policies, Objectives & Practices (how an organization does business)Planning Processes apply System to fulfill customer requirementsProducing Processes to accomplish PlansProducts/Services = output of producing Processes

Main Functions of Problem SolvingDefine Gap between what is and what should beIdentify process of origin from which gap is originatingStudy the process of origin to determine which process factor(s) are causing the gapAnalyze the relationship between process causal factors and system factors to identify root cause

Getting to the Process of OriginWhere was the problem found?Where is the first process the problem condition could occur?Go to these and any processes in between to collect data recognizing where the problem is actually first observed; this is the process of origin!Use a process flow diagram to make this investigation visual.

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Is/Is Not AnalysisAlso known as Stratification AnalysisProvides further detail about the problem so a complete operational definition of the problem can be formulated.Used at this stage as well as in applying interim/containment actions and implementing/verifying permanent actions.Splitting the dictionary or 20 questions to the answer demonstrates this idea of problem convergence

Use Data to determineWhat is the problem? define the problem condition such that anyone could recognize it; basis for data collection about the problemWhere is the problem occurring? which processes, customers; also, where on the output is the problem condition observed?Who knows about the problem? who initially identified the problem? Who else has seen this problem? Who is involved in the process steps reflected in the process flow?When did the problem begin? timeline associated with when the problem was seen; can be applied even for ongoing problemsHow big is the problem? how much output is affected?Narrows the problem focus to isolate the problem to its process of originData is collected to demonstrate answers to these questions

Is/Is Not Analysis Worksheet

Focus

Aspect

Data to Collect

Where to Collect

How to Collect

Results IS

Results IS NOT

Comments

What?

Problem condition

Refer to requirement

Where?

Geographically

See process flow

Where?

On output

Concentration diagram

Refer to problem condition

When?

First seen

Refer to timeline

Seen before?

Days, shifts, time

Who?

Identified problem

Interview

Involved in related processes

Interview

Refer to process flow

Customers

How much?

Quantity affected

Containment plan

How often?

Recurring problem

Applying Is/Is Not AnalysisClarify aspect what question needs to be answered to obtain a better understanding of the problemIdentify what data to collect that would assist in answering the questionDetermine where that data can be obtainedDecide how to go about collecting the data; what tools/methods to applyGo collect the dataReview and analyze the data to draw a conclusion re: questions being posedThis is an important step in Root Cause Analysis as the results of this investigation provide a context for the root cause investigationBy conducting Is/Is Not Analysis, it is also possible to determine if further investigation can take place at this time

Components of Problems Operational DefinitionBasis for root cause investigationMore detailed version of CREI statement based on what was learned from Is/Is NotIndicate process from which problem originated/generatedIndicate direction of problem related to requirementDefine extent of problemPossibly isolates problem to a certain timeframeInclude refined information re: impact Problem statement must be clear, concise and understandable by anyone

A Root Cause is. . . A process factor which directly defines the reason for the problem when it is present and is having an influence on the process and its output.

4 Levels of Root Cause

Dig! How Deep?Management decides on depth of root cause investigation through the establishment of SMART goals for each problem solving effort.

Problem Solving GoalsDefine problems boundaries/depth of solutionsIdentify right people to solve problemEstablish measures of end resultsDevelop plan of how to accomplish the goalTie problem solving goals to organizational objectives/targetsProvided to team by ManagementEffective Problem Solving is based on SMART Goals:

SpecificMeasurableAgreed upon by team as attainableRelevant to organization and results-orientedTiming defined

Root Cause AnalysisSystematic investigation of a process to identify the root cause of the gap, and take corrective action to eliminate the gap and keep it from occurring again in the futureA structured investigation that aims to identify the true cause of a problem, and the actions necessary to eliminate it.

Process Cause vs. System CauseProcess CauseWhat factor of the process of origin is triggering the undesirable outputWhat other processes and their factors are causing the trigger?Relates product output, (symptom), to process parameters, (causes)System CauseAddresses how the management system allowed the process to become out of controlRelates process factor causes to weaknesses in management systems policies/practices

Company Name

Disciplined Problem Solving

ProcessRoot Cause Analysis

Identify process from which problem originated

Review data from operational definition, containment and interim action

Identify potential causes contributing to the problem

Develop plan to test if potential cause actually leads to problem

Conduct test and collect data

Analyze data from test

Does potential cause directly lead to problem condition?

Can cause be controlled or eliminated?

Select other potential causes

Identify possible actions to monitor process for problem condition

Identify possible actions for either controlling or eliminating cause

No

Yes

No

Yes

Company Name

Identify management policies related to process from which problem originated

Disciplined Problem Solving

SystemRoot Cause Analysis

Review existing policies for existing controls

Do current policies define controls to prevent the cause of the problem?

Identify possible management policy controls to address cause

Investigate if these controls are in place

Identify other processes affected by these policies

Controls working?

Identify how these controls and/or policies can be changed

Analyze why controls are not working at the process where problem originated

No

Yes

No

Yes

Root Cause Analysis Levels

Level(Deep)Root CauseConsiderationToolsOther(Wide)ProductDefect/Detection causeCondition of controls to detect problemControl Barrier AnalysisWhat other products have similar controls?ProcessDirect process cause, (trigger at process of originFactors at process of origin triggering problem, (5Ms)Fishbone, (cause & effect)What processes have similar trigger cause?PlanActual root cause, (led to trigger cause)Linkage to planning processes that trigger cause5 Why with Hypothesis testingWhat other processes affected?Systemweakness in mgt. policies or practicesLinkage of mgt. system to actual causeSystem Cause AnalysisOther affected mgt. policies

Control Barrier Analysis(Defect/Detection Root Cause)How did the problem escape the process and/or organization?Was the problem anticipated in advance?Were controls defined to recognize and contain the problem?At which process are the planned controls applied?Were the planned controls in place?Were the planned controls working?What is the capability of these controls?Assists in identifying appropriate interim actions as well as identifying the defect/detection root cause

Control Barrier Analysis Worksheet

Sheet1

ProcessConditionControlStatusCapabilityObservationsActions

Other Opportunities:

&C&"Arial,Bold"&20Control Barrier Analysis

Sheet2

Sheet3

Results of Control Barrier AnalysisMay recognize missing controls or controls not working as plannedInterim actions represent solutions to addressing these concerns but should not be accepted as the permanent solutionWhen the results of this analysis uncover additional problems, refer these to the team champion for direction on addressingTeams main focus at this point is to implement some type of control to protect downstream processes from continuing to experience the problemSolutions based on this level of root cause investigation mainly are reactive in nature; they only improve our ability to detect the problem condition but dont typically do anything about addressing the root cause!

Direct Process CauseRelates one or more factors of the affected process, (process of origin), not behaving as required to obtain the desired output result at that processUse Cause & Effect diagram, (fishbone technique)Direct process causes, (trigger causes), are the starting point for identifying root causeSome action may be required to address the direct process/trigger cause but actions should not be taken until actual root cause is known

Cause & Effect DiagramApply to problems process of originGap is head of fishMajor cause categories 5MsPotential causes brainstormed are process factors existing at the problems process of originDefine potential causes specificallyWhen confirmed, these will be known as direct process/trigger causes

Fishbone Diagram

Gap:

Material

Man

Method

Machine

Mother Nature

PROCESS:

Fishbone ProcessInvolve personnel from process of origin in brainstorming of potential causes at the process of origin triggering the problemDevelop a sketch/list of the process factors, (man, material, machines, methods, mother nature), related to the process of originAfter brainstorming, review each identified cause to establish:If the cause is actually a factor at the process of originIf the cause makes sense based on the operational definition of the problemPrioritize remaining causes as to their possible contribution to the problem conditionDevelop hypothesis test to evaluate each potential cause at the process of origin

Direct Process Root Cause Investigation Plan & ResultsProcess of Origin:

Direct Process Root Cause Investigation Plan & Results

Process of Origin:

Potential Causes

Related to process?

Feasible based on operational definition?

Priority to confirm

Method of confirmation

Results of confirmation

Confirmed causes to investigate via 5 Why Analysis:

Problem Understanding Tools(especially useful in identifying system causes)Task Analysis reviews process in detail; helpful for operator dependent processChange Analysis identifies differences; extension of Is/Is Not analysis; expands on application of timelineBoth these tools must be applied with a location context, (process of origin)

Task Analysis Worksheet

Sheet1

StepsWhoRequired ActionsComponentToolsRemarks/Questions

&C&"Arial,Bold"&24Task Analysis Worksheet

Sheet2

Change FactorDifference/ChangeEffectQuestions to Answer

What (conditions, activity, equipment)

When (occurrence, status, schedule)

Where (physical location, environmental conditions, steps of procedure)

How (work practice, omission, extraneous action, out of sequence, poor procedure)

Who (personnel involved, supervision)

&C&"Arial,Bold"&24Change Analysis Worksheet

Sheet3

ConsequencesBarrier(s) that should have precluded the eventBarrier Assessment (why the barriers failed)

&C&"Arial,Bold"&24Control Barrier Analysis Worksheet

Change Analysis Worksheet

Sheet1

StepsWhoRequired ActionsComponentToolsRemarks/Questions

&C&"Arial,Bold"&24Task Analysis Worksheet

Sheet2

Change FactorDifference/ChangeEffectQuestions to Answer

What (conditions, activity, equipment)

When (occurrence, status, schedule)

Where (physical location, environmental conditions, steps of procedure)

How (work practice, omission, extraneous action, out of sequence, poor procedure)

Who (personnel involved, supervision)

&C&"Arial,Bold"&24Change Analysis Worksheet

Sheet3

ConsequencesBarrier(s) that should have precluded the eventBarrier Assessment (why the barriers failed)

&C&"Arial,Bold"&24Control Barrier Analysis Worksheet

Actual Root CauseExplains why trigger cause/condition exists at the process of origin of the problemTypically found in previous planning processesMany problems have multiple causesUsually only one over-riding cause that when addressed, can significantly reduce the problems impact on the organizationVery complex problems may have interacting causes but these are typically viewed as isolated problems that only repeat infrequently, (often managed as Just Do It), until resources allow necessary time to discover interaction through data collection, analysis and experimentation

5 Why AnalysisAsk Why does this happen? for each identified process cause from Cause & Effect diagramDifferentiates between process, (direct) cause and underlying root causeEach level of causes identified in 5 Why analysis must also be confirmed via testing in order to verify root causeDeeper levels of 5 Why Analysis which get into Planning processes will require interview-type data collection

5 Why Analysis Worksheet

Process of Origin Cause

Plan/Data to confirm

Results

2nd level Cause

Plan/Data to confirm

Results

3rd level Cause

Plan/Data to confirm

Results

4th level Cause

Plan/data to confirm

Test Potential Root CausesValidating cause guesses by collecting and analyzing dataTest under controlled conditionsTurn the problem on and off by manipulating the suspected cause

Hypothesis TestingDesign hypothesis and select methods for testing hypothesis - state how potential cause could result in described problem; decide what data to collect that would prove potential cause; establish acceptable risk of decision outcome; determine sample size; develop action plan for studyPrepare to test hypothesis - organize and prepare materials required to conduct study; collect data during studyAnalyze results of test - analyze data using appropriate statistical tools, (t, F, Chi-squared tests)Interpret results - conclusions from study; does data establish potential cause as reason for problem?

Root Cause Analysis PlanIdentify causes to be investigatedWhat data supports each cause?Can cause be introduced and removed to confirm presence/absence of problem?What tests will be performed to confirm root cause?What is the statistical confidence of these tests? (i.e. how much data is needed?)Results of tests recorded and analyzed with conclusions drawn

System CausesWhat in the system allowed this problem/cause to occurIdentifies why the process root causes occurred based on current management policies/practicesOften not readily measurableData obtained through interviewBy identifying system causes, systemic improvement can be made in order to prevent recurrence of problem in other similar processesTypically addressed once process root causes of problem are known and confirmed

System Cause Analysis Worksheet

Operational Definition:

Process of origin cause:

Process root cause:

Which management system process is the process root cause related to?

Who is responsible for this management system process?

What documentation/policies are available describing actions and controls for this management system process?

Does this documentation/policy recognize the possibility for this problem to occur?

Are there any current management system controls in place to prevent or detect this problem?

Has this management system process been associated with previous problems?

What other processes within the organization are driven by this management system process?

Possible Management System Level Solutions: 1) Create new policy 2) Change existing policy3) Reinforce/re-apply current policy

Problem SolutionsThere are always at least 3 possible solutions related to each level of causeTherefore, at least 12 possible solutions could be identified for a problem investigation if all levels of cause are investigated!Management provides solution selection criteria as basis for evaluating possible solutions

Possible Solutions Matrix

Root Cause(s)

Confirmed

Eliminate

Control

Detect Gap

Defect:

Direct:

Actual:

System:

3 Possible SolutionsEliminate root cause preventive control; often referred to as error-proofing; eliminates causal factor leading to problem conditionControl root cause process detective control; implement actions to monitor cause condition so action can be taken on process factor before problem occursDo nothing reactive control; continue monitoring for problem condition; defect detection solution; may be required when root cause cant be eliminated or controlled economically or technically; this solution may include accepting interim action as permanent solution

Solution SelectionAllow brainstorming of possible solutions at all levels of confirmed causes and the 3 possible categories of solutionsThen apply solution selection criteria provided by management to evaluate each possible solution as well as refine the brainstormed ideasHave data available re: actual costs associated with problem, (initial impact, revised impact based on data collection/analysis, anticipated future impact if no action is taken)

CRITERIA MATRIX

SOLUTIONS

A

B

C

D

E

n*

CRITERIA

1

MUSTS

2

3

4

n*

1

WANTS

2

3

4

n*

RATING TOTALS

* reflects any number of variables that are appropriate to include in the analysis.

Implementing SolutionsActions to eliminate and control causes require changeChange management tools should be applied when implementing solutionsChange Management ToolsFMEARisk assessmentResource planningContingency planningTrainingEvaluationVerification

Company Name

Brainstorm possible solutions for each confirmed root cause

Establish solution selection criteria

Evaluate possible solutions vs. solution criteria

Develop action plan to implement selected solutions

Evaluate solution risks and impact on other processes

Develop contingency plan for solutions

Establish solution effectiveness measures

Trial plan for solution implementation

Evaluate trial plan results

Revise solution implementation plan as necessary

Permanent solution implementation

Evaluate results of permanent solution

Remove interim actions

Team verification of solution vs. goals

Independent verification of problem solving effort

Finalize problem solving report, lessons learned

Team celebration and disbanding of problem solving team

Plan, Implement & Verify Solutions

Other OpportunitiesIdentified typically while collecting data for Is/Is Not Analysis, Root Cause investigation/confirmation, solution evaluationRecord these other problems/opportunitiesShare these problems/opportunities with team champion to get direction on how to address: (change scope of current problem solving effort to include; management assigns another team to address)Dont allow these other opportunities to distract from the focus of the problem solving effortThese Other Opportunities become the Bonus of an effective problem solving effort

A Key Outcome of Every Problem Solving/Root Cause Investigation. . .Expansion of Knowledge

Failure Modes & Effects Analysis(FMEA) A Tool for Cataloging Problems

ProcessFunctionRequirementsPotential Failure ModesPotential Failure EffectsPotential Failure CausesCurrent Product & Process ControlsProcess of originTechnical definition of problemSymptomProcess factors = root causesInterim actions

Managements RoleSystemEstablish problem solving cultureProvide problem solving processEnsure training of all personnel in problem solving process and related toolsPrioritize/categorize problems based on magnitude/riskAudit/review effectiveness of problem solving systemEach ProblemAppoint Team ChampionDefine SMART goals for problem solving effortProvide resources and time to support problem solving teamEstablish solution selection criteriaAuthorize Team Plan as contract for problem solving effortPeriodically review progress of problem solving teams

Problem Solving CultureProblem solving is a value-added processProblem solving supports improvement of every aspect of the businessTime should be dedicated to problem solving on a daily basisEveryone in the organization is involved in problem solvingUse problem solving survey to measure effectiveness of problem solving system

Quality Improvement Strategies

Comments on Effective Problem Solving Culture

Culture is the result of behavioral change over time.

Many organizations struggle with effectively implementing problem solving for several reasons:

1. problem solving is not viewed as a value-adding process

2. process ownership for problem solving is not defined beyond someone to manage the administrative aspects, (i.e. tracking of status, accounting for open issues, etc.)

3. time is not specifically nor continually allocated for problem solving; instead, it is an activity that is done when required; in fact, problem solving should be an ongoing process if an organization is committed to continual improvement

4. expectations of the outcomes from problem solving efforts are not clearly defined nor connected with organizational goals, (quality objectives); in some cases, when expectations are defined, these may be unrealistic

5. more value is placed on tribal knowledge rather than data driven analysis and results, (ISO 9001:2000 quality management principle fact based approach to decision-making)

6. ownership of problems are parsed out to individuals instead of viewing each problem solving effort as an opportunity to increase organizational knowledge and therefore involving the entire organization in the problem solving effort with the core team being the drivers of the effort

To effectively solve problems, organizations must recognize problem solving as a valid process contributing significant value in terms of continual improvement and increase in knowledge. When ISO 9001:2000 specifies determining and managing the work environment, this includes establishing a culture which supports the success of the organization, which is clearly a management responsibility. Culture by default is NOT a managed work environment.

One means of understanding current problem solving culture and therefore closing the gap in the desired culture, is the application of the AIAG Effective Problem Solving Process Survey found in CQI-10. The management team can use this tool to assess the current state of problem solving process within their organization and from these results, establish a transition plan to achieve the desired state as reflected in the behaviors described in CQI-10 as well as those behaviors specifically defined by the organization.

Foundational Principles to Effective Problem Solving include:

1. Treat all employees with trust and mutual respect

2. View problems as opportunities

3. Expose problems early and resolve them using effective problem solving

4. Use problem solving in all functions and at all levels

5. Value the use of effective problem solving

6. Provide necessary support for use of effective problem solving

7. Recognize and reward employees for problem solving

The AIAG has defined specific behaviors for each level of:

Executive Leadership

Problem Owners, (Champions)

Problem Solvers, (members of the problem solving teams)

Customers & Suppliers

Prior to conducting training in the organization re: problem solving process, methods and tools, it is desirable to establish an understanding of the current problem solving culture and from that information, define expectations and behaviors to support effective problem solving as well as defining the actions of management necessary to enhance the problem solving culture. A Problem Solving Process Management Visioning session can be conducted to present the problem solving process, discuss current culture and define the expectations and behaviors.

Prepared by: C. Fisher

Quality Improvement Strategies

Problem Solving Survey Short Version

This tool can be used to evaluate your organizations problem solving system. The survey can be administered to any employee to gain an overall understanding of perceptions regarding this key process within your business. Continual improvement of the problem solving process can be measured based on conglomerate results of this survey, (can be re-administered repeatedly to evaluate progress). Each response scored 3 or 5 should have related evidence indicated to support.

Scoring: 1 = no evidence currently exists to demonstrate this

3 = evidence exists to demonstrate this, but improvement potential

exists

5 = this aspect of our problem solving system is world class, (i.e.

would want others to benchmark ours)

NA = not applicable; unable to respond

Culture:

Question

Score

Evidence/Observations

1

Is problem solving viewed as a value-added process in your organization?

2

Are problem solving behaviors/expectations defined and communicated?

3

Are resources, (e.g. time), allocated specifically in support of problem solving?

4

Is problem solving used throughout the organization in all areas and at all levels?

5

Are the top 3-5 problem solving efforts known by all employees throughout the organization?

Process:

Question

Score

Evidence/Observations

6

Is the organizations problem solving process defined and documented?

7

Is the problem solving process team-oriented?

8

Does the problem solving process rely on data collection and analysis in all stages for investigation, decision-making and actions?

9

Is ownership defined for management of the problem solving process?

10

Does management establish goals for problem solving efforts which support organizational objectives?

Implementation:

11

Is training provided for all employees at all levels involved in problem solving re: problem solving process, methods and tools?

12

Have specific criteria been established for determining when to apply the problem solving process?

13

Does management systematically review and prioritize issues for the application of problem solving?

14

Are problem solving tools applied appropriately in support of data collection, analysis, decision-making, etc.?

15

Is the problem solving process applied for product, process and system issues?

Effectiveness:

16

Does management systematically review progress and results of problem solving efforts?

17

Are results of problem solving efforts independently verified for effectiveness?

18

Are the results of problem solving efforts applied throughout the organization?

19

Are the results of problem solving efforts recorded and maintained for future reference and as a basis for lessons learned?

20

Is the problem solving process periodically reviewed for its adequacy and effectiveness?

Prepared by: C. Fisher Page 1 of 3

For Further Information, you are welcome to contactDIEGO CELYQuality Improvement Advisor(786) 979-3237dcely2007@gmail.com

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