Tools & Techniques for Process Improvement

Understanding processes so that they can be improved by means of a systematic approach requires the
knowledge of a simple kit of tools or techniques. The effective use of these tools and techniques requires
their application by the people who actually work on the processes, and their commitment to this will only
be possible if they are assured that management cares about improving quality. Managers must show they
are committed by providing the training and implementation support necessary.

The tools and techniques most commonly used in process improvement are:

• Problem solving methodology, such as DRIVE

• Process mapping
• Process flowcharting
• Force field analysis
• Cause & effect diagrams
• CEDAC
• Brainstorming
• Pareto analysis
• Statistical process control (SPC)
• Control charts
• Check sheets
• Bar charts
• Scatter diagrams
• Matrix analysis
• Dot plot or tally chart
• Histograms

DRIVE is an approach to problem solving and analysis that can be used as part of process improvement.

Define the scope of the problem the criteria by which success will be measured and
agree the deliverables and success factors

Review the current situation, understand the background, identify and collect information,
including performance, identify problem areas, improvements and “quick wins”

Identify improvements or solutions to the problem, required changes to enable and

sustain the improvements

Verify check that the improvements will bring about benefits that meet the defined
success criteria, prioritise and pilot the improvements

Execute plan the implementation of the solutions and improvements, agree and implement
them, plan a review, gather feedback and review

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 One of the initial steps to understand or improve a process is Process Mapping. By gathering information
we can construct a “dynamic” model - a picture of the activities that take place in a process. Process maps
are useful communication tools that help improvement teams understand the process and identify
opportunities for improvement.

ICOR (inputs, outputs, controls and resources) is an internationally accepted process analysis methodology
for process mapping. It allows processes to be broken down into simple, manageable and more easily
understandable units. The maps define the inputs, outputs, controls and resources for both the high level
process and the sub-processes.

Controls

Suppliers Inputs Process Outputs Customers

Resources

Sub processes

Process mapping provides a common framework, discipline and language, allowing a systematic way of
working. Complex interactions can be represented in a logical, highly visible and objective way. It defines
where issues or “pinch points“ exist and provides improvement teams with a common decision making
framework.

To construct a process map:

• Brainstorm all activities that routinely occur within the scope of the process
• Group the activities into 4-6 key sub-processes
• Identify the sequence of events and links between the sub-processes
• Define as a high level process map and sub-process maps using ICOR

Process maps provide a dynamic view of how an organisation can deliver enhanced business value.
“What if” scenarios can be quickly developed by comparing maps of the process “As is” with the process
“To be”.

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 Another tool used in the construction of process maps is Process Flowcharting. This is a powerful
technique for recording, in the form of a picture, exactly what is done in a process.

Procedure Regulators
Standards Regulators
Requirements
Capacity Internal External
Legislation
Raw
materials Controls Product

Data Inputs Process Outputs Customers

Resources Service
Supplies

Human Mechanical
Physical
Skills &
experience Knowledge Machine Computer
Site

There are certain standard symbols used in classic flowcharts, and these are:

Flow
Start End

Process step Information

(operation) block

Records
Decision

If a flowchart cannot be drawn using these symbols, then the process is not fully understood. The purpose
of the flowchart is to learn why the current process operates the way it does and to conduct an objective
analysis, to identify problems and weaknesses, unnecessary steps or duplication and the objectives of the
improvement effort.

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 Force Field Analysis is a technique for identifying forces which may help
Driving
or hinder achieving a change or improvement. By assessing the forces forces
that prevent making the change, plans can be developed to overcome
them. It is also important to identify those forces that will help with the
change. Once these forces have been identified and analysed, it is
possible to determine if a proposed change is viable.

Restraining
forces

A useful way of mapping the inputs that effect quality is the Cause & Effect Diagram, also know as the
Fishbone or Ishikawa Diagram. It is also a useful technique for opening up thinking in problem solving.

The effect or problem being

investigated is shown at the
end of a horizontal arrow;
potential causes are then
shown as labelled arrows
entering the main cause arrow.
Problem Each arrow may have other
arrows entering it as the
principal causes or factors are
reduced to their sub-causes;
or
Effect brainstorming can be
effectively used to generate
the causes and sub-causes.

Factors or Concerns

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 With CEDAC – Cause and Effect Diagram with the Addition of Cards, the effect side of the diagram is a
quantified description of the problem, and the cause side of the diagram uses two different coloured cards
for writing the facts and the ideas.

The facts are gathered and written on the left of the spines, and the ideas for improvement on the right
of the cause spines. The ideas are evaluated and selected for substance and practicality.

Fact or Problem
card

Improvement
card

Effect

Brainstorming can be used in conjunction with the Cause and Effect tool. It is a group technique used to
generate a large number of ideas quickly and may be used in a variety of situations. Each member of the
group, in turn, can put forward an idea concerning the problem being considered. Wild ideas are welcomed
and no criticism or evaluation occurs during brainstorming, all ideas being recorded for subsequent analysis.
The process continues until no further ideas are forthcoming and increases the chance for originality and
innovation. It can be used for:

• Identifying problem areas

• Identifying areas for improvement
• Designing solutions to problems
• Developing action plans

Pareto Analysis can be used to analyse the ideas from a 1400

brainstorming session. It is used to identify the vital few 1200
problems or causes of problems that have the greatest 1000
impact. A Pareto diagram or chart pictorially represents 800
data in the form of a ranked bar chart that shows the 600
frequency of occurrence of items in descending order. 400
Usually, Pareto diagrams reveal that 80% of the effect is 200
attributed to 20% of the causes; hence, it is some-times 0
known as the 80/20 rule. C E B A D

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 Statistical Process Control (SPC) is a toolkit for managing processes. It is also a strategy for reducing the
variability in products, deliveries, materials, equipment, attitudes and processes, which are the cause of
most quality problems. SPC will reveal whether a process is “in control” – stable and exhibiting only
random variation, or “out of control” and needing attention. It also automatically warns when performance
deteriorates, and can assist with long-term defect reduction, identification of special or assignable causes,
reduction or elimination of causes of variation and achievement of a level of performance as close to target
as possible.

In SPC, numbers and information form the basis for decisions and actions, and a thorough data recording
system is essential. In addition to the tools necessary for recording the data, there also exists a set of tools
to analyse and interpret the data, some of which are covered in the following pages. An understanding of
the tools and how to use them requires no prior knowledge of statistics.

One of the key tools of SPC is a Control Chart. It is

used to monitor processes that are in control, using
UAL
means and ranges. It represents data, e.g, sales,
volume, customer complaints, in chronological order,
UWL
showing how the values change with time. In a
control chart each point is given individual significance
Mean
and is joined to its neighbours. Above and below the
mean, Upper and Lower Warning and Action lines
LWL
(UWL, LWL, UAL, LAL) are drawn. These act as
signals or decision rules, and give operators
LAL
information about the process and its state of control.
The charts are useful as a historical record of the
process as it happens, and as an aid to detecting and
predicting change. Time

A Check Sheet is an organised way of collecting and

Total structuring data, its purpose is to collect the facts in
the most efficient way. It ensures that the information
that is collected is what was asked for and that
X
everyone is doing it the same way. Data is collected
and ordered by adding tally or check marks against
Y predetermined categories of items or measurements.
It simplifies the task of analysis.

Bar Charts are visual displays of data in which the

height of the bars is used to show the relative size of
the quantity measured. The bars can be separated to
show that the data is not directly related or
continuous. They can be used to give visual impact to
data, compare different types of data and compare
data collected at different times.

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 A Scatter Diagram is a graphical representation of how one variable changes with respect to another. The
variables are plotted on axes at right angles to each other and the scatter in the points gives a measure of
confidence in any correlation shown.

X XX X X X XX
XX XX X X X X X
X X X X X X
X XXX X X XX X
X XX X X

They show whether 2 variables are related, or prove that they are not, the type of relationship, if any,
between the variables and how one variable might be controlled, by suitably controlling the other. They also
make predictions of values lying outside the measured range.

In its simplest form, Matrix Analysis is a way of

presenting data in a rectangular grid, with data
A B C D
displayed along the top and down the side.
1 ✓ ✓ ✓
Symbols placed at the intersections of the grid enable
relationships to be established between the two sets
2 ✓
of data. It summarises all the known data in one table 3 ✓ ✓ ✓ ✓
and highlights gaps in knowledge and relationships
between items. It is a valuable attention focusing tool 4 ✓
for teams, and simplifies the task of priority ranking a
set of items.

The Dot Plot or Tally Chart is a frequency distribution. It shows how often (the frequency) a particular
value has occurred. The shape of the plot can reveal a great deal about a process, giving a picture of the
variation, highlighting unusual values and indicating the probability of particular values occurring.

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 A Histogram is a picture of variation or distribution, where data has been grouped into cells and their
frequency represented as bars. It is convenient for large amounts of data, particularly when the range is
wide. It gives a picture of the extent of variation, highlights unusual areas and indicates the probability of
particular values occurring.

No. of No. of No. of

values values values
within within within
cell cell cell

With such a shopping list of tools and techniques, it may not be easy to know which one to use when. To
overcome this problem, the following matrix refers to the six step methodology for process improvement
and indicates the key tools and techniques that could be used in each step. However, this list is not
exhaustive and the tools should be used in conjunction with measurement techniques.

Process Improvement Methodology Step (refer to section on Processes)

Tool/Technique
Select Understand Performance Review Change Capture

DRIVE X X X X X

Mapping X X X

Flowcharting X X X

Force Field X X X

Cause & Effect X

/CEDAC

Brainstorming X X X

Pareto Analysis X

SPC X X

Run/Control Charts X X

Check Sheets X X

Bar Charts X

Scatter Diagram X X

Matrix Analysis X X

Dot Plot X X X X

Histogram X X

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