QUALITY CIRCLE FORUM OF INDIA - DELHI CHAPTER

Problem Solving Process and Tools

Problem Solving
Solving chronic problems in an organization requires a logical and structured approach using
data and appropriate tools.

Three elements for effective problem solving:

1. Data: Hard facts associated with the problem, causes & solution. Without data we are merely
guessing at the causes of the problem, and our efforts to solve it are hampered by lack of
knowledge.

2. Tools: To organize and understand the data and facts.

3. Structure: A logical and structured approach. Team of people from concerned departments,
empowered to work on specific project.

In Quality Control, problem solving means detecting a change, identifying the cause and
returning the process to the status quo. In Quality Improvement the goal is to reach to a higher
level of performance than currently achieved.

Project: A project is a problem scheduled for solution.

Problem: A visible performance deficiency in an important manufacturing, service, or business

process or product.

Problem Statement:

SHOULD BE SHOULD NOT

Performance-related, Imply Cause,

Visible, Imply Solution,
Specific and Measurable, Affix Blame
Manageable in Scope (Bite Size)

Problem Solving Process Steps:

STEP 1: GENERATE A LIST OF PROBLEMS

By brainstorming create a list of problems (customer concerns or internal concerns i.e.

defects/rejections/reworks).

While identifying the problems, focus on customer raised issues or 3Ms (Muda/ Mura / Muri) or
Seven Wastes within the organization (Motion, Over production, Storage, Transportation,
Correction, Over processing, Waiting) or 4-Ms Man, Machine, Method, Material
STEP 2: SELECTION OF PROBLEM: (SPECIFYING THE TITLE)

a. Categorize Problems in to ‘A’ ‘B’ or ‘C’

‘A’ Category :
Warranty / field failure.
‘B’ Category : Defects / rejections (BOP/ BOSF/CID) at HHML
‘C’ Category : Defects/
Rejections / Rework at Suppliers end.

b. Use Pareto Analysis or Rating Method (based on some criteria i.e. Customer Satisfaction,
Manpower, Urgency, Safety, Time, Rejection / Cost, Quality, Delivery, Productivity) for selection
of problem.

CIP projects take off from here, after 2b.

Use a Road Map to plan the time required for the activities before starting, and to work
within a time bound frame.
CIP Road Map
PROJECT :

MEETING DAY TIME NO. OF PROJECTS COMPLETED

NO. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 TARGET ACTUAL

ACTIVITY WEEK
1 DEFINING THE PROBLEM

2 ANALYSING THE PROBLEM

3 IDENTIFYING THE CAUSES

4 FINDING OUT THE ROOT CAUSES

5 DATA ANALYSIS

6 DEVELOPING SOLUTION
FORESEEING POSSIBLE
7
RESISTENCE
8 TRIAL IMPLEMENTATION AND

CHECKING PERFORMANCE

9 REGULAR IMPLEMENTATION

10 FOLLOW-UP / REVIEW

STEP 3: DEFINE THE PROBLEM (OCCURRENCE CONDITIONS)

Problem definition is explaining where the problem occurs, conditions prevailing at that time and
what are the difficulties and losses incurred in a general way.

 Even though team members are from the same organisation it does not mean that all
have clarity about the problem selected. So it is necessary to define the problem.
 First study the ‘affected objects’ against ‘normal’ & understand the differences.
 Next, by using a ‘Flow Diagram’ study the entire process related to that product
considering the problem spots in terms of occurrence & detection.

Use of flow diagram helps in having clarity of the problem by all members. There may be some
members who are not familiar with the entire process.
Use 4W 2H technique regarding details:

WHAT: What is the problem or NC or deviation from standard?

WHERE: Where in the Process or Operations or Object the problem is Observed or
Detected?
WHEN: Since when is the problem observed or detected or known to exist? When is it
seen to Occur or gets Detected?
WHO: In whose area of work or process or operations the problem is Observed or
Detected?
HOW: How the problem is seen to Occur or gets detected? The conditions at that
time.

STEP 4: ANALYSE THE PROBLEM (UNDERSTANDING FACTS OF ACTUAL

SITUATIONS)

HOW MUCH: Extent or Severity or Size of the problem’s Occurrence or Detected conditions

Analysis calls for Data Collection on all possible aspects of the problem i.e. number of times the
problem occurred, effect of the problem in detail and data on the losses etc. With the help of the
Facilitator members collect the data and carry out analysis. So learning data collection and
categorizing them or stratifying them becomes an important activity here. Analysis is very
essential because there may be certain dimensions of the problems which are not understood
by all. A discussion will help in pooling up ideas.

Stratification: possible sources of information:

 By time: Month, week, day, dayshift, day of the week, time, morning, afternoon etc.
 By workforce: section, work group, task force, relieving, new/old, expertise, age,
experience etc.
 By machinery and equipment: machine number, position, new/old, model, structure, jig,
dies etc.
 By working method: temperature, pressure, air temperature, humidity, weather, speed,
working method, working procedure, measuring method etc.
 By raw materials/components: place of manufacture, supplier, previous process, lot,
charge etc.
 By product: product category, destination, new/old product, standard product, special
order etc.
 By measurement/inspection: measuring instrument, measuring operator, inspection
method, inspector etc.

A comparison of the process ‘AS IS’ vs ‘DESIRED’ may be done

 Deviations & differences be understood properly.

 PQCS based Gemba observations be done for this.
 Deviations relating to the problem (defect) may be recorded in a format (modified from
QAV2)

Process Sl Control Spec or Actual Method Judge Restoration By when By who

name no. item Standard used ment actions
  Take restoration actions wherever possible, to the standard/spec given.
 These are actions to contain the problem and ‘fix’ on short-term basis.
 Simply conforming to given standards can help & hence keep tracking results
(ppm)

STEP 5: IDENTIFICATION OF CAUSES (UNDERSTANDING FACTS OF ACTUAL

SITUATIONS –CAUSES ANALYSIS)
Since problem is in the work area of the team members they know the seriousness of it and also
have an idea or reason for this problem. The problem is persisting; either because no serious
effort was made to address it or they were not involved or only rectification kind of actions were
taken. (no corrective and preventive actions). Many times the solution is eluding them and they
are unable to pin point the actual cause. A close observation of the operations as the process is
going on, and recording them would be helpful at this stage.

Proper Gemba observations would be a big help in finding sources or locations of possible
causes in the process & operations.

Doing Gemba Observations: Being Observant Means

 See & understand the facts as they are - the true / actual situation or condition.
 No preconceptions or fixed ideas or conjectures.
 Be objective - set aside personal opinions or preferences.
 Grasp things quantitatively - in a concrete way as far as possible.
 To depict what is observed use sketches / symbols / visuals [even photos]

 The essence of observation is stopping other activities and watching.

 To stand still and look at things carefully, without being distracted.
 In the work place this means spending five minutes, intently scrutinizing one particular
area or process / operations.
 Note that 5 minutes is less than 1% of the 480 minutes in an 8-hour day.
 Many of you may be spending more than 8 hours 'working' everyday.
 Recording your observations is important.
 Whether it is a problem point or a passing thought, it will ' evaporate' if it is not written
down.

One important point to be remembered is that problems have multiple causes (variables). There
are variations occurring and some of them could be contributing to the problem. Before an
analysis is carried out it is necessary to find out the possible causes. They need to be collected
and put in an orderly manner for better understanding. The Cause and Effect Diagram helps in
organizing them for further study. Such an attempt will give clarity and will help to be cautious
when some other cause creeps in at a later date. All causes are expressed verbally.

STEP 6: FINDING OUT THE ROOT CAUSES (ROOT CAUSE INVESTIGATION)

The root cause analysis is to be done on two parts.
 The first part is arising from the deviations from spec or standards which were restored:
why it happened or deteriorated or went unnoticed or unattended etc. Simple why-why
analysis combined with good Gemba observations can lead to appropriate root causes &
counter measures
 The second part arises from causes still unknown due to which the target ppm is not
achieved or random occurrence is taking place & would require more investigation
Please ensure that Root Cause Analysis (RCA) process:
 Takes advantage of team members’ knowledge while preventing their biases from
controlling or misdirecting the course of investigation
 Shows evidence-based causal relationships between the primary effect and the root
causes and relevance of those facts can be verified
 Would help the team and the management understand what actions are to be taken to
try out the required solutions subsequently and who all in the organization need to take
those actions.

SOME METHODS:
 GEMBA Observations: Of the process – operations, hardware & software, things,
practices; smell, sound etc.

 Examine or Check objects: externally – visual aspects or dimensional aspects, cutting

open, subjecting to laboratory tests, destructive tests etc. as needed

 Perform controlled tests or experiments or simulations to confirm or deny the most likely
explanations

 Attempt to reconstruct the event using possible scenarios

 Analyze Data: Past, Stratified Daily or Time based, Current Fresh – limited way

STEP 7: DATA ANALYSIS TO ESTABLISH ROOT CAUSES (ROOT CAUSE

INVESTIGATION)
Root cause has to be established with the help of data. In case, for any reason, it is not possible
to collect data it may be established based on experience. But experience has also to be
quantified.

Analysis may call for further floor exercise, work area follow up and study or simulations.

Teams may use Histogram, Stratification, and Scatter Diagram etc. which would help easy
comprehension and make comparison possible for decisions.

The Five-Why method is inappropriate for any complicated problem, but quite useful when done
for small / minor problems that require some basic discussion of the occurrence to lead to
causal relationships. But again evidence has to be produced.

Investigate:
 Frequency of Occurrence, Correlations
 What system allowed for the Root Cause of event to occur?
 What system allowed for the Root Cause event to escape without detection? (at the
place of occurrence or subsequent inspection or check points)

System level deficiencies also may be identified for the problem.

STEP 8: DEVELOPING SOLUTIONS (APPROPRIATE COUNTER MEASURES)

Once causes are confirmed the next step is to find appropriate solutions & make choice. As
each root cause may have different solutions members should select the best one based on
some defined & agreed criteria viz. Control, Appropriateness, Resource Availability, Time,
Return on Investment and Acceptability.

 The solutions need to be preferably preventive oriented rather than corrective only and
not consist of just rectification measures.

 Also consider if the changes are / change is Reversible or Irreversible

 While developing solutions to root causes, the members may use a technique called
counter measure matrix or an action plan which shows time bound and responsibility
shared activity (suggested below).

Such an action plan schedule is found to be very useful in involving every member of the team
and also for proper follow-up. The members may not be able to carry out every action as
planned due to many unavoidable reasons. However, the planned dates help them as a
reminder to minimize the wastage of time.
ACTION PLAN FOR DEPLOYING SOLUTION

No. Root CMs / Solutions Respon-sibility Target Date Target Date Results Remarks
Causes Action Plan Planned Actual

STEP 9: FORESEEING THE PROBABLE RESISTANCE (POTENTIAL PROBLEM

ANALYSIS)

 What could go wrong? List potential problems

 Address ‘big ones’ with prioritization using: Probability (P) & Seriousness (S) for
Problems - L: Low, M: Medium, H: High
 Identify likely ‘sources’ of causes for deviation
 Carry out ‘preventive’ actions for likely ‘adverse’ effects
 Plan contingent actions; to mitigate or minimize effects of problem (second-best or fall
back action could be costlier and even disruptive)
 Build in alarms: to activate contingency: a ‘RED FLAG’ – a pre determined point to
trigger action for back up

With the help of brainstorming identify the probable constraints or potential problems and finding
counter measures to overcome them.
Make a presentation to all involved with the solutions & contingencies & counter measures.
Discuss and evaluate effectiveness of these and also a system for implementation.

STEP 10: TRIAL IMPLEMENTATION & CHECK PERFORMANCE

(CONFIRMATION OF EFFECTIVENESS AND MEASURES)

Implement the solution on a trial basis and check performance. Collect

data after trial implementation & compare with the ‘before’ information.

 Collect fresh data, use control chart or any other method to study process trends.
  Analyse the result, discuss and incorporate the changes needed.

 Do keep a record of information for future reference.

STEP 11: REGULAR IMPLEMENTATION (CONFIRMATION OF EFFECTIVENESS)

Once validity of solution is checked and improvement observed with data, regular
implementation can be effected.

 Incorporate the changes in the working system (SOP) or work instruction sheets & other
relevant documents for standardization.

 Here too team must make a plan for regular implementation using 4W 1H and ensure
that actions are taken accordingly.

 Keep a track, compare with data collected at steps 2, 3 & 4.

 Establish & satisfy that the process is capable of running with the changes made, to
meet the requirements.

 Study the Tangible and Intangible benefits.

STEP 12: FOLLOW UP / REVIEW (FEEDBACK TO THE SOURCE)

Implement an evaluation procedure and look for need for any change to be made.

 Use Data Collection or Control Charts.

 Have periodic evaluation reports.

 Complete the Activity Planning Chart (road map) with actual time spent & compare
against plan & reasons for deviations.

 Reflect on the lessons learnt during the project work & use it for the future.