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Incident title

Location of Incident:
Date of Incident:
Version Number:
Version Date:
The following worksheets are contained in this workbook:
Area Worksheet (links) Description
Title Page This worksheet
Versions Evolution of this workbook and contributors
Contacts People / Contact info of those involved with the analysis
CM Steps Cause Mapping Method, Steps and Tools (layout)
Step 1. Define the Problem 1. Problem Problem Outline
Step 2. Conduct the Analysis 2. Cause Map 5-Why basic Cause Map to get started
Step 3. Select the Solutions 3. Solutions Action Items table listing solutions, owner, due dates
Timeline Sequence of events with date, time, description
Diagram Diagrams, drawings and images
Photos Photographs and pictures
Need Help?
Work Process Steps of related work processes written as a flowchart
281-412-7766 phone
Notes Notes, emails, documents
281-412-7761 fax
Info To Get Information to collect or To Dos during the investigation
info@thinkreliability.com END Extra material past this worksheet
Basic Cause Mapping Template
Excel Tips Tips for using the template in Microsoft

Excel

October 23, 2013


Examples Example Cause Maps
Copyright 2013 ThinkReliability, Novem, Inc.
Examples & Resources
Start here
Additional Information & Tools
Investigation Information
Investigation File
Cause Mapping

Problem Solving Incident Investigation Root Cause Analysis Risk Mitigation
The purpose of this file is to organize all relevant information.
Delete this box and insert your company
logo here.
(clock) (in hours)
Version Date Type Description Time Duration Update By Contributors
Total Investigation Hours 0.00
240116398.xlsx.ms_office 8/2/2014 10:15 AM
Organization Name Location Role Email Office Mobile Note
Houston, TX Training & Facilitation Services info@thinkreliability.com 281-412-7766 www.thinkreliability.com
Step 1
Identify the specific actions that will be taken to reduce the risk of
a similar issue occurring.
Problem
Capture specifics about the problem as well as the impact to each
of the organization's overall Goals.

- Answer each question in the Outline.
Lay out the cause-and-effect relationships for the incident.
Additional Tools - Use as needed to capture specific information during the investigation.
Create
Action Plan
Each action item is a project.
Follow-up should evaluate effectiveness.
Problem Solving Incident Investigation Root Cause Analysis Risk Mitigation
Basic
Evaluate
Solution Options
Consider the Effort IN to the Solution
versus the Result OUT
The impact and
risk to each Goal
should be
reduced to an
acceptable level
Propose
Possible Solutions
Based on causes identified in the analysis
step

Use: Convention, Industry Standards and
Creative Ideas
Possible Solution:
Evidence:
Cause Map
Step 2. Analysis
Title
Why?
Basic Cause-and-Effect Relationship
AND
OR
AND/OR
Impact to
Production
Goal
Impact to
Safety
Goal
Effect Cause
AND
AND
AND
AND
...add as much detail as necessary to thoroughly explain the issue
Detailed
Cause Mapping

Analysis
Step 2
- Write down one of the Goals that was affected.

- Write the impact to that Goal in the next box.

- Answer the question "Why did that happen?" Ask Why again.

- In the more detailed analysis, ask as many Why questions as
necessary to thoroughly explain the issue.
Solutions
Step 3
3
- Place a possible solution above the cause that it controls.

- Evaluate the different possible solutions.

- Create a plan for actions or a combination of actions that will
be implemented.
Start with 3 to 5 Why questions (Causes)...
Define the Problem in the Problem Outline
1
Any information gathering or support tasks
required for the investigation.
Info To Get
Photos
Any photos or images.
Insert any pictures on this worksheet.
Photos
Use this box a picture label
Work Process
The flow of any particular work
process or task that is relevant to
NO
YES
Process Map Decision point Copy and use as needed
Process
Steps within a Task
Diagram
Any diagrams, drawings or
sketches.
Diagram
Use the drawing tools to add any diagram to this worksheet. Delete these objects if they are not needed.
Cylinder
Valve
Drum
Exchanger
Expander, Turbine Compressor
Example objects (industrial)
Pump
Timeline
The sequence of events.
Timeline
Date Time Description
Notes
Notes related to the
investigation.
Notes
2
Corrective Actions to be implemented
No. Action Item Cause Owner(s)
(Names) Date Due Status-
Completed Notes
Verification
(Check of
effectiveness)
1
2
3
4
5
6
7
8
9
10
Since solutions control specific causes, every action item (solution) should correspond to a cause from the Cause Map. This provides continuity from the analysis to the action items.
Only those causes with action items (solutions) are listed in this table.
Investigation Action List
This tab is used to track specific information gathering or support tasks for the investigation.
The 'Solutions' tab will capture the action items that are selected by the investigation team.
No. Action Item Owner Date Created Due Date Status Completed
1
2
3
4
5
6
Step 1. Define the Problem
What Problem(s)
When Date
Time
Different, unusual, unique
Where Facility, site
Unit, area, equipment
Task being performed
Impact to the Goals
Safety
Environmental
Customer Service
Regulatory
Production/ Schedule
Property/ Equipment
Labor/ Time
This incident $0
Frequency
Annualized Cost $0
Step 1. Define the Problem
What
Problem(s)
When
Date
Time
Different, unusual, unique
Where
Facility, site
Unit, area, equipment
Task being performed
Impact to the Goals
Safety
Environmental
Customer Service
Regulatory
Production/ Schedule
Property/ Equipment
Labor/ Time
This incident $0
Frequency
Annualized Cost $0
Why?
Basic Cause-and-Effect Relationship
AND
OR
AND/OR
Effect Cause Step 2. Analysis
Cause Map
Possible solution:
Evidence:
Goal Impacted
Why ? Why ? Why ? Why ? Why ?
Incident title
Safety Goal
Impacted
Environmental
Goal Impacted
Customer
Service Goal
Impacted
Regulatory
Goal Impacted
Production/
Schedule Goal
Impacted
Property/
Equipment
Goal Impacted
Labor/ Time
Goal Impacted
No. Action Item Cause
Owner(s)
(Names)
Date Due
Status-
Completed
Notes
Verification
(Check of
effectiveness)
1
2
3
4
5
6
7
8
9
10
Since solutions control specific causes, every action item (solution) should correspond to a cause from the Cause Map. This provides continuity from the analysis to the action items. Only
those causes with action items (solutions) are listed in this table.
Step 3. Solutions
Corrective Actions to be implemented
Timeline
Date Time Description
Diagram
Use the drawing tools to add any diagram to this worksheet.
Delete these objects if they are not needed.
Cylinder
Valve
Drum
Exchanger
Expander,
Turbine
Compressor
Example objects
(industrial)
Pump
Insert any pictures on this worksheet.
Photos
Use this box as a picture label
NO
YES
Process Map
Decision point
Copy and use as needed
Process
Steps within a Task
Notes
Investigation Action List
This tab is used to track specific information gathering or support tasks for the investigation.
The 'Solutions' tab will capture the action items that are selected by the investigation team.
No. Action Item Owner Date Created Due Date Status Completed
1
2
3
4
5
6
240116398.xlsx.ms_office Info To Get Page 13 of 15
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video tips on the web site


Tips for Using the Cause Mapping Template in Microsoft Excel

2013 - 2010 - 2007


Quick Access Toolbar
The Quick Access Toolbar, found along the top of the screen, is the only toolbar that you are able to customize. Add any command to the Quick
Access Toolbar by right clicking on the icon and then click Add to Quick Access Toolbar.

Arrow Cursor - Select Objects
The arrow cursor allows you to select drawing objects. The arrow cursor is located by clicking on Home from the menu bar. The last group on the
ribbon is called Editing. Inside of Editing is a Find & Select icon with a drop down. Click on Select Objects (the arrow) t o select it.

Drawing Tools
To access the drawing tools ribbon you first must select (click on) an object, such as a text box, on the worksheet. Notice when you select an object
a new tab, Drawing Tools: Format, is immediately added to the end of the menu bar. When you click on either Format or Drawing Tools the ribbon
changes to a drawing tools ribbon. Remember you must have an object selected on the worksheet to access the Drawing Tools ta b.

Working with Text Boxes
Clicking on text within a box highlights that box with clear dots on each corner and side and a dotted border. Clear dots show a cursor so that text
can be edited. Clicking directly on the border of the box will turn the dots blue and the border solid. Blue dots are for selecting the entire box.

Moving Boxes
To move a box click on directly on the border, hold down the left mouse button and drag the box to the desired location. The box can also be
moved by clicking directly on the border and using the arrows on the keyboard to move the box up, down, left or right.

Copying Boxes
Left click directly on the border, hold the mouse down and drag the box to the desired location. Before releasing the left mouse button hold down
the Ctrl button on the keyboard. This is known as the Ctrl-Drag copy method.

Using Connectors
Use connectors to connect an object to another object. The connectors are located in the Insert tab in the Shapes drop-down menu. Click on the
Elbow Arrow Connector (the 5th item in the "Basics Shapes" section) to select.

Connect two objects by clicking and holding the left mouse button at the beginning connection point and then moving the cursor to the ending
connection point then releasing the mouse. The connector end is red when it is connected to a box and blue when it is not co nnected. The blue
end can be dragged to an object.

To insert multiple connectors, right click on the Elbow Arrow Connector icon from the Shapes drop-down menu and select Lock Drawing Mode. Left
click on the connector icon or press "Esc" to unlock.

Add to the Quick Access Toolbar The Elbow Arrow Connector can be added to the Quick Access Toolbar by right clicking anywhere on the Quick
Access Toolbar. Click on Customize Quick Access Toolbar to open a new window. From the vertical menu on the left side of the window click on
Customize. Click the drop down at the top of the window labeled Choose Commands From and select All Commands. Use the scrol l bar to move
down the alphabetical list to the Elbow Arrow Connector. Click on that connector then click the Add button in between the two columns. Click OK
to exit the window.

Selecting Multiple Objects
Hold down the shift key and left click on the each object you wish to add to the selection. This multiple selection using the shift key works for
selecting any object including lines.

Moving Boxes in a Straight Line
When moving a box hold down the shift key to move the box only at 90-degree angles: left, right, up or down. The shift button also works to copy
something in a straight line such as with the Ctrl-Drag copy method . This is the Shift-Ctrl-Drag method.

Aligning Boxes
Boxes can be aligned by moving them using the mouse or the arrows on the keyboard . Boxes can also be aligned by selecting t wo or more boxes
using the shift key and clicking on the Drawing Toolbar. From the fourth group (Arrange), click on the Align drop-down menu. You can align objects
horizontally to the left, center, or right, and vertically to the top, middle, or bottom. Align uses the extreme edge of the selected boxes for the
chosen alignment. Note: only use the shift key to select and align the boxes. Using the arrow cursor to select boxes and connectors will disconnect
the connectors from the boxes.

Zooming in and out
You can zoom in and out by selecting View on the menu bar and picking from the zoom options in the third group (Zoom). Or, y ou can use the
zoom counter in the bottom right corner of the screen.

If you have a wheel on your mouse, you can also zoom by holding the Ctrl key down as the wheel is moved forward or backward. The wheel on the
mouse can be set to zoom rather than scroll by right clicking anywhere on the Quick Access Toolbar. Select Customize Quick Access Toolbar. Click
Advanced from the vertical menu on the left side of the window that opens. The first section inside of Advanced is called Editing Options. The
eighth choice down is Zoom on roll with IntelliMouse. Check this box and hit OK at the bottom of the window.

Cause Map Examples
Fire Fuel
Heat
Oxygen
AND
AND
Stress exceeds
strength
Strength
Stress applied
AND Fracture
X was added to
tank
Overfilled tank
Tank had a
available
capacity of Y
AND
Strained muscle
in back
Impact to
Safety
Goal
Lifted box from
floor to table
Why ? Why ?
Sorting old
records
3-Whys
5-Whys
Parallel Causes (a split)
This Cause Map shows how one effect
can require more than one cause.
Printer is not
functioning
Out of paper ?
Paper jam ?
Toner cartridge
empty ?
OR
OR
No power ?
OR
Strained muscle
in back
Impact to
Safety
Goal
Force on muscle
in back
Lifted box from
floor to table
Sorting old
records
Lifted with back
(not legs)
AND
Why ?
Cause Map
COULD
Failure Modes