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Corrective Action

Problem Solving
Carol Kurtz
CJ Kurtz & Associates LLC

CJ Kurtz & Associates LLC

Trainer: Carol Kurtz


American Society for Quality (ASQ)
Certified

Quality Engineer
Certified Quality Auditor
Certified Quality Manager
Certified Mechanical Inspector

20+ years of Quality & Manufacturing


Experience

CJ Kurtz & Associates LL

Course Objectives
Understand

8D Corrective Action &


Problem Process
Identify and Use Tools for Each 8D
Process Step
Understand Vocabulary & Principles
Compare to Other Fact Based Problem
Solving Methods

CJ Kurtz & Associates LL

Corrective Action
Action

to eliminate the cause of a


detected nonconformity.
Action to protect the customer from
receiving or using nonconforming
product.
Corrective action is taken to prevent
recurrence.

CJ Kurtz & Associates LL

Problem Solving
Problem

Solving: Typically involves a


methodology of clarifying the description
of the problem, analyzing causes,
identifying alternatives, assessing each
alternative, choosing one, implementing
it, and evaluating whether the problem
was solved or not.
8D, PDCA, DMAIC (du-may-ic)
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Corrective Action Origins

The origins of the 8-D system


actually goes back many
years.
The US Government first
standardized the system in
Mil-Std-1520 Corrective
Action and Disposition
System for Nonconforming
Material
Mil-Std-1520 - First released:
1974
Last Revision was C of 1986
Cancelled in 1995
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What is 8D?
8D

means Eight Disciplines


It is a methodology used for solving
problems
8D also refers to the form that is used to
document the problem and resolution
Also

called 8-D Report


Corrective Action Report
EW8D Report East-West-8D
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Why 8D?
8D

is a structured approach to solving


problems
Fact Based

Data Collection & Analysis

Tests

progress and results

Verify & Validate

Documented

History An information database


Anticipate future problems
Prevent recurrence

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8D Corrective Action

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Six Sigma DMAIC

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Plan Do Check Act - PDCA

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Some Vocabulary
Problem

Effect

Symptom

Cause

Concern

Special

Root

Problem
Failure Mode

Cause
Common Cause
Root Cause

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Verification & Validation


Verification and Validation are often not
well understood. Verification and Validation
work together as a sort of before
(Verification) and after (Validation) proof.
Verification

provides insurance at a point in


time that the action will do what it is intended
to do without causing another problem.
Predictive.
Validation provides measurable evidence
over time that the action worked properly.
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Verification & Validation

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Structure of a Problem
Determining

the structure of a problem


assists in the selection of the correct
tools to use.
It may give clues to the nature of the root
causes.

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Structure of a Problem

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Structure of a Problem

(continued)

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Structure of a Problem

(continued)

Sometimes we experience positive changes


that need to be investigated so that processes
and products may be improved.

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Classifying Problems
Correctly

categorizing and classifying a


problem precedes any problem solving
effort.
Ensures proper methods and tools are
selected.
If not done, wasted time and effort may
occur and wrong solutions may be
implemented.
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Classifying Problems Type I


Plant

Floor Problems

Rapid response is needed


Usually have discernable root causes
Usually require less data collection and analysis
Usually can be solved by local experts
Usually gradual or sudden problem structures
Special causes
Specific problem requiring Problem Analysis
8D methodology applies

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Classifying Problems Type II


Technical

Problems

Permanent corrective actions are needed


Usually have difficult to discern root causes
Usually require more data collection and analysis
Usually require some technical expertise to solve
May be any problem structure
Special Causes
Specific problem requiring Problem Analysis
8D methodology applies

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Classifying Problems Type III

Process Improvement

Major systemic fixes needed


Multiple causes and effects
May require data collection and analysis
May need systems thinking to solve
Usually requires process owners involvement
Common cause problem
Structures include startup and positive. Others may apply.
Broad problems requiring a Situation Analysis
Quality Improvement Projects, Continual Improvement
Projects or other methodologies apply.

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Problem Solving Tools

Trend Chart
Control Chart
Pareto Chart
Brainstorm
Checksheet
Histogram
Nominal Group
Technique
Five Whys
Computer Aided
Engineering
APQP

Situation Analysis
Flowchart
Failure Analysis
Database
Decision Analysis
Action Plan
Root Cause Analysis
Cause & Effect Diagram
Scatter Diagram
Design of Experiments
Poka Yoke
Preventive Action Matrix

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Problem Solving Tools


Tool
Trend Chart

Purpose
8D Step
Indicator to track magnitude of D1 D2 D3 D4 D5 D6
symptoms
D7 D8

Pareto Chart

Quantifier to prioritize and


subdivide the problems

D2 D8

Paynter Chart

Indicator to monitor and


validate the problems

D2 D3 D6 D8

Repeated Why

Method to move from symptom


D2
to problem description

Process to find root cause


Information Database using Is/Is Not, Differences,
Changes
Decision Making
Action Plan
EW8D

D2 D4 D5 D6

Method to choose best action


D3 D5
from among alternatives
Record of assignments,
responsibilities and timing
Report of problem solving
process for management
review

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D1 D2 D3 D4 D5 D6
D7 D8
D1 D2 D3 D4 D5 D6
D7 D8

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Problem Solving Tools Quiz


Trend Charts
Pareto
Analysis

RACRoot Cause
Analysis

Problem
Solving
Tools

?
RACRoot Cause
Analysis

Pareto
Analysis

?
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D0: Recognize the Symptoms


Detect

the problem!

Nonconforming

Product
Out of Control Conditions on Charts
Rework
Trend Charts
What others?

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D0: Recognize the Symptoms


Here?

Or Here?

Supplier
In
Tran
sit

Or Here?

Or Here?

In-Process

Inventory /
Shipping

Company
Receiving /
Inventory

Or Here?

Or Here?

Or Here?
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In
Tran
sit

Or Here?

Customer

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D0: Recognize the Symptoms


Trend Chart
A line graph plotting data over time.
Use to observe behavior over time
Provides a baseline and visual examination of
trends
No statistical analysis
Look for trends and patterns
Ask Why?
Good for operations/processes where data for
control charts is not available
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D0: Recognize the Symptoms


Trend Chart
Average Hours Worked Per Employee (3rd shift)
45
44
43
42
41
40
39
38
37
36
35
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Change shift starting times
New entrance opened.
Task group established.

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D0: Recognize the Symptoms


Nonconforming

Product
Out of Control Conditions on Charts
Rework
Trend Charts
What others?

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D0: Recognize the Symptoms


Control Chart
A line graph of a quality characteristic
that has been measured over time
Based

on sample averages or individual


samples
Includes statistically determined Control
Limits.
Requires certain assumptions and
interpretation

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Interpreting Control Charts


Control Charts provide information as to whether a process is being influenced by
Chance causes or Special causes. A process is said to be in Statistical Control
when all Special causes of variation have been removed and only Common
causes remain. This is evidenced on a Control Chart by the absence of points
beyond the Control Limits and by the absence of Non-Random Patterns or Trends
within the Control Limits. A process in Statistical Control indicates that production is
representative of the best the process can achieve with the materials, tools and
equipment provided. Further process improvement can only be made by reducing
variation due to Common causes, which generally means management taking action
to improve the system.
Upper Control Limit
Average
Lower Control Limit

A. Most points are near the center line.


B. A few points are near the control limit.
C. No points (or only a rare point) are beyond the Control Limits.

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Interpreting Control Charts


When Special causes of variation are affecting a process and making it unstable
and unreliable, the process is said to be Out Of Control. Special causes of variation
can be identified and eliminated thus improving the capability of the process and
quality of the product. Generally, Special causes can be eliminated by action from
someone directly connected with the process.
The following are some of the more common Out of Control patterns:
Change To
Machine Made
Tool Broke
Tool Wear?
Upper Control Limit
Average
Lower Control Limit

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Interpreting Control Charts


Points Outside of Limits
Upper Control Limit

Average

Lower Control Limit

Trends

A run of 7 intervals up or down is a sign of an out of control trend.

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Interpreting Control Charts


Run of 7 ABOVE the Line

A Run of 7 successive points above or below the center line is an out of control condition.

Run of 7 BELOW the line

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Interpreting Control Charts


Systematic Variables

Predictable, Repeatable Patterns


Cycles

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Interpreting Control Charts


Freaks

Sudden, Unpredictable
Instability

Large Fluctuations, Erratic Up and Down Movements

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Interpreting Control Charts


Mixtures

Unusual Number of Points Near Control Limits (Different Machines?)

Sudden Shift in Level

Typically Indicates a Change in the System or Process

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Interpreting Control Charts

Stratification

Constant, Small Fluctuations Near the Center of the Chart

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Control Chart Analysis Reaction


There is a wide range of non-random patterns that require action. When
the presence of a special cause is suspected, the following actions should
be taken (subject to local instructions).

1. CHECK
Check that all calculations and plots have been accurately completed,
including those for control limits and means. When using variable charts,
check that the pair (x bar, and R bar) are consistent. When satisfied that
the data is accurate, act immediately.

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Control Chart Analysis Reaction


2. INVESTIGATE
Investigate the process operation to determine the cause.
Use tools such as:
Brainstorming
Cause and Effect
Pareto Analysis
Your investigation should cover issues such as:
The method and tools for measurement
The staff involved (to identify any training needs
Time series, such as staff changes on particular days of the week
Changes in material
Machine wear and maintenance
Mixed samples from different people or machines
Incorrect data, mistakenly or otherwise
Changes in the environment (humidity etc.)

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Control Chart Analysis Reaction


3.ACT
Decide on appropriate action and implement it.
Identify on the control chart
The cause of the problem
The action taken
As far as possible,eliminate the possibility of the special cause happening
again.

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Control Chart Analysis Reaction


4. CONTINUE MONITORING
Plotting should continue against the existing limits
The effects of the process intervention should become visible. If not, it should
be investigated.
Where control chart analysis highlights an improvement in performance, the
effect should be researched in order that:
Its operation can become integral to the process
Its application can be applied to other processes where appropriate
Control limits should be recalculated when out of control periods for which
special causes have been found have been eliminated from the process.
The control limits are recalculated excluding the data plotted for the out of
control period. A suitable sample size is also necessary.
On completion of the recalculation, you will need to check that all plots lie
within the new limits
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D0: Recognize the Symptoms


Other Indicators
Customer

Concerns & Issues


Warranty Data
Quality Reports
Product Quality Planning

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D1: Establish the Team


Establish

a small group of people with


the knowledge, time, authority and skill
to solve the problem and implement
corrective actions. The group selects a
team leader.

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D1: Establish the Team


The 8D Team Members
Cross

Functional or Multi-Disciplinary
Process Owner
Technical Expert
Others involved in the containment,
analysis, correction and prevention of
the problem

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D1: Establish the Team


Team Roles

Several roles need to be established for the team. These roles are: Leader,
Champion, Record Keeper (Recorder), Participants and (if needed)
Facilitator.

Leader
Group member who ensures the group performs its duties and
responsibilities. Spokesperson, calls meetings, establishes meeting
time/duration and sets/directs agenda. Day-to-day authority, responsible for
overall coordination and assists the team in setting goals and objectives.

Participants

Record Keeper
Writes and publishes minutes.

Respect each others ideas.


Keep an open mind.

Champion
Guide, direct, motivate, train,
coach, advocate to upper
management.

Be receptive to consensus decision


making.
Understand assignments and accept
them willingly.

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D1: Establish the Team


Problem Solver Characteristics
Persistent
Intuitive

(supported by mechanical aptitude)


Logic & discipline
Common sense
Ability to balance priorities
Ownership
Inquisitive and willing
Creative and open minded
Needs proof & facts
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D1: Establish the Team


Effective Team Characteristics
Leadership
Clearly

define goals
Clearly defined responsibilities
Trust & Respect
Authority
Positive Atmosphere
Good two way communication
Effective action plan with timing
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D1: Establish the Team


Management Responsibility
Provide

time and resouces


Provide mentoring
Understand need for change
Recognize accomplishments & team
process

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D1: Establish the Team


Brainstorming
Generate

a great number of possible


solutions to a problem
Use to avoid conventional or in-the-box
thinking
Overcome mental blocks, inspire
creativity
Take advantage of team synergy
Ideas from different perspectives
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D1: Establish the Team


Team Check List

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D2: Problem Description


Describe

the problem in measurable


terms. Specify the internal or external
customer problem by describing it in
specific terms.

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D2: Problem Description


Problem Statement
Problem

statement =
Object + concern + quantification
Example:

20% of Tuesdays first shift production of


end cap #3245A have a to crack at
the lower left corner of the strain relief hole.

Remember:

A well defined problem is

half solved!
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D2: Problem Description


Five Whys

A technique for stepping through successive layers of


symptoms to find the root problem statement.
Go to the point of occurrence of the problem (gemba)
Begin asking Why?
Using a flowchart, track back from symptom to
symptom until you find:

The root cause


A level where permanent corrective action can be
implemented
A point where Why? can no longer be answered

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D2: Problem Description


Flowchart
A picture of a
process using
symbols and arrows
to represent
sequence of the
steps.

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D2: Problem Description


Situation Analysis
Tool

used to break broad problems into


smaller prioritized pieces to attack one at
a time.
Many problem solving efforts start with
large, messy, poorly defined, unforcused
issues.
This method is detailed in the book The
New Rational Manager by Kepner &
Tregoe
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D2: Problem Description


Pareto Analysis
A Pareto chart offers the following benefits:
Focuses on the problems or causes of
problems that have the greatest impact
Displays the relative significance of
problems or problem causes in a simple,
quick-to-interpret, visual format
Can be used repeatedly to produce
continuous improvements
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D2: Problem Description


Pareto Analysis
Ball Lifting
Cause

Frequency

Percent
(%)

Cum Percent
(%)

Bonder Set-up
Issues

19

38%

38%

Unetched Glass
on Bond
Pad

11

22%

60%

Foreign Contam
on Bond
Pad

18%

78%

Excessive Probe
Damage

6%

84%

Silicon Dust on
Bond Pad

4%

88%

Corrosion

2%

90%

Bond Pad Peel-off

2%

92%

Cratering

2%

94%

Resin Bleed-out

2%

96%

Others

4%

100%

Total

50

100%

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D2: Problem Description


Paynter Chart
This

chart is combination of Trend and


Pareto charts.
Provides information on actions taken
and shows effects.
Can be modified for Returns, Scrap,
Rework, etc.

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D2: Problem Description


Paynter Chart

Average Hours Worked Per Employee (3rd shift)


45
44
43
42
41
40
39
38
37
36
35
Jan Feb Mar Apr May Jun Jul Aug Sep Oc t Nov Dec
Change shift starting times
New entranc e opened.
Task group established.

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D2: Problem Description


Information Database
A tool

for organizing all data about a


problem into four categories: What,
Where, When, Extent.
Used for Problem Analysis
Detailed in The New Rational Manager
by Kepner/Tregoe

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D2: Problem Description


Information Database

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D2: Problem Description


Checksheet
Checksheets

are simple and effective


method of gathering information
on the job.
Ensures consistency of data collected.
Simplifies data collection and analysis.
Highlights trends.
Spots problems.
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D2: Problem Description


Checksheet
Part Defect Checksheet

Part Number 621532-B


Date

12-16-04

Defect

1st Shift

2nd Shift

3rd Shift

Totals

Nicks

22

14

41

Missing holes

Missing screws

12

Totals

31

18

54

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D2: Problem Description


Histogram
Chart

using bars of varying height to


show frequency distribution of some
characteristic.
Use for problem recognition, problem
definition, data analysis, and validation
of corrective actions.
Visually evaluate spread, centering,
capability.
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D2: Problem Description


Histogram

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D3: Containment
Define

and implement those


intermediate actions that will protect the
customer from the problem until
permanent corrective action is
implemented.
Verify with data the effectiveness of
these actions.

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D3: Containment
Contain Symptom Flow
Immediate Containment
with Current
Information and
Problem Description

Stop Defect at Each


Point in the Process
Back to the Source

Determine
Escape Point

Validate that Action


Taken is Fully Effective

Choose
Verify Before
Implement
Certify parts and Confirm
Customer Dissatisfaction
No Longer Exists
Should an existing check (control)
have caught the defect?
Validate After Implementation

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D3: Containment
Objectives

The objective of this step is to isolate the effects of the problem


by implementing containment actions.
Once a problem has been described, immediate actions are to be
taken to isolate the problem from the customer. In many cases
the customer must be notified of the problem.
These actions are typically Band-aid fixes.
Common containment actions include:

100% sorting of components


Items inspected before shipment
Parts purchased from a supplier rather than manufactured inhouse
Tooling changed more frequently
Single source
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D3: Containment
Containment Action Checksheet
Containment Action Checksheet

Yes

No

Has immediate containment action been taken to protect the customer?


Has the concern been stopped at each point in the process back to the source?
Have you verified that the action taken is FULLY effective?
Have you certified that parts no longer have the symptom?
Have you specially identified the 'certified' parts?
Have you validated the containment action?
Is data being collected in a form that will validate the effectiveness of the containment
action?
Has baseline data been collected for comparison?
Are responsibilities clear for all actions?
Have you ensured that implementation of the containment action will not create other
problems?
Have you coordinated the action plan with the customer?

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D4: Determine Root Causes


Identify

potential causes which could


explain why the problem occurred.
Test each potential cause against the
problem description and data.
Identify alternative corrective actions to
eliminate root cause.

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D4: Determine Root Causes


Root

Cause of Event (Occur or Occurrence)


What system allowed for the event to occur?

Root

Cause of Escape
What system allowed for the event to escape
without detection?

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D4: Determine Root Causes


Root Cause Analysis 5 Whys
The

5 why's refers to the practice of


asking, five times, why a failure has
occurred in order to get to the root
cause/causes of the problem.
There can be more than one cause to a
problem as well.
This root cause analysis is often done by
a team with knowledge the problem
process or item.
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D4: Determine Root Causes


Root Cause Analysis
Process

of analyzing is & is not pairs


of information for differences and
changes that lead to root cause

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D4: Determine Root Causes


Root Cause Analysis
Is

Is Not

What:
Object

Heavy traffic

Defect

Late Employees

Where:
Seen on object

I-70 Expressway

Seen geographically

East bound I-70 near Main Street

When:
First seen

July 7, 1996

When else seen

Ever since

When seen in process (life cycle)

Afternoon

How Big:
How many objects have the defect?

Third shift (4:00PM)

How many defects per object?

Once per day

What is the trend?

Increasing --> SPECIAL CAUSE!

Enhanced Problem Description -->

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D4: Determine Root Causes


Cause & Effect Diagram

Shows the relationship of causes and sub-causes to


an identified effect or problem. Clearly identify the
problem or effect to be diagrammed in the box at the
right
Draw the fishbone structure
Identify the major categories, factors, the causes
related to the effect.
Brainstorm, or note the causes of the problem that fall
within each of the major categories.
Each branch may have sub-branches, or sub-subbranches
As ideas are generated determine which branch of the
"bone" they should be placed
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D4: Determine Root Causes


Cause & Effect Diagram

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D4: Determine Root Causes


Scatter Diagram

Scatter diagrams are used to study possible


relationships between two variables. Although these
diagrams cannot prove that one variable causes the
other, they do indicate the existence of a relationship,
as well as the strength of that relationship.
A scatter diagram is composed of a horizontal axis
containing the measured values of one variable and a
vertical axis representing the measurements of the
other variable.
The purpose of the scatter diagram is to display what
happens to one variables when another variable is
changed. The diagram is used to test a theory that the
two variables are related. The type of relationship that
exits is indicated by the slope of the diagram.
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D4: Determine Root Causes


Scatter Diagram

Strongly correlated
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D4: Determine Root Causes


Scatter Diagram

Moderately correlated
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D4: Determine Root Causes


Scatter Diagram

No Correlation
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D4: Determine Root Causes


Design of Experiments - DOE
Shanins

Red X Component Search


Taguchis Methods
Classical Design of Experiments

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D5: Select & Verify CA


After

root causes and possible corrective


actions have been identified, select the
corrective actions that will permanently
correct the problem.
Decision analysis may be needed if the
choice is not obvious.
Verify that the selected corrective
actions will resolve the problem.
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D5: Select & Verify CA


Poka Yoke
Poka Yoke Devices
Are

Built within the Process


In General Have Low Cost
Have the Capacity for 100%
Inspection
Remember SQC is performed outside the
process which adds cost and allows defects
to escape the system.
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D5: Select & Verify CA


Poka Yoke
Interference Fit
Poka Yoke

Orientation
Poka Yoke

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D5: Select & Verify CA


Poka Yoke
Floppy disks
have many
poka-yokes built
in. One example
is you cannot
insert the disk
into the drive
completely if the
disk is upside
down. This is
because of the
corner notch
[#1].

1
6

Spring loaded
shutter
mechanism - Do
you remember
the old 5.25 inch
floppies from the
early to mid1980s? Failsafe
disk surface
protection [#4].
Slide Tab to
protect against
erasure.
Mechanism
senses [#5].

720k disks have


no hole [#2]
while HD disks
Precision alignment. Disk alignment holes and notches [#6] ensure the disk is
have hole
properly aligned and also provides a focus area for manufacturing.
(mechanism
senses)[#3].

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D5: Select & Verify CA


Poka Yoke
Computer Files

New lawn mowers are


required to have a
safety bar on the
handle that must be
pulled back in order to
start the engine. If you
let go of the safety bar,
the mower blade stops
in 3 seconds or less.
This is an adaptation of
the "dead man switch"
from railroad
locomotives.

Microsoft: File type


identified by file
name suffix. If one
does not add the
correct suffix, the
program the file is
from will not
recognize it.
Macintosh Poka
Yoke (1984): File
type and creator
application are
identified and
embedded in the first
part of every file. File
name plays NO part
in recognition by the
originating program.

Computer Floppy
Drives
Microsoft: Disk must
be inserted and ejected
by hand. It is possible
to eject a disk while it is
being written to.
Macintosh Poka Yoke
(1984): Disk drive grabs
disk as it is being
inserted and draws it in
and seats it. Disk
cannot be manually
ejected. You must drag
the desktop icon for
the disk to the Trash.
The drive then ejects
the disk as long as
there are no disk
operations taking place.

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Warning lights alert the


driver of potential
problems. These
devices employ a
warning method
instead of a control
method.

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D5: Select & Verify CA


Corrective Action Check List

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D6: Implement & Validate CA


Implementation

can proceed when best


corrective action has been selected &
verified.
An effective implementation plan
reduces problems.
Validation is obtained by tracking
performance over time after
implementation to ensure the corrections
are permanent.
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D6: Implement & Validate CA


Implementation Check List
Implement CA & Validate Over Time

Yes

No

Has the implementation plan been constructed to reflect Product


Development Process events and engineering change process?
Do the corrective actions make sense in relation to the cycle plan for the
products?
Have both Design and Process FMEAs been reviewed and revised as
required?
Have significant / safety / critical characteristics been reviewed and identified
for variable data analysis?
Do control plans include a reaction plan?
Is simultaneous engineering used to develop process sheets and
implement manufacturing change?
Is the Paynter Chart in place for validating data?

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D7: Prevent System Recurrence


Implement

the corrective actions in other


potentially affected areas.
Ensure the systems that allowed the
problem to occur and escape have been
corrected.
The problem is now Type III requiring a
larger scale continual improvement
project of some type.
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D7: Prevent System Recurrence


Prevent System Problems Check List

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D8: Congratulate the Team


Recognize

the collective efforts of your


team. Publicize your achievement.
Share your knowledge and learning.

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D8: Congratulate the Team


Congratulate The Team Checksheet

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References

http://elsmar.com/
http://www.isixsigma.com/spotlight/default.asp
http://www.isixsigma.com/dictionary/glossary.asp
http://www.asq.org/learn-about-quality/
Prince Corp, Corrective Action Manual
The New Rational Manager, Kepner & Tregoe
http://deming.eng.clemson.edu/pub/tutorials/
http://www.qualityspctools.com/menu.html
Ford Team Oriented Problem Solving
http://www.cjkurtz.com/qualitytools.htm

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