INTRODUCTION TO PROBLEM SOLVING

A problem can be defined in one of three ways. The first being, anything that is a deviation from
the standard. The second could be the gap between the actual condition and the desired
condition. With the third being an unfilled customer need.
In order to best clarify the problem, you have to see the problem with your own eyes. This gives
you the details and hands-on experience that will allow you to move forward in the process.
To solve a problem, you must first determine what the problem actually is. You may think you
know, but you need to check it out. Sometimes, it is easy to focus on symptoms, not causes. You
use a rational approach to determine what the problem is.

“Problem is an undesirable event” or Any Gap between what is expected and what is obtained,
can be called as a Problem, and any effort to reduce this gap can be called as “Problem Solving”.

Problem Solving is the process of isolation and analysis of a problem and the development of a
permanent solution which is an integral part of the quality-improvement process”.

 There are many problem solving tools and approaches that are all effective if used properly. QC
story is one of the methodologies of problem solving. It is a tool that has its roots in TQM (Total
Quality Management), starts from the general principle of continuous improvement - PDCA. It is
also a tool of TQM (Total Quality Management), which is intended to solve problems in a
structured way.

QC story is based on the principle of PDCA(plan-do-check-act) and has seven stages:

1. Identify and select theme/problem.

“What kinds of problems do we have and how do we improve them?”

2. Grasping Status and Goal Setting.

Where do things stand today? What specific outcomes are required?

3. Establishment of Activity Plan

Based on the data acquired in the second stage, the members establish an activity
plan, according to the 5W1H concept. In this concept, five W questions and one
H question are addressed. The members decide the issues to be tackled (what),
the rationale for tackling them (why), the detailed time scheduling of the program
(when), and the place and resource allocation (where, and who and how).

4.Analyze causes of a problem

What are the root cause(s) of the problem?

Choose the simplest problem -analysis tool that clearly shows the cause- and- effect relationship.

~1~
5. Examine countermeasures and their implementation

After causes are identified, countermeasures are examined, evaluated, and

selected.

What is your proposal to reach the future state, the target condition?

How will your recommended counter measures the root cause(s) to achieve the target?

6. Assess effectiveness of the solution.

Then an assessment is carried out to see whether the impediments have been
overcome or to what extent the initial objectives have been met.

7.Standardize and sustain operation

Finally after effective methods are identified, they are standardized and made a
permanent part of daily operations.

7 Stages of the QC Story 1. Theme Selection

2. Grasping Status
7. Standardization andand Goal Setting sustain operation

Establishment of Activity Plan

A P Cause Analysis

6. Assessment of Effectiveness
C D
5. Examination of Countermeasures and Their Implementation

Try again!

~2~
 LEARNING OUTCOME ONE

INFORMATION-SHEET-1 IDENTIFY AND SELECT THEME/PROBLEM

Introduction

At the first stage, members select a theme from among the problems in the workplace—a theme
concerning problems for which they think solutions would be most beneficial. This is to provide
clear vision on the objectives for the activity. Members ask themselves, “What kinds of problems
do we have and how do we improve them?” A process consists of activities carried out to
complete a job. Suppose that we know a process has a problem, but do not know exactly which
part of the process causes the problem, and to what extent. The QC cannot study all of the
activities of its work section simultaneously, so it has to focus on the most critical part of the
process which is called a theme.

A theme could be on: - improving a process, Prevention of a loss, Elimination of waste,

Prevention of overuse (eg fuel, explosives etc.) , Prevention of breakdowns ,Improving
efficiency of equipments, Utilization of scraps , Utilization of unused/under used manpower ,
Prevention of rework ,Power saving, Reduction of Idle machine hours & Man hours ,Cycle time
reduction of any process ,Improvement in layout ,Reduction in unproductive movements
,Improving resource sharing , Improving work place discipline, Improving critical manpower
availability and Any other mine specific problem.

1.1. Following Safety requirements in accordance with safety plans and procedures.

As an employer, it is your responsibility to maintain a safe and healthy workplace. A safety and
health management system, or safety program, can help you focus your efforts at improving your
work environment. Whatever you call it, your plan describes what the people in your
organization do to prevent injuries and illnesses at your workplace. Your organization will have
its own unique system, reflecting your way of doing business the hazards of your work, and how
you manage the safety and health of your employees.

The main goal of a safety program is to prevent workplace deaths and injuries, as well as the
serious consequences that these events can cause for workers, their families, and employers.
Organizations with a strong safety culture that have established comprehensive safety programs,
effectively act on them, and monitor their progress are the winners when it comes to workplace
safety.

The workplace is full of many types of health and safety hazards, and exposure to these hazards
can be harmful, and sometimes fatal, to employees. Occupational Safety and Health

~3~
Administration (OSHA) mandates employers to adhere to regulated workplace safety
requirements to eliminate hazards and maintain a safe, accident-free workplace.

Therefore Work should be carried out in accordance with legislative obligations, environmental
legislations, relevant health regulation, and manual handling procedure and organization
insurance requirements

Safety Plans
An OSHA Safety Plan is a written document that describes the process for identifying the
physical and health hazards that could harm workers, procedures to prevent accidents, and steps
to take when accidents occur. The written safety plan is your blueprint for keeping workers safe.
Many organizations compile their activity-specific safety plans into a single safety manual.

Basic Safety Plan Elements

OSHA recommends that each written plan include the following basic elements:

Policy or goals statement

List of responsible persons
Hazard identification
Hazard controls and safe practices
Emergency and accident response
Employee training and communication
Recordkeeping

Safety Procedure
Definition - What does Safety Procedure mean?

A safety procedure is a step by step plan of how to perform a work procedure. This is used in
cases where deviation from the procedure could lead to injury or accident. The safety procedure
is a document that is put together by groups within the organization, and is used as a template
when performing a particular task on the job.

1.2. Listing all possible problems related to the process /Kaizen elements using
statistical tools and techniques.

Improvements through Kaizen have a process focus. Kaizen generates process-oriented

thinking, and is directed at people's efforts. Rather than identifying employees as
the problem, Kaizen emphasizes that the process is the target and employees can

~4~
 provide improvements by understanding how their jobs fit into the process and changing it.
Therefore listing all possible problems related to the process /Kaizen elements (Quality, cost
, productivity, delivery, safety, environment, and gender equality) using statistical tools and
techniques are important to bring continuous improvement in the business operation in
particular as well as in the organization in general.

Problem Solving tools and techniques (Seven QC Tools and QCC Techniques)

QC Circles need a well-defined process for collecting facts and data that help them to understand
situations in real time and develop countermeasures (implemented through the following PDCA
management cycle or the QC Story) to address problems and prevent them from recurring. QC
tools and QCC techniques, weapons to help QC Circles make decisions that allow them to
properly follow the QC Story, are not only powerful but also imperative.

In other words, it is impossible for QCC members to follow the QC Story without proper QC
tools.

Problem Solving tools and techniques includes:

7 QC tools (Statistical tools) include:Stratification, Pareto Diagram ,Cause and Effect
Diagram , Check Sheet , Control Chart/Graph ,Histogram and Scatter Diagram
QCC techniques include:Brain storming ,Why analysis, What if analysis and 5W1H
IE tools and techniques

A.7 QC tools (Statistical tools)

The seven QC tools are used to collect, summarize, and analyze data (quantitative and
qualitative), whereas basic techniques such as brainstorming, the why-why approach, affinity
diagrams, 5S, 3Mu, 5W1H, and 4M1E are used to assist members to think creatively.

(1). Stratification; - Stratification means to “divide the whole into smaller portions according to
certain criteria.” In case of quality control, stratification generally means to divide data into
several groups according to common factors or tendencies (e.g., type of defect and cause of
defect).

The objective of stratification is to grasp a problem or to analyze its causes by looking at

Possible and understandable factors or items. Collected data of a single population is divided—
by time, workforce, machinery, working methods, raw materials, and so on—into a number of
stratums (or layers) to find some latent characteristics among the data—be they the same or
similar.

~5~
 Number of Units

X ★★★★★★★

Y △△△△

Z ○○○

(2) Pareto Diagrams; - Pareto analysis is a tool which is used to prioritise problems in a rank
order so that resources can be focused on ‘vital few’ causes rather than the ‘trivial many’ factors
which give rise to a problem. A Pareto diagram is a form of bar chart with the items arranged in
descending order so that you can identify the highest contributing factors to a problem. Each
column on the chart depicts a problem and the diagram portrays the problems in descending
order of importance. It is developed based on the principle that 20% of the causes have 80% of
the impact

P areto Diagra
Pareto Diagramm
(N o. of O c c u rren ce s)

(3). Cause and Effect Diagrams:-This is also known as a fishbone or Ishikawa diagram. It is a
graphic way of stating the symptom of a problem (effect) and then listing the possible reasons
(causes) for the problem. The diagram is constructed while the problem is being brainstormed
and it is later analyzed to identify the most likely cause. It is useful to identify different causes
affect a given problem.
E ffe c t

Cause
Cause and
and Effect
Effect
Diagram
Diagram
Machine Man

Material Method

Cause (4M’s) Result

(Controlled State)

~6~
(4). Graphs:- A graph is a tool used to present an area of interest in visual form. There are
various types of graphs, and the most common are bar graphs, line graphs, and pie charts.

A graph is an effective means to monitor or judge the situation, allowing quick and precise
understanding of the current or actual situation.

A graph is a visual and summarized representation of data that need to be quickly and precisely
conveyed to others.

150 Line Graph

Pie chart
100
50 4th Qtr 1st Qtr
13% 13%
0 2nd
1st 2nd 3rd 4th 3rd Qtr
57%
Qtr
17%
Qtr Qtr Qtr Qtr

(5) Check sheets: - Check sheet are forms used to collect data in an organized manner. They are
used to validate problems or causes or to check progress during implementation of solutions.
Check sheets can come in different shapes and sizes, and Circle members must be able to design
them to suit their needs.

A check sheet is “a sheet designed in advance to allow easy collection and aggregation of data.”
By just entering check marks on a check sheet, data can be collected to extract necessary
information, or a thorough inspection can be performed in an efficient manner, eliminating a
possibility of skipping any of the required inspection items.

A check sheet is also effective in performing stratification (categorization).

A check sheet used to identify defects

~7~
 Date
Total
Defect
Vertical Scratch

Scratch

Dent

(6). Histograms:- This is a vertical bar chart which shows the distribution of data in terms of the
frequency of occurrence of specific data. Circle members may be taught to interpret the meaning
of various shaped histograms’. When creating a histogram, “a range of data is divided into
smaller sections having a uniform span, and the number of data contained in each section (the
number of occurrences) is counted to develop a frequency distribution table.” Then, “a graph is
formed from this table by using vertical bars, each having the height proportional to the number
of occurrences in each section

A histogram is mainly used to analyze a process by examining the location of the mean value in
the graph or degree of variations, to find a problem point that needs to be improved.

Histogram
Histogram
Standard
Range

X Axis (Values
Actually
Range of Measured)
Variations

(7) Scatter Diagrams:- A scatter diagram is used to “examine the relationship between the two,
paired, interrelated data types,” such as “height and weight of a person.” A scatter diagram
provides a means to find whether or not these two data types are interrelated. It is also utilized to
determine how closely they are related to identify a problem point that should be controlled or
improved.

~8~
 A b r a s io n
Scatter Diagram
ｙ Axis

x Axis
Number of
Rotations

QC Techniques.

In addition to their use of the seven QC tools, QC Circles are strongly recommended to use other
problem-solving and idea generation techniques such as brainstorming, the why-why approach,
affinity diagrams, 5S, 3Mu, 5W1H, and 4M1E to aid them in their QC implementation.

A. Brainstorming: - The purpose of brainstorming is to bring everyone's ideas out. No

evaluation is permitted during brainstorming and since there are no restraints a large
number of ideas on a problem are generated by the members. Wild ideas are not safe to
offer since neither criticism nor ridicule is permitted. These original ideas which are all
recorded for later analysis create enthusiasm
B. Why-Why approach: - This is a technique which is systematic and probing form of
questioning designed to get to the root causes and effects in a problem solving solution.
It is the simple tool used by the team /observer to find out the cause of the
problem/Accident/ Breakdown at the Workplace. Many times, the root cause of the
problem can be identified by asking Why 5 times and the repetition of such problems can
be prevented by taking countermeasure immediately.
C. What-If Analysis: - It is the simple Proactive tool used by the team / observer, to
identify problems before hand and take appropriate counter measures to prevent such
problems.
D. Affinity Diagram:- An affinity diagram is a tool to clarify the nature of an uncertain
problem or chaotic event by coordinating ideas and obtaining concepts through the
integration of relevant verbalized data on the basis of affinity
E. 5S Concept: - 5S is considered the basis for continuous quality and productivity
improvements and it represents good housekeeping concepts. Good housekeeping and
workplace organization are directly linked to achieving discipline in workplace and even
in office environments. Bad housekeeping problems in terms of production control,
maintenance, quality assurance, and layout will lead to a disorganized workplace. In
contrast, good housekeeping and workplace organization will result in better compliance
with schedules, fewer machine breakdowns, lower accident rates, and prompt exposure of
problem areas.

~9~
 F. 3Mu Elimination Approach:- The term 3Mu stands for three elements—Muda
(wastefulness), muri (excessiveness or overburden) and Mura (unevenness or dispersion)
—that should be eliminated to raise efficiency in the workplace
G. 5W1H:- 5W1H signifies six words that begin questions that are needed to be
answered in order to describe a fact correctly: what, when, where, who, why, and how.
QC people are recommended to follow and ask these questions in order to grasp the facts
without any omission.
H. 4M1E:- 4M1E stands for the five elements needed in production (man, machine,
materials, method, and environment). Four words start with the letter m, and one with e,
thus it is called 4M1E. This is often used as a method of stratification in cause and effect
diagrams.
Industrial Engineering (IE )Tools and Techniques

DEFINITION OF INDUSTRIAL ENGINEERING (IE)

Industrial Engineering is concerned with the design, improvement, and installation of

integrated systems of men, materials, and equipment. It draws upon specialized knowledge and
skill in the mathematical, physical, and social sciences, together with the principles and methods
of engineering analysis and design, to specify, predict, and evaluate the results to be obtained
from such systems.

The Industrial Engineering function highlights working with people to do things better, faster,
safer, and help the company save money and stay competitive. They figure out how to do things
better and engineer processes and systems that improve quality and productivity. Industrial
Engineers make significant contributions to furniture manufacturing companies by saving money
while, at the same time, making the workplace better for fellow workers.

1.3. Identifying all possible problems related to kaizen elements and listing on Visual
Management Board/Kaizen Board.

Problems Identification

It is the stage which involves detecting and recognizing that there is a problem; identifying the
nature of the problem; defining the problem. Improvement begins with the admission that every
organization has problems, which provide opportunities for change. It evolves around continuous
improvement involving everyone in the organization and largely depends on cross-functional
teams that can be empowered to challenge the status quo.

Visual Management Board/Kaizen Board

A Kaizen board is a communication tool which serves as a communication medium between

the lean team, process engineers and all stakeholders in the production process or business
regarding the application of problem solving , potential problems and lean manufacturing

~ 10 ~
techniques in Kaizen initiatives. It is a communication medium in both ways as it allows plant
workers and process operators to communicate possible causes and solution for issues being
addressed as part of the kaizen/continuous improvement process. Usually the Kaizen board will
relate to a section of the plant or a specific problem or issues being addressed. 
There are many ways to organize a kaizen board, none of which are the correct way of doing so.
The layout of the kaizen board will depend on the nature of the process, the scope of the kaizen
initiatives, stakeholders involved. 

Visual Management is a foundational Lean concept focused on making goals and actual results
visible so that they can be solved.

Employees also need visual displays to:

 Show what is expected from them.

• Research shows that people tend to learn and process information more visually.
 Keep them informed about production status and customer needs.
 Ideally, everyone should be able to assess the status of a situation at a glance.

1.4. Classifying Problems based on obviousness of cause and action.

Problem Defined

A problem is simply the difference between what you have and what you want. It may be a
matter of getting something, of getting rid of something, of avoiding something, or of getting to
know what you want.

Implement processes to report and classify problems that have been identified as part of incident
management. The steps involved in problem classification are similar to the steps in classifying
incidents; they are to determine category, impact, urgency and priority. Categorize problems as
appropriate into related groups or domains. These groups may match the organisational
responsibilities of the user and customer base, and should be the basis for allocating problems to
support staff.

Four Types of Problems

A. Known, solution requires just → action. 

~ 11 ~
 Most of the problems in life stem from one cause: we can't get ourselves to take action.
It's not that we don't know what to do. The problem is getting ourselves to follow
through, overcome procrastination and resistance to change and just do it. Can be solved
by adopting the → right  mindset and → self-motivation
B. Known, solution requires additional expertise. 
Requires for its solution more information, or a better technique for handling information,
or additional skills, or different → attitude. Can be solved by vertical and systematic
thinking
C. Known, solution requires new approaches, reframing, and → creative thinking.
Requires no new information but → reframing or rearrangement of information already
available: an insight restructuring.1 This type of problems requires changing → positions
as well as lateral and outside-the-box thinking for their solution. The best approach
is →turning problems into opportunities
D. Unknown, need to be identified. The problem is to realize that there is a problem,
that things → can be improved and define this realization as a problem. Dealing with this
type of hidden problems requires challenging assumptions, asking if?
“questions, benchmarking, and cross-pollination of ideas.

1.5.Selecting Critical factors of problem.

A process to deliver products or services consists of activities carried out to complete a job.
Suppose that we know a process has a problem, but do not know exactly which part of the
process causes the problem, and to what extent. The QC Circle cannot study all of the activities
of its work section simultaneously, so it has to focus on the most critical part of the process,
which is determined by factors like the number of customers affected, potentials for bottlenecks,
the number of complaints, and so on. If the most critical part of the process is not obvious, then
the QC Circle can use a matrix diagram to arrive at a decision.

Selecting the critical factors of problems likes the number of customers affected,
Potentials for bottlenecks, and number of complaints etc. is important for solving
problem effectively.
1.6.Problems related to priorities of Kaizen Elements are given due emphasis and
selected.
Prioritize the problems:

If you discover that you are looking at several related problems, then prioritize which ones you
should address first.

Note the difference between "important" and "urgent" problems. Often, what we consider to be
important problems to consider are really just urgent problems. Important problems deserve
more attention. For example, if you're continually answering "urgent" phone calls, then you've

~ 12 ~
probably got a more "important" problem and that's to design a system that screens and
prioritizes your phone calls.

LEARNING OUTCOME TWO

INFORMATION-SHEET-2 GRASP CURRENT STATUS AND SET GOAL

Introduction

After a theme is selected, members try to understand the current situation of the problem. They
list all of the possible problems related to the process, use data to validate that the “problems” are
indeed problems, select the priority problem, and again use data to define the extent of this
problem. The main objective of these steps is to gather information and grasp the status of the
problem so that members can establish a detailed set of goals. List all possible problems related
to the process. Brainstorming can be used to get each member’s ideas as to what problems exist
in the workshop / organization. Not everything identified will necessarily be a problem so at the
end of the brainstorming session, the QC must determine whether each idea is a problem or is a
cause of a problem. Anything negative about the input is a cause of a problem; and anything
negative about the output is a problem.

2.1.Defining the extent of the problem.

The problem definition should describe and provide evidence of the nature and scale of the
problem. You should identify the actors, sectors and social groups that are primarily affected by
it. You should explain why it is a problem, why the existing or evolving situation is not
sustainable, and why public intervention may be necessary.

The extent of the problem must be defined in quantifiable terms (e.g., from Jan to March 2017,
10% production loss occurred due to frequent break down of conveyer belt or agro ecological
problem). This is a very important step because it establishes the baseline data and it will be used
later as a reference in measuring improvement generated by the Circle.

2.2.Setting Appropriate and achievable goal

Goals are the desired ends that direct our efforts. It is a motivating force that keeps us with our
action towards the positive outcomes.

Goal setting is the process of deciding what you want to accomplish and devising a plan to
achieve the result you desire. For entrepreneurs, goal setting is an important part of business
planning.

Golden Rules of Goal Setting

~ 13 ~
Set Goals that motivate you: - When you set goals for yourself, it is important that they
motivate you: this means making sure that they are important to you, and that there is value in
achieving them. Motivation is a key to achieving goals.

Set SMART Goals: - You have probably heard of SMART goals  already. But do you always
apply the rule? The simple fact is that for goals to be powerful, they should be designed to be
SMART.

Set Goals in Writing: - The physical act of writing down a goal makes it real and tangible. You
have no excuse for forgetting about it. As you write, use the word "will" instead of "would like
to" or "might." For example, "I will reduce my operating expenses by 10 percent this year," not
"I would like to reduce my operating expenses by 10 percent this year." The first goal statement
has power and you can "see" yourself reducing expenses, the second lacks passion and gives you
an excuse if you get sidetracked.

Make an Action Plan: - This step is often missed in the process of goal setting. You get so
focused on the outcome that you forget to plan all of the steps that are needed along the way. By
writing out the individual steps, and then crossing each one off as you complete it, you'll realize
that you are making progress towards your ultimate goal.

Stick with It: - Remember, goal setting is an ongoing activity not just a means to an end. Build
in reminders to keep yourself on track, and make regular time-slots available to review your
goals. Make sure the relevance, value, and necessity remain high.
Goal setting involves the development of an action plan designed to motivate and guide a person
or group toward a goal. Goal setting can be guided by goal-setting criteria (or rules) such
as SMART criteria. Goal setting is a major component of personal-
development and management literature.

Developing sound goals is critical to managing your own and your employees’ performance.
Each year you will ask your employees to set goals for the upcoming year/evaluation
period. When you ask your employees to write their goals, teach them to create
S.M.A.R.T. goals that support your own goals for the same period.
An S.M.A.R.T. goal is defined as one that is specific, measurable, achievable, results-
focused, and time bound.
Below is a definition of each of the S.M.A.R.T. goal criteria.
Specific: Goals should be simplistically written and clearly define what you are going to do.
Specific is the What, Why, and How of the S.M.A.R.T. model.
Example: By August 1, 2009, implement a new performance management system for
academic Staff and administrative staff using clearly defined processes and guidelines so
employees and managers can more competently evaluate performance and develop their
careers.
Explanation of Example:

~ 14 ~
“Implement a new performance management system for academic Staff and administrative
Staff” = what
“using clearly defined processes and guidelines” = how
“so employees and managers can competently evaluate performance and develop their
careers = why
Measurable: Goals should be measurable so that you have tangible evidence that you have
accomplished the goal. Usually, the entire goal statement is a measure for the project, but
there are usually several short-term or smaller measurements built into the goal.
Example: By August 1, 2009, implement a new performance management system for
academic Staff and administrative staff using clearly defined processes and guidelines so
employees and managers can more competently evaluate performance and develop their
careers.
Explanation of Example: The essential metric is whether or not the system is operational by
August 1st.
Achievable: Goals should be achievable; they should stretch you slightly so you feel
challenged, but defined well enough so that you can achieve them. You must possess the
appropriate knowledge, skills, and abilities needed to achieve the goal.
You can meet most any goal when you plan your steps wisely and establish a timeframe that
allows you to carry out those steps. As you carry out the steps, you can achieve goals that
may have seemed impossible when you started. On the other hand, if a goal is impossible
to achieve, you may not even try to accomplish it. Achievable goals motivate employees.
Impossible goals demotivate them.
Example: By August 1, 2009, implement a new performance management system for
academic Staff and administrative staff using clearly defined processes and guidelines so
employees and managers can more competently evaluate performance and develop their
careers.
Explanation of Example: In order for you to reach this goal, you must have a skill set, in
this case in the area of performance management, that allows you to understand the
nature of the goal, and the goal must present a large enough challenge for you to remain
interested in and committed to accomplishing it.
Results-focused: Goals should measure outcomes, not activities.
Example: By August 1, 2009, implement a new performance management system for
academic Staff and administrative staff using clearly defined processes and guidelines so
employees and managers can more competently evaluate performance and develop their
careers.
Explanation of Example: The result of this goal is a process that allows employees and
managers to more competently evaluate performance and develop their careers, not the
individual activities and actions that occur in order to make the goal a reality.
Time-bound: Goals should be linked to a timeframe that creates a practical sense of urgency,
or results in tension between the current reality and the vision of the goal. Without such
tension, the goal is unlikely to produce a relevant outcome.
~ 15 ~
 Example: By August 1, 2009, implement a new performance management system for
academic Staff and administrative staff using clearly defined processes and guidelines so
employees and managers can more competently evaluate performance and develop their
careers.
Explanation of Example: August 1, 2009 provides you with a time-bound deadline.
The concept of writing S.M.A.R.T. goals is very important for accomplishing individual
goals, which in turn are linked to department, division, and organization goals. It is also
critical for ensuring good communication between employees and supervisors so there
are no surprises during annual performance evaluations.
The following questionnaire will assist you in creating S.M.A.R.T. goals. Begin by writing
your goal as clearly and concisely as possible. Then answer the related questions.
Conclude by revising your goal, in the space allotted.
S.M.A.R.T. Goal Questionnaire
Goal:______________________________________________________________________
_________________________
Specific. What will the goal accomplish? How and why will it be accomplished?
________________________________________________________________________
___________________________________________________________
Measurable. How will you measure whether or not the goal has been reached (list at least
two indicators)?
_____________________________________________________________
Achievable. Is it possible? Have others done it successfully? Do you have the necessary
knowledge, skills, abilities, and resources to accomplish the goal? Will meeting the goal
challenge you without defeating you?
___________________________________________________________________________
Results-focused. What is the reason, purpose, or benefit of accomplishing the goal? What is
the result (not activities leading up to the result) of the goal?
___________________________________________________________________________
Time-bound. What is the established completion date and does that completion date create a
practical sense of urgency?
_________________________________________________________________________
Revised
Goal________________________________________________________________

LEARNING OUTCOME THREE

INFORMATION-SHEET-3 ESTABLISH ACTIVITY PLAN

Introduction

~ 16 ~
Based on the data acquired in the second stage, the members establish an activity plan, according
to the 5W1H concept. In this concept, five W questions and one H question are addressed. The
members decide the issues to be tackled (what), the rationale for tackling them (why), the
detailed time scheduling of the program (when), and the place and resource allocation (where,
and who and how).

3.1 Confirming the problem.

Brainstorming is based on opinion, so the ideas classified as problems must be confirmed with
data. The need to speak with facts rather than opinions has to be stressed because we all have
opinions and very often they are all different. This makes it very difficult for the Circle to arrive
at a decision and may lead to frustration. Check sheets and other forms are used for easy
collection, summarization, and analysis of data.
The key skills are the skills which are most commonly needed to succeed in a range of activities
– at work, in education and training and in everyday life. In developing the key skill of problem
solving, you will learn to use and adapt your skills confidently and effectively in a range of
settings and contexts.
Confirm you understand the given problem and identify ways to tackle it
Work with an appropriate person, such as your tutor or supervisor, to:
 check that you clearly understand the problem: – ask questions about the problem and
find out how it might affect you and other people
 check how you will know the problem has been solved: – ask your tutor or supervisor
about the results expected from tackling the problem
 come up with different ways of tackling the problem:
 learn about different methods for solving problems
 get ideas about what could be done by looking at similar problems
 Decide what could work for your problem.
Confirm what you will do and follow your plan for solving the problem
Work with an appropriate person, such as your tutor or supervisor, to:

 help decide how you will try to solve the problem by saying what you think and taking your
tutor or supervisor’s advice
 plan what you need to do: –
 identify how long it should take and any materials, tools and equipment you will need
 list your methods and steps for working through the problem
 check the rules for health and safety and how to use materials, tools and equipment
 identify what to do if things go wrong
 Follow your plan, making sure you work safely

~ 17 ~
  Use support given by your supervisor, or others named by your supervisor, to help you
tackle the problem.

Check if the problem has been solved and how to improve problem solving

Work with an appropriate person, such as your tutor or supervisor, to:

 make sure you understand how to use the methods you have been given for checking if the
problem has been solved
 use these methods as instructed
 identify clearly what went well and less well in tackling the problem: – describe what
happened, the order in which things happened, unexpected difficulties
 check what you need to do to improve your problem solving skills for each stage of the
process

3.2 Selecting High priority problem.

The choice of a high priority problem is based on the data collected. If data is not readily
available, the QC can use a matrix diagram to arrive at a high priority problem. Confirm the
problem. Once the problem has been selected and confirmed, the Circle makes a statement of the
problem.
Many problems are complex, involving a whole range of causes. For example, suppose the
problem is overspending in a department. There may be many items of expenditure that make up
the department budget. Some of these will be large, others trivial. Some may be easily cut back,
whilst others cannot be reduced. By identifying which items are capable of giving the greatest
reductions, and concentrating on them, best use may be made of the resources and time available.
Unfortunately for us, not many problems are so easily soluble as this example. However the
principle remains – we must spend our limited time wisely. It’s no use spending many days
solving a tiny problem of little consequence when there is a big problem to solve that demands a
good solution. This principle is often expressed as the 80/20 rule.
A prioritization matrix is a simple tool that provides a way to sort a diverse set of items into an
order of importance. It also identifies their relative importance by deriving a numerical value for
the priority of each item. The matrix provides a means for ranking projects (or project requests)
based on criteria that are determined to be important. This enables a department to see clearly
which projects are the most important to focus on first, and which, if any, could be put on hold or
discontinued.
3.3 Defining the extent of the problem.
The extent of the problem must be defined in quantifiable terms (e.g., from Jan to March 2012,
10% production loss occurred due to frequent break down of conveyer belt). This is a very

~ 18 ~
important step because it establishes the baseline data and it will be used later as a reference in
measuring improvement.

3.4 Establishing Activity plan as per 5W1H

An activity plan is a detailed plan outlining actions needed to reach one or more goals.

Alternatively, businessdictionary.com defines an action plan as a "sequence of steps that must be
taken, or activities that must be performed well, for a strategy to succeed"

Based on the data acquired in the second stage, the members establish an activity plan,
according to the 5W1H concept. In this concept, five W questions and one H question are
addressed. The members decide the issues to be tackled (what), the rationale for tackling them
(why), the detailed time scheduling of the program (when), and the place and resource
allocation (where, and who and how)
5W1H :
1. Who: person in charge
2. Why: objective
3. What: item to be implemented
4. Where: location
5. When: time frame
6. How: method
LEARNING OUTCOME FOUR

INFORMATION-SHEET-4 ANALYZE CAUSES OF A PROBLEM

Introduction
Cause Analysis: - The main objective of this stage is to confirm which measures can be taken
for what kinds of problems. After a theme is selected, the causes and effects of problems are to
be identified. This is the most important stage of the process, as it identifies the root causes of the
problems and shows what needs to be changed. In problem-solving processes, it is very
important that results are examined in line with causes, thus identifying the cause–effect
relationship. Members consider all possible causes of the problem and see if there is any
correlation among them. Then they use data to verify the causes, narrow these down to root

~ 19 ~
causes, and finally select the most critical root cause. They then consider all possible solutions to
eliminate the most critical root cause, select the best solution, and establish a detailed plan on
how to implement it.

4.1 Listing all possible causes of a problem.

The Circle brainstorms on the causes of the problem. A very important question in this step
begins with the word why. Why the breakdowns frequently occurred? Why are the orders
incorrectly served? The Circle members enumerate their answers to this question until they
have exhausted all possible causes.
4.2 Analyzing Cause relationships using 4M1E.
4M1E stands for the five elements needed in production (man, machine, materials, method, and
environment). Four words start with the letter m, and one with e, thus it is called 4M1E. This is
often used as a method of stratification in cause and effect diagrams. Sometimes this system is
referred to as 5M1E, with the fifth m representing either measurement (since data is obtained
through them) or money.
4.3 Identifying Causes of the problems.
The cause and effect diagram is a structured brainstorming, so it is also based on opinion. It is
necessary, therefore, to identify the causes using data.
A cause is valid if there is proof both that it occurs and that when it occurs, the problem exists.
For example, the Circle may say that one cause of serving something other than what a dining
customer ordered is that the order slip was not filled in correctly. To assert this, they have to
establish that there is a correlation between serving wrong orders and incorrectly filling out order
slips.
4.4 Selecting Root causes.
Root cause analysis (RCA) is a method of problem solving used for identifying the root
causes of problems. A factor is considered a root cause if removal thereof from the problem-
sequence prevents the final undesirable event from recurring; whereas a causal factor is one that
affects an event's outcome, but is not a root cause. 

Root cause" may be described as the point in a causal chain where applying a corrective action or
would prevent the problem from occurring.

Uses of root causes analysis

RCA is applied to methodically identify and correct the root causes of events, rather than to
simply address the symptomatic result.

~ 20 ~
RCA is typically used as a reactive method of identifying event(s) causes, revealing problems
and solving them. Analysis is done after an event has occurred.

Classification of RCA
RCA comprises many different tools, processes, and philosophies. However, several very-
broadly defined approaches can be identified by their basic approach or field of origin: safety-
based, production-based, assembly-based, process-based, failure-based, and systems-based.

1. Safety-based RCA arose from the fields of accident analysis and occupational safety and
health.
2. Production-based RCA has roots in the field of quality control for industrial manufacturing.
3. Process-based RCA, follow-on to production-based RCA, broadens the scope of RCA to
include business processes.
4. Failure-based RCA originates in the practice of failure analysis as employed
in engineering and maintenance.
5. Systems-based RCA has emerged as an amalgam of the preceding schools, incorporating
elements from other fields such as change management, risk management and systems
analysis.

From the valid causes, the QC selects the root causes. If there is a direct relationship between the
cause and the problem and this cause is seen repeatedly in the cause- and-effect diagram, then it
is a root cause
4.5 Selecting the root cause which is most directly related to the problem.
Among the root causes, the Circle selects the one that is most directly related to the
problem. Voting can be used to decide which root cause to work on.
4.6 Listing all possible ways using creative idea generation to eliminate the most critical
root cause.
Again the QC brainstorms to generate ideas from the members. The leader must be able to
challenge the members to be creative, to let go of their preconceptions. If a QC hits a mental
block—that is, it is not able to come up with ideas—it leaves the list where everyone can see it
(e.g., on a notice board in the workplace) and add new ideas easily. This helps provide a longer
list for consideration at the next meeting.
creative idea generation includes:
 Brainstorming
 Exploring and examining ideas in varied ways
 Elaborating and extrapolating
~ 21 ~
  Conceptualizing
4.7 Testing the suggested solutions and evaluating for potential complications.
The suggested solutions must be carefully evaluated and tested for potential complications. The
QC Circle can use matrix diagrams to select the best solution

4.8 Preparing Detailed summaries of the action plan to implement the suggested solution
The next step is for the QC Circle to flesh out the details on the implementation of the solution
by asking the question “How?” For each activity, someone is given responsibility and a
timetable. The details of the plan may be summarized in a Gantt chart.

LEARNING OUTCOME FIVE

INFORMATION-SHEET-5 EXAMINE COUNTER MEASURES AND THEIR

IMPLEMENTATION

Introduction
After causes are identified, countermeasures are examined, evaluated, and selected. This stage
aims both to correct the root causes and to establish the most effective measures to prevent the
reoccurrence of the problems. All the people concerned on the issue are gathered to discuss it,
considering factors such as effectiveness, cost, condition of restrictions, and impacts on the other
factors. Members then implement countermeasures in daily operations, according to the plan,
and monitor the results.

5.1 Implementing Action plan by medium KPT members.

~ 22 ~
The Circle is now ready to implement its action plans. Teamwork is very crucial in this step. The
solution may be a very good solution and the plans may be very detailed, but if not everyone
does their share of the work, the desired result may not be achieved.

Members then implement countermeasures in daily operations, according to the plan, and
monitor the results. Where ever approvals are needed the Leader process for approvals.

Writing a good action plan is one thing; implementing it is another. Institutional change
principles and methods can be incorporated into action plans (program design), but on-the-
ground implementation activities must also be conducted in a manner that is suitable to the
organizational context and the people in the roles being targeted.

Action plan implementation is about putting your plan into action. During this Step KPT allocate
resources, start to make changes, offer learning opportunities, and monitor actions. Using a team-
based approach to manage change and involving the whole organization community are ways of
encouraging understanding and commitment to new approaches.

Medium KPT Members include:

 5S
 4M (machine, method, material and man)
 4P (Policy, procedures, People and Plant)
 PDCA cycle

5.2. Monitoring activities and results

Implementation must be monitored according to the agreed procedure to check
both if the activities are implemented according to the plan and if the expected
results are observed. Actual implementation dates must be reflected against the
planned dates as seen in the Gantt chart.

A Gantt chart helps you view project activities with associated timescales and resources.
Stage

Target Resou
Task rce Activity by Weeks from the start of the project
(Meas
ure to
Sep -
Oct Nov Dec Jan - 09 Feb
08
1 1 1 1 1 1 1 1 2 2 2 2 2
1 2 3 4 5 6 7 8 9 10 11
2 3 4 5 6 7 8 9 0 1 2 3 4

~ 23 ~
 S

Explanation

The first column is the Stage that the particular item falls into in the No Delays Achiever improvement
project guide e.g. Start Out, Define etc

The Task and Target columns are linked, whereby the target is the measure used to indicate that the task
has been delivered. For example, the task may be ‘Feasibility Study’ and the associated target may be
‘Feasibility study analyzed and signed of by executive board’.

The Resource column maybe people and/or finance that is required to deliver the task.

Against these tasks the planned start date and finish date of the task is represented by an arrow. This does
not indicate how long the task will take but simply helps to identify if the delivery of it is on track. Falling
behind schedule can be represented by an additional red arrow. A task completed ahead of schedule may
be represented by making the arrow green.

The overall aim is that individuals within the project can get a quick visual picture of how the key tasks in
the project are progressing. This chart may be used on its own for simple projects or for projects that are
more complex it may be supplemented with more detailed project plans.

Monitoring and evaluation (M&E) is a process that helps improve performance and achieve
results. Its goal is to improve current and future management of outputs, outcomes and impact. It
is mainly used to assess the performance of projects, institutions and programs set up by
governments, international organizations and NGOs. It establishes links between the past, present
and future actions
The M&E is, as its name indicates, separated into two distinguished categories: evaluation and
monitoring.
Evaluation
An evaluation is a systematic and objective examination concerning the relevance, effectiveness,
efficiency and impact of activities in the light of specified objectives. The idea in evaluating
projects is to isolate errors not to repeat them and to underline and promote the successful
mechanisms for current and future projects.
An important goal of evaluation is to provide recommendations and lessons to the project
managers and implementation teams that have worked on the projects and for the ones that will
implement and work on similar projects.

~ 24 ~
Evaluations are also indirectly a means to report to the donor about the activities implemented. It
is a means to verify that the donated funds are being well managed and transparently spent. The
evaluators are supposed to check and analyze the budget lines and to report the findings in their
work.
Monitoring
Monitoring is a continuous assessment that aims at providing all stakeholders with early detailed
information on the progress or delay of the ongoing assessed activities.  It is an oversight of the
activity's implementation stage. Its purpose is to determine if the outputs, deliveries and
schedules planned have been reached so that action can be taken to correct the deficiencies as
quickly as possible.
Implementation must be monitored according to the agreed procedure to check both if the
activities are implemented according to the plan and if the expected results are observed. Actual
implementation dates must be reflected against the planned dates as seen in the Gantt chart.

LEARNING OUTCOME SEVEN

INFORMATION-SHEET-7 STANDARDIZE AND SUSTAIN OPERATION

Introduction
Finally after effective methods are identified, they are standardized and made a permanent part
of daily operations. Based on the standardization, members train the people concerned. Also,
new training manuals are created and disseminated among the people concerned, and evaluation
is carried out from time to time, aimed at ensuring that the process is maintained appropriately.
The last step in this stage is for the Circle to determine the next problem to tackle, which may be
chosen from the list generated in the beginning of the first QC Story.

7.1 Standardize solution

If the goal is achieved, the new procedure should be standardized. If the goal is not achieved,
then the QC Circle must retrace its steps, starting with analysis of the causes. Standardization
ensures that the solution stays permanent.

~ 25 ~
7.2 Train employees on the new SOP
If the work is done in more than one shift but the QC Circle members come from only one shift,
then all employees in the other shifts must be trained on the new SOP (Standardized Operational
Procedure). This way, the benefit from the new SOP is maximized.
A Standard Operating Procedure (SOP) is a set of written instructions that document a routine or
repetitive activity followed by an organization. The development and use of SOPs are an integral
part of a successful quality system as it provides individuals with the information to perform a
job properly, and facilitates consistency in the quality and integrity of a product or end-result.
Standard Operating Procedures (SOPs) include:
 The customer demand
 The most efficient work routine (steps)
 The cycle times required to complete work elements
 All process quality checks required to minimize defects/errors
 The exact amount of work in process required
7.3.Verifying and following SOP by all employees.
Like for any other SOP, monitoring is needed for this new one to see that everyone concerned is
adhering to it all the time. If they are not, then the reasons must be determined and
countermeasures must be put in place. Spot checks must be conducted from time to time.

SOPs detail the regularly recurring work processes that are to be conducted or followed within
an organization. They document the way activities are to be performed to facilitate consistent
conformance to technical and quality system requirements and to support data quality. They may
describe, for example, fundamental programmatic actions and technical actions such as
analytical processes, and processes for maintaining, calibrating, and using equipment. SOPs are
intended to be specific to the organization or facility whose activities are described and assist
that organization to maintain their quality control and quality assurance processes and ensure
compliance with governmental regulations.

If not written correctly, SOPs are of limited value. In addition, the best written SOPs will fail if
they are not followed. Therefore, the use of SOPs needs to be reviewed and re-enforced by
management, preferably the direct supervisor. Current copies of the SOPs also need to be readily

~ 26 ~
accessible for reference in the work areas of those individuals actually performing the activity,
either in hard copy or electronic format, otherwise SOPs serve little purpose.

7.3 Selecting the next problem to be tackled by the team.

The QC Circle activity does not end once the solution to one problem has been found, because
there are other problems in the workshop that have to be addressed. The Circle may choose to
solve the second most critical problem in their list of problems identified.
Thus the PDCA wheel continues to turn as the QC Circle looks for better ways to satisfy the
customer even better.

~ 27 ~