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What is a Cause-and-Effect Diagram?


A Cause-and-Effect Diagram is a tool that helps identify, sort, and display possible causes of a specific problem or quality characteristic (Viewgraph 1). It graphically illustrates the relationship between a given outcome and all the factors that influence the outcome. This type of diagram is sometimes called an "Ishikawa diagram" because it was invented by Kaoru Ishikawa, or a "fishbone diagram" because of the way it looks.

When should a team use a Cause-And-Effect Diagram?


Constructing a Cause-and-Effect Diagram can help your team when you need to ! Id en tify t h e poss ib le r oo t c aus es, the basic reasons, for a specific effect, problem, or condition. ! So rt ou t and r el at e so m e o f t h e i n t er ac ti ons among the factors affecting a particular process or effect. ! An aly ze ex is ting p r ob lem s so that corrective action can be taken.

Why should we use a Cause-and-Effect Diagram?


A Cause-and-Effect Diagram is a tool that is useful for identifying and organizing the known or possible causes of quality, or the lack of it. The structure provided by the diagram helps team members think in a very systematic way. Some of the benefits of constructing a Cause-and-Effect Diagram (Viewgraphs 2) are that it ! Helps d et er m in e t h e root causes o f a p r ob l em or quality characteristic using a structured approach. ! Encou r ag es g r oup p artic ip ation and utilizes group knowledge of the process. ! Us es an o r d erl y , easy -t o -r ead f o r m at to diagram causeand-effect relationships. ! Ind ic at es poss ib le c aus es o f v ariation in a process. ! Inc r eas es kno w ledg e o f t h e p r oc ess by helping everyone to learn more about the factors at work and how they relate. ! Id en tifies ar eas wh er e d at a shou ld b e co llec t ed for further study.

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Wh at Is a Caus e-and -Effec t Diag ram ?


A graphic tool that helps identify,

sort, and display possible causes of a problem or quality characteristic.

CA USE-A ND-EFFECT DIA GRA M

VIEWGRAPH 1

B en efits o f Us ing a Caus e-and -Effec t Diag ram


Helps determine root causes Encourages group participation Uses an orderly, easy-to-read format Indicates possible causes of variation Increases process knowledge Identifies areas for collecting data

CA USE-A ND-EFFECT DIA GRA M

VIEWGRAPH 2

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How do we develop a Cause-and-Effect Diagram?


When you develop a Cause-and-Effect Diagram, you are constructing a structured, pictorial display of a list of causes organized to show their relationship to a specific effect. Viewgraph 3 shows the basic layout of a Cause-and-Effect Diagram. Notice that the diagram has a cause side and an effect side. The steps for constructing and analyzing a Cause-and-Effect Diagram are outlined below. St ep 1 - Id en tify and c learly d efin e t h e ou t co m e o r EFFECT t o b e an aly zed (Viewgraph 4). ! Decide on the effect to be examined. Effects are stated as particular quality characteristics, problems resulting from work, planning objectives, and the like. ! Use Operational Definitions. Develop an Operational Definition of the effect to ensure that it is clearly understood. ! Remember, an effect may be positive (an objective) or negative (a problem), depending upon the issue thats being discussed. > Using a positive effect which focuses on a desired outcome tends to foster pride and ownership over productive areas. This may lead to an upbeat atmosphere that encourages the participation of the group. When possible, it is preferable to phrase the effect in positive terms. > Focusing on a negative effect can sidetrack the team into justifying why the problem occurred and placing blame. However, it is sometimes easier for a team to focus on what causes a problem than what causes an excellent outcome. While you should be cautious about the fallout that can result from focusing on a negative effect, getting a team to concentrate on things that can go wrong may foster a more relaxed atmosphere and sometimes enhances group participation. You must decide which approach will work best with your group. NOTE: The EXA MPL E that is imbedded in the explanation of Cause-and-Effect Diagram construction and analysis on the next few pages is based on a chart in The Memory Jogger [Ref. 1, p. 28]. This diagram has been broken down into its component parts and expanded to illustrate the construction steps. Using this example, we will diagram the causes relating to a cars getting poor gas mileage.

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B as ic L ayou t of Caus e-and -Effec t Diag ram s


CA USE A CA USE C

EFFECT

CA USE B

CA USE D

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VIEWGRAPH 3

Step 1 - Id en tify and Defin e th e Effec t


Decide on the effect to examine Use Operational Definitions Phrase effect as > positive (an objective) or > negative (a problem)
CA USE-A ND-EFFECT DIA GRA M VIEWGRAPH 4

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B as ic Too ls f o r Pr oc ess Im p r ov em en t St ep 2 - Us ing a ch art p ack pos iti on ed so t h at ev er yon e c an s ee it , d r aw t h e SPINE and c r eat e t h e EFFECT box . ! Draw a horizontal arrow pointing to the right. This is the spine. ! To the right of the arrow, write a brief description of the effect or outcome which results from the process. EXA MPL E: The EFFECT is Poor Gas Mileage (Viewgraph 5). ! Draw a box around the description of the effect. St ep 3 - Id en tif y t h e m ai n CA USES con tri bu ti ng t o t h e eff ec t b ei ng s t ud i ed. These are the labels for the m ajo r b r anch es of your diagram and become c at ego ries under which to list the many causes related to those categories. ! Establish the main causes, or categories, under which other possible causes will be listed. You should use category labels that make sense for the diagram you are creating. Here are some commonly used categories: > 3Ms and P - methods, materials, machinery, and people > 4Ps - policies, procedures, people, and plant > Environment - a potentially significant fifth category ! Write the main categories your team has selected to the left of the effect box, some above the spine and some below it. ! Draw a box around each category label and use a diagonal line to form a branch connecting the box to the spine. EXA MPL E: Viewgraph 6 uses the 3Ms and P to start developing the diagram we began in Step 2.

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Step 2 - Fill in th e Effec t Box and Dr aw th e Sp in e


POOR GAS MILEA GE

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VIEWGRAPH 5

Step 3 - Id en tify Main Catego ries


METHODS MA CHINERY

POOR GA S MILEA GE

PEOPLE

MA TERIALS

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VIEWGRAPH 6

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B as ic Too ls f o r Pr oc ess Im p r ov em en t St ep 4 - Fo r each m aj o r b r anch , i d en tif y o t h er sp ec ifi c f ac t o r s wh i ch m ay b e t h e CA USES o f t h e EFFECT [Ref. 5, p. 20]. Identify as many causes or factors as possible and attach them as subbranches of the major branches. EXA MPL E: The possible CA USES for Poor Gas Mileage are listed under the appropriate categories in Viewgraph 7: Fill in detail for each cause. If a minor cause applies to more than one major cause, list it under both. St ep 5 - Id en tify inc r eas ing ly m o r e d et ailed lev els o f c aus es and con tinu e o r g an izing t h em und er r elat ed c aus es o r c at ego ries . You can do this by asking a s eri es o f why qu es tions . EXA MPL E: Well use a series of why questions to fill in the detailed levels for one of the causes listed under each of the main categories. Q : Why was the driver USING THE WRONG GEAR? A : The driver couldn't hear the engine. Q : Why couldn't the driver hear the engine? A : The r ad io w as t oo loud . A : Poo r h earing Q : Why were the TIRES UNDERINFLATED? A : No record of tire pressure A : Difficult air stems Q : Why were the air stems difficult? A : Poo r d es ign Q : Why was MAINTENANCE POOR? A : Lack of money A : No awareness Q : Why was WRONG OCTANE GAS used? A : Didnt know recommended octane Q : Why wasnt recommended octane known? A : No own er 's m anu al Viewgraph 8 shows how the diagram looks when all the contributing causes that were identified by the series of why questions have been filled in. As you can see, there may be many levels of causes contributing to the effect.

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Step 4 - Id en tify Caus es In flu enc ing th e Effec t


METHODS
USE WRONG GEARS CARBURETOR ADJUSTMENT IMPROPER POOR MAINTENANCE POOR DRIVING HABITS LUBRICATION WRONG OCTANE GAS

MA CHINERY
UNDERINFLATED TIRES

DRIVE TOO FAST

POOR GA S MILEA GE

PEOPLE

MA TERIALS
VIEWGRAPH 7

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Step 5 - Add Detailed Levels


METHODS

Step 6 - Analyze the Diagram


MACHINERY
USE WRONG GEARS POOR HEARING RADIO TOO LOUD FUEL MIX TOO RICH MECH. DOESNT KNOW CORRECT ADJUSTMENT PROCEDURES NO RECORD OF TIRE PRESSURE UNDERINFLATED TIRES POOR DESIGN

DRIVE TOO FAST ALWAYS LATE IMPATIENCE

CANT HEAR ENGINE POOR TRAINING

CARBURETOR ADJUSTMENT WRONG OCTANE GAS NO OWNERS MANUAL DONT KNOW RECOMMENDED OCTANE

DIFFICULT AIR STEMS

POOR GAS MILEAGE


$
IMPROPER LUBRICATION

POOR MAINTENANCE

$
NO AWARENESS

WHEN IN ROME

NO OIL CHANGE

POOR DRIVING HABITS

WRONG OIL

DONT KNOW RIGHT OIL NO OWNERS MANUAL

PEOPLE

MATERIALS

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 8

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B as ic Too ls f o r Pr oc ess Im p r ov em en t NOTE: You may need to break your diagram into smaller diagrams if one branch has too many subbranches. Any main cause (3Ms and P, 4Ps, or a category you have named) can be reworded into an effect. St ep 6 - A n aly ze t h e d iag r am. Analysis helps you identify causes that warrant further investigation. Since Cause-and-Effect Diagrams identify only poss ib le c aus es , you may want to use a Pareto Chart to help your team determine the cause to focus on first. Look at the balance of your diagram, checking for comparable levels of detail for most of the categories. > A thick cluster of items in one area may indicate a need for further study. > A main category having only a few specific causes may indicate a need for further identification of causes. > If several major branches have only a few subbranches, you may need to combine them under a single category. Look for causes that appear repeatedly. These may represent root causes. Look for what you can measure in each cause so you can quantify the effects of any changes you make. Most importantly, identify and circle the causes that you can take action on. EXA MPL E: Let's analyze the diagram we have been constructing. > The level of detail is pretty well balanced. > No causes are repeated. > Poor Maintenance appears to be a cause for which you could develop measurements. > Moreover, Poor Maintenance appears to be a cause that you can take action on. It is circled in Viewgraph 8 to earmark it for further investigation.

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How can we practice what weve learned?


Some practical exercises will enable your team to practice constructing and analyzing Cause-and-Effect Diagrams. The first exercise is sketched out in detail. When you have completed that, you can try your hand with one or two other topics from the list that follows the detailed exercise. DETA IL ED EXERCISE: Cons tr uc t a Caus e-and -Eff ec t Di ag r am t o i d en tif y t h e c aus es o f co m pu t er down tim e in you r o r g an ization . ! Draw a horizontal arrow to the right, write the effect (computer downtime), and draw a box around it. ! Identify the main causes contributing to the effect. ! Draw boxes around the main categories and connect the boxes to the horizontal arrow with diagonal arrows to form the fishbone. ! For each branch, identify specific factors which may be the causes of the effect. ! Add increasingly detailed levels of causes. ! Analyze the diagram and circle causes that you can take action on. Viewgraph 9 shows one way the completed diagram could be drawn. OTHER EXERCISE TOPICS: > What is causing the poor state of readiness of the fire control systems? > What is causing our ship to drag anchor in heavy weather? > What is causing us to fail our corrosion-control inspections? > What factors affect the proper disposal of recyclable material on the base? > What things do we need to consider in planning a perfect meeting? > What factors affect the flow of information within our organization? > What is causing the organization's vehicles to get poor gas mileage? > What factors contribute to slow prescription service at the pharmacy? > What will ensure that we have a successful unit Christmas party?

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Example of How the Cause-and-Effect Diagram Could Be Constructed for the Detailed Exercise SOFTWA RE
FAULTY DESIGN INADEQUATE DOCUMENTATION FAULTY INSTALLATION FAULTY MEDIA

USERS
LACK OF TRAINING ABUSE OF HARDWARE CORROSION MISAPPLICATION OF SOFTWARE MISUSE OF HARDWARE

COMPUTER DOWNTIME
MECHANICAL SHOCK TEMPERATURE GRADIENTS

FAULTY COMPONENT POWER FLUCTUATIONS

COMPONENT FAILURE HUMIDITY INADEQUATE POWER

HA RDWA RE
CA USE-A ND-EFFECT DIA GRA M

ENVIRONMENT
VIEWGRAPH 9

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REFERENCES :
1. Brassard, M. (1988). The Memory Jogger, A Pocket Guide of Tools for Continuous Improvement, pp. 24 - 29. Methuen, MA: GOAL/QPC. 2. Department of the Navy (November 1992). Fundamentals of Total Quality Leadership (Instructor Guide), pp. 6-25 - 6-29. San Diego, CA: Navy Personnel Research and Development Center. 3. Department of the Navy (September 1993). Systems Approach to Process Improvement (Instructor Guide), pp. 5-15 - 5-27. San Diego, CA: OUSN Total Quality Leadership Office and Navy Personnel Research and Development Center. 4. Department of the Navy (November 1992). Team Skills and Concepts (Instructor Guide), pp. 5-47 - 5-56. Washington, DC: OUSN Total Quality Leadership Office. 5. Ishikawa, Kaoru (1968). Guide to Quality Control. Tokyo, Japan: Asian Productivity Organization. 6. U.S. Air Force (Undated). Process Improvement Guide - Total Quality Tools for Teams and Individuals, p. 33. Air Force Electronic Systems Center, Air Force Materiel Command.

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Wh at Is a Caus e-and -Effec t Diag ram ?


A graphic tool that helps identify, sort, and display possible causes of a problem or quality characteristic.

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 1

B en efits o f Us ing a Caus e-and -Effec t Diag ram


Helps determine root causes Encourages group participation Uses an orderly, easy-to-read format Indicates possible causes of variation Increases process knowledge Identifies areas for collecting data

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 2

B as i c L ayou t of Caus e-and -Effec t Diag ram s


CA USE A CA USE C

EFFECT

CA USE B

CA USE D

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 3

St ep 1 - Id en tif y and Defi n e t h e Eff ec t


Decide on the effect to examine Use Operational Definitions Phrase effect as > positive (an objective) or > negative (a problem)
CAUSE-AND-EFFECT DIAGRAM VIEWGRAPH 4

St ep

2 - Fill i n Dr aw

th e th e

Eff ec Bo x and t Sp i n e
POOR GA S MIL EA GE

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 5

St ep 3 - Id en tif y Mai n Cat ego ri es


METHODS MACHINERY

POOR GAS MILEAGE

PEOPLE
CAUSE-AND-EFFECT DIAGRAM

MATERIALS
VIEWGRAPH 6

St ep 4 - Id en tif y Caus es In fl u enc i ng th e Effec t


METHODS
DRIVE TOO FAST USE WRONG GEARS CARBURETOR ADJUSTMENT IMPROPER POOR MAINTENANCE POOR DRIVING HABITS LUBRICATION WRONG OCTANE GAS

MA CHINERY
UNDERINFLATED TIRES

POOR GAS MILEAGE

PEOPLE MA TERIALS

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 7

METHODS

St ep 5 - Add Det ail ed L ev el s St ep 6 - An al y ze t h e Di ag r am


MACHINERY
USE WRONG GEARS FUEL MIX TOO RICH NO RECORD OF TIRE PRESSURE POOR HEARING RADIO TOO LOUD CANT HEAR UNDERINFLATED TIRES POOR DESIGN

DRIVE TOO FAST ALWAYS LATE IMPATIENCE

MECH. DOESNT KNOW CORRECT ADJUSTMENT PROCEDURES CARBURETOR ADJUSTMENT DIFFICULT AIR STEMS

POOR GAS MILEAGE


$
IMPROPER LUBRICATION DONT KNOW RIGHT OIL OIL MATERIALS WRONG NO OWNERS MANUAL

ENGINE POOR TRAINING

POOR MAINTENANCE

WRONG OCTANE GAS NO OWNERS MANUAL DONT KNOW RECOMMENDED OCTANE NO OIL CHANGE

$
NO AWARENESS

WHEN IN ROME

POOR DRIVING HABITS

PEOPLE

CAUSE-AND-EFFECT DIAGRAM

VIEWGRAPH 8

Example of How the Cause-and-Effect Diagram Could Be Constructed for the Detailed Exercise SOFTWA RE
FAULTY DESIGN INADEQUATE DOCUMENTATION FAULTY INSTALLATION FAULTY MEDIA

USERS
LACK OF TRAINING ABUSE OF HARDWARE CORROSION MISAPPLICATION OF SOFTWARE MISUSE OF HARDWARE

COMPUTER DOWNTIME
MECHANICAL SHOCK TEMPERATURE GRADIENTS

FAULTY COMPONENT POWER FLUCTUATIONS

COMPONENT FAILURE HUMIDITY INADEQUATE POWER

HA RDWA RE
CAUSE-AND-EFFECT DIAGRAM

ENVIRONMENT
VIEWGRAPH 9

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