1. by Operational Excellence Consulting LLC
The A3 Problem Solving Process
by Operational Excellence Consulting LLC

2. General Objectives & Key Learning Points
The purpose of this workshop is to introduce you to the A3 Problem Solving Process and provide you and your team with an effective methodology and the basic tools to identify the underlying root cause(s) of a problem or process performance gap.
We will have a simple case study throughout the course so that you can apply and practice some of tools and the key learning points.
Learning Outcome:
Understanding the A3 Problem Solving Process & Thinking
Describe the purpose and objective of each phase of the A3 Problem Solving Process
Understand and apply key problem-solving tools in each phase of the A3 Problem Solving Process
Use of assessing questions at the end of each phase of the A3 Problem Solving Process

3. Basic Problem Solving Approach & Terminology
Symptom – A quantifiable event or effect, experienced by a Customer (internal & external), that may indicate the existence of one or more problems.
Problem – A deviation from an expectation or standard; a perceived gap between the existing state and a desired state. In the context of the A3 Problem Solving Process the cause(s) of the problem is not known.
Possible Cause – Any cause, identified for example through Brainstorming and a Fishbone Diagram, that describes how a Problem or Failure Mode effect may occur.
Most Likely Cause – A cause, identified based on available or collected data, that best explains the Problem Description or Failure Mode.
Root Cause – A verified cause that convincingly supports and explains ALL facts available and thus accounts for the problem; verified passively and actively, by making the problem come and go. Root causes are the fundamental, underlying reasons for a Problem or Failure Mode, e.g. management policies, product design, system design, process capabilities, technology constraints, unclear or wrong standard operating procedures, and human errors.

4. A3 Problem Solving Process – Overview
A3 refers to the paper format “A3” (11 × 17 inches or 297 × 420 millimeters)
The objective is to visualize the Problem Solving or Improvement Process on one page of A3 paper
There is no one fixed, absolute, correct template
It is about the thought process, not the form or template
An A3 tells the complete problem solving story, with a beginning, a middle and an end
Every A3 is a visual manifestation of a systematic and transparent problem solving thought process
As members of an organization become familiar with a specific format, they can focus easily on the problem to be solved
An A3 becomes the basis for reaching a shared understanding about how problems are solved and documented

5. When to use an A3 and when not to use an A3?
Don’t use an A3
Collaboration in solving the problem is required
You already know the root cause and maybe even the solution or countermeasure
You need to make your or someone else’s thought process ad reasoning more visible
You think you know the solution or countermeasure and others agree with your conclusions. You just need to test it
You have a knowledge gap and the A3 thought process may help you to close that gap
To force fit your work into a report to create another A3 or credit

6. Use A3 Thinking to coach Problem Solving
Project Area
Owner
What is the problem?
What does good look like?
What do we need to learn?
What actions will get us there and how do we know?
The A3 is a method to structure, capture, communicate, and coach.

7. The A3 Problem Solving Process
Project Area
Owner
Problem Statement & Background
Target Conditions & Goals & Targets
Current Conditions & Root Cause Analysis
Countermeasure & Implementation & Follow Up
The A3 is a method to structure, capture, communicate, and coach.

8. The A3 Problem Solving Process – Overview
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

9. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

10. “1. Background” Key Activities
Purpose: Describe the purpose and importance of this A3 and provide some fundamental background information. Develop a clear Problem Statement. If necessary, establish a small group of people with the process and/or product knowledge, allocated time, authority, and skills in the required technical disciplines to solve the problem and implement corrective actions.
Review the problem or process improvement opportunity
Review priorities, scope and complexity
Develop a Problem Statement
Identify if a team is needed
Identify team members and establish the team
Nominate a team leader and project champion

11. “1. Background” Checklist Questionnaire
The A3 Problem Statement:
The “5 Why’s” were used to asking questions “Do we know for certain why this is occurring?”
A final problem statement (or specific root cause) has been defined (object and defect) and documented?
The A3 Problem Solving Team:
Are the people affected by the problem represented?
Do the team members agree on membership?
Is the team large enough to include all necessary inputs, but small enough to act effectively?
Are the Champion, Team Leader and Facilitator identified?
Have all the roles and responsibilities been reviewed and are agreed upon?

12. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

13. “2. Current Conditions” Key Activities
Purpose: Describe the internal or external problem by identifying “what is wrong with what” and detailing the problem in quantifiable terms.
Determine whether this problem describes a “something changed” or a “never been there” situation
Develop a Problem Description using the “IS – IS NOT Matrix”
Develop a Process Flowchart, Value Stream Map or Spaghetti Diagram of the current process and identify critical process steps with respect to the Problem Description
Describe the current conditions based on data and facts collected from the “Gemba”, the place where the work takes place.
Visualize the data and facts collected using the appropriate graphical tools.

14. “2. Current Conditions” Checklist Questionnaire
Problem Description:
Determination has been made as to whether this problem describes a “Change-Induced” or a “Day-One-Deviation” situation?
A thorough “IS – IS NOT” Analysis has been performed (what, where, when, how big) and documented?
A Process Flowchart, Value Stream Map or Spaghetti Diagram has been developed, documented and verified?
Process detail has been reviewed to determine where this problem first appears?
Problem pattern(s) has been considered / evaluated?
Similar components and/or parts have been reviewed for the same problem?
All required data has been collected and analyzed?

15. “2. Current Conditions” Checklist Questionnaire
Project Management:
The Project Champion has reviewed and supports the problem description (if applicable)?
Necessity of reviewing the problem with the Executive or Functional Management Team has been evaluated?
Consideration has been made for setting aside financial resources?
All required resources are part of the team or accessible to the team as required?
The A3 Problem Solving Process Worksheet has been updated?

16. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

17. “3. Goals & Targets” Key Activities
Purpose: Define the goals, targets and objectives for the A3 Problem Solving Project.
Set SMART goals and targets with respect to Quality, Time, and Cost
S = Specific
M = Measurable
A = Attainable
R = Realistic
T = Timely

18. “Goals & Targets” Checklist Questionnaire
Goals and Targets:
SMART goals and targets have been defined with respect to
Quality, Time, Cost
Goals and targets have been reviewed with and are approved by the Champion
Capable measurement systems have been defined and implement to measure the identified performance measures
Roles and responsibilities have been defined to collect and analyze the data for the defined performance measures
Project Management:
A3 Problem Solving Process Worksheet & Project Documentation has been updated?

19. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

20. “4. Root Cause Analysis” Key Activities
Purpose: Isolate and verify the root causes of the problem by testing each root cause theory against the Problem Description and test data. Isolate and verify the place in the process where the effect of the root cause could have been detected and contained but was not (escape point).
Develop a Fishbone Diagram or Affinity Diagram to identify possible and the most likely cause(s).
Establish any additional data collection plans needed to learn more about the problem and/or possible causes.
Isolate and verify the most likely cause(s) by testing each Root Cause Theory against the Problem Description and the collected data.
Isolate and verify the place in the process where the effect of the root cause could have been detected and contained but was not (escape point).

21. “4. Root Cause Analysis” Checklist Questionnaire
A Fishbone Diagram or an Affinity Diagram has been developed, documented and verified to identify possible causes?
Process detail has been reviewed to determine where this problem first appears?
All required data has been collected and analyzed? Problem pattern(s) has been considered / evaluated?
The root cause theories developed have been tested against each “IS” - “IS NOT” statement?
For multiple root causes, the causes were reviewed to determine if, collectively, they account for all of the problem description?
The root cause(s) was/were verified passively and actively?

22. “4. Root Cause Analysis” Checklist Questionnaire
Escape Points:
The process flow was reviewed and control points associated with the root cause(s) identified.
A determination was made as to the existence of a control system to detect the problem?
If a control system exists, changes from its original design (if any) have been identified?
Project Management:
The Project Champion has reviewed and supports the analysis, findings and conclusions?
A3 Problem Solving Process Worksheet & Project Documentation has been updated?

23. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

24. “5. Countermeasures” Key Activities
Purpose: Develop countermeasures to remove the root cause and improve the process. Address the escape point in the process. Visualize the future state. Verify that both decisions will be successful when implemented and not cause any undesirable effects.
Develop countermeasure(s) to remove the root cause(s) and to address the escape point(s)
Select the best countermeasure(s) to remove the root cause(s) and to address the escape point(s)
Verify that effectiveness of the selected countermeasure(s)
Visualize the future state after all countermeasures have been implemented
Verify that selected countermeasure(s) do not cause any undesirable effects

25. “5. Countermeasures” Checklist Questionnaire
Countermeasure or Solution Selection:
Criteria have been established for selecting countermeasures for root cause(s) and escape points?
Project Champion agrees with selection criteria?
The right experience is on the team to choose the best countermeasures?
Full range of alternative countermeasures have been considered?
The features and benefits for the perfect choice have been preserved?
A risk analysis was performed on the countermeasures selected?
All affected parties were consulted on the selected countermeasures ?
Consideration has been given to the resources required for the implementation and ongoing support or maintenance of the countermeasures ?

26. “5. Countermeasures” Checklist Questionnaire
Countermeasure or Solution Verification:
Evidence (proof) exists that these countermeasures will resolve the problems at the root cause level?
Variables measured during the verification step ensure sound verification?
Verification methods evaluated the countermeasures over the full range of operating conditions?
Project Management:
A3 Problem Solving Process Worksheet & Project Documentation has been updated?

27. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

28. “6. Implementation” Key Activities
Purpose: Implement the selected countermeasures and verify their effectiveness.
Implement the best countermeasure (s) to remove the root cause(s)
Implement the best countermeasure (s) to address the escape point(s)
Validate the effectiveness of the implemented countermeasures from the Customer perspective
Monitor the effectiveness of the implemented countermeasures and assure that they do not cause any undesirable effects

29. “6. Implementation” Checklist Questionnaire
Planning:
Need for countermeasure implementation support from other departments has been evaluated?
Consideration was made to the need of Customer and Supplier involvement?
An action plan has been defined (responsibilities, timelines, financial resources, support requirements, …)?
The plan has been communicated to those that have a need to know?
The Champion agrees with the plan?
Measurables have been identified for the validating the outcome of the countermeasures?

30. “6. Implementation” Checklist Questionnaire
Validation:
Validation measurables have been proven that the unwanted effect has been totally eliminated?
Long-term results are continuing to be monitored?
The Customer has provided confirmation that the countermeasures are effective?
Policies and/or procedures have been modified, documented and implemented to prevent recurrence of the root cause(s)?
Practices needing standardization have been identified, defined and implemented?
Project Management:
A3 Problem Solving Process Worksheet & Project Documentation has been updated?

31. The A3 Problem Solving Process
Background
Current Conditions
Goals & Targets
Root Cause Analysis
Countermeasures
Implementation
Follow Up 1 2 3 4 5 6 7

32. “7. Follow Up” Key Activities
Purpose: Modify the necessary systems, including policies, methods, and procedures, to prevent recurrence of the problem and similar ones.
Complete the team experience and sincerely recognize both team and individual contributions. Celebrate success and identify lessons learned.
Identify opportunities to improve and standardize systems, policies, methods and procedures for the present problem
Identify opportunities to improve and standardize systems, policies, methods and procedures for similar problems
Perform a final review of the problem solving project
Finalize and archive project documentation, and share key learning points
Recognize the team’s success and individual contributions

33. “7. Follow Up” Checklist Questionnaire
Reporting:
The A3 Problem Solving Worksheet has been updated and published?
All who need to know, including the Customer, have been informed of the status of this A3 Problem Solving project?
Recognition:
All current and past team members are being recognized?
Significant contributions by individual team members have been identified?
The team has appropriately celebrated?
Opportunities for team publicity has been considered?
Lessons Learned:
Team process has been evaluated and lessons learned identified, shared and implemented?

34. OPERATIONAL EXCELLENCE
“Perfection is not attainable, but if we chase perfection we can catch excellence.”
Vince Lombardi
OPERATIONAL EXCELLENCE
C O N S U L T I N G
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