Causal factor chart, what it is and how does it help to solve problems?

Find the causal factors of a problem with a causal factor chart.

When trying to solve a problem, it is critical to grasp the situation first. A causal factor chart is a tool that provides a structure to find the possible causes. After we understand what is happening, we will know where we need to look and what information to collect. This step is critical to finding the root cause of a problem or incident.

What is a causal factor chart?

This chart or map is a graphical description of the sequence of events leading to a loss situation or accident. It describes those events and the conditions associated with them.

Causal factors are elements that, if removed, would prevent the occurrence or reduce its severity. The causal factor charting process provides a structure to organize and analyze the information collected. It is efficient to find the causal factors of safety and environmental incidents, where the timeline of the events is critical.

Components of a causal factor chart

Incident investigation requires identifying the preceding events and conditions that cause the situation under study.  This chart has three components, the main event or incident, preceding events, and conditions.

The starting point of the diagram is the main event or situation under investigation. A loss event or incident is any situation where the outcome and the expected result are not equal. In other words, the result is different from the standard. The preceding events are the sequence of actions that happen before the incident. Accidents rarely result due to one single factor. Instead, it is a group of events such as shortcuts, mistakes, and omissions. All these events lead to the incident or loss event.

The third component, conditions

Those events occurred because a set of conditions facilitates their occurrence. Conditions are those things that create the circumstances or ideal surroundings for the incident to happen. Some examples are the weather, equipment state, or a person’s state of mind.

How do you build a causal factor chart? That is the subject of a future post, but first, let’s discuss the best practices to create them.

Ask without telling, the art of asking questions

To make good questions and help your team to develop their problem-solving skills, you need to know how to ask without telling.

One thing that everybody does every day is asking questions.  We ask questions to learn, clarify doubts, or obtain information.  As a leader, you ask questions to learn about a situation.  Also, you make questions to guide your team on their learning process.  However, are you asking or disguising your solutions as questions?  To promote a learning environment, leaders need to ask without telling.

Sometimes a leader needs to tell

Leaders have the responsibility to communicate, set direction, and provide a purpose.  To accomplish them, they tell information and share news or concerns with their team.  Moreover, there are times when they need to set direction.  Sometimes, there is a need to change a strategy or adjust a plan.  When that happens, the leader tells the group what the change is and why it is needed.  Also, how it will affect them and the new expectations.  During these situations, telling is the right thing to do.

Another responsibility of leadership is to teach and coach their team.   The objective is to transfer knowledge and create capabilities.  While facilitating the learning process, leaders tell new information.

Finally, sometimes leaders need to advise people.  It is common to share previous experiences or tell a story to illustrate a point.  If that is the case, say what you are trying to do, do not hide it behind questions.  The best leaders are humble and compassionate.  There is nothing wrong with showing your humanity by using past experiences to illustrate a point.

Why do you need to ask without telling?

A servant leader’s job is to develop more leaders by teaching, motivating, facilitating, and supporting the team.  By asking questions without telling, they promote learning.  Also, their team’s confidence in their ability to solve problems and create more value grows.  As their confidence grows, their participation in the improvement process grows as well. 

A critical step to change the culture is to empower the people.  While asking questions with respect, leaders guide them to find answers by themselves.  By allowing people to use their brains and participate in the daily management processes and innovation, they feel more engaged with their work and happier when they come back home.  

How can you ask without telling?  How to ask better questions?

When you ask questions that people can answer with a simple yes or no, they don’t put too much effort. Closed questions do not lead to engagement or promote thinking.  When you don’t receive answers, the next thing you do is telling people what to do.  On the other hand, with open questions, people need to think.  Use the 5W and 1H to ask questions.  That is, reframe your questions using who, what, where, when, why, and how.

To keep the brain’s wheels turning, ask one question at a time and give people time to think.  In general, we are not comfortable with silence.  Therefore, right after asking something, people jump to tell their answer.  To be successful in asking without telling, you will need to become comfortable with silence.

Sometimes it is easier to ask closed questions.  Therefore, you would need to stop and think about how to reframe it as an open question.  There are two questions that I used often.  The first one is, what makes you think that way? or ” What do you think we can do differently?”  The second question I often used is, “How do you think we can accomplish that? 

Ask without telling that is what we should do.

Contrary to common perception, leaders are not supposed to have all the answers.  However, very often, they have ideas or solutions to share with the team.  During those times, tell the group that you want to share something with them.  You can always tell people, here is a suggestion and then ask how they can improve it.  Do not hide answers using questions.  Let people think, promote learning and problem-solving skills.

By telling, leadership is not fulfilling their responsibility of teaching and coaching.  Once again, this is a stop-and-think situation.  Think about your idea, do you have any doubts about it?  What parts of it need fine-tuning?  Use your doubts or unknown parts to ask open questions.

A continuous improvement culture seeks to foster a learning environment.  Servant leaders teach, motivate, facilitate, and support their teams.  Show them that you care by helping them to develop their skills and grow.  Learning how to ask questions without telling is a way to achieve that.

Creativity, how do you boost it? Use and teach PDCA.

Creativity in the workplace is not used enough. Employees are used to following instructions, if they have a problem, they call the boss and wait for instructions.  When you start the continuous improvement journey, you will empower them to find solutions for their daily issues.  The first time you tell them that they will look at you with disbelief, and the next couple of weeks, and months they will wait for your change in opinion.

Creativity and PDCA

Why do they react that way?  First, because after years of not-thinking and waiting for others to solve some problems while they know the solutions seem unreal.  The second reason is fear of what can happen to them if they messed up.  But, by using PDCA and teaching them how to use it, you are going to help them to learn a standard way to solve problems.  PDCA is a guide, a standard of the thinking process to solve a problem.  

Developing trust in the creative process

By participating along with your team on the problem-solving process using PDCA, they learn and start to trust it. Your reaction when something does not go as planned is critical to the learning process. Most of the time, the first solution is not the right one. The way you react will determine whether they will take risks or not.

If the test fails, be honest, and acknowledge it. On the other hand, highlight the learning piece of it. By doing that, people will start to learn that it is ok to make mistakes. When you react by reflecting on the lessons learned and adjust the plan based on those learnings, they notice it and gain the confidence to do the same. By consistently follow that pattern, you will be developing trust, which is critical for a continuous improvement culture.

Boosting creativity

PDCA is not only the standard to solve problems, but a way to boost their creativity. It does it by unleashing ideas in a controlled test environment. Over time, they learn more about how to use the tool. More importantly, how to think without limits about new and creative ways to solve problems and improve their processes. When that happens, you will be the one in disbelief, asking yourself why you did not start doing this before.

What is the fishbone diagram? Problem-solving using the cause and effect analysis to find the root cause.

Problem-solving is the process of finding a solution to a problem.  ASQ defines problem-solving as the act of defining a problem; determining the cause of the problem; identifying, prioritizing, and selecting alternatives for a solution; and implementing a solution.  It sounds complicated, and it is complicated.  After all, we are looking for an often-elusive solution for complicated and recurrent problems.

There are various problem-solving methodologies, PDCA, DMAIC, 8D, and others.  The effectiveness of all of them depends on the definition of the problem and finding its root cause.  Tools like fishbone analysis, or the 5 Why facilitates the process to find the root cause.

Today, I will focus on the tool commonly known as the fishbone diagram, but it is also known as Ishikawa Analysis or Cause & Effect diagram.  The diagram looks like a fishbone, with the problem description at the head and five categories as bones attached to the fish backbone.  The categories are the five M’s; material, manning or personnel, method or process, measurements, machine, or equipment.  Some people add a sixth category, environment, or mother nature.

The steps to complete the Ishikawa analysis are the following.

  1. Define the problem.
  2. Identify the major factors or categories, you can use your categories, or some of the general categories indicated above.
  3. Brainstorm possible causes with the team
  4. For each cause identified, continue to ask “why” that happens and attach that information as another bone of the category branch. You can see an example in the fishbone above, in the category machine.
  5. Construct the actual diagram
  6. Analyze to find the most basic causes of the problem, look for causes that appear repeatedly.
  7. Reach team consensus

The goal of RCA is to identify one or two reasons, that, if corrected will reduce recurrence.  The rule of thumb is that if there are three or more root causes, you can assume the root cause has not yet been found, and you need additional investigation.  In summary, keep digging!

Do you really want to go back to normal? Business as usual, will not going to cut it anymore.

These days you can hear the phrase when we go back to normal, dozens of times a day.  We all want to return to our normal lives, right?

As a lean practitioner, I believe that each event is a learning opportunity, the coronavirus pandemic is no different.  During these slower days, there is time to learn new things and plan for the future.  Lean is all about learning, experimenting, and adapting.  That is just what everybody needs to learn now.  Every day I read about how people are adapting to the new normal, and many are using lean or continuous improvement thinking without knowing it.  For me, at this moment, Lean style problem solving is the on-demand skill.

I am not the only one that thinks that way.  Last year, the Indiana Department of Workforce Development (DWD), published Indiana’s Employability Skills Benchmarks.  It describes a set of 18 workplace skills recommended for success in today’s competitive workforce.  One of the skills identified in the learning strategies category is problem-solving.  

The way each business adapts the operation to comply with the CDC guidelines is unique.   The solutions are not one-size-fits-all, and on top of that, those guidelines change as they gathered more information.   Learning how to use a systematic process like PDCA and apply lean thinking is critical to identify and implement the new operational guidelines for your business.  

This situation catches most people without the skills to learn and adapt, but it is never late to start.  You are on time to start using lean thinking to approach the current challenges.  With practice, you can build that muscle memory that will guide you through times like this.  The new normal then should be something better than before the coronavirus pandemic.  It is like when you create the future state value-stream-map, imagine a better and stronger business and plan how to make it happen!  Many will go back to business as usual, your competitive advantage will be your new way to do business.

Better Process Solutions can help you to start designing your new processes, get in touch!