WHAT IS PROBLEM SOLVING?
Solving a problem depends on correctly identifying its cause so the best solution can be selected
and implemented for sustained results. Problems may affect one workgroup or process, or they may
cause organization wide issues. Some problems are repetitive and occur often or more than once,
while others are singular and considered a major incident or accident. Many problems are highly
visible due to formalized management systems such as ISO 9001, and some are insidious and
difficult to identify. All these factors create variations that require the application of different problem-
solving techniques, such as root cause analysis or the fishbone diagram, but the high level problem-
solving process is:
Step 1 – Define the problem
When defining the problem—that is, stating the problem specifically—it’s important to differentiate
fact from opinion and discover underlying causes so the focus is on the problem, not just its
symptoms. To do this, it’s important to:
Involve all interested workgroups affected by the problem and ask subject matter experts to better
understand the involved processes or issues.
Collect and analyze supporting data (qualitative and quantitative).
Go to the gemba review and document how processes currently work (that is, who does what, with
what information, using what tools, communicating with what organizations and individuals, in what
timeframe, using what format).
Answer these descriptive questions:
What (what happened) – What is the problem? What product is defective?
Where (point of detection) – Where was the problem detected?
When (date/time of detection) – When was the problem detected? When does the problem occur?
How (many/much) – How many products are affected? How much of production (in percentage) is
defective?
Who (detection only, not cause) – Who detected the problem?
Why (high level) – Why is this a problem?
Step 2 – Diagnose the root cause
Note: Root cause is a critical topic of extraordinary depth that cannot be explored fully here, but
there are many quality resources on the topic.
A root cause is the core issue—the highest-level cause—that sets in motion the entire cause and
effect reaction that ultimately leads to the problem that has been defined. If the root cause is not
identified, any solution applied will likely only provide temporary relief until the problem happens
again. Thorough probing into root causes will lead you to broad, fundamental issues. Often,
management policies will be involved—such as training or the system . For complex issues, there
may be more than one root cause. Solving a root cause at a deep, fundamental level often will solve
other related issues.
Root cause analysis (RCA) is a collective term that describes a wide range of approaches, tools, and
techniques used to uncover causes of problems and direct corrective action. RCA also can be one
part of a problem-solving technique, as with the A3 report. Some guidance questions for determining
a root cause include:
Why? Why? Why? Why? Why? (also known as the 5 whys technique)
What other causes were studied and eliminated?
How did you verify this cause?
Step 3 – Identify and implement a solution
Generate potential solutions
Postpone selecting one solution until several alternatives have been proposed—for example short-
and long-term solutions. Considering multiple alternatives can enhance the value of your ideal
solution significantly. All too often, groups start planning to carry out their first idea. Play with
additional ideas, and you probably will improve on your first one. Now is the time to think boldly and
creatively —for example, by combining two merely OK solutions into one hybrid great solution, or
asking customers and suppliers to help develop solutions to problems that affect them. Consider the
following:
What potential solutions have you evaluated?
What methods did you use to encourage creative solutions?
Are there any constraints preventing you from choosing a solution?
How does this solution address the root cause?
What are the possible problems with this solution? What are your contingency plans?
How will you communicate your planned solution?
How will you monitor your plan?
How will you know whether the solution is successful?
Choose the best solution
When assessing potential solutions, data collection and analysis tools and decision-making tools
such as the decision matrix can help evaluate the options carefully to select the best. Consider the
following:
How well the solution will achieve the desired results —that is, how effective it will it be.
How successfully the solution can be carried out — that is, how achievable it is.
Whether enough information has been gathered to choose a solution.
Were the alternatives considered without bias.
Whether a solution will solve the problem without causing other unanticipated problems.
Will the individuals involved accept the alternative.
Whether the solution fits within the organizational constraints and strategic goals.
Whether those involved in implementing the solution, including customers and suppliers, need to be
included in the decision.
Plan the change and implement it
Note: Change management is a complex topic ranging from small change to large and cultural
change that involves many considerations and methods that cannot be fully explored here, but there
are many quality resources on the topic.
When a solution is selected, implementation will be easier with a carefully developed plan, including
details on what, who, and when. At this stage, it is imperative for leadership to communicate the
plan widely, often, and clearly, including how it will affect various workgroups. Leaders also may
need to direct others to implement the solution, "sell" the solution, or facilitate the implementation
with the help of others. Involving others in the implementation is an effective way to gain buy-in, as
well as support and minimize resistance to subsequent changes.
A carefully developed plan also should determine how the solution will be measured —to determine
the results of the change and to monitor how well the plan was implemented. Be sure to include
contingency planning in case something falters using cause analysis tools to develop these
contingencies. These include:
Identifying potential obstacles or barriers (why and/or what) and deciding how to avoid or overcome
them.
Planning and documenting how you will react in the worst-case scenario.
Considering the human elements that may affect your success, such as who will feel threatened and
whether the new procedures will be difficult to remember.
When implementing the solution, test the chosen solution on a small scale first, if possible. For
example, choose a subset of the eventual full scope of the plan, such as one region, one unit, or one
class. Choose a typical subset, but avoid one with big or unusual obstacles and plan to continue the
test sufficiently to observe problems.
As the plan is fully implemented, be alert for unexpected observations and ensure the solution
doesn’t appear to create any other problems. Data collection and process analysis tools are helpful
at this stage.
Step 4 – Sustain the results
Regardless of how the solution is rolled out, feedback channels must be built into the
implementation. This allows for continuous monitoring and testing of actual events against
expectations. Problem solving, as well as the techniques used to gain clarity, are most effective if the
solution remains in place and is updated to respond to future changes.
After monitoring the solution’s results , if the solution didn’t hit the intended targets , it may be
because:
The plan was poorly executed – go back to Step 3 and rework on the solution’s implementation.
A poor solution was developed – go back to Step 3 and rework on the generating and choosing a
better solution.
The wrong cause was attacked – go back to Step 2 to find the right cause.
If the solution did hit the targets and the problem was solved, the solution must be standardized to
ensure that whatever changes were made become consistent and routine to avoid the problem
recurring. Documenting the new procedure will make training and ongoing control easier. Make sure
documentation and checklists are easily available in the workplace.
Sustaining results is best supported when those people involved want the change. Publicize and
share the benefits of the new process so people will want the change, and make the change as easy
as possible for them. Be sure to provide formal and/or informal training may be necessary to spread
a new process throughout the organization. Recognizing and rewarding the people involved in the
process improvement initiative also can help sustain positive results by boosting employee
engagement. It also is key to take any lessons learned from solving the problem and see whether
they can be applied to improve any other processes at the organization.
MODELS FOR PROBLEM SOLVING
There are many quality tools that can be applied to solving a problem, with steps and procedures
specific to the technique. Some approaches are geared more toward identifying true root causes
than others, some are more general problem-solving techniques, and others offer support for
sustaining successful change. These include:
Five Whys (5W)
helps to identify the root causes of a problem by asking “why” five times (sometimes more and
sometimes less) to gain a deep understanding of the problem. In addition, the method helps to
recognize the broad network of problem causes and the relationship among these causes. It can
indicate the best areas to address for short- and long-term solutions. This tool is best used when
probing for the root cause of a problem, and when the analysis of a problem is too superficial, or
when the many contributing causes to a problem are confusing. It is also a graphic communication
tool that helps explain to others the many causes of a problem.
Five Hows (5H)
Used to develop the solution to a problem, the Five Hows, also called a how-how diagram, is best
used when determining how to achieve a goal or developing a proposed solution in more detail,
when the understanding of the goal or solution is too superficial, or when consequences or varied
aspects of a proposed solution are unclear. The procedure is like the 5W tool, but instead of working
with a problem statement, it uses a statement of the goal or problem solution—instead of asking
“Why?” a problem occurs, it asks “How?” this goal or solution would be accomplished.
Five Whys Two Hows
5W2H is used to ask questions about a process or problem with a structure that forces consideration
of all aspects of the situation by asking who, what, when, where, why, how, and how much (or
many). It is used when analyzing a process for improvement opportunities or when a problem has
been suspected or identified, but the problem must be better defined.
Fishbone diagram
The fishbone diagram identifies many possible causes for a problem and immediately sorts ideas
into useful categories to investigate further. It is best used when identifying possible causes for a
problem, especially when the idea generation has become stagnant.
Process decision program chart (PDPC)
The process decision program chart systematically identifies potential problems in complex plans
and develops countermeasures to prevent or offset those problems. Using PDPC can help either
revise the plan to avoid the problems or be ready with the best response when a problem occurs. It’s
best used before implementing a solution, especially when the plan is large and complex, must be
completed on schedule, or if the price of failure is high.
Eight disciplines (8D) model
The 8D model is an eight-step problem-solving method that establishes a permanent corrective
action based on the statistical analysis of a problem and focuses on the problem’s origin by
determining its root causes.
A3 report
The A3 report is a problem-solving method that is used widely in lean to define or clarify problems,
suggest solutions, and document the results of improvement activities. The thought behind the A3
report is to include all relevant information and establish a clear representation of the current
problem, eliminating "waste" in the form of information that is not pertinent to the problem at hand. In
this way, the report can be streamlined to focus only on the problem and its solution.
DMAIC
DMAIC is an acronym that stands for define, measure, analyze, improve, and control, which
represent the five phases that make up the process. DMAIC is a data-driven quality strategy used to
improve processes, but generally can be implemented as a standalone quality improvement
procedure or as part of other process improvement initiatives such as identifying and piloting
solutions to the problems.
Potential problem analysis
Potential problem analysis systematically identifies what might go wrong in a plan under
development by rating problem causes for their probability of occurrence and how serious their
consequences are. Preventive actions are developed, as well as contingency plans, in case the
problem occurs anyway. This technique is best used before implementing a plan, or when something
might go wrong, the plan is large and complex, the plan must be completed on schedule, or the price
of failure is high.
Plan-do-checkact (PDCA) cycle
The PDCA cycle is a four-step model for carrying out change, which can be repeated again and
again for continuous improvement. It can be used when starting a new improvement project,
developing a new or improved design, defining a repetitive work process, or implementing a solution
to a problem.
Pareto chart
A Pareto chart is a bar graph in which the bars’ lengths of the bars represent frequency or cost
(money or time). The bars are arranged to show which situations are more significant. It is best used
in problem solving when analyzing data about the frequency of problems or causes in a process, or
when there are many problems or causes and the most significant one must be determined.
Decision tree
A decision tree is a sequenced set of questions to map the thinking process that leads to a correct
decision or problem’s solution. Typically, the tree is developed by those with expert knowledge of
situations that are likely to occur repeatedly. Later, the tree can be used by people without
specialized knowledge to make decisions quickly without help.
Decision matrix (also called a problem matrix or problem selection matrix)
A decision matrix evaluates and prioritizes a list of options. First, a team establishes a list of
weighted criteria and evaluates each solution option against those criteria. It is best used when a list
of solutions must be narrowed to one choice or when the decision must be made based on several
criteria.
Kepner-Tregoe problem specification (also known as an is - is not diagram)
Kepner-Tregoe problem specification guides the search for causes of a problem. By isolating who,
what, when, where, and how about a problem, it narrows the investigation to factors that have an
impact and eliminates factors that do not have an impact. By comparing what the problem is with
what the problem is not, it helps the suer see what is distinctive about this problem, which leads to
possible causes.
TRIZ
TRIZ is a system for solving problems containing inherent contradictions and developing innovative
ideas. Pronounced “trees,” it is the acronym for a Russian phrase meaning “theory of inventive
problem solving.” TRIZ’s originator, Genrich Altshuller, had the idea that great innovations contain
basic principles that can be extracted and used to create new innovations faster and more
predictably. First used for commercial applications in the 1980s, TRIZ was introduced to the rest of
the world in 1991 and has been applied not only to technology, but also business, social systems,
arts, and other nontechnical areas. Quality practitioners saw how valuable it was for generating
innovative ideas and combined it with quality function deployment (QFD), Six Sigma, as well as
other quality tools.
Design thinking
Design thinking develops innovative solutions to complex problems through empathy and
experimentation. It emphasizes observing user behavior and iterating solutions through successive
interactions with users and decision makers. The steps of design thinking are empathize, define,
ideate, prototype, and test.
Contingency diagram
The contingency diagram uses brainstorming and a negative thinking process to identify how
problems occur or what might go wrong in a plan. Next, the negative thinking is reversed to generate
solutions or preventive measures. It is best used when identifying problem causes, developing
solutions to problems, or planning the implementation of a solution.
Nine windows
The nine windows technique is a structured way of thinking about a problem with new perspectives
of time and space: past, present, and future; system, subsystem, and supersystem. It helps the user
move past current restrictions on thinking to generate innovative ideas. It is best used when
developing ideas for a new or revised product or process, envisioning the ideal state, looking for
solutions to a problem, trying to eliminate waste, or overcoming difficulties when trying to envision
alternatives to the current situation.
Shainin System
The Shainin System is a structured method for solving complex problems. Technical problems are
addressed using Red X Problem Solving to drill down to the problem’s hidden source, and business
process problems are addressed using a function-based approach called TransaXional to reveal
where the process is breaking down.