legacy_resource

Basics of DMAIC
Quick Guide

A Companion to:
The Basics of DMAIC
Web-Based Training Program

Publisher of the Basics of DMAIC Quick Guide

Resource Engineering, Inc.
Phone: 800-810-8326 (North America only) or 802-496-5888

First Edition – 2008.
Second Edition – 2013.
Copyright © 2008 – 2013 Resource Engineering, Inc.

All rights reserved. No part of this Guide covered by the copyright hereon may
be reproduced or used in any form or by any means—graphic, electronic, or
mechanical, including photocopying, recording, taping, or information storage
and retrieval systems—without prior written permission of the publisher.

Printed in the United States of America

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Resource Engineering, Inc.
www.qualitytrainingportal.com

ISBN 1-882307-47-X

Contents

Overview of Basics of DMAIC............................................................................ 1
Lesson 1: Introduction.......................................................................................... 2
Lesson 2: Define .................................................................................................. 3
Lesson 3: Measure................................................................................................ 4
Lesson 4: Analyze ................................................................................................ 6
Lesson 5: Improve................................................................................................ 7
Lesson 6: Control ............................................................................................... 10
Challenge ........................................................................................................... 12
Contents of the Problem-Solving Toolbox......................................................... 13
Data Collection & Organization Tools............................................................... 15
Data Display & Analysis Tools.......................................................................... 18
Decision Making Techniques............................................................................. 23
General Improvement Tools............................................................................... 26
Process Mapping Tools...................................................................................... 27
Project Management Tools ................................................................................ 30
Statistical Tools & Techniques .......................................................................... 33
List of Appendices ............................................................................................. 36
DMAIC Worksheets........................................................................................... 37
Problem Statement Worksheet ........................................................................... 42
Team Start-Up Worksheet.................................................................................. 43
Minutes & Planner Worksheet ........................................................................... 45
Comparative Analysis Worksheet ...................................................................... 46
Checklist to Prevent Recurrence ........................................................................ 47
Explaining the 1.5 Sigma Shift........................................................................... 48
Glossary of Terms .............................................................................................. 49

Basics of DMAIC Quick Guide 1

Overview

Basics of DMAIC

The Basics of DMAIC CBT consists of six lessons and a
Challenge intended to allow learners to test their comprehension of
the body of knowledge covered in the course. This Quick Guide
recaps the key points of the Basics of DMAIC course content and
includes forms and checklists designed to aid DMAIC project
teams.

The course content begins with a short lesson introducing the five
phases of the DMAIC project cycle. The five lessons that follow
work through the Define, Measure, Analyze, Improve and Control
phases sequentially.

The Problem-Solving Toolbox recaps data collection, data display
and data analysis tools in the following summary form:

 What It Is Used For
 When to Use It
 Important Notes
The Appendix of this Quick Guide contains worksheets, forms and
checklists referenced in the course.

2 Basics of DMAIC Quick Guide

Basics of DMAIC, Lesson 1:

Introduction

 In this unit, you will learn about each of the 5 phases of the

DMAIC Project Cycle.
 You will work through each phase of the DMAIC Process.
 Techniques to successfully complete each phase will be
explored.

 You will have access to complementary tools used in the

DMAIC Process.
 A tutorial on use of the tools can be accessed either when
the use of a tool is suggested or on demand.

 By the end of the unit, you should be able to:

 Define an opportunity for improvement by defining the
scope of a DMAIC Project.

 Measure the current performance of the process output and
quantify the extent of the problem.

 Analyze the improvement opportunity using data
generation, data collection, and data analysis tools and
techniques. Use the results of the data analysis to
determine the root cause of the problem.

 Improve performance by developing options to solve the
problem; select the best solution option, and then
implement the solution.

 Control the process at the improved level of performance
by ensuring the problem is solved for good and cannot
recur.

Basics of DMAIC Quick Guide 3

Basics of DMAIC Lesson 2:

Define

 In the Define phase of the DMAIC process, a team is

established to solve the problem or improve the target
process.

 The expectations of the team are clearly defined and the
team develops a problem statement to verify its
understanding of the issues.

 Critical to quality (CTQ) characteristics that relate to the
problem area are also defined along with the process
boundaries of the problem.

 In setting up a team, consider team membership, roles of the

members, boundaries of freedom for the team, and the team
start up process.

 Describing the problem starts with a well thought-out

Problem Statement.
 The Problem Statement communicates the scope of the
problem the team is working on and gets the team focused.
 A complete Problem Statement should also provide
information relevant to the problem to help the team get
started and clarify what is expected from the team.
 Teams must resist the temptations to start solving the
problem before they really look into it.
 Often teams are prejudiced toward action. This can be a

great thing, but the action needed at this point is not to let
first impressions and preconceived ideas lead the team
astray.

 Who develops the Problem Statement?

 Regardless of who develops the Problem Statement, unless
management solidly endorses it, the project to solve the
problem is usually dead in the water.

4 Basics of DMAIC Quick Guide

Basics of DMAIC Lesson 3:

Measure

 In the Measure Phase of the DMAIC process, we will set up

the measurement systems so that we can collect the data
needed to help us determine the root cause of the problem.

 We can use macro-measures of the process to monitor the
DMAIC effort. An effective way of doing this is to use
run (or trend) charts to track progress over time. As
improvements are made, we should start seeing process
measures trend in the right direction.

 In the Define Phase, the quality characteristics that are
critical to customers should have been identified. If
measures for the CTQ characteristics are not already
established, the DMAIC team should create these
measurement systems.

 Part of capturing measurements from the process is ensuring

that the measurements are good measurements.
 Without a good measurement system, we never really
know the true output of the process.
 Process and product data and information are critical to the
DMAIC team. This is what the team will need in the next
phase, Analyze, to get at the root cause of the problem.
Without data, and without the right data, the team will be
ineffective and inefficient in reaching the root cause.
 For processes that involve discreet product measurements,

be certain that all relevant measurement devices are
calibrated to ensure accuracy and have undergone Gage
Repeatability and Reproducibility (GR&R) studies.

 Fact-based problem-solving – that’s what it is all about.

 We must have facts for fact-based problem-solving. To get
facts, we collect data from the process or create data
related to the process.

 Once data have been collected, there are a number of
simple methods to analyze data using graphical display
techniques. Data display tools turn the data into pictures

Basics of DMAIC Quick Guide 5

and a picture of what has happened often leads us to the
root cause.
 While data display methods are usually easier to use,
sometimes a statistical analysis technique is needed to
wring the real meaning out of the data.

6 Basics of DMAIC Quick Guide

Basics of DMAIC, Lesson 4:

Analyze

 Analyzing the data and the process information to find the

root cause is the core of the DMAIC process.

 When we know there is a problem, there are usually two

causes at work.
 The first, the cause that appears to be the problem is
usually a symptom, not the root cause.
 The specific cause that allowed the apparent cause or
symptom to occur is the root cause, often buried deep in
the process.

 Getting to the root cause requires a systematic approach to

collecting data and analyzing that data.
 Analyze the process using data, formulating root cause
theories, and then verifying or disproving those theories.
 Once you think you are at the root cause, ask the root
cause question: Does this cause explain all that we know
about what the problem is, as well as all we know about
what the problem isn’t? This is a two-part question. We
need to make sure the root cause we found fits both the
“is” and the “isn’t” parts of the question. If the cause you
are testing doesn’t fit both, then it’s probably not the root
cause.

 There are many data collection, data display tools, and data

analysis tools available to use.
 Unfortunately, a formula that tells you the right tool to use
in a given situation just doesn't exist. In fact, rarely will
one tool give you all the answers you need.
 Once you are experienced with the use of data collection
and data analysis tools, you will begin to build your own
knowledge base that will guide you to select the best
combination of tools for the situation you are facing.

Basics of DMAIC Quick Guide 7

Basics of DMAIC, Lesson 5:

Improve

 Once the root cause has been found, it’s time to develop the

solutions to the problem.

 Typically, once the root cause is known, the solution

becomes obvious.
 If you have really found the root cause of the problem, one
or more potential solutions have probably become obvious.
Your job now is to select the best option or mix of options
that will lead to a robust, yet cost-effective, solution.

 However, sometimes a systematic approach is needed to use

the results of the root cause analysis to develop a solution.
 If solutions are not yet evident, follow the data trail. When
solutions are not obvious, often the root cause has not been
found. Go back to the hard data. Use the data to virtually
paint a picture of the problem using data display tools.

 Once you have selected a solution, take the time to confirm

that it really is a good solution.
 First, test the practicality, feasibility, and cost-
effectiveness of the solution.
 Then check to make sure the solution is robust and will
prevent a recurrence of the problem.
 The most robust solutions are usually mistake-proofed,
forced control solutions. Mistake-proofing techniques
should focus on the root cause of the problem (or error)
and make it impossible for that error or problem to recur.
 Once you have the best (one or two) solutions to
implement, when possible, try them out before putting a
full-blown solution in place.

 Some solutions are easy to implement, but some are more

difficult. In either case, the implementation must be
planned.

8 Basics of DMAIC Quick Guide

 The implementation plan must encompass everything;
including documenting the changes and ensuring everyone
is trained in the changes.

 Once the solution and its implementation are approved, the

team needs to create an Action Plan. The Action Plan
outlines what steps are needed to implement the solution,
who will do them, and when they will be completed.

 A simple action plan merely documents what needs to be
done, who will do it, and when will it be done by.

 A complex solution needs more thorough planning and
documentation.

 With Complex Action Plans, conventional project

management tools such as Activity Plans, PERT Charts, and
Gantt Charts will keep the Action Plan on track.

 The job is not completed when process changes are made.

 Part of implementing a solution is to document new
procedures or changes to procedures as well as any
changes that relate to your organization’s quality systems.

 Work instructions or procedures should be written or
modified to incorporate the solution the team is putting
into place.

 Don’t forget to include training to ensure people can
properly put the changes to work. Training should entail
describing both “the what” and “the why” of changes the
team is putting into place. Then, demonstrate “the how” of
the changes (whether they be equipment related or
procedure related). And finally, observe the workers doing
it themselves to ensure information transfer has occurred.

 If your project involves changes related to commitments to
customers or procedures customers must approve, don’t
forget to get your customer liaison involved to help with
the final documentation changes.

Basics of DMAIC Quick Guide 9

 During the implementation and training, use the PDCA

cycle to check and improve your project outcomes.
 Get feedback from workers during training sessions
regarding changes that your team made.
 After using the process a few times, they most likely have
some ideas that improve on your problem-solution.
 Review the suggestions, adjust the process, update the
documentation, and provide any necessary retraining.

10 Basics of DMAIC Quick Guide

Basics of DMAIC, Lesson 6:

Control

 In the 5th Phase in the DMAIC Process, Control, we make

sure that the problem is really solved for good.

 To prevent recurrence of the problem, the team must verify

that the outcome of their Action Plan works and validate
that the outcome is on-target.

 An important element of preventing recurrence is to
document the results, update related procedures, and make
corresponding changes to any affected quality systems
elements.

 Successful projects should be leveraged to prevent
occurrences of like problems in all similar operations.

 Auditing the use and effectiveness of the solution helps
ensure the gains are held.

 Verification is testing that the solution produces the desired

outcome. Validation is ensuring that the outcome really
solves the problem.

 When verifying and validating a solution, rely on data.
Anecdotal experience is not good enough.

 Always check to make sure that the solution does not
create new problems.

 Documentation is part of preventing a recurrence.

 Besides the obvious changes to related procedures, Quality
Systems, Control Plans, and FMEAs all need
documentation updates.

 In addition, the team should prepare a final project report.

 All too often, units within companies solve problems and

never think to transfer that knowledge to other units, even
those with identical processes.

 As part of completing their project, problem-solving teams
should have the responsibility of passing the baton by

Basics of DMAIC Quick Guide 11

transferring the knowledge they have gained to other units
in their organization.

 Transferring knowledge gained is not as simple as just
sending a copy of your team’s final report. The best way
to transfer knowledge is face-to-face.

 Adherence to international quality standards depends upon

documentation – document what you do and do what you
document. Any process change needs not only to be
documented, but to be audited as well.

 The problem-solving team should meet with the person
responsible for maintaining the quality system and help
determine how the changes will be audited.

 The last step the DMAIC team should complete is to

transfer the process back to its rightful owners.

 There should be a formal meeting held with all members of
the team and the process owners present.

 The process owners should accept the team’s results and
accept responsibility for ensuring the process doesn’t slip
back in the future. Some organizations require the
acceptance to be in writing.

12 Basics of DMAIC Quick Guide

Basics of DMAIC

Challenge

 The DMAIC Challenge will help you check your knowledge

of the topics covered in this unit.
 You will have the opportunity to answer 10 randomized
questions from a pool of questions.

 Here are some things we suggest you review to prepare for

the Challenge:
 How to effectively start-up a problem-solving team.
 How to use a Problem Statement to get a problem-solving
team focused.
 How to set up measurement systems so that you can collect
the data needed to help determine the root cause of the
problem.
 How to use data collection, data display, and data analysis
tools to get inside the process to find the root cause.
 How to take a systematic approach using the results of the
root cause analysis to develop a solution to the problem.
 How to use Project Management tools such as Activity
Plans, Gantt Charts, and PERT Charts to effectively and
efficiently put solutions in place.
 The steps needed to finalize a problem solution to make
sure it is a lasting solution include verification, validation,
documentation requirements, leveraging successes,
auditing, and formal transfer of responsibility.

Basics of DMAIC Quick Guide 13

Contents of the Problem-Solving
Toolbox

 The tools have been organized into 7 categories.

 (Organizing by categories is called Affinity Grouping.)

 Data Collection & Organization Tools

 Affinity Grouping
 Brainstorming
 Cause & Effect Diagrams
 Checklists
 Data Collection Forms
 Surveys
 Tally Sheets
 Quality Function Deployment

 Data Display & Analysis Tools

 Bar Charts & Line Graphs
 Comparative Analysis (What Is – What Isn’t)
 Concentration Diagrams
 Cost of Quality
 Fault-Tree Analysis
 Five-Whys
 Histograms
 Pareto Analysis
 Pie Charts
 Run (Trend) Charts
 Scatter Diagrams
 Timeline Analysis

14 Basics of DMAIC Quick Guide

 Decision-Making Techniques

 Musts & Wants
 Nominal Group Technique
 Voting and Ranking
 Forced Ranking
 Force Field Analysis
 Financial Analysis

 General Improvement Tools

 FMEA (Failure Mode & Effects Analysis)
 Mistake-Proofing

 Process Mapping Tools

 Flowcharts
 Brown Paper Flows
 Workflow Diagrams
 Value Stream Maps
 SIPOC Diagrams

 Project Management Tools

 Problem Statement
 Team Start-Up Worksheet
 Meeting Minutes & Planner
 Activity Plan
 PERT Charts
 Gantt Charts

 Statistical Tools & Techniques

 ANOVA
 Control Charts
 Process Capability Measures
 Correlation/Regression Analysis
 Multivariate Analysis
 Design of Experiments
 GR&R Studies
 Tests of Significance

Basics of DMAIC Quick Guide 15

Problem-Solving Toolbox:

Data Collection & Organization
Tools

 Affinity Grouping
 Brainstorming
 Cause & Effect Diagrams
 Checklists
 Data Collection Forms
 Surveys
 Tally Sheets
 Quality Function Deployment

Affinity Grouping

What It Is Used For

 To group similar ideas or items into categories.

When to Use It

 When a large number of items or ideas must be sorted and
prioritized.

Important Notes

 Useful after a brainstorming session.
 Establish meaningful category headers.

Brainstorming

What It Is Used For

 To generate a “storm” of ideas or thoughts.

When to Use It

 Anytime a team/group needs to identify sources of data, potential
causes of problems, or possible solutions.

Important Notes

 Establish a clear objective for the brainstorming session to ensure
the group is focused.

 Round-robin brainstorming works best. Each person offers one,
and only one, idea in turn. This keeps an individual from
monopolizing the session.

16 Basics of DMAIC Quick Guide

Cause & Effect Diagrams

What It Is Used For

 Similar to Affinity Grouping, it is used to group items. However,
the grouping is done in a more structured manner; inputs (causes)
are categorized to show how they lead to the output (or the effect.)

When to Use It

 To sort independent variables (or causes) into like categories.

Important Notes

 Inputs can often be sorted into 5 categories: People, Methods,
Equipment, Materials, and the Environment.

 Sometimes called a Fishbone Diagram or an Ishikawa Diagram.

Checklists

What It Is Used For

 To organize tasks.

When to Use It

 When the completion of sequential steps needs to be monitored.

Important Notes

 If tasks involve checking variables, list the expected, desired, or
specified range.

 If tasks involve checking attributes, report as yes/no or did/didn’t.

Data Collection Forms

What It Is Used For

 To organize how data is to be collected.

When to Use It

 When data from repetitive tasks must be collected.

Important Notes

 To make the form easy to use, design the layout of the form in the
order the data is or should be collected.

Surveys

What It Is Used For

 To collective qualitative (subjective) from a target audience.

When to Use It

 When the collective opinion of users or customers would provide
useful direction.

Basics of DMAIC Quick Guide 17

Important Notes

 Design the survey questions so that they are not leading.
 Select a balanced audience or user group.

Tally Sheet

What It Is Used For

 To provide an easy way to keep track of the frequency of
occurrences.

When to Use It

 To collect data when finite data ranges or data categories can be
identified.

Important Notes

 Provide a complete description for the categories leaving little/no
room for confusion between the categories.

Quality Function Deployment (QFD)

What It Is Used For

 Links customer requirements (benefits) to technical requirements
(features); helps to prioritize action needed to meet customer
requirements as well as identify interactions between technical
requirements and customer requirements.

When to Use It

 In the preliminary design stage of a new product.

Important Notes

 This is not a simple tool to use; a skilled facilitator would be
helpful.

18 Basics of DMAIC Quick Guide

Problem-Solving Toolbox:

Data Display & Analysis Tools

 Bar Charts & Line Graphs
 Comparative Analysis (What Is – What Isn’t)
 Concentration Diagrams
 Cost of Quality
 Fault-Tree Analysis
 Five-Whys
 Histograms
 Pareto Analysis
 Pie Charts
 Run (Trend) Charts
 Scatter Diagrams
 Timeline Analysis

Bar Charts & Line Graphs

What It Is Used For

 To compare data from similar data sources.

When to Use It

 To display data.
 For root cause analysis.

Important Notes

 Spreadsheet programs can create bar charts and line graphs rapidly.
 One of the most common variations of these techniques are stacked

bar charts and line graphs that plot individual components as well
as their total.

Comparative Analysis (What Is – What Isn’t)

What It Is Used For

 To focus a problem-solving team on a problem.

When to Use It

 To help get to the root cause of a problem.

Important Notes

 It is just as important to answer what the problem isn’t as it is to
answer what the problem is. This directs the problem-solving team
on where to look for the root cause and where not to look.

Basics of DMAIC Quick Guide 19

Concentration Diagrams

What It Is Used For

 To show the location of errors or defects.

When to Use It

 For either capturing or displaying defects data that can be
segregated by location. This can show which location to focus
efforts on.

Important Notes

 This can be used for products, processes, or even plant locations.

Cost of Quality

What It Is Used For

 To quantify the impact of POOR quality.

When to Use It

 As a monitoring tool to track costs for inspection, internal errors,
external errors, and prevention.

Important Notes

 Plot this on a stacked line graph or bar graph to capture all four
components as well as the total COQ.

 As you increase your prevention efforts, the costs for inspection,
internal failures, and external failures should drop.

 The management team should react quickly to any adverse trends.

Fault-Tree Analysis

What It Is Used For

 To identify the causes of process problems.

When to Use It

 To analyze the root cause of process problems.
 In the design phase of a process, it can be used to ensure the proper

controls are in place in the process for quality and safety.

Important Notes

 Be certain to get down into the details of the process in creating a
fault-tree.

 The Five-Whys can be useful in working down each leg of the tree.

20 Basics of DMAIC Quick Guide

Five-Whys

What It Is Used For

 To tunnel into the process to find the root cause of the process.

When to Use It

 During root cause analysis to help identify the root cause or to
identify where data need to be collected.

Important Notes

 The term “Five-Whys” is a figurative term. A team might need
more or less than five whys to tunnel down to the root cause of a
problem.

 Be careful not to “lead” the questioning to a preconceived “why.”

Histograms

What It Is Used For

 To display variable data so that the pattern of variation can be
identified.

When to Use It

 To help determine if there are special causes of variation present in
the process.

 To compare the output of the process with customers’
specifications.

Important Notes

 A nearly normal distribution is an indication that the process has
mainly common cause variation present.

 A bi-modal or multi-modal distribution is almost always a sign of a
special cause of variation in the process or in the data collection
technique.

Pareto Analysis

What It Is Used For

 To organize and prioritize data from highest to lowest.

When to Use It

 When trying to prioritize activities or focus for a team or for an
organization.

Important Notes

 The team or organization should focus on the vital few (those items
with the highest levels) and not the trivial many (those with the
lowest levels).

Basics of DMAIC Quick Guide 21

 If you have more than 6 categories, group all of the small ones
together at the end in an “Other” category.

Pie Charts

What It Is Used For

 To show how much of the whole that individual items make up.

When to Use It

 To present data in a report.
 To determine where to focus activities (i.e. on the largest portions

of the pie).

Important Notes

 Always start with the biggest slice of the pie and work your way
down if making a pie chart by hand.

 Most spreadsheet packages can create pie charts easily.

Run (Trend) Charts

What It Is Used For

 To show the output of a process over time

When to Use It

 To monitor process performance.
 In determining when a change to a process might have occurred.

Important Notes

 In analyzing a run chart, look at the patterns formed by the data.
 To see some patterns, you might need to lay a number of charts out

on a table or on the floor.

Scatter Diagrams

What It Is Used For

 To identify relationships between two process variables.

When to Use It

 When the team thinks that one variable is dependent on another.
 To confirm that two variables have a relationship.

Important Notes

 If investigating dependence, set the independent variable on the x-
axis and the dependent variable on the y-axis.

22 Basics of DMAIC Quick Guide

Timeline Analysis

What It Is Used For

 To match up process performance over time with changes made to
the process.

When to Use It

 In root cause analysis to identify changes that impacted the process
performance.

Important Notes

 Remember to include changes in people, methods, equipment,
materials, environment, and measurement systems.

 Include changes in support processes as well if appropriate.

Basics of DMAIC Quick Guide 23

Problem-Solving Toolbox:

Decision Making Techniques

 Musts & Wants
 Nominal Group Technique
 Voting and Ranking
 Forced Ranking
 Force Field Analysis
 Financial Analysis (ROI & Payback Calculations)

Musts & Wants

What It Is Used For

 To help select between alternatives.

When to Use It

 In selecting a solution to a problem, this can be used to decide
between alternatives.

Important Notes

 To even be considered, a potential solution is required to meet all
of the “Must” criteria.

 In evaluating the wants, it is best to use the expertise of a team.
This will give the best ranking of the potential solutions.

Nominal Group Technique

What It Is Used For

 To use a group’s expertise to select from among options.

When to Use It

 With a team and when there are no or limited data to help select an
option or a solution to a problem.

Important Notes

 This technique is only as good as the skills and knowledge of the
team that it using it.

 This technique should not be used as a substitute for collecting data
(especially during root cause analysis).

24 Basics of DMAIC Quick Guide

Voting and Ranking

What It Is Used For

 To use a group’s expertise to select from among options.

When to Use It

 With a team and when there are limited data to help select an
option or a solution to a problem.

 This technique provides more discrimination between options than
the Nominal Group Technique.

Important Notes

 Like the Nominal Group Technique, this technique is only as good
as the skills and knowledge of the team that is using it.

 Voting and Ranking should not be used as a substitute for
collecting data (especially during root cause analysis).

Forced Ranking

What It Is Used For

 To use a group’s expertise to select from among options.

When to Use It

 With a team and when there are limited data to help select an
option or a solution to a problem.

 This technique forces the team to directly compare options relative
to each.

Important Notes

 Like the Nominal Group Technique, this technique is only as good
as the skills and knowledge of the team that it using it.

 Forced Ranking should not be used as a substitute for collecting
data (especially during root cause analysis).

Force Field Analysis

What It Is Used For

 To show how process variables or factors impact the process status
quo.

When to Use It

 When looking at a complex situation to organize the variables that
affect the situation in one direction or another.

Basics of DMAIC Quick Guide 25

Important Notes

 Arrows are drawn to signify the forces pushing on an issue or
situation. The relative size of each arrow should be adjusted to
indicate its relative impact on the issue.

 Parties from all aspects of the issue or situation should be involved
in setting up the force field.

Financial Analysis

What It Is Used For

 To determine whether the savings of a solution implementation
justify the costs for it.

When to Use It

 When required by your organization.
 When analyzing solutions or other changes to a process or product

to determine if it would be fiscally responsible to make the
investment.

Important Notes

 Simple calculations can give a team a sense of whether the savings
justifies the cost.

 Remember that Financial Analysis really doesn’t look at intangible
savings.

26 Basics of DMAIC Quick Guide

Problem-Solving Toolbox:

General Improvement Tools

 FMEA (Failure Mode and Effects Analysis)
 Mistake-Proofing

FMEA (Failure Mode and Effects Analysis)

What It Is Used For

 To methodically examine a process or product design to identify
where failures can occur and what the relative risks are for each
mode of failure.

When to Use It

 Start using this tool during the design stage for any process or
product.

 On existing products and processes, this tool can be used at any
time as part of improvement efforts.

Important Notes

 FMEAs are a complex undertaking and should always be
conducted by a team.

 FMEAs need to be updated whenever changes are made to the
process or product.

Mistake-Proofing

What It Is Used For

 To prevent errors from occurring or recurring.

When to Use It

 The goal of any solution to a problem should be to mistake-proof
the process so that the error cannot occur again.

Important Notes

 There are four levels of mistake-proofing, Forced Control,
Shutdown, Warning, and Sensory Alert; and two outcomes,
Prevention and Detection. The best mistake-proofing solution is a
Forced Control-Prevention one.

 Forced Control and Shutdown solutions have automatic triggers so
they are much superior to Warning and Sensory Alert solutions.

Basics of DMAIC Quick Guide 27

Problem-Solving Toolbox:

Process Mapping Tools

 Flowcharts
 Brown Paper Flows
 Workflow Diagrams
 Value Stream Maps
 SIPOC Diagrams

Flowcharts

What It Is Used For

 To visually show the steps in a process.

When to Use It

 To understand a process.
 To document a process.
 To understand how the steps in a process relate to each other.
 To help identify process steps and decisions points that can be

eliminated or improved.

Important Notes

 The detail that should be put into a flowchart depends on how it
will be used.

 A flowchart that will be used as a training document needs much
more detail than one used for workflow analysis purposes.

Brown Paper Flowchart

What It Is Used For

 To show the flow of a process through its paperwork (including
computer entries).

When to Use It

 To identify redundancies in a process so that they can be
eliminated/improved.

Important Notes

 Use color-coding to identify any multiple paths for paperwork and
information.

 Print out any computer screens and paste them on your brown
paper flowchart in the process where appropriate.

 Be sure to have enough brown paper and space for all of the
paperwork. Often, there’s much more of it than you think.

28 Basics of DMAIC Quick Guide

Workflow Diagram

What It Is Used For

 To show the physical flow of the work, people, or paperwork in a
process.

When to Use It

 To help identify process steps that can be eliminated or improved.
 To show improvements in layout (“before” & “after” workflows).
 To help identify process bottlenecks.

Important Notes

 Any time there is a crossover point in the process workflow, that is
evidence of waste in the process and should be looked at for
improvement.

 Color-code the paths for people, paperwork, and the product itself.

Value Stream Map

What It Is Used For

 To examine business processes from beginning to end by drawing a
visual representation of material and information flows to
determine if it adds value or not; value should be judged through
the eyes of the customer.

When to Use It

 At the start of an improvement initiative to develop a Current State
Map showing the flow, transactions, handoffs and transfers within
the current process flow.

 To help identify process steps or eliminates that can be eliminated
or improved.

 To create a Future State Map that depicts the “to-be” (improved)
state.

Important Notes

 A Current State Map is used as the basis for a Future State Map
that helps focus the organization on reducing non-value-added
activities.

 Value Stream Maps should show interactions with customers and
the supply chain as well as internal processes.

Basics of DMAIC Quick Guide 29

SIPOC Diagram

What It Is Used For

 To document the business continuum from suppliers through
customers.

When to Use It

 At the start of an improvement initiative to describe the entire
process, including suppliers to the process and their inputs, the
process itself and its outputs, and the customers along with their
requirements.

Important Notes

 Include all inputs, outputs and customer requirements even if they
are seemingly unimportant.

30 Basics of DMAIC Quick Guide

Problem-Solving Toolbox:

Project Management Tools

 Problem Statement
 Team Start-Up Worksheet
 Meeting Minutes & Planner
 Activity Plan
 PERT Charts
 Gantt Charts

Problem Statement

What It Is Used For

 To define a problem for a problem-solving team.

When to Use It

 Once the team has been formed, they should create or be given a
problem statement to direct their problem-solving efforts.

 To help clarify the direction whenever the team seems to be
moving off-course.

Important Notes

 Some organizations have the leadership team create the problem
statement and use that to determine team membership.

Team Start-Up Worksheet

What It Is Used For

 To develop the ground rules and logistics for a team before they
actually start attacking a problem.

When to Use It

 At the initial project team meeting.

Important Notes

 Do not underestimate the importance of understanding the
boundaries of freedom set for the team by management.

Meeting Minutes & Planner

What It Is Used For

 To record meeting discussions, decisions, and future plans.

When to Use It

 During every team meeting.

Basics of DMAIC Quick Guide 31

Important Notes

 The Meeting Minutes & Planner worksheet doesn’t need to be
typed up – often it is more effective to fill it out during the meeting
and to make copies/distribute them at the end of the meeting.

 Be very clear on assignments; define who will do what by when.

Activity Plan

What It Is Used For

 To define all of the steps needed to complete a project.

When to Use It

 For the implementation of complex solutions to indicate who will
do what by when.

Important Notes

 Include all tasks even if they seem to be small.
 Allow appropriate lag times between related tasks.

PERT Charts

What It Is Used For

 Using an activity plan as its basis, the PERT Chart is used to define
the critical path of a project.

When to Use It

 After an activity plan has been created to show the tasks needed to
complete the activity and their relative timing.

 During the implementation of the project to monitor the status.

Important Notes

 The project team should keep a constant eye on the critical path.
This is the shortest amount of time that the implementation can be
completed in. If any task on the critical path slips, then the timing
of the entire implementation will slip.

Gantt Charts

What It Is Used For

 The Gantt Chart is a display tool that shows the steps in the activity
plan relative to a time scale.

When to Use It

 After an activity plan has been created to show when tasks need to
be started and completed.

32 Basics of DMAIC Quick Guide

Important Notes

 Put names of the responsible individuals alongside each task on the

Gantt chart so that responsibilities are clear.

 The Gantt chart can show when team members are overloaded with

tasks so that the team can rebalance the workload and ensure the

project is completed on time. 61a0206-012

Complex Action Plans

Project Management Charts

Activity PERT Critical
Plan Chart Path

Gantt Project
Chart Timeline

Basics of DMAIC Quick Guide 33

Problem-Solving Toolbox:

Statistical Tools & Techniques

 ANOVA
 Control Charts
 Process Capability Measures
 Correlation/Regression Analysis
 Multivariate Analysis
 DOE (Design of Experiments)
 GR&R Studies
 Tests of Significance

ANOVA (Analysis of Variance)

What It Is Used For

 To analyze the impact on the output of predetermined changes in
the levels of process or product variables.

When to Use It

 To help determine whether the variables being experimented on
have a statistically significant impact on the process output.

Important Notes

 Although ANOVA calculations can be done by hand with a
calculator, they are much easier to handle and less prone to
mistakes if a computer (software program) is used.

Control Charts

What It Is Used For

 To monitor a process against its historical performance.

When to Use It

 Once a process is stable, to monitor its output to make sure that it
doesn’t drift or change over time.

Important Notes

 Control charts are used to assess whether a process is stable and in-
control; not whether it is in-spec.

34 Basics of DMAIC Quick Guide

Process Capability Measures

What It Is Used For

 To compare the output of a process against the customers’
specifications.

When to Use It

 When it is necessary to determine if a process (and its output) is
capable of meeting the customers’ specification.

Important Notes

 There are several measures of process capability. Be certain you
are using the best measure for your purposes.

Correlation/Regression Analysis

What It Is Used For

 To determine if there are relationships between two or more
variables.

When to Use It

 To identify and mathematically define the relationship between
variables so that predictions can be made based on the expected
relationship.

Important Notes

 Even when a relationship between variables exists, a straight line
cannot always define the relationship.

Multivariate Analysis

What It Is Used For

 To identify if many process variables act together to impact the
output of a process.

When to Use It

 To look at any number of the input and output variables in a
process at the same time and identify unusual combinations of
these variables.

Important Notes

 An unusual combination might lead to conditions that point to the
root of a problem.

DOE (Design of Experiments)

What It Is Used For

 To systematically and efficiently experiment on a process.

Basics of DMAIC Quick Guide 35

When to Use It

 To identify the most important variables in the process (called the
power factors) and help determine the best settings for those
variables.

Important Notes

 DOE represents a family of powerful designed experiments or
process improvement techniques. Select the correct design for the
experimental objectives.

GR&R (Gage Reproducibility & Repeatability) Studies

What It Is Used For

 To determine the variation in the measurement system due to the
measurement equipment itself and its use by the appraisers.

When to Use It

 Before implementing SPC techniques or conducting designed
experiments to verify that a sound measurement system exists.

 Periodically to ensure the measurement system has not degraded.

Important Notes

 Most common GR&R Techniques are for non-destructive testing of
variable-data measurement devices. The techniques must be
modified for destructive testing and for attribute-data measurement
devices.

Tests of Significance

What It Is Used For

 To statistically determine if a sample represents a population or if
two or more samples are from the same population.

When to Use It

 To confirm that an improvement is truly an improvement and not
just common cause variation in the process.

Important Notes

 t-tests use sample means to look at the location of the process
output relative to a known population or to another population
(represented by another sample mean).

 F-tests are used to compare the variances of two samples to
determine if the variation between the two populations they
represent are likely to be equal.

36 Basics of DMAIC Quick Guide

List of Appendices

The following Appendices will be useful to individuals and teams
working on DMAIC projects.

1. DMAIC Worksheets
2. Problem Statement Worksheet
3. Team Start-Up Worksheet
4. Meeting Minutes & Planner Worksheet
5. Comparative Analysis Worksheet
6. Checklist to Prevent Recurrence
7. Explaining the 1.5 Sigma Shift
8. Glossary of Terms

Basics of DMAIC Quick Guide 37

APPENDIX 1

DMAIC Worksheets

The following worksheets for the five phases of DMAIC can be useful to
teams as they work through the project cycle.

D: Define

When setting up a problem-solving team, consider team membership, roles of
the members, boundaries of freedom for the team and the team start-up
process. Describing the problem starts with a well-thought-out Problem
Statement. The Problem Statement communicates the scope of the problem
that the team is working on and gets the team focused. A complete Problem
Statement should also provide information relevant to the problem to help the
team get started and clarify what is expected of the team.

Questions & Considerations: Responses:

 Who are the project team members?
 What is the role of each team member?
 Have a Team Champion and SME (Subject Matter

Expert) been identified?

 What are the boundaries of freedom for the team?
 How will team activities be documented and

communicated?

 Has a Team Start-Up Worksheet been used?
 Has a Problem Statement been developed? Note:

The Problem Statement communicates the nature

of the problem to the team, focuses the team on

the scope of the problem, provides data and

information on what the problem is AND what it
isn’t and lets the team know what they are

expected to do.)

 Do the expectations clarify the role the team

should play (determine root cause(s) and

implement or recommend a solution(s)), specify

the deadline and include monetary limits for the

team?

 Does the Problem Statement communicate a

problem to be studied or assign a task to be

carried out?

 Has a flowchart and/or SIPOC diagram of the

value stream available or been created?

 Has a current state Value Stream Map been

developed?

38 Basics of DMAIC Quick Guide

M: Measure

In the Measure phase, set up measurement systems so that the data needed to
determine the root cause of the problem can be collected and the effectiveness
of DMAIC efforts can be demonstrated.

Questions & Considerations: Responses:

 Have quality characteristics that are critical to

customers (CTQ or Critical to Quality) been

defined? How are they measured? Have baseline

measurements been made?

 Is the variation in the CTQ characteristics

understood? What measures (histograms,

process capability) are used?

 Has the flowchart, SIPOC diagram or Value

Stream Map been used to identify where data are

generated and where more data may be needed to

fully understand what impact the CTQ

characteristics?

 Part of capturing measurements from the process

is ensuring that the measurements represent

good, valid data. Have the measurement devices

and/or techniques been calibrated and/or

validated?

 What graphical display methods (concentration

diagrams, histograms, timeline analysis and

workflow diagrams) and exploratory data collection

techniques (failure analysis, simulations, control

charts and Value Steam Mapping) have been used

to help analyze data?

 Consider use of macro-measures and a balanced

scoreboard of the process to monitor the DMAIC

effort.

Basics of DMAIC Quick Guide 39

A: Analyze

Defining the root causes is the core of the problem-solving process. This is
normally the toughest aspect of the problem-solving process; if the root causes
of the problem were obvious, then the problem would have been solved already.
There are usually two families of causes at work when we know there is a
problem. The first, the causes that appear to be the problem, are frequently
symptoms, not root causes. The specific causes that allowed the apparent
causes or symptoms to occur are the root causes, often buried deep in the
process. Often, once the root causes are known, the solutions becomes
obvious.

Questions & Considerations: Responses:

 What techniques have been used to discover the

root cause(s)? (e.g.: The 5-Whys, What is—What
isn’t Analysis, Timeline Analysis, Failure Analysis,

Simulations and Statistical Analysis)

 Have you asked the Root Cause Question: “Do

these causes explain all that is known about what

the problem is, as well as all that is known about
what the problem isn’t?” This is really a two-part

question: make sure the root causes found fit both
the “is” and the “isn’t” sections of the question. If
the causes being tested don’t fit both, then they

are probably not the root causes.

 Have the root causes identified been verified?

(Verification may require a series of confirmation

runs.)

 Has a future state of the Value Stream Map been

developed?

40 Basics of DMAIC Quick Guide

I: Improve

Sometimes a systematic approach is needed to use the root cause analysis to
develop a solution. If the solution(s) is obvious, select the best solution or mix
of solutions that will lead to a robust, yet cost-effective, solution. If solutions
are not yet evident, follow the data trail. When solutions are not obvious, often
the root cause has not been found. Once the solution and its implementation
are approved, the next step is to create an Action Plan. The Action Plan
outlines what steps are needed to implement the solution, who will do them,
and when they will be completed. A Simple Action Plan merely documents what
needs to be done, who will do it, and when will it be done by. A complex
solution needs more thorough planning and documentation.

Questions & Considerations: Responses:

 Has the solution passed the tests of practicality,

feasibility and cost-effectiveness?

 Is the solution robust and capable of preventing a

recurrence of the problem?

 Does the ROI (return on investment) or the

payback of the solution justify the cost of

implementing the solution?

 Can the solution be implemented within the

required deadline?

 Is a Simple Action Plan (who will do what by when)

adequate or will a Complex Action Plan be

needed?

 If a Complex Action Plan is needed, have Activity

Plans, Gantt Charts and PERT Charts been

developed?

 Part of implementing a solution is to document

new procedures or changes to procedures as well
as any changes that relate to the organization’s

quality system; has this been done?

 Has training to support the new systems been

developed and provided?

 After people use the new or revised process a few

times, they most likely will have some

improvement ideas. Have the suggestions been

assessed and have corresponding adjustments

made to the process, has the documentation been

updated and has retraining been provided?

Basics of DMAIC Quick Guide 41

C: Control

The job of a problem-solving team is not complete once the solution is
implemented. Preventing recurrence is an important part of a problem solution.
To prevent recurrence of the problem, the team must verify that the outcome of
their Action Plan works and validate that the outcome is on-target. Verification
is testing that the solution produces the desired outcome; validation is ensuring
that the outcome really solves the problem. Once a team has completed
implementing the solution and ensured that the solution works, all team
members deserve to be congratulated. Team members need to know that their
efforts are appreciated and that the organization knows about their
accomplishments.

Questions & Considerations: Responses:

 Has the outcome of the Action Plan been verified

to work?

 Has the outcome been validated to be on-target?

 Have Action Plan results been documented, have

related procedures been updated and have

corresponding changes to affected quality system

elements been made?

 Have audits been establish to assess the use and

effectiveness of the solution to ensure the gains

are held?

 Have the results been leveraged to prevent

occurrences of like problems in all similar

operations?

 Are macro-measures trending in the right direction

confirming that the process has been improved?

 Has the organization (leadership group)

recognized the team for their efforts in a timely

manner?

 Has the project team recognized those that have

provided the team with support and assistance?

42 Basics of DMAIC Quick Guide

APPENDIX 2

Problem Statement Worksheet

Chartering a project team starts with a well-thought-out Problem Statement. The
Problem Statement communicates the scope of the problem that the team is
working on and gets the team focused on finding the root cause. It should
provide sufficient information about the problem to help the team get started and
clarify what is expected of them.

Problem Statement Worksheet

Background Information About the Problem

What part, product, process
or service is involved?
Explain the problem(s):

When in the life cycle of the unit or transaction is the problem
detected? (For example, is the problem detected at the source,
at final inspection or by the end-user?)

To what percentage of the units or transactions does the
problem occur?

What Is – What Isn’t Information

What happened? What didn’t happen?

When does it occur? When doesn’t it occur?

Who has it happened to? Who hasn’t it happened to?

Expectations

What are the expectations (not solutions) of the team?

Note: If you don’t know the answer to any question, say “Do Not
Know.” DO NOT GUESS.

Basics of DMAIC Quick Guide 43

APPENDIX 3

Team Start-Up Worksheet

Using a simple Team Start-up Worksheet can save the project team time.

Team Start-Up Worksheet

Team Name: Date Started:
Team Members:

Team Leader:
Who will take minutes and maintain records?
Who will plan meetings (incl. issuing agendas)?

Review of Team Make-Up

1. Are all affected areas represented (review scope and process)?
YES NO Action:
2. Are different levels and types of knowledge represented on the team?
YES NO Action:
3. Are the appropriate internal/external suppliers/customers involved?
YES NO Action:

Team Boundaries of Freedom

1. What is the team responsible for? (circle one)

Analysis Recommendations for Improvement Improvement
Actions

2. What is the team’s budget?

3. Does the project have a deadline?

4. Do team members have specific time constraints?

5. What is the procedure if the team needs to expand
beyond these boundaries?

6. How should progress be communicated to others?

44 Basics of DMAIC Quick Guide

Handling Conflict

1. Will we meet if all members are not present?

2. How long can one person keep the floor?

3. How long will we spend on one point of disagreement
before tabling it (to collect more data for the next
meeting)?

4. How will we handle conflicts with people outside the
team?

5. Does anyone on the team have veto power over any
issue?

6. Who is the team champion (who will help resolve
roadblocks and conflicts)?

Basics of DMAIC Quick Guide 45

APPENDIX 4

Minutes & Planner Worksheet

To capture and communicate meeting minutes, a simple worksheet such as this
one can be used. The scribe for the meeting can keep notes right on the
worksheet and at the end of the meeting, before the team disbands, make copies
and distribute them. This ensures that everyone walks away from the meeting
with their action items in hand.

Minutes & Planner Worksheet

Date of Meeting: Next Meeting Date:

Meeting Attendees:

Meeting Objectives: 


Meeting Notes: 


Decisions Made: 




Action Items:

Item Who What By When



Open Issues:




Plans for Next Meeting

Who Will Attend:

Meeting Objectives: 
Meeting Agenda: 

Date: 
Start Time: 

Location:
End Time:

46 Basics of DMAIC Quick Guide

APPENDIX 5

Comparative Analysis Worksheet

What Is – What Isn’t Information

What happened? What didn’t happen?

What happened? What might you have expected to
happen, but didn’t?

When does it occur? When doesn’t it occur?

Who has it happened to? Who hasn’t it happened to?

Where did it happen? Where didn’t it happen?

What changed in the process? What didn’t change in the process?

Which supplier(s) was involved? Which supplier(s) was not involved?

Which customer(s) was involved? Which customers were not involved?

What changes were made to the What wasn’t changed in the process
process recently? recently?

What measurement system was What measurement system wasn’t
used? used?

Basics of DMAIC Quick Guide 47

APPENDIX 6

Checklist to Prevent Recurrence

Item Status/Action Complete?

1. Solution robustness: Can the solution be 
overridden? 

2. Solution robustness: Is the solution 
sustainable over time? 

3. Solution robustness: Has a mistake- 
proofing solution been used? 

4. Verification: Has it been verified that the 
outcome of the Action Plan works? 

5. Validation: Has it been validated that the
outcome of the Action Plan is on-target? 

6. Documentation: Have related procedural 
changes been made?

7. Documentation: Have related Quality
System updates been made?

8. Documentation: Have related Control Plan
changes been made?

9. Documentation: Have related FMEA
updates been made?

10. Documentation: Has a final project report
been completed?

11. Knowledge Transfer: Have the changes
been leveraged with all similar processes?

12. Knowledge Transfer: Have the changes
been shared with all similar units?

13. Training: Has the operational group been
trained in the why, what, & how of the
changes?

14. Audits: Has use and effectiveness of the
changes been added to audit schedules?

15. Transfer of Ownership: Has ownership of
the revised process/procedure been
formally transferred back to the operational
group?