Training Course Lean Six Sigma - Green Belt

Measure Phase

Process Discovery
Detailed Process Mapping

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Training Course Lean Six Sigma - Green Belt

Overview of Process Mapping

In order to correctly manage a process, you must be able to

describe it in a way that can be easily understood.
– The preferred method for describing a process is to identify it with a
generic name, show the workflow with a Process Map and describe its
purpose with an operational description.
– The first activity of the Measure Phase is to adequately describe the
process under investigation.

Start Step A Step B Step C Step D Finish

Information from Process Mapping

By mapping processes we can identify many important characteristics and

develop information for other analytical tools:

1. Process inputs (X’s)

2. Supplier requirements
3. Process outputs (Y’s)
4. Actual customer needs
5. All value-added and non-value added process tasks and steps
6. Data collection points
• Cycle times
• Defects
• Inventory levels
• Cost of poor quality, etc.
7. Decision points
8. Problems that have immediate fixes
9. Process control needs

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Training Course Lean Six Sigma - Green Belt

Process Mapping

There are usually three views of a process:

1 2 3
What you THINK it is.. What it ACTUALLY is.. What it SHOULD be..

Standard Process Mapping Symbols

Standard symbols for process mapping

(available in Microsoft Office™, Visio™, iGrafx™ , SigmaFlow™ and other
products):

A PARALLELOGRAM shows that

A RECTANGLE indicates an there is data
activity. Statements within the
rectangle should begin with a
verb
An ELLIPSE shows the start and
A DIAMOND signifies a decision point. end of the process
Only two paths emerge from a
decision point: No and Yes

A CIRCLE WITH A LETTER OR

An ARROW shows the 1 NUMBER INSIDE symbolizes the
connection and direction of continuation of a flowchart to
flow another page

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Process Mapping Levels

Level 1 – The Macro Process Map, sometimes called a Management level

or viewpoint.
Pizza
Customer Calls for Take Make Cook Deliver Customer
Corre Box Pizza
Hungry Order Order Pizza Pizza Pizza Eats
ct

Level 2 – The Process Map, sometimes called the Worker level or viewpoint. This
example is from the perspective of the pizza chef
Pizza
Dough

No
Take Order Add Place in Observe Check Yes Remove
from Cashier Ingredients Oven Frequently if Done from Oven 1

Start New
Pizza

Scrap
No
Tape
Pizza Place in Put on
1 Correct Box
Order on Delivery Rack
Yes Box

Level 3 – The Micro Process Map, sometimes called the Improvement level or
viewpoint. Similar to a level 2, it will show more steps and tasks and on it will be
various performance data; yields, cycle time, value and non value added time,
defects, etc.

Types of Process Maps

The Linear Flow Process Map

Calls
Customer Take Make Cook Pizza Box Deliver Customer
for
Hungry Order Pizza Pizza Correct Pizza Pizza Eats
Order

As the name states, this diagram shows the process steps in a sequential flow, generally ordered from an upper
left corner of the map towards the right side.
The Deployment-Flow or Swim Lane Process Map
Customer

Customer Calls for Customer

Hungry Order Eats
Cashier

Take
Order

Pizza Box
Cook

Make Cook
Pizza Pizza Correct Pizza
Deliverer

Deliver
Pizza

The value of the Swim Lane map is that is shows you who or which department is responsible for the steps in a
process. This can provide powerful insights in the way a process performs. A timeline can be added to show
how long it takes each group to perform their work. Also each time work moves across a swim lane, there is a
“Supplier – Customer” interaction. This is usually where bottlenecks and queues form.

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Types of Process Maps

The SIPOC “Supplier – Input – Process – Output – Customer” Process Map

Suppliers Inputs Process Outputs Customers Requirements

r ATT Phones r Pizza type r See Below r Price r Cook r Complete call < 3 min
r Office Depot r Size r Order confirmation r Accounting r Order to Cook < 1 minute
r TI Calculators r Quantity r Bake order r Complete bake order
r NEC Cash Register r Extra Toppings r Data on cycle time r Correct bake order
r Special orders r Order rate data r Correct address
r Drink types & quantities r Order transaction r Correct Price
r Other products r Delivery info
r Phone number
r Address
r Name
r Time, day and date
r Volume

Level 1 Process Map for Customer Order Process

Call for an Answer Write Confirm Sets Address & Order to
Order Phone Order Order Price Phone Cook

The SIPOC diagram is especially useful after you have been able to construct
either a Level 1 or Level 2 Map because it facilitates your gathering of other
pertinent data that is affecting the process in a systematic way.

Types of Process Maps

The Value Stream Map

Process Steps
Log Route Disposition Cut Check Mail Delivery
-Computer -Department -Guidelines -Computer -Envelops
-1 Person Assignments -1 Person -Printer I -Postage
Size of work queue or I I -1 Person
I I -1 Person -1 Person
inventory
4,300 7,000 C/T = 75 sec 1,700 C/T = 255 sec 2,450 C/T = 15 sec 1,840 C/T = 100 sec
C/T = 15 sec
Uptime = 0.90 Uptime = 0.95 Uptime = 0.95 Uptime = 0.85 Uptime = 0.90
Process Step Time Hours = 8 Hours = 8 Hours = 8 Hours = 8 Hours = 8
Parameters Breaks = 0.5 Breaks = 0.5 Breaks = 0.5 Breaks = 0.5 Breaks = 0.5
Hours Hours Hours Hours Hours
Available =6.75 Available =7.13 Available =7.13 Available =6.38 Available =6.75
Sec. Sec. Sec. Sec. Sec.
Avail. = 24,300 Avail. = 25,650 Avail. = 25,650 Avail. = 22,950 Avail. = 24,300
Step Processing Time
15 sec 75 sec 255 sec 15 sec 100 sec
Days of Work in
queue 2.65 days 20.47 days 16.9 days 1.60 days 7.57 days

Process Performance Metrics

IPY = 0.92 IPY = .94 IPY = .59 IPY = .96 IPY = .96
Defects = 0.08 Defects = .06 Defects = .41 Defects = .04 Defects = .04
RTY = .92 RTY = .86 RTY = .51 RTY = .49 RTY = .47
Rework = 4.0% Rework = 0.0 Rework = 10% Rework = 0.0 Rework = 0.0
Material Yield = .96 Material Yield = .94 Material Yield = .69 Material Yield = .96 Material Yield = .96
Scrap = 0.0% Scrap = 0.0% Scrap = 0.0% Scrap = 0.0% Scrap = 4.0%
Aggregate Performance Metrics

Cum Material Yield = .96 X .94 X .69 X .96 X .96 = .57 RTY = .92 X .94 X .59 X .96 X .96 = .47

The Value Stream Map is a very powerful technique to understand the velocity of
process transactions, queue levels and value added ratios in both manufacturing and
non-manufacturing processes.

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Exercise

Process Mapping Exercise – Going to Work

The purpose of this exercise is to develop a Level 1 Macro, Linear Process Flow Map and
then convert this map to a Swim Lane Map.

Read the following background for the exercise: You have been concerned about your
ability to arrive at work on time and also the amount of time it takes from the time your
alarm goes off until you arrive at work. To help you better understand both the variation in
arrival times and the total time, you decide to create a Level 1 Macro Process Map. For
purposes of this exercise, the start is when your alarm goes off the first time and the end is
when you arrive at your work station.

Task 1 – Mentally think about the various tasks and activities that you routinely do from the
defined start to the end points of the exercise.
Task 2 – Using a pencil and paper create a Linear Process Map at the macro level, but with
enough detail that you can see all the major steps of your process.
Task 3 – From the Linear Process Map, create a swim lane style Process Map. For the lanes
you may use the different phases of your process, such as the wake up phase, getting
prepared, driving, etc.

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Process Discovery
Level 1 Process Maps

A Process Map of Process Mapping

Create the Level 2 Create a Level 3

Select the process
PFM PFM

Determine
Add Performance
approach to map Perform SIPOC
the process data

Complete Level 1 Identify all X’s and Identify VA/NVA

PFM worksheet Y’s steps

Identify customer
Create Level 1 PFM
requirements

Define the scope Identify supplier

for the Level 2 PFM requirements

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Process Mapping Approach

Select the
Using the Individual Approach
process 1. Start with the Level 1 Macro Process Map.
2. Meet with process owner(s) / manager(s). Create a
Level 1 Map and obtain approval to interview process
Determine
approach to members.
map the 3. Starting with the beginning of the process, pretend you
process
are the product or service flowing through the process,
interview to gather information.
Complete 4. As the interview progress, assemble the data into a Level
Level 1 PFM
worksheet 2 PFM.
5. Verify the accuracy of the Level 2 PFM with the
individuals who provided input.
Create Level 1 6. Update the Level 2 PFM as needed.
PFM

Using the Team Approach

Define the
scope for the 1. Follow the Team Approach to Process Mapping
Level 2 PFM

Process Mapping Approach

Select the
Using the Team Approach
process 1. Start with the Level 1 Macro Process Map.
2. Meet with process owner(s) / manager(s). Create a Level 1
Map and obtain approval to call a process mapping
Determine
approach to meeting with process members (See team workshop
map the instructions for details on running the meeting).
process
3. Bring key members of the process into the process flow
workshop. If the process is large in scope, hold individual
Complete workshops for each subsection of the total process. Start
Level 1 PFM with the beginning steps. Organize meeting to use the
worksheet
“post-it note approach to gather individual tasks and
activities, based on the macro map, that comprise the
process.
Create Level 1
PFM
4. Immediately assemble the information that has been
provided into a Process Map.
5. Verify the PFM by discussing it with process owners and by
observing the actual process from beginning to end.
Define the
scope for the
Level 2 PFM

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Training Course Lean Six Sigma - Green Belt

Process Mapping Approach

Select the
The Team Process Mapping Workshop
process 1. Add to and agree on Macro Process Map.
2. Using DIN A4 paper for each macro process step, tape the
Determine
process to the wall in a linear style.
approach to 3. Process Members then list all known process tasks that they
map the do on a post-it note, one process task per note.
process
•Include the actual time spent to perform each activity, do
not include any wait time or queue time.
Complete •List any known performance data that describe the quality
Level 1 PFM
worksheet
of the task.
4. Place the post-it notes on the wall under the appropriate
macro step in the order of the work flow.
5. Review process with whole group, add additional information
Create Level 1
PFM and close meeting.
6. Immediately consolidate information into a Level 2 Process
Map.
7. You will still have to verify the map by walking the process.
Define the
scope for the
Level 2 PFM

Steps in Generating a Level 1 PFM

Select the
Creating a Level 1 PFM
process 1. Identify a generic name for the process:
For instance: “Customer Order Process”
Determine 2. Identify the beginning and ending steps of the process:
approach to Beginning - customer calls in. Ending – pizza order given to chef
map the
process 3. Describe the primary purpose and objective of the process
(operational definition):
The purpose of the process is to obtain telephone orders for pizzas, sell
Complete additional products if possible, let the customer know the price and
Level 1 PFM
worksheet
approximate delivery time, provide an accurate cook order, log the time
and immediately give it to the pizza cooker.
4. Mentally “walk” through the major steps of the process and write them
down:
Create Level 1
PFM
Receive the order via phone call from the customer, calculate the price,
create a build order and provide the order to operations
5. Use standard flowcharting symbols to order and to illustrate the flow of
the major process steps.
Define the
scope for the
Level 2 PFM

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Training Course Lean Six Sigma - Green Belt

Exercise

Exercise – Generate a Level 1 PFM

The purpose of this exercise is to develop a Level 1 Linear Process Flow Map
for the key process you have selected as your workplace assignment.

Read the following background for the exercise: You will use your selected
key process for this exercise (if more than one person in the class is part of
the same process you may do it as a small group). You may not have all the
pertinent detail to correctly put together the Process Map, that is ok, do
the best you can. This will give you a starting template when you go back to
do your project. In this exercise you may use the Level 1 PFM worksheet on
the next page as an example.

Task 1 – Identify a generic name for the process.

Task 2 - Identify the beginning and ending steps of the process.
Task 3 - Describe the primary purpose and objective of the process
(operational definition).
Task 4 - Mentally “walk” through the major steps of the process and write
them down.
Task 5 - Use standard flowcharting symbols to order and to illustrate the
flow of the major process steps.

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Exercise – Generate a Level 1 PFM

1. Identify a generic name for the process:

2. Identify the beginning and ending steps of the process:

3. Describe the primary purpose and objective of the process (operational

definition):

4. Mentally “walk” through the major steps of the process and write them down:

5. Use standard flowcharting symbols to order and to illustrate the flow of the major
process steps on a separate sheet of paper.

Example Template for Generating a Level 1 PFM

1. Identify a generic name for the process:

(I.E. customer order process).

2. Identify the beginning and ending steps of the process:

(beginning - customer calls in, ending – pizza order given to the chef).

3. Describe the primary purpose and objective of the process (operational definition):
(The purpose of the process is to obtain telephone orders for Pizzas, sell additional
products if possible, let the customer know the price and approximate delivery time,
provide an accurate cook order, log the time and immediately give it to the pizza
cooker).

4. Mentally “walk” through the major steps of the process and write them down:
(Receive the order via phone call from the customer, calculate the price, create a build
order and provide the order to the chef).

5. Use standard flowcharting symbols to order and to illustrate the flow of the major
process steps on a separate sheet of paper.

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Training Course Lean Six Sigma - Green Belt

Process Discovery
Level 2 Process Maps

Defining the Scope of Level 2 PFM

Customer Order Process
Select the Customer Calls for Take Make Cook Box Deliver Customer
Hungry Order Order Pizza Pizza Pizza Pizza Eats
process

Determine Pizza
Dough
approach to
map the No
process Take Order Add Place in Observe Check Yes Remove
from Cashier Ingredients Oven Frequently if Done from Oven 1

Start New
Complete Pizza
Level 1 PFM
worksheet Scrap
No
Tape
Pizza Place in Put on
1 Correct Box
Order on Delivery Rack
Yes Box

Create Level 1
PFM
The rules for determining the Level 2 Process Map scope:
• From your Macro Process Map, select the area which represents your problem.
• Map this area at a Level 2.
Define the
scope for the • Start and end at natural starting and stopping points for a process, in other words
Level 2 PFM you have the complete associated process.

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Training Course Lean Six Sigma - Green Belt

Defining the Scope of Level 2 PFM

Create the Level

2 PFM Pizza
Dough

No
Take Order Add Place in Observe Check Yes Remove
Perform SIPOC from Cashier Ingredients Oven Frequently if Done from Oven 1

Start New
Pizza
Identify all X’s
and Y’s Scrap
No
Tape
Pizza Place in Put on
1 Order on Delivery Rack
Identify Correct Box
Yes Box
customer
requirements

Identify supplier
requirements

Building a SIPOC

SIPOC diagram for customer-order process:

Create the Level 2 Suppliers Inputs Process Outputs Customers Requirements
PFM r ATT Phones r Pizza type r See Below r Price r Cook r Complete call < 3 min
r Office Depot r Size r Order confirmation r Accounting r Order to Cook < 1 minute
r TI Calculators r Quantity r Bake order r Complete bake order
r NEC Cash Register r Extra Toppings r Data on cycle time r Correct bake order
r Special orders r Order rate data r Correct address
r Drink types & quantities r Order transaction r Correct Price
Perform SIPOC r Other products r Delivery info
r Phone number
r Address
r Name
r Time, day and date
r Volume
Identify all X’s
and Y’s

Customer Order:
Identify customer
requirements Level 1 process flow diagram
Call for an Answer Write Confirm Sets Address & Order to
Order Phone Order Order Price Phone Cook

Identify supplier
requirements

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Training Course Lean Six Sigma - Green Belt

Identifying Customer Requirements

Create the Level

2 PFM
Process Name
Operational
PROCESS OUTPUT Definition
IDENTIFICATION AND ANALYSIS
1 3 4 5 6 7 8 9 10 11 12 13
Output Data Requirements Data Measurement Data Value Data General Data/Information
Customer (Name) Metric Measurement VA
System (How is it Frequency of or
Process Output - Name (Y) Internal External Metric LSL Target USL Measured) Measurement Performance Level Data NVA Comments
Perform SIPOC

Identify all X’s

and Y’s

Identify
customer
requirements

Identify supplier
requirements

Identifying Supplier Requirements

Create the Level

2 PFM
Process Name
Operational
PROCESS INPUT Definition
IDENTIFICATION AND ANALYSIS
1 2 3 4 5 6 7 8 9 10 11 12
Input Data Requirements Data Measurement Data Value Data General Data/Information
Supplier (Name) Metric Measurement NV
Controlled (C) System (How is it Frequency of Performance or
Perform SIPOC Process Input- Name (X) Noise (N) Internal External Metric LSL Target USL Measured) Measurement Level Data NVA Comments

Identify all X’s

and Y’s

Identify
customer
requirements

Identify supplier
requirements

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Training Course Lean Six Sigma - Green Belt

Controllable vs. Noise Inputs

“Make Pizza” Process Procedural Oven Clean

Ingredients prepared
Inputs

Oven Temp
Bake Time
Controllable Key Process
Ingredients
Recipe
Inputs Process Outputs
Correct Ingredients
Properly Cooked
Room Temp Pizza Size Hot Pizza >140 deg
Moisture Content
Noise Inputs Ingredient Types/Mixes
Ingredient Variation Volume

Every input can be either:

Controllable (C) - Inputs can be adjusted or controlled while the process is running
Procedural (P) - Inputs can be adjusted or controlled, however only before the start of the process
Noise (N) - Things we don’t think we can control, we are unaware of or see, too expensive or too difficult to
control

Exercise

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Training Course Lean Six Sigma - Green Belt

Exercise – Supplier Requirements

The purpose of this exercise is to identify the requirements for the suppliers
to the key process you have selected as your workplace assignment.

Read the following background for the exercise: You will use your
selected key process for this exercise (if more than one person in the class
is part of the same process you may do it as a small group). You may not
have all the pertinent detail to correctly identify all supplier requirements,
that is ok, do the best you can. This will give you a starting template when
you go back to do your workplace assignment. Use the process input
identification and analysis form for this exercise.

Task 1 – Identify a generic name for the process.

Task 2 - Write an operational description for the process
Task 3 - Complete the remainder of the form except the Value –Non value
added column.
Task 4 - Report out to the class when called upon,

Process Discovery
Level 3 Process Maps

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Training Course Lean Six Sigma - Green Belt

The Level 3 Process Flow Diagram

Pizza
Dough

No
Take Order Add Place in Observe Check Yes Remove
from Cashier Ingredients Oven Frequently if Done from Oven 1

Start New
Pizza

Scrap
No
Tape
Pizza Place in Put on
1 Correct Box
Order on Delivery Rack
Yes Box
Process Name Step Name/Number
PROCESS STEP Process Name Step Name/Number
PROCESS STEP
OUTPUT IDENTIFICATION AND ANALYSIS
1 3 4 5 6 7 8 9 10 11 12 13 INPUT IDENTIFICATION AND ANALYSIS
Output Data Requirements Data Measurement Data Value Data General Data/Information 1 2 3 4 5 6 7 8 9 10 11 12 13
Customer (Name) Metric Input Data Requirements Data Measurement Data Value Data General Data/Information
Measurement VA
Supplier (Name) Metric Measurement VA
System (How is it Frequency of or
Controlled (C) System (How is it Frequency of Performance or
Process Output - Name (Y) Internal External Metric LSL Target USL Measured) Measurement Performance Level Data NVA Comments
Process Input- Name (X) Noise (N) Internal External Metric LSL Target USL Measured) Measurement Level Data NVA Comments

Process Inputs (X’s) and Outputs (Y’s)

Process Name Step Name/Number
PROCESS STEP
OUTPUT IDENTIFICATION AND ANALYSIS
1 3 4 5 6 7 8 9 10 11 12 13
Output Data Requirements Data Measurement Data Value Data General Data/Information
Create a Level 3 Customer (Name) Metric Measurement
System (How is it Frequency of
VA
or
PFM Process Output - Name (Y) Internal External Metric LSL Target USL Measured) Measurement Performance Level Data NVA Comments

Add Performance
data

Identify VA/NVA
steps PROCESS STEP
Process Name Step Name/Number

INPUT IDENTIFICATION AND ANALYSIS

1 2 3 4 5 6 7 8 9 10 11 12 13
Input Data Requirements Data Measurement Data Value Data General Data/Information
Supplier (Name) Metric Measurement VA
Controlled (C) System (How is it Frequency of Performance or
Process Input- Name (X) Noise (N) Internal External Metric LSL Target USL Measured) Measurement Level Data NVA Comments

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Training Course Lean Six Sigma - Green Belt

Process Inputs (X’s) and Outputs (Y’s)

C /N Requirements or Specs. Inputs (Xs) Process

N/C 7”, 12”, 16” Size of Pizza Y’s

N/C 12 meats, 2 veggies, 3 cheese Toppings
N N/A Name
N Within 10 miles Address Order •All fields
N Within area code Phone
Take Order
complete
N 11 AM to 1 AM Time
N 5 X 52 Day
N MM/DD,YY Date

C All fields complete Order

C Per Spec Sheets Ingredients •Size
Make Pizza Raw •Weight
S.O.P Per Rev 7.0 Recipe Pizza
C As per recipe chart 3-1 in Oz. Amounts •Ingredients
correct

C All fields complete Order

C Ingredients per order Raw Pizza
C 350F +/- 5F Oven Temp Cook Pizza •>140F
C Time Cooked •Ingredients
10 Min
Pizza correct
N 60 per hour max Volume
•No burns

Identifying Waste
Writes time Add to Rewrite
on scratch Order order
pad

No
Request
No
Call for an Answer Greetings and Writes on Asks for
mention order from Confirm
Order phone specials customer scratch pad more? order

Yes
1 2
No
Asks cook Thanks
No
Calculate Inform Gets address Another
2 price for time customer of Order
& phone # customer & call 3
estimate price/time still OK? hangs up waiting
Yes
Yes
Writes time
on scratch Yes
Create a Level pad
•Each process activity can be tested for its value- New
order? 1
3 PFM add contribution
No

•Ask the following two questions to identify Completes

3 order from
Add non-value added activity: from note pad

Performance • Is the form, fit or function of the work

data item changed as a result of this activity? OK Verify
Give order to
with
• Is the customer willing to pay for this Cook
notes
Not
activity? OK
Identify
Rewrite
VA/NVA steps Order

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Process Discovery
The Cause and Effect Diagram

Overview of Brainstorming Techniques

A commonly used tool to solicit ideas by using categories to stimulate cause and effect
relationship with a problem. It uses verbal inputs in a team environment.

Cause and Effect Diagram

People Machine Method

The Y
The or
Problem
The X’s Problem
Condition

(Causes)

l
Material Measurement Environment Categories

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Cause and Effect Diagram

Cause and Effect Diagram

A commonly used tool to
People Machine Method
solicit ideas by using
categories to stimulate
The Y cause and effect
Theor
Problem
relationship with a
The X’s Problem
Condition problem. It uses verbal
(Causes) inputs in a team
environment.
l
Material Measurement Environment Categories

Products Transactional
Categories for the legs of the
• Measurement • People
diagram can use templates for
• People products or transactional • Policy
• Method symptoms. Or you can select the • Procedure
• Materials categories by process step or what • Place
• Equipment you deem appropriate for the • Measurement
• Environment situation. • Environment

Cause and Effect Diagram

The Measurement category groups causes related to the measurement and measuring of
a process activity or output:
Examples of questions to ask:
• Is there a valid measurement Measurement
system?
• Is the data good enough?
• Is data readily available?
Y

The People category groups root causes related to people, staffing, and
organizations:
Examples of questions to ask: People
• Are people trained, do they
have the right skills?
• Is there person to person Y
variation?
• Are people over - worked?

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Cause and Effect Diagram

The Method category groups root causes related to how the work is done, the way the
process is actually conducted:
Examples of questions to ask: Method
• How is this performed?
• Are procedures correct?
• What might be unusual? Y

The Materials category groups root causes related to parts, supplies, forms or
information needed to execute a process:

Examples of questions to ask:

• Are there defects in the materials? Y
• Are bills of material current?
• Are parts or supplies obsolete?
Materials

Cause and Effect Diagram

The Equipment category groups root causes related to tools used in the process:

Examples of questions to ask:

• Have machines been serviced recently, what
is the uptime? Y
• Have tools been properly maintained?
• Is there variation?
Equipment

The Environment category groups root causes related to our work environment, market
conditions and regulatory issues.
Examples of questions to ask:
• Is the workplace safe and comfortable?
• Are there outside regulations impacting Y
the business?
• Does the company culture aid the
process?
Environment

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Classifying the X’s

The Cause & Effect Diagram is simply a tool to generate opinions about
possible causes for defects.

For each of the X’s identified in the Fishbone diagram classify them as
follows:
• Controllable – C (Knowledge)
• Procedural – P (People, Systems)
• Noise – N (External or Uncontrollable)

Think of procedural as a subset of controllable. Unfortunately, many

procedures within a company are not well controlled and can cause the
defect level to go up. The classification methodology is used to separate
the X’s so they can be used in the X-Y Matrix and the FMEA taught later in
this module.

WHICH X’s CAUSE DEFECTS?

Chemical Purity Example

Measurement People Materials

Training on method (P) Raw Materials (C)

Incoming QC (P)

Measurement Insufficient staff (C)

Method (P) Skill Level (P) Multiple Vendors (C)

Measurement
Capability (C) Adherence to procedure (P) Specifications (C)

Work order variability (N)

Chemical
Startup inspection (P) Room Humidity (N) Column Capability (C) Purity
Handling (P) RM Supply in Market (N) Nozzle type (C)
Purification Method (P) Shipping Methods (C) Temp controller (C)

Data collection/feedback (P)

Methods Environment Equipment

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Exercise

Cause & Effect Diagram Exercise

Exercise objective: Create a Fishbone Diagram.

1. Retrieve the high level Process Map for your project and use
it to complete a Fishbone, if possible include your project
team.

Don’t let the

big one get
away!

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Process Discovery
The X-Y Matrix

Definition of X-Y Matrix

• The X-Y Matrix is:

• A tool used to identify potential X’s and assess their relative impact
on multiple Y’s (include all Y’s that are customer focused)
• Based on the team’s collective “opinions”
• Created for every project
• Never completed
• Updated whenever a parameter is changed

• To summarize, the X-Y is a team-based prioritization tool for the

potential X’s

• WARNING! This is not real data, this is organized brainstorming!! At

the conclusion of the project you may realize that the things you
thought were critical are in fact not as important as was believed.

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The Vital Few

A Six Sigma Belt does not just discover which X’s are important in a
process (the vital few).
• The team considers all possible X’s that can contribute or cause the
problem observed.
• The team uses 3 primary sources of X identification:
• Process Mapping
• Fishbone Analysis
• Basic Data Analysis – Graphical and Statistical
• A List of X’s is established and compiled.
• The team then prioritizes which X’s it will explore first, and eliminates
the “obvious” low impact X’s from further consideration.

The X-Y Matrix is this Prioritization Tool!

The “X-Y Matrix”

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Using the Classified X’s

• Breakthrough requires dealing primarily with controllable X’s impacting the

“Y”.
• Use the controllable X’s from the Fishbone analysis to include in the X-Y
Matrix.
• The goal is to isolate the vital few X’s from the trivial many X’s.
• Procedures and Noise X’s will be used in the FMEA at the end of this module.
However:
– All procedures must be in total compliance.
• This may require some type of effectiveness measure.
• This could reduce or eliminate some of the defects currently seen in the
process (allowing focus on controllable X’s).
– Noise type inputs increase risk of defects under current technology of
operation and therefore:
• Increase RPN on the FMEA document from an input.
• Help identify areas needing investment for a justified ROI.

*Risk Priority Number

X-Y Matrix: Steps

List X’s from Fishbone Diagram in horizontal rows

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X-Y Matrix: Steps

List Y’s in columns (including Primary and Secondary metrics).
Weight the Y’s on a scale of 1-10 (10 - highest and 1- lowest).

X-Y Matrix: Steps

For each X listed, rank its effect on each metric based on a scale of 1, 3 or 9.
• 9 = Highest
• 3 = Marginal
• 1 = None

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X-Y Matrix: Steps

“Ranking” multiplies the rank of each X by the Weight of each Metric. The
product of that is added together to become the “Ranking”.

Example

Click the Demo button to see an example.

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Example

Click the Summary Worksheet

YX Diagram Summary
Process: laminating
Date: 5/2/2006 Input Matrix Results

100.00%
Output Variables Input Variables 90.00%
80.00%
Description Weight Description Ranking Rank %

Output (Y's)
70.00%
60.00%
broken 10 temperature 162 14.90% 50.00%
40.00%
unbonded area 9 human handling 159 14.63% 30.00%
20.00%
smears 8 material properties 130 11.96% 10.00%
0.00%
thickness 7 washer 126 11.59%

time
temperature

clean room cleanliness

material properties

pressure
foreign material 6 pressure 120 11.04%
0 robot handling 120 11.04%
0 time 102 9.38%
0 clean room practices 90 8.28% Input Summary
0 clean room cleanliness 78 7.18% Input (X's)
0 - 0.00%

Exercise

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Fishbone Diagram Exercise

Exercise objective: Create an X-Y Matrix using the

information from the Fishbone analysis.

1. Using the Fishbone Diagram created earlier, create an X-

Y Matrix.

2. Present results to your mentor.

Process Discovery
FMEA

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Definition of FMEA

Failure Modes Effect Analysis (FMEA) is a structured approach to:

• Predict failures and prevent their occurrence in manufacturing and
other functional areas which generate defects.
• Identify the ways in which a process can fail to meet critical customer
requirements (Y).
• Estimate the Severity, Probability of Occurrence and Detectability of
defects
• Evaluate the current Control Plan for preventing these failures from
occurring and escaping to the customer.
• Prioritize the actions that should be taken to improve and control the
process using a Risk Priority Number (RPN).

Give me an “F”, give me an “M”……

History of FMEA

History of FMEA:
• First used in the 1960’s in the Aerospace industry during the Apollo
missions
• In 1974 the Navy developed MIL-STD-1629 regarding the use of
FMEA
• In the late 1970’s, automotive applications driven by liability costs,
began to incorporate FMEA into the management of their processes
• Automotive Industry Action Group (AIAG) now maintains the FMEA
standard for both Design and Process FMEA’s

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Types of FMEA’s

• System FMEA: Performed on a product or service product at the early concept/design level
when various modules all tie together. All the module level FMEA’s tie together to form a
system. As you go lower into a system more failure modes are considered.
– Example: Electrical system of a car, consists of the following modules: battery, wiring
harness, lighting control module and alternator/regulator.
– System FMEA focuses on potential failure modes associated with the modules of a system
caused by design

• Design DFMEA: Performed early in the design phase to analyze product fail modes before they
are released to production. The purpose is to analyze how fail modes affect the system and
minimize them. The severity rating of a fail mode MUST be carried into the Process PFMEA.

• Process PFMEA: Performed in the early quality planning phase of manufacturing to analyze fail
modes in manufacturing and transactional processes that may escape to the customer. The
failure modes and the potential sources of defects are rated and corrective action taken based
on a Pareto analysis ranking.

• Equipment FMEA: used to analyze failure modes in the equipment used in a process to detect
or make the part.
– Example: Test Equipment fail modes to detect open and short circuits.

Purpose of FMEA

FMEA’s:

• Improve the quality, reliability and safety of products.

• Increase customer satisfaction.
• Reduce product development time and cost.
• Document and track actions taken to reduce risk and improve
the process.
• Focus on continuous problem prevention not problem solving.

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Who Creates FMEAs and When?

Who When
• The focused team working on • Process FMEAs should be started:
a breakthrough project. • At the conceptual design phase.
• Process FMEAs should be updated:
• ANYONE who had or has a
• When an existing design or process is
role in defining, executing, or
being changed.
changing the process.
• When carry-over designs or processes
• This includes: will be used in new applications and
environments.
• Associates
• When a problem solving study is
• Technical Experts completed and needs to be documented.
• Supervisors • System FMEAs should be created after system
functions are defined but before specific
• Managers hardware is selected.
• Etc. • Design FMEAs should be created when new
systems, products and processes are being
designed.

Why Create an FMEA?

As a means to manage…

RISK!!!
We want to avoid causing failures in the Process as well as the
Primary & Secondary Metrics .

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The FMEA…

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s
1
2
3
4
5
6
7
8
9

FMEA Components…#

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

The first column is the Process Step Number.

1
2
3
4
5
Etc.

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FMEA Components… Process Step

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

Enter the Name of the Process Step here. The FMEA should sequentially follow the
steps documented in your Process Map.
Phone
Dial Number
Listen for Ring
Say Hello
Introduce Yourself
Etc.

FMEA Components…Potential Failure Modes

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

This refers to the mode in which the process could potentially fail. These are the
defects caused by a C,P or N factor that could occur in the Process.
This information is obtained from Historical Defect Data.

FYI..A failure mode is a fancy name for a defect.

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FMEA Components…Potential Failure Effects

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

This is simply the effect of realizing the potential failure mode on

the overall process. It focuses on the outputs of each step.
This information can be obtained in the Process Map.

FMEA Components…Severity (SEV)

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

This ranking should be developed based on the teams knowledge of the process in
conjunction with the predetermined scale.
The measure of Severity is a financial measure of the impact to the business of
realizing a failure in the output.

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Ranking Severity

Effect Criteria: Severity of Effect Defined Ranking

Hazardous: May endanger the operator. Failure mode affects safe vehicle operation and/or 10
Without involves non-compliance with government regulation. Failure will occur WITHOUT
Warning warning.
Hazardous: May endanger the operator. Failure mode affects safe vehicle operation and/or 9
With Warning involves non-compliance with government regulation. Failure will occur WITH
warning.
Very High Major disruption to the production line. 100% of the product may have to be scrapped. 8
Vehicle/item inoperable, loss of primary function. Customers will be very dissatisfied.

High Minor disruption to the production line. The product may have to be sorted and a portion 7
(less than 100%) scrapped. Vehicle operable, but at a reduced level of
performance. Customers will be dissatisfied.
Moderate Minor disruption to the production line. A portion (less than 100%) may have to be 6
scrapped (no sorting). Vehicle/item operable, but some comfort/convenience
item(s) inoperable. Customers will experience discomfort.
Low Minor disruption to the production line. 100% of product may have to be re-worked. 5
Vehicle/item operable, but some comfort/convenience item(s) operable at a
reduced level of performance. Customers will experience some dissatisfaction.
Very Low Minor disruption to the production line. The product may have to be sorted and a 4
portion (less than 100%) re-worked. Fit/finish/squeak/rattle item does not
conform. Most customers will notice the defect.
Minor Minor disruption to the production line. A portion (less than 100%) of the product may 3
have to be re-worked online but out-of-station. Fit/finish/squeak/rattle item
does not conform. Average customers will notice the defect.
Very Minor Minor disruption to the production line. A portion (less than 100%) of the product may 2
have to be re-worked online but in-station. Fit/finish/squeak/rattle item does
not conform. Discriminating customers will notice the defect.
None No effect. 1

* Potential Failure Mode and Effects Analysis (FMEA), Reference Manual, 2002. Pgs 29-45. Chrysler Corporation, Ford
Motor Company, General Motors Corporation.

Applying Severity Ratings to Your Process

• The guidelines presented on the previous slide were developed for the
auto industry.
• This was included only as a guideline....”actual results may vary” for your
project.
• Your severity may be linked to impact on the business or impact on the
next customer, etc.

You will need to define your own criteria…

and be consistent throughout your FMEA

Let’s brainstorm how we might define the following SEVERITY levels in our
own projects:
1, 5, 10

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Sample Transactional Severities

Effect Criteria: Impact of Effect Defined Ranking

Critical Business May endanger company’s ability to do business. Failure mode affects process
10
Unit-wide operation and / or involves noncompliance with government regulation.

Critical Loss - May endanger relationship with customer. Failure mode affects product delivered
Customer and/or customer relationship due to process failure and/or noncompliance with 9
Specific government regulation.

Major disruption to process/production down situation. Results in near 100%

High 7
rework or an inability to process. Customer very dissatisfied.

Moderate disruption to process. Results in some rework or an inability to process.

Moderate Process is operable, but some work arounds are required. Customers experience 5
dissatisfaction.
Minor disruption to process. Process can be completed with workarounds or
Low rework at the back end. Results in reduced level of performance. Defect is 3
noticed and commented upon by customers.
Minor disruption to process. Process can be completed with workarounds or
Minor rework at the back end. Results in reduced level of performance. Defect noticed 2
internally, but not externally.
None No effect. 1

FMEA Components…Classification “Class”

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

Class should categorize each step as a…

 Controllable (C)
 Procedural (P)
 Noise (N)
This information can be obtained in the Process Map.

Controllable – A factor that can be dialed into a specific setting/value. For example Temperature or Flow.
Procedures – A standardized set of activities leading to readiness of a step. For example Safety
Compliance, “Lock -Out Tag-Out.”
Noise - A factor that can not be dialed in to a specific setting/value. For example rain in a mine.

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Potential Causes of Failure (X’s)

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

Potential Causes of the Failure refers to how the failure could occur.
This information should be obtained from the Fishbone Diagram.

FMEA Components…Occurrence “OCC”

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

Occurrence refers to how frequently the specified failure is projected to occur.

This information should be obtained from Capability Studies or Historical Defect
Data - in conjunction with the predetermined scale.

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Ranking Occurrence

Probability of Failure Possible Failure Rates Cpk Ranking

Very High: Failure is almost ³ 1 in 2 < 0.33 10

inevitable.
1 in 3 ³ 0.33 9
High: Generally associated with
1 in 8 ³ 0.51 8
processes similar to previous processes
that have often failed.
1 in 20 ³ 0.67 7

Moderate: Generally associated with 1 in 80 ³ 0.83 6

processes similar to previous processes
that have experienced occasional 1 in 400 ³ 1.00 5
failures but not in major proportions.
1 in 2,000 ³ 1.17 4

Low: Isolated failures associated with

1 in 15,000 ³ 1.33 3
similar processes.
Very Low: Only isolated failures
associated with almost identical 1 in 150,000 ³ 1.5 2
processes.
Remote: Failure is unlikely. No failures
ever associated with almost identical £ 1 in 1,500,000 ³ 1.67 1
processes.

FMEA Components…Current Process Controls

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

Current Process Controls refers to the three types of controls that are in place to
prevent a failure in with the X’s. The 3 types of controls are:
• SPC (Statistical Process Control)
• Poke-Yoke – (Mistake Proofing)
• Detection after Failure

Ask yourself “how do we control this defect?”

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FMEA Components…Detection (DET)

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

Detection is an assessment of the probability that the proposed type of control will
detect a subsequent Failure Mode.

This information should be obtained from your Measurement System Analysis

Studies and the Process Map. A rating should be assigned in conjunction with the
predetermined scale.

Ranking Detection

Criteria: The likelihood that the existence of a defect will

Detection be detected by the test content before the product Ranking
advances to the next or subsequent process
Almost Impossible Test content must detect < 80% of failures 10

Very Remote Test content must detect 80% of failures 9

Remote Test content must detect 82.5% of failures 8

Very Low Test content must detect 85% of failures 7

Low Test content must detect 87.5% of failures 6

Moderate Test content must detect 90% of failures 5

Moderately High Test content must detect 92.5% of failures 4

High Test content must detect 95% of failures 3

Very High Test content must detect 97.5% of failures 2

Almost Certain Test content must detect 99.5% of failures 1

Potential Failure Mode and Effects Analysis (FMEA), AIAG Reference Manual, 2002 Pg. 35.. Chrysler Corporation, Ford Motor
Company, General Motors Corporation.

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Risk Priority Number “RPN”

# Process Potential Potential S C Potential O Current D R Recomme Responsibl Taken S O D R

Functio Failure Failure E l Causes of C Process E P nd Actions e Person & Action E C E P
n Modes Effects V a Failure C Controls T N Target s V C T N
(Step) (process (Y's) s (X's) Date
defects) s

The Risk Priority Number is a value that will be used to rank order the concerns
from the process.

The RPN is the product of, Severity, Occurrence and Detect ability as represented
here…

RPN = (SEV)*(OCC)*(DET)

FEMA Components…Actions

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

Recommended Actions refers to the activity for the prevention of a defect.

Responsible Person & Date refers to the name of the group or person responsible for
completing the activity and when they will complete it.

Taken Action refers to the action and effective date after it has been completed.

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FMEA Components…Adjust RPN

# Process Potential Potential S C Potential O Current D R Recommen Responsibl Taken S O D R

Function Failure Failure E l Causes of C Process E P d Actions e Person & Action E C E P
(Step) Modes Effects V a Failure C Controls T N Target s V C T N
(process (Y's) s (X's) Date
defects) s

Once the Recommended Actions, Responsible Person & Date, Taken Action have
been completed the Severity, Occurrence and Detection should be adjusted. This
will result in a new RPN rating.

Exercise

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FMEA Exercise

Exercise objective: Assemble your team in order to

create a FMEA using the information generated
from the Process Map, Fishbone Diagram and X-Y
Matrix.

1. Be prepared to present results to your mentor.

OK Team, let’s
get that FMEA!

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