Process Improvement Guide

United States Coast Guard
PROCESS IMPROVEMENT GUIDE

ITED STA
S COA TE
GUAR ST
17 9 0
Total Quality Tools for Teams and Individuals
Second Edition
January 1994
CONTENTS
PREFACE TO SECOND EDITION iv
SECTION ONE - Overview of Process Improvement

Shewhart Cycle Quality Blueprint Process Improvement Model FADE Problem-Solving Model Alignment Work as a Process Right Things Right Five Pillars Costs of Quality Strategic Quality Goal 3
1
4 6 8 8 9 9 10 10
SECTION TWO - Generating Ideas

Brainstorming Five Whys Surveys & Interviews Three Alignment Questions Contingency Diagram Multi-Voting Nominal Group Technique Force Field Analysis Pairwise Ranking Affinity Diagram EE
11
12 15 17 18 19 21 23 25 26 28
SECTION THREE - Data & Data Collection

What is Data? Why Collect Data? Five Elements of Useful Data Sampling Effective Data Collection Strategy Checksheet
31
32 32 33 33 35 36
SECTION FOUR - Basic Tools

Overview What Can These Tools Do For Me? Key Concepts Tools: FLOWCHART CAUSE & EFFECT DIAGRAM PARETO DIAGRAM PROGRESSIVE ANALYSIS HISTOGRAM SCATTERGRAM RUN CHART CONTROL CHARTS
39
39 39 40 42 46 49 52 53 56 58 60
REFERENCES
78
QUICK REFERENCE GUIDE FOR USING TQM TOOLS 80

EEE EEE
Preface to Second Edition ABOUT THIS GUIDE...

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Section 1 OVERVIEW OF PROCESS IMPROVEMENT

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Overview
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6DEI ?D=FJAH FHAIA JI I A KIABK @A I = @ JA?D EGKAI B H J= E C = IOIJA =JE? =FFH =?D J FH ?AII E FH LA A J 6DAO ME DA F O K @EI? LAH > JD MD=J EI JDA HECDJ JDE C J @ = @ JDA HECDJ M=O J @ EJ 6DAO ME DA F O K J=F E J O KH >ECCAIJ E FH LA A J HAI KH?A O KH ?KIJ AH 6DA HAIJ B JDA 2H ?AII 1 FH LA A J /KE@A ME FHAIA J E B H =JE = @ J I J DA F O K ? A?J = @ C=JDAH @=J= ? LAHJ JD=J @=J= E J KIABK @A?EIE = E C E B H =JE = @ M H J CAJDAH HA ABBE?EA J O = @ ABBA?JELA O O KH E FH LA A J H FH > A I LE C FH A?JI
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Overview
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*ODI - Organizational Dynamics, Inc -The initial TQM implementation consultant and trainer for the Coast Guard. Their Quality Blueprint, FADE problem-solving model, and other key concepts are presented here since many Coast Guard members may be familiar with them or have received some initial training in their use.
THE SHEWHART CYCLE (PDCA or Deming Cycle)
Overview
What it is:
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ACT on the Results CHECK the Results
PLAN an Approach DO the Activity
How to use it:

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)?J JDA HAIK JI 1B JDA ABB HJ M=I JHK O = E FH LA A J IJ= @=H@E A = @ @ ?K A J EJ 1B EJ M=I \J IK??AIIBK =>= @ JDA F = H =@ KIJ EJ =I AA@A@ J LAH? A = O E@A JEBEA@ MA= AIIAI H FH > A I 4AFA=J 7IE C O KH @=J= = @ AII A=H A@ ? JE KA =H K @ JDA ?O? A =C=E >O F = E C = @ ?=HHOE C KJ BKHJDAH FH ?AII E FH LA A J =?JELEJO
THE QUALITY BLUEPRINT
Overview
What It Is:
) @A B H FH ?AII E FH LA A J JDA 3K= EJO * KAFHE J AN= E AI > JD MD=J O K @ = @ D M O K @ EJ *O B ME C JDA IJAFI >A M E IAGKA ?A O K DA F A IKHA IKFF EAHI ?KIJ AHI = @ F=HJE?EF= JI E O KH M H FH ?AIIAI =HA = E ? K@A@ E O KH ABB HJI J ? JE K KI O E FH LA . ME C JDA 3K= EJO * KAFHE J DA FI FHALA J JDA = J =JKH= JA @A ?O J K F J I KJE I FHE H J HA= O K @AHIJ= @E C = FH > A H EJI H J ?=KIAI
A=IKHA = @ EJ H
ACT on the Results CHECK the Results
1@A JEBO 1 FH LA A J FF HJK EJEAI 1@A JEBO AO +KIJ PLAN = @ 5KFF EAHI an Approach
DO the Activity
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5JAFI J ,AJAH E A 4ECDJ 9=O J , 1J How to Use It:
5JAFI J ,AJAH E A JDA DA 4ECDJ 6DE C J ,
6DA 3K= EJO * KAFHE J ME = M O K J @A?E@A MD=J =HA= O K ID K @ B ?KI O KH E FH LA A J ABB HJI E MD=J ?KIJ AHI = @ IKFF EAHI O K AA@ J AIJ=> EID FH @K?J IAHLE?A H E B H =JE HAGKEHA A JI MEJD = @ D M O KH ?KHHA J FH ?AII ME H ME J = M O K J AAJ JD IA HAGKEHA A JI 1J M= I O K JDH KCD JDA E FH LA A J ?O? A HA E B H =JE JDA E @ELE@K= IJAFI E JDEI ?O? A EI FH LE@A@ JDA B ME C F=CAI
"
THE RIGHT THING

Identify opportunity:
EIJA J O KH ?KIJ =J ?KHHA J AHI A=IKHAI
THE RIGHT WAY

Describe current process
. M?D=HJ O KH ?KHHA J FH ?AII B H > JJ A A? I L= KA =@@A@ IJAFI J ?=KIAI B H H
Overview
1@A JEBO =L E@=> A ? IJI 1@A JEBO 5AJ 2HE HEJEAI
1@A JEBO
L= KA =@@A@ IJAFI
Develop/Execute Solutions Identify key customers and suppliers

)I 9D CAJI O KJFKJ )I 9D IA E FKJI @ 1 AA@ AHI IKFF EAHI /A AH=JA = JAH =JELAI 8= E@=JA BA=IE>E EJO 2 =
,ALA F = )?JE 1 F A A J I KJE
,AJAH E A O KH ?HEJE?= ?KIJ
Measure/Monitor Results
-IJ=> EID A=IKHAI -IJ=> EID BAA@>=? IOIJA I JE KA E FH LA A J =?JELEJO
Establish Agreed-Upon Requirements

)I O KH ?KIJ AHI A 9D=J @ O K AA@ BH 9D=J @ O K @ MEJD EJ )HA JDAHA = O C=FI 5AJ FHE HEJEAI B H =?JE
, ?K A J HAIK JI +
Identify Gaps
1@A JEBO C=FI E ?KHHA J FH ?AII 9D=J @=J= @ O K AA@ D=LA J LAHEBOC=FIANEIJ
6DA 3K= EJO * KAFHE J ME DA F O K AAF = FH ?AII B ?KIA@ LEAM B 3K= EJO E FH LA A J = @ ME = M O K J >AJJAH AAJ O KH ?KHHA J ?KIJ AH AA@I MDE A =J JDA I= A JE A >KE @E C = IJH CAH ?KIJ AH IKFF EAH ?D=E B H BKJKHA ABB HJI
THE FADE PROBLEM-SOLVING PROCESS
Overview
What It Is:
) B KH IJAF FH > A I LE C @A JDA .),- FH ?AII ?= >A KIABK B H E @ELE@K= I 3K= EJO )?JE 6A= I 3)6 =JKH= 9 H CH KFI 9/ H JDAHI MD D=LA >AA J=I A@ MEJD @ALA FE C I KJE I J = FH > A . 5A A?J
+75 +D IA=FH > A

- FH > A
/A AH=JA = EIJ B FH > A I 8AHEBO = @ @ABE A JD=J FH > A ) +
) ; - A=H => KJ JDA FH > A

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,A?E@A MD=J O K AA@ J ,AJAH E A H J ?=KIAI = @
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How to Use It:
Overview
.),- HAGKEHAI O K J FH FAH O ? F AJA JDA KJFKJI HAGKEHA@ >O = A=?D IJAF >AB HA O K LA J JDA ANJ .=E KHA J @ I ?= @ O KH =JJA FJ J I LA = FH > A H E E E A JDA GK= EJO B HA? A @A@ I KJE I ; K KIJ ? A?J = @ FH FAH O = = O A =FFH FHE=JA JOFAI = @ = K JI B @=J= @KHE C A=?D IJAF
REQUIRED OUTPUTS FOR F .A.D.E. PROCESS

FOCUS - A written problem statement detailing: . The current state of your process ( What is happening now) . The negative impacts of that stateW ( hy change is needed) .Your desired state (What you want to happen) . The impacts of achieving your desired stateBenefits) ( ANALYZE -Verified problem statement/list of "root" causes . A flowchart of yourcurrent work process . A list of "root" causes for problems/gaps identified DEVELOP - List of proposed solutions/Action Plan . List of recommended solutions . Action Plan to implement your solutions . Who, What, When, Where, Why and How of your plan . Appropriate documentation to explain/justify recommendations EXECUTE - Process and Results Measures . Measures of process efficiency/effectiveness . Data collection/monitoring plan
OTHER KEY QUALITY CONCEPTS
Overview
ALIGNMENT: Matching your capabilities/customer needs with organizational goals

) EC A J ?= >A =?DEALA@ >O AAJE C MEJD O KH ?KIJ AH AIJ=> EIDE C =CHAA@ KF FAHB H = ?A HAGKEHA A JI = @ JDA =@ KIJE C O KH M H FH ?AIIAI J AAJ JD IA HAGKEHA A JI = @ =IIEC A@ HC= E =JE = C = I 1J = I E ? K@AI A=IKHE C EJ HE C = @ ? JE K KI BAA@>=? J O KH ?KIJ AHI IKFF EAHI = @ JD IA M H E C E O KH FH ?AII
Supplier Capabilities
Hi
Organizational Goals
Low
Customer Needs Hi
WORK AS A PROCESS: Your work is part of an interrelated process

; KH M H ABB HJI =HA F=HJ B = FH ?AII J = EI =JA@ ALA J 6DA ?HEJE?= F=HJ B = O FH ?AII EI B H A=?D E @ELE@K= MD=JALAH H A JDAO =HA F =OE C J A IKHA MD=J JDAO =HA @ E C=@@I L= KA J JDA K JE =JA FH @K?J IAHLE?A H E B H =JE JD=J EI JDA KJFKJ B JD=J FH ?AII
Supplier Outputs/Inputs
Product, Service Information, Material
YOU Value-Added Process
Customer Outputs/Inputs
Needs and Expectations
&
OTHER KEY QUALITY CONCEPTS (CON'T)
Overview
RIGHTTHINGS RIGHT: Meeting our customer's needs

, E C JDA 4ECDJ 6DE CI 4ECDJ EI JDA J=HCAJ B H KH 3K= EJO ABB HJI 1 JHOE C J =?? F EID JD=J KH M H ABB HJI ?= CA AH= O B= E J A H HA B JDA B ME C ?=JAC HEAI
Inputs
Right Things Right -Things we should do and we do well Right Things Done Wrong -Things we should do but don't do well Wrong Things Done Right- Things we shouldn't do but do well anyway Wrong Things Done Wrong-Things we shouldn't do and do poorly
FIVE PILLARS: Key elements of a Quality organization

) 3K= EJO E EJE=JELA MEJDE = O HC= E =JE IKFF HJ FE =HI AA@I JDA B ME C BELA
Customer Focus - Aligning all your processes to meet customer needs Identifying Identify Total Involvement - Getting everyone involved in improving processes Systematic Support - Aligning organizational systems with Quality principles and practices (i.e. budget, evaluations) Measurement - Establishing performance requirements and monitoring Continuous Improvement - Never settling for "good enough"
'
Overview
OTHER KEY QUALITY CONCEPTS (CON'T) COSTS OF QUALITY: Necessary and avoidable costs of Quality
+ IJI B 3K= EJO ?= =?? K J B H =I K?D =I ! B = >K@CAJ 5 A B JDAIA ? IJI =HA =L E@=> A HAM H = @ I A =HA A?AII=HO JH=E E C 6OFAI B ? JI =II ?E=JA@ MEJD 3K= EJO ECDJ E ? K@A
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STRATEGIC QUALITY GOAL: Coast Guard-wide goal for Quality We will deliver high quality service to the American Public by all Coast Guard people continuously improving our processes to meet the ever-changing needs of our customers.

Section 2 GENERATING IDEAS AND IDENTIFYING OPPORTUNITIES

A B JDA ? H AHIJ AI B = O 3K= EJO E EJE=JELA EI CAJJE C =I = O FA F A =I F IIE> A E L LA@ E O KH E FH LA A J ABB HJI 2A F A CAJ AN?EJA@ => KJ ? JHE>KJE C J JDA ABB HJ J = A JDE CI >AJJAH -IFA?E= O MDA EJ EI JDAEH M H =HA= H FH ?AIIAI >AE C E FH LA@ 9DA = A LEH A J D=I >AA AIJ=> EIDA@ MDAHA FA F A >A EALA I AJDE C ME HA= O >A @ A MEJD JDAEH E@A=I ? JHE>KJE I JA @ J B M B=IJ = @ BHAA /A AH=JE C E@A=I HC= E E C JDA E B H =JE C=JDAHA@ = @ JDA E@A JEBO E C FF HJK EJEAI B H E FH LA A J EI ?HK?E= J IK??AIIBK E F A A J=JE B 3K= EJO = =CA A J FH=?JE?AI 6DA J I = @ JA?D EGKAI FHAIA JA@ E JDEI IA?JE ME DA F O K E JDEI E F HJ= J J=I
Tools for Generating Ideas Generating Ideas and Identifying Opportunities
TOOLS AND TECHNIQUES IN THIS SECTION Brainstorming FiveWhy'sTechnique Surveys and Interviews The Three Alignment Questions Contingency Diagram Multivoting Nominal GroupTechnique Force Field Analysis Pairwise Ranking Affinity Diagram

BRAINSTORMING What it is:

*H=E IJ H E C EI = JA?D EGKA CA AH= O KIA@ E = CH KF IAJJE C J GKE? O CA AH=JA = =HCA K >AH B E@A=I => KJ = IFA?EBE? FH > A H J FE? 1J ?= DA F O K _ - ? KH=CA ?HA=JELA JDE _ - ? KH=CA F=HJE?EF=JE
Generating Ideas and Identifying Opportunities
E C = @ CA AH=JA A JDKIE=I = @ >KE @E C JDA E@A=I B JDAHI J AL= K=JE C E@A=I
_ )L E@ JDA F=H= OIEI B = = OIEI >O
How to do it:
6DA C = B >H=E IJ H E C EI J CA AH=JA E@A=I *AB HA O K IJ=HJ = A IKHA ALAHO A E O KH CH KF K @AHIJ= @I JDA E F HJ= ?A B F IJF E C K@C A JI K JE =BJAH JDA >H=E IJ H E C IAIIE EI ? F AJA@ _ 9HEJA JDA FH > A H J FE? F=HJE?EF= JI ?= IAA EJ _ 9HEJA = E@A=I _ = > =? > =H@ H B EF?D=HJ MDAHA =
JDA > =H@ = @ @ =I EJJ A A@EJE C =I F IIE> A
K >AH A=?D E@A= B H BKJKHA HABAHA ?A
_ 6DAHA =HA IALAH= >H=E IJ H E C JA?D EGKAI IJHK?JKHA@ >H=E IJ H E C BHAA B H >H=E IJ H E C H IE A J >H=E IJ H E C
1 IJHK?JKHA@ >H=E IJ H E C
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A =J = JE A
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_ 6DA =@L= J=CA B IJHK?JKHA@ >H=E IJ H E C EI JD=J A=?D FAHI D=I = AGK= ?D= ?A J F=HJE?EF=JA HAC=H@ AII B H= H FAHI = EJO 6DA @EI=@L= J=CA B IJHK?JKHA@ >H=E IJ H E C EI JD=J EJ =? I IF = @ ?= I AJE AI BAA HECE@ = @ HAIJHE?JELA J= AEJO
1 K IJHK?JKHA@ H FA @ H >H=E IJ H E C

_ 2=HJE?EF= JI IE F O ? JHE>KJA E@A=I =I JDAO ? A J E @ _ 6DA =@L= J=CA B BHAA B H >H=E IJ H E C EI JD=J F=HJE?EF= JI ?= >KE @ BB A=?D JDAH\I E@A=I 6DA =J IFDAHA EI LAHO HA =NA@ _ 6DA @EI=@L= J=CA B BHAA B H >H=E IJ H E C EI JD=J JDA AII =IIAHJELA H MAH H= E C F=HJE?EF= JI =O J ? JHE>KJA ) E@A= =FFH =?D EI J ? >E A JDAIA JM AJD @I *ACE JDA IAIIE MEJD = BAM H K @I B IJHK?JKHA@ >H=E IJ H E C = @ BE EID KF MEJD = FAHE @ B K IJHK?JKHA@ >H=E IJ H E C
Tools for Generating Ideas Generating Ideas and Identifying Opportunities
1 IE A J H 9HEJA EJ @ M >H=E IJ H E C
_ 0=LA F=HJE?EF= JI MHEJA E@A=I E @ELE@K= O I EFI B F=FAH _ +
IJE? O >=?
JAI H I =
A?J JDA F=FAHI = @ F IJ JDA B H = J IAA
_ 6DA =@L= J=CA B IE A J >H=E IJ H E C EI JD=J EJ FHALA JI E @ELE@K= I BH = E C @EIHKFJELA ]= = OIEI^ ? A JI @KHE C JDA >H=E IJ H E C IAIIE = @ FH LE@AI ? BE@A JE= EJO 1J ?= DA F FHALA J = CH KF BH >AE C K @K O E B KA ?A@ >O = IE C A F=HJE?EF= J H ? B M B E@A=I _ 6DA @EI=@L= J=CA B IE A J >H=E IJ H E C EI JD=J JDA CH KF IAI JDA IO AHCO JD=J ? AI BH = FA IAIIE 5E A J >H=E IJ H E C EI >AIJ KIA@ E ? JA?D EGKAI 6DA HAIK J B = >H=E IJ H E C IAIIE JDA CH KF ?= > E EJ @ M KIE C =JAH E JDEI IA?JE >E =JE MEJD JDAH >H=E IJ H E C
EI = EIJ B E@A=I 1B JDEI EIJ EI J C A B JDA @A?EIE = E C J I @AI?HE>A@
!
Points to remember about Brainstorming:

ALAH K@CA E@A=I =I JDAO =HA CA AH=JA@ 6DA C = B >H=E IJ H E C EI J CA AH=JA = J B E@A=I E = ID HJ JE A ) = OIEI B JDAIA E@A=I EI = IAF=H=JA FH ?AII J >A @ A =JAH , \J GKEJ =J JDA BEHIJ K ) >H=E IJ H E C IAIIE I HA=?D K I MDE?D =HA K ? B HJ=> A B H JDA F=HJE?EF= JI 4AIA=H?D E @E?=JAI JD=J IJ B JDA >AIJ E@A=I ??KH @KHE C JDA =IJ F=HJ B = IAIIE 6HO J A ? KH=CA JDA CH KF J FKID JDH KCD =J A=IJ JM H JDHAA K I
6HO J MHEJA @ M = B JDA E@A=I AN=?J O =I JDAO MAHA FHAIA JA@ 9DA O K ? @A IA = E@A= J A H JM M H@I B H A=IA B HA? H@E C O K =HA @ E C = = OIEI ) = OIEI ID K @ >A @ A =JAH - ? KH=CA KJH=CA KI E@A=I 9DE A JDAIA E@A=I =O J >A FH=?JE?= JDAO =O IJ=HJ = B M B ?HA=JELA E@A=I JD=J ?= >A KIA@ 6DEI ?= DA F O K >HA= JDH KCD = K 6HO J D=LA = @ELAHIA CH KF 1 L LA FH ?AII M AHI ?KIJ AHI = @ IKFF EAHI J >J=E = @ELAHIA IAJ B E@A=I BH IALAH= FAHIFA?JELAI
After Brainstorming:
4A@K?A O KH EIJ J JDA + IJ E F HJ= J EJA I EJI M AHEJI
>E A EJA I JD=J =HA IE E =H =O J =FF O J HECE = EIIKA H J FE? A BE = ?D= ?A J =@@ EJA I
,EI?KII A=?D EJA E JKH - E E =JA EJA I JD=J /ELA A=?D FAHI
*H=E IJ H E C EI = .7 M=O J CA AH=JA = J B E@A=I GKE? O *A?=KIA EJ EI IE F A = @ A=IO J KIA D MALAH @ J IA IECDJ B JDA B=?J EJ ?= >A = LAHO F MAHBK J
"
FIVE WHYS What it is:

)I E C 9DO EI = B=L HEJA JA?D EGKA B JDA =F= AIA B H @EI? LAHE C JDA H J ?=KIA H ?=KIAI B = FH > A *O HAFA=JA@ O =I E C JDA GKAIJE ]9DO ^ BELA EI O =H>EJH=HO BECKHA O K FAA =M=O =OAH =BJAH =OAH B IO FJ I J CAJ J JDA HA= DA=HJ B = EIIKA ; K =O ALAH M AN=?J O D M = O JE AI O K\ D=LA J =I MDO 6DEI JA?D EGKA DA FI O K
Tools for Generating Ideas
_ 1@A JEBO JDA H J ?=KIAI B = FH > A _ 5AA D M @EBBAHA J ?=KIAI B = FH > A
ECDJ >A HA =JA@
How to do it:
_ ,AI?HE>A JDA FH > A E LAHO IFA?EBE? JAH I _ )I MDO EJ D=FFA I
_ 1B JDA = IMAH @ AI \J E@A JEBO = H J ?=KIA =I MDO =C=E ; K M O K\LA E@A JEBEA@ JDA H J ?=KIA MDA =I E C MDO @ AI \J OEA @ = O KIABK E B H =JE _ + JE KA =I E C MDO K JE JDA H J ?=KIAI =HA E@A JEBEA@ 6DEI HA H AII JD= BELA MDOI =O J= A
HA
Points to remember:
_ ) M=OI B ?KI JDA FH ?AII =IFA?JI B = FH > A H=JDAH JD= JDA FAHI = EJEAIE L LA@ .E @E CI?=FAC =JI@ AI JI LAFH > A I
#
Five Whys Example

) + = @E C BBE?AH M= JA@ J M MDO JDA K EJ D=@ B=E A@ EJI 6H=E E C 4A=@E AII -L= K=JE 64- MDE?D EI = A?AII=HO BEHIJ IJAF FHE H J C E C J 4ABHAIDAH 6H=E E C
+744- 6 56)6- 6DEI K EJ B=E A@ EJI 64Generating Ideas and Identifying Opportunities
9DO 9A @E@ J F=II A 9DO 6DA AL= K=JE
KCD B JDA AL= K=JE
I ANAH?EIAI
I ANAH?EIAI MAHA @EBBAHA J JD= MA ANFA?JA@ JDAH ?KJJAHI ?DA? EIJI
9DO 9A D=@ FHAF=HA@ KIE C =
9DO KH 64- ?DA? EIJI @E@ J =HHELA E JE A 9DO 9A ALAH IK> EJJA@ KH ?D= CA B K EJ =@@HAII B H JDA 5J= @=H@ ,EIJHE>KJE EIJ 5, MDA MA IDEBJA@ D AF HJ 6DAHAB HA JDA ?DA? EIJI MAHA =E A@ J JDA @ =@@HAII = @ D=@ J >A B HM=H@A@ J KH AM =@@HAII 9A HA?AELA@ JDA =JA )J JDEI F E J IALAH= =LA KAI B H B M KF ECDJ >A? A ALE@A J 6DA F E J DAHA >AE C J J BEN > = A >KJ J ? HHA?J JDA FH ?AII JD=J = MA@ JDEI IEJK=JE J ??KH = O JE AI = I = IAA E C O E IEC EBE?= J =?JE ?= D=LA I A FHAJJO = H E F=?JI = @ ? IA GKA ?AI
$
SURVEYS AND INTERVIEWS What are they:

5KHLAOI = @ E JAHLEAMI =HA KIA@ J C=JDAH E B H =JE BH = E@A JEBEA@ J=HCAJ F FK =JE 6DAO =HA = BAA@>=? A?D= EI = @ MDA FH FAH O @AIEC A@ = @ ?=HHEA@ KJ FH LE@A = CHA=J @A= B KI=> A E B H =JE 6DAO =HA AIFA?E= O KIABK MDA _ O = I = = K J B E EJE= @=J= EI =L=E => A
_ 2=HJE?EF=JE
B = ANJA @A@ CH KF EI @AIEH=> A
_ 1 EJE= EIIKAI =HA K ? A=H = @ E AA@ B = F EBE?=JE _ 1J EI E F HJ= J JD=J JDAHI
? =HEBE?=JE
M = EIIKA EI >AE C =@@HAIIA@
How they are used:
1J EI @EBBE?K J B H JD IA J JH=E A@ E I= F E C JDA HO = @ JA?D EGKAI J @AIEC = @ FH ?AII = DECD GK= EJO IKHLAO 0 MALAH JDA B ME C CKE@A E AI ID K @ DA F _ + A=H O E@A JEBO MD=J E B H =JE _ O K AA@ J ? A?J
= A EJ =I IE F A = @ =I A=IO =I F IIE> A B H FA F A J F=HJE?EF=JA
_ + A=H O E@A JEBO J F=HJE?EF= JI MD=J O K E JA @ J @ MEJD JDAEH = IMAHI _ 1@A JEBO D M J ? F AJA MDAHA = @ MDA J HAJKH JDA IKHLAO _ , = JAIJ HK = I = FE J F FK =JE J HA LA = O >KCI _ ,AIEC JDA IKHLAO I EJ ME >A A=IO B H O K J FH ?AII EJI E B H =JE _ )I K?D =I F IIE> A ? @K?J JDA IKHLAO E JAHLEAM B=?A J B=?A _ = A EJ E F HJ= J J F=HJE?EF= JI J HAJKH JDA IKHLAO E JAHLEAM B H _ )CHAA J FK> EID O KH HAIK JI E = =FFH FHE=JA JE A = AH _ )+6 JDA HAIK JI
4A A >AH 1 L LA I
A A MD EI ANFAHEA ?A@ E ? @K?JE C IKHLAOI E JAHLEAMI EB F IIE> A 1J ME = A B H = >AJJAH FH @K?J HA KIABK E B H =JE ? A?JA@ = @ AII IJHAII = @ IJH=E O K
%
THE THREE ALIGNMENT QUESTIONS What are they:

6DA 6DHAA ) EC A J GKAIJE I =HA KIA@ J CA AH=JA E B H =JE => KJ D M MA O KH FH ?AIIAI =HA ?KHHA J O AAJE C O KH ?KIJ AHI AA@I 6 ?HA=JA = A= E CBK H=FF HJ = @ AIJ=> EID I A =CHAA@ KF FAHB H = ?A HA GKEHA A JI >AJMAA = JD IA E L LA@ E = F=HJE?K =H FH ?AII =I JDAIA JDHAA IE F A GKAIJE I
How they are used:

)BJAH E@A JEBOE C JD IA AO ?KIJ >ACE >O =I E C A=?D 90)6 , ; 7 --, .4 AHI E L LA@ E O KH M H FH ?AII O K
90)6 , ; 7 , 9160 90)6 1 /18- ; 7 90)6 )4- 60- /)25 *-69-- 90)6 1 24 81,- ) , 90)6; 7 --, 6DAIA GKAIJE I ME = M O K J @EI? LAH MD=J O KH ?KIJ AHI AA@I M= JI = @ ANFA?J=JE I =O >A B H JDA IAHLE?A FH @K?J H E B H =JE O K =HA IKFF OE C )@@EJE = O >O K @AHIJ= @E C D M O KH ?KIJ AH EI KIE C O KH KJFKJ O K ?= >AJJAH = EC O KH FH ?AII ?=F=>E EJEAI MEJD MD=J O KH ?KIJ AH M= JI ME C EB JDAHA =HA C=FI = @ MD=J JDA E F=?JI B JD IA C=FI =HA B H > JD O K = @ O KH ?KIJ AH ?= FH LE@A = HE?D FF HJK EJO J AAJ O KH ?KIJ AHI AA@I ?A O K D=LA CA AH=JA@ JDEI E B H =JE >O AAJE C MEJD O KH ?KIJ AHI O K ME D=LA I A >=IA E A @=J= = @ = >AJJAH E@A= B JDA @EHA?JE E MDE?D O K AA@ J = A E FH LA A J ABB HJI ; K ?= JDA HC= E A JDA HAIF IAI = @ FHE HEJE A MEJD JDA ?KIJ AH JD IA =?JE I A?AII=HO J AAJ JDA ?KIJ AHI HAGKEHA A JI ; K ID K @ = I IAA J AIJ=> EID = B H = HAFAJEJELA BAA@>=? IOIJA J A IKHA O K ? JE KA J >J=E E B H =JE O KH ABB HJI J AAJ O KH ?KIJ AHI AA@I
&
THE CONTINGENCY DIAGRAM What it is:

7IE C HALAHIA CE? JDA + JE CA ?O ,E=CH= EI = M=O J CA AH=JA E@A=I ? ?AH E C = EIIKA H ? ?AH *O JDE E C B = JDA M=OI O K ?= ?=KIA = FH > A J CAJ M HIA H ? JE KA K ?DA? A@ O K FH LE@A JDA >=IEI B H =JAH @ALA FE C = =?JE F = J LAH? A JDAIA >=HHEAHI
How to use it:
) + JE CA ?O ,E=CH= ?= DA F O K CA AH=JA E@A=I BH MDE?D O K ?= @ALA F JD IA IFA?EBE? =?JE I A?AII=HO J A E E =JA = FH > A H = A = E FH LA A J ; K KIA EJ >O B ME C JDAIA IJAFI
56-2
- 5A A?J = IEJK=JE
AEJDAH = C = H FH > A
56-2 69 ,H=M = + 56-2 604-- *H=E IJ H
JE CA ?O ,E=CH= ANJ F=CA
What will cause this situation to get worse/continue Think of things that will prevent your desired state Follow the rules for brainstorming Enter each action down on the Contingency Diagram 56-2 . 74 EIJ IFA?EBE? =?JE I J FHALA J JDAIA >IJ=? AI 2= 56-2 .18- 7IA JDEI EIJ J @ALA F = )?JE
6DEI ?= >A = LAHO F MAHBK E@A= = @ I KJE CA AH=JE C J 6DA AO EI J B M JDA HK AI B >H=E IJ H E C = @ J K@CA AL= K=JA ?HEJE?E A H FH=EIA JDAHI E@A=I MDE A >H=E IJ H E C ?A JDA CH KF D=I AN D=KIJA@ EJI E@A=I JDA J FE? @EI?KII = @ ? =HEBO JDA EIJ MDE?D D=I >AA ?HA=JA@ 6DA + JE CA ?O ,E=CH= = MI O K J J=F E J JDA F MAH B >H=E IJ H E C = @ FH LE@AI = ? LA EA J BH= AM H J HC= E A O KH E@A=I 1J = I = MI O K J FHE HEJE A = @ CA AH=JA BKHJDAH =?JE >=IA@ JD IA >=HHEAHI J O KH @AIEHA@ IJ=JA MDE?D O K D=LA ?HA=JELA O @EI? LAHA@
'
THE CONTINGENCY DIAGRAM

*A M EI = AN= F A B = ? F AJA@ + JE CA ?O ,E=CH= = @ JDA 2HALA JE +DA? EIJ )?JE 2 = EJ CA AH=JA@ JH=E E C IKFF HJ BH =? B ?
JDA J F K E?=JE
0 M J 2 =
-=?D E A HAFHAIA JI IFA?EBE? =?JE I MDE?D FHALA J C = H ?=KIA FH > A J ? JE KA M HIA
63 9 H I
6DA L= HAFHAIA JI = IFA?EBE? FH > A O K M= J J A E E =JA H = F IEJELA C = H @AIEHA@ IJ=JA O K M= J J =?DEALA
2H A LA JE 2HA
)?JE
+DA? EIJ
) 2HALA JE )?JE +DA? EIJ ?= >A @ALA FA@ >O J= E C A=?D >IJ=? A E@A JEBEA@ = @ >H=E IJ H E C M=OI J FHALA J EJ BH D=FFA E C *A M EI = AN= F A KIE C O A B JDA EJA I E@A JEBEA@ => LA >IJ=? AI =? B ? K E?=JE + HHA?JELA )?JE I
2K> EID 63 =?JELEJO IK??AII IJ HEAI ,ALA F EIIE IJ=JA A JI FI FF HJK EJEAI
! ,ALA F BAA@>=? " +
@K?J JH=E E C E 63 * JD =M=HA AII = @ J I
) JDAH C @ JA?D EGKA EI J J= A A=?D B JDA EJA I O K D=LA E@A JEBEA@ =I = >=HHEAH = @ FKJ EJ E J JDA L= = @ ? F AJA = IAF=H=JA + JE CA ?O ,E=CH= 6DEI = MI B H I A IFA?EBE? =?JE EJA I = @ CA AH=JAI = JHA A @ KI = K J B E@A=I
MULTI-VOTING What it is:

K JE L JE C EI = GKE? = @ A=IO M=O B H = CH KF J BE @ JDA EJA I B JDA DECDAIJ FHE HEJO E = EIJ 6DEI JA?D EGKA DA FI O K _ 2HE HEJE A = =HCA EIJ MEJD KJ ?HA=JE C = ]ME JD=J CA AH=JA@ JDA EIJ _ 5AF=H=JA JDA ]LEJ= BAM^ EJA I BH JDA ]JHELE= IA^ IEJK=JE = O^
E JDA CH KF
= =HCA EIJ
How to do it:
- F MAH /ELA A=?D JA= A >AH = K >AH B L JAI AGK= J =FFH N E =JA O D= B JDA K >AH B EJA I JDA EIJ A C L JAI B H = EJA EIJ 8 JA 0=LA JDA DECD FHE HEJO A >AHI L JA E @ELE@K= O B H JDA EJA I JDAO >A EALA D=LA ; K ?= FKJ = =H >AIE@A A=?D EJA
+ FE A JDA L JAI CELA J A=?D EJA B H ALAHO L JA EJ HA?AELAI
5A A?J JDA J F B KH J IEN EJA I ,EI?KII = @ FHE HEJE A JDAIA EJA I HA =JELA J A=?D JDAH 1B O K ?= \J AIJ=> EID JDA J F B KH J IEN HA LA BH JDA EIJ JDA EJA I JD=J D=LA JDA BAMAIJ L JAI = @ JDA ? @K?J = JDAH L JA
Helpful hint:
K JE L JE C EI >AIJ IKEJA@ B H =HCA CH KFI = @ = AI EJ LAHO GKE? = @ A=IO J KIA C EIJI 1JI IE F E?EJO
Multi-Voting Example
,EIJHE?J IJ=BB A A A JI =JJA @A@ = J B AAJE CI =J @EBBAHA J ?=JE I =H K @ JDAEH @EIJHE?J 6DAO ? F =E A@ >A?=KIA AAJE CI ? @K?JA@ =J JDAIA ?=JE I MAHA J = M=OI =I FH @K?JELA =I JDAO ECDJ D=LA >AA I JDA +DEAB B 5J=BB ?= A@ = AAJE C J E FH LA JDA IEJK=JE ) >H=E IJ H E C IAIIE FH @K?A@ JDA B ME C EIJ B HA=I I B H K FH @K?JELA AAJE CI =CA @=I CFA F A% ? A=H > A?JELAI! / E C F EJE?I J? A=H JA J= CA JI
" 6 K?DJE A# 6 K?DFH J ? $ 9H &
KCD@=J=FH LE@A@>AB HA AAJE C
=@ E EIJH=JELAIKFF HJ' 4 AI BF=HJE?EF= JI
6 HA@K?A JDEI EIJ J = BELA # L JAI =FFH NE
= =CA=> A IE A A=?D A >AH M=I CELA =JA O D= B B JDA J J= K >AH B EJA I ME C L JAI
6DA FH > A I HA?AELA@ JDA B ! " # 6DA CH KF JDA @A?E@A@ J B ?KI
$ % & '
FH > A I % " = @ '
NOMINAL GROUP TECHNIQUE What it is:

E = CH KF JA?D EGKA EI = IJHK?JKHA@ AJD @ JD=J = CH KF ?= KIA J FHE HEJE A EJA I E = EIJ 6DEI AJD @ KIAI FHE HEJEAI B A=?D CH KF A >AH J @EI? LAH JDA LAH= FHE HEJEAI B JDA CH KF E = CH KF JA?D EGKA DA FI O K
_ 2HE HEJE A = EIJ B E@A=I _ = A @A?EIE I KIE C E FKJI BH = F=HJE?EF= JI
How to do it:
)IIEC = AJJAH J A=?D E@A= . H AN= F A B H AECDJ E@A=I O K M K @ =IIEC AJJAH JDA AJJAHI ) JDH KCD 0 EIJ JDA AJJAHI 0=LA A=?D FAHI = FEA?A B F=FAH E JDA CH KF MHEJA JDA =IIEC A@ AJJAHI
2HE HEJE A JDA EIJI 0=LA A=?D FAHI FHE HEJE A JDAEH EIJ >O MHEJE C = K >AH >AIE@A A=?D AJJAH 1B JDAHA =HA AECDJ E@A=I JDA ]&^ EI MHEJJA >AIE@A JDA AJJAH ? HHAIF @E C J JDA IJ E F HJ= J E@A= 6DEI EI HAFA=JA@ B H A=?D K >AH K JE ]^ EI MHEJJA >AIE@A JDA AJJAH ? HHAIF @E C J JDA A=IJ E F HJ= J E@A= -=?D K >AH JDH KCD & EI KIA@ O ?A >O A=?D CH KF A >AH + FKJA JDA CH KF J J= B H A=?D AJJAH 6DA AJJAH MEJD JDA DECDAIJ I? HA EI JDA E@A= MEJD JDA DECDAIJ FHE HEJO = @ JDA AJJAH MEJD JDA MAIJ I? HA D=I JDA MAIJ FHE HEJO
Nominal Group Technique Example

6DA B IAIIE ME C BBE?A FH > A I MAHA E@A JEBEA@ E = >H=E IJ H E C ) 1 ABBA?JELA HC= E =JE * 2 +
= IJHK?JKHA
H ? H ?
K E?=JE K E?=JE EIIE
I KJIE@A JDA BBE?A I MEJDE JDA BBE?A =E = =CA A J
=? B JH=E E C 7 ? A=H = @ > A?JELAI B BBE?A HAF HJI
, 2 . /
2 H @EIJHE>KJE
=? B BAA@>=?
-=?D CH KF A >AH JDA MH JA JDA AJJAHI ) JDH KCD / = FEA?A B F=FAH = @ FHE HEJE A@ A=?D FH > A BH J % MAIJ J DECD AIJ KIE C A=?D K >AH O ?A 6DA HAIK JI MAHA IK =HE A@ =I B MI
Problem A B C D E F G Person 3 7 4 2 5 6 1 3 Total 29 13 8 23 32 10 25 Priority #2 #5 #7 #4 #1 #6 #3 Highest Priority Lowest Priority
1 6 3 1 4 7 2 5
2 5 2 1 4 7 3 6
4 5 1 2 6 7 3 4
5 6 3 2 4 5 1 7
"
FORCE FIELD ANALYSIS What it is:

. H?A BEA @ = = OIEI EI = JA?D EGKA JD=J DA FI O K E@A JEBO = @ LEIK= E A JDA HA =JE IDEFI >AJMAA JDA IEC EBE?= J B H?AI JD=J E B KA ?A = FH > A H C = ; K ?= KIA EJ J _ 1@A JEBO AO B=?J HI B H?AI JD=J FH JA H DE @AH JDA I KJE FH > A H JDA =?DEALA A J B = C = _ 1@A JEBO E FH LA A J FF HJK EJEAI
B =
How to do it:
,ABE A JDA > A?JELA + A=H O E@A JEBO JDA FH > A H C = J >A = = O A@ EIJ JDA B H?AI EIJ JDA AO B=?J HI JD=J FH JA H DE @AH JDA =?DEALA A J B O KH C = H JDA HAI KJE B O KH FH > A /H KFI ID K @ KIA = E@A= CA AH=JE JA?D EGKA BH 5A?JE J @ JDEI 7IA JM EIJI A B H FH JE C B H?AI = @ A B H DE @AHE C B H?AI 2HE HEJE A 2HE HEJE A JDA B H?AI E A=?D EIJ =?? H@E C J JDAEH HA =JELA E F=?J JDA FH > A H C = ; K ?= KIA E = CH KF JA?D EGKA H I A JDAH @A?EIE = E C J 1 F A A J E E E A H MA= A JDA DE @AHE C B H?AI = @ IJHA CJDA JDA FH JE C AI
Goal: Quit Smoking Promoting Forces better health save money wont have to leave building every half hour family wont breathe smoke food will taste better Inhibiting Forces habitual behavior need for nicotine need to have fingers occupied need to have something in mouth gain weight every time I try to quit
=NE E A H
PAIRWISE RANKING What it is:

2=EHMEIA H= E C EI = IJHK?JKHA@ AJD @ B H H= FHE HEJO H@AH 1J ?= DA F O K _ 2HE HEJE A = I = EIJ _
E C = I = EIJ B EJA I E
= A @A?EIE
I E = ?
IA IKI HEA JA@
AH
1 2 3 4 5 2 3 4
How to do it:
+ IJHK?J = F=EHMEIA =JHEN -=?D > N E JDA =JHEN HAFHAIA JI JDA E JAHIA?JE H F=EHE C B JM EJA I 1B O KH EIJ D=I BELA EJA I JDA F=EHMEIA =JHEN M K @ E A JDEI MEJD JDA J F > N HAFHAIA JE C E@A= F=EHA@ MEJD E@A=
4= A=?D F=EH . H A=?D F=EH D=LA JDA CH KF KIE C = ? IA IKI HEA JA@ @EI?KIIE @AJAH E A MDE?D B JDA JM E@A=I EI FHABAHHA@ 6DA B H A=?D F=EH MHEJA JDA K >AH B JDA FHABAH=> A E@A= E JDA =FFH FHE=JA > N 4AFA=J JDEI FH ?AII K JE JDA =JHEN EI BE A@
1 and 2 compared: 2 is better. 1 2 3 4 5 2 2 3 4 2 3 4 5 1 and 3 compared: 1 is better. 1 2 1 2 3 4 ... and so on until... 2 3 4 5 4 and 5 compared: 5 is better. 1 2 1 1 5 2 2 2 5 3 3 5 4 5
+ K J JDA K >AH B JE AI A=?D = JAH =JELA =FFA=HI E JDA

Alternative Alternative 5 appears 4 times in the matrix. Count Rank 1 2 2 3 3 1 4 0
=JHEN
5 4
4= = EJA I 4= JDA = JAH =JELAI >O JDA J J= K >AH B JE AI JDAO =FFA=H E JDA =JHEN 6 >HA= = JEA MDAHA JM E@A=I =FFA=H JDA I= A K >AH B JE AI =J JDA > N E MDE?D JD IA JM E@A=I =HA ? F=HA@ 6DA E@A= =FFA=HE C E JD=J > N HA?AELAI JDA DECDAH H= E C
Alternative Alternative 5 ranks 1st overall. Count Rank 1 2 2 3 3 4 0 5 4
3rd 2nd 4th 5th 1st
Pairwise Ranking Example

) 3)6 M=I =I A@ J HA? A @ IEJAI B H JAIJE C = FE J FH CH= B JDAEH HA? A @=JE I ) BA=IE>E EJO IJK@O FH @K?A@ = EIJ B IEN F IIE> A ?=JE I 6DA JA= JDA KIA@ F=EHMEIA H= E C J @AJAH E A JD=J )66+ - E =>AJD +EJO + M=I >AIJ IKEJA@ B H JDEI F=HJE?K =H JAIJ 64)+- 2AJ= K = 46+ ; H J M ! 64)+- +=FA
1 2 3 4 5 6 2 1 4 5 1 2 Site 3 4 5 6 3 4 5 6 4 4 4 5 5 Count Rank 1 2 2 1 3 1 4 5 5 4 6 2
" )66+ - +EJO # )6+ >E A $ )?=@A O
=O
3rd 6th 5th 1st 2nd 4th
AFFINITY DIAGRAM What it is:

) =BBE EJO @E=CH= EI = JA?D EGKA B H HC= E E C LAH>= E B H =JE E J = LEIK= F=JJAH ) =BBE EJO @E=CH= IJ=HJI MEJD IFA?EBE? E@A=I = @ DA FI O K M H J M=H@ >H =@ ?=JAC HEAI 6DEI EI JDA FF IEJA B = ?=KIA = @ ABBA?J @E=CH= MDE?D IJ=HJI MEJD JDA >H =@ ?=KIAI = @ M H I J M=H@ IFA?EBE?I ; K ?= KIA AEJDAH JA?D EGKA J ANF HA = =IFA?JI B = EIIKA )BBE EJO @E=CH= I ?= DA F O K
HC= E A = @ CELA IJHK?JKHA J = EIJ B B=?J HI JD=J ? FH > A
JHE>KJA J =
_ 1@A JEBO AO =HA=I MDAHA E FH LA A J EI
IJ AA@A@
How to use it:

1@A JEBO JDA FH > A B EF?D=HJ 9HEJA JDA FH > A H EIIKA = > =? > =H@ H
/A AH=JA E@A=I 7IA = E@A= CA AH=JE JA?D EGKA BH 5A?JE J E@A JEBO = B=?AJI B JDA FH > A 7IA E @AN ?=H@I H IJE? O >=? JAI J HA? H@ JDA E@A=I + KIJAH O KH E@A=I ?=H@I H F=FAH E J HA =JA@ CH KFI 7IA GKAIJE I E A ]9DE?D JDAH E@A=I =HA IE E =H ^ = @ ]1I JDEI E@A= I AD M ? A?JA@ J = O JDAHI ^ J DA F O K CH KF JDA E@A=I J CAJDAH +HA=JA =BBE EJO ?=H@I . H A=?D CH KF ?HA=JA = =BBE EJO ?=H@ = ?=H@ JD=J D=I = ID HJ IJ=JA A J @AI?HE>E C JDA A JEHA CH KF B E@A=I + KIJAH HA =JA@ =BBE EJO ?=H@I 2KJ = B JDA E @ELE@K= E@A=I E = CH KF K @AH JDAEH =BBE EJO ?=H@ M JHO J CH KF JDA =BBE EJO ?=H@I K @AH ALA >H =@AH CH KFI ; K ?= ? JE KA J CH KF JDA ?=H@I K JE O KH @ABE EJE ]CH KF^ >A? AI J >H =@ J D=LA = O A= E C
B
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&
Affinity Diagram Example

) FK> E?=JE JA= M= JA@ J HA@K?A JDA K >AH B JOF CH=FDE?= AHH HI E JDAEH FH CH= \I @ ?K A J=JE )I F=HJ B = BEHIJ IJAF JDAO ? @K?JA@ = >H=E IJ H E C IAIIE JD=J FH @K?A@ JDA B ME C EIJ B B=?J HI JD=J E B KA ?A@ AHH HI
Computers Printers Lighting Comfort Technical Jargon Grammar Draft Copy Font Computer Skill No Feedback Unreasonable Deadlines Typewriters Desk Height Interruptions Slang Punctuation Final Copy Typing Skill Proofreading Skill Noise Chair Height Time of Day Handwriting Spelling Distribution Editing Skill No Measurement
6DA B ME C =BBE EJO @E=CH= DA FA@ JDA J B ?KI BKHJDAH = = OIEI Typographical Errors
Environment
Equipment
Ergonomics Interruptions Unreasonable Deadlines Time of Day Noise Lighting Desk Height Chair Height Comfort
Computers Printers Typewriters
Training
Original Document
Author Skill Handwriting Grammar Punctuation Spelling
Requirements Draft Copy Final Copy Distribution Font
Typing Skill Editing Skill Computer Skill Proofreading Skill
No Definition of Quality
Technical Jargon Slang
No Measurement No Feedback
=HA=I B H
'
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Section 3 DATA AND DATA COLLECTION

Overview:
Improving your decision making process through the appropriate use of d a t aa n d l e a r n i n gt oc o l l e c tt h er i g h td a t aa r ec r u c i a lQ u a l i t y s k i l l s . B y u s i n gt h et o o l sa n d t e c h n i q u e s i nt h i ss e c t i o n ,y o uw i l lb ea b l et og a t h e r data that will be meaningful to you and useful in your improvement e f f o r t s .
Inside This Section:
What is Data? Types of Data Why We Collect Data Five elements of Useful Data Sampling Stratification Effective Data Collection Strategy Checksheets
Data and Data Collection
Coast Guard Process Improvement Guide
31
What is Data?
Basically, it is the numerical facts and figures which contain the information you will need to form conclusions or make your decisions. Data will generally be presented in descriptive or quantitative form.
Types of Data
MEASUREMENT D A T A (Measurements) ATTRIBUTES DATA ( T r a i t s )
Data resulting from a physical measurement E x a m p l e : D i s t a n c e ,t i m e ,w e i g h t ,e t c . ( A l s o known as Measurement or Continuous Data) Data resulting from a count of units possessing particular characteristics or from a count of the occurrences of those characteristics themselves. (Also called Discrete Data) Example: No. of typos per page, Good/Bad.
Why Collect Data?

To provide a foundation to "sell" proposed solutions or other actions to those in decision-making positions To serve as the basis for timely action (or appropriate non-action) To enable you to focus on the real reasons for problems, not just assumptions, symptoms, or "gut" feelings To communicate the situation/issues more accurately and effectively To allow you to methodically examine the relationship between the occurrence of an event and its cause(s) To provide the basis for process control and improvement
To form a legally valid basis for acceptance or rejection of vendor-supplied items T oj u s t i f yo rv a l i d a t eo p i n i o n so rb e l i e f s ,e v e no n e sl o n g h e l do rt a k e nf o r granted.
32
Five Elements of Useful Data

To be most useful, your data should contain all of these essential elements: Data should be collected in a timely manner Data should be collected in a consistent manner Data should be related to your process or the issue being examined Data should be accurate Data should be precisely defined (definitions should be agreed-upon by all process participants, i.e.. Supplier/Customer/Process Worker)
Sampling
Sampling is a technique used to estimate , with a statistical degree of confidence, information concerning a process where measuring or counting the outputs of the entire process is impractical or too expensive. A collection or set of individuals, objects, or measurements whose properties or characteristics are to be analyzed is called a "population." Sampling is merely "surveying" a portion of that population.
When sampling, it is crucial that a representative portion of the population be selected. A good method for doing this is to use a R A N D O M SAMPLE. While a lot could be said here concerning random sampling, the essential point to remember is that a sample can be described as random if each member of the population had an equal chance o f being included in the sample.
Stratified Random Sampling is similar to regular random sampling, except that the population or lot sampled is divided into subsections (also called strata or layers) which should be as similar as possible. The following will illustrate the advantage of stratified random sampling.
33
Machine
One
12341234 1234 12341234 12341234 12341234 1234 1234 1234 1234 1234 1234123 123 1234 1234123 1234123 123 1234 1234 1234 1234 1234
All good product All good product All bad product All good product
Machine Two Machine Three Machine Four
Random Sample Shaded area represents a population or lot
An unstratified random sample could lead us to conclude that our machines are producing 25% BAD product, and that we therefore need to perform some kind of maintenance or inspection on ALL of them.
To prevent misreading our process this way, we can utilize a stratified random sample. Basically, it would look this way: Machine One All good product All good product
1234 1234 123 1234 1234 123 1234 1234 123 1234 1234 12341234123 123 1234 1234 1234 1234 1234 1234 1234 12341234 1234 1234 1234 1234 1234 1234
Machine Two Machine Three Machine Four

Shaded area represents a population or lot
A l l bad product All good product
Random
Samples
34
As you can see, a random sample comprised of one unit from each of the four layers clearly shows that three machines are producing good product and that only one is not. Only one machine therefore needs to be taken off-line to inspect/perform maintenance on.
Effective Data Collection Strategy

Answering the following eight questions will allow you to develop an effective strategy for collecting data.
WHAT DO WE WANT TO ACCOMPLISH BY COLLECTING DATA? WHAT DATA IS NEEDED TO ACHIEVE THIS GOAL? WHERE IN THE PROCESS SHOULD WE COLLECT DATA? WHAT SAMPLING SCHEME SHOULD WE USE? HOW MUCH DATA (how many samples/data points) IS NEEDED? WHEN/HOW LONG SHOULD DATA BE COLLECTED? HOW WILL WE RECORD THE DATA? WHO IS RESPONSIBLE FOR COLLECTING THE DATA?
Once you have developed answers to these questions, review your data collection plan for consistency, completeness, and the potential for gaining commitment to your data collection effort from others involved in the process being observed.
35
CHECKSHEET What it is:

A check sheet is a simple form you can use to collect data in an organized manner and easily convert it into readily useful information. With a check s h e e t , y o u c a n : Collect data with minimal effort. Convert raw data into useful information. Translate opinions of what is happening into what is actually happening. In other words, I think the problem is . . . becomes The data says the p r o b l e mi s...
How to use it:

Clearly identify what is being observed. The events being observed should be clearly labeled. Everyone has to be looking for the same thing. Keep the data collection process as easy as possible. Collecting data should not become a job in and of itself. Simple check marks are easiest. Group the data. Collected data should be grouped in a way that makes the data valuable and reliable. Similar problems must be in similar groups. B ec r e a t i v e . Try to create a format that will give you the most information w i t ht h el e a s ta m o u n to fe f f o r t .
Tabular Check Sheet Example

Reasons for Misplaced Letters
Defect Wrong Mailbox Wrong City Wrong Zip Code Old Office Symbol Total Defects May 6 ||| || |||| |||| ||| 17 May 7 |||| |||| |||| || | 17 May 8 |||| |||| | |||| ||| 18 Total Defects 11 13 21 7 52
36
Pictorial Check Sheet v.s. Tabular Check Sheet Example

This example shows how a pictorial check sheet can give you much more information than a tabular check sheet.
Defect Scratch Chipped Paint Tar Dent Total
Tally |||| || |||| |||| | |||| ||
Total 7 11 7 0 25
Finish Defects on 100 Drivers Doors (After 25,000 Miles) B B2
B B B B2
A A A2 A3 B B
C C C 2 C3 A Scratch B Chipped Paint C Tar D Dent

Note: A3 = 3 scratches in close proximity, etc.
37
Pictorial Check Sheet Example

During testing, the control console in a particular electronic component experienced an unusually high failure rate in some of its black boxes. To help analyze the failures, the managers in the program o f f i c ed e v e l o p e dap i c t o r i a lc h e c ks h e e t .A f t e r1 2 0d a y so ft e s t i n g , the following check sheet showed the types of failures associated with each component.
A C C C C C
B C C C CC D C C C C CC C C D A Heating Duct
Control Console Failures A Failure to Power Up B Failure to Pass Built-In Test C Shutdown During Test D Unknown Failure
The managers noticed that most of the failures (18 of 24) occurred in boxes along the center of the equipment racks, and that most of these failures were type C, shutdown during test. An inspection of t h e f a c i l i t y r e v e a l e d t h a t a h e a t i n g d u c t r a n d i r e c t l y b e h i n d t h e s e boxes, and the resulting high temperatures caused the equipment to o v e r h e a t a n d f a i l .
38
Section 4 BASICTOOLS FOR ANAL YZING DATA

Overview
The tools in this section will allow you to examine your data from several different viewpoints. They will help you organize data so that your process can "talk" to you and tell you what is happening (or not happening). These tools also allow you to package data so that it is easily understood by others. This can be important when you go to sell your proposed solutions to those in decision-making positions. But, before we jump to solutions, we need to understand some other things these tools can do for us.
Basic Tools for Analyzing Data
What Can These Tools Do For Me?

They are educational Even those who might not know a lot about a particular process can learn quite a bit merely by using some of these tools. You will learn about your process and the proper application of the tool at the same time. They serve as a great guide for discussions Discussing problems or improvement opportunities can often get sidetracked. Using the tools outlined in this chapter will help keep you focused. They allow you to be proactive in searching out "root causes" Properly applying these tools will allow you to address the root causes of your problem instead of just the particular symptoms causing you pain. They allow you to take action that is both effective and efficient. They allow you to convert raw numbers to usable information Numbers, by themselves, can be meaningless. They need to be collected properly and then packaged so as to make their information clear to all. They show the level of understanding (or lack of) of your process They have a wide application to many processes and problems They are generally easy to use and understand Coast Guard Process Improvement Guide
39
Key Concepts
There are several key concepts that need to be understood prior to applying the tools to your process. These concepts form the background against which all your data should be viewed. Statistical Process Control (SPC)
Tools for Analyzing Data
Statistical process control (based on Shewhart's PDCA and control charts) is a process in which you seek to: * Select and define a process * Measure that process
* Stabilize that process (eliminate any "special causes" of variation) * Control that process (reduce any "common causes) * Continuously improve the process Basically, you are using numbers (statistics) to understand your process traits and characteristics so you will be able to make it do what you want it to do (control). Goals of Process Improvement Your goal should be to increase customer satisfaction and on-time delivery of your products and services. Additionally, you should seek to reduce the cycle time and waste involved in your process producing those services or products. Variation No two products or services will ever be exactly alike. This difference is known as variation. Dr. Deming teaches that to produce quality, you must be able to produce outcomes that are predictably uniform while at the same time satisfying customer needs. Reducing or controlling the amount of variation is crucial to improving your process. "Common Cause" Variation Common cause variation is due to factors inherent to the process itself. Variation in a process which occurs due to the normal operation of the process, or because of how that process is being managed, it is generally considered to be beyond the control of the individual. Examples might include improper material being provided, poor instructions, etc. Coast Guard Process Improvement Guide
40
"Special Cause" Variation

Special cause variation occurs as a result of factors external to the process itself. Examples might be a power failure, a machine breaking down, an accident, etc. Special cause variations are exceptions to the normal way things occur. Tampering Treating special causes as if they were common causes (or vice versa) is called tampering. It is crucial each of us first understand what the voice of our process (and our customers) are really saying BEFORE we take action. Good intentions and "gut" feelings are not enough. We must use our data, apply the tools show in this section to analyze that data properly for root causes, and then take appropriate actions. Dr. Shewhart has shown that approximately 99% of the causes of variation within a statistically stable process are common causes and can be significantly reduced through informed control. Using data and the tools in this section will provided you the ability to exercise that "informed control" on your process. Problems, Blame and the 85/15 Rule TQM is a philosophy grounded in improving a process at every point to maximize the value that process can produce for the customer. It requires us to adopt a new attitude towards our problems. We need to see problems as "areas of opportunity" - to better meet customer needs, eliminate those things causing us "pain," and to increase our effectiveness and efficiency. Additionally, TQM asks us to forget placing blame and to focus instead on fixing or preventing the problems we have discovered. The 85/15 Rule states that up to 85% of the problems with a process exist due to the process itself and lie within the control of management not the individual worker. Dr. Deming has stated the ration is even higher (96/4). 1-10-100 Rule Basically, this rule states it is cheaper and easier to fix a problem at the point in a process it occurs. Failure to do so costs you a factor of at least 10 for every step further down the process from you it takes to catch the problem and fix it. The tools in this section are designed to allow you to discover what your problems are, why they are occurring, how big a problem they are, and how to fix, prevent, and improve your work processes. Coast Guard Process Improvement Guide
41
FLOWCHART What it is:

A flowchart is a graphic representation of all the major steps of a process. It can help you:
Understand the complete process. Identify the critical stages of a process. Locate problem areas.
Show relationships between different steps in a process.
How to use it:
Identify the process. Define the start point and finish point for the process to be examined. Describe the current process. Chart the whole process (i.e., lay out all the steps) from beginning to end. You can use the symbols shown on the next page to improve the clarity of your flowchart, but dont get hung up on symbols. (Optional) Chart the ideal process. Try to identify the easiest and most efficient way to go from the start block to the finish block. While this step isnt absolutely necessary, it does make it easier to do the next step. Search for improvement opportunities. Identify all the areas that hinder your process or add little or no value. If you did the optional step, examine all areas that differ from your ideal process and question why they exist. Update your chart. Build a new flowchart that corrects the problems you identified in the previous step.
Helpful hint:
You can put the steps of your process on index cards or sticky-back notes. This lets you rearrange the diagram without erasing and redrawing and prevents ideas from being discarded simply because its too much work to redraw the diagram.
42
These are standard flowchart symbols. When you are developing a flowchart, especially in a group environment, the goal is to chart the process. Dont waste time debating which shape a symbol should be. A flowchart that doesnt use these symbols can be just as useful as a chart that does.
Standard Flowchart Symbols

This symbol... Represents... Start/Stop Some examples are: Receive trouble report Machine operable
Decision Point
Approve/Disapprove Accept/Reject Yes/No Pass/Fail Drop off travel voucher Open access panel
Activity
Document
Fill out trouble report
Connector (to another page or part of the diagram)
A B
43
Flowchart Example
Before it was eventually replaced, a copy machine suffered frequent paper jams and became a notorious troublemaker. Often, a problem could be cleared by simply opening and closing the access panel. Someone observed the situation and flowcharted the troubleshooting procedure used by most people.
Copy machine stops Open access panel Check paper feed area Close access panel
Press Print
Yes
Does it work?
No
Open access panel
Check toner area
Close access panel
Press Print
Yes
Does it work?
No
Open access panel
Check collator area
Close access panel
Press Print
Yes
Does it work?
No
Call for repairs
Copy machine operable
44
Flowchart Example (Concluded)

Users usually had to check several locations in the machine before they would find the problem. The next day, this flowchart for a more efficient procedure appeared beside the machine. From then on, there was less frustration and panel slamming when the machine stopped unexpectedly.
Copy machine stops Open access panel
Check paper feed area
Check toner area
Check collator area
Close access panel
Press Print
Does it work? Yes Copy machine operable
No
Call for repairs
45
CAUSE AND EFFECT DIAGRAM

What it is:
Graphically illustrates the relationship between a given outcome and all the factors that influence this outcome. Sometimes called an Ishikawa or fishbone" diagram, it helps show the relationship of the parts (and subparts) to the whole by: Determining the factors that cause a positive or negative outcome (or effect) Focusing on a specific issue without resorting to complaints and irrelevant discussion Determining the root causes of a given effect Identifying areas where there is a lack of data
How to use it:

Specify the effect to be analyzed. The effect can be positive (objectives) or negative (problems). Place it in a box on the right side of the diagram.
The Problem, Objective, Goal, etc.
List the major categories of the factors that influence the effect being studied. The 4 Ms (methods, manpower, materials, machinery) or the 4 Ps (policies, procedures, people, plant) are commonly used as a starting point.
Manpower, Personnel, Staffing, etc. Materials, Policies, Regulations, etc.
Methods, Procedures, Specifications, etc.
Machines, Plant, Equipment, etc.
46
Identify factors and subfactors. Use an idea-generating technique from Section 2 to identify the factors and subfactors within each major category. An easy way to begin is to use the major categories as a catalyst. For example, What policies are causing . . . ?
How do our people influence...? Personnel, Staffing, etc. What regulations affect...? Materials, Policies, Regulations, etc.
Factors and Subfactors
Procedures, Methods, Specs, etc. What procedures are causing...?
Plant, Machines, Equipment, etc. How does our equipment affect...?
Identify significant factors. Look for factors that appear repeatedly and list them. Also, list those factors that have a significant effect, based on the data available. Categorize and prioritize your list of causes. Keep in mind that the location of a cause in your diagram is not an indicator of its importance. A sub-factor may be the root cause to all of your problems. You may also decide to collect more data on a factor that had not been previously identified.
Helpful hint:
Consider using a positive effect (an objective, for example) instead of a negative effect (a problem, for example) as the effect to be discussed. Focusing on problems can produce finger pointing, while focusing on desired outcomes fosters pride and ownership over productive areas. The resulting positive atmosphere will enhance the groups creativity.
47
Ten se ctu atio Go od n Gra mm ar Ha nd wri tin g
ent
ple Wo rds cum ent Jar gon Do n't Use Sla ng
Pun
Acc
Dictionary Words Only
Suf fici
Use Upper & Lower Case
te
ura
Large
Font Preference Distribution Req'ts Slides
Sim
ign
To S
Editing/Proofreading Skills Typing/Computer Skills Personnel
Do
Procedures
Adapted with permission from Change Navigators, Inc.
To P
roo
48
Cause and Effect Diagram Example
Environment Timeliness Right Time Of Day No Interruptions Good Ergonomics Equipment Good Equipment
The publication team for an engineering department wanted to improve the accuracy of their user documentation. As part of a first step, they created a cause and effect diagram to get a picture of what causes a document to be error-free. The diagram below illustrates what this particular team considered important at their first meeting.
Proper Training In Graphics
Rea
Pri
Plo
r ute mp Co r nte r
ot r N ften me p O U sto Cu ing es eck lin Ch ead eD abl
Sof
n rgo l Ja ica hn sics Tec l Ba ica hn Tec ent ipm Equ re twa Sof
tte
son
twa re
Word Processor
Special Fonts For Symbols Standard and Technical Dictionaries
ort mf Co t. Hg sk De t. Hg air Ch ng hti
Lig
No ise
Tem p.
Good Writing Skills Training (To Help Customer)
Data Is Both
Error-Free Document Program Preference Deadline
Format
Does Customer Want?
PARETO CHART What it is:

A bar chart used to separate the vital few from the trivial many. These charts are based on the Pareto Principle which states that 20 percent of the problems have 80 percent of the impact. The 20 percent of the problems are the vital few and the remaining problems are the trivial many. A Pareto chart can help you: Separate the few major problems from the many possible problems so you can focus your improvement efforts Arrange data according to priority or importance Determine which problems are most important, using data, not perception
How to use it:

Identify the possible problems. Use idea-generation techniques from Section 2 to list all the possible problems in a particular process. Use existing reports, or collect new data on the process. Be sure the units of measure are consistent throughout your data. Group existing data by consistent units of measure. Select attributes to be charted so that any given occurrence will fall into one AND ONLY ONE category. Label the chart. Label the units of measure on the left vertical axis and the categories of problems on the horizontal axis. Plot the data. Order the categories according to their frequency (how many), not their classification (what kind). Use a descending order from left to right. Categories that appear infrequently, or in comparatively small numbers, can be grouped together in an other category. (Optional). You can use the right vertical axis to measure the percentage of total occurrences contained within each category.
49
Points to remember:
The measurement units can significantly affect your Pareto chart. In the example shown on page 49, 100 cosmetic-type defects may account for only a fraction of the total cost, while 2 material-type defects may account for a large percentage of the cost. In such a case, you must determine whether cost or number of defects is more important. It is essential to use the same units of measure and clearly mark these units on the chart ($, #, %, etc.). Make sure that the other category doesnt become unreasonably large. If the other category accounts for more than 25 percent of your problem, you probably should try to break it down.
Pareto Chart Example

Problems Experienced Using Laser Printer April 1991 30 25
Percent of Occurrences
20 15 10 5 0 DoubleSpaced Garbled Lost Text Additional Blank Pages Other
50
Cost of Defects (as % of Total)

20 40 60 80 0 20 40 60
Number of Defects
Di rt
De fec t s po ts n sio ss lS Fa b. Oi Wa ll Th ick ne igh t ou r r He nt ete th De f-C on pth t-o lar Co iam ep Po Ou ter pD Ste Po Ou lar pD Ste
Defect Type
Wa ll
Th
Ou
ick
ter
ne
ss
Sp ots
Frequency v.s.. Cost Example
Used with permission from Change Navigators, Inc.
Co rro
Defect Type
In the following example, the most common defect is dirt spots. However, wall thickness is by far the most costly. 100

tro l We Mi i gh sce t lla ne ou s
Co nt ou Ste r pD iam ete r Ste pD ep th Po lar He igh Po t lar De pth Fa b. De fec ts We igh t Oi lS po ts Di rt Sp ots Mi sce lla ne ou s
51
Progressive Analysis
5E ?A 2=HAJ I HAFHAIA J @=J= E = H@AHA@ = @ FHE HEJE A@ = AH = @ @ I KIE C @EI?HAJA @=J= ?=JAC HEAI MA ?= KIA JDA J FH CHAII BH CA AH= J IFA?EBE? ? =IIEBE?=JE I 6DEI JA?D EGKA EI M =I 2H CHAIIELA ) = OIEI = @ EI ID M >A M
Defects in Parts per Million (PPM) 1600 1200 800 400 0 Percent 80 60 40 20 0 Percent 30 20 10 0 Percent 80 60 40 20 0 Thermal Offset Open Spec Noisy Flux Q. What is the most common way the K2 relay fails? A. Thermal failure. K2 U101 Q101 Q7 Q5 Others Q. What electrical component contributes the most defects? A. The K2 relay. Elect. Assy. Solder M. Parts Q. What are the most common types of defects in assembly 5? A. Electrical. Assy. 5 Assy. 2
Q. What assembly has the most defects? A. Assembly 5.
Assy. 1
Assy. 9
HISTOGRAM
What it is:
) DEIJ CH= EI = >=H CH=FD JD=J ID MI JDA ?A JH= JA @A ?O = @ L=HE=>E EJO B = @=J=IAJ 0EIJ CH= I =HA I AJE AI HABAHHA@ J =I BHAGKA ?O @EIJHE>K JE I ) DEIJ CH= ?= DA F O K _ 7 @AHIJ= @ JDA L=HE=>E EJO B = FH ?AII _ 3KE? O = @ A=IE O @AJAH E A JDA K @AH OE C @EIJHE>KJE B = FH ?AII
How to use it:

,AJAH E A JDA JOFA B @=J= O K M= J J ? A?J *A IKHA JD=J JDA @=J= EI A=IKH=> A B H AN= F A JE A A CJD IFAA@ AJ? + + A?J JDA @=J= + A?J =I = O A=IKH=> A @=J= F E JI =I F IIE> A A?J @=J= A F=H= AJAH =J = JE A A?JA@
+ K J JDA J J= K >AH B F E JI O K D=LA ?
,AJAH E A JDA K >AH B E JAHL= I HAGKEHA@ 7IA JDEI J=> A J @AJAH E A D M = O E JAHL= I H >=HI JDA CH=FD ID K @ D=LA
If you have this many data points Less than 50 5099 100249 More than 250 Then use this number of intervals. 57 610 712 1020
,AJAH E A JDA H= CA 5K>JH=?J JDA I = AIJ L= KA E JDA @=J=IAJ BH =HCAIJ 6DEI L= KA EI JDA H= CA B O KH @=J=IAJ
JDA
,AJAH E A JDA E JAHL= ME@JD ,ELE@A JDA H= CA >O JDA K >AH B E JAHL= I 4 K @ O KH = IMAHI KF J = ? LA EA J L= KA . H AN= F A EB JDA H= CA B JDA @=J= EI % = @ O K D=LA @A?E@A@ J KIA ' E JAHL= I JDA O KH E JAHL= ME@JD EI && ; K ?= H K @ JDEI J ' H 1J EI DA FBK J D=LA E JAHL= I @ABE A@ J A HA @A?E = F =?A JD= JDA @=J= ? A?JA@
#!
,AJAH E A JDA IJ=HJE C F E J B A=?D E JAHL= 7IA JDA I = AIJ @=J= F E J L= KA =I JDA IJ=HJE C F E J B JDA BEHIJ E JAHL= 6DA IJ=HJE C F E J B H JDA IA? @ E JAHL= EI JDA IK B JDA I = AIJ @=J= F E J F KI JDA E JAHL= ME@JD . H AN= F A EB O KH I = AIJ @=J= F E J EI = @ JDA E JAHL= ME@JD EI JDA JDA IJ=HJE C F E J B H JDA IA? @ E JAHL= EI =>A E JAHL= I = C JDA D HE J= =NEI 2 J JDA @=J= + K J JDA K >AH B @=J= F E JI JD=J B= MEJDE A=?D E JAHL= = @ F J JDEI BHAGKA ?O JDA DEIJ CH= AAF E E @ JD=J A=?D @=J= F E J ?= =FFA=H E O A E JAHL= . H AN= F A EB O KH BEHIJ E JAHL= >ACE I MEJD = @JDAIA? @MEJD JDA = @=J=F E JIJD=J=HA AGK= J H CHA=JAHJD= = @ IJE AIIJD= =HA? K JA@E JDABEHIJE JAHL=
Points to remember:
_ -=?D @=J= F E J =FFA=HI E A = @ O A E JAHL= _ 6DA K >AH B E JAHL= I ?= E B KA ?A JDA F=JJAH O KH @=J= ME J= A _ , \J ANFA?J JDA DEIJ CH= J >A = FAHBA?J >A ?KHLA L=HE=JE I ME ??KH )I O KHIA B EB JDA FE?JKHA EI HA=I => A = @ CE?= *KJ >A ?=HABK J J AJ O KH FHA? ?AELA@ E@A=I E B KA ?A O KH @A?EIE K B=EH O
#"
Histogram Example
6DEI J=> A CELAI JDA MAECDJI B & + =IJ /K=H@ FAHI 9AECDJI B & FAHI
208 155 159 153 115 159 150 127 145 190 130 165 147 189 139 175 180 180 171 181 156 109 206 130 150 200 128 187 150 163 149 189
A
139 165 141 180 173 179 166 172 156 208 155 159 201 150 185 150 163 149 190 137 165 145 188 180 171 169 185 178 128 158 129 201 159 127 159 161 191 144 165 147 189 139 166 169 170 180 169 175
) DEIJ CH= ID MI JDA @EIJHE>KJE

Number of Officers (Frequency)
B JDA @=J=
20 15 10 5 0
8 intervals 80 data points Range = 208 109 = 99 12.4 Interval width = 99/8 = 12.375
109
121.4 133.8 146.2 158.6 171.0 183.4 195.8 208.2 Weight (lbs.)
##
SCATTER DIAGRAM What it is:

) I?=JJAH @E=CH= EI = CH=FD JD=J HALA= I = F IIE> A HA =JE JM L=HE=> AI 1J ?= DA F O K
IDEF >AJMAA
_ 1@A JEBO F IIE> A ?=KIAI B FH > A I _ 4A? C E A JD=J A E F HJ= J L=HE=> A
ECDJ >A HA =JA@ J =
JDAH
How to use it:

+ A?J JDA @=J= E F=EHI ) @=J= F=EH ? =FFA=H J D=LA = HA =JE IDEF
IEIJI B JM @EBBAHA J L=HE=> AI JD=J
+ IJHK?J JDA CH=FD =>A JDA D HE J= = @ LAHJE?= =NAI E = =I?A @E C B=IDE - IKHA JD=J JDA L= KAI JDA JM =NAI ? HHAIF @ J JDA @=J= F=EHI 2 J JDA @=J= )I O K F J A=?D F E J B H F=JJAH I +EH? A HAFA=JA@ F E JI 6DA BECKHAI >A M ID M D M J E JAHFHAJ I?=JJAH @E=CH= I
: + HHA =JE ;@ AI
: 2 IEJELA + HHA =JE
: AC=JELA + HHA =JE
J=FFA=H) E ?HA=IAE : =O) E ?HA=IAE :
J >AHA =JA@J :>AHA =JA@J = E ?HA=IA =O>AHA =JA@J = E ;@A?HA=IAE ;
#$
Points to remember:
_ 1B JDAHA =FFA=HI J >A = HA =JE IDEF >AJMAA JM L=HE=> AI JDAO =HA I=E@ J >A ? HHA =JA@ * JD AC=JELA = @ F IEJELA ? HHA =JE I =I ID M E JDA BECKHAI =HA KIABK B H ? JE K KI FH ?AII E FH LA A J _ 6DEI AJD @ O ID MI JD=J = HA =JE IDEF ANEIJI J JD=J A L=HE=> A ?=KIAI JDA JDAH .KHJDAH = = OIEI KIE C =@L= ?A@ IJ=JEIJE?= JA?D EGKAI ?= GK= JEBO D M IJH C JDA HA =JE IDEF EI >AJMAA JM L=HE=> AI
Scatter Diagram Example

) ? JH=?JE C =CA ?O M= JA@ J E LAIJEC=JA MDO JDAO D=@ I = O ?D= CAI E JDAEH ? JH=?JI 6DAO KIA@ JDA B ME C I?=JJAH @E=CH= I J ANF HA F IIE> A HA =JE IDEFI
Number of Contract Changes
Dollar Value of Original Contract
Number of Pages in Original Contract
Days Between RFP and Contract Award
#%
RUN CHART What it is:

) HK ?D=HJ EI = CH=FD JD=J ID MI JDA ?D= CAI E = FH ?AII LAH JE A 1J ?= DA F O K
A=IKHA A J
_ 4A? C E A F=JJAH I B FAHB H = ?A E = FH ?AII _ , ?K A J ?D= CAI LAH JE A
How to use it:
+ IJHK?J JDA ?D=HJ =>A JDA LAHJE?= =NEI MEJD JDA AO FH ?AII >AE C A=IKHA@
A=IKHA A J B JDA
+ A?J JDA @=J= + A?J @=J= B H = =FFH FHE=JA K >AH B JE A FAHE @I E =?? H@= ?A MEJD O KH @=J= ? A?JE IJH=JACO 2 J JDA @=J= 2 J A=?D @=J= F E J JDA ?D=HJ += ?K =JA = @ F J JDA =LAH=CA 6DEI FH LE@AI = HABAHA ?A B H @H=ME C ? ? KIE I => KJ E @ELE@K= @=J= F E JI 1 JAHFHAJ JDA ?D=HJ 1 JAHFHAJ JDA ?D=HJ KIE C O KH M A@CA B JDA FH ?AII 6M F IIE> A IEC = I JD=J JDA FH ?AII D=I IEC EBE?= J O ?D= CA@ =HA _ 5EN F E JI E = H M JD=J IJA=@E O E ?HA=IA H @A?HA=IA _ _ E A F E JI E = H M JD=J =HA JDAH F=JJAH I J JDA I= A IE@A B JDA =LAH=CA B H E ? K@A IEC EBE?= J IDEBJI E ALA I ?O? E?=
F=JJAH I = @ >K ?DE C B @=J= F E JI 4AFA=J 4A? FKJA JDA =LAH=CA B H IK>IAGKA J > ? I B JE A H =BJAH = IEC EBE?= J ?D= CA D=I ??KHHA@
#&
Run Chart Example

6DA HK ?D=HJ JDA B ME C F=CA ID MI JD=J JDA =LAH=CA K >AH B FA F A JH=LA EI $ & = @ JDEI D=I >AA B=EH O ? IEIJA J B H JDA F=IJ JA MAA I 1J EI E F HJ= J J HA? C E A JDA L=HE=>E EJO B KH J E A FA F A FAH MAA JD=J EI E DAHA J J JDEI H = O JDAH FH ?AII
Number of People on Travel per Week

10
Number of People on Travel
9 8 7 6 5 4 3 2 1 1 2 3 4 5 6 Week 7 8 9 10
Avg = 6.8
#'
CONTROL CHARTS
B = JDA J I B H = = O E C @=J= JDA ? JH ?D=HJ EI JDA IJ KIABK JDAH J ?=FJKHAI JDA L E?A B O KH FH ?AII >AJJAH + JH ?D=HJI =HA KIA@ J @AJAH E A MDAJDAH O KH FH ?AII EI FAH=JE C E IJ=JEIJE?= ? JH 7 JE EJ EI = O E FH LA A J ABB HJI =HA =J >AIJ AHA FH ?AII J= FAHE C *=IE?= O = ? JH ?D=HJ EI = HK ?D=HJ @AI?HE>A@ A=H EAH JD=J E ? K@AI IJ=JEIJE?= O CA AH=JA@ KFFAH = @ MAH ? JH E EJI 6DA FKHF IA B = ? JH ?D=HJ EI J @AJA?J = O K M= JA@ ?D= CAI E O KH FH ?AII 6DAIA ?D= CAI ME >A IEC = A@ >O => H = F E JI JDA CH=FD -NJA IELA HAIA=H?D >O ,H 5DAMD=HJ E @E?=JA@ JD=J >O AIJ=> EIDE C KFFAH = @ MAH E EJI =J JDHAA JE AI JDA IJ= @=H@ @ALE=JE B JDA FH ?AII F KI = @ E KI HAIFA?JELA O '' %! B JDA ? ?=KIA L=HE=JE M K @ B= MEJDE JDAIA E EJI ) FH ?AII EI I=E@ JDAHAB HA J >A E ]IJ=JEIJE?= ? JH ^ MDA JDA FH ?AII A=IKHA A JI L=HO H= @ O MEJDE JDA ? JH E EJI JD=J EI JDA L=HE=JE FHAIA J E JDA FH ?AII EI ? IEIJA J = @ FHA@E?J=> A LAH JE A 6DA KFFAH = @ MAH ? IFA?EBE?=JE E EJI JH E EJI =HA J JDA I= A =I J AH= ?A H
+ JH E EJI =HA = BK ?JE B JDA M=O O KH FH ?AII =?JK= O FAHB H I LAH JE A 5FA?EBE?=JE H J AH= ?A E EJI =HA = BK ?JE B MD=J O KH FH ?AII =O D=LA >AA @AIEC A@ J @ = @ =O J A?AII=HE O D=LA = O @EHA?J HA =JE IDEF J JDA =?JK= FAHB H = ?A B JDA FH ?AII
BENEFITS OF CONTROL CHARTS

_ 0A F O K HA? C E A = @ K @AHIJ= @ L=HE=>E EJO = @ D M J ? _ 1@A JEBO ]IFA?E= ?=KIAI^ B L=HE=JE _ JH EJ = @ ?D= CAI E FAHB H = ?A
AAF O K BH BENE C = FH ?AII JD=J EI L=HOE C H= @ O MEJDE ? JH E EJI JD=J EI ]IFA?E= ?=KIAI^ =HA FHAIA J 1B O K M= J J E FH LA EJ O K D=LA J > A?JELA O E@A JEBO = @ A E E =JA JDA H J ?=KIAI B JDA FH ?AII L=HE=JE IEI B FH ?AII FH > A I
_ )IIEIJ E JDA @E=C
_ ,AJAH E A EB FH ?AII E FH LA A J ABBA?JI =HA D=LE C JDA @AIEHA@ =BBA?JI
$
How to use it:

7IA JDA BECKHA AA@ JDA ANJ F=CA J @AJAH E A JDA JOFA B ? JH ?D=HJ O K
+ JH ?D=HJI KIA JM JOFAI B @=J= L=HE=> AI @=J= = @ =JJHE>KJAI @=J= 1 CA AH= EB O K M= J J KIA L=HE=> AI @=J= O K D=LA J J= A A=IKHA A JI E K EJI IK?D =I A CJD JA FAH=JKHA AJ? JDA JDAH D= @ =JJHE>KJAI @=J= HAGKEHAI = C @ >=@ H C C @A?EIE = @ ? K JE C B H AN= F A K >AH B @ABA?JI FAH?A J =JA AJ? + IJHK?J JDA ? JH ?D=HJI ?A O K D=LA @AJAH E A@ JDA JOFA B @=J= J ? A?J B M JDA =FFH FHE=JA ?D=HJ ? IJHK?JE JA?D EGKAI @AI?HE>A@ A IAMDAHA E JDEI IA?JE
Upper Control Limit (UCL)
)LAH=CA X
Lower Control Limit (LCL)

X is the Type of Control Chart. OL CHAR TYPICAL CONTR T X is a Grand Average.
$
0 9 6 ,-6-4 1 - 901+0 +
56-2 - 1I = +
64
+0)46 6 75 75 J KIA A=IKHA A J
JH +D=HJ JDA =FFH FHE=JA J
56-2 69
)JJHE>KJA H ,AJAH E A JOFA B @=J= )JJHE>KJA A=IKHA A J KIA
56-2 604-- 1B
: 4+D=HJEBIK>CH KFI BBELA H :+D=HJEBIK>CH KFI BBELA H AII 1B )JJHE>KJAI / @ *=@ ,EI?HAJA ,=J= KIA 1B =JJHE>KJAI =HA ,-.-+65 )I 1I = ? 1B;-5 F +D=HJ1B
HA
A B JDA B
ME C ?D=HJI
IJ= J I= F A IE A KIA@
F +D=HJ
1B =JJHE>KJAI =HA ,-.-+618-5 )I 1I ? 1B;-5 ? +D=HJ1B
IJ= J I= F A IE A KIA@
K +D=HJ
,-.-+6 ) B=E KHA J
AAJ
A F=HJ B = =??AFJ= ?A ?HEJAHE= AAJ =??AFJ= ?A ?HEJAHE= @KA J
,-.-+618- ) K EJ JD=J B=E I J A H
HA@ABA?JI
1@A JEBO = @ A E E =JA = O IFA?E= H =IIEC => A ?=KIAI B L=HE=JE 6 @AJAH E A MDAJDAH JDAIA ?=KIAI ANEIJ B H A H HA B JDA IALA ]IEC = I^ ID M JDA ANJ F=CA 6DA FH >=>E EJO JD=J = O B JDAIA IALA ALA JI ME ??KH =J H= @ EI LAHO I = 6D=J\I MDO JDAO\HA = IEC = JD=J I AJDE C D=I ?D= CA@ E O KH FH ?AII 4A@K?A LAH= L=HE=>E EJO )BJAH O K D=LA A E E =JA@ = IFA?E= ?=KIAI JHO J HA@K?A JDA HA =E E C L=HE=>E EJO E O KH FH ?AII 6DEI KIK= O HAGKEHAI BK @= A J= ?D= CAI J JDA FH ?AII = @ JDAIA ?D= CAI HAGKEHA = =CA A J=IIEIJ= ?A 6 =?DEALA? JE K KIFH ?AIIE FH LA A J EJ\IAIIA JE= J HA@K?AL=HE=>E EJO
Indications That Special Causes of Variation Are Present
One or more points outside the control limits.
Seven or more consecutive points on one side of the centerline.
Six points in a row steadily increasing or decreasing.
Fourteen points alternating up and down.
Two out of three consecutive points in the outer third of the control region.
Fifteen points in a row within the center third of the control region.
Eight points on both sides of the centerline with none in the center third of the control region.
+ ?=KIA L=HE=JE I MEJDE = FH ?AII =HA >O @ABE EJE H= @ 6DAHAB HA = O H= @ AII E @E?=JAI JDA E B KA ?A B IFA?E= ?=KIAI
Points to Remember:
_ 7FFAH = @ MAH ? JH E EJI =HA J IFA?EBE?=JE E EJI 6DAO D=LA = =JDA =JE?= HA =JE IDEF J JDA FH ?AII KJFKJI 5FA?EBE?=JE E EJI =HA >=IA@ FH @K?J H ?KIJ AH HAGKEHA A JI _ *A IKHA O K D=LA IA A?JA@ JDA ? HHA?J ? =HA ? A?JE C JH ?D=HJ B H JDA JOFA B @=J= O K
_ 0=LE C = @=J= F E J B= KJIE@A JDA ? JH E EJI EI O A B = O @EBBAHA J ]IEC = I^ JD=J E @E?=JA = FH ?AII EI KJ B ? JH 1B = JDA @=J= F E JI =HA MEJDE JDA ? JH E EJI >A IKHA J ?DA? JDA JDAH IEC = I JD=J E @E?=JA = ]IFA?E= ^ ?=KIA B L=HE=JE + =IJ/K=H@2H ?AII1 FH LA A J/KE@A
$!
_ ]5FA?E= ^ ?=KIAI B L=HE=JE ?= H = O >A A E E =JA@ >O JDA FAHI I MD D=I @EHA?J FDOIE?= ? JH LAH = FH ?AII ]+ ^ ?=KIAI B L=HE=JE ?= H = O >A HA@K?A@ O JDH KCD = BK @= A J= ?D= CA J JDA FH ?AII /A AH= O EJ ?= >A I=E@ JD=J ? ?=KIAI =HA = FH @K?J B B=?J HI MDE?D =HA E DAHA J J = FH ?AII MDE A IFA?E= ?=KIA L=HE=JE I =HA = FH @K?J B B=?J HI MDE?D =HA J E DAHA J J JD=J FH ?AII _ 6DAHA =HA IALAH= JOFAI B ? JH ?D=HJI -=?D D=I EJI =FFH FHE=JA KIA = @ E DAHA J IJHA CJDI = @ MA= AIIAI *A? E C B= E E=H MEJD A=?D ME = M O K J IA A?J JDA >AIJ J B H O KH F=HJE?K =H M H =HA= H AA@I 4
TYPES OF CONTROL CHARTS AND THEIR USES

: : +0)46 5D MI E @ELE@K= KJFKJI B = FH ?AII : +0)46 5D MI =LAH=CA KJFKJI B = FH ?AII 4 +0)46 5D MI D M ? IEIJA J = FH ?AII EI
5D MI BH=?JE
2 +0)46 B @ABA?JELA EJA I B H 7 -37) I= F A IK>CH KFI
F +0)46 5D MI K >AH B @ABA?JELA EJA I B H AGK= I= F A IK>CH KFI + +0)46 5D MI K >AH B @ABA?JI MEJDE A=?D EJA B H AGK= IK>CH KFI 7 +0)46 5D MI K >AH B @ABA?JI MEJDE A=?D EJA B H 7 -37) IK>CH KFI
$"
CHART CONSTRUCTION TECHNIQUES Measurement Data Control Charts: Constructing an X Chart

_ + A?J =J A=IJ # # @=J= F E JI _ += ?K =JA JDA LE C H= CA B H >O IK>JH=?JE C JDA L= KA B A=?D @=J= F E J BH JDA A MDE?D FHA?A@AI EJ ,EIHAC=H@ F IEJELA H AC=JELA L= KAI B A=?D HAIK J JDA E EJE= @=J= F E J ME D=LA LE C H= CA IE ?A JDE C FHA?A@A@ EJ 6DA HA=I B H @AJAH E E C JDA LE C H= CA EI J E E E A JDA L=HE=JE MEJDE IK>CH KFI 6DA IK>CH KF L=HE=JE B H = IAGKA ?A B E @ELE@K= L= KAI EI HAFHAIA JA@ DAHA >O JDA L=HE=JE I BH A F E J J JDA ANJ _ += ?K =JA JDA : A= =LAH=CA L= KA N B H JDA @=J= F E JI =I B N JDA 5K N B JDA E @ELE@K= L= KAI JDA K >AH B E @ELE@K= I LE C MI
_ ,AJAH E A JDA =LAH=CA L= KA B JDA H= CA 4 JDA =LAH=CA H= CA =I B MI JDA IK B LE C H= CAI 4 4 JDA K >AH B LE C H= CAI 9DE?D EI JDA I= A =I JDA K >AH B E @ELE@K= L= KAI _ += ?K =JA JDA ? JH E EJI =I B MI .)+6 4 6)* 7FFAH + MAH + JH E EJ : ) 4 JH E EJ : ) 4 ) $#' ! %% " "#% # ' + =IJ/K=H@2H ?AII1 FH LA A J/KE@A
E KI
$#
: +0)46 +
5647+61
-:)
2 -
6DA B ME C J=> A ID MI JDA K >AH B AHH HI JD=J = F=HJE?K =H 2-4547 HA? H@A@ FAH JD 7JE E E C JDEI @=J= MA ID= ? IJHK?J = : +D=HJ JD >H B-HH HI ) # .-* # ! )4 !! & )24 !$ " ); ! 7 ! & 7 ! )7/ ! $ 5-2 ! ! +6 & 8 % ,-+ $ ) ' .-* " )4 " $
$$
+= ?K =JA
LE C 4= CAI JD -HH HI LE C4= CA
) # .-* # ! !# # ! ! )4!! && # )24!$ " $ );! " 7 ! & " 7 ! & )7/ ! $$ " 5-2! !& % +6 & " 8 % ,-+ $ ' ) ' ! .-*" )4" $ #
6 6) 5 "$ "#! $
+= ?K =JA JDA
A=
"$ " #
! ! $' #! $ "
+= ?K =JA JDA
A=
LE C H= CA
! &!
$%
+= ?K =JA JDA 7FFAH +
JH E EJ
" &% ! $' $#'! &! ! $' & += ?K =JA JDA MAH + JH E EJ
! $' $#'! &! ! $' & #
IJHK?JE C JDA +D=HJ
#
7+ " &%
-HH HI
"
!
: ! $'
+ #
= .A> =H =H )FH =O K K )KC 5AF ?J L ,A? = .A>
6DA : +D=HJ @E@ J ID M = O F=HJI KJIE@A JDA ? JH E EJI B H = O B JDA JDI B H MDE?D @=J= M=I =L=E => A 0 MALAH EB MA =FF O KH JDAH ?HEJAHE= B H E @E?=JE C JDA FHAIA ?A B IFA?E= ?=KIA L=HE=JE IAA ?D=HJ E@A JEBOE C IFA?E= ?=KIAI B L=HE=JE MA BE @ JD=J A E @E?=JE JD=J = IFA?E= ?=KIA =O ANEIJ EI EB JDAHA =HA JM KJ B JDHAA ? IA?KJELA F E JI E JDA KJAH JDEH@ B JDA ? JH HACE =HA= >AJMAA 7+ = @ + 6DEI ?HEJAHE= IAA I J =FF O J JDA =IJ JM @=J= F E JI MA D=LA KH ?D=HJ * JD .-* = @ )4 =O AA@ J >A HALEAMA@ J IAA EB JDAHA EI I A JDE C IFA?E= ?=KIE C JDA E ?HA=IA E AHH HI AM ; @AI AGKEF A J FH > A I AJ?
$&
Variables Control Charts: Constructing an X or R Chart

_ + A?J J IK>CH KFI B @=J= MEJD A=?D IK>CH KF ? IEIJE C B JM H HA @=J= F E JI . H AN= F A = IK>CH KF ? K @ >A = MAA = @ EJI @=J= F E JI ? K @ >A @=OI 6DA IE A B A=?D IK>CH KF HAFHAIA JA@ >O ] ^ ID K @ HA =E ? IJ= J 6DA J J= K >AH B IK>CH KFI EI HAFHAIA JA@ >O ] ^
_ Determine the average (x) and range (R) for each subgroup as follows: _ x1 +x 2 +...+x (x) = n
n
x n
R = x max xmin _ _ Determine the overall mean (x) as follows: _ _ x thesumofallthesubgroupaverages x= = K thenumberofsubgroups _ Determine the average value of the range (R) as follows: _ R thesumofallthesubgroupranges (R) = = thenumberofsubgroups K
_ += ?K =JA JDA ? JH E EJI = @ ?A JAH E AI KIE C JDA B H K =I = @ ? IJ= JI E JDA B ME C JM J=> AI
How To Calculate Control Limits and Centerlines

To calculate the Upper Control Limit Lower Control Limit Centerline _ For an x chart, use: _ _ _ x + A2 R _ _ _ x A2 R _ _ x For an R chart, use: _ R D4 _ R D3 _ R
$'
Control Chart Constants

1B O K D=LA JDEI = O >IAHL=JE I E = IK>CH KF . H = N ?D=HJ KIA JDEI L= KA B H ) . H = 4 +D=HJ 7IAJDEI7IAJDEI L= KAB HL= KAB H ,! ,"
&&! % ! #% " %! &
# #& $ "& % " & ' & !% " &$ ' !" & & ! %&
_ 2 J JDA N = @ 4 ?D=HJI 6DAIA ?D=HJI ID K @ = M=OI >A KIA@ E J= @A >A?=KIA JDA N ?D=HJ ID MI JDA I= F A J I= F A ?D= CAI E = FH ?AII = @ JDA 4 ?D=HJ ID MI JDA L=HE=>E EJO MEJDE A=?D I= F A 4A?= ?K =JA JDA ? JH E EJI ALAHO IK>CH KFI H EB O K IAA = IEC EBE?= J ?D= CA E JDA FH ?AII =LAH=CA H L=HE=>E EJO 7IA O JDA IJ HA?A J A=IKHA A JI E O KH ?= ?K =JE I
%
x R Chart Example
. H I A HA=I K ?D ANFA IAI >A?= A = EIIKA =J = ? IK JE C BEH 1J M=I IKCCAIJA@ JD=J JDAIA ANFA IAI ECDJ >A? A = J=HCAJ B H >K@CAJ HA@K?JE I 6 = A IKHA JD=J = O @A?EIE I => KJ AM HAE >KHIA A J H=JAI M K @ >A >=IA@ @=J= H=JDAH JD= E FHAI IE I = IJ=BB A >AH @A?E@A@ J =FF O IJ=JEIJE?= FH ?AII JA?D EGKAI J JDA EIIKA )I F=HJ B JDA HAIF IA JDA ? IK J= J ? A?JA@ @=J= B H JA MAA I =I IK =HE A@ E JDA J=> A >A M = @ FHAF=HA@ N = @ 4 ? JH ?D=HJI MON
TUE $
4.60
WEEK
1 2 3 4 5 6 7 8 9 10 4.50 4.60 4.60 4.40 4.30 4.60 4.10 4.50 4.40 4.20
WED THU $ $ $
4.50 4.40 4.40 4.40 4.40 4.20 4.60 4.40 4.60 4.20 4.40 4.30 4.40 4.20 4.20 4.50 4.50 4.60 4.60 4.50
FRI $
4.40 4.10 4.10 8.00 4.30 4.40 4.20 4.40 4.20 4.20
x
4.48 4.38 4.32 5.06 4.30 4.46 4.34 4.48 4.40 4.26
R
0.2 0.5 0.5 3.8 0.2 0.4 0.5 0.2 0.4 0.3 R = 0.7
4.50 4.10 4.30 4.30 4.60 4.30 4.50 4.20 4.20
x = 4.45 Variables/Constants used to prepare x and R Charts:
4 JDAH= CAB HMAA N JDA=LC FAHMAA N JDAB H= O@=O 4 %=LC BMAA OH= CAI ##@=OIFAHMAA ) #& , " MAA IN " "#=LC BMAA O=LCI ! , ,=J= >J=E A@ BH + IJ= JI 6=> A FHALE KI F=CA + =IJ/K=H@2H ?AII1 FH LA A J/KE@A
%
x R Chart Example (Concluded)

$ for Lunch UCL = 4.86 x ($) = x = 4.45 LCL = 4.04
Week 1 2 3 4 5 6 7 8 9 10
UCL = 1.48 R R = 0.7 LCL = 0
* JD JDA N = @ 4 ?D=HJ @E@ ID M = KJ B ? JH ? @EJE E MAA " 4A?AEFJI B H JD=J MAA HALA= A@ JD=J JDEI M=I ?=KIA@ >O = IFA?E= B=HAMA K ?DA .HE@=O )BJAH HA LE C JDEI =IIEC => A ?=KIA EJ >A?= A ALE@A J JD=J K ?D M=I ? IEIJA J O ? IJE C " J " # ALAHO @=O 6 HA@K?A JDEI = K J = FAHI M K @ D=LA J = A = BK @= A J= ?D= CA E JDA ]FH ?AII ^ B H AN= F A >HE CE C K ?D BH D A A=JE C =J = @EBBAHA J F =?A AJ? 6DA ? IK J= J =JAH B K @ KJ JD=J JDA B=HAMA K ?DA D=@ ?HA=JA@ = E =??KH=JA E FHAIIE >=? =J JDA D A BBE?A = @ JDA AM HAE >KHIA A J H=JAI M K @ E @AA@ HAB A?J ?KHHA J ? IJI
Control Charts for Attributes

_ + A?J J IK>CH KFI B @=J= -=?D ? IEIJE C B K JEF A @=J= F E JI =HH= CA@ E = H=JE = = AH @=O J BBE?A AJ? 6DA IE A B A=?D IK>CH KF EI HAFHAIA JA@ >O ] ^ _ 7IA JDA B ME C B H K =I J ? FKJA JDA IK>CH KF IJ=JEIJE?I = @ ? E EJI B H JDA JOFA B ?D=HJ O K =HA KIE C JH
p Chart
p= numberofdefectivesinasubgroup sizeofsubgroup(n) = fraction or percent defective
_ totaldefective p= = centerline = average fraction defective totalinspected _ UCL = p + 3 _ LCL = p 3 _ _ p(1p ) = upper control limit (varies by subgroup) n _ _ p(1p ) = lower control limit (varies by subgroup) n
; K ?= KIA = =LAH=CA IK>CH KF IE A J >J=E = IE C A IAJ B ? EB
JH E EJI
_ 6DA =HCAIJ IK>CH KF IE A EI AII JD= JME?A JDA =LAH=CA IK>CH KF IE A = @ _ 6DA I = AIJ IK>CH KF IE A EI 2 J F B H A=?D IK>CH KF np Chart _ p, n = same as for p chart, except n must be constant _ np = centerline = average number of defectives
_ UCL = np + 3 _ LCL = np 3 _ _ np(1p ) _ _ np(1p )
HA JD= D= B JDA =LAH=CA IK>CH KF IE A
_ 2 J F B H A=?D IK>CH KF + =IJ/K=H@2H ?AII1 FH LA A J/KE@A
%!
u Chart
u=
numberofdefectspersubgroup numberofunitspersubgroup = centerline
_ totalnumberofdefectsforallsubgroups u= totalinspected _ UCL = u + 3 _ LCL = u 3 _ u n _ u n
_ 2 J K B H A=?D IK>CH KF
c Chart
c = number of defects per subgroup _ c = totaldefects totalnumberofsubgroups _ c _ c = centerline
_ UCL = c + 3 _ LCL = c 3
_ 2 J ? B H A=?D IK>CH KF
%"
Attributes Chart Example

) FH CH= @EHA?J H BA J JD=J ?D= CAI J IFA?EBE?=JE I ECDJ >A AN?AIIELA 6 IAA MDAJDAH JDAIA ? ?AH I MAHA MA B K @A@ JDA = =CAH JH=? A@ JDA K >AH B JE AI = IFA?EBE?=JE M=I ?D= CA@ >O AEJDAH = - CE AAHE C +D= CA 2H F I= -+2 H >O = AJJAH BH JDA ? JH=?JE C BBE?AH 6DA J=> A >A M IK =HE AI JDA ?D= CAI B H = JA MAA FAHE @ ) JD KCD ?D= CAI J = IFA?EBE?=JE =HA J AN=?J O ]@ABA?JI ^ JDA ?D= CAI =HA =JJHE>KJAI @=J= H=JDAH JD= L=HE=> AI @=J= = @ JDA ? ?D=HJ EI =FFH FHE=JA
Week Number of Specifications Changed 1 9 2 7 3 4 4 2 5 4 6 15 7 2 8 3 9 5 10 5
_ 56 c= = 5.6 (changes per week) 10 UCL = 5.6 + 3 LCL = 5.6 3 5.6 = 12.7 5.6 = 1.5 => 0
n = 50 active contracts
%#
Attributes Chart Example (Concluded)

= ? ?D=HJ MAA IEN ? J=E I = ]IFA?E= ?=KIA^ B H L=HE=JE 1 JDEI ?=IA JDA IFA?E= ?=KIA M=I = @AIEC HALEAM DA @ JDA FHALE KI MAA 6A B JDA BEBJAA ?D= CAI E MAA IEN HAIK JA@ BH JDEI @AIEC HALEAM 6DA FH CH= @EHA?J H =@ FJA@ JDEI ? JH ?D=HJ =I = FAH = A J = =CA A J J
c (Number of Specification Changes)
15 UCL = 12.7
10
c = 5.6
LCL = 0.0 1 2 3 4 5 6 7 8 9 10 Week
%$
6-5
%%
References FOR MORE INFORMA TION

ON THE TOOLS AND TECHNIQUES OF TOTAL QUALITY:
5?DAH A >=?D 9E E= 9 60- ,- 1 / 4 76- 6 37) 16; ) , 24 ,7+61816; +--2HAII * I /A 9=IDE CJ 7 EL 9=IDE C J ,+ # '&% A O E?D=A 4 -8-4; -5 24 * - 5 3K= EJO 4AI KH?AI 9DEJA 2 =E I ; '' 5?D JAI 2AJAH 4 60- 6-) 0) ,* '' 81 / 0) ,* E AH )II ? ) - =@EI 91
, O A E?D=A = @ 5JH=KI ,=LE@ 0 9 6 *AH AO 2K> EIDE C =@EI ; '&
--61 /5 9 4 5 1 5
4AAI .H= 0 9 6 -), 9 4 6-) 5 .)+1 16)61 2BAEBBAH + 5= ,EAC +) '' =OIAH 6D '' 4A =I ) 1 1 / /4 72 / , 2BAEBBAH +
5= ,EAC +) 5 2.4 FAHI
AH 2AJAH 3KE = 0= ,=LE@ 1 5-)4+0 . 5 761 6H=E E C )II ?E=JAI E EJA@ 8= ? KLAH *+ += =@= ''
+=HH ,=LE@ EJJ = 1= , -:+- - +- 1 / 8-4 O>H= @ )H E CJ 8) '' )66 56)61561+) 37) 16; + '' 1 @E= =F EI 1 "$ ' 64 0) ,*
- 6 +
)66 2 * :
%&
ON TOTAL QUALITY IN GENERAL

,A E C 9 -@M=H@I 76 . +41515 += >HE@CA )@L= ?A@ - CE AAHE C 5JK@O '&& 2AJAHI 6 9= J 604181 / =HO 60- ,- 1 / ) )/- - 6 ) 16 +A JAH B H
+0) 5 AM ; H 0=HFAH = @ 4 M '&% -60 , AM ; H
/H= EAH 2AJAH * *-. 4- 165 6 IAO *=II '' 6 M IA @ 2=JHE? +
)6- 6A= >KE @E C 1 ? '&'
*A? D=H@ 4E?D=H@ = @ 2HEJ?D=H@ 9A @O +0) /1 / 60- -55- +-
16 6 37) 16; 9E AO 5
I ''
+ LAO 5JALA 4 241 +12 - +- 6-4-, -),-45012 5K , >O I EJ* I '' =I + =HA 37) 16; 4 - 5-
O@ = @ +H=MB H@
EBB E '' 0K@E>KHC D 91 1 / 9160 37) 16; 60- .2 56 4; 64 3K= EJO4AI KH?AI '' 1IDE =M= = HK 90)6 15 6 6) 37) 16; + 2HA JE?A0= '&# 2=O A 6 .4 60- 1 51,- 76 2AHB H = ?A 2HAII ''
5A CA 2AJAH 60- .1.60 ,15+12 1 - , K> A@=O '' +=HH ,=LE@ +=HJE 6D = @ EJJ = 1= , -:+- - +- 1 / 8-4 =I 241 +12 -5 ) , 24)+61+-5 . 63 - 6
+ FAHI O>H= @ '' )53+ 3K= EJO2HAII E M=K AA 91''!
%'
QUICK REFERENCE GUIDE FOR USING TQM TOOLS

IF YOU NEED TO..
Get a lot of ideas about an issue/problem Get new ideas/encourage participation Discover the root cause(s) of a problem Show how causes may be related Prioritize or reduce a list of items FIVE WHYS CAUSE AND EFFECT MULTI-VOTE NOMINAL GROUP TECHNIQUE PAIRWISE RANKING Identify driving and restraining forces Identify significant influences Describe/understand how a process works Identify critical stages of a process Determine causes of a particular issue Identify root causes Identify major problems Separate and prioritize issues Collect data easily Convert raw data to useful information Understand total variability of a process Understand relationship between variables Recognize abnormal behavior in a process Document changes over time See "special" causes of variation in a process Know whether a process is stable CONTROL CHART HISTOGRAM SCATTER DIAGRAM RUN CHART CHECK SHEET PARETO DIAGRAM CAUSE AND EFFECT FLOWCHART FORCE FIELD ANALYSIS
THEN TRY THIS TOOL...

BRAINSTORMING
&
THE
QUALITY
CENTER
Petaluma, CA 94952-5000 TEL: (707) 765-7124 FAX: (707) 765-7530 E-MAIL: TLI/TCPETT1
QUALITYCENTERST AFFMEMBERS
CDR Doug Martin- School Chief LT Mark Metoyer- Quality Course Coordinator LTJG Deb Littlefield- Staff Supervisor CWO3 Jerry Linnins- TQM Course/Instructor Development Mr. John Heckler- TQM Course Facilitator MKCS Dave Garris- TQM Course Facilitator SKC Dave Lewis- Finance and Supply Coordinator BMC Craig Thomas- TQM Course Facilitator YNC John Gonzales- TQM Course Facilitator
This guide is for informational purposes and has been distributed to promote a better understanding and use of Total Quality principles, practices, and tools by each member of the United States Coast Guard.
&
QUICK LOOK INSIDE THIS EDITION

WHERETO GET INFORMA TION ON:
PAGE QUALITY BLUEPRINT FADE PROBLEM-SOLVING MODEL BRAINSTORMING FIVE WHYS SURVEYS/INTERVIEWS ALIGNMENT QUESTIONS CONTINGENCY DIAGRAM MULTI-VOTE NOMINAL GROUP TECHNIQUE FORCE FIELD ANALYSIS PAIRWISE RANKING AFFINITY DIAGRAM CHECK SHEETS FLOWCHART CAUSE AND EFFECT DIAGRAM PARETO DIAGRAM HISTOGRAM SCATTER DIAGRAM RUN CHART CONTROL CHART 4 7 12 15 17 18 19 21 23 25 26 28 36 40 44 47 51 54 56 60

Process Improvement Guide

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United States Coast Guard

PROCESS IMPROVEMENT GUIDE

Total Quality Tools for Teams and Individuals

SECTION ONE - Overview of Process Improvement

SECTION TWO - Generating Ideas

SECTION THREE - Data & Data Collection

SECTION FOUR - Basic Tools

QUICK REFERENCE GUIDE FOR USING TQM TOOLS 80

Preface to Second Edition ABOUT THIS GUIDE...

JDA3K= EJO+A JAH5J=BB

Section 1 OVERVIEW OF PROCESS IMPROVEMENT

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

2HA@E?J=> A K EB H EJO  @AFA @=>E EJO =J J  =H AJ  9  -,9)4,5 ,1 /

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

THE SHEWHART CYCLE (PDCA or Deming Cycle)

ACT on the Results CHECK the Results

PLAN an Approach DO the Activity

How to use it:

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

THE QUALITY BLUEPRINT

,ALA F -NA?KJA 5 KJE I

-IJ=> EID )CHAA@ 7F  4AGKEHA A JI

,AI?HE>A ) = O A +KHHA J 2H ?AII

1@A JEBO /=FI

5JAFI J  ,AJAH E A 4ECDJ 9=O J  ,  1J How to Use It:

5JAFI J  ,AJAH E A JDA DA 4ECDJ 6DE C J  ,

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

THE RIGHT THING

THE RIGHT WAY

  1@A JEBO =L E@=> A ? IJI   1@A JEBO   5AJ 2HE HEJEAI

L= KA =@@A@ IJAFI  

Develop/Execute Solutions Identify key customers and suppliers

  ,ALA F =  )?JE   1 F A A J I KJE

  ,AJAH E A O KH ?HEJE?=         ?KIJ

Establish Agreed-Upon Requirements

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

THE FADE PROBLEM-SOLVING PROCESS

+75 +D IA=FH > A

          /A AH=JA = EIJ B FH > A I           8AHEBO = @ @ABE A JD=J FH > A )  +

) ; -   A=H  => KJ JDA FH > A

         ,A?E@A MD=J O K AA@ J           ,AJAH E A H J ?=KIAI = @

A?J @=J=  >=IA E AI = @ F=JJAH I

         /A AH=JA = EIJ B FH - I KJE

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

How to Use It:

REQUIRED OUTPUTS FOR F .A.D.E. PROCESS

OTHER KEY QUALITY CONCEPTS

ALIGNMENT: Matching your capabilities/customer needs with organizational goals

WORK AS A PROCESS: Your work is part of an interrelated process

YOU Value-Added Process

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

OTHER KEY QUALITY CONCEPTS (CON'T)

RIGHTTHINGS RIGHT: Meeting our customer's needs

FIVE PILLARS: Key elements of a Quality organization

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

1 6-4 )  .)1 74+ IJI B B=E E C J  @  EJ HECDJ JDA BEHIJ JE A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

Section 2 GENERATING IDEAS AND IDENTIFYING OPPORTUNITIES

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

BRAINSTORMING What it is:

JDA3K= EJO+A JAH5J=BB

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

2HA@E?J=> A K EB H EJO @AFA @=>E EJO =J J =H AJ 9 -,9)4,5 ,1 /

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

-IJ=> EID )CHAA@ 7F 4AGKEHA A JI

,AI?HE>A ) = O A +KHHA J 2H ?AII

1@A JEBO /=FI

5JAFI J ,AJAH E A 4ECDJ 9=O J , 1J How to Use It:

5JAFI J ,AJAH E A JDA DA 4ECDJ 6DE C J ,

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

1@A JEBO =L E@=> A ? IJI 1@A JEBO 5AJ 2HE HEJEAI

L= KA =@@A@ IJAFI

,ALA F = )?JE 1 F A A J I KJE

,AJAH E A O KH ?HEJE?= ?KIJ

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+75 +D IA=FH > A

/A AH=JA = EIJ B FH > A I 8AHEBO = @ @ABE A JD=J FH > A ) +

) ; - A=H => KJ JDA FH > A

,A?E@A MD=J O K AA@ J ,AJAH E A H J ?=KIAI = @

A?J @=J= >=IA E AI = @ F=JJAH I

/A AH=JA = EIJ B FH - I KJE

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

1 6-4 ) .)1 74+ IJI B B=E E C J @ EJ HECDJ JDA BEHIJ JE A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

E C = @ CA AH=JA A JDKIE=I = @ >KE @E C JDA E@A=I B JDAHI J AL= K=JE C E@A=I

_ )L E@ JDA F=H= OIEI B = = OIEI >O

JDA > =H@ = @ @ =I EJJ A A@EJE C =I F IIE> A

K >AH A=?D E@A= B H BKJKHA HABAHA ?A

\J D=LA = E@A= =J JDA

F AJA H K @ B F=IIAI A @I JDA >H=E IJ H E C IAIIE

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

1 K IJHK?JKHA@ H FA @ H >H=E IJ H E C

A?J JDA F=FAHI = @ F IJ JDA B H = J IAA

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

_ 1@A JEBO JDA H J ?=KIAI B = FH > A _ 5AA D M @EBBAHA J ?=KIAI B = FH > A

ECDJ >A HA =JA@

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

9DO 9A @E@ J F=II A 9DO 6DA AL= K=JE

KCD B JDA AL= K=JE

9DO 9A D=@ FHAF=HA@ KIE C =

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

B = ANJA @A@ CH KF EI @AIEH=> A

M = EIIKA EI >AE C =@@HAIIA@

= A EJ =I IE F A = @ =I A=IO =I F IIE> A B H FA F A J F=HJE?EF=JA

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

56-2 69 ,H=M = + 56-2 604-- *H=E IJ H

JE CA ?O ,E=CH= ANJ F=CA

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

! ,ALA F BAA@>=? " +

@K?J JH=E E C E 63 * JD =M=HA AII = @ J I

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ FE A JDA L JAI CELA J A=?D EJA B H ALAHO L JA EJ HA?AELAI

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

" 6 K?DJE A# 6 K?DFH J ? $ 9H &

KCD@=J=FH LE@A@>AB HA AAJE C

=@ E EIJH=JELAIKFF HJ' 4 AI BF=HJE?EF= JI

6 HA@K?A JDEI EIJ J = BELA # L JAI =FFH NE

$ % & '

FH > A I % " = @ '

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

_ 2HE HEJE A = EIJ B E@A=I _ = A @A?EIE I KIE C E FKJI BH = F=HJE?EF= JI

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

I KJIE@A JDA BBE?A I MEJDE JDA BBE?A =E = =CA A J

=? B JH=E E C 7 ? A=H = @ > A?JELAI B BBE?A HAF HJI

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

IA IKI HEA JA@

+ =IJ/K=H@2H ?AII1 FH LA A J/KE@A

+ K J JDA K >AH B JE AI A=?D = JAH =JELA =FFA=HI E JDA