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National GuardBlack Belt Training

Module 31

Cause and Effect (XY) Matrix

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CPI Roadmap – Analyze

Note: Activities and tools vary by project. Lists provided here are not necessarily all-inclusive.

TOOLS•Value Stream Analysis•Process Constraint ID •Takt Time Analysis•Cause and Effect Analysis •Brainstorming•5 Whys•Affinity Diagram•Pareto •Cause and Effect Matrix •FMEA•Hypothesis Tests•ANOVA•Chi Square •Simple and Multiple Regression

ACTIVITIES

• Identify Potential Root Causes

• Reduce List of Potential Root Causes

• Confirm Root Cause to Output Relationship

• Estimate Impact of Root Causes on Key Outputs

• Prioritize Root Causes

• Complete Analyze Tollgate

1.Validate the

Problem

4. Determine Root

Cause

3. Set Improvement

Targets

5. Develop Counter-

Measures

6. See Counter-MeasuresThrough

2. IdentifyPerformance

Gaps

7. Confirm Results

& Process

8. StandardizeSuccessfulProcesses

Define Measure Analyze ControlImprove

8-STEP PROCESS

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3Cause and Effect Matrix

Learning Objectives

Learn the steps to create a Cause and Effect (C&E) matrix

Learn how to link the C&E matrix to other tools

Perform an exercise to actually create a C&E matrix

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4Cause and Effect Matrix

C&E Matrices FMEAProcess Map

Idea

Generation

Tools

C&E Matrix Overview

The team develops an understanding of the greatest sources of variation within the process and pinpoints the critical few key process input variables (KPIVs) that must be addressed to improve the key process output variables (KPOVs)

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5Cause and Effect Matrix

Application Examples

Distribution – An analyst wants to know which items have the greatest effect on providing material on time

Administrative – A manager wants to determine which process inputs and steps have the most impact on user satisfaction and processing speed and accuracy

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6Cause and Effect Matrix

C&E Matrix

What

A cause and effect matrix relates process steps to inputs and correlates to process outputs

Customer requirements are ranked by order of importance and then inputs and outputs are rated by their interaction impact

It relates the key inputs to the key outputs (customer requirements) using process maps and the Cause & Effect Diagram as primary sources

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7Cause and Effect Matrix

C&E Matrix Purpose

Why

To determine what key input variables should get the most attention, such that their performance improvement will best meet key output variable requirements

To identify which input variables (causes) most influence the key process output variable (effect)

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8Cause and Effect Matrix

C&E Matrix Method

How

Identify key customer requirements (outputs) from the process map and VOC/VOB analysis

Outputs are given a priority score according to importance to the customer (usually on a 1 to 10 scale, with 10 being most important)

Identify significant inputs from the SIPOC, detailed process map, value stream map and/or cause & effect diagram.

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9Cause and Effect Matrix

C&E Matrix Method

How (Cont.)

Inputs are rated based on the strength of their relationship with output variables and given a correlation score as follows:

Blank or zero = no correlation

1 = remote correlation

3 = moderate correlation

9 = strong correlation

Cross multiply correlation scores with priority scores and add across for each input

Create a Pareto chart and focus on the variables with the highest scores

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10Cause and Effect Matrix

C&E Matrix FormXY Matrix

Project:

Date:

1 2 3 4

Ou

tpu

t V

ari

ab

les (

Y's

)

Output

Rating

Input Variables (X's)Association Table

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

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11Cause and Effect Matrix

Steps to Create an XY Matrix

Basic Approach

1. Place the process output (CTS) characteristics across the top of the matrix and rank

2. Place the process inputs down the side of the matrix

3. Correlate process inputs to outputs

4. Calculate process input scores

5. Rank and pareto the process inputs

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12Cause and Effect Matrix

Example: Coffee at the All Ranks Club

A local All Ranks Club wants to improve customer satisfaction with the coffee they serve

The team has completed a process map and brainstormed root cause ideas - they are ready to create a C&E matrix to identify the inputs that have the largest impact on customer satisfaction

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XY MatrixProject:

Date:

1 2 3 4 10

Ou

tpu

t V

ari

ab

les (

Y's

)

Taste

Aro

ma

Pri

ce

Acid

ity

Output

Rating9 3 3 1

Input Variables (X's)Association Table Score % Rank

1 Coffee Type 9 9 9 9 144 16.04%

2 Amt. of Coffee 9 3 9 9 126 14.03%

3 Grind Time 9 3 1 3 96 10.69%

4 Water Temp. 9 3 1 1 94 10.47%

5 Cup Type 1 3 3 1 28 3.12%

6 Cup Size 1 3 3 1 28 3.12%

7 Brew Time 9 3 1 1 94 10.47%

8 Type of Coffee Pot 1 1 1 3 18 2.00%

9 Thickness of Filter 3 0 0 3 30 3.34%

10 Country of Origin 3 3 3 3 48 5.35%

11 Age of Coffee 9 1 1 9 96 10.69%

12 Freshness of Beans 9 1 1 9 96 10.69%

11/9/2008

Coffee

Example: Coffee at the All Ranks Club

Step 2: Circle most significant Xs from fishbone and other

sources and list inputs here

Step 1: Input output (Y)

variables and output ratings

from the VOC/VOB analysis

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XY MatrixProject:

Date:

1 2 3 4 10

Ou

tpu

t V

ari

ab

les (

Y's

)

Taste

Aro

ma

Pri

ce

Acid

ity

Output

Rating9 3 3 1

Input Variables (X's)Association Table Score % Rank

1 Coffee Type 9 9 9 9 144 16.04%

2 Amt. of Coffee 9 3 9 9 126 14.03%

3 Grind Time 9 3 1 3 96 10.69%

4 Water Temp. 9 3 1 1 94 10.47%

5 Cup Type 1 3 3 1 28 3.12%

6 Cup Size 1 3 3 1 28 3.12%

7 Brew Time 9 3 1 1 94 10.47%

8 Type of Coffee Pot 1 1 1 3 18 2.00%

9 Thickness of Filter 3 0 0 3 30 3.34%

10 Country of Origin 3 3 3 3 48 5.35%

11 Age of Coffee 9 1 1 9 96 10.69%

12 Freshness of Beans 9 1 1 9 96 10.69%

11/9/2008

CoffeeStep 3: Correlate inputs to outputs

using 0,1,3,9 rating system

Step 4: Calculate score for all inputs

Example: Coffee at the All Ranks Club

Calculate Score for Coffee Type(9*9)+(9*3)+(9*3)+(9*1) = 144

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Pareto Chart – Coffee ExamplePareto Chart of Key Input Variables

0

20

40

60

80

100

120

140

160

Coffee T

ype

Amt.

of Coffe

e

Grind T

ime

Age of C

offee

Fresh

ness o

f Beans

Wate

r Tem

p.

Brew T

ime

Country o

f Orig

in

Thickness

of F

ilter

Cup Typ

e

Cup Size

Type o

f Coffe

e Pot

Variable Name

Sc

ore

Step 5: Create a Pareto Chart showing most important inputs for

further analysis

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16Cause and Effect Matrix

The Pareto chart shows us that the 2 process inputs that have the most significant impact on our process outputs are:

Coffee type

Amount of coffee

High-ranked process inputs would then be evaluated with hypothesis testing or other validation method

Coffee at the All Ranks Club Conclusion

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17Cause and Effect Matrix

Alternate Method: Focused Approach

Adapted From The Six Sigma Handbook, p. 295, by Thomas Pyzdek

Arrive at

schedule

d time

Arrive with

proper

equipment

Dressed

properly

Delivered

via correct

mode

Take back

to room

promptly

Process Outputs

5 4 4 2 4 Importance

Process Steps Process Inputs Correlation of Input to Output Total

0

Patient Scheduled 5 2 0 3 0 39

Attendant Assigned 5 0 0 0 0 25

Attendant Arrives 5 0 0 0 0 25

Obtains Equipment 1 5 0 1 0 27

Transport Patient 5 0 0 0 0 25

Provide Therapy 0 0 0 0 0 0

Notifies of Return 0 0 0 0 5 20

Attendant Assigned 0 0 0 0 5 20

Attendant Arrives 0 0 0 0 5 20

Patient Returned 0 0 0 0 5 20

Input process steps first. Use the XY Matrix to determine

highest ranking process steps, then redo XY Matrix using inputs

from just those steps to determine significant Xs

Physical Therapy Example

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18

Exercise: Prepare an XY Matrix

Objective

Create an XY Matrix for the GGA's Budget Department

Instructions

Build a C&E matrix from the Cause & Effect Diagram (Fishbone)

List key output variables

Rank importance according to VOC/VOB analysis

List top process input variables (no more than 10, for the sake of time)

Be prepared to report results to the group

Time = 20 Minutes

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19Cause and Effect Matrix

Linking XY Matrix to Other CPI Tools

Capability Summary

Customer

Requirement

(Output Variable)

Measurement

Technique

%R&R or P/T

Ratio

Upper

Spec

Limit

Target

Lower

Spec

Limit

Cp CpkSample

SizeDate Actions

Gel Time

Viscosity

Cleanliness

Color

Homogeneity

Consistency

Digets Time

Temperature

Solids

Key Process Output Variable

Capability Summary Sheet

The Key Outputs are listed and evaluated

FMEA

Process or

Product Name:Prepared by:

Responsible: FMEA Date (Orig) ______________ (Rev) _____________

Process

Step/Part

Number Potential Failure Mode Potential Failure Effects

S

E

V Potential Causes

O

C

C Current Controls

D

E

T

R

P

N

Spin Draw

Process

Fiber Breakouts Undersized package, High SD

panel-hours lost 2Dirty Spinneret

8Visual Detection of Wraps and

broken Filaments 9 144

5Filament motion

2Visual Sight-glass

8 80

8Polymer defects

2Fuzzball Light

9 144

0

Process/Product

Failure Modes and Effects Analysis

(FMEA)

Key Inputs are explored

C&E Matrix

Rating of

Importance to

Customer

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Process Step Process Inputs Total

1 0

2 0

3 0

4 0

5 0

The Key Inputs are evaluated

Control Plan Summary

Product: Core Team: Date (Orig):

Key Contact:

Phone: Date (Rev):

Process Process Step Input Output

Process

Specification (LSL,

USL, Target)

Cpk /Date Measurement

Technique

%R&R

P/T

Sample

Size

Sample

Frequency

Control

MethodReaction Plan

DICY Turn Steam on Scales

Accuracy

DMF Load DMF DMF Load

Accuracy

DMF Load DMF DMF

Cleanliness

DICY Load DICY DICY Envir.

Factors

DICY Load DICY DICY Load

Accuracy

DICY Load DICY DICY Raw

Materials

DICY Load DICY DICY Mixer

Speecd

DMF Load DMF DMF Raw

Materials

DICY Turn Steam on Preheating

DICY TK

Operational Excellence

Control Plan

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XY Matrix (Root Cause Analysis) Template

Rating of

Importance to

Customer

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Requ

ireme

nt

Total

Process Step Process Input

1 0

2 0

3 0

4 0

5 0

6 0

7 0

8 0

9 0

10 0

11 0

12 0

13 0

14 0

15 0

16 0

17 0

18 0

19 0

20 0

0

Total 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Lower Spec

Target

Upper Spec

This table provides the initial input to the FMEA. When each of the output variables

(requirements) are not correct, that represents potential "EFFECTS". When each input

variable is not correct, that represents "Failure Modes".

1. List the Key Process Output Variables

2. Rate each variable on a 1-to-10 scale to importantance to the customer

3. List Key Process Input Variables

4. Rate each variables relationship to each output variable on a 1-to-10 scale

5. Select the top input variables to start the FMEA process; Determine how each selected

input varable can "go wrong" and place that in the Failure Mode column of the FMEA.

Required Deliverable

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21Cause and Effect Matrix

Takeaways

The C&E matrix uses the voice of the customer to determine where we should focus our improvement efforts. (That is, establishing the “critical few” X’s that the team will investigate further.)

Use the process map or cause & effect diagram to determine process inputs for the C&E matrix.

The C&E matrix is an important prerequisite for further tools, such as FMEA, hypothesis testing and the Process Control Plan.

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What other comments or questions

do you have?

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23Cause and Effect Matrix

References

Pyzdek, Thomas, The Six Sigma Handbook (also titled: The Complete Guide to Six Sigma), QA Publishing, Tucson, Arizona, 1999