Cause and Effect

UNIT 10 CAUSE AND EFFECT ANALYSIS Analysis

Structure
10.1 Introduction
Objectives

10.2 Role of Analytical Tools

10.3 Cause-and-Effect Diagram
10.3.1 Cause Enumeration
10.3.2 Dispersion Analysis
10.3.3 Process Analysis

10.4 Pareto Analysis and Cause-and-Effect Diagram

10.5 Root Cause Analysis
10.6 Summary
10.7 Key Words
10.8 Answers to SAQs

10.1 INTRODUCTION
The philosophy that seek to improve all factors related to the process of converting inputs
into output on an ongoing basis is called continuous improvement.
There is an increasing realisation that engineering changes after product launch are costly
exercise. Consequently manufacturers have been compelled to adopt methods to detect
problems at an early stage of the product design cycle. Failure mode and effect analysis
(FMEA), concurrent engineering, multiple prototype builds and early supplier
involvement are some of the means by which manufacturers try to surface problems early
during the product development cycle. Detecting and addressing problems early makes
penetration of product in the market a smooth and time bound activity. Other than
addressing problems, improvement orientation is the most important parameter for
competitiveness. The performance level of most enterprises tend to decrease over time
unless effects are made to maintain the level which implies that barely to maintain the
current level of performance, some degree of maintenance is necessary. For additional
improvement, efforts beyond pure maintenance is required. If an organization does not
improve, either competition or new entrant will capture and enter the market segment. As
a result, customers today are more demanding. Quality of product offered are being
improved rapidly. As a result expectations of customer are rising dramatically. There is
however, no single solution to this dramatic customer expectation. But it can be said that
continuous improvement combined with innovation will help organizations to stay
competitive in the market place. Past experience have shown that organizations focusing
on continuous improvement have been successful in occasional breakthrough in their
improvement effort. On the other hand, neglecting continuous improvement is not
conducive to create a breakthrough. Different improvement tools are suitable for different
improvement activity.
A number of tools are used for analyzing date and problem solving. Among the most
useful, cause-and-effect diagrams, offer & structured approach to problem solving. They
are also referred to a fish bone diagrams because of their shape, or Ishikawa diagrams
after Kaoru Ishikawa, the Japanese professional who developed the approach to help
workers overwhelmed in problem solving by the number of factors that needed to be
examined. The diagrams help organize problem solving efforts by providing several
layers of categories that may be factors in causing problems. After cause-and-effect
diagrams are used after brain storming sessions to organise the ideas generated.

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Quality Tools – Others A cause-and-effect diagram shows the relationship between a quality characteristic and
certain factors. It is a graphic tool which shows the relationship between causes and
effects. Its principle purpose is to help identify the root cause of a problem.
Objectives
After studying this unit, you should be able to
• know the role of analytical tool,
• draw the cause-and-effect diagram,
• describe how the pareto technique is used to analyze problems,
• explain how the cause-and-effect (fish bone) diagrams are used in problem
solving, and
• understand the root cause analysis.

10.2 ROLE OF ANALYTICAL TOOLS

The main objective of the analytical tools can be problem identification or improvement.
Some tools can contribute to more than one objective, but their category depends on the
most prominent activity. Within the overall improvement model different stages appear
as shown in Figure 10.1. As can be seen in the figure that the improvement effort has to
be prioritized. This will indicate where to concentrate the improvement effort. This
analysis is done through various tools like self assessment, trend analysis, QFD and
spider chart etc.

1. Prioritizing 2. Process 3. Problem

Improvement Understanding Analysis
Efforts

4. Idea 5. Improvement
Generation 6.Implementation
Task Generation

Figure 10.1

After identifying the process which is to be improved, the next step is to understand the
process in a detailed manner. This can be done through ‘critical incident’ technique for
identifying problems within a process or ‘relationship mapping’. It can also be
accomplished by three of the seven basic problem-solving tools namely:
Check sheet (Tally Chart) are used to assist in the collection and classification of data to
facilitate rapid information gathering.
Pareto analysis is an approach to pinpointing problems through the identification and
separation of the vital few causes from the trivial many.
Flow charting is a systematic technique for describing the process to which the problem
belongs. The main purpose for producing a flow chart is to establish a common
understanding of all the stages under review.
To sustain an ongoing organizational development associated with ‘improvement through
teamwork’, the improvement teams established need to be provided with appropriate
tools. An inadequate approach with which to tackle the problem, will not be able to
achieve the desired objective. To address these problems two sets of
problem-solving tools are used. The first of these are the seven basic problem-solving
tools, also called the ‘Seven QC tools’, which are normally used by quality improvement
teams for problem solving. The second set of techniques are the seven advances tools,
referred to as the ‘Seven management tools’, which are used as advanced quality
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planning techniques. Since problem analysis is an important aspect of improvement Cause and Effect
work, it uses both these classes of tools. Some of the tools used for problem analysis are Analysis
as follows:
• Matrix diagram, one of the seven management tools, is a two-dimensional
array similar to a spreadsheet. It graphically represents the relationship
between factors. The most commonly used example of a matrix diagram is
the ‘House of Quality’ diagram developed as a part of ‘Quality function
deployment’.
• Relations diagram, one of the seven management tools, describes the
logical links among the factors grouped together during a brainstorming
session. By focusing upon a particular generated idea, the relations diagram
brings logical structure and relationships to the creative activity.
• Histograms, one of seven basic problem-solving tools, are used to display
the data collected and often this form of ordered distribution illustrates
fundamental properties of the problem.
• Scatter diagram, another of the seven basic problem-solving tools, is used
to establish or dispel a casual link between two factors. Quite often, after
having established some correlation the solution to the problem becomes
easier to identify.
• Cause-and-Effect analysis, further one of the seven problem-solving tools,
is used as a way of structuring the process of determining the root cause of a
problem.
• Root cause analysis helps in finding the true root cause of a problem.
SAQ 1
Why is improvement necessary in an organization?

10.3 CAUSE-AND-EFFECT DIAGRAM

Also known as fishbone (due to their shape) or Ishikawa Charts (named after the person
who developed this tool), cause and effect diagrams identify potential causes and help to
direct problem-solving and data-collection efforts towards the most likely causes of
observed defects.
These diagrams are built up from a problem statement through to detailed causes using
the following steps :
Problem Statement
Analysis of the symptoms and causes yields the problem statement. In turn, this
then becomes the label for the root effect arrow as shown in Figure 10.2.
Major Causes
The second step is to identify major categories of causes. These are then drawn at
an angle to the root effect arrow as shown in Figure 10.2.
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Personnel
Quality Tools – Others
Delays at check-in

Too few agents*

Airport
Agents undertrained
Aircraft
Agent’s motivation
Inbound
Not available Equipment malfunction
Late-heavy traffic Agents arrive late
Incoming flight : Gate occupied
Delayed* Cancelled Late cabin cleaners
Loading
Major overhaul Cabin crews
Maintenance Wait baggage to aircraft
Late
Wait fuelling
On-ground delays Unavailable
Wait foot Cockpit crews
Engine faults*
Wait tug pushback
Non-engine faults Late
Unavailable
Root Effect Arrow
Weather Poor announcement of departure

Inbound delays
Weight and balance sheets late
Departure delays
Delays at check-in
Heavy outbound
traffic Confused sent allocation

Other air traffic Checking oversize baggage

control delays Accepting late passengers

Other Cut-off too close to departure time*

Protecting late passengers
Desire to help maximize sales revenue
Gate locations (distance to travel)
Baggage handling

Late baggage loading to aircraft*

Procedure errors at aircraft

Procedures

Figure 10.2 : Cause and Effect Diagram used to Ascertain the Cause of Flight Delays
Detailed Causes
The next step is to list all the detailed causes within each of the major categories.
For example, ‘whether’ and ‘other air traffic control delays’ under the major cause
‘other’ as shown in Figure 10.2.
Principal Causes
The final step is to identify the principal causes within the list of detailed causes as
a guide. For example, Figure 10.2 indicates these with an asterisk.
There are three types of cause-and-effect diagrams which are :
(i) Cause enumeration,
(ii) Dispersion analysis, and
(iii) Process analysis.

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10.3.1 Cause Enumeration Cause and Effect
Analysis
The cause enumeration is closest to the idea generating technique-brain storming. The
quality characteristic that has been identified for study is written on the right side of the
diagram. Then a line drawn across the diagram to the characteristic. This is the spine.
Finally, the event that might influence the process is recorded by drawing lines off the
spine or other lines. All probable causes are simply brainstormed and listed in the order
they are generated. This free thinking develops a complete picture of cause and effects.
The diagram will contain the cause of the quality characteristic in question; however it
may be difficult to single out any one cause from the many others. The general format for
a cause and effect diagram is shown in Figure 10.3.

Material Man

Quality
Attribute

Effect

Machine Measurement
Cause

Figure 10.3 : General Format for Cause-and-Effect Diagram

Example below describes a small cause enumeration for a very common problem – lost
luggage at airports. The quality characteristic under study, lost luggage is recorded on the
right of the page and the spine is drawn pointing to causes as in Figure 10.4.
Changing Changing
Missing Tag Flights Carrier

Ticket Agent Information Handling and

Material Channels Ticketing Procedure
Handling
Similar Tags
Lost
Luggage
Luggage Material
Handlers Handling

Perpetrators Customer
Stolen Damaged
Luggage

Figure 10.4 : Cause Enumeration, Cause-and-Effect Diagram for Lost Luggage from an Airline

The causes that are suggested are then drawn at the end of lines originating from spines.
These are the bones of the diagram. One cause that has been identified, missing tag on
luggage, is drawn at the end of a central bone. These causes are defined as far as possible.
For the missing tag, it was decided by the group that either the ticketing agent forgot to
place the appropriate tag on the luggage or the tag were ripped off during transportation
to and from the airplane. If possible, these bones can be refined further to even more
specific causes. In the present example, it could be that luggage tags all look the same, so
ticket agents often commit mistake during rush to board passengers on the airplanes. 47
Quality Tools – Others Similarly, another cause attributes to lost luggage is the changing flights by the
passengers. This again can be further attributed to improper information channels. This
same procedure is followed until all ideas are exhausted.
10.3.2 Dispersion Analysis
The second type of diagram is the dispersion analysis. This is similar to the cause
enumeration, except that causes are grouped under structured categories such as:
• People
• Machines and equipment
• Materials
• Methods
• Measure
• Environment
Similarly, for service processes, the traditional categories are :
• People
• Process
• Frame conditions
• Work environment
However, smaller causes that would have been listed in the cause enumeration diagram
might not fit into any of the classified causes and could be missed out.

Material Machinery

Incorrect Faulty
Product Computer
Assembled Terminal

Incorrect
Prices
Incorrect
Price List
Incorrect Available
Key Punch Prices Used Order Charged
Errors but not
Informed

People Methods Cause Effect

Figure 10.5 : Cause-and-Effect Diagram for Dispersion Analysis

The main steps for producing a cause-and-effect diagram using dispersion analysis,
which is the more common approach are :
(i) The diagram can be done by an individual, but gives better result when
created by a team. Therefore, group formation with members having
necessary knowledge is required.
(ii) Mention clearly the effect for which causes are sought.
(iii) Identify the main categories of possible causes for the effect and place these
at the end of booms emanating from the spine.
(iv) Brainstorm all possible causes and place them in the suitable area of the
diagram. Causes that belong to more than one category are placed in all
relevant positions. It is often required to draw the diagram after the first
48 version has been completed.
 (v) Analyze the identified causes to determine the most significant one. Cause and Effect
Analysis
Cause-and-effect diagram for dispersion analysis is illustrated in Figure 10.5. The effect
being analyzed is the incorrect price quoted for a product launched.
10.3.3 Process Analysis
The final type of cause-and-effect diagram is the process analysis diagram. They are
more directly aimed at improvement of business process. The diagram follows the
product through the process, and the causes encountered at each step are recorded at step
on diagram. This diagram helps to show the flow of the process and where problems
occurs.
However, problems may occur repeatedly and causes that cannot be attributed to any
particular step may be difficult to represent. Example below demonstrates the usage of a
cause-and-effect diagram in process analysis.
Example 10.1
The component assembly manufacturer decides to prepare a cause-and-effect
diagram in order to identify problems on the entire manufacturing floor. All of the
manufacturing steps for the assembly are presented in Figure 10.5. Looking
specifically at the assembly area, the improvement team identified several
problems that were responsible for non-conforming units. First problem with the
product (assembly) had been traced to the assembly area. The problem was traced
to the incorrect handling method for the sub-component by the stores department
prior to insertion in the assembly. Also the quality control program for the
sub-components coming from vendors and other plants was found defective. A
third source of damage during assembly was tools at the work stations, since
operators were not trained to use the tools properly and the tools were not kept in
proper operating condition. In addition, the operators were causing damage, since
they were not trained and certified properly in the assembly procedure. Finally, the
assembly, not being handled properly in the work stations was causing damage and
resulting in non-conformities. Other areas of the process were analyzed similarly
and the causes identified.

Unit Exit Customer Material

Store Keeper Components Error Code Identification Handling
Error Code
Material Technique
Training Labeling
Handling Reworking

Quality Control
Procedure

Stores On-line Test Final Test Packing Shipping

Assembly

Training Certification
Unpacking
Tools Procedure

Maintenance Training
Packing
Training Material Material
Handling Test Station
Work Test Station Box
Material
Handling Station

Figure 10.6 : Process Analysis of an Assembly Line using Cause-and-effect Diagram

10.4 PARETO ANALYSIS AND CAUSE-AND-EFFECT

DIAGRAM
Pareto analysis is a technique for focusing attention on the most important problem areas.
The Pareto concept, named after the 19th century Italian economist Vilfredo Pareto, is
that a relatively few factors generally account for a large percentage of the total cases 49
Quality Tools – Others (e.g. complaints, defects, problems). The idea is to classify the cases according to degree
of importance, and focus on resolving the most important, leaving the less important.
Often referred to as the 80-20 rule, the Pareto concept states that approximately 80 per
cent of the problems come from 20 per cent of the items. For instance, 80 percent of
machine breakdown come from 20 percent of the machines, and 80 percent of the
product defects come from 20 percent of the causes of defects.
If the symptoms or causes of defective output or some other ‘effect’ are identified and
recorded, it will be possible to determine what percentage can be attributed to any cause,
and the probable results will be that the bulk (typically 80 percent) of the errors, waste, or
‘effects’, derive from a few for the cause (typically 20 percent). For example, figure 10.6
shows a ranked frequency distribution of a certain product. To improve the performance
of the distribution process, therefore, the major incidents (broken bags/drums, truck
scheduling, and temperature problems) should be tackled first. An analysis of data to
identify the major problems is known as Pareto analysis, after the Italian economist also
realized the approximately 80 per cent of the wealth in his country was owned by
approximately 20 percent of the people. Without an analysis for the set, it is far too easy
to devote resources to addressing one symptom only because its cause seems
immediately apparent.
Cause-and-effect diagrams are useful in identifying and isolating the cause, or the major
causes, of a problem. This diagram, sometimes called a “fishbone diagram”, lists the
problem at one end of a horizontal line. Diagonal branches are drawn from this line for
each major category of possible causes. More specific, contributory causes are added to
the branch for each category. Example of a cause-and-effect diagram is shown in
Figures 10.2-10.5. Cause-and-effect diagrams are useful in focusing the attention of an
individual or improvement team on each specific possible cause of a problem and on
possible solutions. Team often finds the technique of brainstorming useful as they
deliberate and seek to uncover, the basic underlying cause of a problem and as they try to
discover the most effective solution to identified problem.
A typical cause-and-effect diagram is often used in conjunction with Pareto analysis to
identify and pinpoint causes to quality problem. This can be illustrated with the help of
an example concerning the soldering process used in the manufacture of printed circuit
boards (PCBs). A typical PCB has 1700 solder connections. Any defective solder
connection can cause testing problem or performance and reliability problems for the
customer.
In a particular organization, over 15 percent of observations exceeded control limits and
a large number of solder connections required ‘touch-up’. A project team was formed
whose mission was to reduce the number of defective solder connections. A team of
people, not from one department but from several cross-functional departments, was
setup to guide the project and do the diagnosis. Figure 10.7 depicts the distribution of
symptoms by type of solder defects. Data on the defects were analyzed and theories were
offered on the cause of the defects. Figure 10.8 is a cause-and-effect diagram
summarizing the theories. These theories were grouped into three categories, thereby
allowing a checklist to be developed which was used by supervisors to evaluate the
theories. After additional data collection and analysis, low solder temperature was found
to be the main cause of the defect.
Insufficient Solder

90

80

70
currence of Defects

60 53%
50
50
lowholes

soldered

40

30
s
 Cause and Effect
Analysis

Unwetted

Pinholes
11%
4%

Figure 10.7 : Solder Defect Types, (Pareto Analysis)

Machine Solder Flux

Controller Alloy Uneven Amount

Wave
Maintenance
Contamination Wave Specific
Temperature Height Gravity
Control Error
Fluidity Contact Storage
Conveyor Speed Time
Solder
Defects
Movement
Interpretation
Contaminated Temperature
Lead
Geometry
Validity Time
Storage

Specification Components Pre-heat

Figure 10.8 : Cause-and-effect Diagram for the Solder Defect

Further analysis revealed that, for ideal soldering conditions, either the temperature of the
solder should be raised or the conveyor speed of the wave soldering machine should be
reduced. These were remedies to remove the cause. A trial was conducted using a higher
temperature. This resulted in an improvement in solder defects without any adverse
effects.
SAQ 2
(a) Make a cause-and-effect diagram using dispersion analysis for the following
problem. A compressor experience a frequent problem in the manufacturing
process. The shaft for the compressor does not fit into the inner race of the
bearing resulting in frequent rework. Make a dispersion analysis to solve the
problem.
(b) Do cause-and-effect diagrams have any advantage over a simple list of
possible cause of a problem? Why?

10.5 ROOT CAUSE ANALYSIS

Cause-and-effect analysis can be further extrapolated to ensure that identified cause is the
root cause of the problem and not a symptom of a deep rooted cause. This technique is
known as “Root cause analysis” or “Why-why chart”. As the objective is to find the root
cause of the problem, the starting point can be either a problem or a (high level) cause
that should be further analyzed. Brainstorming is used to find the causes by the
improvement team. Identified cause is questioned to find why this is a cause for the 51
Quality Tools – Others original problem. For each new answer to the question, further questions are asked till no
new answer evolves. This can be one of the root causes for the problem. Often this
requires five rounds of questions “Why”.
SAQ 3
How cause-and-effect analysis is connected to FMEA?

10.6 SUMMARY
To stay competitive in today’s market place, it has become imperative for organizations
to address problems early during product development cycle.
Number of analytical tools and techniques are used by quality improvement teams at
different stages of improvement work. After the ‘understanding stage’, the next step is to
work identifying specific causes for problems and solutions to them.
Cause-and-effect analysis, often called Ishikawa Diagram or Fish Bone Diagram, is one
of the most widely used tool for problem analysis.
The cause-and-effect diagram is helpful in categorizing the causes of a problem. Once the
diagram has been developed, the various causes are considered (on this basis of priority)
to determine root causes and separate studies. It may be necessary to crush out a second-
level cause-and-effect diagram as a step in identifying root cause.
There are three types of cause-and-effect diagram: cause enumeration, dispersion analysis
and process analysis. Cause-and-effect diagram can be used in conjunction with Pareto
analysis to pinpoint quality problems or can be further extrapolated by using Root Cause
analysis.

10.7 KEY WORDS

Cause-and-Effect Diagram
Pareto Analysis
: A tool that uses a graphical description of the
process elements to analyse potential sources of
process variation.
: A coordinated approach for identifying, ranking,
and working to permeability eliminate defects,
focuses on important error sources, 80/20 rule :
80 percent of the problems are due to 20 percent of
the causes.

10.8 ANSWERS TO SAQs

SAQ 1
Globalization has intensified competition because customers can compare products
or problem solutions worldwide according to their cost-benefit ratio. Organizations
today confront many icons both internal and external, unthinkable in the past.
Accordingly, improvement has become a necessity for organizations today.
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 The basic reasons are as follows : Cause and Effect
Analysis
• If an organization does not focus on improvement, it can be taken for
granted that rivals will not miss out. If such unusual thing happens that both
the parties do not improve it can be certainly said that others will try to
penetrate the market.
• It has been observed that efficiency level of enterprises tend to reduce with
the passage of time unless extra effort is made to maintain the level. For
additional improvement efforts more than pure maintenance is required.
• Expectations of customers are rising significantly because of improvement
in quality of supply. So expectations of customers are to be met not to lose
the customer.
SAQ 2
(a) A close inspection reveals that most of the defects originate from the
inaccurate dimension of the shaft. A cross functional grouping consisting of
designers, the manufacturing engineer, the assembly department manager
and some operations was formed. The objective is to eliminate the cause of
the problem. The cause-and-effect diagram gives import clauses of the
problem.
Man Method

Heat Treatment
Not Properly
not Proper
Trained

Deficiency in
Process

Dimension
Error of the
Shaft
Cutting Coolant Improper
Improper Maintenance
Tool
Sharpening
High Temperature Infrequent
and Dust

Environment Equipment/Machine

Figure 10.9

SAQ 3
Background information about the product, process or design, prior to the
performance of a risk analysis such as FMEA are valuable. A key aspect of well
executed FMEA is the identification of causes which lead to failure modes in a
system or design. Once root cause is identified, the FMEA team will be well
equated to recommend corrective measures. However, it is the ‘effect’ which is
identified in most cases. For example, as air disaster is blamed on gyrocompass
failure as opposed to why gyrocompass failed. Space shuttle disaster was
attributed to the ‘O’ ring failure, which was an effect, whereas the ‘cause’ was why
the component became brittle at low temperature. Customers are primarily
concerned with effects and will identify them but are rarely concerned with causes.
A cause will lead to a failure mode which in turn will lead to an effect. An
experienced FMEA team will be able to identify causes very well.
Cause → Failure Mode → Effect
The causes will reside within the ‘fishbone’.
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