Practical

Problem
Solving
Guide

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 Contents

1 Purpose of the guide 5

2 Problem solving at a glance 6

3 The right approach for problem solving 8

3.1 Alternative approaches to problem solving and improvement 10

3.2 Problem solving approach summary 12

4 Problem solving tool 3Cs 13

4.1 The 3Cs standard template 14

4.2 Completing a 3Cs template 15

4.3 3Cs and Visual Performance Management (VPM) 16

4.4 Using 3Cs summary 17

5 Problem solving tool 8 steps 18

5.1 Step 1 20

5.2 Step 2 21

5.3 Step 3 22

5.4 Step 4 24

5.5 Step 5 25

5.6 Step 6 26

5.7 Step 7 27

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 5.8 Step 8 28

5.9 Using 8 steps summary 29

6 Problem solving tool DMAICT 30

6.1 DMAICT: define 31

6.2 DMAICT: measure 31

6.3 DMAICT: analyse 32

6.4 DMAICT: improve 32

6.5 DMAICT: control 33

6.6 DMAICT: transfer 33

6.7 Using DMAICT summary 34

7 Structured problem solving assessment 35

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 4

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 1
Purpose of
the guide

This guide is designed to support you and At the end of this guide is the Practical
your teams to undertake practical problem Problem Solving Assessment. Which
solving using Lean techniques. It is designed will help you understand your maturity in
to provide you with structure to make your problem solving. It is designed to support
problem solving sessions more effective. the development of your problem solving
capability and identify where you need to
There are some suggested tools and focus to make your problem solving
techniques for each stage of problem solving. more effective.
You do not need to use them all on every
problem but understanding and using a range
of tools and techniques will give you and your
teams the best opportunity to solve problems
permanently, take control of your processes
and eliminate reactive fire-fighting.

1. PURPOSE OF THE GUIDE 5

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 2
Problem solving
at a glance
What is a Problem?
A problem is anything that fails to
meet the expected standard or target.

Our Performance

30

25
Activities Completed

20

15

10

0
1 2 3 4 5 6 7 8 9 10 11 12

Week Number

6 2. PROBLEM SOLVING AT A GLANCE

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 What is Problem Solving?

Problem solving is a structured team process,

to identify and resolve root causes to stop the
problem reoccurring. It has clear sponsorship
accountability, team responsibilities and
structured process.

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 3
The right approach
for problem solving

3Cs (Concern, Cause, Countermeasure) Eight-step problem solving helps you to

The 3Cs process is a visual management narrow down your focus onto the root
tool that allows concerns and suggestions cause of the problem and find a long term
to be progressed methodically. By using this solution that stops it happening. This is
process, the originator and the wider team can CONVERGENT thinking.
follow the progress of the concern through
to resolution. DMAICT Improvement
Where you are meeting your current target
3Cs addresses immediate, urgent, short-term but want to improve, a DMAICT approach
problems, where the root cause is known. allows you to think more creatively, finding
By recording the concern on a 3Cs visual, a range of possible solutions to try. This is
if the issue keeps recurring a more in-depth DIVERGENT thinking.
approach is needed.
Innovation is not discussed in this guide
Eight Steps but is here to help you visualise where it
For recurring problems raised on 3Cs fits in your thinking.
or where your performance is below the
standard needed look at applying Eight-step
problem solving.

8 3. THE RIGHT APPROACH FOR PROBLEM SOLVING

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 Innovation How can we
fully automate
this process?

Improvement
from current
target state In 12 months’ time we aim
Complexity

DMAICT to improve our productivity

Improvement to 100m per day.

Gap from current

target standard Our rate has dropped
8 Step Problem
from 75m per day to
Solving
60m per day.

Troubleshooting
We have identified
3Cs
a potential safety
issue for tomorrow.

Time to resolve

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 3.1 Alternative approaches to
problem solving and improvement

There are many approaches to problem solving

and improvement. The National Highways
Lean preferred structured approach to problem
solving is 3Cs, Eight Steps and DMAICT;
however you may use an alternative approach
as long as you can demonstrate that it
provides structure and convergent or divergent
thinking as appropriate to your problem.

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 3Cs

2
CAUSE

1
CONCERN 3
COUNTER
MEASURE

Eight Steps

PROBLEM
DEFINITION

IDENTIFY
EVALUATE
POSSIBLE
CAUSES

IMPLEMENT EIGHT GATHER

DATA
STEPS

ANALYSE
SELECT
DATA
SOLUTIONS

IDENTIFY
POSSIBLE
SOLUTIONS

DMAICT Improvement

DEFINE MEASURE ANALYSE IMPROVE CONTROL TRANSFER

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 3. THE RIGHT APPROACH FOR PROBLEM SOLVING

3.2 Problem solving approach summary

Confirm:

• A clear understanding of the

problem definition.
• The team can articulate whether
it is a problem or an improvement.
• Approach selection is always
considered and correctly applied.
• Problem solving is a team exercise
with clear sponsorship.

12

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 4
Problem solving tool 3Cs

The 3Cs process is a tool that provides 3Cs should be:

structure to allow everyday problems or
• Logged with a unique identification number.
concerns to be progressed, ensuring that
• Clearly defined and have an accountable
root causes are identified, and solutions
person allocated.
are put in place rather than short term
containments or workarounds that do not • Review dates and who is providing the
resolve the problem permanently. update, must be visible.
• Managed by exception. Only discuss
Immediate, day-to-day concerns identified the new 3Cs and those with a current
through Collaborative Planning (CP) and Visual review date.
Performance Management (VPM) should be
• Time-bound, including an
dealt with in ‘real time’ at the lowest level
‘escalation date’ if appropriate.
appropriate to the issue.
• Displayed on a physical or virtual visual
performance management board.
• Checked against previous 3Cs to
identify reoccurrence.
• Re-occurring 3Cs must be moved into a
structured problem approach such as 8 Step
Problem Solving.

Leaders should create an environment that

enables all team members to have the capability
to solve problems in a structured way by
providing support, time, tools and systems that
are readily available.

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 4.1 The 3Cs standard template -
recording concern, cause, countermeasure

3Cs should be recorded using a standard

template for your organisation that everyone
can see and has access to. This may be
physical or virtual but should include the
information shown below:

Owner
3Cs Problem Follow-up Sheet
Activity

Ref Concern
Cause Countermeasure Who When Cat Status
No. Description

After investigation, facilities

1 There is water dripping
determines that a hole was Facilities to repair
from the roof in building
made in the roof during the the damaged roof
2C, 3rd Floor, Design
aircon move. The aircon unit and complete a Work
area, printer desk.
punctured the roof, because Instruction Sheet for
13
it was dragged on the roof, roof work. This will MC 22 Dec 5
Dec Initial containment:
because the fitters have not include distribution
Moved the printer to
been made aware of the list, signage en route
a safe location and
potential concern, because to the roof and on the
water contained using
NH20 there are no Work Instructions roof itself.
a suitable container.
22001 for work on the roof.

Your 3Cs should be retained and reviewed

to identify whether the solution selected has
resolved the problem permanently. If the
problem reappears, a more complex project
may be needed to identify the root cause.

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 4.2 Completing a 3Cs template

Owner
3Cs Problem Follow-up Sheet
Activity

Ref Concern
Cause Countermeasure Who When Cat Status
No. Description

After investigation, facilities

1 There is water dripping
determines that a hole was Facilities to repair
from the roof in building
made in the roof during the the damaged roof
2C, 3rd Floor, Design
aircon move. The aircon unit and complete a Work
area, printer desk.
punctured the roof, because Instruction Sheet for
13
it was dragged on the roof, roof work. This will MC 22 Dec 5
Dec Initial containment:
because the fitters have not include distribution
Moved the printer to
been made aware of the list, signage en route
a safe location and
potential concern, because to the roof and on the
water contained using
NH20 there are no Work Instructions roof itself.
a suitable container.
22001 for work on the roof.

Ref No. Who/When/Cat/Status

Allocate the concern a unique identity number. The “who” is the person who will feedback
This will allow the logging, tracking and processing progress to the group. They do not have to resolve
of all concerns raised. the problem themselves but they must be aware of
the activities and be able to discuss progress in
Concern Description the review meetings.
Provide enough detail so someone can understand
the problem easily. The “when” is the date they will feedback
to the team.
Implement containment if needed.
You may wish to assign categories to help you
Cause group and manage your 3Cs. The status box is
Determine the root cause(s) and record how you a visual representation of progress.
identified it.
Owner/Activity
Countermeasure Identify the ‘owner’ of the problem/concern.
Describe the countermeasure and explain what The owner will sponsor the activity and ensure
has been implemented to resolve the problem that resource is made available and that progress
permanently. Give enough detail that it can be is made.
easily understood.

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 4. 3CS

4.3 Use visual management

to support your 3Cs

Your visual management of 3Cs may be

physical or virtual but all team members
should be able to see the 3Cs, 3Cs
performance and be able to update
the information as progress is made.

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 Our 3Cs

0
1 2 3 4 5 6 7 8 9 10 11 12

3Cs Raised 3Cs Closed 3Cs in Progress

New In Progress In Test

Any new 3Cs All ongoing All currently being
raised since 3Cs not due for tracked to ensure
last meeting: review today. solution is effective.
Talk about these!

3Cs for Review

Actions Log
All with review date for today:
Talk about these! These are actions raised
in CP meetings that are NOT
part of a 3C.

4.4 Using 3Cs summary

Confirm:
• 3Cs process is understood and • Is actively sponsored by leadership.
accessible for everyone. • Escalates to more complex Problem
• Logged and tracked using visual Solving approach when appropriate.
management (physical or virtual). • The root cause is always identified
• The approach is used by all to solve less and resolved by the countermeasure.
complex, day-to-day concerns.
• Managed by exception with regular reviews

4. 3CS 17

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 5
Problem solving tool 8 steps

Eight-step problem solving is a method to This approach focuses on identifying

structure your activity to ensure that the the root cause through convergent thinking
result of your activity resolves a problem – the “problem solving funnel” is shown on
permanently by identifying and resolving the the following page.
root cause of the issue. Involve the wider
team, the people who actually do the job, to Note that the majority of effort is focused
identify what happens in the real world, not on identifying the root cause.
what the process documentation says.

We have a tendency to leap to solution mode.

Using a structured approach ensures our
activity is driven by evidence, not opinion.
It makes sure we fully understand the problem
and its cause, so that we can resolve it fully,
not just mitigate symptoms.

18 5. 8 STEPS

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 PROBLEM
DEVIATION FROM TARGET WITH UNKNOWN CAUSE
PROBLEM DEFINITION FOCUS

IDENTIFY ACTUAL CURRENT STATE:

COLLECT DATA

DEFINE THE PROBLEM THROUGH GATHERING

DATA AND EVIDENCE:

FUNDAMENTAL PROBLEM

POSSIBLE CAUSES
IDENTIFY ROOT CAUSE FOCUS

(CAUSE & EFFECT)

DIRECT CAUSES
(EVALUATE, VALIDATE & CHECK LOGIC)

LIKELY
ROOT
CAUSE

IDENTIFY
SOLUTION
SOLUTION FOCUS

IMPLEMENT

CHECK

VALIDATE

SHARE

5. 8 STEPS 19

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 5.1 Step 1

Define your problem in terms of “how The data must be meaningful and valid.
can we improve from [current position] The collection must be user friendly and time
to [desired position] by [date]” based. You could use collection tools such as
tally charts, data collection sheets, process
Use data to evidence that there is a problem, activity maps. It’s good practice to develop
this removes speculation and helps to focus a data collection plan.
the team on what the problem is.
Remember that this data collection will form
Include a range of metrics where possible the basis of your BASELINE and this is VERY
e.g volumes, rework, resource levels etc. important as it helps in quantifying the benefits
from implementation of the solutions identified.

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

3
7 Go See GATHER
IMPLEMENT
DATA
As Is Mapping
3Cs

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5.2 Step 2

Investigate and document the root cause of 3Cs document – has the team already tried
the problem, not just the surface symptoms. to find a solution? What happened?
By identifying and solving the root cause of
a problem, we are more likely to prevent the Brainstorming possible causes is really
problem re-occurring. engaging and allows a team to provide all
their ideas. These can then be grouped into
Use techniques such as: themes and taken further.

Go and see – the best place to go and You should always use data when problem
find improvement opportunities. It is a walk solving. Data will validate any ‘feelings’ that
or observation at the place where the there is a problem and allow for a baseline to
activity happens. be captured in order to analyse the effect
that any solutions may or may not have had.
Fishbone – a visual tool which is used to
structure discussions around possible
causes of the problem (can also be used
to identify solutions).

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Fishbone diagram
3
7 3Cs GATHER
IMPLEMENT
DATA
Data
Brainstorming
Go See

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5.3 Step 3

The key here is that the data being gathered If you are going to collect data by observing,
is meaningful and tells the story of what take care that the people who are being
is really happening. observed carrying out the process do not feel
that they are being watched. It is the process
that is being observed and not the person.

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Existing data
3
7 Tally: 5 bar gate GATHER
IMPLEMENT
DATA
Pareto
Observations
Control Charts

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5. 8 STEPS

QUALITATIVE QUANTITATIVE

SUBJECTIVE OBJECTIVE

EXPLORATORY TESTING

OBSERVATIONAL CAN BE GENERALISED

DYNAMIC VIEW OF CHANGE PRE AND POST CHANGE

NARRATIVE DESCRIPTIONS MEASUREMENT STATISTICS

5. PROBLEM SOLVING TOOL EIGHT STEPS 23

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 5.4 Step 4

The analysis will either confirm that there is When using a traffic light system (Red,
a problem or suggest that the problem was Amber, Green) to report on performance data
down to perception or a blip. remember red is good. Red & the letter “R”
tells us at a glance visually where a problem is
It’s good to display your data visually as and gives us the opportunity to use our Lean
this is very powerful... skills to improve!

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Pareto 3
7
GATHER
IMPLEMENT Pie charts DATA

Graphs
Statistical analysis

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5.5 Step 5

Identifying possible solutions is often the There are structured tools to help identify
exciting bit of problem solving for people and appropriate solutions and this helps to get
this is one reason why we have to ask people to the root of the problem and prevents us
to stop from going into ‘solution mode’ before ‘sticking a plaster’ over an issue for it to
the time is right. reappear later on.

It is logical to start this phase after the data If people do try to jump to solutions before
has been gathered as the data focuses the time is right, it’s a good idea to have a
the discussion. ‘car park’ where they can note down their
idea so it is out of their mind but not lost
and it §can be referred to later.

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Root cause analysis
3
7 5 whys GATHER
IMPLEMENT
DATA
Brainstorming
Just in time
No errors forward

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5.6 Step 6

You will now have a list of possible Use the tools listed to help you decide which
solutions to your problem. How do to prioritise. Do not leap to pick a solution
you know which one to try? without structured prioritisation!

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Ease/benefit 3
7
GATHER
IMPLEMENT or DATA

Cost/benefit
Prioritisation

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

26 5. 8 STEPS

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 5.7 Step 7

This is where you methodically implement • Is there a clear route for concerns to
and test your solution. be raised?
• How long will you test the process until
Some things to consider here:
you evaluate it?
• Have you amended the Standard
Operating Procedures?
Let the process embed for a while before any
• Have you communicated the changes decisions are made to allow people to become
to everyone who is impacted? familiar before trying to measure the outcome.
• Have you set up a plan for capturing
the performance of the new process?

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Mistake proofing
Future state map
3
7 Standardised work GATHER
IMPLEMENT
DATA
Benefit capture
Control charts
Master schedule
PDCA

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

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 5.8 Step 8

Reconvene as a group and objectively If not, review whether to keep the change
evaluate how the solution performed. or revert to the original process. This is not
failure! It is the first stage in learning how
Refer back to your problem statement from to solve the problem. Don’t be afraid to
step 1, have you solved the problem? learn from the data and outcomes and step
back if need be.
If you have, how can you share that
learning with others? Report your benefits. Look again at your problem definition
Celebrate your success! and try again!

1
PROBLEM
DEFINITION

2
8
IDENTIFY
EVALUATE
POSSIBLE
CAUSES

TOOLS YOU MAY USE:

Data analysis
3
7 Benefit realisation GATHER
IMPLEMENT
DATA
Process confirmation
Lessons learned
Share good practice

4
6
ANALYSE
SELECT
DATA
SOLUTIONS

5
IDENTIFY
POSSIBLE
SOLUTIONS

28 5. PROBLEM SOLVING TOOL

5. 8 STEPS

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 5. 8 STEPS

5.9 Using eight steps

problem solving summary

Confirm:

• 8 Step Problem Solving process is • The approach is used by all to solve issues
understood and accessible for everyone. that are a gap from the current standard.
• Training on specific tools is available at the • Is actively sponsored by leadership.
time they are needed. • The root cause is always identified and
• Problems are clearly defined and agreed resolved by the countermeasure.
by the team.

29

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 6
Problem solving
tool DMAICT

Process improvement provides a structure

to identify and remove waste in a process to
become more effective and efficient, increase
productivity and capacity and deliver benefits.

D M A I C T

DEFINE MEASURE ANALYSE IMPROVE CONTROL TRANSFER

Establish and Document the Analyse data Generate possible Document new Share lessons
launch the team current process solutions process learnt across the
Identify root cause organisation and
Quad of aims Collect baseline Evaluate solutions Check the
Identify and sector, to maximise
data solution is being
Plan the project remove waste Identify most benefits.
implemented
likely solution
Gather the voice of Measure and
the customer Pilot validate project
Plan and implement benefits.
Plan for change

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 6.1 Define 6.2 Measure

WHAT WHAT

Define your process: Measure your process:

• Develop a problem statement • Determine current process performance
• Develop quad-of-aims or project charter • Plan data collection
• Develop as is process maps • Verify data reliability
• Define the customer and their • Establish ‘baseline’ data
critical requirements
• Update project charter
• Keep the team and stakeholders informed

HOW HOW

Some tools that you could use: Some tools that you could use:
• Project charter • Data collection plan
• Quad of aims • Operational definitions
• SIPOC (suppliers, inputs, process, outputs, • Check sheet
customers) • Project charter
• Process mapping as is • Stakeholder analysis
• Value stream mapping as is
• Voice of the customer
• Communication plan

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 6. DMAICT

6.3 Analyse 6.4 Improve

WHAT WHAT

Analyse your process: Improve your process:

• Detailed process examination • Explore potential countermeasures
• Display the data in a graphic form • Select best countermeasures
• List potential causes • Plan and implement the countermeasures
• Determine the root cause of • Estimate expected benefits
the problem and verify
• Update quad of aims

HOW HOW

Some tools that you could use: Some tools that you could use:
• Value stream map • Brainstorming
• Value added analysis • Process mapping to be
• Root cause analysis • Value stream mapping to be
• Pareto charts • Ease benefit matrix
• Fishbone diagram • Implementation plan
• Histograms
• 5 Whys
• Run charts

32

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 6.5 Control 6.6 Transfer

WHAT WHAT

Control your process: Transfer your process:

• Document the improved process • Complete knowledge transfer pack (KTP)
• Communicate the improved process • Record benefits
• Embed the process • Celebrate and share success
• Ensure correct control and management
• Confirm benefits delivered

HOW HOW

Some tools that you could use: Some tools that you could use:
• Control/monitoring plan • Knowledge transfer pack
• Process documentation • Digital efficiency register
• Standardised operating procedures
• Lean tracker
• Communications plan
• Department/company-wide presentation
• Visual performance management
• Lessons learned and shared

• Company social media/newsletters

6. DMAICT 33

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 6.7 DMAICT improvement
projects summary

Confirm:
• DMAICT structure is understood and • The approach is supported by sufficiently
accessible for everyone. trained and skilled Lean people.
• Training on specific tools is available • Is actively sponsored by leadership.
at the time they are needed. • Benefits are measured against a
• Problems are clearly defined and robust baseline.
agreed by the team. • Success is recognised and celebrated.

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 7
Structured problem
solving assessment

The National Highways Structured The assessment is designed to provide a

Problem Solving Assessment has been step-by-step guide for the assessor to come
developed to allow you to undertake an to a fair and realistic score for the organisation
unbiased and objective assessment of your or team that is being assessed and to prompt
organisational maturity in structured focused recommendations to improve
problem solving. structured problem solving.

The assessment is based on evidence across Like the National Highways Collaborative
a range of problem solving activities. For this, Planning and Visual Performance Management
the assessor will require evidence that the right assessments, this Structured Problem
approach has been identified as appropriate Solving Assessment can be completed
to the complexity and aim of the activity and by a competent Lean practitioner, as a
that a standard structure has been followed. self assessment at any level within their
The assessment can be used for any of the organisation, from team or department to the
structured approaches discussed in the guide whole organisation.
and can be applied to any structured problem
solving activities: Moderated assessments may be completed
with observation of evidence by the National
• Discovery
Highways Lean team.
• Investigation
• Solutions
• Evaluate the process and results

7.
6. STRUCTURED
PROBLEM SOLVING
PROBLEM
TOOLSOLVING
DMAICT ASSESSMENT 35

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