Incident title…Location of Incident:

Date of Incident:

Version Number:

Version Date:

Area Worksheet (links) Description

Investigation Information

Title Page This worksheetVersions Evolution of this workbook and contributorsContacts People / Contact info of those involved with the analysisCM Steps Cause Mapping Method, Steps and Tools (layout)

Start here Step 1. Define the Problem 1. Problem Problem OutlineStep 2. Conduct the Analysis 2. Cause Map 5-Why basic Cause Map to get startedStep 3. Select the Solutions 3. Solutions Action Items table listing solutions, owner, due dates

Additional Information & Tools

Timeline Sequence of events with date, time, descriptionDiagram Diagrams, drawings and imagesPhotos Photographs and pictures

Need Help? Work Process Steps of related work processes written as a flowchart281-412-7766 phone Notes Notes, emails, documents281-412-7761 fax Info To Get Information to collect or To Dos during the investigation

END Extra material past this worksheetBasic Cause Mapping Template Excel 2003

Examples & ResourcesExcel 2003 Tips

October 23, 2013 Examples Example Cause Maps

Copyright 2013 ThinkReliability, Novem, Inc.

The following worksheets are contained in this workbook:

info@thinkreliability.com

Tips for using the template in Microsoft® Excel® 2003

Investigation File

Cause Mapping®

Problem Solving • Incident Investigation • Root Cause Analysis • Risk Mitigation

The purpose of this file is to organize all relevant information.

Delete this box and insert your company logo here.

document.xls 04/17/2023 18:44:44

(clock) (in hours)

Version Date Type Description Time Duration Update By Contributors

Total Investigation Hours 0.00

Organization Name Location Role Email Office Mobile Note

Houston, TX Training & Facilitation Services 281-412-7766info@thinkreliability.com www.thinkreliability.com

Step 1

Identify the specific actions that will be taken to reduce the risk of a similar issue occurring.

ProblemCapture specifics about the problem as well as the impact to each of the organization's overall Goals.

- Answer each question in the Outline.

Lay out the cause-and-effect relationships for the incident.

Additional Tools - Use as needed to capture specific information during the investigation.

CreateAction Plan

Each action item is a project.Follow-up should evaluate effectiveness.

Problem Solving • Incident Investigation • Root Cause Analysis • Risk Mitigation

Basic

EvaluateSolution OptionsConsider the Effort IN to the Solutionversus the Result OUT

The impact and risk to each Goal should be reduced to an acceptable level

ProposePossible Solutions

Based on causes identified in the analysis step

Use: Convention, Industry Standards and Creative Ideas

Possible Solution:

Evidence:

Cause Map

Step 2. Analysis

Title

Why?

Basic Cause-and-Effect Relationship

AND

OR

AND/OR

Impact toProduction

Goal

Impact toSafetyGoal

Effect Cause

AND

AND

AND

AND

...add as much detail as necessary to thoroughly explain the issue

Detailed

Cause Mapping®

AnalysisStep 2

- Write down one of the Goals that was affected. - Write the impact to that Goal in the next box.

- Answer the question "Why did that happen?" Ask Why again.

- In the more detailed analysis, ask as many Why questions as necessary to thoroughly explain the issue.

SolutionsStep 33

- Place a possible solution above the cause that it controls. - Evaluate the different possible solutions.

- Create a plan for actions or a combination of actions that will be implemented.

Start with 3 to 5 Why questions (Causes)...

Define the Problem in the Problem Outline1

Any information gathering or support tasks required for the investigation.

Info To Get

Photos

Any photos or images.

Insert any pictures on this worksheet.

Photos

Use this box a picture label

Work Process

The flow of any particular work process or task that is relevant to the incident.

NO

YES

Process Map Decision pointCopy and use as needed

Process

Steps within a Task

Diagram

Any diagrams, drawings or sketches.

DiagramUse the drawing tools to add any diagram to this worksheet.Delete these objects if they are not needed.

Cylinder

Valve

Drum

Exchanger

Expander,Turbine

Compressor

Example objects(industrial)

Pump

Timeline

The sequence of events.

TimelineDate Time Description

Notes

Notes related to the investigation.

Notes

2

Corrective Actions to be implemented

No. Action Item CauseOwner(s)(Names)

Date DueStatus-

CompletedNotes

Verification(Check of

effectiveness)

1

2

3

4

5

6

7

8

9

10

Since solutions control specific causes, every action item (solution) should correspond to a cause from the Cause Map. This provides continuity from the analysis to the action items. Only those causes with action items (solutions) are listed in this table.

Investigation Action List

This tab is used to track specific information gathering or support tasks for the investigation.The 'Solutions' tab will capture the action items that are selected by the investigation team.

No. Action Item Owner Date Created Due Date Status Completed123456

Step 1. Define the Problem

What Problem(s)

When Date

Time

Different, unusual, unique

Where Facility, site

Unit, area, equipment

Task being performed

Impact to the GoalsSafety

Environmental

Customer Service

Regulatory

Production/ Schedule

Property/ Equipment

Labor/ Time

This incident $0

Frequency

Annualized Cost $0

Step 1. Define the Problem

What Problem(s)

When Date

Time

Different, unusual, unique

Where Facility, site

Unit, area, equipment

Task being performed

Impact to the GoalsSafety

Environmental

Customer Service

Regulatory

Production/ Schedule

Property/ Equipment

Labor/ Time

This incident $0

Frequency

Annualized Cost $0

Why?

Basic Cause-and-Effect Relationship

AND

OR

AND/OR

Effect CauseStep 2. Analysis

Cause Map

Possible solution:

Evidence:

Goal Impacted

Why ? Why ? Why ? Why ? Why ?

Incident title…

Safety Goal Impacted

Environmental Goal Impacted

Customer Service Goal

Impacted

Regulatory Goal Impacted

Production/ Schedule Goal

Impacted

Property/ Equipment

Goal Impacted

Labor/ Time Goal Impacted

No. Action Item Cause Date Due Notes

1

2

3

4

5

6

7

8

9

10

Owner(s)(Names)

Status-Completed

Verification(Check of

effectiveness)

Since solutions control specific causes, every action item (solution) should correspond to a cause from the Cause Map. This provides continuity from the analysis to the action items. Only those causes with action items (solutions) are listed in this table.

Step 3. Solutions

Corrective Actions to be implemented

Timeline

Date Time Description

DiagramUse the drawing tools to add any diagram to this worksheet.Delete these objects if they are not needed.

Cylinder

Valve

Drum

Exchanger

Expander, Turbine

Compressor

Example objects(industrial)

Pump

Insert any pictures on this worksheet.

Photos

Use this box as a picture label

NO

YES

Process Map Decision pointCopy and use as needed

Process

Steps within a Task

Notes

document.xls Info To Get Page 13 of 15

Investigation Action List

This tab is used to track specific information gathering or support tasks for the investigation.The 'Solutions' tab will capture the action items that are selected by the investigation team.

No. Action Item Owner Date Created Due Date Status Completed123456

Visit our web site for more info www.thinkreliability.com

Excel 2003 Drawing Tool – Tips and ShortcutsThis tip sheet is for ThinkReliability clients and Cause Mapping users who are using Excel 2003.

1. Removing Grid LinesClick Tools on the menu bar at the top of the screen. Select Options. On the view tab, under Window Options uncheck the box next to Gridlines to turn off the gridlines for that worksheet. Click OK.

2. Adding the Drawing ToolbarAdd the Drawing Toolbar by clicking on View/Toolbars. From the different toolbars that appear check Drawing. The Drawing Toolbar, which starts with the word Draw, may appear at the bottom of your Excel screen or directly on the worksheet. It can be moved by left clicking on the vertical line just left of the word Draw. Hold the mouse button down and drag the Drawing toolbar to the desired location.

3. Arrow Cursor - Select Objects There are two cursors in Excel 2003. There is the plus cursor for performing regular functions with the cells and there is an arrow cursor for selecting objects that are located on the worksheet. To select the arrow cursor, left click on the arrow to the right of the word Draw on the Drawing Toolbar.

4. Making a Text BoxThere is a shortcut button for making text boxes on the Drawing Toolbar with a capital A inside of it with small lines. Click on the text box button and release the mouse. Move the cursor, which now looks like a vertical line with a bar toward the bottom, to the spreadsheet. Click and hold the left mouse button to drag a box to the desired size.

5. Box Border – Lines or DotsClicking anywhere on a text box highlights that box with hashed lines on each of the four sides. Clicking on the dashed lines will turn the border into dots. A dotted border is for selecting the entire box. A hashed border shows that the inside of the box has a cursor so that text can be added or edited. Click in the middle of the box or directly on the border to move between a hashed line and dotted border.

6. Sizing BoxesThe dots in the corners and on the sides of the boxes can be dragged with the mouse to make the box smaller or larger. The boxes can also be sized by right clicking on the box to create the hashed line border, then double clicking the hashed line border with the left mouse button to pull up a format box. Under the Size tab, you can set exact vertical and horizontal dimensions. Several boxes can be sized at the same time by selecting multiple boxes.

7. Moving BoxesTo move a box click on the border so that it becomes dotted, hold down the left mouse button and drag the box to the desired location. Once the box has a dotted border, it can also be moved by using the arrows on the keyboard.

8. Selecting Multiple BoxesHold down the shift key and left click on the each box you wish to add to the selection. Multiple boxes can be selected. This multiple selection using the shift key works for selecting any object including lines. You can also select several boxes at a time using the Select Objects function. Click on the arrow to the right of Draw on the Drawing Toolbar, left click on the worksheet and drag the dashed box to contain all the boxes you wish to select. You can then move all of them together by grabbing the dotted border on any one of the boxes.

9. Copying BoxesTo copy a box the border must be dotted. See Tip #5 above.

Here are four basic ways to copy a box:

9-1. Click on the Edit menu, and choose Copy. Then click on the Edit menu and choose Paste.

9-2. Click Ctrl C, then Ctrl V to copy and paste.

9-3. Right click directly on the box border and select Copy from the drop down menu. Then right click again and select Paste.

This last one is the best tip (Great Tip)9-4. Left click directly on the border, hold the mouse down and drag the box to the desired location. Before releasing the left mouse button hold down the Ctrl button on the keyboard. This is known as the Ctrl-Drag copy method. It is typically the fastest way to copy many boxes onto a worksheet.

10. Aligning Text inside a BoxClick on the box to create the hashed line border. Then double click the hashed line border with the left mouse button to pull up a format box. On the Alignment tab, you can align both horizontally and vertically.

11. Changing, Adding, or Removing BordersClick on the box to create the hashed line border. Then double click the hashed line border with the left mouse button to pull up a format box. On the Colors and Lines tab, under Lines, you can select the color for your border (or select No Line for no border). You can also specify the style and weight of your border line.

12. Adding Color to the BoxesClick on the box to create the hashed line border. Then double click the hashed line border with the left mouse button to pull up a format box. On the Colors and Lines tab, under Fill, you can select the color for the box.

13. Using Connectors (Great Tip)Do not use either the line or the arrow that is displayed on the Drawing Toolbar. Instead, click Auto Shapes on the Drawing Toolbar, and select Connectors with the left mouse button so that the box of nine connectors appears. Move your mouse to the gray horizontal bar at the top of the connector box and hold down your left mouse button and drag the connector box to the Toolbar at the top or bottom of your screen (or just drag it onto your worksheet) and let go of the mouse button. Use the connectors called either the Elbow Connector or the Elbow Arrow Connector.

Connect cause boxes by clicking and holding the left mouse button at the beginning connection point then moving the cursor to the ending connection point and releasing the mouse. The connector end is red when it is connected to a box and green when it is not connected. The green end can be dragged to an object.

14. Aligning BoxesBoxes can be aligned by using the mouse or the arrows on the keyboard as explained in Tip #7. Boxes can also be aligned by selecting two or more boxes (Tip #8) and clicking on Draw on the Drawing Toolbar (Tip #4), then selecting Align or Distribute. You will get a drop down containing Align Left, Center, Right, Top, Middle, and Bottom. Align uses the extreme edge of the selected boxes for the chosen alignment.

15. Moving Boxes in a Straight Line (Great Tip)When moving a box hold down the shift key to move the box only at 90-degree angles: left, right, up or down. The shift button also works when copying something in only a straight line such as with the Ctrl-Drag copy method in Tip #9-4. This is the Shift-Ctrl-Drag method.

16. Zoom-in, Zoom-outZooming in and out can be done by selecting View on the menu bar and then selecting Zoom. Zoom can also be done if you have a wheel on your mouse by holding the Ctrl key down as the wheel is moved forward or backward. If you use the wheel to zoom more often than you use it to scroll on a sheet, you can set the wheel button to zoom instead of scroll. On the Tools menu, click Options, click the General tab, and then select the Zoom on roll with IntelliMouse check box under Settings.

16 Tips for using the Drawing Tools in Excel® 2003

Cause Map Examples

Fire Fuel

Heat

Oxygen

AND

AND

Stress exceeds strength

Strength

Stress applied

ANDFracture

X was added to tank

Overfilled tank

Tank had a available

capacity of Y

AND

Strained muscle in back

Impact toSafetyGoal

Lifted box from floor to table

Why ? Why ?

Sorting old records

3-Whys

5-WhysParallel Causes (a split)

This Cause Map shows how one effect can require more than one cause.

Printer is not functioning

Out of paper ?

Paper jam ?

Toner cartridge empty ?

OR

OR

No power ?

OR

Strained muscle in back

Impact toSafetyGoal

Force on muscle in back

Lifted box from floor to table

Sorting old records

Lifted with back(not legs)

AND

Why ?

Cause Map

COULD

Failure Modes