Incident title…Location of Incident:

Date of Incident:

Version Number:

Version Date:

The following worksheets are contained in this workbook:

Area Worksheet (links) Description

Title Page This worksheet

Versions Evolution of this workbook and contributors

Contacts People / Contact info of those involved with the analysis

CM Steps Cause Mapping Method, Steps and Tools (layout)

Step 1. Define the Problem 1. Problem Problem Outline

Step 2. Conduct the Analysis 2. Cause Map 5-Why basic Cause Map to get started

Step 3. Select the Solutions 3. Solutions Action Items table listing solutions, owner, due dates

Timeline Sequence of events with date, time, description

Diagram Diagrams, drawings and images

Photos Photographs and pictures

Need Help? Work Process Steps of related work processes written as a flowchart

281-412-7766 phone Notes Notes, emails, documents

281-412-7761 fax Info To Get Information to collect or To Dos during the investigation

info@thinkreliability.com END Extra material past this worksheet

Basic Cause Mapping Template Excel Tips Tips for using the template in Microsoft® Excel®

October 23, 2013 Examples Example Cause Maps

Copyright 2013 ThinkReliability, Novem, Inc.

Examples & Resources

Start here

Additional Information & Tools

Investigation Information

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.

(clock) (in hours)

Version Date Type Description Time Duration Update By Contributors

Total Investigation Hours 0.00

240116398.xlsx.ms_office 8/2/2014 10:15 AM

Organization Name Location Role Email Office Mobile Note

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

Step 1

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

Problem Capture 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.

Create Action Plan

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

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

Basic

Evaluate Solution Options

Consider the Effort IN to the Solution versus the Result OUT

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

Propose Possible 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 to

ProductionGoal

Impact to

SafetyGoal

Effect Cause

AND

AND

AND

AND

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

Detailed

Cause Mapping®

Analysis Step 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.

Solutions Step 3

3

- 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 Outline

1

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

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.

Timeline

Date Time Description

Notes

Notes related to the investigation.

Notes

2

Corrective Actions to be implemented

No. Action Item CauseOwner(s)

(Names)Date Due

Status-

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 Completed

1

2

3

4

5

6

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 Cause Step 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 CauseOwner(s)

(Names)Date Due

Status-

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.

Step 3. Solutions

Corrective Actions to be implemented

Timeline

Date Time Description

Diagram Use 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 point Copy and use as needed

Process

Steps within a Task

Notes

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 Completed

1

2

3

4

5

6

240116398.xlsx.ms_office Info To Get Page 13 of 15

Click here for Excel® video tips on the web site

Tips for Using the Cause Mapping Template in Microsoft Excel® 2013 - 2010 - 2007

Quick Access Toolbar The Quick Access Toolbar, found along the top of the screen, is the only toolbar that you are able to customize. Add any command to the Quick Access Toolbar by right clicking on the icon and then click Add to Quick Access Toolbar. Arrow Cursor - Select Objects The arrow cursor allows you to select drawing objects. The arrow cursor is located by clicking on Home from the menu bar. The last group on the ribbon is called Editing. Inside of Editing is a Find & Select icon with a drop down. Click on Select Objects (the arrow) t o select it. Drawing Tools To access the drawing tools ribbon you first must select (click on) an object, such as a text box, on the worksheet. Notice when you select an object a new tab, Drawing Tools: Format, is immediately added to the end of the menu bar. When you click on either Format or Drawin g Tools the ribbon changes to a drawing tools ribbon. Remember you must have an object selected on the worksheet to access the Drawing Tools ta b. Working with Text Boxes Clicking on text within a box highlights that box with clear dots on each corner and side and a dotted border. Clear dots show a cursor so that text can be edited. Clicking directly on the border of the box will turn the dots blue and the border solid. Blue dots are for selecting the entire box. Moving Boxes To move a box click on directly on the border, hold down the left mouse button and drag the box to the desired location. The box can also be moved by clicking directly on the border and using the arrows on the keyboard to move the box up, down, left or right. Copying Boxes Left click directly on the border, hold the mouse down and drag the box to the desired location. Before releasing the left m ouse button hold down the Ctrl button on the keyboard. This is known as the Ctrl-Drag copy method. Using Connectors Use connectors to connect an object to another object. The connectors are located in the Insert tab in the Shapes drop-down menu. Click on the Elbow Arrow Connector (the 5th item in the "Basics Shapes" section) to select. Connect two objects by clicking and holding the left mouse button at the beginning connection point and then moving the cursor to the ending connection point then releasing the mouse. The connector end is red when it is connected to a box and blue when it is not co nnected. The blue end can be dragged to an object. To insert multiple connectors, right click on the Elbow Arrow Connector icon from the Shapes drop-down menu and select Lock Drawing Mode. Left click on the connector icon or press "Esc" to unlock. Add to the Quick Access Toolbar – The Elbow Arrow Connector can be added to the Quick Access Toolbar by right clicking anywhere on the Quick Access Toolbar. Click on Customize Quick Access Toolbar to open a new window. From the vertical menu on the left side of th e window click on Customize. Click the drop down at the top of the window labeled Choose Commands From and select All Commands. Use the scrol l bar to move down the alphabetical list to the Elbow Arrow Connector. Click on that connector then click the Add button in between the tw o columns. Click OK to exit the window. Selecting Multiple Objects Hold down the shift key and left click on the each object you wish to add to the selection. This multiple selection using th e shift key works for selecting any object including lines. Moving Boxes in a Straight Line 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 to copy something in a straight line such as with the Ctrl-Drag copy method . This is the Shift-Ctrl-Drag method. Aligning Boxes Boxes can be aligned by moving them using the mouse or the arrows on the keyboard . Boxes can also be aligned by selecting t wo or more boxes using the shift key and clicking on the Drawing Toolbar. From the fourth group (Arrange), click on the Align drop-down menu. You can align objects horizontally to the left, center, or right, and vertically to the top, middle, or bottom. Align uses the extreme edge of the selected boxes for the chosen alignment. Note: only use the shift key to select and align the boxes. Using the arrow cursor to select boxes and connectors will disconnect the connectors from the boxes. Zooming in and out You can zoom in and out by selecting View on the menu bar and picking from the zoom options in the third group (Zoom). Or, y ou can use the zoom counter in the bottom right corner of the screen. If you have a wheel on your mouse, you can also zoom by holding the Ctrl key down as the wheel is moved forward or backward. The wheel on the mouse can be set to zoom rather than scroll by right clicking anywhere on the Quick Access Toolbar. Select Customize Quick A ccess Toolbar. Click Advanced from the vertical menu on the left side of the window that opens. The first section inside of Advanced is called Ed iting Options. The eighth choice down is Zoom on roll with IntelliMouse. Check this box and hit OK at the bottom of the window.

Cause Map Examples

Fire Fuel

Heat

Oxygen

AND

AND

Stress exceeds strength

Strength

Stress applied

AND Fracture

X was added to tank

Overfilled tank

Tank had a available

capacity of Y

AND

Strained muscle in back

Impact to Safety Goal

Lifted box from floor to table

Why ? Why ?

Sorting old records

3-Whys

5-Whys Parallel 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 to Safety Goal

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