1. UNCLASSIFIED / FOUO
UNCLASSIFIED / FOUO
National Guard
Black Belt Training
Module 31
Cause and Effect (XY)
Matrix
UNCLASSIFIED / FOUO
UNCLASSIFIED / FOUO

2. UNCLASSIFIED / FOUO
CPI Roadmap – Analyze
8-STEP PROCESS
6. See
1.Validate 2. Identify 3. Set 4. Determine 5. Develop 7. Confirm 8. Standardize
Counter-
the Performance Improvement Root Counter- Results Successful
Measures
Problem Gaps Targets Cause Measures & Process Processes
Through
Define Measure Analyze Improve Control
ACTIVITIES TOOLS
• Value Stream Analysis
• Identify Potential Root Causes • Process Constraint ID
• Reduce List of Potential Root • Takt Time Analysis
Causes • Cause and Effect Analysis
• Brainstorming
• Confirm Root Cause to Output
• 5 Whys
Relationship
• Affinity Diagram
• Estimate Impact of Root Causes • Pareto
on Key Outputs • Cause and Effect Matrix
• FMEA
• Prioritize Root Causes
• Hypothesis Tests
• Complete Analyze Tollgate • ANOVA
• Chi Square
• Simple and Multiple
Regression
Note: Activities and tools vary by project. Lists provided here are not necessarily all-inclusive. UNCLASSIFIED / FOUO

3. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 3

4. UNCLASSIFIED / FOUO
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)
Idea
Generation
Tools
Process Map C&E Matrices FMEA
Cause and Effect Matrix UNCLASSIFIED / FOUO 4

5. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 5

6. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 6

7. UNCLASSIFIED / FOUO
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)
Cause and Effect Matrix UNCLASSIFIED / FOUO 7

8. UNCLASSIFIED / FOUO
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.
Cause and Effect Matrix UNCLASSIFIED / FOUO 8

9. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 9

10. UNCLASSIFIED / FOUO
C&E Matrix Form
XY Matrix
Project:
Date:
1 2 3 4
Output Variables (Y's)
Output
Rating
Association Table
Input Variables (X's)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Cause and Effect Matrix UNCLASSIFIED / FOUO 10

11. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 11

12. UNCLASSIFIED / FOUO
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
Cause and Effect Matrix UNCLASSIFIED / FOUO 12

13. UNCLASSIFIED / FOUO
Example: Coffee at the All Ranks Club
Step 1: Input Project: Coffee
XY Matrix
output (Y) Date: 11/9/2008
variables and 1 2 3 4 10
output ratings
Output Variables (Y's)
from the
VOC/VOB
analysis
Acidity
Aroma
Taste
Price
Output
Rating
9 3 3 1
Input Variables (X's)
Association Table Score % Rank
1 Coffee Type 9 9 9 9 144 16.04%
2
3
Amt. of Coffee
Grind Time
9
9
Step 2: Circle most
3
3 1
9
3
9 126
96
14.03%
10.69%
4
5
Water Temp.
Cup Type
9
1
significant3 Xs from
3
3
1 1
1
94
28
10.47%
3.12%
6 Cup Size 1 fishbone and other
3 3 1 28 3.12%
sources and list
7 Brew Time 9 3 1 1 94 10.47%
8 Type of Coffee Pot 1 1 1 3 18 2.00%
9
10
Thickness of Filter
Country of Origin
3
3
0
3
inputs 0here 3
3 3
30
48
3.34%
5.35%
11 Age of Coffee 9 1 1 9 96 10.69%
12 Freshness of Beans 9 1 1 9 96 10.69%
UNCLASSIFIED / FOUO

14. UNCLASSIFIED / FOUO
Example: Coffee at the All Ranks Club
XY Matrix
Step 3: Correlate Project: Coffee
inputs to outputs
Date: 11/9/2008
using 0,1,3,9 Step 4:
1 2 3 4 10
Output Variables (Y's)
rating system Calculate score
for all inputs
Acidity
Aroma
Taste
Price
Output
Rating
9 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%
Type of Coffee Pot 1 1 1 3 18 2.00%
Calculate Score for Coffee Type
8
9 Thickness of Filter 3 0 0 3 30 3.34%
10 Country of Origin 3 3(9*9)+(9*3)+(9*3)+(9*1) = 144
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%
UNCLASSIFIED / FOUO

15. UNCLASSIFIED / FOUO
Pareto Chart – Coffee Example
Pareto Chart of Key Input Variables
Step 5: Create a Pareto
160
140 Chart showing most
important inputs for
120
further analysis
100
Score
80
60
40
20
0
pe ee e
ffe
e ns p. e in ilte
r pe ze ot
Ty ff Tim ea em Tim rig Ty Si eP
e Co d Co fB T fO fF p p e
ffe .o
f rin of o
a te
r
Br
e w
y o so Cu Cu off
Co mt G
Ag
e ss ntr es fC
A ne W
ou kn eo
es
h C T hic yp
Fr T
Variable Name
UNCLASSIFIED / FOUO

16. UNCLASSIFIED / FOUO
Coffee at the All Ranks Club Conclusion
 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
Cause and Effect Matrix UNCLASSIFIED / FOUO 16

17. UNCLASSIFIED / FOUO
Alternate Method: Focused Approach
Arrive at Arrive with Delivered Take back
schedule proper Dressed via correct to room Process
Physical Therapy Example d time equipment properly mode promptly 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 Input process steps first. Use0
0 0 0 0 0
Notifies of Return the XY Matrix 0to determine 0
0 0 5 20
Attendant Assigned
highest ranking0 process steps,0
0 0 5 20
Attendant Arrives 0 0 0 0 5 20
then redo XY Matrix using inputs
Patient Returned 0 0 0 0 5 20
from just those steps to
determine significant Xs
Adapted From The Six Sigma Handbook, p. 295, by Thomas Pyzdek
Cause and Effect Matrix UNCLASSIFIED / FOUO 17

18. UNCLASSIFIED / FOUO
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
UNCLASSIFIED / FOUO 18

19. UNCLASSIFIED / FOUO
Linking XY Matrix to Other CPI Tools
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
Capability FMEA Control Plan
Summary Summary
Operational Excellence
Key Process Output Variable Product: Core Team:
Control Plan
Date (Orig):
Process/Product Key Contact:
Capability Summary Sheet Failure Modes and Effects Analysis
Phone: Date (Rev):
(FMEA) Process
Measurement %R&R Sample Sample Control
Process Process Step Input Output Specification (LSL, Cpk /Date Reaction Plan
Technique P/T Size Frequency Method
USL, Target)
Customer Upper Lower Process or
Measurement %R&R or P/T Sample Product Name:
Prepared by: DICY Turn Steam on Scales
Requirement Spec Target Spec Cp Cpk Date Actions Accuracy
Technique Ratio Size Responsible: FMEA Date (Orig) ______________ (Rev) _____________ DMF Load DMF DMF Load
(Output Variable) Limit Limit Accuracy
Gel Time DMF Load DMF DMF
Cleanliness
Viscosity Process S O D R DICY Load DICY DICY Envir.
Factors
Step/Part E C E P
Cleanliness Number Potential Failure Mode Potential Failure Effects V Potential Causes C Current Controls T N DICY Load DICY DICY Load
Spin Draw Fiber Breakouts Undersized package, High SD Dirty Spinneret Visual Detection of Wraps and Accuracy
Color Process panel-hours lost 2 8 broken Filaments 9 144 DICY Raw
DICY Load DICY
Homogeneity Filament motion Visual Sight-glass
Materials
5 2 8 80 DICY Mixer
Consistency DICY Load DICY
Speecd
Polymer defects Fuzzball Light
Digets Time 8 2 9 144
DMF Load DMF DMF Raw
Materials
Temperature DICY Turn Steam on Preheating
DICY TK
0
Solids
The Key Outputs are Key Inputs The Key Inputs
listed and evaluated are explored are evaluated
Cause and Effect Matrix UNCLASSIFIED / FOUO 19

20. UNCLASSIFIED / FOUO
XY Matrix (Root Cause Analysis) Template
Ra ting of
Importa nce to
Custome r
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Total
Proce ss Ste p Proce ss 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
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Total
Lower Spec
Target
Upper Spec
This table prov ides the initial input to the FMEA. W hen each of the output variables
(requirements) are not correct, that represents potential "EFFECTS". W hen each input
variable is not correct, that represents "Failure Modes".
1. List the Key Process Output Variables
2. Rate each v ariable on a 1-to-10 scale to importantance to the customer
3. List Key Process Input Variables
4. Rate each v ariables 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 UNCLASSIFIED / FOUO

21. UNCLASSIFIED / FOUO
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.
Cause and Effect Matrix UNCLASSIFIED / FOUO 21

22. UNCLASSIFIED / FOUO
What other comments or questions
do you have?
UNCLASSIFIED / FOUO

23. UNCLASSIFIED / FOUO
References
 Pyzdek, Thomas, The Six Sigma Handbook (also
titled: The Complete Guide to Six Sigma), QA
Publishing, Tucson, Arizona, 1999
Cause and Effect Matrix UNCLASSIFIED / FOUO 23