The A3 -Tool for Continuous Improvement

The A3 Management
Process
Using the A3 Process to Solve Problems, Submit
Proposals or Manage Projects
All Rights Reserved QAI 2020 1
847-919-6127
info@quantumassocinc.com
quantumassocinc.com
Thought Leadership Series

IMPROVEMENT STORYBOARD
PDCA

The Improvement Storyboard
• The Plan—Do—Check—Act Model
• Consist of four steps to follow for making improvement or making
changes
• Just as a circle has no end the PDCA cycle should be repeated again and
again for continuous improvement

PDCA Cycle for Problem Solving
PDCA
Plan
Do
Check
(Study)
Act
(Adjust)
Select
Analyze
Understand

• Plan
1. Select the problem, proposal, project or strategic objective that will be
addressed and describe the improvement opportunity
2. Describe the current process surrounding the improvement
opportunity
3. Describe all the possible causes of the problem and agree on the root
causes
4. Develop an effective and workable solution and action plan, including
targets for improvement or completion.

• Do
5. Implement the solution/process change or deploy the strategic
objective
• Check (Study)
6. Review and evaluate the result of the change
• Act (Adjust)
7. Reflect and act on learnings

Plan
• This step may be done by a steering committee, management
team, or process improvement team
• Select the problem/process/strategic objective that will be
addressed and describe the improvement opportunity
• Look for changes in important business indicators
• Assemble and support the right team
• Review customer data
• Narrow down project focus. Develop process purpose statement

Plan
• Typical tools
• Brainstorming, Affinity Diagram, Check Sheet, Control Chart,
Histogram, Interrelationship Digraph, Pareto Chart, Prioritization
Matrices, Process Capability, Radar chart, Run chart
•Describe the current process surrounding the
improvement opportunity
• Select the relevant process or process segment to define the
scope of the project
• Describe the process under study
• Typical Tools
• Brainstorming, Macro, Top-down and Deployment Flowcharts, Tree
Diagram

Plan
• Describe all the possible causes of the problem and agree on the
root causes
• Identify and gather helpful facts and opinions on the cause(s) of the
problem
• Confirm root cause(s) with data whenever possible
• Typical tools
• Affinity Diagram, Brainstorming, C & E/Fishbone Diagram, Check Sheet, Force
Field Analysis, Interrelationship Digraph, Multivoting, Nominal Group Technique,
Pareto Chart, Run Chart, Scatter Diagram.

Plan
• Develop an effective and workable solution and action plan,
including targets for improvement
• Define and rank solutions
• Plan the change process—3Ws: What? Who? When?
• Do contingency planning when dealing with new and risky plans
• Set targets for improvement and establish monitoring methods
• Typical Tools
• Activity Network Diagram, Brainstorming, Flowchart, Gantt Chart, Multivoting, Nominal Group
Technique, Prioritization Matrices, Matrix Diagram, Tree Diagram

Do
Implement the solution or process change
• Try the solution on a small scale first
• Follow the plan and monitor milestones and measures
• Typical Tools
• Activity Network Diagram, Flowchart, Gantt Chart, Matrix Diagram, Run Charts,
Check Sheets, Histograms, control charts

Check (Study)
•Review and evaluate the result of the change
• Confirm and establish the means of monitoring the solutions.
Are the measures valid?
• Is the solution having the intended effect? Any unintended
consequences?
• Typical Tools
• Check Sheet, Control Chart, Flowchart, Pareto Chart, Run Chart

Act (Adjust)
•Reflect and act on the learnings
• Assess the results and problem-solving process and
recommend changes
• Continue the improvement process where needed; standardize
where possible
• Celebrate success
• Typical Tools
• Affinity Diagram, Brainstorming, A3 Storyboard, Radar Chart

PDCA Flow
PDCA
Plan
Do
Check
ACT
Define Problem
Analyze Problem
Identify Causes
Plan Solution
Implement Solution
Confirm Results
Standardize
Use these 7
steps to lead
you through the
PDCA cycle.
If after check
you did not
achieve the
desired results
capture the
lessons learned
and go back to
Plan.

WHAT IS AN A3?
A Simple Way of Capturing Data and Information

History of A3
• Part of Toyota's Quality Circle problem
solving efforts in the 1960s
• It allowed the teams to get the most
important information on one sheet of paper to
be easily read, understood and make decisions
• If you can't say it with one page, you're
not concise enough
• Toyota actually uses several styles of A3 reports—
for solving problems, for reporting project status,
and for proposing policy changes—each having its
own "storyline.“
• A3 refers to the size of the sheet of paper(11" x
17")

What is an A3?
• An A3 is a PDCA storyboard that is adjusted for the type of story being told:
• Quality problem
• Project
• Proposal
• Company strategy
• The A3 always uses the four steps of Plan, Do, Check, Act (Adjust)
• No specific look or format
• The more pictures and charts the better
• Avoid small print
• Fits on one 11 X 17 page
• A persuasive story (visual story teller)

Ways to Use A3s
 Describe, understand and solve a problem
 Present a new product concept
 Propose a technical solution
 Capture knowledge from past programs
Explain an organization's vision, mission and values
Team Charters
Present market research and customer data
Analyze trade-off decisions or cost-benefits
Document a standard procedure or test

Why Use It?
• Most problems that arise in organizations are addressed in superficial ways, what some
call "first-order problem-solving.“
• We work around the problem to accomplish our immediate objective, but do not
address the root causes of the problem so as to prevent its recurrence.
• The A3 Process helps people engage in collaborative, in-depth problem-solving. It
drives problem-solvers to address the root causes of problems which surface in day-to-
day work routines.
• The A3 Process can be used for almost any situation—projects, proposals, or strategy—
and research has found that, when used properly the chances of success improve
dramatically.

Why Use It?
• As a standard process, it becomes easier for you to persuade others and to
understand others.
• It fosters dialogue within the organization.
• It develops thinking problem-solvers.
• It encourages front-line initiative, cascades responsibility and clarifies who
is responsible for problems or steps.
• It exposes lack of agreement that can undermine plans.
• It serves as an organizational learning tool.
• It leads to effective countermeasures and solutions based on facts and data.

Types of A3s
 Strategic
Hoshin
Business Planning
Proposals
 System
• Value Stream Mapping
• Design Team Planning
• Projects
 Process
Standard Work
Problem solving

A3 Deployment in the Organization

TYPICAL A3 STORY BOARD LAYOUT
Problem Solving

Footnotes/Signature
s
Heading
Check and
Adjust
Do
P
l
a
n
Title: What you are talking about.
Background
Current Situation
Goal
Analysis
Recommendations
Action Plan (3Ws)
Follow – up
Why are you talking about it?
Where do we stand?
Where we need to be?
What is the specific change you want to
accomplish now?
-What is the root cause(s) of the problem?
-
What is your proposed
countermeasure(s)?
What activities will be required for
implementation and who will be
responsible for what and when?
How we will know if the actions have the
impact needed? What remaining issues
can be anticipated?
Verbal/Shook
What’s the problem?

Title: What are you talking about?
Background
Current Conditions
Target/Goal(s)
Analysis
Proposed Countermeasure(s)
Implementation Plan
Follow-up
Why you are talking about it.
- What is the business reason for choosing this issue?
Where things stand today.
- What’s the problem with that, with where we stand?
- What is the actual symptom that the business feels that requires
action?
Show visually – pareto charts, graphs, drawings, maps, etc.
The specific outcome required for the business.
- What is the specific change you want to accomplish now.?
- How will you measure success?
The root cause(s) of the problem.
- Why are we experiencing the symptom?
- What constraints prevent us from the goal?
Choose the simplest problem-solving tool for this issue:
- Five whys
- Fishbone
- QC Tools
- SPC, Six Sigma, Shainen, Kepner Tregoe, others…
Your proposal to reach the future state, the target condition.
- What alternatives could be considered?
- How will you choose among the options? What decision
criteria?
How your recommended countermeasures will impact the root
cause to change the current situation and achieve the target.
A Gantt chart or facsimile that shows actions/outcomes, timeline
and responsibilities. May include details on the specific means of
implementation.
- Who will do what, when and how?
Indicators of performance, of progress.
- How will we know if the actions have the impact needed?
- What are the critical few, visual, most natural measures?
Remaining issues that can be anticipated.
- Any failure modes to watch out for? Any unintended
consequences?
Ensure ongoing P-D-C-A. as needed.
Owner
initials

Which Tool Could Be Used …
BACKGROUND Graph Sketch
INVESTIGATION Tally-sheet Histogram
CURRENT STATE Pareto Diagram Graph
Scatter Diagram Sketch
Control Chart CS Map
TARGET, OUTCOMES Chart Sketch
ACTION PLAN Gantt Chart
ANALYSIS Cause-and-Effect Fishbone Control Chart
Relation Diagram Histogram
Tree Diagram Graph
Pareto Diagram Sketch
Scatter Diagram
COUNTERMEASURES Graph Chart
Sketch FS Map
VERIFICATION OF Pareto Diagram Graph
COUNTERMEASURES Histogram Sketch
Scatter Diagram Chart
PREVENTIONS Sketch Chart
REVIEW/CRITIQUE
• Each item (box) should contain a graph, chart, or sketch.
• Use words only when a graph, chart, or sketch cannot show the details
of the contents, or it is impossible to explain the contents with them.
Adapted from John Shook

Typical A3 Story Board Content
• What is this story about (type of story, size, scope,
etc.)?
• Who is it about (business unit, department, team,
etc.)?
• Who is on the team telling the story and who is the
leader?
• What time frame does the story cover?
Heading

• The problem statement and team
• Current conditions and any background
information required (Run charts, Pareto charts, etc)
• Analysis of the current state
• Common tools used by the organization (C & E
diagrams, 5 Why’s, etc.)
• Improvement goal (measurable, time bound results)
PLAN Section

• Countermeasures put into place
• Short term fixes
• Long-term root cause elimination
• Action plans for the countermeasures
• Gantt Chart
• 3Ws—What? Who? When?
DO Section

• Results of actions
CHECK Section
ACT/ADJUST Section
• The adjustments made
• Standardizations put into place to ensure
continued results (training, standard work)
• Next target for improvement and/or next review
cycle for this issue
• Any additional follow-up actions required

• When the story was completed
• Who reviewed the story and signed off on the
results and standardization
• What additional action(if any) needs to be taken
Footer Section

Projects

Project A3: Title: What are you talking about?
Background
Current Conditions
Target/Goal(s)
Proposed Countermeasures
Check
Act-Follow-up
- What is the actual symptom that the business feels that requires
action?
Show visually – pareto charts, graphs, drawings, maps, etc.
The specific outcome required for the business.
- What is the specific change you want to accomplish now.?
- How will you measure success?
Gather data on the improvement
Analyze the results or progress against targets
Gain an understanding of lessons learned from the effort
Remaining issues that can be anticipated.
- Any failure modes to watch out for? Any unintended
consequences?
Ensure ongoing P-D-C-A. as needed.
Owner
initials
criteria?
How your recommended countermeasures will impact the root
cause to change the current situation and achieve the target.
Action Plan (OPPM)

One Page Project Manager/X-Matrix

Completed X- Matrix (OPPM)

Completing The X-Matrix
• 12 Step Process
1. Complete Header –top of form includes name of project, project leader, project
objective and current date.
2. List Owners/Team Members- includes project team-the people who will manage
the major components of the project
3. Complete the Matrix – complete the matrix- objectives, major project tasks, target
dates, and budget

4. List Project Objectives- break down the project into no more than 3 or 4 second
level objectives required to meet the main objective.
5. List Major Project Tasks- major tasks are placed on the left side of the matrix
• Tasks should be measurable in terms o their progress
• Each tasked is assigned at least one owner
• Try to average two to three tasks per reporting period for the length of the project i.e. if the
project runs 12 months, 30 tasks are about right.

5. List Major Project Tasks
• Most tasks are divided up into monthly increments. Some tasks will be as short as one month or
as long as the entire project timeline
• Keep in mind behind each of these tasks you could have another matrix or a MS Project chart.
6. Align Tasks with Objectives
• Make sure the tasks when completed will produce the project’s objective
• All tasks should be aligned with at least one objective

7. Complete Target Dates- target dates are found in the rectangle running left to right
near the bottom of the matrix.
8. Align Tasks to the Timeline
• Place an empty circle in the boxes alongside the task representing the start, length, and
completion date for each task
• As each task is completed the aligned circle should be filled in

9. Align Tasks to Owners
• Tasks usually have at least one owner, rarely more than 3
• Set the priority between owners: A for main owner, B for the sub-owner, and C for a subordinate
owner to B.
• There should be one main owner per task
• Ownership is determined through a process of negotiation between team members

10. List Subjective Tasks-this portion of the matrix deals with qualitative tasks.
• Make sure the objectives and owners are aligned with the subjective tasks
11. Complete Costs/Budgets-the lower right hand side of the matrix is where the
budget is represented.
• Use a bar-graph for each portion of the budget. Use the following color coding for the graph
• Green—on budget
• Yellow—over budget but recoverable
• Red—over budget and not recoverable

12. Complete the Summary and Forecast for the Reporting Period
• Use the bottom of the sheet to answer questions prompted by the graphics
• Do not explain the graphics
• Be as succinct as possible
• Lack of space forces a selective description of results
• Do not expand the summary by adding attachments pages or charts

One Page Project Manager-X Matrix
1. Complete
the header

5. List major
project tasks

7. Choose
target dates

9. Align Tasks to
owners

10. List subjective
tasks

11. Cost or
budgets

12. Complete
summary or
forecast

All Rights Reserved QAI 2020
55
5 Steps to Creating the Project Report Using The X-Matrix
1. Bold or highlight
target date
2. Fill in dots based on
your progress
3. Indicate qualitative
performance
4. Report expenditures
5. Write summary &
forecast On track
Off track but recoverable
Off track and irrecoverable

Title: ISO 9001:2000 Registration Date: Sept. 30
LH
Background
Current Conditions
Target/Goal(s)
Check
Act-Follow-up
Our competitors have used our lack of ISO 9000 registration as a competitive
weapon against us. We recently lost out on a very large contract for this very
reason…
From our initial review of ISO 9001:2000 and its requirements it is clear we need
some outside assistance. Since we do not have the expertise in-house we have
decided to bring in a consultant. We initiated a search and contracted the services
of Quantum Associates, Inc. We will also need to acquire the services of an ISO
9000 registrar. We will use the services of our ISO 9000 consultant to help us
select a registrar.
The results of our gap audit indicates, for the most part we have everything
required to meet the ISO 9001:2000 registration requirements. We do need to
change some of our language and we need to provide our people with a significant
amount of training to help them understand the ISO 9001:2000 requirements and
language. We will also have to make some minor changes to be compliant.
Our workloads will increase as we work through this and we will need to be very
aware of schedule in order to meet our date.
We will complete the project by February 2005
After reviewing our progress and completion of this effort the following
observations come to light:
• Strong teamwork, leadership is mandatory in an effort of this magnitude
• A strong project manager is critical
• We must always push forward past our concerns and fears
• Strong goals and good leadership develop our people and their capabilities
To institutionalize what we learned we are publishing several of our ISO
9001:2000 registration experiences in four of our upcoming newsletters.
In two weeks we will discuss how the X-matrix A3 combination was used
during this project along with a list of suggested improvements.
We have initiated and are developing our planning X-matrix/A3 for our
Canadian ISO 9001:2000 registration.
Owner
initials
Action Plan –X Matrix (OPPM)
Proposed Countermeasures
We determined 4 phases are required for achieving ISO 9001:2000
Registration:
Definition Phase- Many requirements in place but not organized in a corporate
quality manual
Implementation Phase- Train our people in the use of procedures and
documents.
Verification Phase- Conduct several internal audits and management reviews
Validation Phase- Apply for ISO 9001:2000 registration
Signatures:
Project Leader: Larry Hamilton All Rights Reserved QAI 2020 56

Strategy & Proposals

Strategy A3 Theme
• What strategic objectives do we need to
achieve this year?
• How did we do last year?
• What’s our history?
• What did we do last year?
• What worked and didn’t work?
• What have we learned?
• What do we need to achieve this year’s
strategic objectives?
• How will these actions benefit us?
• Are there any unresolved issues?
• Do you need any help with anything?
• Anything bothering you?
• What’s our action plan to achieve these
objectives (who, what, when, where, and
how)?
Source: Managing to Learn- Pascal Dennis, The Lean Enterprise
Institute, 2006

Strategy A3 Template

Proposal A3: Title: What are you talking about?
Background
Current Conditions
Target/Future Conditions
Action Plan
Deliverables/Metrics
- What is the actual symptom that the business feels that
requires action?
Situation Analysis
criteria?
A Gantt chart or facsimile that shows actions/outcomes, timeline
and responsibilities. May include details on the specific means of
implementation.
- Who will do what, when and how?
- How will we know if the actions have the impact needed?
- What are the critical few, visual, most natural measures?
Expected benefits
Outcomes
Owner
initials

Examples of A3 Proposals
• University of Michigan Health System
• Major clinical expansion in a geographic region
• Capital project review ($61M in requests v. $26M)
• Requests for central lean coaching resources
• Creation of a claims data warehouse for Michigan physician
organizations

A3 Etiquette
• Ground-rules for presentations
• Model respect
• Everyone gets an 11x17” copy, for notes
• Present the A3 straight through
• Present from the A3, not slides or memory
• If you have a “better story”, use it in the A3
• No interruptions; only clarifying questions
• Presenter modifies A3, through feedback
• Plenty of time for feedback
• Modify the A3 right now

Copyrights of all the pictures used in this presentation are held by their respective owners.

DO NOT BE
AFRAID, MY
FRIEND

The A3 -Tool for Continuous Improvement

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