1. The document outlines the steps of the A3 problem solving methodology, including defining the problem statement and business case, understanding the current condition, setting a goal statement, analyzing the root causes, identifying countermeasures and a target condition, creating an action plan, measuring effectiveness, and standardizing and sharing the improvements. 2. Key steps include going to observe the problem directly, breaking problems down, identifying containment actions if needed, quantifying the issues, setting metrics and timeframes for goals, using tools like 5 whys to analyze root causes, prioritizing countermeasures, and establishing plans with owners and timelines. 3. The approach emphasizes visualizing information, consulting others, and standardizing successful changes to prevent

1. A3 Problem Solving
June 2016

2. Countermeasures and target condition – improvements to address the most important causes:
Measure, Evaluate Effectiveness – Metrics and Targets:
Observation,datacollection,discussion
Current condition - “go and see for yourself”, where do things stand today?:
Analysis – determine the root causes:
Goal Statement – build upon the problem statement to specify the results needed:
Standardization and Yokoten checklist:
PDCA Problem Solving A3
Title:
____________________________
Location: __________ Date: ___________Team Leader: ___________
Version 10 –
01/31/10
Problem statement - define the gap:
Business case – why are we talking about this?:
Metrics, include cost benefits Before Target After % Change
Evaluation
Team members: ____________________
Functional
Stakeholder
Functional
Stakeholder
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A3 Dialogue for Understanding, Agreement, and Alignment
Cause Countermeasures/solutions ______
_________________________________
Action Plan:
Actions to implement countermeasures Who Where
By when
Owner:
__________
Containment actions Who Where By
when
Manager/Process Owner sign-off:
1. Standard work documented / updated
2. 1 point lesson documented / updated
3. Application / learning for other areas recapped
below:

3. Manager/process owner sign-off:
1. Use simple diagram, sketches, or photos to illustrate the improved process/target condition with
improvements implemented – visually designate the improvements that link back to the specific
problems and the root causes.
1. Go to Gemba to observe and understand the problem(s) directly. Ask
what, where, when, why, how much/often. Take time to draw what you see.
2. Identify the important consequences/issues associated with the gap;
break down the problem into specific sub-problems/effects
3. Gather initial facts and data, not “assumptions and hearsay”; ensure
“humble and critical reflection”.
4. Determine if immediate “containment actions” are required, prior to
understanding causes (ie, safety issue, customer-facing service or quality
problem, etc).
5. Use simple diagram, sketch, or photos to indicate to illustrate the process
- visually indicate the problem areas.
Countermeasures and target condition – improvements to address the most important causes:
Action Plan:
Measure, Evaluate Effectiveness – Metrics and Targets:
Observation,datacollection,discussion
Current condition - “go and see for yourself”, where do things stand today?:
Analysis – determine the root causes:
Goal Statement – build upon the problem statement to specify the results needed:
Standardize the Process, Share, Recognize
PDCA Problem Solving A3
Title:
____________________________
Location: __________ Date: ___________Team Leader: ___________
Instructions - for logical thinking process, NOT to “fill out the form”. Size sections as needed.
NOTE: When you are still in the phase of understanding the current condition and
analyzing the problems, your analysis usually continues onto this right hand-side of the
A3. Solutions should not be determined until you have understood the causes.
Metrics, include cost benefits Before Target After % Change
Evaluation
1
3
6
7
1. Indicate why this is a priority problem
2. What is the negative impact on our customer/company/operations?
3. Quantify the issue – indicate impact on cost , service , quality,
downtime, etc
Show gap visually if
possible
1. Quantify the expectations for the result. Should the gap be closed 100%, 50%, etc?
2. Specify the expected timing of the problem solving. Do we have 1 day, 1 week, 30
days, etc?
Analysis:
A. Further break down the gap into smaller,
specific problems/effects/”streams of failure”
B. Summarize the facts and data using pareto
and/or other charts and graphs to make
visual.
C. For individual and specific smaller
problem(s) - brainstorm potential causes. Use
cause & effect diagram or similar to
brainstorm and organize the range of
potential causes in logical categories.
D. Determine and indicate most likely causes,
using available facts, data, and expertise – go
back to where the problem started to gather
additional facts and data as required (ie,
identify the “point of cause” or “birth of the
defect”).
E. Test the causes and drill down using “5
why’s” method to determine the root cause(s)
– maximum of 3 root causes per specific
problem.
5
1. List the countermeasures in the form of an action plan
2. Each action item must have 1 responsible person with due date
3. Ensure action plan has 1 overall owner to manage the
implementation
4. Include schedule for follow-up sustainment plans
1. Indicate future actions to standardize and sustain successful improvements
2. Identify other potential applications to apply what has been learned and communicate to
stakeholders
3. Share reflections and recognition regarding the accomplishments of the team
4. Confirm approval “sign-off” by the manager/process owner
8
Team members: ____________________
What is the overall gap between current and the target or ideal? Include the “object” and the
“defect”?
Cause Countermeasures/solutions ______
_________________________________
Owner:
__________
1. Check to determine if problems are being resolved – are the countermeasures working?
> Management check guideline: twice per day for 6 weeks. If results not stabilized,
revise
improvements and check again, twice per day for another 6 weeks.
2. Review analysis and revise countermeasures if required
3. Indicate relevant metrics in table form with before/target/after/%change and status
evaluation
2. Recap the countermeasures required to address the primary root cause(s).
3. If required, seek approval to implement the countermeasures, using your A3.
4. Consider impact of countermeasures on other stakeholders – other functions, customers, suppliers,
etc
5. Link countermeasures/solutions to each root cause
Complex
problem:
Sub-
problem:
Sub-
problem:
Sub-
problem:
1
2
2 3
Effect or Gap
(Sub-
problem)
A
.
B
.C
.
D
.
E
.
Ca
us
e
* Break down complex problem into
smaller problems/issues/”streams of
failure” with single points of cause for
each.
Talking to others with humility & “hunger” to listen – for input, understanding, and
alignment:
1. If you are starting analysis, by now you should have consulted others who work in and
around the process – customers, suppliers, other functions, other stakeholders. Indicate the
names.
NAME: __________ NAME: __________ NAME: __________ NAME: __________ etc.
4
1
Version 10 –
01/31/10
Problem statement - define the gap:
Business case – why are we talking about this?:
Actions to implement countermeasures Who Where
By when

4. 1. Problem Statement with Business Case
Problem Statement
● PURPOSE: to summarize the issue and why it is
important
● Clear & concise definition of the gap and its
consequences
● Strive to quantify the gap
● Visualizing the difference between current and
ideal helps to clarify the problem
● Sometimes the gap is created by changing the
standard (ie, “raising the bar”)
Business Case
● Indicates why the problem is important
● State is the impact to customer, business,
organization – quantify the impact
● Why this problem? why now? – support with facts
and data
Problem
Statement
1

5. 1. Problem Statement with Business Case
Problem Definition:
Understand the problem
Ask “Is there more than one problem?”
Keep it simple!
Attack the problem, focus on the process,
not the people!
We want to know what happened, what is
happening, not who did it

6. 1. Problem Statement with Business Case
Problem statement examples:
Problem Statement:
● Scrap in the Binders Business is running at 3.0% vs. a plan of 2.7%
● Overproduction has increased Red Tag over 110,000 Binders since January 2008
and will continue since there are no controls to prevent it.
● The overproduction- related scrap is estimated at $150,000 annually and is using
needed capacity.
Problem Statement:
● Month-end close is consistently requiring more than 240 work hours per month in
our department and is completed 2 -3 days late, more than 20% of the time.
● Business needs require that we:
○ Reliably complete month- end on- time, for reporting purposes
○ Create capacity for approximately 120 FTE hours per month towards analysis
to support improvement and growth

7. 2. Current Condition – Go and See
Current Condition
● PURPOSE: Observe and understand the problem at its place of origin –
at “gemba” – turn assumptions and data into facts
● “Go and See” the problem; further understand the issue by asking, what,
when, where, how much, how often – talk directly to people involved
● Determine if containment actions are required – to restore, flow, for
safety, etc.
● Break down large problem into smaller problems/ issues – will identify
“points of cause” for each
● Ensure use of humble and critical reflection
● Create visual of the condition using simple pictures, value stream or
process maps, charts – visually indicate the important problem areas
Example:
1
Current
Condition
2

8. 3. Goal Statement
Goal Statement:
● Create process to identify when overproduction occurs and action countermeasures to
prevent future overproduction. Reduce MTD scrap to 2.7% by August
● Perform root cause analysis, implement countermeasures, measure effectiveness and
provide awareness of changes across three shifts by the end of the week of the Kaizen
Goal Statement
● PURPOSE: Build upon the problem statement to specify the
needed results
● Describe and quantify the expected result of the problem
solving
● Is the gap to be closed 100%, 50%, 25%, etc
● Set a target timeframe for completion – do we have 1 day, 1
week, 30 days, etc
● Confirm with the customer(s) of the problem solving
Example:
1
2
Goal
State-
ment
3

9. Goal Statement
Objective
Practice developing a goal statement
Instructions
For your assigned problem:
1. Go and see to learn as much as you can about the
current state situation where the problem is
occurring.
2. Based on your original assignment, draft a
measurable and specific goal statement.
3. Test your goal statement with the sponsor or
process owner, to validate the goal.
Time to Complete
30 minutes, plus 15 minute debrief
Deliverable
● Answers to the 3 questions
● Reflect on this exercise –
what did you learn?

10. 4. Analysis – Identify the Root Cause(s)
Analysis
● PURPOSE: Identify the root causes to correct and prevent
reoccurrence; identify the drivers needed to close the gap
● Consider all possible causes; avoid preconceptions – use
cause and effect problem tree with 5 why’s to brainstorm and
organize potential causes
● Use process knowledge, facts and data to narrow list of
important causes
● Use 5 why’s to drill down to potential root causes and
organize ideas
● Select root causes (max 3 per problem) and prioritize based
on frequency & impact
Example:
1
2
3
RCA4

11. 4. Analysis – Identify the Root Cause(s)
Drill down to root cause using facts
and data, asking “Why?”
Why?
Why?
Why?
Why?
Pareto
Excess
Flats
Counting
Issues
Counters
not working
Never
Programmed
Lack of
Follow- up
Counting @
wrong point
Counters set
incorrectly
Operators
unfamiliar with
procedure
Lack of
training
Root Cause
Root Cause
Root Cause
Therefore

12. 4. Analysis – Identify the Root Cause(s)
Use the simplest
tool needed –
simple 5 why’s
can work for
quick cycle of
problem solving
Root Cause
The 5 Why’s Tool
Too much glue on panel
Pressure roller bushing worn
Unable to adjust pressure roller
Incorrect pressure set
Bushing beyond its design life
No inspection process to check
No inspection process to check pressure
rolling bushing
Replace pressure roller bushing
Add pressure roller bushing to PM process
What is the problem? – Direct Cause
Why?
Why?
Why?
Why?
Why?Therefore
Therefore
Therefore
Therefore
Therefore

13. Future State
Objective
Practice root cause analysis
Time to Complete
30 minutes, plus 15 minute debrief
Deliverable
● Potential root causes.
● Reflect on this exercise –
what did you learn?
Instructions
For your assigned problem:
1. Identify sources of waste not requiring changes in
product design, technology, or plant location.

14. 5. Countermeasures and Target Condition
Countermeasures and Target Condition
● PURPOSE: Identify improvements to address the root cause
● Select and prioritize countermeasures based on predicted
effectiveness, benefit/ effort
● Recap countermeasures to be implemented for each root cause
● Consider impact of the countermeasures on other stakeholder –
other functions, customers, suppliers, etc.
● If approval is required, use your A3 to seek approval
● Use simple diagram or photos to illustrate the improved process –
visually designate the improvements that link to the problems/
cause being addressed
Example:
1
2
3
Counter-
measures
5
4

15. 6. Action Plan
Action Plan
● PURPOSE: Establish plan to implement the countermeasures
● Include details to clarify what, who, and when
● Ensure each action has 1 responsible person w/ due date
● Ensure action plan has 1 overall owner to manage the implementation
● Include actions and schedule for follow- up sustainment plans
Example:
1
2
3
Action Plan6
5
4

16. 7. Measure the Effectiveness
Measures
● PURPOSE: Evaluate the effectiveness of the countermeasures and
whether the root cause was addressed or not; quantify the benefits
● Has the problem been reduced, eliminated or prevented from reoccurring?
● Establish metrics and indicate in table form – current/ target/ after/ %
change/ status
● Ensure checks to determine if problems are being resolved – management
guidelines
○ Check twice per day for 6 weeks
○ If results not fully stabilized, revise improvements and check again for another 6
weeks
● If countermeasures are ineffective, review analysis and revise as required
Example:
1
2
3
6
5
4
Measure
Effectiveness
7

17. 8. Standardize and Share –
“Yokoten”Standardize and Share
● PURPOSE: Standardize and communicate what works
● Create or update standard work for the process
● Communicate and train those affected by changes
● Share learning to expand the knowledge and apply to
other areas:
“Yokoten – “copy/ improve/ paste”
● Learn from what does not work well
● Recognize the accomplishments of the team
Example:
1
2
3
6
5
4
7
Standardize 8