5-page written report discussing what is Six-Sigma – Identify a process improvement opportunity and complete an A3 (see files for an example) You will be part of a team but will still be responsible for submit a paper discussing Six-Sigma and completing your portion of the A3 – getting together as a team and completing the A3 assignment. Please note this may require multiple meetings.
Requires identifying improvement opportunity (reasons for action, current state and target state (expected outcome hypothesis)
Research and gap analysis
Countermeasures/Solution Approach
Rapid Experiments
Implementation and completion plans
Confirmed State and Insights
How to Use the A3 Process to Lead,
Manage, Mentor, and Solve Problems
This selection of Lean Posts, the most-read articles on the topic, highlights and explains what
you need to know about using this powerful lean practice to gain its most impactful benefits.
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Table of Contents
Understanding the Many Facets of ‘the A3’………………………………………………………………… 3
By Patricia Panchak
Discovering the True Value of the A3 Process……………………………………………………………… 5
By John Shook
How to Start the A3 Problem-Solving Process……………………………………………………………. 8
By David Verble
Why the A3 Process Involves More than Filling in Boxes…………………………………………… 10
By Tracey Richardson
How to Test Your A3 Thinking………………………………………………………………………………….. 13
By Tracey Richardson
Why You Should Share, not Present, Your A3 Report………………………………………………… 15
By Eric Ethington
A3 Templates…………………………………………………………………………………………………………… 16
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Understanding the
Many Facets of ‘the A3’
By Patricia Panchak
If you’re sometimes confused by references to “the A3,”
you’re not alone. The term “A3” is used as shorthand to
refer to various lean practices. Because understanding this
fundamental element of lean management is crucial to a
successful lean transformation, here’s a guide describing
the multiple contexts in which lean practitioners use the
term “A3.”
Title: What change or improvement are you talking about?
1.
A standard paper size: At its most fundamental,
“A3” is the international term for a sheet of paper 297
millimeters wide and 420 millimeters long. The closest
U.S. paper size is the 11-by-17-inch tabloid sheet.
2.
A template: Many companies and individuals use an
A3-sized document pre-printed with the steps needed
to conduct lean problem-solving or improvement
efforts, with generous white space for “A3 owners”
to record their progress. While they refer to this
document as a template, an “A3” is not a template.
3.
A storyboard: As users record their problem-solving
or improvement project’s progress, the A3 becomes
Owner/Date
1. Background: What are you talking about and why?
5. Recommendations: What do you propose and why?
What is the purpose, the business reason for choosing this issue?
What are the options for addressing the gaps and improving performance in the current situation?
What specific performance measure needs to be improved?
Always start with two or three alternatives to evaluate.
What is the strategic, operational, historical, or organizational context of the situation?
How do they compare in effectiveness, feasibility, and potential disruption?
What are their relative costs and benefits?
Which do you recommend and why?
2. Current Conditions: Where do things stand now?
Show how your proposed actions will address the specific causes of the gaps or constraints you
identified in your analysis. The link should be clear and explicit!
What is the problem or need—the gap in performance?
What is happening now versus what you want or needs to be happening?
Have you been to the gemba?
6. Plan: How will you implement? (4Ws, 1H)
What facts or data indicate there is a problem?
What specific conditions indicate that you have a problem or need?
What will be the main actions and outcomes in the implementation process and in what sequence?
Where and how much? Can you break the problem into smaller pieces?
What support and resources will be required?
Show facts and processes visually using charts, graphs, maps, etc.
Who will be responsible for what, when, and how much?
How will you measure effectiveness?
3. Goal: What specific outcome is required?
When will progress be reviewed and by whom?
Use a Gantt chart (or similar diagram) to display actions, steps, outcomes, timelines, and roles.
What specific improvement(s) in performance do you need to achieve?
Show visually how much, by when, and with what impact.
Don’t state a countermeasure as a goal!
4. Analysis: Why does the problem or need exist?
7. Follow-up: How will you ensure ongoing PDCA?
What do the specifics of the issues in work processes (location, patterns,
trends, factors) indicate about why the performance gap or need exists?
How and when will you know if plans have been followed and the actions have
had the impact planned and needed?
What conditions or occurances are preventing you from achieving the goals?
How will you know if you meet your targets?
Why do they exist? What is (are) their cause(s)?
How will you know if you reduced the gap in performance?
What related issues or unintended consequences do you anticipate?
Use the simplest problem-analysis tool that will suffice to show cause-and-effect down to
root cause. From 5 Whys to 7 QC tools (fishbones, analysis trees, Pareto charts) to more
sophisticated SPC, 6 Sigma, and other tools as needed.
What contingencies can you anticipate?
What processes will you use to enable, assure, and sustain success?
Test the cause-and-effect logic by asking “why?” downward and stating “therefore” upward.
How will you share your learnings with other areas?
The Lean Lexicon, Fifth Edition defines the “A3 Report” as “a Toyota-pioneered practice of getting the problem, the analysis, the
corrective actions, and the action plan summarized on a single sheet of large (A3) paper, often using graphics.
The practice’s versatility is evident in the many ways practitioners refer to it. Indeed, the Lean Lexicon notes, “At Toyota, A3
reports have evolved into a standard method for summarizing problem-solving exercises, status reports, and planning exercises like
value-stream mapping.”
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lean leadership and problem-solving — capabilities.
a storyboard used to facilitate communication,
collaboration, and coordination with other stakeholders
affected by the goal the A3 owner is working toward
(e.g., solving a problem or improving a process).
By having all the facts about the effort in one place,
logically presented and summarized, the A3 owner is
better able to gain buy-in from other stakeholders for
recommended process changes.
4.
5.
6.
With A3 management, leaders challenge their direct
reports to solve a problem. Then, with the A3 report
guiding the dialogue and analysis, leaders coach them
through the problem-solving process. Importantly,
leaders coach by asking questions versus providing
answers, ensuring the responsibility remains with the
subordinate to solve the problem by pursuing facts
and building consensus. Through this interaction,
subordinates address the issue, allowing them to make
progress toward the objective and, in so doing, learn
the lean approach to leadership and management and
gain problem-solving capability.
A report: Once the A3 problem-solving effort
concludes, the A3 storyboard serves as a report of the
problem-solving or improvement initiative, including
the facts and data gathered, hypotheses considered,
countermeasures tried, experiment results, corrective
actions taken, and the overall thinking of the A3
owner and stakeholders. At Toyota and elsewhere,
A3 reports have evolved into a standard method for
summarizing problem-solving exercises, status reports,
and planning exercises like value-stream mapping.
A problem-solving methodology (or process): Most
lean practitioners know “the A3” as a problem-solving
process guided by specific steps or questions. The
left side of the A3 focuses on various elements of the
problem and current condition, and the right on the
countermeasures considered, tested, and chosen that
resolve the issue or create a higher standard.
A management discipline (or process): At a higher
level, lean leaders, managers, and supervisors use
“the A3” as a means by which they oversee and guide
subordinates while simultaneously helping them
develop their lean thinking and practice — particularly
7.
A3 thinking (or analysis): Ultimately, most A3
coaches and advanced lean practitioners refer to “the
A3” as a thinking process. In this case, the term refers
to a systematic approach to resolving problems or
improving work processes. Someone can follow this
systematic approach, regardless of whether they are
guided by or record their findings on an A3 document.
8.
An alignment tool: Advanced lean organizations
that have incorporated lean thinking and practices
throughout their operations use “A3s” as part of their
strategy deployment and execution efforts. In this
case, the A3 process ensures a standard approach to
managing and coaching people, solving problems,
and improving work processes, all directed toward
achieving corporate objectives. (See “Meeting Strategic
Objectives.”)
Overall, the A3, however deployed, exemplifies the
learn-by-doing philosophy embedded in lean thinking
and practice. n
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Discovering the True
Value of the A3 Process
broader and more significant aspects of the A3 process. So,
I especially didn’t want to write about the A3 process as
if it were simply a tool or report. I have long viewed that
using tools for tool’s sake (where everything is a hammer
looking for a nail) is one of the most pernicious problems
in “LeanWorld.”
The challenge with the A3 process isn’t in learning to write an
A3 report; it’s in understanding how to use it as a managerial
process.
“How would we convey how
to use the A3 process as an
effective — a superior — way
to manage people?”
By John Shook
After LEI published Managing to Learn: Using the A3
Management Process to Solve Problems, Gain Agreement,
Manage, Mentor, and Lead, I reflected on the many
conversations we had before deciding how to present the
material, which led me to recall my experience discovering
the multifaceted nature of the process. I’m sharing my
reflections because I believe they will help you understand
the many benefits of the A3 process.
So, working with the LEI editorial team, we quickly
explored the idea of telling the story of how an individual
prepared and used an A3 proposal. But even wellexecuted, that alone wouldn’t necessarily resolve my
problem. I needed to tell the story from “both” sides since
it takes two (at least) to gain the full benefits of the A3
management process.
Writing about the A3 Process
LEI had wanted to publish a book about the A3 process
for several years before finally publishing Managing to
Learn. My dilemma during this time was that, while I was
honored to be asked and could see the value of a book about
the A3 process, I saw a significant challenge in writing
it. The problem was: How would we convey how to use
the A3 process as an effective — a superior — way to
manage people?
After some discussion — and even rapid prototyping!
— we landed on the equally radical but more practical
(and innovative) idea of telling the story through two
perspectives in running parallel columns. The two-column,
side-by-side structure of the book was the most effective
way to dynamically show the dual or multifaceted way
of thinking embodied by the A3 process. First, it must
generate learning for both the mentor and mentee. Second,
it must simultaneously address a problem while exposing
new ones.
If we presented the A3 as a tool and only showed how
to write an A3 report, we would fail to demonstrate the
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My own experience many years ago had revealed to me
these and other dynamics of using A3 thinking.
were unremarkable. What was remarkable was the effort
and discipline the team put into such a mundane issue.
Discovering the ‘A3’s’ True Value
While the solution improved our team’s ability to find the
right information at the right time, the specific problem,
the more significant benefit to our team, was the training
itself. By learning to apply the problem-solving tools
in this situation, all the team members learned how to
use them in others. Further, the training enhanced their
thinking skills, which they could apply to every issue they
would ever encounter. Practiced students of Total Quality
Management (TQM) would quickly recognize the example
as a typical Quality Control (QC) Circle project report.
What is significant is how Toyota has systematized A3
I discovered the importance of the A3 process firsthand,
as do all Toyota employees. In my case, my first managers,
Isao Yoshino and Ken Kunieda, and coworkers desperately
needed me to learn the thinking and skills that would make
me useful! But, the process I went through was in no way
special. When I joined Toyota in Toyota City (where,
for a time, I was the only American) in late 1983, every
newly hired college graduate employee began learning his
job by being coached through the A3 process. The new
employee would arrive at his new desk to find waiting for
him a problem, a mentor, and a method to learn for solving
that problem. The entire process was structured around
the plan-do-check-act (PDCA) improvement cycle and
captured in the A3 report.
thinking throughout the organization as a core management
discipline.
“The more A3s I wrote, the
better I became at the A3
thought process. Internalizing
that thinking is the objective,
not technical mastery of
the format.”
The newcomer’s problem had been determined by his
manager and scoped out by the mentor the manager
assigned. The new employee would begin addressing the
issue using this method. He would first seek to understand
the situation by clarifying, analyzing, and investigating its
causes. Then he would brainstorm and evaluate potential
countermeasures. Finally, he would propose — that is,
“sell” — his recommended countermeasure, which would
often involve a simple trial or small experiment. Critically,
in “selling” his proposal, he would strive to continually
improve the content and accuracy of the A3 report by
obtaining input and, as a result, agreement and support
“Where’s the damned file?” was a simple problem, but
the value of learning the process used to solve it extended
far beyond its face value of enabling us to find files faster.
That value is the education and learning embedded within
a correctly executed A3 problem-solving process. As
individuals or teams work through the A3 process, working
on the improvement project, they learn problem-solving by
doing. Indeed, the A3 process exemplifies learning through
doing at its best.
from others.
“What is significant is how
Toyota has systematized
A3 thinking throughout
the organization as a core
management discipline.”
The more A3s I wrote, the better I became at the A3
thought process. Internalizing that thinking is the objective,
not technical mastery of the format. The more cycles of
reflection and learning that an individual can experience,
the better it is for that individual and the organization.
For example, my work team used the A3 process to solve
a simple office problem, one common to anyone who has
worked in an office and encountered the question, “Where’s
the damned file?” The tools and practices the team used
Using the A3 ‘Tool’ for Problem-Solving
Still, the most fundamental use of the A3 process is as a
simple problem-solving tool that you can use, applying the
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How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
underlying principles and practices in any organizational
setting. So basically, the A3 process standardizes a method
that helps people understand and respond to problems;
it encourages root cause analysis, documents processes,
and represents goals and action plans in a format that
triggers conversation and learning. The A3 report,
then, is a standardized way of summarizing problemsolving exercises.
Plan, Do, Check, Act (PDCA)
A good A3 report has sound problem-solving — science —
embedded inside. But it achieves much more, exemplifying
this great quote by the great scientist Henri Poincaré:
“Science is built of facts the way a house is built of bricks,
but an accumulation of facts is no more science than a pile
of bricks is a house.”
“The A3 problem-solving
process encourages root
cause analysis, documents
processes, and represents
goals and action plans
in a format that triggers
conversation and learning.”
Also known as plan-do-study-act (PDSA).
An improvement cycle based on the scientific
method of proposing a change in a process,
implementing the change, measuring the
results, and taking appropriate action (see
illustration). It also is known as the Deming
Cycle or Deming Wheel after W. Edwards
Deming, who introduced the concept in Japan
in the 1950s.
The PDCA cycle has four stages:
In precisely the same way, a good A3 report is more than
a collection of data that solves a problem — it tells a story
that can coalesce an organization. n
Plan: Determine goals for a process and
needed changes to achieve them.
Do:
Implement the changes.
Check:
Evaluate the results
of performance.
in
terms
Act:
Standardize and stabilize the
change or begin the cycle again,
depending on the results.
Source: Lean Lexicon, Fifth Edition
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How to Start the A3
Problem-Solving Process
“Resolving issues using the A3
methodology should involve
lots of asking, listening, and
communicating throughout
the process to ensure you
are getting the knowledge,
thinking, concurrence, and
support of others who have a
stake in the situation.”
Why the best, most productive way to “start an A3” is by
recognizing that the A3 problem-solving methodology is a “slowthinking” process.
By David Verble
Are you having trouble getting started solving problems
using the A3 problem-solving process? When I teach
workshops on A3 thinking, creation, and use, this comes
up as one of the most challenging parts of executing the
A3 methodology. So, if you find yourself looking at a blank
sheet of 11-by-17 paper wondering where to start, here are
some thoughts from what I’ve learned doing and teaching
the A3 problem-solving methodology for years, which I
believe may help you.
Second, A3 thinking is a way to work systematically through
how to address a problem or need. Getting to that result
involves understanding the problem or need at a concrete
level, understanding the factors in the situation that are
barriers to moving to desired conditions, and deciding
the best options for making changes in the direction you
want. And resolving issues using the A3 methodology
should involve lots of asking, listening, and communicating
throughout the process to ensure you are getting the
knowledge, thinking, concurrence, and support of others
who have a stake in the situation.
The first lesson is simple if counterintuitive. When people
ask, “Where do I start to ‘write an A3?’” I reply, “Don’t
start with writing.” They generally respond by asking,
“Then where do I start?” And my answer is always: “Start
with the thinking.”
There are two key points to keep in mind here. First, the A3
report, or storyboard (the written document), is the result
of A3 thinking, not the process of A3 thinking itself. So, the
A3 is a way to capture and organize your plan-do-check-act
(PDCA) problem-solving thinking, but completing it does
not automatically lead to valid A3 thinking.
That’s a lot of work and thinking. And it can’t be
accomplished by simply starting to fill in the boxes in
the A3.
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1. System 1, our fast-thinking system, houses our
emotions and intuition, and it processes information
and makes decisions automatically. “What you see is
what there is” basically describes our minds jumping to
conclusions, drawing simply on what is in front of us
without looking for further evidence or data.
Use the A3 as a Guide
When starting an A3 problem-solving initiative, you
should consider the blank A3 merely as a guide leading
you through the problem-solving process, one “box,” or
step, at a time. But at each stage, you must first think about
and investigate the problem situation and only then record
your thinking.
2. System 2, the slow-thinking system, describes the
part of the brain that gets engaged in rational, logical
thought, concentration, and fact-based judgments. It
saves us from many of the runaway automatic reactions
of System 1. However, its influence on our problemsolving and decision-making habits is limited because
of our automatic reliance on System 1.
However, do not expect to complete the process
sequentially. As you work through the A3 methodology
and complete the storyboard, you will continue learning
about your problem situation. So, be prepared to go back
and revise what you wrote earlier as you get deeper into
the problem.
If Kahneman’s claim is valid — and he makes a rather
good case for it with the research — it contains a couple
of important messages for anyone thinking about putting
themselves on the line as the owner of an A3. First, go-fast,
jump-to-solution (or action), take-what-you-see-and-runwith-it thinking seems to be our default problem-solving
and decision-making process. That means we must be
excellent at seeing and 100% accurate in our impressions,
assumptions, and intuitions to hit the mark with our
solutions and decisions.
Tell a Problem-Solving Story
Understanding and following these guidelines are crucial
to a successful A3 problem-solving because the A3 process
must do more than identify a resolution to the problem.
The A3 process and the storyboard that results must also tell
a problem-solving story that is convincing to others — that
brings them along in a thinking process and demonstrates
the actions you are recommending make sense. Gaining
this buy-in requires getting as many facts as possible in a
reasonable time and having the right facts to support your
conclusions. Unfortunately, it’s difficult, if not impossible,
to create such a convincing story using “fast thinking.”
Second, the alternative of slow, systematic, getting-thefacts-and-knowing-the-actual-conditions reasoning is not
a natural act for most of us. That means we must work
to slow down when we start work on an A3 because our
preferred thinking style is unlikely to produce a problemsolving story that will stand up to scrutiny when we make
claims about what action should be taken based on it.
Why ‘Slow Thinking’ is Vital
to A3 Thinking
The difference between “Fast Thinking” and “Slow
Thinking” and the importance of the difference between the
two is described in the book Thinking, Fast and Slow (2011)
by Daniel Kahneman. Kahneman received the 2002 Nobel
Prize in Economics for his behavioral research on human
judgment. The book summarizes 25 years of research, by
Kahneman and others, on the basic patterns in how humans
solve problems and make decisions. He contends that our
brains have two different thinking systems, one that works
fast and one that is slow.
I have had the experience of being out there on an A3 limb
making claims without the facts to support them, and it’s
not fun — unless you just like pain and embarrassment.
That is why I advise anyone needing to do an A3 to prepare
for the work ahead by trying to activate the slow-thinking
system in their brain. n
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Why the A3 Process
Involves More than
Filling in Boxes
quality, safety, productivity, cost, or human resources,
getting clear on purpose will ensure you are doing valueadded work. As critical, stating your purpose in writing on
the A3 enables you to share it with others, which will help
you and others to establish a clear line of sight linking your
problem-solving purpose with company goals.
As she details how to problem-solve using the A3 methodology, a
veteran lean coach explains why it’s essential to understand that
completing an A3 problem-solving is a thinking process, not a
form-filling-out process.
Clarify Your Problem
Once you understand your purpose, take some time to
clarify the problem by asking: What problem am I trying
to solve? You may think you know, but more careful
consideration usually reveals it to be something else. Also,
share your A3 problem statement with others on your team
to get their input.
By Tracey Richardson
In my experience, too many lean practitioners still approach
the A3 report merely as a “template” with several boxes to
fill in. Whenever I come across this, I try to help people
see how limiting — and wrong — this view is. Instead,
as my Japanese coaches taught me, an A3 report is a tool
that encourages a systematic way of thinking through and
addressing problems. Indeed, they showed me that the A3
process, which is based upon the plan, do, check, adjust
(PDCA) improvement cycle, is designed as a way to “share
wisdom” with the rest of the organization.
A way to clarify the problem is by stating it as a gap
between the current state and your ideal state. I suggest
asking yourself two questions to understand this gap better:
With the goal of “sharing wisdom” in mind, here is the way
to “complete an A3.”
•
What is the current situation?
(make it measurable by $, % , #)
•
What is the ideal situation or the standard?
(make it measurable by $, %, #)
The answers to these questions should, by default, reveal
the gap or the quantifiable problem, also known as a “caused
gap” problem, meaning you see a measurable difference
between the current situation and the ideal or new standard
situation. (A “created gap” would be more strategic, e.g.,
to create a lean culture throughout all functional areas of
my organization.)
State Your Purpose
First, think about purpose. Your purpose is why you’re
solving this problem. To do this effectively, identify the key
performance indicator(s) (KPIs) you aim to improve with
your problem-solving effort. Whether you want to address
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“ … not focusing on something
you can measure will likely
cause you to place a Band-Aid
on or alleviate a symptom of
the problem, not solve it.”
down your problem to the two to three potential root
causes. Remember: you are not trying to solve world hunger.
Identify a manageable set of possible countermeasures. Be
sure they are measurable. If, for example, my ideal state
for processing insurance claims is ten days, and I currently
process my claims in 20, I have a clearly defined gap: ten
days. With each change to the process, I can track how
much of the ten-day gap has been eliminated. Again, use
specific measures to track effectiveness.
I often see people neglect measurability altogether at
this caused-gap step, instead stating just an opinion or
assumption they have about their current state: “This is
the problem, and it happens due to X, Y, and Z reasons.”
However, not focusing on something you can measure
will likely cause you to place a Band-Aid on or alleviate a
symptom of the problem, not solve it.
Problem-Solving
In a lean transformation or any processimprovement effort, problem-solving involves
identifying and closing gaps between current
and target conditions.
Break Down Your Problem
Once your problem is clarified, break it into manageable
pieces. Many people try to tackle a huge or complex
problem or too many problems in a single A3, but that’s
not what A3 thinking is for and will only cause frustration.
(For significant organizational problems, lean practitioners
use the hoshin kanri process.) So upfront, you want to ask
the 4 W’s — what, who, when, and where — which will
help you narrow the scope of your problem and make sure
you are only trying to solve one.
In a lean management system, everyone is
engaged in problem-solving, guided by two
key characteristics:
1. Everything described or claimed in the
problem-solving process (the problem itself,
the target condition, the direct cause, the
root cause) should be based on verifiable
facts, not assumptions and interpretations.
The burden of proof on the problem solver is
emphasized through questions such as, How
do you know that? Did you go to the gemba
and grasp the actual condition firsthand?
How do you know you have agreement to
your improvement plan?”
I like to use the analogy of a pie or pizza. If I try to eat
the whole thing at once, I won’t feel great. The same goes
for A3 thinking! If I try to solve a massive problem in one
sitting, it will not end well.
Getting clear answers to the 4 W’s is similar to using
a Pareto chart to help focus our attention on the most
critical part of the bigger problem. We usually call this the
“prioritized problem.” No one is saying the other pieces
(problems) of the pizza aren’t important! We just need
to eat one slice at a time. Think of it this way: you can’t
map a process, find the point of occurrence of an error, or
identify where a discrepancy is if you’re trying to do too
many things at once.
2. There is a recognition that problem-solving
is never-ending, beginning rather than
ending when the implementation of an
improvement plan starts. A plan is viewed
as a theory of both what will address the
problem’s cause and what it will take to
implement a countermeasure to that cause.
The implementation process is a learning
process to find out what actually will
be required to make progress toward the
target condition.
Do Root-Cause Analysis
Once you identify the point of occurrences in the process, do
root-cause analysis (through asking why) until you narrow
Source: Lean Lexicon, Fifth Edition
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Decide on a Countermeasure
Gemba
Selecting the proper countermeasure is a crucial and
challenging step. Many organizations, including Toyota,
use a criteria (or evaluation) matrix to choose the most
effective countermeasure. For example, you might consider
such criteria as effectiveness, feasibility, cost, impact,
and risk.
Gemba is the Japanese term for “actual place,”
often used for the shop floor or any place where
value-creating work actually occurs. It is also
spelled genba. Lean Thinkers use it to mean
the place where value is created. Japanese
companies often supplement gemba with the
related term “genchi gembutsu” — essentially
“go and see” — to stress the importance of
empiricism.
Once you select your countermeasure, involve all
stakeholders in implementing it and track its effectiveness.
Ask these primary process owners “why” things are
happening at the gemba. If issues arise, resolve them by
asking yourself and your team members questions, which
A gemba walk is a management practice for
grasping the current situation through direct
observation and inquiry before taking action.
will help build everyone’s problem-solving capabilities.
Also, if your countermeasure resolves the problem, it’s still
important to track its effectiveness for some time to ensure
sustainability. Once you confirm this, you can consider this
countermeasure part of the work process and add it to its
standardized work.
The gemba is different depending on the
industry.
Industry
Manufacturing
Hospital
Hospitality
Construction
Software
Identify Another Problem to Solve
Once you’ve successfully implemented a countermeasure
to one problem and established a new standard, it’s time
to move on to the next. Go back to the analysis step and
select the next prioritized problem on the list. You want to
continue to chip away at the gap, one measured problem
at a time.
Example Gemba
Factory floor
Operating room
Kitchen, dining room
Job site
Software code
The term often is used to stress that real
improvement requires a shop-floor focus based
on direct observation of current conditions
where work is done. For example, standardized
work for a machine operator cannot be written
at a desk in the engineering office but must be
defined and revised on the gemba.
As you continue to use the disciplined thinking of the A3
process, you’ll quickly see that it’s so much more than a
form to complete. Only a good thinking process (supported
by doing) will give you a good A3 report, a document that
helps you share your thinking and gain others’ input as
you improve the work of the business. Soon enough, you’ll
forget you ever felt eager to “fill in boxes.” Instead, you’ll
find that you take your time, making sure the left side of
your A3 is as accurate as possible — indeed, each step is as
accurate as possible — before moving to the next.
It is essential for leaders to spend time at the
gemba for two primary purposes:
1. To raise consciousness about the possibilities
for dramatic end-to-end improvement.
2. To assess the ability of the management
system to maintain stability, which is also
the basis for successful improvement.
As my trainers would remind me: executing a good A3
problem-solving process will give you the results you
desire, not the other way around. It’s not easy to do, but
you have to put process before results! n
Source: Lean Lexicon, Fifth Edition
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Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
How to Test Your
A3 Thinking
Try ‘Reading in Reverse’
I experienced this valuable lesson/process, called “reading
in reverse,” firsthand from my trainers during my tenure
at Toyota. So, to test that your A3 thinking is sound, read
your A3 backward, from bottom-right to top-left. You can
also use this approach as an A3 self-training practice, and
managers can use it to help A3 owners strengthen their
problem-solving capabilities.
Are you fairly sure you’ve completed the A3 process correctly but
want to test the logic of your thinking? Or could you use some
advice on coaching someone through their A3 thinking? Here’s
an approach that could help you.
By Tracey Richardson
When I see someone speeding through the problemsolving process, I encourage them to read their A3 report in
reverse, knowing there are checkpoints within the A3 that
would call them (or rather, their thinking) out. The PDCA
process within the A3 “knows” when the logic is broken
between steps. You just need to be willing to be aware and
tuned in to the right frequency to hear it.
Have you ever been told, “You need to do an A3 on that?”
Or worse, “You should fill out an A3?” Me too. So, it’s
worth repeating that though the A3 report appears merely
to be an 11-by-17-inch document to fill out, it’s much more
than that. Instead, the A3 serves as your guide through a
series of plan-do-check-act (PDCA) improvement or
problem-solving cycles. And as you proceed through and
record the A3 thinking process, it becomes a report that
helps you communicate and collaborate with others. For
leaders and managers, the A3 process is a way to engage
people in dialogue at the gemba.
Traditionally, we read the “PDCA story” left to right. For
the A3 creator/owner, the left side consists of:
As I’ve said before, we need to be careful how we talk about
A3s; we want to focus on the A3 thinking process, not just
the A3 as a report. So, here’s a way to make sure your A3
thinking is sound. And since a primary purpose of using
A3 thinking is to prevent problem solvers from jumping to
solutions, testing your A3 thinking process means closely
examining whether you’ve truly engaged in every part of
the process.
•
Defining your purpose
•
Clarifying the problem and framing
it as a measurable gap
•
Breaking down the problem and
selecting a prioritized problem
•
Finding the point of the problem’s occurrence
and identifying its root cause
The right side of an A3 consists of:
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•
Developing countermeasures
•
Identifying countermeasures and seeing them through
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
•
Monitoring/checking process and results
•
•
Standardizing and sharing best practices, sometimes
new best practices (yokoten)
By meeting the target, was the prioritized problem
(smaller piece of gap) addressed?
•
By addressing the prioritized problem, was some
percentage of the larger gap reduced?
•
Did reducing the gap by some percentage help you
improve a key performance indicator?
•
Did improving a key performance indicator by some
percentage help you meet your goal (purpose for
problem-solving)?
It’s natural for most people (especially Westerners) to read
left to right; that’s how we write and read anything. The
writer reveals essential elements of the story in an order
that best communicates the information. Similarly, writing
and reading an A3 report from left to right tells a logical
story. I was always encouraged — and encourage those I
coach — to make the A3 report “street-friendly.” You want
to create an A3 that everyone understands, even if they
don’t know anything about the process at hand.
If you can read the A3 report from left to right and then
right to left and answer all the questions above, you passed
the cause-and-effect logic test between the PDCA steps in
Reading an A3 in reverse helps A3 owners and their
leaders confirm the use of a logical, fact-based thinking
process. For example, they can assure that the A3 owner,
for example, didn’t get lucky in choosing the right
countermeasure (aka the throwing-a-dart method). Also,
they can better distinguish that the problem solvers used
facts, not opinions, to guide their thinking.
both directions, back and forth.
If you can’t maintain the logic, it could mean a few things:
While this reading-in-reverse check mechanism isn’t
100% full-proof (poke-yoke), it requires the A3 owner to
deeply consider and answer questions about the logic of
their thinking.
To read an A3 in reverse, start at the bottom right of the
A3, and read each section in reverse order. As you read,
ask the following questions, checking to see whether each
•
Was the new process standardized based on
monitoring the process after countermeasure
implementation?
•
Did the countermeasure(s) prove (through follow-up)
to address the root cause(s) of the problem?
•
Did the root cause(s) being addressed take care of the
point of occurrence in the process?
•
Did addressing the root cause(s) achieve the target?
(By how much and by when?)
•
You based your A3 mostly on assumptions
and opinions
•
You didn’t “go and see” the process in person,
at the gemba
•
You didn’t engage in genuine dialogue
with the people who do the work
I remember my Japanese trainers sometimes saying to me,
answer links to the A3’s purpose and the gap the A3 owner
is trying to close:
Is the newly written standard or procedure meeting
customer expectations (internal/external)?
You jumped to a solution too quickly,
only solving a symptom
These are just a few factors that play into ineffective
problem-solving. If you’re “doing” or “filling out” an A3
behind your desk, I can say that most of the time, you will
not be able to answer the questions above.
Reading in Reverse, Step-by-Step
•
•
“You got lucky. Lucky is not sustainable!” This retort is
representative of the thinking behind the infamous “red
pen” markups many have gotten on their A3s from sensei.
So, now that you know the secret, it’s up to you to
understand, practice, and develop others in this A3 thinking
process. If you’re willing to invest the time, you’ll get a
proven methodology with repeatable, sustainable results.
Using A3 thinking with your team members is a way of
leading and learning simultaneously. It’s OK not to have all
the answers and, instead, learn together, building mutual
trust and respect. So, give it a try, and put your team
members through the test. I promise it will make you think
differently about PDCA and the A3. n
14
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Why You Should Share,
not Present, Your A3 Report
Helpful to making this subtle shift is thinking of your A3
report as a small, portable whiteboard. We often discuss
problems with others using an actual whiteboard — so use
your A3 in the same fashion.
A veteran A3 coach explains how a seemingly minor change can
help foster more productive teamwork and learning.
And don’t wait for major milestones to engage your
stakeholders. Instead, share your A3 report with them often
(think “small lot” sharing). As you do this, you can take
meeting notes right on the A3 document, so you don’t lose
what you’ve learned from the engagement.
By Eric Ethington
Most lean coaches consistently stress how the A3 process
enables collaboration, drives engagement, and gets buy-in.
What About Achieving Consensus?
In that vein, I want to explore what it means to engage
others and the difference between “presenting” and
“sharing” your A3 report.
Of course, the time will come when you need to bring all
the stakeholders together to ensure consensus. Then you
will need to “present” your A3, but you should still think,
“share.” One way to share effectively in this situation is to
provide a copy of the A3 report to everyone at the meeting.
It’s only one page (versus 30 or more for a PowerPoint
deck). Then the stakeholders can look at the screen to
follow your story, but they can also reference their hard
copy for any details. They will naturally feel a stronger
sense of ownership over something they can hold in their
own hands. Also, keep one copy for yourself to write notes
on as you gain additional input from the group discussion
and simultaneously create meeting minutes.
Every time I teach a Managing to Learn course, the issue
of how to best present A3 reports comes up. “Eric, I like
the problem-solving aspect, but I find A3s hard to read on
the screen,” people say. Or “I have to break my A3s into
multiple PowerPoint slides so people can read them.”
In my response, I try to steer people away from using the
word “presenting,” which conjures images of conference
rooms with a big table, an audience scattered about the
room, empty seats up front, and a projector with a screen.
In that situation, you are trying to communicate your
message while the others in the room multitask. It’s not the
best environment for engaging others.
Sometimes a simple word choice can help us to see a way
forward. So, don’t present your A3 reports only occasionally
to large groups. Instead, share them frequently with small
groups of people, in small lots, using them as you would
a portable whiteboard, gathering people to discuss and
adding their input to the report in real time. n
Instead, I suggest that we think about sharing A3 reports.
The word “sharing” brings up images of a few people
actively engaged in a common goal. They are working with
each other, not having someone show something to them.
15
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Managing to Learn — A3 Example #1: Acme Stamping
Lean Enterprise Institute
16
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Managing to Learn — A3 Example #2: TWI Industries
Lean Enterprise Institute
17
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Managing to Learn — A3 Example #3: Reducing Assembly Defects — Mary’s Case
Lean Enterprise Institute
18
Reprinted with permission of Lean Institute Brasil.
Managing to Learn — A3 Example #4: Lean Institute Brasil
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
19
From Understanding A3 Thinking by Durward K. Sobek II, Art Smalley. Copyright 2008 by Taylor & Francis LLC – Books. Reproduced with permission of Taylor & Francis Group LLC – Books via Copright Clearance Center, Inc.
Managing to Learn — A3 Example #5: Acme Stamping from Understanding A3 Thinking
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
20
Always start with two or three alternatives to evaluate.
How do they compare in effectiveness, feasibility, and potential disruption?
What is the strategic, operational, historical, or organizational context
of the situation?
21
How will you know if you meet your targets?
How will you know if you reduced the gap in performance?
What conditions or occurances are preventing you from achieving the goals?
Why do they exist? What is (are) their cause(s)?
Test the cause-and-effect logic by asking “why?” downward and
stating “therefore” upward.
What processes will you use to enable, assure, and sustain success?
How will you share your learnings with other areas?
What contingencies can you anticipate?
What related issues or unintended consequences do you anticipate?
How and when will you know if plans have been followed and the actions have
had the impact planned and needed?
What do the specifics of the issues in work processes (location, patterns,
trends, factors) indicate about why the performance gap or need exists?
Use the simplest problem-analysis tool that will suffice to show
cause-and-effect down to root cause. From 5 Whys to 7 QC tools
(fishbones, analysis trees, Pareto charts) to more sophisticated
SPC, 6 Sigma, and other tools as needed.
7. Followup: How will you ensure ongoing PDCA?
Use a Gantt chart (or similar diagram) to display actions, steps, outcomes,
timelines, and roles.
When will progress be reviewed and by whom?
How will you measure effectiveness?
Who will be responsible for what, when, and how much?
4. Analysis: Why does the problem or need exist?
Don’t state a countermeasure as a goal!
Show visually how much, by when, and with what impact.
What specific improvement(s) in performance do you need to achieve?
3. Goal: What specific outcome is required?
Show facts and processes visually using charts, graphs, maps, etc.
What support and resources will be required?
What will be the main actions and outcomes in the implementation process
and in what sequence?
What specific conditions indicate that you have a problem or need?
Where and how much? Can you break the problem into smaller pieces?
6. Plan: How will you implement? (4Ws, 1H)
Show how your proposed actions will address the specific causes of
the gaps or constraints you identified in your analysis. The link should
be clear and explicit!
Which do you recommend and why?
What facts or data indicate there is a problem?
Have you been to the gemba?
What is happening now versus what you want or needs to be happening?
What is the problem or need—the gap in performance?
2. Current Conditions: Where do things stand now?
What are the options for addressing the gaps and improving performance in
the current situation?
What is the purpose, the business reason for choosing this issue?
What specific perfomance measure needs to be improved?
What are their relative costs and benefits?
5. Recommendations: What do you propose and why?
Owner/Date
1. Background: What are you talking about and why?
Title: What change or improvement are you talking about?
Managing to Learn — Detailed A3 Template
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How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Faculty Highlight
John Shook
Chairman, Lean Global Network
Senior Advisor, Lean Enterprise Institute
John learned about lean management while working for Toyota for 11 years in
Japan and the U.S., helping it transfer production, engineering, and management
systems from Japan to NUMMI and other operations around the world. While at
Toyota’s headquarters, he became the company’s first American kacho (manager)
in Japan. In the U.S., John joined Toyota’s North American engineering,
research and development center in Ann Arbor, Michigan, as general manager
of administration and planning. His last position with Toyota was as senior
American manager with the Toyota Supplier Support Center in Lexington,
Kentucky, helping North American companies adopt the Toyota Production
System. John coauthored Learning to See, the book that introduced the world
to value-stream mapping, Kaizen Express, a bi-lingual manual of the essential
concepts and tools of the Toyota Production System. With Managing to Learn,
John revealed the deeper workings of the A3 management process that is at the
heart of Toyota’s management and leadership.
David Verble
Instructor, Lean Enterprise Institute
Partner, Lean Transformations Group
David has been a performance improvement consultant and leadership coach since 2000.
Before that, he worked for Toyota in North America for 14 years, first as an internal change
agent and later as a human resource development manager.
In addition, he has been an LEI faculty member for over a decade and has delivered
presentations and workshops to support several LEI affiliates in the Lean Global Network.
David has worked with manufacturing, healthcare, finance, and higher education clients
in North America, Europe, Asia, and Australia. His work focuses on supporting clients
in process improvement, developing lean management systems and practices, strategic
thinking and problem solving, and leadership coaching for managers and executives.
David is based in Lexington, Kentucky, where he works through Verble, Worth & Verble.
22
Lean Enterprise Institute
How to Use the A3 Process to Lead, Manage, Mentor, and Solve Problems
Faculty Highlight
Eric Ethington
Senior Lean Coach & Program Manager
Lean Product and Process Development
Lean Enterprise Institute
President, Lean Shift Consulting
Eric is a recognized expert in process development and problem-solving methodologies,
stemming from 27 years of industry experience in frontline through executive-leadership
roles at Delphi and Textron and 12 years of consulting practice. His experience in applying
lean includes most types of industries and functional areas, including organizations as varied
as Medtronic, Michigan Medicine, Coca-Cola Enterprises, and Goodwill.
Eric holds a Bachelor of Science in Industrial Engineering from General Motors Institute
(now Kettering University) and a Master of Business Administration from the University of
Michigan-Flint. Additionally, Eric is the coauthor of the book The Power of Process, a Story of
Innovative Lean Process Development (2021).
Tracey Richardson
Instructor, Lean Enterprise Institute
Co-Owner, Teaching Lean Incorporated
Tracey has over 29 years of combined experience in various roles within Toyota
and learned lean practices as a group leader at Toyota Motor Manufacturing
Kentucky from 198 to 1998. She was one of the first team members hired, with
the fortunate opportunity to learn directly from Japanese trainers. As a group
leader and quality circle advisor, she learned firsthand about lean tools and
culture development.
For the last 19 years, as president of Teaching Lean, Inc., Tracey has worked
with Toyota North American plants and other companies on their lean journeys,
helping them develop employees’ capabilities, including team members and
company leaders. Using problem-solving and aligning daily activities with
company business plans, she assists clients in creating lean cultures that are the
foundations for long-term sustainability.
Tracey is an active coach and contributor to LEI’s Lean Post, teaches several
problem-solving and A3 courses as an LEI faculty member, and is coauthor of The
Toyota Engagement Equation (2017).
23
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