FOUR STEPS TO EFFECTIVE SOLUTIONS

Dean L. Gano, President

Apollonian Publications, LLC
5612 MacLaren Ave.
Yakima, WA 98908
dgano@apollorca.com
www.apollorca.com

KEYWORDS: Apollo, problem solving, root cause

SUMMARY

Effective problem solving is the cornerstone of every management system. The various programs currently
used to identify root causes and find solutions have not changed for the past 30 years — until now. Come with me
on an evolutionary journey into a new world of problem solving — a place where effective solutions to almost
any kind of problem can be had with simple computer software and mind expanding training. You will learn a
new way of thinking and communicating that will ensure effective and implementable solutions almost every
time.

BACKGROUND

Apollo Root Cause Analysis is a highly effective problem solving method that has been used in many
industries for nearly 15 years now. What makes this method so unique and so effective is that it is the only
method based on the Cause and Effect Principle.
The Cause and Effect Principle contains four characteristics as follows:

1. Causes and effects are the same thing.

2. Causes and effects are part of an infinite continuum of causes.
3. Each effect has at least two causes in the form of actions and conditions.
4. An effect exists only if its causes exist at the same point in time and space.

Cause and effect are the same

Knowing that cause and effect are the same thing only viewed from a different perspective in time helps us
understand why people can look at the same situation and see different problems. Because of our biases we often
focus on different aspects of an event as the “real” problem and then look for it’s causes. What we fail to
understand is that every perspective is like a different piece of a jigsaw puzzle. Some may see an effect and others
see a cause. For example, in Figure 1 below, we see that the primary effect is the “Injury” and the first cause is a
“Fall.” If we ask why “Fall,” this cause has to be seen as an effect. That is, we cannot ask why of a cause, only of
an effect, so it is changed to an effect for the purpose of understanding the chain of causes. In a given event, we
may each see the causes differently. You might see the “Fall” as the problem (effect), while the next person sees
the “Leaky Valve” as the problem (effect). The reality is that cause and effect are the same thing, only viewed
from a different point in time.

Caused Caused Wet Caused Leaky

Injury Fall Surface Valve
By By By

Figure 1. A Simple Cause Chain

Infinite continuum
Knowing that causes and effects are part of an infinite continuum of causes helps us understand that no matter
where we start our problem analysis, we are always in the middle of a chain of causes. This helps us understand
that there is no “right place” to start. Just like a jigsaw puzzle, we can start the problem solving process anywhere
and still end up with a complete picture. This avoids the usual arguments over who is right thus allowing
agreement based on common goals. Again, in Figure 1, someone may be focused on the injury while another is
focused on the leaky valve. Instead of arguing over what the problem is, like we normally do, we can see that all
causes are connected somehow in time and we just need to figure out those connections.

Each effect has two causes

Probably the most profound characteristic of the Cause and Effect Principle is that each effect has at least two
causes in the form of actions and conditions. This teaches us that every time we ask “why,” we should find at least
two causes and for each of these causes we should find at least two more causes resulting in four causes, and from
each of these four causes we should find two causes resulting in at least 8, and on to 16, 32, etc. See Figure 2.
Conditional
Cause
Conditional Caused
Cause By
Action
Cause
Caused
Effect By
Conditional
Cause
Action Caused
Cause By
Action
Cause

Figure 2. The Infinite Set of Causes

Contrary to conventional wisdom that would have us describe an event in a linear story void of branched
causes, understanding the infinite set provides a new way of thinking about reality. It provides a way to chart
reality that is unique in problem solving. This characteristic is the basis of the RealityCharting Software we will
discuss later.

Effects exist at the same point in time & space

Cause and effect relationships exist with or without the human mind, but we perceive them relative to time
and space. From observation, we see that an effect exists only if its causes exist at the same point in time and
space. In Figure 3, an open fire exists because conditional causes came together with an action cause at a
particular point in time and space. As we can see, three conditional causes: oxygen, oily rags, a match, AND one
action cause, a Match Strike, occurred at the same point. If these four causes did not exist at the same time and
space, the fire would not exist. For example, if the oily rags were stored in a closed can, or if the match was struck
at a different time, a fire could not exist. Understanding this characteristic helps us determine the validity of
causal relationships.
 Action
Match
Strike

Effect
Open Fire

Condition
Space = Same
Match
Condition
Oily Rags
Condition
Oxygen

∞ Past -10 0 10 Future ∞

Time

Figure 3. Example of Time and Space Relationships

By understanding these four characteristics, we can devise some simple tools that will enable us to tap the
awesome power of the Cause and Effect Principle.

REVIEW OF FOUR STEPS

Using the cause and effect principle, we can develop a simple problem solving method that can be used on
any event-based problem. This method is called the Apollo Root Cause Analysis (ARCA) method and is the basis
for Reality Charting Software.

The four steps of the Apollo method are as follows:

Step 1: Define the problem by writing the

What: Primary Effect (Noun-Verb statement)
When: Relative Time of the Primary Effect
Where: Location in System, Facility, or Component
Significance: Why you are working on this problem?
Detrimental Effects?
Cost?
Frequency?

Step 2: Create an Apollo Cause & Effect Chart

For each Primary Effect ask why
Look for causes in Actions and Conditions
Connect causes with “Caused By”
Support causes with evidence or use a “?”
End cause chains with a STOP or “?”
 The basic charting elements look like this:

Action
Cause

Primary Caused Evidence

Effect By

Conditional
Cause

Evidence
Step 3: Identify effective solutions
Challenge the causes and offer solutions
Identify the best solutions — they must:
- Prevent recurrence
- Be within your control
- Meet your goals and objectives

Step 4: Implement the best solutions

The product of steps 1 and 2 is an Apollo Cause and Effect Chart like Figure 4. The iterative process of step 3
identifies effective solutions. And while obvious, step 4 is often not performed, so it is included as a reminder.

A feature unique to the Apollo method is the inclusion of evidenced–based causes. When you can’t find
evidence, or can’t find the next cause, embrace your ignorance and use a question mark. Evidence should be data
we know from using our senses, not supposition or inference. It supports the existence of the various causes.
Without sensed evidence, we are subject to our own prejudices and preconceived ideas. It helps to be humble
when pursuing causes and evidence. When you don’t know, admit it and use a question mark to signify this on the
chart. If there is value in pursuing the unknown, then do so. If no value is perceived, you can make a conscious
decision to stop, like we did after “Car Existed,” or leave the uncertainty on the chart, like we did after “Narrow
Road.” If evidence is uncertain, use a question mark to express your doubts. Look closely at Figure 4 to see how
the question marks have been used. Finding answers to these unknowns becomes your first action-item list to
better understanding the causes.
With a clear understanding of the cause and effect principle, we can see that these simple tools allow
us to pursue our ignorance. Indeed, embracing ignorance is the pursuit of knowledge. By taking every
cause path to the point where we honestly don’t know, we can document everything we do know and
hence find the best causes to act upon to prevent recurrence. It is important at this juncture to understand
that it is not the perfect or “right” cause and effect chart. The purpose of problem solving is to find
solutions that will meet our goals and prevent the problem from recurring. By documenting everything
we know about the causes we can be assured of effective solutions.
 Action
Accelerator
Pushed
?
Condition
Condition Moving Caused ?
S
Car T Truck By Condition
PRIMARY O S
Existed
EFFECT P Driver Statement Foot On T
Observation Witness Observered Accelerator O
Car P
Caused
Police Report Driver Statement
Wrecked By
Condition S
Truck T
WHEN: Tuesday 12:30 PM O
WHERE: River Road Action Action Existed
P
SIGNIFICANCE: Potential
Injury, $9,000 Property Car Caused Truck Caused Police Report
Damage, Gasoline Spill, Struck By Swerved By Action
Missed 2-Days Work
Steering
Police Report Police Report
Moved ?
Driver Statement Witness Statement
Driver Statement

Condition
Narrow
Road ?
Condition
Car Driver Statement
Caused
In Path By Action
Parked On
Police Report Shoulder Of ?
Driver Statement Road
Driver Statement

Figure 4. Example of the Apollo Cause & Effect Chart

While simple, the Apollo methodology takes practice to become proficient because it represents a new way of
thinking. It also requires an understanding that there is no such thing as common sense or a “right answer” for
event-based problems. Both of these illusions are fully entrenched in our culture and must be purged to facilitate
effective problem solving. For more detailed information read Apollo Root Cause Analysis – A New Way Of
Thinking (Gano, 1999).

CONTINUOUS IMPROVEMENT EFFORT

I have noticed that those who embrace the Apollo problem solving methodology become highly successful in
their respective organizations. However, not everyone gets the message. Over the years, the reasons why the
Apollo RCA process does not work for some people or organizations seems to be caused by three major things.

1. Cultural Brainwashing: While the four steps to effective problem solving are simple, many people find
them difficult to follow because they are locked in decades of cultural brainwashing and can’t escape the
need to categorize and tell linear stories.
2. Lack of Management Support: Many mid-level managers operate on the squeaky-wheel philosophy and
never invest the time needed to fully understand the basic requirements of an effective cause and effect
 chart. As a result if the user doesn’t do it right, the manager cannot provide an adequate critique or helpful
guidance. This results in poorly performed analyses.
3. Parochial Thinking: When working in an organization we tend to believe that if we can’t think of it, it
doesn’t exist. Many successful organizations have the “been there done that,” mindset. This penchant for
arrogance causes some to stop asking why too soon. As a result, we do not go outside our group or
involve other disciplines in the problem solving process.

While adequate training teaches the student how to overcome these problems, not all students internalize the
message. Recognizing this difficulty, we set out to provide a software application that would not only provide a
simple charting tool, but something that would provide the required intelligence behind the four steps. Enter
RealityCharting Software.

REALITY CHARTING SOFTWARE

In an effort to close the gap on the three problem causes listed above and to meet increased industry demands,
I began working on RealityCharting software in June of 2001. The purpose was simple: Provide a simple tool to
create Apollo Cause & Effect Charts and provide instructor quality guidance to the user at the same time. By
providing strict rules of charting mechanics and guidance in the basic process, the user is simply not allowed to
tell stories and categorization is minimized. Furthermore, the software does the job of the manager by checking
for completeness. The software provides the following features:
1. Simple Charting Tools – Branched causes are easily created by the click of the mouse and automatically
positioned.
2. Enforces All The Rules – If the user attempts to override any critical rules, they are allowed to do so, but
the report will identify your discretion. After creating your cause chart, you will be instructed to run a
Rules Test, which will make sure you have performed the following charting rules:
a. Identified each cause as an action or condition and provided an action and condition cause for
each effect.
b. Provided only noun-verb cause statements with no conjunctions or story telling.
c. Provided evidence for each cause
d. Not left any empty cause boxes on the chart.
e. Pursued each cause chain to your point of ignorance.
f. Not left any unconnected causes on the chart.
3. Wizard - A Wizard is provided to help the first-time user through the process. Whether a beginner or
advanced user, the software ensures the proper sequence is followed.
a. Define the Problem
b. Create a Chart
c. Identify Solutions
d. Prepare Report
e. Finalize Report
4. Effective Communications - Provides a new way of sharing what we know with other people. Be they in
other disciplines or other parts of the organization, getting other minds involved in the problem solving
process has never been easier.

There are many jewels within the software that are not discussed in this paper. They include an action list that
can be generated at anytime in the investigation process that keys onto all question marks within the cause and
effect chart. There is also an advance evidence mode which provides predefined statements of how the cause was
sensed.
Perhaps the greatest value of this software is the ability to create your own reality based on your observations
and then share this perception with other stakeholders. They in turn can add what they know about the problem
and a common reality can be generated without the usual arguing over who is right. As a result, a true team
process will determine the best solutions based on evidence-based causal relationships, not the usual politics of
the best storyteller.
CONCLUSION

The Apollo problem solving methodology is a proven management tool based on sound principles that will
significantly improve any organizations problem solving skills, but the RealityCharting software will take
problem solving to a whole new level by facilitating communications between all stakeholders such that the best
minds can be applied to the problem. Today we rely on our storytelling skills and ability to persuade others. With
an evidence-based cause and effect chart being critiqued and enhanced by all stakeholders the best understanding
of the problem can be obtained without the cumbersome restrictions of our linear language.

REFERENCES

Gano, Dean, 1999 Apollo Root Cause Analysis - A New Way Of Thinking, Apollonian Publications, Yakima, WA.