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DMAIC Model | The 5 Phase DMAIC Process to Problem-Solving

• 5 mins to read
• July 1, 2020
• By Reagan Pannell

Summary: An Introduction to DMAIC

Dmaic – the dmaic model.

The 6 Sigma DMAIC model remains the core roadmap for almost all Lean Six Sigma problem-solving approaches that drive quality improvement projects. It is used to ensure a robust problem-solving process is followed to give the best chance of the best solution being found.

A note about the structure and the approach used in this article.

Our approach to DMAIC follows Quentin Brook’s book “Lean Six Sigma & Minitab” which for anyone wishing to study Lean Six Sigma is a must for the  Green Belt Course  and the  Black Belt Course .

What is the dmaic model.

DMAIC is short for: Define, Measure, Analyse, Improve and Control. These are the key phases that each project must go through to find the right solution. This flow is the concept behind DMAIC Analysis of an issue and its the DMAIC cycle all projects must go through.

As you can quickly see from the 5 DMAIC phases they follow a logical sequence as we will go through in more detail below. But they also make sure you do not try to jump to implementing a solution before you have properly, defined and measured what you are going to be an improvement.

We all love to jump to solutions, but the DMAIC problem-solving structure helps us have a more rigorous approach so that we do not short cut the process and perhaps miss the best solution or perhaps implement the wrong solution as well. It can help companies better structure their problem-solving approaches and be more robust in their approach. 

DMAIC – The 5 DMAIC Process Phases

The phases throughout the DMAIC model have and can be broken down in many different ways. One of the best approaches we have found is from Opex Resources which shows how to examine the existing processes, and with a project team, and the sigma improvement process, we can solve complex issues.

DMAIC Define Phase

The purpose of the Define phase is ultimately to describe the problems that need to be solved and for the key business decision-makers to be aligned on the goal of the project. Its about creating and agreeing the project charter .

All too often, teams have identified solutions without actually defining what it is they will actually be trying to do or perhaps not do. This can lead to internal confusion and often solutions which completely miss the business requirements and needs.

• Define the Business Case
• Understand the Consumer
• Define The Process
• Manage the Project
• Gain Project Approval

DMAIC Measure Phase

In the measure phase, the goal is to collect the relevant information to baseline the current performance of the product or the process. In this stage, we want to identify the level of “defects” or the errors that go wrong and use the baseline to measure our progress throughout the project.

The key goal of this phase is to have a very strong and clear measure/baseline of how things are performing today so that we can always monitor our progress towards our goals. We need to understand our cycle times , process times, quality metrics.

Many projects are delivered without clear benefits being shown because the team never fully baseline the current status before making changes.

The Measure phase can be broken down into 5 key areas:

• Develop Process Measures
• Collect Process Data
• Check the Data Quality
• Understand Process Behaviour
• Baseline Process Capability and Potential

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We can’t solve problems by using the same kind of thinking we used when we created them” Albert Einstein Tweet

DMAIC Analyse Phase

The goal of the DMAIC Analyse phase with the lean six sigma improvement process is to identify which process inputs or parameters have the most critical effect on the outputs. In other words, we want to identify the root cause(s) so that we know what critical elements we need to fix.

During this phase, the teams need to explore all potential root causes using both analytical approaches, statistical approaches or even graphical tools such as VSM’s and Process maps to uncover the most important elements which need to be changed/fixed.

The Analyse phase can be broken down into:

• Analyse the Process
• Develop Theories and Ideas
• Analyse the Data
• and finally, Verify Root Causes 

DMAIC Improve Phase

The goal of the improvement phase is to identify a wide range of potential solutions before identifying the critical solutions which will give us the maximum return for our investment and directly fix the root cause we identified.

During this phase, the team brainstorm, pilot, test and validate potential improvement ideas before finally implementing the right solutions. With each pilot, the team can validate how well it improves the key measures they identified back in Define and Measure. When the team finally roll out the solution, the results should be seen if the right solution has been found and implemented correctly.

The Improve phase can be broken down into:

• Generate Potential Solutions
• Select the Best Solution
• Assess the Risks
• Pilot and Implement

DMAIC Control Phase

The final part of the DMAIC Model is the Control phase where we need to ensure that the new changes become business as normal and we do not revert to the same way of working as before.

During this phase, we want to ensure that we close the project off by validating the project savings and ensuring the new process is correctly documented. We also need to make sure that new measures and process KPI’s are in place and, finally that we get the business champion to sign off on both the project and the savings. We may need to redesign the workplace following the 5S principles .

The Control phase can be broken down into:

• Implement Ongoing Measurements
• Standardise Solutions
• Quantify the Improvement
• Close The Project

The key closing documents of the Control Phase is a Control Plan that documents all the changes and process steps with key risks, standard work instructions and the Project Close-Out document signed by the business owners to accept the change and the validated benefits.

The DMAIC Model vs. A3 Management vs. 8D Problem Solving

The DMAIC model is not the only project management roadmap. Two others which are important is the A3 format which originally comes from Toyota and is very Lean focused and the 8D which draws more of the DMAIC structure but with the 1-page idea of the A3.

Everyone has their own preference but each method is interchangeable. The DMAIC Structure lends its self naturally to a multi-slide Powerpoint presentation. Whereas the A3 is a single-page document which is perfect for internal communication and adding into War Rooms and Control Towers.

What’s important is that every problem-solving approach follows the PDCA (Plan, Do, Check and Act) Scientific Problem Solving format. The reset is just a preference or using the right tool in the right circumstances.

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Reagan Pannell is a highly accomplished professional with 15 years of experience in building lean management programs for corporate companies. With his expertise in strategy execution, he has established himself as a trusted advisor for numerous organisations seeking to improve their operational efficiency.

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How to Solve Your Problems With Lean Six Sigma (Free DMAIC Checklist)

Elisabeth Swan is the co-author of “The Problem-Solver’s Toolkit” and co-host of “The Just-in-Time Cafe Podcast.” She’s been a process improvement consultant, speaker, and innovator for over 30 years. She’s the Chief Learning Experience Officer for GoLeanSixSigma.com, a former cast member of ImprovBoston, and – if asked – may still be able to ride a unicycle.

Surgeon Atul Gawande made headlines when he told the world that a simple checklist could drastically reduce unnecessary deaths in The Checklist Manifesto .

Yet, checklists conjure images of forklift drivers on loading docks with clipboards counting boxes. How could they transform healthcare?

“ He has… produced a 90-second checklist which reduced deaths and complications by more than one-third in eight hospitals around the world – at virtually no cost and for almost any operation. ” – James Clarke, reviewing The Checklist Manifesto,  Ulster Med J. 2011 Jan; 80(1): 54.

Aviation was transformed decades earlier when management and engineers at Boeing Corporation created the pre-flight checklist after the 1935 crash of the prototype Boeing B-17 at Wright Field in Dayton, Ohio. Checklists have become so essential to the airline industry that most crashes can be traced to the misuse or failure to complete a checklist.

A New York Times reviewer noted, “no matter how expert you may be, well-designed checklists can improve outcomes”. Since the purpose of process improvement is improving outcomes, Lean Six Sigma and checklists are natural companions.

To prove that, this Process Street blog post will show the relationship between checklists and lean six sigma, and provide you with a free  DMAIC Improvement Project Tollgate Checklist that you can use right now.

Use the links below to jump to that section of the post:

Lean Six Sigma and the role of problem-solving

Lean six sigma & the checklist, introduction phase, define phase, measure phase, analyze phase, improve phase, control phase, checklists and lean six sigma, use process street to reduce error.

Or, if you just want the checklist, check it out below!

Let’s get started.

For those unfamiliar with Lean Six Sigma and process improvement, it is a structured approach for organizations to scrutinize how things are done, poke at data and processes to uncover waste and then cut out things like extra forms, out-dated approvals and other time-wasting steps.

It’s a customer-focused, 5-step problem-solving model that engages entire workforces to constantly seek a better way of doing things.

Proof of Lean Six Sigma’s influence is evident in today’s hiring practices. A poll by GoLeanSixSigma highlights that hiring managers prefer a person who is “ Green Belt Certified ” – having substantial Lean Six Sigma skills – by an almost 80% margin. In an interview with the former head of Twitter, problem-solving emerged as the top skill sought by today’s most influential hiring managers.

In other words, problem-solving (especially via Lean Six Sigma) is an absolutely vital skill.

If problem-solving is a must-have skill and checklists are key to good outcomes, then combining the two makes sense.

DMAIC – Define, Measure, Analyze, Improve & Control – is the 5-Step model for Lean Six Sigma and there’s a set of required tollgates at the end of each phase. These tollgates outline what has to be done in order to move the problem-solving process forward.

Using the tollgates as an outline, we created a dynamic  Process Street template  that you can use for free and run checklists from to track your progress!

Before you can start solving problems, you need a problem to solve.

Picking a process issue – and finding someone in leadership to support you – are two required tasks in this first tollgate. Scoping the project is important (bigger than a “just-do-it” and smaller than “solving world hunger”) but even more critical is finding a Sponsor.

Finding a Sponsor

In a poll asking Lean Six Sigma practitioners what they considered the biggest obstacle to process improvement success, “Getting Leadership Support” accounted for almost a third.

When we coach team leads who tell us they can’t find someone to back their project, we let them know, “No Sponsor, no project”. If nobody in charge has any skin in the game, there’s no point in attempting the process fix. Find a different project that leadership supports.

One thing that helps when searching for leadership backing is being able to explain what Lean Six Sigma is and why it makes a difference. Since the checklist template is dynamic we inserted a video in the Define Phase within the checklist item, “Enlist a Project Champion/Sponsor who will support you and the project”. The team lead can share the video with managers or directors who they consider Sponsor candidates.

There’s also a Project Selection Guide Template embedded in the checklist so users can take a project idea and put it through a few screening questions. Is it a repeating problem? Is there a way to measure it? The checklist serves as a reminder, a source of templates, supporting videos and other just-in-time guidance.

The next set of tollgate tasks cover the Define Phase of DMAIC. This is where problem-solvers clarify the problem, the process impacted and customers of the process.

There is a journey of discovery during this phase as everyone agrees on the issue to solve. One of the big challenges is the tendency of ambitious team leads—or equally ambitious Sponsors—to try to “shoot the moon.”

Shooting the moon

They might want to reduce cycle time, reduce defects , improve margins, and increase customer satisfaction all by next Tuesday. But a project that focuses on everything accomplishes nothing. It’s okay to measure the cost reduction that results from reducing defects. But pick one of those to be the goal. Success is more possible if you focus on one goal at a time .

It takes practice and discipline to develop a manageable goal statement. Another moon shot is aiming for perfection out of the starting gate. When we see a goal statement that claims the team will, “reduce defects from 25% to 0%” then we know there is a sizable risk of failure and disappointment.

That’s why the Define Phase of the checklist includes a Goal Builder Template along with a blog providing tips on how to create well-crafted goal statements.

The primary focus of the Measure Phase is to baseline the process. If you’re trying to reduce defects, you need to know how you’re doing at that now. What’s your track record? You need to know the baseline of the process in order to measure whether or not you made a difference with your improvement when you get to the Improve Phase.

You need to know the gap, so you can close the gap.

The data’s in the system, somewhere…

One of the issues we run into in this phase is problem solvers assuming that data is sitting in a system somewhere waiting to be accessed. If they simply run a report, they’ll have the baseline. Check that off the list. But that rarely goes according to plan.

Maybe there’s system data, but was it entered with care? Is it reliable? We’ve seen teams struggle to use data that didn’t make sense. They could access cycle time data, but it didn’t take into account that the workday ended at 5:00. I had another team looking at why healthcare invoices had to be manually adjusted. They looked up the defect codes and the biggest category was “Other”. System data existed, but it was useless.

Most of the time, it helps to collect some data manually. In order to think through your approach, you need a Data Collection Plan. That involves listing the data you want and considering things like stratification factors—the “who, what, when, where” of data. If you’re looking at defects, should you collect data on defects by product? Defects by the fields on a form? Defects by customer type?

Within the task: “Develop a Data Collection Plan with Operational Definitions and create Check Sheets as Needed”, we’ve embedded a template (The Data Collection Plan) and a video to guide the process.

You’ll learn a lot by collecting the data firsthand, so if the perfect data set is not magically sitting in the system, it helps to have a plan.

Analyze is the crux of the DMAIC method. This is where learners drill down and discover the root cause of the process problem they’ve been chasing. Once you do that, you can solve the problem for good.

But if you have not determined the root cause then you might be solving a “symptom,” putting a bandaid on the problem or implementing a change based on a hunch. All of this means there’s a high likelihood the problem will remain and the efforts will have been in vain.

Finding the smoking gun

If you’ve always been told, “don’t bring me a problem, bring me a solution,” that’s an encouragement to jump right past this step into the fun of solutions. I’ve seen teams go with their assumptions regardless of what the data says or the process analysis reveals. I’ve seen Sponsors who tell teams what solutions they want to be implemented right from the get-go.

How do you stick with analysis long enough to find the smoking gun? The trick is to keep collecting the clues in the Cause & Effect Diagram , aka The “Fishbone Diagram”. It’s an aptly named tool, popularized by Dr. Ishikawa , which resembles a fish skeleton. Its construction allows teams to develop root cause theories around a problem as they build their knowledge of the process.

Each time they collect data, interview process participants on a Gemba Walk or map the process steps, they uncover potential reasons for defects. Making the most of the Fishbone Diagram is key but, during a poll, users reported where they fell short.

Solutions masquerading as problems

Over a third of respondents reported the issues of “listing solutions” on the Fishbone instead of causes. What we hear are phrases like, “the root cause is a lack of training”.

The problem with “lack of” anything is that it’s a sneaky way of putting a solution on the Fishbone.

The question is, “what is the training addressing?” Is it lack of user knowledge? If that’s the problem, could it be solved with helpful visuals, a simpler process? There are a lot of ways to address user knowledge before jumping to more employee training.

This is when you want to behave like the persistent detective – think Columbo, the classic 70’s TV icon. Every question helps you accumulate clues. People working through the process may have the answer without knowing it. The trick is to keep looking upstream until you find potential culprits. Dig past the symptoms.

To help with this phase, the checklist includes both a Fishbone Diagram Template as well as a video on how to get the most out of the Fishbone.

The Improve Phase is a long-anticipated step in the journey. It’s the step teams generally want to jump to from the start. Testing countermeasures, piloting solutions, watching the problem disappear, that’s the fun of process improvement. If you’ve done a proper job of Define, Measure, and Analyze, this phase falls nicely into place.

The ripple effect

The catch? Unintended consequences.

If you toss a stone into a lake you can see the ripples flow out from the center. The same principle holds true for process change. If you remove a step, change a form, skip an approval , will things fall apart? For that, we look to the Failure Modes & Effects Analysis or FMEA for short.

It’s a methodical way of assessing the potential for things to go wrong. It Involves deciding the potential severity and frequency of future problems and then mistake-proofing the process to prevent them. The technique originated at NASA since they couldn’t risk trial and error when sending men to the moon. By thinking through the risks of change they developed the kind of contingency plans you saw on display in movies like Apollo 13.

That’s why there’s an FMEA Template and a video on how to use it tucked into the main checklist from this post.

It’s okay to make changes. It’s simply key to think through the impact of those changes on other parts of the business.

Process Improvement can happen quickly and have a dramatic impact, but it’s critical to “stick the landing.” The Control Phase exists to see the improvement through to stability.

If teams move on and everyone takes their eyes off the ball, things may start to slip. What they need is the ability to continuously see the performance of the new process.

Sticking the landing

Have you ever tried to watch a game without a scoreboard? How would you know who was winning? Or how much time was left?

It’s the same with process work.

How does your team know how they’re doing? How do you stay aware of how the new process is performing?

By making the data visible.

Keeping an eye on Process Performance can be done with a single metric — you need to focus on one thing. If the goal was to reduce defects, then the single metric would be tracking the daily percentage of defects. A great way to measure success is with a Control Chart.

Control Charts are time charts. You might know them as Line Charts or Run Charts. They include a measure of variation so they are often referred to as “Run Charts that went to college”. They can be created in Excel , but they can also be drawn by hand.

Teams often set up whiteboards in the shared workspace to track things like defects. People can rotate responsibility for updating the chart. If people can see the measure and are responsible for it—they pay attention to it. What gets measured gets managed.

The Control Chart Template is embedded in the checklist for the Control Phase.

Process Improvement is a mainstay of Operational Excellence and checklists are simple but effective ways to make sure you get the outcomes you want. The following quote comes from the interim CEO/President of the Association for Manufacturing Excellence ( AME ).

“ I am a big fan of checklists for ensuring quality at the source. They serve an important purpose in reminding us of all that’s needed in a particular process or project. Without checklists, we risk missing or overlooking something by mistake. Checklists work best when ticking off items as they are completed, not en masse once the entire project is done. The key point is to use and follow them, not “pencil-whip” them from memory after the fact. While not foolproof, checklists can help us cover the details and result in more thorough, successful improvement efforts. ” – Jerry Wright , President, AME

Checklists have transformed healthcare, aviation, and countless other industries. Run this Process Street DMAIC Tollgate Checklist and make sure your next improvement effort gets great results.

Process Street is a powerful piece of workflow software that lets you crush the human error in your organization.

By creating process templates (like the free DMAIC checklist in this post) you can give your whole team a central location for them to see what they have to do, and how exactly they should do it.

No more confusion, no more errors.

Take advantage of our powerful feature set to create superpowered checklists, including:

• Form fields
• Conditional logic
• Variable user permission levels
• Exporting and printing templates
• And much, much more!

Check out our intro webinar to see the app in action!

Stop leaving the success of your processes up to chance. Get started with a free trial of Process Street today!

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Ben Mulholland

Ben Mulholland is an Editor at Process Street , and winds down with a casual article or two on Mulholland Writing . Find him on Twitter here .

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• Quality Management

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Five Phases of Lean Six Sigma: A Complete Guide

• Written by Contributing Writer
• Updated on March 21, 2023

Customer expectations and behavior are constantly changing. Competition in nearly every industry seems to be intensifying. Profitability and growth now depend in large part on the efficiency of products and services and their speed to market.

Six Sigma is a process that organizations employ to optimize business processes for the most efficient and cost-effective approach while producing continuous product improvements.

In this article, we’ll explain the Six Sigma methodology, explore its benefits and challenges, and detail the five phases of Lean Six Sigma with examples.

What is the Six Sigma Methodology?

The Six Sigma methodology identifies defects and roadblocks that hinder performance, enabling companies to use strategies to streamline processes, decrease production variation, and improve the quality of products and services.

Six Sigma is a data-driven approach to establishing a culture committed to continuous process improvement. When implemented effectively and consistently, Six Sigma provides a framework for repeatable and systematic problem-solving.

Also Read: Six Sigma Methodologies for Process Improvement

What Is the Difference Between Six Sigma and Lean Six Sigma?

Six Sigma focuses on creating rigid consistency to reduce process variation and enhance process control. Lean Six Sigma eliminates processes that do not add value to promote more streamlined workflows.

In short, Six Sigma emphasizes reduction in variation using processes such as:

• Statistical data analysis
• Design of experiments
• Hypothesis testing

Lean Six Sigma focuses on reductions in waste using processes such as:

• Workplace organization
• Visual controls

In most cases, organizations today incorporate both methodologies into their Six Sigma quality management practices.

What Are the Benefits of Six Sigma?

The benefits of Six Sigma and the DMAIC process include:

Improvements in Quality

By focusing on identifying and eliminating defects and wasted steps in processes, organizations can improve the quality of operations and products or services.

Increases in Efficiency

Six Sigma identifies roadblocks and inefficiencies in systems. Efficiency and productivity gains provide significant results in many cases. In manufacturing, for example, these efficiencies can improve quality, turnaround times, and cycle times for equipment.

More Efficient Decision Making

By putting quantifiable data at the heart of decisions, organizations can reduce making decisions based on intuition or assumptions. Instead, decisions are made based on facts and evidence and are measured against baselines for continuous improvement.

Improved Customer or End-User Satisfaction

When organizations can streamline processes to produce faster or higher-quality results, it improves customer satisfaction. This, in turn, can generate more loyal customers and higher customer retention levels.

Cost Savings

There can be significant financial benefits from implementing a Six Sigma methodology. Increased efficiency reduces waste and defects, creates efficiencies and streamlines processes, and produces better customer satisfaction.

Competitive Advantage

Organizations that utilize the five phases of Lean Six Sigma methodology can gain a competitive advantage in several ways, including delivering higher-quality products or services more efficiently and cost-effectively than their competitors.

Employee Engagement

Not to be overlooked in the five phases of Six Sigma are the benefits to employee engagement. Project teams typically include employees from various disciplines. Working together to understand problems and develop solutions encourages teamwork and is fundamental to creating a culture of continuous improvement.

Involving team members in the process also creates buy-in since team members have a stake in the success of the Six Sigma process.

Also Read: Six Sigma Principles: A Comprehensive Guide to Implementing and Optimizing Your Processes

What is DMAIC?

DMAIC is an acronym for the five phases of Six Sigma.

The DMAIC phases are an iterative process used to seek quality improvement by focusing on the process to create more efficient and permanent solutions. DMAIC provides the structure to the process, enabling project teams to use specific tools and deliverables that lead to process improvements. While most teams work through DMAIC in a linear fashion, it isn’t mandatory to do it this way. The process itself encourages team members to backtrack to previous steps, especially when additional information or insight is needed.

The Five Phases of Lean Six Sigma

Each of the five phases of Six Sigma is data-driven and focuses on standardizing an organization’s approach to problem-solving. So, let’s dig deeper into the DMAIC phases.

Phase 1: Define

In the define stage, team members work together to identify the information they’ll need to break down components of a problem or process and create smaller actionable terms. Rather than focusing on abstract goals, it seeks quantifiable and qualifiable data to clearly identify the objective of the project.

Teams will identify the Critical to Quality (CTQ) attributes as determined by the end-user or customer — called the voice of the customer (VOC) — and create a process map, including process inputs and process outputs.

For example, a manufacturing company has identified a problem somewhere in their production process that is leading to product defects outside of acceptable ranges but doesn’t know where or why these defects occur. In the define phase, they would design the project scope and establish objectives, such as reducing the number of acceptable defects in the production process to a specific number.

Phase 2: Measure

The measure step of the DMAIC phases of the Six Sigma process assesses current processes and capabilities. While the goal is to make process improvements, teams need a clear understanding of the current conditions to judge the effectiveness of any future changes. Without a baseline, it’s hard to measure if you’ve made any progress.

In this phase, team members will measure the current process and create a baseline for future comparison.

For example, this phase would identify the frequency of the defects and information about potential causes, such as production line speed or equipment breakdowns, deviations in material or suppliers, or other mitigating factors.

Phase 3: Analyze

The analysis phase of the Six Sigma methodology takes a deep dive into the data that’s been gathered to isolate root causes of inefficiencies and identify defects. Teams in this phase often create detailed subprocess maps for every step with the goal of eliminating and streamlining steps to improve performance and quality.

Teams might deploy several analysis tools, such as Pareto charts or fishbone diagrams, to analyze the root causes of the high defect rate.

Teams also analyze the performance and financial benefits of solving a problem or improving a process.

Phase 4: Improve

After identifying the root cause of any issues, this phase focuses on finding the solution or improvement. Common methods include deploying a design of experiment model to isolate variables and test hypotheses until obstacles are uncovered.

Once process improvements are identified, teams create a proposed solution and then implement pilot programs to test, ensuring solutions meet project objectives and are financially viable.

As an outcome of analyzing the data, teams might redesign the production process, recommend upgrading equipment or maintenance procedures, or provide additional training to operators.

Phase 5: Control

The final step of the five phases of Lean Six Sigma involves documentation of the solutions created for process owners. This includes actionable steps, timelines, and milestones for implementation. In this phase, the control plan details the daily workflow.

The project team then monitors the project for a prescribed period to make sure the process meets performance expectations in real-world environments before turning it over to process owners.

In the control phase, organizations might implement control charts to tightly monitor production output and defect rates, the impact of operator training, and any other solutions deployed.

Each of the five phases of Six Sigma works together to create a repeatable template for improving business processes. When fully integrated into an organization’s culture, it enables teams to innovate new solutions, measure effectiveness and efficiency, and create quantifiable process improvements.

Also Read: Six Sigma vs. Lean Six Sigma: Which Methodology Is Right for Your Business?

Challenges with Implementing Six Sigma

Even though Six Sigma can help your team become more efficient and cost-effective, there are implementation challenges when it comes to DMAIC phases.

The five phases of Lean Six Sigma examine increasingly minute details and micro-steps in every aspect of task completion. This can be challenging for team members to accomplish without experienced project managers that are trained in Six Sigma methodologies. Organizations need team members that understand statistical training and quantifying data points effectively in order to successfully implement this methodology — it’s not something you can pick up on the fly.

Implementing Six Sigma Tools

There’s also a learning curve for the diverse set of tools required to uncover root causes and validate potential solutions. Throughout the DMAIC process, teams may need to be proficient in using tools such as:

• Pareto charts
• Gage R&R
• Process capability upper and lower bounds
• Attribute agreement analysis
• ANOVA statistical modeling
• Regression equations
• Control charts
• Statistical process control (SPC)
• Value stream mapping

Other tools may also be needed depending on industry and functionality. As you can see, some of these tools are incredibly specific and scientific, so it can be tricky to implement if someone on your team isn’t familiar enough with them while going through the five phases of Lean Six Sigma

Organizational Commitment

Effective Six Sigma implementation required buy-in across the wider organization, starting at the very top. Without proper funding, resources, and continued support, the process can be ineffective. In some cases, this leads to incomplete solutions, lack of follow-through, or failure to embrace workplace changes.

To be successful, Six Sigma needs to be embraced and become part of the company culture.

Also Read: Value Stream Mapping in Six Sigma

Fast Track Your Career in Quality Management

Efficiently deploying Six Sigma methodologies and DMAIC phases requires training and expertise. Professionally-trained and certified Six Sigma professionals can make substantive contributions to organizational improvement and earn a lucrative career as a Six Sigma expert.

If you are looking to fast-track your career in Quality Management, an accredited Six Sigma course can help. You can get hands-on experience and mentoring as you solve real-world business processes and learn about:

• Agile management
• Lean management
• Six Sigma Green Belt
• Lean Six Sigma Black Belt
• Quality management
• Digital transformation

Become a Lean Six Sigma Expert with the post graduate program delivered by Simplilearn in collaboration with the University of Massachusetts. Download the program brochure to learn more about the Lean Six Sigma course. This program is accredited by the International Association for Six Sigma Certification (IASSC) and has professors who can share real-world experiences to help bring these complicated concepts to life.

You might also like to read:

The Top 24 Lean Six Sigma Interview Questions for 2023

Six Sigma Methodologies for Process Improvement

Ultimate Guide to Six Sigma Control Charts

Process Mapping in Six Sigma: Here’s All You Need to Know

What Are the Elements of a Six Sigma Project Charter?

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What Is Lean Six Sigma?

Lean Six Sigma combines lean manufacturing and Six Sigma to help organizations improve their processes and reduce waste. Here’s why it’s effective.

Lean Six Sigma brings together principles from lean manufacturing and Six Sigma.  Lean manufacturing is a philosophy that emphasizes the elimination of waste and the improvement of production flow through collaborative team effort. Six Sigma is a data-driven methodology that uses statistical analysis and problem-solving tools to identify and eliminate defects as well as process variations. Lean Six Sigma combines these methodologies to increase organizational efficiency.

Why Is Lean Six Sigma Important?

The combination of lean and Six Sigma methodologies provides a comprehensive approach to process improvement that can help organizations streamline their operations, reduce costs and improve quality, thereby leading to significant improvements in efficiency and customer satisfaction.

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Lean Six Sigma Techniques

Lean Six Sigma uses a variety of techniques to improve processes and reduce waste.

Value Stream Mapping 

VSM is a tool we use to identify and eliminate waste in a process by mapping out the entire value stream, from the start of the process to the end.

DMAIC 

DMAIC (Define, Measure, Analyze, Improve, Control) is a problem-solving methodology used to improve existing processes by identifying and eliminating the root cause of problems.

What Are the 5 Phases of Lean Six Sigma?

The Lean Six Sigma methodology typically consists of five phases known as DMAIC, which stands for define, measure, analyze, improve and control.

Kanban 

Kanban is a visual management tool that helps manage and control the flow of work by using cards or other visual indicators to signal where tasks are within a given project workflow.

5S is a workplace organization methodology that aims to improve efficiency and productivity by creating a clean, safe and organized work environment.The term 5S stands for the five Japanese words that describe the steps involved in the method: seiri (sort), seiton (set in order), seiso (shine), seiketsu (standardize) and shitsuke (sustain).

Poka-Yoke 

Poka-yoke is a mistake-proofing technique used to prevent errors from occurring in a process by designing products or processes that make it impossible for errors to occur. We can accomplish this by implementing physical or visual cues that alert the worker to a potential mistake or prevent the mistake from happening in the first place.

For instance, most modern microwave ovens have a safety mechanism that prevents the oven from operating if the door is not properly closed. This ensures that the user will not accidentally turn on the microwave with the door open, which could result in injury. This is a perfect example of Poka-Yoke implementation that protects users from injuries.

Statistical Process Control (SPC) 

SPC is a technique used to monitor and control a process by using statistical methods to measure and analyze data . Control charts, process capability analysis and sampling plans are among these statistical methods used in SPC. 

Sampling plans help us determine how many samples of a product or process output we should take for analysis. The goal is to obtain enough data to make accurate inferences about the overall process performance while minimizing the cost and time required for data collection and analysis. 

Control charts help identify when a process is producing results that are outside of the expected range, which can signal the need for corrective action.

Process capability analysis involves calculating statistical metrics such as Cp and Cpk, which measure how well the process is centered and how much variation it produces. 

Root Cause Analysis (RCA) 

RCA is a problem-solving technique used to identify the underlying causes of problems by asking “why” until we reach the root cause.

Advantages of Lean Six Sigma

Improved quality.

• Increased Efficiency

Cost Reduction

Improved customer satisfaction, cultural change.

• Competitive Advantage

Lean Six Sigma methodologies are designed to improve process efficiency and reduce defects. By using data-driven analysis and process improvement techniques, Lean Six Sigma can help organizations improve product or service quality, which can lead to greater customer satisfaction and loyalty.

Increased Efficiency 

Lean Six Sigma helps organizations identify and eliminate waste, non-value-added activities and other process inefficiencies. These improvements help reduce process cycle times, increase throughput and reduce costs, all of which lead to greater efficiency and productivity .

By reducing defects and inefficiencies, Lean Six Sigma can help organizations reduce costs associated with rework, scrap and other forms of waste. This can result in significant cost savings and improved profitability.

Lean Six Sigma helps organizations focus on customer needs and expectations, which can lead to improved customer satisfaction and loyalty. By reducing defects and improving quality, organizations can increase customer trust and confidence.

Lean Six Sigma methodologies emphasize collaboration, data-driven decision-making, customer value and a culture of continuous improvement . 

The methodology encourages employees to constantly look for ways to improve processes, reduce waste and increase efficiency by promoting collaboration across teams. By breaking down silos and encouraging teamwork, it fosters a more positive and collaborative work environment.

Lean Six Sigma promotes data-driven decision making as it helps to establish a culture of continuous improvement. By regularly collecting and analyzing data on process performance, companies can identify trends and patterns that indicate areas for improvement. 

Competitive Advantage 

By improving quality, efficiency and customer satisfaction, Lean Six Sigma can help organizations gain a competitive advantage in the marketplace. This can lead to increased market share, revenue growth and improved profitability.

Lean Six Sigma Phases

1. define .

In this phase, we establish a project team. The team then works to define the project goals and objectives as well as identify the process to be improved. The team also clarifies the problem and the customer’s requirements.

2. Measure 

In this phase, teams measure and baseline the current performance of the process, collect data and develop a process map (or flowchart) to understand the process steps and potential areas for improvement.

3. Analyze 

In this phase, teams analyze data to identify the root cause of problems and process variations. The team may use statistical analysis and other tools to help them identify the most significant causes of process problems.

4. Improve 

In this phase, the team develops and implements process improvements by using the information gathered in the previous phases. The team may use lean tools to reduce waste, improve flow and make the process more efficient. The team may also use Six Sigma tools to reduce variation and improve quality.

5. Control 

Finally, the team monitors and sustains process improvements over time. During the control phase, teams focus on monitoring and sustaining the improvements achieved in the previous phase. The team also develops a control plan to monitor the process and take corrective action when necessary.

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DMAIC in Lean Six Sigma vs. Six Sigma

The DMAIC process in Six Sigma and Lean Six Sigma is essentially the same. However, there are some key differences in how we apply DMAIC in the context of Six Sigma versus Lean Six Sigma.

In Six Sigma, DMAIC is typically focused on improving the quality of a process by reducing defects and minimizing variability. The emphasis is on achieving statistical process control and improving process capability. The team may use statistical tools such as hypothesis testing, design of experiments and control charts to identify and eliminate sources of variation and improve process performance.

In Lean Six Sigma, we use the DMAIC process to improve both the quality and efficiency of a process by reducing waste and improving flow. The team may use lean tools such as value stream mapping, 5S and kaizen events to identify and eliminate non-value-added activities and streamline the process flow. The team may also use Six Sigma tools to reduce variability and defects and improve quality.

Another key difference is that Lean Six Sigma places a greater emphasis on the customer and their needs throughout the DMAIC process. Teams identify and analyze customer needs in the define phase, then monitor and measure customer satisfaction throughout the process. This helps ensure the process improvements are aligned with the needs of the customer and deliver value to the organization.

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Lean Six Sigma Belt Levels

Lean Six Sigma uses a belt system to denote different levels of expertise and responsibilities within the organization. The belt system is based on the martial arts belt system, where darker belts indicate a greater level of expertise. Each belt level has its own set of responsibilities and requirements for certification.

There are five levels of Lean Six Sigma belts.

White Belt 

This is the introductory level of Lean Six Sigma training and provides an overview of the basic concepts and principles of Lean Six Sigma.

Yellow Belt 

Yellow belt training provides a more detailed understanding of the Lean Six Sigma methodology and prepares individuals to participate in improvement projects.

Green Belt 

Green belt training provides a comprehensive understanding of Lean Six Sigma tools and techniques and prepares individuals to lead improvement projects.

Black Belt 

Black belt training provides advanced training in Lean Six Sigma tools and techniques and prepares individuals to lead complex improvement projects and manage improvement programs .

Master Black Belt 

Master black belt training provides the highest level of training in Lean Six Sigma and prepares individuals to be experts in the methodology and lead strategic improvement initiatives while mentoring and training others.

In addition to these belt levels, there are also Lean Six Sigma Champions who provide executive sponsorship and leadership for improvement initiatives, as well as Lean Six Sigma Facilitators who provide training and support for improvement projects.

Lean Six Sigma vs. Six Sigma

Lean Six Sigma and Six Sigma are two related methodologies that share the goal of improving business processes and reducing defects. However, there are some key differences between the two.

Six Sigma is a methodology that focuses on reducing defects and improving quality by using statistical analysis to measure and improve process performance. 

Lean Six Sigma, on the other hand, combines the principles of lean manufacturing and Six Sigma. In addition to the DMAIC process, Lean Six Sigma also includes lean manufacturing principles such as value stream mapping, 5S and Kanban to improve process efficiency.

The main difference between Lean Six Sigma and Six Sigma is that Lean Six Sigma places a greater emphasis on the reduction of waste and non-value-added activities, while Six Sigma focuses more on reducing defects and improving process quality. 

Another difference is that Lean Six Sigma is more focused on continuous improvement and cultural change, while Six Sigma is more focused on solving specific problems and implementing process improvements.

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Six Sigma: All you need to know about the lean methodology

Six Sigma is a process improvement method that helps organizations improve their business processes. The end goal of Six Sigma is to reduce the amount of variations in a process as much as possible in order to prevent defects within your product. While this methodology is often used to optimize manufacturing processes, it can also be applied to other industries—including tech companies who produce digital products rather than physical ones.

Imagine your development team is in the process of putting the final touches together for a big product launch. When the product gets to the testing stage, the team catches several unanticipated bugs in the code. How can your team prevent this from happening in the future?

One way to do this is to implement an old manufacturing tool: the Six Sigma methodology.

What is Six Sigma?

The main philosophy of Six Sigma is that all processes can be defined, measured, analyzed, improved, and controlled (commonly referred to as the DMAIC method).

According to Six Sigma, all processes require inputs and outputs. Inputs are the actions that your team performs, and the outputs are the effects of those actions. The main idea is that if you can control as many inputs (or actions) as possible, you also control the outputs. 

Where does Six Sigma come from?

In 1809 , German mathematician Carl Friedrich Gauss first used the famous bell curve to explain measurement errors. In the 1920s , Walter Shewhart found that three sigma from the mean is the precise point where a process needs to be corrected. 

But it wasn’t until 1986 that the engineer and developer Bill Smith created the Six Sigma methodology for Motorola that we know today. Motorola used the methodology to identify the maturity of a process by its “sigma” rating, which indicates the percentage of products that are defect-free.

By definition, a Six Sigma process is one in which fewer than 3.4 defects per million opportunities occur. In other words, 99.9997% of opportunities are statistically expected to be free of defects.

Six Sigma is still commonly used in lean manufacturing and production because the process can be helpful in preventing and eliminating defects. However, this methodology can also be used in the service industry and with software engineering teams.

Lean Six Sigma

In general, the goal of a lean methodology is to drive out waste or anything that doesn’t add value to a product or process. The Lean Six Sigma (LSS) methodology values defect prevention over defect detection. This means that the goal of LSS is not to identify where the defect is, but to prevent defects from happening in the first place. 

The 5 key principles of Six Sigma

The Six Sigma methodology has five key principles you can use when analyzing your processes.

1. Focus on the customer

In Six Sigma, the goal is to ensure you can provide your customers with as much value as possible. This means your team should spend a lot of time identifying who your customers are, what their needs are, and what drives their behavior to purchase products. This principle works well for SaaS companies since they often focus on recurring revenue streams.

Identifying your customer’s wants and needs can help your team better understand how to retain customers and keep them coming back to your product.

This requires your team to understand the quality of product your customers would find acceptable, so you can meet or even exceed their expectations. Once you understand that level of quality, you can use it as a benchmark for production. 

2. Use data to find where variation occurs

Outline all of the steps of your current production process. Once you’ve done this, analyze and gather data on the current process to see if there are certain areas that can be optimized or areas that are causing a bottleneck in your workflow.

For example, consider how you share information with your team. Is everyone on your team getting the same information, or are they referencing outdated documents? Establishing a centralized location for all pertinent project information can help minimize the amount of time spent searching for the right documents.

Sometimes it can be challenging to decide what metrics you need to analyze. An easy way to figure this out is by working backward. Identify a goal you want to achieve and work back from there. For example, if your goal is to shorten production time, analyze how long each step in the production process takes.

3. Continuously improve your process

While you’re looking at your production process, consider any steps that don’t add value for your team or your end customers. Use tools such as value stream mapping to identify where you can streamline processes and decrease the amount of bottlenecks. 

The idea of making small improvements to your processes over time is known as kaizen , or continuous improvement. The philosophy behind continuous improvement is that if you’re making small changes over a long period of time, it can lead to major positive changes in the long run.

4. Get everyone involved

Six Sigma is a methodology that allows everyone on the team to contribute. However, this does require everyone on the team to have some training on the Six Sigma process to reduce the risk of creating more blockers instead of getting rid of them. 

Six Sigma works especially well when cross-functional teams are involved, because it provides a holistic view of how a process can affect all parts of your business. When you include representatives from all teams involved in a process, you give everyone insight into the improvements you’re making and how those changes might impact their teams.

We’ll dive into the different types of Six Sigma trainings and certifications later in this article.

5. Ensure a flexible and responsive ecosystem

Six Sigma is all about creating positive change for your customers. This means you should consistently look for ways to improve your processes, and your entire team should stay flexible so they can pivot without much disturbance.

This also means that processes need to be easily interchangeable. An easy way to do this is to break out processes into steps. If there’s an issue with just one step, then only that step needs to be fixed, as opposed to the entire process. 

The two main Six Sigma methodologies

There are two common processes within Six Sigma and they’re each used in different situations.

In general, the DMAIC method is the standard method to optimize existing processes. Alternatively, use the DMADV method when a process is not yet established and you need to create one.

DMAIC is an acronym, meaning each letter represents a step in the process. DMAIC stands for define, measure, analyze, improve, and control.

Define the system. Identify your ideal customer profile, including your customers’ wants and needs. During this stage you also want to identify the goals of your entire project as a whole.

Measure key aspects of current processes. Using the goals you established in the “define” stage, benchmark your current processes and use that data to inform how you want to optimize your project.

Analyze the process. Determine any root causes of problems and identify how variations are formed.

Improve or optimize your process. Based on the analysis from the previous step, create a new future state process. This means you should create a sample of the improved process and test it in a separate environment to see how it performs.

Control the future state process. If the results in the “improve” stage are up to your team’s standards, implement this new process into your current workflow. When doing this, it’s important to try and control as many variables as possible. This is often done using statistical process control or continuous monitoring.

DMAIC example

Your product team notices that the customer churn rate (the rate at which customers stop doing business with you) is increasing. To prevent this problem from getting worse, you can use the Six Sigma DMAIC methodology to identify the issue and develop a solution. 

Define: The customer churn rate has increased from 3% to 7% in the last six months.

Measure: Your team has a lot of information about how prospective customers convert into actual customers, but there’s not much information about what happens after someone becomes a customer. You decide to analyze and measure user behavior after they purchase the product.

Analyze: After looking at the behavior of users after they become customers, your team notices that newer customers are having a harder time getting used to the new product UI than existing customers.

Improve: Your team decides to implement a “new customer onboarding” workflow that helps customers identify key parts of the product and how to use it. Your team works with the customer success team to help set best practices and create trainings. This gives the customer success team all the information they need to train new customers effectively and ensure customer satisfaction. 

Control: Your team monitors both the churn rate and how customers are behaving now that the changes have been implemented. After a few months, you notice the churn rate beginning to decrease again, so you choose to keep the new changes to the process.

The DMADV method is sometimes referred to as Design for Six Sigma (DFSS). DMADV stands for define, measure, analyze, design, and verify. Here’s what to do during each phase:

Define your goals. When defining goals for the new process you’re establishing, it’s important to consider both business goals and the goals of your ideal customer profile. 

Measure and identify CTQs. CTQ stands for “critical to quality.” These are the characteristics that define your perfect product. During this step you will identify how your new process can help achieve these CTQs and any potential risks that could impact quality.

Analyze to develop and design multiple options. When you’re designing a new production process, it’s important to have multiple options. Take a look at the different options you create and analyze the strengths and weaknesses of each one. 

Design the chosen option. Based on the analysis in the previous step, take the next step and implement the option that best fits your needs. 

Verify the design and set up pilot runs. Once you finish implementing your process, it’s time to hand it over to process owners and measure how the process works. Once the process is up and running, then your team can optimize it using the DMAIC method. 

Six Sigma certification

Six Sigma is a multi-level training program . Much like in martial arts, each ranking is a different belt color that indicates a different body of knowledge and years of experience. The Six Sigma certification program breaks down into six different rankings—from white belt to champion:

White Belt : If you’re brand-new to the Six Sigma method, you’ll start out in this stage. Someone with a Six Sigma White Belt doesn’t need to have any formal training or certification in Six Sigma, but they understand the basic framework and guidelines. This means they can participate in waste reduction and quality control projects. 

Yellow Belt : This level requires some formal training and you can receive an official Six Sigma Yellow Belt certification. With a Yellow Belt you can help contribute to strategy more than you could with a White Belt. You can now assist higher-ups with problem solving and analysis.

Green Belt : With a Six Sigma Green Belt certification, you can start strategizing and implementing smaller process improvement techniques on your own.

Black Belt : Once you receive the Black Belt certification, you will be able to break down processes and handle more complex projects than any previous belts. In this training, you’re taught how to manage large-scale changes that can impact a business’s bottom line.

Master Black Belt : The Six Sigma Master Black Belt is an additional course that helps you enhance your current skills by deepening your understanding of Lean Six Sigma. You’ll learn more about statistical tools and cultivate a greater appreciation for the DMAIC method.

Champion : You can become a Six Sigma Champion with a final training that is typically helpful for senior managers and executives who want to become proficient in guiding project teams and leaders through the different DMAIC phases. 

While there is no unified standard for certification, the courses are designed to teach the essentials of the process and how to apply Six Sigma tools to your day-to-day work situations.

Track and improve workflows with Six Sigma

Improving your business processes ultimately helps reduce waste. As you brainstorm and analyze workflows, take time to pinpoint and address bottlenecks . Visualize each step in your production process so you can assign them to specific owners.

If you’re looking to improve your team’s workflows , it’s best to use software that helps connect your team and manage goals. Asana workflows can help you manage and automate how work is completed. Plus, you can easily alert other team members of workflow changes, make real-time adjustments, and create a single source of truth for your entire team.

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6.4 Lean Processes

Portions of the material in this section are based on original work by Geoffrey Graybeal and produced with support from the Rebus Community. The original is freely available under the terms of the CC BY 4.0 license at https://press.rebus.community/media-innovation-and-entrepreneurship/.

Learning Objectives

By the end of this section, you will be able to:

• Discuss the lean process methodology
• Understand the phases of the lean problem-solving process.

You have learned about different problem-solving approaches that entrepreneurs take to lead their startups and work with others. Most of these approaches have had to do with the entrepreneur’s cognitive or creative mindsets. Now we will learn about an approach that is more rooted in process, called lean process . Lean problem solving has been used as an entrepreneurial methodology in new and emerging ventures, and it’s interesting that it comes from a large corporate, manufacturing background that focuses on efficiencies. The Six Sigma methodology, pioneered at Motorola in the 1970s and 1980s, and adopted by many companies, is a disciplined, data-driven approach that provides companies tools to improve the capability of their business processes. According to the American Society for Quality, “Six Sigma views all work as processes that can be defined, measured, analyzed, improved and controlled. A set of qualitative and quantitative tools is used to drive process improvement. This increase in performance and decrease in process variation helps lead to defect reduction and improvement in profits, employee morale, and quality of products or services.” 26 GE copied it and created the “ Process Excellence ” programs that millions of managers and others have taken to get certified at various “belts.” Although Six Sigma and Process Excellence do not fit strictly in terms of entrepreneurship, as they are used mainly by large, mature companies, many of the methods fit in the lean model.

Toyota pioneered the lean process in the 1980s. The term “ lean manufacturing ” is the most common, but it is much more than manufacturing. The lean process is a systematic method for the maximizing of continuous improvement and the minimization of surplus or unused material in the production of a process. The entrepreneur begins the startup with a sense the original product will be the product carrying the organization to success in the long term. In most cases, the good or service will require modification to maintain a process, technology, or up-to-date product offering. Lean problem solving means the entrepreneur’s entire team scans both the company’s internal and external environments for continuous improvement and methods for bringing additional revenue to the startup by cost improvement processes that promote sustainable value. The external environment encompasses customers, industry trends, and competition. The internal environment comprises the factors inside the enterprise, such as employees, and internal practices and processes. In lean manufacturing, for example, improving efficiencies in the internal environment should lead to advantages in the external environment (whether that be cost savings to customers, competitive advantage from more output/superior product, etc.).

For example, every mile saved per day per UPS truck driver results in approximately $50 million in savings per year, according to Juan Perez, the company’s chief information and engineering officer. Using customer data and artificial intelligence, the company created a system dubbed ORION, which is an acronym for On-Road Integrated Optimization and Navigation. 27 To date, the system has resulted in $400 million in savings to UPS. By applying the lean process, everything that UPS saves on the input (by reducing mileage) leads to savings on the output, which leads faster deliveries, lower costs for consumers, and more profit for UPS.

Lean Problem-Solving Process

The lean problem-solving process is a cycle of observation, assessment, and continual evaluation. As shown in Table 6.1 , this cycle typically involves eight specific steps.

Are You Ready?

Too much too late.

Many entrepreneurs create a startup with an idea that they develop without any feedback from potential customers, relying on their own knowledge or assumptions about the market. Consider the story of Rapid SOS: https://hbr.org/2018/05/do-entrepreneurs-need-a-strategy. What would most likely happen when they decided to go forward with their product? Will it be a fit to the customer’s needs or solve their problems? How is lean process different from this?

Lean Problem-Solving Phases

Observation is the phase in which the entrepreneur studies the challenge and notes all facets of the challenge requiring solution. In this phase, the entrepreneur asks questions and conducts research about the change needed for a successful product, outcome, or service. The entrepreneurs must determine why the change is needed. What is the purpose of the endeavor? Feedback is extremely important in this phase.

For example, a community asked a group of entrepreneurs to help address the youth obesity problem in a middle school. The entrepreneurs began to study the intake of food by the children and determined that both the content of the school lunch menu and the lifestyle of the majority of the children were affecting the obesity rate in the community. They then defined the purpose of the project as finding a low-cost, low-risk method of changing the lunch menu and agreed that the primary outcome would be a 30 percent reduction in the obesity rate of the children. The entrepreneurs began to assess the cost of changing the lunch menu and observing what else the kids ate. The entrepreneurs discovered that the lunch menu change required to reduce the obesity rate was beyond the financial capability of the school district. Research also showed that many of the children, products of single-parent homes, were eating high-calorie, high-fat, take-out foods for dinner. Further observation revealed that the children did not engage in physical activity after hours because the local surroundings were not safe. The community needed a process to transform the wellness of the children, and the entrepreneurs recommended using a lean process approach to help the children as quickly as possible.

After the observation of the problem comes assessment , the phase in which the entrepreneur experiments and analyzes the potential process and its capabilities. The entrepreneur leverages creative tools and resources to arrive at a solution and assesses each step of a possible solution. Each step must add value to the solution, or that step in the solution is unnecessary. In addition, the step must be capable of solving the issue and add flexibility to the solution. How is the process or product being improved? In this phase, a prototype of the product is developed and delivered. The entrepreneur must ask the customer if all needs and wants are satisfied with the prototype. If the prototype is being developed for mass production, surveying customers about potential sales is essential. In the school lunch example, the school system would have been the customer of the new food menu (prototype) in the assessment phase.

Evaluation is the phase in which behaviors are analyzed to assess success. The entrepreneur continually studies each phase of the solution to observe the effectiveness of outcomes desired by the client. The entrepreneur ensures that transformation is built into the habits of the school to obtain, maintain, and develop the desired outcomes.

In a real-world example of a company applying lean processes, the New Balance Company , which designs and manufactures both athletic and casual shoes, used a batching approach in the early 2000s that organized production by departments, so that all of the cutting took place in one department, all of the stitching took place in another, and so forth. While it seems that batching tasks would improve efficiency, at New Balance, it meant that production of one pair of shoes took nine days. Executives observed piles of inventory sitting between floors and departments, and noticed employees waiting while there were delays in the production line. They also noticed that the pay structure contributed to the piles of works in process because employees were paid by the piece, which encouraged them to produce as much as possible.

The company applied lean principles to rearrange the production floor by value streams, or the making of a product by sharing similar processing steps. On one side was “cut and stitch” products using US materials of leather and mesh, while another side used premade products from overseas for soles, inserts, and kits. This change cut the time to make a pair of shoes down to four hours, meaning that domestic plants could ship some orders in twenty-four hours, while competitors may need as much as 121 days to ship when they outsourced manufacturing to Asia.

An often-used lean problem-solving tool is whiteboarding ( Figure 6.16 ). Whiteboarding is a type of graphing that permits the entrepreneur to plot each step in a process to build comprehension and detailing of the process. The entrepreneur draws each step on the whiteboard using a linking-type diagram, and draws arrows to show how processes affect other processes. Seeing the flow of the process allows the entrepreneur to note where functions in the process are duplicated or inconsistent.

For example, in a community garden, storing tools, such as hoes and hand trowels for weeding, in different sheds wastes time when preparing to begin the process of weeding. These tools should be stored collectively to eliminate multiple trips and wasted time. Seeing the process on a whiteboard or other medium brings awareness to how processes can be improved. After the process is changed, it is graphed again for further scrutiny.

Entrepreneur In Action

The origin of lean.

Would it surprise you to know the origin of lean, in modern times, is considered to be Henry Ford’s production line? Although we don’t necessarily think of the creation of automobiles as an entrepreneurial venture in today’s world, Henry Ford was truly an entrepreneur for his time when the manufacture of automobiles was just beginning. Not only did he recognize the opportunity inherent in the sale of automobiles, he recognized the need to create an efficient process for automobile production that could decrease costs and, consequently, the selling price of the vehicle. As the first entrepreneur to join the use of interchangeable parts with moving conveyance to develop fabrication processes, Ford was able to turn over inventory in a very short time; however, Ford’s process could not deliver variety. In fact, Ford was quoted as saying of the Model T’s color, “You can have any color as long as it's black.” 29 It had the fastest drying time; hence, it was the only color he used for a number of years.

The Ford system was built around one static product. In the 1930s, when the market demanded product variety, the company was not set up to address this challenge. Kiichiro Toyoda ( Figure 6.17 ), the second president of Toyota Motor Corporation , visited the Ford plant in Michigan to learn more about their application of the assembly line concept. After observing, he proposed a new production system that would strive to “right size” equipment to better match tasks and the volume of work, as well as introducing quality assurance steps in each sequence of the work process. Toyoda’s approach shifted the focus from machinery to process, optimizing efficiency while maintaining quality.

• 26 American Society for Quality. “What Is Six Sigma?” n.d. https://asq.org/quality-resources/six-sigma
• 27 Juan Perez. “UPS’ Approach to Innovation and Technology.” Presentation sponsored by J. Mack Robinson College of Business, Georgia State University, Atlanta, GA. March 28, 2019.
• 28 “Genchi Genbutsu.” Lean HE Glossary . n.d. http://www.leanhe.org/lean-he/glossary#TOC-Genchi-Genbutsu
• 29 Diana T. Kurylko. “Model T Had Many Shades; Black Dried Fastest.” Automotive News . June 16, 2003. http://www.autonews.com/article/20030616/SUB/306160713/model-t-had-many-shades%3B-black-dried-fastest

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Articles I Meet the Expert - InterQuality

THE LEAN SIX SIGMA METHOD: FIVE PHASES FOR PROCESS IMPROVEMENT

How to save ourselves from process problems and make a saving from process problems, lean six sigma: practical application.

One of the most widely spread and proven process improvement approaches is the combination of Lean and Six Sigma methods. Both Lean and Six Sigma are methods for quality improvement that have been applied to service and production processes all around the world already for decades. The roadmap for improvement through the application of these methods follows a structured approach and implementation logic, so that we achieve the desired results. There are multiple benefits of applying Lean Six Sigma in any organisation – from solving complex process problems to building a continuous improvement organisational culture in the long run. In addition, specific benefits of solving process problems are related to decreasing costs, mininizing number of defects and errors, better alignment between teams, more satisfied customers, and from there – increased sales and more revenue.

INTRODUCTION: STRUCTURED APPROACH TO PROBLEM SOLVING

LEAN METHOD

The roots of Lean lie in the Toyota Production System. Minimizing wastes and improving the process flow are the heart of Lean. The objective of Lean Methodology is to reduce wastes so that we add more value for the customer – this is done by minimizing or eliminating the process steps that do not add value.

We do this by:

Eliminating the wastes that block the flow of the process Using pull system that facilitates the process elements to move smoothly through the process

SIX SIGMA METHOD

Six Sigma method originated in Motorola in 1980s. It is a process improvement approach based on data analysis and aiming at increasing levels of quality. The main metric is sigma level or the so called defects per million opportunities (DPMO - defects per million opportunities). Achieving six sigma level of process performance means that the process has 3.4 defects per million. The Six Sigma method determines to what extent a particular characteristic (of a product or service) achieves customer specifications. The focus is on defects prevention and having controls in place that help prevention, rather that on defects detection.

COMBINED LEAN SIX SIGMA METHOD

Lean and Six Sigma methods both being process improvement methods, work exceptionally well in combination and provide a great opportunity to effectively resolve complex process problems. The Lean Six Sigma combination uses the Lean strength for optimizing and smoothing the process flow, i.e. increasing process speed. Six Sigma provides better precision and accuracy. This combination of Lean Six Sigma is a globally recognised approach for successfully improving processes.

THE FIVE-PHASE ROADMAP FOR PROCESS IMPROVEMENT

The application of the Lean Six Sigma approach is done systematically and following the logic and rules of the roadmap, i.e. the five phases for improvement (DMAIC). The five phases are: Define, Measure, Analyse, Improve and Control. These five phases are used for setting up and running improvement projects that are implemented for solving process problems.

SELECTING THE RIGHT PROJECTS

Lean Six Sigma is a method for solving process issues – we need a process that is not working well and that we wish to improve, as well as a problem that is highly complex and can not be resolved with applying traditional measures. If the solution is known, this method will not help. Its strength is in analysing the problem in depth with the objective to discover its key root causes for which we will find solutions. Before launching a process improvement project, we need to make a good selection. Here are some key requirements for project selection:

• To observe issues in the process
• To be able to process collect data and analyse it
• To have the support of key stakeholders and the topic to be a priority for the organisation

Below we will go through each of the phases of the improvement roadmap.

PHASE 1: DEFINE

The objective of Define is to define a problem that we wish to resolve. This is the first phase of the improvement roadmap. Defining the problem in greater detail increases the chances of finding the right solutions.

DEFINING THE PROBLEM

Coming up with a problem definition is the first step to resolving it. What does that mean? We need to start with initial investigation of the problem and collect more information about it. What is it that indicates a process problem? – customer complaints, large number of defective products, warranty losses, unhappy suppliers and partners, revenue decrease, indicators that are getting worse, etc.

As a first step, we determine process boundaries, i.e. which is the process that we wish to improve, where it starts and where it finishes. In which part of the process we notice issues? What indicates a problem exactly in these process steps? What losses does this bring as a result, i.e. how severe is the issue for the organisation, what departments are affected? What would be the benefits of solving it? This initial assessment provides a solid starting position for the upcoming project phases where this analysis will be done in greater depth.

PROJECT CHARTER

The project charter includes a problem definition together with other important project information: project objectives, key process indicators and desired target levels, stakeholders, key stages and timelines, project sponsor, project team members.

PROJECT RESOURCES

For successfully implementing the project we need a team of experts that contribute with their expertise and knowledge for resolving the problem. Who are the people closest to the problem? How many and which teams and departments are affected? Who are the employees most interested in solving the issue? Who is the leader that can be at the forefront of driving the change and become a project sponsor? We need a qualified project lead (yellow belt, green belt or black belt), who has the knowledge and experience to skilfully handle Lean Six Sigma methodology. It is important to have experts assigned to the project who can practically contribute to it and are willing to do so, and who also recognize the need for change. It is a good practice that the core team is made of 5 – 6 key experts, so that we achieve focused discussions and effective time management for meetings. One of the tasks of the project lead is to ensure that the project team will be able to spend sufficient time on project work and confirm this commitment with the respective managers.

PROCESS MAPPING

A key tool to understand the process is process mapping. This is a tool that visualizes the process elements, helps understand the flow, the link and sequence of process steps, as well as the interaction between the different functions. There are a few process mapping techniques that can be used. One is the so called process flowchart with detailed process steps. Another tool that is recommended to be used is the SIPOC diagram, listing the major process steps on a high level, the inputs and outputs at process step level, as well as the functions at each process step. Building this picture of the process as it currently works, helps build the image of the initial process baseline.

VOICE OF THE CUSTOMER

Customer stands at the heart of process improvements – with his specific needs and requirements. We define ‘customer’ as the beneficiary of the product or services at the end of the process. Customers can be ‘internal’ or ‘external’ to the organisation. During Define phase the team looks for feedback from the customer with the purpose to clarify customer needs, and from there – to define specific requirements. With the help of some tools, these requirements are translated into specific indicators and suggestions that are then included in the project scope.

PHASE 2: MEASURE

Measure phase is an opportunity to learn more about how the process currently works by collecting and analysing process data that gives us more information about this.

HOW THE PROCESS CURRENTLY WORKS

By understanding how the process currently works, we mark the starting point of measuring the process. We collect data on a few key indicators identified during Define phase. The purpose is to track how these indicators change over time, and at the end of the project to compare the status before and after the change; by noticing change in these key indicators we check to what extent we have managed to improve the process. The Lean Six Sigma method is based on data analysis and evidence based on data, and Measure phase marks the beginning of collecting and analyising data.

WHERE TO COLLECT DATA

During the first phase of Define we complete the initial analysis of the problem and the process steps where this problem occurs. Based on these, we take process measurements not only on the overall work of the process (e.g. number of defects at the end of the process, total lead time, etc.), but also on specific process steps for which we have an indication for occurring issues. In this way we perform focused measurements on problematic steps that will be analysed in the next DMAIC phase.

DATA COLLECTION PLAN

To be able to complete Measure phase we need data. One key requirement before starting the project is to ensure we have process data available. For some indicators we may need to initiate additional data collection during the course of the project. The data collection plan states a few critical aspects: for which indicators we collect data, how the data is to be collected (system source or manually), types of data, who is responsible for data collection, how the data is to be analysed and for what purpose.

DATA QUALITY CHECK

In order to achieve reliable analysis results, the data we collect must meet a few key criteria: to be collected according to a clear definition and method, to be collected at regular intervals, measurement method to be clearly stated and observed, etc. The method for checking data quality is part of the Lean Six Sigma trainings where it is studied in greater detail.

PHASE 3: ANALYZE

The main objective of Analyse phase is to uncover the problems and from there – to analyze and confirm possible root causes. By treating the root causes the team is working on preventing their re-occurence with the purpose of systematic and long term resolution.

STUDYING THE PROCESS

At the start of the project we perform research of issues. In Analyse phase this research goes deeper aiming for a more holistic view on the problem analysis. Additional information, data, feedback are collected from clients and stekeholders.

ISSUES CLASSIFICATION

The logical classification of issues is an important step to their resolution. We determine clusters according to key characteristics. One of the tools that we use is the so called Affinity diagram.

ROOT-CAUSE ANALYSIS

Root-cause analysis dates back to Toyota Production System and is one of the oldest and most successful analysis tools. The Ishikawa diagram, also known as Fishbone, provides an opportunity to reach to the essence of any problem and discover its root causes. Engaging the right experst and skilfully facilitating the discussion are of critical importance for successfully applying this tool. In the Lean Six Sigma trainings participants receive detailed guidance on the tool usage and also practise in learning environment.

PRIORITISATION AND CONFIRMATION OF ROOT CAUSES

The next step is prioritizing the root causes in line with the project objectives, assessing their impact on problem resolution, as well as searching for data evidence that these are the real root causes for the problem to appear. At this stage we look for evidence through data analysis, testing hypothesis, possible correlations and other analysis tools from the wide range of Six Sigma methods.

PHASE 4: IMPROVE

Improve Phase is the stage of finding feasible solutions and their implementation. From addressing the confirmed root causes the team generates solutions that remove process problems in the long term.

SOLUTIONS THAT ADDRESS ROOT CAUSES

Based on confirmed root causes the team starts work on identifying feasible solutions. Creative thinking techniques are used together with practising group facilitation and using decision making tools. Improve phase is when feasible solutions are found and implemented. From addressing the confirmed root causes the team generates solutions that remove process problems in the long term.

SOLUTION SELECTION

The proposed solutions are further analysed and a prioritization and selection of the best ones is made focusing on those that will have highest positive impact. Key criteria are selected and the solutions are prioritized using relevant prioritization tools.

SOLUTION IMPLEMENTATION

Implementation plan for solution realization is completed. The plan contains a detailed list of activities, deadlines, owners, etc. In addition, there is traking of how key indicators change over time and monitoring is established for possible issues.

REPORTING INITIAL RESULTS FROM SOLUTION IMPLEMENTATION

After completing the implementation the team reports the first set of results. This gives us an initial indication about the operation of the new process shortly after the change. We can compare the baseline data at the start of the project with the data right after the solution implementation.

PHASE 5: CONTROL

Control phase is the final phase of the improvement project. During this phase we report the final results and stability of the improved process; we also complete activities that ensure sustainable performance after the process change.

REPORTING FINAL PROJECT RESULTS

After implementation is completed, we continue to collect and report data on key indicators that we have identified in the Project charter and for which we have collected baseline data. This is done with the purpose to track change in indicators over time and to prove through data that the process has been changed, by comparing data at the start of the project before the change to data at the end of the project and after the defined monitoring period is closed. This is the way to demonstrate that the project has resulted in a process change and this change is positive.

SETTING UP CONTROLS

Setting up controls is done with the purpose to achieve sustainability of the change over time. The suitable control levers ‘catch’ potential problems on time and prevent the occurence of new issues.

ENSURING SUSTAINABILITY

After achieving and proving positive change, we need to work towards making it sustainable over time. Apart from setting up controls, we need other mechanisms: training, updating SOP (standard operating procedures) documentation, communication, maintenance plan, control plan, etc. depending on the process. If a process is left without proper controls, it tends to go back to its initial condition after a period of time.

• LEAN METHODOLOGY
• LEAN SIX SIGMA YELLOW BELT (LSSYB)
• LEAN SIX SIGMA GREEN BELT (LSSGB)
• LEAN SIX SIGMA BLACK BELT (LSSBB)
• LEAN SIX SIGMA FOR CHAMPIONS (EXECUTIVES)
• CERTIFICATE VERIFICATION
• PROJECT MANAGEMENT (PM)
• PROFESSIONAL SCRUM MASTER (PSM I)
• PROFESSIONAL SCRUM PRODUCT OWNER™ (PSPO I)
• SCRUM DEVELOPER CERTIFIED (SDC™)
• SCRUM MASTER CERTIFIED (SMC™)
• SCRUM AGILE MASTER CERTIFIED (SAMC™)
• SCRUM PRODUCT OWNER CERTIFIED (SPOC™)
• EXPERT SCRUM MASTER (ESM™)
• IT TRAINING
• LEAN CONSULTING
• STRATEGY AND TRANSFORMATION
• DATA MANAGEMENT, ANALYTICS AND INSIGHTS
• GLOBAL BUSINESS SERVICES AND CENTER OF EXPERTISE
• WHY GET SIX SIGMA CERTIFIED?
• SIX SIGMA VERSUS TRADITIONAL QUALITY
• VIDEO RESOURCES
• SCRUM CERTIFICATION HIERARCHY
• SCRUM METHODOLOGY
• SCRUM BODY OF KNOWLEDGE
• AGILE METHODOLOGY
• PROJECT MANAGEMENT
• PROCESS OPTIMISATION THROUGH LEAN METHODS
• SUPPLY CHAIN OPTIMISATION THROUGH LEAN & SIX SIGMA
• DATA ANALYTICS PROJECT
• ENGAGEMENT PROJECT

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Project Phases

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• Lesson resources Resources
• Quick reference Reference

About this lesson

The Lean Six Sigma methodology relies on a five-phased project management methodology. The phases Define, Measure, Analyze, Improve, and Control provide structure to the project.

Exercise files

Download this lesson’s related exercise files.

Quick reference

When to use.

These phases are used in this order on every Lean Six Sigma project – no exceptions.

Instructions

The Lean Six Sigma methodology uses a five-phase project management approach. Every project goes through these five phases in this order. Sometimes a team can complete an entire phase in a day and sometimes it takes months to complete a phase. However, the phases must be followed in order because each phase relies on the result of the preceding phase to determine what needs to be done.

The first two phases focus on identifying the problem. In the Define phase, the business sets the high-level goals. The project boundaries are established and a clear understanding of how this project aligns to business goals and objectives is articulated. In the measure phase the team turns inward to the product or process. Detailed process maps are completed, the measurement system used to collect data is validated and the problem or process data is collected.

The Analyze phase is the point where the team analyzes the data to discover the root cause or causes. In some cases, the cause will be immediately apparent. In other cases, the team may need to go through several rounds of data collection and statistical analysis to zero in on the correct issue. Regardless, in this phase the team determines the sources of variation and waste and are then able to set the precise levels of improvement that are realistically achievable.

In the final two phases the solution is developed and implemented. The Improve phase creates the solution to the problem. It may be simple changes to procedures or it may be complex changes to processes. In some cases, it may involve purchasing or upgrading capital equipment – then the stakeholders must usually be consulted before the solution can be implemented. Nevertheless, the team creates the solution along with new procedures, process maps and measurement systems. Then they test these to ensure they fix the problem. Afterwards the improvements are implemented in the Control phase. That includes updating the business systems and procedures that are impacted by the change as well as training operators and users. A control plan is put in place for the business team to be able to sustain the improved performance. And of course, the team closes the project and documents the results.

Hints & tips

• Don’t jump to conclusions to fix a problem. Follow the five phases and ensure you have valid data to support your improvements.
• Don’t delay in a phase doing additional unnecessary analysis once you have answered the questions for that phase. Move on to the next phase.
• 00:04 Hi, I'm Ray Sheen.
• 00:06 It's time now for us to go through the phases of a Lean Six Sigma project.
• 00:12 One of the important keys to success of Lean Six Sigma is that every project
• 00:16 follows a similar path so people know what to do and what to expect.
• 00:21 The path is the DMAIC process.
• 00:23 Define, Measure, Analyze, Improve, and Control.
• 00:27 As a team starts down the path in the Define phase,
• 00:30 the business is setting targets and boundaries.
• 00:33 On to the measure phase, and
• 00:34 the team is investigating the problem to determine what is really going on.
• 00:39 Together, these phases are clarifying the real problem and the business impact.
• 00:43 Then comes the analysis phase where the true problem solving occurs.
• 00:48 Lean Six Sigma relies heavily on disciplined statistical analysis of data.
• 00:53 And that occurs in this point.
• 00:55 When the problem is now well understood, the team creates a practical,
• 00:59 viable solution for the problem in the Improve phase.
• 01:02 And that problem is implemented with all appropriate changes to systems, processes,
• 01:07 and procedures during the control phase.
• 01:10 Let's look at each of these in a little more detail.
• 01:13 We'll start at the beginning with the Define phase.
• 01:15 The purpose of these phase is to clearly and
• 01:18 precisely define the goals of this project from a business or a customer prospective.
• 01:24 It's at this time that the stakeholders ensure that the team is aligned around
• 01:28 the business objectives.
• 01:30 Now, during this phase, the team and stakeholders agree on boundaries.
• 01:35 Some of the more common tools to use this are a project charter or
• 01:38 a high level process map.
• 01:40 We don't want the team to spend effort on perceived problems that are irrelevant to
• 01:45 the business.
• 01:46 This sets the priorities and directs the teams in their areas of focus.
• 01:51 Next comes the measure phase.
• 01:53 With the focus set, the team now goes out and collects accurate, meaningful,
• 01:57 reliable data about the problem to be solved or the process to be improved.
• 02:02 This data relates back to the critical to quality characteristics that
• 02:06 were set in the Define phase.
• 02:08 There are several activities that the team must do to accomplish this work.
• 02:11 They must map the process in detail to understand the types of
• 02:14 activities that are going on.
• 02:15 With this information, they can take high level CTQs from the Define phase
• 02:20 like the customer expects on-time delivery, and
• 02:23 translate those into specific product or process CTQs, such as
• 02:28 the time from receipt of order to shipment of the product should not exceed 24 hours.
• 02:32 You can see from that CTQ that the teams will often need to set
• 02:36 performance standards also during this phase.
• 02:39 Then, once those are set,
• 02:40 the data must be collected to determine if the standards are being met.
• 02:45 By now, the problem is defined so it's time to analyze the data that was
• 02:49 collected to see what it tells us about the problem.
• 02:52 The purpose, then,
• 02:53 of this phase is to determine exactly how well the process is performing, and
• 02:57 to identify any causes that contribute to substandard performance.
• 03:02 From a statistical standpoint, that means determining the process capability or
• 03:06 Sigma level.
• 03:07 But it may also mean analyzing the flow with Lean metrics
• 03:11 to identify bottlenecks and waste.
• 03:13 With the capability and flow metrics,
• 03:14 we can now set realistic goals for improvement.
• 03:17 Now notice, the specific improvement goal for
• 03:20 the project is not determined until this phase.
• 03:24 This is one of the ways that Lean Six Sigma projects differ
• 03:27 from traditional projects.
• 03:29 The specific project success criteria is
• 03:32 not established until halfway through the project.
• 03:35 It's also at this time that the cause of variations and waste are determined,
• 03:39 including the magnitude and contribution from each cause.
• 03:43 Well, now onto the Improve phase.
• 03:44 The purpose of this phase is pretty clear.
• 03:48 Fix the problem, improve the process.
• 03:51 Depending upon the underlying causes,
• 03:52 there are a number of improvement approaches that could be used.
• 03:56 Whichever one fits the purpose, the team must develop and test the solution.
• 04:00 This may involve creating new process maps or value stream maps.
• 04:04 It may mean changing a supplier or an element of the design.
• 04:08 It almost always includes some change in operating procedures.
• 04:12 The team should prototype or simulate the implementation of the solution so
• 04:16 that they could foresee business impacts of putting it in place.
• 04:18 The solution must be practical given the business context.
• 04:23 The final phase is the control phase.
• 04:25 This is the phase that transitions the improvement
• 04:29 from the project team to the business processes, and
• 04:32 ensures that the implementation will become the new normal mode of operations.
• 04:36 By doing so, the product or process should achieve the project goal and
• 04:40 be able to sustain that performance.
• 04:42 There are several important activities to take place.
• 04:46 There needs to be a validated measurement system to ensure that the new process can
• 04:49 be measured and that it is working correctly.
• 04:53 With the system working,
• 04:54 new process standards are established and other related business processes or
• 04:58 systems in the organization are changed, including training the users.
• 05:02 Now, the team does not assume that everything will always go as expected, so
• 05:06 the team creates a control plan to help users maintain and
• 05:10 sustain their performance.
• 05:11 And, of course, the team needs to bring the project to an orderly close,
• 05:15 dispose of any team resources, and
• 05:17 ensure the documentation of the results is being archived correctly.
• 05:23 So those are the five phases.
• 05:25 And we'll spend a number of sessions in each phase going through the tools and
• 05:29 techniques that are typically used in that phase.

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© 2024 GoSkills Ltd. Skills for career advancement

Wednesday, November 15, 2017

• The Seven Steps of Problem Solving

• Select the issue.
• Search for data to describe the situation.
• Analyze the facts to obtain root cause(s) of the performance gap.
• Select a solution.
• Conduct a pilot test.
• Evaluate performance.
• Standardize the gains, reflect, and repeat the process.

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• A Step-by-Step Guide to A3 Problem Solving Methodology

• Learn Lean Sigma
• Problem Solving

Problem-solving is an important component of any business or organization. It entails identifying, analyzing, and resolving problems in order to improve processes, drive results, and foster a culture of continuous improvement. A3 Problem solving is one of the most effective problem-solving methodologies.

A3 Problem solving is a structured and systematic approach to problem-solving that originated with the lean manufacturing methodology. It visualizes the problem-solving process using a one-page document known as an A3 report. The A3 report provides an overview of the problem, data analysis, root causes, solutions, and results in a clear and concise manner.

A3 Problem Solving has numerous advantages, including improved communication, better decision-making, increased efficiency, and reduced waste. It is a powerful tool for businesses of all sizes and industries, and it is especially useful for solving complex and multi-faceted problems.

In this blog post, we will walk you through the A3 Problem Solving methodology step by step. Whether you are new to A3 Problem Solving or simply want to improve your skills, this guide will help you understand and apply the process in your workplace.

Table of Contents

What is a3 problem solving.

A3 Problem Solving is a structured and systematic approach to problem-solving that makes use of a one-page document called an A3 report to visually represent the process. The A3 report provides an overview of the problem, data analysis, root causes, solutions, and results in a clear and concise manner. The method was created within the framework of the Lean manufacturing methodology and is based on the principles of continuous improvement and visual management.

Looking for a A3 Problem solving template? Click here

Origin and History of A3 Problem Solving

A3 Problem Solving was developed by Toyota Motor Corporation and was first used in the manufacture of automobiles. The term “A3” refers to the size of the paper used to create the report, which is an ISO standard known as “A3”. The goal of the A3 report is to provide a visual representation of the problem-solving process that all members of the organisation can easily understand and share. A3 Problem Solving has been adopted by organisations in a variety of industries over the years, and it has become a widely used and recognised method for problem-solving.

Key Principles of A3 Problem Solving

The following are the key principles of A3 Problem Solving:

• Define the problem clearly and concisely
• Gather and analyze data to gain a deep understanding of the problem
• Identify the root causes of the problem
• Develop and implement effective solutions
• Evaluate results and continuously improve

These principles serve as the foundation of the A3 Problem Solving methodology and are intended to assist organisations in continuously improving and achieving their objectives. Organizations can effectively solve problems, identify areas for improvement, and drive results by adhering to these principles.

Step 1: Define the Problem

Importance of clearly defining the problem.

The first step in the A3 Problem Solving process is critical because it lays the groundwork for the remaining steps. To define the problem clearly and accurately, you must first understand the problem and identify the underlying root cause. This step is critical because if the problem is not correctly defined, the rest of the process will be based on incorrect information, and the solution developed may not address the issue effectively.

The significance of defining the problem clearly cannot be overstated. It aids in the collection and analysis of relevant data, which is critical for developing effective solutions. When the problem is clearly defined, the data gathered is more relevant and targeted, resulting in a more comprehensive understanding of the issue. This will enable the development of solutions that are more likely to be effective because they are founded on a thorough and accurate understanding of the problem.

However, if the problem is not clearly defined, the data gathered may be irrelevant or incorrect, resulting in incorrect conclusions and ineffective solutions. Furthermore, the process of collecting and analysing data can become time-consuming and inefficient, resulting in resource waste. Furthermore, if the problem is not accurately defined, the solutions developed may fail to address the root cause of the problem, resulting in ongoing issues and a lack of improvement.

Techniques for Defining the Problem

The first step in the A3 Problem Solving process is to clearly and accurately define the problem. This is an important step because a clearly defined problem will help to ensure that the appropriate data is collected and solutions are developed. If the problem is not clearly defined, incorrect data may be collected, solutions that do not address the root cause of the problem, and time and resources may be wasted.

A problem can be defined using a variety of techniques, including brainstorming , root cause analysis , process mapping , and Ishikawa diagrams . Each of these techniques has its own advantages and disadvantages and can be used in a variety of situations depending on the nature of the problem.

Best Practice for Defining the Problem

In addition to brainstorming, root cause analysis, process mapping, and Ishikawa diagram s, best practices should be followed when defining a problem in A3 Problem Solving. Among these best practices are:

• Define the issue in a specific and quantifiable way: It is critical to be specific and concise when defining the problem, as well as to quantify the problem in terms of its impact. This will help to ensure that all stakeholders understand the problem and that data collection is focused on the right areas.
• Focus on the problem’s root cause: The A3 Problem Solving methodology is intended to assist organisations in identifying and addressing the root cause of a problem, rather than just the symptoms. Organizations can ensure that their solutions are effective and long-lasting by focusing on the root cause of the problem.
• Ascertain that all stakeholders agree on the problem’s definition: All stakeholders must agree on the definition of the problem for the A3 Problem Solving process to be effective. This ensures that everyone is working towards the same goal and that the solutions developed are relevant and appropriate.
• Consider the problem’s impact on the organisation and its stakeholders: It is critical to consider the impact of the problem on the organisation and its stakeholders when defining it. This will assist in ensuring that the appropriate data is gathered and that the solutions developed are relevant and appropriate.

Organizations can ensure that their problem is defined in a way that allows for effective data collection, analysis, and solution development by following these best practices. This will aid in the development of appropriate solutions and the effective resolution of the problem, resulting in improvements in the organization’s processes and outcomes.

Step 2: Gather Data

Gathering data in a3 problem solving.

Data collection is an important step in the A3 Problem Solving process because it allows organisations to gain a thorough understanding of the problem they are attempting to solve. This step entails gathering pertinent information about the problem, such as data on its origin, impact, and any related factors. This information is then used to help identify root causes and develop effective solutions.

One of the most important advantages of data collection in A3 Problem Solving is that it allows organisations to identify patterns and trends in data, which can be useful in determining the root cause of the problem. This information can then be used to create effective solutions that address the problem’s root cause rather than just its symptoms.

In A3 Problem Solving, data collection is a collaborative effort involving all stakeholders, including those directly impacted by the problem and those with relevant expertise or experience. Stakeholders can ensure that all relevant information is collected and that the data is accurate and complete by working together.

Overall, data collection is an important step in the A3 Problem Solving process because it serves as the foundation for effective problem-solving. Organizations can gain a deep understanding of the problem they are attempting to solve and develop effective solutions that address its root cause by collecting and analysing relevant data.

Data Collection Methods

In A3 Problem Solving, several data collection methods are available, including:

• Observations
• Process diagrams

The best data collection method will be determined by the problem being solved and the type of data required. To gain a complete understanding of the problem, it is critical to use multiple data collection methods.

Tools for Data Analysis and Visualization

Once the data has been collected, it must be analysed and visualised in order to gain insights into the problem. This process can be aided by the following tools:

• Excel Spreadsheets
• Flow diagrams
• Pareto diagrams
• Scatter Plots
• Control diagrams

These tools can assist in organising data and making it easier to understand. They can also be used to generate visual representations of data, such as graphs and charts, to communicate the findings to others.

Finally, the data collection and analysis step is an important part of the A3 Problem Solving process. Organizations can gain a better understanding of the problem and develop effective solutions by collecting and analysing relevant data.

Step 3: Identify Root Causes

Identifying the root causes of the problem is the third step in the A3 Problem Solving process. This step is critical because it assists organisations in understanding the root causes of a problem rather than just its symptoms. Once the underlying cause of the problem is identified, it can be addressed more effectively, leading to more long-term solutions.

Overview of the Root Cause Analysis Process

The process of determining the underlying causes of a problem is known as root cause analysis. This process can assist organisations in determining why a problem is occurring and what can be done to prevent it from recurring in the future. The goal of root cause analysis is to identify the underlying cause of a problem rather than just its symptoms, allowing it to be addressed more effectively.

To understand Root cause analysis in more detail check out RCA in our Lean Six Sigma Yellow Belt Course Root Cause Analysis section

Techniques for Identifying Root Causes

There are several techniques for determining the root causes of a problem, including:

• Brainstorming
• Ishikawa diagrams (also known as fishbone diagrams)
• Root Cause Tree Analysis

These methods can be used to investigate the issue in-depth and identify potential root causes. Organizations can gain a deeper understanding of the problem and identify the underlying causes that must be addressed by using these techniques.

Best Practices for Conducting Root Cause Analysis

It is critical to follow these best practices when conducting root cause analysis in A3 Problem Solving:

• Make certain that all stakeholders participate in the root cause analysis process.
• Concentrate on determining the root cause of the problem rather than just its symptoms.
• Take into account all potential root causes, not just the most obvious ones.
• To identify root causes, use a systematic approach, such as the 5 Whys or root cause tree analysis.

Organizations can ensure that root cause analysis is carried out effectively and that the root cause of the problem is identified by adhering to these best practises. This will aid in the development of appropriate solutions and the effective resolution of the problem.

Step 4: Develop Solutions

Developing solutions is the fourth step in the A3 Problem Solving process. This entails generating ideas and options for dealing with the problem, followed by selecting the best solution. The goal is to develop a solution that addresses the root cause of the problem and prevents it from recurring.

Solution Development in A3 Problem Solving

A3 solution development Problem solving is an iterative process in which options are generated and evaluated. The data gathered in the previous steps, as well as the insights and understanding gained from the root cause analysis, guide this process. The solution should be based on a thorough understanding of the problem and address the underlying cause.

Techniques for Developing Solutions

There are several techniques that can be used to develop solutions in A3 Problem Solving, including:

• Brainwriting
• Solution matrix
• Multi voting
• Force field analysis

These techniques can help to generate a range of options and to select the best solution.

Best Practice for Developing Solutions

It is critical to follow the following best practices when developing solutions in A3 Problem Solving:

• Participate in the solution development process with all stakeholders.
• Make certain that the solution addresses the underlying cause of the problem.
• Make certain that the solution is feasible and achievable.
• Consider the solution’s impact on the organisation and its stakeholders.

Organizations can ensure that the solutions they develop are effective and sustainable by adhering to these best practises. This will help to ensure that the problem is addressed effectively and that it does not reoccur.

Step 5: Implement Solutions

The final and most important step in the A3 Problem Solving methodology is solution implementation. This is the stage at which the identified and developed solutions are put into action to address the problem. This step’s goal is to ensure that the solutions are effective, efficient, and long-lasting.

The implementation Process

The implementation process entails putting the solutions developed in the previous step into action. This could include changes to processes, procedures, and systems, as well as employee training and education. To ensure that the solutions are effective, the implementation process should be well-planned and meticulously executed.

Techniques for Implementing Solutions

A3 Problem Solving solutions can be implemented using a variety of techniques, including:

• Piloting the solution on a small scale before broadening its application
• Participating in the implementation process with all relevant stakeholders
• ensuring that the solution is in line with the goals and objectives of the organisation
• Monitoring the solution to determine its effectiveness and make any necessary changes

Best Practice for Implementing Solutions

It is critical to follow these best practices when implementing solutions in A3 Problem Solving:

Make certain that all relevant stakeholders are involved and supportive of the solution. Have a clear implementation plan that outlines the steps, timeline, and resources required. Continuously monitor and evaluate the solution to determine its efficacy and make any necessary changes. Encourage all stakeholders to communicate and collaborate openly. Organizations can ensure that solutions are effectively implemented and problems are effectively addressed by adhering to these best practices. The ultimate goal is to find a long-term solution to the problem and improve the organization’s overall performance.

In conclusion, A3 Problem Solving is a comprehensive and structured methodology for problem-solving that can be applied in various industries and organisations. The A3 Problem Solving process’s five steps – Define the Problem, Gather Data, Identify Root Causes, Develop Solutions, and Implement Solutions – provide a road map for effectively addressing problems and making long-term improvements.

Organizations can improve their problem-solving skills and achieve better results by following the key principles, techniques, and best practices outlined in this guide. As a result, both the organisation and its stakeholders will benefit from increased efficiency, effectiveness, and satisfaction. So, whether you’re an experienced problem solver or just getting started, consider incorporating the A3 Problem Solving methodology into your work and start reaping the benefits right away.

Daniel Croft

Daniel Croft is a seasoned continuous improvement manager with a Black Belt in Lean Six Sigma. With over 10 years of real-world application experience across diverse sectors, Daniel has a passion for optimizing processes and fostering a culture of efficiency. He's not just a practitioner but also an avid learner, constantly seeking to expand his knowledge. Outside of his professional life, Daniel has a keen Investing, statistics and knowledge-sharing, which led him to create the website learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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Lean Problem Solving

Lean Problem Solving is a way of approaching organizational problems that is characterized by continuous improvement and the use of proven, problem-solving methodologies. 

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The Lean Post / Articles / What Problems Are Lean Practices? Part 1 of 2

Problem Solving

What Problems Are Lean Practices? Part 1 of 2

By Michael Ballé

November 11, 2009

Dear Gemba Coach: I keep reading that lean is about solving problems. But that's exactly what I already do in my job. So how is lean different?

Dear Gemba Coach,

I keep reading that lean is about solving problems. But that’s exactly what I already do in my job. So how is lean different?

That’s a very good question. To explore this issue more deeply, let’s start by clarifying exactly what we mean by “problems.” Let’s distinguish four specific types of problem solving : (1) the workaround, (2) the immediate countermeasure, (3) structured problem solving and root cause analysis, and (4) the kaizen initiative. The distinction I am making here is somewhat arbitrary as there are other problem-solving situations, as well as overlap between these categories, but let’s use it now, for argument’s sake, to try and clarify the question.

The workaround is what we tend to do intuitively when something goes wrong. We don’t want to solve the problem; we just want it to go away. So we look for the simplest way we can go back to our “normal’ work . We harvest a missing part from one machine to compensate for a missing part in stock, for example, which does not solve the problem but does postpone it. The overhauled equipment will be immobilized until the replacement part arrives, but this part may arrive before any damage is done, so no one is wiser. Workaround works as the “garbage can” model of decision-making. Problems are represented as garbage cans that land on your desk. You chuck into them the obvious solutions that come to your mind, and this eventually makes the problem disappear (the can vanishes). If you can’t find the right “solution,”you can then toss the garbage can on your neighbor’s desk, who will then try the same thing. In the lean perspective this is not problem solving. So: what is problem solving in the lean context?

Identifying Gaps

Lean defines a problem as a gap to a standard – a discrepancy between the way things should be running and the way that they are. To have problems, you need standards. Otherwise you have concerns or issues, but not problems. Standards are clear descriptions of good working conditions, which enable gaps to be immediately identified and thus addressed. These types of responses are immediate countermeasures. For instance, the warehouse holding the parts will have clear visual controls that clearly indicate that the components that should be there are actually there. If a slot is empty, workers can call for the part before it is needed for an urgent repair. This is what lean calls an immediate countermeasure. The lean manager does not wait for problems to explode in her face because she is constantly worrying about whether her operations are in “normal conditions.” This means work that follows standard processes, which orients her to looking for gaps and reacting immediately when seeing that something is not right. Safety problems highlight this very clearly. It is easier to monitor whether someone is wearing a seatbelt, or not drinking before getting behind the wheel, than it is to try and take the steering wheel out of their hands to avoid a fatal crash. Yet, this requires (1) a precise understanding of what it means to drive safely and (2) the personal ability (self confidence, political clout, etc.) to face the person when they tell you that they don’t need to wear the belt just for a couple of miles, that they only had a few glasses and will be fine, or that keeping to the speed limit makes them drowsy.

Immediate countermeasures should be standardized as well. As you deal with problems you will encounter common issues that appear frequently and which can be addressed with common responses. For instance, a customer quality complaint can trigger the standard response of immediately installing a 100% check at the end of the process . Remember that the goal of immediate countermeasures is to (1) protect the customer and (2) return to normal conditions. The great difficulty is to resist the workaround under pressure. Clearly something needs to be done in a hurry, but it is also important to follow procedures. Only high-risk and unique circumstances should trigger a “red alert” awareness with a quick workaround. Yet workarounds should never be considered normal or acceptable: they are the occasion for “all hands on deck and battle stations,” and employees should be especially on the lookout for unexpected consequences.

Root Cause Analysis

The next set of situations warrants a deeper kind of problem solving. These are the situations that can’t be fixed easily, which cannot return to normal conditions quickly. One example is a work condition that frequently deviates from the standard. The problem repeats itself often, and while workers know a countermeasure, actually using it disrupts work. This would include using special freight to get parts from the supplier when they’re not in stock. We know how to use these urgent transport means, which let us live through the problem but they are costly and disruptive. And they are not the proper action, which is to investigate the causes of recurring out-of-stock parts.

Such situations warrant a deeper kind of problem solving: one that strives to identify the root cause of the problem in order to enact the right solution and avoid the usual blundering of trying one thing after another until we stumble on a satisfying compromise. Problem solving of this nature is above all a test of leadership. So when you are confronted with this process ask yourself who has the leadership ability to conduct the analysis to the end and follow the method smartly as well as engaging the other stakeholders.

This structured approach to problem solving has been clearly explained by John Shook in Managing to Learn and by Art Smalley and Durward Sobek in Understanding A3 Thinking . I urge people to read both these terrific books. Essentially, it comes down to following the PDCA approach through eight steps:

• Clarify the problem
• Grasp the situation
• Set a target
• Analyze the root cause
• Develop countermeasures
• See countermeasures through
• Evaluate both results and process
• Standardize successful processes

Finally, there is kaizen. Kaizen is about improving processes even when there are no fires to put out. Because no process can ever be considered perfect, there are always opportunities to learn and improve through careful analysis and experimentation. Kaizen exercises train the process owner to understand his or her operations better by tackling a particular problem. There are several standardized kaizen methods that include 5S , one-piece-flow, TPM , SMED , value -stream mapping, and more. These are standard analysis method one can use on any process to understand it better and unearth opportunities for improvement. One can then quickly try solutions until the performance and the process is improved. Kaizen is first and foremost a tool to teach managers to run their processes more effectively and to listen to the idea of their employees.

I hope you’ll see that these last three approaches – immediate countermeasure to return to standard, root cause problem solving, and kaizen – are significantly different from a simple workaround. The rigor and discipline of these problem-solving approaches are essential to lean. Lean leaders must master the process of problem solving. Recently, a CEO of a midsize company who is driving a lean transformation through his business told me that he was facing a challenge. He was arguing with his top management team. The CEO was struggling to explain to his top managers that he expected his middle management team to improve their processes, not to simply keep them running on a daily basis. Making processes run was the job of frontline management, not mid-level managers. And mentoring middle managers so that they understood this was the job of senior managers. In order to improve processes, the leaders needed to teach middle managers how to solve problems rather than invent workarounds for their subordinates. In actual practice this is a radical change of the professional culture. Ask yourself: is this really what you do when you solve problems at your company?

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About Michael Ballé

Michael Ballé is co-author of The Gold Mine, a best-selling business novel of lean turnaround, and recently The Lean Manager, a novel of lean transformation, both published by the Lean Enterprise Institute. For the past 25 years, he has studied lean transformation and helped companies develop a lean culture. He is…

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Las 5 Fases de Lean

LAS CINCO FASES DEL LEAN

En el post anterior, vimos que el Lean se basa en la eliminación de despilfarros y actividades que no añaden valor a los procesos.

La transformación Lean de una empresa requiere como primer paso identificar qué representa valor para el cliente sea externo o interno. Los esfuerzos de toda la empresa deberán enfocarse en esta dirección, suprimiendo o reduciendo cualquier actividad que no aporte valor según el cliente.

El segundo paso es conseguir que este valor fluya a través de las operaciones que le añaden dicho valor sin interrupciones, retrasos, acumulaciones o errores.

La velocidad de este flujo no debe venir marcada por el productor (enfoque “PUSH”), sino por el cliente ( enfoque “PULL” ). Es decir, es el cliente quien, como  un director de orquesta, marca el ritmo al que la empresa debe producir, a fin de suministrarle el producto que necesita, cuando lo necesita  y en la cantidad que necesita.

La perfección es un ideal al que se tiende iterando este ciclo de forma continua, intentando mejorar en cada iteración la proporción de esfuerzo dedicado a añadir valor, el flujo del valor por la cadena y la adecuación de la producción al “pull” del cliente.

En conclusión, podríamos destacar cinco puntos clave en la implantación Lean:

• 1. ESPECIFICAR VALOR: ¿Qué representa valor para el cliente?
• 2. IDENTIFICAR LA CADENA DE VALOR: ¿Qué actividades comprende la fabricación de un bien o servicio?
• 3. CREAR FLUJO: Eliminar las barreras que evitan que el valor fluya libremente
• 4. CREAR “PULL”:  Producir siempre al ritmo que marca el cliente
• 5. PERFECCIÓN:   Repetir el ciclo, acercándonos a la perfección en cada iteración

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