HVN/Shingo Quick Assessment

for Operational Excellence

ORGANIZATIONAL TRANSFORMATION WITH PRINCIPLES, SYSTEMS, & TOOLS

The Shingo Prize for Operational Excellence

Jon M. Huntsman School of Business
Utah State University
Logan, Utah USA
www.shingoprize.org

Version 1.4/2011
June 2011

Copyright © 2011 The Shingo Prize for Operational Excellence. All rights reserved.

The content of this publication may not be reproduced, copied, edited or distributed without the express written permission of
The Shingo Prize for Operational Excellence, administered by the Jon M. Huntsman School of Business at Utah State University.
Page | 2
Cultural Enabler Focus Systems | Questions OBJECTIVE
Who do you go to when you have a problem?
Leadership Training How do your supervisors/managers help you solve problems? Enabling guided decision-
Managers and supervisors are seen as
1 mentors & coaches
Leadership Std. Work How accessible are your leaders to work on problems? making at the lowest
Coaching Tell me about how you have solved a problem with your supervisor/manager? level.
Do you see the same problems continue to reoccur in your area?

What do you do when you see a problem in your area? Problems are owned and
Employees are empowered and Visual Management
What support do you receive when you are fixing a problem? embraced by the
2 recognized for signaling problems or Suggestions/Idea
When do you work on fixing the problems? workforce. Problems are
defects that occur in their area. Award/Recognition
Have you ever been awarded for detecting key problems in your area? seen as opportunities.

What kind of ongoing training do you receive for your position regarding continuous
OJT improvement and problem solving? Coaching creates front
On-the-job coaching in lean practices is a
3 daily part of the culture
New Hire Orientation Tell me about the philosophy of continuous improvement when you were hired on, line leadership and a
now after working here for some time how does that correlate with reality? culture of empowerment

Recognition is frequent,
Recognition system focuses on When was the last time you were recognized or awarded something? timely and specific;
Award/Recognition
4 performance that encourages ideal
Strategy Deployment
Who awarded that to you? What was it for? Can you show me your award? awarded for achieving
behavior. What would be a great award that would motivate you? great performance with
ideal behavior

What are some of the barriers that you have seen with communicating to leadership?
Leadership Training Tell me about leadership’s involvement in teams in your area.
Sense of trust among leaders, managers, Eliminate a "we-they"
5 and associates.
Communication/Sharing How easy is it to communicate with your supervisor, manager, leaders?
culture
Coaching Describe the support you receive from you leaders? How open, transparent is the
communication?

Managers and supervisors are seen on a How often do you see managers and leaders in your area? Is it on a routine basis or Promotes go and see
Go & See/ Gemba
regular basis in the work area engaging more sporadic? What do they focus on?
6 with the workforce to better understand
Leadership Std. Work
Do you feel they understand your day-to-day issues, concerns?
mentality and engaged,
Coaching coaching leadership team
their reality.

Ideas are valued at all

If you could change and improve ONE thing in your area that would make life easier, levels with open &
Improvement ideas are processed quickly
Suggestion/Idea what would you change? Tell me about how you would make that change, what is
(within 2 weeks) with feedback to the transparent
7 originator regardless if the idea was
Communication the process?
communication to
Coaching Have you ever suggested an improvement in your area? When was it, and tell me
implemented encourage and coach
about what happened?
great improvement

Page | 3
Cultural Enabler Focus Observations(Behavior)

Managers and supervisors are seen as

1 mentors & coaches

Employees are empowered and

2 recognized for signaling problems or
defects that occur in their area.

On-the-job coaching in lean practices is a

3 daily part of the culture

Recognition system focuses on

4 performance that encourages ideal
behavior.

Sense of trust among leaders, managers,

5 and associates.

Managers and supervisors are seen on a

regular basis in the work area engaging
6 with the workforce to better understand
their reality.

Improvement ideas are processed quickly

(within 2 weeks) with feedback to the
7 originator regardless if the idea was
implemented

Page | 4
Cultural Enabler Focus 0    OBJECTIVE

No evidence
Significant problem-solving at Enabling guided decision-
Very little evidence that problems
Managers and supervisors are seen as Manager leading problem-solving, lowest level of organization.
1 mentors & coaches
are made visible. Manager as
engaging front-line staff Managers consistently acting as
making at the lowest
problem-solver. level.
coach, asking Socratic questions.

No evidence
Significant # of problems and Problems are owned and
Employees are empowered and Few employees involved in Some employees are empowered
defects are identified and solved embraced by the
2 recognized for signaling problems or signaling defects and problems, and some recognition, or only in
by employees, with visible and workforce. Problems are
defects that occur in their area. no recognition parts of the department
meaningful recognition. seen as opportunities.

No evidence
Coaching is consistent and
Coaching evident but Coaching creates front
No evidence of coaching. evident throughout the
On-the-job coaching in lean practices is a inconsistent. Manager continues
3 daily part of the culture
Posters, etc. but manager
to solve most problems without
organization. Employees can site line leadership and a
continuing to solve issues examples/ benefits culture of empowerment
employee input
consistently.

No evidence Recognition is consistent, evident Recognition is frequent,

Ideal Behavior evident and timely and specific;
Recognition system focuses on and visible to everyone.
Ideal behavior, standard work, is recognition is seen though
4 performance that encourages ideal
found in spots but no recognition inconsistent in content and
Examples of ideal behavior awarded for achieving
behavior. recognized, accompanies great performance with
application.
celebrations. ideal behavior
No evidence

Little evidence of issues being Employees reporting system Employees express ability to
Sense of trust among leaders, managers, Eliminate a "we-they"
5 and associates.
reported. Employees hiding issues but continue to hide report issues with confidence in a
culture
issues. "mistakes" positive response consistently.
No evidence

Managers and supervisors are seen on a Promotes go and see

Pockets of consistent leadership Consistent and predictable
regular basis in the work area engaging Few occurrences of leadership at
6 with the workforce to better understand place of value add (gemba)
engagement at gemba, but not leadership engagement at mentality and engaged,
everywhere gemba coaching leadership team
their reality.

Ideas are valued at all

No evidence

Improvement ideas are processed quickly levels with open &

(within 2 weeks) with feedback to the transparent
7 originator regardless if the idea was communication to
implemented encourage and coach
great improvement

Page | 5
Cultural Enabler Focus Strengths | Opportunities (to move to the next level)

Managers and supervisors are seen as

1 mentors & coaches

Employees are empowered and

2 recognized for signaling problems or
defects that occur in their area.

On-the-job coaching in lean practices is a

3 daily part of the culture

Recognition system focuses on

4 performance that encourages ideal
behavior.

Sense of trust among leaders, managers,

5 and associates.

Managers and supervisors are seen on a

regular basis in the work area engaging
6 with the workforce to better understand
their reality.

Improvement ideas are processed quickly

(within 2 weeks) with feedback to the
7 originator regardless if the idea was
implemented

Page | 6
Continuous Process Improvement Focus Systems | Questions OBJECTIVE
Problem Solving
Describe how you schedule your work for the day? It is easy to see when an
Pull
Immediate action is taken when the work How do you know if you are on time, ahead or behind schedule?
1 area is ahead or behind schedule
Leveling/Scheduling
What do you do when you’re ahead or behind?
area is ahead or behind
Visual Management schedule
Can you show me what you do?

Waste is eliminated that

How does product/material come in and out of your area and how do you know what causes bottlenecks,
Cellular Design
The flow of service or product is simple to work on first?
2 and direct, creating continuous flow
Visual Management
Can you show me what you do to know if your area is meeting the customer
waiting, excessive
Value Stream transportation and
demand?
movement of patient

Can you describe or show me what you area looked like a year ago? What has
Improvement is truly
The “Current State” and “Future State” are Value Stream changed and what role did you play in those changes? continuous, not event
an ongoing continuous cycle – Actively Strategy Deployment How do you know what areas to focus on in your area to improve? driven. Areas are
3 pursued with a visual and detailed action Visual Management How do other people know what you are working on? constantly moving
plan and timeline Coaching Are there timelines associated with this work? toward an Ideal Future
Have you ever revisited an improvement implementation to make it even better?
State
All work is highly
Standard Work How do you know you are doing your work correctly? specified at to content,
Standards (SWI), work-areas – are highly
Visual Management How do you know when there is a problem or defect? sequencing, timing, and
4 visual, simple and USED (routinely being
Coaching When you make changes how are these documented? outcome – in order to
updated as improvements are made)
Suggestion/Idea Can you show me your process for updating your work instructions? signal abnormal
conditions immediately

How does your team communicate and share improvement ideas during the Continuous improvement
Coaching
There is a sense that ‘continuous workday?
5 improvement’ is just part of the job
Communication
How do your leaders support you in problem solving?
is owned by the entire
Problem Solving organization.
Does continuous improvement or problem solving ever get in the way of your job?

Improvement is not a
How do you or your area select which problems to work on? shot-gun approach,
Improvement activities are directly linked Strategy Deployment How are these goals then communicated to you? rather specifically
6 back to the organization’s strategic focus Value Stream How does your work impact these goals?
and primary objectives Do you know the current status for of these goals? (Show me) targeted in the strategic
direction of the
organization
Before your area improves or problem solves, is there a way to see if others in your
Improvement ideas are routinely shared organization have had the same issues? (Show me)
Idea Sharing (Yoketen)
openly throughout the organization, How do you communicate information to your colleagues about improvement projects Avoid reinventing best
7 across multiple value streams &
Communication
that have been implemented in your area? practices
Leadership Std. Work
departments Has your team ever had the opportunity to take an improvement idea that started in
another dept/service, and applied it to your own workgroup?

Page | 7
Continuous Process Improvement Focus Observations(Behavior)

Immediate action is taken when the work

1 area is ahead or behind schedule

The flow of service or product is simple

2 and direct, creating continuous flow

The “Current State” and “Future State” are

an ongoing continuous cycle – Actively
3 pursued with a visual and detailed action
plan and timeline

Standards (SWI), work-areas – are highly

4 visual, simple and USED (routinely being
updated as improvements are made)

There is a sense that ‘continuous

5 improvement’ is just part of the job

Improvement activities are directly linked

6 back to the organization’s strategic focus
and primary objectives

Improvement ideas are routinely shared

openly throughout the organization,
7 across multiple value streams &
departments

Page | 8
Continuous Process Improvement Focus
No evidence
Immediate action is taken when the work
1 area is ahead or behind schedule
No evidence
The flow of service or product is simple
2 and direct, creating continuous flow
No evidence
The “Current State” and “Future State” are
an ongoing continuous cycle – Actively
3 pursued with a visual and detailed action
plan and timeline
No evidence
Standards (SWI), work-areas – are highly
4 visual, simple and USED (routinely being
updated as improvements are made)
No evidence
There is a sense that ‘continuous
5 improvement’ is just part of the job
No evidence
Improvement activities are directly linked
6 back to the organization’s strategic focus
and primary objectives
No evidence
Improvement ideas are routinely shared
openly throughout the organization,
7 across multiple value streams &
departments
0 
Associates can rarely detect
when their area is ahead or
behind schedule.
Services or patients are batched
and process is complex and
difficult to see. No visibility or
communication between
upstream and downstream
processes.
Staff is unclear in describing the
future state and how to get there.
Standard work is evident in the
associate’s work process, but not
always followed. Updating it is
more of a hassle.
Continuous improvement is a
burden and usually in the way of
doing REAL work. Associates
and managers are not able to
describe improvement work/
projects in relation to their role.
Associates can show you where
to find organizational goals, but
can't describe how their work has
impacted the goals.
People are unsure how to share
improvement ideas and are too
busy to see them as priorities.
There is limited communication
and sharing between
departments of improvements
that are going on

Associates can detect if they are
ahead/behind but no actions are
taken to respond.
The process flow is easy to see
and but there’s only
communication between
connected processes. Waste and
bottlenecks are looked at during
events only
Staff reference displays of
improvement goals that related to
future state. Staff recognizes the
connection between current
improvements and achieving
future state. Mapping is seen as
an event with limited follow-up.
The associate’s standard work
program is displayed so that it is
easy to audit for compliance
Staff can describe some
improvement projects they've
participated in.
Staff can articulate organizational
goals and objectives and identify
some examples of improvement
projects in their area.
Staff can tell you when and where
regular forums occur to report out
on improvement efforts.
Leaders and managers share
ideas and work to implement
these within their area. Not
happening consistently across the
organization.
People are expected to provide
improvement ideas but are
unclear about the process
Page | 9
 OBJECTIVE
Associates can predict throughout
the day and immediate action is It is easy to see when an
taken by the appropriate people area is ahead or behind
to adjust, fix and improve the schedule
process.
All processes are connected Waste is eliminated that
visually and easy to see and causes bottlenecks,
understand. Waste is immediate
identified and addressed to adjust
waiting, excessive
for continuous flow of service to transportation and
the patient and families. movement of patient
Work and improvements are Improvement is truly
reviewed on a scheduled basis so continuous, not event
immediate adjustments can be
driven. Areas are
made when deviating from the
constantly moving
future state. The future state is
toward an Ideal Future
met within 6-12 months where a
new future state is created. State
All work is highly
specified at to content,
Associates improve SWI plan, sequencing, timing, and
documenting the improvement
outcome – in order to
and sharing with managers
signal abnormal
conditions immediately
All Associates signal problems
immediately and can speak to the Continuous improvement
response system. Staff integrates
problem solving into daily
is owned by the entire
activities and can speak to how organization.
they contribute to larger goals.
Staff integrates improvement into Improvement is not a
daily work and all can shot-gun approach,
demonstrate how improvement
rather specifically
work is linked back to strategic
targeted in the strategic
focus and primary objectives.
direction of the
organization
Before any improvement is made
the team systematically checks to
see who if any has encountered Avoid reinventing best
the same problem, and use their
practices
countermeasure as a starting
point to improve.
Continuous Process Improvement Focus Strengths | Opportunities (to move to the next level)

Immediate action is taken when the work

1 area is ahead or behind schedule

The flow of service or product is simple

2 and direct, creating continuous flow

The “Current State” and “Future State” are

an ongoing continuous cycle – Actively
3 pursued with a visual and detailed action
plan and timeline

Standards (SWI), work-areas – are highly

4 visual, simple and USED (routinely being
updated as improvements are made)

There is a sense that ‘continuous

5 improvement’ is just part of the job

Improvement activities are directly linked

6 back to the organization’s strategic focus
and primary objectives

Improvement ideas are routinely shared

openly throughout the organization,
7 across multiple value streams &
departments

Page | 10
Enterprise Alignment Focus Systems | Questions OBJECTIVE
What do the mission and values of the organization mean to you? A well communicated
Employees can describe what the mission Communication
What’s the relationship between your work and the organization’s mission and vision that creates a
1 and vision of the organization is and how Coaching
values? Show me an example of that. senses of urgency, unity,
they personally impact it Strategy Deployment
How do leaders communicate what is important to your organization? and loyalty

Each person in the

There is a structured process for aligning
2 goals and strategic priorities that is simple
and visible at all levels of the organization
What is one way your work contributes to the goals of the organization this year? organization understands
Strategy Deployment
How are strategic priorities established in your area?
Visual Management
Who was involved in setting the goal? Did you have any input?
their role in supporting
Communication and achieving the
Are you meeting your goals, where would I see that, Show me.
strategic goals

Understand what is
Who are your customers? valued by the customer
The voice of the customer directs focus of VOC
How do you know what your customers value?
3 continuous improvement and future Value Stream
How to you systematically listen to your customers needs?
and focus development
development of the organization Strategy Deployment on creating value for the
What do you do with that information?
customer
The organization
functions as a team,
Open communication across value Communication How do the other departments impact your work? working together not
4 streams, support and administrative People Development How do you communicate and understand the impact other departments have?
against each other to
departments. Idea Sharing (Yoketen) How do you work together to solve problems? (Share or show an example)
create value for the
customer…not waste

How often do you talk with your manager about key issues in your work area? Leaders systematically
Leaders and managers follow standard Go & See/ Gemba
When leaders/managers visit your area what do they typically talk about?
5 work and are routinely seen out of the Leadership Std. Work
Tell me about the involvement that leaders have in your area?
monitor and maintain
offices and in the work areas. Coaching organizational alignment
Tell me about the involvement that managers have in your area?

Tracking boards are used daily for open
6 discussion and feedback so that
adjustments can be made quickly
How is the work and status of the work kept visible to the team? Quick adjustments can be
How often do you meet in front of these boards? Where on the boards do you spend made on a daily basis to
Visual Management
80% of your energy?
Strategy Deployment
How do the boards help you?
re-align focus to strategic
Problem Solving direction of the
Can you affect or impact all the measures on your board?
How do these measures help you improve? organization

What are your work unit’s goals? Eliminate short-term

Metrics and goals are simple and clearly Strategy Deployment How are they measured? focus that gets
7 aligned, driving the right behavior to Visual Management How are your goals tied to the organization’s vision? immediate results but
achieve the organizations vision. Coaching How can you tell if your work is contributing to the success of the organization? damages the Long-term
Can you show me how you track this in your work unit? focus on the vision.

Page | 11
Enterprise Alignment Focus Observations(Behavior)

Employees can describe what the mission

1 and vision of the organization is and how
they personally impact it

There is a structured process for aligning

2 goals and strategic priorities that is simple
and visible at all levels of the organization

The voice of the customer directs focus of

3 continuous improvement and future
development of the organization

Open communication across value

4 streams, support and administrative
departments.

Leaders and managers follow standard

5 work and are routinely seen out of the
offices and in the work areas.

Tracking boards are used daily for open

6 discussion and feedback so that
adjustments can be made quickly

Metrics and goals are simple and clearly

7 aligned, driving the right behavior to
achieve the organizations vision.

Page | 12
Enterprise Alignment Focus
No evidence
Employees can describe what the mission
1 and vision of the organization is and how
they personally impact it
No evidence
There is a structured process for aligning
2 goals and strategic priorities that is simple
and visible at all levels of the organization
No evidence
The voice of the customer directs focus of
3 continuous improvement and future
development of the organization
No evidence
Open communication across value
4 streams, support and administrative
departments.
No evidence
Leaders and managers follow standard
5 work and are routinely seen out of the
offices and in the work areas.
No evidence
Tracking boards are used daily for open
6 discussion and feedback so that
adjustments can be made quickly
No evidence
Metrics and goals are simple and clearly
7 aligned, driving the right behavior to
achieve the organizations vision.
0 
Associates can communicate
where to locate written definition
of vision and mission
Associates can communicate
where to locate organizational
goals and goals for their work
group.
The workforce understands that
the patient is the customer, but
their processes don’t demonstrate
this understanding
We talk about the impact of
improvements in our work area,
but seldom about the impact we
have in other departments.
Leader standard work is
documented. Leaders and
managers rarely are in the work
area.
Tracking boards are up.
Managers listen to reports by
team leads & workers daily.
Managers solve problems after
the huddle.
Multiple metrics are tracked by
managers and rarely shared with
work unit.

Associates are able to define
several elements of the mission
and vision, and provide examples
of projects in their workgroup to
support the mission and vision
Associates can identify their goals
for their workgroup and can
articulate the strategic nature of
those goals.
Surveys are conducted to get
feedback from the patient, but
based on a push system. Seldom
is feedback used to improve key
systems in the area. Key issues
repeatedly surface in the survey.
We ask and communicate about
the impact of our work with other
departments, but improvements
are still made with local efforts.
Leader standard work is
documented and posted.
Managers are frequently in the
work areas. Managers ask
questions predominately about
day-to-day operations and offer
solutions. Dept objectives and
metrics are posted by not tied to
organizational goals.
Tracking boards are up.
Managers facilitate discussion of
daily work at huddle at the board.
Manager’s questions commonly
result in problem solving by the
team.
Metrics and goals are posted in
work areas. Managers frequently
refer to them while in the work
unit.
Page | 13
 OBJECTIVE
Associates identify specific
A well communicated
examples of how they impact the
mission and vision. Management vision that creates a
is coaching problem solving that senses of urgency, unity,
is centered on achieving the and loyalty
vision.
The workforce can quickly identify
Each person in the
their goals and where they are in
organization understands
achieving them (visually). The
goals are simple and directly their role in supporting
related to their work area, but also and achieving the
tied directly to the strategic strategic goals
objectives of the organization.
Understand what is
Patients, families, and the
valued by the customer
community are actively and
systematically listened to and and focus development
involved in key improvement on creating value for the
areas. customer
The organization
We coordinate our work across
functions as a team,
departments daily and collaborate
working together not
to continuously create value for
against each other to
the customer. Cross functional
create value for the
teams are used routinely.
customer…not waste
Managers are in workplace daily.
Leaders systematically
While there, managers coach by
asking question and aid in monitor and maintain
eliminating barriers to help areas organizational alignment
achieve strategic objectives.
Managers consistently ask
questions in order to identify
Quick adjustments can be
problems and barriers. The team
made on a daily basis to
is highly engaged in the huddles
and discuss ideas for solving re-align focus to strategic
problems on a daily basis. direction of the
Actions are specifically assigned organization
and followed up daily to meet
strategic objectives.
Specific key metrics are visually Eliminate short-term
tracked in the work unit. focus that gets
Associates consistently discuss
how the metrics show the work
immediate results but
damages the Long-term
unit progress toward
organizational goals. focus on the vision.
Enterprise Alignment Focus Strengths | Opportunities (to move to the next level)

Employees can describe what the mission

1 and vision of the organization is and how
they personally impact it

There is a structured process for aligning

2 goals and strategic priorities that is simple
and visible at all levels of the organization

The voice of the customer directs focus of

3 continuous improvement and future
development of the organization

Open communication across value

4 streams, support and administrative
departments.

Leaders and managers follow standard

5 work and are routinely seen out of the
offices and in the work areas.

Tracking boards are used daily for open

6 discussion and feedback so that
adjustments can be made quickly

Metrics and goals are simple and clearly

7 aligned, driving the right behavior to
achieve the organizations vision.

Page | 14
 Quality Care Development
Community Relations
Patient Experience
Senior Leadership

Pharmacy Supply

Administrative &
Med./Surgical &

Clinical Support
Care Paths
Assessment Areas

BUSINESS PROCESSES

Cultural People Development:

Enablers Education Training & Coaching,
Empowerment & Involvement

Continuous Continuous Improvement

Improvement
Weight 6% 13% 6% 43% 13% 19%

Enterprise Enterprise Alignment

Alignment
Weight 60% 8% 8% 8% 8% 8%

Quality
Measures (50 pts.)
Results
Cost/Productivity
Measures (50 pts.)

Delivery
Measures (50 pts.)

Customer Satisfaction
Measures (50 pts.)

Morale
Measures (50 pts.)