ROCESS CAPABILITY – THE BASICS: PART 1

By Carl Berardinelli
13 COMMENTS
1
This is Part 1 of a two-part article on process capability. Part 1 addresses the concept of
process capability and how to calculate it, including what to do with data that is normal and
non-normal. Part 2 looks at failure rates and material conditions.

What is process capability? From a conceptual view it is a measure of the relationship

between the voice of the process and the voice of customer (VOC). It is essentially a ratio of
the customer requirement (specification) and the expected process variation.

Process capability = Voice of the customer / Voice of the process

It is an expression of how well your process performs relative to the VOC. And it is a
prediction of how well your process will meet customer requirements in the future. A
capable process is one in which almost all measurements of a feature produced by the
process fall inside specification limits. There are several indices that are commonly used.

Cp
Let’s use a car and garage example to drive home the concept of Cp. The garage defines the
specification limits. The car size represents the process limits.

Figure 1: Cp
If the car is smaller than the garage, it means Cp > 1; the car will fit inside the garage. When
you find that your data (car) is smaller than the specification limits (garage), your process is
capable. It is, therefore, safe to conclude that you will not have problems meeting the
specifications. In other words, you will not have problems parking the car in the garage. Cp is
the specification width divided by the process width.

Cpk
In the Figure 1 illustration above Cp > 1, which as we just learned means the car should fit in
the garage. . .if the car is always centered.

Figure 2: Cpk
However, when the car isn’t centered, you are at risk of damaging the car as well as the
garage – or, in process terms, falling outside of the specification limits and not meeting
customer requirements. Another process measure is needed to address the centering of the
car in the garage. Cpk to the rescue! Cpk tells how much clearance can be expected from the
side of the car to the nearest edge of the garage. Look at the distance from the center of the
car to the nearest edge of the garage, then divide that by half of the width of the car.

Figure 3: Customer Expectation

Consider CE as customer expectation. The customer expects the car to fit inside the garage
and that the car will be reasonably centered in the garage. The customer of your process has
similar expectations. For a process:

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 USL = upper specification limit
LSL = lower specification limit
= estimate of the process’s standard deviation

Conceptually, the standard deviation is the average spread of the data about the mean.

Quality guru Dr. Walter Shewhart taught that a process is behaving normally when it varies by
no more than ±3 . (for a total spread of 6σ). Therefore, the denominator of
the Cpk calculation is 3 (6σ divided by 2). Cp is always a positive number as it is the ratio of
two positive numbers. Cpk can be positive, zero, or negative.
Cp and Cpk
The relationship between Cp and Cpk is shown in Figure 4.

Figure 4: Relationship Between Cp and Cpk

Process Capability Assumptions
When calculating process capability Cp or Cpk, there are three key assumptions:
 Large sample size
 Stable process
 Normal distribution
When these assumptions are not met, the values are not valid.

Most capability index estimates are valid only if the sample size used is “large enough,” which
is generally thought to be about 30 or more independent data values.

Below, within the steps of a process capability analysis, we discuss how to determine stability
and if a data set is normally distributed.
 Steps for a Capability Analysis
To assure valid results when performing a capability analysis, follow these steps.

1. Generate I and mR charts.

o Start with the range chart and determine stability. Are all points inside of the control limits? If
yes, the process is stable and the analysis can move forward. If no, the process is unstable
and this must be addressed before moving on.
2. Look at individuals chart.
o Are there any indications of out-of-control data per the rules of process control? If yes, the
process is out of control and this must be addressed before advancing in the capability
analysis. If no, then the process is in control and analysis may proceed.
3. Generate a normal probability chart and test for normality
o If a distribution is close to normal, the normal probability plot will be close to a straight line.
Minitab and other common software packages report the Anderson-Darling statistic. The null
hypotheses for this test is that the distribution is normal; thus, to conclude that the data is
normal, the p-value must be greater than 0.05 (typically).
o If the data is normal, then assess capability. Otherwise the data may need to be transformed.
A popular transformation is the Box-Cox transformation. (Alternatively, you could use a
process capability index that applies to non-normal distributions. One statistic is called Cnpk
[for non-parametric Cpk]. For additional information on non-normal distributions, see the
book Process Capability Indices.)
4. Assess process capability.
 Figure 5: P-values

PROCESS CAPABILITY – SURFACE FINISH

EXAMPLE: PART 2
By Carl Berardinelli
ADD COMMENT
2
This is Part 2 of a two-part article on process capability. Part 1 addressed the concept of
process capability and how to calculate it, including what to do with data that is normal and
non-normal. Part 2 looks at failure rates and material conditions for a surface finish example.

Sometimes, a process has specifications that are one-sided such as flatness, perpendicularity,
surface finish and roundness. When assessing process capability in those cases, you will
actually be looking at the process capability for one half of the distribution – the half that’s
not cut off by the boundary specification. Develop the control chart (ImR), the normal
probability plot and then assess process capability. Here is an example of a capability study of
surface finish.

The control chart is stable and in control (Figure 1).

Figure 1: Stable and in Control

There seems to be an issue with the normal probability plot (Figure 2). The data is non-
normal. Investigating the data a little further reveals that the shape appears to be asymptotic
as it approaches zero; and the right side of the data follow a line fairly well. The probability
density function (PDF) of this data would look like half of a normal PDF.
 Figure 2: Normal Probability Plot
In this case, there is no value in estimating the Cpk(lower) as zero is a physical limit and the most
desirable condition. For example, surface finish cannot get better than zero. In this case,
report only Cpk(upper). When analyzing this data, the 0/lower spec is selected as a boundary. This
tells the software to only estimate Cpk(lower).

Figure 3: Estimating Cpk(upper)

Estimating Failure Rate from Cpk
If there is a process that:

 Has an average of 9.02 ml

 Has a standard deviation of 0.5 ml
 Has an upper specification limit (USL) of 12 ml
 Has a lower specification limit (LSL) of 8 ml
 Is stable and in control
 Has data that follows a normal distribution
then process capability can be calculated.

Figure 4: Calculating Process Capability

Assess the Cpk to see that the number is .79 as Cpk(lower) (.79) > Cpk(upper) (2.30). The Z score,
sometimes called sigma level, can be used to predict failure rate. Z score can be calculated
easily. Z is similar to Cpk where Xi is the specification limit.

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the Difference?

where by observation it is shown that Z is 3 times Cpk.

Z(upper) is 5.95 and Z(lower) is 2.03. Look up these values on a standard normal table to get the
probability of exceeding these values. The probability to fail on the upper side is 0 as shown
in Figure 5 below. The probability to fail on the lower side is 2.095 percent. Convert this to
parts per million (PPM) and get a 20,950 PPM fail rate.
Thus far, the focus has been on potential capability or short-term capability. Over time, in
each instance, a batch of material is sampled; the sample generates a distribution that is
shifted from the previous sample distribution. When all this data is pooled, the distribution is
wider. This leads to Pp and Ppk. Ppk is long-term process capability. It is sometimes called
process performance. It includes all the data from a number of samplings. The only
difference in the math between short-term Cpk(upper) and long-term Ppk is how standard
deviation is estimated. Cpk(upper) uses a control chart method to estimate standard
deviation, as with an ImR chart and Ppk uses the sum of squares

estimate, as with a chart.

Figure 5: Value Versus Performance

Both Cpk and Ppk require the process to be stable and in control to be valid. If the process is
stable and in control, it makes little numerical difference which estimate of capability is used.
What is most important is that that the data is sampled such that it includes expected
variations and noise conditions. Many organizations require short term Cpk’s to be higher than
long term Ppk’s – usually by a factor of 1.5 standard deviations – to guard against missed
variation and normal shift and drift. It is common to expect the average of samples to vary by
±1.5 σ.
Maximum Material Condition or Least Material Condition True
Position Capability
The traditional process capability measures run into trouble when there is a maximum
material condition or least material condition true position specification.

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Figure 6 shows the Geometric Dimensions & Tolerancing (GD&T) feature control frame.
(Refer to ASME Y14.5-2009 for details.) This defines the size, location for the hole in the
surface finish example.
 Figure 6: Geometric Dimensions & Tolerancing (GD&T) Chart
In a situation like this, the diameter and position are not independent. This is an issue
because independence is a requirement for Cpk, Cp, Ppk and Pp. This requires the use of
multivariate analysis.
Rather than using an ImR chart to test for stability, use a T2 – generalized variance chart. The
generalized variance chart is treated like the range chart in terms of assessing stability and
the T2 chart is used to assess control. This process is stable and in control. In this example, the
data is given in the form of diameter, true position.

Figure 7: T2-Generalized Variance Chart of Diameter, True Position

able 1: Example Data
 nom Y nom Dia nom

5.6000 113.9000 4.6500

able 2: More Example Data

ariable Count Mean StDev

30 95.595 0.0144

30 113.88 0.0249

Diameter 30 4.5226 0.0341

rue Position 30 0.06300 0.03168

Data Is in the Form of (X,Y) Coordinates

If the metrologist reports the sample data in X, Y coordinates, the process is highly simplified.
Even better, Minitab has a macro for release 17 to do the analysis called POSCAP.MAC.

Figure 8: Related Equations

Which leads to a PCpk of 7.13.
In order to use Minitab you must obtain the macro POSCAP.MAC. Contact Minitab help to do
this. Then save this macro in your macro folder. Once the macro is stored in the correct
location, be sure to enable commands as shown in Figure 9.

Figure 9: How to Enable Commands

The total diameter tolerance was calculated to be 0.51.

To run the macro, type the following at the command prompt (MTB>)

MTB > %poscap c1 c2 0.51;

SUBC> Nominal 95.6 113.9

The default nominal for the X and Y coordinates is (0, 0). A different nominal value can be
entered for the X, Y coordinates as in this case (95.6, 113.9). Even if only one of the nominal
values is nonzero, both nominal values must be entered.

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The macro provides two outputs based on two analyses. It gives a traditional capability based
on the location from nominal. It is a one-sided capability with 0 being the boundary. Please
note that this is an analysis of location only. It does not include size or bonus tolerance. In
essence, it does the calculation shown in the equations and Figure 10 below. It is a boundary
condition at 0 so it only reports a Cpk(upper). The macro reports this as offset.
 Figure 10: Process Capability Report for Offset
The second output from the macro is the PCpk result along with a X, Y scatter plot. It overlays
two circles: one centered at nominal and representing the tolerance diameter, the other
centered at the mean (X, Y) coordinates which represents the process variation. This
calculation includes size, position and bonus tolerance. It is a true representation of process
capability for a MMC or LMC callout.

Figure 11: Scatter Plot of Positional Coordinates

If your data is in form of diameter, true position then the calculation becomes cumbersome
and is not supported by a macro. It is highly beneficial for your metrologist to report the data
in X, Y coordinates. The following are the calculations for diameter, true position format:
CP, CPK, PP AND PPK: KNOW HOW AND WHEN
TO USE THEM
By Daniela Marzagão
15 COMMENTS
0
For many years industries have used Cp, Cpk, Pp and Ppk as statistical measures of process
quality capability. Some segments in manufacturing have specified minimal requirements for
these parameters, even for some of their key documents, such as advanced product quality
planning and ISO/TS-16949. Six Sigma, however, suggests a different evaluation of process
capability by measuring against a sigma level, also known as sigma capability.
Incorporating metrics that differ from traditional ones may lead some companies to wonder
about the necessity and adaptation of these metrics. It is important to emphasize that
traditional capability studies as well as the use of sigma capability measures carry a similar
purpose. Once the process is under statistical control and showing only normal causes, it is
predictable. This is when it becomes interesting for companies to predict the current
process’s probability of meeting customer specifications or requirements.

Capability Studies
Traditional capability rates are calculated when a product or service feature is measured
through a quantitative continuous variable, assuming the data follows a normal probability
distribution. A normal distribution features the measurement of a mean and a standard
deviation, making it possible to estimate the probability of an incident within any data set.

The most interesting values relate to the probability of data occurring outside of customer
specifications. These are data appearing below the lower specification limit (LSL) or above the
upper specification limit (USL). An ordinary mistake lies in using capability studies to deal with
categorical data, turning the data into rates or percentiles. In such cases, determining
specification limits becomes complex. For example, a billing process may generate correct or
incorrect invoices. These represent categorical variables, which by definition carry an ideal
USL of 100 percent error free processing, rendering the traditional statistical measures
(Cp, Cpk, Pp and Ppk) inapplicable to categorical variables.
When working with continuous variables, the traditional statistical measures are quite useful,
especially in manufacturing. The difference between capability rates (Cp and Cpk) and
performance rates (Pp and Ppk) is the method of estimating the statistical population standard
deviation. The difference between the centralized rates (Cp and Pp) and unilateral rates
(Cpk and Ppk) is the impact of the mean decentralization over process performance estimates.
The following example details the impact that the different forms of calculating capability
may have over the study results of a process. A company manufactures a product that’s
acceptable dimensions, previously specified by the customer, range from 155 mm to 157
mm. The first 10 parts made by a machine that manufactures the product and works during
one period only were collected as samples during a period of 28 days. Evaluation data taken
from these parts was used to make a Xbar-S control chart (Figure 1).

Figure 1: Xbar-S Control Chart of Evaluation Data

This chart presents only common cause variation and as such, leads to the conclusion that
the process is predictable. Calculation of process capability presents the results in Figure 2.
 Figure 2: Process Capability of Dimension
Calculating Cp
The Cp rate of capability is calculated from the formula:

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where s represents the standard deviation for a population taken from , with s-
bar representing the mean of deviation for each rational subgroup and c4 representing a
statistical coefficient of correction.
In this case, the formula considers the quantity of variation given by standard deviation and
an acceptable gap allowed by specified limits despite the mean. The results reflect the
population’s standard deviation, estimated from the mean of the standard deviations within
the subgroups as 0.413258, which generates a Cp of 0.81.
Rational Subgroups
A rational subgroup is a concept developed by Shewart while he was defining control
graphics. It consists of a sample in which the differences in the data within a subgroup are
minimized and the differences between groups are maximized. This allows a clearer
identification of how the process parameters change along a time continuum. In the example
above, the process used to collect the samples allows consideration of each daily collection
as a particular rational subgroup.
The Cpk capability rate is calculated by the formula:
considering the same criteria of standard deviation.

In this case, besides the variation in quantity, the process mean also affects the indicators.
Because the process is not perfectly centralized, the mean is closer to one of the limits and,
as a consequence, presents a higher possibility of not reaching the process capability targets.
In the example above, specification limits are defined as 155 mm and 157 mm. The mean
(155.74) is closer to one of them than to the other, leading to a Cpk factor (0.60) that is lower
than the Cp value (0.81). This implies that the LSL is more difficult to achieve than the USL.
Non-conformities exist at both ends of the histogram.
Estimating Pp
Similar to the Cp calculation, the performance Pp rate is found as follows:

where s is the standard deviation of all data.

The main difference between the Pp and Cp studies is that within a rational subgroup where
samples are produced practically at the same time, the standard deviation is lower. In
the Pp study, variation between subgroups enhances the s value along the time continuum, a
process which normally creates more conservative Pp estimates. The inclusion of between-
group variation in the calculation of Pp makes the result more conservative than the estimate
of Cp.
With regard to centralization, Pp and Cp measures have the same limitation, where neither
considers process centralization (mean) problems. However, it is worth mentioning
that Cp and Pp estimates are only possible when upper and lower specification limits exist.
Many processes, especially in transactional or service areas, have only one specification limit,
which makes using Cp and Pp impossible (unless the process has a physical boundary [not a
specification] on the other side). In the example above, the population’s standard deviation,
taken from the standard deviation of all data from all samples, is 0.436714 (overall), giving
a Pp of 0.76, which is lower than the obtained value for Cp.

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Estimating Ppk
The difference between Cp and Pp lies in the method for calculating s, and whether or not the
existence of rational subgroups is considered. Calculating Ppk presents similarities with the
calculation of Cpk. The capability rate for Ppk is calculated using the formula:

Once more it becomes clear that this estimate is able to diagnose decentralization problems,
aside from the quantity of process variation. Following the tendencies detected in Cpk, notice
that the Pp value (0.76) is higher than the Ppk value (0.56), due to the fact that the rate of
 discordance with the LSL is higher. Because the calculation of the standard deviation is not
related to rational subgroups, the standard deviation is higher, resulting in a Ppk (0.56) lower
than the Cpk (0.60), which reveals a more negative performance projection.
Calculating Sigma Capability
In the example above, it is possible to observe the incidence of faults caused by discordance,
whether to the upper or lower specification limits. Although flaws caused by discordance to
the LSL have a greater chance of happening, problems caused by the USL will continue to
occur. When calculating Cpk and Ppk, this is not considered, because rates are always
calculated based on the more critical side of the distribution.
In order to calculate the sigma level of this process it is necessary to estimate the Z bench.
This will allow the conversion of the data distribution to a normal and standardized
distribution while adding the probabilities of failure above the USL and below the LSL. The
calculation is as follows:

 Above the USL:

 Below the LSL:

Summing both kinds of flaws produces the following result:

(Figure
3)

Figure 3: Distribution Z
The calculation to achieve the sigma level is represented below:
 Sigma level = Zbench + 1.5 = 1.51695 + 1.5 = 3.1695
There is great controversy about the 1.5 deviation that is usually added to the sigma level.
When a great amount of data is collected over a long period of time, multiple sources of
variability will appear. Many of these sources are not present when the projection is ranged
to a period of some weeks or months. The benefit of adding 1.5 to the sigma level is seen
when assessing a database with a long historical data view. The short-term performance is
typically better as many of the variables will change over time to reflect changes in business
strategy, systems enhancements, customer requirements, etc. The addition of the 1.5 value
was intentionally chosen by Motorola for this purpose and the practice is now common
throughout many sigma level studies.

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Comparing the Methods

When calculating Cp and Pp, the evaluation considers only the quantity of process variation
related to the specification limit ranges. This method, besides being applicable only in
processes with upper and lower specification limits, does not provide information about
process centralization. At this point, Cpk and Ppk metrics are wider ranging because they set
rates according to the most critical limit.
The difference between Cp and Pp, as well as between Cpk and Ppk, results from the method of
calculating standard deviation. Cp and Cpk consider the deviation mean within rational
subgroups, while Pp and Ppk set the deviation based on studied data. It is worth working with
more conservative Pp and Ppk data in case it is unclear if the sample criteria follow all the
prerequisites necessary to create a rational subgroup.
Cpk and Ppk rates assess process capability based on process variation and centralization.
However, here only one specification limit is considered, different from the sigma metric.
When a process has only one specification limit, or when the incidence of flaws over one of
the two specification limits is insignificant, sigma level, Cpk and Ppk bring very similar results.
When faced with a situation where both specification limits are identified and both have a
history of bringing restrictions to the product, calculating a sigma level gives a more precise
view of the risk of not achieving the quality desired by customers.
As seen in the examples above, traditional capability rates are only valid when using
quantitative variables. In cases using categorical variables, calculating a sigma level based on
flaws, defective products or flaws per opportunity, is recommended.

CASE STUDY: DMAIC PROJECT IMPROVES

HOSPITAL’S ON-TIME COMPLETION OF
ADMINISTRATIVE TASKS
By Ashley Sedorovich
3 COMMENTS
1
After graduating from medical school, the majority of medical students enter a medical
residency program where a significant amount of clinical training occurs. Medical residencies
provide a significant value add for the resident as well as teaching hospitals that host the
residency programs. During residency, residents are increasingly exposed to a variety of
clinical specialties, practices and tasks as well as a multitude of administrative items that
must be completed in order to document their ability to perform clinical functions on
patients. Additionally, hospitals are able to offset physician shortages by using residents for
care and have the ability to generate significant revenue from hosting a residency program.
Despite the benefits of residency programs, there are inherent risks that the hospital
assumes by using residents to provide care. Beyond the obvious risk of adverse patient
outcomes and sentinel events (an unexpected occurrence in a healthcare setting that results
in serious injury or death), there is also a more prevalent risk related to completion of
required administrative tasks. While adverse patient outcomes are a serious threat, their
likelihood of occurrence is low and ability to detect is high. Residents do not perform care on
patients without the supervision of an attending physician. Residents also frequently ask
questions to crosscheck other physicians as a part of the learning process, mitigating the risk
of adverse outcomes and sentinel events.

Administrative tasks, however, are typically seen as having little-to-no value add by both
residents and attending physicians. They are frequently pushed to the bottom of to-do lists
when the prospect of a surgery or a rare clinical case presents; there is little ability to detect
when they are not completed until it is too late. Not completing an administrative task will
likely not result in a serious patient safety event, but there is a high likelihood of tasks not
being completed, limited ability to detect when they are not completed and, ultimately, the
potential of losing revenue from the residency program when an external audit yields that
administrative tasks was not appropriately documented.

Lean Six Sigma (LSS) tools show promise for improvement opportunities across the
healthcare industry. A midwestern community hospital in Ohio started a Six Sigma program in
2012 and since then has used the methodologies across the majority of hospital functions—
clinical and non-clinical. In a recent project, the Orthopaedic Residency program used
the DMAIC (Define, Measure, Analyze, Improve, Control) methodology to increase their on-
time resident task completion rate. This article shows the benefits of using LSS
methodologies to generate significant improvements with limited resources and funding.

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Defining the Problem

To help focus the team, the project lead started with a project charter to define the problem
they were trying to solve for as well as the goal they were aiming to achieve.
Problem Statement: From April 2018 through June 2018, 38 percent of resident tasks (62 out
of 163 opportunities) were not completed on time and were, therefore, delinquent. This is
bad because these tasks are requirements for the Accreditation Council for Graduate Medical
Education (ACGME), the Medical Education Department and/or the Orthopaedic Program. If
resident tasks are not completed on time it can result in the resident being dismissed from
the residency program.
Goal: The primary goal was to decrease the resident task delinquency rate from 38 percent to
23 percent by September 30, 2018.
Business Case: Risk reduction is the primary business case in that by increasing the on-time
completion rate of residency tasks, we are effectively reducing the risk of residents being
dismissed from the program. The healthcare facility pays approximately $144,000 annually
per resident. If a resident is dismissed from the program, the hospital loses that money.
Additionally, by increasing the on-time completion rate we are increasing resident and
program coordinator job satisfaction. This, in turn, ensures the sustainment of the program
by effectively reducing the time spent remediating poor performance and reducing the risk of
resident dismissal.
Project Scope: The process begins with the new resident orientation and ends with the six-
month resident checkpoint evaluation.
Team Roles: The team consisted of the orthopaedic residency program director, the
residency program coordinator (who used the project to meet the requirements for
completion of her Green Belt certification), the program’s research director, the chief
orthopaedic resident as well as the attending orthopaedic surgeons and orthopaedic
residents. Additionally, a Black Belt within the organization provided oversight on completing
the DMAIC deliverables for the Green Belt’s certification.
A SIPOC (supplier, inputs, process, output, customer) analysis and Kano model were both
used in the Define phase in order to identify the customer base and the customer
preferences, respectively (Figures 1 and 2). The SIPOC analysis in Figure 1 identified the
primary outcome metric, the customer base and a high-level overview of the current state of
the process. Figure 2 shows the Kano model that was used to identify customer preferences.
Figure 1: SIPOC Analysis

Figure 2: Kano Model

Measurement and Analysis of the Data
A data collection plan was completed first to identify which administrative tasks were the
primary focus of the project. The team determined that the tasks required of the ACGME
were of primary focus since those would be the focus of an external audit conducted by the
ACGME. Data was then collected to determine the baseline delinquency rate for each of
these tasks as well as the combined delinquency rate for all tasks (Figure 3). The primary
outcome metric for the project was the combined delinquency rate, which was determined
to be 38 percent (62 out of 163 opportunities) between the measurement period of April
2018 through June 2018.

Figure 3: Number of Residents Not Completing Tasks by Task Type

The team brainstormed potential root causes associated with a delinquency rate of 38
percent and used multi-voting to identify the primary root cause (Figure 4).

Figure 4. Results from the Multi-Vote on the Potential Root Causes

 The results of the multi-voting activity indicated that the primary root causes were the
following:
1. Tasks were too tedious and time consuming.
2. Too many requirements existed.
3. There was no accountability structure in place.

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The team determined that the organization has little control over the first two root causes,
so, in turn, chose to identify solutions that would address the lack of an accountability
structure.

Process Improvement
Once the root cause was identified, the team performed a second brainstorming activity to
develop a list of solutions that would help enhance accountability. A risk identification
and mitigation plan was then put together for each of the solutions in order to help
determine which of the solutions carried the lowest risk if implemented.
A visual display board was chosen as the improvement solution given that it was quick and
easy to implement with little-to-no risks associated with it. Additionally, visual display boards
are commonly used in process improvement projects because of their effectiveness with
sustaining long-term process improvement initiatives. The team chose to use a combination
of colors, numbers and symbols to indicate progress. There are several individuals on the
team who are red-green colorblind and would not have benefited from color alone as an
indicator of progress. Figure 5 shows the visual display board implemented in the
orthopaedic didactic lecture room. Residents have daily meetings in the lecture room and are
therefore able to see their progress each day.

Figure 5: Ortho Task Master Visual Board

Achieving and Maintaining Results
 Following the development and implementation of the visual accountability board, the team
finalized its control plan to ensure long-term sustainability of the improvement. The control
plan outlined various crosschecks as well as defined timelines for when – and how – to react
based on the level of delinquency for each administrative task.

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The team felt that all of the tasks required by ACGME were important, but some tasks cannot
be made up if the deadline to complete them has passed. As a result, the control plan
established firmer reactions for falling delinquent on those tasks when compared to tasks
that could be made up should a resident fall behind. Once implemented, the team collected
control data to monitor the success of the solution. After the improvement data was
collected, a chi-square test determined if the results were significantly different from the
baseline results. The improvement results (shown in the table below) showed statistically
significant improvement in three of the seven categories including the overall delinquency
rate, which was the primary outcome metric for the project.

Goal achieved! The primary goal was to decrease the resident task delinquency rate from 38
percent to 23 percent; the project in fact surpassed that goal with a post-implementation
delinquency rate of 20 percent.

Comparison of Task Complete Rate Pre- Vs Post-Implementation

Post-Implementation
Task Baseline Delinquency Rate Delinquency Rate Statistically Significant

Test Master 17% 9% No

Total Tests 24% 23% No

Skill Master 44% 32% No

Evaluations 23% 23% No

Duty Hours 35% 9% Yes

Case Logs 35% 7% Yes

Total Delinquency Rate 38% 20% YES!

The project sponsor highly regarded the significant change in delinquency rates for the duty
hours and case logs tasks because these are two tasks that need to be completed in
residency as well as private practice.

Next Steps
 While the primary goal of the project was met, the team felt as though there were still many
opportunities for continuous improvement that would further decrease the delinquency
rates.

1. The first opportunity is to identify root causes associated with the delinquency rates for tasks
that did not show a statistically significant improvement.
2. The team felt that it would be beneficial to the program to further explore how well the
ability of residents to complete their tasks on-time during their residency translates into their
ability to manage their tasks when they graduate from the residency and move into an
attending physician role.
3. Next, the team wanted to look at the batching that occurs in the process to complete the
tasks; moving toward a more continuous flow might yield further improvements.
4. Last, the team planned to look at additional ways to make the visual board fun to increase
the camaraderie among the residents and enhance peer-to-peer accountability, thus further
improving the delinquency rates.
What Is 5S?
5S is a systematic form of visual management utilizing everything from floor tape to operations
manuals. It is not just about cleanliness or organization; it is also about maximizing efficiency and
profit. 5S is a framework that emphasizes the use of a specific mindset and tools to create
efficiency and value. It involves observing, analyzing, collaborating, and searching for waste and
also involves the practice of removing waste.

5S includes five terms that all start with the letter "S."

What Does 5S Stand For?

5S, sometimes referred to as 5s or Five S, refers to five Japanese terms used to describe the
steps of the 5S system of visual management. Each term starts with an S. In Japanese, the five
S's are Seiri, Seiton, Seiso, Seiketsu, and Shitsuke. In English, the five S's are translated as
Sort, Set in Order, Shine, Standardize, and Sustain.

There are five key practices involved in 5S. They are as follows:

Japanese Term American Term Definition

Sort through materials, keeping only the essential

items needed to complete tasks. (This action
involves going through all the contents of a
Seiri Sort workspace to determine which are needed and
which can be removed. Everything that is not used
to complete a work process should leave the work
area.)

Ensure that all items are organized and each item

has a designated place. Organize all the items left
in the workplace in a logical way so they make
Seiton Set in Order tasks easier for workers to complete. This often
involves placing items in ergonomic locations
where people will not need to bend or make extra
movements to reach them.
 Japanese Term American Term Definition

Proactive efforts to keep workplace areas clean

and orderly to ensure purpose-driven work. This
means cleaning and maintaining the newly
Seiso Shine organized workspace. It can involve routine tasks
such as mopping, dusting, etc. or performing
maintenance on machinery, tools, and other
equipment.

Create a set of standards for both organization and

processes. In essence, this is where you take the
Seiketsu Standardize first three S's and make rules for how and when
these tasks will be performed. These standards can
involve schedules, charts, lists, etc.

Sustain new practices and conduct audits to

maintain discipline. This means the previous four
Shitsuke Sustain S's must be continued over time. This is achieved
by developing a sense of self-discipline in
employees who will participate in 5S.

Request a complimentary step-by-step guide to organization

improvement using 6S.
6S (the expanded and improved version of 5S) is a proven strategy for improving your
organization, and eliminating waste. Learning more about what 6S is, and how to implement it in
your facility can help benefit your business in many ways.

Get 6S Guide
Before and After 5S Implementation
Before 5S

1. Inventory stacked far out of reach

2. Unused older inventory
3. Safety hazard; boxes stacked in aisles
4. No discernable organization such as barcoding, inventory dating, color coding, or naming
convention
5. Trash and debris allowed to accumulate

After 5S

1. Uniform bins and racking

2. Date tracking of inventory
3. Bin contents are labeled
4. Bins, racks, and floors are kept clean and in good repair
5. Lighting in facility is sufficient
6. Racks are low enough that ladders are not required to access inventory
5S Methodology

The 5S methodology is a systematic approach to workplace organization. This method includes

the five steps of Sort, Set in Order, Shine, Standardize, and Sustain. Generally speaking, the
steps of 5S involve going through items in a workspace, removing what's unnecessary,
organizing items, cleaning, performing maintenance, and making sure these things become
habits. These steps should occur in this order, and there must be a plan in place for performing
the tasks associated with these steps on a regular basis. At the end of of a 5S implementation
you will see characteristic things such as policy manuals, glow-in-the-dark tape or
photoluminescent tape on the floor, colored bins, red tags, and 5S walks taking place. In the end,
it should all add up to efficiency.

The 5S methodology originated in Japan and was first implemented by the Toyota Motor
Corporation. The methodology was developed as a way to make just in time (JIT)
manufacturing possible. This type of manufacturing intends to produce only the amount of a
product that is needed, when it is needed. Having an organized workplace that utilizes visual
cues to maintain itself allows JIT manufacturing to proceed more smoothly; in this type of
environment, it's easier to see problems and move materials efficiently.

Origin of 5S
Toyota Production System
The 5S methodology traces its lineage to post-war Japan, where the leaders of a burgeoning
Toyota Industries (neé Toyoda Automatic Loom Works) were seeking to reduce manufacturing
waste and inefficiencies. Their solution, dubbed the Toyota Production System, encompasses a
number of methodologies that would become famous in their own right, including Just-In-Time
manufacturing, Jidoka, and the core concept of the visual workplace.

Initially, the Toyota Production System was a closely-guarded secret, but the massive economic
boom Japan experienced in the 1980s drew intense interest from foreign corporations wondering
how Toyota, the shiniest jewel in Japan's manufacturing crown, was able to build so many
products, so quickly, at such a high quality level. As a gradual, international exchange of ideas
began to take shape, author and ULVAC Inc. executive Hiroyuki Hirano devised the five pillars of
the visual workplace, a concept that would metamorphose into the 5S methodology as we know
it today.

The 5S methodology has gained importance throughout the years and is now one of the basic
foundational elements of Lean, along with other Lean processes and practices such as:

 Visual Workplace
 Six Sigma
  Kaizen
 Kanban
 Gemba
 TIMWOOD
 Lean Manufacturing

Quick Answers about 5S

What is the 5S methodology?
The 5S methodology is a system for handling workplace organization. It includes 5 steps known
as the 5 S's that turn organization into a step-by-step system for people to follow. This
methodology is often considered the foundation of Lean manufacturing because for a workplace
to reduce waste and become more efficient, it needs to first be organized.

What is the purpose of 5S?

The purpose of 5S is to make a workplace function better by making it an easier place to work.
This occurs by making spaces make sense; tools and materials are placed in logical locations
based on who needs them, how frequently they're needed, etc. Spaces are cleaned regularly.
Cleaning and organization become habits. When used correctly, 5S ultimately makes processes
safer and more efficient.

What does 5S stand for?

5S stands for the 5 steps of this methodology: Sort, Set in Order, Shine, Standardize, Sustain.
These steps involve going through everything in a space, deciding what's necessary and what
isn't, putting things in order, cleaning, and setting up procedures for performing these tasks on a
regular basis. When there's a plan for making 5S an ongoing effort and not just a one-time event,
it can be sustained over time.

What is the 6th S?

The 6th S stands for Safety. Some businesses choose to add this step at the end of 5S to ensure
safety is a key component of work practices. Other businesses believe safety should be a part of
all the steps of 5S and therefore doesn't need to be its own step. Either way, safety does play a
role in 5S. Arranging spaces in logical ways, organizing tools and materials, and cleaning
regularly make it easier for people to do their jobs without tripping, slipping, experiencing an
ergonomic injury, etc.

How does 5S relate to kaizen?

Kaizen is a Lean manufacturing concept that refers to the ongoing process of "continuous
improvement." Kaizen seeks to find small ways to improve processes over time. For kaizen to
work well, everyone in a workplace participates by looking for ways their tasks could be
improved.

The goal of 5S is also to improve processes. It does so by increasing organization and efficiency.
This means 5S sets a workplace up well to use kaizen. Once an organizational system exists,
people can more easily look for improvement opportunities.

Access More Questions and Answers About 5S >>

What Is Lean?
Lean, often called Lean manufacturing, is a method used to identify and eliminate waste from a
manufacturing process. Lean aims to remove anything from the production process that does not
add value to the end product or service the customer purchases. The Lean manufacturing
principles of eliminating waste and streamlining processes originated with the manufacturing
industry in Japan in the mid-twentieth century, and in the late twentieth century grew popular with
American businesses.

5S is a Lean manufacturing tool that serves as the foundation for all other Lean endeavors. 5S
creates a visual logic in the workplace and puts things in order so waste can easily be identified.

5S Lean
The term 5S is often paired with Lean because 5S is a foundational part of Lean manufacturing.
Implementing 5S in a workplace makes it easier for people to navigate, find what they need, and
keep things organized. Once a sustainable 5S system is in place, other Lean manufacturing
initiatives such as kanban or kaizen can be implemented more successfully because the
workplace is already easy to work in. Without 5S to keep everything in order so problems are
easily identifiable, other Lean efforts often see less success. In many cases, 5S is what makes
the rest of Lean possible.

Visual Management
Visual management, sometimes called visual control, is a method of managing a business that
uses visual signals to communicate important information. These visuals can include diagrams,
pictograms, color-coding, floor markings, photographs, and more. This type of management
allows people to quickly understand the information being conveyed. In many cases, visual
management techniques make it possible for everyone in the workplace to understand the
current state of work processes. For example, a green andon light shows a process is moving
smoothly, while a red light calls attention to a problem with a process.

5S is a form of visual control that focuses on organization and can improve productivity. Visual
markings in a storage area can help workers return materials to their proper locations, floor
markings can create boundaries around work cells, and signs on the floor can point out the
proper locations for trash and recycling bins. Using visual tools like these allows a business to
communicate information to workers without needing to actually say anything.

Visual Workplace
A visual workplace is a workspace where visual tools provide people with the information they
need to complete their work. These visuals explain the workplace so people do not need to ask
unnecessary questions. A visual workplace is often described as being "self-explaining, self-
ordering, self-regulating, and self-improving" because the visual signals it uses allow it to operate
with minimal extra effort from users. A workplace that uses 5S is often called a visual workplace
because 5S is a method for making an organizational system visual.

Why Lean 5S?

There are many benefits associated with the implementation and continued use of 5S.
Some of the top reasons to begin 5S include:

 5S is a sub-part of the entire Lean philosophy.

 5S is simple to start and shows the value of Lean.

 5S is easily recognizable by both employees and members of higher management.

 5S is a component of visual control, which can: recognize operational efficiency, create

opportunities for abnormality detection, build specific behaviors and discipline, and
promote new culture.

 When a plan/vision is in place, employees know how to be effective and are able to work
towards higher levels of efficiency.

 5S creates better problem-solving skills and improves employee morale and employee
engagement.

 5S aids in decreasing the number of workplace injuries.

Employee Involvement

Employee involvement is an absolute must for successful 5S implementation. In fact, many

people may argue that a company simply cannot be successful in 5S without total employee
involvement.

Employees should be involved in nearly all stages of 5S implementation and should also be
involved in all tasks involving 5S practices and/or procedures. For instance, employees should
participate in the decision-making process regarding the red tagging of unneeded items.
Employees should also be utilized as a valuable resource when it comes to overall organization.
It is the employees who are out on the work floor each day, engaging in processes and noting
both the pitfalls and peaks of each work process.
Another large component of employee involvement includes education. Employees should not be
expected to understand and comply with the methodologies of 5S if they do not understand them
or the overall purpose.

Employee buy-in plays a huge role in the success of any 5S effort. It is critical that both
employees and management are educated on the value of 5S as a "tool" instead of just simply
as a philosophy. When 5S is viewed as a "tool," staff will begin to believe in the processes
involved, which will help promote greater levels of efficiency, quality, and staff flexibility.

Costs Involved with 5S

There are two main costs involved when starting and continuing 5S. These two costs are:

 Redirected Labor Cost - When starting a 5S project, many hours are used to help
promote employee buy-in, discuss pitfalls and barriers, create a plan of action, etc. These
hours of lost production are simply the "nature of the beast" so to speak and may easily
be recouped once 5S processes have been established and plans are carried out. This is
most easily looked at as a small donation, which will yield large results.

 Materials and Goods Costs - Many different types of materials and goods may need to
be purchased and/or ordered to help make 5S a success. Some of these products may
include, but are not limited to: floor tape, industrial label printers, foam tool organizers,
shadow boards, shelving units, and whiteboards for warehouse mapping.

How to Get Started

Starting any project that involves the potential for large changes can be somewhat daunting.
However, there are a few ways to help establish a rich soil for abundant levels of growth.

One thing that is critical to the success of any 5S endeavor is employee buy-in. Employee buy-in
essentially means that the employees are open, willing, and committed to making contributions to
make the endeavor a success. Some helpful ways to develop employee buy-in include:

 Educating employees.
 Providing examples and a framework for success.
 Allowing employees to discuss the potential barriers and pitfalls of the recommendations.
 Providing insight about how the process will actually operate to help alleviate some of the
unknowns that could hinder the process.

Throughout the employee buy-in process, many teams will show excitement and interest when it
comes to discussing the pitfalls and barriers associated with the new changes. However, as this
is done and details are hashed out, great insight and information with be gathered on how to best
approach the team in the future. When pitfalls and barriers are met with a positive mental
attitude, even some of the most intimidating tasks can be conquered. It is important to remember
that positive attitudes are contagious.

5S System

The 5S system of visual management has improved organization and efficiency in many
workplaces including manufacturing environments and offices. This system consists of five
pillars—Sort, Set in Order, Shine, Standardize, Sustain—that make maintaining the workplace in
good condition a visual process. Employees throughout an organization must contribute to the
system by performing routine housekeeping tasks throughout their workdays.
Request a complimentary step-by-step guide to organization
improvement using 6S.
6S (the expanded and improved version of 5S) is a proven strategy for improving your
organization, and eliminating waste. Learning more about what 6S is, and how to implement it in
your facility can help benefit your business in many ways.

Get 6S Guide

Thinking of 5S as a system—rather than just an initiative a business is trying out—can help make
it sustainable. 5S becomes part of work processes rather than something separate. It changes
the way the workplace is organized and it can change the way work is performed. In a 5S
system, employees perform 5S tasks as part of their regular work.

5S Program
Many businesses decide to implement a 5S program as a way to standardize procedures,
increase orderliness, and improve efficiency. Generally, having a team design and implement a
program is effective because people from different parts of the business bring unique
perspectives. Using a team also removes the burden of starting and maintaining 5S—which can
be a large project, especially in large organizations—from one person. The team will be
responsible for tailoring 5S to the needs of the workplace.

Each 5S program will feature visuals best suited to the work environment and its employees. For
example, a program could use floor markings that divide work areas from storage areas or
shadow boards that highlight where tools should be stored. A 5S program should also assign
specific responsibilities to employees such as cleaning a work surface daily or making sure all
tools have been returned to the storage area at the end of a shift.

This framework can be adjusted over time to improve the program based on feedback from
people in the organization.
5S Training
Employees at all levels of an organization must receive adequate training in 5S for the system to
be effective. This includes upper management, supervisors, maintenance staff, and employees
on the floor. In 5S, everyone is responsible for doing his or her part to maintain the system, and
this occurs in workplaces where people understand the thinking behind 5S, not just the steps and
tasks they must perform.

5S training should explain the pillars of 5S, its applications in the workplace, how 5S fits in with
the company's goals, and what role each person will play in maintaining an effective 5S
workplace.

Creating a Plan

A Lean mindset should be established before even starting the processes of 5S. Accountability
along with setting expectations is vital. What is expected and who and what will benefit from the
changes?

When creating a plan, it is most helpful to start out with an actual business case or reason for the
changes to be made. How will the improvement affect or benefit the bottom line? For instance, is
there time being wasted searching for something? Or is there a lack of organization or a need
for visual management? Pinpoint some of the most relevant needs in the particular work
environment.

It is important to avoid trying to get the best Standard Operating Practices (SOPs) immediately.
Likewise, it is also just as important not to impose specific SOPs on the teams. When employees
are forced into doing something without being asked for input or thoughts, the first natural
reaction is to actually resist the change.
Furthermore, many employees harbor a wealth of knowledge that could be beneficial for coming
up with possible improvements and ideas for change. Paul Dakin, Director at Hollybush Interim
Management Services Ltd., suggests using the employees to generate the initial standards. He
states:

"Use the SDCA cycle (Standardize the work/Do the work to the
standard/Check the work/Act to re-standardize) to tighten down the SOP's
to get to best practice. In this way the teams own & self-manage the
standards."
The team involved in doing the 5S tasks should include the members who actually work in the
specific area. For instance, it would not make very much sense to take a team of office
employees out onto the industrial work floor to implement all the 5S changes needed. The team
working in the area should always be involved in the changes and improvements being made
and/or considered for that specific area.

Tools for 5s
The following tools are examples of items that can be used for implementing a 5S program:

Shadow Boards
Shadow boards can be a helpful tool when implementing and sustaining the processes of 5S.
Shadow boards feature an outline of where tools belong and allow employees to quickly identify
which tools are missing. Shadow boards help with both tool organization and tool accountability.

Floor Markings
Floor markings are a staple within many well-organized workspaces. Floor markings can be used
for a variety of different organizational purposes from delineating a specific workspace to marking
off pallet storage or even for helping pedestrian traffic navigate to safe areas within the work
environment.

Floor markings are extremely diverse tools and are available in a variety of different colors, sizes,
strengths, thicknesses, and even shapes. Floor markings such as tape and shapes are helpful
tools in many different types of work environments such as offices, auto shops, healthcare
facilities, manufacturing facilities, retail environments, etc.

Signs
The use of signage in an efficiently run work environment is essential. Not only does signage
help increase safety, it also creates a visual environment for employees to thrive in. Safety signs
can be found in a variety of colors, shapes, and sizes and can be found with many different
common text combinations. In addition, it is even possible to create customized signage to meet
any unique marking needs. Signage may be available as floor signs, wall signs, or standing
signs. All signs can improve visual communication.

Labeling
Labeling is a big component of efficient organization for a 5S system. Virtually anything can be
labeled to help keep work areas organized, efficient, and visual to employees. For instance,
some things that can be labeled are shelving, storage units, bins, workspaces, pipes, etc. When
labels are used strategically, employees understand where things belong and can easily identify
when something is missing.
Industrial Printers
Industrial printers assist in making printing easy, convenient, and cost-effective. Instead of having
to order labels from an outside entity, labels can be printed right in-house with the help of an
industrial label printer.

Industrial label printers are capable of printing an assortment of different sized labels using
different colored inks and can print on different types of label supply as well. Some industrial
label printers even feature thermal print heads that can create an extremely durable, no-smudge
label.

5S Tags
5S Tags, also known as "red tags," are commonly used during the Sort phase of 5S. These tags
are attached to items that no longer add value to the work facility and are not often needed or
used. This type of red 5S tag is easy to see and makes the process of sorting through different
tools, supplies, and equipment simple and straightforward. By looking at the tags, employees can
easily determine what is going to stay and what is going to go.

5S Success Stories
 "I was teaching 5S at a supplier and while on the line, I asked what the purpose was for a
certain machine (an inline nitrogen system). The supervisor said it was critical to
production and needed to stay. I pointed out that the pipes connecting it to the line were
cut and that it had an inch of dust on it. We found out they had not used it in years and
they were able to sell it for around $100k.

In another Kaizen we had a centerless grinder with high variation. It was enclosed in a
cabinet so the only point at which they knew the part was bad was after the process. The
area was filthy, so we made the entire group stop and just clean for an entire day. After
taking years of grease off the machine, we found two things, first, the machine was
actually green, not black, and secondly there was a window where the operator could see
the defect occurring."
 - Ben Eberhart Sr. Manager Procurement Lean Six Sigma

 "In our plant, after implementing 5S on workplaces, we wanted to engage all employees
in keeping 5S in their working areas. My task was to implement League 5S(a
competition):

o The goal of league 5S was to engage all employees in Lean and 5S activities

o I divided plant's layout into 5S plant zones with responsible persons (production,
logistics, maintenance...)

o Defined team of auditors was regularly evaluating 5S status in these zones according to
questionnaire

o 5S zones were compared to each other

o People in the winning zone were awarded with prizes (once per 6 months)

After launch of league 5S, condition of 5S was improving from month to month. There are
many details that Lean Coordinator must follow to keep league 5S alive and well running.
3 basic rules are: TRAINING, WELL INFORMED EMPLOYEES and PROPER
AWARDING SYSTEM. For more info don't hesitate to contact me."
- Miloš R.

Understanding the Sixth S – Safety

Most people working for any type of warehouse or manufacturing company will recognize the
term 5S and immediately know it is all about reducing waste and improving productivity.
However, in addition to 5S, there is also a sixth S known as safety.

While the sixth S is not a part of the original Lean concept developed at Toyota, the
implementation of it can help improve productivity and eliminate waste in many ways.
The 6S Controversy
Throughout the Lean manufacturing community there is some controversy about
whether 6S should be a standard or not. The argument against 6S points out that safety should
be a key component of each of the other S's, and therefore having a 6th separate S is actually
redundant.

Nonetheless, those who like the idea of 6S believe that while safety should be a factor in each of
the other S's, it is important enough to warrant its own category as well. There really is no right or
wrong answer, but it is difficult to argue that safety is not one of the most important factors in
reducing waste and improving productivity.

Hazards Are Inefficient

Here are some of the most obvious ways safety can help eliminate waste and improve
productivity within any workplace:

 Accidents Waste Time – When there is an accident in a facility, it is typically necessary

to halt work while it is investigated. Depending on the severity of the accident, this can
cause a work stoppage for hours or even days. Obviously this is very inefficient.
Improving safety will reduce the number of accidents, which will then improve
productivity.

 Injuries Slow Work – When someone is injured at work, they will likely have to take
some time off to recover. It may be necessary to bring someone new into the facility,
which will cost time and money. In addition, any workers' compensation that needs to be
paid out could be considered wasted money also. Even once the employee returns, he or
she may never be as efficient again due to the lasting effects of the injury.

 Safety Improves Organization – Many safety improvements can help a facility stay
more organized, which improves efficiency. For example, if floor marking tape is used to
divide up aisles into driving and walking paths, everyone will know where they need to
be. This may allow people to travel faster, which in turn improves productivity.

 Employee Confidence – Employees who work in a hazardous environment are more

likely to do things slowly to help protect themselves. When employees feel confident that
the facility is a safe place to work, they can move at a faster pace and get the work done
properly and in a timely manner.

 OSHA Inspections – If a work facility is found to be unsafe by OSHA, that facility is

much more likely to have repeat inspections from the agency in the future. OSHA
inspections, while important, do cause lapses in productivity. If safety can be improved, it
is more likely to receive positive results from any inspections that do occur.

Of course, there are dozens of other ways that safety can help improve the overall efficiency of a
facility.

Incorporating Safety into Lean 5S

Whether it is called 5S or 6S, safety should always be incorporated into every Lean efficiency
effort made. One of the best ways to do this is to take a look at how all efforts with any of the first
5 S's will impact safety. Every facility will have to come up with the specifics for how this is done,
but many companies have found that making a simple chart can be helpful.
The chart below shows how it works and how the sixth S may be adopted into use in the work
facility.

Improvement
5S Title The 6th S Impact
Title

Keep tool
benches clean Tools will be kept in better condition and will therefore be safer.
Sort
using foam Also reduces the risk of accidental cuts when searching for tools.
inserts

Organize
Being able to find items in the warehouse quickly will reduce the
Set in warehouse
risk of items falling or someone being injured while searching
Order shelving using
through multiple areas.
labels

Perform
preventative Keeping machines in proper working order will help ensure they
Shine
maintenance do not malfunction and cause an injury.
on machines

Ensure
employees
across shifts are Prevent accidents when employees are working on other shifts
Standardize
performing since everyone will be used to doing things the same way
tasks the same
way

Analyze 5S
improvements
from previous
Ensuring improvements were properly rolled out will help keep all
Sustain quarter to
the safety benefits in place long into the future
ensure
implementation
is effective

The table above is a very simple depiction. However, it should provide an idea of how to take
projects that were set for the traditional 5S steps and use them to make safety (6th S)
improvements as well.

Each Step of 5S Defined

The 5S Cycle
5S is a powerful tool in the workplace and can be adapted to fit into any appropriate time scale
(daily, monthly, yearly, etc.) as long as ongoing support is handled correctly. Below is an in-depth
exploration of each step within the 5S process and how it can be utilized to ensure maximum
effectiveness.
1) Sort / Seiri

Sort is the first step in any 5S process. The term sort is originally derived from the Japanese
word Seiri. Each step in the 5S process has an associated goal that can be specifically outlined
to help guide efforts. For the step of Sort, the goal is to remove unnecessary items from the
room, station, or space being organized. Furthermore, the sorting phase also aims to provide a
clean slate on which to build and carry out the other four steps.

Beginning the process of Sort starts out simply, as nearly everything should be removed from the
target area. Even though taking items from one space and placing them into a big pile in another
space seems like it may be making a mess, this is not true. Instead, this is the opportunity to
really make decisions about what needs to stay and what needs to go so actions can be
immediately taken for items that are no longer used or needed.

How It Works:
Industrial bins are needed for an accurate sort. Based on the standard approach, there are three
to four "bins" or sorting categories used when conducting a 5S sort.
Request a complimentary step-by-step guide to organization
improvement using 6S.
6S (the expanded and improved version of 5S) is a proven strategy for improving your
organization, and eliminating waste. Learning more about what 6S is, and how to implement it in
your facility can help benefit your business in many ways.

Get 6S Guide

The three or four bins are:

 Keep: These are items used frequently and essential to the operation of the workplace
being sorted. If the target area is a supply room, tool shed, or another area that feeds into
greater business operations, employees should be evaluated on how often they draw
tools from the Sort area to utilize those items. These tools should be returned to the 5S'd
area after sorting is complete.

 Remove: Items that are not needed and are simply taking up space should be placed in
a bin or pile to be removed. Example items might include the following: broken or
outdated tools, chemicals or components that have degraded or passed their expiration
date.

 Probation: Items in this pile or bin are being evaluated for use. A specific amount of time
should be set (that is appropriate to your business cycle) during which items will be
evaluated to see whether they are used often enough to keep. After the probationary
period, these items are either discarded or organized back into the original workspace.

 To Move: This option is talked about less, but is still an important consideration for items
that may be helpful in your business. Items that are not needed often but must be on
hand for times when they are required will need to be relocated. These items will
eventually find new homes in other stations or rooms that make the most sense for them.

Sort Tips
 Different spaces require different sorting frequencies. For example, a workstation should
be sorted to ensure tidiness everyday it will be used. On the other hand, a storage or
filing cabinet may only need to undergo the initial steps of 5S monthly, quarterly, or even
annually.

 It is important to actively audit the sorting process of any 5S'd space to ensure accuracy
and attentiveness. Sometimes, an emphasis on organization can overshadow other
important areas; be sure to check in on tool calibration, supply expiration dates, and
potential safety hazards while areas are undergoing audit organization.

2) Set in Order / Seiton

The second step of 5S is "Set in Order" which is derived from the Japanese term Seiton. This
phase focuses on placing the items deemed essential in the Sort phase back into the workstation
or area in a specific, well-organized manner. More importantly, Set in Order is truly about finding
the most efficient and sensible homes for the tools and items within that area.

Every time employees have to search around for a tool to complete their jobs, time is wasted and
by extension, the business loses money. Setting items in order in an intentional and planned way
is essential to minimizing these types of losses.

For example, imagine the importance of well-organized tools for EMTs. They need to have their
most frequently needed tools and equipment on hand and easily accessible to help save the lives
of their patients. Logical organization paired with knowledge of where tools and supplies are
could literally make the difference between life and death. While the stakes may not always be as
high in a production facility, every loss of efficiency does bleed a business' profits out little by
little.

How It Works:
A good way to begin this step is to map out the area where the tools and equipment will be
returned to. During this stage, it is critical to really think about the jobs being performed in or
around each station. This knowledge should be used to map out the most convenient and
comfortable areas for workers to go to or reach towards. Employees' most frequently used tools
should reside in easy-to-access areas with the least restrictions possible. The goal is to minimize
the need for employees to repeatedly reach over and between items by placing the most
frequently used tools and supplies closest to the station operator, while opting to place less
utilized items in other areas.

Set in Order Tips:

 One excellent tool/technique for setting a workspace in order in an efficient manner and
keeping it that way is to utilize shadow boards. Shadow boards feature outlines of tools
behind or beneath the locations where they hang or sit when stored. When an item is
removed from its specific location, it is easy for a worker to quickly see where to put it
back because of its silhouette. Shadow boarding can be easily applied to already existing
surfaces and pegboards where items are kept.

 Personalize the placement of items. Workers are individuals and what works for one may
not be the most efficient option for another. In the context of setting a workspace in order,
this could mean making adjustments to where items are stored if an employee working at
that station frequently is particularly tall or short. In addition, another consideration is to
whether an employee is right or left handed. Accommodating for this can make reaching
and maneuvering to get to tools easier, safer, and more efficient. Asking employees
personally to get involved with decisions, or at the very least provide feedback on what
 organizational setups would make the most sense for day-to-day tasks, can make a big
difference in levels of efficiency and improve the process.

3) Shine / Seiso

Stemming from the Japanese term Seiso is "Shine," which means to sweep or sanitize. This is
the third stage of a 5S project. First and foremost, the Shine phase is basically a complete and
unapologetic cleaning of the entire workstation or space. In this phase, employees should be
cleaning, dusting, polishing, sweeping, and vacuuming along with anything else needed to attain
perfect order.

How It Works:
1. In nearly any case, a clean workplace is a safer workplace. For instance, keeping floors
clear of dust and debris helps reduce the risk of trips, slips, and falls – an extremely
common cause of workplace injury. A clean workplace also helps counteract any
potential infections or other health hazards employees might otherwise encounter. Simply
put, workplace accidents have the potential to destroy efficiency, and a good shining can
help workers avoid them.
2. Cleaning can be used as an inspection tool. Clear expectations are necessary for
positive employee interactions and, ultimately, results. When employees know what is
expected of their workspace, they are more likely to keep things in that state. Posting
imagery nearby that shows the fully cleaned or "shined" state of a workspace can be a
helpful way to keep this communication alive even when no one is physically present to
deliver it. Furthermore, an information board can even show step-by-step instructions for
how certain areas or tools are meant to be cleaned at the beginning and/or the end of a
shift.
3. A regular and thorough cleaning helps prevent tool and machinery degradation. Not only
does this help with safety as described above, it can also ensure these items last longer.
A longer natural lifespan means less costly replacement and maintenance in the future.

Shine Tips:
 Be proactive, not reactive. Cleaning should always be carried out on a schedule, not in
response to a workspace that has grown too cluttered to navigate efficiently. Reactive
cleaning indicates a lack of cleaning already in progress and also suggests that workers
are unable or unwilling to stick with the schedule. Shine is not about cleaning up messes
as they arise; instead, it is more about implementing the proper cleanliness strategies to
avoid making messes in the first place.

 Workers should take turns rotating into a supervisory role in which they are tasked with
ensuring that "Shine" is up to par and done in sensible ways. This team member should
be responsible for working with other members of the team on their own habits. Rotating
 this job helps to keep everyone happy and involved, and it also may save managers and
supervisors time as they will not have to constantly carry out the task themselves.

 When Shine is done properly and on schedule for a certain period of time, rewarding
workers with simple incentives (pizza parties, gift certificates, awards, etc.) can be an
easy way to keep the positive momentum going. This can be useful when moving forward
with the remaining 5S steps.

4) Standardize / Seiketsu

Seiketsu, Japanese for "Standardize," is the fourth step in the 5S process. This stage directly
connects with some of the closing tips from the "Shine" section, and that's because it builds on
the idea of auditing and checking in on 5S efforts regularly. Standardization is essentially "the
bridge" between Shine and the final step of 5S, Sustain. By standardizing the approach to 5S, it
can ensure organizational efforts are sustained in the long run. Failing to standardize procedures
can lead to work becoming sloppy over time and a loss of efficiency.

Begin to standardize 5S operations by making the process more than a word-of-mouth

agreement. This is the time to implement a clear, universally understood system so that
employees are certain about what they are expected to do. One excellent way to do this is to
design and print out 5S audit sheets that can be used by whoever is checking an area on a given
day. A checklist that asks specific questions about the work area can help ensure that processes
are carried out as intended.

Some questions on the checklist may include:

 "Are all tools in their correct place on the shadow boards?"

 "Have power tools been unplugged with their cords properly stored?"

 "Are the necessary supplies in place for the next worker who will begin a shift at that
station?"

5) Sustain / Shitsuke
What Happens When Audits Don't Return the Desired Results?
One of the biggest concerns with standardization is that sometimes audits may come back
consistently lackluster from a 5S'd area. This is a problem, but a common one that can be
addressed with relative ease. In general, many times failure at this stage is due to failing to
recognize one or more factors contributing to disorganization. Contributing factors may include:
  Inadequate employee training. Sometimes, it may just be that workers have not had
effective or enough training about what is expected of them. This is especially common
when not all workers were involved in the original 5S efforts. This situation can also arise
from employee turnover, which can place new employees into a position where others
would have had more training. In this case, new employees may find themselves unable
to keep up due to lack of knowledge or practice.

 Lack of Time. A question to ask is, "Are current shifts and schedules allowing adequate
time to complete the set 5S tasks?" Sometimes schedules along with high demands
hinder the employees' abilities to complete organizational tasks after a shift. In these
cases, it is important to take a step back and look into other efficiency tweaks that could
allow more time for employees to complete these needed tasks.

 Lack of requested feedback. In the standardization process employee feedback should

be collected and responded to in a timely and genuine manner. Employee suggestions
should be taken to heart, especially if comments hint that something is not working
properly. After all, it is the employees who are tasked with keeping things in order day
after day.

The final step, which is known as Sustain or Shitsuke, focuses on taking all of the previous steps
of 5S, including the standardized procedures, and transforming them into ongoing habits to
ensure continuous improvement. Just having a basic system in place is not enough, and the
existence of the Sustain step is a testament to this. When workers are required to do something
new in the workspace, it will not become an automatic habit right away; it takes people time to
actually form longstanding habits.

How It Works:
1. Demonstrate. Anything expected of workers should be demonstrated correctly by a
trained and knowledgeable professional. This is the portion where workers gain an
understanding of what actually needs to be done.
2. Supervised undertakings. Employees need to be worked with closely so they know
what is expected. In addition, employees should be monitored through their first few
attempts to make sure the daily 5S habits that are being formed are the exact habits
needed and desired. Workers shouldn't be coddled through this. Mistakes should be
corrected.
3. Periodic check-ins. After the initial training, it is important to stay vigilant by utilizing the
auditing techniques established in the standardizing step to regularly ensure that things
are running smoothly. Having employees learn to properly do these checks can be
helpful for positive habit forming as well.
 4. Make changes as necessary. Sometimes continued undesired behavior or undesired
results come about as a consequence of a faulty system. If this is the case, find the fault
in the original setup and correct it as necessary.

Sustain Tips:

New Employee Training

When existing employees help train new employees, it helps refresh the tactics and practices of
5S. Thank you Marine Engineering Training for this photo.

 When a new employee joins a team that uses 5S, one of the best things to do is let
current employees carry out the new employee's training. Teaching someone else how to
accomplish a task requires one to evaluate his or her own knowledge, and workers can
easily spot gaps that they may have questions about. Doing this also helps reinforce the
ideas they are teaching, especially if workers have grown sloppy over time or deviated
from the original expectations.

 Measure, don't just guess. Sustaining is about making adequate progress. The ultimate
goal of 5S is to increase efficiency. The actual organizational steps taken on the way are
components of this goal and shouldn't overshadow the larger endeavor. It is imperative to
keep accurate tabs on whether or not the 5S effort has helped workers cut down on
production times, accident rates, missing equipment costs, etc. over time. Use actual
numbers and do not overlook the facts, even if they are not as impressive as hoped for.

 Properly sustaining 5S is about carrying out the task or concept time and time again until
it becomes second nature. This can be a frustrating phase for both managers and
employees, so it is important to ensure communication is open, factual, and constructive,
while being free of accusations.

5S Manufacturing

5S originated in manufacturing environments. While this visual organization system has been
adapted for use in many workplaces including warehouses, offices, and healthcare facilities,
many manufacturing facilities continue to benefit from 5S. When combined with other Lean
practices, 5S often proves especially useful.

In a manufacturing facility where employees routinely need to use tools and obtain materials, 5S
plays a significant role. Visual markings make it easier to obtain those tools/materials and return
them to their storage locations after use. Visual cues such as floor markings (floor tape, floor
shapes, signs, etc.) can also create boundaries around different areas such as those used for
storing cleaning supplies, finished products, machinery, etc. In a fast-paced work environment,
these markings can mean the difference between a messy workplace and an efficient one.

Each employee in the manufacturing facility is taught which 5S tasks to perform as part of his or
her daily work, and this makes the system sustainable over the long term.

Common Misconceptions
As with many other Lean strategies, the practice and implementation of 5S also features some
common misconceptions. In other words, employees and staff often confuse or misconstrue
certain information and tactics related to 5S. This is very common, but can have a direct negative
impact on 5S efforts and results. The below statements are some common misconceptions
associated with 5S.

Because there are many misconceptions out there about the processes and tasks involved in 5S,
it is important to not lose track of the basics.

 Misconception: Areas involved in 5S should be set up in ways those involved in the 5S

process believe most suitable.

Truth: Work areas should ALWAYS be set up and organized for those who will be
actually using the areas.

 Misconception: 5S just means "throwing out expensive stuff" without rhyme or reason.

Truth: When it comes to 5S, there is often a big understanding gap of what's actually
worth keeping. Items and equipment should not be kept simply because they have value
to the outside world. Things should only be kept if they are of value to the organization.
For example, if a part or tool costs $50.00 but its use is obsolete for the business and it's
not worth the labor to sell it, it should be tossed. It's hard for a lot of people to get past
that concept. - David Snyder

 Misconception: 5S is "just a tool."

Truth: 5S is a tool, but it is not "just a tool." It is a comprehensive framework that

emphasizes the use of a specific mindset and tools to create efficiency and value.
Everything from organization to cleanliness is looked at. In addition, it also emphasizes
the practice of being proactive versus reactive.

 Misconception: 5S is "easy."

Truth: Even though the practice of 5S is usually one of the most basic and one of the
first Lean tools attempted by many businesses, that does not mean it is "easy." There are
 many steps that need to be taken before 5S is even considered. In addition, employee
involvement is key. Employees need to "buy-in" and be willing to learn and participate as
well.

 Misconception: Put up some safety signs and floor tape and you have implemented 5S.

Truth: 5S is so much more than applying some floor tape or adding some labeling to
shelving units. "At its most fundamental definition, we care about 5s because it allows for
the abnormal to be detected. An area that has been 5s'd and is utilizing additional Visual
Control techniques, "speaks" to the individual/manager/observer of the workspace. Do
we have what we need? Is something amiss? Is that gauge operating in a desired
region? Does an operator/technician need supervisory support? Has the correct reagent
been placed at the correct location of the synthesizer? If you need to verbalize these
questions, you have opportunities for Visual Control, of which 5S is an element." - Erik
Laufer

 Misconception: 5s is just a Japanese way of beautifying things.

Truth: 5S is not just a beautifying technique to make work areas simply look better.
Instead, it is more of a problem-solving approach, which utilizes the help of various
techniques and is a practical way to assist in increasing value.

 Misconception: 5S is all about cleaning; it is basically housekeeping on steroids.

Truth: Cleaning is a very minuscule component of 5S. The practice of 5S is multifaceted

and interweaves a mindset with a practical process to assist in creating both culture and
discipline.