A Shingo Model Perspective to Operational Excellence

An underlying theme in operational excellence is that improved utilization of employees’ skills, effective communication, and trust lead to sustained organizational success. The Shingo Model provides a comprehensive framework illustrating how these fundamental principles serve as the foundation for excellence across all functional areas. This brief explores how effectively leveraging human potential—addressing skills waste—is crucial for achieving ideal results and sustaining a culture of continuous improvement

The Shingo Model is a framework designed to guide organizations in transforming their culture toward achieving sustainable excellence. Developed by the Shingo Institute at Utah State University, it emerged from research studying organizations that had received the Shingo Prize, examining why some continued to improve while others declined.

Key aspects of the Shingo Model:

At the core of the Shingo Model are three key insights:

1. Ideal results require ideal behaviors
2. Purpose and systems drive behavior
3. Principles inform ideal behavior

1. Ideal Results Require Ideal Behaviors

The first key insight of the Shingo Model is that ideal results require ideal behaviors. This recognizes that organizational outcomes don’t happen in isolation, on accident, or because of luck but are direct consequences of people’s actions and behaviors. You cannot achieve operational excellence by focusing solely on results or implementing new tools and techniques. Instead, sustainable improvement requires fundamental changes in how people throughout the organization behave and interact. True cultural transformation occurs through consistent behavior changes over time, and leaders must both model and actively reinforce these desired behaviors.

2. Purpose and systems drive behavior

People’s actions and decisions are largely shaped by the systems within which they work. Well-designed systems naturally encourage and facilitate proper behaviors, while poorly designed systems can create unintended negative behaviors regardless of individual intentions. Having a clear organizational purpose helps align behaviors with strategic goals. These systems encompass everything from policies and procedures to metrics, incentives, and workplace organization.

3. Principles inform ideal behavior

The third insight states that principles inform ideal behavior. Universal principles like respect, humility, transparency, and trust serve as guides for proper behavior in any situation. When people truly understand these fundamental principles, they can make better decisions even in new or ambiguous situations. While specific methods and tools may change with circumstances, these core principles remain constant. Teaching people to understand and apply principles proves more effective than simply enforcing rules and procedures.

Three insights working together

These three insights work together in a cohesive framework: principles guide the design of systems, systems influence daily behaviors, and behaviors lead to sustainable results. All three elements must align for genuine cultural transformation to occur. This understanding provides organizations with a roadmap for creating lasting positive change rather than implementing superficial solutions.

Structure of the Shingo Model

The model represents how tools, systems, principles, culture and results interact with each other to create organizational excellence. Rather than being another program or initiative, it provides a structure to anchor existing initiatives and close gaps to sustain a culture of excellence.

The model is based on ten Shingo Guiding Principles organized into three dimensions:

1. Cultural Enablers
2. Continuous Improvement
3. Enterprise Alignment

Cultural Enablers form the foundation through two core principles. Respect Every Individual emphasizes recognizing inherent human worth, developing capabilities, and creating safe environments for idea sharing. Lead with Humility focuses on seeking input, acknowledging mistakes, supporting others’ success, and demonstrating adaptability. These principles create the cultural foundation necessary for improvement.

• Respect Every Individual: Recognizing inherent human worth, developing capabilities, and creating safe environments for idea sharing.
• Lead with Humility: Seeking input, acknowledging mistakes, supporting others’ success, and demonstrating adaptability.

Continuous Improvement encompasses five principles that drive operational excellence. Focus on Process emphasizes understanding relationships and addressing root causes. Embrace Scientific Thinking promotes data-driven decisions and systematic learning. Flow & Pull Value optimizes customer value delivery while minimizing waste. Assure Quality at the Source builds in checks and immediate problem resolution. Seek Perfection encourages continuous learning and innovation through challenging the status quo.

• Focus on Process: Understanding relationships and addressing root causes.
• Embrace Scientific Thinking: Promoting data-driven decisions and systematic learning.
• Flow & Pull Value: Optimizing customer value delivery while minimizing waste.
• Assure Quality at the Source: Building in checks and immediate problem resolution.
• Seek Perfection: Encouraging continuous learning and innovation by challenging the status quo.

Enterprise Alignment contains three principles ensuring coordinated organizational effort. Create Constancy of Purpose establishes clear vision and consistent priorities. Think Systemically emphasizes understanding interconnections and considering the whole value stream. Create Value for Customer focuses on defining and delivering what customers truly value. These principles ensure that improvement efforts align with organizational goals.

• Create Constancy of Purpose: Establishing a clear vision and consistent priorities.
• Think Systemically: Understanding interconnections and considering the whole value stream.
• Create Value for the Customer: Defining and delivering what customers truly value.

These dimensions work together synergistically. Cultural Enablers provide the foundation of respect and leadership necessary for improvement. Continuous Improvement principles guide the methodologies and approaches for advancing operations. Enterprise Alignment ensures these efforts coordinate toward common organizational objectives. Together, they create a framework for sustainable excellence that transcends simple tool adoption or isolated improvement efforts.

Purpose of the Shingo Model

The ultimate goal is to help organizations create a culture where every person is engaged in continuous improvement every day, aligned with guiding principles that lead to sustainable results.

The model emphasizes that while tools and systems are important, it’s the people and culture that truly drive organizational success. Leaders must actively manage culture rather than letting it form by accident, as culture has profound effects on organizational behavior and results

Conclusion

Effectively utilizing employee skills is essential for achieving operational excellence. By focusing on eliminating skills waste, organizations unlock the full potential of their workforce, leading to improved performance, innovation, and competitiveness.

The Shingo Model provides a robust framework for this transformation, emphasizing the alignment of principles, systems, and behaviors. By cultivating a culture that values every individual’s contributions and fosters continuous improvement, organizations can create sustainable excellence that extends beyond the implementation of tools or isolated initiatives.

In embracing these principles and strategies, leaders not only enhance operational efficiency but also build a dynamic, engaged workforce ready to meet current and future challenges.

Discussion Questions

Understanding the Shingo Model

1. How does the Shingo Model emphasize the connection between behaviors, systems, and results in achieving operational excellence?
2. Why is cultural transformation critical for sustainable improvement, and how does the Shingo Model facilitate this transformation?
3. How do the three key insights—ideal results require ideal behaviors, purpose and systems drive behavior, and principles inform behavior—work together to create lasting change?

Cultural Enablers

4. Why are the principles of “Respect Every Individual” and “Lead with Humility” foundational to the Shingo Model?
5. How can organizations create safe environments where employees feel valued and encouraged to share ideas?
6. What role does humility play in effective leadership, and how can it improve communication and decision-making?

Continuous Improvement

7. Why is focusing on process, rather than outcomes, essential for addressing root causes of problems?
8. How does embracing scientific thinking (e.g., data-driven decisions and systematic learning) promote continuous improvement?
9. How do principles like “Flow & Pull Value” and “Assure Quality at the Source” help minimize waste and optimize efficiency?

Enterprise Alignment

10. How can creating a clear vision and consistent priorities (“Constancy of Purpose”) align organizational efforts toward shared goals?
11. Why is systemic thinking important for understanding interconnections in the value stream, and how does it affect decision-making?
12. How does focusing on creating value for the customer help align improvement efforts with organizational objectives?

Self-Assessment Questions

Applying the Shingo Model

1. How does your organization ensure that employees’ behaviors align with ideal results?
2. Are systems in your organization designed to encourage positive behaviors, or do they unintentionally promote inefficiencies?
3. What steps can leadership take to embed universal principles like humility, respect, and trust into daily operations?

Cultural Transformation

4. Does your organization actively foster a culture of respect and recognition for employees’ contributions?
5. How do leaders in your organization demonstrate humility and adaptability in decision-making?

Continuous Improvement and Alignment

6. How effectively does your organization focus on processes rather than just outcomes to address root causes?
7. Are employees encouraged to embrace scientific thinking and participate in continuous improvement initiatives?
8. How does your organization align improvement efforts with customer needs and long-term strategic goals?

Sustainability

9. How well does your organization integrate tools, systems, and culture into a cohesive framework for continuous improvement?
10. What opportunities exist to improve alignment between principles, behaviors, and systems to achieve sustainable excellence?