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Lean Six Sigma and Innovation PDF
Lean Six Sigma and Innovation PDF
Lean Six Sigma and Innovation PDF
To cite this article: Jiju Antony, Djoko Setijono & Jens J. Dahlgaard (2014): Lean Six Sigma and
Innovation – an exploratory study among UK organisations, Total Quality Management & Business
Excellence, DOI: 10.1080/14783363.2014.959255
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Total Quality Management, 2014
http://dx.doi.org/10.1080/14783363.2014.959255
Although research has been carried out linking Total Quality Management and
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Innovation, it was found that there is a dearth of literature exploring the relationship
between Lean Six Sigma (LSS) and Innovation. The purpose of this paper is to
explore the link between LSS and Process/Product/Service Innovation. A number of
interviews were carried out with 10 UK-based companies to explore how LSS and
Process/Product/Service Innovation are linked. The interviewees (Six Sigma Black
Belts and Master Black Belts) were carefully chosen to ensure that sound and valid
conclusions could be derived from the investigation. Due to constraints of limited
time, the number of people who participated in the study was relatively small.
However, the authors argue that this study can provide a good foundation to various
researchers and practitioners to further explore the nature of the relationship between
one of the most popular business process improvement methodologies (LSS) and
Process/Product/Service Innovation. Based on the interviews of 10 companies in the
UK engaging with LSS initiatives, the authors found that LSS is commonly viewed
as fostering Process/Product/Service Innovation, Incremental Innovation, or
Innovation Capability. The authors also identify seven features specific to LSS that
are likely to have significant influence on the above types of Innovation.
Keywords: quality; Lean Six Sigma; Innovation; process excellence; Innovation
Capability
1. Introduction
In the global and fast-paced economy of today, Innovation is crucial for firms’ survival and
growth, and most firms competing in the global economy are paying increasing attention to
Innovation as the key driver of competitiveness (Dervitsiotis, 2010). There are many pub-
lications providing lists of various factors in an organisation that lead to Innovation. A
number of scholars (e.g. Hung, Lien, Yang, Wu, & Kuo, 2011; Prajogo & Sohal, 2003;
Santos-Vijande & Alvarez-Gonzales, 2007) have examined the relationships between
Total Quality Management (TQM) and Innovation. In particular, many of them identify
the mechanistic (i.e. the ‘hardware’ emphasising on control) and organic (i.e. the ‘soft-
ware’, often associated with learning/cognitive) elements of TQM and their influence
on various types of Innovation (e.g. radical vs. incremental). The majority of those publi-
cations found that, in general, the organic element of TQM leads to Innovation (usually
incremental), while the mechanistic element has little or no influence on Innovation.
However, the article by Hoang, Igel, and Laosirihongthong (2006) proves that the mechan-
istic element of TQM (i.e. process management) does have an influence on Innovation, in
∗
Corresponding author. Email: j.antony@hw.ac.uk
terms of both the number of new products or services that firms have developed and the
level of newness (which may refer to entering a new market, new method of production,
entirely new product/service).
A recent study has suggested that managing the quality of the Innovation process for
survival and excellence in adaptation requires a systematic view of the Innovation process
(Dervitsiotis, 2011). Despite the acceptance of general Quality Management/TQM – Inno-
vation relationship theories (views), published articles examining the relationship between
Lean Six Sigma (LSS) and Innovation are almost non-existent (Hoerl & Gardner, 2010;
Xu, Sikdar, & Gardner, 2006). As scholars in the area of LSS, the authors are intellectually
challenged because despite the obvious overlap or connection between LSS and TQM
(continuous improvements, customer focus, employee involvement, etc.), the following
two questions are basically left unanswered: Does LSS lead to Innovation? What
aspects of LSS are influential with regard to Innovation?
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The authors first review the literature examining the relationship between TQM and
Innovation. We turn our attention to TQM for two reasons. Firstly, Lean and Six Sigma
are very closely connected to TQM. As a matter of fact, Six Sigma inherits some of
TQM’s genetic materials, and Lean is often viewed as a concept overlapping with
TQM. Secondly, published articles dealing with the issue of the relationship between
LSS and Innovation are extremely rare, almost non-existent. The literature review pro-
vides fundamental understanding/knowledge regarding: (a) the extent of TQM’s influence
on Innovation, and (b) the influence of various types of TQM elements on various types of
Innovation. In this article, we aim to answer whether or not LSS fosters Innovation, and if
so to identify the LSS characteristics that are likely leading to Innovation. Furthermore, we
develop frameworks to examine the LSS – Innovation relationships.
2. Theoretical background
2.1. TQM – Innovation relationships
The existing literature, which examines the relationships between TQM and Innovation,
provides the two contradictory views that the relationship can be both positive and nega-
tive. There are many explanations as to why such results have been produced, but a closer
look at the reviewed articles indicates that the nature of such relationships seems to be con-
tingent upon: (a) the way each construct is being conceptualised and (b) the direction of the
relationship, i.e. whether TQM influences Innovation or Innovation influences TQM.
Articles conveying the TQM – Innovation relationships may define TQM as a multidi-
mensional construct consisting of both mechanistic and organic elements (Prajogo &
Sohal, 2004). It is common that, in the articles examining a TQM – Innovation relationship,
two opposite types of Innovation are utilised to represent the richness of the Innovation
construct, i.e. radical– incremental (Abrunhosa & Moura, 2008; Lopez-Mielgo, Montes-
Peon & Vazquez-Ordas, 2009), process – product (Prajogo & Sohal, 2003), perform-
ance – capability (Perdomo-Ortiz, González-Benito, & Galende, 2006; Prajogo,
McDermott, & Goh, 2008; Wang, Lu, & Chen, 2008), and invention – adoption (Abrun-
hosa & Moura, 2008). A mechanistic-TQM construct usually yields a higher slope
when regressed against a Process – Innovation construct compared to when regressed
against a Product – Innovation construct. Hence, the direction (positive or negative) and
the magnitude of the TQM – Innovation relationship depend heavily on the combination
of sub-constructs selected.
Instead of splitting the TQM concept into organic and mechanistic elements, there are
studies (Hung et al., 2011; Prajogo et al., 2008; Santos-Vijande & Alvarez-Gonzales,
Total Quality Management 3
2007) that empirically examine the effect of TQM as a single construct on Innovation, and
the results suggest that, generally, TQM as a single construct has a better ability to explain
(predict) Process Innovation, Product Innovation, innovativeness, organisational Inno-
vation culture, and a set of Innovation performance measures (consisting product,
process, and organisational Innovation).
A recent study carried out by Martinez-Costa and Martinez-Lorente (2008) has shown
that there is evidence from Spanish companies that those who apply TQM and develop
organisational Innovation capabilities gain more operational and financial benefits than
companies that do not. It appears that the relationship between TQM and Innovation is a
two-way relationship, i.e. TQM may affect Innovation and vice versa. The elements of
TQM, in particular the organic element, affect Innovation (Prajogo & Sohal, 2003, 2004),
but firms with a high level of Innovation are likely to adopt TQM, especially the ‘hardware’
or mechanistic element (Lopez-Mielgo et al., 2009). The same is the case with LSS, where
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(for improving speed to respond to customer needs and overall cost) as part of a manage-
ment strategy to increase market shares and maximise profit (Arnheiter & Maleyeff, 2005;
Schroeder, Linderman, & Zhang, 2005).
However, many organisations have struggled with the dilemma of which strategy to
use for tackling a problem – Lean, Six Sigma or a combination of both (Antony, Esca-
milla, & Caine 2003; Snee & Hoerl, 2007). In the Lean school of study, the problem is
typically some form of waste. A good definition of waste has been provided by Dahlgaard
and Dahlgaard-Park (2006) as ‘everything that increases cost without adding any value in
the eyes of the customer’. They have also highlighted that the problem with waste is that
you will not have an overview of its size because it is never measured as a whole in the
company’s management accounting system. By utilising Lean tools and techniques, the
waste can be reduced to a desirable level, but the tools and techniques that are applied
need to be related to the overall strategy and the principles of lean in order to be successful
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3. Research methodology
In our attempt to investigate the impact of LSS on Product or Service Innovation, it was
pivotal to conduct exploratory enquiries in the form of a pilot study in firms implementing
LSS. It was absolutely important in the authors’ view that this study was carried out to
explore the relationship between LSS and Innovation and of course to seek some empirical
evidence if LSS can either foster or hinder Innovation. This led to the choice of an induc-
tive approach, where theory is built based on data collected from the firms under investi-
gation (Saunders et al., 2009). The inductive approach influenced the choice of research
strategy to explicate the research questions posed in this study.
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In the study, we attempt to scout how LSS is related to Product or Service Innovation
in an organisation and then try to find out if the relation is similar or contrasting in other
organisations in the same context. Every organisation under consideration is treated as a
whole and as an individual case, and upon interviewing the representatives from each
organisation; the immediate research goal is the replication of these findings in the
other individual cases. Hence a holistic multiple-case study design is employed in our
study (Yin, 2009). So, an exploratory case study approach was conducted in 10 UK-
based firms, or firms having operations in the UK, based on convenience sampling
methods in order to select a range of manufacturing, service, and consulting firms (Yin,
2009). Another reason for the choice of sampling method was the geographical region
where the research was conducted due to time and finance constraints. Firms selected
have been involved in LSS implementation for a minimum of three years. Other details
of participating firms are provided in Table 2.
In our study, we were particularly concerned with the context in which LSS and
Product or Service Innovation worked together in an overall picture. Hence, as suggested
by Saunders et al. (2009), a small sample size of the subjects is more appropriate than a
large number.
The primary data collated through semi-structured interviews was triangulated with
company documents on LSS and using secondary literature. The interviews were con-
ducted in person with Black Belts and Master Black Belts in 10 firms, with each interview
lasting over an hour. The list of questions for the semi-structured interviews was con-
structed with utmost care in view of achieving the two primary goals of addressing the
objectives of the research and a smooth conversational flow (Frey & Oishi, 1995).
Some of the questions asked during an interview session were related to: (1) the respon-
dent’s view on whether LSS inhibits or spurs Innovation, (2) the success factors as well as
the challenges faced by LSS in aiming for Innovation and creating an Innovation culture
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and (3) the contribution of LSS in facilitating change to create the environment conducive
for Innovation.
A small number of interviewees were contacted again by telephone or email to resolve
queries or if responses to a question were vague. The written documents used as secondary
data collection comprised mainly of published books and journal articles. The details of a
project’s purpose, sponsor and the progress made to date were briefly mentioned when
opening the interview and a participant’s right to confidentiality, anonymity and the right
to avoid answering any question, or stop the interview at any moment, were carefully
emphasised (Saunders et al., 2009). In order to minimise bias from the interviewees, the
researchers assured the participants of each company that their responses to the questions
would be kept confidential and there were no right or wrong answers to the questions
(Polit & Beck, 2004). Moreover, all the interviews were carried out based on an interview
protocol prepared by the interviewer well in advance (Yin, 2009). Finally, the interviews
were carried out over an appropriate time length (one hour) with all interviewees to avoid
fatigue and minimise bias in their responses (Barratt, Choi, & Li., 2011). The authors
would like to highlight some of the limitations of semi-structured interviews used in this
study and these include: lack of standardisation (i.e. changing the wording or sequence of
questions, etc.) raising concerns on the reliability and bias; being time consuming (transcrib-
ing the data and arranging the interview sessions with relevant people can be a tedious
process) and difficulty in generalising the findings due to unrepresentative sample size (East-
erby-Smith, Thorpe, & Jackson, 2011; Scandura & Williams, 2000). The authors would like
to point out that single interviews within each participating company could be a limitation of
the research but this can be rectified with more interviews as part of further investigation.
With the aforementioned choice of research strategy and data collection methods, we
aim to specify the types of Innovation that are suitable or relevant in the LSS context, as
well as the factors (characteristics) that may influence or lead to Innovation in companies
implementing LSS. These factors are then subject to empirical examination, if they have
direct and/or indirect influences on Innovation. Table 2 shows the profile of companies that
participated in the study.
proposition (statement) that LSS affects Innovation. Some of the responses from intervie-
wees include:
The Innovations mainly happening in our company are process Innovations . . . , LSS is more
about process Innovation. (Company G)
Incremental Innovations always happen, Innovation always happen in the process [for
example by] . . . modifying the old process. (Company I)
No big Innovations, but Innovation was in [the] picture. (Company J)
Although possible, most of the companies engaging with the LSS initiative focus less on
Radical or Product Innovation. The experiences of a LSS consulting firm (company E) in
dealing with its clients seem to indicate that LSS is adaptable for an environment where the
level of Innovation (especially invention) is quite high.
[LSS] need not directly lead to radical Innovation. (Company I)
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linked to, and dependent on, the service processes. Changes in the processes will cause
changes in the delivery of service, which then may then appear as Innovation.
Regardless of types of firms, customers are an important driver of Innovation. For
manufacturing and hybrid companies there are additional drivers of Innovation such as
technology and suppliers.
consistent with the existing literature regarding the TQM characteristics which have
significant impacts on Innovation (Hoang et al., 2006; Prajogo & Sohal, 2003, 2004;
Santos-Vijande & Alvarez-Gonzales, 2007).
The interviewees tended to view LSS as a facilitator or a motivator of the above-
mentioned success factors.
LSS can provide powerful tools for proper communication within the organisation and within
the team, . . . a culture of sharing, trust, open dialogue, and idea sharing which is facilitated by
LSS. (Company B, authors’ emphasis)
In a [certain] way, LSS can facilitate learning culture. (Company C, authors’ emphasis)
LSS can create a learning environment. (Company G, authors’emphasis)
LSS facilitates inculcating innovative minds, [LSS] will inculcate innovative mind in people.
(Company I, authors’ emphasis)
Interestingly, we found quite surprising answers when we asked how LSS drives, or con-
tributes to creating the organisation environment supportive of Innovation. We noticed
that the interviewees started to link LSS features that they perceived as having an
impact on Innovation. The following responses from our respondents suggest that the
TQM-based determinants of Innovation may be overlapped, if not distinct, from the
unique ‘features’ associated with the practice of LSS.
LSS supports the mechanism to promote better communication in the project teams, If any-
thing LSS contributes something on Innovation, because you are seeking solutions to pro-
blems. (Company A, authors’ emphasis)
Because LSS is in place, people will improve their problem solving skills and in the long run
this will help in developing an innovative culture. (Company I, authors’ emphasis)
. . . [to] some [extent,] Innovation always take place in every [LSS] project, When we are
trying to do a project [which could be] some processes change . . . which is in a way Inno-
vation taking place. (Company I, authors’ emphasis)
Innovative ideas are encouraged from employees . . . . (Company D, authors’ emphasis)
Solving problems (as a means of continuous improvement) in the form of projects has been
a long tradition of Six Sigma. Within Lean, ‘project’ may be defined in a more ‘relaxed’
way due to the fact that: (i) prior to the formation of quality circles (a vehicle for improve-
ment in Lean Production) there might be no explicit organisation for improvement activi-
ties or that problems might be solved spontaneously (Karlsson & Ahlstrom, 1996), (ii)
quality circle systems have reduced vertical and horizontal demarcations over ownership
of problems (Adam, 1991; Goldstein, 1985). Responses from the interviewees suggest that
projects should be selected strategically in order to increase the impact of LSS on Inno-
vation. Since experimentation is encouraged by the practice of Toyota Production
Total Quality Management 11
management’ (E)
‘Top management attention’ (H) ‘Readiness of the management’ (I),
‘Encouragement by top
management’ (I)
‘Senior management openness’ (J)
Communication ‘A communication system that ‘Communication’ (C)
allows the free-flow of ideas’ (B)
‘Communication in the organization’
(I)
Creativity ‘A group of people that help pull ‘Companies that do not allow . . .
ideas and explore ideas . . . ’ (B) creative thinking’ (B), ‘A culture
that does not reward those that
challenge the status quo . . . [and]
new ideas and change’ (B)
‘People coming up with new ideas’
(C)
‘Top management encourages
people to be imaginative’ (I),
‘Lean Six Sigma upgrades
peoples’ new ideas . . . ’ (I)
Learning ‘A learning system or environment ‘Organisations with no learning
in the organizations’ (I) culture will not grow in Innovation’
(C)
Attitude towards ‘ . . . guiding organisation to become
risk less risk averse’ (A)
‘ . . . accepting risk-taking as an
acceptable mode of practice’ (C)
‘Risk averse culture’ (H, I)
System (Spear & Bowen, 1999) and is recognised as an important element of Lean (Pil &
Fujimoto, 2007; Spear, 2004), the nature of problem solving fostered by LSS needs to be
directed towards exploration if Innovation is the desired effect. The root-cause analysis, a
commonly used tool in Six Sigma (as well as TQM), can be seen as the first step to encou-
rage and develop explorative problem-solving skills. While solving problems or finding
improvement opportunities, both Lean and Six Sigma methodologies openly acknowledge
the importance of employee suggestions. Therefore, the existence of a proper system to
gather ideas and suggestions from employees is essential for Innovation. This is well
aligned with the view that employee involvement is necessary in the Innovation process
(Bessant, 1998). These results lead to the understanding that strategic LSS project
12 J. Antony et al.
selection, explorative problem solving, and employee suggestion system are perceived as
having a positive influence on Innovation.
Dealing with ill-structured problems (which are the majority of problems in the real
world) requires learning by doing or adaptive learning in which problem identification
and diagnosis emerge during the interaction among problem solvers (Li & Rajagoalan,
2008; MacDuffie, 1997). During this interaction, sensemaking (i.e. a process of organising,
the interplay between action and interpretation when there is no obvious way to engage to
the world) arose (see Weick, Sutcliffe, & Obsteld, 2005 for an exhaustive review). Hence,
explorative problem solving will be enabled or supported by factors such as: learning, crea-
tivity, autonomy, and teamwork. Strategic selection of LSS projects (Schroeder et al., 2005)
would involve leadership, top management commitment, communication, and teamwork.
In the organisations engaging with Six Sigma, improvement projects are selected, exe-
cuted, led and monitored by individuals in the various ranks of the ‘belt’ system. From the
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experience of company H in our study (where a Yellow Belt has been empowered to train-
ing for Innovation), the proper institutionalisation of the ‘belt’ system would likely have a
positive effect on Innovation. To establish and institutionalise the ‘belt’ system, leader-
ship, teamwork, communication, and top management commitment are undeniably
important.
The following responses provide more evidence that the TQM-based determinants of
Innovation are not necessarily the same as LSS unique features, but it can be said that the
unique features of LSS may accommodate, or are associable with, those determinants
commonly found in the existing literature examining the relationships between TQM
and Innovation. Hence, we do not reject the previous findings examining
TQM – Innovation relationships, but we argue that a certain composition or formation of
those determinants can manifest into or explain a certain feature unique to LSS.
We are widely using the QFD [Quality Function Deployment] which contain the voice of the
customers [also recognisable in terms of market orientation or focus on customers] in a pro-
cessed form to screen the innovative ideas generated. (Company G)
We capture extensive data regarding the customer requirements and convert them into mea-
surable characteristics of products using CTQ [Critical to Quality]. (Company I)
The use of tools such as QFD and CTQ may support and/or reflect the first (also the
second) principle of Lean, i.e. identification of ‘value’. In fact, the notion of value is
acknowledged also in Six Sigma, although ‘value creation’ currently receives too little
attention in either Lean or Six Sigma. Based on the following, properly managed value
seems to be a main ‘ingredient’ for Innovation, especially Radical Innovations.
‘Total Value Management (TVM) is one of the practices which encourage breakthrough Inno-
vation’ (Company D).
Therefore, we propose that orientation on value is a feature of LSS (accommodating or
representing market orientation) that may have a positive influence on Innovation. Con-
sistent with Harry and Crawford (2005) and Liker (2004), orientation on value will be
an essential issue in the future development of LSS.
Our respondent from company C also suggests that a lack or low level of cross-func-
tionality will hinder the development of an Innovation culture, which is consistent with
Perdomo-Ortiz et al. (2006) and Prajogo and Sohal (2003) that process management
does contribute to Innovation (either performance or capability). The determinants of
Innovation identified by, and/or emerging from LSS literature and field research (inter-
views) in organisations implementing LSS are listed in Table 5.
Total Quality Management 13
cesses (Anand, Ward, Tatikonda, & Schilling, 2009). According to Schonberger, Linder-
man, Liedtke and Choo (2008), Six Sigma would enable organisations to become more
ambidextrous by switching structures, acting organically when being challenged by new
ideas and operating mechanically in focusing on efficiency. This finding implies that
Six Sigma, as similar to Lean, also contains contradictive tensions. Hence our future
research activities will try to address questions such as: (a) ‘What are the elements of
these explorative and exploitative forces?’ (b) ‘Does the explorative force in LSS have
stronger influence on Radical Innovation? and (c) ‘Does the exploitative force in LSS
better predict Incremental/Process Innovation?’
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