the control phase > masterclass webinar

www.smallpeice.com

T. +44 (0)1926 336423

E: [email protected] a division of GP Strategies Limited

The Control Phase

> Masterclass Webinar

© Smallpeice Enterprises

www.smallpeice.com

Microphone Mute vs Unmute: please default to mute for your audio at all

times, and then ‘Unmute’ when asking or answering a question.

Virtual Session Format

3 Hour Training Session

1hr 15 The Control Phase – Part 1

15 minutes ‘Coffee’ Break (Remember: stay logged in to Zoom)

1hr 30 The Control Phase – Part 2

3 Hour Team Activity (working in your virtual syndicate groups)

1hr 30 Control case study activity

15 min ‘Coffee’ Break (Remember: stay logged in to Zoom)

1 hr 15 Facilitated review of case study activity

Action Planning and Close

www.smallpeice.com

T. +44 (0)1926 336423


Section 1

The Control Phase Introduction

This lesson demonstrates the key steps and objectives

of the Control phase


www.smallpeice.com

Section Objectives

By the end of this section you should understand how to:

✓ Understand the key activities of the control phase

✓Learn how to develop a Control Plan as a key tool for

mentoring an controlling key process inputs and outputs

✓Learn how to use visual management techniques to monitor

effectiveness of Process Controls

✓ Understand how to successfully close the improvement project

✓ Learn about the importance of agreeing translation benefits


www.smallpeice.com

Programme

The Control Phase

• Introduction to the Control Phase

• Key activities of Control

• Confirming the improvement - Ensuring stakeholder support

The Control Plan

• Introduction to the Control Plan

• Identifying what to control

• Developing control mechanisms

• Recap of Mistake Proofing

• Developing the measurement plan

• Agreeing the response plan

• Case study example

Monitor effectiveness of Process Controls

• Visual management techniques

• Process dashboards

• 5S workplace organisation

Confirm achievement of project objectives

• Activities to close the project

• Identifying translation activities


www.smallpeice.com

The core purpose of these steps (equivalent of the 'Control Phase' in DMAIC)

is to ensure that the improvements are sustained

The Final Phase - Control


www.smallpeice.com

Control – Overview

• In the “Control” phase, the selected solution is rolled out to the

organization as a Full Scale Implementation.

• The project from the Improve phase may not be fully implemented.

• Additional change management, training and updating of process

documentation activities may be required

• Process Control Plans are also further developed to lay the

foundation for continuing feedback and corrective action.

• To ensure the process stays under control, SPC and Visual Process

Controls are implemented to provide feedback on the process.

• If necessary, corrective actions are taken as per the Control Plan to

bring the process back into control.

• As the project moves toward completion, solution replication

opportunities are identified and forwarded for future consideration.


www.smallpeice.com

Why is it So Important?

Before Improvement

Pe

rfo

rma

nce

Time

Successful Implementation

Performance drops off


www.smallpeice.com

Controlling the Vital X’s to Desired Levels

Input

Variables

(Xs) CTQ’s

CustomerOutputs

Y1

Y2

Y3

Project Y = f(X1,X2,X3…Xk)

Process Variables (Xs)

CONTROL Phase extends the Piloted Solution to the full scope of the project by

CONTROLLING the X’s to within their optimal settings


www.smallpeice.com

CONTROL = the “follow through” part of the project

• Arguably, the most exciting phase of DMAIC is the Improve Phase – as this

is where you see results!

• You may want to move on to other work – or be put under pressure to

move on too early

• Fight for the time to do this part of the project thoroughly

• Use key stakeholders to overcome any resistance you encounter

• This is the only way to make sure all your hard work

really pays off!

What if I skip this phase?

If you don’t do it, the process owners might fail to maintain their process

performance and blame you!

EX

ER

CIS

EBreak Out Discussion

• Why does change slip back like this in your experience?

• Brainstorm a list of all of the reasons you have experienced

Group EXERCISE

25 minutes

www.smallpeice.com

T. +44 (0)1926 336423


Section 2

Confirming the Improvement

This lesson demonstrates the importance of ensuing all

key stakeholder continue to be fully supportive of the

improvements to the process

EX

ER

CIS

EDiscussion

• Who do you think will be the key stakeholder in the Control

Phase of your project?

• What key change management tools do we have that could

help overcome any barriers we may face in the Control

phase?

Group EXERCISE

10 minutes


www.smallpeice.com

Enablers for Project Success – Remember This?

Project success can be supported by ensuring the following enabling

activities are undertaken:

• Performing a Force Field Analysis

• Understanding and articulating the projects benefits

• Securing good sponsorship

• Identifying and engaging stakeholders

• Effective project activity planning

• Securing and building an effective project team


www.smallpeice.com

4 Step Force Field Analysis (4FFA) – Remember This?

• Force Field analysis will identify helping forces (enablers) &

hindering forces (barriers), during the Control phase

• Grade according to impact

Enablers

Gains & benefits & support

Barriers

Implementation obstacles

Supportive Senior Sponsor

Excellent financial benefits have

been achieved by the team

Team members are frustrated with

the current process

Work load of the department may

make it difficult to get support

To get the fill benefits of the

project changes to the IT system

will be required

Previous project was not

successful

StakeholderFor or

Against?Why

What is

in it for

them?

Action

Required

Who will take

the action?

Key success

indicators

Stakeholder Action Plan - Remember This?

You may want to re-visit the Stakeholder action plan you produced in the

Define phase


www.smallpeice.com

At this stage of the process there should be no surprises

• You need to make sure that the sponsor is satisfied with the impact of the

project on the business

• You may need to call upon support from this key role

• Remember … ‘Don’t let up!’ Remember the Cotter Model?

Why is Sponsor Approval Necessary?


www.smallpeice.com

What the Experts Say: Kotter’s 8 Stage Process for Change

Understanding the

need for change

Rewarding new behaviours Identifying key

stakeholders

Managing

resistance

Defining roles &

accountabilities

Influencing &

persuading

Transferring

ownership

Understanding

stakeholders

Change

Leadership

Create a sense

of urgency

Create a guiding

coalition

Develop a vision

Communicate

the vision

Empower action

Generate short-

term wins

Consolidate the

change

Anchor the

change


www.smallpeice.com

The clue is in the name of the role…

• You need the Process Owner to ‘own’ the new process, including the

changes you & the team have made

• Any perception that activities have been carried out to gain certification

and aren't required for the on-going benefit of the process will result in

those activities not being continued after project closure

• You will need to ‘sell’ the idea that effort spent on ensuring the

robustness and/or quality of the process will payback on the initial

investment in time by avoiding the usual fire-fighting activities later on!

Why is Process Owner Buy-in Necessary?


www.smallpeice.com

• During the D-M-A-I phases of a project, Lean Six Sigma can work

independently of management systems (to a degree)

• However, the success of the control phase depends greatly on integration

with standard company systems

• Once the old processes have been updates to reflect the new ways of

working then people will need to be trained

Management Systems and Lean Six Sigma

www.smallpeice.com

T. +44 (0)1926 336423


Section 3

Standardise Improvements and

Process Controls

This lesson demonstrates how to control the process to

ensure that the improvements are sustained?


www.smallpeice.com

Control Plan – What does it do?

How will we control the process to ensure

that the improvements are sustained?

A Control Plan Defines…

• A Control Plan is produced for each key process step. It will define:

• What process outputs (“Y”) and process inputs (“x”) will be monitored

and controlled and the performance requirement

• Who will be responsible and how each characteristic will be measured

• The sample size and frequency

• The control system to be used

• What actions should be taken if the process starts to degrade

• Control Plans are not a replacement for detailed operator instructions

R

E

V

I

E

W

• Sponsor Approval(s)

• Process Owner Buy-in

• Project charter

• Financial benefits

• Project plan

• Reward & recognition

• Handover plan

• Control plan

• Long Term

Measurement Plan

• Standard Operations

• Process FMEA

• Control charts

• Capability analysis

• Visual Management

Confirm improvement

Standardise improvements & process controls

Monitor effectiveness (of process controls)


Transition from project to normal business

Gate Review

Clo

se

Pro

jec

t A

cti

vit

y

3 / 6 / 12 month process audit E

ND

Call back team and review

YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan

• Mistake Proofing

C

O

N

T

R

O

L

Process StepKey Process

InputPotential Failure Mode Potential Failure Effects

S

E

V

Potential Causes

O

C

C

Current Controls

The PFMEA Feeds the Control Plan

The FMEA should be a primary source for the identification of key variables (x’s) to

control and the ongoing control mechanisms


www.smallpeice.com

• Describe the process step where the control is taking place

• Enter the process description and number (is applicable)

Typical Control Plan


www.smallpeice.com

What needs to be controlled & to what specification?

• Enter the characteristics to be controlled

• Ensure the definition of what is to be controlled is clear (support with a

separate operational definition if required)

• Is it a Y (output) or an X (input)?

• Does it have a requirement or specification - if so what?



www.smallpeice.com

What is the Control Mechanism?

• How is the activity controlled, policed, visualised, instructed or recorded?

• e.g. mistake proofing detection device, control chart, visual indicators,

auditing, operator instructions etc.

• We will look at different types of control mechanisms shortly



www.smallpeice.com

What is the Measurement Plan?

• How to measure, how many samples, when, & by whom?

• The measurement could be performed by a piece of equipment or by a

visual check



www.smallpeice.com

What if something goes wrong?

• What action is needed?

• By whom?

• How quickly?



www.smallpeice.com

Let’s start with the best type of control possible and work our way down:

• Mistake Proofing – preventing the causes of failure occurring

• Mistake Proofing – detecting failures when they occur

• Control charts for critical process inputs – early warning

• Control charts for critical process outputs – better late than never

• Process auditing and checklists

• Standard operating procedures

• Verbal instructions

• No agreed control

Process Controls - Best to WorstIn

cre

ased

Ris

k!


www.smallpeice.com

• Even the most conscientious person and the best maintained process will

make mistakes occasionally

• If something can go wrong, it will!

The Need for Mistake Proofing

Find errors before they become defects


www.smallpeice.com

The Need for Mistake Proofing


www.smallpeice.com

Everyday Examples of mistake-proofing devices

Can you think of a few more?


www.smallpeice.com

Two mistake proofing systems can be used: Which is best?

Mistake Proofing Systems

Control/Warning Approach

Shuts down the process or

signals personnel when an

error occurs. Process stops

when irregularity is

detected (may be

necessary if too costly to

implement mistake

proofing)

Prevention Approach

Employs methods that DO

NOT ALLOW an error to be

produced.

100% elimination of

mistakes (100% zero

defects)

D5

• If the process input (x) can be prevented by a mistake proofing

devise this does not need controlling through the Control Plan


www.smallpeice.com

Once Mistake proofing

devices have been

introduced ensure they

cannot be bypassed

Mistake Proofing D5


www.smallpeice.com











cre

ased

Ris

k!


www.smallpeice.com

• To monitor key process inputs & outputs

• To identify when special causes of variation are causing the process to go

‘out of control’

• To trigger corrective action

When Should I Use Control Charts?

X o

r Y

me

asu

rem

en

t


www.smallpeice.com

Could fail to properly distinguish between common & special cause variation

with 2 possible consequences:

OVERCONTROL: investigate all incidences of variation as though they were

‘special cause’

• Waste of resources

• Discouraging: you’ll seldom find a “root cause”

• May make unneeded adjustments, causing more variation

UNDERCONTROL: fail to recognise special cause variation & leave

unchecked

• Process variation & control will deteriorate over time

• Benefits of your project ‘come unraveled’

• Another project in 12 months time !!!

What if I Don’t Use Control Charts?


www.smallpeice.com

• Measurement or visual checks are often performed as the process is

running

• Results can be displayed on a Control Chart

• Measurement data is often collected by operators, inspectors or

maintenance staff

• Ideally at the process step concerned or as close to the process step as

possible

• The sooner defects and errors are found the better

• The details of how these checks are conducted are included in operator

instructions

The Importance of Source Inspection


www.smallpeice.com

Read the following paragraph:

• Manual inspection is never 100% effective

• Mistake Prooofing is always the better option - when it is possible

Making Visual Inspection Reliable can be Difficult?...

"According to research at Cambridge Uinvervtisy, it deosn’t mttaer in waht

oredr the litteers in a wrod are, the olny iprmoetnt tihng is taht the frist and

lsat ltteer be at the rghit pclae. The rset can be a ttoal mses and you can sitll

raed it wouthit a porbelm. Tihs is besauae ocne we laren how to raed we

bgien to aargnre the lteerts in our mnid to see waht we epxcet to see. The

huamn mnid deos not raed ervey lteter by istlef, but preecsievs the wrod as a

wlohe. We do tihs ucnsoniuscoly wuithot tuhoght."


www.smallpeice.com

A key question at this stage in a DMAIC project is:

• We want our processes to continue to be stable and capable

• Capability analysis is simply a comparison of process performance with

specified requirements

• Baseline capability is a measure of process performance before and after

improvements are made

• It will continue to provides a benchmark against which to judge the

effectiveness of process improvements

Process CapabilityRemember?

Is the process continuing to meet the customer’s requirements?”


www.smallpeice.com











cre

ased

Ris

k!


www.smallpeice.com

• A process audit is an examination of a process to determine whether the

activities, resources and behaviours that cause them are being managed

efficiently and effectively

• Often performed by people not directly working in the process

• Often supported by checklists

Process Auditing


www.smallpeice.com

What Is a Standard Operating Procedure (SOP)?

• An SOP is a set of instructions that detail the task or activity that needs to

take place each time the action in performed. This is to ensure the task

is done the same way each time.

• It details activities so that a person new to the position will perform the

task the same way as someone who has been in the job for a longer time.

• It ensures that task is performed the same way on an ongoing basis.

Standard Operating Procedures ensure we don't slip back into our

old ways!

Don’t forget

staff

training!

SOPs

www.smallpeice.com

T. +44 (0)1926 336423


Section 4

Monitor Effectiveness of Process

Controls

This lesson demonstrates how to successfully close a

Lean Sigma projects


www.smallpeice.com

Objectives:

• To encourage employee participation through shared information

• To quickly identify normal & abnormal conditions

• To have information in real time, located where everyone who needs it can

get it, to a common standard

• Simple Communication

• Easily Understandable

• Continuously Updated

• Accessible to EVERYONE

Visual Management

R

E

V

I

E

W



• Project charter


• Project plan


• Handover plan

• Control plan

• Long Term

Measurement Plan


• Process FMEA

• Control charts



Confirm improvement





Gate Review

Clo

se

Pro

jec

t A

cti

vit

y


ND


YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan


C

O

N

T

R

O

L

Vital to the improvement process!


www.smallpeice.com

• Everyday examples of visual controls include ‘STOP’ signs & traffic lights

• The aim is to try & control people’s actions (when mistake proofing cannot

be guaranteed)

• But do ‘STOP’ signs & traffic lights always have the desired effect?

• How effective are visual controls in the workplace?

Limitations of Visual Controls


www.smallpeice.com

Process Dashboard

Example: What is it?

•An ‘at-a-glance’ visual summary of the key operational

aspects of a process

What to use it for?

•To present the status of Key Performance Indicators in

an easy to understand format

•To ensure that everyone is working from the same

agreed set of metrics

How to use it?

•Identify a range of Key Performance Indicators for the

process, covering aspects such as quality, cost &

effectiveness

•Consider inputs, process steps & outputs (refer to

SIPOC map & CTQs)

•Develop data collection plans & mechanisms, &

appropriate ways of displaying the information

•Identify agreed performance levels or improvement

targets

•Develop methods for creating & maintaining the

dashboard

•Confirm how the dashboard will be used

% Accounts opened

in 48 hours

Accounts opened on

time by region;

target vs. actual

0%

50%

100%

Average Customer

Satisfaction Rating

0%100%

60% 30%

Customer Satisfaction

by week

0%

100%

50%

DASHBOARD - PROJECT XYZ - WEEK 13

Updated by JohnLast updated 01.04


www.smallpeice.com

Don’t Forget ‘5S’

• Sort

• Straighten

• Sweep/Shine

• System

• Sustain

MA

INTA

IN

SE

T5S workplace organisation is an essential ingredient for holding the gains


www.smallpeice.com

5S Workplace Organisation and Housekeeping

• Do you think the improvement level

will be sustained in these

environments?


www.smallpeice.com

What a Transformation!

Before After


www.smallpeice.com

5S and Visual Quality Standards

Green indicates where the level

should be.

Yellow (either side) allows

indicates action required

Red is unacceptable

The sign sets the unspoken

rule and standard location

for the equipment

Making the acceptable standard very obvious

www.smallpeice.com

T. +44 (0)1926 336423


Section 5

Confirm achievement of project

objectives

This lesson demonstrates how to close the

improvement project?


www.smallpeice.com

The core purpose of the Control phase is to ensure that the improvements

are sustained

Recap of Steps of Control

R

E

V

I

E

W



• Project charter


• Project plan


• Handover plan

• Control plan

• Long Term

Measurement Plan


• Process FMEA

• Control charts



Confirm improvement





Gate Review

Clo

se

Pro

jec

t A

cti

vit

y


ND


YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan


C

O

N

T

R

O

L


www.smallpeice.com

• IS a carefully organised record

of key aspects of your project

• IS NOT an exhaustive collection

of all records, data,

communications, etc.

• Format & structure defined by

your organisation

• Explains what you did & why

What is the Project Documentation?

Typical Project Documentation

Package

•Abstract of Project

•Problem Statement

•Baseline Data

•List of Vital X’s

•The Solution

•Control Mechanisms

•Performance Metrics

•Financial Metrics

•Lessons/Best Practices

•Opportunities to Translate


www.smallpeice.com

• Update your final process capability & benefit estimates

• Look for unforeseen costs & benefits

• After a few months of demonstrated, sustained benefit, work with your

Lean Sigma financial analyst on final value of the project

Final Financial Benefit


www.smallpeice.com

• How do we feel about our own contributions?

• Did we work well together as a team?

• What have we learnt about process improvement?

• Are there any gaps in our knowledge?

• What might we do differently next time?

Review Team Performance


www.smallpeice.com

• Shout your success from the roof

tops!

• Recognition

• Success breeds success

• May be useful to someone else

• Use ‘storyboards’ & ‘gallery walks’

Publicise Improvements

How do we publicise improvements at present?


www.smallpeice.com

• All project documentation is complete according to local guidelines

• Project is declared closed by Project Sponsor

• The solution has been implemented in the process/functional area that is

the target for the solution

• The solution has been transitioned to the Process Owner

• Measurements continue to taken on the improved process & gains

confirmed.

• If confirmation cannot be realised within a short time frame, then a

documented plan exists to validate the improvement by a specified target

date

• The Process Owner agrees with the projected benefits flow, & there is a

documented plan in place to get sign-off at a specified time in the future

when the benefits have been realised

Project Closure Checklist


www.smallpeice.com

Direct Translation

• Same process/similar product or service

Customisation

• Same process/different product or service

Adaptation

• Similar process, some applicability

Translation Opportunities

Need to ask:

• Are there opportunities to apply what we’ve learned to other projects?

• What is my role in making sure that those opportunities are pursued?

• How can we share our learning with others?

R

E

V

I

E

W



• Project charter


• Project plan


• Handover plan

• Control plan

• Long Term

Measurement Plan


• Process FMEA

• Control charts



Confirm improvement





Gate Review

Clo

se

Pro

jec

t A

cti

vit

y


ND


YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan


C

O

N

T

R

O

L


www.smallpeice.com

Schedule reviews of the Implementation Plan

• e.g. after 3 months, 6 months

• address any concerns, look for opportunities for improvement

Monitor ongoing compliance with the Control Plan through Process Audits

• are the specified controls being followed?

• are they effective?

• are they being used to drive continuous improvement of the process?

Ensure Changes Become Embedded

R

E

V

I

E

W



• Project charter


• Project plan


• Handover plan

• Control plan

• Long Term

Measurement Plan


• Process FMEA

• Control charts



Confirm improvement





Gate Review

Clo

se

Pro

jec

t A

cti

vit

y


ND


YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan


C

O

N

T

R

O

L


www.smallpeice.com

The core purpose of the Control phase is to ensure that the improvements

are sustained

The Final Phase - Control

R

E

V

I

E

W



• Project charter


• Project plan


• Handover plan

• Control plan

• Long Term

Measurement Plan


• Process FMEA

• Control charts



Confirm improvement





Gate Review

Clo

se

Pro

jec

t A

cti

vit

y


ND


YES

NO

Are

controls adequate

to sustain

performance?

• Documented

procedures

• Long term

measurement plans

• Review process

performance

• Control plan


C

O

N

T

R

O

L


www.smallpeice.com

Use the roadmap:

• For progress assessment

• For a focal reference point

• For discussion & explanation to

others

• To see what could/should happen

next

• To join together your thoughts

when presenting the project

• To act as a prompt when ever

needed

The DMAIC Roadmap


www.smallpeice.com

Section Objectives

By the end of this section you should understand how to:

✓ Understand the key activities of the control phase

✓Learn how to develop a Control Plan as a key tool for

mentoring an controlling key process inputs and outputs

✓Learn how to use visual management techniques to monitor

effectiveness of Process Controls

✓ Understand how to successfully close the improvement project

✓ Learn about the importance of agreeing translation benefits

www.smallpeice.com

T. +44 (0)1926 336423


Section 6

Group Working

Assignments

Group EXERCISE

1 h r3 0 m i n s

EX

ER

CIS

EControl Plan Exercise Hotel Example

Recap

– You run a small 10 bedroom family hotel

– Business has been slow of late and you decide to kick off an

improvement project to increase number of customers booking into

the hotel

– In the Define phase you have identified that the lead time for room

service was a particular customer concern

– The goal was to deliver 95% of all room service orders within 30

minutes of the customer placing their order

Refer to Handout 02

Group Activity – Hotel Control Plan

EX

ER

CIS


Progress to Date

- During the improve phase a number of improvements have been

implemented:

- The customer order form has been redesigned to make it easier to

complete (mistake proofed) and new printer has been purchased to

ensure the order forms are easier to read

- A FIFO system for processing orders has been agreed with the kitchen

staff

- Staff have been multi-skilled to assist the kitchen staff during busy

periods. This means during busy periods a minimum of 5 kitchen staff

should be working in the kitchen

- A new stock control system has been implemented to ensure ingredients

are available for all meals on the menu

- A part time porter has been employed and will be dedicated to room

service delivery during busy time periods

- New service trollies have been purchase with heated plate warmers to

keep the food hot during deliveryRefer to Handout 02


EX

ER

CIS


1. Produce a Control Plan for sustaining the improvements made to the room

service delivery process of delivering the food

- The output (Y) is the ability to deliver the room service food order within

30 minutes

- Identify 3 or 4 key project x’s

- Complete the Control Plan for the project Y and project X’s you have

chosen

2. Discuss in the team how the key output and key input metrics can be

displayed for the team as part of your ongoing visual management strategy

Refer to Handout 02


the control phase > masterclass webinar

Documents