1. Control Plans
Control
Kaizen Facilitation

2. Objectives Discuss the purpose of Control Planning
Present the Control Plan
Introduce common pitfalls encountered in Control Plans

3. Transition Through A-I-C
In Analyze, you try to identify the root causes
In Improve, you implement changes to fix the root causes
In Control, you identify how to ensure those fixes stay in place and how to know if they vary from expected outcomes
Control is really about maintaining the gains
from the project!

4. Why Control Plans?
Left to themselves processes tend to degenerate and go back to the “old ways”
Project
Goal
“Control”

5. What Are Some Reasons For This?
Accountability
“Churn”- people leaving, people moving, business growth, business contraction etc.
No documentation / institutional memory/ communication
Reward system that favors heroes over planners
No systemic methodologies to capture lessons learned, process knowledge, better practices, etc.
“Not Invented Here” syndrome
Others?

6. Need For Control Plans Control Plans are about sustainability
exist to ensure the process maintains the gains seen from the project
provide predictive information, such that adjustments can be made before the output deviates from the plan
ensure improvements stay in place
All too often this is where the fun ceases, the real work starts, and people start bailing out

7. Control Plan Elements In preparing a control plan, concentrate on:
What needs to be monitored?
Who is going to be keeping the process functioning properly?
How are they going to monitor?
Where will the monitoring be conducted?
Where should the plan reside?
What will be done if the monitoring detects a condition outside of the Customer’s specifications?

8. Control Plans and Mapping
Different types of process mapping for different purposes:
In Define, a simple form of process mapping, typically SIPOC, is used to identify key inputs and outputs
In Measure, more complex forms of process mapping are used to better understand the process and identify Inputs
In Control, detailed process mapping will be used to record and document the improved process. Deployment flow charts clearly show the sequence of events, handoffs, and the job functions of the people performing the tasks

9. Deployment Flowchart – Example
Call Center Rep
New Account Dept
Order Fulfillment
Accounting
Answer Phone
Obtain Customer Info
Determine Customer Needs
Determine Avail/Lead Time
Select Expedite or Normal
Customer Account?
Pre Approval
Complete Credit Application
Complete New Account
Receive Order
Prioritize Order
Reorder
Select Order
Pack
Notify Accounting
Ship
Instock
Create Bill
Invoice Customer
Receive Payment
Post
Actions and responsibilities are clear!

10. Improvement Hierarchy / Control / Interactions
Why a hierarchy? So you don’t have to “fix” this again!
Full Automation
Most Desired
No Manual Intervention
Impossible to Fail
Eliminate Activity
Certification and Audits
Notification
Fail-Proof
The process is changed to be less dependent upon variation caused by people
Simplification
Training
Awareness
Behavior typically reverts back
Least Desired

11. Reaction Plan 1/2 Be pragmatic!
Actions should be the responsibility of people closest to the process
Secure process owner’s approval
Document in detail, and identify the person responsible for, reacting to unacceptable variation
Incorporate procedures by reference in the control plan
Build control plans from the updated Risk Assessments

12. Reaction Plan 2/2 Some reactions are better than others!
PREVENT Root cause identified and permanently corrected
CORRECT Root cause is identified and corrected temporarily
COMPENSATE Making adjustments – without identifying root cause
BETTER
Compensating actions are usually less successful.
Preventative actions will last longer.

13. Weekly Dashboards - Example
Weekly dashboards were used to report Data Accuracy and report weekly Performance summaries

14. Process Documentation 1/2
General purpose:
Ensure compliance with relevant standards and procedures
A means for implementing a company’s objectives and policies
General rules:
Compliance is easy to check
Employees can:
Understand them
Understand their individual responsibilities
Respond to all situations that might arise
Are practical and economical

15. Process Documentation 2/2
Process Map or Flow Chart
Consider at what level to map - High, Detailed
What type of map will you use?
Traditional Process Map, Swim Lane, VSM
Procedures / Instructions / Planning Documents
Develop a sequence of steps and other instructions
Who, What, Where …
Be specific, clear, realistic
Highlight potential pitfalls to performance
Note any common exceptions
Note how to obtain or find the document

16. Tips in Documenting Your Improvements
Use your team and / or affected individuals
Test the procedure exactly as it is documented
Be complete, but concise
Do not assume prior knowledge
Place the procedure where it is readily available
Outline a method for updating procedures for continuous improvement
Date your new procedures
Remove all obsolete procedures!

17. Checking Procedures 1/2 Directly By Observation
Are people actually doing what the procedure says?
Are all the steps being followed?
Are people referring to the procedure?
By asking those using the procedure
“Is each step in the procedure clear?”
“Are you having difficulty in following the procedure?”
“Could we improve the procedure and still get results?”

18. Checking Procedures 2/2 Indirectly By Observation
When was the last time the instruction was revised?
Is the Control Chart being used as a signal for investigation?

19. Common Pitfalls
Not involving affected employees in creating the new procedure
Not testing the procedure
Omitting information - results needed or how to do a step
Lowering the importance of procedures - either by not having them or by management ignoring need
Putting procedures on the shelf - not tracking actual use, regular maintenance and configuration control
Not destroying all obsolete procedures

20. Review Discuss the purpose of Control Plans
Introduce common pitfalls encountered in Control Plans
Don’t expect to control everything
Measure what is important to ensure sustainability!