Organizations that invest significant time and resources into improving their processes often face a common challenge: maintaining those improvements over time. This is where the Control Phase of the DMAIC (Define, Measure, Analyze, Improve, Control) methodology becomes critical. Creating robust change control procedures ensures that the gains achieved through process improvement initiatives are sustained and that any future modifications are managed systematically.
Understanding the Control Phase
The Control Phase represents the final step in the DMAIC framework, yet it is arguably the most important for long-term success. After defining the problem, measuring current performance, analyzing root causes, and implementing improvements, the Control Phase ensures these enhancements become embedded in the organizational culture. Without proper change control procedures, processes tend to revert to their original state, wasting all previous efforts and investments. You might also enjoy reading about Process Monitoring Frequency: How Often Should You Check Your Metrics for Optimal Performance.
Change control procedures serve as safeguards against unintended process variations and provide a structured approach for introducing necessary modifications. They create a framework that balances the need for stability with the requirement for continuous improvement, ensuring that changes are evaluated, documented, and implemented in a controlled manner. You might also enjoy reading about How to Conduct Process Audits: Essential Verification and Validation Techniques for Quality Management.
Essential Components of Change Control Procedures
Documentation and Baseline Establishment
The foundation of any effective change control procedure begins with comprehensive documentation. Organizations must establish a clear baseline that captures the improved process in its optimized state. This documentation should include process maps, standard operating procedures, performance metrics, and control charts that reflect the new normal.
For example, consider a customer service department that reduced average call handling time from 12 minutes to 8 minutes through process improvements. The baseline documentation would include the new call flow diagram, updated scripts, performance targets, and quality standards. This becomes the reference point against which all future changes are measured.
Change Request System
A formalized change request system provides the mechanism through which stakeholders can propose modifications to established processes. This system should capture essential information including the nature of the proposed change, justification, expected impact, resources required, and potential risks.
A practical change request form might include these fields:
- Requestor name and department
- Date of submission
- Detailed description of proposed change
- Business justification and expected benefits
- Impact analysis on current processes
- Resource requirements (time, budget, personnel)
- Risk assessment and mitigation strategies
- Proposed implementation timeline
Review and Approval Process
Every change request must undergo a structured review process involving relevant stakeholders. This typically includes process owners, quality managers, and subject matter experts who can evaluate the proposed modification from multiple perspectives. The approval process should have clear criteria and decision-making authority levels based on the magnitude and impact of the change.
For minor changes affecting a single workstation, a supervisor might have approval authority. However, changes affecting multiple departments or requiring significant investment would require executive-level approval. This tiered approach ensures appropriate oversight while preventing bottlenecks in the system.
Implementing Statistical Process Control
Statistical Process Control (SPC) forms the analytical backbone of change control procedures. Control charts, in particular, provide visual representation of process performance over time, making it easy to identify when a process is operating within acceptable parameters or when intervention is needed.
Practical Example with Sample Data
Consider a manufacturing process where the target dimension for a component is 50mm with an acceptable variation of plus or minus 2mm. After process improvements, the team establishes control limits based on the process capability. Over a 30-day monitoring period, daily measurements might show:
Week 1: 49.8, 50.1, 49.9, 50.2, 50.0, 49.7, 50.3
Week 2: 50.1, 49.8, 50.0, 49.9, 50.2, 50.1, 49.8
Week 3: 50.3, 50.0, 49.9, 50.1, 50.2, 49.7, 50.0
Week 4: 49.8, 50.1, 50.0, 49.9, 50.3, 50.1, 49.8
These values demonstrate a stable process operating within control limits. However, if measurements suddenly showed a trend such as 50.5, 51.0, 51.3, 51.5, this would trigger investigation and potential corrective action through the change control procedure, even before the values exceeded specification limits.
Key Performance Indicators and Monitoring Systems
Establishing appropriate Key Performance Indicators (KPIs) enables ongoing monitoring of process health. These metrics should directly relate to the original improvement objectives and provide early warning signals when processes begin to drift from target performance.
Effective monitoring systems include:
- Regular data collection schedules
- Automated alerts for out-of-control conditions
- Dashboard reporting for management visibility
- Trend analysis capabilities
- Exception reporting mechanisms
Sample KPI Dashboard
A logistics company implementing change control procedures for their delivery process might track:
On-Time Delivery Rate: Target 95%, Current 96.2% (Green)
Delivery Cost per Package: Target $8.50, Current $8.35 (Green)
Customer Complaints: Target below 2%, Current 1.7% (Green)
Vehicle Utilization: Target 85%, Current 87% (Green)
Driver Overtime Hours: Target below 5%, Current 6.2% (Yellow)
This dashboard immediately highlights that while most metrics are performing well, driver overtime requires attention and possibly a change request to address the underlying cause.
Training and Communication Protocols
Change control procedures are only effective when everyone understands and follows them. Comprehensive training programs ensure that all stakeholders know how to submit change requests, interpret control charts, and respond appropriately to process variations. Regular refresher training helps maintain awareness and compliance.
Communication protocols should define how process performance information is shared across the organization, who receives alerts when problems are detected, and how lessons learned are disseminated. This creates a culture of transparency and continuous improvement.
Audit and Continuous Improvement
The change control system itself should be subject to periodic review and improvement. Regular audits assess whether procedures are being followed, identify gaps or inefficiencies, and provide opportunities for refinement. This meta-level of control ensures the system remains relevant and effective as the organization evolves.
Audit activities might include:
- Reviewing a sample of change requests for completeness and proper approval
- Verifying that control charts are being maintained and reviewed
- Interviewing process operators to assess understanding and compliance
- Evaluating the effectiveness of implemented changes
- Identifying opportunities to streamline the change control process itself
Common Pitfalls and How to Avoid Them
Organizations implementing change control procedures often encounter predictable challenges. Overly bureaucratic processes can discourage legitimate change requests and create frustration. The solution is to design procedures that are thorough yet efficient, with appropriate levels of review based on risk and impact.
Another common issue is inadequate follow-up after changes are implemented. Every approved change should include a verification step to confirm that intended benefits were achieved and no unintended consequences occurred. This feedback loop strengthens the overall system and builds organizational learning.
Resistance to documentation and monitoring often stems from viewing these activities as administrative burden rather than value-added work. Leadership must consistently reinforce the connection between control procedures and sustained business results, celebrating successes that result from effective change management.
The Path Forward
Creating effective change control procedures represents a critical investment in organizational capability. These systems protect hard-won process improvements, provide structure for continuous enhancement, and build a foundation for operational excellence. While implementing comprehensive change control requires initial effort and discipline, the long-term benefits far exceed the costs.
Organizations that excel in the Control Phase demonstrate several common characteristics: they view change control as a strategic advantage rather than bureaucratic requirement, they invest in training and tools that support the system, and they regularly review and refine their procedures based on experience.
Take the Next Step in Your Continuous Improvement Journey
Understanding and implementing effective change control procedures requires specialized knowledge and practical skills. Lean Six Sigma training provides comprehensive education in the DMAIC methodology, with particular emphasis on Control Phase best practices. Through structured coursework and real-world applications, you will learn to design, implement, and manage change control systems that deliver sustainable results.
Whether you are beginning your continuous improvement journey or seeking to enhance existing skills, Lean Six Sigma certification offers recognized credentials that demonstrate your expertise. From Yellow Belt fundamentals to Black Belt mastery, training programs are designed to meet your professional development needs and organizational objectives.
Enrol in Lean Six Sigma Training Today and gain the knowledge and tools needed to drive lasting organizational improvement. Transform your career prospects while delivering measurable value to your organization. The skills you develop will serve you throughout your professional journey, enabling you to lead change initiatives with confidence and achieve results that endure.
