Q 785. Once you've improved a process - like a logistics firm cutting delivery delays with a new routing system - why do those wins sometimes slip away in the Control phase? What tools or techniques do you rely on to keep things on track and make sure the improvement sticks for good?

 

Note for website visitors -

• This platform hosts two weekly questions, one on Monday and the other on Thursday. 
• All previous questions can be found here: https://www.benchmarksixsigma.com/forum/lean-six-sigma-business-excellence-questions/. 
• To participate in the current question, please visit the forum homepage at https://www.benchmarksixsigma.com/forum/.
• The question will be open until Monday or Thursday at 5 PM Indian Standard Time, depending on the launch day. 
• Responses will not be visible until they are reviewed, and only non-plagiarised answers with less than 5-10% plagiarism will be considered for winner selection. 
• If you are unsure about plagiarism, please check your answer using a plagiarism checker tool such as https://smallseotools.com/plagiarism-checker/ before submitting. 
• All correct answers shall be published, and the top-rated answer will be displayed first. The author will receive an honourable mention in our Business Excellence dictionary at https://www.benchmarksixsigma.com/forum/business-excellence-dictionary-glossary/ along with the related term.

• Some people seem to be using AI platforms to find forum answers. This is a risky approach as AI responses are error-prone because our questions are application-oriented (they are never straightforward). Have a look at this funny example - https://www.benchmarksixsigma.com/forum/topic/39458-using-ai-to-respond-to-forum-questions/

• We also use an AI content detector at https://quillbot.com/ai-content-detector. Only answers with less than 45-50% AI-generated content will be considered for winner selection.

Control is a crucial stage which ensures that the solution deploys sustain.

 

Reason why the improvements or gains fails or slip away

Relevant team and stakeholders are not made aware/trained about the new ways of working

Lack of updating the standard operating procedure or process manual and people referring the old ways of working

Lack of accountability for maintaining the improved status

Performance review on the KPI or timely dashboard reviews are not followed or adhered

Users resist the change or introduce shortcuts

 

How to ensure adherence for sustainable solution

Metric monitoring and reporting to detect any issues

Timely updating the SOP and creating training planning for onboarding and calibrating everyone required
Real time performance review via live dashboard

Build robust system with mistake proof solution and do testing on all scenarios before deploying solution in production.

Assign owner for specific for monitoring and governance

Performance testing and regular audit to validate process adherence in production

Wins slip away during the control phase when teams go back to using the old processes due to lack of monitoring, accountability, or training of team members after deployment. 
using the logistic business as an illustration. Even if the AI solution provides a new routing system, drivers may ignore it, supervisors may stop checking the reports, or even little issues like fuel scarcity may create situations that derails the new system.

 

To ensure improvement is in place, this tools can be integrated:

• Control charts: keep a control chart to track key metrics, and quickly detect any variation or slippage. and ensure the chart displays realtime performance so teams can stay aware and accountable.
• Process Standardization: Through simple to implement SOPs and checklists that are easy to follow and reflect on improvement systems and processes.
• Ownership and Handover plans: To ensure that somone is responsible for sustaining the changes on the system.
• Regular Audits: audits should be done regularly to ensure that what was improved is actually being followed.

 

First of all a detailed process Map should be prepared during the design phase followed by brainstorming or risk assessment of the defined process. The  risk assessment should  be able to identity the low, medium and high risks processes. To be able to design an efficient process /system a thorough risk assessment is essential to achieve the smooth functioning and avoid re-working.

A lot of companies lost their efforts/solution during Control phase

No goals if efforts will be gone or shift to worse

So, any company should think in control phase and how ensure sustainability by using different methods and techniques

There are a lot of reasons for these shifting or slipping and the following are some of them:

1) Weak or lack of Monitoring
Without regular monitoring, improvements can drift/slip over time, and issues may unnoticed.

Here, company should develop robust process and procedures for monitoring the process after solutions
We can use SPC, charts, using also AI platform 
So, company will notify early
So, we correct the issue immediately

2) Insufficient Training
If employees are not properly trained on new processes, procedures, & AI tools may not use them effectively/properly, and then leading to drifted/slipping.

3) Changes in Processes
Company stuff should know how to deal with changes in processes

4) Lack of Accountability

As mentioned above, there are a lot of tools and Techniques for Sustaining the process like following:

1) Control Charts
Using SPC properly is very important.

Company needs to understand the data type and select proper control charts

Control charts can help monitor the process performance and detect deviations early.
So, we can raise corrective action

2) Dashboards
Using dashboards like power bi can provide visibility into process performance

3) Internal Audits
Conduct regular internal audits is very important to ensure that processes & procedures are being followed.

4) Continuous Training
Continuous training can help ensure that employees (old and new) have the skills and knowledge needed to sustain process.

5) Process Documentation/form

6) AI Platform
Using AI techniques like n8n will help company to detect the deviation early

7) regular meeting
Management should be always aware and should take proper actions to ensure process always in proper way

By using these tools and techniques, company can sustain process over time and ensure that drifted have not appeared.

 

First, we need to understand why improvements lead to slips.

•       Non-Standardization: Undocumented applied procedures, workarounds applied, band-aids not documented, and worked solutions not embedded into SOPs.

•       Limited Training: Non-standard training, insufficient training, no formal training or checks, and cultural mindsets led employees to revert to the "old school of doing things."

•       Non-Proactive Monitoring or Surveillance: There is no proactive monitoring in place to detect undocumented changes or outdated practices, leaving them unable to identify when issues arise.

•       Drifting leadership: Leadership misses undocumented changes, does not track the training and behavior of people, and accountability fades.

•       Scope Unchecked: Small, undocumented changes reintroduce variation. Due to not keeping "scope" in check, uncontrolled growth happens, and complexity increases

 

Tools and Techniques to sustain improvements.

•       Plan of Control: Strategic direction or roadmap of what to monitor, how to monitor, and how often. Who is responsible? Also includes plans if metrics go outside targets.

•       Documentation: Update the training manual to include new work instructions and changes.

•       Ownership & Accountability: Assign ownership using a RACI matrix. Review performance metrics regularly.

•       Conformance Audit & Compliance Checks: Regular audits can help catch early signs of slippage.

•       Training: A personalized and focused approach to skills development drives continuous growth and improvement.

The reason most improvements made during the Improve phase tend to slip away is due to the following:

• Lack of process ownership – If no one takes full responsibility for sustaining the process improvement, it will not last. Over time, even if the process is documented during handover, it may stop being practiced.
• Poor handover – Inadequate knowledge transfer or transition leads to confusion and inconsistency.
• Lack of standardization – Without clear and standardized procedures, people revert to old habits.
• Weak monitoring systems – If the process is not regularly monitored, deviations go unnoticed.
• Lack of leadership support – When leadership does not actively support or reinforce the changes, the improvements lose momentum.

Tools & Techniques to Sustain Improvements

1.     There are several tools and techniques to prevent these issues. One of the most effective is the Control Plan. It helps address poor handovers and lack of ownership, among other challenges. A Control Plan outlines:

• What needs to be monitored
• Who is responsible for the monitoring
• How frequently it should be done
• What actions to take if variations occur

Using a Control Plan ensures that improvements are sustained over time.\\

2.     Control charts

This will help us to monitor, control and improve process performance over time .

It will mainly identify variations, visualize trends and shifts in the process and its ensure improvements are sustained.

Control charts –Detects early warning signals

It will reduce daily fire fighting by taking proactive control

Encourages employees on data driven decision makings

3.     Control Methods

·       Mistake proofing /poka yoke–eliminate human errors/Reduce dependence on manual work.

·       Spc charts

·       Source Inspection

·       Standard operating procedures

4.     Routine Audits for to sustain improvements

5.     Conduct structured Trainings for all process users

6.     Dash board and KPI monitoring to capture important measurements .Power BI dashboards for real time Data.

 

 

           

Possible root causes for lapse in control phase

 

1. Employee or workers resistance to Change: Lack of buy in from production team, Staff, if they find the new update or process difficult or confusing may revert to old habits,
2. Insufficient periodic dip checks or audits: Without regular evaluation of a improved step or process, it is difficult to catch non adherence and the processes start reverting to previous, less efficient states.
3. Inadequate Training: employees may not have had adequate training to adapt fully to new systems, which in turn might lead to improper use that negates expected improvement in the output
4. Shift of business focus: Over time, changes in company strategy, customer expectations, or market conditions can render initial improvements less effective.
5. Lack of executive level Support: Lack of technical or managerial support and disinterest can cause the momentum brought by the change to reduce drastically.

 

Tools and Techniques to Maintain Improvements

1. Smart Automated Tools: Implement tools that automate parts of the system to minimize human dependency and ensure consistency. For example, using AI-driven systems for intelligent call routing based on live data analytics.

 

1. Recreate Framework and deploy updated SOPs: Documenting the new processes in detail, including any new workflows and best practices, helps ensure everyone is on the same page.

 

1. Periodic Review and Audits: Regular management reviews like weekly business review and process audits can help maintain focus on the importance of the new process or method of working, ensuring it remains aligned with strategic objectives.

 

1. Continuous Refresher Courses: Share the benefits and positive impact of the change on the business outcome Continuous training helps reinforce the importance of the new tools or processes and ensure staff remain proficient in its use. Motivates the staff to imbibe change

 

1. VOB use to have a Balanced scorecard and revise Metrics and Dashboards: imbibe the efforts metrics of changed or updated process, Implement metrics to continuously measure performance against key performance indicators (KPIs) like average handle time and customer satisfaction rates. Dashboards can provide real-time insights to assist in making proactive adjustments.

 

1. VOC and VOE: Once a change or improvement is implemented, we should regularly gather feedback from both customers and employees to identify areas for further improvement and address minor issues before they become major problems.

 

 

Example

Suppose a contact centre introduced a new call distribution system that reduced average call wait times from 10 minutes to 2 minutes. A smart use of AI agent project is run and implemented for automated categorization of query type by a Bot or IVR before the call reaches a live agent, Initially, this was a significant improvement, but over time, wait times began creeping back up. 

Upon analysis, it was discovered that:

• Impact from New Agents: Incoming staff were not being adequately trained on the new system due to high turnover rates and hurry in implementation. Lack of involvement of training department in live projects resulting in new agents being unaware of the changed or improved process
• System Updates: Regular updates that could enhance system efficiency were not being utilized due to a lack of technical support.

 

To address these issues, the contact center:

• Implemented a mentorship program, pairing new employees with seasoned agents to ensure smooth transitions.
• Scheduled monthly system reviews to incorporate and evaluate new updates.
• Developed a dashboard allowing real-time tracking of call metrics, providing instant feedback to operators.

In a Nutshell

By implementing these strategies and tools, contact centres can better maintain improvements gained from new routing systems in Control Phase, adapt to changes proactively, and ensure customer satisfaction remains high. Keeping systems resilient against backsliding requires constant vigilance and adaptation to the changing environment.

Even after a process improvement yields significant benefits such as reduced coding errors, and increased coding accuracy, if the Control phase is not robust, these advancements can easily diminish.
Reasons for the Decline:
- Lack of dashboard or KPI tracking following implementation, leading to a gradual increase in unnoticed errors
- New coders may not be aware of the latest DRG validation checks or coding clarifications
- The Initial excitement and enthusiasm fade away, and without any accountability, the old habits appear again
- The newly released CC/MCC guidelines are not integrated into coder checklist
- There is no recognition for coders who consistently sustain progress
Tools and Techniques:
- Utilize a control chart to monitor weekly DRG change rates after PCS coding enhancements
- Revise your CC/MCC capture checklist to include newly added conditions from last improvement cycle
- A Leaderboard of Coding Accuracy Champions or Coding Ninjas which can be visible on Teams/SharePoint
- A pop-up warning if a major OR procedure is missing in a high-risk DRG chart.
Control plan document:
- Develop a control plan document that outlines what will be monitored, who will be responsible for tracking, the frequency of tracking, target thresholds, and action plans for any outliers.

Let us see the reasons as why those wins (as stated in the question) sometimes slip away in the Control phase

 

Generic Reasons

(this answers why any process can loose its sheen after an improvement is done):

1.  We need to understand the fact that every process that has got an improvement will have two aspects – short term sigma (Zst) and long term sigma (Zlt).  Often, we tend to miss this reality that there would be a process variation in the longer run and that, this is inevitable unless we consciously make an effort to adjust/correct the process to align with our expectation/goal.

 

2. For every process, if there is no monitoring process in place or if the monitoring process is not suffice or inefficient, then you will not be able to retain the (improvement) gains, that you have achieved.  I should have a clear-cut view of my monitoring process. For instance, having some info as below can help me to arrive at a good monitoring process

1. What I want to measure? (Eg: Delivery time – minimum time to deliver, maximum time to deliver)
2. How I want to measure it? – Service Level Agreement (SLA)
3. How do I benchmark it ? – Comparison of my SLA with my competitors/industry leaders

 

3. When there is no visual flow of your process as how it progresses from time to time, then monitoring of your process is difficult as you may miss the trend/pattern as how it is evolving over time, post the improvement.

 

Context-Specific Reasons:

In the case of the logistics firm which had new routing system

 

4. There could have been some unknown issue(s) that would have propped (emerged) up which might not have been anticipated as part of the monitoring and controlling process and suddenly those issue(s) getting frequently or permanently surfaced, in the new route (eg.. road narrowed down due to say – making that road as a one-way traffic and 2. laying out of pavement-platform extensions)

 

Tools and Techniques that can be used for keeping our improvement gains intact (to this context):

1.  Use a control chart for monitoring and controlling the process first for understanding the problem deeper/where the problem is. For instance

•  Checking for 5+ continuous points on the same side (LCL/UCL) can throw hint about the process having a problem somewhere. [For brevity sake, we can put this though there are plenty of things that can be explored in control charts]

2. For addressing #1 a, Using techniques like Brainstorm, Liberating Structure (to arrive at a wider, engaging consensus amongst the employees of the firm) we can come up with some outcomes. The solutions could be like

• Include a live map APP, that can help in deciphering the current updated status in the new route system (improvement solution)
•  Agreeing/Adherence to defined SLAs (more sensitization to employees, due to the newer challenges)
• Also, we can leverage, a FMEA/PFMEA tool, and with that, we can put necessary action plans and control this process

 

Conclusion:

Every process should have a monitor and control mechanism properly defined. If a process have a good monitoring capability, the process variation could be very high and the effort that a team might have put in to improve its process, might become a waste. Therefore, it is imperative that every team has a solid monitoring capability in particular. Monitoring and Controlling go hand in hand in Six Sigma projects and are inseparable. Its important that therefore your tracking mechanism is good and your control capability should be able to support/complement that.

Why do those wins sometimes slip away in the Control phase?

There are various reasons why solution to improved process slip away in the Control Phase. Here are some:

 

1.       Thinking that identifying a solution is enough. Oftentimes, organization and project team missed to establish controls to sustain and ensure consistency of the injected solution. Testing of impact and feasibility of the solution is missed, only to find out that local staff implementing the solution on their day-to-day task find it difficult to sustain.

 

2.       Poor communication of intended changes. Formal handover of improved process to its process owner/local management is essential, more importantly to its local staffs who will deal with day-to-day work where improvement took place. A better understanding of what was the problem and why improvement was made must be clear and aligned with the local team. Buy-in and ownership of local team is vital to sustain the solution. This means making them involve from the start and all throughout the project’s phase.

 

3.       Inadequate training in new condition. Lack of enablement of local management and staff who’ll be implementing the solution and who’ll be using it daily will surely make successful implementation fail. Conducting training and enabling local staff before full implementation of solution will provide knowledge, familiarity, build confidence, and likely ensure success of implementation. Adequate training puts the local staff in a controlled environment where learning curve is monitored and supervised. Under scrutiny, old behaviors will be guided and replaced with new intended behavior tied up with the change throughout the training process. Local management’s involvement in training brings alignment, trust, and confidence with local staffs.

 

4.       New process not captured in written procedure. Procedure provides guide and clarity to the doers. It should contain the process details, working sequence broken down into elements, with hints and tips how to perform an activity or task. Updated written procedure of the improved process is an essential supplement to the enablement of local staff and management alike. Procedure should be crafted in such a way not bounded to misinterpretation in order to avoid human error.

 

5.       No monitoring to check that solution is working as intended. Local management’s involvement in the handover of the improved process is essential. Management oversight alongside with tools and best practices such as Control Plan, Process Control Chart, Gemba Kaizen, and process audit should be understood and taught to them by the project team. Having a KPI metric that shows process performance where improvement was made is of equal importance for sustainable management oversight.

 

What tools or techniques do you rely on to keep things on track and make sure the improvement sticks for good?

 

Handover process management is crucial to sustain the successful process improvement in long term. Process documentation such as to-be process flow chart, training & enablement plan, process aids/visual references, control plan, process control chart, updated procedure, FMEA (whenever applicable), and implementation plan should form part of the handover process to local management. This is a structured way to provide clarity on how the improved process works and how it should be monitored to sustain the gain of its financial and non-financial benefits.

 

Lastly, involvement of process improvement team or at least its leader in KPI monitoring and random process audit for the next three to six months upon handover is another key on sustainability of the improvement made.

I think this question is quite similar to the question previously asked and that is "how do you keep an AI agent output relevant and up-to-date while depending on having humans-in-the-loop as a significant part of keeping continuous improvements information up-to-date?"  I'm paraphrasing what I remember that question to be.

 

The importance of an AI Solutions Architect isn't that we merely create targeted, robust, reliable, predictable, sustainable, scalable, etc... AI solutions and that have been designed through a rigorous, thoughtful, intentional, and successfully proven design process, but we are also, and I think most importantly, stewards and overseers that AI isn't running so autonomously that we have released our responsibility over what AI "does for us".   In other words, we are trusting and thinking AI doesn't need human intervention because we say it's smarter, faster, better as what humans can do.  This is a completely and wholly improper perspective to have of AI.  

 

Therefore, the ultimate "tool" is really us staying engaged and by implementing ways to help US monitor that the AI solution stays true to it's design intent.  I'm not an expert at knowing or leveraging these tools because I'm not formally trained in them, but they certainly make sense to me as I read about them, in keeping AI solutions "on track".   They make sense because I have implemented these tools in overseeing projects and business intelligence platforms, just not knowing their professional labels.  Here are some tools and techniques I have found, without their explanations, because I know you are the MBB expert that will recognize and understand what they are and their applications.

 

Control Plans, Statistical Process Control (SPC), Poka-Yoke (mistake proofing), standard operating procedures (SOPs), training and continuous education, visual management tools, audits and reviews, response and reaction plans, process ownership and accountability, leader standard work, regular communication, and continuous improvement culture (Kaizen).

Answer: Control phase is one of the key area in all the five phases of process improvement. i.e. Define (D), Measure (M), Analyze (A), Improve (I) and Control (C).So it is important to sustain the process through consideration of several key approaches, so that improvement remain consistent in future.

Followings are the techniques that can keep the things on track:

1)     Implementation of Control Plan: This plan summarize the processes that what check points needs to be in-place to keep a system performing at its current state. For logistic firm, document the new routing procedure and implement GPS tracking system, so that real time location and progress of vehicles can be monitored.

In addition, alternative route can also be in-place as a backup in case of any obstructions in new route

2)     Clarity defined Metric: The importance of this to know whether a process changes are effective or is being maintained. For logistic firm, key performance indicators like on time delivery status and fuel efficiency.

3)     Process Control Evaluation: Always use statistical process chart to monitor and control the process. This tools is used to track the process performance over the period of time and detect the variations which needs attention.

, for logistic firm delivery time should be track to ensure that it remain inline to the improved process, any significant change can be immediately identified and addressed.

4)      Standard operating procedure: It is important to document the improved process changes in the SOP to ensure the consistency and each individual follow the same procedure. This approach helps to maintain the improvement and provide guidance to new joinees about the procedure.

5)     Training and regular communications: Before effective of Standard operating procedure, ensure that the person are trained with the new procedure so that he/she can understand their role for consistency of improved process.

Sometime, personals are not adequately training on new route, so there are high probability that they may revert to using the old method/procedure/route, resulting win sometime slip away.

6)     Effectiveness check: It is important to understand that the new procedure implemented correctly by employees or required some additional training. Since in-effective trainings or CAPA impact the sustainability of improved process, so it is always important to check the effectiveness of the training and process.

7)     Periodic inspection and review: Regular inspection and review of the process ensures compliance and identify the area of improvement. For logistic firm, this procedure ensure that drivers and dispatch personals followings the new improved procedure

 

Control Phase is the final stage of the DMAIC used in Six Sigma. Control Phase ensures that the improvements made during the Improve Phase are sustained over time.

It helps maintain the gains achieved during the project and ensure long-term process stability and capability.

Key Activities included are development of control plans, implement monitoring systems, standardize processes by update SOPs, training materials, and documentation, train the teams establish response plans if performance deviates and verify sustainability.

Most common tools used are control charts, control plan, SOPs, mistake proofing, etc.

Key reasons for control phase are not effective:

1. Lack of process adherence, monitoring mechanism or real time metrics dashboards which will lead to process drifting over the time which ends up on performance degradation.
2. Human factors, new members may not be trained to the extent to which they need to perform, so when the old guard moves away from the workforce, things will gradually fall away.
3. Sustaining the improvement is teamwork, so without proper RACI definition in the complex process, improvements will drift away due to lack of ownership.

 

What is required to effective control phase.

1. Maintaining well defined Standard operating procedures (SOP)
2. Plan for effective training for the team at regular intervals
3. Adopting the dynamic process monitoring tools and Kanban visual dashboards.
4. Adopting a work culture and shared responsibility which ensures commitment and focus on continuous improvement.

During the Control phase of improvement processes like Six Sigma, it is quite common to observe that initial benefits tend to plateau over time. This often occurs when changes are not fully integrated into routines, people revert to old habits, or lack of continual analysis, ambiguous process stewardship, or unanticipated changes in business environment factors.  

To address the issue and ensure the improvements are long running, below are the set of actions and strategies to implement: 

1)      Control Charts – To track progress towards your goals and alert you of any breaches within set thresholds promptly and most impactful monitoring tools

2)      Standard Operating Procedures (SOPs) – These create uniformity and standardization through documenting framework which helps in divergent process describe and communicate step accurately. 

3)      Training and Communications – training impacts compliance vastly if every team member understands the why and what behind changes, while strong communications support the adherence effort.

4)      Process Owners and Accountability – clear assignments of roles ensure responsibility for monitoring, maintaining, and enforcing the change lie with someone.  

5)      Audits and Regular Reviews – Scheduled checks provide not only compliance with the processes, but also an opportunity to provide timely adjustments as needed

6)      Visual Management Tools – Dashboards or scorecards make it easy to see the process is still performing as expected or not.

Eventually, the key is to make the improved process part of the organization's culture and daily habits.

The Reasons for which the improvements slips away in control phase are as follows:

1. Resistance To Change - This is the common problem in every organization, once the change is reinforced, people tend to resist the change and come back to old ways of working after improvement.

2. Insufficient Monitoring - Sometimes lack of continuous monitoring is there, in which we may miss some data points that can effect process stability and process capability.

3. Lack Of Accountability - RACI should be defined properly per improvement as it slips away when not done properly.

4. Lack Of Training - If employee's are not trained for the new processes and there is lack of documentation it slips away after sometime and do not sustain.

 

These tools and techniques can be used in control phase for sustenance:

1. Control Charts - This can be used to monitor the process and identify any outliers.

2. Standard Process - Proper SOP's need to be developed and taken signoff before implementation.

3. Training and Awareness - Proper training to be imparted for better understanding of Lean Six Sigma and its implementation.

4. KPI's - Performance measurement indicator's to be set for new process or after modification to ensure the target is met regularly.

 

Swapnil has provided the best answer to this question.

 

Answers from Jess and Mark also deserve a special mention. Both are a must read.