Control plan and project handoff
The Control phase closes the DMAIC project by ensuring that the improvements made in Improve are locked in and sustained without the GB’s daily involvement. The primary deliverable is the control plan — a living document that tells operators and supervisors exactly what to monitor, how to monitor it, and what to do when something goes wrong.
Control plan: key columns
| Column | What it defines |
|---|---|
| Process step | Which step in the process is being controlled |
| Input or output characteristic | The specific CTQ or key process input variable (KPIV) being monitored |
| Specification / target | The acceptable range or target value (USL/LSL or target ± tolerance) |
| Measurement method | How to measure it (which gage, procedure, sample point) |
| Sample size and frequency | How many units and how often (every 30 min; every batch; every nth unit) |
| Control method | How the process is controlled: SPC chart, visual check, automated alarm, go/no-go gage |
| Reaction plan | What to do when the measurement is out of spec or a control chart signal appears: stop, adjust, notify, quarantine, escalate |
| Responsible person | Who owns this monitoring step |
Worked example: Examplorphine fill weight control plan
| Characteristic | Spec | Method | Frequency | Control method | Reaction if OOS |
|---|---|---|---|---|---|
| Fill weight | 250.0 ± 5.0 mg | Calibrated scale (MSA passed) | Every 30 min; n=5 | X̅-R chart; alert if Nelson Rule 1 or 2 | Stop line; notify supervisor; quarantine last 30 min output; recalibrate auger; document |
| Auger calibration | Per PM schedule | Calibration SOP Rev 4 | Monthly + after each replacement | PM log; calibration certificate on file | Do not run line until calibration confirmed |
Response plan principles
A good response plan answers four questions when a signal occurs:
- Stop or continue? When does the process stop vs. when can it continue while investigating?
- Contain the impact. Quarantine, hold, or segregate potentially out-of-spec product.
- Who is responsible? Named roles, not job titles alone.
- When to escalate? If the root cause is not found in X hours, escalate to the GB or engineer.
Sustaining gains: what makes Control fail
| Reason gains backslide | Countermeasure |
|---|---|
| SOP not updated | Update SOP before project closes; version-control it |
| New operators not trained | Training record tied to updated SOP; competency verification |
| Control chart exists but no one responds to signals | Response plan on the chart; supervisor audit; escalation path |
| GB leaves; no process owner | Formal handoff sign-off with named process owner |
| Process change not evaluated against control plan | Change control requires review of control plan impact |
Project handoff and closure
At the Control tollgate, the GB hands the project to the process owner (not the Champion). The handoff package typically includes:
- Final control plan
- Updated SOPs and training records
- SPC charts set up and running in the area
- Before/after capability data (Cpk baseline vs. Cpk after improvement)
- Financial summary: projected vs. realized savings
- Lessons learned for future projects
The Champion signs off that the project is complete and gains are sustainable without GB daily involvement.
Common exam traps
- The process owner accepts the handoff, not the Champion. The Champion funded the project; the process owner runs the process daily and owns the control plan going forward.
- A control plan without a response plan is incomplete. Monitoring without knowing what to do when something goes wrong is ineffective.
- Control charts must be active, not decorative. A chart that is plotted but never acted on provides no benefit. The response plan must be understood and followed.
- Control = sustain, not re-improve. The Control phase locks in the gains; it does not continue analyzing or finding new root causes. New problems start new projects.
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