a written job plan is what type of control methodology

Hierarchy of Controls

Controlling exposures to hazards in the workplace is vital to protecting workers. The hierarchy of controls is a way of determining which actions will best control exposures. The hierarchy of controls has five levels of actions to reduce or remove hazards. The preferred order of action based on general effectiveness is:

Elimination

Substitution.

• Engineering controls
• Administrative controls
• Personal protective equipment (PPE)

Using this hierarchy can lower worker exposures and reduce risk of illness or injury.

Elimination removes the hazard at the source. This could include changing the work process to stop using a toxic chemical, heavy object, or sharp tool. It is the preferred solution to protect workers because no exposure can occur.

Substitution is using a safer alternative to the source of the hazard. An example is using plant-based printing inks as a substitute for solvent-based inks.

When considering a substitute, it’s important to compare the potential new risks of the substitute to the original risks. This review should consider how the substitute will combine with other agents in the workplace. Effective substitutes reduce the potential for harmful effects and do not create new risks .

Elimination and substitution can be the most difficult actions to adopt into an existing process. These methods are best used at the design or development stage of a work process, place, or tool. At the development stage, elimination and substitution may be the simplest and cheapest option. Another good opportunity to use elimination and substitution is when selecting new equipment or procedures. Prevention through Design is an approach to proactively include prevention when designing work equipment, tools, operations, and spaces.

• Engineering Controls

Engineering controls  reduce or prevent hazards from coming into contact with workers. Engineering controls can include modifying equipment or the workspace, using protective barriers, ventilation, and more. The NIOSH  Engineering Controls Database has examples of published engineering control research findings.

The most effective engineering controls:

• are part of the original equipment design
• remove or block the hazard at the source before it comes into contact with the worker
• prevent users from modifying or interfering with the control
• need minimal user input for the controls to work
• operate correctly without interfering with the work process or making the work process more difficult

Engineering controls can cost more upfront than administrative controls or PPE. However, long-term operating costs tend to be lower, especially when protecting multiple workers. In addition, engineering controls can save money in other areas of the work process or facility operation.

Administrative Controls

Administrative controls establish work practices that reduce the duration, frequency, or intensity of exposure to hazards. This may include:

• work process training
• job rotation
• ensuring adequate rest breaks
• limiting access to hazardous areas or machinery
• adjusting line speeds

PPE is equipment worn to minimize exposure to hazards. Examples of PPE include gloves, safety glasses, hearing protection, hard hats, and respirators. When employees use PPE, employers should implement a PPE program. While elements of the PPE program depend on the work process and the identified PPE, the program should address:

• workplace hazards assessment
• PPE selection and use
• inspection and replacement of damaged or worn-out PPE
• employee training
• program monitoring for continued effectiveness

Employers should not rely on PPE alone to control hazards when other effective control options are available. PPE can be effective, but only when workers use it correctly and consistently. PPE might seem to be less expensive than other controls, but can be costly over time. This is especially true when used for multiple workers on a daily basis.

When other control methods are unable to reduce the hazardous exposure to safe levels, employers must provide PPE. This includes:

• while other controls are under development
• when other controls cannot sufficiently reduce the hazardous exposure
• when PPE is the only control option available

Administrative controls and PPE require significant and ongoing effort by  workers and their supervisors. They are useful when employers are in the process of implementing other control methods from the hierarchy. Additionally, administrative controls and PPE are often applied to existing processes where hazards are not well controlled.

Training and evaluation can help ensure selected controls are successful. Employers should correctly train workers and supervisors on how to use controls. Workers and their supervisors should evaluate controls on a regular basis. Regular evaluation can check whether controls are effective in reducing workers’ exposures and identify potential improvements.

Related Topics

• Construction
• Control Banding
• Engineering Controls for Silica in Construction
• Skin Exposures and Effects

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Control Plan Development

Control plans.

– Control Plan Development –

⇓   Introduction to Control Plans

⇓   What is a Control Plan

⇓   Why Develop a Control Plan

⇓   How to Develop a Control Plan

⇓   Learn More About Control Plans

Introduction to Control Plans

Most companies are looking for methods to reduce cost and eliminate waste in their processes. In the business world today controlling waste and maintaining a high level of quality is imperative for a company to succeed. The cost of doing business is ever increasing. Rising costs of raw materials combined with labor and equipment costs have brought scrap reduction into the critical to business category. The cost of steel alone has more than doubled in the last two years. Therefore, it has become increasingly important to assure that parts are being produced that conform to customer requirements every time. In addition, we must have the ability to detect a non-conforming part or assembly as well as a plan for responding to changing process conditions.  The majority of manufacturing companies are experienced at detecting initial problems and developing corrective actions to correct the problem. But many fall short when it comes to sustaining those corrective actions or process improvements over a long period of time. In many cases the process gradually returns to its previous state and the problems eventually resurface. The purpose of a Control Plan is to monitor processes and assure that any improvements are maintained over the life cycle of the part or product. Control Plans are currently being utilized to ensure product quality in the Automotive, Aerospace, Agricultural Equipment, Heavy Equipment and many other industries throughout the world.  A Control Plan is often a Production Part Approval Process (PPAP) requirement for suppliers of parts to companies in these industries. The primary resource for information regarding Control Plan Methodology in the automotive industry is the Advanced Product Quality Planning and Control Plan manual published by the Automotive Industry Action Group (AIAG).

What is a Control Plan

The Control Plan is a document that describes the actions (measurements, inspections, quality checks or monitoring of process parameters) required at each phase of a process to assure the process outputs will conform to pre-determined requirements. In simpler terms, the Control Plan provides the operator or inspector with the information required to properly control the process and produce quality parts or assemblies. It should also include instructions regarding actions taken if a non-conformance is detected. The Control Plan does not replace detailed operator instructions. In some cases the Control Plan is used in conjunction with an inspection sheet or checklist. The Control Plan helps assure quality is maintained in a process in the event of employee turnover by establishing a standard for quality inspection and process monitoring.  Control Plans are living documents that should be periodically updated as the measurement methods and controls are improved throughout the life cycle of the product.

Why Develop a Control Plan

Developing and implementing Control Plan Methodology has several benefits. The use of Control Plans helps reduce or eliminate waste in a process. Businesses today must reduce waste everywhere possible. The Control Plan improves product quality by identifying the sources of variation in a process and establishing controls to monitor them. Control Plans focus on the product characteristics most important to the customer and the business. By focusing on what is critical to quality during the process, you can reduce scrap, eliminate costly reworks and prevent defective product from reaching the customer. When scrap and reworks are reduced, throughput of the process is inherently improved. Manufacturing efficiency is improved and your company’s bottom line is impacted in a positive manner.

How to Develop a Control Plan

The Control Plan should be developed by a Cross Functional Team (CFT) that has an understanding of the process being controlled or improved. By utilizing a CFT, you are likely to identify more opportunities for improvement of the process. The Control Plan is more than just a form to fill out.  It is a plan developed by the team to control the process and ensure the process produces quality parts that meet the customer requirements. The information contained in the control plan can originate from several sources, including but not limited to the following:

• Process Flow Diagram
• Design Failure Mode and Effects Analysis (DFMEA)
• Process Failure Mode and Effects Analysis (PFMEA)
• Special Characteristics Matrix
• Lessons Learned from similar parts
• Design Reviews
• Team knowledge about the process
• Field or warranty issues

Throughout the life cycle of a product, the information contained in the list above frequently changes or the content grows. Therefore the Control Plan must be a living document, continuously updated as new information is added. The Control Plan therefore is an integral part of an effective product quality system.

The Three Levels of Control Plans

Prior to completing the Control Plan development, the team must determine the proper level appropriate for the process being controlled. There are three designations for a Control Plan level based upon what point the product is at in the New Product Introduction (NPI) process. They are as follows:

• Prototype – This level Control Plan should include descriptions of the dimensions to be measured and the material and performance tests to be completed during the prototype build
• Pre-Launch – This level of Control Plan should contain descriptions of the dimensions to be measured and the material and performance tests to be completed after prototype but prior to product launch and regular production
• Production – This level of Control Plan should contain a comprehensive listing of the product and process special characteristics, the process controls, measurement methods and tests that will be performed during regular production

The Control Plan Format

There are many variations of the form used to document the Control Plan.  Most of the forms used are in the Excel format although there are custom software packages available for many quality tools, including Control Plans. The following section will provide descriptions of what general information should be populated in each of the blocks. The types of control plans vary depending upon the process being controlled.

• Control Plan Level – The appropriate box should be checked to indicate the level or type of Control Plan that is being developed
• Control Plan Number – Enter the appropriate number that the Control Plan will be listed as in your document control system
• In addition the appropriate change or revision level should be indicated. The control plan should be reviewed and updated with each level change or revision of the part or assembly. The control plan should be a living document.
• The process name is preferred if the Control Plan is covering a family of parts produced on the same process
• Supplier/Plant – Enter name of the company and plant/division developing the Control Plan
• Supplier Code – Your designated supplier code should be entered if the part is being produced for an external customer
• Key Contact/Phone – The Name and contact information (phone number, email) of the primary contact responsible for the Control Plan
• Core Team – Enter the names of the CFT that prepared the Control Plan
• Supplier/Plant Approval Date – Once the approval is received from the customer, enter the date approval was received
• Other Approval/Date – Enter any additional approval information and date if required
• Date Original – The date the Control Plan was initially completed should be entered here
• Date/Rev – Insert the latest revision date of the Control Plan released in this box
• Customer Engineering Approval/Date – If required, obtain the customer engineering approval information and enter in this location
• Customer Quality Approval/Date – If required, obtain the customer quality representative approval information and enter in this location
• Part numbers may be entered for an assembly and in some applications the process step number from the Process flow is entered
• Process Name/Operation Description – Enter information from the process flow diagram that describes the operation being performed in this column
• Machine/Device/Jigs/Tool for Manufacturing – In this column, identify the equipment, machines, fixtures, jigs and other tools required to accomplish the particular process operation listed in the corresponding row

Characteristics Section

This section of the Control Plan describes the particular characteristics of the product or process that may need to be controlled and documented. The characteristic could be product or process related and the data could be variable or attribute data. The difference between product and process characteristics is often confused when completing a Control Plan.

• Number – This column is used for assigning a number corresponding to information in the process flow, work instructions or a numbered print
• Product – Product characteristics are physical features or properties of an assembly or component part usually described on the drawing that can be measured when the process is completed. Not all the dimensions or features on the print should be listed on the Control Plan. The team should determine the key or critical characteristics and compile them from their various sources. Special, Key or Critical characteristics come from the DFMEA exercise, print reviews, product or process historical information and customer feedback. If there are no key product characteristics for the particular operation, leave this space blank.
• Process – In this column, the team should identify the Key characteristics relating to the process. Examples would be the setting on a torque tool or the orientation of parts in a fixture. If there are no key process characteristics for the particular operation, leave this space blank. There could be multiple process characteristics listed for a single product characteristic. Key process characteristics can originate from the PFMEA or team knowledge of the process performance.
• P – Process
• R – Regulatory
• OS – Operator Safety

Methods Section

The information contained in the methods section includes the specification to be measured and a plan for collecting the data and controlling the process. The data could be variable or attribute data.

• Product/Process Specification / Tolerance – List the specification and tolerance as defined on the drawing, material specification, 3D model or in the manufacturing or assembly documentation
• Evaluation/Measurement Technique – Identify the measurement tools, gages, fixtures and / or test equipment used to evaluate the part or process specification listed in the previous column. A Measurement Systems Analysis (MSA) is recommended to assure that correct, consistent usable data is being collected.
• Sample Size – If sampling is required, list the corresponding sample size or number of parts or assemblies that should be measured /evaluated during the process
• Sample Frequency – If sampling is required, list the frequency at which the samples will be taken during the process. As an example, the frequency could be 1st, 25th and final, or it could be continuous.
• Control Method / Prevention – This column should list the prevention controls and / or documents the operator will need to complete the process step. This should include work instructions, drawings, visual aids, etc.
• Control Method / Detection – The information in this column is critical for the effectiveness of the Control Plan. This column should list any detection controls determined by the team during the previous quality plan activities, including the DFMEA and PFMEA. The methods could include but are not limited to Statistical Process Control (SPC) , visual inspection, attribute data collection, error proofing, etc. A document or procedure number may also be populated in this space. The effectiveness of the control selected should be evaluated on a regular basis.
• Reaction Plan – This column should specify the actions required to prevent production of non-conforming products. The actions should be the responsibility of the operator and / or their immediate supervisor. They should include at the very least how to label, identify and quarantine the non-conforming material and the proper disposition of the suspect material, parts or assemblies. In addition, the reaction plan should include directions for properly documenting the incident and who should be notified of the non-conformance.

Control Plans can vary depending upon what type of process is being controlled. There are many different applications where the Control Plan can add value to the process. Below are a few examples of the different applications:

• Equipment set-up process where the major contributor to process variation is proper set-up of the equipment prior to the production run
• Equipment tooling dominant process where the major influence on variation is the impact of tool life on the part or product design characteristics
• Operator dominant process where the variation in the process is a result of the knowledge or training of the operator and the proper controls

The Control Plan can be a very effective tool for reducing the amount of scrap generated by a process. It can be very useful at improving quality and helping contain any non-conforming product prior to it leaving the work cell. It is most effective when incorporated into a larger quality plan. The Control Plan is the same as any other tool, in that to get the most value you must know how to use it properly. Your teams will require training and coaching in order to implement an effective Control Plan system. If you are interested in learning more about Control Plan Methodology, please contact one of our experienced professionals at Quality-One.

Learn More About Control Plan Development

Quality-One offers Quality and Reliability Support for Product and Process Development through Consulting, Training and Project Support. Quality-One provides Knowledge, Guidance and Direction in Quality and Reliability activities, tailored to your unique wants, needs and desires. Let us help you Discover the Value of Control Plan Consulting , Control Plan Training or Control Plan Project Support .

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15.4 Types and Levels of Control

Learning objectives.

• Know the difference between strategic and operational controls.
• Understand the different types of controls.
• Be able to differentiate between financial and nonfinancial controls.

Figure 15.4

Controls allow you to align the pieces with the big picture.

Jason7825 – A 3D Jigsaw Puzzle – public domain.

Recognizing that organizational controls can be categorized in many ways, it is helpful at this point to distinguish between two sets of controls: (1) strategic controls and (2) management controls, sometimes called operating controls (Harrison & St. John, 2002).

Two Levels of Control: Strategic and Operational

Imagine that you are the captain of a ship. The strategic controls make sure that your ship is going in the right direction; management and operating controls make sure that the ship is in good condition before, during, and after the voyage. With that analogy in mind, strategic control is concerned with tracking the strategy as it is being implemented, detecting any problem areas or potential problem areas suggesting that the strategy is incorrect, and making any necessary adjustments (Venkataraman & Saravathy, 2001). Strategic controls allow you to step back and look at the big picture and make sure all the pieces of the picture are correctly aligned.

Ordinarily, a significant time span occurs between initial implementation of a strategy and achievement of its intended results. For instance, if you wanted to captain your ship from San Diego to Seattle you might need a crew, supplies, fuel, and so on. You might also need to wait until the weather lets you make the trip safely! Similarly, in larger organizations, during the time you are putting the strategy into place, numerous projects are undertaken, investments are made, and actions are undertaken to implement the new strategy. Meanwhile, the environmental situation and the firm’s internal situation are developing and evolving. The economy could be booming or perhaps falling into recession. Strategic controls are necessary to steer the firm through these events. They must provide some means of correcting direction on the basis of intermediate performance and new information.

Operational control , in contrast to strategic control, is concerned with executing the strategy. Where operational controls are imposed, they function within the framework established by the strategy. Normally these goals, objectives, and standards are established for major subsystems within the organization, such as business units, projects, products, functions, and responsibility centers (Mattews, 1999). Typical operational control measures include return on investment, net profit, cost, and product quality. These control measures are essentially summations of finer-grained control measures. Corrective action based on operating controls may have implications for strategic controls when they involve changes in the strategy.

Types of Control

It is also valuable to understand that, within the strategic and operational levels of control, there are several types of control. The first two types can be mapped across two dimensions: level of proactivity and outcome versus behavioral. The following table summarizes these along with examples of what such controls might look like.

Proactivity

Proactivity can be defined as the monitoring of problems in a way that provides their timely prevention, rather than after the fact reaction. In management, this is known as feedforward control ; it addresses what can we do ahead of time to help our plan succeed. The essence of feedforward control is to see the problems coming in time to do something about them. For instance, feedforward controls include preventive maintenance on machinery and equipment and due diligence on investments.

Table 15.1 Types and Examples of Control

Concurrent Controls

The process of monitoring and adjusting ongoing activities and processes is known as concurrent control . Such controls are not necessarily proactive, but they can prevent problems from becoming worse. For this reason, we often describe concurrent control as real-time control because it deals with the present. An example of concurrent control might be adjusting the water temperature of the water while taking a shower.

Feedback Controls

Finally, feedback controls involve gathering information about a completed activity, evaluating that information, and taking steps to improve the similar activities in the future. This is the least proactive of controls and is generally a basis for reactions. Feedback controls permit managers to use information on past performance to bring future performance in line with planned objectives.

Control as a Feedback Loop

In this latter sense, all these types of control function as a feedback mechanism to help leaders and managers make adjustments in the strategy, as perhaps is reflected by changes in the planning, organizing, and leading components. This feedback loop is characterized in the following figure.

Figure 15.5 Controls as Part of a Feedback Loop

Why might it be helpful for you to think of controls as part of a feedback loop in the P-O-L-C process? Well, if you are the entrepreneur who is writing the business plan for a completely new business, then you would likely start with the planning component and work your way to controlling—that is, spell out how you are going to tell whether the new venture is on track. However, more often, you will be stepping into an organization that is already operating, and this means that a plan is already in place. With the plan in place, it may be then up to you to figure out the organizing, leading, or control challenges facing the organization.

Outcome and Behavioral Controls

Controls also differ depending on what is monitored, outcomes or behaviors. Outcome controls are generally preferable when just one or two performance measures (say, return on investment or return on assets) are good gauges of a business’s health. Outcome controls are effective when there’s little external interference between managerial decision making on the one hand and business performance on the other. It also helps if little or no coordination with other business units exists.

Behavioral controls involve the direct evaluation of managerial and employee decision making, not of the results of managerial decisions. Behavioral controls tie rewards to a broader range of criteria, such as those identified in the Balanced Scorecard. Behavioral controls and commensurate rewards are typically more appropriate when there are many external and internal factors that can affect the relationship between a manager’s decisions and organizational performance. They’re also appropriate when managers must coordinate resources and capabilities across different business units.

Financial and Nonfinancial Controls

Finally, across the different types of controls in terms of level of proactivity and outcome versus behavioral, it is important to recognize that controls can take on one of two predominant forms: financial and nonfinancial controls. Financial control involves the management of a firm’s costs and expenses to control them in relation to budgeted amounts. Thus, management determines which aspects of its financial condition, such as assets, sales, or profitability, are most important, tries to forecast them through budgets, and then compares actual performance to budgeted performance. At a strategic level, total sales and indicators of profitability would be relevant strategic controls.

Without effective financial controls, the firm’s performance can deteriorate. PSINet, for example, grew rapidly into a global network providing Internet services to 100,000 business accounts in 27 countries. However, expensive debt instruments such as junk bonds were used to fuel the firm’s rapid expansion. According to a member of the firm’s board of directors, PSINet spent most of its borrowed money “without the financial controls that should have been in place (Woolley, 2001).” With a capital structure unable to support its rapidly growing and financially uncontrolled operations, PSINet and 24 of its U.S. subsidiaries eventually filed for bankruptcy (PSINet, 2001). While we often think of financial controls as a form of outcome control, they can also be used as a behavioral control. For instance, if managers must request approval for expenditures over a budgeted amount, then the financial control also provides a behavioral control mechanism as well.

Increasing numbers of organizations have been measuring customer loyalty, referrals, employee satisfaction, and other such performance areas that are not financial. In contrast to financial controls, nonfinancial controls track aspects of the organization that aren’t immediately financial in nature but are expected to lead to positive performance outcomes. The theory behind such nonfinancial controls is that they should provide managers with a glimpse of the organization’s progress well before financial outcomes can be measured (Ittner & Larcker, 2003). And this theory does have some practical support. For instance, GE has found that highly satisfied customers are the best predictor of future sales in many of its businesses, so it regularly tracks customer satisfaction.

Key Takeaway

Organizational controls can take many forms. Strategic controls help managers know whether a chosen strategy is working, while operating controls contribute to successful execution of the current strategy. Within these types of strategy, controls can vary in terms of proactivity, where feedback controls were the least proactive. Outcome controls are judged by the result of the organization’s activities, while behavioral controls involve monitoring how the organization’s members behave on a daily basis. Financial controls are executed by monitoring costs and expenditure in relation to the organization’s budget, and nonfinancial controls complement financial controls by monitoring intangibles like customer satisfaction and employee morale.

• What is the difference between strategic and operating controls? What level of management would be most concerned with operating controls?
• If feedforward controls are the most proactive, then why do organizations need or use feedback controls?
• What is the difference between behavioral and outcome controls?
• What is the difference between nonfinancial and financial controls? Is a financial control a behavioral or an outcome control?

Harrison, J. S., & St. John, C. H. (2002). Foundations in Strategic Management (2nd ed., 118–129). Cincinnati, OH: South-Western College.

Ittner, C., & Larcker, D. F. (2003, November). Coming up short on nonfinancial performance measurement. Harvard Business Review , 2–8.

Matthews, J. (1999). Strategic moves. Supply Management, 4 (4), 36–37.

PSINet, retrieved January 30, 2009, from PSINet announces NASDAQ delisting. (2001, June 1). http://www.psinet.com .

Venkataraman, S., & Sarasvathy, S. D. (2001). Strategy and entrepreneurship: Outlines of an untold story. In M. A. Hitt, R. E. Freeman, & J. S. Harrison (Eds.), Handbook of strategic management (650–668). Oxford: Blackwell.

Woolley, S. (2001, May). Digital hubris. Forbes , 66–70.

Principles of Management Copyright © 2015 by University of Minnesota is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

• Guide: Control Plan

Daniel Croft

Daniel Croft is an experienced continuous improvement manager with a Lean Six Sigma Black Belt and a Bachelor's degree in Business Management. With more than ten years of experience applying his skills across various industries, Daniel specializes in optimizing processes and improving efficiency. His approach combines practical experience with a deep understanding of business fundamentals to drive meaningful change.

• Last Updated: June 11, 2023
• Learn Lean Sigma

In business it is not uncommon for processes and outputs from processes to be out of control and need action to be taken to address them. This is where Control Plans become extremely useful. Control plans have been developed to support lean Six Sigma process and quality management systems in measuring critical-to-quality (CTQ) measures of processes and their outputs to ensure they remain in control with regular data collection and clear actions to be taken to address issues if they arise. 

Control plans are mostly popularized and used within the manufacturing sector. However, they can be useful for a range of processes that output variables that can be measured and controlled.

Table of Contents

What is a control plan.

A Control Plan in its basic form is a document that outlines the process, steps and actions needed to manage, control, and ensure the quality of a process or product. Developed from the principles of Lean Six Sigma, the tool is used to many industries, such as manufacturing, logistics, automotive, and aerospace.

Control plans may vary slightly from business to business as teams and management tweak them to suit local business needs. However, the Control Plan typically consists of elements such as process input variables, output variables, control points (limits), what measurements are to be taken, and actions to be taken if a deviation occurs. 

Below you can see a good example of how a control plan may look. You can also download this control plan from our template section.

A control plan is usually a tool you will use towards the end of an improvement project, such as in the Control phase of the DMAIC methodology, and continues to serve as a “living document,” which means it is continually reviewed and updated as the process evolves or new data becomes available.

How to Create a Control Plan

Creating a Control Plan is an important process that involves several steps. The guide below will clearly explain each step to guide you through creating a robust and effective Control Plan.

Step 1: Identify the Process

The first step in creating a control plan is to identify a process that you are looking to control. This should be a process that is critical to the quality of your product or service and would have a significant impact on customer satisfaction or operational efficiency if it were to go wrong. Therefore, lend them to a key candidate of a process to control 

It is important to have a clear understanding of the flow of the process, including the inputs and outputs and all the steps involved. It can be useful to use a tool such as a flowchart to map out the process to ensure you fully understand all the elements and variables of the process. 

Step 2: List CTQs (Critical to Quality Characteristics)

Once the process has been identified, the next step in the process is to identify the CTQ characteristics. These are the key attributes or features of the product or service that need to be controlled to ensure quality. The best way to identify what the CTQs are is to understand the customer requirements, such as product specifications.

For example, let’s say a business manufactures brake pads, and the CTQ is the thickness tolerance of the brake pads; this might be ±0.5mm.

Step 3: Select Measurement Methods

Once you have listed all the CTQs that you want to control, decide how you will measure these characteristics. The method that you decide on should be accurate, reliable, and repeatable and follow the principles of Attribute Agreement Analysis (AAA). The measurement method should consider what tools, instruments, or techniques will be used. Additionally, it is important to define the frequency with which the measurement is taken and what the acceptable limits or tolerances are for each CTQ.

Step 4: Determine Control Methods

Now that you know what CTQs you want to control and the methods used to measure them you need to determine the methods of control. Control methods are the strategies, tools or techniques used to ensure that the process stays within the defined limits or customer spec limits.  Popular tools and techniques used to control processes and variables include Statistical Process Control (SPC) charts, Mistake Proofing (Poka Yoke) or Standard Operating Procedures (SOP) / Standard Work Instructions (SWI), which control method you use will depend on the type of process and CTQ identified.

Step 5: Develop Action Plans

If in the event a process or variable goes out of control it is important to take action to address and correct the process and bring it back under control. To do this action plans should be developed as part of the control plan. These action plans define what steps need to be taken to bring the process back within its acceptable limits. 

Like any good action plan it needs make it clear what action needs to be taken and who is responsible for taking that action. 

Step 6: Train the Team

Now that you have developed a control plan its important to ensure that in the event it is needed, it is used. Therefore, you should clearly communicate what the CTQs are, what the operators need to do to measure the process and clarify what actions need to be taken by whom if a process goes out of control. 

Training is key to the success of the control plan being followed.

Step 7: Implement and Monitor

Now that you have developed and trained out the plan, the next step is to officially implement it. This involves putting all the required measures and controls into place. If special tools like calipers or software’s are needed to take measurements, ensure they have what they need. The process then needs to be continuously monitored to ensure the process remains within the stated control limits. Data should then be analyzed at regular intervals to detect and trends or deviations in the process outputs.

Step 8: Review and Update

Finally Step 8, it is important to remember that the control plan is a living document that should be reviewed and updated regularly as the process or CTQs change. Regular reviews will ensure the Control Plan remains effective and relevant. 

By following this process you should be able to develop a robust Control Plan that will help you control your process and ensure quality and drive continuous improvement of the process.

Implementing a Control Plan is beneficial for controlling the quality and performance of processes and preventing defects or quality issues. From identifying the process to training your team, each step is geared towards ensuring that your business operations are as seamless as possible. The goal is not just to maintain current performance levels but to set the stage for continuous improvement.

As we’ve outlined in this guide, creating and implementing a Control Plan is a detailed process involving multiple steps, each is important and builds on the previous step. You should also remember, a Control Plan is a living document must be regularly monitored and updated to its sustain success.

• Westgard, J.O., 2003. Internal quality control: planning and implementation strategies.   Annals of clinical biochemistry ,  40 (6), pp.593-611.
• Mehrasa, M., Pouresmaeil, E., Jørgensen, B.N. and Catalão, J.P., 2015. A control plan for the stable operation of microgrids during grid-connected and islanded modes.   Electric Power Systems Research ,  129 , pp.10-22.

Q: What is a control plan?

A: A control plan is a documented framework that outlines the methods, procedures, and actions necessary to maintain process control and ensure consistent and acceptable outcomes. It helps identify critical control points, measurement methods, control limits, and corrective actions to monitor and manage process performance effectively.

Q: Why is a control plan important?

A: A control plan is important because it helps organizations maintain process stability, minimize process variations, and ensure consistent product or service quality. It provides a systematic approach to monitor, control, and improve processes, leading to reduced defects, improved customer satisfaction, and increased operational efficiency.

Q: How does a control plan fit into the DMAIC methodology?

A: A control plan is a key component of the Control phase in the DMAIC (Define, Measure, Analyze, Improve, Control) methodology. In this phase, the control plan is developed to sustain the improvements made during the earlier phases. It helps ensure that the process remains in control, deviations are promptly addressed, and continuous improvement efforts are sustained.

Q: What are critical control points?

A: Critical control points are specific stages or activities within a process where variations can significantly impact the quality or outcome. These points need to be closely monitored and controlled to prevent defects or deviations from the desired target. Examples include temperature control, pressure control, or specific steps in a manufacturing process.

Q: How are control limits determined?

A: Control limits are determined based on historical data, customer specifications, or statistical analysis. Historical data provides insights into the process performance, while customer specifications define the acceptable range for product quality. Statistical techniques, such as process capability analysis, can help determine control limits based on the process’s inherent variation and the desired level of performance.

Q: What is the role of corrective actions in a control plan?

A: Corrective actions are specified in a control plan to address deviations from control limits or target values. These actions provide a systematic approach to identify and resolve the root causes of variations, ensuring that the process is brought back into control. Corrective actions may involve adjusting process parameters, modifying procedures, retraining employees, or conducting equipment maintenance, among other steps.

Q: Who is responsible for implementing a control plan?

A: Responsibility for implementing a control plan typically falls on the process owner or a designated team responsible for process management and improvement. These individuals or teams are accountable for monitoring the process, collecting data, analyzing it for deviations, and implementing corrective actions when necessary.

Q: How often should a control plan be reviewed and updated?

A: A control plan should be reviewed and updated regularly to ensure its effectiveness and alignment with changing process requirements. It is recommended to review the control plan during regular process performance reviews or when significant changes occur in the process or customer requirements. This helps to adapt the control plan to evolving conditions and continuously improve its efficacy.

Daniel Croft is a seasoned continuous improvement manager with a Black Belt in Lean Six Sigma. With over 10 years of real-world application experience across diverse sectors, Daniel has a passion for optimizing processes and fostering a culture of efficiency. He's not just a practitioner but also an avid learner, constantly seeking to expand his knowledge. Outside of his professional life, Daniel has a keen Investing, statistics and knowledge-sharing, which led him to create the website learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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Module 15: Control

The control process, learning outcomes.

• Explain the basic control process.
• Differentiate between feedback, proactive, and concurrent controls.

The proper performance of the management control function is critical to the success of an organization. After plans are set in place, management must execute a series of steps to ensure that the plans are carried out. The steps in the basic control process can be followed for almost any application, such as improving product quality, reducing waste, and increasing sales. The basic control process includes the following steps:

• Setting performance standards: Managers must translate plans into performance standards. These performance standards can be in the form of goals, such as revenue from sales over a period of time. The standards should be attainable, measurable, and clear.
• Measuring actual performance: If performance is not measured, it cannot be ascertained whether standards have been met.
• Comparing actual performance with standards or goals: Accept or reject the product or outcome.
• Analyzing deviations: Managers must determine why standards were not met. This step also involves determining whether more control is necessary or if the standard should be changed.
• Taking corrective action: After the reasons for deviations have been determined, managers can then develop solutions for issues with meeting the standards and make changes to processes or behaviors.

Consider a situation in which a fictional company, The XYZ Group, has suffered a decrease in the profits from its high-end sunglasses due to employee theft. Senior executives establish a plan to eliminate the occurrence of employee theft. It has been determined that the items are being stolen from the company warehouse. The executives establish a goal of zero thefts ($0) within a three-month period (Step 1). The company currently loses an average of $1,000 per month due to employee theft.

To discourage the undesired behavior, XYZ installed cameras in the warehouse and placed locks on the cabinets where the most expensive sunglasses are stored. Only the warehouse managers have keys to these cabinets.

After three months, XYZ managers contact the bookkeeper to get the sales and inventory figures for the past three-month period (Step 2). The managers then compare the figures with the previous period, taking into account orders for deliveries, returns, and defective merchandise (Step 3). It has been determined that the company lost $200 the first month, $300 the second month, and $200 the third month due to theft, which is an improvement but short of the goal. Managers then come up with suggestions for making adjustments to the control system (Step 4).

XYZ senior executives approve of the suggestion to institute a zero-tolerance policy for employee theft. Now, if there is evidence that an employee has stolen a pair of sunglasses, that employee’s job will be terminated. The employee handbook is updated to include the change, and XYZ executives hold a meeting with all warehouse employees to communicate the policy change (Step 5).

Practice Question

Timing of controls.

Controls can be categorized according to the time in which a process or activity occurs. The controls related to time include feedback, proactive, and concurrent controls. Feedback control concerns the past. Proactive control anticipates future implications. Concurrent control concerns the present.

Feedback occurs after an activity or process is completed. It is reactive. For example, feedback control would involve evaluating a team’s progress by comparing the production standard to the actual production output. If the standard or goal is met, production continues. If not, adjustments can be made to the process or to the standard.

An example of feedback control is when a sales goal is set, the sales team works to reach that goal for three months, and at the end of the three-month period, managers review the results and determine whether the sales goal was achieved. As part of the process, managers may also implement changes if the goal is not achieved. Three months after the changes are implemented, managers will review the new results to see whether the goal was achieved.

The disadvantage of feedback control is that modifications can be made only after a process has already been completed or an action has taken place. A situation may have ended before managers are aware of any issues. Therefore, feedback control is more suited for processes, behaviors, or events that are repeated over time, rather than those that are not repeated.

Proactive control

Proactive control, also known as preliminary, preventive, or feed-forward control, involves anticipating trouble, rather than waiting for a poor outcome and reacting afterward. It is about prevention or intervention. An example of proactive control is when an engineer performs tests on the braking system of a prototype vehicle before the vehicle design is moved on to be mass produced.

Proactive control looks forward to problems that could reasonably occur and devises methods to prevent the problems. It cannot control unforeseen and unlikely incidents, such as “acts of God.”

Concurrent control

With concurrent control, monitoring takes place during the process or activity. Concurrent control may be based on standards, rules, codes, and policies.

One example of concurrent control is fleet tracking. Fleet tracking by GPS allows managers to monitor company vehicles. Managers can determine when vehicles reach their destinations and the speed in which they move between destinations. Managers are able to plan more efficient routes and alert drivers to change routes to avoid heavy traffic. It also discourages employees from running personal errands during work hours.

In another example, Keen Media tries to reduce employee inefficiency by monitoring Internet activity. In accordance with company policy, employees keep a digital record of their activities during the workday. IT staff can also access employee computers to determine how much time is being spent on the Internet to conduct personal business and “surf the Web.”

The following diagram shows the control process. Note that the production process is central, and the control process surrounds it.

The control process

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• The Control Process. Authored by : Talia Lambarki and Lumen Learning. License : CC BY: Attribution
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Safety Hierarchy of Controls: A Brief Overview

The safety hierarchy of controls is a workplace safety guide developed by The National Institute for Occupational Safety and Health (NIOSH). The guide provides a five-step process to help safety professionals reduce the risk of harm to workers.

These five steps include:

Elimination

Substitution, engineering control, administrative control, personal protective equipment (ppe).

When applied, they can provide a robust safety methodology applicable to any workplace environment. However, implementation starts by first understanding what a hazard is and how it applies to the workplace.

What is a workplace hazard?

A hazard is something that can potentially cause harm. Although the terms hazard and risk are used interchangeably, they are not the same. A risk is the degree of possibility that harm can occur. As such, different hazards have different risk profiles. That is, each hazard has a different degree of possibly causing harm. Defining workplace hazards is the first step to mitigating the risk of harm. A health and safety hierarchy of risk control is useful in both defining hazards and mitigating them.

Steps to Implement the Safety Hierarchy of Controls

Health and safety hierarchy of controls are organized in a step format – starting from the most effective (elimination) to the least effective (PPE). Each step cascades to the next, allowing the application of safety measures based on the viability of each step.

NIOSH considers elimination as the most effective way to prevent harm. If a hazard is eliminated from a workplace, it cannot cause harm. While effective, elimination is also the most difficult to implement because, in many cases, it is impossible to separate work from hazards.

Implementation

The simplest way to implement the elimination safety control step is to identify workplace hazards and remove them. Elimination does not only mean removal from your business premises. It can also mean isolating hazards from workers, so workers have no contact with the hazards.

If removing a hazard is not an option, substitution may be a possibility. In this step, NIOSH recommends finding safer alternatives to existing hazards. For example, safe cutting tools in place of dangerously sharp blades lowers the risk on a cutting activity. Alternatives could also mean substituting dangerous materials for safer ones or substituting dangerous work practices for safer ones. Substitution helps to strike compromises in cases where elimination is not an option.

Implementing substitution safety controls involves identifying hazards that cannot be eliminated but are replaceable with a safer alternative. For example, if workers interact with dangerous chemicals, you can substitute this hazard through machine automation or the use of safer chemicals.

Engineering controls use engineered measures to isolate hazards. In cases where elimination and substitution are not possible, a company can choose to build structures like barriers to separate hazards from workers. Engineering controls function as stopgap measures, offering short-term benefits for a long-term problem. But sometimes, they’re the best you can do.

Implementing engineering controls involves building some form of protective structure. It can be a barrier, a safety ladder, or a vent hood. The primary function of the structure is to separate workers from the hazard. Since the hazard is not eliminated or substituted, it still poses a risk even with engineering safety controls in place.

Administrative controls shift focus from the hazard to managing the human element involved in risk. For any hazard to cause harm, a worker must complete an action. The method of completion determines the level of risk the worker faces from the hazard. Administrative safety control puts measures in place that ensure that all actions taken focus on reducing risk. Implementation

Training and awareness are the focus of administrative safety controls. Ensuring workers understand hazards and associated risks is an essential step in enforcing workplace safety. Training may include safety training or technical training, with the latter intended to minimize operation-based mistakes.

PPE can be considered the last line of measures in a hierarchy of controls in occupational health and safety. This step intends to protect workers in scenarios where a company has not or cannot implement the other steps fully. PPE includes safety apparel and equipment like dust masks, coveralls, gloves, HAZMAT suits, and others.

PPE implementation means providing safety gear and equipment optimized for existing hazards. If workers work in a lab, for example, full-body suits can protect from lab hazards . PPE is considered the least effective safety step because safety gear and equipment can fail, leaving the worker fully exposed to the hazard.

Realizing Prevention through Design (PtD)

As the saying goes, an ounce of prevention is worth a pound of cure. PtD is a NIOSH initiative pushing for design-level safety measures. Such measures prevent or “design out” hazards before work begins. When applied successfully, PtD removes the need to apply any of the safety controls above. However, this only applies to new operations which are still in the design phase. For existing operations, the safety hierarchy of controls remains the best framework for preventing workplace harm.

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The Control Function of Management

After strategies are set and plans are made, management’s primary task is to ensure that these plans are carried out.

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After strategies are set and plans are made, management’s primary task is to take steps to ensure that these plans are carried out, or, if conditions warrant, that the plans are modified. This is the critical control function of management. And since management involves directing the activities of others, a major part of the control function is making sure other people do what should be done.

The management literature is filled with advice on how to achieve better control. This advice usually includes a description of some type of measurement and feedback process:

• The basic control process, wherever it is found and whatever it is found and whatever it controls, involves three steps: (1) establishing standards. (2) measuring performance against these standards. and (3) correcting deviations from standards and plans. 1
• A good management control system stimulates action by spotting the significant variations from the original plan and highlighting them for the people who can set things right . 2
• Controls need to focus on results. 3

This focus on measurement and feedback, however, can be seriously misleading. In many circumstances, a control system built around measurement and feedback is not feasible. And even when feasibility is not a limitation, use of a feedback-oriented control system is often an inferior solution. Yet, good controls can be established and maintained using other techniques.

What is needed is a broader perspective on control as a management function: this article addresses such a perspective. The first part summarizes the general control problem by discussing the underlying reasons for implementing controls and by describing what can realistically be achieved. In the second part, the various types of controls available are identified. The last part discusses why the appropriate choice of controls is and should be different in different settings.

Why Are Controls Needed?

If all personnel always did what was best for the organization, control — and even management — would not be needed. But, obviously individuals are sometimes unable or unwilling to act in the organization’s best interest, and a set of controls must be implemented to guard against undesirable behavior and to encourage desirable actions.

One important class of problems against which control systems guard may be called personal limitations. People do not always understand what is expected of them nor how they can best perform their jobs, as they may lack some requisite ability, training, or information.

About the Author

Kenneth A. Merchant is Assistant Professor of Business Administration at Harvard University. Dr. Merchant holds the B.A. degree from Union College, the M.B.A. degree from Columbia University, and the Ph.D. degree from the University of California, Berkeley. His main interests lie in the areas of accounting, information systems, and planning and control. Dr. Merchant has published articles for such journals as The Accounting Review and Accounting, Organizations, and Society.

1. See H. Koontz, C. O'Donnell, and H. Weihrich. Management, 7th ed. (New York: McGraw-Hill, 1980). p. 722.

2. See W. D. Brinckloe and M. T. Coughlin, Managing Organizations (Encino, CA: Glencoe Press. 1977). p. 298.

3. See P. F. Drucker. Management: Tasks, Responsibilities, Practices (New York: Harper & Row. 1974). p. 497.

4. A recent summary of many of the findings in this area (illustrating such cognitive limitations as conservative revision of prior subjective probabilities when new information is provided. and the use of simplifying decision-making heuristics when faced with complex problems) is provided by W. F. Wright, “Cognitive Information Processing Biases: Implications for Producers and Users of Financial Information,” Decision Sciences (April 1980): 284–298.

5. A similar scheme is presented in W. G. Ouchi, “A Conceptual Framework for the Design of Organizational Control Mechanisms,” Management Science (September 1979): 833–848.

6. See H. Klein, “At Harley-Davidson, Life without AMF Is Upbeat but Full of Financial Problems,” Wall Street Journal . 13 April 1982, p. 37.

7. See N. Babchukand W. J. Goode. “Work Incentives in a Self-Determined Group,” American Sociological Review (1951): 679–687.

8. For a summary of criticisms of return-an-investment (ROI) measures of performance, see J. Dearden, “The Case against ROI Control,” Harvard Business Review , May–June 1969, pp. 124–135.

9. See D. Mitchell. Control without Bureaucracy (London: McGraw-Hill Book Company Limited, 1979), p. 6.

Acknowledgments

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Table of Contents

What is a six sigma control plan, what is the purpose of a six sigma control plan, why use a control plan, what goes on a typical control plan, all right, sounds good anything i should keep in mind before devising a control plan, how do i devise, prepare, and maintain a control plan, control plan to build a backyard treehouse, six sigma control plan - needs and strategies.

Six Sigma methodologies are famed for their logical, data-driven approach to problem resolution. But what truly sets them apart from other quality paradigms is their versatility and applicability in contexts that fall well outside the purview of manufacturing, where they had their conception.

Read more: What Is Six Sigma Certification: Levels and Reasons to Get Certified ? Find out how to use one of the most commonly used and effective tools from the Six Sigma arsenal: a Control Plan. Pro-tip: Did you know the principles of Six Sigma can successfully be applied to turn your life around? Learn how it can enhance your productivity .

In the world of quality management, a control plan is a written summary of the process that lays out in detail the steps to be taken to maintain a process or a device operating at the current level of performance. Control plans include a description of each step in the process and the parameters that need to be kept in check to ensure there are no excessive deviations from mean performance or variation in a batch of products. Control Plans are extensively utilized by Six Sigma professionals  and are an integral part of the Six Sigma set of methodologies. 

According to the American Society For Quality (ASQ), ‘the purpose of the control plan is to ensure that performance improvements made by the project team are sustained over time.’ The plan is created during the improve phase of the define, measure, analyze, improve, control (DMAIC) approach or a similar phase of other methodologies. In essence, a Control Plan would present a summary of all the information relevant to a given project so that the quality specialist is able to ascertain if the project is on track and, in case of deviations, delays, and wasteful overheads, is able to take corrective action. As such, the Control Plan is kept updated to reflect any changes to the process, including (but not limited to):

• A tweak or change to a step in the process
• Addition or removal of a step in the process
• Changes to human resources and training requirements
• Addition or removal of equipment utilized in the process
• Changes to capital and funding inflows and outflows

The Control Plan template is devised at the beginning of the project and is prepared after consultation with or with participation from all the stakeholders involved in a given project, beginning with the process or product owner.

A Control Plan provides a single point of reference for understanding process characteristics, specifications, and standard operating procedures -also known as SOP- for the process. A CP allows for the assignment of responsibility and allocation of accountability for each activity within the process. This ensures that the process is executed smoothly and is sustainable in the long run.

A well-devised control plan helps the business avoid negative business impacts from flaws and process deterioration, and helps the process and product owners track and correct the performance of the KPIVs and KPOVs (Key Performance Input and Output Variables).

A Control Plan may include as many or as few items as is appropriate to the scope of the process or project under consideration. Typical items on a Control Plan include:

• Process Flowchart : Many Control Plans include a visual representation of the process workflow with decision-making stages highlighted. This serves as a broad, high-level overview of the process for easy and quick reference at any stage, and by any stakeholder.
• The CTQs : the CTQs (or critical-to-quality trees) are the key quantifiable and measurable characteristics of a product or process whose performance standards or specification limits must be met in order to satisfy the customer. This helps aligns design specifications with customer requirements.
• Process Step: This column includes the name or label of the step in the process. E.g. a polishing operation using lathes in a backyard garage may choose to include tool preparation, rough polishing, fine polishing, and delivery as the various steps involved in the entire process.
• Specification Characteristic : For a CTQ to be quantified, a particular characteristic of the product is to be identified for measurement: this column is used to record the characteristic of a specification. E.g. the diameter of the shaft to be polished.
• Specifications: This item may be used to record the numerical values of the specifications themselves, together with the unit of measurement. E.g. Internal diameter: 4mm; external diameter: 7.5mm
• Measurement Method : This column may be used to document the method that was used to specify the measurement. E.g. Vernier calipers.
• Sample Size : Indicates the size of the sample chosen for measurement.
• Frequency Of Measurement : Indicative of the frequency with which samples are chosen for measurement. E.g. Hourly, daily, etc.
• Corrective Action : Any corrective actions taken during that particular step in the process is documented and recorded, for future reference.
• Standards : For manufacturing operations and control plans utilized in businesses, the quality standard adhered to and the SOP (Standard Operating Procedure) guidelines followed may also be recorded.
• Additional Documentation : This may include such fields as the person taking the measurement, the date, place, and time at which the recording was made, revision number and version control, location, and so forth.

Because of their criticality to decision-making, Control Plans need to be prepared after due deliberation and careful assessment of the project\product status from every conceivable angle. According to Forrest Breyfogle III, quality expert, and CEO of Smarter Solutions Inc., every successful Control Plan has a set of seven attributes that need to be considered before the project is initiated:

• Measurements And Specifications : The Control Plan should have been designed after careful analysis of gaps between customer or stakeholder perceptions and expectations. This ensures the final product or service is in line with the specifications of the end-user or customer.
• Input And Output: Determining the various IO parameters and the stages at which they enter\exit the Control Process is important to ensure free, unhampered flow of controlling information that is crucial to keeping the entire project on track.
• Process Design And Execution : The control plan is built around the central process, and determining appropriate standards for a given process and setting associated performance criteria is the first step in creating a Control Plan.
• Frequency Of Reporting And Sampling Methodology : Establishing a schedule for reporting and sampling ensures a suitable buffer time to take timely corrective action is in place. Periodic reviews facilitate tighter control and monitoring.
• Recording : Documentation of information at every stage of the project is important to allow for better assessment, planning, testing, and implementation. Plan sheets are used to record and store information for a given product or process.
• Corrective Actions : A framework to implement suitable corrective actions is a must-have on any Control Plan.
• Process Owner Identification And Documentation: Process owners are the person(s) or groups of persons who are responsible for and possess the requisite authority to make changes to a process midway through a project. Identification of Process Owners early on is important to establish accountability and ownership.

The American Society for Quality suggests a step-by-step approach to devising a high-quality Control Plan.

In sum: a good control plan clearly describes what actions to take, when to take them, and who should take them. It provides a clearly documented approach to be followed in case of variations, thereby precluding the firefighting syndrome setting in. For more insightful articles on Six Sigma, feel free to visit the Quality Management aisle in our Online Library of Free Resources. You can also take up our Six Sigma Green Belt training course to begin your Quality Management career. 

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Everything You Need to Know About Implementing Project Controls

By Kate Eby | September 27, 2021

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One way to increase the likelihood of a project’s success is to implement project controls, which should be informed by real-time data analysis. Controlling performance is the key to completing a project on time and within budget. 

Included on this page, you’ll find a discussion of project control methods and components , along with expert-tested best practices . Plus, we’ll walk you through creating a project control plan .

What Are Project Controls?

Project controls are processes that minimize the performance gap between planning and execution. While project controls often refer specifically to the monitoring and controlling stage of the project lifecycle, they are important from initiation to closure. Project control specialists use project controls to mitigate risk and solve problems in order to keep a project on time and budget.

What Are Project Control Processes?

Project control processes help ensure that performance meets standards. Control processes are data-driven, efficient, and highly visible. Project managers must first identify a performance problem, and then determine what caused it and how to fix it. 

Instituting project controls involves a four-stage process:

• Establish performance standards to create a baseline.
• Measure performance through data collection.
• Compare performance to the baseline to identify deviations and determine their causes through data analysis.
• Correct the performance deviation to keep the project on time and on budget.

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Importance of Project Controls

Project controls are vital to a project’s success. They help maintain scope, schedule, cost, and quality to minimize the waste of resources such as time and money. Project controls help the team make the best decisions to complete a project successfully.

Project Control Cycle

The project control cycle puts project controls into action. Follow each step and repeat the cycle in order to anticipate and fix deviations from the plan.

• Create a baseline plan for project performance and progress.
• Collect and measure progress data against the baseline.
• Analyze and compare actual progress and performance to the baseline.
• Identify and determine the causes of variations in performance from the baseline.
• Correct the deviation and repeat steps 2 through 5.

Project Control Methods

Project control methods should be precise and data-driven. A project manager needs to understand the problem, what caused it, and how to fix it to save time and money. Specific project controls perform particular functions. 

• Project Charter: Successful projects begin with an all-encompassing overview, which you can provide by creating a project charter. A detailed project charter should list the critical components with precision and clarity.
• Responsible, Accountable, Consulted, Informed (RACI) Matrix: A RACI matrix defines project team members’ association according to their task assignments. Read our RACI guide to learn more about each association role and the value of a RACI matrix.
• Work Breakdown Structure (WBS): A WBS begins with a project outcome. Then, the structure breaks down the outcome into smaller deliverables and identifies the tasks necessary to deliver them.
• Critical Path Method: The critical path method helps you identify essential tasks of a project in terms of time. This six-step method divides a project into work tasks and calculates the time it will take to complete each task.
• Project Milestones: A project milestone is a specific point in the project lifecycle that marks important dates, such as the start, end, and review, and deliverable due dates. Find the best milestone template for your project in its working format in order to help your team achieve those milestones.

Components of Project Controls

Project control components inform project managers and teams to make better decisions and stay on task. Controlling these components puts an organization’s resources to best use in achieving project outcomes.

• Scheduling: Project control components begin with a project schedule that lists tasks and assignments, as well as the time required to complete them. A Gantt chart illustrates tasks and important dates along a project’s timeline and schedule.
• Costs: A cost management plan optimizes project resources in financial terms, which makes it a vital project control component. In this component, you estimate costs and anticipate financial risk in order to keep a project on budget.
• Risk: Project controls identify and mitigate risk for a project. Risk threatens projects and organizations, so it’s critical to have a risk management plan that identifies risks and predicts outcomes .
• Performance: Project controls work best during the monitoring performance phase, as they serve to identify baseline deviations, and then correct them. When you consider the primary function of project controls, this component immediately comes to mind.
• Communication: Project controls evaluate and report project status throughout the project lifecycle, so it’s vital to maintain clear and consistent communication with the project manager. Status reporting keeps the project team on task and provides stakeholders with valuable information.

How to Create a Project Control Plan

An effective project control plan establishes a baseline for the project controller to follow, and provides the clarity, consistency, and flexibility needed for successful project execution. Project controllers follow these steps to create a project control plan:

• Strategize a Plan with a Specific Project Controls Approach in Mind: Not all projects are alike, so create controls that are particular to the project. A project change control plan template documents everything needed in a change request. 
• Create an Editable Project Control Plan: Flexibility and adaptability are essential qualities for resolving issues and keeping a project on track. You can use a change control template to identify the change, explain why it is necessary, and estimate the time and money required to complete it.
• Customize Task Schedules and Workflows to Ensure the Controls Cover Everything During the Project Lifecycle: It costs time and money when you miss and fail to fix a problem. A change control plan identifies the controller requesting the change and catalogs it with an identification number.
• List Specific Guidelines for Project Control Duties and Tasks: Controls must be consistent from project initiation through closure. The control form lists change evaluation, approval, and execution dates for consistency throughout the project lifecycle.

Download Project Change Report Template

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Use this customizable template as a guide for creating a project change control document to detail the what, why, and who of a change request. This template also provides space to add brief summaries of evaluation, approval, and implementation. Add the impact and work required, along with approval status and signatures. 

See more of our project templates in “ The Ultimate Guide to Project Cost Management with Templates .”

How to Implement Project Controls

You should implement project controls at the project’s start, and they should be in place before forecasting begins. At this point, performance standards are already in place, so project controllers and control specialists implement controls when actual performance deviates from the baseline.

To do so, follow the below steps: 

• Identify the issue. 
• Draft an issue log. 
• Assess the issue’s impact on cost and schedule.
• Determine how to resolve the issue.
• Correct the issue by implementing the solution.
• Monitor the solution to determine its effectiveness. 

Project Control Department Functions

Project control departments advise project managers and keep project stakeholders informed to help them make the best decisions. Control departments operate externally and remotely to perform the following basic functions:

• Meet and assign control tasks to department members who specialize in them.
• Monitor project performance to identify problems.
• Create solutions to fix the problems and minimize risk.
• Report to and advise the project manager.

Best Practices for Project Controls

Skillfully administered project controls increase the likelihood of project success. Use the following project control best practices to optimize project team performance and project outcome:

• Tailor and contextualize project controls to the specific industry, project management style, or situation to save time and money. There is no one-size-fits-all approach when it comes to project controls.
• Be proactive. Project controls are more effective sooner than later. Reworking grows exponentially in terms of time and expense the further along a project is.
• Use key performance indicators (KPIs) to optimize team performance for specific tasks. Designing or finding the right KPI dashboard makes the difference.
• Implement project controls that promote accountability and empowerment in the project team.

Benefits of Project Controls

Project controls collect and analyze data, and help keep projects on task and schedule. Because controlled projects achieve their outcomes on time and within budget, project controls have many benefits, including these noted by two experts:

Elizabeth Harrin , an experienced project manager, author, and mentor, describes the benefits of project controls: “Project control data is essential for communication, forming the basis of standard and exception reporting to help stakeholders feel confident that the project team is performing well. Controls help the team recognize trends that may cause issues and keep the project moving forward in the right way, meeting agreed-upon commitments.”

Alan Zucker is the founder of Project Management Essentials, LLC and has more than 25 years of project leadership and management experience. He lists the benefits of project controls at specific parts of the project lifecycle: “Project controls at the front end of a project promote sticking to the objectives, avoiding redundancy or conflicting controls. During the lifecycle, controls identify problems, allowing for course corrections to determine feasibility. Back-end controls ensure the final project meets expectations, quality standards, and the specific needs of customers.”

Project controls deliver real-time status reporting for accuracy and transparency, and they boost confidence in the organization. Controls improve job satisfaction in the project team and provide benchmarks for future projects.

Challenges of Project Controls

With excellent implementation, monitoring, and analysis, project controls deliver. That said, it’s important to have an awareness of some common pitfalls in order to avoid them. 

Elizabeth Harrin shares her expertise and experience with project control challenges: “The main challenge of project controls is that it’s not an exciting part of project work. Stakeholders may not value gathering data and producing project reports.” Additional challenges occur when “project teams do not have the tools or internal support to do the best possible job controlling the project. Team members aren’t always able to interpret the data effectively. Transparent and straightforward is what’s needed, but projects are complicated, and often it’s not as easy as saying, ‘We’re 72 percent complete’. “

Alan Zucker offers this significant project controls challenge: “Highly controlled projects can hinder the process. Adequate project controls must meet the moment, and a good controls framework requires the proper project controls.”

Project control challenges can turn a project upside down, causing delays and cost overruns. Scope creep occurs when project deliverables and size increase due to unexpected problems. Identifying and understanding the causes of scope creep can help you get a project back on track and avoid the issue in future projects. 

A change management plan and a risk register can help project teams tackle control challenges head-on. Projects with a change management structure in place control and adapt to change more successfully. A risk register evaluates risks and prioritizes the most problematic ones in need of mitigation.

What Is the Difference Between Project Control and Project Planning?

Project planning directs the project team’s work to complete the project and achieve the desired outcome, whereas project controls use data analysis to monitor performance and keep project teamwork on task, as guided by the project plan.

For more information, read our comprehensive guide to project planning .

Project Control vs. Project Management

Project management oversees the processes, resources, and teamwork needed to complete a project successfully. Project control helps to inform project management by reporting on project status and performance.

To learn more, visit our comprehensive guide to project management .

The Difference Between a Project Controller and a Project Manager

A project controller monitors a project’s status by collecting and analyzing data to solve problems or anticipate them. Project controllers use data science to advise project managers and help them make informed decisions. 

Project managers meet with stakeholders and plan the whole project. They direct the project team’s work, and they are ultimately responsible for seeing the project through on time and budget.

Sometimes, a project manager may assume the duties of a project controller. Project control specialists and departments often take on project controller duties because the time and money dedicated to projects demand it.

Discover how to demystify the five phases of project management .

Project Control Software

Project control software is essential to project success because they require you to continually gather and analyze data. A vital tool, control software provides constant attention to projects, performing real-time automated tasks and using algorithms for forecasting.

Strong project control software features planning, budgeting, and forecasting tools that minimize risk and improve performance. Control software tracks progress and forecasts outcomes with greater accuracy, saving time and money.

Get the Most Out of Project Controls with Smartsheet for Project Management

From simple task management and project planning to complex resource and portfolio management, Smartsheet helps you improve collaboration and increase work velocity -- empowering you to get more done. 

The Smartsheet platform makes it easy to plan, capture, manage, and report on work from anywhere, helping your team be more effective and get more done. Report on key metrics and get real-time visibility into work as it happens with roll-up reports, dashboards, and automated workflows built to keep your team connected and informed.

When teams have clarity into the work getting done, there’s no telling how much more they can accomplish in the same amount of time. Try Smartsheet for free, today.

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What Is a Work Plan? How to Make a Work Plan In 7 Steps

Before you can accomplish your project goals, you need to plan how to reach them. A work plan creates a clear path project teams can follow to reach their desired goals and objectives. Along that path will be resources, constraints and other work management elements that need to be described in your work plan.

What Is a Work Plan?

As its name suggests, a work plan is an action plan that helps project teams achieve their goals. Work plans factor in key project planning elements such as tasks, milestones, deliverables, resources, budgetary requirements and a timeline to weave it all together.

The work plan won’t be written and initiated by a single person and it should be submitted to board members and stakeholders for approval. Once approved, you can continue building out the rest of your work plan.

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Use this free Work Plan Template for Word to manage your projects better.

Why Do You Need a Work Plan?

As we mentioned, your work plan acts as your roadmap for the entire project execution. Not only will it keep you and your team organized, but it’ll ensure that you get buy-in from key stakeholders, related departments, relevant accountability/risk leaders and more.

Additionally, it helps manage expectations on both the stakeholder level as well as on the managerial and team member level—everyone that starts off on the right foot has a better chance of landing on the right foot, too.

Work plans guide project teams in a similar way project plans do. However, there’s a big difference between these two important project management documents .

Work Plan vs. Project Plan

Work plans are not as comprehensive as project plans , which have a wider scope and involve more components. The main difference between them is that project plans are created from a high-level view and address every aspect of project management. On the other hand, work plans focus on helping project teams achieve smaller objectives.

If you build your work plan in project management software like ProjectManager , then it’s easy to continue to iterate on your plan and make improvements over time. You can use robust project planning tools such as Gantt charts, kanban boards, project dashboards and much more. Get started today for free.

How to Make a Work Plan in 7 Steps

While work plans might take many forms, here are some simple work planning steps you can follow to make one.

1. Set Goals & Objectives

Before anything, it’s important to write down the goals and objectives that’ll be achieved through your work plan. These will describe the purpose of your plan. It’s important to use SMART goals : create goals that are specific, measurable, achievable, relevant and time-related. This should help you start your plan off on the right foot.

Your goals might sound like your purpose, but they’re more specific in that they’re more long-term oriented — i.e., your team learned more about the process of launching a bug fix or how to respond more directly to customer or market feedback.

Similarly, your project objectives should be measurable. For example, the objective of this project after launch is to create an increase of xx% of active monthly subscribers, or a certain dollar amount in revenue generated.

2. Define the Scope of Your Work Plan

Once you’ve identified your work plan goals, you should use a work breakdown structure (WBS) to identify all the tasks that must be executed to achieve them, which is your project scope. By breaking down your project scope, you can start assembling a team, estimating costs, creating a budget and drafting a project schedule.

3. Estimate What Resources Are Needed

When you break down your project scope using a WBS, you can better estimate what resources are needed for each task in your work plan. Make sure to include different types of project resources, such as human resources, raw materials, machinery, subcontractors or anything else that you might need for the execution of your work plan.

4. Assign Roles & Responsibilities

Now, assemble a project team and clearly define the roles and responsibilities of each member. Communicate with them and make sure they understand what their job is and how they can collaborate with each other.

5. Estimate Costs & Create a Budget

Once you have a clear idea of what resources are needed for your work plan, it’s time to estimate their costs and create a budget . To do so, simply establish a measurement unit for your labor, materials and other resources to then assign a price to them.

6. Create a Project Schedule

There are different tools and techniques you can use to create a project schedule for your work plan. In fact, most project managers use Gantt charts, project calendars, kanban boards

7. List Any Risks, Constraints and Assumptions

Remember that your work plan is the action plan that’ll guide your project, so the more details you have about constraints and potential risks, the better your team will perform their tasks to produce deliverables and achieve the goals and objectives.

Maybe some of your team members take a few sick days during this period of time; maybe unexpected tasks have to be executed; maybe some of your tools crash that requires more money pulled from the budget. Whatever your project constraints may be, factor in anything that might feel like a risk that can lead to a full-blown constraint, which may affect the completion of deliverables or even the goals and objectives of your project.

Free Work Plan Template

Our work plan template can help you document the steps explained above. Be sure to constantly monitor your template and update it as changes occur in your planning process. Or, if you’re looking for more dynamic project planning tools, you can use Gantt charts.

A work plan template can help you organize your thoughts, but in order to create your action plan and execute it, you’ll need dynamic project management software to help you throughout the planning, execution and monitoring phases.

Work Plan Example

Here’s a basic example to better illustrate how a work plan works. Let’s imagine you’re a business owner who wants to increase your production output by 25 percent by acquiring new machinery and hiring more production employees. While this project doesn’t involve producing tangible deliverables , you’ll still need a work plan.

Goals & Objectives It’s important to define one primary goal and then some smaller, more specific objectives needed for the completion of that goal.

Main Work Plan Goal Increase production output by 25 percent.

Work Plan Objectives

• Improve the company’s production capacity by acquiring new machinery
• Fill skill gaps in the production planning team
• Make sure machinery is well-maintained

Scope of the Work Plan Now, you should list individual activities that must be completed in order to achieve your goal and objectives. Here’s a simple breakdown of activities.

• Inspect the production line
• Perform preventive maintenance
• Optimize plant layout
• Acquire new machinery
• Assess the current team
• Hire new personnel

Resources/Roles & Responsibilities In this case, you’ll need a production manager, HR manager and maintenance team. They’re responsible for executing the tasks listed above.

Work Plan Budget Your budget should cover both the labor costs as well as the cost of the new equipment. Your labor costs will be the salaries of the production manager, HR manager and maintenance team. Make sure you estimate your project costs accurately before creating a budget.

Work Plan Schedule Define a timeframe for the analysis of your production line, the procurement of new machinery, preventive maintenance and hiring.

Risk, Assumptions & Constraints Think about any risks, assumptions or constraints that might affect your work plan. The best place to start is the triple constraint of time, budget and resources.

Creating a Work Plan With Project Management Software

To learn more about how project management tools such as Gantt charts , kanban boards and project dashboards can help you make the perfect work plan, watch the short video below. We’ll quickly show you all the ways that project planning software can improve your planning, execution and reporting—so you can make that work plan with confidence.

ProjectManager Can Help You With Your Work Plan

Getting every detail of a work plan sorted is no easy task—from managing your team to managing your stakeholders. It requires a delicate balance of understanding your project timeline, the tasks that make up the project scope, potential risks , balancing a budget and allocating resources. Not to mention, you’ll have to do this while keeping the customers’ ultimate needs and the project goals and objectives in mind.

With ProjectManager , our online Gantt charts let you schedule your entire project timeline, assign tasks, create dependencies and oversee tracking. Additionally, we have team collaboration features that allow your staff and managers to comment on tasks, attach necessary files, and interact with each other no matter where they’re located.

ProjectManager also features resource management tools that let you balance the hours worked across your team. This helps ensure that your time, tools and resources are balanced no matter what.

Related Work Management Content

• What Is Work Management? Creating a Work Management System
• Best Work Management Software of 2024 for Remote Teams
• What is a Statement of Work? Definition & Examples
• Work Breakdown Structure (WBS)

Creating a work plan and don’t know where to start? We’ve got you covered. With ProjectManager , you’ll get access to online software that helps you to better track your work plan from milestone to milestone. Start your free 30-day trial with ProjectManager  today.

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• Responding to Risk

Designing Internal Controls

• Segregation of Duties
• Proper Authorization
• Documentation
• Reconciliation
• Account and Object Code Monitoring
• Training and Templates
• About the COSO Framework

Before designing an internal control plan, you should understand the basic types of internal controls and how they are intended to function. When deciding on the types of controls to implement, consider the unit's objectives and business goals and the associated risks and materiality . All controls require the appropriate training, communication, and oversight by unit management to ensure they are being implemented appropriately and operating consistently.

Frequency of Controls

Depending on the underlying processes or functions, associated risks, and desired control objectives, control activities may be designed to operate at varying frequencies: recurring, daily, weekly, monthly, quarterly, annually, or as-needed (ad hoc). You may need more frequent controls for higher risk processes or functions.

Primary Types of Control Activities

Depending on when they are intended to function, there are two basic types of internal control activities: preventative and detective. An optimal system of internal controls will have both.

Preventative Controls

Preventative controls protect the university by helping to identify and address problems before they happen. 

• Segregation of duties
• Authorization requirements to prevent improper use of university resources
• Enforcement of clear recordkeeping and documentation procedures
• Protections for passwords and other information
• Physical control over assets

Detective Controls

Detective controls are designed to find errors or fraud in transactions after they have occurred, as well as identify missing assets or invalid transactions. Properly designed and operating detective controls will also help determine if preventative controls are functioning properly.

An important detective control is reconciliation , which compares two sets of data to one another, and identifies/investigates differences.

Other detective control examples include:  

• Reviewing procurement card statements for appropriateness, allowability, and proper allocation.
• Conducting post-transaction reviews on such things as exception reports as well as conducting analytical reviews, routine budget-to-actual reviews, and key metrics monitoring.
• Reviewing transactions after the fact for reasonableness and proper approvals.
• Conducting physical asset counts.

When controls find errors or improper activities, unit management must take sufficient remedial actions, including root-cause analysis and error correction, and implement necessary corrective measures to prevent such issues from recurring.

Other Types of Controls

You should also consider including these important characteristics of internal controls when designing controls to implement in unit-level internal control plans:

Manual vs. Automated Controls

Depending on the control objective, available data and resources (e.g., software), and other factors, controls may be manual or automated.    

• Manual controls rely on human actions. For instance, a human must review and give approval for certain proposed transactions.
• Authentication measures are put in place to authorize access to a system or process a transaction.
• Edit functions can ensure data accuracy and completeness.
• Transaction matching can be automated to facilitate reconciliations between two sources or systems.
• Automated alerts can notify a user of activity based on pre-established parameters.
• Analytical routines can identify transactions that are outside of policy compliance. 

Compared to manual controls, automated controls are generally more consistent and efficient and may be built into software used for business processes; however, automated controls are dependent upon design/programming and limited to discrete control objectives. Manual controls allow for the use of judgment in performing control activities.

You can use a combination of manual and automated practices, as well. For instance, you can automate reconciliations with electronic transaction matching but require a manual investigation and resolution of unreconciled amounts and a manual review of the completed reconciliation following established protocols.

Transaction vs. Summary-Level Controls

Controls intended to function at the transaction or process level typically involve assessing discrete functions or transactions, while controls operating at a summary level evaluate an aggregation of transactions or functions.  Examples include the following:

• Transaction/process level: Reviewing travel expense reimbursements, reviewing procurement card transactions, and accompanying receipts, or approving an individual’s access to an IT system.
• Summary level: Comparing budget to actual spending at the account or object code levels or reviewing financial statements or reports for unusual or unexpected activity or fluctuations.

Centralized vs. Decentralized Controls

Certain control activities take place in centralized functions (e.g., Accounting, Sponsored Financial Services), while others occur in distributed ( decentralized ) units (e.g., department or business service center transaction reviews and approvals). To ensure that identified risks are addressed, you must understand where a given control takes place. For example, business service centers and the units they support must maintain service-level agreements that detail key responsibilities for financial controls between the unit and the service center.

Internal controls should be documented sufficiently to demonstrate that controls are in place and functioning as intended (e.g. enable auditors to test performance of the control).

Third-Party Risk Management/Controls

External vendors are a vital component of various business operations. Suppliers may have access to a wide range of information (including financial) from the supported unit. Once shared with a supplier using cloud-based software, data storage, or other outsourced services; direct control of this information is lost, regardless of sensitivity or value. As a result, appropriate technical and contractual considerations must be made, and mitigating control processes must be established with all external suppliers that have access to a unit’s financial information. Examples of such processes include:

• Ensure the existence of a data sharing agreement that clearly defines roles and responsibilities; particularly with respect to data security, data backup and disaster recovery, and the return of data in the event of contract termination. 
• Monitor and continually assess provider performance and compliance. Where available, request from the supplier and evaluate a copy of the annual Service and Organization Controls (SOC) Report, where available. This is an independent report on the design and effectiveness of the controls the supplier has in place that are relevant to the unit’s internal control over financial reporting and data security. 
• When reviewing the SOC Report, it is important to note any control deficiencies identified and determine how the unit’s internal control environment is impacted. In addition, it is important to review the “User Control Considerations” section, which details the internal control processes that are expected to be in place at the unit level to allow for the supplier’s control environment to function appropriately.

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Control methods - What exactly are 'control methods' in a Control Plan

• Thread starter Quality Man
• Start date Jan 23, 2005

Quality Man

• Jan 23, 2005

I am currently developing a control plan and am getting confused as to what exactly are control methods. Are they items such as operator log sheets, first off sheets, etc.... or are they more likely to be such items as work instructions/procedures ?Thanks  

Fully vaccinated are you?

A work instruction could be. Another example would be a dimensional check every <insert time period>. Basically a control method is what you do to lower the risk of an 'event' occurring and/or becoming an escape point for a given potential 'failure'. The control plan is comprised of customer / internal critical characteristics as a minimum. Just ask yourself what you do to keep something from happening and identifying it if it does occur. If you want to give an example characteristic, maybe we can comment on potential controls.  

Prophet of Profit

Quality Man said: I am currently developing a control plan and am getting confused as to what exactly are control methods. Are they items such as operator log sheets, first off sheets, etc.... or are they more likely to be such items as work instructions/procedures ?Thanks Click to expand...

Thanks Thanks for the input from all. This was my first time visiting the site and I have found it to be a valuable tool. I'll visit frequently. Thanks again......  

• Mar 16, 2006

Quality Man said: Thanks for the input from all. This was my first time visiting the site and I have found it to be a valuable tool. I'll visit frequently. Thanks again...... Click to expand...

Bill Ryan - 2007

Marc said: Another example would be a dimensional check every <insert time period>. Click to expand...

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How to Develop a Control Plan According to IATF 16949

In order to implement IATF 16949 , the organization needs to develop Control Plans at the system, subsystem, component, and/or material levels for the relevant manufacturing site and all product supplied.

What is a Control Plan and when is it used?

A Control Plan is a written description of the system for controlling parts and processes. It provides a written summary description of the systems used in minimizing process and product variation. Sketches, as necessary, can be attached to the Control Plan for illustration purposes. However, it doesn’t replace information contained in detailed operator instructions.

In effect, the Control Plan describes the actions required at each phase of the process, including receiving, in-processes, out-going, and periodic requirements to ensure that all process outputs will be in a state of control. During regular production runs, the Control Plan provides the process monitoring and control methods that will be used to control characteristics. Because processes are expected to be continually improved and updated, the Control Plan reflects a strategy that is responsive to these changing process conditions. The Control Plan helps ensure that quality is maintained in a process in the event of employee turnover by establishing a standard for quality inspection and process monitoring.

The Control Plan is maintained and used throughout the product life cycle. Its purpose in the early stages of the product life cycle is to document the initial plan for process control. Subsequently, it guides manufacturing in how to control the process and ensure product quality. A single Control Plan may apply to a group or family of products that are produced by the same process at the same source.

Ultimately, the Control Plan should be a living document, reflecting the current methods of control, and the measurement system used. The Control Plan is updated as measurement system and control methods are evaluated and improved.

What does the standard require?

The standard requires the Control Plan to include the controls used for manufacturing process control, including verification of job setups, first off/last off part validation, methods for monitoring of control exercised over special characteristics, customer-required information (if any), and a specified reaction plan for when a nonconformity is detected or when the process becomes statistically unstable or not statistically capable.

In addition, Annex A of the standard defines requirements for the Control Plan in more detail. The Control Plan covers three distinct phases, as appropriate:

Prototype – a description of the dimensional measurements, material, and performance tests that will occur during building of the prototype. If the customer requires, the organization may develop a Control Plan for the prototype.

Pre-launch – a description of the dimensional measurements, material, and performance tests that will occur after prototype and before full production. Pre-launch is defined as a production phase in the process of product realization that may be required after the prototype is built.

Production – documentation of product and process characteristics, process controls, tests, and measurement system used during mass production.

And, finally, the standard requires the organization to review the Control Plan in cases when:

• the organization determines that it has shipped nonconforming product to the customer
• when any change occurs affecting the product or process
• after a customer complaint and implementation of associated corrective actions
• at a set frequency based on risk analysis

In some cases, the organization needs to get approval from the customer after review or revision of the Control Plan.

How to develop it?

Development of the Control Plan requires a multidisciplinary team and the utilization of all available information in order to get a better understanding of the process, such as:

• Process flow diagrams
• FMEA (for more information, see: What is FMEA, and how to apply it in IATF 16949 )
• Lessons learned from similar parts
• Team’s knowledge of the process
• Design reviews
• Optimization methods

Additionally, Annex A of the standard defines the minimum content of the Control Plan and the information required is divided into the following groups:

• General data
• Product control
• Process control
• Reaction plan

 Benefits of the Control Plan

The benefits of the Control Plan can be sorted into the following categories:

Quality – The Control Plan reduces waste and improves the quality of products during design, manufacturing, and assembly. This structured approach provides a thorough evaluation of the product and process. Control Plans identify process characteristics and help to identify their sources of variation (input variables), which cause variation in product characteristics (output variables).

Customer satisfaction – Control Plans focus resources on processes and products related to characteristics that are important to the customer. The proper allocation of resources on these major items helps to reduce costs without sacrificing quality.

Communication – As a living document, the Control Plan identifies and communicates changes in the product/process characteristics, control method, and characteristics measurement.

The Control Plan can be a very effective tool for reducing the amount of scrap generated by a process. It can be very useful at improving quality and helping contain any non-conforming product prior to it leaving the work cell. It is most effective when incorporated into a larger quality plan. The Control Plan is the same as any other tool, in that to get the most value – you must know how to use it properly.

Use this free IATF 16949:2016 Implementation Diagram to manage  IATF 16949:2016 Control Plan implementation.

IATF 16949:2016 Implementation Diagram

Free diagram that outlines the steps for your IATF 16949 implementation

Strahinja Stojanovic is certified as a lead auditor for the ISO 13485, ISO 9001, ISO 14001, and OHSAS 18001 standards by RABQSA. He participated in the implementation of these standards in more than 100 SMEs, through the creation of documentation and performing in-house training for maintaining management systems, internal audits, and management reviews.

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Elements of Control Plan

A control plan is a document describing the critical to quality characteristics, the critical Xs or Ys, of the part or process. Through this system of monitoring and control, customer requirements will be met and the product or process variation will be reduced. However, the control plan should not be a replacement for detailed operator instructions in the form of work instructions or standard operating procedures. Each part or process must have a control plan. A group of common parts using a common process can be covered by a single control plan.

Types of Control Plans:

For the automotive sector, lSO/TS 16949:2002 and the Advanced Product Quality Planning APQP (2000). The three control plan phases are:

A prototype control plan is used in the early development stages when the part or process is being defined or configured. This control plan will list the controls for the necessary dimensional measurements, types of materials, and required performance tests. A pre-launch control plan is used after the prototype phase is completed and before full production is approved. lt lists the controls for the necessary dimensional measurements, types of materials, and performance tests. This plan will have more frequent inspections, more in-process and final check points, some statistical data collection and analysis, and more audits. This stage will be discontinued once the pre-launch part or process has been validated and approved for production. A production control plan is used for the full production of a part. It contains all of the line items for a full control plan part or product characteristics, process controls, tests, measurement system analysis, and reaction plans.

The control phase is forgotten C in DMAIC. The project control phase is necessary in order to sustain the project gains. The control plan must be a living document for it to remain an effective mechanism to monitor and control the process. A responsible person must be placed in charge of the control plan. This ensures successful monitoring and updating. A black belt may or may not be a suitable person for the role, as he/she may be replaced or transferred to a different position. A better selection would be the process owner. The current process owner can be listed on the control plan, but in reality it is a functional role that is to be passed on to the next individual in that same organizational position. If the control plan is not maintained, the benefits of the project could slowly be lost. The frequent changing of process owners, combined with large numbers of process projects, can easily result in neglected or lost control plans.

Some considerations in the closing phase of the project include:

Identify the process owner

Involve the team in the control plan

Create new or updated work instructions and procedures

Notify and train the affected personnel

Ensure that the control plan training is effective

Place the control plan in the proper quality system document

Attain agreement between the team members and process owner

A number of inputs or sources contribute to understanding, manufacturing, and controlling the part or process. Many of the following are included:

Process flow diagrams

System FMEAs, DFMEAs, and PFMEAs

Cause-and-effect analysis

Special customer characteristics

Historical data

Lessons learned

Team process knowledge

Design reviews

Quality function deployment

Designed experiments

Statistical applications

Multi-vari studies

Regression analysis

Customer requirements may dictate the exact form of the control plan. Often, there is some flexibility in the construction of the forms

Control plan:

Provide a title for the control plan. The control plan is often placed into another document, such as an operating instruction or six sigma database. If necessary, indicate if this is a prototype, pre-launch, or production plan.

Control number:

Provide a reference number. This number may be supplied by the responsible department.

Team members:

If a cross functional team is involved, provide the members names.

Contact person:

This could be the black belt in charge of the project, however, the name and function of the process owner are more important.

Provide page numbers if the control plan exceeds one page. Control plans may run up to 20 pages.

Original date:

indicate the original date of issue of the control plan.

Revision date:

Provide the latest revision date of the control plan.

Part/process:

List the part number or the process flow being charted.

Key input variable (X):

Note the key input variable, when appropriate. On any line item, only the X or Y variable is filled out, not both. This is to clearly indicate which item is being monitored and controlled.

Key output variable (Y):

Note the key output variable, when appropriate.

Special characteristic note:

Indicate if a special characteristic is to be monitored and controlled.

Specifications:

For manufacturing applications, the engineering specifications for the part should be monitored and controlled. For other applications, one would provide upper and lower specification limits, as well as the target value

Measurement gage technique:

The gage or measurement technique should be described. The gage, tool, fixture, or test device used for data collection must be in conformance with the needed measurement system analysis (MSA) requirements. When necessary, this would include:

Reproducibility

Repeatability

Uncertainty analysis

This can be more difficult when attribute data is of concern. The AIAG MSA manual is a good guide.

Gage capability:

Provide the current capability of the measurement system.

The AlAG MSA manual lists:

Under 10% error as acceptable

10% to 30% error may be acceptable, depending on the cost and the situation

Over 30% error is not acceptable

Measurement devices may need uncertainty determinations

Sample Size:

Provide the Sample frequency, List how often the inspection or monitoring of the part or process is required.

Initial CPR:

This provides an indication of process capability.

Person responsible for measurement:

Indicate who will make and record the measurement.

Control method:

Note how this X or Y variable will be controlled. Examples include

Visual inspections

Automated measurements

Reaction plan:

Describe what will happen if the variable goes out of control. How should the responsible person respond to the situation?

Control plan construction is often led by the black belt incharge of the six sigma project. The team is usually cross functional with individuals from different areas, including the process owner. The team will ensure that the control plan contains the critical variables, the Xs and the Ys, of the product or process. The control plan must show compliance and control before project closure. A successful control plan should remain a living document to ensure that the benefits of the project are fully realized.

Elements of Response Plan

An effective control system is characterized by formal documents. These documents provide directions to the employees on how to accomplish a task, who is responsible for performing the task, or how the company systems work.

There are various names for these documents including:

Manuals (including the quality manual)

Standard operating procedures

Work instructions

Many companies organize the documentation into a hierarchy

The manual is the highest level document in the system

Procedures are at the second level and describe the responsibilities of various personnel and the administrative system is used to accomplish the tasks. The manual details what is to be done and procedures describe who will do it. The third level is the work instructions that describe how to do the tasks. The work instructions detail the specific steps to accomplish the goals defined in the manual and the procedures. Some organizations include the standard operating procedures (SOPs) at this level, and some include them as part of the procedures level. Records include the data collected on the products and processes.

The basic content of any good procedure or instruction should include:

Purpose of the document

Basis of the document

Scope of the document

Documentation:

Documentation is necessary for the continued success of a company. Formal procedures or instructions have the following benefits and characteristics. Procedures or instructions are a means for management to describe, in writing, and in a readily accessible manner, their required modes of operations. Procedures or instructions are not static, they must be continuously adjusted in a controlled manner to meet changing times and conditions. Procedures or instructions are a reasonably simple vehicle for defining and standardizing proven methods. Operational procedures define how policy requirements are to be implemented in terms explicit enough to be easily understood. Procedures or instructions are a means of establishing continuity of operations when personnel changes occur and as training for new employees. Procedures or instructions prevent undesirable changes. Procedures or instructions provide a written standard to which operations may be audited. A good documentation system can add value to a company. Company documents must be meaningful, and developed with specific detail so the operations can be improved. Documented procedures allow the improvement of processes (both administrative and technical) by first establishing a baseline. The baseline is established by defining the steps of the process. This definition of the process steps then can be used for subsequent improvements.

Following are the general guidelines for documentation:

Keep the documentation simple

Keep the documentation clear and inviting

Include options and instructions for “emergencies”

Keep the documentation brief

Keep the documentation handy

Have a process for updates and revisions

Documentation must be written to the level that is understood by the users.

It should also reflect the current processes and methods.

After completion of a process improvement, the documentation should correspond to the new methods, and the users should be trained on the new documentation. It may also be necessary to revise the procedures used to detect and eliminate potential problems. The corrective action procedure itself should be revised when needed.

Effective project or process improvement activities should ultimately lead to the advancement of company operations. However, this is not automatic. Continuous improvement takes the concentrated and continuing efforts of everyone. In addition to changes resulting from improvements, there should be a balanced mix of measurements to monitor overall process performance.

Examples include:

Performance results

Quality results

Changes in customer requirements

Financial results

Benchmarking results

Process capability measurements

Audit results

SWOT analysis

The above results are often reported in management reports. In almost all situations, graphs and charts are preferable to texts and columns of numbers. The organization should have an oversight or executive committee to respond to both problems and opportunities. Many of the approaches discussed earlier in gap, root cause, and risk analysis are effective tools for the ongoing evaluation of the improvement process.

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What is a control plan?

A control plan is a living document that outlines the methods taken for quality control of critical inputs to deliver outputs that meet customer requirements. It also provides a written description of the measurements, inspections, and checks put in place to control production parts and processes. The document is used in a PPAP if there is a process change or if a new process is implemented. Control plans are consistently maintained to reflect real time updates.  

The Relationship: Control Plan - PFMEA - Process Control Diagram 

It is important to note the direct relationship of a control plan to and from a process control diagram and PFMEA . These PPAP elements are the source of direct inputs to a control plan. These inputs include:

• Potential failure modes
• Potential effects of failures
• Potential causes of failures
• Preventative actions put in place to eliminate risk of failures from happening.

3 Types of Control Plans 

A prototype control plan is applicable if a component is in the early phase of development. This is inclusive of descriptions of dimension measurements, materials, and performance tests happening during a prototype development. 

A pre-launch control plan is applicable when the prototype phase is complete for a component but full production has yet to be approved. This is inclusive of dimension measurements, materials, and performance tests conducted after the prototype phase is complete.

A production control plan is applicable when a component is in full production. The plan is comprehensive of  characteristics, process controls, tests, and measurements conducted through full production.

Control Plan Outline

1. general part and supplier information.

• Part number
• Supplier name and contact information
• Approval and revision dates

2. Process Steps and Support Equipment  

• Part/process number – this matches up to steps in the PFMEA and process flow diagram.
• Process name and description – thoroughly describes what each process step accomplishes.
• Device reference numbers – lists any special tools or machines used to carry out the process step.

3. Product and Process Characteristics

• Characteristic number - References a unique number of each characteristic being checked.
• Product characteristic - If the characteristic being checked is on a product then then the product box will be filled in with a description (i.e. screw depth).
• Process characteristic - If the characteristic being checked is of a process then the process box will be filled in with a description (i.e. drive screw at 45 degree angle).
• Critical to quality (CTQ) feature – box is marked with a Y for yes and N for no if the characteristic is important to quality.

4. Methods of Control

• Specification and tolerance – notes any unique specification and tolerance for each product or process characteristic being checked.
• Evaluation method –describes measurement technique used to evaluate each characteristic being checked.
• Sample size – the number of part or process samples taken to check from production (i.e. 5 parts).
• Sample frequency – the interval at which each sample is being taken (i.e. sample checked hourly).
• Control method – specifies how control is maintained for each characteristic (i.e. error proofed).
• Reaction plan – describes the reaction the process monitor if an unexpected condition occurs (i.e. re-inspect all products produced after the last inspection).

Why is a control plan important?

The development of a control plan not only helps suppliers diagnose their quality challenges , but also helps them eliminate production waste and maintain consistency. In addition, suppliers use control plans to establish methods of process control during production and to stop issues from snowballing into something more detrimental. Implementing control plans help suppliers overcome critical challenges and focus on points that are most important to their customers such as product quality, process efficiency, and expense reduction.

About RGBSI QLM Solutions

Looking for help with control plans, PPAP, or other quality areas? At RGBSI, we provide full service quality lifecycle management (QLM) solutions that optimize manufacturing supply chain initiatives. Organizations within automotive, aerospace, and other engineering segments leverage our expertise to validate, manage, and assess their current processes. 

Need help with your quality lifecycle management activities? Inquire . 

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• The Ultimate Guide for Setting up a Process Control Plan

For a company to consistently perform at optimal level, they need to place increased priority to cost reduction and waste elimination in their processes. This, in addition to high level of product quality is necessary for a company to succeed in this ever-competitive business world.

Many manufacturing industries have demonstrated competence at detecting problems and developing corrective actions to correct the problem. But it is one thing to detect problem and solve problem as they arise, yet another thing to sustain the corrective actions or process improvement efforts over a long period of time. When a corrective action is not sustained, the process gradually returns to its initial problematic state, hence, the need of a Process Control Plan.

Process Control Plan helps in monitoring processes and assuring that process improvements efforts are maintained over the life cycle of the part or product. Control Plans can be utilized in any industry to ensure product quality including manufacturing, aerospace and others as they help in maintaining manufacturing efficiency, thereby impacting the company’s bottom line positively.

What is a Process Control Plan?

Process Control Plan is a document that describes the steps such as measurements, inspections, quality checks or monitoring of process parameters needed at every phase of a process with the goal of assuring that the outputs from the process conforms to already determined requirements. The Plan provides operators or inspectors with the necessary information required to ensure that the process produce quality parts. They are living documents and should be updated as the measurement methods and controls are improved throughout the life cycle of the product.

A good process plan should include steps taken if a non-conformance is detected in the course of the process. It should be noted that the Process Control Plan isn’t an alternative to a detailed work instructions, hence does not replace it, it is instead used in conjunction with an inspection sheet or checklist. The Plan only helps in assuring that quality is maintained in a process in the event of employee turnover by establishing a standard for quality inspection and process monitoring.

The Process Control Plan is not just a form to fill out, it is a plan developed by the team to control the process and ensure that the process produces quality parts that meet the customer requirements.

Levels of Control Plans 

Prior to completing the Control Plan, the team needs to determine the level appropriate for the process being controlled. There are three designations for a Control Plan level based upon what point the product is at in the New Product Development (NPD) process. These are:

• Prototype – This level Control Plan should include descriptions of the dimensions to be measured and the material and performance tests to be completed during the initial stage of the product development.
• Pre-Launch –  This level of Control Plan should contain descriptions of the dimensions to be measured and the material and performance tests to be completed after prototype but prior to launching the product and batch production.
• Production – This level of Control Plan should contain a comprehensive listing of the product and process special characteristics, the process controls, measurement methods and tests that will be performed during regular batch production.

Sources of Information for a Control Plan

The information contained in the control plan can originate from several sources such as follows: 

• Failure Mode & Effect Analysis (FMEA)
• Special Characteristics Matrix
• Lessons Learned from similar parts
• Design Reviews
• Team technical knowledge about the process
• Field or warranty issues

Steps in Setting up a Process Control Plan

The Process Control Plan needless to say should be developed by a Cross Functional Team (CFT) with good understanding of how the process to be improved or controlled operates. This will help to identify more areas of improvement opportunities. 

• Set up a multi-functional group

 This is the first step of the development process. Ensure that everyone with relevant knowledge of the process is present to add values to the Plan. This should include a process engineer, R&D officer, QC personnel and someone in close contact with the customer(s). 

• Review and confirm the flow chart

 Have a good idea of the process steps which might be clearly represented in a flowchart. This information goes into the left columns of the document. 

• Review and confirm special characteristics

 At process FMEA can help a lot in pointing to high risks that need to be addressed. It is imperative for the team to have a good understanding of what the customer considers very important based on customer requirements. 

• Review and confirm the control method

 Based on how critical a step is, and on the risks perceived, the team should decide what controls are appropriate for more efficient process. The team should be able to demonstrate to the management how to control risks in an efficient manner so as to be able to sustain the approach over time. 

• Review the sampling method

 Checking a point on 100% of pieces requires more effort than “3 in 15 parts”, for example. An appropriate sampling method should be devised. 

• Verify the effectiveness of the measurement system

 Checking for the sake of checking should be discouraged. There have to be results. For instance, you might want to find out, are nonconforming parts really detected or are some conforming parts put aside? Asking these questions helps to determine the effectiveness of the measurement system applied. 

• Confirm the person in charge

 Determine who will be primarily responsible for the application of the process control plan, and its adaptation over time as new risks, new issues, and new requirements appear. 

• Confirm the escalation process

 Confirm who the team go to when a decision goes beyond them and needs to be made by a higher level of management. 

• Write control plan draft and train the personnel

 The next stage is now to fill out the remaining columns of the draft. Train the personnel who would be responsible for implementing the Plan. Adapt the operators’ and inspectors’ work instructions. Observe, at least during a pilot run or a mass production batch how the Plan is being implemented. 

• Review and modification

 Remember that the Process Control Plan is a living document and as such they should be constantly updated to accommodate new issues or customer requirements. Also, certain controls might be overly burdensome, poorly specified, lacking clear criteria etc. the review process will help to detect these. It is very important at this point to mention that every time the Plan needs to be revised, the corresponding work instructions and the changes should be communicated to the operators. 

• Control the implementation in the mid- to long-run

After the Plans are completed, there is need to gain buy-in with the operators, the management and all other people who will be directly or indirectly affected by the Plan. This can be done through communication.

Benefits of a Process Control Plan

Developing and implementing Control Plan has a 3-fold benefits as described below: 

• Waste Reduction and/or Elimination: The use of a good Process Control Plans helps reduce or eliminate waste in a process. Businesses today must reduce waste everywhere possible.
• Improvement of Product Quality: The Plan helps to improve product quality by identifying the sources of variation in a process and establishing controls to monitor them.
• Facilitates Focus Important Product Characteristics: Control Plans helps to channel focus on the product characteristics most important to the customer and the business, called critical-to-Quality Characteristics. The essence of this is to see ways to reduce scrap, eliminate costly reworks and prevent defective product from reaching the customer thereby improving the throughput of the process.

About the Author

Adebayo is a thought leader in continuous process improvement and manufacturing excellence. He is a Certified Six Sigma Master Black Belt (CSSMBB), Digital Manufacturing Professional and ISO Management Systems Lead Auditor (ISO 9001, 45001 & ISO 22000) with strong experience leading various continuous improvement initiative in top manufacturing organizations. 

You can reach him here .

•   +234-7085829369

•     [email protected]
•   1 Afobaje Street, Ota, Nigeria

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What is a control plan?

Free template, what is the purpose of a control plan.

A control plan describes the methods for controlling product and process variation in order to produce quality parts that meet customer requirements.

Control plans are a critical part of the overall quality process. They are living documents that are updated as processes change and improve throughout the product lifecycle. Control plans are also one of the requirements of the Production Part Approval Process (PPAP).

Elements of a control plan

Control plans may vary depending on customer requirements, but should include information about product and process characteristics that must be controlled, as well as the control methods for those characteristics. They should also include the relevant revision and approval dates, contact information, and references to other quality documents when appropriate.

1. Prototype, Pre-Launch, or Production

Choose the appropriate category based on the manufacturing stage.

2. Control Plan Number

The control plan document number (if applicable).

3. Part Number/Latest Change Level

The number of the system or component being controlled, and the latest change level or issue date.

4. Part Name/Description

The name and description of the part or process being controlled.

5. Supplier/Plant

The name of the company and the division, department, or plant preparing the control plan.

6. Supplier Code

Identification number or customer supplier code.

7. Key Contact/Phone

Name and contact info for the primary person responsible for the control plan.

8. Core Team

Name and contact info for all team members responsible for preparing the control plan (can be attached separately).

9. Supplier/Plant Approval/Date

The responsible manufacturing plant approval.

10. Date (Orig.)

The date the original control plan was created.

11. Date (Rev.)

The date of the most recent control plan revision.

12. Customer Engineering Approval/Date

The responsible customer engineering approval, if required.

13. Customer Quality Approval/Date

The responsible customer quality representative approval, if required.

14. Other Approval/Date

Any other approvals required.

15. Part/Process Number

The part number or numbers, typically found in the Process Flow Chart.

16. Process Name/Operation Description

The process or operation name from the flow diagram that describes the steps for manufacturing the system or component.

17. Machine, Device, Jig, Tools for Manufacturing, etc.

The processing equipment or manufacturing tools used in the operation.

Characteristics (#18-20)

The special properties or features of a product or process. Reference or attach relevant documents and visual aids where applicable.

The cross reference number for all relevant documents. For example, this would be the same number across ballooned part drawings, process flow diagrams, FMEAs, or other documents.

19. Product

All special characteristics or features of a part, component, or assembly, compiled from drawings or other sources. This section can also include other features that typically involve process control tracking.

20. Process

The process or input variables that must be controlled to decrease product variation. There can be one or more process characteristics that affect each listed product characteristic.

21. Classification

The special characteristic classification if required (symbols used by the customer to mark important features), or leave blank for other undesignated features.

Methods (#22-25)

The plan or system (including procedures, tools, etc) for controlling the products and processes.

22. Product/Process Specification/Tolerance

Specifications and tolerances from relevant engineering documents (including drawings, design reviews, etc).

23. Evaluation/Measurement Technique

The measurement system used for each part, feature, process, or manufacturing equipment (for example, gages , tools, test equipment, etc). This should be regularly evaluated using a measurement systems analysis.

24.  Sample: Size/Freq.

The corresponding sample size and frequency when sampling is required.

25. Control Method

Description of how the operation will be controlled, based on the strategy and analysis of the manufacturing process, the type of process, and risks found during quality planning. This is a key part of the control plan and should be regularly evaluated. Control methods can include inspection, statistical process control, sampling plans, and others.

26. Reaction Plan

The specific corrective actions for avoiding production of nonconforming products. This section can reference a separate reaction plan if needed and assign the responsible team members.

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