IEM 4103 Quality Control & Reliability Analysis

IEM 5103 Breakthrough Quality & Reliability

Control Charts for Attributes

Instructor: Dr. Chenang Liu

Email: Chenang.Liu@okstate.edu
 Outline

 Introduction
 Control Chart for Fraction Nonconforming
 𝑝-chart
 𝑛𝑝-chart
 Control charts for Nonconformities (Defects)
 𝑐-chart
 𝑢-chart
 Textbook: Chapter 7
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 6.1 Introduction

 Nonconforming: Defective
 Conforming: Non-defective
 Attributes: Quality characteristics of conforming or nonconforming
 Think: What is the difference between attributes and variables?
 Fraction nonconforming: The ratio of the number of nonconforming units in a
sample to the total number of units in that sample, to estimate it,

𝐷 # of nonconforming
𝑝Ƹ = =
𝑛 sample size

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 Attributes vs. Variables

 Attributes charts are generally not as informative as variables charts because

there is typically more information in a numerical measurement than in merely
classifying a unit as conforming or nonconforming.
 However, attributes charts do have important applications. They are particularly
useful in service industries and in nonmanufacturing or transactional business
process and quality improvement efforts because so many of the quality
characteristics found in these environments are not easily measured on a
numerical scale.

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 Review: binomial distribution

 Let 𝐷 = # of nonconforming units in a sample of size 𝑛

 If each unit produced follows a Bernoulli Process (distribution),
 Two mutually exclusive outcomes (conforming or nonconforming)
 Probability of each unit being “nonconforming” is a constant 𝑝
 Units are independent

 Then 𝐷~𝐵𝑖𝑛𝑜𝑚𝑖𝑎𝑙(𝑛, 𝑝), and

𝑛 𝑥
 𝑃 𝐷=𝑥 = 𝑝 (1 − 𝑝)𝑛−𝑥
𝑥
 𝐸 𝐷 = 𝑛𝑝
 𝑉𝑎𝑟 𝐷 = 𝑛𝑝(1 − 𝑝)
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 Review: basic model of control charts

 Let 𝑤 be a sample statistic that measures some quality characteristic of

interest, and suppose that the mean of 𝑤 is 𝜇𝑤 and the standard deviation of
𝑤 is 𝜎𝑤 . Then the centerline, the upper control limit, and the lower control
limit become
UCL = 𝜇𝑤 + 𝑘𝜎𝑤
Center line = 𝜇𝑤
LCL = 𝜇𝑤 − 𝑘𝜎𝑤
 where 𝑘 is the "distance" of the control limits from the center line, expressed
in standard deviation units

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 6.2 Control Chart for Fraction Nonconforming

 𝑝-chart: fraction nonconforming control chart

 𝑝 is known
 𝑝 is unknown
 𝑛𝑝-chart: the number of nonconforming units

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 Sample fraction nonconforming

 The sample fraction nonconforming is defined as the ratio of the number

of nonconforming units in the sample 𝐷 to the sample size 𝑛—that is,

𝐷
𝑝Ƹ =
𝑛
 The distribution of the random variable 𝑝Ƹ can be obtained from the binomial.
Furthermore, the mean and variance of 𝑝Ƹ are
𝜇𝑝ො = 𝑝

𝑝(1 − 𝑝)
𝜎𝑝2ො =
𝑛
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 𝑝-chart with known 𝑝

 Suppose that the true fraction nonconforming 𝑝 in the production process is

known or is a specified standard value. Then the 𝑝 chart
𝑝(1 − 𝑝)
UCL = 𝑝 + 3
𝑛
Center line = 𝑝
𝑝(1 − 𝑝)
LCL = 𝑝 − 3
𝑛

 Depending on the values of 𝑝 and 𝑛, sometimes the lower control limit LCL < 0.
In these cases, we customarily set LCL = 0 and assume that the control chart
only has an upper control limit.
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 𝑝-chart with unknown 𝑝

 The process fraction nonconforming 𝑝 must be estimated from observed data.

 The usual procedure is to select 𝑚 preliminary samples, each of size 𝑛. As a
general rule, 𝑚 should be at least 20 or 25.
 If there are 𝐷𝑖 nonconforming units in sample 𝑖, we compute the fraction
nonconforming in the 𝑖th sample as
𝐷𝑖
𝑝Ƹ 𝑖 = 𝑖 = 1,2, ⋯ , 𝑚
𝑛
 and the average of these individual sample fractions nonconforming is

σ𝑚
𝑖=1 𝐷𝑖 σ𝑚
𝑖=1 𝑝Ƹ 𝑖
𝑝ҧ = =
𝑚𝑛 𝑚
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 𝑝-chart with unknown 𝑝 (cont’d)

 The statistic 𝑝ҧ estimates the unknown fraction nonconforming 𝑝.

 Then the 𝑝 chart
𝑝(1
ҧ − 𝑝)ҧ
UCL = 𝑝ҧ + 3
𝑛
Center line = 𝑝ҧ
𝑝(1
ҧ − 𝑝)ҧ
LCL = 𝑝ҧ − 3
𝑛

 Note: The control limits defined here should be regarded as trial control limits.

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 Discussion for 𝑝

 If the control chart is based on a known or standard value for the fraction
nonconforming 𝑝, then the calculation of trial control limits is generally
unnecessary.
 However, one should be cautious when working with a standard value for 𝑝.
Since in practice the true value of 𝑝 would rarely be known with certainty, we
would usually be given a standard value of 𝑝 that represents a desired or target
value for the process fraction nonconforming.
 If this is the case, and future samples indicate an out-of-control condition, we
must determine whether the process is out of control at the target 𝑝 but in
control at some other value of 𝑝.

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 Example

 Frozen orange juice concentrate is packed in 6-oz cardboard cans. These

cans are formed on a machine by spinning them from cardboard stock and
attaching a metal bottom panel.
 By inspection of a can, we may determine whether, when filled, it could
possibly leak either on the side seam or around the bottom joint. Such a
nonconforming can has an improper seal on either the side seam or the
bottom panel.
 Set up a control chart to improve the fraction of nonconforming cans
produced by this machine.

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 Example (cont’d)

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 Example (cont’d)

 Trial control limits?

 Any problems if we directly use this trial control limits?
 What should we do?

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 Example (cont’d)

 Trial control limits

 Need to revise?
 How to revise?

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 Example (cont’d)

 Revised control limits

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 Example (cont’d)

 New data points

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 Example (cont’d)

 Control chart operation

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 Example (cont’d)

 New control chart

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 Example (cont’d)

 New data points

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 Example (cont’d)

 Completed

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 Performance evaluation

 Type I error
𝛼 = 𝑃 𝑝Ƹ ≥ UCL 𝑝0 + 𝑃 𝑝Ƹ ≤ LCL 𝑝0 = 𝑃 𝐷 ≥ 𝑛UCL 𝑝0 + 𝑃 𝐷 ≤ 𝑛LCL 𝑝0

 Type II error
𝛽 = 𝑃 𝑝Ƹ < UCL 𝑝1 − 𝑃 𝑝Ƹ ≤ LCL 𝑝1 = 𝑃 𝐷 < 𝑛UCL 𝑝1 − 𝑃 𝐷 ≤ 𝑛LCL 𝑝1

 Average Run Length (ARL)

ARL0 = 1/α

ARL1 = 1/(1 − β)

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 𝑛𝑝 Control Chart

 It is also possible to base a control chart on the number nonconforming 𝐷 rather

than the fraction nonconforming. This is often called an number nonconforming
(𝑛𝑝) control chart.

UCL = 𝑛𝑝 + 3 𝑛𝑝(1 − 𝑝)

Center line = 𝑛𝑝

LCL = 𝑛𝑝 − 3 𝑛𝑝(1 − 𝑝)

 If a standard value for 𝑝 is unavailable, then 𝑝ҧ can be used to estimate 𝑝. Many

non-statistically trained personnel find the 𝑛𝑝 chart easier to interpret than the
usual fraction nonconforming control chart.
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 Example

 Set up an 𝑛𝑝 control chart for the orange juice concentrate can process
 Use sample 1-30 (table in slides 14)

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 Example (cont’d)

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 Properties of 𝑛𝑝 chart

 Advantage
 𝑛𝑝 chart is a scaling of the vertical axis by the constant 𝑛, provide the same
information as 𝑝 chart
 𝑛𝑝 chart needs less calculation
 often used when 𝑛 is constant and 𝑝 is small

 Limitation
 Not easy for interpretation when 𝑛 is varied (UCL, LCL and CL all vary)
 Only plot # of nonconforming without considering sample size, hard to take action

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 6.3 Control Charts for Nonconformities

 𝑐 chart
 𝑢 chart

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 Motivation

 Why need it? Control the number of nonconformities

 A nonconforming product does not satisfy one or more of the specifications
 nonconformity/defect: Each specific point at which a specification is not satisfied, e.g.,
stones on a bottle, typos on a paper
 A unit may not be “nonconforming”, even though it has several nonconformities. So,
nonconforming ≠defects or nonconformities

 Assumption: The occurrence of nonconformities in an inspection unit is well

modeled by the Poisson distribution.
 The occurrences of nonconformities are independent of each other, the probability of
occurrence of a nonconformity at any location is constant.

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 Review: Poisson distribution

 Let 𝑥 = # of nonconformities in an inspection unit

𝑒 −𝑐 𝑐 𝑥
𝑝 𝑥 = 𝑥 = 0,1,2, ⋯
𝑥!
 The mean and variance of the distribution are
𝐸 𝑥 = 𝑐 and 𝑉𝑎𝑟(𝑥) = 𝑐

 Assumptions
 The average occurrence rate 𝑐 (per unit) is a known constant
 Occurrences are equally likely to occur within any unit of time/area
 Occurrences are statistically independent
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 𝑐 chart

 Control limits for the 𝑐 chart with a known 𝑐 (let 𝑘 = 3)

UCL = 𝑐 + 3 𝑐

Center line = 𝑐

LCL = 𝑐 − 3 𝑐

 If 𝑐 is unknown, then 𝑐 is estimated from preliminary datasets of 𝑚 inspection

units (i.e., 𝑚 samples) for constructing trial control limits
σ𝑚
𝑖=1 𝑐𝑖 total # of defects in all samples
𝑐Ƹ = 𝑐ҧ = =
𝑚 # of samples
 The preliminary samples are examined by the control chart using the trial
2/24/2021 control limits for checking out-of-control points
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 Example

 The table presents the number of nonconformities observed in 26 successive

samples of 100 printed circuit boards. Note that, for reasons of convenience,
the inspection unit is defined as 100 boards. Set up a 𝑐 chart for these data.

𝑐ҧ =?

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 Example (cont’d)

 Trail control limits

 Need to revise?
 Revise control limits?

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 Example (cont’d)

 Additional data

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 Example (cont’d)

 Control chart operation

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 Discussion for inspection unit

 The inspection unit must be the same for each sample

 Each inspection unit must always represent an identical area of opportunity for the
occurrence of nonconformities.

 In most practical situations, as long as these departures from the assumptions

are not severe, the Poisson model will usually work reasonably well
 An inspection unit could be a single unit of product, or it can be a group of
several units, e.g., 144microprocessors and 5 cars, etc.
 Note: It is NOT necessarily integer

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 𝑢 chart

 There is no reason why the sample size must be restricted to one inspection
unit. In fact, we would often prefer to use several inspection units in the sample,
thereby increasing the area of opportunity for the occurrence of nonconformities.
 Let 𝑥 = # of nonconformities in a sample of 𝑛 inspection unit
𝑥~𝑃𝑜𝑖𝑠𝑠𝑜𝑛(𝑐)

 Then 𝑌 = average # of nonconformities per unit in a sample

𝑐 𝑐 𝑢
𝐸 𝑌 = = 𝑢 and 𝑉𝑎𝑟 𝑌 = 2 =
𝑛 𝑛 𝑛
 If unknown 𝑢, 𝑢 is estimated from preliminary datasets of 𝑚 inspection units (i.e.,
𝑚 samples) for constructing trial control limits
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 𝑢 chart

 Control limits for the 𝑢 chart with a known 𝑢

UCL = 𝑢 + 3 𝑢/𝑛

Center line = 𝑢

LCL = 𝑢 − 3 𝑢/𝑛

 If 𝑢 is unknown, then 𝑢 is estimated from preliminary datasets of 𝑚 inspection

units (i.e., 𝑚 samples) for constructing trial control limits

𝑐𝑖 σ𝑚
𝑖=1 𝑢𝑖
𝑢𝑖 = , 𝑢ത =
𝑛 𝑚
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 Example

 A supply chain engineering group monitors shipments of materials through

the company distribution network. Errors on either the delivered material or
the accompanying documentation are tracked on a weekly basis. Each week
50 randomly selected shipments are examined and the errors recorded. Data
for twenty weeks are shown in the Table. Set up a 𝑢 control chart to monitor
this process.

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 Example (cont’d)

 Data

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 Example

 Why LCL = 0?

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 Thank you!

Any Questions?

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