Chapter Four

Control Charts for Variables-I

Implementing SPC in a Quality Improvement Program

The methods of statistical process control can provide significant payback to those companies
that can successfully implement them. Although SPC seems to be a collection of statistically
based problem-solving tools, there is more to the successful use of SPC than learning and using
these tools. SPC is most effective when it is integrated into an overall, companywide quality
improvement program. It can be implemented using the Define, Measure, Analyze, Improve and
Control (DMAIC) approach. Management involvement and commitment to the quality
improvement process are the most vital components of SPC’s potential success. Management is a
role model, and others in the organization look to management for guidance and as an example.
A team approach is also important, as it is usually difficult for one person alone to introduce
process improvements. Many of the magnificent seven (seven basic quality control tools) are
helpful in building an improvement team, including cause and effect diagrams, Pareto charts, and
so on. This team approach also fits well with DMAIC. The basic SPC problem-solving tools
must become widely known and widely used throughout the organization. Ongoing education of
personnel about SPC and other methods for reducing variability are necessary to achieve this
widespread knowledge of the tools.

The objective of an SPC-based variability reduction program is continuous improvement on a

weekly, quarterly, and annual basis. SPC is not a one-time program to be applied when the
business is in trouble and later abandoned. Quality improvement that is focused on reduction of
variability must become part of the culture of the organization.

The control chart is an important tool for process improvement. Processes do not naturally
operate in an in-control state, and the use of control charts is an important step that must
be taken early in an SPC program to eliminate assignable causes, reduce process variability,
and stabilize process performance. Control charts are one of the primary tools used in the analyze
and control steps of Define, Measure, Analyze, Improve and Control (DMAIC). To improve
quality and productivity, we must begin to manage with facts and data, and not simply rely on
judgment. Control charts are an important part of this change in management approach.

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Basic Principles of Control Charts

A control chart contains a center-line that represents the average value of

the quality characteristic corresponding to the in-control state. (That is, only chance
causes are present.) Two other horizontal lines, called the upper control limit (UCL) and
the lower control limit (LCL) are also shown on the chart. These control limits are chosen so
that if the process is in control, nearly all of the sample points will fall between
them. Ideally, as long as the points plot within the control limits without the existence of
unnatural pattern, the process is assumed to be in control, and no action is necessary. However, a
point that plots outside of the control limits is interpreted as evidence that the process is out of
control, and investigation and corrective action are required to find and eliminate the assignable
cause or causes responsible for this behavior.

We may give a general model for a control chart. 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 δw. Then the center line, the upper control limit, and the lower control limit become

UCL = µw + kδw

CL = µw

LCL = µw -kδw

where k is the “distance” of the control limits from the center line, expressed in standard
deviation units. This general theory of control charts was first proposed by Walter A. Shewhart,
and control charts developed according to these principles are often called Shewhart control
charts. The control chart is a device for describing in a precise manner exactly what is meant
by statistical control; as such, it may be used in a variety of ways. In many applications, it is
used for on-line process surveillance. That is, sample data are collected and used to construct
the control chart, and if the sample values of (say) fall within the control limits and do not
exhibit any systematic pattern, we say the process is in control at the level indicated by the
chart. Note that we may be interested here in determining both whether the past data came
from a process that was in control and whether future samples from this process indicate
statistical control.

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The most important use of a control chart is to improve the process. As a conclusion:

1. Most processes do not operate in a state of statistical control, and

2. Consequently, the routine and attentive use of control charts will identify assignable
causes. If these causes can be eliminated from the process, variability will be reduced
and the process will be improved.
3. The control chart will only detect assignable causes. Management, operator, and
engineering action will usually be necessary to eliminate the assignable causes.

Control Charts for Variables

As we discussed the previous chapter, control charts classified as variable and attribute data. In
this chapter, we will focus only control charts for variable data. Many quality characteristics can
be expressed in terms of a numerical measurement. For example, the diameter of a bearing
could be measured with a micrometer and expressed in millimeters. A single measurable quality
characteristic, such as a dimension, weight, or volume, is called a variable. Control charts for
variables are used extensively. Control charts for variables enable the monitoring of the natural
variability occurring in a process where the data is provided in measurable units rather than
counted ones. The charts will then be used to reduce this variability around the nominal value.
Charts are based on variability due to common causes and are used to determine the presence of
special causes.

When dealing with a quality characteristic that is a variable, it is usually necessary to monitor
both the mean value of the quality characteristic and its variability. Control of the process
average or mean quality level is usually done with the control chart for means, or the X-bar
control chart. Process variability can be monitored with either a control chart for the standard
deviation, called the s control chart, or a control chart for the range, called an R control chart.

Variable data are plotted on a combination of two charts using;

i. X- bar chart – plots sample means
ii. Range (R) chart

They typically monitor the process target or mean and the process variation or range. The X-bar
chart monitors the process location over time, based on the average of a series of observations,

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called a subgroup. It measures shift in the central tendency of the process. The R Chart is
calculated from the ranges of each subgroup data, which is computed by subtracting the
maximum and the minimum value in each subgroup. Range charts monitor the dispersion or
variability of the process.
However, X- bar and S chart (standard deviation) chart should be used in place of a range chart
for larger sample size (n>10). This is because; the range method loses efficiency relative to SD
as sample size increases. For a sample size of 2, the two methods are equivalent; whereas, for a
sample size of 10 the range method efficiency is only 0.85% relative to SD. The X chart plots
sample means. It is a measure of between sample variations and is used to assess the centering
and long-term variation of the process. The range chart and S chart measure the with in-sample
variation and assess the short-term variation of the process.

Construction of Variable Charts

X- bar and R Charts

The construction of any chart begins with the collection of a serious of samples from a process.
The samples consist of two or more observations (sample size of 3 to 10 are best) each. The

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individual observations are averaged for each sample to determine the sample mean X-bar (𝑋̅).
The averages of at least 25 to 30 sample means are calculated that is X-double bar (𝑋̿ ). The
underlying distribution for the 𝑋̅ chart is the normal distribution. The centerline (CL) of the chart
is 𝑋̿. The upper control limit (UCL) is set at 𝑋̿+ 3sigma; the lower control limit (LCL) is set at 𝑋̿-
3sigma.

Appropriate placement of the upper and lower control limits is an economic issue. The intent
would be to fix the limits in such a way as to balance the economic consequences of failing to
detect a special cause when it does occur and wrongly identifying the presence of a special cause
when it has really not occurred. Experience has led to the use of 3 limits as a good balance of
these risks. The 25 to 30 sample means are then plotted on the control chart. If none of the points
fall outside the control limits and there are no discernible patterns in the plot, then process is said
to be in control.

Calculation of ‘X-bar’ control limits

All samples will not have the same sample averages. There is variation in sample averages from
sample to sample. This variation is assumed to be following normal distribution with a mean of
X-double bar 𝑋̿, and standard deviation of (sigma suffix x bar).

The center line for the X-bar is the mean of the sample means (X-double bar):
i.e. n n

X i X i
X  i 1
X i 1
n n

The upper control limit (UCL) and lower control limit (LCL) are calculated using:

UCL  X  A2 R LCL  X  A2 R

 R
or, X  3 x ,  x
 , 
n d 2

where : R  Average Range of the samples
A2 , d 2  Factor obtained fromtablebelow
n  Number of observation per sample
  Pr ocess s tan dard deviation
 x
 S tan dard deviationof the distribution of samplemeans

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Calculation of ‘R’ control limits
The method for developing and using R-charts is the same as that for x-bar charts. The center
line of the R chart is the average range, and the upper and lower control limits are computed as
follows:

Where A2, D3, and D4 are constants and they depend only on sample size. For a given sample
size, their values can be obtained from the table.

The range chart is evaluated first, because the limits of the X bar chart depends on the
magnitude of the common causes variation of the process measured by R bar, if it is in control
then the X bar chart is evaluated. An out of control signal on either chart is an indication that the
process is out of control.

Example 1: A hard-bake process is used in conjunction with photolithography in semiconductor

manufacturing. Establish statistical control of the flow width of the resist in this process using X
bar and R charts. Twenty-five samples, each of size five wafers; have been taken when we think
the process is in control. The interval of time between samples or subgroups is one hour. The
flow width measurement data (in micros) from these samples are shown in the table below.

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Calculate
i. The mean, Range and their average
ii. The UCL and LCL for both X bar and R charts
iii. Plot the of X-bar and range control charts

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 Figure: X-bar and R-Chart for flow width in the hard-bake process

Example 2: A textile manufacturer has decided to initiate the use control charts for the strength
of one of the textile yarn. He has drawn ten samples of sample size five each. The strength of
each yarn in each sample is determined. For these ten samples the summation of the sample
averages and the ranges are found to be 800 and 48 units respectively. Compute 3 sigma control
limits for ‘X-bar’ Chart and ‘R’ Chart and find the population average and population standard
deviation assuming the process under control.

Solution:

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