Statistical Process Control (SPC)

7 tools of quality
The ability to identify and resolve quality-related issues quickly and efficiently is essential to anyone
working in quality assurance or process improvement. But statistical quality control can quickly get complex
and unwieldy for the average person, making training and quality assurance more difficult to scale. 
Thankfully, engineers have discovered that most quality control problems can be solved by following a few
key fundamentals. These fundamentals are called the seven basic tools of quality. 
With these basic quality tools in your arsenal, you can easily manage the quality of your product or process,
no matter what industry you serve.
Learn about these quality management tools and find templates to start using them quickly.
Where did the quality tools originate?
Kaoru Ishikawa, a Japanese professor of engineering, originally developed the seven quality tools
(sometimes called the 7 QC tools) in the 1950s to help workers of various technical backgrounds implement
effective quality control measures.
At the time, training programs in statistical quality control were complex and intimidating to workers with
non-technical backgrounds. This made it difficult to standardize effective quality control across operations.
Companies found that simplifying the training to user-friendly fundamentals—or seven quality tools—
ensured better performance at scale
Today, these quality management tools are still considered the gold standard for troubleshooting a variety of
quality issues. They’re frequently implemented in conjunction with today’s most widely used process
improvement methodologies, including various phases of Six Sigma, TQM, continuous improvement
processes, and Lean management.
What are the 7 basic quality tools?
1. Stratification
2. Histogram
3. Check sheet (tally sheet)
4. Cause and effect diagram (fishbone or Ishikawa diagram)
5. Pareto chart (80-20 rule)
6. Scatter diagram
7. Control chart (Shewhart chart)
1. Stratification
Stratification analysis is a quality assurance tool used to sort data, objects, and people into separate and
distinct groups. Separating your data using stratification can help you determine its meaning, revealing
patterns that might not otherwise be visible when it’s been lumped together. 
Whether you’re looking at equipment, products, shifts, materials, or even days of the week, stratification
analysis lets you make sense of your data before, during, and after its collection.
To get the most out of the stratification process, consider which information about your data’s sources may
affect the end results of your data analysis. Make sure to set up your data collection so that that information
is included. 

2. Histogram
Quality professionals are often tasked with analyzing and interpreting the behavior of different groups of
data in an effort to manage quality. This is where quality control tools like the histogram come into play. 
The histogram represents frequency distribution of data clearly and concisely amongst different groups of a
sample, allowing you to quickly and easily identify areas of improvement within your processes. With a
structure similar to a bar graph, each bar within a histogram represents a group, while the height of the bar
represents the frequency of data within that group. 
Histograms are particularly helpful when breaking down the frequency of your data into categories such as
age, days of the week, physical measurements, or any other category that can be listed in chronological or
numerical order. 

3. Check sheet (or tally sheet)

Check sheets can be used to collect quantitative or qualitative data. When used to collect quantitative data,
they can be called a tally sheet. A check sheet collects data in the form of check or tally marks that indicate
how many times a particular value has occurred, allowing you to quickly zero in on defects or errors within
your process or product, defect patterns, and even causes of specific defects.
With its simple setup and easy-to-read graphics, check sheets make it easy to record preliminary frequency
distribution data when measuring out processes. This particular graphic can be used as a preliminary data
collection tool when creating histograms, bar graphs, and other quality tools.

4. Cause-and-effect diagram (also known as a fishbone or Ishikawa diagram)

Introduced by Kaoru Ishikawa, the fishbone diagram helps users identify the various factors (or causes)
leading to an effect, usually depicted as a problem to be solved. Named for its resemblance to a fishbone,
this quality management tool works by defining a quality-related problem on the right-hand side of the
diagram, with individual root causes and sub-causes branching off to its left.   
A fishbone diagram’s causes and subcauses are usually grouped into six main groups, including
measurements, materials, personnel, environment, methods, and machines. These categories can help you
identify the probable source of your problem while keeping your diagram structured and orderly.

5. Pareto chart (80-20 rule)

As a quality control tool, the Pareto chart operates according to the 80-20 rule. This rule assumes that in any
process, 80% of a process’s or system’s problems are caused by 20% of major factors, often referred to as
the “vital few.” The remaining 20% of problems are caused by 80% of minor factors. 
A combination of a bar and line graph, the Pareto chart depicts individual values in descending order using
bars, while the cumulative total is represented by the line.
The goal of the Pareto chart is to highlight the relative importance of a variety of parameters, allowing you
to identify and focus your efforts on the factors with the biggest impact on a specific part of a process or
system. 

6. Scatter diagram
Out of the seven quality tools, the scatter diagram is most useful in depicting the relationship between two
variables, which is ideal for quality assurance professionals trying to identify cause and effect relationships. 
With dependent values on the diagram’s Y-axis and independent values on the X-axis, each dot represents a
common intersection point. When joined, these dots can highlight the relationship between the two
variables. The stronger the correlation in your diagram, the stronger the relationship between variables.
Scatter diagrams can prove useful as a quality control tool when used to define relationships between quality
defects and possible causes such as environment, activity, personnel, and other variables. Once the
relationship between a particular defect and its cause has been established, you can implement focused
solutions with (hopefully) better outcomes.

 7. Control chart (also called a Shewhart chart)

Named after Walter A. Shewhart, this quality improvement tool can help quality assurance professionals
determine whether or not a process is stable and predictable, making it easy for you to identify factors that
might lead to variations or defects. 
Control charts use a central line to depict an average or mean, as well as an upper and lower line to depict
upper and lower control limits based on historical data. By comparing historical data to data collected from
your current process, you can determine whether your current process is controlled or affected by specific
variations.
Using a control chart can save your organization time and money by predicting process performance,
particularly in terms of what your customer or organization expects in your final product.

Control Charts for Variables and Attributes

Control Charts for Variables:
A number of samples of component coming out of the process are taken over a period of time. Each sample
must be taken at random and the size of sample is generally kept as 5 but 10 to 15 units can be taken for
sensitive control charts.
For each sample, the average value X̅ of all the measurements and the range R are calculated. The grand
average X̅ (equal to the average value of all the sample average, X̅) and R (X̅ is equal to the average of all
the sample ranges R) are found and from these we can calculate the control limits for the X̅ and R charts.
Therefore,

LCLR = D3 R̅
Here the factors A2, D4 and D3 depend on the number of units per sample. Larger the number, the close the
limits. The value of the factors A2, D4 and D3 can be obtained from Statistical Quality Control tables.
However for ready reference these are given below in tabular form.
As long as X and it values for each sample are within the control limits, the process is said to be in statistical
control.

where d2 is a factor, whose value depends on number of units in a sample. Its value is seen from S.Q.C.
Tables 63.1.
Process Out of Control:
After computing the control limits, the next step is to determine whether the process is in statistical control
or not. If not, it means there is external causes that throws the process out of control. This cause must be
traced and removed so that the process may return to operate under stable statistical conditions.
The various reasons for the process being out of control may be:
(i) Faulty tools,
(ii) Sudden significant change in properties of new materials in a new consignment,
(iii) Breakdown of lubrication system,
(iv) Faults in timing of speed mechanisms etc.
Tracing of these causes is sometimes simple and straight forward but when the process is subject to the
combined effect of several external causes, then it may be lengthy and complicated business.

Process in Control:
If the process is found to be in statistical control, a comparison between the required specifications and the
process capability may be carried out to determine whether the two are compatible. Should the specified
tolerances prove to be too tight for the process capability?
There are three possible alternatives:
(a) Re-evaluate the specifications. Whether the tight tolerances are actually needed or they can be relaxed
without affecting quality.
(b) If relaxation in specifications is not allowed then a more accurate process is required to be selected.
(c) If both the above alternatives are not acceptable then 100% inspection is carried out to trace out the
defectives.
Example 1:
The table 63.2 give record of 5 measurements per sample from lot size of 50 for the critical dimension of
jeep valve stem diameter taken every hour, (i) Compare the control limits, make plot and explain plotting
procedure, (ii) Interpret plot, make decision regarding quality of product, process control and cost of
inspection.

From S.Q.C. table 63.1 the values of A2, D4 and D3 can be recorded from the 5 measurement sample column.
A2 = 0.58
and
D3 = 0
D4 = 2.11.
Now charts for X̅ and R are plotted as shown in Fig. 65.3 taking abscissa as sample number and ordinate as
X̅ and R. X̅ and R charts must be drawn one over the other as shown, i.e. R chart must be exactly under X̅
chart.
What the X̅ and R charts tell?
Sometimes X̅ chart does not give satisfactory results. This may occur due to old machine, or worn out parts
or misalignment or where processing is inherently quite variable. Here the “Range” chart is used as an
additional tool to control.
The purpose of this chart is to have constant check over the variability of the process. Process variability
demonstrated in the figure shows that though the mean or average of the process may be perfectly centred
about the specified dimension, excessive variability will result in poor quality products.
The use of R-chart is called for, if after using the X̅ charts, it is found that it frequently fails to indicate
trouble promptly.
The R-chart does not replace the X̅ -chart but simply supplements with additional information about the
production process.
The R-chart is also used for high precision process whose variability must be carefully held within
prescribed limits. Similarly many electro-chemical processes such as plating, and micro chemical biological
production, such as fermentation of yeast and penicillin require the use of R- chart because unusual
variability is quite inherent in such process.
Control Charts for Attributes:
The X̅ and R control charts are applicable for quality characteristics which are measured directly, i.e., for
variables. There are instances in industrial practice where direct measurements are not required or possible.
Under such circumstances, the inspection results are based on the classification of products as being
defective or not defective, acceptable as good or bad accordingly as that product confirms or fails to confirm
the specified specification.
In manufacturing, sometime it is required to control burns, cracks, voids, dents, scratches, missing and
wrong components, rust etc. Here, we inspect products only as good or bad but not how much good or how
much bad. Furthermore, there are many quality characteristics that come under the category of measurable
variables but direct measurement is not taken for reasons of economy.
These products are inspected with GO and NOT GO gauges. Again under this type also, our aim is to tell
that whether product confirms or does not confirm to the specified values. Quality characteristics expressed
in this way are known as attributes.
The various control charts for attributes are explained as under:
1. Attribute Charts for Defective Items: (P-Chart):
This is the control chart for percent defectives or for fraction defectives. This is used whenever the quality
characteristics are expressed as the number of units confirming or not confirming to the specified
specifications either by visual inspection or by ‘GO’ and ‘NOT GO’ gauges.
The Centre Line Value:
It is denoted by P̅ (P bar) and may be defined as the ratio between the total number of defective (non-
conforming) products observed in all the samples combined and the total number of products inspected. For
example, 15 products are found to be defective in a sample of 200, then 15/200 is the value of P̅.
Fraction and Percent Defectives:
The fraction defective value is represented in a decimal as proportion of defectives out of one product, while
percent defective is the fraction defective value expressed as percentage. As in the above example, fraction
defective of 15/200 = 0.075, and percent defective will be 0.075 x 100 = 7.5%.
Standard Deviation:
The standard deviation for fraction defective denoted by σ P is calculated by the formula.

where n = sample size and P̅ = fraction defective.

Trial Control Limits:
Just as the control limits for the X and R-charts are obtained as + 3σ values above the average. The two
control limits, upper and lower for this chart are also calculated by simply adding or subtracting 3σ values
from centre line value. These trial limits are computed to determine whether a process is in statistical control
or not.

Mostly the control limits are obtained on the basis of about 20-25 samples to pick up the problem and
standard deviation from the samples is calculated for further production control.
Example 3:
The table shows that successive lots of spindle are coming out of the machine. The spindles are subject to
inspection for burrs. The spindles are inspected in samples of 100 each.
Presence of a single or more burrs discriminates the value to be as defective. Compute and construct the
chart.

Computation and Construction:

Here the maximum percent defective is 7% and the total number of samples inspected is 20. On graph paper,
make abscissa for samples number 1, 2, 3, up to 20. Make ordinate as percent defective so as to
accommodate 7%. Next go on marking various points as shown by the table as sample number vs. percent
defective.
Draw three firm horizontal lines, one each for central line value, upper limit and lower limit after obtaining
by calculations.
  

Variable Sample Size:

Now consider an example of a P-chart for variable sample size. This is because, hourly, daily or weekly
production somewhat varies. Therefore, it is not always feasible to take the samples of constant sizes.

Here the average sample size will be = 900/10 = 90

It is a common practice to apply single control limits as long as sample size varies ± 20% of the average
sample size, i.e., ± 20% of 90 will be 72 and 108. Therefore, mark the samples with ɸ which are below 72
and above 108.
P̅ the fraction defective = 21/900 = 0.023
As the samples on dates 12, 16, 17, 18, 19 and 20 are covered within ± 20% of the averages, we have now
the following sample sizes for which control limits are to be calculated separately.
2. Attribute Charts for Number of Defects per Unit: (C-Chart):
This is a method of plotting attribute characteristics. In this case, the sample taken is a single unit, such as
length, breadth and area or a fixed time etc. In some cases it is required to find the number of defects per
unit rather than the percent defective.
For example take a case in which a large number of small components form a large unit, say a car or
transistor. The transistor set may have defect at various points. In this case, it seems natural to count the
number of defects per set, rather than to determine all points at which the unit is defective.
This attempt to use P-charts to locate all the points at which transistor is defective seems to be wrong,
impossible to some extent and impracticable approach to the problems. Such a condition warrants the
necessity for the use of a C-chart.
Examples of C-Chart:
The distribution of the variables in C-chart very closely follows the Poisson’s distribution.
The examples given below show some of representative types of defects, following Poisson’s
distribution where C-chart technique can be effectively applied:
(i) Number of blemishes per 100 square metres.
(ii) Typing mistakes on the part of a typist.
(iii) Number of spots on a distempered wall.
(iv) Air gap between two meshing parts of a joint.
(v) Welding defects in a truss.
(vi) Unweaven points on a piece of a textile cloth.
(vii) Leakage in water tight joints of radiator.
(i) The Average Number of Defects:
It is denoted by C̅ (C bar) and is the ratio between the total number of defects found in all samples and the
total number of samples inspected.
(ii) Standard Deviation:
The sigma of standard deviation for number of defects per unit production is calculated from the formula σc
= 
Trial Control Limits:
The control limits can be calculated as ± 3σc from the central line value C.
i.e., UCLc = C̅ + 3
LCLc = C̅ – 3
Example 5:
The following table shows the number of defects on the surface of bus bodies in a bus depot, on 21 Sept.
2013.
Computation:
(i) Compute the average number of defects C̅ = 110/20 = 5.5.
(ii) Compute the trial control limits, UCLc = 5.5 + 3   = 12.54
LCLc = 5.5 – 3   = – 1 .74 = 0, as -ve defects are not possible.
Construction:
1. Mark abscissa as the body number to a suitable scale (1 to 20).
2. Mark ordinate as number of defects say upto 15. Looking to the table, the maximum number of 14 defects
are in body No. 8.
3. Mark various points for the body number and the number of defects in that body.
4. Join all the 20 points with straight lines and also draw one line each for average control line value, upper
control limit and lower control limit, i.e. 5.5, 12.54 and 0 respectively.
As shown in the chart, one point No. 8 having 14 defects fall outside the upper control limit. The data relate
to the production on 21/5/2014. then C̅ value requires recalculation which will be 100 + 14/19 = 5.03. The
value 5.03 will be the standard value of C̅ for next day’s production. Consequently the control limits are also
revised if it decided to apply the data in next day’s production, i.e., 22/5/2014.

What Are SPC Charts?

A statistical process control system (SPC) is a method of controlling a production process or method
utilizing statistical techniques. Monitoring process behavior, identifying problems in internal systems, and
finding solutions to production problems can all be accomplished using SPC tools and procedures.
An SPC chart is used to study the changes in the process over time. All the data generated from the process
are plotted in time order. The three main components of an SPC chart are - a central line (CL) for the
average, a lower control line (LCL) for the lower control unit, and an upper control line (UCL) for the upper
control unit. 

Fig: Sample SPC Chart

SPC charts were initially developed by Dr. Walter A. Shewhart of Bell Laboratories in the 1920s. This is
why they are also known as Shewhart charts. However, they were made popular by Dr. W. Edwards
Deming when he introduced the concept to the Japanese industry after World War II. Nowadays, SPC charts
have been incorporated by organizations around the world as one of the primary tools to monitor and
improve the control of a process.
Interested in learning Lean Six Sigma and its importance? Check out the Lean Six Sigma Green Belt
Certification course preview.
What Are Control Limits?
Control limits are the standard deviations located above and below the center line of an SPC chart. If the
data points are within the control limits, it indicates that the process is in control (common cause variation).
If there are data points outside of these control units, it indicates that a process is out of control (special
cause variation).

Fig: Control limits of an SPC chart (Source)

It is best to plot the data points manually in the early stages of making an SPC chart. Once the formulas and
meaning is understood, you can use statistical software to update them. There are a number of tests that are
used to detect an “out of control” variation. Some of the most popular ones are Nelson tests and Western
Electric tests
How to Implement SPC Charts? 
SPC charts require organization commitment across functional boundaries. Here is a step by step process on
how you can construct an effective SPC chart:
Step 1: Determine an Appropriate Measurement Method
The first step is to decide what type of data to collect - variable or attribute. It is highly advisable to use
variable data wherever possible as it provides a higher quality of information. Once you decide what type of
data to collect, you can then choose the appropriate control chart for your data.
Step 2: Determine the Time Period for Collecting and Plotting Data
Because SPC charts measure the changes in data over time, it is necessary that you maintain a frequency and
time period to collect and plot the data. For example, making an SPC chart every day or every other week
 can help you see whether your process is reliable and improving constantly or whether you will be able to
meet quality standards in time.
Step 3: Establish Control Units 
The next step in creating an SPC chart is to establish the control units. Here is how you can calculate the
control units:
 Estimate the standard deviation (σ) of the sample data
 To calculate UCL, 
UCL = average + 3 x σ 
 To calculate LCL,
LCL = average - 3 x σ
Step 4: Plot Data Points and Identify Out-of-Control Data Points
After establishing control limits, the next step is to plot the data points on the SPC chart. Once you’ve
plotted the data points, you can start to see patterns in them. Recognizing these patterns is the key to finding
the root cause of special causes. Some of these patterns depend on certain “zones”.

Fig: Sample SPC chart with zones

Here are the eight rules used to identify an out-of-control condition.

Rule Rule Name Pattern

1 Beyond Limits One or more points beyond the control limits

2 Zone A 2 out of 3 consecutive points in Zone A or beyond

3 Zone B 4 out of 5 consecutive points in Zone B or beyond

7 or more consecutive points on one side of the

4 Zone C
average (in Zone C or beyond)

5 Trend 7 consecutive points trending up or trending down

6 Mixture 8 consecutive points with no points in Zone C

7 Stratification 15 consecutive points in Zone C

 8 Over-control 14 consecutive points alternating up and down

Step 5: Correct Out-of-Control Data Points

Whenever you find any data points lying outside the control limits, mark it on the chart and investigate the
cause. Also, document what was investigated, the cause that led to it being out of control and the necessary
steps taken to control it. You can use a corrective action matrix to identify responsibilities and set target
dates to track the actions taken.
Step 6: Calculate Cp and Cpk
The next step is to calculate Cp (capability) and Cpk (performance) to determine whether the process is able
to meet specifications.
Cp is calculated as

And Cpk is calculated as 

where,
 X = process average
 LSL = Lower Specification Limit
 USL = Upper Specification Limit
 σest = Process Standard Deviation
Step 7: Monitor The Process
The last step is to continually monitor the process and keep updating the SPC chart. Regular monitoring of a
process can provide proactive responses rather than a reactive response when it may be too late or costly.
Uses of SPC Charts
SPC charts are used for continuous improvement of a process using a number of techniques. There are
a number of ways SPC charts can help business analysts, but the most important ones are as follows:
 Find and correct problems as soon as they occur
 Predict the expected outcomes of a process
 Determine whether a process is in a stable condition
 Provide information on which areas to prioritize on to improve the process
steps to Creating an X-bar and R Control Chart
Once you decide to monitor a process and after you determine using an ¯XX¯ & R chart is appropriate, you
have to construct the charts.
This is not difficult and by following the 8 steps below you will have a robust way to monitor the stability of
your process.
1. Determine Sample Plan
Determine the sample size, n, and frequency of sampling. Consider the cost of sampling, required resources,
and balance with minimizing time (and produced units) between measurements. Of course, more samples
and more frequent measurements is better statistically.
2. Collect initial set of samples
Shewhart recommended 100 individual units in 25 samples of 4 each. Basically, we want enough samples to
create reasonable estimates of the mean values of ¯X and R. Keep the data in time sequence following the
time of the sample selection, which should be in the same order of manufacture.
3. Calculate ¯X
Calculate the average for each set of samples. This is the ¯X for each sample.
4. Calculate R
Calculate the range of each set of samples. This is the difference between the largest and smallest value in
the sample.
5. Calculate ¯¯X
Calculate the average of the ¯X’s. This is the centerline of the ¯X control chart.
6. Calculate R
Calculate the average of the R values. This is the centerline of the R control chart.
7. Calculate Control Limits
First, calculate the R chart limits.

Note: for a sample size, n, of less than 7 the lower limit is zero.
The D3 and D4 constants are found in tables or calculated with the following formulas

where,

and,

n = sample size

A Table of Constants speeds up the calculations.
n A2 D3 D4
2 1.880 0 3.267
3 1.023 0 2.575
4 0.729 0 2.282
5 0.577 0 2.114
6 0.483 0 2.004
7 0.419 0.076 1.924
8 0.373 0.136 1.864
9 0.337 0.184 1.816
10 0.308 0.223 1.777
Be sure to plot the data on the R chart and if not in control, before continuing with building the control chart,
work to bring the variability of the process under control.
For the ¯X chart limits use

where,
8. Plot the data
With the control limits in place, gather samples, and plot the data. Look for special or assignable causes and
adjust the process as necessary to maintain a stable and in control process.
Pareto diagrams
Pareto chart is also called a Pareto diagram and Pareto analysis. It is named for the Italian
economist Vilfredo Pareto, who described Pareto principle, according to which roughly 80% of the
outcomes come from 20% of the conditions, for many events. This assumption is used in calculations of
business profit or population of any country. Hence, it is a part of probability and statistics.

What is Pareto Chart?

A Pareto chart is a bar graph or the combination of bar and line graphs. The purpose of using this chart is
to represent a set of data in a bar graph chart. The individual values are represented by the length of the bars
and the line shows the combined total. The values are expressed from the longest bar to the shortest bar in
the graph. These charts are also created using the excel sheets. Basically these graphs give statistical
information on a bulk of information for each category. Hence, it is a part of Mathematical statistics.

Pareto Chart Analysis and Interpretation

Let us learn how to make use of the Pareto chart for various applications.

 Firstly, determine the classifications you will use to arrange the items in the bar graph.
 Choose an appropriate measurement such as frequency, quantity, cost and time.
 Decide the time period for the Pareto chart for which the bar graph will be drawn, For example, for a
week, a month or a year.
 Assemble the new data and already existing data as per the category and period of time.
 Do the total of the measurements for all the categories.
 Choose the proper scale for the measurements you have assembled. The total you made in the above
step will be the maximum value.
 Now for each category construct the bars along with labelling it. The longest bar should be placed at
the leftmost place and shortest at the rightmost.

Applications of Pareto Chart

Pareto charts are the best chart to do the analysis of the bulk of data. In business industries, these charts are
used very often. Let us see some of its more applications.

 For the analysis of the revenue growth of the organisation with respect to the time period.
 To choose for any specific data and work on it, in a broad set of data available.
 To explain to other people the set of data you have.
 For the analysation of population growth in a city or country or all over the world every year.
 To check the global problems and focus on resolving the major one.
 To check the major complaints coming from the public and resolve them on priority.

Pareto Chart Example

Let us take an example, where we need to prepare a chart of feedback analysis for XYZ restaurant, as per the
reviews and ratings received from the customers. Here the customers are given a checklist of four points
based on which they have to rate the restaurant out of 10. The four points are:

1. Taste of the Food

2. Quality of the food
3. Price
4. Presentation
Now, let us draw the Pareto chart for the Feedback of XYZ restaurant as per the data received.
Thus, Pareto chart considers the percentage of frequency (or measure) and cumulative percentage of
measures to draw a line along with bars. Also, the cumulative percentage adds up to 100.

Cause and effect diagrams

What is a “Cause and Effect Diagram”?
A cause-effect diagram is a visual tool used to logically organize possible causes for a specific problem or
effect by graphically displaying them in increasing detail, suggesting causal relationships among theories. A
popular type is also referred to as a fishbone or Ishikawa diagram. Cause-Effect can also be diagrammed
using a tree diagram.
When diagnosing the cause of a problem, a cause-effect diagram helps to organize various theories about
root causes and presents them graphically.
The C-E Diagram is a fundamental tool utilized in the early stages of an improvement team. The ideas
generated during a brainstorming or affinity process are used to populate the diagram. Since the list of issues
on a C-E may be very large, the team should use a prioritization or multi-vote technique to narrow the list of
potential cause that they desire to investigate farther.
At the head of the diagram is the “Effect” that the team is investigating. The team brainstormed potential
causes for this effect. The skeleton becomes the various potential causes and the headers are the column
heads from the affinity diagram.
Cause and Effect Diagram Examples
A simple cause-effect diagram is shown in Figure 29. The phenomenon to be explained is “Lost control of
car.” Some of the possible major factors contributing to that lost control are a flat tire, a slippery road,
mechanical failures, and driver error. Each of these major categories of causes may, in turn, have multiple
causes. A flat tire may come from a nail, a rock, glass, or a blow-out from material failure. The causal
relationship can be traced back still more steps in the causal chain if necessary or appropriate. Lost control
may arise from a mechanical failure; that failure may be a brake failure, which, in turn, may come either
from fluid loss or from worn pads. You can probably think of other factors to add to this diagram.

Cause and Effect Diagram Example: Lost Control of Car

As we can see from Figure 29, this tool has three prominent basic features:
 It is a visual representation of the factors that might contribute to an observed effect or phenomenon that
is being examined.
 The interrelationships among the possible causal factors are clearly shown. One causal factor may
appear in several places in the diagram. For example, if temperature affects both moisture content and
physical dimensions, then temperature would appear in both places.
 The interrelationships are generally qualitative and hypothetical.
A cause-effect diagram is usually prepared as a prelude to developing the data needed to establish
causation empirically.
Cause and Effect Tree Diagram Example: Lost Control of Car
The cause-effect tree is conceptually similar to the cause-effect diagram. It is sometimes easier to construct,
and some computer software packages have adopted this form. Figure 30 reproduces the contents of Figure
29 in a tree form.

Cause and Effect Diagram Key Concepts

1. A cause-effect diagram cannot identify a root cause; it presents graphically the many causes that might
contribute to the observed effect.
2. It is a visual representation of the factors that might contribute to an observed effect that is being
examined.
3. The interrelationships among the possible causal factors are clearly shown. One causal factor may
appear in several places in the diagram.
4. The interrelationships are generally qualitative and hypothetical.
5. It focuses the attention of all team members on the specific problem at hand in a structured, systematic
way.

The following image is an example of a Cause and Effect Diagram.

 

Cause and Effect Diagram Components

Cause and Effect Sequence Relationship

The most important consideration in the construction of a cause-effect diagram is a clear understanding of
the cause-effect relationship.

When one has completed the diagram, one should be able to start at any endpoint and read the diagram as
follows (using Figure 29 as an example): “Snow causes the road to be slippery. The slippery road causes
loss of control of the car.” Alternatively, one can start with the phenomenon being explained and read it
backward like this: “Control of the car was lost because the road was slippery. The road was slippery
because it had snow.” In a properly constructed diagram, reading any of the branches in this way should
make good sense. We may not have evidence on which cause was actually the culprit, but the statement
should make good logical sense.
All possible sources of causation need to be considered. There are at least four classes of causes that may
apply to any problem:

1. Objects such as machines and material

2. Conditions such as motivations, temperature, or level of demand
3. Timed sequence in the process such as time of day or sequence in production
4. The effects associated with place such as a particular production line, the loading dock, the distributor,
or a particular branch office.
These are the what, why, when, and where of cause and effect and should always be asked. In addition to the
4 W’s (what, why, when, and where), teams that use cause-effect diagrams have developed two other lists
that help them remember to consider these several classes of possible causes for a problem. These lists are
characterized as the 5 M’s in manufacturing and the 5 P’s in services, as follows:
1. Manpower: People (employees)
2. Materials: Provisions (supplies)
3. Methods: Procedures
4. Machines: Place (environment)
5. Measurements: Patrons (customers)
People have found the W’s, M’s, and P’s helpful aids in remembering to consider a full range of possible
causes. There is, however, no particular magic in the specific words, and they do not all apply in all cases.
You may find one of these lists helpful or develop your own. The important point is to consider all possible
sources of causation by posing a number of questions such as, “What procedures do we have that might
cause this problem?”
Key Strengths of the Cause and Effect Diagram Tool
The major advantage of this tool lies in the fact that it focuses the attention of all the people involved with
on the specific problem at hand in a structured, systematic way. It encourages innovative thinking and still
keeps the team on track in an orderly way. The 5 Whys can be applied to the brainstormed theories to get to
suspected root causes.
The second key strength of this tool is that its graphic representation allows very complex situations to be
presented, showing clear relationships between elements. When a problem is potentially affected by
complex interactions among many causes, the cause-effect diagram provides the means of documenting and
organizing them all.
For the same reason, the C-E diagram has a tremendous capability of communicating to others.
How to Construct a Cause and Effect Diagram
Getting Ready
Construct a cause-effect diagram when you have reached the point of developing theories to guide the
characterize step. The knowledge to be used to construct the cause-effect diagram comes from the people
familiar with the problem and from data that has been gathered up to that point.
Some of the power in a cause-effect diagram is in its visual impact. Observing a few simple rules below will
enhance that impact.
Step 1: Define the Effect
Define clearly the effect or symptom for which the causes must be identified. The “effect” must be defined
in writing. For additional clarity, it may be advisable to spell out what is included and what is excluded.
 If the effect is too general a statement, it will be interpreted quite differently by the various people involved.
The contributions will then tend to be diffuse rather than focused. They may bring in considerations that are
irrelevant to the problem at hand. For example, “Too many customer complaints are being received by the
Customer Service Department” is probably too vague. Spend more time on the analysis of the symptoms so
that the specific problem for investigation can be stated more like, “The number of customer complaints
about overbooking of flights has doubled in the last year.”
Of course, the effect should also be directly related to the goal statement.

Step 2: Place the Effect

Place the effect or symptom at the right, enclosed in a box. Draw the central spine as a thicker line pointing
to it, as in Figure 35.
Step 3: Identify Possible Causes
Use brainstorming or a rational step-by-step approach to identify the possible causes. There are two possible
approaches to obtaining contributions for the causes to be placed on the diagram: brainstorming and a
rational step-by-step approach. You, the team or its leadership will need to make a choice based on an
assessment of readiness.
Brainstorming would normally be indicated for a team with a few individuals who are likely to dominate the
conversation in a destructive manner or for a team with a few individuals who are likely to be excessively
reserved and not make contributions. Also, brainstorming may be best in dealing with highly unusual
problems where there will be a premium on creativity.
If one uses brainstorming to identify possible causes, then once the brainstorming is completed, process the
ideas generated into the structured order of a cause-effect diagram. This processing will take place in much
the same way as described below for the step-by-step procedure, except that the primary source of ideas for
inserting in the diagram will come from the list already generated in brainstorming rather than directly from
the team members.
If the team members are prepared to work in that environment, a step-by-step approach will usually produce
a final product in less time, and the quality of the proposed causal relationships will normally be better.
In the step-by-step procedure, begin by identifying the major causes or classes of causes that will be placed
in the boxes at the ends of the main spines coming off the central spine of the diagram.
It may helpful to start with some simple mnemonic lists of possible major areas as a reminder of the many
possible sources of causative factors. These lists are characterized as the 5 M’s in manufacturing and the 5
P’s in services, and are as follows:
1. Manpower: People (employees)
2. Materials: Provisions (supplies)
3. Methods: Procedures
4. Machines: Place (environment)
5. Measurements: Patrons (customers)
The 4 W’s can also be used as important guides to a full exploration of the possibilities:
1. What
2. Why
3. When
4. Where
These are just helpful places to start. Start with one of these sets of categories and, after a while, rearrange
the results into another set of major areas that fit its particular problem more appropriately.
After identifying the major causes, select one of them and work on it systematically, identifying as many
causes of the major cause as possible. Take each of these “secondary” causes and ask whether there are any
relevant causes for each of them.
Continue to move systematically down the causal chain within each major or secondary cause until that one
is exhausted before moving on to the next one. Ideas may surface that should apply to an area already
completed. Be sure to backtrack and add the new idea.
Step 4: Place the Major Causes
Each of the major causes (not less than two and normally not more than six) should be worded in a box and
connected with the central spine by a line at an angle of about 70 degrees. Here, as well as in subsequent
steps, it has proved useful to use adhesive notes to post the individual main and subsidiary causes about the
main spine. Since these notes can be easily attached and moved, it will make the process more flexible and
the result easier for the participants to visualize. Figure 36 generalizes the diagram to this point.
Step 5 (Part A): Add Causes to Main Area
Add causes for each main area. Each factor that is a cause of a main area is placed at the end of a line that is
drawn so that it connects with the appropriate main area line and is parallel with the central spine. Figure 37
shows how to display a number of possible causes of problems arising from an engine, which is a main area
for some larger symptom that is being explained.

C-E diagrams are generally easier to read and appear more visually pleasing if the text is placed at the end of
the line as in Figure 37. Other users have placed the text on the line like Figure 38. Text on the line tends to
be harder to use and read, especially as more levels of subsidiary causes are added.
Step 5 (Part B): Less Desirable Placement

 
Step 6 (Part A): Add Subsidiary Causes for Each Cause
Add subsidiary causes for each cause already entered. Each of these causes is placed at the end of a line
which is drawn (1) to connect with the line associated with the factor that it causes and (2) parallel with
either the main area line or the central spine. Figure 39 is an amplification of the portion of a C-E diagram
introduced in Step 5. Note how the governor and throttle have been added as possible causes of the wrong
speed of the engine. Throttle malfunction may result from either of two causes: Faulty calibration or
defective linkage.

Keeping the lines parallel makes reading easier and the visual effect more pleasing. Clearly, when one is
actually working on a C-E diagram in a team meeting, one cannot always keep the lines neat and tidy. In the
final documentation, however, it is found that using parallel lines makes for a more satisfactory diagram. A
diagram composed of lines with random orientation like the following example is harder to read and looks
less professional.
Step 6 (Part B): Less Desirable Placement

Step 7: Continue Adding Possible Causes

Continue adding possible causes to the diagram until each branch reaches a root cause. As the C-E diagram
is constructed, team members tend to move back along a chain of events that is sometimes called the causal
chain. Teams move from the ultimate effect they are trying to explain, to major areas of causation, to causes
within each of those areas, to subsidiary causes of each of those, and so forth. When do they stop? Teams
should stop only when the last cause out at the end of each causal chain is a potential root cause.

A root cause has three characteristics that will help explain when to stop. First, it causes the event the team
had sought after—either directly or through a sequence of intermediate causes and effects. Second, it is
directly controllable. That is, in principle, team members could intervene to change that cause. In the engine
example, we have been using in this section, speed cannot be controlled directly. Control of speed is
dependent on proper functioning of the throttle and governor, but proper control with the throttle is
dependent on correct calibration and proper functioning of the linkage. The calibration and the linkage can
be controlled. They are root causes.
Third, and finally, as the result of the other two characteristics, if the theory embodied in a particular entry
on the diagram is proved to be true, then the elimination of that potential root cause will result in the
elimination or reduction of the problem effect that we were trying to explain.
Step 8: Check Logical Validity of Each Causal Chain
Check the logical validity of each causal chain. Once the entire C-E diagram is complete, it is wise to start
with each potential root cause and “read” the diagram forward to the effect being explained. Be sure that
each causal chain makes logical and operational sense. Consider the following example, which is a portion
of a C-E diagram seeking to explain errors in an order-entry process. One main area of errors concerns
errors in the part numbers. Sales representatives look up the part in a catalog and enter the part number on an
order form. The information from the form is then keyed into a database.
Start with the proposed root cause “keying error.” Then read it as follows: “Keying errors cause fatigue
which causes the wrong part numbers…” Once we try to read the diagram, the problem becomes clear.
Keying errors do not cause fatigue; fatigue causes keying errors, and the diagram should be reorganized as
follows.

This redrawn diagram places fatigue, format, and training as root causes of three different intermediate
causes of the wrong part numbers —misreading the catalog, entering the data on the form improperly, and
keying the data improperly. Because these now trace out logical causal chains, it is easier to devise effective
ways of testing the theories. For example, form formats which cause problems in keying may differ from
those which create problems in the original pencil entry.
The general “lack of training” cause on the original diagram is normally a good danger sign that the causal
chain needs to be checked. Lack of training in reading the catalog will create reading errors, but if the errors
come at the keying stage, no amount of training on use of the catalog will do any good. Whenever one sees
“lack of training” (or lack of anything else for that matter) on a C-E diagram, one should ask two questions.
First, exactly which skill is training lacking in? And second, how does that lack cause the factor being
explained at the moment? As we saw in our example here, answers to those questions may help identify
missing intermediate causal factor and causal relationships that are stated backward.
Step 9: Check for Completeness
As discussed more fully in the interpretation section, check for the following:
 Main branches with fewer than three causes
 Main branches with substantially fewer causes than most others
 Main branches that go into less detail, with fewer levels of subsidiary causes than do the others
 Main branches that have substantially more causes than most of the others
The existence of one of these conditions does not automatically mean a defect in the diagram; it merely
suggests that further investigation is warranted. At this point, it is also good to double check that the 4 W’s,
5 M’s, and/or 5 P’s are considered as appropriate.
 When to Use Cause and Effect Diagrams
Formulating Theories
The chief application of the cause-effect diagram is for the orderly arrangement of theories about the causes
of the observed quality problem that the team is assigned to resolve. Once the theories are well understood
and ordered, then the team will use its best collective judgment to identify those theories which should be
tested. The final objective of the characterize step is the identification of the primary root cause or causes of
the team’s problem.
There are also other opportunities for organizing theories. The team may want to know why some part of the
process works better than other parts. For example:
 Why does automobile A obtain ten percent better mileage per gallon than all other similar vehicles
tested?
 Why is the productivity of assembly line B always higher than the productivity of the other lines?
Designing for Culture
During the Improve step, the cause-effect diagram may also be useful for the team in considering the
cultural impact of its proposed remedy. A cause-effect diagram can sometimes be helpful in thinking
systematically about the resistance that the proposed solution is likely to meet. If the phenomenon to be
explained is resistance to the proposed remedy, then the team can construct a cause-effect diagram to help
identify the most important resistances it will need to address.
How to Interpret Cause and Effect Diagrams
The Result
The cause-effect diagram does not provide an answer to a question, as some other tools do. Its main value is
to serve as a vehicle for producing, in a very focused manner, a list of all known or suspected causes which
potentially contribute to the observed effect. At the time of generating the cause-effect diagram, it is not
usually known whether these causes are responsible for the effect or not.
A well-prepared cause-effect diagram is a superb vehicle for helping to reach a common understanding of a
complex problem, with all its elements and relationships clearly visible at whatever level of detail is
required. The output of the diagram can be leveraged by prioritizing potential causes or theories for further
investigation.
The Difference between Theory and Fact
We have noted that cause-effect diagrams present and organize theories. Only when theories are tested with
data can we prove causes of observed phenomena. The cause-effect diagram helps organize the search for
the causes, but it does not identify the causes. Other tools, such as Pareto analysis, scatter diagrams, and
histograms, will be used to analyze data to establish the causality empirically.
Checking for Completeness
As a cause-effect diagram is constructed, it should be reviewed for completeness. There can be no exact
rules for this review, but some guidelines are helpful. Some of these are discussed in more detail in the
construction section.)
Be certain that you have at least asked how each of the 4 W’s and each of the 5 M’s or 5 P’s might apply to
the effect.
Generally, each main branch of the diagram will have at least three or four additional branches. If one does
not, further consideration of that branch may be advisable to verify that it has been understood fully.
If some main branches have substantially fewer causes attached to them, or if the causes on them do not go
back as many steps in the causal chain, you may not have as full an understanding of that element of the
process as you do of the others. It may be appropriate to seek theories from additional persons familiar with
that element of the process.
If some branches appear overloaded with causes compared to the others, consider whether they might be
most appropriately divided into two or more main branches.
Verify that the cause at the end of each causal chain is potentially a root cause. Such a potential root cause
will normally satisfy three conditions. (1) You can trace a logical causal relationship from that cause,
through all its intermediate causes, to the final effect being explained. (2) That cause is, in principle, directly
controllable. (3) Therefore, if shown to be true, that cause could be eliminated, and the effect would
disappear or be reduced.
Potential Pitfalls and Problems in Interpretation
The most serious possible misinterpretation of a cause-effect diagram is to confuse this orderly arrangement
of theories with real data. The C-E diagram is a powerful and useful way to develop theories, display them,
and test their logical consistency. It is no substitute for empirical testing of the theories.
We will discuss in more detail later the need to test each causal relation in the C-E diagram for logical
consistency. Failure to make those checks can greatly reduce the usefulness of the diagram and often lead to
the waste of valuable time collecting and analyzing the wrong information.
Another common pitfall is to begin construction of the diagram before the symptoms have been analyzed as
thoroughly as existing information will permit. In such cases, the effect being explained may be so general
and ill-defined that the team will have a hard time focusing and the resulting diagram may be unnecessarily
large, complex, and difficult to use. A clear and precisely articulated effect will produce more relevant
theories, better causal relationships, and a more effective model for the selection and testing of theories.
A final pitfall is to limit the theories that are proposed and considered. While the symptom being explained
should be as precisely defined as possible, the team must seek to develop just as many theories as possible
about its causes. If a team does not develop a wide-ranging set of theories, they might miss their most
serious root cause.
What Is Done Next?
With a complete and logical set of theories in hand, the team will now want to discover which are the
principal root causes. This structured approach to identify theories allows investigation of those of
importance rather than wasting time on trivial theories. One or more of these theories will be selected for
testing, collect the data needed for the test, and apply one or more other tools to these data to either confirm
or deny the tested theories.
Scatter diagrams
A scatter diagram is one of seven core tools in project management. It is used to plan and monitor operations
to improve quality-related issues in an organization. Scatter diagrams are graphical statistical tools. They are
simple to use and help in improving business processes.
While typical charts and graphs use lines or bars to represent data, scatter diagrams use dots. At first glance,
this may be confusing, but scatter diagrams are easy to understand if you take the time. 
What is a scatter diagram?
A scatter diagram is a graph that shows the association between two variables for a collection of numerical
data. It depicts the link between a process component on one axis and the quality fault on the other to help
with process optimization.
A scatter diagram demonstrates the relationship between a change in a dependent variable Y in response to a
change in a corresponding independent variable X. How do we know which is the response and independent
variable?  
In general, the independent variable tries to explain or anticipate an observed outcome. The response
variable measures the outcome. When creating the graph, the points will fall along a line or curve if the
variables are correlated. 
A scatter chart might be helpful when one variable is measurable, but the other is not. You can forecast the
behavior of the dependent variable based on the independent variable after establishing how the variables
are connected. 
When would you use a scatter plot?
A scatter plot is an excellent tool for planning and measuring quality when:
Remove barriers, find clarity, exceed goals
Anything is possible with the most powerful work management software at your fingertips
Try for free
1. You have numerical data that is paired
2. Each value of your independent variable might have several values for your dependent variable
3. Objectively deciding whether a cause and effect are linked
4. Assessing if two seemingly similar outcomes are caused by the same thing
5. One variable can be measured, but the other can't
6. Investigating hypotheses concerning cause-and-effect interactions
7. Looking for the root of an issue that has been recognized
For instance, we may look at the pattern of plant height over time. You build the graph after selecting the
two variables: the plant's height and age. Once you've finished drawing the scatter diagram, you may
observe that as a plant grows older, it grows taller. This demonstrates a link between plant height and age.
The three types of scatter diagrams
The link between variables in scatter diagrams is indicated by the direction of the correlation on the graph. A
correlation in a scatter diagram occurs when two variables are determined to have a connection. 
You can use a regression line to predict how a change in one variable will likely affect the value of a
dependent variable. You can find a correlation when a cause-and-effect link exists between both variables.
Three types of correlations in scatter diagrams are: 
Positive correlation
If variables have a positive correlation, this signifies that when the independent variable's value rises, the
dependent variable's value rises as well. Consider this scatter diagram example: 
As the weight of human adults increases, the risk of diabetes also increases. The pattern of observation in
this example would slant from the chart's bottom left to the upper right.
Negative correlation
In the negative correlation, when the value of one variable grows, the value of the other variable falls. The
dependent variable's value drops as the independent variable's value rises. 
Here’s an example: When summer temperatures rise, sales of winter clothing declines. The pattern of
observation in this example would slant from the top left to the bottom right of the graph.
No correlation
The "no correlation" type is used when there's no potential link between the variables. It's also known as
zero correlation. The two variables plotted aren't connected in any way.
The area of land and air quality index, for example, have no relationship. As an area grows, there is no effect
on the air quality. These two variables have no association, and the observations will be dispersed all over
the graph. 
A fundamental observation to remember when studying correlation is that a link between two variables does
not guarantee causation. Stay mindful that correlation does not always indicate causation. A correlated
relationship may happen for any of the following reasons:
 The causal relationship being reversed
 A third variable causing it
 Accidents and coincidences
The advantages and disadvantages of scatter diagrams
Advantages of scatter diagrams include:
1. Patterns are easy to spot in scatter diagrams
2. A scatter diagram is easy to plot with two variables
3. Scatter diagrams are an effective way to demonstrate non-linear patterns
4. Scatter diagrams make it possible to determine data flow range, such as the maximum and minimum
values
5. Plotting scatter diagrams helps with better project decisions
6. Scatter diagrams help uncover the underlying root causes of issues
7. They can objectively assess if a given cause and effect are connected
Disadvantages of scatter diagrams include:
1. Reading scatter diagrams incorrectly may lead to false conclusions that one variable caused the other,
when both may have been influenced by a third
2. A relationship in a scatter diagram may not be apparent because the data does not cover a wide
enough range
3. Associations between more than two variables are not shown in scatter plots
4. Scatter diagrams cannot provide the precise extent of association
5. A scatter plot does not indicate the quantitative measure of the relationship between the two variables
Scatter diagram example
A scatter diagram can be applied to any data model with two variables and their respective numerical data.
Let's look at a scatter diagram example. 
We'll examine the number of workplace accidents happening at a factory. The two variables are the number
of shift hours and the number of accidents. We will produce our scatter diagram based on the following data
provided:
The independent or control variable on the horizontal axis are shift hours, while the dependent variable on
the vertical axis is the number of accidents. 
After drawing the scatter diagram, we see that the number of accidents increases as the number of shift
hours increases. This illustrates a positive correlation between the two.
Scatter plots do not always have a controlling parameter. It is possible to have two independent variables. In
such a situation, any axis can represent either independent variable.
Scatter diagrams in PMP
As part of the Project Management Professional (PMP) certification test preparation, it is crucial to
understand scatter diagrams in PMP terms. To be certified, aspiring project managers need to learn to create
and gain insights from scatter plot analysis.
The potential PMP candidate may be asked to evaluate data using scatter diagrams or choose the best quality
control tool to employ in a given circumstance. Although there are no specific scatter diagram examples for
the PMP exam, a general understanding of the tool is expected.
How to create a scatter diagram
Creating a scatter diagram can be broken into the following five steps:
1. Identify variables: Identifying the independent and dependent variables is the first step in creating a
scatter diagram. Find out which is the control variable affecting the dependent variable. Use variables
that are quantitative and objective. For example, say you are observing the time taken by a vehicle to
reach its destination at different speeds. The speed of the vehicle is the independent or control
variable, while the distance is the dependent variable. Remember, it is also possible for both variables
to be independent. 
2. Pull data: After you have determined both variables, gather data from the variables either by
witnessing the process or using digital sources and tools, such as analytics, maintenance systems,
automation, or mobile audit software.
3. Build the scatter plot: Once you've gathered your data, use a spreadsheet or scatter plot tool to
develop your scatter plot by connecting the dots representing each collection of numerical data. In our
earlier example, we would see how many hours it takes to get to the destination at different speeds.
The speeds are plotted on the x-axis, while the hours are plotted on the y-axis.
4. Determine the type of correlation: After plotting the dots on the scatter diagram, analyze and
determine the correlation between the two variables. The data trend could be upward, downward, or
undefined. The correlation between the two variables may be positive or negative, or there may be no
correlation. In our example, the correlation is negative as the number of hours declines with increased
speed.
5. Conduct a scatter plot analysis: We may come to several conclusions depending on how the scatter
plot turns out. Confirm your conclusions by using scatter plots in conjunction with other root cause
analysis methods. The key to fixing problems and building lasting remedies is to look at them from
various perspectives.
Getting started with scatter diagrams
Scatter diagrams help discover correlations between variables and guide quality control in project
management. They're a crucial part of the PMP certification exams and help project managers make better
decisions. 
Are you looking to improve your business processes and supercharge your project management? Use scatter
diagrams to compare elements and confirm your conclusions. Get a two-week free trial of Wrike’s project
management software to keep your ongoing projects organized.

Run Chart
What is a run chart?
A run chart is used to study collected data for trends or patterns over a specific period of time. A run chart
will help you:
  Monitor data over time to detect trends, shifts, or cycles
 Compare a measure before and after the implementation of solution to measure impact
 Focus attention on vital changes, not normal variation
 Track useful information for predicting trends
The run chart is a running record of a process over time:
 The vertical axis represents the process being measured
 The horizontal axis represents the units of time by which the measurements are made
 The centerline of the chart is the mean or average
A run is defined as one or more consecutive data points on the same side of the mean line.
How to create a run chart
1. Choose which data you will measure and track
2. Gather data: Generally, collect 20-25 data points, with which you can detect meaningful patterns over time
3. Create a graph on which you can plot your data (y axis, or vertical line) over time (x axis, or horizontal line)
4. Plot the data
5. Interpret the chart: Focus on the vital changes or meaningful trends/patterns, rather than each and every data
variation; keep reading for interpretation tips
 Using a run chart to test for special causes

Test #1: The presence of too much or too little variability

Use when there are too few or too many runs.
Test #2: The presence of a shift in the process
A special cause exists if a run contains too many data points (i.e., with 20 or more data points, a run of 8 or
more data points is considered "too long"; with less than 20 data points, a run of 7 might also be considered
"too long").
Test #3: The presence of a trend
A trend is defined as an unusually long series of consecutive increases or decreases in the data, (usually at
least 6 or 7).
 Examples of run charts
Isanti County, WIC no-show rate
This run chart from Isanti County shows the percentage of WIC appointments missed over a 1.5-year period.

Histograms
 Frequency distribution shows how often each different value in a set of data occurs. A histogram is the most
commonly used graph to show frequency distributions. It looks very much like a bar chart, but there are
important differences between them. This helpful data collection and analysis tool is considered one of
the seven basic quality tools.
WHEN TO USE A HISTOGRAM
Use a histogram when:
 The data are numerical
 You want to see the shape of the data’s distribution, especially when determining whether the output of a
process is distributed approximately normally
 Analyzing whether a process can meet the customer’s requirements
 Analyzing what the output from a supplier’s process looks like
 Seeing whether a process change has occurred from one time period to another
 Determining whether the outputs of two or more processes are different
 You wish to communicate the distribution of data quickly and easily to others

Histogram Example
HOW TO CREATE A HISTOGRAM
1. Collect at least 50 consecutive data points from a process.
2. Use a histogram worksheet to set up the histogram. It will help you determine the number of bars, the
range of numbers that go into each bar, and the labels for the bar edges. After calculating W in Step 2 of
the worksheet, use your judgment to adjust it to a convenient number. For example, you might decide to
round 0.9 to an even 1.0. The value for W must not have more decimal places than the numbers you will
be graphing.
3. Draw x- and y-axes on graph paper. Mark and label the y-axis for counting data values. Mark and label
the x-axis with the L values from the worksheet. The spaces between these numbers will be the bars of the
histogram. Do not allow for spaces between bars.
4. For each data point, mark off one count above the appropriate bar with an X or by shading that portion of
the bar.
HISTOGRAM ANALYSIS
 Before drawing any conclusions from your histogram, be sure that the process was operating normally
during the time period being studied. If any unusual events affected the process during the time period of
the histogram, your analysis of the histogram shape likely cannot be generalized to all time periods.
 Analyze the meaning of your histogram's shape. Typical histogram shapes and what they mean are covered
below.
HISTOGRAM WORKSHEET EXAMPLE
TYPICAL HISTOGRAM SHAPES AND WHAT THEY MEAN
Normal Distribution
A common pattern is the bell-shaped curve known as the "normal distribution." In a normal or "typical"
distribution, points are as likely to occur on one side of the average as on the other. Note that other
distributions look similar to the normal distribution. Statistical calculations must be used to prove a normal
distribution.
It's important to note that "normal" refers to the typical distribution for a particular process. For example,
many processes have a natural limit on one side and will produce skewed distributions. This is normal—
meaning typical—for those processes, even if the distribution isn’t considered "normal."

Skewed Distribution
The skewed distribution is asymmetrical because a natural limit prevents outcomes on one side. The
distribution’s peak is off center toward the limit and a tail stretches away from it. For example, a distribution
of analyses of a very pure product would be skewed, because the product cannot be more than 100 percent
pure. Other examples of natural limits are holes that cannot be smaller than the diameter of the drill bit or
call-handling times that cannot be less than zero. These distributions are called right- or left-skewed
according to the direction of the tail.
Double-Peaked or Bimodal
The bimodal distribution looks like the back of a two-humped camel. The outcomes of two processes with
different distributions are combined in one set of data. For example, a distribution of production data from a
two-shift operation might be bimodal, if each shift produces a different distribution of results. Stratification
often reveals this problem.

Plateau or Multimodal Distribution

The plateau might be called a “multimodal distribution.” Several processes with normal distributions are
combined. Because there are many peaks close together, the top of the distribution resembles a plateau.

Edge Peak Distribution

The edge peak distribution looks like the normal distribution except that it has a large peak at one tail.
Usually this is caused by faulty construction of the histogram, with data lumped together into a group
labeled “greater than.”

Comb Distribution
In a comb distribution, the bars are alternately tall and short. This distribution often results from rounded-off
data and/or an incorrectly constructed histogram. For example, temperature data rounded off to the nearest
0.2 degree would show a comb shape if the bar width for the histogram were 0.1 degree.
 Truncated or Heart-Cut Distribution
The truncated distribution looks like a normal distribution with the tails cut off. The supplier might be
producing a normal distribution of material and then relying on inspection to separate what is within
specification limits from what is out of spec. The resulting shipments to the customer from inside the
specifications are the heart cut.

Dog Food Distribution

The dog food distribution is missing something—results near the average. If a customer receives this kind of
distribution, someone else is receiving a heart cut and the customer is left with the “dog food,” the odds and
ends left over after the master’s meal. Even though what the customer receives is within specifications, the
product falls into two clusters: one near the upper specification limit and one near the lower specification
limit. This variation often causes problems in the customer’s process.

Flow charts
WHAT IS A FLOWCHART?
Also called: process flowchart, process flow diagram
Variations: macro flowchart, top-down flowchart, detailed flowchart (also called process map, micro map,
service map, or symbolic flowchart), deployment flowchart (also called down-across or cross-functional
flowchart), several-leveled flowchart
A flowchart is a picture of the separate steps of a process in sequential order. It is a generic tool that can be
adapted for a wide variety of purposes, and can be used to describe various processes, such as a
manufacturing process, an administrative or service process, or a project plan. It's a common process
analysis tool and one of the seven basic quality tools. 
Elements that may be included in a flowchart are a sequence of actions, materials or services entering or
leaving the process (inputs and outputs), decisions that must be made, people who become involved, time
involved at each step, and/or process measurements. 
WHEN TO USE A FLOWCHART
 To develop understanding of how a process is done
 To study a process for improvement
 To communicate to others how a process is done
 When better communication is needed between people involved with the same process
 To document a process
 When planning a project
FLOWCHART BASIC PROCEDURE
Materials needed: Sticky notes or cards, a large piece of flipchart paper or newsprint, and marking pens.
1. Define the process to be diagrammed. Write its title at the top of the work surface.
2. Discuss and decide on the boundaries of your process: Where or when does the process start? Where or
when does it end? Discuss and decide on the level of detail to be included in the diagram.
3. Brainstorm the activities that take place. Write each on a card or sticky note.
4. Arrange the activities in proper sequence.
5. When all activities are included and everyone agrees that the sequence is correct, draw arrows to show the
flow of the process.
 6. Review the flowchart with others involved in the process (workers, supervisors, suppliers, customers) to
see if they agree that the process is drawn accurately.
FLOWCHART CONSIDERATIONS
 Don’t worry about drawing the flowchart the "right way." Ultimately, the right way is the way that helps
those involved understand the process.
 Identify and involve in the flowcharting process all key people involved with the process. This includes
suppliers, customers, and supervisors. Involve them in the actual flowcharting sessions by interviewing
them before the sessions and/or by showing them the developing flowchart between work sessions and
obtaining their feedback.
 Do not assign a "technical expert" to draw the flowchart. People who actually perform the process should do
it.

FLOWCHART EXAMPLES
1. High-Level Flowchart for an Order-Filling Process

2. Detailed Flowchart

COMMONLY USED SYMBOLS IN DETAILED FLOWCHARTS

 One step in the process. The step is written inside the box. Usually, only one arrow goes out of the
box.

 Direction of flow from one step or decision to another.

 Decision based on a question. The question is written in the diamond. More than one arrow goes
out of the diamond, each one showing the direction the process takes for a given answer to the question.
(Often the answers are "yes" and "no.")

Delay or wait

Link to another page or another flowchart. The same symbol on the other page indicates that the
flow continues there.

 Input or output

Document

Alternate symbols for start and end points