STATISTICAL

PROCESS
CONTROL

Subgroup
A sample of units produced under a similar set of conditions.

Process average (also, process center)

An estimate of the overall mean or average for the process. An estimate of where the process is located, or centered.

Process variation (also, process spread, process variability)

An estimate of the variation or spread present in the process.

Two Types of Variation

Common Cause Noise Predictable Routine No Assignable Cause Expected Special Cause Signal Not Predictable Exceptional Assignable Cause Unusual

Stable vs Unstable Processes

A stable (or in control) process is one in which the key process responses and product properties show no signs of special causes.
An unstable (or out of control) process has both common and special causes present.

Visualizing Short-Term and Long-Term Variation

Long-Term

Measurement

Measurement

Short-Term

Long-Term

Time

Long-Term

Short-Term

Time

Measurement

Measurement

Time

Short-Term

Time

Short-Term

Long-Term

Visualizing Short-Term and Long-Term Variation "Individual World"

Long-Term Measurement Measurement

Short-Term

Short-Term

Long-Term

Time

Time

Long-Term Short-Term Time

Measurement

Measurement

Time

Short-Term

Long-Term

Short-Term vs Long-Term Variation

Short-term (sST) Long-term (sLT)

Represents the process

capability

Represents the total process

variation

Captures variation due to

common causes

Captures variation due to

common and special causes a

Measures variation within

subgroup or between successive values

Measures variation in all data Should not be used for

calculating control chart limits
7

Used for calculating control

chart limits

Calculating Short-Term and LongTerm Standard Deviations

Short-term (sST)
sST = R / d2 sST = s / c4 sST = MR / d2
If Stable, s LT s ST If Unstable, s LT s ST
8

Long-term (sLT)
sLT =
i=1

Xi X 2 n1

Rule of Thumb
< 1 Month Short-Term Data 1 to 3 Months Judgment Call >3 Months Long-Term Data

Stability Index
sLT sST

Stability Index =

For a stable process, you would expect index values near 1. For an unstable process, you would expect index values greater than 1. Rule of Thumb < 1.33 Good Process Stability. 1.33 to 1.67 Marginal Process Stability. > 1.67 Major Process Stability Issues.

Note: For use when n>75. If n<75, consider using <1.5, 1.5-2.0, and >2.0. Do not use when n<30

10

Switching Gears to Process Capability

-3s

+3s

LSL

USL
11

Specification Limits and Capable Processes

Specification Limits - often called voice of the customer and used to determine if the product meets a customer requirement. Usually stated as a LSL and USL but sometimes you may only have one of these.

A capable process is a stable process that demonstrates the ability to meet customer requirements. (A purist definition The simple fact is that no process is stable forever and ever and we still need to address the capability of our processes in the presence of instability)
When we talk capability indices, we're now comparing the process variation (and sometimes average) to the specification limits. Before when we were talking stability, we were comparing the process variation to the control limits.
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The Four Major Capability / Performance Indices

Cp and Cpk address short-term capability Pp and Ppk address long-term performance

13

Process Capability Indices - Cp

+3s

-3s

LSL

USL

Cp =

Spec Width (door*) Mfg Capability (car) =

USL - LSL 3s
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Process Capability Indices - Cp

LSL USL

Cp =

USL - LSL 6sST

Cp < 1 - not capable Cp = 1 - marginally capable Cp > 1 - capable

The average is not part of the formula. A measure of potential "best case" process capability if stable and on-target. Can be misleading if process is unstable or off target. Must have both a LSL and USL to calculate.

15

Visualizing Process Capability

Lower Spec. 0Limit .4
0.3 0.2 0.1 0.0 -4 -3 -2 -1 0 1 2 3 4

Cust. Tolerance

Upper Spec. Limit

Lower Spec 0.4 Limit 0.3

0.2 0.1 0.0 -8 -6

Cust. Tolerance

Upper Spec. Limit

-4

-2

Process Capability

Process Capability

Cp=1

Cp=2
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What if Process is Off-Target?

0.4

Lower Spec. Limit

Cust. Tolerance

Upper Spec. Limit

Cp = 1.33 Cpk = 1.33

0.3
0.2 0.1 0.0 -5.33 -4.0 -2.67 -1.33 0 1.33 2.67 4.0 5.33

0.4
0.3

Lower Spec. Limit

Cust. Tolerance

Upper Spec. Limit

Cp = 1.33 Cpk = 0.83

0.2 0.1 0.0 -5.33 -4.0 -2.67 -1.33 0 1.33 2.67 4.0 5.33

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Process Capability Indices - Cpk

LSL USL

Cpk =

Min (USL - avg, avg - LSL)

3sST

Cpk < 1 - not capable Cpk = 1 - marginally capable Cpk > 1 - capable
Cp = Cpk if process is on target. Still a measure of potential capability if the process is stable. Can be used for 1-sided specs. (Cpu, Cpl) A negative Cpk is possible if the average is outside specifications.

avg

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Process Performance Indices - Pp

LSL USL

Pp =

USL - LSL 6sLT

Pp < 1 - not meeting specs Pp = 1 - marginally meeting specs Pp > 1 - meeting specs

Considered a Process Performance Index If stable, Cp = Pp Can be misleading if process is off target.
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Process Performance Indices - Ppk

LSL USL

Ppk =

Min (USL - avg, avg - LSL)

3sLT

Ppk < 1 - not meeting specs Ppk = 1 - marginally meeting specs Ppk > 1 - meeting specs
If stable, Cpk = Ppk If on target, Pp = Ppk If stable and on target, Cp = Ppk Can be used for 1-sided specs. (Ppu, Ppl) Best indicator of actual process performance. A negative Ppk is possible if the average is outside specifications. avg

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Summary of Indices
Cp is the best indicator of potential process capability because it assumes a stable and on-target process. Cpk is an indicator of potential process capability if the process is stable. It does take into consideration if the process is off-target. Pp is an indicator of actual process performance if the process is on-target. It does take into consideration the long-term variability. Ppk is the best indicator of actual process performance because it considers the process average and long-term variability.
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One more Index

Sometimes it is desirable to operate the process at a target that is not midway between the specification limits. Cpk can still be used to estimate defect levels but does not reflect whether the process is centered on the target. Use Cpm for this.
USL - LSL

Cpm =

sST2 + (avg-tgt)2
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RUN CHART
A run chart is the simplest of charts. It is a single line plotting some value over time. A run chart can help you spot upward and downward trends it can show you a general picture of a process

Control Charts
Control charts are designed to prevent two common mistakes:

1) Adjusting the process when it should be left alone;

2) Ignoring the process when it may need to be adjusted.
Control (also, in control) The absence of special-cause variation.

A process that is in control exhibits only random variation. In other words, the process is stable or consistent.
Control charts assess statistical control by determining whether the process output falls within statistically calculated control limits and exhibits only random variation.

EXAMPLE

Median Line

Use Run Chart to look for evidence of patterns in your process data, and perform two tests for non-random behavior.
Run Chart plots all of the individual observations versus the subgroup number, and draws a horizontal reference line at the median. When the subgroup size is greater than one, Run Chart also plots the subgroup means or medians and connects them with a line. The two tests for nonrandom behavior detect trends, oscillation, mixtures, and clustering in your data. Such patterns suggest that the variation observed is due to special causes - causes arising from outside the system that can be corrected.

Common cause variation is variation that is inherent or a natural part of the process.
A process is in control when only common causes affect the process output.

What is a Control Chart?

A control chart is a statistical tool used to distinguish between variation in a process resulting from common causes and variation resulting from special causes.

One goal of using a Control Chart is to achieve and maintain process stability. Process stability is defined as a state in which a process has displayed a certain degree of consistency in the past and is expected to continue to do so in the future. This consistency is characterized by a stream of data falling within control limits

Example

An automobile assembly plant collected camshaft length measurements to assess the quality of the process. Five camshafts were measured from each of four shifts daily for five days. The five samples that comprise each subgroup were selected within a short period of time to minimize variation from one camshaft to the next.

Control limits
Control limits represent the limits of variation that should be expected from a process in a state of statistical control.

Specification limits?

Control limits

Specification limits Limits that are established for the process - they do not reflect how the process is actually performing. Specification limits are based on the customer requirements and detail how one wants the process to behave.

A stable process is one that is consistent over time with respect to the center and the spread of the data.

X bar Chart - Center

A stable process is one that is consistent over time with respect to the center and the spread of the data.

R bar Chart - Spread

Why Use Control Charts?

Monitor process variation over time

Differentiate between special cause and common cause variation Assess effectiveness of changes Communicate process performance

What are the types of Control Charts?

There are two main categories of Control Charts,

1.Those that display attribute data.

2.Those that display variables data.

Attribute Data: This category of Control Chart displays data that result from counting the number of occurrences or items in a single category of similar items or occurrences. These count data may be expressed as pass/fail, yes/no, or presence/absence of a defect.

Variables Data: This category of Control Chart displays values resulting from the measurement of a continuous variable. Examples of variables data

elapsed time, temperature, and radiation dose.

There are three types that will work for the majority of the data analysis cases you will encounter
X-Bar and R Chart

Individual X and Moving Range Chart for Variables Data Individual X and Moving Range Chart for Attribute Data

What are the elements of a Control Chart?

Each Control Chart actually consists of two graphs an upper and lower A Control Chart is made up of eight elements.

1.Briefly describes the information which is displayed. 2.Information on how and when the data were collected. 3.The counts or measurements are recorded in the data collection section of the Control Chart prior to being graphed.

Plotting Areas. A Control Chart has two areasan upper graph and a lower graphwhere the data is plotted.

a. The upper graph plots either the individual values, in the case of an Individual X and Moving Range chart, or the average (mean value) of the sample or subgroup in the case of an X-Bar and R chart. b. The lower graph plots the moving range for Individual X and Moving Range charts, or the range of values found in the subgroups for X-Bar and R charts.

5. Vertical or Y-Axis. This axis reflects the magnitude of the data collected. The Y-axis shows the scale of the measurement for variables data, or the count (frequency) or percentage of occurrence of an event for attribute data.

6. Horizontal or X-Axis. This axis displays the chronological order in which the data were collected.

7. Control Limits. Control limits are set at a distance of 3 sigma above and 3 sigma below the centerline. They indicate variation from the centerline and are calculated by using the actual values plotted on the Control Chart graphs.

8. Centerline. This line is drawn at the average or mean value of all the plotted data. The upper and lower graphs each have a separate centerline.

What are the steps for calculating and plotting an X-Bar and R Control Chart for Variables Data?
The X-Bar (arithmetic mean) and R (range) Control Chart is used with variables data when subgroup or sample size is between 2 and 15. The steps for constructing this type of Control Chart are:

Step 1 - Determine the data to be collected. Decide what questions about the process you plan to answer.

1.Determine what characteristic to be measured 2.Determine what characteristic to be measured 3.Determine what characteristic to be measured

4.Determine what characteristic to be measured

Step 2 - Collect and enter the data by subgroup. A subgroup is made up of variables data that represent a characteristic of a product produced by a process. The sample size relates to how large the subgroups are. Enter the individual subgroup measurements in time sequence in the portion of the data collection section of the Control Chart labeled MEASUREMENTS

STEP 3 - Calculate and enter the average for each subgroup. Use the formula below to calculate the average (mean) for each subgroup and enter it on the line labeled Average in the data collection section

Step 4 - Calculate and enter the range for each subgroup.

Use the following formula to calculate the range (R) for each subgroup. Enter the range for each subgroup on the line labeled Range in the data collection section

RANGE = (Largest Value in each Subgroup) -(Smallest Value in each Subgroup)

Range

Step 5 - Calculate the grand mean of the subgroups average. The grand mean of the subgroups average (X-Bar) becomes the centerline for the upper plot.

Step 6 - Calculate the average of the subgroup ranges. The average of all subgroups becomes the centerline for the lower plotting area.

Step 7 - Calculate the upper control limit (UCL) and lower control limit (LCL) for the averages of the subgroups.
Control limits define the parameters for determining whether a process is in statistical control.

NOTE: Constants, based on the subgroup size (n), are used in determining control limits for variables charts.

Use the following constants (A2) in the computation

Step 8 - Calculate the upper control limit for the ranges.

When the subgroup or sample size (n) is less than 7, there is no lower control limit. To find the upper control limit for the ranges, use the formula:

Use the following constants (D4) in the computation

Step 9 - Select the scales and plot the control limits, centerline, and data points, in each plotting area.
The scales must be determined before the data points and centerline can be plotted. Once the upper and lower control limits have been computed, the easiest way to select the scales is to have the current data take up approximately 60 percent of the vertical (Y) axis.

The scales for both the upper and lower plotting areas should allow for future high or low out-of control data points.

Plot each subgroup average as an individual data point in the upper plotting area. Plot individual range data points in the lower plotting area
UCL

CENTRE LINE

LCL

Variables control charts for individuals

Variables control charts for individuals are powerful and simple visual tools for determining whether a process is in or out of control.

When to use individuals control charts

When collecting samples to learn about a process, it is sometimes easier to combine the samples into subgroups, if it makes sense to group the samples together. When grouping is not appropriate, then a subgroup size of one provides a method for evaluating the process. Samples that cannot logically be grouped together are good candidates for individuals (I) and moving range (MR) charts. Some conditions that make using subgroups unfeasible or undesirable include: When each sample is uniquely identified with a specific period of time When each sample represents one distinct batch When there are long time intervals between each sample

When sampling or testing is destructive and/or expensive

When output is continuous and homogenous When there is a long cycle time for production

When the measurements are not necessarily related in time (for example, business data such as time to complete a contract or time to answer a question)

 A liquid detergent company wants to assess whether or not its process is in control. The liquid detergent is made in batches by mixing together a number of ingredients. The quality characteristic of interest is the pH value for each batch. Measurements of the pH value for 25 consecutive batches were taken. Because the liquid detergent is created in a batch process and only one measurement is taken for each batch, it is not appropriate to place the data in subgroups. Instead, the liquid detergent data should be analyzed using an Individuals (I) control chart, which considers each measurement to be an independent observation.

Example

Step 1 - Determine the data to be collected. Decide what questions about the process you plan to answer.
Step 2 - Collect and enter the individual measurements. Enter the individual measurements in time sequence on the line labeled Individual X in the data collection section of the Control Chart. These measurements will be plotted as individual data points in the upper plotting area.

STEP 3 - Calculate and enter the moving ranges. Use the following formula to calculate the moving ranges between successive data entries. Enter them on the line labeled Moving R in the data collection section.

Step 4 - Calculate the overall average of the individual data points. The average of the Individual-X data becomes the centerline for the upper plot.

Step 5 - Calculate the average of the moving ranges. The average of all moving ranges becomes the centerline for the lower plotting area.

Step 6 - Calculate the upper and lower control limits for the individual X values. The calculation will compute the upper and lower control limits for the upper plotting area. To find these control limits, use the formula:

You should use the constant equal to 2.66 in both formulas when you compute the upper and lower control limits for the Individual X values.

Step 7 - Calculate the upper control limit for the ranges. This calculation will compute the upper control limit for the lower plotting area. There is no lower control limit.

You should use the constant equal to 3.268 in the formula when you compute the upper control limit for the moving range data.

Step 8 - Select the scales and plot the data points and centerline in each plotting area. Once the upper and lower control limits have been computed, the easiest way to select the scales is to have the current spread of the control limits take up approximately 60 percent of the vertical (Y) axis.
Y Axis

UCL

60 % of Y Axis

LCL
X Axis

Step 9 - Provide the appropriate documentation. Each Control Chart should be labeled with who, what, when, where, why, and how information to describe where the data originated, when it was collected, who collected it, any identifiable equipment or work groups, sample size, and all the other things necessary for understanding and interpreting it. It is important that the legend include all of the information that clarifies what the data describe.

If you are working with attribute data, continue through steps 10, 11, 12a, and 12b Step 10 - Check for inflated control limits. When either of the following conditions exists, the control limits are said to be inflated, and you must recalculate them:

If any point is outside of the upper control limit for the moving range (UCLmR) If two-thirds or more of the moving range values are below the average of the moving ranges computed in Step 5.

Step 11 - If the control limits are inflated, calculate 3.144 times the median moving range. if the median moving range is equal to 6, then (3.144)(6) = 18.864
The centerline for the lower plotting area is now the median of all the values (vice the mean) when they are listed from smallest to largest.

When there is an odd number of values, the median is the middle value. When there is an even number of values, average the two middle values to obtain the median.

Step 12a - Do not compute new limits if the product of 3.144 times the median moving range value is greater than the product of 2.66 times the average of the moving ranges.

Step 12b - Recompute all of the control limits and centerlines for both the upper and lower plotting areas if the product of 3.144 times the median moving range value is less than the product of 2.66 times the average of the moving range.

These new limits must be redrawn on the corresponding charts before you look for signals of special causes. The old control limits and centerlines are ignored in any further assessment of the data.

What do we need to know to interpret Control Charts?

If a process is stable, the likelihood of a point falling outside this band is so small that such an occurrence is taken as a signal of a special cause of variation.

Even though all the points fall inside the control limits, special cause variation may be at work. The presence of unusual patterns can be evidence that your process is not in statistical control. Such patterns are more likely to occur when one or more special causes is present.

The three standard deviations are sometimes identified by zones. Each zones dividing line is exactly one-third the distance from the centerline to either the upper control limit or the lower control limit

What are the rules for interpreting X-Bar and R Charts?

Interpreting the tests for special causes

Note that only tests 1-4 are available for R, S, and moving range charts.

Test 1
One point more than 3-s from center line. Test 1 evaluates the pattern of variation for stability. Test 1 provides the strongest evidence of lack of control. If small shifts in the process are of concern, Tests 2, 5, and 6 can be used to supplement Test 1 to produce a control chart with greater sensitivity.

Test 2 Nine points in a row one the same side of the center line. Test 2 evaluates the pattern of variation for stability. If small shifts in the process are of concern, Test 2 can be used to supplement Test 1 to produce a control chart with greater sensitivity.

Test 3
Six points in a row, all increasing or all decreasing. Detects a trend or continuous movement up or down. This test looks for long series of consecutive points without a change in direction.

Test 4
Fourteen points in a row, alternating up or down.Points to the presence of a systematic variable. The pattern of variation should be random, but when a point fails Test 4 it means that the pattern of variation is predictable.

Test 5
Two out of three points more than 2s from the center line (same side).Test 5 evaluates the pattern of variation for small shifts in the process.

Test 6
Four out of five points more than 1s from center line (same side).Test 6 evaluates the pattern of variation for small shifts in the process.

Test 7
Fifteen points in a row within 1s of center line (either side).Test 7 identifies a pattern of variation that is sometimes mistaken as a display of good control. This type of variation is called stratification and is characterized by points that hug the center line too closely.

Test 7 identifies a pattern of variation that is sometimes mistaken as a display of good control. This type of variation is called stratification and is characterized by points that hug the center line too closely.

Test 8
Eight points in a row more than 1s from center line (either side).Test 8 is referred to as a mixture. A mixture pattern occurs when the points tend to avoid the center line and instead plot near the control limits.

What are the rules for interpreting XmR Control Charts? To interpret XmR Control Charts, you have to apply a set of rules for interpreting the X part of the chart, and a further single rule for the mR part of the chart.

RULES FOR INTERPRETING THE X-PORTION of XmR Control Charts: Apply the four rules discussed above, EXCEPT apply them only to the upper plotting area graph.
RULE FOR INTERPRETING THE mR PORTION of XmR Control Charts for attribute data:

Rule 1 is the only rule used to assess signals of special causes in the lower plotting area graph. Therefore, you dont need to identify the zones on the moving range portion of an XmR chart.

When should we change the control limits?

There are only three situations in which it is appropriate to change the control limits: When removing out-of-control data points. When a special cause has been identified and removed while you are working to achieve process stability, you may want to delete the data points affected by special causes and use the remaining data to compute new control limits. When replacing trial limits. When a process has just started up, or has changed, you may want to calculate control limits using only the limited data available. These limits are usually called trial control limits. You can calculate new limits every time you add new data. Once you have 20 or 30 groups of 4 or 5 measurements without a signal, you can use the limits to monitor future performance. You dont need to recalculate the limits again unless fundamental changes are made to the process. When there are changes in the process. When there are indications that your process has changed, it is necessary to recompute the control limits based on data collected since the change occurred. Some examples of such changes are the application of new or modified procedures, the use of different machines, the overhaul of existing machines, and the introduction of new suppliers of critical input materials.

EXERCISE 1: A team collected the variables data recorded in the table below.

Use these data to answer the following questions and plot a Control Chart: 1. What type of Control Chart would you use with these data? 2. Why? 3. What are the values of X-Bar for each subgroup? 4. What are the values of the ranges for each subgroup? 5. What is the grand mean for the X-Bar data? 6. What is the average of the range values? 7. Compute the values for the upper and lower control limits for both the upper and lower plotting areas. 8. Plot the Control Chart. 9. Are there any signals of special cause variation? If so, what rule did you apply to identify the signal?

EXERCISE 1 ANSWER KEY: 1. X-Bar and R. 2. There is more than one measurement within each subgroup. 3. Refer to Fig. 24. 4. Refer to Fig. 24. 5. Grand Mean of X = 4.52. 6. Average of R = 4.38. 7. UCLX = 4.52 + (0.729) (4.38) = 7.71. LCLX = 4.52 - (0.729) (4.38) = 1.33. UCLR = (2.282) (4.38) = 10.0. LCLR = 0. 8. Refer to Fig. 25. 9. No.

EXERCISE 2: A team collected the dated shown in the chart below.

Use these data to answer the following questions and plot a Control Chart: 1. What are the values of the moving ranges? 2. What is the average for the individual X data? 3. What is the average of the moving range data? 4. Compute the values for the upper and lower control limits for both the upper and lower plotting areas. 5. Plot the Control Chart. 6. Are the control limits inflated? How did you determine your answer? 7. If the control limits are inflated, what elements of the Control Chart did you have to recompute? 8. If the original control limits were inflated, what are the new values for the upper and lower control limits and centerlines? 9. If the original limits were inflated, replot the Control Chart using the new information. 10. After checking for inflated limits, are there any signals of special cause variation? If so, what rule did you use to identify the signal?

EXERCISE 2 ANSWER KEY: 1. Refer to Fig. 26. 2. 19.2. 3. 5.5. 4. UCLX = 33.8. LCLX = 4.6. UCLmR =18.0. LCLmR = 0. 5. Refer to Fig. 27. 6. Yes; one point out of control, and 2/3 of all points below the centerline. 7. All control limits and the centerline for the lower chart. The median value will be used in the re computation rather than the average. 8. UCLX = 31.8. LCLX = 6.6. UCLmR = 15.5. LCLmR = 0. CenterlinemR = 4 (median value). 9. Refer to Viewgraph 28. 10. Yes; the same point on the mR chart is out of control. Rule 1.

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