Second Edition, Issued July 2005

Issued 1992, Second Printing March 1995 (new cover only)

Copyright 1992, 1995, 2005
Daimler Chrysler Corporation, Ford Motor Company, and General Motors Corporation


STATISTICAL PROCESS

CONTROL

(SPC)


REFERENCE MANUAL

i
STATISTICAL PROCESS CONTROL
SPC
FOREWORD to Second Edition
This Reference Manual was developed by the Statistical Process Control (SPC) Work Group,
sanctioned by the DaimlerChrysler/Ford/General Motors Supplier Quality Requirements Task
Force, and under the auspices of the American Society for Quality (ASQ) and the Automotive
Industry Action Group (AIAG). The Work Group responsible for this Second edition was prepared
by the quality and supplier assessment staffs at DaimlerChrysler Corporation, Delphi Corporation,
Ford Motor Company, General Motors Corporation, Omnex, Inc. and Robert Bosch Corporation
working in collaboration with the Automotive Industry Action Group (AIAG).

The Task Force charter is to standardize the reference manuals, reporting formats and technical
nomenclature used by DaimlerChrysler, Ford and General Motors in their respective supplier
assessment systems. Accordingly, this Reference Manual can be used by any supplier to develop
information responding to the requirements of either DaimlerChrysler's, Ford's or General Motors'
supplier assessment systems. This second edition was prepared to recognize the needs and changes
within the automotive industry in SPC techniques that have evolved since the original manual was
published in 1991.

The manual is an introduction to statistical process control. It is not intended to limit evolution of
SPC methods suited to particular processes or commodities. While these guidelines are intended to
cover normally occurring SPC system situations, there will be questions that arise. These questions
should be directed to your customer's Supplier Quality Assurance (SQA) activity. If you are
uncertain as to how to contact the appropriate SQA activity, the buyer in your customer's
purchasing office can help.

The Task Force gratefully acknowledges: the leadership and commitment of Vice Presidents Peter
Rosenfeld at DaimlerChrysler Corporation, Thomas K. Brown at Ford Motor Company and Bo
Andersson of General Motors Corporation; the assistance of the AIAG in the development,
production and distribution of the manual; the guidance of the Task Force principals Hank Gryn
(DaimlerChrysler Corporation), Russ Hopkins (Ford Motor Company), and Joe Bransky (General
Motors Corporation). Therefore this manual was developed to meet the specific needs of the
automotive industry.
This Manual is copyrighted by DaimlerChrysler Corporation, Ford Motor Company, and General
Motors Corporation, all rights reserved, 2005. Additional manuals can be ordered from AIAG
and/or permission to copy portions of this manual for use within supplier organizations may be
obtained from AIAG at 248-358-3570 or http://www.aiag.org.


ii

ACKNOWLEDGEMENTS to Second Edition


The joint consensus on the contents of this document was effected through Task Team
Subcommittee Members representing DaimlerChrysler, Ford, and General Motors, respectively,
whose approval signatures appear below, and who gratefully acknowledge the significant
contribution of Gregory Gruska of Omnex Inc., Gary A. Hiner of Delphi Corporation, and David
W. Stamps of The Robert Bosch Corp.

The latest improvements were updating the format to conform to the current AIAG/ ISO/ TS
16949:2002 documentation, more clarification and examples to make the manual more user friendly
and additional areas which where not included or did not exist when the original manual was
written.

The current re-write subcommittee is chaired by Mike Down from General Motors Corporation and
consists of Todd Kerkstra and Dave Benham from DaimlerChrysler Corporation, Peter Cvetkovski
from Ford Motor Company, Gregory Gruska, as a representative of the Omnex Inc. and ASQ, Gary
A. Hiner of Delphi Corporation, and David W. Stamps of The Robert Bosch Corp.















Michael H. Down Todd Kerkstra
General Motors Corporation DaimlerChrysler Corporation
Peter Cvetkovski David R. Benham
Ford Motor Company DaimlerChrysler Corporation

This Manual is copyrighted by Chrysler Corporation, Ford Motor Company, General Motors
Corporation, all rights reserved, 1991. Additional copies can be ordered from A.I.A.G., and/or
permission to copy portions of the Manual for use within supplier organizations may be obtained from
A.I.A.G. at (248) 358-3570.

iii
STATISTICAL PROCESS CONTROL
SPC
FOREWORD to First Edition
This Reference Manual was prepared by the quality and supplier assessment staffs at Chrysler, Ford and
General Motors, working under the auspices of the Automotive Division of the American Society for
Quality Control Supplier Quality Requirements Task Force, in collaboration with the Automotive
Industry Action Group.

The ASQC/AIAG Task Force charter is to standardize the reference manuals, reporting formats and
technical nomenclature used by Chrysler, Ford and General Motors in their respective supplier
assessment systems: Supplier Quality Assurance, Total Quality Excellence and Targets for Excellence.
Accordingly, this Reference Manual can be used by any supplier to develop information responding to
the requirements of either Chrysler's, Ford's or General Motors' supplier assessment systems. Until now,
there has been no unified formal approach in the automotive industry on statistical process control.
Certain manufacturers provided methods for their suppliers, while others had no specific requirements.
In an effort to simplify and minimize variation in supplier quality requirements, Chrysler, Ford, and
General Motors agreed to develop and, through AIAG, distribute this manual. The work team
responsible for the Manual's content was led by Leonard A. Brown of General Motors. The manual
should be considered an introduction to statistical process control. It is not intended to limit evolution of
statistical methods suited to particular processes or commodities nor is it intended to be comprehensive
of all SPC techniques. Questions on the use of alternate methods should be
referred to your customer's quality activity.

The Task Force gratefully acknowledges: the senior leadership and commitment of Vice Presidents
Thomas T. Stallkamp at Chrysler, Clinton D. Lauer at Ford, and Donald A. Pais at General Motors; the
technical competence and hard work of their quality and supplier assessment teams; and the invaluable
contributions of the Automotive Industry Action Group (under AIAG Executive Director Joseph R.
Phelan) in the development, production and distribution of this Reference manual. We also wish to thank
the ASQC reading team led by Tripp Martin of Peterson Spring, who reviewed the Manual and in the
process made valuable contributions to intent and content.

Bruce W. Pince
Task Force Coordinator
Sandy Corporation
Troy, Michigan
December, 1991

iv
ACKNOWLEDGEMENTS to First Edition
The joint consensus on the contents of this document was effected through Task Team Subcommittee
Members representing General Motors, Ford, and Chrysler, respectively, whose approval signatures
appear below, and who gratefully acknowledge the significant contribution of Pete Jessup of the Ford
Motor Company, who was responsible for developing the majority of the material found in Chapters I,
II, and III, and the Appendix of this document.

Harvey Goltzer of the Chrysler Corporation contributed concepts relative to process capability and
capability studies, found in the introduction section of Chapter I. Jack Herman of Du Pont contributed
some of the concepts relative to capability and performance indices and the importance of measurement
variability, found in portions of Chapters II and IV, respectively.

The General Motors Powertrain Division contributed the discussion and examples relative to
subgrouping and process over-adjustment. The section in Chapter II which provides understanding of
process capability and related issues was developed by the General Motors Corporate Statistical Review
Committee. This committee also contributed to the development of Chapter IV, Process Measurement
Systems Analysis, as well as to some Appendix items.

Finally, valuable input to all sections of the manual was provided by ASQC representatives
Gregory Gruska, Doug Berg, and Tripp Martin.




























Leonard A. Brown, Victor W. Lowe, Jr David R. Benham,
G.M. Ford Chrysler

v
TABLE OF CONTENTS
CHAPTER I ................................................................1
Continual Improvement and Statistical Process Control ........................................................................... 1
Introduction ........................................................................................................................................... 3
Six Points ............................................................................................................................................... 4
CHAPTER I Section A ........................................................................................................................ 7
Prevention Versus Detection ..................................................................................................................... 7
CHAPTER I Section B ........................................................................................................................ 9
A Process Control System ......................................................................................................................... 9
CHAPTER I Section C ........................................................................................................................ 13
Variation: Common .................................................................................................................................. 13
and Special Causes ................................................................................................................................... 13
CHAPTER I Section D ........................................................................................................................ 17
Local Actions And Actions On The System ............................................................................................ 17
CHAPTER I Section E ......................................................19
Process Control and Process Capability ................................................................................................... 19
Control vs. Capability ............................................................................................................................ 19
Process Indices ...................................................................................................................................... 21
CHAPTER I Section F ........................................................................................................................ 25
The Process Improvement Cycle and Process Control ............................................................................. 25
CHAPTER I Section G ........................................................................................................................ 29
Control Charts: Tools For Process Control and Improvement ................................................................. 29
How do they work? ................................................................................................................................ 30
Approach: .............................................................................................................................................. 32
CHAPTER I Section H ........................................................................................................................ 37
Effective Use and Benefits of Control Charts .......................................................................................... 37
CHAPTER II ...........................................................................41
Control Charts .......................................................................................................................................... 41
Introduction: .......................................................................................................................................... 43
Variables Control Charts ..................................................................................................................... 45
Attributes Control Charts ...................................................................................................................... 47
Elements of Control Charts .................................................................................................................. 48
CHAPTER II - Section A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Control Chart Process ............................................................................................................................... 53
Preparatory Steps ................................................................................................................................. 53
Control Chart Mechanics ..................................................................................................................... 55
Establish Control Limits ................................................................................................................... 59
Interpret for Statistical Control ......................................................................................................... 60
Final Comments ............................................................................................................................... 63
Extend Control Limits for Ongoing Control .................................................................................... 65
CHAPTER II - Section B ...................................................................................................................... 69
Defining "Out-of-Control" Signals .......................................................................................................... 69
Point Beyond a Control Limit ............................................................................................................... 69
Patterns or Trends Within the Control Limits ...................................................................................... 70
Special Cause Criteria ......................................................................................................................... 75
Average Run Length (ARL) .................................................................................................................. 76
CHAPTER II - Section C ..................................................................................................................... 79
Control Chart Formulas ............................................................................................................................ 79

vi
Variables Control Charts .....................................................................................................................79
Average and Range Charts .................................................................79

Average and Standard Deviation Charts ................................................................ 83
Median and Range Charts ) .....................................................................85
Individuals and Moving Range Charts (X, MR) ....................................................87
Attributes Control Charts .....................................................................................................................89
Control Charts for Nonconforming Items .........................................................................................89
Proportion Nonconforming
(p
Chart) .................................................................................................89
Number of Nonconforming Chart (
np
Chart) ....................................................................................93
Number of Nonconformities per Unit Chart (
u
Chart) ......................................................................95
Number of Nonconformities Chart (
c
Chart) ....................................................................................97
CHAPTER III ............................................................................................................................................99
Other Types of Control Charts ................................................................................................................99
Introduction ........................................................................................................................................101
Probability Based Charts ...................................................................................................................101
Short-Run Control Charts ...................................................................................................................107
Charts for Detecting Small Changes ..................................................................................................109
Non-Normal Charts ............................................................................................................................113
Multivariate ........................................................................................................................................116
Other Charts .......................................................................................................................................117
Regression Control Charts ..............................................................................................................117
Residual Charts ...............................................................................................................................118
Autoregressive Charts .....................................................................................................................118
Zone Charts .....................................................................................................................................121
CHAPTER IV ..........................................................................................................................................125
Understanding Process Capability .........................................................................................................125
and Process Performance for Variables Data ........................................................................................125
Introduction ........................................................................................................................................127
CHAPTER IV - Section A ......................................................................................................................131
Definitions of Process Terms ................................................................................................................131
Process Measures for Predictable Processes .........................................................................................132
Indices Bilateral Tolerances ...............................................................................................................132
Indices Unilateral Tolerances .........................................................................................................137
CHAPTER IV - Section B .......................................................................................................................139
Description of Conditions .....................................................................................................................139
Handling Non-Normal and Multivariate Distributions .........................................................................140
Relationship of Indices and Proportion Nonconforming ....................................................................140
Non-Normal Distributions Using Transformations ............................................................................140
Non-Normal Distributions Using Non-Normal Forms .......................................................................142
Multivariate Distributions ..................................................................................................................144
CHAPTER IV - Section C ......................................................................................................................147
Suggested Use of Process Measures .....................................................................................................147
The Loss Function Concept ................................................................................................................148
Alignment of Process to Customer Requirements ...............................................................................153
APPENDIX A ..........................................................................................................................................157
Some Comments on Sampling ..............................................................................................................157
Effects of Subgrouping ........................................................................................................................157

vii
Autocorrelated Data .......................................................................................................................... 157
Multiple Stream Process Example ..................................................................................................... 162
Effects of Sample Size on Indices ....................................................................................................... 168
APPENDIX B ......................................................... 171
Some Comments on Special Causes .................................................................................................... 171
Over-Adjustment ................................................................................................................................ 171
Time Dependent Processes ............................................................................................................... 173
Repeating Patterns ............................................................................................................................. 175
APPENDIX C ......................................................... 177
Selection Procedure for the Use of the Control Charts Described in This Manual .............................. 177
APPENDIX D ......................................................... 179
Relationship Between C
pm
and Other Indices ....................................................................................... 179
APPENDIX E ......................................................... 181
Table of Constants and Formulas for Control Charts ........................................................................... 181
APPENDIX F . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
Capability Index Calculations Example ............................................................................................... 185
Data Set: ............................................................................................................................................... 186
Analysis ................................................................................................................................................ 187
Diameter Statistics: .......................................................................................................................... 188
Conclusion: ...................................................................................................................................... 190
APPENDIX G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Glossary of Terms and Symbols .......................................................................................................... 191
Terms Used in This Manual ............................................................................................................. 191
Symbols as Used in This Manual ...................................................................................................... 204
APPENDIX H ......................................................... 211
References and Suggested Readings .................................................................................................... 211
APPENDIX I ......................................................... 215
Standard Normal Tables ....................................................................................................................... 215
INDEX .............................................................. 217
S.P.C. Manual User Feedback Process ................................................................................................. 221





viii
LIST OF ILLUSTRATIONS
Figure I.1: A Process Control System ........................................................................................................................8
Figure I.2: Variation: Common Cause and Special Cause ....................................................................................12
Figure I.3: Process Control and Process Capability ...............................................................................................18
Figure I.4: The Process Improvement Cycle ..........................................................................................................24
Figure I.5: Control Charts ...........................................................................................................................................28
Figure II.1: Variables Data ..........................................................................................................................................44
Figure II.2: Attributes Data ........................................................................................................................................46
Figure II.3: Elements of Control Charts ..................................................................................................................49
Figure II.4a: Sample Control Chart (Front side) ....................................................................................................51
Figure II.4b: Sample Control Chart (back side) Event Log ...........................................................................52
Figure II.5: Extending Control Limits .....................................................................................................................56
Figure II.6: Control Limits Recalculation ................................................................................................................61
Figure II.7: Extend Control Limits for Ongoing Control ....................................................................................64
Figure II.8: Process Variation Relative to Specification Limits ...........................................................................67
Figure II.9: Points Beyond Control Limits ..............................................................................................................70
Figure II.10: Runs in an Average Control Chart ....................................................................................................71
Figure II.11: Runs in a Range Control Chart ..........................................................................................................72
Figure II.12: Nonrandom Patterns in a Control Chart .........................................................................................74
Figure II.13: Average and Range Charts ..................................................................................................................78
Figure II.14: Average and Standard Deviation Charts ..........................................................................................82
Figure II.15: Median and Range Charts ...................................................................................................................84
Figure II.16: Individual and Moving Range Charts ...............................................................................................86
Figure II.17: Proportion Nonconforming Chart ....................................................................................................88
Figure II.18: Number of Nonconforming Chart ...................................................................................................92
Figure II.19: Number of Nonconforming per Unit Chart ...................................................................................94
Figure II.20: Number of Nonconformities Chart ..................................................................................................96
Figure III.1: Control Charts .................................................................................................................................... 100
Figure III.2: Stoplight Control ................................................................................................................................ 102
Figure III.3: Pre-Control .......................................................................................................................................... 105
Figure III.4: DNOM Control Chart ...................................................................................................................... 108
Figure III.5: CUSUM Chart with V-Mask ............................................................................................................ 109
Figure III.6: X, MR Chart ......................................................................................................................................... 110
Figure III.7: EWMA Chart of Viscosity ............................................................................................................... 112
Figure III.8: X, MR Chart of Viscosity .................................................................................................................. 112
Figure IV.1: Within- and Between-Subgroup Variation .................................................................................... 130
Figure IV.2: C
pk
and P
pk
Comparison ..................................................................................................................... 133
Figure IV.3: Comparison between a Predictable and Immature Process ....................................................... 135
Figure IV.4: Cpk and Ppk Values Produced by a Predictable and Immature Process ................................ 136
Figure IV.5: "Goal Post" vs. Loss Function ........................................................................................................ 148
Figure IV.6: Comparison of Loss Function and Specifications ....................................................................... 150
Figure IV.7: Comparison of Loss Functions ....................................................................................................... 151
Figure IV.8: A Process Control System ................................................................................................................ 152
Figure IV.9: Process Alignment to Requirements .............................................................................................. 154

1





CHAPTER I

Continual Improvement
and
Statistical Process Control



















2
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CHAPTER 1
Continual Improvement and Statistical Process Control

1
The term "Variables", although awkward sounding, is used in order to distinguish the difference
between something that varies, and the control chart used for data taken from a continuous
variable.
3

Introduction
To prosper in today's economic climate, we automotive
manufacturers, suppliers and dealer organizations must be
dedicated to continual improvement. We must constantly seek more
efficient ways to produce products and services. These products and
services must continue to improve in value. We must focus upon our
customers, both internal and external, and make customer satisfaction
a primary business goal.
To accomplish this, everyone in our organizations must be
committed to improvement and to the use of effective methods. This
manual describes several basic statistical methods that can be used to
make our efforts at improvement more effective. Different levels of
understanding are needed to perform different tasks. This manual is
aimed at practitioners and managers beginning the application of
statistical methods. It will also serve as a refresher on these basic
methods for those who are now using more advanced techniques. Not
all basic methods are included here. Coverage of other basic methods
(such as check sheets, flowcharts, Pareto charts, cause and effect
diagrams) and some advanced methods (such as other control charts,
designed experiments, quality function deployment, etc.) is available
in books and booklets such as those referenced in Appendix H.
The basic statistical methods addressed in this manual include those
associated with statistical process control and process capability
analysis.
Chapter I provides background for process control, explains several
important concepts such as special and common causes of variation.
It also introduces the control chart, which can be a very effective
tool for analyzing and monitoring processes.
Chapter II describes the construction and use of control charts for
both variables
1
data and attributes data.
Chapter III describes other types of control charts that can be used
for specialized situations probability based charts, short-run charts,
charts for detecting small changes, non-normal, multivariate and
other charts.
Chapter IV addresses process capability analysis.
The Appendices address sampling, over-adjustment, a process for
selecting control charts, table of constants and formulae, the normal
table, a glossary of terms and symbols, and references.
CHAPTER 1
Continual Improvement and Statistical Process Control

4
Six Points

Six points should be made before the main discussion begins:

1) Gathering data and using statistical methods to interpret them are not
ends in themselves. The overall aim should be increased
understanding of the reader's processes. It is very easy to become
technique experts without realizing any improvements. Increased
knowledge should become a basis for action.
2) Measurement systems are critical to proper data analysis and they
should be well understood before process data are collected. When
such systems lack statistical control or their variation accounts for a
substantial portion of the total variation in process data, inappropriate
decisions may be made. For the purposes of this manual, it will be
assumed that this system is under control and is not a significant
contributor to total variation in the data. The reader is referred to the
Measurement Systems Analysis (MSA) Manual available from AIAG
for more information on this topic.
3) The basic concept of studying variation and using statistical signals
to improve performance can be applied to any area. Such areas can
be on the shop floor or in the office. Some examples are machines
(performance characteristics), bookkeeping (error rates), gross sales,
waste analysis (scrap rates), computer systems (performance
characteristics) and materials management (transit times). This
manual focuses upon shop floor applications. The reader is
encouraged to consult the references in Appendix H for
administrative and service applications.
4) SPC stands for Statistical Process Control. Historically, statistical
methods have been routinely applied to parts, rather than processes.
Application of statistical techniques to control output (such as parts)
should be only the first step. Until the processes that generate the
output become the focus of our efforts, the full power of these
methods to improve quality, increase productivity and reduce cost
may not be fully realized.
5) Although each point in the text is illustrated with a worked-out
example, real understanding of the subject involves deeper contact
with process control situations. The study of actual cases from the
reader's own job location or from similar activities would be an
important supplement to the text. There is no substitute for hands-on
experience.
6) This manual should be considered a first step toward the use of
statistical methods. It provides generally accepted approaches, which
work in many instances. However, there exist exceptions where it is
improper to blindly use these approaches. This manual does not
replace the need for practitioners to increase their knowledge of
statistical methods and theory. Readers are encouraged to pursue
formal statistical education. Where the reader's processes and
application of statistical methods have advanced beyond the material
CHAPTER 1
Continual Improvement and Statistical Process Control

5
covered here, the reader is also encouraged to consult with persons
who have the proper knowledge and practice in statistical theory as to
the appropriateness of other techniques. In any event, the procedures
used must satisfy the customer's requirements.
CHAPTER 1 Section A
Prevention Versus Detection
6





THE NEED FOR PROCESS
CONTROL

Detection Tolerates Waste

Prevention Avoids Waste
CHAPTER 1 Section A
Prevention Versus Detection
7
CHAPTER I - Section A
Prevention Versus Detection

In the past, Manufacturing often depended on Production to make the
product and on Quality Control to inspect the final product and
screen out items not meeting specifications. In administrative
situations, work is often checked and rechecked in efforts to catch
errors. Both cases involve a strategy of detection, which is wasteful,
because it allows time and materials to be invested in products or
services that are not always usable.
It is much more effective to avoid waste by not producing unusable
output in the first place a strategy of prevention.
A prevention strategy sounds sensible even obvious to most
people. It is easily captured in such slogans as, "Do it right the first
time". However, slogans are not enough. What is required is an
understanding of the elements of a statistical process control system.
The remaining seven subsections of this introduction cover these
elements and can be viewed as answers to the following questions:

What is meant by a process control system?
How does variation affect process output?
How can statistical techniques tell whether a problem is local in
nature or involves broader systems?
What is meant by a process being in statistical
control? What is meant by a process being
capable?
What is a continual improvement cycle, and what part can
process control play in it?

What are control charts, and how are they used?
What benefits can be expected from using control charts?


As this material is being studied, the reader may wish to refer to the
Glossary in Appendix G for brief definitions of key terms and
symbols.
CHAPTER 1 Section B
A Process Control System
8


Figure I.1: A Process Control System
CHAPTER 1 Section B
A Process Control System
9
CHAPTER I - Section B
A Process Control System
A process control system can be described as a feedback system.
SPC is one type of feedback system. Other such systems, which are
not statistical, also exist. Four elements of that system are
important to the discussions that will follow:
1. The Process By the process, we mean the whole combination
of suppliers, producers, people, equipment, input materials,
methods, and environment that work together to produce output,
and the customers who use that output (see Figure 1.1). The total
performance of the process depends upon communication between
supplier and customer, the way the process is designed and
implemented, and on the way it is operated and managed. The rest
of the process control system is useful only if it contributes either
to maintaining a level of excellence or to improving the total
performance of the process.
2. Information About Performance Much information about
the actual performance of the process can be learned by studying the
process output. The most helpful information about the
performance of a process comes, however, from understanding the
process itself and its internal variability. Process characteristics
(such as temperatures, cycle times, feed rates, absenteeism,
turnover, tardiness, or number of interruptions) should be the
ultimate focus of our efforts. We need to determine the target
values for those characteristics that result in the most productive
operation of the process, and then monitor how near to or far from
those target values we are. If this information is gathered and
interpreted correctly, it can show whether the process is acting in a
usual or unusual manner. Proper actions can then be taken, if
needed, to correct the process or the just-produced output. When
action is needed it must be timely and appropriate, or the
information-gathering effort is wasted.
3. Action on the Process Action on the process is frequently
most economical when taken to prevent the important
characteristics (process or output) from varying too far from their
target values. This ensures the stability and the variation of the
process output is maintained within acceptable limits. Such action
might consist of:
Changes in the operations
operator training
changes to the incoming materials
Changes in the more basic elements of the process itself
the equipment
how people communicate and relate
the design of the process as a whole which may be
vulnerable to changes in shop temperature or humidity
The effect of actions should be monitored, with further analysis
and action taken if necessary.
CHAPTER 1 Section B
A Process Control System
10
4. Action on the Output Action on the output is frequently least
economical when it is restricted to detecting and correcting out-of-
specification product without addressing the underlying process
problem. Unfortunately, if current output does not consistently meet
customer requirements, it may be necessary to sort all products and
to scrap or rework any nonconforming items. This must continue
until the necessary corrective action on the process has been taken
and verified.
It is obvious that inspection followed by action on only the output is
a poor substitute for effective process management. Action on only
the output should be used strictly as an interim measure for unstable
or incapable processes (see Chapter I, Section E). Therefore, the
discussions that follow focus on gathering process information and
analyzing it so that action can be taken to correct the process itself.
Remember, the focus should be on prevention not detection.
CHAPTER 1 Section B
A Process Control System
11
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CHAPTER 1 Section C
Variation: Common and Special Causes
12














































Figure I.2: Variation: Common Cause and Special Cause
CHAPTER 1 Section C
Variation: Common and Special Causes
2
Processes that have undergone several cycles of continual improvement.
13
CHAPTER I - Section C
Variation: Common and Special Causes
In order to effectively use process control measurement data, it is
important to understand the concept of variation, as illustrated in
Figure I.2.

No two products or characteristics are exactly alike, because any
process contains many sources of variability. The differences among
products may be large, or they may be immeasurably small, but they
are always present. The diameter of a machined shaft, for instance,
would be susceptible to potential variation from the machine
(clearances, bearing wear), tool (strength, rate of wear), material
(diameter, hardness), operator (part feed, accuracy of centering),
maintenance (lubrication, replacement of worn parts), environment
(temperature, constancy of power supply) and measurement system.
Another example is the time required to process an invoice could
vary according to the people performing various steps, the reliability
of any equipment they were using, the accuracy and legibility of the
invoice itself, the procedures followed, and the volume of other work
in the office.

Some sources of variation in the process cause short-term, piece-to-
piece differences, e.g., backlash and clearances within a machine and
its fixturing, or the accuracy of a bookkeeper's work. Other sources
of variation tend to cause changes in the output only over a longer
period of time. These changes may occur either gradually as with tool
or machine wear, stepwise as with procedural changes, or irregularly
as with environmental changes such as power surges. Therefore, the
time period and conditions over which measurements are made are
critical since they will affect the amount of the total variation that will
be observed.

While individual measured values may all be different, as a group
they tend to form a pattern that can be described as a distribution (see
Figure I2). This distribution can be characterized by:

Location (typical or "central" value)
Spread (span or "width" of values from smallest to largest)
Shape (the pattern of variation whether it is symmetrical,
skewed, etc.)
From the standpoint of minimum requirements, the issue of variation
is often simplified: parts within specification tolerances are
acceptable, parts beyond specification tolerances are not acceptable;
reports on time are acceptable, late reports are not acceptable.
However, the goal should be to maintain the location to a target
value with minimal variability. To manage any process and reduce
variation, the variation should be traced back to its sources. The first
step is to make the distinction between common and special causes of
variation.
Common causes refer to the many sources of variation that
consistently acting on the process. Common causes within a process
CHAPTER 1 Section C
Variation: Common and Special Causes
2
Processes that have undergone several cycles of continual improvement.
14
produce a stable and repeatable distribution over time. This is called
"in a state of statistical control. in statistical control, or sometimes
just "in control." Common causes yield a stable system of chance
causes. If only common causes of variation are present and do not
change, the output of a process is predictable.

Special causes (often called assignable causes) refer to any factors
causing variation that affect only some of the process output. They
are often intermittent and unpredictable. Special causes are signaled
by one or more points beyond the control limits or non-random
patterns of points within the control limits. Unless all the special
causes of variation are identified and acted upon, they may continue
to affect the process output in unpredictable ways. If special causes
of variation are present, the process output will not be stable over
time.

The changes in the process distribution due to special causes can be
either detrimental or beneficial. When detrimental, they need to be
understood and removed. When beneficial, they should be
understood and made a permanent part of the process. With some
mature processes
2
, the customer may give special allowance to run
a process with a consistently occurring special cause. Such
allowances will usually require that the process control plans can
assure conformance to customer requirements and protect the
process from other special causes (see Chapter I, Section E).

CHAPTER 1 Section C
Variation: Common and Special Causes
15
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CHAPTER 1 Section D
Local Actions And Actions On The System
16




LOCAL ACTIONS AND ACTIONS ON THE SYSTEM
Local Actions
Are usually required to eliminate special causes of variation
Can usually be taken by people close to the process
Can correct typically about 15% of process problems
Actions on the System
Are usually required to reduce the variation due to common causes
Almost always require management action for correction
Are needed to correct typically about 85% of process problems

CHAPTER 1 Section D
Local Actions And Actions On The System
3
Dr. W. E. Deming has treated this issue in many articles; e.g., see Deming (1967).
4
These observations were first made by Dr. J. M. Juran, and have been borne out in Dr. Deming's
experience.
17
CHAPTER I - Section D
Local Actions And Actions On The System
There is an important connection between the two types of variation
just discussed and the types of action necessary to reduce them.
3

Simple statistical process control techniques can detect special
causes of variation. Discovering a special cause of variation and
taking the proper action is usually the responsibility of someone who
is directly connected with the operation. Although management can
sometimes be involved to correct the condition, the resolution of a
special cause of variation usually requires local action, i.e., by people
directly connected with the operation. This is especially true during
the early process improvement efforts. As one succeeds in taking the
proper action on special causes, those that remain will often require
management action, rather than local action.
These same simple statistical techniques can also indicate the extent
of common causes of variation, but the causes themselves need more
detailed analysis to isolate. The correction of these common causes
of variation is usually the responsibility of management. Sometimes
people directly connected with the operation will be in a better
position to identify them and pass them on to management for action.
Overall, the resolution of common causes of variation usually
requires action on the system.
Only a relatively small proportion of excessive process variation
industrial experience suggests about 15% is correctable locally by
people directly connected with the operation. The majority the
other 85% is correctable only by management action on the
system. Confusion about the type of action to take is very costly to
the organization, in terms of wasted effort, delayed resolution of
trouble, and aggravating problems. It may be wrong, for example, to
take local action (e.g., adjusting a machine) when management action
on the system is required (e.g., selecting suppliers that provide
consistent input materials).
4
Nevertheless, close teamwork between
management and those persons directly connected with the operation
is a must for enhancing reduction of common causes of process
variation.
CHAPTER 1 Section E
Process Control and Process Capability
18





Figure I.3: Process Control and Process Capability
CHAPTER 1 Section E
Process Control and Process Capability
5
See TS 16949.
6
See W. E. Deming, (1994), and W. Shewhart, (1931).
19
CHAPTER I - Section E
Process Control and Process Capability
The process control system is an integral part of the overall business
management system.
5
As such, the goal of the process control
system is to make predictions about the current and future state of the
process. This leads to economically sound decisions about actions
affecting the process. These decisions require balancing the risk of
taking action when action is not necessary (over-control or
"tampering") versus failing to take action when action is necessary
(under-control).
6
These risks should be handled, however, in the
context of the two sources of variation - special causes and common
causes (see Figure I.3).
A process is said to be operating in statistical control when the only
sources of variation are common causes. One function of a process
control system, then, is to provide a statistical signal when special
causes of variation are present, and to avoid giving false signals when
they are not present. This allows appropriate action(s) to be taken
upon those special causes (either removing them or, if they are
beneficial, making them permanent).
The process control system can be used as a one-time evaluation tool
but the real benefit of a process control system is realized when it is
used as a continual learning tool instead of a conformance tool
(good/bad, stable/not stable, capable/not capable, etc.)


Control vs. Capability
When discussing process capability, two somewhat contrasting
concepts need to be considered:
Process capability
Process performance
Process capability is determined by the variation that comes from
common causes. It generally represents the best performance of the
process itself. This is demonstrated when the process is being
operated in a state of statistical control regardless of the
specifications.

Customers, internal or external, are however more typically
concerned with the process performance; that is, the overall output
of the process and how it relates to their requirements (defined by
specifications), irrespective of the process variation.
CHAPTER 1 Section E
Process Control and Process Capability
20
In general, since a process in statistical control can be described by a
predictable distribution, the proportion of in-specification parts can
be estimated from this distribution. As long as the process remains
in statistical control and does not undergo a change in location,
spread or shape, it will continue to produce the same distribution of
in-specification parts.

Once the process is in statistical control the first action on the
process should be to locate the process on the target. If the process
spread is unacceptable, this strategy allows the minimum number of
out-ofspecification parts to be produced. Actions on the system to
reduce the variation from common causes are usually required to
improve the ability of the process (and its output) to meet
specifications consistently. For a more detailed discussion of process
capability, process performance and the associated assumptions,
refer to Chapter IV.

The process must first be brought into statistical control by
detecting and acting upon special causes of variation. Then its
performance is predictable, and its capability to meet
customer expectations can be assessed. This is a basis for
continual improvement.

Every process is subject to classification based on capability and
control. A process can be classified into 1 of 4 cases, as illustrated
by the following chart:
Statistical Control
In-Control Out-of-Control
Acceptable Case 1 Case 3

Capability

Unacceptable Case 2 Case 4
To be acceptable, the process must be in a state of statistical control
and the capability (common cause variation) must be less than the
tolerance. The ideal situation is to have a Case 1 process where the
process is in statistical control and the ability to meet tolerance
requirements is acceptable. A Case 2 process is in control but has
excessive common cause variation, which must be reduced. A Case
3 process meets tolerance requirements but is not in statistical
control; special causes of variation should be identified and acted
upon. In Case 4, the process is not in control nor is it acceptable.
Both common and special cause variation must be reduced.
Under certain circumstances, the customer may allow a producer to
run a process even though it is a Case 3 process. These
circumstances may include:
o The customer is insensitive to variation within specifications (see
discussion on the loss function in Chapter IV).
CHAPTER 1 Section E
Process Control and Process Capability
21
The economics involved in acting upon the special cause
exceed the benefit to any and all customers. Economically
allowable special causes may include tool wear, tool regrind,
cyclical (seasonal) variation, etc.
The special cause has been identified and has been documented
as consistent and predictable.
In these situations, the customer may require the following:
The process is mature.
The special cause to be allowed has been shown to act in a
consistent manner over a known period of time.
A process control plan is in effect which will assure
conformance to specification of all process output and
protection from other special causes or inconsistency in the
allowed-special cause.
See also Appendix A for a discussion on time dependent processes.
Process Indices
The accepted practice in the automotive industry is to calculate the
capability (common cause variation) only after a process has been
demonstrated to be in a state of statistical control. These results are
used as a basis for prediction of how the process will perform.
There is little value in making predictions based on data collected
from a process that is not stable and not repeatable over time.
Special causes are responsible for changes in the shape, spread, or
location of a process distribution, and thus can rapidly invalidate
prediction about the process. That is, in order for the various
process indices and ratios to be used as predictive tools, the
requirement is that the data used to calculate them are gathered
from processes that are in a state of statistical control.

Process indices can be divided into two categories: those that are
calculated using within-subgroup estimates of variation and those
using total variation when estimating a given index (see also chapter
IV).
Several different indices have been developed because:
1) No single index can be universally applied to all processes, and
2) No given process can be completely described by a single index.
For example, it is recommended that Cp and Cpk both be used (see
Chapter IV), and further that they be combined with graphical
techniques to better understand the relationship between the
estimated distribution and the specification limits. In one sense, this
amounts to comparing (and trying to align) the "voice of the
process" with the "voice of the customer" (see also Sherkenbach
(1991)).

All indices have weaknesses and can be misleading. Any inferences
drawn from computed indices should be driven by appropriate
interpretation of the data from which the indices were computed.
CHAPTER 1 Section E
Process Control and Process Capability
22

Automotive companies have set requirements for process capability. It
is the reader's responsibility to communicate with their customer and
determine which indices to use. In some cases, it might be best to use
no index at all. It is important to remember that most capability
indices include the product specification in the formula. If the
specification is inappropriate, or not based upon customer
requirements, much time and effort may be wasted in trying to force
the process to conform. Chapter IV deals with selected capability and
performance indices and contains advice on the application of those
indices.
CHAPTER 1 Section E
Process Control and Process Capability
23

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CHAPTER 1 Section F
The Process Improvement Cycle and Process Control
24




































Figure I.4: The Process Improvement Cycle
CHAPTER 1 Section F
The Process Improvement Cycle and Process Control
7
Chrysler, Ford, and General Motors, (1995).
25
CHAPTER I - Section F
The Process Improvement Cycle and Process Control
In applying the concept of continual improvement to processes,
there is a three-stage cycle that can be useful (see Figure L4). Every
process is in one of the three stages of the Improvement Cycle.
1. Analyze the Process
A basic understanding of the process is a must when considering
process improvement. Among the questions to be answered in order
to achieve a better understanding of the process are:
What should the process be doing?
What is expected at each step of the process?
What are the operational definitions of the deliverables?
What can go wrong?
What can vary in this process?
What do we already know about this process' variability?
What parameters are most sensitive to variation?
What is the process doing?
Is this process producing scrap or output that requires rework?
Does this process produce output that is in a state of statistical
control?
Is the process capable?
Is the process reliable?
Many techniques discussed in the APQP Manual
7
may be applied to
gain a better understanding of the process. These activities include:

Group meetings
Consultation with people who develop or operate the process
("subject matter experts")
Review of the process' history
Construction of a Failure Modes and Effects Analysis (FMEA)

Control charts explained in this manual are powerful tools that should
be used during the Process Improvement Cycle. These simple
statistical methods help differentiate between common and special
causes of variation. The special causes of variation must be
addressed. When a state of statistical control has been reached, the
process' current level of long-term capability can be assessed (see
Chapter IV).
CHAPTER 1 Section F
The Process Improvement Cycle and Process Control
26
2. Mai nt ai n (Cont rol ) t he Pr ocess
Once a better understanding of the process has been achieved, the
process must be maintained at an appropriate level of capability.
Processes are dynamic and will change. The performance of the
process should be monitored so effective measures to prevent
undesirable change can be taken. Desirable change also should be
understood and institutionalized. Again, the simple statistical
methods explained in this manual can assist. Construction and use of
control charts and other tools will allow for efficient monitoring of
the process. When the tool signals that the process has changed,
quick and efficient measures can be taken to isolate the cause(s) and
act upon them.
It is too easy to stop at this stage of the Process Improvement Cycle.
It is important to realize that there is a limit to any company's
resources. Some, perhaps many, processes should be at this stage.
However, failure to proceed to the next stage in this cycle can result
in a significant competitive disadvantage. The attainment of "world
class" requires a steady and planned effort to move into the next
stage of the Cycle.
3. Impr ove t he Process
Up to this point, the effort has been to stabilize the processes and
maintain them. However, for some processes, the customer will be
sensitive even to variation within engineering specifications (see
Chapter IV). In these instances, the value of continual improvement
will not be realized until variation is reduced. At this point,
additional process analysis tools, including more advanced statistical
methods such as designed experiments and advanced control charts
may be useful. Appendix H lists some helpful references for further
study.
Process improvement through variation reduction typically involves
purposefully introducing changes into the process and measuring the
effects. The goal is a better understanding of the process, so that the
common cause variation can be further reduced. The intent of this
reduction is improved quality at lower cost.
When new process parameters have been determined, the Cycle
shifts back to Analyze the Process. Since changes have been made,
process stability will need to be reconfirmed. The process then
continues to move around the Process Improvement Cycle.
CHAPTER 1 Section F
The Process Improvement Cycle and Process Control
27
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CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
28













































Figure I.5: Control Charts
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
8
Deming (1989) and Deming (1994).
9
Shewhart (1931).
29
CHAPTER I - Section G
Control Charts:
Tools For Process Control and Improvement

In his books
8
, Dr. W. E. Deming identifies two mistakes frequently
made in process control:

Mistake 1. Ascribe a variation or a mistake to a special cause, when
in fact the cause belongs to the system (common causes).
Mistake 2. Ascribe a variation or a mistake to a system (common
causes), when in fact the cause was special.
Over adjustment [tampering] is a common example of mistake No.
1. Never doing anything to try to find a special cause is a common
example of mistake No.2."

For effective variation management during production, there must be
an effective means of detecting special causes. There is a common
misconception that histograms can be used for this purpose.
Histograms are the graphical representation of the distributional form
of the process variation. The distributional form is studied to verify
that the process variation is symmetric and unimodal and that it
follows a normal distribution.

Unfortunately normality does not guarantee that there are no
special causes acting on the process. That is, some special
causes may change the process without destroying its
symmetry or unimodality. Also a non-normal distribution may
have no special causes acting upon it but its distributional form
is non-symmetric.

Time-based statistical and probabilistic methods do provide
necessary and sufficient methods of determining if special causes
exist. Although several classes of methods are useful in this task, the
most versatile and robust is the genre of control charts which were
first developed and implemented by Dr. Walter Shewhart of the Bell
Laboratories
9
while studying process data in the 1920's. He first
made the distinction between controlled and uncontrolled variation
due to what is called common and special causes. He developed a
simple but powerful tool to separate the two the control chart.
Since that time, control charts have been used successfully in a wide
variety of process control and improvement situations. Experience
has shown that control charts effectively direct attention toward
special causes of variation when they occur and reflect the extent of
common cause variation that must be reduced by system or process
improvement.
It is impossible to reduce the above mistakes to zero. Dr. Shewhart
realized this and developed a graphical approach to minimize, over
the long run, the economic loss from both mistakes.
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
10
This is done by using the process information to identify and eliminate the existence of special
causes or detecting them and removing their effect when they do occur.
11
As with all probabilistic methods some risk is involved. The exact level of belief in prediction of
future actions cannot be determined by statistical measures alone. Subject-matter expertise is
required.
30
If process control activities assure that no special cause sources of
variation are active
10
, the process is said to be in statistical control
or "in control." Such processes are said to be stable, predictable, and
consistent since it is possible to predict
11
the performance of the
process.
The active existence of any special cause will render the process out
of statistical control or "out of control." The performance of such
unstable processes cannot be predicted.

How do they work?

Control Limits
When Shewhart developed control charts he was concerned with the
economic control of processes; i.e., action is taken on the process
only when special causes are present. To do this, sample statistics
are compared to control limits. But how are these limits determined?
Consider a process distribution that can be described by the normal
form. The goal is to determine when special causes are affecting it.
Another way of saying this is, "Has the process changed since it was
last looked at it or during the period sampled?"
Shewhart's Two Rules for the Presentation of Data:
Data should always be presented in such a way that preserves the
evidence in the data for all the predictions that might be made from
these data.
Whenever an average, range, or histogram is used to summarize
data, the summary should not mislead the user into taking any
action that the user would not take if the data were presented in a
time series.









Since the normal distribution is described by its process location
(mean) and process width (range or standard deviation) this question
becomes: Has the process location or process width changed?

Consider only the location. What approach can be used to determine
if the process location has changed? One possibility would be to look
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement

12
See the Central Limit Theorem.

13
Sewhart selected the 3 standard deviation limits as useful limits in achieving the economic control
of processes.
31
at every part produced by the process, but that is usually not
economical. The alternative is to use a sample of the process, and
calculate the mean of the sample.













If the process has not changed, will the sample mean be
equal to the distribution mean?
The answer is that this very rarely happens. But how is this
possible? After all, the process has not changed. Doesn't that imply
that the process mean remains the same? The reason for this is that
the sample mean is only an estimation of the process mean.
To make this a little clearer, consider taking a sample of size one.
The mean of the sample is the individual sample itself. With such
random samples from the distribution, the readings will eventually
cover the entire process range. Using the formula:

Range of the distribution of means = Process Range

for a sample of size four, the resulting range of sample averages
will be
of the process range; for a sample of size 100 it will be
of the process range.
12


Shewhart used this sampling distribution to establish an operational
definition of "in statistical control." First, start off with the
assumption that the process is in statistical control, i.e., innocent
until proven guilty. Then, compare the sample to the sampling
distribution using the +3 standard deviation limits
13
. These are
called control limits. If the sample falls outside these limits then
there is reason to believe that a special cause is present. Further, it
is expected that all the (random) samples will exhibit a random
ordering within these limits. If a group of samples shows a pattern
there is reason to believe that a special cause is present. (see chapter
I, Section C, and Chapter II, Section A).
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
14
Plan-Do-Study-Act cycle; also known as the PDCA, (Plan-Do-Check-Act) cycle.
32
due to Sampling Variation
UCL LCL


Distribution of Averages Distribution of Individuals














In general, to set up a control chart we calculate:

Centerline = average of the statistic being analyzed

UCL = upper control limit = centerline + 3 x standard deviation of the averages

LCL = lower control limit = centerline - 3 x standard deviation of the averages
Approach:

Since Control Charts provide the operational definition of "in
statistical control," they are useful tools at every stage of the
Improvement Cycle (see Chapter I, Section F). Within each stage, the
PDSA
14
cycle should be used.
For analysis of existing data sets
For the Analysis and Improvement stages of the cycle:
Review the data:
Is the metric appropriate; i.e., does it reflect a process
attribute and tied to a key business factor?
Are the data consistent; i.e., is the same operational
definition used by all parties collecting the data?
Are the data reliable; i.e., is a planned data collection
scheme utilized?
Is the measurement system appropriate and acceptable?
Plot the data:
Plot using the time order
Compare to control limits and determine if there are any
points outside the control limits
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
l5
The Greek letter is used to indicate the actual process mean, which is estimated by the sample
mean .
33
Compare to the centerline and determine if there are any
non-random patterns clearly discernible
Analyze the data
Take appropriate action
The data are compared with the control limits to see whether the
variation is stable and appears to come from only common causes. If
special causes of variation are evident, the process is studied to
further determine what is affecting it. After actions (see Chapter I,
Section D) have been taken, further data are collected, control limits
are recalculated if necessary, and any additional special causes are
acted upon.
After all special causes have been addressed and the process is
running in statistical control, the control chart continues as a
monitoring tool. Process capability can also be calculated. If the
variation from common causes is excessive, the process cannot
produce output that consistently meets customer requirements. The
process itself must be investigated, and, typically, management
action must be taken to improve the system.
For control
Review the data collection scheme before starting:
Is the metric appropriate; i.e., does it reflect a process
attribute and tied to a key business factor?
Will the data be consistent; i.e., is the same operational
definition used by all parties collecting the data?
Will the data be reliable; i.e., is a planned data collection
scheme used?
Is the measurement system appropriate and acceptable?
Plot each point as it is determined:
Compare to control limits and determine if there are any
points outside the control limits
Compare to the centerline and determine if there are any
non-random patterns clearly discernible
Analyze the data
Take appropriate action:
Continue to run with no action taken; or
Identify source of the special cause and remove (if
unacceptable response) or reinforce (if acceptable
response); or
Continue to run with no action taken and reduce sample
size or frequency; or
Initiate a continual improvement action

Often it is found that although the process was aimed at the target
value during initial setup, the actual process location ( )
15
may
not match this value.
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
34
For those processes where the actual location deviates from the
target and the ability to relocate the process is economical,
consideration should be given to adjusting the process so that it
is aligned with the target (see Chapter IV, Section C). This
assumes that this adjustment does not affect the process
variation. This may not always hold true, but the causes for any
possible increase in process variation after re-targeting the
process should be understood and assessed against both
customer satisfaction and economics.
The long-term performance of the process should continue to
be analyzed. This can be accomplished by a periodic and
systematic review of the ongoing control charts. New evidence
of special causes might be revealed. Some special causes,
when understood, will be beneficial and useful for process
improvement Others will be detrimental, and will need to be
corrected or removed.
The purpose of the Improvement Cycle is to gain an understanding
of the process and its variability to improve its performance. As this
understanding matures, the need for continual monitoring of
product variables may become less especially in processes
where documented analysis shows that the dominant source of
variation are more efficiently and effectively controlled by other
approaches. For example: in processes where maintenance is the
dominant source of variation, the process is best controlled by
preventive and predictive maintenance; for processes where
process setup is the dominant source of variation, the process is
best controlled by setup control charts.


For a process that is in statistical control, improvement efforts will
often focus on reducing the common cause variation in the process.
Reducing this variation will have the effect of "shrinking" the
control limits on the control chart (i.e., the limits, upon their
recalculation, will be closer together). Many people, not familiar
with control charts, feel this is "penalizing" the process for
improving. They do not realize that if a process is stable and the
control limits are calculated correctly, the chance that the process
will erroneously yield an out-of-control point is the same
regardless of the distance between the control limits (see Chapter I,
Section E).
One area deserving mention is the question of recalculation of
control chart limits. Once properly computed, and if no changes to
the common cause variation of the process occur, then the control
limits remain legitimate. Signals of special causes of variation do
not require the recalculation of control limits. For long-term
analysis of control charts, it is best to recalculate control limits as
infrequently as possible; only as dictated by changes in the process.
For continual process improvement, repeat the three stages of the
Improvement Cycle: Analyze the Process; Maintain (Control) the
Process; Improve the Process, see Figure I.4.
CHAPTER 1 Section G
Control Charts: Tools For process Control and Improvement
35
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CHAPTER 1 Section H
Effective Use and Benefits Of Control Charts
36




B ENEFI TS OF CONT ROL CHARTS
Pr oper l y used, cont r ol char t s can:
Be used by operators for ongoing control of a process
Help the process perform consistently and predictably
Allow the process to achieve
Higher quality
Lower unit cost
Higher effective capability
Provide a common language for discussing the performance
of the process
Distinguish special from common causes of variation, as a
guide to local action or action on the system.

CHAPTER 1 Section H
Effective Use and Benefits Of Control Charts
37
CHAPTER I - Section H
Effective Use and Benefits of Control Charts
Important benefits can be obtained from the effective use of control
charts. The gains and benefits from the control charts are directly
related to the following:
Management Philosophy: How the company is managed can
directly impact the effectiveness of SPC.
The following are examples of what needs to be present:
Focus the organization on variation reduction.
Establish an open environment that minimizes internal
competition and supports cross-functional teamwork.
Support and fund management and employee training in the
proper use and application of SPC.
Show support and interest in the application and resulting
benefits of properly applied SPC. Make regular visits and asks
questions in those areas.
Apply SPC to promote the understanding of variation in
engineering processes.
Apply SPC to management data and use the information in
day-to-day decision making.

The above items support the requirements contained in ISO
9000:2000 and ISO/TS 16949:2002.

Engineering Philosophy: How engineering uses data to develop
designs can and will have an influence on the level and type of
variation in the finished product.
The following are some ways that engineering can show effective
use of SPC:
Focus the engineering organization on variation reduction
throughout the design process; e.g., number of design
changes, design for manufacturing and assembly, personnel
moves, etc.
Establish an open engineering environment that minimizes
internal competition and supports cross-functional teamwork.
Support and fund engineering management and employees
training in the proper use and application of SPC.
Apply SPC to promote the understanding of variation in
engineering processes.
Require an understanding of variation and stability in relation
to measurement and the data that are used for design
development.
CHAPTER 1 Section H
Effective Use and Benefits Of Control Charts
38
Support engineering changes proposed due to analysis of SPC
information to aid in the reduction of variation.

Manufacturing: How manufacturing develops and operates
machines and transfer systems can impact the level and type of
variation in the finished product:

Focus the manufacturing organization on variation reduction;
e.g., number of different processes, impact of multi-fixture and
multi-tool processes, tool and machine maintenance, etc.
Establish an open engineering environment that minimizes
internal competition and supports cross-functional teamwork.
Support and fund manufacturing management and employees
training in the proper use and application of SPC.
Apply SPC in the understanding of variation in the
manufacturing processes.
Require an understanding of variation and stability in relation to
measurement and the data that are used for process design
development.
Use the analysis of SPC information to support process changes
for the reduction of variation.
Do not release control charts to operators until the process is
stable. The transfer of responsibility for the process to
production should occur after the process is stable.
Assure proper placement of SPC data for optimum use by the
employees.

Quality Control: The Quality function is a critical component in
providing support for an effective SPC process:

Support SPC training for management, engineering, and
employees in the organization.
Mentor key people in the organization in the proper application
of SPC.
Assist in the identification and reduction of the sources of
variation.
Ensure optimum use of SPC data and information.

Production: Production personnel are directly related to the process
and can affect process variation. They should:

Be properly trained in the application of SPC and problem
solving.
Have an understanding of variation and stability in relation to
measurement and the data that are used for process control and
improvement.
Be alert to and communicate when conditions change.
Update, maintain and display control charts within area of
responsibility.
CHAPTER 1 Section H
Effective Use and Benefits Of Control Charts
39
Interact and learn about the process from the information
collected.

Use the SPC information in real time to run the process.

Application of the concepts outlined above will result in the proper
environment for the understanding and reduction of variation. Then
the Plan-Do-Study-Act process can be used to further improve the
process.

At a minimum, the use of SPC for process monitoring will result in
the process being maintained at its current performance level.
However, real improvements can be achieved when SPC is used to
direct the way processes are analyzed.

Proper use of SPC can result in an organization focused on
improving the quality of the product and process.



CHAPTER 1 Section H
Effective Use and Benefits Of Control Charts
40
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41





CHAPTER II

Control Charts

42
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CHAPTER II
Control Charts
43
Introduction:
Control charts can be used to monitor or evaluate a process. There
are basically two types of control charts, those for variables data and
those for attributes data. The process itself will dictate which type of
control chart to use. If the data derived from the process are of a
discrete nature (e.g., go/no-go, acceptable/not acceptable) then an
attributes type of chart would be used. If the data derived from the
process are of a continuous nature (e.g., diameter, length) then a
variables type of chart would be used. Within each chart type there
are several chart combinations that can be used to further evaluate
the process.

Some of the more common chart types, Average( ) and Range (R )
charts, Individuals ( I ) chart, Moving Range (MR) chart, etc., belong
to the variables chart family. Charts based on count or percent data
(e.g., p, np, c, u) belong to the attributes chart family.

When introducing control charts into an organization, it is important
to prioritize problem areas and use charts where they are most
needed. Problem signals can come from the cost control system, user
complaints, internal bottlenecks, etc. The use of attributes control
charts on key overall quality measures often points the way to the
specific process areas that would need more detailed examination
including the possible use of control charts for variables.

If available, variables data are always preferred as they contain more
useful information than attributes data for the same amount of effort.
For example you need a larger sample size for attributes than for
variables data to have the same amount of confidence in the results.
If the use of variables measurement systems is infeasible, the
application of attributes analysis should not be overlooked.
CHAPTER II
Control Charts
44



























Figure II.1: Variables Data
CHAPTER II
Control Charts
45
Variables Control Charts

Variables control charts represent the typical application of
statistical process control where the processes and their outputs can
be characterized by variable measurements (see Figure II.1).

Variables control charts are particularly useful for several reasons:

A quantitative value (e.g., "the diameter is 16.45 mm") contains
more information than a simple yes-no statement (e.g.,
"
the
diameter is within specification");
Although collecting variables data is usually more costly than
collecting attributes data (e.g., go/no-go), a decision can be
reached more quickly with a smaller sample size. This can lead
to lower total measurement costs due to increased efficiency;
Because fewer parts need to be checked before making reliable
decisions, the time delay between an "out-of-control" signal and
corrective action is usually shorter; and
With variables data, performance of a process can be analyzed,
and improvement can be quantified, even if all individual values
are within the specification limits. This is important in seeking
continual improvement.

A variables chart can explain process data in terms of its process
variation, piece-to-piece variation, and its process average. Because
of this, control charts for variables are usually prepared and
analyzed in pairs, one chart for process average and another for the
process variation.

The most commonly used pair are the and R charts. is the
arithmetic average of the values in small subgroups a measure of
process average; R is the range of values within each subgroup
(highest minus lowest) a measure of process variation. However,
there are a number of other control charts that may be more useful
under certain circumstances.

The : and R charts may be the most common charts, but they
may not be the most appropriate for all situations.
CHAPTER II
Control Charts
46




























Figure II.2: Attributes Data

CHAPTER II
Control Charts
16
See the Attribute Measurement System Study chapter in the MSA Reference Manual.
17
See also: Montgomery (1997), Wheeler (1991,1995), Wise and fair (1998).
47
Attributes Control Charts
Although control charts are most often thought of in terms of
variables, control charts have also been developed for attributes; see
Figure II.2. Attributes data have discrete values and they can be
counted for recording and analysis. With attribute analysis the data
are separated into distinct categories (conforming/nonconforming,
pass/fail, go/no-go, present/absent, low/medium/high). Examples
include the presence of a required label, the continuity of an
electrical circuit, visual analysis of a painted surface, or errors in a
typed document.
Other examples are of characteristics that are measurable, but where
the results are recorded in a simple yes/no fashion, such as the
conformance of a shaft diameter when measured on a go/no-go
gage, the acceptability of door margins to a visual or gage check, or
on-time delivery performance. Control charts for attributes are
important for several reasons:
Attributes data situations exist in any technical or
administrative process, so attributes analysis techniques
are useful in many applications. The most significant difficulty
is to develop precise operational definitions of what is
conforming.
Attributes data are already available in many situations
wherever there are existing inspections, repair logs, sorts of
rejected material, etc. In these cases, no additional effort is
required for data collection. The only expense involved is for
the effort of converting the data to control chart form.
Where new data must be collected, attributes information is
generally quick and inexpensive to obtain. With simple gaging
(e.g., a go/no-go gage or visual standards), specialized
measurement skills are often are not required. There are many
occasions where specialized measurement skills are required
especially when the part measured falls in the "gray" area.
16

Much data gathered for management summary reporting are
often in attributes form and can benefit from control chart
analysis. Examples include scrap rates, quality audits and
material rejections. Because of the ability to distinguish
between special and common cause variation, control chart
analysis can be valuable in interpreting these management
reports.
This manual will use conforming/nonconforming throughout
attributes discussions simply because
These categories are "traditionally" used
Organizations just starting on the path to continual
improvement usually begin with these categories
Many of the examples available in literature use these
categories.
It should not be inferred that these are the only "acceptable"
categories or that attributes charts cannot be used with Case 1
processes; see Chapter I, Section E.
17
CHAPTER II
Control Charts
48
Elements of Control Charts
There is no single "approved" manner of displaying control charts.
However the reasons for the use of control charts (see Chapter I,
Section E) must be kept in mind. Any format is acceptable as long
as it contains the following (see Figure II.3):
(A) Appropriate scale
The scale should be such that the natural variation of the process
can be easily viewed. A scale which yields a "narrow" control chart
does not enable analysis and control of the process.

(B) UCL, LCL
The ability to determine outliers which signal special causes
the control chart requires control limits based on the
sampling distribution. Specifications limits should not be
used in place of valid control limits for process analysis and
control.

(B) Centerline
The control chart requires a centerline based on the sampling
distribution in order to allow the determination of non-random
patterns which signal special causes.

(C) Subgroup sequence / timeline
Maintaining the sequence in which the data are collected provides
indications of "when" a special cause occurs and whether that special
cause is time-oriented.

(D) Identification of out-of-control plotted values
Plotted points which are out of statistical control should be identified
on the control chart. For process control the analysis for special
causes and their identification should occur as each sample is plotted
as well as periodic reviews of the control chart as a whole for non-
random patterns.

(E) Event Log
Besides the collection, charting, and analysis of data, additional
supporting information should be collected. This information should
CHAPTER II
Control Charts
49
include any potential sources of variation as well as any actions
taken to resolve out-of-control signals (OCS). This information can
be recorded on the control chart or on a separate Event Log.

If there has not been any change in the process between subgroups,
it is not necessary to include an entry on the process event log.














During the initial analysis of the process, knowledge of what would
constitute a potential special cause for this specific process may be
incomplete. Consequently, the initial information collection activities
may include events which will prove out not to be special causes.
Such events need not be identified in subsequent information
collection activities. If initial information collection activities are not
sufficiently comprehensive, then time may be wasted in identifying
specific events which cause out-of-control signals.
Figure II.3: Elements of Control Charts
CHAPTER II
Control Charts
50
For control charts which are included as a part of a report and for
those which are maintained manually the following "header"
information should be included:

What: part/product/service name and number/identification
Where: operation/process step information, name/identification
Who: operator and appraiser
How: measurement system used, name/number, units (scale)
How many: subgroup size, uniform or by sample
When: sampling scheme (frequency and time)


Figure II.4 shows a completed manually maintained control chart
which includes all these elements
CHAPTER II
Control Charts
51




























Figure II.4a: Simple Control Chart (Front side)

CHAPTER II
Control Charts
52





























Figure II.4b: Simple Control Chart (back side) Event Log
CHAPTER II Section A
Control Charting Process
53

CHAPTER II - Section A
Control Chart Process
Preparatory Steps

Before control charts can be used, several preparatory steps should be
taken:

Establish an environment suitable for action.

Define the process.

Determine the features or characteristics to be charted
based on:

The customer's needs.
Current and potential problem areas.
Correlation between characteristics.

Correlation between variables does not imply a causal relationship. In
the absence of process knowledge, a designed experiment may be
needed to verify such relationships and their significance.

Define the characteristic.
The characteristic must be operationally defined so that
results can be communicated to all concerned in ways that
have the same meaning today as yesterday. This involves
specifying what information is to be gathered, where, how,
and under what conditions.
An operational definition describes the characteristic that is
to be evaluated and whether the characteristic is qualitative
(discrete) or quantitative (continuous). Attributes control
charts would be used to monitor and evaluate discrete
variables whereas variables control charts would be used to
monitor and evaluate continuous variables.

Define the measurement system.
Total process variability consists of part-to-part variability
and measurement system variability. It is very important to
evaluate the effect of the measurement system's variability
on the overall process variability and determine whether it
is acceptable. The measurement performance must be
predictable in terms of accuracy, precision and stability.
Periodic calibration is not enough to validate the
measurement system's capability for its intended use. In
addition to being calibrated, the measurement system must
be evaluated in terms of its suitability for the intended use.
Caution
CHAPTER II Section A
Control Charting Process
54

For more detail on this subject see the Measurement
Systems Analysis (MSA) Reference Manual. The
definition of the measurement system will determine what
type of chart, variables or attributes, is appropriate.

Minimize unnecessary variation.

Unnecessary external causes of variation should be
reduced before the study begins. This could simply mean
watching that the process is being operated as intended.
The purpose is to avoid obvious problems that could and
should be corrected without use of control charts. This
includes process adjustment or over control. In all cases, a
process event log may be kept noting all relevant events
such as tool changes, new raw material lots, measurement
system changes, etc. This will aid in subsequent process
analysis.

Assure selection scheme is appropriate for detecting
expected special causes.

WARNING: Even though convenience sampling and/or
haphazard sampling is often thought of as being random
sampling, it is not. If one assumes that it is, and in reality it is
not, one carries an unnecessary risk that may lead to
erroneous and or biased conclusions.
For more details see Chapter I, Section H.
CHAPTER II Section A
Control Charting Process
18
See also Appendix A.
55

Control Chart Mechanics
The steps to using control charts are:

1. Data Collection

2. Establish Control Limits

3. Interpret for Statistical Control

4. Extend Control Limits for ongoing control (see Figure II.5)

Data Collection

Control charts are developed from measurements of a particular
characteristic or feature of the process. These measurements are
combined into a (control) statistic (e.g., average, median, range,
standard deviation, individual) which describes an attribute of the
process distributional form. The measurement data are collected from
individual samples from a process stream. The samples are collected
in subgroups and may consist of one or more pieces. In general, a
larger subgroup size makes it easier to detect small process shifts.
Create a Sampling Plan

For control charts to be effective the sampling plan should define
rational subgroups. A rational subgroup is one in which the samples
are selected so that the chance for variation due to special causes
occurring within a subgroup is minimized, while the chance for
special cause variation between subgroups is maximized. The key
item to remember when developing a sampling plan is that the
variation between subgroups is going to be compared to the variation
within subgroups. Taking consecutive samples for the subgroups
minimizes the opportunity for the process to change and should
minimize the within-subgroup variation. The sampling frequency
will determine the opportunity the process has to change between
subgroups.
The variation within a subgroup represents the piece-to-piece
variation over a short period of time.
18
Any significant variation
between subgroups would reflect changes in the process that should
be investigated for appropriate action.
Subgroup Size The type of process under investigation dictates how
the subgroup size is defined. As stated earlier, a larger subgroup size
makes it easier to detect small process shifts. The team responsible
has to determine the appropriate subgroup size. If the expected shift
is relatively small, then a larger subgroup size would be needed
compared to that required if the anticipated shift is large.
CHAPTER II Section A
Control Charting Process
56





























Figure II.5: Extending Control Limits
CHAPTER II Section A
Control Charting Process
57

The subgroup size should remain constant but there may be
situations where the subgroup size varies within a single control
chart. The calculation of the control limits depends on the subgroup
size and if one varies the subgroup size the control limits will
change for that subgroup. There are other techniques that deal with
variable subgroup sizes; for example, see Montgomery (1997) and
Grant and Leavenworth (1996).
Subgroup Frequency The subgroups are taken sequentially in
time, e.g., once every 15 minutes or twice per shift. The goal is to
detect changes in the process over time. Subgroups should be
collected often enough, and at appropriate times so that they can
reflect the potential opportunities for change. The potential causes of
change could be due to work-shift differences, relief operators,
warm-up trends, material lots, etc.
Number of Subgroups The number of subgroups needed to
establish control limits should satisfy the following criterion:
enough subgroups should be gathered to assure that the major
sources of variation which can affect the process have had an
opportunity to appear. Generally, 25 or more subgroups containing
about 100 or more individual readings give a good test for stability
and, if stable, good estimates of the process location and spread.
This number of subgroups ensures that the effect of any extreme
values in the range or standard deviation will be minimized.
In some cases, existing data may be available which could accelerate
this first stage of the study. However, they should be used only if
they are recent and if the basis for establishing subgroups is clearly
understood. Before continuing, a rational sampling plan must be
developed and documented.
Sampling Scheme If the special causes affecting the process can
occur unpredictably, the appropriate sampling scheme is a random
(or probability) sample. A random sample is one in which every
sample point (rational subgroup) has the same chance (probability)
of being selected. A random sample is systematic and planned; that
is, all sample points are determined before any data are collected.
For special causes that are known to occur at specific times or
events, the sampling scheme should utilize this knowledge.
Haphazard sampling or convenience sampling not based on the
expected occurrence of a specific special cause should be avoided
since this type of sampling provides a false sense of security; it can
lead to a biased result and consequently a possible erroneous
decision.

Whichever sampling scheme is used all sample points should be
determined before any data are collected (see Deming (1950) and
Gruska (2004)).

NOTE: For a discussion about rational subgrouping and the effect of
subgrouping on control chart interpretation see Appendix A.

CHAPTER II Section A
Control Charting Process
58

Control Chart Setup

A control chart will have sections for:
Header information including the description of the process
and sampling plan.

Recording/displaying the actual data values collected.
This should also include the date & time or other subgroup
identification.
For interim data calculations (optional for automated charts).
This should also include a space for the calculations based
on the readings and the calculated control statistic(s).
For plotting each of the control statistics being analyzed.
The value for the control statistic is usually plotted on the
vertical scale and the horizontal scale is the sequence in
time. The data values and the plot points for the control
statistic should be aligned vertically. The scale should be
broad enough to contain all the variation in the control
statistic. A guideline is that the initial scale could be set to
twice the difference between the (expected) maximum and
minimum values.
To log observations.
This section should include details such as process
adjustments, tooling changes, material changes, or other
events which may affect the variability of the process.


Record Raw Data

Enter the individual values and the identification for each subgroup.

Log any pertinent observation(s).




Calculate Sample Control Statistic(s) for Each Subgroup


The control statistics to be plotted are calculated from the subgroup
measurement data. These statistics may be the sample mean,
median, range, standard deviation, etc. Calculate the statistics
according to the formulae for the type of chart that is being used.
CHAPTER II Section A
Control Charting Process
59

Plot the Control Statistic(s) on the Control Charts

Plot the control statistic on the chart. Make sure that the plot points
for the corresponding control statistics are aligned vertically. Connect
the points with lines to help visualize patterns and trends.
The data should be reviewed while they are being collected in order
to identify potential problems. If any points are substantially higher
or lower than the others, confine that the calculations and plots are
correct and log any pertinent observations.
Establish Control Limits
Control limits are defined by the natural variation of the control
statistic. They define a range of values that the control statistic could
randomly fall within, given there is only common cause to the
variation. If the average of two different subgroups from the same
process is calculated, it is reasonable to expect that they will be about
the same. But since they were calculated using different parts, the
two averages are not expected to be identical. Even though the two
averages are different, there is a limit to how different they are
expected to be, due to random chance. This defines the location
of the control limits. This is the basis for all control chart techniques.
If the process is stable (i.e., having only common cause variation),
then there is a high probability that for any subgroup sample the
calculated control statistic will fall within the control limits. If the
control statistic exceeds the control limits then this indicates that a
special cause variation may be present.
There are two phases in statistical process control studies.
1. The first is identifying and eliminating the special causes of
variation in the process. The objective is to stabilize the process.
A stable, predictable process is said to be in statistical
control.
2. The second phase is concerned with predicting future
measurements thus verifying ongoing process stability. During
this phase, data analysis and reaction to special causes is done
in real time. Once stable, the process can be analyzed to
determine if it is capable of producing what the customer
desires.


Identify the centerline and control limits of the control chart

To assist in the graphical analysis of the plotted control statistics,
draw lines to indicate the location estimate (centerline) and control
limits of the control statistic on the chart.
In general, to set up a control chart calculate:
Centerline,
Upper Control Limit (UCL),
Lower Control Limit (LCL).

See Chapter II, Section C, for the formulas.
CHAPTER II Section A
Control Charting Process
60

Interpret for Statistical Control
If the process has no special causes affecting its variability, then the
control statistics will fall between the control limits in a random
fashion (i.e., no patterns will be evident).
Special causes can affect either the process location (e.g., average,
median) or the variation (e.g., range, standard deviation) or both. The
objective of control chart analysis is to identify any evidence that the
process variability or the process location is not operating at a
constant level that one or both are out of statistical control and to
take appropriate action.
In the subsequent discussion, the Average will be used for the
location control statistic and the Range for the variation control
statistic. The conclusions stated for these control statistics also apply
equally to the other possible control statistics.
Since the control limits of the location statistic are dependent on the
variation statistic, the variation control statistic should be analyzed
first for stability. The variation and location statistics are analyzed
separately, but comparison of patterns between the two charts may
sometimes give added insight into special causes affecting the
process
A process cannot be said to be stable (in statistical control) unless
both charts have no out-of-control conditions (indications of special
causes).
Analyze the Data Plots on the Range Chart
Since the ability to interpret either the subgroup ranges or subgroup
averages depends on the estimate of piece-to-piece variability, the R
chart is analyzed first. The data points are compared with the control
limits, for points out of control or for unusual patterns or trends (see
Chapter II, Section D)
Find and Address Special Causes (Range Chart)

For each indication of a special cause in the range chart data, conduct
an analysis of the process operation to determine the cause and
improve process understanding; correct that condition, and prevent it
from recurring. The control chart itself should be a useful guide in
problem analysis, suggesting when the condition may have began
and how long it continued. However, recognize that not all special
causes are negative; some special causes can result in positive
process improvement in terms of decreased variation in the range
those special causes should be assessed for possible
institutionalization within the process, where appropriate.

Timeliness is important in problem analysis, both in terms of
minimizing the production of inconsistent output, and in terms of
having fresh evidence for diagnosis. For instance, the appearance of a
single point beyond the control limits is reason to begin an
CHAPTER II Section A
Control Charting Process
61

immediate analysis of the process. A process event log may also be
helpful source of information in terms of identifying special causes
of variation.

































It should be emphasized that problem solving is often the most
difficult and time-consuming step. Statistical input from the control
chart can be an appropriate starting point, but other methods such
as Pareto charts, cause and effect diagrams, or other graphical
analysis can be helpful (see Ishikawa (1976)). Ultimately, however,
the explanations for behavior lie within the process and the people
who are involved with it. Thoroughness, patience, insight and
understanding will be required to develop actions that will
measurably improve performance.
Figure II.6: Control Limits Recalculation
CHAPTER II Section A
Control Charting Process
62

Recalculate Control Limits (Range Chart)

When conducting an initial process study or a reassessment of
process capability, the control limits should be recalculated to
exclude the effects of out-of-control periods for which process causes
have been clearly identified and removed or institutionalized.
Exclude all subgroups affected by the special causes that have been
identified and removed or institutionalized, then recalculate and plot
the new average range and control limits. Confirm that all range
points show control when compared to the new limits; if not, repeat
the identification, correction, recalculation sequence.

If any subgroups were dropped from the R chart because of
identified special causes, they should also be excluded from the
chart. The revised and should be used to recalculate the trial
control limits for averages,

(see Figure II.6).
NOTE: The exclusion of subgroups representing unstable
conditions is not just "throwing away bad data." Rather, by
excluding the points affected by known special causes, there is a
better estimate of the background level of variation due to common
causes. This, in turn, gives the most appropriate basis for the
control limits to detect future occurrences of special causes of
variation. Be reminded, however, that the process must be
changed so the special cause will not recur (if undesirable) as part
of the process.
Find and Address Special Causes (Average Chart)

Once the special cause which affect the variation (Range Chart)
have been identified and their effect have been removed, the
Average Chart can be evaluated for special causes. In Figure II.6
the new control limits for the averages indicate that two samples
are out of control.
For each indication of an out-of-control condition in the average
chart data, conduct an analysis of the process operation to
determine the reason for the special cause; correct that condition,
and prevent it from recurring. Use the chart data as a guide to
when such conditions began and how long they continued.
Timeliness in analysis is important, both for diagnosis and to
minimize inconsistent output. Again, be aware that not all special
causes need be undesirable (see Chapter I, Section E and Chapter
II, Section B).
Problem solving techniques such as Pareto analysis and cause-and-
effect analysis can help. (Ishikawa (1976)).

Recalculate Control Limits (Average Chart)

When conducting an initial process study or a reassessment of
process capability, exclude any out-of-control points for which
special causes have been found and removed; recalculate and plot
the process average and control limits. Confirm that all data
CHAPTER II Section A
Control Charting Process
63

points show control when compared to the new limits; if not,
repeat the identification, correction, recalculation sequence.

Final Comments

The preceding discussions were intended to give a functional
introduction to control chart analysis. Even though these discussions
used the Average and Range Charts, the concepts apply to all
control chart approaches.

Furthermore, there are other considerations that can be useful to the
analyst. One of the most important is the reminder that, even with
processes that are in statistical control, the probability of getting a
false signal of a special cause on any individual subgroup increases
as more data are reviewed.

While it is wise to investigate all signals as possible evidence of
special causes, it should be recognized that they may have been
caused by the system and that there may be no underlying local
process problem. If no clear evidence of a special cause is found,
any "corrective" action will probably serve to increase, rather than
decrease, the total variability in the process output.

For further discussion of interpretation, tests for randomness in data,
and problem-solving, see AT&T (1984), Duncan (1986), Grant and
Leavenworth (1996), Juran and Godfrey (1999), Charbonneau and
Gordon (1978), Ishikawa (1976), Wheeler (1991, 1995), and Ott
(2000).
CHAPTER II Section A
Control Charting Process
64

















































Figure II.7: Extend Control Limits for Ongoing Control
CHAPTER II Section A
Control Charting Process
19
This manual will distinguish between the estimated standard deviation due to the within-subgroup
variation and the total variation by using the subscripts "C" and "P", respectively.
65

Extend Control Limits for Ongoing Control
When the initial (or historical) data are consistently contained
within the trial control limits, extend the limits to cover future
periods. It might be desirable here to adjust the process to the
target if the process center is off target. These limits would be
used for ongoing monitoring of the process, with the operator
and local supervision responding to signs of out-of-control
conditions on either the location and variation or R chart
with prompt action (see Figure 11.7).

A change in the subgroup sample size would affect the expected
average range and the control limits for both ranges and averages.
This situation could occur, for instance, if it were decided to take
smaller samples more frequently, so as to detect large process shifts
more quickly without increasing the total number of pieces sampled
per day. To adjust central lines and control limits for a new
subgroup sample size, the following steps should be taken:
Estimate the process standard deviation ( the estimate is
shown as ").
19
Using the existing subgroup
size calculate: where is the average of the
subgroup ranges ( for periods with the ranges in control )
and d
2
is a constant t varying by sample size n, the number
of samples in a subgroup, as shown in the
partial table below, taken from Appendix E:

n 2 3 4 5 6 7 8 9 10
d
2
1.13 1.69 2.06 2.33 2.53 2.70 2.85 2.97 3.08


Using the table factors based on the new subgroup size,
calculate the new range and control limits:



Plot these new control limits on the chart as the basis for ongoing
process control. As long as the process remains in control for both
averages and ranges, the ongoing limits can be extended for
additional periods. If, however, there is evidence that the process
average or range has changed (in either direction), the cause should
be determined and, if the change is justifiable, control limits should
be recalculated based on current performance.

CHAPTER II Section A
Control Charting Process
20
AT&T (1984)

66


Final Concepts on " Control" - For Further
Consideration

"A perfect state of control is never attainable in a production process.
The goal of the process control charts is not perfection, but a
reasonable and economical state of control. For practical purposes,
therefore, a controlled process is not one where the chart never goes
out of control. If a chart never went out of control we would seriously
question whether that operation should be charted. For shop purposes
a controlled process is considered to be one where only a small
percentage of the points go out of control and where out-of-control
points are followed by proper action
20
." See also Figure 11.8.

Obviously, there are different levels or degrees of statistical control.
The definition of control used can range from mere outliers (beyond
the control limits), through runs, trends and stratification, to full zone
analysis. As the definition of control used advances to full zone
analysis, the likelihood of finding lack of control increases (for
example, a process with no outliers may demonstrate lack of control
through an obvious run still within the control limits). For this
reason, the definition of control used should be consistent with your
ability to detect this at the point of control and should remain the
same within one time period, within one process. Some suppliers may
not be able to apply the fuller definitions of control on the floor on a
real-time basis due to immature stages of operator training or lack of
sophistication in the operator's ability. The ability to detect lack of
control at the point of control on a real-time basis is an advantage of
the control chart. Over-interpretation of the data can be a danger in
maintaining a true state of economical control.
CHAPTER II Section A
Control Charting Process
67






Figure II.8: Process Variation Relative to Specification Limits
CHAPTER II Section A
Control Charting Process
68

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CHAPTER II Section B
Defining Out of Control Signals
69

CHAPTER II - Section B
Defi ni ng " Out-of-Control " Si gnal s
Point Beyond a Control
Limit.

The presence of one or more points beyond either control limit is
primary evidence of special cause variation at that point. This special
cause could have occurred prior to this point.
Since points beyond the control limits would be rare if only variation
from common causes were present, the presumption is that a special
cause has accounted for the extreme value. Therefore, any point
beyond a control limit is a signal for analysis of the operation for the
special cause. Mark any data points that are beyond the control limits
for investigation and corrective action based on when that special
cause actually started.
A point outside a control limit is generally a sign of one or more of
the following:

The control limit or plot point has been miscalculated or
misplotted.
The piece-to-piece variability or the spread of the distribution has
increased (i.e., worsened), either at that one point in time or as
part of a trend.
The measurement system has changed (e.g., a different appraiser
or instrument).
The measurement system lacks appropriate discrimination.

For charts dealing with the spread, a point below the lower control
limit is generally a sign of one or more of the following:

The control limit or plot point is in error.

The spread of the distribution has decreased (i.e., becomes better).

The measurement system has changed (including possible editing
or alteration of the data).
A point beyond either control limit is generally a sign that the
process has shifted either at that one point or as part of a trend (see
Figure II.9).

When the ranges are in statistical control, the process spread the
within-subgroup variation is considered to be stable. The averages
can then be analyzed to see if the process location is changing over
time.

Since control limits for are based upon the amount of variation in
the ranges, then if the averages are in statistical control, their
variation is related to the amount of variation seen in the ranges -the-

CHAPTER II Section B
Defining Out of Control Signals
70

common-cause variation of the system. If the averages are not in
control, some special causes of variation are making the process
location unstable.


























Patterns or Trends Within
the Control Limits
The presence of unusual patterns or trends, even when all ranges are
within the control limits, can be evidence of the influence of a special
cause during the period of the pattern or trend. This could give the
first warning of an unfavorable condition which should be corrected.
Conversely, certain patterns or trends could be favorable and should
be studied for possible permanent improvement of the process.
Comparison of patterns between the range and average charts may
give added insight.
There are situations where an "out-of-control pattern" may be a bad
event for one process and a good event for another process. An
example of this is that in an and R chart a series of 7 or more points
on one side of the centerline may indicate an out-of-control situation.
If this happened in a p chart, the process may actually be improving
if the series is below the average line (less nonconformances are
being produced). So in this case the series is a good thing if we
identify and retain the cause.
Figure II.9: Points Beyond Control Limits
CHAPTER II Section B
Defining Out of Control Signals
71

Runs
Runs Each of the following are signs that a process shift or trend
has begun:
7 points in a row on one side of the or .
7 points in a row that are consistently increasing (equal to or
greater than the preceding points), or consistently decreasing.
Mark the point that prompts the decision; it may be helpful to extend
a reference line back to the beginning of the run. Analysis should
consider the approximate time at which it appears that the trend or
shift first began.


A run above the average range, or a run up, signifies one or both of
the following:
Greater spread in the output values, which could be from
an irregular cause (such as equipment malfunction or loose
fixturing) or from a shift in one of the process elements
(e.g., a new, less uniform raw material lot).
A change in the measurement system (e.g., new inspector
or gage).

Figure 11.10: Runs in an Average Control Chart
CHAPTER II Section B
Defining Out of Control Signals
72





A run below the average range, or a run down, signifies one or both
of the following:
Smaller spread in output values, which is usually a good
condition that should be studied for wider application and
process improvement.
A change in the measurement system, which could mask
real performance changes.

NOTE: As the subgroup size (n) becomes smaller (5 or less), the
likelihood of runs below R increases, so a run length of 8 or more
could be necessary to signal a decrease in process variability.

A run relative to the process average is generally a sign of one or
both of the following:
The process average has changed and may still be
changing.
The measurement system has changed (drift, bias,
sensitivity, etc.).
Figure II.11: Runs in a Range Control Chart
CHAPTER II Section B
Defining Out of Control Signals
73

Obvious NonrandomPatterns
In addition to the presence of points beyond control limits or long
runs, other distinct patterns may appear in the data that give clues
to special causes. Care should be taken not to over-interpret the
data, since even random (i.e., common cause) data can sometimes
give the illusion of nonrandomness (i.e., special causes). Examples
of nonrandom patterns could be obvious trends (even though they
did not satisfy the runs tests), cycles, the overall spread of data
points within the control limits, or even relationships among values
within subgroups (e.g., the first reading might always be the
highest). One test for the overall spread of subgroup data points is
described below.

Distance of points from : Generally, about 2/3 of the
plotted Points should lie within the middle third of the
region between the control limits; about 1/3 of the points should be
in the outer two-thirds of the region. If substantially more than 2/3

of the plotted points lie close to investigate one or more
of the following:
The control limits or plot points have been miscalculated or
misplotted.
The process or the sampling method is stratified; each
subgroup systematically contains measurements from two or
more process streams that have very different process
averages (e.g., one piece from each of several spindles).
The data have been edited (subgroups with ranges that
deviated much from the average have been altered or
removed).

If substantially fewer than 2/3 of the plotted points lie close to
(for 25 subgroups if 40% or fewer are in the middle third),
investigate one or both of the following:

The control limits or plot points have been miscalculated or
misplotted.
The process or the sampling method causes successive
subgroups to contain measurements from two or more process
streams that have dramatically different variability (e.g., mixed
lots of input materials).

If several process streams are present, they should be identified and
tracked separately (see also Appendix A). Figure II.12 shows a
nonrandom pattern for the R chart.
CHAPTER II Section B
Defining Out of Control Signals
74













































Figure II.12: Nonrandom Patterns in a Control Chart
CHAPTER II Section B
Defining Out of Control Signals
21
In this table, standard deviation refers to the standard deviation used in the calculations of the
control limits.
75
Special Cause Criteria
There are several criteria for identifying special causes (see table
below and AT&T (1984)). The most commonly used are discussed
above. The decision as to which criteria to use depends on the
process being studied/controlled.

Summary of Typical Special Cause Criteria
1 1 point more than 3 standard deviations
21
from centerline
2 7 points in a row on same side of centerline
3 6 points in a row, all increasing or all decreasing
4 14 points in a row, alternating up and down
5 2 out of 3 points > 2 standard deviations from centerline (same side)
6 4 out of 5 points > 1 standard deviation from centerline (same side)
7 15 points in a row within 1 standard deviation of centerline (either side)
8 8 points in a row > 1 standard deviation from centerline (either side)
Table II.1

Note 1: Except for the first criterion, the numbers associated with the
criteria do not establish an order or priority of use. Determination of
which of the additional criteria to use depends on the specific
process characteristics and special causes which are dominant
within the process.
Note 2: Care should be given not to apply multiple criteria except in
those cases where it makes sense. The application of each
additional criterion increases the sensitivity of finding a special
cause but also increases the chance of a Type I error.
In reviewing the above, it should be noted that not all these
considerations for interpretation of control can be applied on the
production floor. There is simply too much for the appraiser to
remember and utilizing the advantages of a computer is often not
feasible on the production floor. So, much of this more detailed
analysis may need to be done offline rather than in real time. This
supports the need for the process event log and for appropriate
thoughtful analysis to be done after the fact.

Another consideration is in the training of operators. Application of
the additional control criteria should be used on the production floor
when applicable, but not until the operator is ready for it; both with
the appropriate training and tools. With time and experience the
Operator will recognize these patterns in real time.

CHAPTER II Section B
Defining Out of Control Signals
76


Average Run Length (ARL)
Chapter I stated that decisions made based on charts should
balance the risks of Type I errors (over-control, false alarms) to
Type II errors (under-control). A measure of this balance is the
Average Run Length ( ARL).

The Average Run Length is the number of sample subgroups
expected between out-of-control signals. The in-control
Average Run Length (ARL
O
) is the expected number of
subgroup samples between false alarms.


The ARL is dependent on how out-of-control signals are
defined, the true target value's deviation from the estimate, and
the true variation relative to the estimate.
Below is a table of approximate ARL' s for the standard
Shewhart control chart with exceeding the control
limits as the only out-of-control signal.


ARL
0 370.4
0.1 352.9
0.2 308.4
0.3 253.1
0.5 155.2
1.0 43.9
1.5
15.0
2.0 6.3
3.0
2.0
4.0 1.2


This table indicates that a mean shift of 1.5 standard deviations
(of the mean) would be signaled (on average) by the 15
th

subgroup after the shift. A shift of 4 standard deviations would
be identified within 2 subgroups.

CHAPTER II Section B
Defining Out of Control Signals
77

This table also shows that a false signal may be indicated for a
process without a shift (i.e., the process remains in statistical control)
every 370 subgroups (on average).

Since , the practical magnitude of the shifts can be reduced
by increasing the number of items in each subgroup. Larger
subgroups reduce the size of and tighten the control limits
around .


Alternatively, the ARL's can be reduced by adding more out-of-
control criteria. Other signals such as runs tests and patterns analysis
along with the control limits will reduce the size of the ARL' s .

The following table is approximate ARL
'
s for the same chart adding
the runs test of 7-points in a row on one side of .

Shift in Target

ARL
0 59.8
0.1 53.9
0.2 41.8
0.3 30.8
0.5 17.9
1.0 8.7
1.5 6.9
2.0 6.1
3.0 2.0
4.0
1.2

As can be seen, adding the one extra out-of-control criterion
significantly reduces the ARLs for small shifts in the mean, a
decrease in the risk of a
Type II error. Note that the zero-shift (the in-control) ARL is also
reduced significantly. This is an increase in the risk of a Type I error
or false alarm.
This balance between wanting a long ARL when the process is in
control versus a short ARL when there is a process change has led to
the development of other charting methods. Some of those methods
are briefly described in Chapter III.
CHAPTER II Section C
Control Chart Formulas:
78

Figure II.13: Average and Range Charts
CHAPTER II Section C
Control Chart Formulas:
79

CHAPTER II - Section C
Control Chart Formul as
Control chart constants for all control charts discussed in this
section are listed in Appendix E.

Variables Control Charts

Average and Range Charts

Subgroup Average:



n = number of samples in a subgroup

Subgroup Range:

(within each subgroup)

Grand Average:


k = number of subgroups used to determine the
Grand Average and Average Range

Average Range:



Estimate of the Standard Deviation of X :



Estimate of the Standard Deviation of X :


CHAPTER II Section C
Control Chart Formulas:
80


Chart Features:
Centerline Control Limits











CHAPTER II Section C
Control Chart Formulas:



81
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CHAPTER II Section C
Control Chart Formulas:



82
Figure II.14: Average and Standard Deviation Charts
CHAPTER II Section C
Control Chart Formulas:


22
Also known as the pooled standard deviation.

83
Average and Standard Deviation Charts

Subgroup Average:



n = number of samples in a subgroup

Subgroup Standard Deviation (Within-subgroup Variation):




Grand Average:




K= number of subgroups used to Determine
the Grand Average And Average
Standard Deviation
Average Standard Deviation:
22






Estimate of the Standard Deviation of X :

Estimate of the Standard Deviation of :


Chart Features:
Centerline Control Limits

CHAPTER II Section C
Control Chart Formulas:



84
Figure II.15: Median and Range Charts
CHAPTER II Section C
Control Chart Formulas:


23
This approach to the Median Chart uses averages in the calculation of the centerline and control
limits. There are other approaches in the literature which do not use averages.

85

Median and Range Charts


Sample Value: x
i
, i = 1...n (sample size)

Subgroup Median:

X
(o)
is the value of the 0
th
element in the sample
when the data are arranged in ascending order

if n is odd

if n is even

n = number of elements in a subgroup
k = number of subgroups used to determine the
Average Median and Average Range
Subgroup Range:
(within each subgroup)
Average Median:



Average Range:



Estimate of the Standard Deviation of X :



Chart Features:
23
Centerline Control Limits
CHAPTER II Section C
Control Chart Formulas:



86























Figure II.16: Individual and Moving Range Charts
CHAPTER II Section C
Control Chart Formulas:



87
Individuals and Moving Range Charts (X, MR)
Individual Value: x
i
, i =1,..., k individual values :
Average of Individual Values:


Moving Range:

(Range between current value and previous value.)

Average Moving Range:


Estimate of the Standard Deviation of X :



Chart Features:
Centerline Control Limits




Because moving ranges are involved, the points being plotted on the
range chart are correlated. Therefore, valid signals occur only in the
form of points beyond the control limits. Other rules used to evaluate
the data for non-random patterns ( see Chapter II, Section B ) are
not reliable indicators of out-of-control conditions.

CHAPTER II Section C
Control Chart Formulas:



88





Figure II.17: Proportion Nonconforming Chart
CHAPTER II Section C
Control Chart Formulas:


24
An alternative to these charts is the Individuals and Moving Range Chart (see Wheeler (1995)).

89
Attributes Control Charts

Control Charts for Nonconforming Items
24


Attributes charts are part of probability based charts discussed in
Chapter III. These control charts use categorical data and the
probabilities related to the categories to identify the presences of
special causes. The analysis of categorical data by these charts
generally utilizes the binomial, or poisson distribution approximated
by the normal form.

Traditionally attributes charts are used to track unacceptable parts by
identifying nonconforming items and nonconformities within an
item. There is nothing intrinsic in attributes charts that restricts them
to be solely used in charting nonconforming items. They can also be
used for tracking positive events. However, we will follow tradition
and refer to these as nonconformances and nonconformities.


Proportion Nonconforming (p Chart)

Guideline:
Since the control limits are based on a normal approximation,
the sample size used should be such that 5 .

Individual Value

ni = number of parts inspected;
npi = number of nonconforming items found

Average of Individual Values

where k = number of subgroups
if all the n
i
s are equal
CHAPTER II Section C
Control Chart Formulas:
25
This is alternatively known as FTC (First Time Capability) and RTY (Rolled Throughput Yield).
26
This chart is sometimes called a q-chart; this is based on the practice of calculating the parameter
q = 1 - p .
90
Chart Features:
Centerline Control Limits


If the sample size is constant (n)
Control Limits




Constant control limits when the sample size varies

(for situations where 0.75 )
Control Limits

( = average sample size)

( = average sample size)
Example Uses:
Accept/Reject Decisions with constant or variable subgroup
size
First Time Quality (FTQ) results
25

Proportion nonconforming
Proportion conforming
26

Proportion of items above (or below) a threshold value
Judgment Decisions
Proportion of items within a specified category
Proportion of items above (or below) a threshold value
Proportion Uptime (equipment)
CHAPTER II Section C
Control Chart Formulas:



91
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CHAPTER II Section C
Control Chart Formulas:
92






Figure II.18: Number of Nonconforming Chart
CHAPTER II Section C
Control Chart Formulas:
93
Number of Nonconforming Chart (np Chart)

Restriction:
Requires a constant subgroup size = n
Guideline:

Since the control limits are based on a normal approximation, the
sample size used should be such that 5
Individual Value:
np
i
n = number of parts inspected;
np = number of nonconforming items found

Average of Individual Values:


Chart Features:

Centerline Control Limits:






Example Uses:
Accept/Reject Decisions with constant subgroup size
First Time Quality (FTQ) results
Number nonconforming
Number conforming
Number of items above (or below) a threshold value
Judgment Decisions
Number of items within a specified category
Number of items above (or below) a threshold value
Number of times a condition occurs
CHAPTER II Section C
Control Chart Formulas:



94

























Figure II. 19: Number of Nonconforming per Unit Chart
CHAPTER II Section C
Control Chart Formulas:
95
Number of Nonconformities per Unit Chart (u Chart)

Guideline:
Since the control limits are based on a normal
approximation, the sample size used must be large enough so
that the number of subgroups with c = 0 is small.

Individual Value:
c
i
= number of nonconfortities found in sample
ni = is the sample size

Average of Individual Values:




Chart Features:
Centerline Control Limits




For constant control limits when the sample size varies

( for situations where 0.75 )

Control Limits:

( = average sample size)

( = average sample size)


Example Uses:
Accept/Reject Decisions with variable number items per unit
Quality rates for specified unit designation
Average number (rate) of nonconformities per unit
Average number (rate) of items within one or more
categories

Judgment Decisions
Average number (rate) of items within one or more
categories
Average number (rate) of items above (or below) a
threshold value per unit
CHAPTER II Section C
Control Chart Formulas:



96


















Figure II.20: Number of Nonconforming Chart
CHAPTER II Section C
Control Chart Formulas:



97
Number of Nonconformities Chart (c Chart)
Restriction:

Requires a constant subgroup size = n

Guideline:

Since the control limits are based on a normal approximation, the
sample used must be large enough so that the number of subgroups
with c = 0 is small

Individual Value:
c
i
= number of nonconformities found in sample; i = 1,. .. , k


Average of Individual Values:


k = number of simples



Chart Features:
Centerline Control Limits




Example Uses:

Accept/Reject Decisions with a constant number items per unit
Quality level for specified unit designation
Total number of nonconformities per unit
Total number of items within one or more categories

Judgment Decisions
Total number of items within one or more categories per unit
Total number of items above (or below) a threshold value per
unit
Total number of times a condition occurs within a unit
CHAPTER II Section C
Control Chart Formulas:



98
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99




CHAPTER III

Other Types of Control Charts
CHAPTER III
Other Types of Control Charts



100
























































Figure III.1: Control Charts
CHAPTER III
Other Types of Control Charts



101


Introduction
There are several types of control charts other than those discussed in
the previous chapters. Most of these charts were developed to address
specific process situations or conditions which can affect the optimal
use of the standard control charts. A brief description of the more
common charts will follow below. This description will define the
charts, discuss when they should be used and list the formulas
associated with the chart, as appropriate. If more information is
desired regarding these charts or others, please consult a reference
text that deals specifically with these types of control charts.


Probability Based Charts
Probability based charts belong to a class of control charts that uses
categorical data and the probabilities related to the categories. The
analysis of categorical data generally uses the binomial, multinomial
or poisson distribution. Examples of these charts are the attributes
charts discussed in Chapter II Section C. The attributes charts use the
categories of "good" and "bad" (e.g., conforming and
nonconforming). However, there is nothing inherent in any of these
forms (or any other forms) that requires one or more categories to be
"bad."
The problem is that users tend to apply by example, rather than by
knowledge. This is as much the fault of professionals and teachers, as
it is the student's. There is a tendency to take the easy way out, using
traditional (and stereotypical) examples. This leads to a failure to
realize that quality practitioners once had (or were constrained to) the
tolerance philosophy; i.e., make it "to print" (or "close enough").

Stoplight Control

With stoplight control charts, the process location and variation
are controlled using one chart. The chart tracks the number of data
points in the sample in each of the designated categories. The
decision criteria are based on the expected probabilities for these
categories.

A typical scenario will divide the process variation into three parts:
warning low, target, warning high. The areas outside the expected
process variation ( 6 ) are the stop zones. One simple but effective
control procedure of this type is stoplight control which is a semi-
variables (more than two categories) technique using double sampling.
In this approach the target area is designated green, the warning areas
as yellow, and the stop zones as red. The use of these colors gives
rise to the "stoplight" designation.
CHAPTER III
Other Types of Control Charts


27
See Chapter I, Section F.

102





With this categorization the process can be controlled by identifying
and charting the proportion of data points designated as "warning"
within a sample. The apportionment (% warning) controls the sample
size and frequency required. Of course, this allows process control
only if the process distribution is known. The quantification and
analysis of the process requires variables data.

The focus of this tool is to detect changes (special causes of
variation) in the process. That is, this is an appropriate tool for stage
2 activities
27
only. At its basic implementation, stoplight control
requires no computations and no plotting, thereby making it easier to
implement than control charts. Since it splits the total sample (e.g., 5)
into a two-stage sampling (e.g., 2, 3), this approach can signal out-of-
control conditions with the same or better efficiency than a control
chart with the same total sample size (see Heaphy and Gruska
(1982)).
Although, the development of this technique is thoroughly founded
in statistical theory, it can be implemented and taught at the operator
level without involving mathematics.
Figure III.2: Stoplight Control
CHAPTER III
Other Types of Control Charts
103
The assumptions in stoplight control are:
The process is in statistical control.
Process performance (including measurement variability) is
acceptable.
The process is on target.
Once the assumptions have been verified by a process performance
study using variables data techniques, the process distribution can be
divided such that the average 1.5 standard deviations is labeled as
the green area and the rest of the area within the process distribution
is yellow. Any area outside the process distribution (the 99.73%
range) is labeled red.
If the process distribution follows the normal form, approximately
86.6% of the distribution is in the green area, 13.2% is in the yellow
area and 0.3% is in the red area. Similar conditions can be
established if the distribution is found to be non-normal.
For control equivalent to an and R chart with a sample size of 5,
the steps for stoplight control can be outlined as follows:
1. Check 2 pieces; if both pieces are in the green area, continue to
run.
2. If one or both are in the red zone, stop the process, notify the
designated person for corrective action and sort material. When
setup or other corrections are made, repeat step # 1.
3. If one or both are in a yellow zone, check three more pieces. If
any pieces fall in a red zone, stop the process, notify the
designated person for corrective action and sort material. When
setup or other corrections are made, repeat step # 1.
If no pieces fall in a red zone, but three or more are in a
yellow one (out of 5 pieces) stop the process, notify the
designated person for corrective action. When setup or other
corrections are made, repeat step #1.
If three pieces fall in the green zone and the rest are yellow,
continue to run.
Measurements can be made with variables as well as attributes
gaging. Certain variables gaging such as dial indicators or air-
electronic columns are better suited for this type of program since the
indicator background can be color coded. Although no charts or
graphs are required, charting is recommended, especially if subtle
trends (shifts over a relatively long period of time) are possible in the
process.
In any decision-making situation there is a risk of making a wrong
decision. With sampling, the two types of errors are:
Probability of calling the process bad when it is actually
good (false alarm rate).
Probability of calling the process good when it is actually
bad (miss rate).
CHAPTER III
Other Types of Control Charts
104

In addition to these two measures, the sensitivity of the sampling
plan can be quantified. Sensitivity refers to the ability of the
sampling plan to detect out-of-control conditions due to increased
variation or shifts from the process average.
The disadvantage of stoplight control is that it has a higher false
alarm rate than an and R chart of the same total sample size.
The advantage of stoplight control is that it is as sensitive as an
and R chart of the same total sample size.
Users tend to accept control mechanisms based on these types of
data due to the ease of data collection and analysis. Focus is on the
target not specification limits thus it is compatible with the target
philosophy and continuous improvement.
Pre-Control
An application of the stoplight control approach for the purpose of
nonconformance control instead o f process control is called Pre-
control. It is based on the specifications not the process variation. Its
origins can be traced to work by Frank Satterthwaite from Rath &
Strong at the Jones & Lamson Machine Company in 1954.
28

The assumptions in pre-control are:
the process has a flat loss function (see section on Loss Function,
in Chapter IV.)
process performance (including measurement system variability)
is less than or equal to the tolerance.

The first assumption means that all special sources of variation in the
process are being controlled. The second assumption states that
99.73% of the pieces being produced are within specification without
sorting.
If the foregoing assumptions are satisfied, the tolerance can be
divided so that Nominal Tolerance is labeled as the green area
and the rest of the area within the specification is yellow. The area
outside the specifications is labeled red. For a process that is normal
with C
p)
,

C
pk
equal to 1.00, approximately 86.6% of the pieces are in
the green area, 13.2% are in the yellow area and 0.3% are in the red
area. Similar calculations could be done if the distribution was found
to be non-normal or highly capable.

The pre-control sampling uses a sample size of two. However, before
the sampling can start, the process must produce 5 consecutive parts
in the green zone. Each of the two data points are plotted on the chart
and reviewed against a set of rules.
CHAPTER III
Other Types of Control Charts
105



When using a pre-control the following rules should be used.
Two data points in the green zone continue to run the
process.

One data point in the green zone and one data point in the
yellow zone continue to run the process.

Two yellow points in a row (same zone) adjust the process

Two yellow points in a row (opposite zone) stop the
process and investigate

One red data point stop the process and investigate.

Every time the process is adjusted, before the sampling can start the
process must produce 5 consecutive parts in the green zone.

Pre-control is not a process control chart but a nonconformance
control chart so great care must be taken as to how this chart is used
and interpreted. Pre-control charts should be not used when you have
a C
p
, Cpk greater than one or a loss function that is not flat within the
specifications (see Chapter IV).

Figure III.3: Pre-Control
CHAPTER III
Other Types of Control Charts
106




















The benefit of pre-control is its simplicity. The disadvantage of pre-
control is that potential diagnostics that are available with normal
process control methods are not available. Further, pre-control does
not evaluate nor monitor process stability. Pre-control is a compliance
based tool not a process control tool.

CHAPTER III
Other Types of Control Charts
29
Caution should be used when subgroups are formed from small populations or when the
subgroups use measurements taken over extended periods of time (see Appendix A). Wheeler
(1991) discusses evaluating the data with an Individuals and Moving Range (I & MR) chart to
ensure that important process behavior information is not being masked by the subgrouping.

107
Short-Run Control Charts
Standard control chart approaches are well suited for long
production runs. However there are processes that only produce a
small number of products during a single run (e.g., job shops).
Further, the increasing focus on just-in-time (JIT) inventory and lean
manufacturing methods is driving production runs to become
shorter. From a business perspective, producing large batches of
product several times per month and holding it in inventory for later
distribution, can lead to avoidable, unnecessary costs. Manufacturers
now are moving toward JIT producing much smaller quantities on
a more frequent basis to avoid the costs of holding "work in
process" and inventory. For example, in the past, it may have been
satisfactory to make 10,000 parts per month in batches of 2,500 per
week. Now, customer demand, flexible manufacturing methods and
JIT requirements might lead to making and shipping only 500 parts
per day.
To realize the efficiencies of short-run processes it is essential that
SPC methods be able to verify that the process is truly in statistical
control, (i.e., predictable), and be able to detect special-cause
variation during these "short runs."
Wheeler (1991) describes four requirements for an "Ideal State" of
process operation essential for competing in this arena:
a. "The process must be inherently stable over time.
b. The process must be operated in a stable and consistent manner.
c. The process aim must be set and maintained at the proper level.
d. The Natural Process Limits must fall within the specification
limits."


Effective control charts can be constructed even with small amounts of
data. Short-run oriented charts allow a single chart to be used for the
control of multiple products. There are a number of variations on this
theme. Among the more widely described short-run charts are:
29
a. Difference or Deviation from Nominal (DNOM) & R
chart. Production processes for short runs of different products
can be characterized easily on a single chart by plotting the
differences between the product measurement and its target
value. These charts can be applied both to individual
measurements and to grouped data.

CHAPTER III
Other Types of Control Charts
108


















b. Standardized & R chart.
The DNOM approach assumes a common, constant variance among
the products being tracked on a single chart. When there are
substantial differences in the variances of these products, using the
deviation from the process target becomes problematic. In such cases
the data may be standardized to compensate for the different product
means and variability using a transformation of the form:

This class of charts sometimes is referred to as Z or Zed charts.
In some short-run processes, the total production volume may be too
small to utilize subgrouping effectively. In these cases subgrouping
measurements may work counter to the concept of controlling the
process and reduce the control chart to a report card function. But
when subgrouping is possible, the measurements can be
standardized to accommodate this case.
c. Standardized Attributes Control Charts.
Attributes data samples, including those of variable size, can be
standardized so that multiple part types can be plotted on a single
chart. The standardized statistic has the form:

For example, a u statistic for defect rate would be standardized as:

This method also applies to np, p, c and u charts.
Figure III.4: DNOM Control Chart
CHAPTER III
Other Types of Control Charts



109
See Farnum (1992), Juran and Godfrey (1999), Montgomery (1997),
Wheeler (1991) and Wise and Fair (1998) for detailed discussions
and examples of short-run applications.
Charts for Detecting
Small Changes


There are situations where small changes in the process mean can
cause problems. Shewhart control charts may not be sensitive enough
to efficiently detect these changes, e.g., less than 1.5 . The two
alternative charts discussed here were developed to improve
sensitivity for detecting small excursions in the process mean. While
the typical Shewhart chart uses only the information supplied by the
most recent datum point, the Cumulative Sum (CUSUM) and the
Exponentially Weighted Moving-Average (EWMA) charts exploit
the information available in accumulated, historical data. See
Montgomery (1997), Wheeler (1995) and Grant and Leavenworth
(1996) for in-depth discussions of these methods and comparisons
with the supplemental detection rules for enhancing the sensitivity of
the Shewhart chart to small process shifts

CUSUM (Cumulative Sum) Chart

A CUSUM chart plots the cumulative sum of deviations of successive
sample means from a target specification so that even minor
permanent shifts (0.5 sigma or below) in the process mean will
eventually signal that a shift has occurred. For larger shifts, Shewhart
control charts are just as effective and take less effort.
These charts are most often used to monitor continuous processes,
such as in the chemical industry, where small shifts can have
significant effects.



















Figure: CUSMUM Chart with V-Mask
CHAPTER III
Other Types of Control Charts
110
The CUSUM chart evaluates the slope of the plotted line. A graphical
tool (V-mask) is laid over the chart with a vertical reference line offset
from origin of the V passing through the last plotted point (see Figure
III.5).
The offset and angle of the arms are functions of
An out-of-control condition (e.g., a significant the
desired level. of sensitivity to process shifts.
process shift) is indicated when previously plotted
points fall outside of the V-mask arms. These
arms take the place of de upper and lower control
limits.

The chart in Figure III.5 indicates that a process
shift occurred around the time of sample 14 or 15.
Due to the nature of this chart, the shift was not
detected until sample 23 was plotted. When the
V-mask was positioned on prior data points, all
samples fell within the control limits, so there was
no indication of an out-of-control situation.

In comparison, an Individual and Moving Range (X, MR) plot of the
same data (Figure 111.6) does not detect the process shift until sample
27.






























A tabular CUSUM is an alternative to the V mask approach. See
Montgomery (1979) for a discussion of this procedure.

Figure III.6: X, MR Chart
CHAPTER III
Other Types of Control Charts
33
Because moving averages are involved, the points being plotted are correlated (dependent) and
therefore detection of special causes using pattern analysis is not appropriate since they assume
independence among the points.


111
EWMA (Exponent i al l y Wei ght ed Movi ng Average)
Char t s
An EWMA Chart plots moving averages of past and current data in
which the values being averaged are assigned weights that decrease
exponentially from the present into the past.
30
Consequently, the
average values are influenced more by recent process performance.
31

The exponentially weighted moving average is defined by the
equation:


where 2 is the weighting constant
t is an index number (t = 1....),

x
t
is the current sample value, and

Z
t


is the current weighted moving average.

An initial value, z
o
must be estimated to start the process
with the first sample.

Through recursive substitution, successive values of Z
t
can be
determined from the equation:

f o r 0 < <1

The value of . is determined from tables or graphs based on
Average Run Length (ARL) performance. Some authors also
consider control limit widths other than three-sigma when
designing an EWMA chart. But, current literature indicates that
this approach may not necessary.

The EWMA chart becomes an chart for = 1.0. See
Montgomery (1997) and Wheeler (1995) for detailed
discussions.

The advantage of this chart is its ability to efficiently detect
small process mean shifts, typically less then 1.5 sigma, and it
can be used with an autocorrelated process
32
with a slowly
drifting mean.
Its disadvantage is its inability to efficiently detect large changes
in the process mean. In situations where large process mean
shifts are expected, the Shewhart control chart is recommended.
A common use of the EWMA is in the chemical industry where
large day-to-day fluctuations are common but may not be
indicative of the lack of process predictability.
Figures III.7 and III.8 are EWMA and X, MR plots of the same data.
The EWMA chart detects a mean shift at sample 29, but there is no
indication of this shift on the X, MR chart
CHAPTER III
Other Types of Control Charts
33
Because moving averages are involved, the points being plotted are correlated (dependent) and
therefore detection of special causes using pattern analysis is not appropriate since they assume
independence among the points.


112

Valid signals occur only in the form of points beyond the control
limits.
33
Other rules used to evaluate the data for non-random
patterns (see Chapter II, Section B) are not reliable indicators of
out-of-control conditions.

































EWMA and CUSUM essentially are equivalent in their ability to detect
the presence of assignable causes that result in a small shift in the mean.
However, the EWMA also can be used to forecast a "new" process mean
for the next time period. These charts can be useful to signal a need to
Figure III.7: EWMA Chart of Viscosity
Figure III.8: X, MR Chart of Viscosity
CHAPTER III
Other Types of Control Charts

34
For example, see Wheeler (1995).
113
adjust (maintain) a process. But they are not appropriate as tools for
process improvement (see Wheeler (1995)).
Multivariate forms of these charts, MCUSUM and MEWMA, have
been developed. See Lowery et al. (1992) and Lowry and
Montgomery (1995).
Non-Normal Charts
If the underlying distribution of a process is known to be non-normal,
there are several approaches that can be used:
Use the standard Shewhart control charts with appropriate
sample size.
Use adjustment factors to modify the control limits to reflect the
non-normal form.
Use a transformation to convert the data into a (near) normal
form and use the standard charts.
Use control limits based on the native non-normal form.
The approach which is used depends on the amount the process
distribution deviates from normality and specific conditions related
to the process.
Shewhart Control Charts
Although the sensitivity and risks associated with the standard
control charts have been analyzed by assuming the process
distribution was normal, Shewhart's development was not based on
an assumption of normality. His goal was to develop a tool useful for
the economic control of quality. Shewhart control charts can be used
for all processes. However, as the process distribution deviates from
normality, the sensitivity to change decreases, and the risk associated
with the Type I error increases.
For many non-normal process distributions, the
.
Central Limit
Theorem can be used to mitigate the effect of non-normality. That
is, if a sufficiently large subgroup size is used,
34
the Shewhart
control chart can be used with near normal sensitivity and degree of
risk.

CHAPTER III
Other Types of Control Charts
35
For example see: Burr, I. W., (1967), Chan, L.K., and Cui, Heng, J, and (2003) Pham, H., (2001).
114

Central Li mi t Theorem
Let X
1
, ..., X
n
be a set of n independent random variates from the same

arbitrary probability distribution P(X
1
,...,X
n
) with mean and

variance

Consider the average


The distribution of approaches the normal distribution N

as


The "rule of thumb" is that the range chart should be used with
subgroups of size fifteen or less. The standard deviation chart can be
used for all subgroup sizes.


Adjustment Factors

When a large subgroup size is not possible, the control limits of the
Shewhart control charts can be modified using adjustment factors to
compensate for the effect of the non-normality. Since non-normal
distributions are either asymmetric, have heavier tails than the
normal distribution, or both, use of the standard 3 sigma control
limits can increase the risk of false alarms, especially if pattern
analysis for special causes is used.

In this approach the non-normal distributional form is characterized
by its skewness or kurtosis or both. Tabled or algorithmic correction
factors are then applied to the normal control limits.
35









This approach requires an initial capability study with a sample size
sufficiently large to effectively capture the non-normal form.
CHAPTER III
Other Types of Control Charts
36
For example, see Johnson (1949) and Box and Cox (1964).
115
For this and the following approaches, the process should be studied
periodically to verify that the distributional form has not changed. Any
significant change in the distribution is an indicator that the process is
being affected by special causes.

Transformations

An alternative to the adjustment factors is to convert the data instead
of the control limits. In this approach, a transformation is determined
which transforms the non-normal process distribution into a (near)
normal distribution. Examples of transformations
36
used in these
situations are the Johnson family of transformations and the Box-Cox
transformations.
The selected transformation is then used to transform each datum
point and the standard Shewhart control chart methodologies are used
on the converted data.










For this approach to be effective, the transformation must be valid.
This typically requires a capability study with a sample size
sufficiently large to effectively capture the non-normal form. Also,
because the transformations tend to be mathematically complex, this
approach is only effective and efficient when implemented using a
computer program.

Non-Normal Form

There are situations when the above approaches are not easily
handled. Examples of these situations occur when the process
distribution is highly non-normal and the sample size cannot be
large, e.g., when tracking equipment reliability. In these situations a
control chart can be developed using the non-normal form directly to
calculate the chart control limits.

CHAPTER III
Other Types of Control Charts



116


In the example of tracking equipment reliability, a Time-to-Failure
Chart with a subgroup size of one can be used. The control limits are
based on the exponential distribution with parameter equal to the
mean time between failures (MTBF). In general, control limits for
this approach are selected to be the 0.135 and 99.865 percentile
points of the underlying distribution.
Like the other approaches above, for this approach to be effective, it
typically requires a capability study with a sample size sufficiently
large to capture the non-normal form. Advantages of this approach
are that the data can be plotted without complex calculations and it
provides more exact control limits than adjustment factors.


Multivariate

Multivariate charts are appropriate when it is desired to
simultaneously control two or more related characteristics that
influence the performance of a process or product. Their advantage is
that the combined effect of all variables can be monitored using a
single statistic. For instance, the combined effects of pH and
temperature of a part washing fluid may be linked to part cleanliness
measured by particle count. A multivariate chart provides a means to
detect shifts in the mean and changes in the parameter relationships.
A correlation matrix of variables can be used to test whether a
multivariate control chart could be useful. For the multivariate
approach to be viable the matrix entries should indicate that the
variables are sufficiently correlated.
Three of the most popular multivariate control chart statistics are
Hotelling's T
2
, the Multivariate Exponentially-Weighted Moving
Average (MEWMA) and the Multivariate Cumulative Sum
(MCUSUM).
A multivariate chart reduces Type I error, i.e., false out-of-control
signals are less likely to occur compared to using univariate charts to
make decisions separately for each variable.

The simplicity of this approach is also its disadvantage. An
out-of-control condition can be detected using a single
CHAPTER III
Other Types of Control Charts

117
statistic but the analysis of the charted results may not tell which
variable caused it. Additional analysis using other statistical tools
may be required to isolate the special cause(s). See Kourti and
MacGregor (1996).
Multivariate charts are mathematically complex, and computerized
implementation of these methods is essential for practical
application. It is important, however, that the use of appropriate
techniques for estimating dispersion statistics be verified. See
Wheeler (1995), Montgomery (1997) and current literature such as
Mason and Young (2001), for detailed discussions of multivariate
control charts.

Other Charts

In Chapter I, Section E, a Case 3 process was defined as one not in
statistical control but acceptable to tolerance. Special causes of
variation are present, the source of variation is known and
predictable but may not be eliminated for economic reasons.
However, this predictability of the special cause may require
monitoring and control. One method to determine deviations in the
predictability of special cause variation is the Regression chart.

Regression Control Charts

Regression charts are used to monitor the relationship between two
correlated variables in order to determine if and when deviation
from the known predictable relationship occurs. These charts
originally were applied to administrative processes but they have
also been used to analyze the correlation between many types of
variables.
Regression charts track the linear correlation between two variables,
for example:
Product cost versus weight.
Throughput versus machine cycle time (line speed).
Temperature versus pressure.
Dimensional change relative to tooling cycles.

For example, if a tool has constant wear relative to each cycle of the
process, a dimensional feature such as diameter (Y) could be
predicted based on the cycles (X) performed. Using data collected
over time this linear relationship can be modeled as

Y=b
o
+b
1
X

When X equals zero cycles, the predicted Y is equal to b
o
. So b
o
is
the predicted dimension from a tool never used.
CHAPTER III
Other Types of Control Charts

118
b
o
and b
1
are estimated using the equations for simple linear
regression.

The chart is constructed by drawing the line which is the
estimate for and computing the 95% or 99% predictive
interval. The predictive limits computed are curved lines with the
tightest point at . Often they are replaced with the in order
to tighten the control limits at each extreme for X.

Points that exceed the control limits indicate tooling which has a
tool life which is significantly different from the base tool life.
This can be advantageous or detrimental depending on the specific
situation.

A line is only one type of correlation between variables.
Regression charts can be applied to any relationship for which the
mathematical model can be determined.

Care should be taken in making predictions (extrapolating) outside
of the range of the original observations. The accuracy of the
regression model for use outside of this range should be viewed as
highly suspect. Both the prediction interval for future values and the
confidence interval for the regression equation become increasingly
wide. Additional data may be needed for model validation.
Discussion on confidence intervals can be found in Hines and
Montgomery (1980).
Residual Charts
An alternative approach to the Regression Chart is to chart the
residual values. From the regression equation, the residual value
A chart of the residual values could be treated in the
same manner as an Individuals chart with equal to zero.

The Residuals Chart and the Regression Chart are technically
equivalent and differ only in their presentation.

This approach would be more useful and intuitive when the variable
relationships are more complex.

Autoregressive Charts
Control chart methods generally assume that the data output from a
process are independent and identically distributed. For many
processes this assumption is not correct. Data from a time series,
data taken sequentially in time, are often serially dependent.

CHAPTER III
Other Types of Control Charts

119
These types of processes have output that are autocorrelated and
analysis with standard charting methods may result in erroneous
conclusions.

One common approach to contend with serial dependency is to take
samples far enough apart in time that the dependency is not
apparent. This often works in practice but its effectiveness relies on
postponing sample collection and may extend the sampling interval
longer than is appropriate. Also, this approach ignores information
which may be useful or even necessary for accurate prediction in
order to utilize techniques which were not designed for that type of
data.

Autoregressive Moving Average (ARMA) is a method of analysis
for data from a time series and it results in the prediction of future
observations based on their dependency on past observations.
Processes which drift, walk or cycle through time are good
candidates for time series analysis and an ARMA method may be
appropriate.

The autoregressive (AR) model is defined by


The current value observed is equal to a constant, a weighted
combination of prior observations and a random component.
The moving average (MA) model is defined by

The current value observed is equal to a constant, plus a weighted
combination of prior random adjustments and a random component.

The ARMA model is a combination of the AR and MA models.

Box and Jenkins defined the terminology ARMA(p,d,q) to define
subsets of the full ARMA model, where p is the number of
autoregressive parameters, d the number of times the data is
differenced (defined below), and q is the number of moving average
parameters.
So, ARMA(1,0,0) is the first order AR model without differencing

ARMA(0,0,1) is the first order MA model without differencing

And ARMA(1,1,1) is the first order ARMA model differenced once

For the first order AR and ARMA models the parameter must be
in the interval - 1 < < 1 for the model to be stationary, i.e., does
not diverge to infinity. (There are similar restrictions for the

's in
the higher order models.) For processes that are not stationary, the
data will need to be differenced. Differencing removes the serial
CHAPTER III
Other Types of Control Charts

120


dependence between an observation and another lagged observation.



The differenced observation is equal to the current observation minus
the observation made k samples prior. The data should only be
differenced if the model is not stationary. Most data from
manufacturing processes will not need differencing. The processes
do not diverge to infinity.

The next step is to determine the number of autoregressive and
moving average parameters to include in the model. Typically the
number of need Hill not be more than two.
ARMA(1,d,0), ARMA(2,d,0), ARMA(1,d,1), ARMA(2,d,1),
ARMA(1,d,2), ARMA(2,d,2), ARMA(0,d,1), ARMA(0,d,2), are the
common combinations and it is feasible to estimate them all before
selecting the best.

To estimate the parameters use Non-Linear Estimation.

Once the model is determined and stationary, and the parameters are
estimated then the next observation can be predicted from past
observations. For example (ARMA(1,0,1)):


The residual is calculated by


and the values for will be independent normally distributed
random variables and may be analyzed using an Individuals Chart or
Residuals Chart. For a more complete discussion see Box, Jenkins
and Reinsel (1994).

CHAPTER III
Other Types of Control Charts
121
Zone Charts
Chapter II, Section B, Table II.1 provides various rules for detecting
out-of-control signals. The first four rules can be easily implemented
with manual control charts, but the latter rules do not lend
themselves to rapid visual identification since they require the
determination of the number of standard deviations a plotted point is
from the centerline. This can be aided by dividing the control chart
into "zones" at 1, 2, and 3 standard deviations from the centerline.






These zones are sometimes referred to as "sigma" zones (sigma here
is the standard deviation of the distribution of the sample averages,
not the individual values). The zones assist in the visual
determination of whether a special cause exists using one or more of
the tabled criteria. See Montgomery (1997) and Wheeler (1995).












This division of the control chart can be coupled with run sums
analysis of control chart to produce the Zone Control Chart. The run
sums control chart analysis was introduced by Roberts (1966) and
studied further by Reynolds (1971). This approach assigns a score to
each zone. The store , assigned to the region R
+i
is nonnegative;
and the score, assigned to the region R
-1
is nonpositive. A typical
set of scores are:
CHAPTER III
Other Types of Control Charts
122

Zone Score
0 or +1
+2
+4
+8

The four regions placed symmetrically below the centerline are
assigned the corresponding negative scores.
A zone control chart is a hybrid between an (or Individuals)
chart and a CUSUM chart. It analyzes a cumulative score, based
on the zones. The cumulative score is the absolute value of the
sum of the scores of the zones in which the points are plotted.
Every time the centerline is crossed the cumulative score is reset
to zero.









A point is out of control if its cumulative score is greater than or
equal to 8. Thus, the analyst does not need to recognize the
patterns associated with non-random behavior as on a Shewhart
chart. With the scoring of 0, 2, 4, 8 this method is equivalent to
the standard criteria 1, 5, and 6 for
special causes in an (or Individuals) chart and is more
stringent than criterion 8. With the scoring of 1, 2, 4, 8 this
method is equivalent to the
standard criteria 1, 2, 5, and 6 for special causes in an (or
Individuals) chart and is more stringent than criteria 7 and 8. As
shown in the figure above, trends (criterion 3) can also be
detected depending on the start and stop of the trend.

Zone control charts can be modified to eliminate the point-
plotting process; the points are plotted in the zone not to a
scale. Thus, one standard zone control chart can fit most needs;
when to act on a process is determined by the charting
procedure.
CHAPTER III
Other Types of Control Charts



123


The zone chart can be used with a weighting scheme to provide the
sensitivity needed for a specific process. For example, one set of
weights (scores) can be used during the initial phase for detecting
special causes. Then the weights could be changed when the process
is in control and it is more important to detect drift.

The efficiency of the zone control chart is demonstrated by comparing
its average run lengths with those of standard control tests. For the
chart divided into scores of 0, 2, 4, and 8, the zone control chart
performs as well as or better than Shewhart charts (see Davis et al.
(1990)).
CHAPTER III
Other Types of Control Charts



124
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125





CHAPTER IV

Understanding Process Capability
and Process Performance for Variables Data




126
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CHAPTER IV
Understanding Process Capability And Process Performance for Variables Data



127
Introduction
The output of a stable process can be described by its statistical
distribution. The process must be stable (in statistical control) in
order for the distribution to be useful for predicting future results.
37
A
distribution is described in terms of characteristics (statistics) that are
calculated from measurements of samples taken from the process.
The statistics of most frequent interest are estimates of distribution
location (or center) and spread relative to the customer
requirements. Typically, the location is estimated by the sample
mean or sample median. Spread usually is estimated using the
sample range or sample standard deviation.
Process centering and spread interact with respect to producing an
acceptable product. As the distribution moves off center, the "elbow
room" available to accommodate process variation (spread) is
reduced. A shift in process location, an increase in process spread or
a combination of these factors may produce parts outside the
specification limits. A process with such a distribution would not be
qualified to meet the customer's needs.
This section addresses some of the techniques for evaluating process
capability and performance with respect to product specifications. In
general, it is necessary that the process being evaluated be stable (in
statistical control). A discussion of process variation and the
associated capability indices has little value for unstable processes.
However, reasonable approaches have been developed to assess the
capability of processes exhibiting systematic special causes of
process variation, such as tool wear (see Spiring, F. A. (1991)).
In addition, it is generally assumed that the individual readings from
the subject processes have a distribution that is approximately
normal.
38
This section will discuss only the more popular indices
and ratios:
Indices of process variation-only, relative to specifications: Cp,
and Pp.

Indices of process variation and centering combined, relative to

specifications: Cpk, and Ppk.
Ratios of process variation-only, relative to specifications: CR
and PR.
NOTE: Although other indices are not discussed in this manual, see
Appendix D and References for information on other indices.

Finally, this section describes the conditions and assumptions
associated with these process measures and concludes with a
suggestion as to how these measures might be applied toward
enhancing process understanding within the framework of continual
process improvement.

CHAPTER IV
Understanding Process Capability And Process Performance for Variables Data



128



This manual recognizes both the misunderstanding and controversy
surrounding the fundamental concepts and definitions regarding
process "Control", "Capability", and "Performance". It is not the
purpose of this manual to fully resolve these issues, but to expose and
discuss them to an extent that allows each reader the opportunity to
develop a better understanding of them in order to provide value and
knowledge for continual process improvement.

CHAPTER IV
Understanding Process Capability And Process Performance for Variables Data



129
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CHAPTER IV Section A
Definition of Process Terms



130








Figure IV.1: Within and Between-Subgroup Variation
CHAPTER IV Section A
Definition of Process Terms
131
CHAPTER IV - Section A
Def i ni t i ons of Pr ocess Ter ms


Process variation has various aspects:
Inherent Process Variation That portion of process variation due
to common (systematic) causes only.
Within-subgroup Variation ( ) This is the variation due only to
the variation within the subgroups. If the process is in statistical
control this variation is a good estimate of the inherent process

variation. It can be estimated from control charts by or
Between-subgroup Variation This is the variation due to the
variation between subgroups. If the process is in statistical control
this variation should be zero.
Total Process Variation ( ) This is the variation due to both
within-subgroup and between-subgroup variation. If the process
is not in statistical control the total process variation will
include the effect of the special cause(s) as well as the
common causes. This variation may be estimated by s , the
sample standard deviation, using all of the individual
readings obtained from either a detailed control chart

or a process study: = s = where x
i
is an individual
reading, is the average of the individual readings, and n is the total
number of individual readings.

Process Capability The 6 range of inherent process variation,
for statistically stable processes only, where is usually estimated
by or

Process Performance The 6 range of total process variation,
where is usually estimated by s , the total process standard
deviation.

If the process is in statistical control the process capability will be
very close to the process performance. A large difference between
the capability and performance indicates the presence of a
special cause(s).

CHAPTER IV Section A
Definition of Process Terms
39
As discussed in Chapter II, Section A, process analysis requires that the data have been collected
using measurement system(s) that are consistent with the process and have acceptable
measurement system characteristics.

132

Process Measures for Predictable Processes
Indices
Bilateral Tolerances
This section discusses commonly used indices where the
specification has both an upper and lower limit.
39

CAUTION: The indices discussed below are valid only when the
process is stable (in statistical control). If the process is not in
statistical control then these indices can be very misleading, as can
be seen by Figure IV.4.

Cp : This is a capability index. It compares the process capability to
the maximum allowable variation as indicated by the tolerance. This
index provides a measure of how well the process will satisfy the

variability requirements. C
p
is calculated by C
p
=


C
p
is not impacted by the process location. This index can be calculated
only for two-sided (bilateral) tolerances.

Cpk: This is a capability index. It takes the process location as well
as the capability into account. For bilateral tolerances C
pk
will
always be less than or equal to Cp .
C
pk
C
p

C
pk
will be equal to C
p
only if the process is centered.
C
pk
is calculated as the as minimum of CPU or CPL where:

a n d

C
pk
and C
p
should always be evaluated and analyzed together. A C
p

value significantly greater than the corresponding C
p k
indicates an
opportunity for improvement by centering the process.
C
p
C
pk
CHAPTER IV Section A
Definition of Process Terms



133
P
p
: This is a performance index. It compares the process
performance to the maximum allowable variation as indicated by the
tolerance. This index provides a measure of how well the process
will satisfy the variability requirements. P
p
is calculated by




P
p
is not impacted by the process location.

P
pk
: This is a performance index. It takes the process location as well
as the performance into account. For bilateral tolerances Ppk will
always be less than or equal to P
P
. P
pk
will be equal to P
p
only if the
process is centered.

P
pk
P
p
P
pk
is calculated as the as the minimum of PPU or PPL where:


P
p
P
pk
CHAPTER IV Section A
Definition of Process Terms



134

P
pk
and P
p
should always be evaluated and analyzed together. A P
p

value significantly greater than the corresponding P
pk
indicates an
opportunity for improvement by centering the process.

If the process is in statistical control the process capability will be
very close to the process performance. A large difference between the
C and P indices indicate the presence of a special cause(s). See
Figure IV.3 and IV.4.

CR: This is the capability ratio and is simply the reciprocal of C
p
:


PR: This is the performance ratio and is simply the reciprocal of P
P
;


NOTE: Example calculations for all of these measures are shown in
Appendix F.

A parts-per-million (ppm) nonconformance rate is sometimes used
as a supplemental measure of process capability. To estimate the
nonconformance rate using capability index information, a
probability distribution of the data must be defined. While the
normal distribution often is used for this purpose, this is an
assumption that should be validated using a goodness-of-fit test
before proceeding further. The nonlinear relationship between the
capability index and the proportion nonconforming should be
understood in order to make correct inferences (see Wheeler (1999)
for a detailed discussion of this subject).
CR
PR
PPM
CHAPTER IV Section A
Definition of Process Terms
135


Note that the Range charts are identical since the
within subgroup variation is the same for both processes

Figure IV.3: Comparison between a Predictable and Immature Process
CHAPTER IV Section A
Definition of Process Terms
136


Process below has same within subgroup variation
as above but no between subgroup variation


Ppk = 0.71
Cpk = 1.80
Ppk = 1.71
Cpk = 1.80

Figure IV.4: C
pk
and P
pk
Values produced by a Predictable and Immature Process
CHAPTER IV Section A
Definition of Process Terms



137
Indices
Unilateral Tolerances

This section discusses commonly used indices where the
specification has either an upper or lower limit but not both.

C
P
:

This is a capability index. It compares the process capability to
the maximum allowable variation as indicated by the tolerance. This
index has no meaning for unilateral tolerances.

If the product characteristic has a physical limit (e.g., flatness cannot
be less than zero), a C
p
could be calculated using the physical limit
(0.0) as a surrogate lower limit. But this number will not have the
same relationship to C
pk
as it does in the bilateral case.

C
pk
: This is a capability index. It takes the process location as well as
the capability into account. With unilateral tolerances with a physical
limit, Cpk can be less than, equal to or greater than C
p
.

C
pk
is directly related to the proportion nonconforming produced by
the process. It is equal to CPU or CPL depending whether the
tolerance is an USL or a LSL where:




P
P
:

This is a performance index. It compares the process performance
to the maximum allowable variation as indicated by the tolerance.
This index has no meaning for unilateral tolerances.

If the product characteristic has a physical limit (e.g., flatness cannot
be less than zero), a P
p
could be calculated using the physical limit
(0.0) as a surrogate lower limit. But this number will not have the
same relationship to P
pk
as it does in the bilateral case.
C
p

C
pk

C
pk

CHAPTER IV Section A
Definition of Process Terms



138
P
pk
is directly related to the proportion nonconforming produced by
the process. It is equal to PPU or PPL depending whether the
tolerance is an USL or a LSL where:

An alternate notation for P
pk
in the case of unilateral tolerances is
P
pku
or P
pkl
depending on whether the limit is an USL or LSL.


CR: This is the capability ratio and is simply the reciprocal of C
p
.
As such, this index has no meaning for unilateral tolerances.


PR: This is the performance ratio and is simply the reciprocal of P
p
.
As such, this index has no meaning for unilateral tolerances.
NOTE: Example calculations for all of these measures are shown in
Appendix F.
P
pk

CR
PR
CHAPTER IV Section B
Description of Conditions


40
For non-normal distributions, see the pages that follow.

139
CHAPTER IV - Section B
Description of Conditions
It is appropriate to point out that process variation and process
centering are two separate process characteristics. Each needs to be
understood separately from the other. To assist in this analysis it
has become convenient to combine the two characteristics into
indices, such as C
p
, C
pk
or P
p
, P
pk
. These indices can be useful for:
Measuring continual improvement using trends over time.
Prioritizing the order in which processes will be improved.
The capability index, C
pk
, is additionally useful for determining
whether or not a process is capable of meeting customer
requirements. This was the original intent of the capability index.
The performance index, P
pk
,

shows whether the process
performance is actually meeting the customer requirements. For
these indices (as well as all of the other process measures described
in Chapter IV, Section A) to be effectively used, the CONDITIONS
which surround them must be understood. If these conditions are
not met, the measures will have little or no meaning and can be
misleading in understanding the processes from which they were
generated. The following three conditions are the minimum that
must be satisfied for all of the capability measures described in
Section A:
The process from which the data come is statistically stable,
that is, the normally accepted SPC rules must not be violated.
The individual measurements from the process data form an
approximately normal distribution.
40

The specifications are based on customer requirements.


Commonly, the computed index (or ratio) value is accepted as the
"true" index (or ratio) value; i.e., the influence of sampling
variation on the computed number is discounted. For example,
computed indices C
pk
of 1.30 and 1.39 can be from the same stable
process simply due to sampling variation.
See Bissell, B.A.F. (1990), Boyles, R. A. (1991) and Dovich, R. A.
(1991) for more on this subject.
CHAPTER IV Section B
Description of Conditions
41
As discussed in Chapter II, Section A, process analysis requires that the data have been collected
using measurement system(s) that are consistent with the process and have acceptable
measurement system characteristics.
140
Handling Non-Normal and Multivariate Distributions
41

Although the normal distribution is useful in describing and
analyzing a wide variety of processes, it cannot be used for all
processes. Some processes are inherently non-normal, and their
deviations from normality are such that using the normal distribution
as an approximation can lead to erroneous decisions. Other processes
have multiple characteristics that are interrelated and should be
modeled as a multivariate distribution.
Of the indices described above, Cp, Pp, CR, and PR are robust with
respect to non-normality. This is not true for Cpk, and Ppk.

Relationship of Indices and
Proportion Nonconforming
Although many individuals use the Cpk, and Ppk indices as scalar-less
(unit-less) metrics, there is a direct relationship between each index
and the related process parameter of proportion nonconforming (or
ppm). Assuming that C
p
> 1, the capability index relationship is
given by:

proportion nonconforming = 1

where z
c
= 3C
pk and


Cpk = min {CPU, CPL}

Similarly, Ppk is related to the performance proportion
nonconformance through:

z
p
= 3P
k

With this understanding of Cpk, and Ppk, indices for non-normal
distributions can be developed with the same relationships between
the index and the process proportion nonconforming.
The determination of these indices for non-normal distributions
requires extensive tables or the use of iterative approximation
techniques. They are rarely calculated without the assistance of a
computer program.

Non-Normal Distributions
Using Transformations

One approach is to transform the non-normal form to one that is
(near) normal. The specifications are also transformed using the
same parameters.
CHAPTER IV Section B
Description of Conditions
42
Box, G. E. P., Hunter, W. G., and Hunter, J. S., Statistics for Experimenters, John Wiley and
Sons, New York, 1978, pg.239.
43
See Johnson (1949).

141
The C
pk
, and P
Pk
indices are then determined in the transformed
space using standard calculations based on the normal distribution.

Two general transformation approaches which have gained support
are:

Box-Cox Transformations

The methods of analysis of designed experiments are "appropriate
and efficient when the models are (a) structurally adequate, and
the (supposedly independent) errors (b) have constant variance and
(c) are normally distributed.
42
" Box and Cox (1964) discussed a
transformation which reasonably satisfies all three of these
requirements. This transformation is given by:

W=
Where -5 5
and = 0 for the natural log transformation
= 0.5 for the square root transformation
Although this transformation was developed with the focus of
the analysis of designed experiments, it has found an application
in the transformation of process data to normality.
Johnson Transformations
In 1949, Norman L. Johnson developed a system of
transformations which yields approximate normality.
43
This
system is given by:
S
B
Bounded
S
L
Log Normal
S
U
Unbounded

As in the case of the Pearson Family of distributions (see below),
this system of curves encompasses all the possible unimodal
distributional forms; i.e., it covers the entire feasible skewness-
kurtosis plane. It also contains as a boundary form the familiar
lognormal distribution. However, in the general case, the Johnson
curves are four parameter functions.

CHAPTER IV Section B
Description of Conditions


44
for the normal form: Q
0.99865
= - Q
0.00135
= z
0.99865
s

142
Non-Normal Distributions
Using Non-Normal Forms
Non-normal forms model the process distribution and then
determine the proportion nonconforming, i.e., the area of the non-
normal distribution outside the specifications.
A common approach to the modeling of the non-normal
distribution is to use the Pearson Family of Curves. The most
appropriate member of this family is determined by the method of
matching moments; i.e., the curve with skewness (SK) and kurtosis
(KU) that match that of the sampled distribution is used as a model
for the underlying form. As in the case of the Johnson
Transformation System (see above), this family of curves
encompasses all the possible unimodal distributional forms; i.e., it
covers the entire feasible SK-KU plane.
To calculate the non-normal equivalent to the P
pk

index, the non-
normal form ( f (x)) is used to determine the proportion
nonconforming, i.e., the area of the non-normal distribution outside
the upper and lower specifications:

and



These values are converted to a z value using the inverse standard
normal distribution. That is, the z
L

and z
U


values in the following
equations are determined such that:

and


Then

Although the standard calculation of Pp is a robust estimate, a more
exact estimate can be found using the convention that the process spread is
defined as the range that includes 99.73% of the distribution (representing
the equivalence of a 3 normal distribution spread). The limits of this
range are called the "0.135% quantile"
(
Q
0.00135)
and the "99.865%
quantile" (Q
0.99865
). That is, 0.135% of the values of the population are to
be found both below Q
0.00135
and above Q
0.99865
.
44

CHAPTER IV Section B
Description of Conditions




143
0.00135 = f (x) dx and

0.99865 = f (x) dx.

The calculation for P
p
then is:


P
p
= =

where the non-normal form is used to calculate the quantiles.

The capability index C
p
is calculated as above replacing S with

Because this approach uses the total variation to calculate the
proportion nonconforming, there is no analogue of a non-normal C
pk
available.

An alternate approach to calculating P
pk
using quantiles is given in
some documents by:



P
pk
= min

This approach does not tie the P
pk
index to the proportion
nonconforming. That is, different non-normal forms will have the
same index for different proportion nonconforming. To properly
interpret and compare these indices, the non-normal form as well as
the index value should be considered.

CHAPTER IV Section B
Description of Conditions
144
Multivariate Distributions
When multiple characteristics are interrelated, the process
distribution should be modeled using a multivariate form. The
process performance index P
pk
can be evaluated by first
determining the proportion nonconforming, i.e., the area of the
multivariate distribution outside the specifications.
For many geometrically dimensioned (GD&T) characteristics, the
bivariate normal form is useful in describing the process.
A pair of random variables X and Y have a bivariate normal
distribution if and only if their joint probability density is given by


f (x,y) =



where z =


= cov (x,y) =

For ; where

To calculate the multivariate equivalent to the P
pk
index, the
multivariate form (e.g., f (x y)) used to determine the proportion
nonconforming, i.e., the volume of the multivariate distribution
outside the specification (tolerance) zone. In the bivariate case this
would be:

P
z
= f (x, y) dx dy and











This value is converted to a z value using the inverse standard normal
distribution. That is, the z value such that:

tolerance zone
CHAPTER IV Section B
Description of Conditions



45
See also Bothe (2001) and Wheeler (1995).

145


Then P
pk
=

An estimate P
p
can be found using:

Specification area
P
p
=
Est 99.73% area

where the multivariate form is used to calculate the estimated
99.73% area.

Because this approach uses the total variation to calculate the
proportion nonconforming, there is no analogue of a multivariate Cpk
available.
45

CHAPTER IV Section B
Description of Conditions



146
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CHAPTER IV Section C
Suggested Use Process Measures


46
See Figure 1.1.
47
Methods for addressing multivariate processes are addressed in Chapter IV, Section B.

147

CHAPTER IV - Section C
Suggested Use of Process Measures

The key to effective use of any process measure continues to be the
level of understanding of what the measure truly represents. Those
in the statistical community who generally oppose how C
pk
indices
are being used, are quick to point out that few "real world" processes
completely satisfy all of the conditions, assumptions, and parameters
within which C
pk
has been developed (see Gunter, B. (1989) and
Herman, J. T. (1989)). It is the position of this manual that, even
when all conditions are met, it is difficult to assess or truly
understand a process on the basis of a single index or ratio number,
for reasons discussed below.

No single index or ratio should be used to describe a process. It is
strongly recommended that all four indices (C
p
, C
pk
and P
p
, P
pk
) be
calculated on the same data set. The comparison of the indices
among themselves can provide insight to potential process issues
and aid in measuring and prioritizing improvement over time. For
example, low C
p
, C
pk
values may indicate within-subgroup
variability issues, whereas low P
p
, P
pk
may imply overall variability
issues.

Graphical analyses should be used in conjunction with the process
measures. Examples of such analyses include control charts, plots of
process distributions, and loss function graphs.

Additionally, it is helpful to graph the inherent process variation,
versus total process variation, 6
P
= 6s , to compare the

process "capability" and "performance" and to track improvement.
Generally, the size of this gap is an indication of the effect that
special causes have on the process. These types of graphical
analyses can be done for better process understanding even if
process indices are not used.

Process measures should be used with the objective of aligning the
"Voice of the Process" to the "Voice of the Customer".
46


All capability and performance assessments should be confined to
single process characteristics. It is never appropriate to combine or
average the capability or performance results for several processes
into one index.
47

CHAPTER IV Section C
Suggested Use Process Measures


148




The Loss Function Concept
The driving force behind the use of capability indices (and other
process measures) has been the desire to produce all parts within
customer specifications. The underlying concept motivating this
desire is that all parts within specification, regardless of where they
are located within the specification range, are equally "good"
(acceptable), and all parts beyond specifications, regardless of how
far beyond specifications they may be, are equally "bad"
(unacceptable). Quality professionals sometimes refer to this
concept as "Goal Post" mentality (see Figure IV.5(A)).

Figure IV.5 Goal Post vs. Loss Function
CHAPTER IV Section C
Suggested Use Process Measures
149
Although this mental model (good/bad) has been extensively used in
the past, it is suggested that a more useful model (i.e., one that is a lot
closer to the behavior of the real world), is illustrated in Figure
IV.5(B). In general, this model is a quadratic foam and uses the
principle that an increasing loss is incurred by the customer or
society the further a particular characteristic gets from the
specification target. Implicit in this concept, referred to as the loss
function, is the presumption that the design intent (specification
target) is aligned with the customer's requirement.


The first step in managing variation is to understand how much
variation is acceptable; i.e., how much deviation from a target or
nominal value is allowable. Traditionally the value judgment of
"acceptable" and "allowable" is based on the design engineer's
understanding of the functional requirements and the physics of the
design and usage environment (engineering subject matter
knowledge), tempered by the economic constraints of the production
process. The results of this part of the design process are reflected in
the engineering specifications (tolerances).













But what do the specifications mean? Ideally, all characteristics of a
design should be equal to the design intent the target value that
would yield perfect results. But variation exists. So what is the
difference to the customer between two different parts, one with a
characteristic on target and one having the same characteristic off
target but within specification?

A common approach can be described using the "Goal Post" analogy.
In many sports (e.g., football, soccer, hockey, basketball) a field goal
is awarded if the ball passes through the goal posts (or hoop in
basketball). It doesn't make a difference if the ball or puck enters
dead center or just slips in. The score awarded is the same.
In manufacturing processes this means that everything within the
specification limits is considered equally good, and everything
outside is equally bad.
CHAPTER IV Section C
Suggested Use Process Measures
150












This approach may be valid for discrete characteristics (e.g., the
part has a clearance hole or not), but when dealing with
characteristics with a continuous response, this approach does not
reflect how the customer reacts to different levels of the output.
Without considering the specifications, it is possible to determine
the customer's sensitivity to deviations from the target (design
intent). See Goble, et al (1981). As a characteristic deviates farther
from the target, more customers will be able to "sense" that it is
different than the design intent - primarily because it takes more
"effort" to use. In many cases a loss (in time, cost, efficiency, etc.)
can be associated with each deviation increment. This loss can
apply to the individual customer, but it also may extend to the
organization, or even to society.
A typical sensitivity curve (loss function) has a quadratic form.






There are two ways to analyze a loss function. It can be compared
either to the design intent or functional specifications.











Figure IV.6: Comparison of Loss Function and Specifications
CHAPTER IV Section C
Suggested Use Process Measures


48
Alternative definition: A design is robust if it is tolerant (insensitive) to variation that is expected
from the manufacturing, processes, materials and environment.

151
From the customer's perspective, Figure IV.4 shows that there is
functionally little difference between a characteristic that is a "nudge"
on one side of the specification limit or the other.


A comparison of the loss function to the specifications provides a way
to classify characteristics. Figure IV.5 shows that the loss function
for Characteristic A is relatively flat within the specification limits.
This means that the customer will be insensitive to variation within
specification for Characteristic A. Since all characteristics are
expected to be within specification, this characteristic satisfies the
operational definition for robust.
48


A characteristic is called Robust i f the customer is insensitive to the
characteristic's expected variation.

























Figure IV.7: Comparison of Loss Functions
CHAPTER IV Section C
Suggested Use Process Measures



152








Figure IV. 8: A Process Control system
CHAPTER IV Section C
Suggested Use Process Measures
153
Alignment of Process to
Customer Requirements
In Chapter I, Section B (see Figure IV.8), a process control system is
described as a feedback system. An output characteristic of such a
process can also be expressed graphically in terms of a probability
distribution. This distribution might be referred to as the process
distribution (see Figure IV.9(a)).










The sensitivity curve also provides direction in the control of the
production process. The comparison of the process to the loss
function and the specification together shows that the total loss to the
customer increases as the process center (average) deviates from the
target.
To assess the impact of the process distribution to the customer, a
loss function (see Figure IV.9(b)) can be established for the process
characteristic. Superimposing the process distribution on the
customer requirement loss function curve (see Figure IV.9(c))
shows:

How well the process center is aligned with the customer target
requirement.
The loss to the customer being generated by this process. Based
upon these observations the following can be concluded:
In order to minimize customer losses, the process (process
center) should be aligned with the customer requirement
(specification target).
It is beneficial to the customer if variation around the target
value is continually reduced (see Figure IV.9(e)).

This analysis is sometimes called aligning the "Voice of the Process"
with the "Voice of the Customer" (see Scherkenbach, W. W. (1991)
for more details).

In the example in Figure IV.9(d), the parts beyond specification
account for only 45% of the total loss to the customer. The
remaining loss is coming from parts within specification but not at
the target.
CHAPTER IV Section C
Suggested Use Process Measures



154














































Figure IV.9: Process Alignment to Requirements
CHAPTER IV Section C
Suggested Use Process Measures



155
This was determined by estimating the total loss: combining the loss
generated by the actual distribution of the parts (nonconforming
parts) and the loss due to the customer's sensitivity to variation
within the specifications. This strongly suggests that the "Goal Post"
model, or computing percentage of "bad" parts (parts beyond
specifications), in and of itself does not provide a proper appreciation
for understanding the effect the process is actually having on the
customer.
CHAPTER IV Section C
Suggested Use Process Measures



156

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APPENDIX A
Some Comments on Subgrouping
49
It is important to understand the real meaning of "random". In practice, many people think that
by blindly selecting pieces that what they are doing is "random" selection. In reality, this may be
haphazard sampling or convenience sampling. Selection of a random sample requires specific
techniques to ensure that the sample is random. Using haphazard or convenience sampling when
random sampling is required can lead to erroneous and biased conclusions.

157
APPENDIX A
Some Comments on Sampling
Effects of Subgrouping
Control charts are used to answer questions about a process. In
order to have a control chart be useful, it is important that the charts
answer the right questions. An chart asks the question, "Is the
variation present between subgroup averages more than is expected
based on the variation within subgroups?". Therefore,
understanding sources of variation within and between subgroups is
of paramount importance in understanding the control chart and the
process variation. Most variables control charts compare within-
subgroup variation to between-subgroup variation, so it is important
in interpreting the control charts to form subgroups with an
understanding of the possible sources of variation affecting the
process results.

Autocorrelated Data
There are generally 3 features to any sampling that is performed
when doing SPC:
1. Size: How many parts are selected in the sample?
2. Frequency: How often do we take a sample?
3. Type: Will the sample consist of consecutively selected
pieces, randomly selected
49
pieces, or some other structured
plan?
Of the 3 features mentioned above, most people are experienced
with 1 and 2, but 3 is seldom considered. In fact, sample type is not
even covered in most control plan templates. The type of sample can
have a large impact on the results of SPC charting and should be
understood.
Some factors that influence the impact of the sample type have to do
with the process itself they are dependent on the nature of the
manufacturing process. One particular phenomenon common with
many modern day, high speed, automated processes is known as
autocorrelation.
The concept of correlation may be familiar to many people. There
are many examples of correlation which are part of experience in
everyday life (e.g., height/weight) where two features are compared
in order to determine if there appears to be a significant relationship
between them. As the value of one feature rises, the value of the
APPENDIX A
Some Comments on Subgrouping

158
other feature mat rise with it (indicating a positive correlation), or it
may fall with it (indicating a negative correlation) or it many act
independently of it (zero correlation). The mathematical formula for
correlation leads to a value between -1 (negative correlation),
through zero (no correlation), to +1 (positive correlation). In order to
achieve these results, several samples are taken from the population
and the two features of interest are compared within each other. In
the production world, different characteristics of the same
product/process may be compared.
In autocorrelation, instead of comparing two features within a part,
one feature is compared to that same feature on a part produced
before it. It may be compared to the part produced immediately prior
to it (called a lag of 1), or two parts prior (a lag of 2), etc.


High-speed, automated processes are often found to exhibit
autocorrelation on some characteristics. This is often because there is
an underlying predictable special cause variation which is large when
compared to the common cause variation. That is, the important
process input variables have not had time to vary much in the period
of time the sample was taken when compared to the between sample
variation. This may be illustrated with examples.
Temperature example:
If one were asked to do an a nd R control chart on the temperature
of a room (or outside patio), it does not make sense to have a
sampling plan that calls for taking 5 consecutive temperature
readings each of the 5 values would be essentially the same as
each other. However, an hour later when the next sample is taken, the
temperature would likely be different than it was an hour before, yet
those 5 readings would again be the same as each other. And so on.
When such a chart is completed, there would likely be some apparent
random variation in the chart, but the Range chart would be
primarily a stream of zeroes. The average range would then be
approximately
zero. i s used to calculate the control limits on the average, in the
formula , s o the control limits would be extremely tight on
the grand average of the data, and most points would show as being
out of control. This is an extreme example, but it serves to point out
what happens when autocorrelation is present and is ignored.
Stamping example:
Data from a coil-fed, progressive die process is typically
autocorrelated. If this data were randomized (i.e., coil-fed steel were
to be cut into blanks, randomized and then measured), the data would
then not be autocorrelated. Yet the final shipped outcome (the total
process distribution as indicated by a histogram) would be identical.
The underlying cause for the autocorrelation has been broken. Is this
practical or feasible to do forever? No, not in this case but this
example does serve to illustrate the possible nature of autocorrelation
in a process.
APPENDIX A
Some Comments on Subgrouping

50
Man, Material, Method, Machine, Mother Nature (Environment), Measurement System.

159





















Autocorrelation can lead to misleading conclusions if Cpk is
calculated while ignoring its effect on the process variation. Since
Cpk is based on (a within-subgroup estimate of the standard
deviation), it is evident in the above example that the Cpk will be
extremely high, yet it is obvious that there is more variation in the
process which has not been captured by C
pk
.

Ident i f yi ng Aut ocorrel at i on

To discover if a process is autocorrelated, firstly, consider the
process inputs in terms of the 6M's.
50
If a process is highly
dependent on the operator, it is not likely that the process would be
autocorrelated. On the other hand, if the process is highly dependent
on raw material and that raw material is a continuous variable (such
as a coil of steel used to feed a metal stamping process),
autocorrelation within each coil is highly likely. Similarly, for a
process which is highly dependent on specific machine related
characteristics (such as a stamping press and die combination as
affected by lubrication, die temperature, tool condition, etc.). When a
process is both material and machine dependent, autocorrelation may
be significant.

APPENDIX A
Some Comments on Subgrouping

51
The Durbin-Watson test statistic is one method to determine the degree of autocorrelation and is
included in many statistical software packages. See Biometrika, 38, pp. 159-178, 1951.
52
For example, see Appendix A for discussion on autocorrelation.

160
Secondly, there are statistical analyses
51
that can be used to
determine the actual autocorrelation coefficient and pattern. The
methodology of paired sample correlation analysis can be used to
compare the current sample to the prior sample, then the next
sample to the current sample, etc. When samples from a process
are stable and independent, the plotted point will be positioned
"randomly" (random from a normal distribution) between the
control limits. The plotted points from an autocorrelated process
will not vary far from their neighboring sampling points, forming a
lazy, wandering pattern.
Ways to Address Autocorrelation
Often, nothing can be done to change an autocorrelated process.
Different sampling methods may be called for.
I and MR:
If the within-subgroup variation is less than or equal to the
discrimination of the measurement system which is appropriate for
the process, an I and MR chart may be a suitable method to control
the process variation. However, very strong autocorrelation may
still display itself in a non-random pattern.
Structured Samples:
The selection of the sampling quantity and frequency should reflect
the dominant sources of variation. For example, if the process is
material dominant, then the sampling should occur whenever the
material changes (e.g., with the change of coils).

Autoregressive Charts:
In cases where the assumption that the sample data are independent
is violated, an autoregressive model would be appropriate. See
Chapter III.
Structured Charting:
If the source (special cause) of the autocorrelation is predictable, it
is possible to control the process by segregating the within-
subgroup variation from the between-subgroup variation on
separate charts. The Between/Within chart utilizes an I and MR
chart approach as well as the typical Range chart:
The Individuals chart plots the subgroup averages treated as
individuals against the control limits based on the Moving
Ranges.
The MR chart plots the between-subgroup variation using the
moving ranges based on the subgroup averages.
The Range (or Standard Deviation) chart plots the within-
subgroup variation.
APPENDIX A
Some Comments on Subgrouping



161

These would be analyzed using the standard control charting methods
to assure that both the common cause (within-subgroup) variation
and the cause of the autocorrelation (between-subgroup) remain
consistent (see Wheeler (1995)).

Summary
What is important here is considering the concept of
autocorrelation and the ability to recognize it in a process, then
understanding its possible impact on statistical results.

This discussion of autocorrelation is intended only to raise awareness
that such a phenomenon exists, how to recognize it, and that its
effects, if not recognized or understood, can be quite harmful to
otherwise good SPC practices. If the reader should suspect
autocorrelation in a process, then a statistician should be consulted.

It is important to understand the real meaning of "random". In
practice, many people think that by blindly selecting pieces here and
there that what they are doing is "random" selection. In reality, this
may be haphazard sampling or convenience sampling (see Glossary).
Selection of a random sample requires specific techniques (see a
statistical reference book). Using haphazard or convenience sampling
when random sampling is required can lead to biased and therefore
erroneous conclusions.
APPENDIX A
Some Comments on Subgrouping



162
Multiple Stream
Process Example
Consider the following example: A production process consists of
four parallel operations. It is suggested that variation in process output
should be studied with control charts, so a decision needs to be made
on how to collect the data for the charts. There is a variety of possible
sampling schemes that could be considered. Parts could be taken from
each stream to form a subgroup, or parts from only one stream could
be included in the same subgroup, or subgroups could be formed by
taking parts from the combined stream of output without regard to
their source. The numerical example below provides an example of
possible results obtained using these three methods.
Methods to col l ect data from the output of a mul ti ple stream (spi ndl e) production
process






Every hour a 16 part sample is collected by taking the parts from four
consecutive cycles from each stream.

APPENDIX A
Some Comments on Subgrouping



163

The following is an example of the data.











There are three sources of variation captured in the data. Cycle-to-
Cycle variation is captured by different columns in the array, stream-
to-stream variation is captured by the rows of the array, and hour-to-
hour variation is captured by different samples of 16 parts.


One subgrouping scheme would be to plot the average and range of
each column of each array of data. Using this subgrouping scheme,
stream-to-stream variation would be contained within each subgroup.
Hour-to-hour variation and cycle-to-cycle variation would contribute
to differences between subgroups. Another possible subgrouping
scheme would be to plot the average and range of each row of each
array of data. With this subgrouping scheme, cycle-to-cycle variation
would be contained within each subgroup and hour-to-hour and
stream-to-stream variation would contribute to differences between
subgroups.
















Data from 20 consecutive hours are used to construct control charts
whit each subgrouping method.
CYCLE OF THE MACHINE
SAMPLE #
A B C D
Stream S l
17 18 18 20
Stream S2 12 15 12 12
Stream S3 9 10 9 12
Stream S4 10 11 12 12
APPENDIX A
Some Comments on Subgrouping



164
Met hod 1: Subgroupi ng by col umn (Cycl e)

This subgrouping scheme yields 80 subgroups of size n = 4. The
grand average is 11.76 units. The average range is 7.85. The control
limits for the chart are 17.48 and 6.04 units, and the upper control
limit for the range chart is 17.91 units.

A review of the Range chart indicates that the within-subgroup
variation appears to be stable using this method.

APPENDIX A
Some Comments on Subgrouping



165
Method 2: Subgrouping by Row
The second subgrouping scheme yields 80 subgroups of size n = 4. The
average range is 2.84 units. The control limits for the chart are 13.83
and 9.70 units, and the upper control limit for the range chart is 6.46 units.
The control charts for this subgrouping scheme are shown below.









The control charts for the different subgrouping schemes are very
different even though they are derived from the same data. The chart
for data subgrouped by row shows a pattern: All of the points
corresponding to spindle 3 are noticeably higher than those from the
other streams. The first chart does not reveal the stream-to-stream
differences because readings from each stream are averaged to obtain
each value.

By grouping the data differently, the charts address different questions.
For the first set of charts, stream-to-stream variation is used as a basis of
comparison. The R chart checks to see that stream-to-stream variation is
stable over time and the chart compares cycle-to-cycle and hour-to-
hour with stream-to-stream variation.
APPENDIX A
Some Comments on Subgrouping



166
The second set of charts use cycle to cycle variation as a basis for
comparison. The R chart checks to see that the cycle-to-cycle
variation is stable over time and the

chart compares stream-to-
stream variation and hour-to-hour variation with the base level of
variation established by the ranges; i.e., cycle-to-cycle variation. The
second set of charts identify that a special cause is affecting the
process; i.e., the third stream is different from the other streams.
Since the stream to stream differences are so large, the control
limits in the first set of charts are much wider than the second set.

With the second subgrouping method, the data could be used to
create four separate sets of control charts from the data, one for
each stream.



This comparison of the charts shows that the average of the third
stream is higher than the others and the individual processes are out
of control. The base level of variation used for study of the results
from each stream is cycle-to-cycle variation as reflected in the range.
For each stream the effects of hour-to-hour variation are shown on
the charts. By plotting the charts using the same scale, the level
and variation for each stream can be compared.
Method 3:
The third method of sampling would be to sample the parts from the
combined output from all four streams. This method gives some
insight into the variation that is sent to the next process but the parts
can no longer be differentiated by production stream. Provided the
parts in the combined are mixed, the ranges reflect a mixture of
CHAPTER IV Section A
Some Comments Subgrouping


167
stream-to-stream and cycle-to-cycle variation. The values contain,
in addition, hour-to-hour variation. If the hour to hour contribution to
variation is large enough, that contribution will be seen as out-of-
control points on the chart.























The R chart checks to see if stream-to-stream and cycle-to-cycle
variation is consistent over time. The chart answers the question,
"Is the variation in values what would be expected if cycle-to-
cycle and stream-to-stream variation were the only kinds of variation
present in the process, or, is there additional change hour to hour?"
As a general rule, the variation that is represented within subgroups
should be the kind of variation that is believed to be the least
significant or least interesting as a subject for current study. In all
cases, a method of subgrouping should be used that will allow
questions about the effects of potential sources of variation to be
answered.

CHAPTER IV Section A
Some Comments Subgrouping


53
Note: Although the actual sampling distribution of the indices will generally be non-normal, this
discussion will use a symmetric distribution as an example.

168
Effects of Sample
Size on Indices
A common scenario when evaluating a process using indices is
that the results of one sample may seemingly contradict the results
of a second sample. This is especially prevalent with new
processes where the initial sample taken to qualify the process for
production has index values that meet or exceed the customer
requirements but a subsequent sample taken during normal
production has indices that fall short of the requirements.
The reasons for this are varied:
The process has changed from the initial sampling to the full
production sampling e.g., the initial sampling may have
been using different material, setups, procedures, etc.
The initial sampling did not include all the possible sources
of variation which are affecting the production process. This
is a real possibility if the initial sample size is small.
The actual process index is close to the target index and
sampling variation is causing the difference in conclusions.
The first two reasons relate to the understanding of the sources of
variation acting on the process and are discussed in Chapter I.
The third reason deals with the sampling variation inherent in any
sampling scheme (see also Chapter I, Section G). Unless the
sample includes all the output of the process, there will be
sampling variation
53
when calculating a statistic (in this case an
index) of the process distribution.












Using the sampling distribution (the distribution of the statistic
(index)), it is possible to calculate confidence bounds for the index.
CHAPTER IV Section A
Some Comments Subgrouping


169
These values can then be used to make a decision about the process
(e.g., is it acceptable or not).
Using a common alpha risk level of .05 as an example, the 95%
confidence bounds will identify the range of possible values that will
contain the actual (and unknown) value 95% of the time. That is, if
the sampling was identically repeated 100 times, the same decision
(acceptable or unacceptable) on the process would be made 95 times.



The width of the sampling distribution is a function of the sample
size. The larger the sample size the "tighter" the sampling
distribution. It is this attribute of the sampling distribution that can
lead to seemingly contradictory conclusions.

For example, when evaluating new processes the initial sample is
usually small due to the availability of raw materials/parts. Once the
process is in production, this constraint is not present.

CHAPTER IV Section A
Some Comments Subgrouping



170
When the actual index is close to the target index then the differences
in sampling variation can lead to seemingly contradictory
conclusions even if there are no changes in the process and both
samples encompass the same sources of variation.

















In the case where the actual index (unknown) is exactly equal to the
target index then, regardless of the sample size, the probability of
calling the process acceptable is only 50%. In other words, the
calculated index will be greater or equal to the target index only half
the time.




















The sample size used in a process study and how close the actual
index is to the target index has a significant impact on the validity
of any predictive decision made about the process.
APPENDIX B
Some Comments on Special Causes


171
APPENDIX B
Some Comment s on Speci al
Causes Over-Adjustment


Over-adjustment is the practice of treating each deviation from the
target as if it were the result of the action of a special cause of
variation in the process.

If a stable process is adjusted on the basis of each measurement
made, then the adjustment becomes an additional source of variation.
The following examples demonstrate this concept. The first graph
shows the variation in results with no adjustment. The second graph
shows the variation in results when an adjustment is made to the
process to compensate for each deviation from the target. The third
graph shows variation in results when adjustments are made to
compensate only when the last result was more than one unit from
the target. This third case is an example of compensation to stay
within a set of specifications. Each method of adjustment increases
the variation in the output, since the variation without adjustment is
stable (see Deming (1989), Chapter 11).
APPENDIX B
Some Comments on Special Causes


172

NOTE: These charts assume the measurement system
has been assessed and is appropriate.
APPENDIX B
Some Comments on Special Causes


173
Time Dependent Processes
Case 3 processes (see Chapter I, Section E) are usually difficult to fit
into the classical control chart model. Few processes of these types
remain strictly stable over time. Because the within-subgroup variation
is usually small, minor fluctuations in process location or dispersion
may cause a process to be out of statistical control, when, in fact, the
condition has a minimal practical effect on product quality and the
customer.

For example, consider a process that has a fairly constant dispersion,
but has small, random location changes. When the control limits
were established based on the first 25 samples, numerous points out
of control were revealed.





















Yet, because the process capability is small when compared to the
specifications and the loss function is flat, a histogram of the data
suggests that there is a minimal risk of impacting the customer.










APPENDIX B
Some Comments on Special Causes


174


The process is being run on one shift per day. When the data are
evaluated on that basis, the process exhibited short-term periods of
statistical control.


This implies that the process could be monitored using a short run
chart (see Chapter III). Other time dependent processes can be
monitored by the Individuals and Moving Range Chart, the EWMA
Chart, the ARIMA Chart and others.
The charts reveal sensitivity to some special cause. The need for
further investigation or process improvement should be considered in
the context of business priorities.
The question is whether process parameters are reliable when
estimated under such conditions. The answer is no. Deming (1986),
Wheeler and Chambers (1992) and Bothe (2002) discuss the risks
involved in making capability evaluations when the process lacks
statistical control. The consequences of making an erroneous
decision based on data from an unstable process can be severe.

APPENDIX B
Some Comments on Special Causes


175
In general, a stable process is a prerequisite for correctly estimating
process capability.
However, in certain situations, such as the time dependent process in
the example, the classical indices will provide a conservation
estimate of the process performance.


Under certain circumstances, the customer may allow a producer to
run a process even though it is a Case 3 process. These circumstances
may include:
The customer is insensitive to variation within specifications (see
discussion on the loss function in Chapter IV).
The economics involved in acting upon the special cause exceed the
benefit to any and all customers. Economically allowable special
causes may include tool wear, tool regrind, cyclical (seasonal)
variation, etc.
The special cause has been identified and has been documented as
consistent and predictable.
In these situations, the customer may require the following:

The process is mature.
The special cause to be allowed has been shown to act in a consistent
manner over a known period of time.
A process control plan is in effect which will assure conformance to
specification of all process output and protection from other special
causes or inconsistency in the allowed special cause.


There are times when repetitive patterns are present in control charts
due to known assignable causes -- causes that cannot economically
be eliminated.
Consider an operation where an outer diameter of a shaft is being
machined. As the machining tool wears, the outer diameter will
becomes larger. In this example the average chart would have an
increasing trend. This trend would continue until the tool is replaced.
Over time the average chart will exhibit a sawtooth pattern. As this
example highlights, repetitive trends will be present when a process
has significant input variables that change consistently overtime
which cannot economically be reduced to random causes.


Another example of a process that can produce trends is a process
involving chemicals. As parts are processed, the concentration of the
chemicals becomes weaker thereby producing a trend. The trend
continues until the chemical concentration is brought back to the
initial level by process adjustment.
Repeating Patterns
APPENDIX B
Some Comments on Special Causes


176
Other examples include processes influenced by ambient
temperature, humidity and human fatigue. When these types of
repetitive patterns exist, the average chart will exhibit conditions
associated with an out-of-control process since there is the
(economically influenced) special cause acting on the process. If the
influence of this special cause can be shown to be predictable over
time and the additional variation is acceptable to the customer, then
the process controls can be modified to allow it.

One approach to this is replacing standard control limits with
modified control limits. See AT&T ( 1984) , Grant and Leavenworth
(1996), Duncan (1986), Charbonneau Webster (1978) for more
information on modified control limits.

Where modified control limits are used caution should be employed
since these charts may fail to disclose the presence or absence of
statistical control in the manufacturing process.

An alternate approach is to use the Regression Control Chart
discussed in Chapter III.

Besides influencing trends, these types of special causes may also
cause a batch to batch mean shift. If this additional variation is
acceptable to the customer then the process may be controlled using
Short Run Charts discussed in Chapter III.

APPENDIX C
Selection Procedure for the Control Charts Described in this Manual


177

APPENDIX C
Selection Procedure for the Use of the Control Charts
Described in This Manual










































APPENDIX C
Selection Procedure for the Control Charts Described in this Manual


178
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APPENDIX D
Relationship Between C
mp

and Other Indices



54
See Bothe (2001) for a discussion of the situation where T is not the middle of the specification.

179
APPENDIX D
Relationship Between C
pm
and Other Indices
The C
pm
index, often associated with Taguchi's Loss Function, was
developed as an alternate way to account for the effect of process
centering on estimates of process capability or performance. The
Cpk and Ppk indices focus on the process mean and not the
specification target value, while the Cpm index focuses on the target
value. As discussed in Chapter IV, all four of the standard indices
(Cp, Cpk, Pp, and Ppk) should be evaluated for the same data set to
obtain a comprehensive assessment of process capability and
performance. A large difference between C
p
and Cpk or between Pp
and Ppk is an indication of a centering problem. In contrast, by
including the variation between the process mean and the
specification target value in the calculation, the Cpm index
evaluates how well the process meets the specification target
whether it is centered or not. See Boyles (1991) and Chan, L. J.,
S.W. Cheng, and F.A. Spiring (1988) for additional information.
The difference between Cpm and other indices discussed in this
manual results from the way the standard deviation is calculated.
The indices discussed in the text use the standard deviation; i.e.,
the variation around process mean, . C
pm
uses an analogue based
on the target, i.e., the variation around the target, T .

Where

The following graphs assume bilateral tolerance:
54
that is,
(USL T) = (T LSL)
APPENDIX E
Table of Constant and Formulas for Control Charts
180


















































APPENDIX E
Table of Constant and Formulas for Control Charts
* From ASTM publication STP-15D, Manual on the Presentation of Data and Control Chart Analysis, 1976;
pp 134-136. Copyright ASTM, 1916 Race Street, Philadelphia, Pennsylvania 19103. Reprinted, with
permission.
181


APPENDIX E
Table of Constants and Formulas for Control Charts*
and R Charts X and s Charts
Chart for
Averages
Chart for Ranges (R)
Chart for
Averages
Chart for Ranges (R)

Control
Limits
Factor
Divisors to
Estimate
x
Factors for
Control Limits
Control
Limits
Factor
Divisors to
Estimate
x
Factors for
Control Limits
Subgroup
Size
A
2

d
2
D
3

D
4
A
3
C
4
B
3
B
4

2
1.880 1.128

3.267 2.659 0.7979

3.267
3
1.023 1.693
-
2.574 1.954 0.8862

2.568
4
0.729
2.059

2.282 1.628 0.9213

2.266
5
0.577 2.326

2.114 1.427 0.9400

2.089
6
0.483 2.534
-
2.004 1.287 0.9515 0.030 1.970
7
0.419 2.704
0.076 1.924 1.182 0.9594 0.118 1.882
8
0.373 2.847
0.136 1.864 1.099 0.9650 0.185 1.815
9
0.337
2.970 0.184 1.816 1.032 0.9693 0.239 1.761
10
0.308 3.078
0.223 1.777 0.975 0.9727 0.284 1.716
11
0.285 3.173
0.256 1.744 0.927 0.9754 0.321 1.679
12
0.266 3.258
0.283 1.717 0.886 0.9776 0.354 1.646
13
0.249 3.336
0.307 1.693 0.850 0.9794 0.382 1.618
14
0.235 3.407
0.328 1.672 0.817 0.9810 0.406 1.594
15
0.223 3.472 0.347 1.653 0.789 0.9823 0.428 1.572
16
0.212 3.532
0.363 1.637 0.763 0.9835 0.448 1.552
17
0.203 3.588 0.378
1.622 0.739 0.9845 0.466 1.534
18
0.194 3.640
0.391 1.608 0.718 0.9854 0.482 1.518
19
0.187 3.689
0.403 1.597 0.698 0.9862 0.497 1.503
20
0.180 3.735
0.415 1.585 0.680 0.9869 0.510 1.490
21
0.173 3.778
0.425 1.575 0.663 0.9876 0.523 1.477
22
0.167 3.819 0.434
1.566 0.647 0.9882 0.534 1.466
23
0.162 3.858
0.443 1.557 0.633 0.9887 0.545 1.455
24
0.157
3.895 0.451 1.548 0.619 0.9892 0.555 1.445
25
0.153 3.931
0.459 1.541 0.606 0.9896 0.565 1.435

Centerline Control Limits

and R Charts


and s Charts


APPENDIX E
Table of Constant and Formulas for Control Charts
**

factors derived from ASTM-STP-15D Data and Efficiency Tables contained in Dixon and
Massey (1969), page 488.

182

APPENDIX E Table of Constants and Formulas for Control Charts (Cont.)


Centerline Control Limits

Median Charts



Charts for Individuals




For extended d
2
tables see the MSA Manual 3
rd
edition.

Median Charts
**
Charts for Individuals
Chart for
Medians
Chart for Ranges (R) Chart for
Individuals
Chart for Ranges (R)
Control
Limits
Factor
Divisors to
Estimate

Factors for
Control Limits
Control
Limits
Factor
Divisors to
Estimate

Factors for
Control Limits
Subgroup
Size

D
2
D
3
D
4
E
2
d
2
D
3
D
4

2 1.880 1.128 - 3.267 2.660 1.128 - 3.267
3 1.187 1.693 - 2.574 1.772 1.693

2.574
4 0.796 2.059 - 2.282 1.457 2.059 - 2.282
5 0.691 2.326 - 2.114 1.290 2.326 - 2.114
6 0.548 2.534

2.004 1.184 2.534 - 2.004
7 0.508 2.704 0.076 1.924 1.109 2.704 0.076 1.924
8 0.433 2.847 0.136 1.864 1.054 2.847 0.136 1.864
9 0.412 2.970 0.184 1.816 1.010 2.970 0.184 1.816
10 0.362 3.078 0.223 1.777 0.975 3.078 0.223 1.777
APPENDIX E
Table of Constant and Formulas for Control Charts
183

APPENDIX E Table of Constant and Formulas for Control Charts (Cont.)

Attributes Charts

Centerline Control Limits
Samples not necessarily of constant size

p chart for
proportions of
units in a category

If the sample size is constant (n)



np chart for
number/rate of
units in a category


c chart for number
of incidences in
one or more
categories


Samples not necessarily of constant size

Using average sample size


If the sample size is constant (n)
u chart for
number of
incidences per unit
in one or more
categories





APPENDIX F
Capability Index Calculations Example
184

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APPENDIX F
Capability Index Calculations Example
55
For non-normal distributions, see Chapter IV, Section B.
185

APPENDIX F
Capability Index Calculations Example

For capability indices to be valid, several assumptions should be
satisfied (see Chapter IV, Section A and Section B). They are:

The process from which the data come is statistically stable, that
is, the normally accepted SPC rules must not be violated.

The individual measurements from the process data form an
approximately normal distribution.
55


A sufficient number of parts must be evaluated in order to
capture the variation that is inherent in the process. It is
recommended that at least 125 individual values be collected
using a subgroup size of five. Other subgroup sizes may be more
appropriate for a particular application, but the total sample size
should be at least 125.

The specifications are based on customer requirements.


The following data set is evaluated against these assumptions and,
since the assumptions hold, the capability indices are calculated.
APPENDIX F
Capability Index Calculations Example

186

Data Set:
Data
Point
Diameter
Data
Point
Diameter
Data
Point
Diameter
Data
Point
Diameter
Data
Point
Diameter
1 22.30 26 22.37 51 22.28 76 22.65 101 22.48
2 22.54 27 22.34 52 22.55 77 22.50 102 22.38
3 22.01 28 22.75 53 22.38 78 22.41 103 22.28
4 22.62 29 22.71
54
22.65
79 22.39 104 22.72
5 22.65 30 22.51 55 22.56 80 22.48 105 22.96
6 22.86 31 22.23 56
22.54
81 22.50 106 22.53
7 22.68 32 22.36 57 22.25 82 22.86 107 22.52
8 22.43 33 22.90 58 22.40 83 22.60 108 22.61
9 22.58 34 22.45 59 22.72 84 22.60 109 22.62
10 22.73 35 22.48 60 22.90 85 22.66 110 22.60
11 22.88 36 22.60 61 22.31 86 22.79 111 22.54
12 22.68 37 22.72 62 22.57 87 22.61 112 22.56
13 22.46 38 22.35 63 22.38 88 22.81 113 22.36
14 22.30 39 22.51 64 22.58 89 22.66 114 22.46
15 22.61 40 22.69 65 22.30 90 22.37 115 22.71
16 22.44 41 22.61 66 22.42 91 22.65 116 22.84
17 22.66 42 22.52 67 22.21 92 22.75 117 22.52
18 22.48 43 22.52 68 22.45 93 21.92 118 22.88
19 22.37 44 22.49 69 22.24 94 22.00 119
22.68
20 22.56 45 22.31 70 22.55 95 22.45 120 22.54
21 22.59 46 22.42 71 22.25 96 22.51 121 22.76
22 22.65 47 22.64 72 22.36 97 22.58 122 22.65
23 22.78 48 22.52 73 22.25 98 22.46 123 22.51
24 22.58 49 22.40 74 22.34
99
22.76 124 22.77
25 22.33 50 22.63 75 22.67 100 22.56 125 22.43


APPENDIX F
Capability Index Calculations Example

187

Anal ysi s
Histogram Chart, Normality Plot and the Xbar and R Chart can be used to determine the validity of
the first two assumptions.


















Normal Probability Plot





















The above two graphs provide evidence that the data likely came from a normally distributed
population.

I I i ~
22.0 22.5 23.0 23.5
21.5
APPENDIX F
Capability Index Calculations Example
188


Control charts provide evidence that the process is in statistical control. Consequently it is
appropriate to calculate the indices for this data set.

Diameter Statistics:
Sample size = n = 125
Subgroup Size = 5
Number of Subgroups = 25

Upper Specification Limit = 23.5
Lower Specification Limit = 21.5
The specifications are based on customer and functional requirements.
Within-subgroup standard deviation =
Total variation standard deviation =
The above information is necessary for the evaluation of the indices.
APPENDIX F
Capability Index Calculations Example

189


C
pk
= Minimum

= Minimum


= Minimum (CPL =1.91, CPU =1.80)

= 1.80






P
pk
= Minimum



= Minimum


= Minimum (PPL = 1.82, PPU = 1.71)

= 1.71
APPENDIX F
Capability Index Calculations Example

190


Conclusion:
The following observations are made:
Cpk is approximately equal to C
p
, and Ppk is approximately equal
to P
p
. Both of these conditions are indicators that the process is
well centered.
All indices are relatively high indicating that the process is
capable of producing near-zero nonconformances if the process
remains in statistical control.
Since the Cp and Pp are approximately equal it implies minimal
between-subgroup variation.
A large discrepancy between C
pk
and P
pk
would indicate the
presence of excessive between-subgroup variation.
A large discrepancy between C
p
and C
pk
(or between P
p
and P
pk
)
would indicate a process centering problem.

NOTE: The process variability is an integral part of the capability
index calculations, hence it is important to be consistent in choosing
the method to calculate the within-subgroup variability. As the table
below shows there are two ways to estimate the process variability
( ) and its effect on the C
pk
calculations. Both are correct; i.e., both

are valid estimates of the "true" variation. Use if an and R

chart is used to collect the data and

if and and s chart is
used.


Method for calculating
Summary of Results
Within-subgroup Variation C
pk

0.1799 1.80

0.1820 1.78


NOTE: The total variation standard deviation value( p = 0.1890) is
not affected by the methodology used to estimate within-subgroup
variation.
APPENDIX G
Glossary of Terms and Symbols
191

APPENDIX G
Glossary of Terms and
Symbols Terms Used in This Manual
ARMA Control Chart The Autoregressive Moving Average Control Chart is a
control chart which uses a regression model to account
for interrelationship among the data. It may be used in
cases where the assumption that the sample data are
independent is violated.
Attributes Data Qualitative data that can be categorized for recording
and analysis. Examples include characteristics such as:
the presence of a required label, the installation of all
required fasteners, the absence of errors on an expense
report. Other examples are characteristics that are
inherently measurable (i.e., could be treated as
variables data), but where the results are recorded in a
simple yes/no fashion, such as acceptability of a shaft
diameter when checked on a go/no-go gage, or the
presence of any engineering changes on a drawing.
Attributes data are usually gathered in the form of
nonconforming units or of nonconformities; they are
analyzed by p, np, c and u control charts (see also
Variables Data).
Autocorrelation The degree of relationship between elements of a
stationary time series.

Average (see also Mean) The sum of values divided by the number (sample size)
of values. It is designated by a bar over the symbol for
the values being averaged. For example:
o (X-bar) is the average of the X values
within a subgroup;
o (X double bar) is the average of subgroup
averages ( );
o (X tilde-bar) is the average of subgroup
medians;
o (R-bar) is the average of subgroup ranges.

Average Run Length The number of sample subgroups expected between
out-of control signals. The in-control Average Run
APPENDIX G
Glossary of Terms and Symbols
192



Length (ARL
O
) is the expected number of subgroup
samples between false alarms.

Between-subgroup Variation See Variation.

Binomial Distribution A discrete probability distribution for attributes data that
applies to conforming and nonconforming units and
underlies the p and np charts.


Cause and Effect Diagram A simple tool for individual or group problem solving that
uses a graphic description of the various process elements
to analyze potential sources of process variation. Also
called fishbone diagram (after its appearance) or Ishikawa
diagram (after its developer).

Centerline The line on a control chart that represents the average
value of the items being plotted.


Characteristic A distinguishing feature of a process or its output.


Common Cause A source of variation that affects all the individual values
of the process output being studied; this is the source of
the inherent process variation.


Confidence Interval An interval or range of values, calculated from sample
data, that contains, with a (100 - ) degree of certainty,
the population parameter of interest, e.g., the true
population average. , called the Level of Significance, is
the probability of committing a Type I error. See
Montgomery (1997) or Juran and Godfrey (1999) for
calculation methods.

Consecutive Units of output produced in succession; a basis for
selecting subgroup samples.

Continual Improvement The operational philosophy that makes best use of the
talents within the Company to produce products of
increasing quality for our customers in an increasingly
efficient way that protects the return on investment to our
stockholders. This is a dynamic strategy designed to
enhance the strength of the Company in the face
APPENDIX G
Glossary of Terms and Symbols

193

of present and future market conditions. It contrasts with
any static strategy that accepts (explicitly or implicitly)
some particular level of outgoing nonconformances as
inevitable.

Control See Statistical Control.

Control Chart A graphic representation of a characteristic of a process,
showing plotted values of some statistic gathered from that
characteristic, a centerline, and one or two control limits. It
minimizes the net economic loss from Type I and Type II
errors. It has two basic uses: as a judgment to determine if a
process has been operating in statistical control, and to aid
in maintaining statistical control.

Control Limit A line (or lines) on a control chart used as a basis for
judging the stability of a process. Variation beyond a
control limit is evidence that special causes are affecting
the process. Control limits are calculated from process
data and are not to be confused with engineering
specifications.

Control Statistic The statistic used in developing and using a control chart.
A value calculated from or based upon sample data (e.g., a
subgroup average or range), used to make inferences about
the process that produced the output from which the
sample came.

Convenience Sampling A sample scheme wherein the samples are collected using
an approach which makes it "easy" to collect the samples
but does not reflect the nature of potential special causes
which could affect the process. Examples of this are
collecting samples just before a break period, or from the
top of a bin, pallet or other storage container. This type of
sampling is not appropriate for process analysis or control
because it can lead to a biased result and consequently a
possible erroneous decision.

Correlation The degree of relationship between variables.


Correlation Matrix A matrix of all possible correlations of factors under
consideration.
APPENDIX G
Glossary of Terms and Symbols

194

CUSUM Control Chart A control chart approach that uses the current and recent
past process data to detect small to moderate shifts in the
process average or variability. CUSUM stands for
"cumulative sum" of deviations from the target and puts
equal weight on the current and recent past data.

Datum The singular of "data". A single point in a series of data.
Not to be confused with the word as used within
Geometric Dimensioning & Tolerancing (GD&T).

Detection A reactive (past-oriented) strategy that attempts to identify
unacceptable output after it has been produced and then
separate it from acceptable output (see also Prevention).

Dispersion See Process Spread.

Distribution A way of describing the output of a stable system of
variation, in which individual values as a group form a
pattern that can be described in terms of its location,
spread, and shape. Location is commonly expressed by
the mean or average, or by the median; spread is
expressed in terms of the standard deviation or the range
of a sample; shape involves many characteristics such as
symmetry (skewness) and peakedness (kurtosis). These
are often summarized by using the name of a common
distribution such as the normal, binomial, or poisson.

EWMA Control Chart The Exponentially Weight Moving Average Control Chart
is an approach to detect small shifts in the process
location. It uses as a statistic to monitor the process
location the exponentially weighted moving average.

Haphazard A sample scheme wherein the samples are collected using
an unsystematic, indiscriminant, unplanned, and/or
chaotic approach. This type of sampling is not appropriate
for process analysis or control because it can lead to a
biased result and consequently a possible erroneous
decision.

Individual A single unit, or a single measurement of a characteristic,
often denoted by the symbol X.

APPENDIX G
Glossary of Terms and Symbols

195

Inherent Variation See Variation.

Location A general term for the typical values of central tendency
of a distribution.
Loss Function A graphical representation of the relationship between the
customer's sensitivity (loss) and deviations from the target
(design intent). This analysis is conducted without
considering the specifications.

Mean A measure of location. The average of values in a
group of measurements.

MCUSUM Control Chart The Multivariate Cumulative Sum Control Chart is the
application of the CUSUM Control Chart approach to
multivariate situations.

Median A measure of location. The middle value in a group of
measurements, when arranged from lowest to highest. If
the number of values is even, by convention the average
of the middle two values is used as the median. Subgroup
medians from the basis for a simple control chart for
process location. Medians are designated by a tilde ( )
over the symbol for the individual values: is the median
of a subgroup.

MEWMA Control Chart The Multivariate Exponentially Weight Moving Average
Control Chart is the application of the EWMA Control
Chart approach to multivariate situations.
Mode A measure of location defined by the value that occurs
most frequently in a distribution or data set (there may be
more than one mode within one data set).

Moving Range A measure of process spread. The difference between the
highest and lowest value among two or more successive
samples. As each additional datum point (sample) is
obtained, the range associated with that point is
computed by adding the new point and deleting the
oldest chronological point, so that each range calculation
has at least one shared point from the previous range
calculation.

APPENDIX G
Glossary of Terms and Symbols

196


Typically, the moving range is used in concert with control
charts for individuals and uses two-point (consecutive
points) moving ranges.

Multivariate Control Chart The genre of control charts that have been developed to
monitor and control processes that are more appropriately
modeled with a multivariate distribution rather than
multiple univariate distributions.

Nonconforming Units Units which do not conform to a specification or other
inspection standard; p and np control charts are used to
analyze systems producing nonconforming units.

Nonconformity A specific occurrence of a condition which does not
conform to a specification or other inspection standard. An
individual nonconforming unit can have more than one
nonconformity. For example, a door could have several
dents and dings plus a malfunctioning handle; a functional
check of a HVAC unit could reveal any of a number of
potential discrepancies. c and u control charts are used to
analyze systems producing nonconformities.

Non-Normal Control Chart A control chart approach in which adjustments are made to
the data or the control limits to allow process control
similar to that of Shewhart charts while compensating for
the characteristics of a non-normal distribution.

Non-Normal Distribution A probability distribution that does not follow the normal
form; i.e., a distribution where the moments greater than
order two are not all zero.


Normal Distribution A continuous, symmetrical, bell-shaped frequency
distribution for variables data that is the basis for the
control charts for variables.

Pre-Control An application of probabilistic analysis to product
(nonconformance) control using two data points within
each sample.
APPENDIX G
Glossary of Terms and Symbols
56
See Deming (1982).
197


Operational Definition A means of clearly communicating quality expectations and
performance; it consists of
1) a criterion to be applied to an object or to a group,
2)a test of the object or of the group,
3)a decision: yes or no the object or the group did or did
not meet the criterion.
56


Over-adjustment Tampering; taking action on a process when the
process is actually in statistical control. Ascribing a
variation or a mistake to a special cause, when in fact the
cause belongs to the system (common causes).

Pareto Chart A simple tool for problem solving that involves ranking all
potential problem areas or sources of variation according to
their contribution to cost or to total variation. Typically, a
few causes account for most of the cost (or variation), so
problem-solving efforts are best prioritized to concentrate
on the "vital few" causes, temporarily ignoring the
"trivial many".

Point Estimate A statistic (single number) calculated from sample
data (e.g., average or standard deviation) for which
there is some expectation that it is "close" to the
population parameter it estimates.

Poisson Distribution A discrete probability distribution for attributes data
that applies to nonconformities and underlies the c
and u control charts.
Prediction Interval Once a regression model is established for a population,
the response, y, can be predicted for future values
(samples) of the regressor variable (s), x
o
, x
l
, ... x
n
.
The interval for (100 - ) confidence in this prediction is
called the prediction interval.


Prevention A proactive (future-oriented) strategy that improves
quality and productivity by directing analysis and
action toward correcting the process itself. Prevention is
consistent with a philosophy of continual
improvement (see also Detection).
APPENDIX G
Glossary of Terms and Symbols

198

Probability Based Charts An approach which uses analysis and charts based on
categorical data and the probabilities related to the
categories for the control and analysis of products and
processes.

Probability Sampling See Random Sampling.

Problem Solving The process of moving from symptoms to causes (special
or common) to actions. Among the basic techniques that
can be used are Pareto charts, cause-and-effect diagrams
and statistical process control techniques.

Process The combination of people, equipment, materials,
methods, measurement and environment that produce
output a given product or service. A process can involve
any aspect of the business. "6M's" is a catch phrase
sometimes used to describe a process: Man, Material,
Method, Machine, Mother Nature, Measurement.

Process Average The location of the distribution of measured values of a
particular process characteristic, usually designated as an
overall average, .

Process Capability The 6 range of inherent process variation.

Variables Data Case
This is defined as 6
c
.

Attributes Data Case
This is usually defined as the average proportion or
rate of nonconformances or nonconformities.

Process Control See Statistical Process Control.

Process Performance The 6 range of total process variation.

Process Spread The extent to which the distribution of individual values
of the process characteristic vary; often shown as the
process average plus or minus some number of standard
deviations

APPENDIX G
Glossary of Terms and Symbols

199

Quadratic Of or pertaining to a second order mathematical model; a
common graphical example is a parabola.

Randomness A condition in which no pattern in the data can be
discerned.

Random Sampling A random sample is one in which every sample point has
the same chance (probability) of being selected. A random
sample is systematic and planned; that is, all sample points
are determined before any data are collected.
The process of selecting units for a sample of size n, in
such a manner that each n unit under consideration has an
equal chance of being selected in the sample.
Convenience Sampling:
See Convenience sampling
Haphazard Sampling:
See Haphazard Sampling

Range A measure of process spread. The difference between the
highest and lowest values in a subgroup, a sample, or a
population.

Rational Subgroup A subgroup gathered in such a manner as to give the
maximum chance for the measurements in each subgroup
to be alike and the maximum chance for the subgroups to
differ one from the other. This subgrouping scheme
enables a determination of whether the process variation
includes special cause variation.

Regression Control Chart Regression Control Charts are used to monitor the
relationship between two correlated variables in order to
determine if and when deviation from the known
predictable relationship occurs.

Residuals Control Charts A chart that monitors a process using the residuals
(differences) between a fitted model and the data. A
process shift will cause a shift in the mean of the residuals.

APPENDIX G
Glossary of Terms and Symbols

200

Run A consecutive number of points consistently increasing or
decreasing, or above or below the centerline. This can be
evidence of the existence of special causes of variation.

Sample See Subgroup.

Shape A general concept for the overall pattern formed by a
distribution of values. Shape involves many
characteristics such as symmetry (skewness) and
peakedness (kurtosis).

Short Run Control Chart A control chart approach in which adjustments are made
to the data or the control limits to allow process control
similar to that of Shewhart charts for processes that only
produce a small number of products during a single run

Sigma ( ) The Greek letter used to designate a standard deviation of
a population.

Special Cause A source of variation that affects only some of the output of
the process; it is often intermittent and unpredictable. A
special cause is sometimes called assignable cause. It is
signaled by one or more points beyond the control limits
or a non-random pattern of points within the control
limits.

Specification The engineering requirement for judging acceptability of a
particular characteristic. A specification must never be
confused with a control limit. Ideally, a specification ties
directly to or is compatible with the customer's (internal
and/or external) requirements and expectations.
Bilateral:
A bilateral specification identifies requirements at both
extremes of the process range. Often referred to as a two-
sided specification or tolerance.
Unilateral:
A unilateral specification identifies requirements at only
one extreme of the process range. Often referred to as a
one-sided specification or tolerance.

APPENDIX G
Glossary of Terms and Symbols
201

Spread The expected span of values from smallest to largest in a
distribution (see also Process Spread).


Stability The absence of special causes of variation; the property of
being in statistical control.

Stable Process A process that is in statistical control.


Standard Deviation A measure of the spread of the process output or the spread of
a sampling statistic from the process (e.g., of subgroup
averages).


Statistic A value calculated from or based upon sample data (e.g., a
subgroup average or range) used to make inferences about the
process that produced the output.


Statistical Control The condition describing a process from which the effect of
all special causes of variation have been eliminated and only
that due to common causes remain; i.e., observed variation
can be attributed to a constant system of chance causes. This
is evidenced on a control chart by the absence of points
beyond the control limits and by the absence of non-random
patterns within the control limits.


Statistical Inference Information about population parameters is estimated or
inferred from data obtained from a sample of that
population. These inferences can be in the form of a single
number (point estimate) or a pair of numbers (interval
estimate).


Statistical Process Control The use of statistical techniques such as control charts to
analyze a process or its output so as to take appropriate
actions to achieve and maintain a state of statistical control
and to improve the process capability.


Statistical Tolerance Limits An interval or range of values that is expected to contain a
specified proportion of a population. See Montgomery (1997)
or Juran and Godfrey (1999) for calculation methods. See
Tolerance Interval.
APPENDIX G
Glossary of Terms and Symbols
202

Stoplight Control Chart A probability based chart approach to process control that
uses three categories and double sampling. In this approach
the target area is designated green, the warning areas as
yellow, and the stop zones as red. The use of these colors
gives rise to the "stoplight" designation.

Subgroup One or more observations or measurements used to
analyze the performance of a process. Rational subgroups
are usually chosen so that the variation represented within
each subgroup is as small as feasible for the process
(representing the variation from common causes), and so
that any changes in the process performance (i.e., special
causes) will appear as differences between subgroups.
Rational subgroups are typically made up of consecutive
pieces, although random samples are sometimes used.

Tolerance See Specification.


Tolerance Interval See Statistical Tolerance Limits.


Total Process Variation See Variation.

Type I Error Rejecting an assumption that is true; e.g., taking action
appropriate for a special cause when in fact the process has
not changed (over-control). This is associated with the
producer's or alpha risk.

Type II Error Failing to reject an assumption that is false; e.g., not taking
appropriate action when in fact the process is affected by
special causes (under-control). This is associated with the
consumer's risk or beta risk.

Unimodal A distribution is said to be unimodal if it has only
one mode.

Variables Data Quantitative data, where measurements are used for
analysis. Examples include the diameter of a bearing
journal in millimeters, the closing effort of a door in
Newtons, the concentration of electrolyte in percent, or the
torque of a fastener in Newton-meters. and R , and s
, median and range, and individuals and moving range
control charts are used for variables data.
APPENDIX G
Glossary of Terms and Symbols
57
See also AT&T. (1984).
203


See also Attributes Data. (The term "Variables",
although awkward sounding, is used in order to
distinguish the difference between something that varies,
and the control chart used for data taken from a
continuous variable).

Variation The inevitable differences among individual outputs of a
process; the sources of variation can be grouped into two
major classes: Common Causes and Special Causes.
Inherent Variation:
That process variation due to common causes only.
Within-subgroup Variation:
This is the variation due only to the variation within the
subgroups. If the process is in statistical control this
variation is a good estimate of the inherent process
variation. It can be estimated from control charts

by or .

Between-subgroup Variation:
This is the variation due to the variation between
subgroups. If the process is in statistical control this
variation should be zero.
Total Process Variation:
This is the variation due to both within-subgroup and
between-subgroup variation. If the process is not in
statistical control the total process variation will include
the effect of the special cause(s) as well as the common
causes. This variation may be estimated by s, the sample
standard deviation, using all of the individual readings
obtained from either a detailed control chart or a process
study:
where x
i
is an individual reading,

is the average of the individual readings, and n is the
total number of individual readings.
Within-subgroup Variation See Variation.
Zone Analysis This is a method of detailed analysis of a Shewhart
control chart which divides the chart between the
control limits into three equidistant zones above the
mean and three equidistant zones below the mean.
57
APPENDIX G
Glossary of Terms and Symbols
204

Symbols
as Used in This Manual
A
2
A multiplier of used to calculate the control limits for
averages; tabled in Appendix E.
A multiplier of used to calculate the control limits for
medians; tabled in Appendix E.
A
3
A multiplier of s used to calculate the control limits for
averages; tabled in Appendix E.
B
3
,B
4
Multipliers of used to calculate the lower and upper
control limits, respectively, for sample standard
deviations; tabled in Appendix E.
c The number of nonconformities in a sample. The c chart is
described in Chapter II, Section C.
The average number of nonconformities in samples of
constant size n.

c
4
The divisor of used to estimate the process standard
deviation; tabled in Appendix E.

C
p
The capability index for a stable process, typically defined
as

C
pk
The capability index for a stable process, typically defined
as the minimum of CPU or CPL.

CPL The lower capability index, typically defined as

APPENDIX G
Glossary of Terms and Symbols
205


CPU The upper capability index, typically defined as



CR The capability ratio for a stable process, typically defined a
as



d
2
A divisor of used to estimate the process standard
deviation; tabled in Appendix E.


D
3
, D
4
Multipliers of used to calculate the lower and
upper control limits, respectively, for ranges; tabled in
Appendix E.


E
2
A multiplier of the average moving range, ,used to
calculate control limits for individuals; tabled in Appendix
E.


k The number of subgroups being used to calculate control
limits.


LCL The lower control limit; LCL , LCL , LCL
,
, etc., are,
respectively, the lower control limits for averages, ranges,
proportion nonconforming, etc.



LSL The lower engineering specification limit.



MR The moving range of a series of data points used primarily
on a chart for individuals.



n The number of individuals in a subgroup; the subgroup
sample size.

APPENDIX G
Glossary of Terms and Symbols
206


The average subgroup sample size; typically used in
attributes charts with varying subgroup sample sizes


np The number of nonconforming items in a sample of size n.
The np chart is described in Chapter II, Section C.


The average number of nonconforming items in
samples of constant size n.


P The proportion of units nonconforming in a sample. The
p-chart is discussed in Chapter II, Section C.


The average proportion of units nonconforming in a series
of samples.


P
p
The performance index, typically defined as


P
pk
The performance index, typically defined as the minimum
of PPU or PPL


PPL The lower performance index, typically defined as

PPU The upper performance index, typically defined as


PR The performance ratio, typically defined as



p
z
The proportion of output beyond a point of interest, such
as a particular specification limit, z standard deviation
units away from the process average.
APPENDIX G
Glossary of Terms and Symbols
207

R The subgroup range (highest minus lowest value); the R
chart is discussed in Chapter II, Section C.


The average range of a series of subgroups of constant
size.


s The sample standard deviation for subgroups; the
s-chart is discussed in Chapter II, Section C.

The sample standard deviation for processes; s is
discussed in Chapter IV, Section A.


The average sample standard deviation of a series of
subgroups, weighted if necessary by sample size.


SL A unilateral engineering specification limit.


u The number of nonconformities per unit in a sample
which may contain more than one unit. The u chart is
discussed in Chapter II, Section C.

The average number of nonconformities per unit in samples
not necessarily of the same size.


UCL The upper control limit; UCL , UCL , UCL
P
, etc., are,
respectively, the upper control limits for averages, ranges,
proportion nonconforming, etc.


USL The upper engineering specification limit.


X An individual value. The chart for individuals is
discussed in Chapter II, Section C.


The average of values in a subgroup. The -chart is
discussed in Chapter II, Section C.
APPENDIX G
Glossary of Terms and Symbols
208
The average of subgroup averages ( weighted if
necessary by sample size); the measured process
average.

The median of values in a subgroup; the chart for
medians is discussed in Chapter II, Section C. This is
pronounced as "x tilde".

The average of subgroup medians; the estimated
process median. This is pronounced as "x tilde bar".

z The number of standard deviation units from the
process average to a value of interest such as an
engineering specification. When used in capability
assessment, z
USL
is the distance to the upper
specification limit, z
LSL
is the distance to the lower
specification limit, and z
min
is the distance to the
nearest specification limit.

The Greek letter sigma used to designate a standard
deviation of a population.

The standard deviation of a statistic based on ample
process output, such as the standard deviation of the
distribution of subgroup averages the standard
deviation of the distribution of subgroup ranges, the
standard deviation of the distribution of number of
nonconforming items, etc.

An estimate of the standard deviation of a process
characteristic.

The estimate of the standard deviation of a process
using the sample standard deviation of a set of
individuals about the average of the set. This is an
estimate of the total process variation of the process.

The estimate of the standard deviation of a stable
process using the average range of subgrouped
samples taken from the process, usually within the
APPENDIX G
Glossary of Terms and Symbols
209

context of control charts, where the d
2
factor is tabled in
Appendix E. This is the within-subgroup variation and an
estimate of the inherent variation of the process.
APPENDIX G
Glossary of Terms and Symbols
210

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APPENDIX H
References and Suggested Readings
58
See Freund and Williams (1966) for an extensive listing of statistical terms and definitions.
59
Available from the ASTM International, 100 Barr Drive, West Conshohocken, PA 19428-2959.
211

APPENDIX H

References and Suggested Readings
58

American National Standards Committee Z-1 (1996). Guide for Quality Control Charts; Control
Chart Method of Analyzing Data; Control Chart Method of Controlling Quality During Production,
American Society for Quality (ASQ), Milwaukee, WI.
ASQC Statistics Division, Statistical "How-To" Techniques Series, ASQC Quality Press (15
Volumes), 1979-1991.

ASQC (1987). Definitions, Symbols, Formulas, and Tables for Control Charts, ANSI/ASQC A1-
1987.
ASTM International (2002). Manual on Presentation of Data and Control Chart Analysis (STP-
15D), 7th edition.
59

AT&T Technologies, Inc. (1984). Statistical Quality Control Handbook. AT&T Technologies,
Inc. (originally published by Western Electric Co., Inc., 1956).

Bhote, K.R. (1991). World Class Quality. AMACOM, New York.

Bothe, D. (2001). Measuring Process Capability. Landmark Publishing, Cedarburg, WI.
Box, G.E.P., Jenkins, G.M. and Reinsel, G.C. (1994). Time Series Analysis, Forecasting and
Control. Third Edition. Prentice Hall.
Bissell, B.A.F. (1990). "How Reliable Is Your Capability Index?", Applied Statistics, Vol. 39, 1990,
pp. 331-340.
Boyles, R.A. (1991). "The Taguchi Capability Index", Journal of Quality Technology, Vol. 23, 1991,
pp. 17-26.
Box, G.E.P. and Cox, D.R. (1964). "An Analysis of Transformations", J. Royal Stat. Soc.,
Series B, V26, p. 211
Brase, C.H., and Brase, C.P. (1999). Understanding Statistics, 6
th
edition, Houghton Mifflin
Company, New York.
Burr, I.W. (1942). "Cumulative Frequency Distributions", Annals of Mathematical Statistics, Vol.
13, pp. 215-232.
Burr, I.W. (1967). "The Effect Of Non-Normality On Constants For Charts", Industrial Quality
Control, May, pp. 563-569.
APPENDIX H
References and Suggested Readings
212
Chan, L.J., Cheng, S.W. and. Spiring, F.A. (1988). "A New Measure of Process Capability: Cpm",
Journal of Quality Technology, Vol. 20, No. 3, 1988, pp. 162-175.

Chan, L.K., and Cui, H.J. (2003). "Skewness Correction charts for Skewed Distributions", Naval
Research Logistics, Volume 50, Issue 6, pp. 555 - 573.

Champ, C.W., and Rigdon, S.E. (1997). "An Analysis of the Run Sum Control Chart", Journal of
Quality Technology, Vol. 29, No. 4.

Charbonneau, H.C. and Gordon, L.W. (1978). Industrial Quality Control, Prentice-Hall, Inc.
Chrysler, Ford, and General Motors (1995). Advanced Product Quality Planning Manual, AIAG.
DaimlerChrysler, Ford, and General Motors (2003). Measurement Systems Analysis Reference
Manual, AIAG.

Davis, R.B., Homer, A., and Woodall, W.H. (1990). "Performance of the Zone Control Chart",
Communications in Statistics Theory and Methods, 19, pp. 1581-1587.

Deming, W. Edwards (1950). Some Theory of Sampling, Dover Publications Inc., New York.

Deming, W. Edwards (1967). "What Happened in Japan?", Industrial Quality Control, Vol. 24, No. 3,
August, pp. 89-93.

Deming, W. Edwards (1982). Quality, Productivity and Competitive Position, Massachusetts
Institute of Technology, Center for Advanced Engineering Study.


Deming, W. Edwards (1989). Out of the Crisis, Massachusetts Institute of Technology, Center for
Advanced Engineering Study.

Deming, W. Edwards (1994). New Economics: for Industry, Government, Education, Massachusetts
Institute of Technology, Center for Advanced Engineering Study.

Dixon, W.J and Massey, F.J., Jr. (1969). Introduction to Statistical Analysis, Third Edition,
McGraw-Hill Book Co., New York.

Doty, L.A. (1991). Statistical Process Control, ASQ Quality Press, Milwaukee WI.
Dovich, R.A. (1991). Statistical Terrorists, Quality in Manufacturing Magazine, March-April, 1991.

Duncan, A.J. (1974). Quality Control and Industrial Statistics, 5th ed., Richard D. Irwin, Inc.

English, J.R., Lee, S., Martin, T.W., Tilmon, C. (2000). "Detecting Changes In Autoregressive
Processes with X and EWMA charts", IIE Transactions, December.

Farnum, N.R. (1992). "Control Charts for Short Runs: Nonconstant Process and Measurement
Error", Journal of Quality Technology, Vol. 24.

APPENDIX H
References and Suggested Readings

213
Fellers, G., (1991). SPC for Practitioners: Special Cases and Continuous Processes, ASQ Quality
Press, Milwaukee, WI.

Freund, J.E. and Williams, F.J. (1966). Dictionary/Outline of Basic Statistics, Reprint. Originally
published: McGraw-Hill, New York. Dover edition 1991.

General Motors Corporation (1991). Key Characteristics Designation System, GM-1805 QN.

Grant, E.L. and. Leavenworth, R.S. (1980). Statistical Quality Control, 7th ed., McGraw-Hill, Inc.

Gruska, G.F., Mirkhani, K., and Lamberson, L.R. (1973). Point Estimation Samples, The Third
Generation, Inc. Troy, MI.

Gruska, G.F. (2004). Enumerative vs. Analytic Studies, Omnex, Ann Arbor, MI.

Gunter, B. (1989). "Use and Abuse of C
pk
",

4 parts, Quality Progress, January 1989, March 1989,
May 1989 and July 1989.

Heaphy, M.S. and Gruska, G.F., (1982). "Markovian Analysis of Sequenced Sampling", 36th AQC
Transactions, ASQC.

Herman, J.T. (1989). "Capability Index-Enough for Process Industries?", Proceedings, ASQC 43rd
AQC.

Ishikawa, K. (1976). Guide to Quality Control, Asian Productivity Organization, Revised Edition.
Jaehn, A.H. (1991). "The Zone Control Chart", Quality Progress, Vol. 24, No. 7, pp. 65-68.
Johnson, N.L. (1949). "Systems of Frequency Curves Generated by Methods of Translation,"
Biometrika, Vol 36, pp. 149-176.

Juran, J. and Godfrey A.B. (1999). Quality Handbook, 5th ed., McGraw-Hill, Inc.

Kane, V.E. (1989). Defect Prevention- Use of Simple Statistical Tools, Marcel Dekker, Inc. and
ASQC Quality Press.

Keats, J.B. and Montgomery D. C. (1991). Statistical Process Control in Manufacturing, ASQ
Quality Press, Milwaukee, WI.

Kourti, T., MacGregor, J.F. (1996). "Multivariate SPC Methods for Process and Product
Monitoring", Journal of Quality Technology, Vol. 28, No. 4.

Lowry, C.A., Woodall, W.H., Champ, C.W., and Rigdon, S.E. (1992). "A Multivariate
Exponentially Weighted Moving Average Control Chart", Technometrics, 34, pp. 46-53.

Lowry, C.A. and Montgomery, D.C. (1995). "A Review Of Multivariate Control Charts", IIE
Transactions, 27, pp. 800.
APPENDIX H
References and Suggested Readings
214


Mauch, P.D. (1991). Basic SPC: A Guide For the Service Industries, ASQ Quality Press, Milwaukee,
WI.

Mason, R.I. and Young, J.C. (2001). "Implementing Multivariate Statistical Process Control Using
Hotelling's T
2
Statistic", Quality Progress.

Montgomery, D.C. (1997). Introduction to Statistical Quality Control, 3rd ed., John Wiley, New
York.

Ott, E.R. (1975). Process Quality Control, McGraw-Hill, Inc.

Pham, H., (2001). Recent Advances In Reliability And Quality Engineering, Series on Quality,
Reliability and Engineering Statistics - Vol. 2, World Scientific.

Reynolds, J.H. (1971). "The Run Sum Control Chart Procedure", Journal of Quality Technology Vol
3, pp. 23-27.

Roberts, S.W. (1966). "A Comparison of Some Control Chart Procedures", Technometrics, Vol 8,
pp. 411-430.

Scherkenbach, W.W. (1991). Deming's Road to Continual Improvement, SPC Press, Knoxville TN.

Shewhart, Walter A. (1931). Economic Control of Quality of Manufactured Product, Van Nostrand;
republished ASQ Quality Press , (1980), Milwaukee, WI..

Spiring, F.A (1991). Assessing Process Capability in the Presence of Systematic Assignable
Cause, Journal of Quality Technology, Vol. 23, No. 2, April, 1991.

Wadsworth, H.M. (1989). Handbook of Statistical Methods for Engineers and Scientists, McGraw-
Hill, New York.

Wheeler, D.J. (1991). Short run SPC, SPC Press, Knoxville, TN.

Wheeler, D.J. (1995). Advanced Topics in Statistical Process Control, SPC Press, Knoxville TN.

Wheeler, D.J. and Chambers, D.S. (1986). Understanding Statistical Process Control, 2nd ed., SPC
Press, Knoxville, TN.

Wheeler, D.J. (1999). Beyond Capability Confusion, SPC Press, Knoxville, TN.

Wise, S.A. and Fair, D.C. (1998). Innovative Control Charting, ASQ Quality Press, Milwaukee,
WI.
APPENDIX I
Standard Normal Tables
215

APPENDIX I
Standard Normal Tables
Izl x.x0 x.x1 x.x2 x.x3 x.x4 x.x5 x.x6 x.x7 x.x8 x.x9
0.0 0.50000000 0.50398940 0.50797830 0.51196650 0.51595340 0.51993880 0.52392220 0.52790320 0.53188140 0.53585640
0.1 0.53982780 0.54379530 0.54775840 0.55171680 0.55567000 0.55961770 0.56355950 0.56749490
0.57142370
0.57534540
0.2 0.57925970 0.58316620 0.58706440 0.59095410 0.59483490 0.59870630 0.60256810 0.60641990 0.61026120 0.61409190
0.3 0.61791140 0.62171950 0.62551580 0.62930000 0.63307170 0.63683070 0.64057640 0.64430880 0.64802730 0.65173170
0.4 0.65542170 0.65909700 0.66275730 0.66640220 0.67003140 0.67364480 0.67724190 0.68082250 0.68438630 0.68793310
0.5 0.69146250 0.69497430 0.69846820 0.70194400 0.70540150 0.70884030 0.71226030 0.71566120 0.71904270 0.72240470
0.6 0.72574690 0.72906910
0.73237110 0.73565270 0.73891370
0.74215390 0.74537310 0.74857110 0.75174780 0.75490290
0.7 0.75803630 0.76114790
0.76423750 0.76730490 0.77035000
0.77337260 0.77637270 0.77935010 0.78230460 0.78523610
0.8 0.78814460 0.79102990 0.79389190 0.79673060 0.79954580 0.80233750 0.80510550 0.80784980 0.81057030 0.81326710
0.9 0.81593990 0.81858870 0.82121360 0.82381450 0.82639120 0.82894390 0.83147240 0.83397680 0.83645690 0.83891290
1.0 0.84134470 0.84375240 0.84613580 0.84849500 0.85083000 0.85314090 0.85542770 0.85769030 0.85992890 0.86214340
1.1 0.86433390 0.86650050 0.86864310 0.87076190 0.87285680 0.87492810 0.87697560 0.87899950 0.88099990 0.88297680
1.2 0.88493030 0.88686060 0.88876760 0.89065140 0.89251230 0.89435020 0.89616530 0.89795770 0.89972740 0.90147470
1.3 0.90319950 0.90490210 0.90658250 0.90824090 0.90987730 0.91149200 0.91308500 0.91465650 0.91620670 0.91773560
1.4 0.91924330
0.92073020 0.92219620 0.92364150 0.92506630 0.92647070 0.92785500 0.92921910 0.93056340 0.93188790
1.5 0.93319280 0.93447830 0.93574450 0.93699160 0.93821980 0.93942920 0.94062010 0.94179240 0.94294660 0.94408260
1.6 0.94520070 0.94630110 0.94738390 0.94844930
0.94949740 0.95052850 0.95154280 0.95254030 0.95352130 0.95448600
1.7 0.95543450 0.95636710 0.95728380
0.95818490 0.95907050 0.95994080 0.96079610 0.96163640 0.96246200 0.96327300
1.8 0.96406970 0.96485210
0.96562050 0.96637500 0.96711590 0.96784320 0.96855720 0.96925810 0.96994600 0.97062100
1.9 0.97128340 0.97193340 0.97257110 0.97319660 0.97381020
0.97441190 0.97500210 0.97558080 0.97614820 0.97670450
2.0 0.97724990 0.97778440 0.97830830 0.97882170 0.97932480
0.97981780 0.98030070 0.98077380 0.98123720 0.98169110
2.1 0.98213560 0.98257080 0.98299700 0.98341420 0.98382260
0.98422240 0.98461370 0.98499660 0.98537130 0.98573790
2.2 0.98609660 0.98644740 0.98679060 0.98712630 0.98745450
0.98777550 0.98808940 0.98839620 0.98869620 0.98898930
2.3 0.98927590 0.98955590 0.98982960 0.99009690
0.99035810 0.99061330 0.99086250 0.99110600 0.99134370 0.99157580
2.4 0.99180250 0.99202370 0.99223970
0.99245060 0.99265640 0.99285720 0.99305310 0.99324430 0.99343090 0.99361280
2.5 0.99379030 0.99396340
0.99413230 0.99429690 0.99445740 0.99461390 0.99476640 0.99491510 0.99506000 0.99520120
2.6 0.99533880 0.99547290 0.99560350 0.99573080 0.99585470
0.99597540 0.99609300 0.99620740 0.99631890 0.99642740
2.7 0.99653300 0.99663580 0.99673590 0.99683330
0.99692800 0.99702020 0.99710990 0.99719720 0.99728210 0.99736460
2.8 0.99744490 0.99752290 0.99759880
0.99767260 0.99774430 0.99781400 0.99788180 0.99794760 0.99801160 0.99807380
2.9 0.99813420
0.99819290
0.99824980
0.99830520 0.99835890 0.99841110 0.99846180 0.99851100 0.99855880 0.99860510
3.0 0.99865010 0.99869380 0.99873610 0.99877720
0.99881710 0.99885580 0.99889330 0.99892970 0.99896500 0.99899920
APPENDIX I
Standard Normal Tables
216


Izl
x.x0 x.x1 x.x2
x.x3 x.x4 x.x5 x.x6 x.x7 x.x8
x.x9
3.1 0.99903240 0.99906460 0.99909570 0.99912600
0.99915530 0.99918360 0.99921120 0.99923780 0.99926360 0.99928860
3.2 0.99931290 0.99933630 0.99935900 0.99938100
0.99940240 0.99942300 0.99944290 0.99946230 0.99948100 0.99949910
3.3 0.99951660 0.99953350 0.99954990 0.99956580
0.99958110 0.99959590 0.99961030 0.99962420 0.99963760 0.99965050
3.4 0.99966310 0.99967520 0.99968690 0.99969820
0.99970910 0.99971970 0.99972990 0.99973980 0.99974930 0.99975850
3.5 0.99976740 0.99977590 0.99978420 0.99979220
0.99979990 0.99980740 0.99981460 0.99982150 0.99982820 0.99983470
3.6 0.99984090 0.99984690 0.99985270 0.99985830 0.99986370
0.99986890 0.99987390 0.99987870 0.99988340 0.99988790
3.7 0.99989220 0.99989640 0.99990040 0.99990430
0.99990800 0.99991160 0.99991500 0.99991840 0.99992160 0.99992470
3.8 0.99992770 0.99993050 0.99993330 0.99993590 0.99993850
0.99994090 0.99994330 0.99994560 0.99994780 0.99994990
3.9 0.99995190 0.99995390 0.99995570 0.99995750 0.99995930
0.99996090 0.99996250 0.99996410 0.99996550 0.99996700
4.0 0.99996830 0.99996960 0.99997090 0.99997210 0.99997330
0.99997440 0.99997550 0.99997650 0.99997750 0.99997840
4.1 0.99997930 0.99998020 0.99998110 0.99998190 0.99998260
0.99998340 0.99998410 0.99998480 0.99998540 0.99998610
4.2 0.99998670 0.99998720 0.99998780 0.99998830 0.99998880
0.99998930 0.99998980 0.99999020 0.99999070 0.99999110
4.3 0.99999150 0.99999180 0.99999220 0.99999250
0.99999290 0.99999320 0.99999350 0.99999380 0.99999410 0.99999430
4.4 0.99999460 0.99999480 0.99999510 0.99999530
0.99999550 0.99999570 0.99999590 0.99999610 0.99999630 0.99999640

4.5 0.9999966023 0.9999967586 0.9999969080 0.9999970508 0.9999971873
0.9999973177 0.9999974423 0.9999975614 0.9999976751
0.9999977838
4.6 0.9999978875 0.9999979867 0.9999980813 0.9999981717
0.9999982580 0.9999983403 0.9999984190 0.9999984940 0.9999985656 0.9999986340
4.7 0.9999986992 0.9999987614 0.9999988208 0.9999988774
0.9999989314 0.9999989829 0.9999990320 0.9999990789 0.9999991235 0.9999991661
4.8 0.9999992067 0.9999992453 0.9999992822 0.9999993173
0.9999993508 0.9999993827 0.9999994131 0.9999994420 0.9999994696 0.9999994958
4.9
0.9999995208 0.9999995446 0.9999995673 0.9999995889
0.9999996094 0.9999996289 0.9999996475 0.9999996652 0.9999996821 0.9999996981
5.0 0.9999997133 0.9999997278 0.9999997416 0.9999997548
0.9999997672 0.9999997791 0.9999997904 0.9999998011 0.9999998113 0.9999998210
5.1 0.9999998302 0.9999998389 0.9999998472 0.9999998551
0.9999998626 0.9999998698 0.9999998765 0.9999998830 0.9999998891 0.9999998949
5.2 0.9999999004 0.9999999056 0.9999999105 0.9999999152
0.9999999197 0.9999999240 0.9999999280 0.9999999318 0.9999999354 0.9999999388
5.3
0.9999999421 0.9999999452 0.9999999481 0.9999999509
0.9999999535 0.9999999560 0.9999999584 0.9999999606 0.9999999628 0.9999999648
5.4
0.9999999667 0.9999999685 0.9999999702 0.9999999718 0.9999999734
0.9999999748 0.9999999762 0.9999999775 0.9999999787 0.9999999799
5.5
0.9999999810 0.9999999821 0.9999999831 0.9999999840
0.9999999849 0.9999999857 0.9999999865 0.9999999873 0.9999999880 0.9999999886
5.6
0.9999999893 0.9999999899 0.9999999905 0.9999999910
0.9999999915 0.9999999920 0.9999999924 0.9999999929 0.9999999933 0.9999999936
5.7 0.9999999940 0.9999999944 0.9999999947 0.9999999950
0.9999999953 0.9999999955 0.9999999958 0.9999999960 0.9999999963 0.9999999965
5.8 0.9999999967 0.9999999969 0.9999999971 0.9999999972
0.9999999974 0.9999999975 0.9999999977 0.9999999978 0.9999999979 0.9999999981
5.9 0.9999999982 0.9999999983 0.9999999984 0.9999999985 0.9999999986
0.9999999987 0.9999999987 0.9999999988 0.9999999989 0.9999999990
6.0 0.9999999990

Th e tabled values a r e 1 - Pz = the proportion of process output beyond a particular value
of interest (such a s a specification limit) t h a t is z standard devi at i on units a wa y from t h e
process a ve r a ge (for a process t h a t is in statistical control and is normally distributed).
For example, if z = -2.17, Pz = 1 - 0 . 9 8 4 9 9 6 6 0 = 0.0150 or 1.5%. In any a c t u a l s i t u a t i o n ,
t h i s proportion i s only approximate.
Index
217


American National Standards Committee Z-1, 211
ASQ, 211, 213, 214
ASQ Statistics Division, 211
ASTM, 181, 182, 211
Autocorrelation, 159, 160, 191
Average (See also Mean), 43, 60, 62, 63, 71, 76,
78, 79, 82, 83, 85, 87, 89, 93, 95, 97, 109,
111, 116, 119, 191, 194, 195, 198, 213
Average and Range Chart, 63, 78, 79
Average and Standard Deviation Chart, 82, 83
Average Run Length, 76, 111, 191
Bhote, K.R, 104, 211
Binomial Distribution, 192
Bissell, B.A.F., 139, 211
Bothe, D., 145, 174, 179, 211
Box, G.E.P., 115, 120, 141, 211
Boyles, R.A., 139, 179, 211
Brase, 211
Burr, I.W., 114, 211
c chart, 183, 204
Capability, 19, 20, 128, 185, 211, 213, 214
Cause and Effect Diagram, 192
Centerline, 32, 48, 59, 80, 83, 85, 87, 90, 93, 95,
97, 181, 182, 183, 192
Champ, C.W., 212, 213
Chan, 114, 179, 212
Characteristic, 151, 192
Charbonneau, H.C., 63, 176, 212
Cheng, S.W., 179, 212
Common Cause, 12, 192, 203
Common Cause (See also Special Cause), 13
Confidence Interval, 192
Consecutive, 192
Control, 7, 9, 19, 20, 25-34, 37, 38, 41, 43, 45,
47-74, 79, 80, 83, 85, 87, 89, 90, 93, 95, 97,
99-108, 113, 117, 118, 121, 128, 157, 176,
177, 181-183, 188, 191-202, 211-214
Control Chart, 28, 29, 32, 37, 41, 45-55, 58, 59,
71, 72, 74, 79, 89, 99, 100, 107, 108, 113,
117, 121, 176, 177, 181-183, 191-196, 199,
200, 202, 211- 214
Average and Range Chart, 63, 78, 79
Average and Standard Deviation Chart, 82, 83
c chart, 183, 204
CUSUM, 109, 110, 111, 112, 122, 194, 195
EWMA, 109, 111, 112, 174, 194, 195, 212
Individuals and Moving Range Chart, 87, 89,
174
MCUSUM, 113, 116, 195




Median and Range Chart, 84, 85
MEWMA, 113, 116, 195
np chart, 183, 192, 206
p chart, 70, 183
Regression Chart, 118
Residuals Chart, 118, 120
Short Run Chart, 176
Stoplight Control Chart, 202
u chart, 108, 183, 207
Zone Chart, 121
Control Limit, 30, 55, 56, 59, 61, 62, 64, 65, 69,
70, 80, 83, 85, 87, 90, 93, 95, 97, 181, 182,
183, 193
Control Statistic, 58, 59, 193
Convenience Sampling, 193, 199
Correlation, 53, 193
Correlation Matrix, 193
Cox, D.R., 115, 141, 211
Cui, H., 114, 212
CUSUM, 109, 110, 111, 112, 122, 194, 195
Davis, R.B., 123, 212
Deming, W. Edwards, 17, 19, 29, 57, 171, 174,
197, 212, 214
Detection, 7, 194, 197
Dispersion, 194
Distribution, 192, 194, 196, 197
Dixon, W.J., 182, 212
Doty, L.A., 212
Dovich, R.A., 139, 212
Duncan, A.J., 63, 176, 212
English, J.R.,, 212
EWMA, 109, 111, 112, 174, 194, 195, 212
Fair, D.C., 47, 109, 214
Farnum, N.R., 109, 212
Fellers, G., 213
Freund, J.E., 211, 213
Godfrey A.B., 63,109, 192, 201, 213
Gordon, L. W., 63, 212
Grant, E.L., 57, 63, 109, 176, 213
Gruska, G.F., 57, 102, 213
Gunter, B., 147, 213
Haphazard Sampling, 194, 199, 200
Heaphy, M.S., 102, 213
Herman, J.T., 147, 213
Homer, A., 212
Index (See Process Capability), 185, 211, 213
Individual, 86, 87, 89, 93, 95, 97, 110, 194
Individuals and Moving Range Chart, 87, 89,
174
Inherent Variation, 195, 203
INDEX
Index
218


Ishikawa, K, 61, 62, 63, 192, 213
Jaehn, A.H., 213
Jenkins, G.M., 119, 120, 211
Johnson, N.L., 115, 141, 142, 213
Juran, J., 17, 63, 109, 192, 201, 213
Kane, V. E., 213
Keats, J. B., 213
Kourti, T., 117, 213
Lamberson, L.R., 213
Leavenworth, RS, 57, 63, 109, 176, 213
Lee, S., 212
Location, 13, 194, 195
Loss Function, 104, 148, 150, 151, 179, 195
Lowry, C.A., 113, 213
MacGregor, J.F., 117, 213
Martin, T.W., v, 212
Mason, R.I., 117, 214
Massey, F.J Jr., 182, 212
Mauch, P. D., 214
MCUSUM, 113, 116, 195
Mean (See also Average), 191, 195
Median, 84, 85, 182, 195
Median and Range Chart, 84, 85
MEWMA, 113, 116, 195
Mirkhani, K., 213
Mode, 195
Montgomery, D.C., 47, 57, 109, 110, 111, 113,
117, 118, 121, 192, 201, 213, 214
Moving Range, 43, 86, 87, 89, 107, 110, 160,
174, 195
Multivariate Distribution, 140, 144
Nonconforming Units, 196
Nonconformity, 196
Non-Normal Chart, 113
Non-Normal Distribution, 140, 142, 196
Normal Distribution, 140, 142, 196
np chart, 183, 192, 206
Operational Definition, 197
Ott, E.R., 63, 214
p chart, 70, 183
Pareto Chart, 197
Performance, 9, 128, 212
Pham, H, 114, 214
Point Estimate, 197
Poisson Distribution, 197
Prediction Interval, 197
Prevention, 7, 194, 197, 213
Probability based charts, 101, 198
Probability Sampling, 198
Problem Solving, 198
Process, 1, 4, 8, 9, 18, 19, 21, 24, 25, 26, 29, 31,
33, 34, 53, 67, 103, 107, 125, 127, 131, 132,
135, 136, 147, 152, 153, 154, 162, 194, 198,
201-203, 211- 214
Process Average, 198
Process Capability, 18, 19, 125, 131, 198, 211,
212, 214
Variables Data Case, 198
Process Control (See Statistical Process
Control), 1, 4, 8, 9, 18, 19, 25, 29, 152, 198,
201, 212, 213, 214
Process Performance, 125, 131, 198
Process Spread, 194, 198, 201
Quadratic, 199
Randomness, 199
Range, 31, 43, 60, 62, 72, 79, 85, 87, 158, 160,
164, 195, 199
Rational Subgroup, 199
Regression Chart, 118
Reinsel, G.C., 120, 211
Residuals Chart, 118, 120
Reynolds, J.H, 121, 214
Rigdon, S.E, 212, 213
Roberts, S.W., 121, 214
Run, 76, 107, 111, 191, 200, 212, 214
Sample, 51, 52, 58, 85, 163, 168, 188, 200
Sampling
Convenience Sampling, 193, 199
Haphazard Sampling, 194, 199, 200
Probability Sampling, 198
Random Sampling, 198, 199
Rational Subgroup, 199
Scherkenbach, W.W., 153, 214
Shape, 13, 200
Shewhart, Walter A., 19, 29, 30, 31, 76, 109,
111, 113, 114, 115, 122, 123, 196, 200, 203,
214
Short Run Chart, 176
Sigma ( ), 200
Special Cause (See also Common Cause), 12,
13, 60, 62, 75, 171, 200, 203
Specification, 67, 188, 200, 202
Bilateral, 132
Unilateral, 137
Spiring, F.A., 127, 179, 212, 214
Spread (See also Variation), 13, 127, 198, 201
Stability, 201
Stable Process, 201
Standard Deviation, 79, 83, 85, 87, 160, 201
Statistic, 58, 59, 193, 201, 214
Statistical Control, 20, 55, 60, 193, 201
Statistical Inference, 201
Statistical Process Control, i, 4, 198, 201, 212,
213, 214
Index
219

Statistical Tolerance Limits, 01, 02 Stoplight
Control Chart, 202
Subgroup, 48, 55, 57, 58, 79, 83, 85, 130,181,
182, 188, 195, 199, 200, 202
Tilmon, C., 212
Tolerance (See Specification), 104, 201, 202
Total Process Variation, 131, 202, 203
Type I Error, 202
Type II Error, 202
u chart, 108, 183, 207
Unimodal, 202
Variables Data (See also Attribute Data),44,
125, 191, 198, 202
Variation, 12, 13, 67, 83, 130, 131, 190, 192,
193, 195, 202, 203
Inherent Variation, 195, 203
Inherent Variation:, 203
Total Process Variation:, 203
Wadsworth, H.M.,, 214
Wheeler, D.J., 47, 63, 89, 107, 111, 117, 121,
134, 145, 161, 174, 214
Williams, F.J., 211, 213
Wise, S.A., 47, 109, 214
Woodall, W.H, 212, 213
Young, J.C., 117, 214
Zone Analysis, 203
Zone Chart, 121
Index
220

Feedback
221

S.P.C. Manual User Feedback Process
Consistent with the concept of continual improvement, this automotive industry Statistical Process
Control (SPC) manual is being subjected to a formal periodic review/revision process. In line with
the concept of customer satisfaction, this review will entail consideration of not only any applicable
vehicle manufacturer requirement changes from year to year but also of feedback from users of the
manual for the purpose of making it more value-added and effective to the automotive industry and
user communities. Accordingly, please feel free to offer, in writing, your feedback comments, both
pro and con, relative to the manual's understandability, "user-friendliness," etc., in the area
indicated below. Please indicate specific manual page numbers where appropriate. Forward your
feedback to the address indicated below:
Your Name
Representing
Company/Division Name
Address
Phone ( )
Please list your top three automotive customers and their locations.
Customer Location
Customer Location
Customer Location
Feedback Comments (attach additional sheets if needed)
Send Comments To:
Automotive Industry Action
Group Suite 200 SPC, 2nd
Edition 26200 Lahser Road
Southfield, Michigan 48034
Please access www.aiaq.orq to submit your feedback electronically.