S TATISTICAL

PROCESS CONTROL
CUSTOMER & COMPETITIVE INTELLIGENCE FOR
PRODUCT, PROCESS, SYSTEMS & ENTERPRISE EXCELLENCE

DEPARTMENT

OF STATISTICS

REDGEMAN@UIDAHO.EDU

OFFICE: +1-208-885-4410

DR. RICK EDGEMAN, PROFESSOR & CHAIR SIX SIGMA BLACK BELT

Quality Management:

Statistical Process Contro

Statistical Process
Control
Statistical Process Control (SPC) can be
thought of as the application of statistical
methods for the purposes of quality control
and improvement.
Quality Improvement is perhaps foremost
among all areas in business for application
of statistical methods.

Data Driven Decision

Making
In God we trust. ... all others must bring
data. --- The Statisticians Creed
SPC is one method that assists in enabling
data-driven decision making.
SPC is a key quantitative aid to quality
improvement efforts.

Control Charts:
Recognizing Sources of
V
ariation
Why Use a Control Chart?
To monitor, control, and improve process performance over time by
studying variation and its source.

What Does a Control Chart Do?

Focuses attention on detecting and monitoring process variation over
time;
Distinguishes special from common causes of variation, as a guide to
local or management action;
Serves as a tool for ongoing control of a process;
Helps improve a process to perform consistently and predictably for
higher quality, lower cost, and higher effective capacity;
Provides a common language for discussing process performance.

Control Charts:
Recognizing Sources of
Variation
How Do I Use
Control Charts?
There are many types of control charts. The control
charts that you or your team decides to use should be
determined by the type of data that you have.
Use the following tree diagram to determine which
chart will best fit your situation. Only the most
common types of charts are addressed.

Control Chart Selection: Variable

Data
Measured & Plotted on a Continuous Scale
such as Time, Temperature, Cost, Figures.
n=1

2<n<9
median

n is small
3<n<5

n is large
n > 10

X & Rm

X&R

X&R

X&S

Control Chart Selection:

Attribute Data
Counted or Plotted as Discrete Events Such
as Shipping Errors, Waste or Absenteeism.
Defect or
Nonconformity Data
Constant
sample size

Variable
sample size

c chart

u chart

Defective Data
Constant
n > 50
p or np chart

Variable
n > 50
p chart

Control Chart
Construction

Select the process to be charted;

Determine sampling method and plan;

How large a sample needs to be selected? Balance the time and cost to collect
a sample with the amount of information you will gather.
As much as possible, obtain the samples under the same technical conditions:
the same machine, operator, lot, and so on.
Frequency of sampling will depend on whether you are able to discern
patterns in the data. Consider hourly, daily, shifts, monthly, annually, lots, and
so on. Once the process is in control, you might consider reducing the
frequency with which you sample.
Generally, collect 20-25 groups of samples before calculating the statistics
and control limits.
Consider using historical data to establish a performance baseline.

Control Chart
Construction
Initiate data collection:
Run the process untouched, and gather sampled data.
Record data on an appropriate Control Chart sheet or
other graph paper. Include any unusual events that occur.
Calculate the appropriate statistics and control limits:
Use the appropriate formulas.
Construct the control chart(s) and plot the data.

Control Chart Interpretation:

Time, Production & Spatial Analysis: StillLife Photography
An event taken in isolation or a group of items each
selected from a process during the same (brief) time
span can generally provide information about process
performance ONLY during that brief span.
Unless process performance is static through time this
will be true.
Dynamic processes vary through time.

Control Chart Interpretation:

Time, Production & Spatial Analysis: The
Video Generation
If a process varies through time, it is often useful
to know how the process varies so that it can be
controlled or guided in its behavior.
This requires monitoring through time, similar to
videotaping the process - in some sense, the
process has a life of its own and we want to
nurture that life.

Control Chart
Interpretation:
Persistence Through Time

A process can be characterized by:

Examining its behavior during a sufficiently brief interlude of time

Examining its behavior across a greater expanse of time.

Stable process: one which performs with a high degree of

consistency at an essentially constant level for an extended
period of time
In-control

A process that is not stable is referred to as being in an outof-control state

Data Plot with PAT

Zones
36.10 (A)

36

34.36 (B)

34

32.62 (C)
32

30.88

30

29.14 (C)

28

27.40 (B)

26

25.66 (A)
Item

Control Chart
Interpretation:
Pattern Analysis Tests
(PATs)
PAT 1: One point plots
beyond zone A on either

side of the mean

PAT 2: Nine points in a row plot on the same
side of the mean
PAT 3: Six consecutive points are strictly
increasing or strictly decreasing
PAT 4: Fourteen consecutive points which
alternate up and down

Control Chart
Interpretation:
Pattern Analysis
PAT 5: Two out of three consecutive points
Tests
plot in zone A or beyond, and all three points
plot on the same side of the mean
PAT 6: Four out of five consecutive points
plot in zone B or beyond, and all five points
plot on the same side of the mean

Control Chart
Interpretation:
Pattern
Analysis
PAT 7: Fifteen
consecutive pointsTests
plot in
zones C, spanning both sides of the mean
PAT 8: Eight consecutive points plot at more
than one standard deviation away from the
mean with some smaller than the mean and
some larger than the mean

Control Chart
Interpretation:

Monitoring & Improving

The performance
of every process will be
Processes
composed of two primary components:

Controlled or guided performance which is

predictable in both an instantaneous and long-term
sense
Uncontrolled variation

Special or assignable causes

Common causes

Control Chart
Interpretation:
Monitoring & Improving
True process improvement
Processes
is typically a
result of either:

Breakthrough thinking
Efforts to identify and reduce or eliminate common
causes of variation; methodical quantitatively oriented
tools which monitor a process over time --- the
approach taken generally by control charts.

Control Chart
Interpretation

The vertical axis coordinate of a point

plotted on the chart corresponding to the
value of an appropriate PPM and the
horizontal axis coordinate of a point plotted
on the chart corresponding to the time in
sequence at which the observation was
made with the time between observations
divided into equal increments.

Control Charts: Colors Used

UCL
A

**

*C
B
A

U2SWL

*
* *
*

*
*

U1SL
CL
L1SL
L2SWL
LCL

P Charts for the

Process Proportion

Based on m preliminary samples from the process. While

the number of items, n, may vary from sample to sample,
it is customary for each of the samples in a given
application to include the same number of items, n. For
the ith of these m samples, let

Yi =

number of defective units in the sample

Then the proportion defective for the ith sample is:

pi = Yi / ni

Control Chart
I
nterpretation
Center line (CL) positioned at the estimated mean
Upper and lower one standard deviation lines (U1SL and
L1SL) positioned one standard deviation above and
below the mean.
Upper and lower two standard deviation warning lines
(U2SWL and L2SWL) positioned at two standard
deviations above and below the mean.
Upper and lower control lines (UCL and LCL) positioned
at three standard deviations above and below the mean.

P Charts for the

Proportion

An estimate of the overall process proportion defective is

p = (Y1+Y2+...+ Ym) / (n1+n2+...+ nm)

= (total defectives) / (total items)
When all samples have n items each then p = (p1 + p2 + ... + pm)/m

The estimated standard deviation of the process proportion

defective is

Sp = p (1-p)/ ni

P Chart Control Lines

& Limits

The coordinates for the seven lines on the P

chart are positioned at:
CL
=
U1SL =
U2SWL =
UCL
=

p
p + Sp
p + 2Sp
p + 3Sp

L1SL = p - Sp
L2SWL = p - 2Sp
LCL = p - 3Sp

South of the
Borders, Inc.

Custom Wallpapers & Borders

Free Estimates
(013) 555-9944

South of the
Borders, Inc.

South of the Borders, Inc. is a custom wallpapers and

borders manufacturer. While their products vary in
visual design, the manufacturing process for each of the
products is similar. Each day a sample of 100 rolls of
wallpaper border is sampled and the number of defective
rolls in the sample is noted.
The number of defective rolls in samples from 25
consecutive production days follows.
Determine all coordinates; construct & interpret the p
chart.
PATs 1, 2, 3 and 4 apply to p charts.

South of the
Borders, Inc.

Day Defective Rolls

1
13
2
4
3
7
4
11
5
8
6
10
7
2
8
9
9
12
10
6
11
4
12
7
13
9

Day
14
15
16
17
18
19
20
21
22
23
24
25

Defective Rolls
8
9
3
5
14
10
11
6
6
9
3
10

South of the
Borders, Inc.

Total # of items sampled = 2500

Total # of defective items = 196
p = 196/2500 = .0784
Sp = .0784(.9216)/100 = .02688

CL =
UCL =
LCL =

South of the
Borders,
Inc.
.0784
.0784 +
.0784 -

3(.0269) =
.0806 =

.1590
-.0022 (na)

U2SWL = .0784 +

2(.0269) =

.1322

L2SWL = .0784 -

.0538 =

.0246

U1SL =

.0784 +

.0269 =

.1053

L1SL =

.0784 -

.0269 =

.0515

P Chart for Defective Wallpaper Rolls

3.0SL=0.1590

Proportion

0.15

2.0SL=0.1322
1.0SL=0.1053

0.10

P=0.07840
-1.0SL=0.05152

0.05

-2.0SL=0.02464
0.00
Subgroup
Rolls

-3.0SL=0.000
0

10

15

20

25

11

10

Proportion of Defective Rolls Received

South of the Borders,

Inc.

P
Chart
Interpretation
No violations of PATs one through four are apparent.

This implies that the process is in a state of statistical

control.
It does not indicate that we are satisfied with the
performance of the process.
It does, however, indicate that the process is stable
enough in its performance that we may seriously
engage in PDCA for the purpose of long-term process
improvement.

C and U Charts for

Nonconformities
When data originates from a Poisson
process, it is customary to monitor output
from the process with a defects or C chart
Recall the Poisson Distribution with mean =
c and standard deviation = c
P(y) = cye-c/y!

C & U Charts for

Nonconformities
C represents the average number of defects
(nonconformities) per measured unit with all units
assumed to be of the same size and all samples are
assumed to have the same number of units
m = 20 to 40 initial samples
C = (number of defects in the m samples) / m
Estimated standard deviation=

C Control Chart
Coordinates

CL = C
UCL = C+3 C
and
U2SWL= C+2 C and
U1SL = C+ C
and

LCL = C-3 C
L2SWL = C- 2 C
L1SL = C- C

Scientific & Technical

Materials, Inc.

Scientific & Technical

Materials, Inc.
Scientific & Technical Materials, Inc. produces
material for use as gaskets in scientific, medical,
and engineering equipment. Scarred material can
adversely affect the ability of the material to fulfill
its intended use.
A sample of 40 pieces of material, taken at a rate
of 1 per each 25 pieces of material produced gave
the results on the following slide. Use this
information to construct and interpret a C chart.

Scientific & Technical

Materials, Inc.
Piece
Scars

1
4

2
4

3
2

4
3

5
1

6
2

7
0

8
2

9 10
3 1

Piece
Scars

11 12 13 14 15 16 17 18 19 20
1 1 2 3 0 4 3 2 2 1

Piece
Scars

21 22 23 24 25 26 27 28 29 30
2 1 0 3 5 4 2 1 4 2

Piece
Scars

31 32 33 34 35 36 37 38 39 40
2 1 1 3 2 0 1 5 9 1

Scientific & Technical

Materials, Inc.

C= 90/40= 2.25= CL, Sc= 2.25 = 1.5

UCL= 2.25+ 3(1.5) =
6.75
LCL= 2.25- 4.5 =
-2.25 (NA)
U2SWL= 2.25+ 2(1.5)= 5.25
L2SWL= 2.25- 3 = -0.75 (NA)
U1SL= 2.25+ 1.5 = 3.75
L1SL= 2.25- 1.5 = 0.75

ientific & Technical Materials, Inc.

C Chart for Gasket Material Data

UCL
U2SWL
U1SL
CL
L1SL

Scientific & Technical

Materials, Inc.
C Chart Interpretation
Application of PATs one through four indicates a
violation of PAT 1 at sample number 39 where 9
scars appear on the surface of the sampled material.
Corrective measures would be identified and
implemented.
After process stability was (re) assured, we would
move into PDCA mode.

Variation of the C chart

where Sample size may vary
U = (u1+u2+...+um) / (n1+n2+...+nm)
= (total # of defects) / (total # of units in the m samples)

CL = U
UCL = U+ 3 U/ni,

LCL= U-3 U/ni

U2SWL= U+ 2 U/ni,

L2SWL= U- 2 U/ni

U1Sl= U+ U/ni,

L1SL= U- U/ni

U Chart

Control Charts for the

Process Mean and
Dispersion
X bar
Chart
Typically used to monitor process centrality (or location)
Limits depend on the measure is used to monitor process dispersion
(R or S may be used).

S or Standard Deviation Chart:

Used to monitor process dispersion

R or Range Chart:
Also used to monitor process dispersion

Sample Summary Inform

m = 20 to 40 initial samples of n observations each.
Xi = mean of ith sample
Si = standard deviation of ith sample
Ri = range of ith sample
X = (X1 + X2 +... + Xm) / m
R = (R1 + R2 + ... +Rm)/m
S = (S1 + S2 + ... + Sm)/m
= R/d2 where d2 depends only on n

Coordinates for the X-bar Control

Chart: R
CL= X,
UCL= X+ A2R,
UCL= X- A2R
U2SWL= X+ 2A2R/3
L2SWL= X- 2A2R/3
U1SL= X+ A2R/3
L1SL= X- A2R/3

A2 is a constant that depends only on n.

Coordinates for an
R Control Chart
CL= R
UCL= D4R
LCL= D3R
U2SWL= R+ 2(D4-1)R/3
L2SWL= R- 2(D4-1)R/3
U1SL= R+ (D4-1)R/3
L1SL= R- (D4-1)R/3
where D3 and D4 depend only on n

Championship Card
Company

Championship

Championship Card
Company
Championship Card Company (CCC) produces collectible
sports cards of college and professional athletes.

CCCs card-front design uses a picture of the athlete, bordered

all-the-way-around with one-eighth inch gold foil. However,
the process used to center an athletes picture does not function
perfectly.
Five cards are randomly selected from each 1000 cards produced
and measured to determine the degree of off-centeredness of each
cards picture. The measurement taken represents percentage
of total margin (.25) that is on the left edge of a card. Data
from 30 consecutive samples is included with your materials,
and summarized on the following slides.

Championship Card
Company
Sample X-bar R
Sample X-bar R
Sample X-bar
1
2
3
4
5

55.6
61.0
45.2
46.2
46.8

22
23
20
11
18

11
12
13
14
15

51.2
49.4
44.0
51.6
53.2

15
14
32
14
12

21
22
23
24
25

50.0
47.0
50.6
48.8
44.6

R
11
14
15
16
22

6
7
8
9
10

49.8
46.8
44.2
50.8
48.4

23
18
20
32
16

16
17
18
19
20

52.4
50.6
56.0
50.2
44.0

23
8
18
19
23

26
27
28
29
30

46.8
49.2
45.6
57.6
51.4

16
8
19
40
17

Championship Card
Company
Summary Information
n=5

A3 = 1.427

X = 49.63

B3 = NA

S = 7.42

B4 = 2.089

R = 18.63
d2 = 2.326
A2 = 0.577

D3 = NA
D4 = 2.115
= R/d2 = 8.01

Championship Card
Company
on R
R
X-bar andX based
R Control
Chart
UCL
60.38
39.40
Limits
U2SWL
U1SL
CL
L1SL
L2SWL
LCL

56.80
53.22
49.63
46.05
42.47
38.89

32.48
25.55
18.63
11.71
4.79
------

ampionship Card Compan

X Bar Chart for Sports Cards Centering Values
Limits Based on R
1
3 .0 S L =6 0 .3 8

60

Sample M ean

2 .0 S L =5 6 .8 0
1.0 S L =5 3 .2 2
50

X=4 9 .6 3
- 1.0 S L =4 6 .0 5
- 2 .0 S L =4 2 .4 7

40

- 3 .0 S L =3 8 .8 9
0

10

20

Sample Number

30

Samples of 5 from each 1000 Cards Printed

Championship Card Com

R Chart for Sports Card Centering
40

3 .0 S L =3 9 .4 0

Sample Range

2 .0 S L =3 2 .4 8
30
1.0 S L =2 5 .5 5
20

R =18 .6 3
- 1.0 S L =11.7 1

10

- 2 .0 S L =4 .7 9 1
0

- 3 .0 S L =0 .0 0 0
0

10

20

Sample Number

30

Samples of 5 Cards from each 1000 Produced

Championship Card
Company

X-bar & R Chart

Application of Interpretation
all eight PATs to the X-bar chart indicated a
violation of PAT 1 (one point plotting above the UCL) at sample
2. Apparently, a successful process adjustment was made, as
suggested by examination of the remainder of the chart.

Application of PATs one through four to the R chart indicated a

violation of PAT 1 at sample 29. Measures would be investigated
to reduce process variation at that point. The violation was a
close call and was out of character with the remainder of the
data.
We are close to being able to apply PDCA to the process for the
purpose of achieving lasting process improvements.

Coordinates for the X bar

Control Chart: S
CL= X
UCL= X= A3S
LCL= X- A3S
U2SWL= X+ 2A3S/3
L2SWL= X- 2A3S/3
U1SL= X+ A3S/3
L1SL= X- A3S/3
where A3 depends only on n

Coordinates on an S
Control Chart
CL= S
UCL= B4S
LCL= B3S
U2SWL= S+ 2(B4-1)S/3
L2SWL= S- 2(B4-1)S/3
U1SL= S+ (B4-1)S/3
L1SL= S- (B4-1)S/3
where B3 and B4 depend only on n

Championship Card
Company
Sample X-bar S
Sample X-bar S Sample X-bar S
1
55.6 9.63
11
51.2 6.83
21
50.0 5.15
2
61.0 8.63
12
49.4 5.46
22
47.0 5.15
3
45.2 7.40
13
44.0 14.35
23
50.6 5.55
4
46.2 4.09
14
51.6 5.18
24
48.8 6.50
5
46.8 7.22
15
53.2 5.36
25
44.6 8.96
6
7
8
9
10

49.8 8.76
46.8 6.72
44.2 8.53
50.8 11.95
48.4 6.19

16
17
18
19
20

52.4 9.48
50.6 3.44
56.0 7.00
50.2 7.60
44.0 8.46

26
27
28
29
30

46.8 6.50
49.2 3.19
45.6 7.96
57.6 14.38
51.4 6.80

Championship Card
Company
X-bar
X based
and
on S
S Chart
S
UCL
Limits 60.22
15.49
U2SWL
U1SL
CL
L1SL
L2SWL
LCL

56.69
53.16
49.63
46.11
42.58
39.05

12.80
10.11
7.42
4.72
2.03
------

Championship Card Com

X Bar Chart for Sports Cards Centering Values
1

Limits Based on S

3 .0 S L =6 0 .2 2

60

Sample Mean

2 .0 S L =5 6 .6 9
1.0 S L =5 3 .16
50

X=4 9 .6 3
- 1.0 S L =4 6 .11
- 2 .0 S L =4 2 .5 8

40

- 3 .0 S L =3 9 .0 5
0

10

20

Sample Number

30

Samples of 5 from each 1000 Cards Printed

Championship Card
S Chart Company
for Sports Card Centering Values
3 .0 S L =15 .4 9

15

Sample Stdev

2 .0 S L =12 .8 0
1.0 S L =10 .11

10

S =7 .4 16
5

- 1.0 S L =4 .7 2 4
- 2 .0 S L =2 .0 3 2

- 3 .0 S L =0 .0 0 0
0

10

20

Sample Number

30

5 Cards Sampled from each 1000 Cards Produced

Championship Card
Company

X-bar & S Chart

Interpretation
Application of all eight PATs to the X-bar chart indicates a
violation of PAT 1 (one pt. above the UCL) at sample 2.
Judging from the remainder of the chart, the process was
successfully adjusted.

Application of the first four PATs to the S chart indicates no

violations.
In summary, the process appears to have been temporarily
out-of-control w.r.t. its mean at sample 2. The process
was successfully adjusted and may now be subjected to
PDCA for permanent improvement purposes.

Common Questions for

Investigating an
Out-of-Control Process

Are there differences in the measurement accuracy of instruments /

methods used?
Are there differences in the methods used by different personnel?
Is the process affected by the environment, e.g. temperature/humidity?
Has there been a significant change in the environment?
Is the process affected by predictable conditons such as tool wear?
Were any untrained personnel involved in the process at the time?
Has there been a change in the source for input to the process such as
a new supplier or information?
Is the process affected by employee fatigue?

Common Questions for Investigating an

Out-of-Control Process
Has there been a change in policies or procedures such as
maintenance procedures?
Is the process frequently adjusted?
Did the samples come from different parts of the process? Shifts?
Individuals?
Are employees afraid to report bad news?

Process Capability:
The Control Chart Method for Variables Data
1.

Construct the control chart and remove all special causes.

NOTE: special causes are special only in that they come and go,
not because their impact is either good or bad.
2. Estimate the standard deviation. The approach used depends on
whether a R or S chart is used to monitor process variability.

= R / d2

^ _
= S / c4

Several capability indices are provided on the following slide.

Process Capability Indices: Variables Data

^

CP = (engineering tolerance)/6 = (USL LSL) / 6

This index is generally used to evaluate machine capability.
tolerance to the engineering requirements. Assuming that
the process is (approximately) normally distributed and
that the process average is centered between the
specifications, an index value of 1 is considered to
represent a minimally capable process. HOWEVER
allowing for a drift, a minimum value of 1.33 is ordinarily
sought bigger is better. A true Six Sigma process that
allows for a 1.5 shift will have Cp = 2.

Process Capability Indices: Variables Data

^

CR = 100*6 / (Engineering Tolerance) =

^
100* 6

/(USL LSL)

This is called the capability ration. Effectively this

is the reciprocal of Cp so that a value of less than
75% is generally needed and a Six Sigma process
(with a 1.5 shift) will lead to a CR of 50%.

Process Capability Indices: Variables Data

^

CM = (engineering tolerance)/8 = (USL LSL) / 8

This index is generally used to evaluate machine capability.
Note this is only MACHINE capability and NOT the
capability of the full process. Given that there will be
additional sources of variation (tooling, fixtures, materials,
etc.) CM uses an 8 spread, rather than 6. For a machine
to be used on a Six Sigma process, a 10 spread would be
used.

Process Capability Indices: Variables Data

=

ZU = (USL X) /

ZL = (X LSL) /

Zmin = Minimum (ZL , ZU)

Cpk = Zmin / 3
This index DOES take into account how well or how poorly
centered a process is. A value of at least +1 is required with a
value of at least +1.33 being preferred.
Cp and Cpk are closely related. In some sense Cpk represents the
current capability of the process whereas Cp represents the
potential gain to be had from perfectly centering the process

Process Capability: Example

Assume that we have conducted a capability analysis using X-bar and R
charts with subgroups of size n = 5. Also assume the process is in
statistical control with an average of 0.99832 and an average range of
0.02205. A table of d2 values gives d2 = 2.326 (for n = 5). Suppose LSL =
0.9800 and USL = 1.0200

_
= R / d2 = 0.02205/2.326 = 0.00948
Cp = (1.0200 0.9800) / 6(.00948) = 0.703
CR = 100*(6*0.00948) / (1.0200 0.9800) = 142.2%
CM = (1.0200 0.9800) / (8*(0.00948)) = 0.527
ZL = (.99832 - .98000)/(.00948) = 1.9
ZU = (1.02000 .99832)/(.00948) = 2.3 so that Zmin = 1.9

Process Capability: Interpretation

Cp = 0.703 since this is less than 1, the process is not regarded as being
capable.
CR = 142.2% implies that the natural tolerance consumes 142% of the
specifications (not a good situation at all).
CM = 0.527 = Being less than 1.33, this implies that if we were dealing with a
machine, that it would be incapable of meeting requirements.
ZL = 1.9 This should be at least +3 and this value indicates that
approximately 2.9% of product will be undersized.
ZU = 2.3 should be at least +3 and this value indicates that approximately 1.1%
of product will be oversized.
Cpk = 0.63 since this is only slightly less that the value of Cp the indication is
that there is little to be gained by centering and that the need is to reduce

S TATISTICAL
PROCESS CONTROL
End

of

Session

DEPARTMENT

OF STATISTICS

REDGEMAN@UIDAHO.EDU

OFFICE: +1-208-885-4410

DR. RICK EDGEMAN, PROFESSOR & CHAIR SIX SIGMA BLACK BELT