Chapter 6 Process Capability Analysis
Chapter 6 Process Capability Analysis
STATE OF CONTROL
Process in Control
When the assignable causes have been eliminated from the process to the extent the points
plotted on the control chart remain within the control limits, the process is in a state of
control. No higher degree of uniformity can be attained with the existing process. Greater
uniformity can, however can, however, be attained through a change in the basic process
through quality improvement ideas.
When a process is in control, there occurs a normal pattern of variation which is
illustrated in Figure 3-7. This natural pattern of variation has (1) about two thirds of the
points near the central line, (2) a few points closer to the control limits, (3) points located
back and forth across the central line, (4) points balanced on both sides of the central line,
and (5) no points beyond the control limits. The natural pattern of the points or subgroup
values forms its own frequency distribution, which follows or subgroup values forms its own
frequency distribution, which follows a normal curve. As the number of plotted points
increases, the frequency distribution will take on the appearance of a smooth polygon. The
dashed normal curve at the left of Figure 3-7 represents the distribution of the points when a
process is in control.
3. The process capability or spread of the process is easily attained from 6. With a
knowledge of the process capability, a number of reliable decisions relative to specifications
can be made, such as:
a. To decide the product specifications.
b. To decide the amount of rework or scrap when there is insufficient tolerance.
c. To decide whether to produce the product to tight specifications and permit
interchangeability of components or to produce the product to loose specifications and
use selective matching of components.
4. The percentage of product that falls within any pair of values may be predicted with
the highest degree of assurance. For example, this advantage can be very important when
adjusting filling machines to obtain different percentage of items below, between, or above
particular values.
5. It permits the consumer as a check on the producers data and, therefore, to test only a
few subgroups as a check on the producers records.
6. The operator is performing satisfactorily from a quality viewpoint.
Process Out of Control
When a point (subgroup value) falls outside its control limits, the process is out of control.
This means that an assignable cause of variation is present. Another way of viewing the outof-control point is to think of the subgroup value as coming from a different population than
the one from which the control limits were obtained. Figure 3-8 shows a frequency
distribution of subgroup averages for cereal boxes which was developed from a large number
of subgroups and, therefore, represents the population mean, = 450 g, and the population
standard deviation for the averages, x = 8 g. the frequency distribution for subgroup
averages is shown by a dashed line, which represents a smooth polygon. For instructional
purposes the individual dots represents the number of subgroup averages at particular values.
Future explanations will use only the dashed line to represent the frequency distribution of
averages and will use a solid line for the frequency distribution of individual values. The outof-control point has a value of 483 g. This point is so far away from the 3 limits (99.73%)
that it can only be considered to have come from another population. In other words, the
process that produced the subgroup average of 483 g is a different process than the stable
process from which the 3 control limits were developed. Therefore, something has gone
wrong with the process; some assignable cause of variation is present. This assignable cause
must be found and corrected before a normal, stable process can continue.
A process can also be considered out of control even the points fall inside the 3
limits. This situation occurs when unnatural patterns of variation are present in the process. It
is not normal for seven or more consecutive points to be above or below the central line. Also
when 10 out of 11 points or 12 out of 14 points, etc., are located on one side of the central
value, it is an unnatural pattern. These unnatural patterns are shown in Figure 3-9. The
chance that these unnatural patterns or runs will occur is the same chance that a point will fall
outside the 3 control limits.
Periodic cycles on an R chart are not as common as for an X chart. Some affecting the R
chart are due to:
(a) Operator fatigue and rejuvenation (upgrading) resulting from morning, noon, and
afternoon breaks
(b) Lubrication cycles
The out-of-control pattern of a recurring cycle sometimes goes unreported because of the
inspection cycle. Thus, a cycle pattern of variation that occurs approximately every month 2
hours could coincide with the inspection frequency. Therefore, only the low points on the
cycle are reported, and there is no evidence that a cyclic event is present.
When out-of-control patterns occur in relation to the lower control limits of the R chart, it is
the result of outstanding performance. The cause should be determined so that the
outstanding performance can continue.
The preceding discussion has used the R chart as the measure of the dispersion. Information
on patterns and causes also pertains to an s chart.
SPECIFICATIONS
Individual Values Compared to Averages
Before discussing specifications and their relationship with control charts, it appears
desirable, at this time, to obtain a better understanding of individual values and average
values. Figure 3-14 shows a tally of the subgroup values or individual values ( X s) and a
tally of the subgroup averages ( X s) for the data on keyway widths given in Table 3-2. The
four out-of-control subgroups were not used in the two tallys; therefore, there are 84
individual values and 21 averages. It is observed that the averages are grouped much closer to
the center than the individual values. This is true because when we average four values, the
affect of an extreme value is minimized, since the chance of four extremely high or four
extremely low values in one subgroup is slight.
Table 3-2 Data on the Depth of the Keyway (millimeters)
Subgroup
Measurements
Average Range
Date
Time
Comment
Number
R
X3
X1
X2
X4
X
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
Sum
23/12
8:50
11:30
1:45
3:45
6.35
6.46
6.34
6.69
6.40
6.37
6.40
6.64
6.32
6.36
6.34
6.68
6.33
6.41
6.36
6.59
6.35
6.40
6.36
6.65
0.08
0.10
0.06
0.10
4:20
8:35
9:00
9:40
1:30
2:50
28/12 8:30
1:35
2:25
2:35
3:55
29/12 8:25
9:25
11:00
2:35
3:15
30/12 9:35
10:20
11:35
2:00
4:25
6.38
6.42
6.44
6.33
6.48
6.47
6.38
6.37
6.40
6.38
6.50
6.33
6.41
6.38
6.33
6.56
6.38
6.39
6.42
6.43
6.39
6.34
6.41
6.41
6.41
6.52
6.43
6.41
6.37
6.38
6.39
6.42
6.35
6.40
6.44
6.32
6.55
6.40
6.42
6.39
6.36
6.38
6.44
6.43
6.41
6.38
6.49
6.36
6.39
6.41
6.47
6.45
6.43
6.29
6.29
6.28
6.37
6.45
6.45
6.35
6.39
6.35
6.43
6.40
6.34
6.46
6.36
6.51
6.42
6.38
6.37
6.35
6.42
6.45
6.39
6.34
6.58
6.38
6.48
6.37
6.40
6.36
6.38
6.44
6.39
6.40
6.43
6.37
6.50
6.42
6.39
6.38
6.40
6.41
6.45
6.34
6.36
6.42
6.35
6.51
6.40
6.39
6.39
6.38
6.44
160.25
0.10
0.09
0.05
0.08
0.04
0.11
0.03
0.04
0.12
0.07
0.08
0.10
0.12
0.30
0.06
0.11
0.08
0.07
0.06
0.08
0.06
2.19
27/12
New, temporary
operator
Bad material
Figure 3-14 Comparison of individual values and averages using the same data.
Calculations of the average for both the individual values and for the subgroup
averages are the same, X = 38.9. However, the sample standard deviation of the individual
values ( s ) is 4.16, while the sample standard deviation of the subgroup average ( s X ) is 2.77.
If there are a large number of individual values and subgroup averages, the smooth
polygons of Figure 3-14 would represent their frequency distribution if the distribution is
normal. The curve for the frequency distribution of the averages has a dashed line while the
curve for the frequency distribution of individual values has a solid line; this convention will
be followed throughout the text. In comparing the two distributions it is observed that both
distributions are normal in shape; in fact, even if the curve for individual values was not quite
normal, the curve for averages would be close to a normal shape. The base of the curve for
individual values is about twice as large as the base of the curve for averages. When
population values are available for the standard deviation for individual values ( ) and for
the standard deviation for averages ( X ), there is a definite relationship between them, as
n = 4.17
from sample data, and X which was calculated above, are different. This difference is due
to sample variation or the small number of samples, which was only 21, or some combination
thereof. The difference would not be caused by a non-normal population of X s.
Since the height of the curve is a function of the frequency, the curve for individual
values is higher. This is easily verified by comparing the tally sheet in Figure 3-14 and is a
true relationship when making comparisons using frequencies from the sample data.
However, if the curves represent relative or percentage frequency distributions, then the area
under the curve must be equal to 100%. Therefore, the percentage frequency distribution
curve for averages, with its smaller base, would need to be much higher to enclose the same
area as the percentage frequency distribution curve for individual values.
Central Limit Theorem
Now that you are aware of the difference between the frequency distribution of individual
values, X s, and the frequency distribution of averages, X s, the central limit theorem can
be discussed. In simple terms it is:
If the population from which samples are taken is not normal, the distribution of sample
averages will tend toward normality provided that the sample size, n , is at least 4. This
tendency gets better and better as the sample size gets larger. Furthermore, the standardized
normal can be used for the distribution of averages with the modification,
X
X
n
This theorem was illustrated by W.A. Shewhart for a uniform population distribution and a
triangular population distribution of individual values as shown in Figure 3-15. Obviously,
the distribution of X s is approximately normal.
The central limit theorem is the reason the X chart works, in that we do not need to be
concerned if the distribution of X s is not normal provided that the sample size is 4 or more.
Z
Control limits are established as a function of the averages; in other words, control limits are
for averages. Specifications, on the other hand, are the permissible variation in the size of the
part and are, therefore, for individual values. The specification or tolerance limits are
established by product engineers to meet a particular function. Figure 3-16 shows that the
location of the specification is optional and is not related to any other features in the figure.
The control limits, process spread, distribution of averages, and distribution of individual
values are interdependent, since X n .
10
One solution is to discuss with the product engineer the possibility of increasing the
difference between the upper and lower specifications. This solution may require reliability
studies with mating parts to determine if the product can function with increased specification
differences.
Another solution is to leave the process and the specifications alone and perform 100%
inspection to eliminate the defective parts. This is not an attractive solution, but it may be the
most economical or only one.
A third possibility to change the process dispersion so that a more peaked distribution
occurs, as illustrated by frequency distribution B. to obtain such a substantial shift in the
standard deviation might require new material, a more experienced operator or retraining, a
new or overhauled machine, or possibly automatic in-process control.
Another solution is to shift the process average so that all of the defective product occurs
at one tail of the frequency distribution as indicated at C of Figure 3-19. To illustrate, assume
that a shaft is being ground to tight specifications. If too much metal is removed, the part is
scraped; if too little is removed, the part must be reworked. By shifting the process average
the amount of scarp is eliminated and the amount of rework is increased. A similar situation
exists for an internal member such as a hole or keyway except that scrap occurs above the
upper specification and rework occurs below the lower specification. This type of solution is
feasible when the cost of the part is sufficient economically to justify the reworking
operation. Note that the crosshatched area at C is much more than that at A.
Example Problem
Location pins for work holding devices are ground to a diameter of 12.50 mm (approximately
in.), with a tolerance of 0.05 mm. if the process is centered at 12.50 mm ( ) and the
dispersion is 0.02 mm ( ), what percent of the product must be scrapped and what percent
can be reworked? How can be process center be changed to eliminate the scrap? What is the
rework percentage?
Solution
2.50
0.02
From Table A of the Appendix for a Z value of -2.50: Area1= 0.0062 or 0.62% scrap
11
Since the process is centered between the specifications and a symmetrical distribution is
assumed, the rework percentage will be equal to the scrap percentage of 0.62%. The second
part of the problem is solved using the following sketch:
If the amount of scrap is to be zero, then Area1=0. From Table A, the closest value to an
Area1 value of zero is 0.00017, which has a Z value of -3.59. Thus,
X
12.45
Z i
,3.59
, 12.52 mm
0.02
The percentage of rework is obtained by first determining Area3.
X 12.55 12.52
Z i
1.50
0.02
The Table A, Area3 = 0.9332 and Area2 = AreaTotal- Area3 =1.0000-0.9332=0.0668 or 6.68%
The amount of rework is 6.68%, which, incidentally, is considerably more than the combined
rework and scrap percentage (1.24%) when the process is centered.
The preceding analysis of the process spread and the specifications was made utilizing an
upper and a lower specification. Many times there is only one specification and it may be
either upper or lower. A similar and much simpler analysis could be for a single specification
limit.
12
13
PROCESS CAPABILITY
The true process capability cannot be determined until the X and R charts have achieved the
optimal quality improvement without a substantial investment for new equipment or
equipment modification. Process capability or spread of the process is equal to 6 standard
deviations, which is 6 0 or 6 if the population standard deviation is known
In the example problem for the X and R charts, the quality improvement process began in
January with 0 0.038 . The process capability is for 6 = (6) (0.038) = 0.228 mm or 0.038
mm or 0.114mm. By July, 0 =0.030, which gives a process capability of 0.180 mm or
0.090 mm. This is a 20% improvement in the process capability, which in most situations
would be sufficient to solve a quality problem.
It is frequently necessary to obtain the process capability by a quick method rather than by
using the X and R charts. The procedure is:
14
0 s c4
5. Process capability will be 6 0 .
Remember that this technique does not give the true process capability and should be used
only if circumstances require its use.
Process capability and the tolerance are combined to form a capability index, defined as
U L
Cp
6 0
where C p = capability index
0.88
1.11
6 0
6 0
6(0.038)
6(0.030)
In the example problem the improvement in quality resulted in a desirable capability index.
The minimum capability index is frequently established at 1.33. Below this value, design
engineers have to seek approval from manufacturing before the product can be released for
production.
In Chapter 1, quality was defined as conformance to specifications. Using the capability
index concept, we can measure quality provided the process is centered correctly. The larger
the capability index, the better the quality. We should strive to make the capability index as
large as possible. This is accomplished by having realistic specifications and continual
striving to improve the process capability.
Table A The equivalent Cp value corresponding to capability percentage.
Equivalent Cp Capability in
Equivalent Cp Capability in
percentage
percentage
0.50
86.64
0.86
99.00
0.62
93.50
0.91
99.35
0.68
96.00
1.00
99.73
0.75
97.50
1.33
99.994
0.81
98.50
15
DPMO
COPQ
Capability
6 Sigma
5 Sigma
4 Sigma
3 Sigma
2 Sigma
1 Sigma
3.4
230
6200
67000
310,000
691,500
<10% of sales
10 to 15% of sales
15 to 20% of sales
20 to 30% of sales
30 to 40% of sales
-
World class
Industry
average
Noncompetitive
-
16