SPC: Control Chart Fundamentals and

Applications

9th Annual ASQ Illiana Quality Conference

Dan Mateja
January 22, 2016
 Background
• 21 years in the steel industry
– Quality
– Process Technology
• BS and MS in Metallurgical Engineering and Materials
Science
• MS in Quality Assurance
• ASQ CQM/OE
• Certified Black Belt through Whirlpool Operational
Excellence
• ASQ Member since 2009
– Illiana Chief ASQ Exam Proctor
– Illiana Section Chair
2
 Agenda
• 7 Quality Tools for Process Improvement

• Control Chart History and Overview

• Variable Control Charts

– Average (X-bar) – Range (R)
– Other Variable Control Charts

• Attribute Control Charts

– P-Chart
– Other Attribute Control Charts

3
 Seven Quality Tools

• Cause-and-Effect Diagram – Fishbone Chart

• Check Sheet
• Control Charts
• Histogram
• Pareto Chart
• Scatter Diagram
• Stratification

4
Control Chart History and Overview

• Invented by Walter A. Shewhart in the 1920’s

– Improve reliability of Bell Lab telephone transmission lines
– Reduce frequency of failures and repairs
– Recognized common and special cause variation
– Need to bring process in control to predict the future and make a
process economically
• Mid 1920’s - W. Edwards Deming recognized significance
– Statistical consultant to Post-World War II Japan
– Used control chart in Japanese manufacturing industry in 1950’s
and 1960’s

5
Control Chart History and Overview
X- Ba r Cha rt - Pin Dia me te r

0.253

0.252

0.251

0.25

0.249

0.248

0.247

0.246
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Ra nge Cha rt - Pin Dia me te rs

0.01

0.009

0.008

0.007

0.006

0.005

0.004

0.003

0.002

0.001

0
1 7 13 19

• Basic Definition: Control Charts are tools used to determine if a

process is in a state of control
6
Control Chart History and Overview
• Control Charts used for several purposes
– Monitor process variables and parameters. Assess the stability of
parameter and to “flag” when a process goes out of control. SPC.

– Validate the effect of changes on process parameters. Assess the

effectiveness of a change.

– Useful in improvement activities. Understand the relationship

between process variables and parameters.

– Useful to understand the stability and variation in critical process

variables indentified in trials/experiments (DOE’s) . Control charts
used in follow-up studies.
7
Control Chart History and Overview
• Control Charts Basics

– Graph used to study how a process changes over time

– Data plotted in time order
– Central line for average, upper line for upper control limit and a
lower line for lower control limit
– Line and limits determined from historical data
– Conclusions about whether the process variation is consistent (in
control) or is unpredictable (unstable, out of control, affected by
special causes of variation)

8
Control Chart History and Overview
• Control Chart Purpose for SPC

– Recognize the extent of variation currently exists

• Do not react to random variation

– Study the process to identify sources of variation

• Act to eliminate or reduce variation sources
– Special causes
– Common causes

9
Control Chart History and Overview
• Types of Control Charts

– Variable
• Continuous data
• Control charts used in pairs
– One chart (typically the top) monitors the average or centering
of the process distribution
– The other chart (typically the bottom) monitors the range of the
distribution

– Attribute
• Non-continuous, Go-No Go, Pass-Fail
• A single control chart 10
 Control Chart History and Overview
Control Chart Decision Tree
Choose Appropriate Control Chart

Attribute Data Continuous Data

Counted & plotted as discrete events Measured & plotted on a continuous scale

Defect Data Defective Data

Sample size = 1 Sample is large, Sample is small,
usually ≥ 10 usually 3 to 5

Constant sample Variable sample Constant sample Variable sample

size size size ≥ 50 size ≥ 50

I and MR X-Bar and s X-Bar and R

c Chart u Chart np Chart p Chart

11
 Variable Control Charts – X-Bar-R
Quality Tools
Control Charts
X-Bar Chart - Pin Diameter
Description

This template illustrates a Statistical Process 0.253

C ontrol (SPC ) chart. A detailed discussion of
SPC charts can be found at www.ASQ.org 0.252

Learn About Statistical Process Control 0.251

Instructions 0.25

● Select the correct subgroup size. When in 0.249

doubt, select a subgroup size of one.
Partial subgroups are not displayed. 0.248
One Two Three
0.247
Four Five Six

Enter up to 200 data points in the cells 0.246

●
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
provided. Do not enter values in the
subgroup column. These cells update
Range Chart - Pin Diameters
automatically to show the subgroup in
which the data point is included.
0.01
● Identify any out of control conditions.
Four tests are performed. Use the legend 0.009
to identify the points corresponding to a
0.008
particular test.
0.007
● If a test looks for a proportion of points,
only the offending point will be identified. 0.006
For example, if eight points in a row are
0.005
on one side of the centerline only the
eighth point will be identified. 0.004

0.003
Learn More
0.002
To learn more about other quality tools, visit 0.001
the ASQ Learn About Quality web site.
0
1 7 13 19
Learn About Quality
Three Sigma Limit A single point outside the control limits
Two Sigma Limit Two of three pts outside the two sigma limit
One Sigma Limit 12
Four of Five pts outside the one sigma limit
Average Eight in a row on the same side of centerline
Variable Control Charts – X-Bar-R
0.2501 Xbar/IMR C hart Avg 0.251 Xbar one sigma Upper Limit 0.006 Rbar one sigma Upper Limit
0.0044 Range C hart Avg 0.252 Xbar two sigma Upper Limit 0.008 Rbar two sigma Upper Limit
0.001892 Rbar/d2 0.253 Xbar three sigma Upper Limit 0.009 Rbar three sigma Upper Limit
100 Number of samples 0.249 Xbar one sigma Lower Limit 0.003 Rbar one sigma Lower Limit
5 Subgroup size 0.248 Xbar two sigma Lower Limit 0.001 Rbar two sigma Lower Limit
20 Number of subgroups 0.248 Xbar three sigma Lower Limit n/a Rbar three sigma Lower Limit

Sub Sub Sub Sub Sub Sub Sub Sub

Group Data Group Data Group Data Group Data Group Data Group Data Group Data Group Data
1 0.249 6 0.25 11 0.251 16 0.249 21 26 31 36
1 0.251 6 0.25 11 0.249 16 0.25 21 26 31 36
1 0.251 6 0.251 11 0.249 16 0.249 21 26 31 36
1 0.248 6 0.251 11 0.251 16 0.251 21 26 31 36
1 0.25 6 0.251 11 0.252 16 0.252 21 26 31 36
2 0.251 7 0.247 12 0.251 17 0.25 22 27 32 37
2 0.246 7 0.251 12 0.255 17 0.249 22 27 32 37
2 0.252 7 0.253 12 0.248 17 0.25 22 27 32 37
2 0.248 7 0.25 12 0.247 17 0.25 22 27 32 37
2 0.25 7 0.249 12 0.249 17 0.25 22 27 32 37
3 0.25 8 0.25 13 0.25 18 0.248 23 28 33 38
3 0.25 8 0.251 13 0.252 18 0.25 23 28 33 38
3 0.246 8 0.253 13 0.252 18 0.249 23 28 33 38
3 0.25 8 0.249 13 0.249 18 0.251 23 28 33 38
3 0.251 8 0.248 13 0.251 18 0.251 23 28 33 38
4 0.249 9 0.246 14 0.25 19 0.251 24 29 34 39
4 0.253 9 0.25 14 0.251 19 0.248 24 29 34 39
4 0.245 9 0.248 14 0.254 19 0.25 24 29 34 39
4 0.254 9 0.25 14 0.251 19 0.25 24 29 34 39
4 0.249 9 0.251 14 0.251 19 0.252 24 29 34 39
5 0.25 10 0.251 15 0.252 20 0.254 25 30 35 40
5 0.246 10 0.248 15 0.251 20 0.251 25 30 35 40
5 0.251 10 0.249 15 0.248 20 0.254 25 30 35 40
5 0.249 10 0.249 15 0.25 20 0.247 25 30 35 40
13
5 0.25 10 0.25 15 0.251 20 0.251 25 30 35 40
Variable Control Charts – X-Bar-R

• When to Use

– When you have variable data

– When data are generated frequently
– When you want to detect small changes
– Useful for data that that does not form a normal
distribution
– Useful manufacturing – sampling to represent a larger
population

14
Variable Control Charts – X-Bar-R

• Several Purposes

– Used for control

– Used for analyses
– Used for education, communication and documentation

15
Variable Control Charts – X-Bar-R
• Procedure for setting up X-Bar-R control charts

– Step 1:
– Choose what to measure

– Step 2:
– Determine the appropriate time period for collecting
the data
– Determine the number of data points per subgroup
(n) and the number of subgroups (k) (minimum = 20)
– Within each subgroup, samples should as alike as
possible 16
Variable Control Charts – X-Bar-R
• Procedure for setting up X-Bar-R control charts

– Step 3:
– Set up forms for data

17
Variable Control Charts – X-Bar-R

18
Variable Control Charts – X-Bar-R
• Procedure for setting up X-Bar-R control charts

– Step 4:
– Collect the samples and record the measurements

– Step 5:
– With raw data, construct a histogram of the individual
data points and the averages of the subgroups
– Check for normality – Anderson-Darling Test

19
Variable Control Charts – X-Bar-R
• Histogram of Individual Data Points

20
Variable Control Charts – X-Bar-R
• Histogram of the Average of the Subgroups

21
Variable Control Charts – X-Bar-R
• Normality Test for Individual Data Points

22
Variable Control Charts – X-Bar-R
• Normality Test for the Average of the Subgroups

23
Variable Control Charts – X-Bar-R
• Procedure for setting up X-Bar-R control charts
• Calculate various statistics and determine the
control limits for charts
– Step 6:
– Calculate the averages x̄ (X-bar)
– Step 7:
– Calculate the average of the averages x̿ (X-double-
bar)

24
Variable Control Charts – X-Bar-R
• Procedure for setting up X-Bar-R control charts
• Calculate various statistics and determine the
control limits
– Step 8:
– Determine the range for the samples
– Step 9:
– Calculate the average of the ranges (̅R)
– Step 10:
– Calculate the control limits for the range and x̄ (X-
bar) charts
25
Variable Control Charts – X-Bar-R

26
Variable Control Charts – X-Bar-R

27
Variable Control Charts – X-Bar-R

28
Variable Control Charts – X-Bar-R

29
Variable Control Charts – X-Bar-R

30
Variable Control Charts –X-Bar -R
• Procedure for setting up X-Bar-R control charts
– Step 11:
– Determine the scale for the plots
– Step 12:
– Draw the control limits and averages and plot the
data for both charts
– Connect the dots

31
Variable Control Charts –X-Bar -R

32
Variable Control Charts –X-Bar -R
X- Bar Chart - Pin Diame ter

0.253

0.252

0.251

0.25

0.249

0.248

0.247

0.246
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Range Chart - Pin Diame ters

0.01

0.009

0.008

0.007

0.006

0.005

0.004

0.003

0.002

0.001

0
1 7 13 19 33
Variable Control Charts – X-Bar-R
• Analysis
– Step 1:
– Check the range chart for out-of-control points
– If out-of-control, investigate reasons
– Cannot proceed to Step 2 until out-of-control reasons
explained and/or range chart back in control
– Recalculate control limits without out-of-control
points
– Step 2:
– Check the x-bar chart for out-of-control signals
– If out-of-control, investigate reasons
34
Variable Control Charts – X-Bar-R
X-Bar of Undercut Diameter

-1
1 7 13 19 25

Range of Undercut Diameter

9

0
1 7 13 19 25

Three Sigma Limit A single point outside the control limits

Two Sigma Limit Two of three pts outside the two sigma limit
One Sigma Limit Four of Five pts outside the one sigma limit
Average Eight in a row on the same side of centerline
35
Variable Control Charts – X-Bar-R
X-Bar of Undercut Diameter

0
1 7 13 19

Range of Undercut Diameter

8

0
1 7 13 19

Three Sigma Limit A single point outside the control limits

Two Sigma Limit Two of three pts outside the two sigma limit
One Sigma Limit Four of Five pts outside the one sigma limit
36
Average Eight in a row on the same side of centerline
Variable Control Charts – X-Bar-R
• Out-of-Control Signals

– Any points outside of control limits

– 2 out of 3 successive points are on the same side of the centerline
and further than 2σ from it
– 4 out of 5 successive points are on the same side of the centerline
and further than 1σ from it.
– A run of eight in a row on the same side of the control limits
– 6 successive points increasing or decreasing
– Consistent or persistent patterns
– Other
– Limit rules for out-of-control conditions in SPC control charts
37
Variable Control Charts – X-Bar-R
• Out-of-Control Signals
– Considerations
• Signal rules are based on statistics and a normal and predictable
curve
• Signals do not indicate whether patterns are undesirable or
desirable
• Data points cannot show autocorrelation – successful points
related to the preceding points
– Data collection time period important
– Autocorrelation test
• Control limits are not specification limits
• Control limits are only recalculated when there is a permanent
change in the process
38
Variable Control Charts – X-Bar-R
• Out-of-Control Signals
– Considerations (continued)
• Most useful data are plotted as soon as they are generated by the
people working the process
• Software is available
• Control charts are often applied incorrectly

39
 Control Chart Decision Tree
Choose Appropriate Control Chart

Attribute Data Continuous Data

Counted & plotted as discrete events Measured & plotted on a continuous scale

Defect Data Defective Data

Sample size = 1 Sample is large, Sample is small,
usually ≥ 10 usually 3 to 5

Constant sample Variable sample Constant sample Variable sample

size size size ≥ 50 size ≥ 50

I and MR X-Bar and s X-Bar and R

c Chart u Chart np Chart p Chart

40
Variable Control Charts – X-Bar-S
• Similar to X-Bar-R chart except use standard deviation in
place of range

• When to use
– Variable data
– Need lots of data, n≥ 10
– Need to detect very small changes

• Standard deviation statistic calculations

41
Variable Control Charts – Individual
– Moving Range
• Study variable data that are not generated
frequently enough for an X-Bar-R Chart

• When to use
– Variable data
– Normal distribution
– Cannot use X-Bar-R chart due to infrequent data
– Cannot use X-Bar-R chart because the measurement remains
constant for a relatively long period of time before process changes

• Plot individual values and the moving range – difference

between successive individual values
42
Variable Control Charts – Individual
– Moving Range

43
Variable Control Charts – Other
• Moving Average-Moving Range
• Each successive subgroup drops the oldest measurement from
the previous subgroup
• Cannot use X-Bar-R - measurements remain constant
• Cannot use I-MR – data are not normal

• Target Chart
• Allows the same characteristic from different parts or products to
be plotted on the same chart

• Median and Range

• Good to use when data are normal and are not very often
disturbed by assignable causes
44
 Control Chart Decision Tree
Choose Appropriate Control Chart

Attribute Data Continuous Data

Counted & plotted as discrete events Measured & plotted on a continuous scale

Defect Data Defective Data

Sample size = 1 Sample is large, Sample is small,
usually ≥ 10 usually 3 to 5

Constant sample Variable sample Constant sample Variable sample

size size size ≥ 50 size ≥ 50

I and MR X-Bar and s X-Bar and R

c Chart u Chart np Chart p Chart

45
Attribute Control Charts
• Used for go-no go, defects, counts

• Use when you need to monitor a non-measurable in your

product or process

• Only one control chart

• Use variable data where possible

46
Attribute Control Charts – P/NP-Charts
• Used for go-no go, defects, counts

• P-Chart
• Used to study proportion of non-conforming or
defective items
• Items are either good or bad
• P equals the number of defective pieces divided by
sample size
• Sample size can vary
• Sample size should be approximately greater than 50

47
Attribute Control Charts – P/NP-Charts
• NP-Chart
• Same as P-Chart but sample size is constant
• Can also use P-Chart if sample size is constant
• Plot number instead of percent defective

48
Attribute Control Charts – C/U- Charts
• C-Chart
• Count chart used to study the number of non-conformities or
defects

• When to use:
• Counting non-conformities
• Each sample must have the same opportunity for non-
conformities to occur
• More than one non-conformity can be counted per item or per
area
• Sample size (length, area, etc.) remains constant

49
Attribute Control Charts – C/U- Charts
• U-Chart
• Similar to C-Chart but used to study the proportion of
non-conformities

• When to use:
• Counting non-conformities and
• Sample size varies or
• Where the opportunity for non-conformities changes from
one sample to the next

50
Attribute Control Charts – P-Chart

51
Attribute Control Charts – P-Chart

52
Attribute Control Charts – P-Chart

53
Summary
• Control Charts can used for several purposes
– Monitor process variables and parameters - SPC
– Other continuous improvement and/or problem solving activities

• Variable and Attribute Control Charts – try to use variable

• In SPC, important for operators to fill out and react to out of control
conditions

• Understand random and special cause variation and stability

• Your process or engineering knowledge will solve the problems!!!!!

54
Computer Programs for Control
Charts

• Minitab
– Good for statistical calculations and charts

• SAS Jump
– Similar to Minitab

• Excel Templates
– ASQ for X-Bar-Range

• Many offered online

• Tailor your own 55

Bibliography and Good References
• Amsden, Robert T., Butler, Howard E. and Amsden, Davida, M. SPC
Simplified Practical Steps to Quality. Portland, OR: Productivity, Inc.,
1998.

• Teague, Nancy R. The Quality Toolbox. Milwaukee, WI: American

Society for Quality Press, 2005.

• Wheeler, Donald J. and Chambers, David S. Understanding Statistical

Process Control. Knoxville, TN: SPC Press,1992.

• Moen, Ronald D., Nolan, Thomas, W. and Provost, Lloyd P. Improving

Quality Through Planned Experimentation. Boston, MA: McGraw-Hill,
1991.

56