CHAPTER 7:

CONTROL CHARTS
FOR ATTRIBUTES
Many quality characteristics cannot be conveniently represented numerically. In such cases, we
usually classify each item inspected as either conforming or nonconforming to the specifications
on that quality characteristics.

Attributes – a usually good quality or feature that someone or something has.

EXAMPLES OF ATTRIBUTES:
1.) the number of errors or mistakes made in completing a loan application
2.) number of medical errors made in a hospital

This Chapter presents 3 widely used control charts

1.) Control Chart for nonconforming ( P Chart )
2.) Control Chart for nonconformities ( C Chart )
3.) Control Chart for nonconformities per unit ( U Chart )
Although control charts for quality characteristics that are expressed as variables enjoy
widespread application, they are not universally applicable because not all quality characteristics
can be expressed with variables data.

Example:
Glass Container
– classify it into two categories ( Conforming or Nonconforming ), depending on whether the
container meets the requirements on one or more quality characteristics.

Attribute Charts are generally not as informative as variable charts because there is typically
more information in a numerical measurement than in merely classifying a unit as conforming or
nonconforming.

However, attribute charts do have important applications. They are particularly useful in service
industries and in non manufacturing quality-improvement efforts because so many of the quality
characteristics found in this environment are not easily measured on a numerical scale.
7.2 THE CONTROL CHART FOR
FRACTION NONCONFORMING
Fraction Conforming is defined as the ratio of the number of nonconforming items in a
population to the total number of items in that population.

The items may have several quality characteristics that are examined simultaneously by the
inspector. If the item does not conform to standard on one or more of these characteristics, it is
classified as nonconforming.
The presentation of results in fraction nonconforming is expressed in decimals. But when
displaying the control chart to production personnel, percent nonconforming is often used.

SAMPLE FRACTION NONCONFORMING

is defined as the ratio of the number of nonconforming units in the sample D to the sample size
n; that is

mean : variance :
7.2.1 DEVELOPMENT AND OPERATION
OF THE CONTROL CHART
I n t e r p re t a t i o n o f p o i n t s
o n t h e c o n t ro l c h a r t f o r
fraction nonconforming.

Example 7.1
Illustrated how points that
p l o t b e yo n d t h e c o n t ro l
l i m i t s a re t re a t e d , b o t h i n
e s t a b l i s h i n g t h e c o n t ro l
c h a r t a n d d u r i n g i t s ro u t i n e
o p e r a t i o n . C a re m u s t b e
e xe rc i s e d i n i n t e r p re t i n g
points that plot below the
l o we r c o n t ro l l i m i t . T h e s e
points often do not
re p re s e n t a re a l
i m p ro ve m e n t i n p ro c e s s
q u a l i t y.
F re q u e n t l y, t h e y a re c a u s e d
b y e r ro r s i n t h e i n s p e c t i o n
p ro c e s s re s u l t i n g f ro m
inadequately trained or
inexperienced inspectors or
f ro m i m p ro p e r l y c a l i b r a t e d
test and inspection
e q u i p m e n t . We h ave a l s o s e e n
cases in which inspectors
deliberately passed
nonconforming units or
re p o r t e d f i c t i t i o u s d a t a . T h e
a n a l y s t m u s t ke e p t h e s e
warnings in mind when
looking for assignable causes
if points plot below the
l o we r c o n t ro l l i m i t s . N o t a l l
d o w n w a rd s h i f t s i n p a re
a t t r i b u t a b l e t o i m p ro ve d
q u a l i t y.
7.2.2 VARIABLE SAMPLE SIZE
In some applications of the control chart for fraction nonconforming, the
sample is a 100% inspection of process output over some period of time. Since
different numbers of units could be produced in each period, the control chart would
then have a variable sample size. There are three approaches to constructing and
operating a control chart with a variable sample size.
VARIABLE-WIDTH CONTROL LIMITS
The first and perhaps the most simple approach is to determine control limits for each individual
sample that are based on the specific sample size. That is, if the ith sample is of size ni, then the
upper and lower control limits are . Note that the width of the control limits is
inversely proportional to the square root of the sample size.
CONTROL LIMITS BASED ON AN
AVERAGE SAMPLE SIZE
The second approach is to base the control chart on an average sample size, resulting in
an approximate set of control limits. This assumes that future sample sizes will not
differ greatly from those previously observed. If this approach is used, the control limits will
be constant, and the resulting control chart will not look as formidable to operating
personnel as the control chart with variable limits. However, if there is an unusually large
variation in the size of a particular sample or if a point plots near the approximate control
limits, then the exact control limits for that point should be determined and the point
examined relative to that value.
THE STANDARDIZED CONTROL CHART
The third approach to dealing with variable sample size is to use a standardized control
chart, where the points are plotted in standard deviation units. Such a control chart has
the center line at zero, and upper and lower control limits of +3 and −3, respectively. The
variable plotted on the chart is

where p (or if no standard is given) is the process fraction nonconforming in the in-
control state.
7.2.3 APPLICATIONS IN
TRANSACTIONAL AND SERVICE
BUSINESSES
The control chart for fraction nonconforming is widely used in transactional and service
industry applications of statistical process control. In the nonmanufacturing environment, many
quality characteristics can be observed on a conforming or nonconforming basis. Examples would
include the number of employee paychecks that are in error or distributed late during a pay period,
the number of check requests that are not paid within the standard accounting cycle, and the
number of deliveries made by a supplier that are not on time. Many nonmanufacturing applications
of the fraction nonconforming control chart will involve the variable sample size case. For example,
the total number of check requests during an accounting cycle is most likely not constant, and since
information about the timeliness of processing for all check requests is generally available, we would
calculate as the ratio of all late checks to the total number of checks processed during the period.
7.2.4 The Operating-Characteristic Function
and Average Run Length Calculations
The operating-characteristic (or OC) function of the fraction nonconforming control chart
is a graphical display of the probability of incorrectly accepting the hypothesis of statistical
control (i.e., a type II or 𝛽-error against the process fraction nonconforming.

The OC curve provides a measure of the sensitivity of the control chart—that is, its ability to
detect a shift in the process fraction nonconforming from the nominal value p to some other
value p.

The probability of type II error for the fraction nonconforming control chart may be computed
from
We may also calculate average run lengths (ARLs) for the fraction nonconforming control
chart. Recall from Chapter 5 that for uncorrelated process data the ARL for any Shewhart
control chart can be written as

Thus, if the process is in control, ARLo is

and if it is out of control, then

7.3 Control Charts for
Nonconformities (Defects)
A nonconforming item is a unit of product that does not satisfy one or more of the specifications for
that product.

Consequently, a nonconforming item will contain at least one nonconformity. However, depending on
their nature and severity, it is quite possible for a unit to contain several nonconformities and not be
classified as nonconforming.

It is possible to develop control charts for either the total number of nonconformities in a unit or the
average number of nonconformities per unit. These control charts usually assume that the occurrence of
nonconformities in samples of constant size is well modeled by the Poisson distribution.

Essentially, this requires that the number of opportunities or potential locations for nonconformities be
infinitely large and that the probability of occurrence of a nonconformity at any location be small and
constant.

There are cases, however, in which the Poisson model is completely inappropriate.
7.3.1 Procedures with Constant
Sample Size
Suppose that defects or nonconformities occur in this inspection unit according to the Poisson
distribution; that is,

where x is the number of nonconformities and c > 0 is the parameter of the Poisson
distribution.

From Section 3.2.3 we recall that both the mean and variance of the Poisson distribution are the
parameter c. Therefore, a control chart for nonconformities, or c chart with three-sigma limits
would be defined as follows, (assuming that a standard value for c is available)
If no standard is given, then c may be estimated as the observed average number of
nonconformities in a preliminary sample of inspection units—say, . In this case, the control chart
has parameters defined as follows.

Further Analysis of Nonconformities. Defect or nonconformity data are always more

informative than fraction nonconforming, because there will usually be several different types of
nonconformities. By analyzing the nonconformities by type, we can often gain considerable insight
into their cause. This can be of considerable assistance in developing the out-of-control-action
plans (OCAPs) that must accompany control charts.

Another useful technique for further analysis of nonconformities is the cause-and-effect

diagram discussed in Chapter 5. The cause-and-effect diagram is used to illustrate the various
sources of nonconformities in products and their interrelationships. It is useful in focusing the
attention of operators, manufacturing engineers, and managers on quality problems.
Choice of Sample Size: The u Chart. The second approach involves setting up a control
chart based on the average number of nonconformities per inspection unit. If we find x total
nonconformities in a sample of n inspection units, then the average number of
nonconformities per inspection unit is

Note that x is a Poisson random variable; consequently, the parameters of the control chart
for the average number of nonconformities per unit are as follows,
Alternative Probability Models for Count Data. When the sample data indicate that the
sample variance is substantially different from the mean, the Poisson assumption is likely to be
inappropriate.

The control charts can be constructed in the usual manner for Shewhart charts. Kaminski et al.
(1992) refer to the control chart for the total number of events as a “g chart” and the control
chart for the average number of events as an “h chart.” The center lines and control limits for
each chart are shown in the following display.
7.3.2 Procedures with Variable
Sample Size
Control charts for nonconformities are occasionally formed using 100% inspection of
the product. When this method of sampling is used, the number of inspection units in a
sample will usually not be constant. For example, the inspection of rolls of cloth or
paper often leads to a situation in which the size of the sample varies, because not all
rolls are exactly the same length or width. If a control chart for nonconformities (c
chart) is used in this situation, both the center line and the control limits will vary with
the sample size. Such a control chart would be very difficult to interpret.

The correct procedure is to use a control chart for nonconformities per unit (u chart).
This chart will have a constant center line; however, the control limits will vary inversely
with the square root of the sample size n.
7.3.3 Demerit Systems
With complex products such as automobiles, computers, or major appliances, we usually find that
many different types of nonconformities or defects can occur.

Not all of these types of defects are equally important.

A unit of product having one very serious defect would probably be classified as nonconforming
to requirements, but a unit having several minor defects might not necessarily be nonconforming.

In such situations, we need a method to classify nonconformities or defects according to severity

and to weight the various types of defects in a reasonable manner. Demerit systems for
attribute data can be of value in these situations.
7.3.4 THE OPERATING-
CHARACTERISTIC FUNCTION
The operating-characteristic (or OC) function of the nonconforming control chart
is a graphical display of the probability of incorrectly accepting the hypothesis of
statistical control (i.e., a type II or β-error) against the process fraction nonconforming.

The operating-characteristic (OC) curves for both the c chart and the u chart can
be obtained from the Poisson distribution.
For the c chart, the OC curve plots the probability of type II error β against the true
mean number of defects c.

The expression for β is 𝛽 = 𝑃 𝑥 < 𝑈𝐶𝐿 𝑐 − 𝑃{𝑥 ≤ 𝐿𝐶𝐿|𝑐} (7.26)

where x is a Poisson random variable with parameter c. Note that if the LCL < 0 the
second term on the right-hand side equation (7.26) should be dropped.
7.3.5 Dealing with Low Defect Levels
When defect levels or in general, count rates, in a process become very low-say, under
1000 occurrences per million-there will be very long periods of time between the
occurrence of a nonconforming unit. In these situations, many samples will have zero
defects, and a control chart with the statistic consistently plotting at zero will be relatively
uninformative. Thus, conventional c and u charts become ineffective as count rates are
driven into the low parts per million (ppm) range.

time between occurrence control chart, which charts a new variable: the time
between the successive occurrences of the count. The time-between-events control chart
has been very effective as a process-control procedure for processes with low defect
levels.

Nelson (1994) has suggested solving this problem by transforming the exponential
random variable to a Weibull random variable such that the resulting Weibull distribution
is well approximated by the normal distribution.
7.4 CHOICE BETWEEN ATTRIBUTES AND
VARIABLES CONTROL CHARTS
The c chart and u chart are widely used in transactional and service business application of statistical process
control. In effect, we can treat errors in those environments the same as we treat defects or nonconformities in
the manufacturing world.
Attribute Control Charts have the advantage that several quality characteristics can be considered jointly and
the unit classified as nonconforming if it fails to meet the specification on any one characteristic. On the other
hand, the several quality characteristics are treated as variables, then each on must be measured, and either a
separate 𝑥ҧ and R chart must be maintained on each or some multivariate control technique that considers all the
characteristics must simultaneously be employed.

Furthermore, expensive and time-consuming measurements may some times be avoided by attributes inspections.

Variables Control Charts, in contrast, provide much more useful information about process performance than
does an attributes control chart. In addition, when points plot out of control on variables control charts, usually
much more information in provided relative to the potential cause of that out-of-control signal.

For a process capability study, variables control charts are almost preferable to attributes control charts.
Perhaps the most important advantage of the 𝑥ҧ and R control charts is that they often
provide an indication of impending trouble and allow operating personnel to take
corrective action before any defectives are actually produced. Thus, 𝑥ҧ and R charts are
leading indicators of trouble, whereas p charts (or c and u charts) will not react unless
the process has already changed so that more nonconforming units are being
produced.
7.5 Guidelines for Implementing
Control Charts
General guidelines helpful in implementing control charts:

1. Determining which process characteristics to control

2. Determining where the charts should be implemented in the process
3. Choosing the proper type of control charts
4. Taking actions to improve processes as the result of SPC/control chart analysis
5. Selecting data-collection system and computer software

Remember, control charts are not only for process surveillance; they should be used
as an active, on-line method for reduction of process variability.
7.5 Guidelines for Implementing
Control Charts
Choosing the Proper Type of Control Chart
ഥ and R (or 𝑥ҧ and s) charts
A. 𝒙
B. Attributes Charts (p charts, c charts, and u charts)
C. Control Charts for Individuals
Actions Taken to Improve the Process
Process improvement is the primary objective of statistical process control. The application
of control charts will give information on two key aspects of the process: statistical control
and capability.
SPC methods should still be used to establish control and
reduce variability in this case, for the following reasons:

1. Specifications can change without notice

2.The customer may require both control and capability

3. The fact that the process experiences assignable causes

implies that unknown forces are at work; these unknown
forces could result in poor capability in the near future.
Selection of Data-Collection Systems
and Computer Software