4t41!.!.

Statistical Process Control

A Guide for Business Improvement

The Society of Motor Ma nufacturers and Traders Limited

London 2004 .

'SMMT' and the SMMT logo are registered trademarks of SMMT Limited.

No part of this publication may be reproduced, stored in any

information retrieval system or transmitted in any form or media
without the written prior permission of the SMMT.

www.smmt.co .uk
This third edition has been prepared by a
sub-group of the SMMT Quality Panel

Contributors:

Dale Robertson
NISSAN M OTO R M A NUFACTURI NG (UK) LTD

David Linehan
LYNOAKS LTD

Steve Elvin
SMMT LTD

lt is based upon the work carried out by Neville Mettrick

and his colleagues

First edition 1986 (reprinted 7 times)

Second edition 1994
Third edition 2004

The Society of Motor Manufacturers and Traders limited. All rights reserved
Published in 2004 for SMMT bv Findlav Publications Ltd, Horton Kirby, Kent DA4 9LL

www.smmt.co.uk 3
 Section 1
Contributors 3
Foreword 7

Section 2 Introduction 9
2.1 Philosophy 9
2.2 Information from data 9
2.3 The uses of charting 10
2.4 Disturbances & state-of-control 11
2.5 Specifications 12
2.6 Measures of middle 14
2.7 Measures of spread 16
2.8 Other measures of shape 17
2.9 Using calculators to obtain statistical measures 18
2.10 A reason for chart sample sizes above one 18

Section 3 - Getting Started 20

3.1 The people involved 20
3.2 Executive and management considerations 21
3.3 Planning for process control 22
3.4 A summary of charting 23

Section 4- Control Charts in General 25

4.1 Purpose 25
4.2 Chart design 28
4.3 Chart construction 29
4.4 Control lines 30
Sect1on 5 - Control Charts for Variables 32
5.1 Introduction 32
5.2 Sample size 32
5.3 Sample selection 32
5.4 Special circumstances 33
5.5 Mean and range chart Cx&R) 35
5.6 Mean and standard deviation chart (x&s) 37
5.7 Median and range chart Cx&R) 38
Section 6 - Control Charts for Attributes 40
6.1 General 40
6.2 Sample size 40
6.3 Sample selection 41
6.4 p chart for production of detectives 42
6.5 np chart for number of detectives 43
6.6 c chart for number of defects 43
6.7 u chart for production of defects 43

4 www.smmt.co.uk
Section 7 - Chart Interpretation 44
7.1 Introduction 44
72 Examination of charts for variables (x&R, x&R, x&s) 44
73 Examination of charts for attributes (p, np, c, u) 45
74 Pattern recognition 45
75 Examples of out-of-control patterns 47
7.6 Other examples of patterns 51
7.7 Unusual patterns without special disturbances 52
78 Dealing with disturbances 52
79 Centring 53

Section 8- Capability 55
8. 1 Capability statements 55
8.2 Capability indexes 58
8.3 Setting indexes 59
8.4 Interpretation of indexes 60
8.5 Estimation of conforming products 61
8.6 Example Reaction Plan following process monitoring 62

Sect1on 9 - Summary of the Process

Improvement Stages 64
Section 10- Top1cs Related to Charting 65
10.1 The norma l distribution 65
10.2 Introduction to analytical methods 68

Sect1on 11 Control Charts for Special Situation 70

11.1 Moving mean charts 70
11.2 Charts for sample size of one 72
11.3 Charts for short production runs 74
11.4 Standardised charts 76
11.5 Cusum charts 78

Sect1on 12- Capability Estimations 0

12.1 Probability plots 82
12.2 Distribution information from probability plots 84
12.3 Snap-shot capability estimations 84
12.4 Estimation s for non normal distributions 85

Section 13- Bibliography 90

Section 14 - Appendices 92
Section 15- Subject Index 126

www.smmt.co.uk 5
In the current climate, the SMMT Quality Panel believes it
is essential that businesses identify and take advantage of
improvement opportunities to drive sustainable
competitiveness .

To this end, the family of Business Improvement Guides

are designed to provide much needed support for a whole
variety of businesses whatever their size . They focus on
achieving business success by meeting the needs of the
customer through effective and efficient processes,
utilising improvement and associated tools and
techniques .

The SMMT Business Improvement Guides cover:

Process Management
Continual Improvement Tools and Techniques
Statistical Process Control
Failure Mode and Effects Analysis

The purpose of this guide is to explain Statistical Process Control.

The basic principles contained within this guide will equip the reader
with the knowledge to use this technique. However, before carrying
out any SPC activity you are advised to check with your customer to
understand if they have any specific requirements.

www.smmt.co.uk 7
2. Introduction
2.1 Philosophy
People
Supp "ers have a responsibility to meet or better customers'
expectations.

Customers are the people or mach ines at the next and later stages
in any process, they might be in other factories or companies but
they always include the people who use the ultimate product.

Objectives
Most companies operate in markets where it is vital that they are
competitive and profitable. Being competitive means being better
than competitors in quality, costs and delivery. Being profitable
entails operating without waste.

The achievement of competitiveness and profitability requires

effective and efficient processes. Processes can only be effective
when they are properly controlled .

Warning
Statistical and other methods are not a panacea, they point only to
opportunities for control and im provement wh ich w ill not happen
unless there is a will to succeed .

2.2 Information from data

The ability of a system to obtain control and susta in continuous
improvement depends upon in ormation and how that information
is used.

it is wasteful if information is used only to highlight the need for

rectification, it should be used also to adjust the process setting .

The waste that is tolerated by end-of-line inspection control includes:

the people, facilities, tools, material s and utilities used to

produce defective products.
the people, facilities, tools, materials and utilities used to
find defective products.
the people, facilities, tools, materials and utilities used to
replace defective products.

www.smmt.co.uk 9
 Information about the process is essential to control process
stability and therefore product or service consistency.

If process information is not collected and used, there will be the

further waste of not being able to identify opportunities for
improvement.

Much information can be derived from numerical data such as

measurements, counts or ratings. However, many people are not as
adept as they might be in extracting information from the data .
Hence these guidelines, which describe statistical methods that are
used in process control for arranging and interpreting numerica l data.

This part of the guidelines concentrates on simple charting

methods that have wide application in commercia l and
manufacturing industries. it offers a framework for practical training
and can be used as an on-the-job reference.

2.3 The Uses of Charting

Process control charts can be used to obtain information about

process setting
expressed as the process mean which is defined in section 5.5,
underlying process variability
expressed as the process spread which is explained
in figure 8.2,
the capability of a process to produce within tolerance
explained in section 8. 1,
process disturbances that wi ll give product va riabi lity and
inconsistency
defined in section 2.4 and illustrated in figures 73 to 710
the effects of any process change.

Whatever the information, it is only of value if it gives rise to

appropriate action.

The importance of training and a supportive organisation is

emphasised in section 3.2, some helpful non-statistical methods are
outlined in section 10.2 and there is more detail in texts referenced
in the Bibliography.

10 www.smmt.co.uk
 iii!I.!.M

2.4 Disturbances & State-of-Control

Variation among the products of any process is inevitable. lt arises
from causes which create process disturbances that are called
common or special.

Common disturbances arise from causes that are inherent

in the process and to some degree affect all products of
the process .

Examples of causes are variable raw materials, rigid working

methods, equipment limitations. atmospheric conditions and
individuals' capabilities. These causes are sometimes called
'chance' causes, this is misleading because the causes of
special disturbances also can occur by chance.

Processes that suffer only from common disturbances are in

a state of statistical control . In other words, the results of
the process are predictable.

Charting provides a measure of the effect of common

disturbances.

Special disturbances arise from causes that affect only

some products of the process. They are not inherent in
the process .

Exam ples of causes are material flaws, non-observance of

instructions, power failures, vandalism and inappropriate
training. These ca uses are sometimes called 'assignable'
causes, this is misleading because causes of common
disturbances also are assignable.

Processes that suffer from specia l disturbances are out-of

statistical control because the effects of a disturbance are
not predictable.

Charting highlights the occurrence of special disturbances.

www.smmt.co.uk 11
 Figure 2.1 : Design specificat ions

CUSTOMER'S EXPECTATION
A few approach ing Most at or nea r to A few approac hing
lower Performance limit Economic Optimum Upper Performance limit
I
y

!-
1-
I +
- - +-
+
_,.
-I- t
TJ I
I
I I I I I I I I I I
I
Tolera nce band
I I I I I I I I I I I

lower Specification limit Nominal Upper Specification limit

SUPPLIERS'S TARGET

2.5 Specifi cations

Engineers design for and customers expect an idea l. Des igners
specify ideal measurements, as targets or nominals . The value t hat
is specified should be th e same as the optimum expected by
customers (figure 2.1 ).

There can be diff icu lties for process control if t he nom ina l is not
specified because setting or centring the process (section 79) can
become subjective.

In the real world, even t he best processes do not resu lt in every

product being on nomina l. Designers cater for variabil ity by offering a
tolerance. Product detail tolerances are not common in certain
industries. Whether or not tolerance is specified, customers wi ll
accept va ri abi lit y if t he risk to them is not unreasonable.

A design tolerance is a statement of performance limits or the

measurement range w ithin which the product w ill functio n
satisfactorily. Most often , nom inal is in the middle of this range.

At end-of-l ine inspection, performance li mits provide the

criteria for product acceptance or reJection.

12 www.smmt. co.uk
 4ii41!.!.1

For process control, the limits are used as criteria for process
design and in some methods of expressing process
capability. Product qua lity is safeguarded through control
lines on a cha rt (section 4.4).

Beware of standard tolerances that have been developed as

a basis for contractual payments to piece-workers and
suppliers rath er th an as a basis for custo mer satisfaction.

Figure 2.2: The roles of people in SPC

EXECUTIVE/MANAGERS
Nominate co-ord inator/
facilitators

Scrap/rework - CO-ORDINATOR ~ Administration_j

Identifies opportunities ---
- - Warr~~d coaches facil itators Etc _j
I
MANAGERS
Promote employee

www.smmt.co.uk 13
Wm!i.J.M

2.6 Measures of Middle

Although diagrams usua lly give th e best idea of th e shape of a
distribution, numbers are necessary for comparisons with other
distributions.

One such number is an estimate of the middle of a distribution,

sometimes it is called the location or central tendency of a
distribution.

Three ways of expressing an estimate of the middle of a distribution

are the mode, the median and the mean .

The fol lowing example is used in their descriptions below.

9 people were tested and the number of ma rks per person was
2, 5, 3, 6, 4, 3, 8, 5 and 3

Mode
The mode is the value which occurs most often .
lt does not have a standard designation but i is commonly used.
There are three 3s, t wo 5s and one of each of the other four
x
numbers therefore the mode is = 3.

Median
The median is the middle value when the data is arranged in
order of magnitude. lt is denoted by x.
Rearranging the numbers gives 2, 3, 3, 3, 4, 5, 5, 6 and 8, the
middle number is 4, therefore the median is x= 4.

Mean
The mean is the arithmetic average, sample mean is denoted by x,
underlying or population mean is denoted by J.L .
lt is calculated by adding the values and divid ing by their number,

x= 2 +5 + 3 + 6 + 4 + 3 + 8 + 5 + 3 = 39 = 4.33 (to two places)

9 9

14 www.smmt.co.uk
 A symmetrical distribution

Mode= median= mean

A non symmetrical distribution

Mode Median Mean

The mode, median and mean are compared above for a symmetrica l
and a non-symmetrical distribution .

For a symmetrical distribution such as the normal distribution, all

three occur at the middle of the distribution .

The effect of a 'tail' in a non-symmetrical distribution is to pull the

median away from the mode and the mean even further.

In both situations the median has 50 % of the distribution,indicated

by 50% of the area under the curve, on each side of its value.

www.smmt.co.uk 15
Wmi!.J.M

Although the mean is the most common way of expressing

average. there are time s wh en the mode or median are preferred.
For example

Designers usually follow market su rveys. In practice, this

amounts to fo llowing t he mode.

The median tends to be used in salary negotiations, it seems

easier to ignore the extremes and to talk about a level which
has 50% of people above and below it.

The median is used in some manua l cha rting appl ica tions,
partly because it is easi ly ca lculated and understood
and partly because it avoids t he need for calculators.

2.7 Measures of Spread

The spread of a dist ribution is often more important than its average.

Usually, the setting of or average produced by a machine can

be adjusted.

Spread wh ich indicates va ri ability, is inherent in the machine

and cannot be changed merely by turning a knob.

Three ways of expressing an estimate of the variabi lit y of a

distribution are range , variance and standard deviation .

Range
Th e range is the maximum value minus the minimum value . lt is
designated R.

it is easily calculated and is widely used. However, it is not a

sa t isfactory estimate of the spread of a large distribution because it
ca n be und uly infl uenced by a si ngle measurement value.

Variance
Va ria nce is the mean square difference of the values from the
mean, sample vari ance is denoted s'. underlyi ng or popu lation
variance is denoted <T 2 . The wider t he spread of measurement s, the
larger the values of s' and a' .

16 www.smmt.co.uk
 Standard Deviation
Standard deviation is the square root of the variance .

The advantage of using standard deviation rather than variance

is that its units are the same as the original data and the mean.

If standard deviation is doubled, then the spread of the data is

doubled and if standard deviation is halved, the spread is halved.

For normal distributions, the spread of data is about six

standard deviations.

2.8 Other Measures of Shape

M easures of middle and spread toget her provide a summary of a
distribution wh ich w ill be adequate for most purposes.

However, there are situations which require other measures to be

considered, in pa rticu lar when tests for special disturbances are
necessary. The features wh ich need to be considered are:

departure from symmetry which is ca lled skewness.

Symmetrica l (c, = 0) Pos itive skew (c, is positive) Negative skew (c, is negative)
or not skewed

c, is a coefficient of skewness that is quantified by some computer programmes

www.smmt.co.uk 17
4i#41!.!.1

whether the distribution is flat-topped or peaked which is

called kurtosis (a Greek word meaning bulging or convexity) .

ll Flat-topped (platykurtic)
ck is low 'Yis negative
Peaked (leptokurtic)
Ck is high 'Yis positive

ck and 'Yare different coefficients of kurtosis that are quantified by some computer programmes.
ck reflects the shape of a distributions tails, 'Yreflects its central shape and
'Y= 0 for a normal distribution.
'Yis the Greek capita/letter upsilon, equivalent to U in English.

2.9 Using Calculators to Obtain Statistical Measures

Most scientific ca lculators have keys which give the mean and
standard deviation at the press of a key.

Relevant keys are often marked for the mean andx <Tn_ , or s for
the sample standard deviation (un_ 1 = s).

s is an estimate of u and xis an estimate of f.L.

Often these calculators are programmed only for single normal
distributions. lt is advisable to confirm the distribution before
using the statistics produced (see section 12).

2.10 A Reason for Chart Sample Sizes Above One

The simple rules for control chart interpretation (section 7) assume
that plotted values have a normal distribution (section 10.1 ).

There are frequent occasions when this assumption is not

correct. especia lly when the va lues are of individual
measurements and their distribution is skewed or subject to
kurtosis (section 2.8) .

18 www.smmt.co. uk
The way to get around this difficulty is to make use of a
mathematical ru le ca lled the central limit theorem which says that:

'no matter what is the distribution of individual measurements,

the distribution of averages of those measurements will increasingly
approximate to norma l as sample size increases.'

For practical purposes, the distribution of means of about 5

individuals wil l approximate to normal if the distribution of
individuals is symmetrical, for example. only suffering from
kurtosis.

The same applies if th e distribution of individuals has a slight

skew.

The means of larger samples are needed as skew gets more

extreme, for example, not less than 16 ind ividua ls for an
exponential distribution.

Illustration of an exponential distribution.

www.smmt.co.uk 19
8i5!i.UM

3. Getting Started
3.1 The People Involved
The executive or directors ' role is to support the practice of
statistics in process control, to the extent that they commit
re sources in the form of skills, time and occasionally facilities-
all of which mean money!

The managers' role is to ensure that information is obtained

from statistics in process control and is used to the best
advantage of the business.

Fact-holders need to be found by the executive and/or by

management. The se people are the lynch-pin of statistics in
process control. Their principal role is to coach others in the
methods.

They will have a knowledge of both statistics and the processes in

the business. Knowing the business is the pre-requisite,
knowledge of statistics can be obtained from educational
institutions, from consultants and from related software packages .

They are often called SPC facilitators or co-ordinators but they

might have other titles and responsibilities . Whatever the title, it
is important that facilitators are in touch with the work-teams. lt
is also important that they have a focus in the shape of a co-
ordinator who can promote good practice and provide a special
li nk to the executive.

Work-teams are the people at the sharp-end. Their role is to

practise the methods and to provide information for all to use
and improve the business.

In very small companies (say two or three people) one individual

might carry out all the above roles .

In very large compames (say twenty or thirty thousand people)

there might be a facilitator in each work area, an overall co-ordinator
and others depending upon geography and diversity of processes.

In-bet een small and large compames the approach will be

somewhere between the extremes .

20 www.smmt.co.uk
3.2 Executive and Management Considerations
The following are abstracts from the experience of companies
that have achieved considerable success after adopting the use
of statistics in process control.

Co-ordination
The role of co-ordinator, distinct from facilitato r, might be resourced
from within an organisation. Where this is not immediately
practicable, the executive could consider using an outside consultant.

Strategy
In any learning activit y, it is advisable first to 'crawl', then to 'wa lk'
so that "running" is a natural and easy progression . In other words,
gear activities to the organisation's abil ity to handle the informat ion
that will become available.

Training must start at the top, so that executives recognise the

implications and managers understand the information that wi ll arise
from the work-teams.

Strategic targets
As with any aspect of business strategy, the executive should
expect to receive progress reports aga inst targets. Ideal ly, the
targets will have been set after realistic assessment of the best that
comparable orga nisations have to offer.

When targets are not met, problems often rest with management.

Empowennent
People can be discouraged by being exposed to information that
leaves them helpless. The remedy is empowerment at all levels in an
organisation, in other words, give people authority to make decisions.

Th is demands an educated work-force and clearly defined process

ownership.

Leadership
A more positive response to process control and improvement is
obtained from people who work in teams with a recognised leader,
rathe r than a 'supervisor'.

www.smmt.co.uk 21
Wi#!!.!.M

3.3 Planning for Process Control

A process is often t hought of only as something to do with making a
product. In fact, it can be any activity that produces a result such as
a design, a purchase, a sale or a service. Also, it can be an
individual's activity or a company's activity which is made up of
many individuals' activities. Whatever the resu lt or sca le, a process
has input and output elements.

Identify process elements

To control a process, it is first advisable to identify and record its

scope, its inputs and its outputs . In other words, plann ing fo r
process control involves understanding th e factors that contribute to
the result.

The record is best developed col lectively by eve rybody involved in

the process. Some simple analytica l methods that will help are
referred to in section 10.2 and advanced techniques can be found by
reference to the Bibliog raphy (section 13).

Identify measures

Ca re should be taken to ensure that the measurements are

appropriate for the business processes to ultimately ensu re that
customer and business requirements are monitored. Effective
monitoring usually requires objective measurement and measuring
eq uipment must be ca librated.

The most informative way of presenting measured or counted data

is to use a su itable con t ro l chart.

Note: Processes are covered in greater depth in the SMMT

publication 'Process Management- A Guide For Business
Improvement'. See inside the back cover.

22 www.smmt.co. uk
3.4 A Summary of Charting
The process of charting is illustrated in figure 3.1. it is a simple
process but th ere ca n be pitfalls t hat need to be avoided.
Ultimately, control charts will provide the fo llowing benefits:

Do
Plan the introduction
Nominate facilitators and a co-ordin ator
Nominate process owners
Train everybody involved
Remember the purpose is proce ss improvement
Follow the sequence in Figure 2.2
Identify and eliminate all causes of disturbances
Recognise su ccessful work-te ams
Don't
Start unless you are committed
Identify process contro l with singleindividuals
Measure success by the number of charts
Use control lines to indicate acceptance limits
Confuse being in-control with capability
Assume that early information tells the whole story

A cost effective and powerful tool in process con tro l, they are
simple and su pport empowerment of the work team.

The ability to distin guish between specia l and common

disturbances and provide a common language for communication
of process behaviour.

Initia lly, a mea ns of target ing special disturbances but when the
process is predictable, t he charts show common disturbances as
a chal lenge with greater rewards.

Object ive evidence of the effect of process change ca used by

people, materials, faci lit ies, methods and the environment.

www.smmt.c o.uk 23
l !!.!.1

Figure 3.1: The application of charting

(section 3.3)

(section 5.3)
(section 6.3)
L------------T------------~

Collect data ~

Construct co ntrol chart

(section 4.4)

(section 7.2)
(section 7.3)
L----------r--------~

[ Pattern in control?

[ Pattern centred? I
(section 7.9)

[- :=J
Assess capability ~ (section 8.1)
=-:1
~ (section 8.4)
I Process capable?

=r=
[ Continue charting J(sectio n 5.4)

=r=
Reduce common disturbances J (section 7.8)

24 www.smmt.co.uk
 mi!.UM

4. Control Charts in General

4.1 PURPOSE
Control charts are one of many tools used in process control.

Process control is a key way to achieve, maintain and improve

quality in products and services.

The stages of process improvement are illustrated in section 9

where a customer is the next operation, the next factory,
the ultimate product user and any people or machines in between.

The charts signal the existence of process variation and should lead
the process owner to react to adverse situations when the process is:

out of control (not predictable) or

incapable (not able to meet tolerance) or
not centred (not set on nominal).

Also, charts can help in identification of causes of variation because

they distinguish between the two types of process disturbance
which are:

special disturbances that affect some products and

common disturbances which affect all products.

When disturbances are identified, the work team w ill use other
techniques to find causes and then to take improvement action.
Charts have a further use in monitoring the effectiveness of actions.

Charts add va lue even when the process is in control, capable and
centred at this stage the opportunity is to delight the customer.

www.smmt.co.uk 25
N
C')

I3
~ .~ .~
Location !geography)
"~
0
Process !o peration/machine)
"''"( sjl_:r
h't'll'~ .,
Component Ipart number) '" (.\~.~t
cE'
c
Feature 1 ~ ~i~~~ JiJwrtr~
~
Checking media \1 IU< ~
Specification NOMINAL Af OOO o11w I TOLERANCE c J ~o~~~~\
)>
Sample SIZE j FREQUENCY [(_,lA ,'\
....
-<
"C
;:;
I

5'
c..
c
~
:::!.
~
.
"C
0
n
CD
VI
VI
n
0
....
:I

2.
n
=r
I
~

.,"' GRAPH
PAPER
-2
~
"'jg
a:
 SHIFT ).-

DATE
TIME
BY
~ D~ IIIIIIIII
RECORD J
..., ~ ----""1"' '
~
~
~
2
3
I l' l I' I ! .:~ 1 1

E- . ,,
~ "' 4 LL!_ f' :1 1 7.1

><
5 1.,,,1 'f l ,. -~ 1 if

LX
x P I /-{-

R '

8
x
Mean of values = x ~ lJ -1,1 I Mean of Rvalues = R n Az 03 04 dz

i3 xchart UCL = x+ A2R A 1 ,)(

I R chart UCL = D4R ~.267

PARAMmR 1 574
1.128
1.693
xchart LCL = x- A2R ~: 282 2.059

~.
~
R chart LCL = D3R ' RECORD
5 - " 2.114 2.326
"~
0
Standard deviation = R/d2 n = sample size

N
-.1
 4.2 Chart Design
There are three groups of control charts:

Variables charts
which are used for measurements in units of length, mass or time
and combinations of these such as volume, energy and acceleration.

Attribute charts
which are used for counted numbers or proportions such as per unit
area, per cent and per sample.

Complex charts
including variations of the above such as for moving means, and
special purpose charts such as cusum and standardised.

There are many versions of each type. Those described in these

guidelines are known as Shewhart charts for straight forward
variables and attributes.

Complex charts are described in texts referenced in the Bibliography.

Many charts are drawn by computer and, especially when th ey are

used for continuou s or high volume processes, data inputs and
sometimes outputs are automated.

The descriptions in these guidelines apply in principle to both hand-

drawn and to computer produced control cha rts.

A typical industrial chart is illustrated in figure 4.1. it has four

sections:

HEADINGS that identify the subject of control, its location

and basic in struction s or reminders to people who use the chart,
such as Checking Media which li nks to systems of measuring
equipment ca libration and Specification which is useful in capability
assessments.

GRAPH PAPER or grid that is the working part on wh ich plots are
made to show variation from time to time in measured or counted
data.

28 www.smmt.co.uk
 4fiii!l.!.i

RAW DATA RECORD with identifications and calculations for the

plots.

PARAMETER RECORD with formulae used in their ca lculation.

These parameters are explained in following sections of this
handbook.

When a chart is actua lly in use, it is often helpful to write remarks on

it about relevant actions and subjective observations at the time of
recording data.

Figure 4.2: Data plotted on a control chart

"'>

10 15 20 25
Sample number

4.3 Chart Construction

Data is collected whi lst the process is operating and recorded on the
chart.

Sometimes, the data is converted on the chart to another more

convenient form such as an average or proportional va lue.

lt is then plotted against a sca le shown on the vertical axis, in a

sequence shown on the horizontal axis (see figure 4.2).

www.smmt.co.uk 29
Jii41U!.M

The vertical scale shou ld be selected so that extreme values can be

plotted . Also. to help interpretation (described from section 7.1) there
shou ld be about 12 but not less than 8 steps at convenient equal
intervals between the control li nes which are explained in the next
section.

The horizontal scale should accommodate a minimum of 25 plots.

This is to allow th e cha rt to give a coherent picture of the process.

To help the picture, straight lines are drawn between successive

plots.

Figure 4.3: Control lines drawn on a control chart

Uppe r control line (UCL)

"'
Q)
..:!
"'>
"C
Mean
Q)
t::
0
c::

Lower control line (LCL)

10 15 20 25
Sample number

4.4 Control Lines

In some SPC manuals, the lines are cal led limits. The word lines is
preferred because people tend to confuse control limits with
specification limits.

When there is sufficient data available, a process mean line and

control lines are calculated and drawn on th e chart.

Means are drawn as broken li nes and control li nes are solid (see
figure 4.3) .

The lines help interpretation of the chart (see figures 7. 1 to 7.12).

30 www.smmt.co.uk
Sufficient data is usually obtained from about 25 samples each
sample consisting of one or more units, batches or groups that are
measured or counted .

Sample sizes vary according to chart type. Details are in section 5.2
for variables charts and in section 6.2 for attributes charts.

Calculations of the mean and control lines are made from the data
using simple formulae that vary according to chart type and sample
size.

The formulae are set out with the detail chart descriptions.

www.smmt.co.uk 31
 5. Control Charts for Variables
5.1 Introduction
The charts for variables described in these guidelines are
Mean and range (x&R) preferred for manual
applications .
Median and range Cx&R) the most simple.
Mean and standard deviation ( x&s) preferred for automated
applications.

The symbol - is called a bar and - is a tilde, often called a

'wavy bar'.

These charts are used in pairs. one to monitor process setting

and the other to monitor variability.

lt is usual to plot both on the same screen or sheet of paper.

5.2 Sample Size

A sample size of 5 ha s been found to give reliable results and it
is the most commonly used for x&R and x&R charts.

Sample size must stay constant for any one chart.

Smaller sample sizes can be used when necessary fo r x&R

charts but a larger sample size (minimum 8) is recommended
for x&s charts.

5.3 Sample Selection

Samples should be taken periodically at regular intervals to give
a picture that relates easily to all aspects of the process.

Care must be taken to ensure that regularity does not introduce

bias. Rather than specify particular times, the frequency could be
about every 500 produced or about every hour or four times a
day and so on.

Sampling should capture the effects of all likely process

disturbances, such as start-up, shut-down, material batches and
shift changes.

32 www.smmt.co .uk
 Whatever the interval and wherever practicable, the units in a
sample should have been produced consecutively.

Samples of consecutive units give a better idea of common

disturbances than samples where the units are chosen randomly.

5.4 Special Circumstances

The first chart
The purpose of charting is to get a picture of process setting and
variability and it is sensible to do this as quickly and as
econom ically as possible.

The guidelines for sample selection allow room for manoeuvre!

At the outset, 125 consecut ive units might be taken and then
treated as if they were 25 samples of 5.

The data might reflect a well trained work team , new facilities , a
single material batch and constant environmental conditions.

The resulting chart is better than none at all but it is unlikely to

represent the true behaviour of th e process.

Learn from it and take any action that w ill improve the process .

Later charts
As charting con tinue s, the picture will become clearer and
disturbance s will be more readily re cog nised.

When the picture is stable, sampling frequency can be reduced.

Process changes
Often, process changes are clearly shown on charts.

Sometimes, changes are not obvious.

Whenever there is a change, the chart means and control lines

should be recalculated .

Recalculation shou ld be from data of about 20 samples after

the change.

www.smmt.co.uk 33
4ifi!lolri

For the not so obvious changes, completion of a chart provides a

timely reminder to check the calculations before a replacement
chart is used.

Figure 5.1: Data for variables control charts

79 81 77 89 75 76 75 69 72 86
67 84 72 81 77 75 82 72 72 87 86 65 91 78 89 76 76 70
84 76 89 94 82 63 84 85 88 72 82 73 54 75 85 78 65 75 92 82 77 78 88 81
70 85 83 93 87 87 90 75 80 84 86 70 77 76 80 81 79 70 73 72 70 81 72 86 80
72 76 88 86 94 71 89 77 74 67 76 84 76 86 79 68 80 82 71 86 77 79 82 94 68
75.0 78.6 87.4 83.4 80.8 73.6 85.2 77.6 79.6 78.2 79.8 77.4 76.6 73.6 73.6 77.0 81.0 76.0 74.6 83.2 76.6 80.2 75.4 83.2 77.
17 13 21 26 25 24 13 10 11 21 14 14 15 32 15 17 9 21 24 20 12 14 13 22 18
72 76 88 86 82 71 86 77 80 77 82 80 76 76 75 79 80 77 73 86 77 79 76 86 80
6.8 5.0 7.0 10.0 9.3 9.1 4.6 3.5 3.8 7.3 5.1 5.8 5.2 10.8 5.8 6.2 3.2 7.7 7.9 8.2 3.9 4.8 4.5 8.1 6.9

Figure 5.2: A means control chart with control lines based on

ranges from the data in figure 5.1

100

:;;
Q) 80
E
Q)
c.
~ 70
~ ~---------------------------------------------------
Lower control line LCL, = x- A2R
60

50+-.-.-.-.-,-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-~
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
Samp le number

34 www.smmt.co.uk
Figure 5.3: A ranges control chart from the data in figure 5.1

40 Upper control line UCLR= D4R

30
"'~
~
"'
a_ 20
~
C/)

10

Lower control line LCLR= D3R (= 0 in this figure)

Q --, I I I y - y - - . . - -1
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
Sample number

5.5 Mean and Range Chart (x&R)

This chart is preferred for manual use because it avoids complicated
calculations.

Raw data record

The measurements of each unit in the sample are recorded (see
figure 5.1 ).

The fol lowing stati stics are ca lculated from the measurements.

SAMPLE MEANS :X The sum of the individual unit values

divided by the sa mple size.

SAMPLE RANGES R The difference between the largest

and the sma llest unit values in the
sample .
Graph Paper
The statistics are plotted on a suitabl y scaled graph (see section
4.3) and the plots are joined by straight lines (see figures 5.2
and 53).

www.smmt.co.uk 35
8!1.!.1

Parameter Record
Two parameters are calculated from th e stati stics and drawn on
the chart as broken horizontal lines.

PROCESS MEAN X The sum of all the sample means

divided by the total number of
samples.

MEAN RANGE R The sum of all the sample ranges

divided by the total number of
samples.

Four control lines are ca lculated from the parameters using the
formulae shown in figures 5.2 and 5.3 and drawn on the chart as
solid horizontal li nes.

The constants A 2 , D3 and D4 depend upon sample size and are

obtained from statistical tables (see Appendix A, page 93).

Figure 5.4: A means control chart with control lines based on

standard deviations from the data in Figure 5.1

100

90 x
Up per control line UCL, = + A3s

:;; 80
"'E
"'
Q_

~ 70
U)
Lower control lin e LCL, = x- A3s
60

5 0 + - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , - , -, _ . ,
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
Samp le number

36 www.smmt.co.uk
 lii!!.UM

Figure 5.5: A standard deviations control chart

from the data in figure 5.1

15
Upper control line UC L, = B4s

c:
0
~
;; 10
Q)
"C

1"
"'
"C
c:
"'
~

Q)
Q_
E

"'"'
Lower contro l line LCL, = Bis I= 0 in this figure)
0+-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-.-. .
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
Sample number

5.6 Mean & Standard Deviation Chart (x&s)

The x&s chart is best suited to applications where
measu rements, calculations and plots can be automated.

The alternative x& R chart is preferred for manua l applications

because range is easier to calculate than sta ndard deviation.

The differences between the x&s chart and the x&R chart are:
the standard deviation, instead of the range, is calculated for
each sample. -see Appendix C, page 99 .

s
control lines are calcu lated from x and (the mean of the
sample sta ndard deviations) using the formu lae shown in figures
5.4 and 5.5.

The constants A3 , B3 and B4 depend upon sa mple size- see

Appendix A, page 93.

Note: they are all different to constants used for x&R charts.

www.smmt.co.uk 37
 x&s charts have narrower control lines than x&R charts.
However, particularly when sample sizes are above 8, x&s charts
are a better ind icator of trends than x&R charts, but less
sensitive in detecting some special disturbances.

Figure 5.6: A medians control chart from the data in figure 5.1

100

Upper control line UCL,; x+ A2R

90

w
~ 80
"'
E
"'
c_
~
(/)

Lower control l ine LCL, ; x- A2R

60

50+-.-.-.--.-,-,-.-.-.-.-.-.-.-,-,-,,-,-,-,-,-,-,-,-,
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
Sample number

5.7 Median & Range Chart (x&R)

This chart is used widely because it avoids day-to-day arithmetic
calcu lations and therefore is more readily accepted than x&R and
x&s charts.

The ranges graph is the same as that on an x&R chart (see

figure 5.3).

The medians graph is effective for detecting changes in th e

process mean but it is not an estimator of the process mean.

When the actual va lue of the mean is important, more useful

information wi ll be obtained from x&R and x&s charts.

38 www.smmt.co.uk
The differences between the Xchart and the x chart are:
measurements of the un its in a sample are reco rded only as
plots in a vertical line on the chart (figure 5.6) rather than as
w ritten numbers.

the median (or middle) value for each sample is highlighted on

the chart, if there are an even number of units in the sample the
highlight is placed midway between the two middle values and
lines are drawn to join successive medians instead of
x
calculating, plotting and joining means as on the chart.

x
control lines a~e calculated from (the mean of the sample
medians) and R..:. using the form ulae shown in figure 5.6.
The constants A 2, 0 4 and 0 3 depend upon sample size- see
Append ix A. page 93.

Note: A2 is used for medians charts and A2 for means charts.

control lines for medians are about 25% further apart than those
for means but this is not of any practical significance.

www.smmt.co.uk 39
 6. Control Charts for Attributes
6.1 General
Sometimes, requirements are subjective and measurement is
impossible, for example, a valve functi ons or it does not, a
person is absent or is not.

A means of monitoring such requirements is to use an attribute

chart and data that is counted as 'go' or 'no-go' against an
acceptance standard.

Attribute charting is often an easy option but wherever

practicable, counts against 'go/no-go' criteria and attribute
charting should be resisted in favour of measurement and
variables charting .

One type of attribute chart deals with DEFECTI VES wh ich are
units that fail because of defects (p charts in section 6.4 and
np charts in section 6.5).

A second type deals with the DEFECTS themselves or the

reasons why units fail (c eh rts in section 6.6 and u charts in
section 6.7).

All attribute charts have a similar appearance (figure 6.1) but each
type has its own formu lae for calcula ti on of mean and control
lines (figure 6 2) .

The interpretation of attribute charts is described in sect ion 7.3.

6.2 Sample Size

There is one simple guide-line for attribute chart sample sizes,
it should be large enough to allow the defect or defective
to appear in the majority of samples taken.

Sample sizes for attribute charts tend to be la rger than for

variables charts.

When the objective is to mon itor a f requent ly occurring situation,

comparatively small samples (say 10) might be needed.

40 www.smmt.co.uk


If the objective is to check the effectiveness of action to

eliminate a defect th at previously occurred at a rate of about
1 %, the required sample size wou ld be wel l over 1000.

Successive sample sizes need not be constant but there is the

advantage of less calcu lation with constant sample sizes.

np and c charts deal with constant size samples.

p and u charts deal with variable size samples.

6.3 Sample Selection

Samples shou ld be taken random ly to reflect all likely process
disturbance but where practicable, the units should have been
produced consecutively.

Such samples give better pictures of inherent variability and

trends than when the individuals are chosen randomly.

Figure 6.1: An attributes control chart

Upper control line (UCL)

Mean

Lower control line ILCL)

10 15 20 25
Sample number

www.smmt.co.uk 41
 I

li51!.!.1

6.2: Attribute chart statistics and formulae

f, + fz + .. + fm
p p P= n, + nz+ ... + nm
f, + fz + .. +fm
np f= m
C1+C2+ ... +Cm
c C= m
+ C2 + ... +Cm
C1
u u il=
n,+nz+ ... +nm

Key to symbols
c Defects (fau lty features) in sample
Defectives (faulty units) in sample
n Sample size
m Number of samples
n Average sample size = n, + nz + .... +nm
m
u Defects per sample unit =C
n
p Proportion of defectives in sample = f
n
** The lower control line is drawn at zero when the ca lculation gives
a negative number.

6.4 p Chart for Production of Detectives

Defectives are sometimes cal led non-conform in g or faulty units.

The p chart is used:

when there is variation in successive sample size and
the data is expressed as the fraction or proportion of defectives
in the sample.

Sample sizes should not vary by more than 25 % of the average

sample size.

Texts in the Bibliography describe alternative but more complex

charts that might help when sample sizes are extremely variable.

42 www.smmt.co.uk
 I

4ii4!1.!.1

6.5 np Chart for Number of Detectives

The np chart is sim ilar to the p chart, the differences are that:
the sample size must be constant and
the plotted data can be the actual number of detectives
recorded.

The p and np charts look exactly the same if plotted for the same
data w hen there is constant sample size except that the
respective vertical scales wi ll be labelled differently.

6.6 c Chart for Number of Defects

The c chart is also used to il lustrate discrete data that is not of
attributes such as occurrences of accidents, live births or aircraft
movements and it is sometimes ca lled a simple run chart.

Defects are sometimes called faults.

The c chart is similar to the np chart except that it describes defects

rather than detectives.

Samples can be :
a single unit such as an assembly,
a measured production output such as an area of material or
a constant sized group of units such as an audit batch.

6.7 u Chart for Production of Defects

The u chart is similar to the c chart, the differences are that:
the sample size can vary and
the plotted data is the average number of defects per unit in the
sample.

Like the p chart, sample sizes must not vary by more than 25 % of
the average sample size.

www.smmt.co.uk 43
 7. Chart Interpretation
7.1 Introduction
A control chart is a pictorial rep resentation of process behaviou r.
lt can illustrate:
e achievement of customer's targets,
e variation from targets,
e process stabi lity,
e the effect of process change and
e the presence of process disturbances.
In most practical situations, the picture is worth a thousand words
and there is little need to indulge in abstract explanations!

Occasionally, the significance of the picture might not be obvious

and there is either unnecessary action or there is inaction .

The key is to know some basic principles and in extreme cases,

who or where to go to next.

The following sections set out the principles and some

suggestions for a next step are in the Bibliography.

7.2 Examination of Charts for Variables (x&R, x&R, :X&s)

The range (R) or standard deviation (s) chart is examined first.
lt gives a picture of the process variabi lity.

If the R or s chart indicates a state of statistical control (see

section 7.4), the process can be judged as being stable.

The mean (x) or median (x) chart is examined second.

lt gives a picture of process setting. This picture could be
misleading if the R or s chart examination indicates that the
process is not stable.

x
If the x or chart indicates a state of statistical control (see
section 7.4), any changes in setting over a period of t ime
probably are the effects of common disturbances.

An out-of-control state probably is the effect of one or more

special disturbances.

44 www.smmt.co.uk
 4i#ii!I.!.M

Re-setting of unstable or out-of-control processes, without

allowing for special disturbances, could lead to deterioration in
product quality

7.3 Examination of Charts for Attributes (p, np, c, u)

The charts give a picture of process variability.

If their patterns indicate a state of statistical control (see

section 7.4), it means they are stable but not improving.
Remember that for most attributes, the customer's target is zero
defects and a downward trend indicates improved process control.

7.4 Pattern Recognition

Chart interpretation amounts to recognition of 'unusua l' patterns
plus process knowledge, experience and appreciation of probabil ity.

The starting point is the plot distributions illu strated in figures 7.1
and 7.2 which represent a statistically in-control process.

Significant deviation from this ideal are unu sua l if the process is
in-control.

Exam ples of some unu sual patterns and their interpretation are
shown in section s 7.5, 7.6 and 7.7.

The illustrated patterns are by no means all that can occur.

Anything that looks unu sual should be investigated even if only to
confirm an occurrence has no particular cause (section 7.7) or that a
mistake has been made in measurement, calculation or plotting.

www.smmt.co.uk 45
f i#41!.!.1

Figure 7.1 : Plot proportions

UCL I j

I
Mean -- 2 of 3
in centre third
------1 19 of 20
in centre
two thirds
3 in 1000
- - - - - - - outsicteline s -

LCL
I I
where plots should be for a statisti cal ly in-control process.

Figure 7.2: In-control pattern

UCL,------------------------------------------------

Mean

an exa mple of actual plots for a statistica lly in-control process.

46 www.smmt.co.uk
 4ffili.UM

7.5 Examples of Out-of-Control Patterns

Figure 7.3

Plots above UCL or below LCL are perhaps, a specia l disturbance

ca used by:
flawe d material.
broken tool.
operator mistake.
power failure.

Figure 7.4

2 of 3 consecutive plots in top or bottom sixth of lines are perhaps,

a special disturbance caused by :
start-up effect.
untrained operator.
or could be an improvement w hen in the lower ha lf of R, s or
attribute charts.

www.smmt.co.uk 47
 Figu re 7.5

4 of 5 consecutive plots in top or bottom third of lines are perhaps,

a persistent special disturbance with causes similar to those in
figure 7.4.

Figure 7.6

5 consecutive plots outside centre third of lines are usually, the

result of mixed samples from:
different people
different machines, etc.

caused by methods for:

measurement.
reporting.
machine setting, etc.

48 www.smmt.co.uk
 4i41!.!.1

Figure 7.7

6 consecutive plots (5 intervals) rising or falling are usua lly, a process

cha nge caused by:
equipment wear.
market shift.
seasonal change in weather.
or perhaps, a fal ling run is an improvement on R, s or attribute
charts.

Figure 7.8

9 consecutive plots (8 intervals) in top or bottom half of lines are

usually, a process step change caused by:
re-setting.
management interven t ion.
parts or method change.
or perhaps, an improvement when in the lower half of R, s or
attribute charts.

www.smmt.co.uk 49
 Figure 7.9

15 consecutive plots inside the centre third of lines often:

indicates the unwitting or deliberate use of fa lse data.
or perhaps:
indicates a better process when pairs of charts for variables
(x&R, x&s, etc) both show the same pattern.

Figure 7.1 0

UCL,---------------------------------------------------

LCL1------------------------------------------------
Alternating high/low plots are usually:
an extreme example of mixed samples from different people or
different machines, etc.
caused by unsuitable charts, procedures or standards.

50 www.smmt.co.uk
 7.6 Other Examples of Patterns
The t wo examples below are not necessarily out-of-control.
In other words, they could be entirely predictable.

They illustrate situations where more complex process control is

necessary.

Figure 7.11

Moving means ref lect action to control inherently unstable

processes.

Figure 7.12

UCL
,
....
...... I \,

Mean
-----~~~---~~,:---~~~~-----~:---
~v.

LCL
r-/
-~

Cycl ic pattern- the two patterns in figure 7 12 usually:

"'"
ref lect long-term changes caused by the environment.
suggest a need for compensatory action.

www.smmt.co.uk 51
1!4!1.!.1

7.7 Unusual Patterns Without Special Disturbances

The patterns shown in section 75 can occur by ch ance without
there being a special disturbance.
Such occurrences are ran dom but infreque nt, fo r exam ple for x
charts, they could happen as indicated in figure 7 11.
There are similar likelihoods of chance occurrence on other charts
but for practical purposes, think of them only as remote
possibilities!

Figure 7.13: Chance occurrences

I once in about

6.3 Plot above UCL

--
740 plots
Plots below LCL 740 plots
6.4 2 of 3 consecutive plots in top sixth of limits 750 plots
2 of 3 consecutive plots in bottom sixth of limits 750 plots
6.5 4 of 5 consecutive plots in top third of limits
--
390 plots
4 of 5 consecutive plots in bottom third of limits 390 plots
6.6 5 consecutive plots outside ce ntre third of limits 320 plots
6.7 6 consecutive plots 15 intervals! rising
--
720 plots
6 consec utive plots (5 intervals) falling 720 plots
6.8 9 consecutive plots (8 intervals) in top half of limits 520 plots
9 consecutive plots (8 intervals) in bottom half of limits 520 plots
6.9
I 15 consecutive plots inside centre third of limits 310 plots

7.8 Dealing with Disturbances

Any disturbance highlighted by a control chart is an opportunity

for improvement.

When chart examination shows that there are unusual patterns,

the process cou ld be suffering from special disturbances.

The cause(s) of special disturbances must be identified and

ideally, they should be eliminated.

52 www.smmt.co. uk
 lt is easier to deal with common disturbances when special
disturbances have been eliminated but unfortunately, it is not
always possible.

So, there are two possible courses of action

If the special disturbance causes have been eliminated, draw a

new chart with new data.

If the special disturbance causes cannot be eliminated quickly,

discard the data that they give rise to, re-calculate the mean and
control lines and draw a new chart.

Discarding data does not mean ignoring the causes!

Whichever course is followed, the chart should picture the

underlying variability resulting from inherent problems or
common disturbances.

The task of the work team is now to identify the causes of

common disturbances and take action toward their elimination.

7.9 Centring
Customers expect the majority of products to be at or close to
nom inal and nominal should be the customer's optimum (section 2.5).

Except for one-sided distributions of ovality, taper. run-out, etc

chart means for x charts should be on nominal or at the middle
of the tolerance band when a target is not specified.

One-sided distributions are a special case where the mode,

rather than the mean. should be on nominal which usually is zero.

The mode of a distribution is its most frequently occuring value.

Idea lly, zero is the place for means on R, s, p, np, c and u charts.

www.smmt.co.uk 53
 Changes, to re-set or centre an off-nominal process must be
based only on statistics of the underlying or inherent variability
(section 7.8).

Re-setting processes, withou t allowi ng for special disturbances,

cou ld lead to deterioration in product quality.

Centring should not be attempted f rom data of medians because

the X: chart mean does not re lat e to nominal (section 5.7).

54 www.smmt. co.uk
 I
I

8. Capability
Figure 8.1: Capability in relation to specified tolerance

(a) A capable process

LSL I USL

(b) An inherently capable process that is not centred

LSL I

(c) An incapable process

LSL USL
I I

LSL and USL are respectively, the lower and upper specification limits

8.1 Capability Statements

A process capability statement is an estimate of the ability of the
process to meet customers' requirements. The statement should
have t wo components:

first, a confirmation that the maJority of products are being

produced at or close to nominal and

second, a confirmation that very few products are being

produced outside tolerance limits when these are specified .

www.smmt.co.uk 55
lif4!1.!.1

There are two ways in which the statement is expressed:

In some manufacturing industries, indexes such as Cp and Cpk

are used (sections 8.2 and 8.3), they require tolerance to be
specified.

These indexes often provoke questions as to their practical

meaning. The answer is that they indicate the probabilities of
products being produced away from nominal and/or outside
tolerance.

In some industries, indexes are not used. Instead, there is only a

statement of the probabilities.

This simple approach involves more complex calculations than

for indexes but it has the advantage that it can be used when
tolerance is not specified. Methods are explained in texts
referenced in the Bibliography.

However the statement is expressed, it is illustrated in figure 8.1

where diagram (a) shows a capable process, diagram (b) shows an
inherently capable process but it is not centred and diagram (c)
shows an incapable process.

The horizontal lines are measurement scales marked with LSL

(lower specification limit), USL (upper specification limit) and nomina l
at the middle of their range.

The bell shaped curve represents the distribution (see section 10.1)
of products at points on the measurement scale. In the diagrams,
the top of the curve is at the process mean and most products are
at or close to the mean.

56 www.smmt.co.uk


Figure 8.2: Capability indexes

LSL USL
I I
I I
I
I
I
I
I
I
I
I

+-- - - - - T olerance band - - - - ---+

CAPAB ILITY INDEX (Cp Pp or Cm) =TOLERANC E BAND

' PROCESS SPR EAD

where PROCESS SPREAD = 6 a (six times the estimated standard

deviation)

R is the mean of sample ranges calculated for an R chart

(section 5.5).

s is the mean of sample standard deviations calculated for an s

chart (section 5.6). d2 and c4 are constants that depend upon
the chart sample size - see Appendix A, page 93.

u is the Greek lower case letter sigma equivalent to s in English

and the symbol is a circumflex which here means 'estimate of'.

For purposes of this publication, a standard deviation is a measure

of process variability and explanation of how to calculate it is
sufficient definition.

Full statistical definition can be found by reference to texts in the

Bibliography (section 13).

www.smmt.co.uk 57
ii#41!.!.1

8.2 Capability Indexes

A capability index is the ratio of al lowable variation to actual
variation. The allowable variation is the tolerance band. The actual
variation is a quantity ca lled the process spread wh ich is calcu lated
from sample measurements.

The index can vary according to sam ple selection. Therefore it is

symbolised as Cm, Pp or Cp to cover the three most common
sampling procedures.

Cm indicating machine, is used when sampling is over a very short

period of time. Often, there wi ll be a single material batch, the
best operator, the same method, constant atmospheric
conditions and new equi pment. lt is hardly a good measure of a
process that might be used for years. Usual ly, it is employed to
provide some indication of machine performance during
acceptance trials.

Pp indicating preliminary, is used when sampli ng is over a period

of time that does not capture all common disturbances likely to
be suffered by the process, for example natural variations in
materials, people, wea ther and equipment. lt provides a basis for
future compa risons but aga in , is not a good measure of
capability.

Cp indicating process, is based on data obtained over a long period

of time and is li kely to be the best obtainable estimate of
capability.

All versions of the index can be calcu lated from charted data (see
figure 8.2)

For most practical purposes, the method shown gives a reasonable

estimate but it assumes that the data has a normal distribution (see
section 10.1).

There are other methods (see the Bibliography) , in particular for

when a 'snap-shot' statement is required and for when the data is
not norma lly distributed (indicated by a skewed, truncated or one-
sided distribution curve).

58 www.smmt.co.uk


8.3 Setting Indexes

For each capability index CP. PP and Cm, there is a setting index
designated c pko ppk and c mk respective ly. lt is the lowest of two values
designated Zu and ZL which are ca lculated as shown in figure 8.3.

The descript ion of capability indexes in section 8.2 is equal ly

applicable to setting indexes but additionally,

a customer would be disappointed if the capability and setting

indexes were not the same.

the setting index can be used as a capability index for one-sided

distributions (arising from some measurements of run-out,
ovality, taper, etc) provided th e process mode is at zero which is
used instead of ~ in the ca lculations below.

The mode of a distribution is its most frequently occurring value.

Figure 8.3: Setting indexes

LSL USL
I
I
I
I
I
I
I
I
I
I

c pko ppk or c mk is the lowest of ZL = ~- LSL and Zu = USL - ~

3& 3&
x
~is the process mean ca lcu lated for an chart (section 5.5).
a- is calcu lated in the same way as for c p. pp or c m (figure 8.2).

www.smmt.co.uk 59
4ii!I.!.M

The setting indexes Cpk Ppk and Cmk:

cannot be greater than the capability index (Cp. Pp and Cm
respective ly).
are equal to the capabi lity index when t he process is centred.
are negative when the process mean is outside the tolerance
band.

8.4 Interpretation of Indexes

Most high volume manufacturers would regard CP = 1 or less as
indicative of a low capability process. Targets are likely to be for
c p = 1.66 or more and there will be the expectation for c pk to be the
same as CP.

A few customers use indexes as a specification or criteria for

product acceptance. This is hardly an enlightened approach when
the uncertainty in quoted values is taken into account.

Better is the approach of some suppliers, who would consider that

low values warrant special management attention. Their action could
be:

to recognise an unreasonable tolerance band and get it widened.

to change the process. Frequently, the state-of-the-art is not up

to the demands of customers and the only answer is to institute
100% measurement fol lowed by selective use. Examples are in
the silicon chip, engine component and egg packing industries.

Note: 100% checking does not negate the need for or value of
charting.

to re-set and centre the process when Cpk is not the

same as Cp.

When tolerance is not specified, the indexes cannot be used.

However, customers still expect to be informed of expected levels
of variation so that risks can be evaluated and appropriate action
taken.

The alternative to a setting index is simply the deviation of the

process mean from nominal. This information is of course crucial
in any case, to people who have to re-set processes.

60 www.smmt.co.uk

I

Instead of a capability index, the information wi ll be how many

products are likely to be outside a particular measurement range.

The calcu lation for this information usually involves determining

the measurement range which will contain all but about one in a
million products.

In other w ords, the values of the product measu rement

distribution at the process mean plus and minus five standard
deviations which are sometimes called the ten sigma limits
(section 8.5).

The next Section shows how indexes can be used to indicate the
approximate quantities of products likely to be outside tolerance.

8.5 Estimation of Conforming Products

Be warned that the values given below are crude estimates !

There is an assumption that process data has a normal distribution

(Section 10.1 ). Also, no account is taken of the effects of inevitable
special disturbances . The true situation is likely to be much worse,
especially for higher index values.

When the process is centred

in other words when nominal is at the middle of the tolerance band
and the capability index and the setting index are the same.

The capability index indicates the following very approximate

probabilities.

The capability index indicates the following very approximate

Cp. Pp or Cm index 1.00 1.20 1.30 1.33 1.66 2.00
Parts per mil lion outside tolerance 13000 300 100 <60 I <1 <10"5
sometimes cal led Isixsigma
limits
eight sigma
limits
Iten sigma
limits
twe lvesigma
limits

Capability indexes are always greater than zero, they are often
between 1 and 2 and rarely are larger than 5.

www.smmt.co.uk 61
4'4!1.!.1

When the process is not centred

Z values (figure 8.3) indicate the follow ing very approximate
proba biliti es, the total quantity outside tolerance is the sum of ppm
or % for ZL and Zu.

high positive ZL/Zuvalues ~ 1.00 11.20 11.30 1.33 ~6 -~1!-2_.o_

o _ __
ppm below/ above tolerance 1500 150 50 <30 - ~ <105

low positive ZL/Zu values 0.6 0.7 0.8 1 0.9

% below/ above tolerance 4 2 1 0.4

negative ZL/Zu values -0.1 , -0.2 , -0.3 1 -0.4 1-0.5 1 -0.6 1-0.7 1-0.8 1-0.9
% below/above tolerance I 62 73 82 88 93 96 98 99 99.6

8.6 Example reaction plan following process monitoring

Ongoing Process/Product Monrtoring (Interpretation & Reaction)

The most recent point Action based on Process output based on historical process capability (Cpk)
indicate s that the
process is in control Less than 1.33 1.33- 1.67 Greater than 1.67

Is in control 100% inspect Accept produ ct continue to reduce variation

Ha s gone out of control Identify and Correct Special Cause

in an adverse direction.
All individuals in the 100% inspect In spect 100% si nc e la st Ac ce pt product continue to
sample are within control point reduc e variation
specification

Has gone out of control 100% in spect 100% inspect product produced since la st in control sample
in and one or more
individuals in the sample
are outside spec ification

62 www.smmt.co. uk

I fill !I.!.M

9. Summary of The Process Improvement Stages

7 Continuous improvement
Reduced common disturbances

,
I
I
I
I
6 Identify and action I In control,
opportunities I capable and
I centred
I
I
I
I
I
--1.
[ Suppliers' responsibilities ~
5 Set the process
In control and capable
I but not centr ed
I
I
I
I
I
I
I
I 4 Identify and correct problems
I In control but not capab le
I specia l disturbances prese nt

//
1
~_/
""'--+1----j-----\--""'""---
I
I
3 Identify and correct problems
Out of control and not capable
specia l disturbances present

~I
2 Gather data and draw a chart

I
1 1 Find out what the customer wants!

64 www.smmt.co.uk
 I

mo.!.M

10. Topics Related to Charting

10.1 The Normal Distribution
A set of 125 measurements is shown in figure 10.1.
A perceptive ind ividua l mig ht detect the highest and lowest
values but overa ll , it is a poor picture of the process that
produced the measurements.

Figure 10.1: A set of measured data

73 63 58 30 54 72 69 79 53 44 68 59 50 56 60 50 81 62 52 52 33 51 71 18 57
53 54 52 87 68 31 29 44 54 43 61 42 61 37 59 40 57 46 35 45 65 58 51 48 50
50 66 44 15 58 82 51 61 54 29 38 59 72 80 40 43 26 56 33 68 64 55 57 48 78
42 82 65 82 56 72 58 63 49 39 28 58 47 26 60 66 89 55 34 63 38 78 37 64 44
55 48 27 99 70 12 44 72 46 61 57 53 54 74 66 28 60 83 41 32 51 59 43 68 52

Simple calculations can give some process statistics. For

example, the mean is about 54 and the range is 97, but the
picture is not much better.

The data could be charted, perha ps as described in section 5.5.

Patterns t hat ca n be interpreted w il l appear bu t the interpretation
is based upon t he data havi ng a norma l distribution.

The normal distribution and a simple check for a normal

distribution are described in this section.

Chart patterns develop as data is collected over a period of time .

To check the distribution of the data, it is looked at as a whole
in a simple diagram such as a bar chart or histogram (figure 10.2).

www.smmt.co.uk 65
 I

IM!!.i,M

Figure 10.2: A histogram of the data in figure 10.1

"'
.0

~
z

10 20 30 40 50 60 70 80 90 100
Re corde d val ues

The picture shown in figure 10.2 is not very clea r because the
horizontal scale of units is too precise for t he small amount of
avai lable data.

To improve the picture, the data is put into not less than 8
convenient equal sized groups (figure 10.3). In this example, the
convenient group size is 10.

Figure 10.3: A frequency table of the data in figure 10.1

Group Limits Tally chart Number %

0 below 10 0 0
1 10 to 19 Ill 3 2.4
2 20 to 29 ifff/1 7 5.6
--
3 30 to 39 ifff ifff If 12 9.6
4 40 to 49 ifff ifff ifff ifff I 21 16.8
-
5 50 to 59 ifff ifff ifff ifff ifff ifff ifff IIII 39 31.2
6 60 to 69 - r--ifff ifff ifff ifff Ill 23 18.4
7
- 70 to 79 ifff ifff I 11 8.8
8 80to89 - r -ifff Ill 8 6.4
9 90 to 99 I 1 0.8
-
10
- above 99 0 0

The bar chart or histogram is now re-drawn using the grouped

data and with its horizontal scale changed from units to tens.

66 www.smmt.co. uk
Figure 10.4: A histogram of percentages from figure 10.3

30

20

10

10
Group

A picture has now emerged which shows that the majority of

process measurements are at or close to Group 5 (say between
45 and 65) and occurrences toward the extremes are less frequent.

Figure 10.4 shows the distribution of the data in figure 10.1.

Figure 10.4 represents the distribution of a sample of only 125

measurements. The next step is to estimate the distribution of
all results of the process.

If there were many more and much more precise

measurements. the histogram groups would be smaller and its
steps less pronounced. Theoretically, its outline could become
smooth as shown in figure 10.5.

Figure 10.5: A theoretical distribution of all process measurements

The curve shown in figure 10.5 is that of a normal distribution.

it has a characteristic symmetric bell shape.

www.smmt. co.uk 67
 I

For most practical purposes, any histogram that has a rough ly

bell shaped outline can be assumed to represent a normal
distribution of data.

More refined checks can be found by reference to the Bibliography.

There are many theoretical distributions but the normal

distribution occurs most frequently in practical situations
involving measurements (variables).

Also, it usually approximates sufficiently well to distributions of

counted data (attributes) for it to be a reasonable basis for most
charting methods.

10.2 Introduction to Analytical Methods

The need to col lect and use information was emphasised in
section 2.2. Often, these activities are subjective and it is helpful
to have the disciplined approach that is offered by some
analytical methods.

The three methods summarised below are of particular use

when deciding what to chart and what data to col lect for charting .

Texts referenced in the Bibliography offer other possibilities.

Brainstorming

Brainstorming is the industrial name for the universal commonsense

activities of obta ining the best possible advice and of involving
people.

lt is a necessary ingredient in decision making and of many much

more complex methods, it should be practised at all levels in an
organisation.

Cause and effect diagrams

Cause and effect diagrams are sometime s called fishbone diagrams

(because of their appearance) or lshikawa diagrams (after the
Japanese engineer who promoted them).

68 www.smmt.co.uk
 I

mu.u;

They are a structured way of reducing the multiple possibilities that

usual ly arise from brainstorming to manageable proportions.

Pareto analysis

The analys is is a way of separating the vital few from the useful
many, in other words, of prioritising actions. lt is named after Vi lfredo
Pareto, an Italian economist who first suggested the 80:20 rule,

approximately 80% of total fault incidence is accounted for by

approximately 20% of fault types.

The method requires data in the form of counted numbers and the
description in this brochu re focuses on fault incidences.

However, the method and the rule are equally applicable to costs,
stock-holdings and other problem criteria.

Note These analytical methods are covered in greater depth in the

SMMT publication 'Continual lmprovementTools & Techniques- A
Gu ide For Business Improvement' -see inside back cover.

www.smmt.co.uk 69
li#41!.!.1

11. Control Charts for Special Situations

11.1 Moving mean charts
Charts for moving means are usef ul where machine wea r is inherent
in a process and parts, such as tool bits, are periodically replaced or
reset.

The chart indicates when parts need to be replaced and is

usually more reliable than theoretical fixed change points.

The chart is compa ratively complex and hand drawn examples

are unusual. The description on page 71 is more applicable to
automated machines where measurement, calcula tions and
signals are computerised.

Figure 11.1: Moving mean charts

Re-set /
required ...________
~ I>; ~ /
Upper control line IUCL, ) for re-seHing
/ ' ~>--8- ---------

"'~
"'E
"'
l
IX

Lowe r control line ILCL, ) for re-seHing

Re-set
carried out
- - - - - - - - One process cycle - - - - - - - - 1

70 www.smmt.co. uk
 4iM!I.!.M

Initially, data is collected over at least one process cycle, for

example between tool resets or replacements, and is plotted in
the same way as for a conventiona l x& R chart.
The x&R chart is described in section 5.5.

2 Average and con trol lines are drawn for the ranges plot and
provided the ranges are relatively stable (see section 72). a best-
fit line is drawn through the means plots.

3 Control lines are drawn ~rallel to the best-fit line at vertical

distances from it of A,R (see figure 11.1).
Values of the constant A, are given in Appendix A, page 93.

4 The best-fit and sloping control lines are used for chart
interpretation as if they were conventional horizontal mean and
control lines. They must be re-positioned on the chart for each
process cycle.

5 After severa l process cycles, conventional horizontal control lines

are drawn. They are used to monitor the need for re-setting and
are positioned at
- -
UCL x = x + 0.5(xmax -Xminl + A2R
- -
LCL x = x- 0.5 (xmax -Xminl- A2R

The quantity ( Xmax- Xminl is the average movement of the

mean (AMM).

www.smmtco.uk 71
lfu!!.UM

11.2 Charts for Sample Size of One

Figu re 11.2: Example of a control chart for sample size of one.

500

~ UCL,
2400 1 ---------------~A---------------------------~
"C

"'
.2
C>

"
~
X
300

200 LCL,

"'
C>
UCL
~
"=> 100
0

'C'
R
---~--------
::>

Un its

256 302 243 286 281 277 315 422 327 292 281 305 333 294
46 59 43 4 38 107 95 35 11 24 28 39

mean load (x) = 302.40 mean range (R) =40. 14

UCLx =x + 3a =302.40 + 3(35.46) =409. 16 UCL, = D,R =3267(4014) = 131.15
LCLx =x - 3a =302.40 - 3(35.46) = 195.64 a =R/d, =40/1.128 =35.46

This method is applicable when measurements are infrequent.

The example below uses two measurements to determine range.
There are variants that use three or more measurements and
introduce additiona l uncertainties of interpretation. In all cases. the
charts are sometimes called 'individuals and moving range charts'.

The charts can be drawn on conventional x&R chart paper- see

Appendix B, page 94.

Individual un it measurements are plotted.

Range values are ca lculated and plotted. In the example in fi gure

11.3, they are the difference between one unit measu rement
and the next, which means that there is one less range value
than individual measurements.

72 www.smmt.co. uk
 4i41!.!.1

Mean and control line positions are calculated from about

20 measurements.

For the individuals plot, the mean line is at the average of the
measurements and upper and lower control lines are drawn at the
mean 3a.
u can be calculated from the mean range (see figure 5.3). the constant (d,) used in
the calcu lation is that for sample size 2.

For the ranges plot, mean and control lines are calculated and drawn
in the same way as for a conventional range chart (see section 5.5).
The constant (D.) used in control line calculation is that for sa mple size 2.

Chart interpretation is set out in sections 7.1 to 7.9.

Charts fo r sample size of one must be interpreted with

caution because:

range plots are not independent, each measurement after the

first affects two range va lues and the charts are not as sensitive
to process change as conventional x& R charts.

the mean and control lines should reflect the underlying

distribution, this is possible but not probable with much less
than 125 measurements.

interpretation assumes a normal distribution of data

(see section 10.1 ), t hi s is more likely when the data consists of
averages of larger sized samples according to a mathematical
rule called the central limit theorem .

Note: the 'central limit theorem' states that:

'no matter what is the distribution of individua l measurements, the
distribution of averages of those measurements wi ll increasingly,
approximate to normal as sample size increases.'

www.smmt.co.uk 73
lW!I.!.M

11.3 Charts for Short Production Runs

This method is applicable to processes that produce several similar
products, each in low volume but often an overall large quantity.

For example, a simple plate is produced in batches to order, each

w ith a flange height (18mm, 12mm, 6mm, etc) specified by the
customer.

A conventional run chart could look like the actual results in

Figure 10.3. Such a cha rt and the alternative of a separate chart
for each plate would be of little use in monitori ng the process.

A solution to the problem is to zero the plate measurements by

subtracting the nominal for the plate from each measurement.
A plot of these values is ill ustrated as the zeroed results in
figure 11.3.

The control lines shown in figure 11.3 are positioned at nomina l

3s and s has been calcu lated from the first 25 zeroed values
- see Appendix C, page 99.

The plots in the il lustrations are of individ ual measurements and

therefore the con t ro l lines could be positioned also by using the
zeroed values and the method described for charts of sample
size one (section 11.2).

For sam ples above one, a conventional x&R chart (section 5.5) is
x
used with values that are zeroed sample ~eans (means minus
nom inal) and of course, the process mean (x) is zero.

Subject to the limitations applying to charts for sa mple size of

one (section 11.2), chart interpretation is set out in section 71.

74 www.smmt.co.uk
 11.3:111ustration of a control chart for short production runs

25
- 18mm unit - 12mm un it _,_ 6mm unit

20

E
E 15
c:
0
v;
c:
.~ 10
D

:r Actual results

16.5 19 17 17.5 16.5 19.5 18 19.5 16.5 19 17.5 18.5 16 20.5 17 20 19 19.5 17 17.5 18.5 19 17
18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18
1.5 1 0.5 1.5 1.5 0 1.5 1.5 0.5 0.5 2 2.5 1 1.5 1 0.5 0.5 1

11 12.5 8.5 15 12.5 13.5 11 13 13.5 12.5 10.5 13.5 11 .5

12 12 12 12 12 12 12 12 12 12 12 12 12
1 0.5 3.5 3 0.5 1.5 1 1 1.5 0.5 1.5 1.5 0.5

7.5 5.5 4.5 7.5 5.5 4

6
1 1.5 2 0.5 1 1.5 1 1.5 0.5 2

UCL

~1---------------------------------------------~L~
CL

-6
Zeroed results

www.smmt.co.uk 75
li5ii.UM

11.4 Standardised Charts

Standardised charts are used to monitor a process when
measurements are influenced by factors independent of the
process.

The same items checked by different people or using different

facilities often give results that differ according to the person or
facility, even though the item being checked does not cha nge.

Th is method is used to standardise results when it is

impracticable to sta ndardise the people or the facilities.

The results from each person or facility are converted onto a scale
where the process mean is zero and the control chart LC L and UCL
are -3CT and +3CT respective ly.

The first step is to determine the mean and standard deviation

of the first 25 results from each person or facility.

A plot is th en made of their actual results minus the mean of

their re sults divided by the standard deviation of their results.
This plotted va lue is known as th e standardi sed deviate or Z value of the
sam pl e ave rage.

The top picture in figure 11.4 illustrates the combined results of

noise tests on the same product at two different locations.
Although the pattern suggests an out-of-control situation (see figure
710), it does not indicate any special disturbances.

In the midd le picture, the results have been separated by site, the
mean and standard deviation of each set has been calculated and
the resu lts have been converted to z
values'.

At the bottom is a standa rdi sed chart w here Z values are plotted .
For the first time it can be seen that the process aimed at
ach ieving consistency in product noise suffers from specia l
disturbances.

76 www.smmt.co. uk
 4ifii!I.!.M

Figure 11 .4: Illustration of a st andardised chart

120
UCL
100
"'
Q; 80
"""'"
"C 60
~
c; 40
z
20 LCL

Combined results

u;
Q;
.0
;:;
::s"'
~
c; 40
z
20

Separated results

~ W ~ % ~ % W % % ~ ~ ~ H ~ % % ~ ~ ~ ~ % % ~
0.09 0.09 0.09 0.95 1.21 0.35 0.09 0.35 0.95 0.350.350.78 0.09 1.21 3.98 0.09 0.35 0.35 0.52 1.21 0.09 0.09 -0.35-1l.35 0.09

6
5
j +-------------------------~~-------------------U~C~L
2

~ 6~
-1 ~..LL.~
V
~.,. . . . --- 17 ~
~ -2 ~L
z -3 --~----------------------------------~~
-4
-5
-6
Standardised results

www.smmt.co. uk 77
Wi#4!1.!.1

11.5 Cusum Charts

Both attribute and variable cusum charts are used for monitoring and
for retrospective investigation of processes where changes in mean
values have particular importance, for example:
when any deviation from optimum must be detected.
when the point of any change needs to be identified.

Cusum charts are especially useful in relatively stable continuous

processes such as motor vehicle paint plants and the petrochemical
industry.

The practical detail of cusum charts and their interpretation is

set out in BS5703 obtainable from the British St andards
Institut ion .
Of particular interest in the sta ndard is the description of 'masks' that help the
identification of changes and patterns on cusum charts.

The illustrations in figure 11.5 compare the appearance of a cusum

chart with that of a conventional run chart for the same data.
Change in the process mean is indicated on the cusum chart
by change in the slope of the plot, rather than change in the level
of the plot as on conventional charts.

In ideal applications, the advantages of cusum charts are:

special disturbances have less influence on indications of change.
the timing of any change in mean value is usually easier to
estimate.
out-of-control indications often occur with less sample information.
averages over particular sequences can be read directly from
the chart.
trends and process cycles are more easily recognised.

The main disadvantages of cusum charts are:

their maintenance demands adept people with a high level
of training.
they are not appropriate when variability is an important matter.

78 www.smmt.co.uk
 Figure 11.5: Illustrations of a cusum chart and a conventional run chart

250

- 200
E
"""
Q)
Q)
;; 150
0;
c.
"C

~ 100
~

c::
::::J
50

0
Week 10 15 20 25 30
Conventi onal run chart

157 167 151 98 157 138 150 133

170 118 96 161 139 91 106 143 153 137 84 143 124 136 119
292 410 506 667 806 897 1003 1146 1299 1436 1520 1663 1787 1923 2042

119 149 108 116 136 169 182 131 205 142 187 21 1
105 135 94 102 122 155 168 117 191 128 179 174 118 173 197
2140 2245 2380 2474 2576 2698 2853 3021 3138 3329 3457 3636 3810 3928 4101 4298

300
Indications of mean level relative to target

Horizontal Slope down Slope up

200 on below above
target target target
r=
k- 100
H"

- 100+-ro-r.-ro-r.-ro-r.-ro-ro-ro-ro-ro-..-,-,-,,-,.-,
Week 10 15 20 25 30
Cusum chart

www.smmt.co.uk 79
4ii!I.UI

12. Capability Estimations

Capability is a measure of how well customers' requirements are met.
The topi c is explained more fully in sections 8.1 to 8 .5 .

Figure 12.1: llustration of a probability plot

This illustration shows a straight best-fit line and values at points where the best-fit line intersects
w ith other lines

INTERSECTION WITH - 50" LSL = 0 Lf% =50

VALUE - 26 0.05%

These va lues can be used to ca lcul ate a 'sna p-shot' estimate of capabi lity (see section 12.3)

- -
- -
- -
Class Tally chart I Li Li% x. - -
99.~
I I I I I I I I
140
130
120
110
90 1 99 I I I I I I I I 1 125 100 100
80 1 89 HH I Ill I I I I I I 8 124 99.2 90
70 1 79 HH I HH I I I I I I I 11 116 92.8 80
60 I 69 HH I HH I HH I HH I Ill I I I 23 105 84.0 70
50 I 59 HH I HH I HH I HH I HH I HH I HH I //// 39 82 65.6 60
40 I 49 HH I HH I HH I HH I I I I I 21 43 34.4 50
30 I 39 HH I HH I 11 I I I I I 12 22 17.6 40
20 I 29 HH I 1/ I I I I I I 7 10 8.0 30
10 19 Ill 3 3 2.4 20
10

--
0
- 10
I I I I I I I I - 20
I I I I I I I I -30 - lo-'"" --26
- r- 0.0
- r-
- 5cr

80 www.smmt.co.uk
 m!!.!.M

ISL; 100 t5<T

0.2% 134

t51J
__j_
_J__
- 0.2 _J__
1o13 _ I_

--
99 87 99 5 99 98 95 90 80 70 60 50 40 30 20 10 1005 0 003
I' '
I -:::.+- - 134
I
I
I .....-
-
I
I _I_ k--"':'"
-. USL

--
I I
I I
I I
I f.-" I
~I"'
I
1- 1- - - ----- - - - - - i-I - 54

--
I I
1--
I
I

LSL

I
0.13 0.5 1.0 10 20 30 40 50 60 70 80 90 95 98 99 99.5 99.87 99.997
x
Average of the two high est classes
(see section 12.11
Lf% ; (100 t 99.2)/2; 99.6
Xu ; (100 + 90)/2; 95

www.smmt.co.uk 81
IW!I.!.M

12.1 Probability Plots

Estimates of capability need data whose distribution is known.
probability plots are a simple way of finding out about data distribution.

Ideally, estimations should be made from about 125

measurements. Th ey can be adequate with as few as 30
measurements, however it is always advisable to confirm resu lts
as more data becomes avai lable.
Data can be recorded, arranged, plotted and summarised on a
customised form (see section 14) or using a commercial form
such as 'Chartwell ref.5571' only for the plot or without a special
form (see Betteley et al referenced in the Bibliography, section 13).

A data set of measurements is arranged in a tally chart and

cumulative frequencies CL.f%) are calculated.
I is the Greek capital letter sig ma eqiva lent to S in English, here
it means 'sum of fs so far'.

Cumulative frequencies are plotted against their class upper

boundary (xJ on a probability paper and a best-fit line is drawn
through the plots as shown in figure 12.1 which illustrates use of
a normal probability paper.
Probability paper does not allow a plot to be made at Lf% = 100,
so to make use of the data, a plot is made at the average of the
two highest classes' x, and Lf% values.

When the best-fit line through plots on normal probabil ity paper is
straight, it indicates that the data comes from a normal distribution,
which is the case of figure 12.1 and in figu re A on page 83.
The normal distribution is explai ned on page 65.

82 www.s mmt. co. uk

Figure 12.2: Distribution Information from Probabilit y Plots

Figure A Normal distribution

A straight line

Figure B Two distributions Figure C Truncated distribution

A kin ked or two off-set lines, A diagonal line that bends to the vertical,
from products off different machines from data with missing high values
that have been mixed after production such as from a sma ll grade batch

Figure D Doubly truncated distribution Figure E Skewed distribution

Starts vertical and bends through an S sha pe A smooth curve from data where
from data with missing high and low values mean, mode and median are different.
suc h as from a midd le grade batch See pages 86 to 89

www.smmt.co.uk 83
Wi5!1.!.1

12.2 Distribution Information from Probability Plots

Figures A to E indicate normal and non normal or unusual
distributions of data wh en it is plotted on normal probability paper.

Capability statistics and control charts for non normal distributions

must be interpreted with caution.

In statistics, the term normal refers to a particu lar distribution

(section 10.1) non normal means other distributions, it does not
mean abnormal.

12.3 Snap-Shot Capability Estimations

Apart from giving a sim ple picture of data distribution
a probability plot can be used for 'snap-shot' capabi lity estimations.

The method does not readily identify special disturbances and it

gives no idea of variation occurring over time.

In the example in figure 12.1 , the plot suggests a not-capable and

not-centred process.

The specification limits, LSL and USL, are 0 and 100 respectively
therefore TOLERANCE is 100- 0 = 100 and NOM INAL = LSL +
tolerance/2 = 0 + 100/2 = 50
The difference between -5a and +5a is 134- (-26) = 160 = 10a
therefore PROCESS SPREAD is 160/10 x 6 = 96
u is the Greek lower case letter sigma equivalent to s in English, here it
signifies a standard deviation, process spread is six standa rd deviations and is
illustrated in figure 8.2.

The CAPABILITY INDEX is tolerance/process spread = 100/96 = 104

and the PROCESS MEAN is 54 which is above the nominal.
See sections 8.1 to 8.5 for explanation and interpretation of capability indexes.

84 www.smmt.co.uk
12.4 Capability Estimations for non normal Distributions

Figure 12.3:111ustration of a distribution truncated at zero

Mode
Mean

- - - - -- 3sta ndard deviations - - - - - -

~-------- P rocess spre a d - - - - - - - - - +

If prel imina ry work ind icates t hat a distribution is non normal, there
are four approaches which might be adopted.

First and most important,

investigate the data more thoroughly.
Many non normal distributions only reflect measurement practice
such as:

not considering t he pola rity of measurements, fo r example, the

so called 'one-sided' distributions described on page 86.
not reporting results above or below particular values.

www.smmt.co.uk 85
iffi!I.!.M

reporting results beyond th e precision of the measurement

method .
having differing standards of measurement, for example, from
sh ift to shift.
reporting combined results off differently set machines.

The effect of investigations is often to improve process consistency

and to determine that the underlying distribution is in fact normal.

Second where reasonable,

treat all or part of the distribution as normal.
In particular for those special cases such as ovality, taper and run-out
which are often referred to as one-sided distributions and have
nominal at zero.

The mean of the distribution shown in figure 12.3 has little practical
use, however, the tail to the right of its mode is approximately
norma l.

Note: The mode is the value which occurs most often. lt does not
have a standard designation but x is commonly used.

When a distribution is truncated at zero, Process Spread is three

standard deviations plus the width zero to the mode.

When the mode of a distribution is at zero its Process Spread is

effectively half that of a normal distribution, in other words three
standard deviations.

The mode instead of t he mean and only those measurements in

t he approximately normal t ail are used t o calculate t he
standard deviation.

86 www.smmt.co.uk
Third if necessary,
determine if a distribution other than normal will fit the data.

Probability plotting usually provides the easiest method

of confirming another distribution and of estimating Process Spread.

Several technique s are described in various academic texts

(see Betteley et al and others referenced in the Bibliography).

Amongst them is the use of probability papers other than the normal
paper, for example, the paper illustrated in figure 12.4 and in
Appendix J, page 124, wi ll give a straight best-fit line if the
distribution is an extreme skew.

When Process Spread is determined for a non normal

distribution, it is the value of the interval between the 0.13 and
99.87 percentile lines which are the vertical broken lines in
figure 12.4.

Horizontal lines are drawn from the vertica l lin es/best-fit line
intersections, the Process Spread is the distance between them
on the vertical axis scale w hich is 95.5- 84.5 = 110 in figure 12.4.

Finally
if there is a very large amount of data (that is, thousands of results),
simply studying a histogram will usually give sufficient information
about Process Spread and its relationship to the tolerance band.

www.smmt.co.uk 87
fMii.UM

Figure 12.4: Illustration of a paper used for extreme skew distributions

(also see AppendixJ, page 124)

100 - -
99 - -
99.99 99.87 99 90 70 50 30 20 10
I
98
I
97
96 :
95
------ - +- -- - - - - -- - - - - - - - - r-- - - - - - - - - -

94 I
I
93
92
I
i.,...o-' ..........
I
91
I
_.........
90
89
88
87
86
:
I
:I
........ .........
1..-o'
......... - _.,.,- ~

85 I ~
--- -- - ~ --
84 ...- I
83
I
82
I
81 I
80 ------------~
0 -~
01~0~.1~3- 10 30 50 70 80 90 95 97 9f

Lf% -

88 www.s mmt. co. uk

 4ii4!i.UM

___J_
I
--t-
_1_
I
-----t-
1
-~ -

--+-
I
~
0.5 0.3 ----o:TI-
02 0.05 0.01

I
I
--- ---- ~ -
..., ,..- :
~ I
:
I
:
I
I
I
I
:
I
:
I
I
I
99.5 99.7 99.8 99.87 99.95 99.99

www.smmt.co.uk 89
 13. Bibliography
The terms and symbols in this guide are widely accepted in
man ufacturing industry. However, readers should note that the texts
below sometimes use different conventions.

Dietrich, E and Schulze, A (1999) Statistical Procedures for Machine and

Process Qualification, ASQ Quality Press, ISBN 0- 87389-447- 2
A comprehensive text for machine and process qualification.

Dietrich, E and Schulze, A (1998) Guidelines for the Evaluation of

Measurement Systems Hanser Publishers, ISB N 3- 446- 19572- 6
Explains how to manage the acceptance of measurement systems and
production facilities as well as process evaluation.

Betteley,G, Mettrick,NB, Sweeney, E and W ilson, D (1994) Using

Statistics in Industry, NewYork: Prentice Hall
Comprehensive work-place reference text.

Oakland,JS (1984) Statistical process control: A Practical Guide,

Oxford: Heinemann
A brief overview of process capability and the main control charts.

Walpole,RF and Myers,RH (1993) Probability and Statistics for

Engineers and Scientists, 5th edition, New York: Macmillan
A brief account of the main types of control chart.

Grant, EL and Leavenworth, RS (1988) Statistical Quality Control, 6th

edition, NewYork: McGraw Hi ll
Technical details of the main types of control chart.

Montgomery, DC (1985) Introduction to Statistical Quality Control,

New York: Wiley
Detailed treatment of process capability and the main control charts.

Mitra,A (1993) Fundamenta ls of Quality Control and Improvement,

NewYork: M acMillan
Detailed treatment of process capability

90 www.smmt.co.uk
International Organisation for Standardisation publications available
through British Standards Institution, 389 Chiswick High Road,
London, W4 4AL
ISO 7870 Control charts - General guide and int roduction
ISO 8258 Shewhart control charts

Related publications available from SMMT - see inside back cover

www.smmt.co.uk 91
 14. Appendices

A Constants for variables control charts 93

Control chart forms reduced from A3 size.

A worked example is shown on facing pages for each form.

B Mean and range process control chart 94

C Mean and standard deviation process control chart 99
D Median and range process control chart 102
E p chart for proportion of detectives 106
F np chart for number of defectives 110
G u chart for proportion of defects 114
H c chart for number of defects 118
Normal probability paper 122
J Probability paper for extreme skew distribution 124

92 www.smmt.co.uk
 Appendix A - Constants for Variables Control Charts

"'
"'
"'
:
-'"'= "'"'
:
g "''=
~c: c: "" "'
: -'"'= a: -'"'=
8 E
-gc:
8 ~ 8 ~ ~c: ~ ~ ~c:
~
.<:: "f3 ~ 8 8 8 8 8 8
.<:: u
:!:
u
"'c: u Q;
;;: ~ ~ ~ Q;
;;: ~
..
;;;
c.
"'
c:
"'E"'
"'
'0
"'
E
"'
:ii
"'
E
.5?

~u
"
~
c. c:
0
-r;
c:
0
~
.5?
1::::
"'u
c.
"
1::::
E a:
oll
a:
oll ~ "f3 0
~ ~
0
.<::
"f3"'
"' IX IX IX '-' '-' a: a:
"'
nT A2 A2 AJ BJ 84 C4 d2 DJ 04
2 1.880 1.880 2.659 3.267 0.798 1.128 0 3.267
3 1.023 1.187 1.954 2.568 0.886 1.693 0 2.574
4 0.729 0.796 1.628 2.266 0.921 2.059 2.282
5 0.577 0.691 1.427 0 2.089 0.940 2.326 2.114
0.483 0.548 1.287 0.030 1.970 0.952 2.534 2.004
0.419 0.508 1.182 0.11 8 1.882 0.959 2.704 0.076 1.924
0.373 0.433 1.099 0.185 1.815 0.965 2.847 0.136 1.864
0.337 0.412 1.032 0.239 1.761 0.969 2.970 0.184 1.816
10 0.308 0.362 0.975 0.284 1.716 0.973 3.078 0.223 1.777
11 0.285 0.927 0.321 1.679 0.975 3.173 0.256 1.744
12 0.266 0.886 0.354 1.646 0.978 3.258 0.283 1.717
13 0.249 0.850 0.382 1.618 0.979 3.336 0.307 1.693
14 0.235 0.817 0.406 1.594 0.981 3.407 0.328 1.672
15 0.223 0.789 0.428 1.572 0.982 3.472 0.347 1.653
16 0.212 0.763 0.448 1.552 0.984 3.532 0.363 1.637
17 0.203 0.739 0.466 1.534 0.985 3.588 0.378 1.622
18 0.194 0.718 0.482 1.518 0.985 3.640 0.391 1.608
19 0.187 0.698 0.497 1.503 0.986 3.689 0.403 1.597
20 0.180 0.680 0.510 1.490 0.987 3.735 0.415 1.585
21 0.173 0.663 0.523 1.477 0.988 3.778 0.425 1.575
22 0.167 0.647 0.534 1.466 0.988 3.819 0.434 1.566
23 0.162 0.633 0.545 1.455 0.989 3.858 0.443 1.557
24 0.157 0.619 0.555 1.445 0.989 3.895 0.451 1.548
25 0.153 0.606 0.565 1.435 0.990 3.931 0.459 1.541

www.smmt.co.uk 93
tO
~

)>
"C
"C

i~ MEAN AND RANGE (x&R) PROCESS CONTROL CHART

m
::1
c.
;;;:
~ ... OJ
"~
0
Location (geography) ' '" :
I
Process (operation/machine)
Component (part number) (
>~" l~ f ~.-~:J {i.
s:
m
Feature ,. . - '. ~
I
::1
I
Checking media 1\ j, ~ I i ~~~:I~~~,
::1
c.
Specification
Sample
NOMINAL
SIZE
)M~' I TOLERANCE
I FREQUENCY
."''
f_, ... t
::0
I
::1
IQ

.,m
0n
m
Cll
Cll
(")
0
....
::1

.1~1
2.
(")
".L~ ;:r
I
~

""'"'
E:
.!E
"'-
E: "' j-l-';'-
~"'
IX

~~~
 ,,, J~-
0> /
""c:~ l. /

"
~

i"'
~
1:";.
._L l"":T7 ~
c:c t
~

"

I I I. I I I c I ,.
SHIFT I I A

DATE
TIME
BY
1 I "-' J I J ! J- *

0>
~
2
"
)_fi ~
"ll
.,,.
."'
c:
3
r--
!' ,_n l I t I 1 I .,, ,- ... f:l -<-'fr'
-2 4 :; 1 ~. ;(; .;__?1 .

1-
I I I I I"
LX " !; '
TI I I I
x ,/I I r' ..._"-!-t

R
'

EJ
Mean of xvalues; x .Zh 1 Mean of R values ; R n A2 DJ D. d2

i~ xchart UCL ; x+ A1R .m R chart UCL ; D4R " 2

3
1.880
1.023
0
0
3.267
2.574
1.128
1.693
~ x chart LCL ; x- A R
1
.(]., R chart LCL ; D3R 4
5
0.729
0.577
0
0
2.282
2.114
2.059
2.326
"~
0
Standard deviation ; R/d1 1 ~A
n; sample size

cs:>
CJ1
tO
0')

i3 MEAN AND RANGE (x&R) PROCESS CONTROL CHART

3
~ location (geog raphy)
0
i= Process (ope ration/machine)
A

Component (part number)

Feature
Checking media
Specification NOM INAL I TOLERANC E
Sample SIZE I FREQUE NCY

c:
"'"'
E

~
"'
..!2_
 .,
""~
<:::

!!!
<::>.
E;
~"'
cc

SHIFT

DATE

TIME

BY

., ..:.;:
1
2
"',.
.;, 3
<:::
-2. 4
X

5
Lx
X

Mean of xvalues = x Mean of R values= R n Az 03 o, dz

i3 xchart UCL = x+ A2R R chart UCL = D4R 2

3
1.880
1.023
0
0
3.267
2.574
1.128
1.693
~ xchart LCL = x- A1R R chart LCL = D3R 4
5
0.729 0 2.282 2.059
0.577 0 2.114 2.326
"~
0
Sta nd ard deviation = R/d1 n =sample size

<0
-...J
 4!1.!.1

Appendix C - Mean and Standard Deviation Process Control Charts

The appearance of a mean and standard deviation process control

chart is similar to the mean and range chart shown in Appendix B.

lt can be hand drawn, using the form on page 100 when sample
sizes are smal l, but it is best used when sample sizes are 25 or
more units and computer programmes are available for calculation
and drawing.

To calculate s (the sample standard deviation)

either enter the sample un it values into a pocket calculator and

press the u(n-1) or equivalent key.

or use the formula

lx,- R)2 + lx2 - R)2 + lx 3 - )()2 + etc up to lxn -R)

S=
n-1

where x1, x2,x3, etc are the values of units in the sample

Do not confuse s (sample standard deviation) with u

(population standard deviation)!

www.smmt.co.uk 99
0
0

MEAN AND STANDARD DEVIATION (x&s) PROCESS CONTROL CHART

~ Location (geography)
3 Process (operation/machine)
a Component (part number)
"~
0
Feature
Checking media
Specification NOMINAL I TOLERA NCE
Sample SIZE I FREQUE NCY

"2
"'"'E;
~
"'-
E;
"'
~
IX
 .,1:"'
c::~
"'c::
t;g
~~
~~
~ "'
"'

SHIFT

DATE

TIME

BY
1
2

"',."'
-'?
"'c::=
4

5
-2.
X
6
7
8
Ix
X

Mean of x values = x Mean of s values = s n AJ 83 s. c.

i~ x chart UCL = x+ A3s s chart UCL = B4s 5

6
1.427
1.287
0
0.030
2.089
1.970
0.940
0.952
. x chart LCL = x- A3s s chart LCL = B3s 7 1.182 0.118 1.882 0.959
8 1.099 0.185 1.815 0.965
"~
0
Standard deviation = s/c4 n = sample size

0
~
 Appendix D - Median and Range Process Control Chart

.I

u.J
L)
>-
L)
zz
<(u.J
a:=>
~~
~ EE
f-f-

....a:
<(
::1:
(.)
I~
0
.....
0
a:
.... -
z ~
~ ---'

~I~
<(
0
(.)
Cl)
' : z~ u.J
N
Cl)
w :> :> 0z u;
(.)
0
a:
"- Q;
;:;:
~ '=
~ "f3 Q;
w
~
E "E
"'z
<(
c.
ro
c: c:"
0
ro
a: c, ~ ~ :;;
0
z
0 Q;
=., ., =
~
Q)
c. E
<( 2! ..:?. E
z c:
.,"' c:
~
C)
c:
~"' .,
:.;;: ;:;
cw ~"' "'"' c.
<( 0
c. <:!
.,
"' .,
"' .t
:::!: .....
0
0 E
0
(.) ....,"' ..c: c. E"'
(.) Cl) Cl)

6.,

(uue1paw atdwes) ~

102 www.smmt.co.uk
 l J''

""' <::: : J -f; "..

~
' ,...... ..
"'
"'
~
Ci
E:

cc
1.\_lC'

'
' !";:
/

- /''

SHIFT ' A A A
' l ~

DATE ,. . I.
TIME '
BY
il

~
Mean of xvalues = x 1' J.~~ \J Mean of R values= R n A, 03 o, d,

xchart UCL = x+ A2R f ~(l-f R chart UCL = D4R 2 1.880 0 3.267 1.128
3 1.187 0 2.574 1.693
xchart LCL = x- A2R l: R chart LCL = D3R
4
5
0.796
0.691
0
0
2.282
2.114
2.059
2.326
Standard deviation = R/d2 c. cc n = sample size

I~
'!
<->
0
C:
"'"

0
w
0
.j:>

i3
~
"
0
i=
MEDIAN AND RANGE (x&R) PROCESS CONTROL CHART
"'"
Location (geography)
Process (operation/mac hi ne)
Component (part num ber)
Feature
Checking media
Specification NOMINAL I TOLERANCE
Sample SIZE I FREQUE NCY

""'"'
c:
.~

EO
~
"'-
EO
~"'
IX
 Q;
g>
~
~
Cl.
t:
"'
~
c::

SHIFT
DATE
TIME
BY
il
R

x
Mean of values = x Mean of Rvalues = R n A, 03 o, d,

x
il chart UCL = + A2R R chart UCL = D4R 2 1.880 0 3.267 1.128
3 1.187 0 2.574 1.693
xchart LCL = x- A2R R chart LCL = D3R 4
5
0.796
0.691
0
0
2.282
2.114
2.059
2.326
Standard deviation = R/d2 n = sample size

i3
~
"~
0

0
c..n
0
0>

)>
"C
"C

~
p CHART (proportion of detectives) PROCESS CONTROL ~
:I
0..
~ Location (geography) il{o) ~~'
x
3 Process (operation/machine) ~~ b.1fk
;:; +11.11
m
0 Component (part number) oA.1fl{ t lJ.I.\bt-'(ti~ I
~ Feature 1.11.'1'1. r,-,,tldto!1
"0
0
Checking media s ~-,.1~pt ':1'
Ill
Specification 1 ,., ('ttl
I ~
'"'
Sample TARGET SIZE "0 l FREQUE NCY h .,t,. 0'
...
"V
0
"C
0
~
c;
:I
~
0
r ,.
.,:\ ;.
' ....
~ ~ ~
":-- ' ~-
!11

v Cx
1'

'\
1v
~
"'-
E
"'
~
~
1
c ~
c::
c .,
~
1--
e"'- ""
"'-
~

.,"' -
."'
<.> ~
I
~
"'
~
Q. -
 /
/

"'
'

SHIFT
DATE
(
!
TIME
BY
n (sample size) " '
I (faulty units) :],'l -; 1
rl
''
,j
t-, "0 v 't"t, r...:: +~ l J,

P (=f + n) ~ . 'L \L (, "~ 1..: 1C IV h ' l Ll't c'' ) c-~

Mean of p values = p o.o 10 Upper control line = p + 3~ P (lii- p) c 1'.(

I I I I
Draw LCL at zero
Mean of n values = n t-4-+ lower control line = p- 3 ~ p (lii- p) ) : when this calculation
I I I gives a negative result

i~
:::!
"'=
0

"'"

0
-...J
0
00

p CHART (proportion of defectives) PROC ESS CONTROL

I3 Location (geog raphy)

Process (ope ration/mac hine)
:"! Component (part numbe r)
"~
0 Feature
Checking media
Specification I
Sample TARGET SIZE I FR EQU ENCY

~E
~"'
<::>
<::

<::>
"'-
1:
"'-
"',.
;::;

~"
~"' !
c.
 m!I.!.M

c: ~
c0">Q,)

e-5 ~
~~-c
~ "' "'
><><
tj - ~ ~
-.~'S ea
5: " "'
JSi-~

DD
~~
M
+
'"'-
11
M
I
'"'-
11

~
"' "'
=
I " "
E
E
c c
(.) (.)

......
~
::::> .3
~
;:

DD
lt:l. 1<::
11 11

..., "'
"'=
;;;
"'"'=
;;;
-~

.!1!
~
"' c: ? ...
> >
c:

I;: w w e: "' .::

"'-
."'
'E
c:
'E
.."'
c:
!;;: :!!: > "'c: ~"' -.!.'_...
:;:
"'
Q ;::
""
~

- :!!: :!!:

www.smmt.co .uk 109

0

)>
np CHART (number of defectives) PROCESS CONTROL "'C

~ location (geography)
Process (operation/machine)
"' .,, .,
l..l(pil14
"'C
ID
:l
c..
33
.... Component (part number) s ~-.At A ..,
)( '

"i::
0 Feature J. '.V~U.S I

" Checking media s,. .,.. ~-..,\'

:l
"'C
Specification 1
, '"itOl\tJ~..f
-];\,
I (")
::r
Sample TARGET SIZE 1A~<.-C I FREQUENCY t-Mi\1' Dl
;l

...0'
z
c
3
C"
...
ID

,.
~ ... -0
0
"er~
_,....- ~
.,0 '\. Ill

~
Q.
e; ' '1
"'"'
.s ~

"'"'
.., 3t
"' :;.

~ " -
....""'"'
0
~ ~~
'-
.Q"'e; i
w
"'
-
~ 1t
(
' }.
,, . ,.
'
 .g ""'~
C::::>

<0'-
e-s ~
~~ ~
-'"'"
'""""
(j ~ :g
_,.s~
S:C::<o

- JS~ ~

.?

'>

-
D[j
~
I~
I
9
~

~ I~

.; J
""+ ""
,.I
.. ..
I~

11 11

,..
~
: :
?
ec ec
0 0

"~ "~
.; ~- c.
c.
;:
\-
::::> ....
0

'

-
::;;

,.
-
G~
I~

"" "'
..""'
11

-.;
c::
11

c:~ i!l

t:: .... ....

"
.
>

..
'E .
;;;
c.
;;: !i ::E
~
> "
~
-
c
.,
::E
..c
"' Cl
"" "'

www.smmt.co.uk 111
N

j
3 np CHART (number of defectives) PROCESS CONTROL
:'1.
Location (geography)
"~
0
Process (operation/machine)
Component (part number)
Feature
Checking media
Specification I
Sample TARGET SIZE I FREQUE NCY

.!!2
~
~
.<;:
"'
~
"
.!!2
~
"-
"'...
"'
.<:>
E;
"'
-:::.
 mn.uwl

""'
""'
~ ~
c"''-
.... "5 QJ
~ .!2 .E
~"'"'
"''"'""
G ~~
_, ~.,

!!:""'
~i ~

i
I
DD
~
I~
I
~

k ~

M M
+
I~ ,..!_
., 11
.,
11

:. ~
"E 0
E
0
=
c
0

"~ "~
a.
a. ::
:::> ....
0

DD
k
11
~
<::
~
"'
-;;" 11

t;: .... ....

c::
"'
~
->
'E
c
~
;;;
.!!
a.
~ "' .,
ea sea
i:
Cl) Cl
::!:
>=
>
"' -
~
::!: Cl)

www.smmt.co.uk 113
mn.u;

Appendix G - u Chart for Proportion of Defects

>-
'-'
z
LU
:::;)
c::J
LU
cc
u..
1---

_,
0
a:
....
z
0
u
"'"'u
UJ
0
...
a:

"'
:0
=.. c
.S!

"'"'
c "
:i:f:Q.
~ ~ E
..

..c a. "'
'"'"'"'

r:
0 ..,

(afdwes u1 )Jun Jad spa;ap) n

114 www.smmt.co. uk
 l. 11 "

' f -

I ----;-f-T "
J>. ~ "

~d

SHIFT
DATE 1' .1 ,, v ,,
TIME
BY
n (sample size) 1

c (faults) '' ' '

u (=c+n)

Meanofuvalues =u I :-"- I Uppercontrolline =V + 3 f f I c f''<; I

Mean of n values = n
I 1C'
I fil
Lower control line =V- 3\1 If
I . I
J '-'
Draw LCL at zero
when thts calculatton
n gtves a negattve result

i3
a
"~
0

(J'I
~

Cl)

i~ u CHART (proportion of defects) PROCESS CONTROL

a
<-> Location (geography)
-

0
C: Process (operation/machine)
"'" Component (pa rt number)
Feature
Checking media
Specification I
Sample TARGET SIZE 1 FREQUENCY

~
~
~
.,.c:
"'....
"'<:>.
~
~"
~"'
 SHIFT

DATE
TIME
BY
n (sample size)
c (faults)
u I= c + n)

Meanofuvalues =u I I Uppercontrolline =ii+3{ f I I

_ I
Mean of n values = n
I /u
Lower control line = ii- 3\1 ff
I I Draw LCL at zero
when th1s calculatiOn
n g1ves a negat1ve result

i~
~
"
0
C:
"'"

-....!
 Appendix H - c Chart for Number of Defects

- I

I
>-
'-'
ffi
::::> I
d
UJ
s:
-- 1~'--

I
\
.....
0
a:
I ]'
..... ; 1/
z
0

'"'
Cl)
Cl)
~

~t ~
UJ ' I f\
N
I
UJ
u; I ).-
'"'a:
0
a.. I
a;
.
"'
ti
-.;
...,
c::
~ Q;
I
~
E -E
:;- <=
'E ::>
Q; 0
c::
t., .,
..c
E
=
c,
0
~
Q; .e . =
:c I I\
-=- ~ c.
.. E
= = "'= ... E .5!
;;;
., .."'"' . ., .. ..
.....
a:
~ ~ :X ~ Q.
<
::t:

'"'"
.." " .,
E i3
o;
......" et .. ......
a.
.c a.
E
Cl) Cl)
I

'"' '"'
I

I
'>i ~ ~

I 'I

(afdwes ;o SJIUn /fe ut saa;ap ;o ;aqwnu) J

118 www.smmt.co.uk
 SHIFT
DATE
TIME
BY
c (faults)

Mean of c values = c I f 1 I Upper control line = c+ 3 F I '> I

c-
lower control line = c - 3\1 c
I /'.r M! '
I Draw LCL at zero
when th1s calculatiOn
giVes a negat1ve result

i3
~
"~
0

<.D
 >-
'-'
z
UJ
:::>
d
UJ
a:
f---1---

....
0
a:
1-
z
0
(.)
en UJ
en ~
w V)
(.)
0
a:
0..
Q>
E
.," c:
~ Q;
o;
"C
:;;. E ..cE
'E c: E
...
Q;
E
-"'
Q.

~
g
., );;
.0
"'Q; .:;:,
.
:c., c
=
..::. .!'!? .s c.,
Q.
E .5!
en <i
1-
a:
c(
:1:
c
0
~
.,"'"'
c
0
a.
..
E :.;;
c: .!::!
s., .," :!::.," ....,.
" "
(.) 0 E E

" .... et
0 0
(.) .... .::: ena.
(.) en

(afdWeS JO Sj/Ufl 1/e U/ S~ajap JO Jaqwnu) ~

120 www.smmt.co.uk
 SHIFT
DATE
TIME
BY
c (faults)

Mean of c values= c I I Upper control line = c+ 3 F ~'---------'

c-
lower control line = c- 3\/ c
I I Draw LCL at zero
when th1s calculatiOn
. . g1ves a negative result

~
3
a<>
0

~
 Appendix I - Normal Probability Paper

CAPABLITV ASSESSMENT ~
f---- f-
for feature with normal distribution f---- f-
f------ -
f---- r-
f---- r-
xu is the class upper boundary f-
f------
Class Tally chart I ~I Lf%
- -
I I I I I I I I
I I I I I I I I
I I
I I I I I .I I I

I I I I I I I I

I I I I I I I I
I I I I I I I I
f---- t--
f------ I -
f---- t--
f---- I -
f------ I -
f---- t--
f---- I -
L _ _- I-
- 5rr
MEASURED VALUES
1 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81 86 91 96 101 106 111 116 121

2 7 12 17 22 27 32 37 42 47 52 57 62 67 72 JJ 82 87 92 97 102 107 112 117 122

3 8 13 18 23 28 33 38 43 48 53 58 63 68 73 78 83 BB 93 98 103 108 113 118 123

4 9 14 19 24 29 34 39 44 49 54 59 64 69 74 79 84 89 94 99 104 109 114 119 124

5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100 105 110 115 120 125

122 www.smmt.co.uk
 4Mii.UM

REPORT

Date t5rr
- -
- -
Delete as appropriate
- -
- -
CAPABLE
I NOTCAPABLE
I SffiiNG ON NOMINAL I SETIING OFF NOMINAL - -
- -
- -
9.997 99.87 99.5 99 98 95 90 80 70 60 50 40 30 20 10 5 2 1.0 0.5 0.13 0.003 - -

I
I

I
.003 0.13 0.5 1.0 2 10 20 30 40 50 60 70 80 90 95 98 99 99.5 99.87 99.997

l:l%

INFORMATION SUMMARY

Upper spe cification limit u

Nomin al N
Lower specifica tion limit L
Xu at line/ +50' intersection A
Xu at line/-5a intersection B
Difference I= A - B) c
rr estimate (=C/10) rr
Tolerance band(= U- L) T
Process sprea d(= 6rr) p
Caoabilitv index(= Ti P) c
Process mean X
Pro cess settin Q(= x- NI
% above specification
% below specification

www.smmt.co.uk 123
 Appendix J - Probability Paper for Extreme Skew Distribution

CAPABLITY ASSESSMENT ----.;;-

--=--- f-
-
far feawre with normal distribution _- f-
_- r-
_ - f-
_ - f-
xu is the class upper boundary _ - f-
- f-
Cl ass Ta lly chart I l:l Lf%
I
I
I I I I I I
I I I
I I I I
I I I
I I I I I

I I
I I I I I I I I
I I I I I I I I
I I I I I I I
I I I I I I I I
I I

1---
r---
r---
r---
r---
MEASURED VALUES
I 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81 86 91 96 101 106 111 116 121

2 7 12 17 22 27 32 37 42 47 52 57 62 67 72 77 82 87 92 97 102 107 112 117 12i

3 8 13 18 23 28 33 38 43 48 53 58 63 68 73 78 83 88 93 98 103 108 113 118 12:

4 9 14 19 24 29 34 39 44 49 54 59 64 69 74 79 84 89 94 99 104 109 114 119 12

5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100 105 110 115 120 m

124 www.smmt.co.uk
 4ff4!1.!.1

REPORT

Location (geography)
Process (or operation)
Equipment (or machine)
Produ ct (or component)
Feature
Performed by Date

Delete as appropriate
CAPABLE NOT CAPABLE SETTING ON NO MINAL SETTI NG OFF NOMINAL

-t-
--t-
--t-
-r
I
_L
99 9987 99 90 70 50 30 20 10 05 or-olr 0 13 0 05 0 01

I
I
I I
I I
I

I
!0- 1 10 30 50 70 80 90 95 97 98 99 99.5 99.7 99.8 99.87 99.95 99.99
----L
-l- l:f%
-1-
-+-
-t- INFORMATION SUMMARY
-----J-
--r- Up pe r specification limit u
0.13 Nominal N
Lower spec ifi catio n limit L
Xu at line/99.87 pe rcentile A
Xu at line/0.13 pe rcentil e B
Process spread I= A- B) p
Tolerance band I= U- L) T
Capability index I= T/PI C,
Proc ess mode X
Process setting I= x- NI
% above specifi ca tion
% below spec ifi cation

www.smmt.co.uk 125
 15. Subject Index
Topics and Terms Page Topics and Terms Page

AMM 71 customers 9
assignable causes 11 detectives charts 40
attributes charts 28, 42 defects charts 40
average movement of the mean 71 distribution 65
c chart 43, 118 disturbances 11
capability estimation (snap-shot) 84 disturbance elimination 52
capa bility indexes 85 executive role 20
capability index interpretation 60 expectation 12
centring 53 facilitators 20
chance causes 11 fact -holders 20
chart design 28 frequency table (illustrated) 66
chart for moving mean 71 histogram (illustrated) 66, 67
chart for sample size of one 72 individuals and moving range chart 72
chart for small batch runs 74 lim its 12, 60
chart pattern interpretation 44 management ro le 20
chart pattern chance occurrence 52 mean and range chart 35, 94
chart scales 29 mean and standard deviation chart 37, 99
charting purpose 25 mean 14
charting strategy 21 median and range chart 38, 102
charting summary 23 mode 14
Cm, Cp and Pp 58 nominal 12
Cmk, Cpk and Ppk 59 non normal distribution 85
co-ordinators 20 non normal process spread 87
common disturbances 11 normal 84
control lines 30 normal distribution (check for) 67
cusum chart 78 np chart 43, 110

126 www.smmt.co.uk
Topics and Terms Page Topics and Terms Page

one-sided distribution 86 sigma limits 61

optimum 12 skewed distrib ution 83
p chart 42, 106 special disturbances 11
performance limits 12 specification limits 12
probability paper 82 standard deviation of process 57
probability plot interpretation 84 standard deviation of sa mple 99
probability plots 82 standard tolerances 13
process capa bility 55 standardised chart 76
process control 22 standardised deviate 76
process elements 22 statistical control 11
process spread 84 suppliers 9
R 35 tally chart (illustrated) 66
R (R bar) 36 targets 12
range 35 tolerance 12
s 37 truncated distribution 85
s (s bar) 37 u chart 43, 114
a (lower case Greek sigma) 57 variables charts 28, 32
a (sigma circumflex) 57 variables charts constants 93
sample size for attributes 40 work-teams 20
sample size for variables 32 x (x bar) 35
sample size of one charts 72 ~ (x double bar) 36
sampl ing of attributes 40 x (x wavy bar or x tilde) 38
sample of variables 32 x (x bar wavy bar) 39
setting 53 Z values 59
setting indexes 59 Z values interpretation 62
short production run chart 74

www.smmt.co.uk 127
Other publications available
from the SMMT

Continual Improvement Tools & Techniques

A Guide For Business Improvement

Process Management
A Guide For Business Improvement

Failure M ode And Effects Analysis

A Guide For Business Improvement

To order or find out more, contact:

Publications, The Society of Motor Manufacturers & Traders Ltd,
Forbes House, Halkin Street, London SW1 X 70S

Tel +44 (0)20 7344 1612/16 11

Fax +44 (0)20 7344 1603
e-mail: publications@smmt.co.uk
Society of Motor Manufacturers and Traders Limited
Forbes House, Ha lkin Street, London SWlX 70S
Telephone 020 7235 7000 Fax: 020 7235 7112