Control Chart

Also called: statistical process control

The control chart is a graph used to study how a process changes over time. Data are
plotted in time order. A control chart always has a central line for the average, an upper
line for the upper control limit and a lower line for the lower control limit. These lines are
determined from historical data. By comparing current data to these lines, you can draw
conclusions about whether the process variation is consistent (in control) or is
unpredictable (out of control, affected by special causes of variation).

Control charts for variable data are used in pairs. The top chart monitors the average, or
the centering of the distribution of data from the process. The bottom chart monitors the
range, or the width of the distribution. If your data were shots in target practice, the
average is where the shots are clustering, and the range is how tightly they are
clustered. Control charts for attribute data are used singly.

When to Use a Control Chart

 When controlling ongoing processes by finding and correcting problems as they

occur.
 When predicting the expected range of outcomes from a process.
 When determining whether a process is stable (in statistical control).
 When analyzing patterns of process variation from special causes (non-routine
events) or common causes (built into the process).
 When determining whether your quality improvement project should aim to
prevent specific problems or to make fundamental changes to the process.

Template

See a sample control chart and create your own with the control chart template (Excel,
973 KB).*

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 Control Chart Basic Procedure

1. Choose the appropriate control chart for your data.

2. Determine the appropriate time period for collecting and plotting data.
3. Collect data, construct your chart and analyze the data.
4. Look for “out-of-control signals” on the control chart. When one is identified, mark it on
the chart and investigate the cause. Document how you investigated, what you
learned, the cause and how it was corrected.

Out-of-control signals

 A single point outside the control limits. In Figure 1, point sixteen is above the
UCL (upper control limit).
 Two out of three successive points are on the same side of the centerline and
farther than 2 σ from it. In Figure 1, point 4 sends that signal.
 Four out of five successive points are on the same side of the centerline and
farther than 1 σ from it. In Figure 1, point 11 sends that signal.
 A run of eight in a row are on the same side of the centerline. Or 10 out of 11,
12 out of 14 or 16 out of 20. In Figure 1, point 21 is eighth in a row above the
centerline.
 Obvious consistent or persistent patterns that suggest something unusual about
your data and your process.

Figure 1 Control Chart: Out-of-Control Signals

5. Continue to plot data as they are generated. As each new data point is plotted, check
for new out-of-control signals.
6. When you start a new control chart, the process may be out of control. If so, the
control limits calculated from the first 20 points are conditional limits. When you have
at least 20 sequential points from a period when the process is operating in control,
recalculate control limits.

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 What are Control Charts?

Comparison of Control charts are used to routinely monitor quality. Depending on the
univariate and number of process characteristics to be monitored, there are two basic
multivariate types of control charts. The first, referred to as a univariate control
control data chart, is a graphical display (chart) of one quality characteristic. The
second, referred to as a multivariate control chart, is a graphical
display of a statistic that summarizes or represents more than one
quality characteristic.

Characteristics If a single quality characteristic has been measured or computed from

of control a sample, the control chart shows the value of the quality
charts characteristic versus the sample number or versus time. In general,
the chart contains a center line that represents the mean value for the
in-control process. Two other horizontal lines, called the upper control
limit (UCL) and the lower control limit (LCL), are also shown on the
chart. These control limits are chosen so that almost all of the data
points will fall within these limits as long as the process remains in-
control. The figure below illustrates this.

Chart
demonstrating
basis of
control chart

Why control The control limits as pictured in the graph might be 0.001 probability
charts "work" limits. If so, and if chance causes alone were present, the probability
of a point falling above the upper limit would be one out of a
thousand, and similarly, a point falling below the lower limit would be
one out of a thousand. We would be searching for an assignable cause
if a point would fall outside these limits. Where we put these limits will
determine the risk of undertaking such a search when in reality there
is no assignable cause for variation.

Since two out of a thousand is a very small risk, the 0.001 limits may
be said to give practical assurances that, if a point falls outside these

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 limits, the variation was caused be an assignable cause. It must be
noted that two out of one thousand is a purely arbitrary number.
There is no reason why it could not have been set to one out a
hundred or even larger. The decision would depend on the amount of
risk the management of the quality control program is willing to take.
In general (in the world of quality control) it is customary to use limits
that approximate the 0.002 standard.

Letting X denote the value of a process characteristic, if the system of

chance causes generates a variation in X that follows the normal
distribution, the 0.001 probability limits will be very close to the 3σ
limits. From normal tables we glean that the 3σ in one direction is
0.00135, or in both directions 0.0027. For normal distributions,
therefore, the 3σ limits are the practical equivalent of 0.001
probability limits.

Plus or minus In the U.S., whether X is normally distributed or not, it is an

"3 sigma" acceptable practice to base the control limits upon a multiple of the
limits are standard deviation. Usually this multiple is 3 and thus the limits are
typical called 3-sigma limits. This term is used whether the standard
deviation is the universe or population parameter, or some estimate
thereof, or simply a "standard value" for control chart purposes. It
should be inferred from the context what standard deviation is
involved. (Note that in the U.K., statisticians generally prefer to
adhere to probability limits.)

If the underlying distribution is skewed, say in the positive direction,

the 3-sigma limit will fall short of the upper 0.001 limit, while the
lower 3-sigma limit will fall below the 0.001 limit. This situation means
that the risk of looking for assignable causes of positive variation
when none exists will be greater than one out of a thousand. But the
risk of searching for an assignable cause of negative variation, when
none exists, will be reduced. The net result, however, will be an
increase in the risk of a chance variation beyond the control limits.
How much this risk will be increased will depend on the degree of
skewness.

If variation in quality follows a Poisson distribution, for example, for

which np = 0.8, the risk of exceeding the upper limit by chance would
be raised by the use of 3-sigma limits from 0.001 to 0.009 and the
lower limit reduces from 0.001 to 0. For a Poisson distribution the
mean and variance both equal np. Hence the upper 3-sigma limit is
0.8 + 3 sqrt(0.8) = 3.48 and the lower limit is 0 (here sqrt denotes
"square root"). For np = 0.8 the probability of getting more than 3
successes is 0.009.

Strategies for If a data point falls outside the control limits, we assume that the

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dealing with process is probably out of control and that an investigation is
out-of-control warranted to find and eliminate the cause or causes.
findings
Does this mean that when all points fall within the limits, the process
is in control? Not necessarily. If the plot looks non-random, that is, if
the points exhibit some form of systematic behavior, there is still
something wrong. For example, if the first 25 of 30 points fall above
the center line and the last 5 fall below the center line, we would wish
to know why this is so. Statistical methods to detect sequences or
nonrandom patterns can be applied to the interpretation of control
charts. To be sure, "in control" implies that all points are between the
control limits and they form a random pattern.