Various Types of Control

Charts Explained with Case

Study & Excel Templates

1
 SPC Selection Process

Choose Appropriate
Control Chart

ATTRIBUTE type CONTINUOUS

of data

type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES

Sample size 1 2-5 10+

type
type of
of defect
subgroups
I – MR X–R X–S
Chart Chart Chart
CONSTANT VARIABLE CONSTANT VARIABLE
Individuals & Mean & Mean & Std.
Moving Range Dev.
Range

C Chart U Chart NP Chart P Chart SPECIAL CASES

Number of Incidences Number of Proportion

Incidences per Unit Defectives Defectives
CumSum EWMA
Chart Chart

Cumulative Exponentially
Sum Weighted Moving
Average
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 SPC Overview: Collecting Data

Population:
– An entire group of objects that have been made or will be
made containing a characteristic of interest
Sample:
– A sample is a subset of the population of interest
– The group of objects actually measured in a statistical study
– Samples are used to estimate the true population parameters

Population

Sample
Sample
Sample

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 SPC Overview: I-MR Chart

• An I-MR Chart combines a Control Chart of the average moving range with the
Individuals Chart.
• You can use Individuals Charts to track the process level and to detect the presence
of Special Causes when the sample size is one batch.
• Seeing these charts together allows you to track both the process level and process
variation at the same time providing greater sensitivity to help detect the presence
of Special Causes. I-MR Chart
U C L=226.12
225.0
Individual Value

222.5
_
220.0 X=219.89

217.5

215.0
LC L=213.67
1 13 25 37 49 61 73 85 97 109
O bser v ation

8
U C L=7.649

6
Moving Range

4
__
M R=2.341
2

0 LC L=0
1 13 25 37 49 61 73 85 97 109
O bser v ation

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 SPC Overview: Xbar-R Chart

If each of your observations consists of a subgroup of data rather than just

individual measurements an Xbar-R chart provides greater sensitivity. Failure to
form rational subgroups correctly will make your Xbar-R Charts incorrect.
Xbar-R Chart
U C L=225.76
225
Sample Mean

222 _
_
X=221.13

219

LC L=216.50
216
1 3 5 7 9 11 13 15 17 19 21 23
Sample

U C L=16.97
16
Sample Range

12

_
8 R=8.03

0 LC L=0
1 3 5 7 9 11 13 15 17 19 21 23
Sample

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 SPC Overview: U Chart

• C Charts and U Charts are for tracking defects.

• A U Chart can do everything a C Chart can so we will just learn how to do a U Chart.
This chart counts flaws or errors (defects). One “search area” can have more than
one flaw or error.
• Search area (unit) can be practically anything we wish to define. We can look for
typographical errors per page, the number of paint blemishes on a truck door or
the number of bricks a mason drops in a workday.
• You supply the number of defects on each unit inspected.

U Chart of Defects
0.14 1
1

UCL=0.1241
0.12
Sample Count Per Unit

0.10

0.08

0.06 _
U=0.0546

0.04

0.02

0.00 LCL=0

1 3 5 7 9 11 13 15 17 19
Sample

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 SPC Overview: P Chart

• NP Charts and P Charts are for tracking defectives.

• A P Chart can do everything an NP Chart can so we will just learn how to do a P
Chart!
• Used for tracking defectives – the item is either good or bad, pass or fail, accept
or reject.
• Center Line is the proportion of “rejects” and is also your Process Capability.
• Input to the P Chart is a series of integers — number bad, number rejected. In
addition you must supply the sample size.
P Chart of Errors
0.30

UCL=0.2802

0.25
Proportion

_
0.20 P=0.2038

0.15

LCL=0.1274

1 3 5 7 9 11 13 15 17 19
Sample

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 SPC Overview: Control Methods/Effectiveness

Type 1 Corrective Action = Countermeasure: improvement made to the process which will
eliminate the error condition from occurring. The defect will never be created. This is also
referred to as a long-term corrective action in the form of Mistake Proofing or design changes.

Type 2 Corrective Action = Flag: improvement made to the process which will detect when the
error condition has occurred. This flag will shut down the equipment so the defect will not
move forward.

SPC on X’s or Y’s with fully trained operators and staff who respect the rules. Once a chart
signals a problem everyone understands the rules of SPC and agrees to shut down for Special
Cause identification. (Cpk > certain level).

Type 3 Corrective Action = Inspection: implementation of a short-term containment which is

likely to detect the defect caused by the error condition. Containments are typically audits or
100% inspection.

SPC on X’s or Y’s with fully trained operators. The operators have been trained and understand
the rules of SPC, but management will not empower them to stop for investigation.

S.O.P. is implemented to attempt to detect the defects. This action is not sustainable short-
term or long-term.

SPC on X’s or Y’s without proper usage = WALL PAPER.

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 Purpose of Statistical Process Control

Every process has Causes of Variation known as:

– Common Cause: Natural variability
– Special Cause: Unnatural variability
• Assignable: Reason for detected Variability
• Pattern Change: Presence of trend or unusual pattern

SPC is a basic tool to monitor variation in a process.

SPC is used to detect Special Cause variation telling us the process is “out of
control”… but does NOT tell us why.

SPC gives a glimpse of ongoing process capability AND is a visual management tool.

Not this special cause!!

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 Elements of Control Charts

Developed by Dr. Walter A. Shewhart of Bell Laboratories from 1924.

Graphical and visual plot of changes in the data over time.
– This is necessary for visual management of your process.
Control Charts were designed as a methodology for indicating change in performance,
either variation or Mean/Median.
Charts have a Central Line and Control Limits to detect Special Cause variation.

Control Chart of Recycle

60 1

UCL=55.24
Special Cause 50

Variation Detected
40
Individual Value

30
_
X=29.06 Process Center
(usually the Mean)
20
Control Limits
10

LCL=2.87
0
1 4 7 10 13 16 19 22 25 28
Observation

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 Understanding the Power of SPC

Control Charts indicate when a process is “out of control” or exhibiting Special Cause variation but NOT why!

SPC Charts incorporate upper and lower Control Limits.

– The limits are typically +/- 3  from the Center Line.
– These limits represent 99.73% of natural variability for Normal Distributions.

SPC Charts allow workers and supervision to maintain improved process performance from Lean Six Sigma
projects.

Use of SPC Charts can be applied to all processes.

– Services, manufacturing and retail are just a few industries with SPC applications.
– Caution must be taken with use of SPC for Non-normal processes.

Control Limits describe the process variability and are unrelated to customer specifications. (Voice of the
Process instead of Voice of the Customer)
– An undesirable situation is having Control Limits wider than customer specification limits. This will
exist for poorly performing processes with a Cp less than 1.0

Many SPC Charts exist and selection must be appropriate for effectiveness.
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 The Control Chart Cookbook

General Steps for Constructing Control Charts

1. Select characteristic (Critical “X” or CTQ) to be charted.
2. Determine the purpose of the chart.
3. Select data-collection points.
4. Establish the basis for sub-grouping (only for Y’s).
5. Select the type of Control Chart.
6. Determine the measurement method/criteria.
7. Establish the sampling interval/frequency.
8. Determine the sample size.
9. Establish the basis of calculating the Control Limits. Stirred or
10. Set up the forms or software for charting data. Shaken?
11. Set up the forms or software for collecting data.
12. Prepare written instructions for all phases.
13. Conduct the necessary training.

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 Focus of Six Sigma and the Use of SPC

Y = f (x)
To get results should we focus our behavior on the Y or X?
Y X1 . . . XN
Dependent Independent
Output Input
Effect Cause
Symptom Problem
Monitor Control

When we find the “vital few” X’s first consider

using SPC on the X’s to achieve a desired Y.
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 Control Chart Anatomy

Special Cause
Variation Process Run Chart of data
is “Out of points
Control”

Upper Control
Limit

Common Cause

+/- 3 sigma
Variation Process
is “In Control”

Lower Control
Limit

Mean
Special Cause
Variation Process
is “Out of
Control”
Process Sequence/Time Scale

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 Control and Out of Control

Outlier

3
2
1

99.7%
95%
68%
-1

-2

-3
Outlier

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 Size of Subgroups

Typical subgroup sizes are 3-12 for variable data:

– If difficulty of gathering sample or expense of testing exists the size, n, is
smaller.
– 3, 5 and 10 are the most common size of subgroups because of ease of
calculations when SPC is done without computers.

Lot 1 Lot 5

Lot 3

Lot 2

Lot 4
Short-term studies

Long-term study

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 The Impact of Variation

Sources of Variation
- Natural Process Variation as - Natural Process Variation - Natural Process Variation
defined by subgroup selection - Different Operators - Different Operators
- Supplier Source

-UCL

-LCL

First select the spread we will

declare as the “Natural Process
Variation” so whenever any point So when a second source of And, of course, if two additional
lands outside these “Control variation appears we will sources of variation arrive we will
Limits” an alarm will sound know! detect that too!

If you base your limits on all three sources of variation, what will sound the alarm?
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 Frequency of Sampling

Sampling Frequency is a balance between the cost of sampling and testing versus the
cost of not detecting shifts in Mean or variation.

Process knowledge is an input to frequency of samples after the subgroup size has
been decided.
– If a process shifts but cannot be detected because of too infrequent sampling
the customer suffers
– If a choice is given between a large subgroup of samples infrequently or
smaller subgroups more frequently most choose to get information more
frequently.
– In some processes with automated sampling and testing frequent sampling is
easy.

If undecided as to sample frequency, sample more frequently to confirm detection of

process shifts and reduce frequency if process variation is still detectable.

A rule of thumb also states “sample a process at least 10 times more frequent than
the frequency of ‘out of control’ conditions”.

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 Frequency of Sampling

Sampling too little will not allow for sufficient detection of shifts in
the process because of Special Causes.
I Chart of Sample_3
Output 7.5
UCL=7.385

All possible samples 7.0

7.5

Individual Value
6.5
7
_
6.5 6.0
X=6.1

6
5.5
5.5
5 5.0
Sample every half hour LCL=4.815
1 7 13 19 25 31 37
1 2 3 4 5 6 7 8 9 10 11 12 13
Observation

I Chart of Sample_6 I Chart of Sample_12

6.6
UCL=8.168 UCL=6.559
8
6.4

6.2
7
Individual Value

Individual Value
6.0
_ _
X=6.129 X=5.85
6 5.8

5.6

5
Sample every hour 5.4 Sample 4x per shift
5.2
LCL=5.141
4 LCL=4.090
5.0
1 2 3 4 5 6 7 1 2 3 4
Observation Observation

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 Understanding Variable Control Chart Selection

Type of Chart When do you need it?

Average & Range or S  Production is higher volume; allows process Mean and variability to be viewed
(Xbar and R or and assessed together; more sampling than with Individuals Chart (I) and
Xbar and S) Moving Range Charts (MR) but when subgroups are desired. Outliers can cause
Most Common issues with Range (R) charts so Standard Deviation charts (S) used instead if
concerned.
Individual and
Moving Range
 Production is low volume or cycle time to build product is long or homogeneous
sample represents entire product (batch etc.); sampling and testing is costly so
subgroups are not desired. Control limits are wider than Xbar Charts. Used for
SPC on most inputs.

Pre-Control  Set-up is critical, or cost of setup scrap is high. Use for outputs

Exponentially  Small shift needs to be detected often because of autocorrelation of the output
Weighted results. Used only for individuals or averages of Outputs. Infrequently used
Moving Average because of calculation complexity.

Cumulative Sum  Same reasons as EWMA (Exponentially Weighted Moving Range) except the
past data is as important as present data.
Less Common

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 Understanding Attribute Control Chart Selection

Type of Chart When do you need it?

P  Need to track the fraction of defective units; sample

size is variable and usually > 50

nP  When you want to track the number of defective units

per subgroup; sample size is usually constant and
usually > 50

C  When you want to track the number of defects per

subgroup of units produced; sample size is constant

 When you want to track the number of defects per

U
unit; sample size is variable

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 Detection of Assignable Causes or Patterns

Control Charts indicate Special Causes being either assignable causes or patterns.

The following rules are applicable for both variable and Attribute Data to detect
Special Causes.

These four rules are the only applicable tests for Range (R), Moving Range (MR) or
Standard Deviation (S) charts.
– One point more than 3 Standard Deviations from the Center Line.
– 6 points in a row all either increasing or all decreasing.
– 14 points in a row alternating up and down.
– 9 points in a row on the same side of the Center Line.

These remaining four rules are only for variable data to detect Special Causes.
– 2 out of 3 points greater than 2 Standard Deviations from the Center Line on the
same side.
– 4 out of 5 points greater than 1 Standard Deviation from the Center Line on the
same side.
– 15 points in a row all within one Standard Deviation of either side of the Center
Line.
– 8 points in a row all greater than one Standard Deviation of either side of the
Center Line.
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 Recommended Special Cause Detection Rules

• If implementing SPC manually without software initially the most visually obvious violations are
more easily detected. SPC on manually filled charts are common place for initial use of Defect
Prevention techniques.
• These three rules are visually the most easily detected by personnel.
– One point more than 3 Standard Deviations from the Center Line.
– 6 points in a row all either increasing or all decreasing.
– 15 points in a row all within one Standard Deviation of either side of the Center Line.
• Dr. Shewhart working with the Western Electric Co. was credited with the following four rules
referred to as Western Electric Rules.
– One point more than 3 Standard Deviations from the Center Line.
– 8 points in a row on the same side of the Center Line.
– 2 out of 3 points greater than 2 Standard Deviations from the Center Line on the same side.
– 4 out of 5 points greater than 1 Standard Deviation from the Center Line on the same side.
• You might notice the Western Electric rules vary slightly. The importance is to be consistent in
your organization deciding what rules you will use to detect Special Causes.
• VERY few organizations use all eight rules for detecting Special Causes.

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