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Chapter 257

NP Charts

Introduction
This procedure generates the NP control chart for the number nonconforming of a sample. The format of
the control charts is fully customizable. This procedure permits the defining of stages. For the NP chart, the
value for P can be entered directly or NP can be estimated from the data, or a sub-set of the data. A list of
out-of-control points can be produced in the output, if desired, and proportion nonconforming values may
be stored to the spreadsheet.

NP Control Charts
NP charts are used to monitor the number of nonconforming units of a process based on samples taken
from the process at given times (hours, shifts, days, weeks, months, etc.). Typically, an initial series of
samples is used to estimate the average number of nonconforming units per sample. The estimated
average is then used to produce control limits for the number of nonconforming units. During this initial
phase, the process should be in control. If points are out-of-control during the initial (estimation) phase, the
assignable cause should be determined, and the sample should be removed from estimation.
Once the control limits have been established for the NP chart, these limits may be used to monitor the
number nonconforming going forward. When a point is outside these established control limits it indicates
that the number of nonconforming units of the process is out-of-control. An assignable cause is suspected
whenever the control chart indicates an out-of-control process.

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NP Charts

The NP Chart versus the P Chart

The NP chart is very similar to the P chart. Rather than focusing on the proportion of nonconforming units,
as does the P chart, the NP chart focuses on the average number of non-conforming units. As such, choice
of the P or NP chart is simply a matter of preference, as each is a scaled version of the other. One case in
which the P chart may be recommended over the NP chart is the case where the sample size varies across
samples, since the P chart is easier to interpret for this scenario.

NP Chart Formulas
Suppose we have k samples, each of size n. Let Di represent the number of nonconforming units in the ith
sample.

Formulas for the Points on the Chart

Each point on the chart is given by Di, the number of nonconforming units in the ith sample.

Estimating the NP Chart Center Line

In the NP Charts procedure, the center line proportion may be input directly, or it may be estimated from a
series of samples. If it is estimated from the samples the formula for the center line is 𝑛𝑛𝑝𝑝̅ , where

∑𝑘𝑘𝑖𝑖=1 𝐷𝐷𝑖𝑖 ∑𝑘𝑘𝑖𝑖=1 𝑝𝑝𝑖𝑖

𝑝𝑝̅ = =
𝑘𝑘𝑘𝑘 𝑘𝑘

NP Chart Limits
The lower and upper control limits for the P chart are calculated using the formulas

𝐿𝐿𝐿𝐿𝐿𝐿 = 𝑛𝑛𝑝𝑝̅ − 𝑚𝑚�𝑛𝑛𝑝𝑝̅ (1 − 𝑝𝑝̅ )

𝑈𝑈𝑈𝑈𝑈𝑈 = 𝑛𝑛𝑝𝑝̅ + 𝑚𝑚�𝑛𝑛𝑝𝑝̅ (1 − 𝑝𝑝̅ )

where m is a multiplier (usually set to 3) chosen to control the likelihood of false alarms (out-of-control
signals when the process is in control).

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NP Charts

Runs Tests
The strength of control charts comes from their ability to detect sudden changes in a process that result from
the presence of assignable causes. Unfortunately, the NP chart is poor at detecting drifts (gradual trends) or
small shifts in the process. For example, there might be a positive trend in the last ten samples, but until a
number of nonconforming units goes above the upper control limit, the chart gives no indication that a change
has taken place in the process.
Runs tests can be used to check control charts for unnatural patterns that are most likely caused by
assignable causes. Runs tests are sometimes called “pattern tests”, “out-of-control” tests, or “zones rules”.
While runs tests may be helpful in identifying patterns or smaller shifts in the proportion, they also increase
the likelihood of false positive indications. The rate of false positives is typically measured using the average
run length (the average length of a run before a false positive is indicated). When several runs tests are used
the average run length of the control chart becomes very short.
In order to perform the runs tests, the control chart is divided into six equal zones (three on each side of the
center line). Since the control limit is three sigma limits (three standard deviations of the proportion) in
width, each zone is one sigma wide and is labeled A, B, or C, with the C zone being the closest to the center
line. There is a lower zone A and an upper zone A. The same is true for B and C. The runs tests look at the
pattern in which points fall in these zones.
The runs tests used in this procedure are described below.

Test 1: Any Single Point Beyond Zone A

This runs test simply indicates a single point is beyond one of the two three-sigma limits.

Test 2: Two of Three Successive Points in Zone A or Beyond

This usually indicates a shift in the process average. Note that the two points have to be in the same Zone A,
upper or lower. They cannot be on both sides of the center line. The third point can be anywhere.

Test 3: Four of Five Successive Points in Zone B or Beyond

This usually indicates a shift in the process average. Note that the odd point can be anywhere.

Test 4: Eight Successive Points in Zone C or Beyond

All eight points must be on one side of the center line. This is another indication of a shift in the process
average.

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NP Charts

Test 5: Fifteen Successive Points Fall in Zone C on Either Side of the Center
Line
Although this pattern might make you think that the variation in your process has suddenly decreased, this
is usually not the case. It is usually an indication of stratification in the sample. This happens when the
samples come from two distinct distributions having different means. Perhaps there are two machines that
are set differently. Try to isolate the two processes and check each one separately.

Test 6: Eight of Eight Successive Points Outside of Zone C

This usually indicates a mixture of processes. This can happen when two supposedly identical production
lines feed a single production or assembly process. You must separate the processes to find and correct the
assignable cause.
There are, of course, many other sets of runs tests that have been developed. You should watch your data
for trends, zig-zags, and other nonrandom patterns. Any of these conditions could be an indication of an
assignable cause and would warrant further investigation.

Issues in Using Control Charts

There are several additional considerations surrounding the use of control charts that will not be addressed
here. Some important questions are presented below without discussion. For a full treatment of these
issues, you should consider a statistical quality control text such as Ryan (2011) or Montgomery (2013).

Sample Size
How many items should be sampled for each sample? How does the sample size affect my use of control
charts? What about unequal sample sizes?

Dealing with Out-of-Control Points

How do you deal with out-of-control points once they have been detected? Should they be included or
excluded in the process proportion estimate?

Control Limit Multiplier

Three-sigma limits are very common. When should one consider a value other than three?

Startup Time
How many samples should be used to establish control for my process?

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NP Charts

Data Structure
In this procedure, the data are entered in two columns. One column contains the sample size for each
sample, the other column contains the number of nonconforming units.

Example Dataset

N Nonconf
50 2
50 8
50 6
50 3
50 4
50 2
50 7
50 1
50 9
50 7
50 3
50 5
. .
. .
. .

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NP Charts

Attribute Chart Format Window Options

This section describes the specific options available on the Attribute Chart Format window, which is
displayed when the Attribute Chart Format button is clicked. Common options, such as axes, labels, legends,
and titles are documented in the Graphics Components chapter.

Attribute Chart Tab

Symbols Section
You can modify the attributes of the symbols using the options in this section.

Lines Section
You can specify the format of the various lines using the options in this section. Note that when shading is
desired, the fill will be to the bottom for single lines (such as the mean line), and between the lines for pairs
of lines (such as primary limits).

Titles, Legend, Numeric Axis, Group Axis, Grid Lines, and Background Tabs
Details on setting the options in these tabs are given in the Graphics Components chapter. The legend does
not show by default but can easily be included by going to the Legend tab and clicking the Show Legend
checkbox.

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NP Charts

Example 1 – NP Chart Analysis (Phase I)

This section presents an example of how to run an initial NP Chart analysis to establish control limits. In this
example, a specific location of an automotive connection will be examined for a leak. Seventy connections
are to be examine each day for 40 days to establish control of the process. The data used are in the Leak
dataset.

Setup
To run this example, complete the following steps:

1 Open the Leak example dataset

• From the File menu of the NCSS Data window, select Open Example Data.
• Select Leak and click OK.

2 Specify the NP Charts procedure options

• Find and open the NP Charts procedure using the menus or the Procedure Navigator.
• The settings for this example are listed below and are stored in the Example 1 settings file. To load
these settings to the procedure window, click Open Example Settings File in the Help Center or File
menu.

Variables Tab
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Sample Size Variable ...................................... Size

Number Nonconforming Variable..................... Leak

3 Run the procedure

• Click the Run button to perform the calculations and generate the output.

Estimation and Limit Section

Estimation and Limit Section for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────
Number of Samples: 40
Sample Size Variable: Size
Number Nonconforming Variable: Leak
─────────────────────────────────────────────────────────────────────────
Number Nonconf. Limits
Average Average # Total Total # Proportion ───────────────────
Sample Size Nonconf. Sample Size Nonconf. Nonconf. Lower Limit Upper Limit
───────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
70.00 7.425000 2800 297 0.1060714 0.000000 15.153957
─────────────────────────────────────────────────────────────────────────

This section displays the calculation values and limits that are to be used in the NP chart. The formulas for
each calculation are described in the NP chart formula section toward the beginning of this chapter.

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NP Charts

Average Sample Size

This is the average of all the sample sizes.

Average Number Nonconforming

This is the average number of nonconforming units.

Total Sample Size

This is the sum of all the sample sizes.

Total Number Nonconforming

This is the sum of all the numbers of nonconforming units.

Proportion Nonconforming
This is the proportion of nonconforming units.

Number Nonconforming Limits

These are the lower and upper control limits for the NP chart.

NP Chart

Chart Section for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────

The NP chart shows the sequence of numbers of leaking connections. The chart shows that samples 32 and
33 merit further investigation for an assignable cause. After reviewing the records, the investigators found
that the 32nd and 33rd samples came during and immediately after the training of a new connection installer.

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NP Charts

Out-of-Control List

Out-of-Control List for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────
Number
Row Nonconforming Row Label Reason
───────────────────────────────────────────────────────────────────────────────────
32 24.00 32 beyond control limits
33 19.00 33 beyond control limits
34 5.00 34 2 of 3 in zone A
37 2.00 37 2 of 3 in zone A
─────────────────────────────────────────────────────────────────────────

This report provides a list of the samples that failed one of the runs tests (including points outside the
control limits). The report shows that samples 32 and 33 are beyond the control limits. Because the 32nd and
33rd samples came during and immediately after the training of a new connection installer, the investigators
determine that the chart limits should be revised to exclude samples 32 and 33. Samples 34 and 37 show
runs in the data, but they do seem to signal an important change in the process.

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NP Charts

Example 2 – NP Chart Revised (Phase I)

This section presents a continuation of the previous example. In this example the limits are revised to
exclude the data from samples 32 and 33, due to assignable cause.

Setup
To run this example, complete the following steps:

1 Open the Leak example dataset

• From the File menu of the NCSS Data window, select Open Example Data.
• Select Leak and click OK.

2 Specify the NP Charts procedure options

• Find and open the NP Charts procedure using the menus or the Procedure Navigator.
• The settings for this example are listed below and are stored in the Example 2 settings file. To load
these settings to the procedure window, click Open Example Settings File in the Help Center or File
menu.

Variables Tab
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Sample Size Variable ...................................... Size

Number Nonconforming Variable..................... Leak
Specification Method ....................................... Keep Rows Variable
Use all rows where variable ............................. Keep
equals .............................................................. 1

3 Run the procedure

• Click the Run button to perform the calculations and generate the output.

Estimation and Limit Section

Estimation and Limit Section for Samples 1 to 40 where Keep equals 1

─────────────────────────────────────────────────────────────────────────
Number of Samples: 38
Sample Size Variable: Size
Number Nonconforming Variable: Leak
─────────────────────────────────────────────────────────────────────────
Number Nonconf. Limits
Average Average # Total Total # Proportion ───────────────────
Sample Size Nonconf. Sample Size Nonconf. Nonconf. Lower Limit Upper Limit
───────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
70.00 6.684211 2660 254 0.09548872 0.000000 14.060761
─────────────────────────────────────────────────────────────────────────

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NP Charts

Chart Section for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────

Out-of-Control List for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────
Number
Row Nonconforming Row Label Reason
───────────────────────────────────────────────────────────────────────────────────
10 15.00 10 beyond control limits
32 24.00 32 beyond control limits
33 19.00 33 beyond control limits
34 5.00 34 2 of 3 in zone A
─────────────────────────────────────────────────────────────────────────

The limits in this report and chart are now based on all samples except samples 32 and 33. The values for
samples 32 and 33 are included in the chart, but they are not included in the calculations. Because two of
the more extreme values were removed, the control limits are narrower than those of Example 1. Although
sample 10 now gives an out-of-control signal, the investigators did not find an assignable cause and
therefore chose to leave sample 10 in the calculations of the center line and limits. Sample 34 gives an out-
of-control signal due to samples 32 and 33 being beyond zone A.
The NP chart can be additionally enhanced by labeling the points that were not included in the calculations.
To do this, set the Point Label Variable to Label.

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NP Charts

Chart Section for Samples 1 to 40

─────────────────────────────────────────────────────────────────────────

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NP Charts

Example 3 – NP Chart Analysis (Phase II)

Continuing with Examples 1 and 2, the investigators obtain samples for an additional 20 days. They wish to
use the limits based on the first 40 samples, excluding samples 32 and 33.

Setup
To run this example, complete the following steps:

1 Open the Leak example dataset

• From the File menu of the NCSS Data window, select Open Example Data.
• Select Leak and click OK.

2 Specify the NP Charts procedure options

• Find and open the NP Charts procedure using the menus or the Procedure Navigator.
• The settings for this example are listed below and are stored in the Example 3 settings file. To load
these settings to the procedure window, click Open Example Settings File in the Help Center or File
menu.

Variables Tab
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Sample Size Variable ...................................... SizeCont

Number Nonconforming Variable..................... LeakCont
Specification Method ....................................... Keep Rows Variable
Use all rows where variable ............................. KeepCont
equals .............................................................. 1
Point Label Variable......................................... Label

Report Options (in the Toolbar)

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Variable Labels ................................................ Column Names

3 Run the procedure

• Click the Run button to perform the calculations and generate the output.

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NP Charts

NP Chart Analysis Output

Estimation and Limit Section for Samples 1 to 60 where KeepCont equals 1

─────────────────────────────────────────────────────────────────────────
Number of Samples: 38
Sample Size Variable: SizeCont
Number Nonconforming Variable: LeakCont
─────────────────────────────────────────────────────────────────────────
Number Nonconf. Limits
Average Average # Total Total # Proportion ───────────────────
Sample Size Nonconf. Sample Size Nonconf. Nonconf. Lower Limit Upper Limit
──────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
70.00 6.684211 2660 254 0.09548872 0.000000 14.060761
─────────────────────────────────────────────────────────────────────────

Chart Section for Samples 1 to 60

─────────────────────────────────────────────────────────────────────────

Out-of-Control List for Samples 1 to 60

─────────────────────────────────────────────────────────────────────────
Number
Row Nonconforming Row Label Reason
─────────────────────────────────────────────────────────────────────────────────
10 15.00 10 beyond control limits
32 24.00 32 beyond control limits
33 19.00 33 beyond control limits
34 5.00 34 2 of 3 in zone A
─────────────────────────────────────────────────────────────────────────

The estimation and limits section shows the same results as Example 2, since the calculations are again
based only on the first 40 samples, excluding 32 and 33. The plot shows a stable continuation of the process
from samples 41 to 60.

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NP Charts

Example 4 – NP Chart with Additional Formatting

This example uses the same setup as Example 3, except that a variety of improvements are made in the plot
format. These improvements are made by clicking the NP Chart format button on the NP Chart tab.
The settings for this example are stored in the Example 4 settings file. To load these settings to the
procedure window, click Open Example Settings File in the Help Center or File menu.

NP Chart

Chart Section for Samples 1 to 60

─────────────────────────────────────────────────────────────────────────

As shown here, a variety of enhancements can be made to the formatting of the control chart to make the
chart as easy to read as possible.

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NP Charts

Example 5 – NP Chart with Stages

This section presents a continuation of Examples 1, 2, and 3. After the first 60 days, a new connection
process is implemented to reduce the number of leaks. The investigators obtained samples of the process
for 60 additional days, using the first 30 samples of the additional 60 days (61 to 90) to determine the in-
control limits of the updated process. The investigators wish to view the entire progress of the process,
beginning with day 1. This example shows the use of stages to monitor a process with a change in center
line and limit calculations.

Setup
To run this example, complete the following steps:

1 Open the Leak example dataset

• From the File menu of the NCSS Data window, select Open Example Data.
• Select Leak and click OK.

2 Specify the NP Charts procedure options

• Find and open the NP Charts procedure using the menus or the Procedure Navigator.
• The settings for this example are listed below and are stored in the Example 5 settings file. To load
these settings to the procedure window, click Open Example Settings File in the Help Center or File
menu.

Variables Tab
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Sample Size Variable ...................................... SizeStage

Number Nonconforming Variable..................... LeakStage
Number of Stages ............................................ Multiple Stages
Stage Variable ................................................. Stage
Specification Method ....................................... Keep Rows Variable
Use all rows where variable ............................. KeepStage
equals .............................................................. 1
Point Label Variable......................................... Label

3 Run the procedure

• Click the Run button to perform the calculations and generate the output.

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NP Charts

Estimation and Limit Section

Estimation and Limit Section for Samples 1 to 60 where KeepStage equals 1

─────────────────────────────────────────────────────────────────────────
Number of Samples: 38
Sample Size Variable: SizeStage
Number Nonconforming Variable: LeakStage
─────────────────────────────────────────────────────────────────────────
Number Nonconf. Limits
Average Average # Total Total # Proportion ───────────────────
Sample Size Nonconf. Sample Size Nonconf. Nonconf. Lower Limit Upper Limit
───────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
70.00 6.684211 2660 254 0.09548872 0.000000 14.060761
─────────────────────────────────────────────────────────────────────────

Estimation and Limit Section for Samples 61 to 120 where KeepStage equals 1
─────────────────────────────────────────────────────────────────────────
Number of Samples: 30
Sample Size Variable: SizeStage
Number Nonconforming Variable: LeakStage
─────────────────────────────────────────────────────────────────────────
Number Nonconf. Limits
Average Average # Total Total # Proportion ───────────────────
Sample Size Nonconf. Sample Size Nonconf. Nonconf. Lower Limit Upper Limit
───────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
70.00 4.100000 2100 123 0.05857143 0.000000 9.993956
─────────────────────────────────────────────────────────────────────────

This section displays the estimation for each stage separately. The average number nonconforming is
decreased by about 40%.

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NP Charts

NP Chart

Chart Section for Samples 1 to 120

─────────────────────────────────────────────────────────────────────────

The NP chart shows the substantial decrease in the number of leaking connections in the second stage. The
center line and limits of the second stage are estimated from samples 61 to 90.

Out-of-Control List

Out-of-Control List for Samples 1 to 60

─────────────────────────────────────────────────────────────────────────
Number
Row Nonconforming Row Label Reason
───────────────────────────────────────────────────────────────────────────────────
10 15.00 10 beyond control limits
32 24.00 32 beyond control limits
33 19.00 33 beyond control limits
34 5.00 34 2 of 3 in zone A
─────────────────────────────────────────────────────────────────────────

With no new out-of-control points, the out-of-control list is the same as that of the previous examples. There
is not an Out-of-Control List for samples 61 to 120 since there are no out-of-control points in this group.

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