3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

Statistical Process Control (SPC)

Introduction and Background

MoreSteam Hint: As a pre-requisite to improve your

understanding of the following content, we
recommend that you review the Histogram module
and its discussion of frequency distributions.

The concepts of Statistical Process Control (SPC) were initially developed by Dr.
Walter Shewhart of Bell Laboratories in the 1920's, and were expanded upon
by Dr. W. Edwards Deming, who introduced SPC to Japanese industry after
WWII. After early successful adoption by Japanese firms, Statistical Process
Control has now been incorporated by organizations around the world as a
primary tool to improve product quality by reducing process variation.

Dr. Shewhart identified two sources of process variation: Chance variation that
is inherent in process, and stable over time, and Assignable, or Uncontrolled
variation, which is unstable over time - the result of specific events outside the
system. Dr. Deming relabeled chance variation as Common Cause variation,
and assignable variation as Special Cause variation.

Based on experience with many types of process data, and supported by the
laws of statistics and probability, Dr. Shewhart devised control charts used to
plot datauses
MoreSteam over time to
cookies and identify
allow both
registered Common
users to accessCause variationaccount.
their MoreSteam and Special
Cookies are
also used to
Cause improve our site for all users. Please view our detailed Cookie Policy.
variation.

This tutorial provides a brief conceptual

I Agreebackground to the practice of SPC,

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 1/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

as well as the necessary formulas and techniques to apply it.

Login

Process Variability

If you have reviewed the discussion of frequency distributions in the Histogram

module, you will recall that many histograms will approximate a Normal
Distribution, as shown below (please note that control charts do not require
normally distributed data in order to work - they will work with any process
distribution - we use a normal distribution in this example for ease of
representation):

In order to work with any distribution, it is important to have a measure of the

data dispersion, or spread. This can be expressed by the range (highest less
lowest), but is better captured by the standard deviation (sigma). The standard
deviation can be easily calculated from a group of numbers using many
calculators, or a spreadsheet or statistics program.

Example

Consider a sample of 5 data points: 6.5, 7.5, 8.0, 7.2, 6.8

The Range is the highest less the lowest, or 8.0 - 6.5 = 1.5
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also
Theused to improve
average our7.2
(x̄) is site for all users. Please view our detailed Cookie Policy.

The Standard Deviation(s) is:

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 2/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

Why Is Dispersion So Important?

Often we focus on average values, but understanding dispersion is critical to

the management of industrial processes. Consider two examples:

If you put one foot in a bucket of ice water (33°F) and one foot in a bucket
of scalding water (127°F), on average you'll feel fine (80° F, but you won't
actually be very comfortable!
If you are asked to walk through a river and are told that the average
water depth is 3 feet you might want more information. If you are then
told that the range is from zero to 15 feet, you might want to re-evaluate
the trip.

MoreSteam Hint: Analysis of averages should always

be accompanied by analysis of the variability!

Control Limits

Statistical tables have been developed for various types of distributions that
quantify the area under the curve for a given number of standard deviations
from the mean (the normal distribution is shown in this example). These can be
used as probability tables to calculate the odds that a given value
(measurement) is part of the same group of data used to construct the
histogram.

Shewhart found that control limits placed at three standard deviations from
the meanuses
MoreSteam in either
cookies direction provideusers
to allow registered an economical
to access theirtradeoff
MoreSteambetween the riskare
account. Cookies
of used
also reacting to a false
to improve signal
our site for alland
users.the riskview
Please of not reactingCookie
our detailed to a true signal -
Policy.
regardless the shape of the underlying process distribution.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 3/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

If the process has a normal distribution, 99.7% of the population is captured by

Login
the curve at three standard deviations from the mean. Stated another way,
there is only a 1-99.7%, or 0.3% chance of finding a value beyond 3 standard
deviations. Therefore, a measurement value beyond 3 standard deviations
indicates that the process has either shifted or become unstable (more
variability).

The illustration below shows a normal curve for a distribution with a mean of
69, a mean less 3 standard deviations value of 63.4, and a mean plus 3
standard deviations value of 74.6. Values, or measurements, less than 63.4 or
greater than 74.6 are extremely unlikely. These laws of probability are the
foundation of the control chart.

Now, consider that the distribution is turned sideways, and the lines denoting
the mean and ± 3 standard deviations are extended. This construction forms
the basis of the Control chart. Time series data plotted on this chart can be
compared to the lines, which now become control limits for the process.
Comparing the plot points to the control limits allows a simple probability
assessment.

We know from our previous discussion that a point plotted above the upper
control limit has a very low probability of coming from the same population
that was used to construct the chart - this indicates that there is a Special
Cause - a source of variation beyond the normal chance variation of the
process.

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 4/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

Implementing Statistical Process Control

Deploying Statistical Process Control is a process in itself, requiring

organizational commitment across functional boundaries. The flow-chart below
outlines the major components of an effective SPC effort. The process steps
are numbered for reference.

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 5/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

1. Determine Measurement Method

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
Statistical Process Control is based on the analysis of data, so the first step is to
also used to improve our site for all users. Please view our detailed Cookie Policy.
decide what data to collect. There are two categories of control chart
distinguished by the type of data used: Variable or Attribute.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 6/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Variable data comes from measurements on a continuous scale, such as:Login

temperature, time, distance, weight. Attribute data is based on upon discrete
distinctions such as good/bad, percentage defective, or number defective per
hundred.

MoreSteam Hint: Use variable data whenever

possible because it imparts a higher quality of
information - it does not rely on sometimes arbitrary
distinctions between good and bad.

2. & 3. Qualify the Measurement System

A critical but often overlooked step in the process is to qualify the

measurement system. No measurement system is without measurement error.
If that error exceeds an acceptable level, the data cannot be acted upon
reliably. For example: a Midwest building products manufacturer found that
many important measurements of its most critical processes had error in
excess of 200% of the process tolerance. Using this erroneous data, the
process was often adjusted in the wrong direction - adding to instability rather
than reducing variability. See the Measurement Systems Analysis section of the
Toolbox for additional help with this subject.

4. & 5. Initiate Data Collection and SPC Charting

Develop a sampling plan to collect data (subgroups) in a random fashion at a

determined frequency. Be sure to train the data collectors in proper
measurement and charting techniques. Establish subgroups following a
rational subgrouping strategy so that process variation is captured BETWEEN
subgroups rather than WITHIN subgroups. If process variation (e.g. from two
different shifts) is captured within one subgroup, the resulting control limits will
be wider, and the chart will be insensitive to process shifts.

The type of chart used will be dependent upon the type of data collected as
well as the subgroup size, as shown by the table below. A bar, or line, above a
letter denotes the average value for that subgroup. Likewise, a double bar
denotes an average of averages.
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve
Consider our site of
the example fortwo
all users. Please view
subgroups, our detailed
each Cookie Policy. The first
with 5 observations.
subgroup's values are: 3, 4, 5, 4, 4 - yielding a subgroup average of 4 (x̄1). The
second subgroup has the following values: 5, 4, 5, 6, 5 - yielding an average of 5

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 7/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

(x̄2). The average of the two subgroup averages is (4+5)/2, which is called X
double-bar (x̄̄), because it is the average of the averages. Login

You can see examples of charts in Section 9 on Control Limits.

6. & 7. Develop and Document Reaction Plan

Each process charted should have a defined reaction plan to guide the actions
to those using the chart in the event of an out-of-control or out-of-specification
condition. Read Section 10 below to understand how to detect out-of-control
conditions.

One simple way to express the reaction plan is to create a flow chart with a
reference number, and reference the flow chart on the SPC chart. Many
reaction uses
MoreSteam plans will be
cookies similar,
to allow or even
registered identical
users to accessfor various
their processes.
MoreSteam account.Following
Cookies are
is an
also example
used ofour
to improve a reaction
site for all plan
users. flow
Pleasechart:
view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 8/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

MoreSteam Note: Specifications should NEVER be

expressed as lines on control charts because the
plot point is an average, not an individual. The only
exception is the moving range chart, which is based
on a subgroup size of one.

Consider the case of a subgroup of three data

points: 13, 15, 17. Suppose the upper specification
limit is 16. The average of the subgroup is only 15, so
the plot point looks like it is within the specification,
even though one of the measurements was out of
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
spec.!
also used to improve However,
our site specifications
for all users. should
Please view our beCookie
detailed printed on
Policy.
the side, top, or bottom of the chart for comparing
individual readings.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 9/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

8. Add Chart to Control Plan Login

A control plan should be maintained that contains all pertinent information on

each chart that is maintained, including:

Chart Type
Chart Champion - Person(s) responsible to collect and chart the data
Chart Location
Measurement Method
Measurement System Analysis (Acceptable Error?)
Reaction Plan
Gauge Number - Tied in with calibration program
Sampling Plan
Process Stability Status
Cp & Cpk

The control plan can be modified to fit local needs. A template can be accessed
through the Control Plan section of the Toolbox.

9. Calculate Control Limits After 20-25 Subgroups.

Terms used in the various control chart formulas are summarized below:

SPC Terms
p = Fraction of defective units
np = Number of defective units
c = Number of defects
u = Number of defects per unit
n = Subgroup size
k = Number of subgroups
X = Observation value
R = Range of subgroup observations
A2, D3, D4, d2, and E2 are all Constants - See the Constants Chart below.

Formulas are shown below for Attribute and Variable data:

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 10/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 11/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

(Here n = subgroup or sample size and k = number of subgroups or samples)

Values for formula constants are provided by the following charts:

X̄ & R Chart

Subgroup Size A2 D3 D4 d2
(n)

2 1.880 0 3.267 1.128

3 1.023 0 2.574 1.693

4 0.729 0 2.282 2.059

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to5improve our site0.577 0 our detailed2.114
for all users. Please view Cookie Policy. 2.326

6 0.483 0 2.004 2.534

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 12/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

7 0.419 0.076 1.924 2.704

Login
8 0.373 0.136 1.864 2.847

9 0.337 0.184 1.816 2.970

10 0.308 0.223 1.777 3.078

X̄ & S Chart

Subgroup Size A2 B3 B4
(n)

11 0.927 0.322 1.678

12 0.886 0.354 1.646

13 0.850 0.382 1.619

14 0.817 0.407 1.593

15 0.789 0.428 1.572

Chart examples:

X and R Chart

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 13/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

p-Chart

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 14/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

The area circled denotes an out-of-control condition, which is discussed below.

Login
10. Assess Control.

After establishing control limits, the next step is to assess whether or not the
process is in control (statistically stable over time). This determination is made
by observing the plot point patterns and applying six simple rules to identify an
out-of-control condition.

Out of Control Conditions:

1. If one or more points falls outside of the upper control limit (UCL), or
lower control limit (LCL). The UCL and LCL are three standard deviations
on either side of the mean - see section A of the illustration below.

2. If two out of three successive points fall in the area that is beyond two
standard deviations from the mean, either above or below - see section B
of the illustration below.

3. If four out of five successive points fall in the area that is beyond one
standard deviation from the mean, either above or below - see section C
of the illustration below.

4. If there is a run of six or more points that are all either successively higher
or successively lower - see section D of the illustration below.

5. If eight or more points fall on either side of the mean (some organization
use 7 points, some 9) - see section E of the illustration below.

6. If 15 points in a row fall within the area on either side of the mean that is
one standard deviation from the mean - see section F of the illustration
below.

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 15/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

When an out-of-control condition occurs, the points should be circled on the

chart, and the reaction plan should be followed.

When corrective action is successful, make a note on the chart to explain what
happened.

MoreSteam Hint: Control charts offer a powerful

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
medium for communication. Process shifts, out-of-
also used to improve our site for all users. Please view our detailed Cookie Policy.
control conditions, and corrective actions should be
noted on the chart to help connect cause and effect

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 16/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

in the minds of all who use the chart. The best charts
are often the most cluttered with notes! Login

11. & 12. Analyze Data to Identify Root Cause and Correct

If an out-of-control condition is noted, the next step is to collect and analyze

data to identify the root cause. Several tools are available through the
MoreSteam.com Toolbox function to assist this effort - see the Toolbox Home
Page. You can use MoreSteam.com's TRACtion® to manage projects using the
Six Sigma DMAIC and DFSS processes.

Remember to review old control charts for the process if they exist - there may
be notes from earlier incidents that will illuminate the current condition.

13. Design and Implement Actions to Improve Process Capability

After identifying the root cause, you will want to design and implement actions
to eliminate special causes and improve the stability of the process. You can
use the Corrective Action Matrix to help organize and track the actions by
identifying responsibilities and target dates.

14. & 15. Calculate Cp and Cpk and Compare to Benchmark

The ability of a process to meet specifications (customer expectations) is

defined as Process Capability, which is measured by indexes that compare the
spread (variability) and centering of the process to the upper and lower
specifications. The difference between the upper and lower specification is
know as the tolerance.

After establishing stability - a process in control - the process can be compared

to the tolerance to see how much of the process falls inside or outside of the
specifications. Note: this analysis requires that the process be normally
distributed. Distributions with other shapes are beyond the scope of this
material.

MoreSteam Reminder: Specifications are not related

to control limits - they are completely separate.
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
Specifications reflect "what the customer wants",
also used to improve our site for all users. Please view our detailed Cookie Policy.
while control limits tell us "what the process can
deliver".

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 17/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

The first step is to compare the natural six-sigma spread of the process toLogin
the
tolerance. This index is known as Cp.

Here is the information you will need to calculate the Cp and Cpk:

Process average, or x̄
Upper Specification Limit (USL) and Lower Specification Limit (LSL).
The Process Standard Deviation (σest). This can be calculated directly from
the individual data, or can be estimated by: σest = R̄/d2

Cp is calculated as follows:

The following is an illustration of the Cp concept:

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 18/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Cp is often referred to as "Process Potential" because it describes how capable

Login
the process could be if it were centered precisely between the specifications. A
process can have a Cp in excess of one but still fail to consistently meet
customer expectations, as shown by the illustration below:

The measurement that assesses process centering in addition to spread, or

variability, is Cpk. Think of Cpk as a Cp calculation that is handicapped by
considering only the half of the distribution that is closest to the specification.
Cpk is calculated as follows:

The illustrations below provide graphic examples of Cp and Cpk calculations

using hypothetical data:

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 19/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

Login

The Lower Specification Limit is 48

The Nominal, or Target Specification is 55
The Upper Specification Limit is 60
Therefore, the Tolerance is 60 - 48, or 12
As seen in the illustration, the 6-Sigma process spread is 9.
Therefore, the Cp is 12/9, or 1.33.

The next step is to calculate the Cpk index:

Cpk is the minimum of: (57-48)/4.5 = 2, and (60-57)/4.5 = 0.67

So Cpk is 0.67, indicating that a small percentage of the process output is

MoreSteam
defectiveuses cookies
(about to allow
2.3%). registered
Without users tovariability,
reducing access their the
MoreSteam account.
Cpk could Cookies are
be improved
also
to used to improve1.33,
a maximum our site
theforCp
all value,
users. Please view our detailed
by centering Cookie Policy.
the process. Further
improvements beyond that level will require actions to reduce process
variability.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 20/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

16. Monitor and Focus Efforts on Next Highest Priority Login

The last step in the process is to continue to monitor the process and move on
to the next highest priority.

MoreSteam Hint: Statistical Process Control requires

support from the top, like any program. The process
will be most effective if senior managers make it part
of their daily routine to review charts and make
comments. Some practitioners initial charts when
they review them to provide visual support. Charts
that are posted on the floor make the best working
tools - they are visible to operators, and are
accessible to problem-solving teams.

Build SPC Charts

Summary

While the initial resource cost of statistical process control can be substantial
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
theused
also return on investment
to improve gained
our site for all from view
users. Please the information and knowledge
our detailed Cookie Policy. the tool
creates proves to be a successful activity time and time again. This tool
requires a great deal of coordination and if done successfully can greatly

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 21/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

improve a processes ability to be controlled and analyzed during process

improvement projects. Login

Want to learn more?

MoreSteam.com offers a wide range of Lean Six Sigma online courses,
including Black Belt, Green Belt, and DFSS training. Flexible training at
an affordable price.

View our course catalog

9961 Brewster Lane

Powell, OH 43065
[email protected]
614.602.8190

e-Learning & Certification

Course Catalog
Training for Deployments
Training for Individuals
Certification Home

Software & Technology

Data Analysis Software
Training Simulations
Lean Six Sigma Project Tracking

Resources
All Free Resources
Blended Learning Playbook
Newsletter
Blog

Company
MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
Support Center
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 22/23
3/6/23, 2:26 PM Statistical Process Control (SPC) Tutorial

The Engine Room of Continuous Improvement®

Login

© 2023MoreSteamCookie PolicyPrivacy PolicyCPE Credit PoliciesTerms of Use

MoreSteam uses cookies to allow registered users to access their MoreSteam account. Cookies are
also used to improve our site for all users. Please view our detailed Cookie Policy.

https://www.moresteam.com/toolbox/statistical-process-control-spc.cfm 23/23