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A specific SPC chart for small-batch control

Article · June 1996

DOI: 10.1080/08982119608904668

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 A specific SPC chart for small batch
Dr Maurice PILLET (CFPIM)
Certified Fellow in Production and inventory Management
Laboratoire de Logiciel pour la Productique
University of SAVOIE - Annecy - France

SUMMARY

Today, SPC is a universally recognized method for formalising the control of processes. However, it is still
largely applied to medium or large batch production situations.
This paper outlines the general principles of capability and control charts for controlling and observing the
production of small batches of 10 to 15 parts.
It proposes a control chart suited to this type of production and outlines all of the advantages that can be gained
from this method, especally those concerning the production of the very first parts.
This paper also allows you to define the short and long term capability indexes for low volume manufacturing.

1. The traditional method of control

In low volume manufacturing, most operators control their processes by means of 100% inspection of products.
This inspection process would be excellent if it integrated statistical measurement, but unfortunately, this is not
the case. Figures 1 and 2 illustrate two examples of the classic reasoning process during the manufacture of a
small batch of 10 parts. The examples concern the manufacture of mechanical parts. The specification is 10±0.05
mm and a study of previous process output proved that the standard deviation for this machine was 0.0115 mm.

+6
+4
+2
0
-2
-4
-6

1 2 3 4 5 6 7 8 9 10

Number 1 2 3 4 5 6 7 8 9 10
Value +2 +1 +4 +3 +2 +2 +6 -2 -3 -4
Action R(-6)

Figure 1 - First example of traditional method

From this example, two observations can be made :

 Firstly, the operator has not reset the machine until the seventh reading which was out of the tolerance range.
It must be said in his defence, however, that part number 6 was only +2 away from the nominal. But, it
might have been more prudent to have reset the machine before having to scrap the seventh part. Is it
possible to find a logical and definite means of resetting the machine before making a part out of tolerance?
 The second comment concerns the resetting of the machine by (-6) after the defective part was made. It
seems that the operator based his judgement on the last part alone and did not consider all the previous parts.
However, as part number 7 is out of tolerance he was probably trying to reset the machine to the nominal as
fast as possible. Yet, the subsequent parts end up at the opposite limit of the tolerance scale. So, the question
arises again as to whether there is a logical and definite means of resetting the machine and which does this
with the best possible precision with regard to the nominal value.
Laboratoire de logiciel pour la productique 1
Université de Savoie - Annecy - France
A specific SPC chart for small batch Maurice PILLET

1 2 3 4 5 6 7 8 9 10
Number 1 2 3 4 5 6 7 8 9 10
Value 1 3 -2 -4 2 1 0 -1 2 3
Action R(-3) R(+4)

Figure 2 - second example of traditional method

In the second example the operator's first adjustment did not seem necessary. He setup a machine that was on the
nominal. Therefore, it would be useful to find a method that avoids such mistakes.

A Critical analysis of the method

The previous examples are not as ludicrous as one might think. Those who have observed processes engaged in
small batch manufacturing will have experienced this phenomenon many times. In fact, the traditional approach
to control generally leads to one of the following :

 The operator does not reset his machine at the right moment
 The operator sometimes sets up a well adjusted machine
 The adjustments made are not always the most suitable ones
 The distribution of the produced parts within these conditions is spread thoughout the whole of the tolerance
interval instead of being centred on the nominal value.

These factors generate a loss of production due to unnecessary and bad setting. Furthermore, referring to
Taguchi's loss function, it can be said that the costs of non-quality are Considerable. Indeed, since the parts are
no longer on the nominal value, but spread over the whole tolerance interval, the loss will be maximised.

The cause of these unwanted problems is that statistical reasoning is not used. In the previous example, the
operator was performing 100% inspection, but made a decision from a single reading to alter his machine. To
improve the operation in the case of small batches, such unitary reasoning must be based on control charts that
were thoroughly tested during longer production runs.

To adapt the charts to small batches 2 methods will be developed.

 The first, which is already well used in firms, consists of finding in small batch manufacturing the effect of
larger batches.
 The second, more original method, consists of using a special control chart, the small batch X/R control
chart.
 Another method of modifying the limits of the Shewhart control chart by a variable change. This method is
largely discussed in several works, however it is not looked at in this article
 Other methods exist but this outline is limited to control techniques with caracteristics of the part without
discussion of the techniques for controlling the intrinsic characteristics of the process.

Laboratoire de logiciel pour la productique 2

Université de Savoie - Annecy - France
A specific SPC chart for small batch Maurice PILLET

2. Recognising an effect of larger batches.

This method can be applied when the process leads to repetitive work despite small batches. This can be
illustrated with an example.
A numerically controlled lathe cuts pipes into lengths. Each pipe has a different length which correspond to the
part program for each part. In this case, the use of a traditionnal control chart seems impossible as there are not a
constant characteristics.
And yet, instead of using the length of pipe as a means of control, if the variance between the nominal and real
dimension were used, an effect of larger batches would be observed. Indeed, the operator aims at producing
zero variance. This characteristic can now be used with the traditionnal control chart.

In this case, the 2 control charts are of use to the operator :

 The mean chart allows the operator to observe shifts in the setting, due to tool wear, for example.
 The range chart allows the machine's capability to be observed. The cases in which this method can be
applied are fairly commonplace. Indeed industrial processes are, in general sufficiently specialised and are
often achieved by the same types of operations. So, with a bit of imagination, it is often possible to find a
large enough characteristic of a state of the process, which can be observed independently of the whole
production process.

3. Small batch control charts

This new method which we have developped relies on the technique of traditional control charts which help the
operator to answer two questions :
1. Is the process out of control?
2. If so, by how much?
Small batch control charts permit statistical reasoning even in batches as small as 10. Such control charts
resemble traditionnal ones ( see example in figure 3). Both mean and range charts are used. However, the
principles for calculating the control limits for the charts are a little different.

Date 24.03.1993
Time 8 8.20
X1 +2 0
X2 +1 -1
X3 +4 -1
X4 +3
X5 1
Sum +2 +3 +7 0 -1 -2 +1 +2
X +2 +1.5 +2.33 0 -0.5 -0.66 +0.25 +0.4
R 1 3 1 1 4 4
1 3,9 4
2 2,76 3
3 2,25
2
4 1,95
5 1,74 1
X Target 0 0
5 - 1,74 -1
4 - 1,95
-2
3 - 2,25
2 - 2,76
-3
1 - 3,9 -4

10
5 3,02 6,38 8
4 2,68 6,10
3 2,20 5,67 6
R
2 1,47 4,80 4
1 - - 2

Action

Figure 3- Exemple of « Small batch control chart »

Laboratoire de logiciel pour la productique 3

Université de Savoie - Annecy - France
A specific SPC chart for small batch Maurice PILLET

Statistical reminder
The reader is reminded of the basic rule of statistics which is the basis of control chart technique. If a population
with standard deviation s and mean M is considered, the mean of the random samples of size n follow the
Gaussian distribution of mean M and standard deviation s n

To implement this method, the distribution of the process must be known and, therefore, the standard deviation.
This distribution is easily identified in repetitive production, and it is only necessary to measure the result
obtained from previous production. For non repetitive production, the distribution can still be found within the
data from the production carried out under similar conditions.
Mean charts

Suppose a machine is perfectly centered, the first part will be within the interval [ N - z s ; N + z s ]
Where : T = Target
z = reduced variable according to risk
s = historical standard deviation of the distribution

When the output is within the interval, it is unwise to adjust the machine as there is a risk of causing a smooth
running machine to start producing out of tolerance. The same applies to the second part. However, if instead we
calculate using the first two parts and take an average, a more refined judgement can be made. In fact, this
averaged calculation will be within the interval
 s s 
 T  z , T z 
2 2

In some way, if the operator makes a fifth part without an intermediate adjustment, the average of the 5 parts will
be within the interval
 s s 
 T  z , T z 
5 5

If the mean is not within the interval it can be concluded that the process is out of control and must be reset.

Range chart

By using the reduced range law, the average range for n parts can be observed as a function of the historical
standard deviation. The following is found : R = d2 . s

However, the range will vary within the limits which can be found quickly from the coefficients D3 and D4
which are already well known by users of control charts. Therefore :
D3 x R < R < D4 x R

4. Example of calculation for « small batch control chart »

In order to illustrate the calculation of the control chart for a small batch, we take for example a process which
has the following characteristics :

 Standard deviation as determined from the historical sample data : s = 1.3

 Desired target value: T = 0

Calculation of X chart limits

LSC X  T arg et  3.   0  3x13

.  3.9
For n = 1
LICX  T arg et  3.   0  3x13
.  3.9

Laboratoire de logiciel pour la productique 4

Université de Savoie - Annecy - France
A specific SPC chart for small batch Maurice PILLET

 13.
LSC X  T arg et  3.  0  3x  2.76
2 2
For n = 2
 13
.
LIC X  T arg et  3.  0  3x  2.76
2 2

Calculation of range chart limits

For n = 2
Mean range R = d2 . s = 1.124x 1.3 = 1,47

Upper limit = LSC R  D4 . R  3.267 x147

.  4.80
For n = 3
Mean range R = d2 . s = 1.693x 1.3 = 2.20

Upper limit = LSC R  D4 . R  2.57 x2.20  5.67

5. How to complete a small batch control chart

To fill in this chart, it is only necessary to complete X1 to X5 with measured values, then calculate, for each new
reading, the average of all parts measured to date and their range. The average values and range are written on
the corresponding chart.
To make a decision about resetting, the operator will need the control limits which will be calculated as
explained préviously, following the principles mentioned above.

To illustrate how this small batch control chart works, let us examine a simulation of the results that would have
been obtained in figure 1. Figure 3 is significant. As soon as the 3rd piece is made, the control chart gives a
definite indication of the process being out of control. It also helps the operator to know the importance of the
adjustment to be made according to the measurement of the first three parts. The resetting will be equal to a
value of 2.3, (the mean of the first three parts).

Once the adjustment has been made, the operator moves on to the next chart. He makes the next five parts
completing the control chart without showing the need to reset the machine. He made 8 perfectly conforming
parts, exactly on the target value and he is certain that this good setting is due to the second series of readings
that he just made. It is not necessary to measure the last two parts, since he is sure they will be good.

As an example, the reader can simulate figure 2 and verify that the use of this small batch control chart will
avoid unnecessary adjustment.

6. The use of « small batch control charts » for strating up series

The « small batch control chart » which have just been outlired can also be used in strarting up medium sized
series. In fact, the first parts in a median sized series behave in the same manner as in a small series.

In the cas of starting up, the « small batch control chart » transforms into a traditionnal control chart after the
first sampling of setting up as show in figure 4.

The small series part allows the rapid centralization of the process towards the target. The large series part allaws
the process to be piloted toward the series part. The calculations of the limits of the small series part are the same
as previously, and once again we find the class calculations for the shewhart control chart for the large series.

Laboratoire de logiciel pour la productique 5

Université de Savoie - Annecy - France
A specific SPC chart for small batch Maurice PILLET

Date 13.05.1992
Time 8h 8h15 9h 10h 10h15
X1 1 0 1 2 -1
X2 3 1 2 1 -1
X3 2 1 0 2 1
X4 3 -2 0 3 1
X5 -2 0 2 -2
TOTAL 1 4 6 9 -2 3 10 -2
X 1 2 2 2.25 -0.4 0.6 2 -0,4
R 2 2 2 3 2 2 3

1 3,9 4
2 2,76 3
3 2,25
2
4 1,95
5 1,74 1
X Target 0 0
5 - 1,74 -1
4 - 1,95
-2
3 - 2,25
2 - 2,76
-3
1 - 3,9 -4

10
5 3,02 6,38 8
4 2,68 6,10
3 2,20 5,67 6
R
2 1,47 4,80 4
1 - - 2

Action

Figure 4 - Chart for starting up series

7. Capability from small batch control charts

As in large batches, it is possible to calculate a ratio of short and long term capability using the data from the
small batch control charts. These charts also help to efficiently trace any product already made.

Short term capability

The short term capability index can be estimated from the estimate of the standard deviation s~. s~ which is
calculated from the average range 20 lots of 5 pieces each, for example.

R = Mean range
R
SShort term 
d2

IT
Short term capability =
6. Sshort term

Long term capability

In this case, it is easy to estimate the variance of the process from various batches. In fact, it is enough in normal
conditions to calculate the standard deviation (together with the individual values written on the charts) to
estimate the distribution. Given that s is the standard deviation for individual values

IT
Long term capability =
6. SIndividual Value

Laboratoire de logiciel pour la productique 6

Université de Savoie - Annecy - France
 A specific SPC chart for small batch Maurice PILLET

8. Conclusions

It is too frequently stated that SPC can only be used in conjunction with large batch production. This paper has
shown that SPC can be applied even for small batches. The control chart presented in this paper can serve to
control low volume manufacturing. For example, it is possible to use this chart for the initial parts of a large
batch. This is the best solution in order to quickly obtain a good setting. The improvements, not only in quality
but also in productivity that can be gained from the techniques outlined in this report are considerable. Today,
manufacturing in small batches is done without a formalized method. The inevitable path to competitive industry
requires the introduction of more formal methods of control. It is hoped that this report will be of some help in
this process.

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APICS Congress - Montréal - 1992

Kevin Foster - Implementing SPC in low volume manufacturing

ASQC Quality Congress - Dallas - 1988

Foster G. K. - Implementing SPC in low volume manufacturing

Statistical Process Control in Manufacturing - Dekker - 7:23 - 1991

F. S. Hiller - X and R-chart Control Limits based on a small number of subgroups

Journal of quality technologie - 17:26 - January 1969

G. F. Koons - J. J. Luner - SPC : Use in low volume manufacturing envirnment

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manufacturing
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Wiley - 1990

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Revue Contrôle Industriel et Qualité - n°174 - Avril 92 - 58:61 - 1992

Laboratoire de logiciel pour la productique 7

Université de Savoie - Annecy - France

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