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Lesson 6—Control
Statistical Process Control (SPC) was developed by Walter A. Shewhart in 1924. SPC aids in the visual
monitoring of a process and controls its parameters by placing statistical measures around the
process outputs or input variables.
Following are the benefits of SPC:
● Separates the special and common causes of variability
● Recognizes the unexpected changes in the process output quickly
● Helps to identify the stable zone for variables where specification limits are unknown
● Provides useful external information for the continuous improvement of the process
● Helps in monitoring a process online
The common cause variation is the variation that can be usually seen in the process.
Example: Minute variations in the raw materials
Features of
Common Cause
Variation
Part of the process and the Frequency of its occurrence is high,
organization is aware of its presence. hence can be easily predicted.
The special cause variation is the variation that cannot be normally seen in the process.
Example: Machine or system crash
Features of
Special Cause
Not part of the process, affects the Variation
Frequency of occurrence is less and
regular process, and produces
cannot be predicted.
defects.
Common cause variation and special cause variation can be differentiated as follows:
Rational subgrouping refers to the selection of subgroups or samples in a way that if assignable
causes are present, chance for differences between subgroups will be maximized and chance for
differences due to assignable causes within a subgroup will be minimized.
Sample consists of units produced at the same Sample consists of units that are representative of all
time—consecutive units. units produced since the last sample—random
● Primary purpose is to detect process shifts sample.
● Often used to make decisions about acceptance
of product
● Effective at detecting shifts to out-of-control state
and back into in-control state between samples
Collects and uses the Collects data from a A controlled study Attempts to
complete data from the subset of a population performed to understand cause-and-
population. and estimates the understand the cause- effect relationships,
population attributes. and-effect relationships however specific
between multiple treatment is not given
variables, inputs and to the groups.
outputs, etc.
Control chart, developed by Walter Shewhart in the 1920s, plots and processes the data (input X data
and output Y data) over a period and connects by lines, in order to detect trends or unusual events.
Control charts are useful for tracking process statistics over time and detecting the presence of
special causes. A process is in control when:
● most of the points fall within the bounds of the control limits; and
● the points do not display any nonrandom patterns.
The data is depicted visually in a control chart. Hence it is easy to find the differences between common
! cause and special cause.
Copyright 2014, Simplilearn, All rights reserved. 13
Setting the Control Limits
A standard control chart uses control limits at three standard deviations of the mean (σmean) from the
data’s grand average (X, average of the sample averages, or μ).
The probability of an out-of-control point when the process has not changed is only 0.27%.
If the control limits are set at:
● 2 standard deviations—increases the chance of type I or alpha error.
● 4 standard deviations—increases the chance of a type II or beta error.
Walter Shewhart had set 3σ limits on control charts with the belief that when the process goes beyond
! these limits, it needs correction.
Copyright 2014, Simplilearn, All rights reserved. 14
Common Rules for Control Chart Analysis
6 to 8 points are consecutively increasing or decreasing. p(f) = (0.5)6 or (0.5)8 = 1.6% to 0.39%
There are two ways in which sampling of continuous data can be done.
Continuous Data
Discrete Data
Defectives Defects
Constant Subgroup Size Varying Subgroup Size Constant Subgroup Size Varying Subgroup Size
X refers to average and the subgroup average data will be plotted on the X chart.
Some of the principles of X and R and X and s charts are as follows:
● X and R and X and s charts are two separate charts of the same subgroup data.
● X chart is a plot of the means of subgroup data and shows inter-subgroup or between-subgroup
variation.
● R chart is a plot of the subgroup ranges (or if s, plot of subgroup standard deviation) and shows
intra-subgroup variation.
● In X control charts, the control limits are calculated based on mean of means, range, or standard
deviation, and other factors.
● X and R and X and s charts can be plotted with any type of data.
UCLX = X + A2 R
LCLX = X - A2 R
UCLR = D4 R
LCLR = D3 R
! A2, D3, and D4 are values from the control chart table.
Standard deviation of each subgroup data is represented as s. The data is divided into subgroups and
standard deviation is calculated for each subgroup.
UCL = X + A3 S
LCL = X - A3 S
UCL = B4 S
LCL = B3 S
Values for A3, B3, and B4 are constant and are taken from the control chart table. X and s charts are used
! to track process variation where the subgroup sample size ≥ 9.
Copyright 2014, Simplilearn, All rights reserved. 20
X and R and Subgroup Data—Example
Q Establish 1 σ process limits for the data set shown. Use the table of control chart constants for values of A 2, D3,
and D4.
! In Minitab, STAT -> CONTROL CHARTS -> VARIABLE CHART FOR SUBGROUPS -> X-R
A ● In X and R chart, point SG 6 is the point of change in the process from below the center line to above the
center.
● No points are outside control limits in the given process; however, examine points 6 and 7 on X chart, and
points 10 and 11 on the R chart for rule #4 (If 2 out of 3 points are within 1 σmean of either the UCL or the
LCL).
Q The data in subgroups with 10 samples in each subgroup is given here along with the X chart. Using this data,
find out if the process is in control.
4 1.628 0 2.266
5 1.427 0 2.089
! In Minitab, STAT -> CONTROL CHARTS -> VARIABLE CHART FOR SUBGROUPS -> X-S
Copyright 2014, Simplilearn, All rights reserved. 23
X and s—Constructing Chart
A ● The X chart point SG 10 is the variation of the point from the mean.
● Also, points 4, 10, and 23 have more variation from the center. These points can be analyzed further.
● The points are within the limits, and hence the process is in control.
ImR charts are two separate charts of the same data. Some of the principles of the ImR chart are as
follows:
● The I-chart is a plot of the individual data points.
● The MR-chart is a plot of the moving range of the previous individuals.
● ImR charts are sensitive to trends, cycles, patterns, and normality.
● ImR charts are used:
o when subgroup variation is zero or no subgroups exist; and
o with data points from destructive testing or batch processing, or summary data from a time
period.
● Control limits of the ImR chart are calculated using the same method as the X and R chart.
Q The QC department at Nutri Worldwide Inc. measures the strength of its milk cartons once in
every hour. Is the process in control?
● Since the data is individual data, the ImR chart will be used here.
● This is an example of a destructive test.
! In Minitab, STAT -> CONTROL CHARTS -> VARIABLE CHART FOR INDIVIDUALS -> I-MR
A ●
●
Moving range is the absolute value of difference between the last two data points.
In I-chart, point 16 is close to the upper limit (analysis required).
● No points are out of control in the process.
Given is the data used to study the number of calls handled per hour in call center operations. This
data was studied using ImR charts to check if the process is in control. The data, ImR chart, and
analysis are as follows:
Data: ImR Chart:
Analysis:
● In I-chart, all points are closer to the
mean value. The process is well
within control.
● In MR chart, there are a few points
closer to LCL. The process variation
can be investigated further.
However, no point is outside the
control limits.
Based on sample size and data type (defects or defectives), the following types of control charts can
be selected:
If the sample size is consistent and the data type is defectives np chart should be used
If the sample size is consistent and the data type available changes from
c chart should be used
defectives to defects
If the sample size is inconsistent and the data type is defectives p chart should be used
If the sample size is inconsistent and the data type is defects u chart should be used
Control limits may be constant, such as X and R charts (for np and c charts), or vary depending on sample size
! (for p and u charts.)
Copyright 2014, Simplilearn, All rights reserved. 29
np Chart Principles
The np chart is used to measure the non-conforming proportions or number of defectives within a
standardized group size. Some of the principles of np chart are as follows:
● The expectation is that the same proportion exists in each group.
● The np chart follows binomial distribution.
● Large subgroups are required (50 minimum) for this chart.
● Subgroup size must be constant, hence there is no need to calculate p and then np to plot data
points on a control chart.
● Control limits will be constant.
D
● Proportion of p = n
D
● np = n ∗ n
Q The sourcing department at Nutri Worldwide Inc. measures 125 purchase orders daily
and records the number of entry errors in them. The tabulated data is given here. Is
the order entry process in control?
● Since the data has a constant subgroup size (orders processed) of defectives, an np
chart will be used.
● Assumption is that there is only one error per order possible.
A ● In np chart, point 12 is beyond the control limit of three standard deviations. Analysis must be done to find
the reason and take corrective action if necessary.
● Hence, point 12 is out of control in the process.
𝑝 1−𝑝
Control Limits = 𝑝 ± 3 𝑛
Q The sourcing department in Nutri Worldwide Inc. measures the number of entry
errors on a daily basis. The tabulated data is presented here. Is the order entry
process in control?
● Since the data has varying subgroup sizes (orders processed) of defectives, a p
chart will be used.
A ● In a p chart, point 12 has gone beyond the limit of 3 sigma level. Analysis must be done to find the
reason and take corrective action if necessary.
● Hence, point 12 is out of control in this process.
To form a c chart, measure the number of occurrences of non-conforming defects. Some of the
principles of the c chart are as follows:
● It follows a Poisson distribution.
● It is used when the sample size is fixed or the area of opportunity is constant.
● It is also used to identify attribute data for the sample.
● Each count is a subgroup of samples and the control limits will be constant.
● The subgroup size should at least be 20.
Q Final inspection grades the tinted glass on the number of white specs. The
product is priced by grade. White specs are defects, not defectives, and are
measured over a constant sample area; so c chart will be used. Is the process in
control?
● Since the data is for defects, c chart will be used.
A ● Points 2, 3, 4, 12, 13, 16, and 17 are out of control in this process; additionally, points 7, 9, 18, and 19 break
rule #4.
● In this c chart, the process is not stable and many points go beyond 3 sigma control levels. Analysis must be
done to find the reason and take corrective action.
● The process is not in control.
The u chart is also used to measure the number of non-conforming defects. Principles of c chart and
u chart are quite similar. Some of the principles of u chart are as follows:
● It follows a Poisson distribution.
● It is used to identify attribute data for the sample.
● It is used to measure defects when the sample size is not fixed.
● Control limits of the process may vary.
● The subgroup size should at least be 20.
𝑢
Control limits = 𝑢 ± 3√(𝑎 )
Q The plastics operation counts defects after a “run” which is undetermined in length (once
started, it continues until all material is used). Is the process in control?
● Since the count of defects has a varying area of opportunity and the length of runs is not
constant, u chart will be used.
A ● In this u chart, point 18 has gone beyond the 3 sigma level. Analysis must be done to find the reason
and corrective action must be taken if necessary.
● Point 18 is out of control in this process.
Control plan is a written summary description of the system for controlling a process. A control plan:
● describes actions required to maintain the desired state of the process and minimize process and
product variation;
● evolves and changes with the process and product requirements;
● is also considered a knowledge-transfer document;
● can be created for a process, a step in the process, or even a piece of equipment used in the
process;
● provides a single point of reference for understanding process characteristics, specifications, and
Standard Operation Procedures for the process; and
● enables assignment of responsibility for each activity within the process.
A good control plan should clearly describe what actions are to be taken, when to take them, and who
! should take them, thereby reducing the “fire fighting” syndrome.
Unstable Responsibility
Action plan
conditions and ownership
In the control plan, provide a contact list of technical experts who can be consulted to resolve any issues that
! may occur.
Some of the actions that can be taken to fix and prevent the issues are:
Cost-benefit analysis is used to evaluate the total anticipated cost of a project compared to the total
expected benefits, to determine whether the proposed implementation is worthwhile for a company
or project team.
Cost-Benefit Analysis
Non-Monetary
Monetary Cost Non-Monetary Cost Monetary Benefit
Benefit
Start-up fees, training, Time, lost production, Direct profits, increased Decreased production
tools, processes, etc. potential risk, etc. production capabilities, time, increased reliability
etc. and durability, etc.
To perform cost-benefit analysis, all the identified costs are subtracted from the expected benefits, to
! determine whether the positive benefits outweigh the negative costs.
Copyright 2014, Simplilearn, All rights reserved. 49
What to Control
Key Performance Input Variable (KPIV) Key Performance Output Variable (KPOV)
Monitoring the output alone is not an effective way to control a process and will not result in
! in an efficient process. Both the input and output variables need to be monitored and controlled closely.
Copyright 2014, Simplilearn, All rights reserved. 50
Identifying KPIVs
The KPIVs or the inputs to the process can be identified using various sources, such as:
● Failure Mode and Effects Analysis (FMEA)
● Cause-and-Effect Matrix or Diagram and Cause Verification Matrix
● Multi-Vari Studies
● Regression Analysis
● Design of Experiments (DOE)
Developing and executing control plans require the use of the following tools:
After understanding the process, a multi-functional team must be formed that will be responsible for
controlling the process. Multiple tools can be used such as:
● FMEA
● Special characteristics (critical and significant)
● Control plans or lessons learned from similar parts or processes
● Technical documentation
● Validation plan results
● Optimization methods
● Team knowledge of the process
The questions that need to be asked to define the control plan are as follows:
It is important to identify the level of control that should be built into the process.
Purchase Time of entry CTD Customer order Access All Weekly Admin. Access 1. Review
Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
stamp Weekend
error) and
determine
need to
solve
problem
The Process Step column highlights the name of the process and distinguishes a process from a
process step or a piece of equipment.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Characteristic or Parameter column identifies the KPIV or KPOV to be measured to ensure the
process is in control. These parameters are often a part of the CTQ parameters of the process, as
identified in the Define phase.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Specification or Requirement column defines the process, including the target goal of the process.
The goal for the process should be determined through team discussions, understanding the
technology and the history of the process.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Measurement Method column defines the tool or gauge that will be used for measurement of
the metric. Consider the following factors—availability of the equipment for the process, calibration
and MSA needs of the equipment, training needs on the tool or method, supporting Manufacturing
Performance Index (MPI), and operational blueprint requirements.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
Sample size refers to the number of data entries that will be used to calculate the metric. The
Frequency column defines the frequency at which the metric will be captured and analyzed. The next
column defines who will measure the metric based on the frequency defined earlier.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Where Recorded section is used to indicate where the metric will be recorded. This can be done
through control sheets like charts, plots, logs, or check sheets.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Decision Rules or Corrective Action section identifies the actions to be taken for the out-of-
control specification situation(s).
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
The Reference Number section is used to facilitate access to documented or corrected procedures
against each corrective measure identified in the previous section.
Process Characteristic/ CTQ/ Specification/ Measurement Sample Frequency Who Where Decision Reference
Step Parameter CL Requirement Method Size Measures Recorded Rules/ Number
Corrective
Action
Purchase Time of entry CTD Customer Access All Weekly Admin. Access 1. Review
Order Order entry to PO less database entered database reason for
than 3 days server Time length (Ex:
Weekend
Stamp error) and
determine
need to
solve
problem
Process Characteristic/ CTS Specification/ Measurement Sample Frequency Who Where Decision Rules/
Step Parameter Requirement Method Size Measures Recorded Corrective
Action
Injection Y : Part Dimension CTQ 3.250 + 0.005 in Cpk=2 Gage # 042 5 Each hour Operator X and R If out-of-control condition
Molding Chart appears, 100% inspect all
(Machine parts since last check. If X
#16) out-of control, adjust
injection pressure. If R out-of
–control, adjust coolant
flows.
“ X : Cavity Pressure CTQ 1200 + 15 psi Pressure transducer 5 (automatic, X and R Chart If out-of-control condition
Cpk = 2 in cavity continuous reading) appears, check: Injection
pressure settings;
Temperature controller.
“ X : Coolant Flow CTQ 5 gal / minute Flow meter on 1 Each hour Operator Check Sheet If flow is in yellow, adjust to
machine by Machine green. If flow is in red, 100%
inspect all parts since last
check, and adjust flow to
green.
Process Step What's Input or Output? Spec. Limits/ Measurement Control Method Sample Size Freq. Who/What Where Decision Rule/
Controlled? Requirement Method Measures? Recorded? Corrective Action
Plan review for Critical code Input 100% Critical Project Plan Weekly project 100% Weekly Project Project database Escalation to the
critical code details in project Code mgmt reviews Manager/ Account
plan Automated Manager and
workflow for update project
project plan
management
Conduct review Critical code Input 100% Critical Project Plan Weekly project 100% Weekly Project Lead/ Project database First level
for Critical Code Code mgmt reviews Automated escalation to
workflow for project manager
project and second level
management escalation to
account manager
Conduct review Critical code Output 100% Critical Project Plan and Project mgr signs 100% As per project Project Lead / Project First level
for Critical Code Code Code review off code review plan Code control database/ source escalation to
reports reports database code database project manager
and second level
escalation to
account manager
The Cumulative Sum Control or CuSum chart incorporates all the information by plotting the
cumulative sums of the deviations of the sample values from the target value.
When,
0 = the target for the process mean
x j = the average of the jth sample
The cumulative sum control chart is formed by plotting the quantity as:
i
Ci ( x j 0 )
j 1
The CuSum chart is used for detecting small shifts, monitoring process mean, defects, and variance.
‘Exponentially’ in EWMA refers to more weight on the more recent observations and less weight on
the old observations.
This chart is frequently used in Stock Modeling Software Packages by the analysts who predict the
next day performance based on the previous week’s or month’s performance.
EWMA is superior to the CuSum for larger shifts, particularly if > 0.1
Visual controls are used in visual factory to manage the factory by vision. Following are the types of
visual controls:
Helps people to read the complete process at a Set of rules and regulations that has to be
glance and analyze how the process is working. mandatorily followed in a particular process.
Provides information on process performance, helps Plans that are displayed to know the performance
to understand if the process is in control and of the process on a timely basis.
sustains the improvements made.
Shitsuke (Sustain)
1
Assigning 3S (sort, set in order and shine) job responsibilities
2
Integrating 3S duties into regular work duties
3
Checking the maintenance of 3S
Answer: d.
Explanation: A control chart is used to distinguish between random variation and variation
due to out-of-control condition.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 84
QUIZ
Which of the following are calculated in X and s charts?
2
Answer: a.
Explanation: X is average and s is standard deviation. Hence, average and standard
deviation are calculated in X and s charts. It is used whenever the sample size of a subgroup
is more than 9.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 86
QUIZ
Which of the following charts is used for continuous data?
3
a. np
b. p
c. u
d. X and R
a. np
b. p
c. u
d. X and R
Answer: d.
Explanation: I-MR, X and R, and X and s charts are used for continuous data.
a. Control chart
b. Control plan
c. Control process
d. Control program
a. Control chart
b. Control plan
c. Control process
d. Control program
Answer: b.
Explanation: A control plan is a written summary description of the system for controlling a
process.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 90
QUIZ Which of the following sections of a control plan identifies the KPIV or KPOV to be
5 measured to ensure a process is in control?
a. Characteristic or Parameter
b. Process Step
c. Specification or Requirement
d. Measurement Method
a. Characteristic or Parameter
b. Process Step
c. Specification or Requirement
d. Measurement Method
Answer: a.
Explanation: The Characteristic or Parameter section of a control plan identifies the KPIV or
KPOV to be measured to ensure the process is in control.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 92
QUIZ Which of the following sections of a control plan defines the tool or gauge that will be
6 used for measurement of the metric?
a. Process Step
b. Characteristic or Parameter
c. Measurement Method
d. Specification or Requirement
a. Process Step
b. Characteristic or Parameter
c. Measurement Method
d. Specification or Requirement
Answer: c.
Explanation: The Measurement Method section of a control plan defines the tool or gauge
that will be used for measurement of the metric.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 94
QUIZ Which of the following helps people to read the complete process at a glance and
7 analyze how the process is working?
a. SOP
b. Control board
c. Control chart
d. Control plan
a. SOP
b. Control board
c. Control chart
d. Control plan
Answer: b.
Explanation: Control board helps people to read the complete process at a glance and
analyze how the process is working.
Copyright 2012-2014,Simplilearn,All rights reserved
Copyright 2014, Simplilearn, All rights reserved. 96
QUIZ
Which of the following helps in mess prevention?
8
a. Seiton
b. Seiri
c. Seiso
d. Seiketsu
a. Seiton
b. Seiri
c. Seiso
d. Seiketsu
Answer: c.
Explanation: Seiso is the stage of the 5S in Lean Six Sigma that helps in mess prevention.
a. Seiton
b. Seiri
c. Seiso
d. Seiketsu
a. Seiton
b. Seiri
c. Seiso
d. Seiketsu
Answer: d.
Explanation: Seiketsu stands for standardize.
Here is a quick ● Statistical process control aids in visual monitoring of the process and controlling its
recap of what we parameters by placing statistical measures around the process outputs or input variables.
have learned in this
● Control charts are useful for tracking process statistics over time and detecting the
lesson:
presence of special causes.
● A good control plan should clearly describe what actions are to be taken, when to take
them, and who should take them, thereby reduce the fire fighting syndrome.
● After understanding the process, a multi-functional team must be formed who will be
responsible for controlling the process. Multiple tools and techniques can be used.
● Visual factory is a term used to describe a Lean production environment where charts
and signs are used to display information.
● The 5S in Lean Six sigma stands for Seiri/Sort, Seiton/Simplify, Seiso/Sweep,
Seiketsu/Standardize, and Shitsuke/Sustain.