Manual on Presentation of Data and Control Chart Analysis Sixth Edition ailbContents Preface Presentation of Data Summary Recommendations for Presentation of Data Glossary of Symbols Used in Part 1 Introducti 1. Purpose 2. Type of Data Considered 3. Homogeneous Data 4. Typical Examples of Physical Data 1 Ungrouped Frequency Distributions 5. Ungrouped Frequency Distributions 6. Remarks Grouped Frequency Distributions 7. Introduction 8. Definitions 9. Choice of Cell Boundaries 10. Number of Cells 11. Methods of Classifying Observations 12. Cumulative Frequency Distribution 13, Tabular Presentation 14, Graphical Presentation 15. “Stem and Leaf” Diagram 16. Remarks Functions of a Frequency Distribution 17. Introduction 18. Relative Frequency 19. Average (Arithmetic Mean) 20. Other Measures of Central Tendency 21, Standard Deviation 22. Other Measures of Dispersion 23, Skewness—g, 23a. Kurtosis—es 24. Remarks NNOO8 GoOMMe wastMethods of Computing X, s, g,, and g: 25. Computation of Average and Standard Deviation 26. Short Method of Computation When 1 is Large 27, Remarks Amount of Information Contained in p, X, 8; g1, and ge 28. Introduction 29. The Problem 30. Several Values of Relative Frequency, p 31. Single Value of Relative Frequency, p 32. Average X, Only 33. Average X and Standard Deviation s 44 ndard Deviation s, Skewness ., b ‘ent of Variation Instead of the Standard Deviation 36. General Comment on Observed Frequency Distributions of a Series of ASTM Observations 37. Summary—Amount of Information Contained in Simple Functions of the Data 35. Essential Information 38. Introduction 39. What Functions of the Data Contain the Essential Information 40. Presenting X Only Versus Presenting X and s 41. Observed Relationships 42. Summary: Essential Information Presentation of Relevant Information 43. Introduction 44. Relevant Information 45. Evidence of Control Recommendations 46. Recommendations for Presentation of Data References for Part 1 Presenting Plus or Minus Limits of Uncertainty of an Observed Average Glossary of Symbols Used in Part 2 Purpose The Problem Theoretical Background Computation of Experimental Illustration Presentation of Data ‘One-Sided Limits General Comments on the Use of Confidence Limits, a 21 22 23 23 23 23 24 24 24 25 29 30 30 31 31 31 32 32 34 34 34 34 35 35 35 35 37 37 37 37 38 38 41 41 42 429. Number of Places to be Retained in Computation and Presentation ‘Supplements A. Presenting Plus or Minus Limits of Uncertainty for 6, Normal Distribution B. Presenting Plus or Minus Limits of Uncertainty for p’ References for Part 2 Control Chart Method of Analysis and Presen of Data Glossary of Terms and Symbols Used in Part 3 General Principles Purpose Terminology and Technical Background Two Uses Breaking up Data into Rational Subgroups General Technique in Using Control Chart Method Control Limits and Criteria of Control Control—No Standard Given 7. Introduction 8. Control Charts for Averages, X, and lor Standard Deviations, s—Large Samples 9. Control Charts for Averages, X, and for Standard Deviations, s—Small Samples 10. Control Charts for Averages, X, and for Ranges, R—Small Samples 11, Summary, Control Charts for X, s, and R—No Standard Given 12, Control Charts for Attributes Data 13. Control Chart for Fraction Nonconforming, p 14. Control Chart for Number of Nonconforming Units np 15. Control Chart for Nonconformities per Unit 16. Control Chart for Number of Nonconformities ¢ 17. Summary, Control Charis for p, np, tt, and c—No Standard Given Control with Respect to a Given Standard 18, Introduction 19. Control Charts for Averages X and for Standard Deviation, s 20, Control Chart for Ranges R 21, Summary, Control Charts for X, s, and R— Standard Given 22, Control Charts for Attributes Data 23. Control Chart for Fraction Nonconforming, p 43 ery 46 48 49 49, 50 51 52 52 52 3 61 61 ol 62 62 63 63 6424. Control Chart for Number of Nonconformi Units, mp 5. Control Chart for Nonconformities per Unit, 1 26. Control Chart for Number of Nonconformities, ¢ 7, Summary, Control Charts for p, np, i, and c- Standard Given if Control Charts for Individuals 28, Introduction 29. Control Chart for Individuals, X—Using Rational Subgroups 30, Control Chart for Individuals—Using Moving Ranges Examples 31, Illustrative Examples—Control, No Standard Given Example 1: Control Charts for X and s, Large Samples of Equal Size (Section 8A) Example 2: Control Charts for X and s, Large Samples of Unequal Size (Section 8B) Example 3: Control Charts for X and s, Small Samples of Equal Size (Section 9) Example 4: Control Charts for X and s, Small ‘Samples of Unequal Size (Section 9B) Example 5: Control Charts for X and R, Small ‘Samples of Equal Size (Section 10A) Example 6: Control Charts for X and R, Small Samples of Unequal Size (Section 10B) Example 7; Control Charts for p, Samples of Equal Size (Section 13A), and np, Samples of Equal Size (Section 14) Example 8: Control Chart for p, Samples of Unequal Size (Section 13B) Example 9: Control Charts for x, Samples of Equal Size (Section 15A), and c, Samples of Equal Size (Section 16A) Example 10: Control Chart for u, Samples of Unequal Size (Section 15B) Example 11: Control Charts for c, Samples of Equal Size (Section 16A) 32, Hlustrative Examples—Control With Respect to a Given Standard Example 12: Control Charts for X and 5, Large Samples of Equal Size (Section 19) Example 13: Control Charts for X and s, Large ‘Samples of Unequal Size (Section 19) Example 14: Control Chart for X and s, Small Samples of Equal Size (Section 19) Example 15: Control Chart for X and s, Small Samples of Unequal Size (Section 19) 67 67 67 67 7 68 68 69 70 70 a R 2 B 75 76 76 28 78 7933. Example 16: Control Charis for X and R, Small Samples of Equal Size (Section 19 and 20) Example 17: Control Charts for p, Samples of Equal Size (Section 23), and np, Samples of Equal Size (Section 24) Example 18: Control Chart for p (Fraction Nonconforming), Samples of Unequal Size (Section 23) Example 19: Control Chart for p (Fraction Rejected), Total and Components, Samples of Unequal Size (Section 23) Example 20: Conirol Chart for u, Samples of Unequal Size (Section 25) Example 21: Coniral Charts for Equal Size (Section 26) Ilustrative Examples—Control Chart for Individuals Example 22: Control Chart for Individuals, X— Using Rational Subgroups, Samples of Equal Size, No Standard Given—Based on X and R (Section 29) Example 23: Control Chart for Individuals, X— Using Rational Subgroups, Standard Given Based on py and ay (Section 29) Example 24: Control Charts for Individuals, X, and Moving Range, R, of Two Observations, No Standard Given—Based on X and R, the Mean Moving Range (Section 30A) Example 25: Control Charts for Individuals, X, and Moving Range, R, of Two Observations, Standard Given—Based on iy and ay (Section 30B) , Samples of Supplements A B. Mathematical Relations and Tables of Factors for Computing Control Chart Lines Explanatory Notes References for Part 3 Selected Papers on Control Chart Techniques Appendix List of Some Related Publications on Quality Control Index 79 80 82 82 85 86 86 88. 89 89 1 91 95 98 98 101 103PREFACE ‘Tits Mamual on the Presentation of Data and Control Chart Analysis (MNL. 7), was pre- pared by ASTM Committee E-11 on Quality and Statistics to make available to the ASTM membership, and others, informa- tion regarding statistical and quality con- trol methods and to make recommenda- tions for their application in en; work of the Society. The qual methods considered herein are those meth- ods that have been developed on a statis tical basis to control the quality of product through the proper relation of specific production, and inspection as parts of aco! tinuing process. The purposes for which the Society was founded—the promotion of knowledge of the maicrials of engineering, and the stan- Cardization of specifications and the meth- ‘ods of testing—inyolve at every turn the col lection, analysis, interpretation, and presentation of quantitative data. Such data form an important part of the source ‘material used in arriving at new knowledge and in selecting standards of quality and methods of testing that are adequate, sat isfactory, and economic, from the stand- points of the producer and the consumer. Broadly, the three general objects of gathering engineering data are to discover: () physical constants and frequency distri- butions, (2) relationships—both functional and statistical—between two or more vari- ables, and (3) causes of observed phenom- ena. Under these general headings, the fol- lowing more specific objectives in the work of ASTM may be cited: (a) to discover the distributions of quality characteristics of materials which serve as a basis for setting economic standards of quality, for compar ing the relative merits of two or more ma- terials for a particular use, for controlling quality at desired levels, for predicting What variations in quality may be expected in subsequently produced material; to dis- cover the distributions of the errors of mea- surement for particular test methods, Which serve as a basis for comparing the relative merits of two or more methods of testing. for specifying the precision and ac- curacy of standard tests, for setting up eco- nomical testing and sampling procedures; (b) todiscover the relationship between wo or more properties of a material, such as density and tensile strength: and (c) to dis- cover physical causes of the behavior of ma- terials under particular service condition to discover the causes of nonconformance with specified standards in order to make possible the elimination of assignable causes and the attainment of economic con- trol of quality, Problems falling in these categories can be treated advantageously by the applica- tion of statistical methods and quality co trol methods. This Manual limits itself to several of the items mentioned under (@). PART 1 discusses frequency distributions, simple statistical measures, and the presen- tation, in concise form, of the essential formation contained in a single set of n ob- servations. PART 2 discusses the problem of expressing + limits of uncertainty for various statistical measures, together some working rules for rounding-off ob: served results to an appropriate number of significant figures. PART 3 discusses the control chart method for the analysis of ob servational data obtained from a series of samples, and for detecting lack of statistical control of quality The present Manual is the fifth revision of earlier work on the subject. The original ASTM Manual on Presentation of Data, STP 15, issued in 1933 was prepared by a special committee of former Subcommittee IX on Interpretation and Presentation of Data of ASTM Committee E-1 on Methods of Test- 12 DATA AND CONTROL CHART ANALYSIS ing. In 1935, Supplement A on Presenting + Limits of Uncertainty of an Observed Average and Supplement B on “Control Chart” Method of Analysis and Presentation of Data were issued. These were combined. with the original manual and the whole. 1th minor modifications, was issued as a single volume in 1937. The personnel of the Manual Committee that undertook this early work were: H. F, Dodge, W. C. Chan- cellor, J.T, McKenzie, R. F. Passano, H. G. Romig, R. T. Webster, and A. E. R. West- man, They were aided in their work by the ready cooperation of the Joint Committee ‘on the Development of Applications of Sta- tistics in Engineering and Manufacturing (sponsored by ASTM and the American So. cicty of Mechanical Engineers (ASME)) and especially of the chairman of the Joint Com: mittee, W. A. Shewhart. The nomenclature and symbolism used in this early work were adopted in 1941 and 1942 in the American War Standards on Quality Control (21.1, Z1.2, and Z13) of the American Standards Association, and its Supplement B was re- produced as an appendix with one of these standards, In 1946, ASTM Technical Committee E-11 on Quality Control of Materials was established under the chairmanship of H.F. Dodge, and the manual became its respon- sibility. A major revision was issued in 1951 as ASTM Manual on Quality Control of Ma- ierials, STP 15C. The Task Group that un- dertook the revision of PART I consisted of R. F, Passano, Chairman, H. F, Dodge, A.C Holman, and J. T. McKenzie. The same task group also revised PART 2 (the old Supple- ment A) and the task group for revision of PART 3 (the old Supplement B) consisted of A.E.R. Westman, Chairman, H.P. Dodge, A.L Peterson, H.G. Romig. and L. E, Simon. In this 1951 revision, the term “confidence limits” was introduced and constants for computing 0.95 confidence limits were added to the constants for 0.90and 0.99 con- fidence limits presented in prior printings. Separate treatment was given to control charts for number of defectives," “number of defects,” and “number of defects per unit” and material on control charts for dividuals was added. In the present edition the term “defective” has been replaced by “nonconforming unit” and “defect” by “nonconformity” to agree with definitions adopted by the American Society for Qual- ity Control in 1978 (See the American Na- tional Standard, ANSUASOC A1-1987, Def initions, Symbols, Formulas and Tables for Control Chants.) There were more printings of ASTM STP 15C, one in. 1956 and a second in 1960. The first added the ASTM Recommended Practice for Choice of Sample Size to Es mate the Average Quality of a Lot or Process (E 122) as.an Appendix, This recommended practice had been prepared by a task group of ASTM Committee E-11 con A.G. Scroggie, Chairman, C. A. Bi E, Deming, H. F. Dodge, and S. B. This Appendix was removed from the pres~ ent edition because it is revised more often than the main text of this Manual. The eur rent version of E 122, as well as of other relevant ASTM publications, may be pro- cured from ASTM. (See the list of references at the back of this Manual.) In the 1960 printing, a number of minor modifications were made by an ad hoc com- mittee consisting of Harold Dodge, Chai man, Simon Collier, R. H. Ede, R. J. Hader, and E. G. Olds. The principal change in ASTM STP JSC introduced in ASTM STP 15D was the redefinition of the sample standard de- viation to be s = VEX, — Xr — 0: This change required numerous changes throughout the Manual in mathematical equations and formulas, tables, and nu- merical illustrations. It also led toa sharp- ening of distinctions between sample vale ues, universe values, and standard values which were not formerly deemed necessary New material added in ASTM STP [5D included the following items. The sample measure of kurtosis, gs, was introduced This addition led to revision of Table 8 and Section 34 of PART I. In PART 2, a brief discussion of the determination of confi- dence limits for a universe standard devia- tion and a universe proportion was in- cluded. The Task Group responsible for this fourth revision of the Manual consisted of A. J. Duncan, Chairman, R. A. Freund, F-E. Grubbs, and D.C. McCune, In the twelve years between the ap- pearance of ASTM STP 15D and the present revision there were two reprintings without significant changes. In that period a number of misprints and minor inconsistencies were found in ASTM STP 15D. Among these were a few erroneous calculated values ofcontrol chart factors appearing in tables of PART 3. While all of these errors were small, the mere fact that they existed sug- gested a nced to recalculate all tabled con- trol chart factors. This task was carried out by A. T. A, Holden, a student at the Center for Quality and Applied Statistics at the Rochester Institute of Technology, under the general guidance of Professor E. G. Schilling of Committee E 11. The tabled val- tucs of control chart factors have been cor- rected where found in error. In addition, some ambiguities and inconsistencies be tween the text and the examples on attri- bute control charts have received attention, A few changes have been made to bring the Manual into better agreement with con- temporary statistical notation and usage. The symbol 1 (Greek mu”) has replaced X" (and ¥’) for the universe average of mea- surements (and of sample averages of those measurements.) At the same time the sym- bol « has replaced a’ as the universe value of standard deviation. This entailed replac- ing o by Siu) to denote the sample root- mean-square deviation. Replacing the uni- verse values p’, u’ and c” by Greek letters was thought worse than leaving them as they are. Section 33, PART 1, on distribu- tional information ‘conveyed by Cheby- shev's inequality, has been revised, Summary of changes in definitions and no MNL7 STP ISD ha.plew se Yio (Snverse values) Tiniverse values) Ha OP Yi a, pa dard vals) Mandard values) In the same twelve-year period since this Manual was last revised three devel- opments have had increasing impact on the presentation of data and control chart analysis. The first is the introduction of a variety of new tools of data analysis and presentation, The effect to date of these de- velopments is not fully relleeted in PART 1 of this edition of the Manual, but an ex- ample of the ‘stem and lea‘ diagram is now presented in Section 15. This Manual from the first has embraced the idea that the control chart isan all-important tool for data analysis and presentation. To integrate properly the discussion of this established tool with the newer ones presents a chal- lenge beyond the scope of this revision ‘The second development of recent years strongly alfecting the presentation of data and control chart analysis is the greatly in- creased capacity, speed, and availability of digital computers and calculators. The computer revolution has not only enhanced capabilities for data analysis and presen- tation, but has enabled techniques of high- speed real-time data-taking, analysis, and process control, which a short time ago would have been infeasible, if not unthink- able. This has made it desirable to include some discussion of practical approxima- tions for control chart factors for rapid if not real-time application. Supplement A has been considerably revised as a result. (The issue of approximations was raised by Professor A. L. Sweet of Purdue University.) The approximations presented in this Man- ual presume the computational ability to take squares and square roots of rational numbers without using tables. Accordingly the Table of Squares and Square Roots which appeared as an Appendix to ASTM STP 15D has been removed from this ver~ sion. Further discussion of approximations appears in Notes 8 and 9 of Supplement B, PART 3. Some of the approximations pre- sented in PART 3 appear to be new and assume mathematical forms suggested in part by unpublished work of Dr. D. L. Ja- german of AT&T Bell Laboratories on the ratio of gamma functions with near argu- ments. The third development has been the refinement of alternative forms of con- trol chart, especially the exponentially weighted moving average chart and the cu~ mulative sum (‘cusum”) chart. Unfortu- nately Lime was lacking to include di sion of these developments in this revision, although references are given. The assis- tance of S.J Amster of AT&T Bell Labora- tories in providing recent references 10 these developments is gratefully acknowl- edged. The current revision by Committee E11 was initiated by M. G. Natrella with the help of comments from A. Bloomberg, J.T. Bygott, B.A. Drew, R.A. Freund, E. H Tebe, B. Hi Levine, D.C. McCune, R. C Paule, R. FPotthoff, E.G. Schilling and R. R. Stone. The revision was completed by R. B. Murphy and R. R. Stone with further comments from A. J. Duncan, R. A. Freund, JH. Hooper, E. H. Jebe and T. D, Murphy. 3 Introductory InformationPresentation of Data PART 1 1s CONCERNED solely with present- ing information about a given sample of data. It contains no discussion of inferences, that might be made about the population from which the sample came. SUMMARY Bearing in mind that no rules can be laid down to which no exceptions ean be found. the committee believes that if the recom- mendations presented are followed, the pre- sentations will contain the essential infor- mation for a majority of the uses made of ASTM data. RECOMMENDATIONS FOR PRESENTATION OF DATA en a sample of » observations of a single variable obtained under the same essential conditions: 1. Present as a minimum, the average, the standard deviation, and the number of observations. Always state the number of observations, 2. If the number of observations is large and if it is desired to use a theoretical curve as a graduation formula, present also the values of the skewness, g,, and the kur- tosis, g:. Alternatively, present a grouped frequency distribution 3. If the data were not obtained under controlled conditions and it is desired to ive information regarding the extreme ob- served effects of assignable causes, present the values of the maximum and minimum observations in addition to the average, the standard deviation, and the number of ob- servations. 4, Present as much evidence as possi- ble that the data were obtained under con. trolled conditions. 5. Present relevant information on pre- cisely (a) the field of application within which the measurements are believed valid and (b) the conditions under which they were made, GLOSSARY OF SYMBOLS USED IN PART 1 d_ Used in Section 26 to designate de- vation in cells from an arbitrary or igin 1 Observed frequency (number of obser- vations) in a single cell of a frequency distribution 1 Sample coefficient of skewness, « mea. sure of skewness, or lopsidedness of a distribution gz Sample coefficient of kurtosis nt Number of observed values (obser- vations) p Sample relative frequency or propor: tion, the ratio of the number of oc- currences of a given type to the total possible number of occurrences, the ratio of the number of observations in any stated interval to the total number of observations: sample jrac- tion nonconforming for measured values the ratio of the number of ob- servations lying outside specified limits (or beyond a specified limit) to the total number of observations R Sample range, the difference between the largest observed value and the smallest observed value 5 Sample standard deviation ° Saniple variance Sim) Sariple root-mean-square deviation V Sample coefficient of variation, a mea-