Control Phase of The DMAIC Project 1681711113

Ka n ba n
Ka
a iz e n
Sta nda rdized W ork
Visua l Fa ctory
5 S - W ork pla ce O rga niza tion
Sort
W orker or Don’t Do Defective At Other
Machine Error Anything Step
Discover Take Action/ No N ex

ext
Error Feedback Defect St
Ste
ep
Source Inspection
“ KEEP ERRO RS FRO M
TU RN I N G I N TO D EFECTS”
TUR
Certified Lean Six

Sigma Black Belt Book
Control Phase
Welcome to Control
Use this gra ph a s a genera l guide
y of Use
for deciding w here to store items

a long w ith the ta ble below .
requency
Frequenc
A
B
C
Distan
ance
ce
Frequency of Keep within arms Keep in local Keep in remote

Utilization Class reach location location
Daily or several times
a day A YES MAYBE NO
Weekly
eekly B MAYB
MAYBE YES
YES NO
Monthly or quarterly C NO NO YES

556
Lean Six Sigma

Black Belt Training
Control Phase
Welcome to Control
Now that we have completed the Improve Phase we are going to jump into the Control Phase.
Welcome to Control will give you a brief look at the topics we are going to cover.
Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

557
Welcome to Control
Overview
These are the modules
we will cover in the
W
W elcome
elcom e to
to Control
Control
Control Phase as we
attempt to insure that
the gains we have Adva
Advanced
nced Ex
Experim ents
periments
made with our project
remain in place..
Adva
Advanced
nced Ca
Capa
pability
bility
We will examine the
meaning of each of
these and show you Lea
Leann Controls
Controls
how to apply them.
Defect
Defect Controls
Controls
Sta
Statistica
tisticall Process
Process Control
Control
(SPC)
(SPC)
Six
Six Sigm
Sigmaa Control
Control Pla
Plans
ns
W
W ra
rapp Up
Up &
& Action
Action Item
Itemss
DMAIC Roadmap
Process Owner
Champion/
Identify Problem Area
Determine Appropriate Project Focus

Define
Estimate COPQ
Establish Team
Measure
Assess Stability, Capability, and Measurement Systems
Identify and Prioritize All X’s

yze
Analy
Prove/ Disprove Impact X’s Have On Problem

Improve
Identify, Prioritize, Select Solutions Control or Eliminate X’s Causing Problems
Implement Solutions to Control or Eliminate X’s Causing Problems

Control
Implement Control Plan to Ensure Problem Doesn’t Return

C
Verify Financial Impact

558
Welcome to Control
Control Phase Finality with Control Plans
Improvement Selected
Develop Training Plan
Implement Training Plan
Develop Documentation Plan
Implement Documentation Plan
Develop Monitoring Plan
Implement Monitoring Plan
Develop Response Plan
Implement Response Plan
Develop Plan to Align Systems and Structures
Align
g Systems
y and Structures
Go to N ext Project

559
Lean Six Sigma

Black Belt Training
Control Phase
Lean Controls
Now we will continue in the Control Phase with “Lean Controls”.

560
Lean Controls
Overview
You can see in this section of the course we will look at the Vision of Lean, Lean Tools and
Sustaining Project Success.
We will examine the meaning of each of these and show you how to apply them.
W
W elcom
elcomee to
to Control
Control
Adva
Ad
Advancedd Ex
nced E
Ex perim
i ents
t
periments
Adva
Advanced
nced Ca
Capa
pability
bility Vision
Vision of
of Lean
Lean Supporting
Supporting Six
Six Sigma
Sigma
Lea
Leann Controls
Controls Lean
Lean Tool
Tool Highlights
Highlights
Defect
Defect Controls
Controls Project
Project Sustained
Sustained Success
Success
Sta
Statistica
tisticall Process
Process Control
Control
(SPC)
(SPC)
Six
Six Sigm
Sigmaa Control
Control Pla
Plans
ns
W
W ra
rapp Up
Up &
& Action
Action Item
Itemss
Lean Controls
You’ve begun the process of sustaining your project after finding the “vital few” X’s to your project.
In the last module with Advanced Process Capability, we discussed removing some of the Special
Causes causing spread from outliers in the process performance.
This module gives more tools from the Lean toolbox to stabilize your process.
Belts, after some practice, often consider this module’s set of tools a way to improve some
processes that are totally “out of control” or of such poor Process Capability before applying the Six
Sigma methodology.
The tools we are going to review within this module can be used to help control a process. They can
be utilized at any time in an improvement effort not just control. These Lean concepts can be applied
to help reduce variation, effect outliers or clean up a process before, during or at the conclusion of a
project.

561
Lean Controls
The Vision of Lean Supporting Your Project
Remember the goal is to achieve and the SUSTAIN our improvements

Remember, improvements. We discussed 5S in the
Define Phase but we are going to review it with a twist here in the Control Phase.
Ka nba n
The Continuous Goa l…l… p W e ca nnot susta in
Susta ining Results Ka izen Ka nba n w ithout
Ka izen.

p W e ca nnot susta in Ka izen
(Six Sigm a ) w ithout
Sta nda rdized W ork .
Visua l Fa ctory p W e ca nnot susta in

Sta nda rdized W ork w ithout a
Visua l Fa ctory.
p W e ca nnot susta in a
visua l fa ctory w ithout 5 S.
Lea n tools a dd discipline required to further susta in ga ins

rea lized w ith Six Sigm a Belt Projects.
What is Waste (MUDA)?

The first step toward waste elimination is waste identification which you did originally with your Project
Charter and measured with your primary metric even if you didn’t use the term waste. All Belt projects
focus efforts into one (or more) of these seven areas.
W a ste is often the root of a ny Six Sigma project. The 7 ba sic

elem ents of w a ste (muda in Ja pa nese) include:
– M uda of Correction
– M uda of O verproduction
– M uda of Processing
– M uda
d off Conveya
C nce
– M uda of Inventory
– M uda of M otion
Get that garbage outta here!
– M uda of W a iting
The specifics of the M UDA w ere discussed in the Define Pha se:
– The reduction of M UDA ca n reduce y our outliers a nd help

w ith defect prevention. O utliers beca use of differing w a ste
a mong procedures, ma chines, etc.

562
Lean Controls
The Goal
Remember that anyy project
p j
Don’t forget the goa l -- Susta ining your Project w hich elimina tes
needs to be sustained. Muda M UDA!
(pronounced like mooo dah)
W ith this in mind, w e w ill introduce a nd review some of the Lea n
are wastes than can reappear tools used to susta in y our project success.
if the following Lean tools are
not used. The goal is to have
your Belts move onto other
projects and not be used as
firefighters
firefighters.
5S - Workplace Organization
The term “5S” derives from the
Japanese words for five practices • 5S means the workplace is
leading to a clean and clean, there is a place for
manageable work area. The five everything and everything
is in its place
place.
“S” are: ‘S
‘Seiri'
i i' means to
t separate
t
needed tools, parts, and • 5S is the starting point for
instructions from unneeded implementing
improvements to a process.
materials and to remove the
latter. 'Seiton' means to neatly • To ensure your gains are
sustainable, you must start
arrange and identify parts and with a firm foundation.
tools for ease of use. 'Seiso'
means to conduct a cleanup • Its strength is contingent
upon the employees and
campaign. 'Seiketsu' means to company being committed
conduct seiri, seiton, and seiso at to maintaining it.
frequent, indeed daily, intervals to
maintain a workplace in perfect
condition. 'Shitsuke' means to form the habit of always following the first four S’s.
On the next page the Japanese words are translated to English words. Simply put, 5S means the
workplace is clean
clean, there is a place for everything and everything is in its place.
place The 5S will create
a workplace that is suitable for and will stimulate high quality and high productivity work.
Additionally it will make the workplace more comfortable and a place in which you can take pride.
Developed in Japan, this method assume no effective and quality job can be done without clean
and safe environment and without behavioral rules.
The 5S allow you to set up a well adapted and functional work environment, ruled by simple yet
effective rules.
rules 5S deployment is done in a logical and progressive way
way. The first three S
S’s
s are
workplace actions, while the last two are sustaining and progress actions.
It is recommended to start implementing 5S in a well chosen pilot workspace or pilot process and
spread to the others step by step.

563
Lean Controls
5S Translation - Workplace Organization
Step Ja pa nese Litera l Tra nsla tion English
Step 1 : Seiri Clearing Up Sorting
Step 2 : Seiton Organizing Straightening
Step 3 : Seiso Cleaning Shining
Step 4 : Seketsu Standardizing Standardizing
Step 5 : Shitsuke Training & Discipline Sustaining
Focus on using the English w ords, much ea sier to remember.
The English translations are:
Seiri = Sorting
Eliminate everything not required for the current work, keeping only the bare essentials.
Seiton = Straightening
Arrange items in a way that they are easily visible and accessible.
Seiso = Shining
Clean everything and find ways to keep it clean. Make cleaning a part of your everyday
work.
Seketsu = Standardizing
Create rules by which the first three S’s are maintained.
Shitsuke = Sustaining
Keep 5S activities from unraveling

564
Lean Controls
SORTING - Decide what is needed.

The first stage of 5S is to
organize the work area, Definition:
leaving only the tools
– To sort out necessary and
and materials necessary unnecessary items.
to perform daily
– To store often used items at
activities. When “sorting” the work area, infrequently
is well implemented, used items away from the
communication between work area and dispose of
workers is improved and items that are not needed.
product quality and W hy: Things
Thingsto
torem
remember
ember
productivity are •• Start
Startininone
onearea,
area,then
thensort
sort
– Removes waste. through
througheverything.
everything.
increased. – Safer work area. •• Discuss
Discussremoval
removalofofitems
itemswith
withall
all
persons
personsinvolved.
involved.
– Gains space. •• Use appropriate
Use appropriate
– Easier to visualize the decontamination,
decontamination, environmental,
environmental,
and
andsafety
safetyprocedures.
procedures.
process. •• Items that cannot be
It
Items that b removed
th t cannott be removedd
immediately
immediatelyshould
shouldbe betagged
tagged
for later removal.
for later removal.
•• ififnecessary,
necessary,useusemovers
moversandand
riggers.
riggers.
A Method for Sorting
5S usually begins with a

Item
great initial cleaning,
where sorting out the
items is a highlight. For
Useful Unk now n Useless
each item, it must be
stated if it is useful,
useless or undetermined.
For some items, the Keep &
M onitor
statement may be touchy,
Keep &
as nobody seems to know Store
if they are really useful or
not, and what is their Useful Useless
Sorting
frequency of use.
Always start with the ABC

Dispose
easiest items to classify. Stora ge
Difficulty should be no
excuse, go for it, starting with easiest: Sort each item according to three categories:
1. Useful 2. Useless 3. Unknown
The two first categories are problem to sort as their status is clear. Dispose of immediately any
useless items, because they just clutter the workspace, lead to loss of time, confusion and poor
quality. For items in the unknown category or the frequency of use is unclear, keep them where
they are for a predetermined period of time and if found that they are not used dispose of them.
For items that are useful, there is also a method for determining how and where they should be
stored to help you achieve a clean and orderly workplace.

565
Lean Controls
A Method for Sorting
Use this gra ph a s a genera l guide

Frequency of Use for deciding w here to store items
a long w ith the ta ble below .
A
B
C
F
Distance
Frequency of Keep within arms Keep in local Keep in remote

Utilization Class reach location location
Daily or several times
a day A YES MAYBE NO
Weekly B MAYBE YES NO
Monthly or quarterly C NO NO YES
After you have determined the usefulness of an item, set three classes for determining where to store an
item based on the frequency of use and the distance to travel to get the item. “A” is for things which are
to be kept close at hand, because the frequency of use is high. “B” is if the item is used infrequently but
approximately on a weekly basis. Do no put it on your work surface, rather keep in easy walking
distance, i.e. on a bookshelf or in a nearby cabinet, usually in the same room you are in. For “C” items it
is acceptable to store in a somewhat remote place, meaning a few minutes walk away.
By rigorously applying the sort action and the prescribed method, you will find that the remainder of the
5S items will be quite easy to accomplish. It is very difficult to order a large number of items in a given
space and the amount of cleaning increases with the number of items. Your workplace should only
contain those items needed on a daily to weekly basis to perform your job.
STRAIGHTENING – Arranging Necessary Items
The second stage of

Definition:
5S involves the
– To arrange all necessary items.
orderly arrangement
– To have a designated place
of needed items so
for everything.
they are easy to use
– A place for everything and
and accessible for everything in its place.
“anyone” to find. – Easily visible and accessible.
Orderliness eliminates W hy: Things
Thingsto
toremember
rem ember
waste in production – Visually shows what is required •• Things
Thingsused
usedtogether
together
and clerical activities. should
shouldbe bekept
kepttogether.
or is out of place. together.
•• Use
Uselabels,
labels,tape,
tape,floor
floor
– More efficient to find items and markings,
markings,signs,
signs,and
and
documents (silhouettes/ labels). shadow
shadowoutlines.
outlines.
– Saves time by not having to •• Sharable
Sharableitems
itemssho
shouldld be
should be
search for items. kept
keptatataacentral
centrallocation
location
(eliminated excess).
(eliminated excess).
– Shorter travel distances.

566
Lean Controls
SHINING – Cleaning the Workplace
The third stage of 5S

is keeping everything Definition:
clean and swept. – Clean everything and
find ways to keep it
This maintains a clean.
safer work area and – Make cleaning a part
problem areas are of your everyday work.
quickly identified. An W hy:
important part of – A clean workplace
“shining” is “Mess indicates a quality Things
product and process. Thingsto
torem
remember
ember
Prevention.” In other •• “ “Everything
– Dust and dirt cause Everythingininits
itsplace”
place” frees
freesup up
words, don’t allow time
timefor
forcleaning.
cleaning.
litter, scrap, product contamination •• Use
and potential health Useananoffice
officeororfacility
facilitylayout
layoutas asaa
shavings, cuttings, visual
visualaid
aidtotoidentify
identifyindividual
individual
hazards. responsibilities
responsibilitiesforforcleaning.
cleaning.This This
etc., to land on the eliminates
– A clean workplace eliminates“ “no
noman’s
man’sland.”
land.”
floor in the first p identify
helps y abnormal •• Cleaning
Cleaningthethework
workarea
areaisislike
like
place. conditions. bathing.
bathing.ItItrelieves
relievesstress
stressandandstrain,
strain,
removes
removessweat
sweatand anddirt,
dirt,and
and
prepares
preparesthethebody
bodyforforthe
thenext
nextday.
day.
STANDARDIZING – Creating Consistency
The fourth stage of 5S

involves creating a Definition:
consistent approach – To maintain the workplace
for carrying out tasks at a level that uncovers
and procedures. problems and makes them
Orderliness is the obvious.
core of – To continuously improve
“standardization” and your office or facility by
is maintained by continuous assessment and
Visual Controls which action.
might consist of: Things
Thingsto torem
remem emberber
W hy:
Signboards, Painted •• WW e must keepthe
e must keep thework
workplace
placeneat
neat
Lines, Color-coding – To sustain sorting, storage enough
enoughforforvisual
visualidentifiers
identifierstotobe
be
strategies and and shining activities every effective
effectiveininuncovering
uncoveringhidden
hidden
day. problems.
problems.
Standardizing “Best
•• Develop
Developaasystem
systemthat
thatenables
enables
Methods” across the everyone
everyoneininthetheworkplace
workplacetotosee see
organization. problems
problemswhenwhenthey
theyoccur.
occur.

567
Lean Controls
SUSTAINING – Maintaining the 5S
This last stage of 5S

is the discipline and
commitment of all Definition:
other stages. – To maintain our
Without “sustaining”, discipline, we need to
your workplace can
practice and repeat until
easily revert back to
being dirty and it becomes a way of life.
chaotic. That is why Things
Thingsto toRem
Remem ember
ber
it is so crucial for W hy: •• Develop
Develop schedulesand
schedules and
your team to be check
checklists.
lists.
empowered to – To build 5S into our •• Good
Goodhabits
habitsare arehard
hard
improve and everyday process. totoestablish.
establish.
maintain their •• Commitment
Commitmentand anddiscipline
discipline
workplace. Keeping toward
towardhousekeeping
housekeepingare are
a 5S program vital in essential
essentialfirst p toward
firststeps
steps toward
an organization being
beingworld
worldclass.
class.
creates a cleaner
workplace, a safer
workplace. It
contributes to how we feel about our product, our process, our company and ourselves. It provides
a customer showcase to promote your business and product quality will improve – especially by
reducing contaminants. Efficiency will increase also. When employees take pride in their work and
workplace it can lead to greater job satisfaction and higher productivity.
The Visual Factory
A visual factory can

The ba sis a nd founda tion of a Visua l Fa ctory a re the 5 S Sta nda rds.
best be represented by
a workplace
k l where
h a A Visua l Fa ctory ena bles a process to ma na ge its processes w ith clea r
recently hired indica tions of opportunities. Your tea m should a sk the follow ing
supervisor can easily questions if look ing for a project:
identify inventory – Ca n w e rea dily identify Dow ntime Issues?
levels, extra tools or – Ca n w e rea dily identify Scra p Issues?
supplies, scrap issues, – Ca n w e rea dily identify Cha ngeover Problem s?
downtime concerns or – Ca n w e rea dily identify Line Ba la ncing Opportunities?
even issues with setups – Ca n w e rea dily identify Ex cessive Inventory Levels?
or changeovers. – Ca n w e rea dily identify Ex tra neous Tools & Supplies?
Ex ercise:
– Ca n you com e up w ith a ny opportunities for “ VISUAL” a ids in y our
project?
– W ha t visua l a ids ex ist to ma na ge y our process?

568
Lean Controls
What is Standardized Work?
If the items a re orga nized a nd orderly ,

then sta nda rdized w ork ca n be
a ccomplished. Affected
– Less sta nda rd devia tion of results Sta nda rdized W ork employees
– Visua l fa ctory dema nds fra mew ork should
of sta nda rdized w ork . understand that
once they
The “ one best w a y” to perform ea ch together have
opera tion ha s been identified a nd Visua l Fa ctory defined the
a greed upon through genera l consensus standard, they
(not ma jority rules) will be expected
– This defines the “ Sta nda rd” w ork W e ca nnot to perform the
procedure susta in job according to
Sta nda rdized that standard.
W ork w ithout
5 S a nd the
Visua l Fa ctory .
Prerequisites for Standardized Work
Sta nda rdized w ork does not ha ppen w ithout the visua l fa ctory
w hich ca n be further described w ith:
Ava ila bility of required tools (5 S). O pera tors ca nnot be ex pected
to m a inta in sta nda rd w ork if required to loca te needed tools
Consistent flow of ra w m a teria l. O pera tors ca nnot be ex pected

to m a inta in sta nda rd w ork if they a re sea rching for needed pa rts
Visua l a lert of va ria tion in the process (visua l fa ctory).

ctory)
O pera tors, ma teria l ha ndlers, office sta ff a ll need visua l signa ls to
k eep “ sta nda rd w ork ” a sta nda rd
Identified a nd la beled in-process stock (5 S). As inventory levels of

in-process stock decrea se, a visua l signa l should be sent to the
ma teria l ha ndlers to replenish this stock
The steps in developing CTQ’s are identifying the customer, capturing the Voice of the Customer and
finally validating the CTQ’s.

569
Lean Controls
What is Kaizen?
• Definition* : The philosophy of continual Ka izen

improvement, that every process can and
should be continually evaluated and
improved in terms of time required, resources
used, resultant quality, and other aspects Sta nda rdized W ork
relevant to the process.
• Kaikaku are breakthrough successes which

are the
th fifirstt focus
f off Six
Si Sigma
Si projects.
j t
Visua l Fa ctory
* N ote: Ka izen Definition from: All I

N eeded To Know About
M a nufa cturing I Lea rned in Joe’s
Ga ra ge. M iller a nd Schenk ,
Ba y rock Press, 1 9 9 6 . Pa ge 7 5 . 5 S - W ork pla ce O rga niza tion
A Kaizen event is very similar to a Six Sigma project. A Six Sigma project is actually a Kaizen.
By involving your project team or others in an area to assist with implementing the Lean Control
or concepts you will increase buy in of the team which will effect your projects sustainability.
Prerequisites for Kaizen
Ka izen’ s need the follow ing cultura l elem ents:
M a na gem ent Support. Consider the corpora te support w hich is the

rea son w hy Six Sigm a focus is a success in y our orga niza tion
M ea sura ble Process. W ithout sta nda rdized w ork , w e rea lly w ouldn’ t
ha ve a consistent process to m ea sure. Cy cle tim es w ould va ry , a ssem bly
m ethods w ould va ry , ba tches of m a teria ls w ould be m ix ed, etc…
Ana ly sis Tools. There a re im provem ent projects in ea ch orga niza tion
w hich ca nnot be solved by a n opera tor. This is w hy w e tea ch the
a na ly sis tools in the brea k through stra tegy of Six Sigm a .
O pera tor Support. The orga niza tion needs to understa nd tha t its future
lies in the success of the va lue-a dding em ploy ees. O ur roles a s Belts a re
to convince opera tors tha t w e a re here for them --they w ill then be there
for us.
A Kaizen event can be small or large in scope. Kaizens are improvement with a purpose of constantly
improving a process. Some Kaizens are very small changes like a new jig or placement of a product
or more involved projects. Kaizens are Six Sigma projects with business impact.

570
Lean Controls
What is Kanban?
Ka nba ns a re the best control m ethod of inventory w hich

impa cts som e of the 7 elements of M UDA show n ea rlier.
Ka nba n provides production, conveya nce, a nd delivery
Ka nba n
inform a tion. In it’s purest form the sy stem w ill not a llow
a ny goods to be moved w ithin the fa cility w ithout a n
a ppropria te Ka nba n (or signa l) a tta ched to the goods.
– The Ja pa nese w ord for a com munica tion signa l
or ca rd
rd--typica
typica lly a signa l to begin w ork Ka
a izen
e
– Ka nba n is the technique
used to “ pull” products a nd
m a teria l through a nd into
the lea n m a nufa cturing system.
– The a ctua l “ Ka nba n” ca n be a physica l
signa l such a s a n empty conta iner or
a sma ll ca rd. Visua l Fa ctory
This is a building block. A Kanban needs to be supported by the previous steps we have reviewed. If
Kanbans are abused they will actually backfire and effect the process in a negative manner.
Two Types of Kanban

There are two categories of Kanbans, finished good Kanbans and incoming material Kanbans as
depicted here.
There are two main categories of Kanbans:

Type 1 : Finished goods Ka nba ns Intra - process
– Signa l Ka nba n: Should be
posted a t the end of the P.I.K.
processing a rea to signa l for
production to begin. Production
– P.I.K Ka nba n: Used for a much Instruction Kanban
more refined level of inventory
control. Ka nba n is p posted a s Signa
g l
inventory is depleted thus
insuring only the minim um
a llow a ble level of product is
ma inta ined.
W ithdra w a l
Type 2 : Incoming M a teria l Ka nba ns
– Used to purcha se ma teria ls Inter - Process
from a supplying depa rtment Between two
either
ith interna
i t l or ex terna
t l to
t processes
the orga niza tion. Regula tes
the a mount of W IP inventory
loca ted a t a pa rticula r process. Supplier

571
Lean Controls
Prerequisites for a Successful Kanban System

Kanbans should
smooth out inventory
and keep product These item s support successful Ka nba ns:
flowing but use them • Im prove cha ngeover procedures.
cautiously. If you
prematurely • Rela tively sta ble dem a nd cy cle.
implement a Kanban
it WILL backfire.
• N umber of pa rts per Ka nba n (ca rd) M UST be sta nda rd a nd
SHO ULD be k ept to a s few a s possible pa rts per ca rd.
• Sm a ll a mount of va ria tion (or defects).
• N ea r zero defects should be sent to the a ssembly process

(Result of ea rlier belt projects).
• Consistent cy cle times defined by Sta nda rdized W ork .
• M a teria l ha ndlers must be tra ined in the orga niza tion of the
tra nsporta tion system.
Warnings Regarding Kanban
As w e ha ve indica ted, if y ou do N O T ha ve 5 S,
visua l fa ctory , sta nda rdized w ork a nd ongoing
k a izen’s,, Ka nba ns ca nnot succeed.
Ka nba n systems a re not quick fix es to la rge

inventory problem s, w ork force issues, poor
product pla nning, fluctua ting dem a nd cy cles,
etc...
Don’t forget that “weakest Link” thing!
It is
i nott possible
ibl to
t implement
i l t a viable
i bl KKanban
b systemt without
ith t a strong
t supportt structure
t t maded up
of the prerequisites. One of the most difficult concepts for people to integrate is the simplicity of the
Lean tools… and to keep the discipline. Benchmarks have organizations using up to seven years
to implement a successful Kanban System all the way through supplier and customer supply chain.

572
Lean Controls
The Lean Tools and Sustained Project Success
The Lea n tools help susta in project success

success. The m a in lessons you
should consider a re:
1 . The TEAM should 5 S the project a rea a nd begin integra ting visua l
fa ctory indica tors.
– Indica tions of the need for 5 S a re:
– O utliers in y our project m etric
– Loss of initia l ga ins from project findings
2 . The TEAM should develop Sta nda rdized W ork Instructions

– They a re required to susta in your sy stem benefits.
– How ever, rem em ber w ithout a n orga nized w ork pla ce w ith
5 S sta nda rdized w ork instructions w on’t crea te consistency
3 . Ka izen’s a nd Ka nba n’s ca nnot be a ttem pted w ithout orga nized

w ork pla ces a nd orga nized w ork instructions.
– Rem em ber the need for 5 S a nd Sta nda rdized W ork
Instructions to support our projects.
4 . Project Scope dicta tes how fa r up the Lea n tools la dder y ou need
to im plem ent m ea sures to susta in a ny project success from y our
DM AIC efforts.
The 5 Lean concepts are an excellent method for Belts to sustain their project success. If you have
outliers, declining benefits
f or dropping process capability, you need to consider the concepts
presented in this module.
Class Exercise
In the bounda ries for your project scope, give some

p
ex a mples of Lea n tools in opera
p tion.
– O thers ca n lea rn from those items you consider ba sic.
List other Lea n tools you a re most interested in a pply ing to

susta in y our project results.
To genera te the Ex ercise informa tion consider w a lk ing

a round y our fa cility, especia lly if it is N O T a ma nufa cturing
one, a nd consider w here a visua l fa ctory w ould be useful
a long w ith the other 4 Lea n concepts review ed.

573
Lean Controls
At this point, you should be able to:
Describe some Lean tools
Understand how these tools can help with project

sustainability
Understand how the Lean tools depends on each other
Understand how tools must document the defect prevention

created in the Control Phase
You have now completed Control Phase – Lean Controls.
Notes

574
Lean Six Sigma

Black Belt Training
Control Phase
Defect Controls
Now we will continue in the Control Phase with the “Defect

Defect Controls”
Controls .

575
Defect Controls
Overview
W
W elcom
elcomee to
to Control
Control
Adva
Advanced
nced Ex
Ex perim
periments
ents
Adva
Advanced
nced Ca
Capa
pability
bility
Lea
Leann Controls
Controls Realistic
R li ti T
Realistic Tolerance
l
Tolerance and
d Si
and Six
Six Si
Sigma
Sigma D
Design
i
Design
Defect
Defect Controls
Controls Process
Process Automation
Automation or
or Interruption
Interruption
Sta
Statistica
tisticall Process
Process Control
Control
Poka-Yoke
Poka-Yoke
(SPC)
(SPC)
Six
Si Sigm
Six a Control
Sigma
Si C t l Pla
Control Pl ns
Pla ns
W
W ra
rapp Up
Up &
& Action
Action Item
Itemss
In an effort to put in place Defect Controls we will examine Tolerances, Process Automation and
Poka-Yoke.
We will examine the meaning of each of these and show you how to apply them.
Purpose of Defect Prevention in Control Phase
Process improvem ent efforts often fa lter during implementa tion of

new opera ting
ti methods
th d lea
l rned d in
i the
th Ana
A lyl ze a nd
d Improve
I
Pha ses.
Susta ina ble improvem ents ca n not be a chieved w ithout control

ta ctics to gua ra ntee perma nency .
Defect Prevention seek s to ga in perma nency by elimina ting or

rigidly defining huma n intervention in a process.
Yes sir, we are in CONTROL!
With Defect Prevention we want to ensure that the improvements created during the project stay in place.

576
Defect Controls
Sigma Level for Project Sustaining in Control
The best approach to Defect Prevention is to design Six Sigma right into the process
process.
Designing products a nd processes such tha t the output Y meets or

ex ceeds the ta rget ca pa bility.
24
n on Y
22
Specification
Distribution 21
of Y
19
Relationship
17 Y = F(x)
10 11 12 13 14 15 16 17 18 19 20
Distribution of X
W hen designing the part or process, specifications on X are set such that the
target capability on Y is achieved.
Both the target and tolerance of the X must be addressed in the spec limits.
6s Product/Process Design
Upper
24
Prediction
Interval
Specification on
22
Y
Distribution 21 Relationship
of Y
Y = F(x)
19
17
10 11 12 13 14 15 16 17 18 19 20 Lower
Prediction
Distribution of X Interval
If the rela tionship betw een X a nd Y is empirica lly developed

through regressions or DO E’s uncerta inty ex ists.
As a result
result, confidence interva ls should be used w hen esta blishing
the specifica tions for X .

577
Defect Controls
Product/Process Design Example
Using 95% prediction bands within MIN ITABTM

Stat > Regression>Fitted Lin Plot …..Options…Display Prediction Interval
Regression Plot
Y = 7.75434 + 5.81104X
R-Sq = 88.0 %
90
80
70
W ha t a re the 60
spec limits for

Output
50
the output? 40
30
20
Regression
10
95% PI
0
0 5 10
Input
W ha t is the tolera nce ra nge for the input?
If you w a nt 6 σ perform a nce, you w ill rem em ber to tighten the
output’s specifica tion to select the tolera nce ra nge of the input.
Usually we use the prediction band provided by MINITABTM. This is controllable by manipulation of
the confidence intervals. 90%, 05%, 99%, etc. Play with adjusting the prediction bands to see the
effect it has.
Regression Plot
Y = 2.32891 - 0.282622X
R-Sq = 96.1 %
10
N ote: High
g output
p spec
p connects
w ith top line in both ca ses.
Output2
Regression
0 95% PI Regression Plot

Y = 7.75434 + 5.81104X
R-Sq = 88.0 %
-30 -20 -10 0
Input2 90
80
70
60
Output
50
40
30
20
Regression
Low er input spec

10
95% PI
0
0 5 10
Input
Using top output spec determ ines high or low tolera nce for input
d
depending
di on slope
l off regression
i

578
Defect Controls
Poor Regression Impacting Tolerancing
Regression Plot
Y = -4.7E-01 R-Sq =
+ 0.811312X 90.4 % Poor correla tion does
not a llow for tighter
tolera ncing
20
Outp1
10
Regression Regression Plot

0 95% PI Y = 1.46491 R-Sq =
+ 0.645476X 63.0 %
0 10 20 30
30
Inp1
20
Outp2 10
Regression
0
95% PI
0 10 20 30
Inp1
5 – 6 σ Full Automation
Full Automa tion: Systems that monitor the process and automatically
adjust critical X’s to correct settings
• Automatic gauging and system adjustments

• Automatic detection and system activation systems - landing gear
extension based on aircraft speed and power setting
• Systems that count cycles and automatically make adjustments based
on an optimum number of cycles
• Automated temperature controllers for controlling heating and cooling
systems
• Anti-Lock braking systems
• Automatic welder control units for volts, amps and distance traveled
on each weld cycle
Automation can be an option as well which removes the human element and its inherent
variation. Although use caution to automate a process, many times people jump into automation
prematurely, if you automate a poor process what will that do for you?

579
Defect Controls
Full Automation Example
A Black Belt is working on controlling rust on machined surfaces of

brake rotors:
– A rust inhibiter is applied during the wash cycle after final
machining is completed
– Concentration of the inhibiter in the wash tank is a critical X that
must be maintained
– The previous system was a standard S.O.P. requiring a process
technician to audit and add the inhibiter manually
As part of the Control Phase, the team has implemented an automatic

check and replenish system on the washer
washer.
Full Automa tion
Don’t worry boss, it’s automated!!
4 – 5 σ Process Interruption
Process Interruption: Mechanism installed that shuts down the

process and prevents further operation until a required action is
preformed:
• Ground fault circuit breakers
• Child proof caps on medications
• Software routines to prevent undesirable commands
• Safety interlocks on equipment such as light curtains, dual palm
buttons, ram blocks
• Transfer system guides or fixtures that prevent over or undersized
parts from proceeding
• Temperature conveyor interlocks on ovens
• Missing component detection that stops the process when triggered

580
Defect Controls
4 – 5 σ Process Interruption (cont.)
Ex a mple:
• A Bla ck Belt is w ork ing on la unching a new electric drive unit
on a tra nsfer sy stem
– O ne common fa ilure mode of the sy stem is a bea ring fa ilure
on the m a in motor sha ft
– It w a s determ ined tha t a high press fit a t bea ring
insta lla tion w a s ca using these fa ilures
– The root ca use of the problem turned out to be undersized
bea rings from the supplier
• Until the supplier could be brought into control or repla ced, the
tea m im plem ented a press loa d m onitor a t the bea ring press
w ith a indica tor
– If the monitor detects a press loa d higher tha n the set point,
it shuts dow n the press a nd w ill not a llow the unit to be
removed from press until a n interlock k ey is turned a nd the
ra m resett iin the
th m a nua l m ode
d
– O nly the line lea d person a nd the supervisor ha ve k eys to
the interlock
– The non-conforming pa rt is a utom a tica lly ma rk ed w ith red
dye
Process Interruption
3 – 5 σ Mistake Proofing
Mistake Proofing is
great because it is M ista k e Proofing is best defined as:
usually inexpensive – Using wisdom, ingenuity, or serendipity to create devices
and very effective. allowing a 100% defect free step 100% of the time
Consider the many
everyday examples of
Poka-Yoke is the Japanese term for mistake proofing or to avoid
Mistake Proofing.
You can not fit the “ yokeuro” inadvertent errors “ poka” .
diesel gas hose into 1 2 3 4
an unleaded vehicle
gas tank. Pretty
straightforward right?
straightforward, See if you can
find the Poka-
5 7 8
Yokes!
6

581
Defect Controls
Traditional Quality vs. Mistake Proofing
This clearly
highlights the Tra ditiona l Inspection
difference between
the two Result
approaches. What Sort
are the benefits to W orker or Don’t Do Defective At Other
Machine Error Anything
the Source Step
Inspection method?
Discover Take Action/ No N ext

Error Feedback Defect Step
Source Inspection
“ KEEP ERRO RS FRO M
TURN IN G IN TO DEFECTS”
Styles of Mistake Proofing
There a re 2 sta tes of a defect w hich a re a ddressed w ith

mista k e proofing.
ERRO R ABO UT TO O CCUR ERRO R HAS O CCURRED
DEFECT ABO UT TO O CCUR DEFECT HAS O CCURRED

(Prediction) (Detection)
W ARN IN G SIGN AL W ARN IN G SIGN AL
CO N TRO L / FEEDBACK CO N TRO L / FEEDBACK
SHUTDO W N SHUTDO W N
(Stop O pera tion) (Stop O pera tion)

582
Defect Controls
Mistake Proofing Devices Design
Hints to help design a mista k e proofing device:

– Simple
– Inex pensive
– Give prompt feedba ck
– Give prompt a ction (prevention)
– Focused a pp
pplica tion
– Ha ve the right people’s input
BEST ...makes it impossible for errors to occur

BETTER ……allows for detection while error is being made
GO O D ...detects defect before it continues to the next operation
The very best approaches make creating a defect impossible, recall the gas hose example, you
can not put diesel fuel into an unleaded gas tank unless you really try hard or have a hammer.
Types of Mistake Proof Devices
Conta ct M ethod
Guide Pins of
– Physica l or energy conta ct
w ith product
1 Different Sizes
• Lim it sw itches
• Photo-electric bea m s
Error Detection
Fix ed Va lue M ethod 2 and Alarms
– N umber of pa rts to be
a tta ched/ a ssem bled etc.
a re consta nt
– N umber of steps done
3 Limit Switches
in opera tion
• Lim it sw itches
M otion-step M ethod 4 Counters
– Check s for correct sequencing

– Check s for correct tim ing
• Photo-electric sw itches 5 Checklists
a nd timers

583
Defect Controls
Mistake Proofing Examples

Let s consider
Let’s
examples of Every da y ex a m ples of mista k e-proofing: • Autom obile
mistake proofing • Hom e – Sea t belts
or Poka-Yoke – Autom a ted shutoffs on electric – Air ba gs
devices even in coffee pots – Ca r engine w a rning lights
the home. Have a – Ground fa ult circuit brea k ers for • O ffice
ba throom in or outside electric Spell check in w ord processing
discussion about circuits
–
softw a re
them in the work – Pilotless
ot ess ga s ra
a nges
ges a nd
d hot
ot – Q uestioning “ Do you w a nt to
environment as w a ter hea ters delete” a fter depressing the
well. – Child proof ca ps on m edica tions “ Delete” button on y our
– Buta ne lighters w ith sa fety com puter
button • Fa ctory
• Computers – Dua l pa lm buttons a nd other
– M ouse insertion gua rds on m a chinery
• Reta il
– USB ca ble connection
– Ta m per proof pa ck a ging
– B tt
Ba ttery iinsertion
ti
– Pow er sa ve fea ture
Advantages of Mistake Proofing as a Control Method
M ista k e Proofing a dva nta ges include:

– O nly sim ple tra ining progra m s a re required
– Inspection opera tions a re elimina ted a nd the process is sim plified
– Relieves opera tors from repetitive ta sk s of ty pica l visua l inspection
– Prom otes crea tivity a nd va lue a dding a ctivities
– Results in defect free w ork
– Requires im m edia te a ction w hen problem s a rise
– Provides 1 0 0 % inspection interna l to the opera tion
The best resource for pictoria l ex a m ples of M ista k e Proofing is:
Pok a -Yok e: Improving Product Q ua lity by Preventing Defects.

O verview by Hiroyuk i Hira no. Productivity Press, 1 9 8 8 .)
To see a much more in-depth review of improving the product or service quality by preventing defects
you MUST review the book shown here. A comprehensive 240 Poka-Yoke examples are shown and
can be applied to many industries. The Poka-Yoke’s
Poka Yoke s are meant to address errors from processing,
assembly, mounting, insertion, measurement, dimensional, labeling, inspection, painting, printing,
misalignment and many other reasons.

584
Defect Controls
Defect Prevention Culture and Good Control Plans
IInvolve
l everyone in i defect
d f t prevention
ti
– Esta blish process ca pa bility through SPC
– Esta blish a nd a dhere to sta nda rd procedures
– M a k e da ily improvem ents
– Invent M ista k e-proofing devices
M a k e immedia te feedba ck a nd a ction pa rt of culture
Don’t just stop a t one mista k e proofing device per product
Defect Prevention is needed for a ll potentia l defects
Defect Prevention implemented M UST be docum ented in your

living FM EA for the process/ product
Class Exercise
Brea k into your groups a nd discuss m ista k e proofing systems

currently a t your fa cilities
Identify one a utoma tion ex a mple a nd one process interruption

ex a mple per group
Be prepa red to present both ex a mples to the cla ss
Answ er the follow ing questions a s pa rt of the discussion a nd

presenta tion:
– How w a s the need for the control system identified? If a
critica l X is mista k e proofed, how w a s it identified a s being
critica l?
– How a re they ma inta ined?
– How a re they verified a s w ork ing properly?
– Are they ever disa bled?
You ha ve 3 0 minutes!
Prepare a probable defect prevention method to apply to your

project.
j t
List any potential barriers to implementation.

585
Defect Controls
Describe some methods of Defect Prevention
Understand how these techniques can help with project

sustainability:
- Including reducing those outliers as seen in
the Advanced Process Capability section
- If the vital X was identified, prevent the cause
of defective Y
Understand what tools must document the Defect Prevention

created in the Control Phase
You have now completed Control Phase – Defect Controls.
Notes

586
Lean Six Sigma

Black Belt Training
Control Phase
Statistical Process Control
We will now continue in the Control Phase with “Statistical Process Control or SPC”.

587
Overview
W
W elcom
elcomee to
to Control
Control
Adva
Advanced
nced Ex
Experiments
periments
Adva
Advanced
nced Ca
Capa
pability
bility
Lea
Leann Controls
Controls
Elements
Elements and
and Purpose
Purpose
Defect
Defect Controls
Controls
Methodology
Methodology
Sta
Statistica
tisticall Process
Process Control
Control
(SPC)
(SPC)
Special
Special Cause
Cause Tests
Tests
Six
Si
Si Sigma
Six Si
Sigm
Si a Control
C
C tt ll Pla
Control Pl
Pl ns
Pla ns
Examples
Examples
W
W ra
rapp Up
Up &
& Action
Action Item
Itemss
Statistical techniques can be used to monitor and manage process performance. Process
performance, as we have learned, is determined by the behavior of the inputs acting upon it in the
form of Y=f(X). As a result it must be well understood that we can only monitor the performance of a
process output. Many people have applied Statistical Process Control (SPC) to only the process
outputs. Because they were using SPC, their expectations were high regarding a new potential level
of performance and control over their processes. However, because they only applied SPC to the
outputs, they were soon disappointed. When you apply SPC techniques to outputs, it is
appropriately called Statistical Process Monitoring or SPM.
You of course know that you can only control an output by controlling the inputs that exert an
influence on that output. This is not to say that applying SPC techniques to an output is bad, there
are valid reasons for doing this. Six Sigma has helped us all to better understand where to apply
such control techniques.
In addition to controlling inputs and monitoring outputs, control charts are used to determine the
Baseline performance of a process, evaluate measurement systems, compare multiple processes,
compare processes before and after a change, etc. Control Charts can be used in many situations
that relate to process characterization,
characterization analysis and performance
performance.
To better understand the role of SPC techniques in Six Sigma, we will first investigate some of the
factors that influence processes, then review how simple probability makes SPC work and finally
look at various approaches to monitoring and controlling a process.

588
SPC Overview: Collecting Data
Control Charts are usually derived P

Populal tion:
ti
from samples taken from the – An entire group of objects that have been made or will be
larger population. Sampling must made containing a characteristic of interest
be collected in such a way that it Sa m ple:
does not bias or distort the – A sample is a subset of the population of interest
interpretation of the Control Chart. – The group of objects actually measured in a statistical
study
The process must be allowed to – Samples are used to estimate the true population
operate normally when taking a parameters
sample. If there is any special
treatment or bias given to the
process over the period the data is Popula tion
collected, the Control Chart
interpretation will be invalid. The Sa m ple
frequency of sampling depends on Sa m ple
the volume of activity and the Sa m ple
ability to detect trends and
patterns in the data. At the onset,
you should error on the side of taking extra samples, and then, if the process demonstrates its ability to
stay in control, you can reduce the sampling rate.
Using rational subgroups is a common way to assure that this does not happen. A rational subgroup is a
sample of a process characteristic in which all the items in the sample were produced under very similar
conditions and in a relatively short time period. Rational subgroups are usually small in size, typically
consisting of 3 to 5 units to make up the sample.
sample It is important that rational subgroups consist of units
that were produced as closely as possible to each other, especially if you want to detect patterns, shifts
and drifts. If a machine is drilling 30 holes a minute and you wanted to collect a sample of hole sizes, a
good rational subgroup would consist of 4 consecutively drilled holes. The selection of rational subgroups
enables you to accurately distinguish Special Cause variation from Common Cause variation.
Make sure that your samples are not biased in any way, meaning that they are randomly selected. For
example, do not plot only the first shift’s data if you are running multiple shifts. Don’t look at only one
vendor’s material if you want to know how the overall process is really running. Finally, don’t concentrate
on a specific time to collect your samples; like just before the lunch break.
If your process consists of multiple machines, operators or other process activities that produce streams
of the same output characteristic you want to control, it would be best to use separate Control Charts for
each of the output streams.
If the process is stable and in control, the sample observations will be randomlyy distributed around the
average. Observations will not show any trends or shifts and will not have any significant outliers from the
random distribution around the average. This type of behavior is to be expected from a normally operating
process and that is why it is called Common Cause variation. Unless you are intentionally trying to
optimize the performance of a process to reduce variation or change the average, as in a typical Six
Sigma project, you should not make any adjustments or alterations to the process if it is demonstrating
only Common Cause variation. That can be a big time saver since it prevents “wild goose chases.”
If Special Cause variation occurs,

occurs you must investigate what created it and find a way to prevent it from
happening again. Some form of action is always required to make a correction and to prevent future
occurrences.

589
SPC Overview: I-MR Chart
• An I-M R Cha rt com bines a Control Cha rt of the a vera ge m oving ra nge w ith the
individua ls Cha rt.
• You ca n use Individua ls Ccha rts to tra ck the process level a nd to detect the
presence of specia l ca uses w hen the sa mple size is 1 .
• Seeing both cha rts together a llow s y ou to tra ck both the process level a nd process
va ria tion a t the sa m e tim e, providing grea ter sensitivity tha t ca n help detect the
presence of specia l ca uses.
Individuals Chart
Individuals Chart
Observation
Observation
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
4
34
3
2 Data
12 Data
Measure
LCL
01
Measure
LCL
-1 0 Xbar
Xbar
-1 UCL
-2
UCL
-3-2
-4-3
-4
M Rbar Chart
M Rbar Chart
Observation
Observation
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
5
5
4
4 Range
Range
Range
3 LCL
Range
3 LCL
2 Rbar
2 Rbar
UCL
1 UCL
1
0
0
Individuals (I) and Moving Range (MR) Charts are used when each measurement represents one
batch. The subgroup size is equal to one when I-MR Charts are used. These charts are very
simple to prepare and use. The graphic shows the Individuals Chart where the individual
measurement values are plotted with the Center Line being the average of the individual
measurements. The Moving Range Chart shows the range between two subsequent
measurements.
There are certain situations when opportunities to collect data are limited or when grouping the
data into subgroups simply doesn't make practical sense. Perhaps the most obvious of these
cases is when each individual measurement is already a rational subgroup. This might happen
when each measurement represents one batch, when the measurements are widely spaced in
time or when only one measurement is available in evaluating the process. Such situations include
destructive testing, inventory turns, monthly revenue figures and chemical tests of a characteristic
in a large container of material
material.
All of these situations indicate a subgroup size of one. Because this chart is dealing with individual
measurements it, is not as sensitive as the X-Bar Chart in detecting process changes.

590
SPC Overview: Xbar-R Chart
If each of your observations consists of a subgroup of data, rather than just individual
measurements, an Xbar-R Chart providers greater sensitivity. Failure to form rational
subgroups correctly will make your Xbar-R Charts dangerously wrong.
Xbar Chart
Xbar Chart
Subgroup
Subgroup
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1.5
1.5
1
1
0.5
0 5 Xbar
0.5 Xbar
0 LCL
Xbar
0 LCL
Xbar
-0.5 Xbarbar
-0.5 Xbarbar
-1 UCL
-1 UCL
-1.5
-1.5
-2
-2
Rbar Chart
Rbar Chart
Subgroup
Subgroup
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
6
6
5
5 Rbar
4 Rbar
4 LCL
Rbar
LCL
Rbar
3
3 Rbar
2 Rbar
2 UCL
1 UCL
1
0
0
An XBar-R Chart is used p primarily

y to monitor and control the stability
y of the average
g value. The XBar
Chart plots the average values of each of a number of small sampled subgroups. The averages of the
process subgroups are collected in sequential, or chronological, order from the process. The XBar
Chart, together with the R Chart shown, is a sensitive method to identify assignable causes of product
and process variation and gives great insight into short-term variations.
These charts are most effective when they are used together. Each chart individually shows only a
portion of the information concerning the process characteristic. The upper chart shows how the
process average (central tendency) changes
changes. The lower chart shows how the variation of the process
has changed.
It is important to control both the process average and the variation separately because different
corrective or improvement actions are usually required to effect a change in each of these two
parameters.
The R Chart must be in control in order to interpret the averages chart because the Control Limits are
calculated considering both process variation and center
center. When the R Chart is not in control
control, the
control limits on the averages chart will be inaccurate and may falsely indicate an out of control
condition. In this case, the lack of control will be due to unstable variation rather than actual changes
in the averages.
XBar and RBar Charts are often more sensitive than I-MR, but are frequently done incorrectly. The
most common error is failure to perform rational sub-grouping correctly.
A rational subgroup is simply a group of items made under conditions that are as nearly identical as
possible. Five consecutive items, made on the same machine, with the same setup, the same raw
materials and the same operator, are a rational subgroup. Five items made at the same time on
different machines are not a rational subgroup. Failure to form rational subgroups correctly will make
your XBar-R Charts dangerously wrong.

591
SPC Overview: U Chart
• C Charts and U Charts are for tracking defects.

• A U Chart can do everything a C Chart can, so we’ll just learn how to do a U
Chart. This chart counts flaws or errors (defects). One “ search area” can have
more than one flaw or error.
• Search area (unit) can be practically anything we wish to define. W e can look
for typographical errors per page, the number of paint blemishes on a truck
door or the number of bricks a mason drops in a workday
workday.
• You supply the number of defects on each unit inspected.
U Chart
U Chart
Sample
Sample
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1
1
0.8
0.8 DPU
DPU
0.6 LCL
DPU
0.6 LCL
DPU
0.4 Ubar
0.4 Ubar
UCL
0.2 UCL
0.2
0
0
The U Chart plots defects per unit data collected from subgroups of equal or unequal sizes. The “U”
in U Charts stands for defects per Unit
Unit. U Charts plot the proportion of defects that are occurring.
occurring
The U Chart and the C Chart are very similar. They both are looking at defects but the U Chart does
not need a constant sample size like the sample size like the C Chart. The Control Limits on the U
Chart vary with the sample size and therefore they are not uniform, similar to the P Chart which we
will describe next.
Counting defects on forms is a common use for the U Chart. For example, defects on insurance
claim forms are a problem for hospitals
hospitals. Every claim form has to be checked and corrected before
going to the insurance company. When completing a claim form, a particular hospital must fill in 13
fields to indicate the patient’s name, social security number, DRG codes and other pertinent data. A
blank or incorrect field is a defect.
A hospital measured their invoicing performance by calculating the number of defects per unit for
each day’s processing of claims forms. The graph demonstrates their performance on a U Chart.
The general procedure for

f U Charts
C is as follows:
f
1. Determine purpose of the chart
2. Select data collection point
3. Establish basis for sub-grouping
4. Establish sampling interval and determine sample size
5. Set up forms for recording and charting data and write specific instructions on
use of the chart
6 Collect and record data
6. data.
7. Count the number of nonconformities for each of the subgroups
8. Input into Excel or other statistical software.
9. Interpret chart together with other pertinent sources of information on the process
and take corrective action if necessary

592
SPC Overview: P Chart
• N P Charts and P Charts are for tracking defectives.

• A P Chart can do everything an N P Chart can, so we’ll just learn how to do
a P Chart!
• Used for tracking defectives – the item is either good or bad, pass or fail,
accept or reject.
• Centerline is the proportion of “ rejects” and is also your process capability.
• Input to the P Chart is a series of integers — number bad, number rejected.
In addition, you must supply the sample size.
P Chart
P Chart
Sam ple
Sam ple
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
Proportion Defective (P)
0.35
P)
0 35
0.35
Proportion Defective (P
0.3
0.3 P
0.25 P
0.25
0.2 LCL
0.2 LCL
0.15 Pbar
0.15 Pbar
0.1 UCL
0.1 UCL
0.05
0.05
0
0
The P Ch
Th Chart plots
l the
h proportion
i off nonconforming
f i unitsi collected
ll d ffrom subgroups
b off equall or
unequal size (percent defective). The proportion of defective units observed is obtained by dividing
the number of defective units observed in the sample by the number of units sampled. P Charts
name comes from plotting the Proportion of defectives. When using samples of different sizes, the
upper and lower Control Limits will not remain the same - they will look uneven as exhibited in the
graphic. These varying Control Chart limits are effectively managed by Control Charting software.
A common application
pp of a P Chart is when the data is in the form of a p
percentage
g and the sample
p
size for the percentage has the chance to be different from one sample to the next. An example
would be the number of patients that arrive late each day for their dental appointments. Another
example is the number of forms processed daily that had to be reworked due to defects. In both of
these examples, the total quantity would vary from day to day.
The general procedure for P Charts is as follows:

1. Determine purpose of the chart
2 Select data collection point
2.
3. Establish basis for sub-grouping
4. Establish sampling interval and determine sample size
5. Set up forms for recording and charting data and write specific instructions on
use of the chart
6. Collect and record data. It is recommended that at least 20 samples be used to
calculate the Control Limits
7. Compute P, the proportion nonconforming for each of the subgroups
8. Load data into Excel or other statistical software
9. Interpret chart together with other pertinent sources of information on the
process and take corrective action if necessary

593
SPC Overview: Control Methods/Effectiveness
Ty pe 1 Corrective Action = Counterm ea sure: improvement made to the process

which will eliminate the error condition from occurring. The defect will never be created.
This is also referred to as a long-term corrective action in the form of mistake proofing or
design changes.
Ty pe 2 Corrective Action = Fla g: improvement made to the process which will

detect when the error condition has occurred. This flag will shut down the equipment so
that the defect will not move forward.
SPC on X’s
X’ or Y’s
Y’ with
ith ffully
ll ttrained
i d operators
t and
d staff
t ff who
h respectt the
th rules.
l O
Once a
chart signals a problem everyone understands the rules of SPC and agrees to shut down
for special cause identification. (Cpk > certain level).
Ty pe 3 Corrective Action = Inspection: implementation of a short-term containment

which is likely to detect the defect caused by the error condition. Containments are
typically audits or 100% inspection.
SPC on X’s or Y’s with fully trained operators. The operators have been trained and
understand the rules of SPC
SPC, but management will not empower them to stop for
investigation.
S.O .P. is implemented to attempt to detect the defects. This action is not sustainable
short-term or long-term.
SPC on X’s or Y’s without proper usage. = W ALL PAPER.
The most effective form of control is called a type 1 corrective action

action. This is a control applied to the
process which will eliminate the error condition from occurring. The defect can never happen. This is
the “prevention” application of the Poka-Yoke method.
The second most effective control is called a type 2 corrective action. This a control applied to the
process which will detect when an error condition has occurred and will stop the process or shut
down the equipment so that the defect will not move forward. This is the “detection” application of
the Poka-Yoke method.
The third most effective form of control is to use SPC on the X’s with appropriate monitoring on the
Ys. To be effective, employees must be fully trained, they must respect the rules and management
must empower the employees to take action. Once a chart signals a problem, everyone understands
the rules of SPC and agrees to take emergency action for special cause identification and
elimination.
The fourth most effective correction action is the implementation of a short-term containment which
i lik
is likely
l to detect
d the
h defect
d f causedd by
b the
h error condition.
di i C
Containments
i are typically
i ll audits
di or 100%
inspection.
Finally you can prepare and implement an S.O.P. (standard operating procedure) to attempt to
manage the process activities and to detect process defects. This action is not sustainable, either
short-term or long-term.
Do not do SPC for the sake of just saying that you do SPC. It will quickly deteriorate to a waste of
time and a very valuable process tool will be rejected from future use by anyone who was
associated with the improper use of SPC.
Using the correct level of control for an improvement to a process will increase the acceptance of
changes/solutions you may wish to make and it will sustain your improvement for the long-term.

594
Purpose of Statistical Process Control
Every process ha s Ca uses of Va ria tion k now n a s:

– Com mon Ca use: N a tura l va ria bility
– Specia l Ca use: Unna tura l va ria bility
• Assigna ble: Rea son for detected Va ria bility
• Pa ttern Cha nge: Presence of trend or unusua l pa ttern
SPC is a ba sic tool to monitor a nd improve va ria tion in a process.
SPC is used to detect specia l ca use va ria tion telling us the process
is “ out of control” but does N O T tell us w hy.
SPC gives a glim pse of ongoing process ca pa bility AN D is a visua l

m a na gem ent tool.
SPC has its uses because it is known that every process has known variation called Special Cause and
Common Cause variation. Special Cause variation is unnatural variability because of assignable causes
or pattern changes. SPC is a powerful tool to monitor and improve the variation of a process. This
powerful tool is often an aspect used in visual factories. If a supervisor or operator or staff is able to
quickly monitor how its process is operating by looking at the key inputs or outputs of the process
process, this
would exemplify a visual factory.
SPC is used to detect Special Causes in order to have those operating the process find and remove the
Special Cause. When a Special Cause has been detected, the process is considered to be “out of
control”.
SPC gives an ongoing look at the Process Capability. It is not a capability measurement but it is a visual
indication of the continued Process Capability of your process.
process
This is a special cause!!

595
Elements of Control Charts
Developed by Dr W a lter A. Shew ha rt of Bell La bora tories from 1 9 2 4

Gra phica l a nd visua l plot of cha nges in the da ta over tim e
– This is necessa ry for visua l m a na gem ent of y our process.
Control Cha rts w ere designed a s a m ethodology for indica ting cha nge in
perform a nce, either va ria tion or m ea n/ m edia n.
Cha rts ha ve a centra l line a nd control lim its to detect specia l ca use
va ria tion.
Control Chart of Recycle
60 1
UCL=55.24
Special Cause 50
Variation Detected 40
vidual Value
30
_
X=29.06 Process Center
Indiv
20
(
(usually
ll th
the mean))
Control Limits
10
LCL=2.87
0
1 4 7 10 13 16 19 22 25 28
Observation
Control Charts were first developed by DrDr. Shewhart in the early 20th century in the U
U.S.
S Control
Charts are a graphical and visual plot of a process and is charted over time like a Time Series
Chart. From a visual management aspect, a Time Plot is more powerful than knowledge of the last
measurement. These charts are meant to indicate change in a process. All SPC charts have a
Central Line and Control Limits to aid in Special Cause variation.
Notice, again, we never discussed showing or considering specifications. We are advising you to
never have specification limits on a Control Chart because of the confusion often generated.
R
Rememberb we wantt tto control
t l and
d maintain
i t i th
the process iin th
the newly
l iimproved
d process bbased
d on
the recently improved past. These Control Charts and their limits are the Voice of the Process not
the Voice of the Customer which are the specification limits.

596
Understanding the Power of SPC
C t l Cha
Control Ch rts
t iindica
di tet w hen
h a process is
i “ outt off control”
t l” or ex hibiting
hibiti specia
i l ca use
va ria tion but N O T w hy !
SPC cha rts incorpora te upper a nd low er control lim its.

– The lim its a re typica lly +/ - 3 σ from the centerline.
– These lim its represent 9 9 .7 3 % of na tura l va ria bility for norma l distributions.
SPC cha rts a llow w ork ers a nd supervision to ma inta in improved process perform a nce
from Six Sigm a projects.
Use of SPC cha rts ca n be a pplied w ith a ll processes.

– Services, m a nufa cturing, a nd reta il a re just a few industries w ith SPC
a pplica tions.
– Ca ution m ust be ta k en w ith use of SPC for non-norm a l processes.
Control lim its describe the process va ria bility a nd a re unrela ted to custom er
specifica tions. (Voice of the Process instea d of Voice of the Custom er)
– An undesira ble situa tion is ha ving control lim its w ider tha n custom er
specifica tion lim its. This w ill ex ist for poorly perform ing processes w ith a Cp
less tha n 1 .0
M a ny SPC cha rts ex ist a nd selection m ust be a ppropria te for effectiveness.
The Control Chart Cookbook
Genera l Steps for Constructing Control Cha rts

1. Select characteristic (critical “ X” or CTQ) to be charted.
2
2. Determine the purpose of the chart
chart.
3. Select data-collection points.
4. Establish the basis for sub-grouping (only for Y’s).
5. Select the type of Control Chart.
6. Determine the measurement method/ criteria.
7
7. Establish the sampling interval/ frequency
frequency.
8. Determine the sample size.
9. Establish the basis of calculating the control limits.
Stirred or
10. Set up the forms or software for charting data. Shaken?
11. Set up the forms or software for collecting data.
12 Prepare written instructions for all phases
12. phases.
13. Conduct the necessary training.

597
Focus of Six Sigma and the Use of SPC
This conceptt should

Thi h ld bbe very ffamiliar
ili
to you by now. If we understand the Y= F(x )
variation caused by the X’s, then we
should be monitoring with SPC the To get results, should we focus our behavior on the Y or X?
X’s first. Y X1 . . . XN
Dependent Independent
By this time in the methodology you
Output Input
should clearlyy understand the
concept of Y=f(x). Using SPC we Effect Cause
are attempting to control the Critical Symptom Problem
X’s in order to control the Y. Monitor Control
If we find the “ vital few” X’s, first consider using SPC

on the X’s to achieve a desired Y?
Control Chart Anatomy
Specia l Ca use Statistical Process Control (SPC)

Va ria tion Run cha rt of
Process is da ta points
“ O ut of involves the use of statistical
Control”
techniques, to interpret data, to control
Upper Control the variation in processes. SPC is used
Limit
primarily
p y to act on out of control
processes, but it is also used to monitor
+/ - 3 sigma
Common
Ca use
Va ria tion
the consistency of processes producing
Process is “ In
Control”
products and services.
Low er Control
Limit
A primary SPC tool is the Control Chart
- a graphical representation for specific
M ea n
Specia l Ca use quantitative measurements of a process
Va ria tion
Process is input or output
output. In the Control Chart,
Chart
“ O ut of Process Sequence/ Time Sca le
Control” these quantitative measurements are
compared to decision rules calculated
based on probabilities from the actual measurement of process performance.
The comparison between the decision rules and the performance data detects any unusual variation
in the process that could indicate a problem with the process. Several different descriptive statistics
can be used in Control Charts. In addition, there are several different types of Control Charts that can
t t for
test f different
diff t causes, such
h as how
h quickly
i kl major
j vs. minor
i shifts
hift iin process averages are d
detected.
t t d
Control Charts are Time Series Charts of all the data points with one addition. The Standard
Deviation for the data is calculated for the data and two additional lines are added to the chart. These
lines are placed +/- 3 Standard Deviations away from the Mean and are called the Upper Control
Limit (UCL) and the Lower Control Limit (LCL). Now the chart has three zones: (1) The zone between
the UCL and the LCL which called the zone of Common Cause variation, (2) The zone above the
UCL which a zone of Special Cause variation and (3) another zone of Special Cause variation below
the LCL.
Control Charts graphically highlight data points that do not fit the normal level of expected variation.
This is mathematically defined as being more than +/- 3 Standard Deviations from the Mean. It’s all
based off probabilities. We will now demonstrate how this is determined.
598
Control and Out of Control
O utlier
3
2
1
99.7%
95%
68%
-1
-2
-3
O utlier
Control Charts provide you with two basic functions; one is to provide time based information on the
performance of the process which makes it possible to track events affecting the process and the
second is to alert you when Special Cause variation occurs. Control Charts graphically highlight data
points that do not fit the normal level of variation expected. It is standard that the Common Cause
variation level is defined as +/- 3 Standard Deviations from the Mean. This is also know as the UCL and
LCL respectively.
Recall the “area under the curve” discussion in the lesson on Basic Statistics, remembering that +/- one
Standard Deviation represented 68% of the distribution, +/- 2 was 95% and +/- 3 was 99.7%. You also
learned from a pprobability
ypperspective
p that yyou would expect
p the output
p of a p
process would have a
99.7% chance of being between +/- 3 Standard Deviations. You also learned that sum of all probability
must equal 100%. There is only a 0.3% chance (100% - 99.7%) that a data point be beyond +/- 3
Standard Deviations. In fact, since we are talking about two zones; one zone above the + 3 Standard
Deviations and one below it. We have to split 0.3% in two, meaning that there is only a 0.15% chance of
being in one of the zones.
There is only a .0015 (.15%) probability that a data point will either be above or below the UCL or LCL.
That is a very small probability as compared to .997
997 (99
(99.75%)
75%) probability the data point will be between
the UCL and the LCL. What this means is there must have been something special happen to cause a
data point to be that far from the Mean, like a change in vendor, a mistake, etc. This is why the term the
term Special Cause or assignable cause variation applies. The probability that a data point was this far
from the rest of the population is so low that something special or assignable happened. Outliers are
just that, they have a low probability of occurring, meaning we have lost control of our process. This
simple, quantitative approach using probability is the essence of all Control Charts.

599
Size of Subgroups
Typical subgroup sizes are 3-12 for variable data:

– If difficulty of gathering sample or expense of testing exists, the size, n, is
smaller
– 3, 5, and 10 are the most common size of subgroups because of ease of
calculations when SPC is done without computers.
Size of subgroups aid in detection of shifts of mean indicating special cause
exists. The larger the subgroup size, the greater chance of detecting a special
cause. Subgroup size for Attribute Data is often 50 – 200.
Lot 1 Lot 5
Lot 3
Lot 2
Lot 4
Short-term studies
Long-term study
The Impact of Variation
Remember the Control

Sources of Sources of Sources of
Limits are based on your Va ria tion Va ria tion Va ria tion
PAST data and depending - N atural Process Variation - N atural Process Variation - N atural Process Variation
as defined by subgroup - Different Operators - Different Operators
on what sources of selection - Supplier Source
variation you have
included in your
subgroups, the Control
-UCL
Limits which detect the
Special Cause variation -LCL
will be affected. You really
want to have subgroups
First, select the sprea d
with only Common Cause tha t w e w ill decla re a s
the “ N a tura l Process
variation so if other Va ria tion” , so tha t
w henever a ny point So, w hen a second And, of course, if tw o a dditiona l
sources of variation are la nds outside these source of va ria tion sources of va ria tion a rrive, w e
“ control lim its” , a n a ppea rs, w e w ill w ill detect tha t, too!
detected, the sources will a la rm w ill sound k now !
be easily found instead of
buried within your If y ou ba se y our lim its on a ll three sources of va ria tion, w ha t w ill sound the a la rm ?
definition of subgroups.
Let’s consider if you were tracking delivery times for quotes on new business with an SPC chart. If
you decided to not include averaging across product categories, you might find product categories
are assignable causes but you might not find them as Special Causes since you’ve included them
in the subgroups as part of your rationalization.
rationalization
You really want to have subgroups with only Common Cause variation so if other sources of
variation are detected, the sources will be easily found instead of buried within your definition of
subgroups.

600
Frequency of Sampling
Sampling Frequency is a balance between cost of sampling and testing versus cost of not detecting
shifts in mean or variation.
Process knowledge is an input to frequency of samples after the subgroup size has been decided.
- If a process shifts but cannot be detected because of too infrequent sampling, the
customer suffers
- If choice is given of large subgroup samples infrequently or smaller subgroups
more frequently, most choose to get information more frequently.
- In some processes, with automated sampling and testing frequent sampling is
easy.
If undecided as to sample frequency, sample more frequently to confirm detection of process shifts
and reduce frequency if process variation is still detectable.
A rule of thumb also states “sample a process at least 10X more frequent than the frequency of ‘out of
control’ conditions”.
Sometimes it can be a struggle how often to sample your process when monitoring results. Unless the
measurement is automated, inexpensive and recorded with computers and able to be charted with
SPC software without operator involvement, then frequency of sampling is an issue.
Let’s reemphasize some points. First, you do NOT want to under sample and not have the ability to
find Special Cause variation easily. Second, do not be afraid to sample more frequently and then
q
reduce the frequencyy if it is clear Special
p Causes are found frequently.
q y
Sa mpling too little w ill not a llow for sufficient detection of shifts
in the process beca use of specia l ca uses.
I Chart of Sample_3
Output 7.5
UCL=7.385
All possible samples 7.0
7.5
Individual Value
6.5
7
_
X=6.1
6.5 6.0
6
5.5
5.5
5 5.0
Sample every half hour LCL=4.815
1 7 13 19 25 31 37 1 2 3 4 5 6 7 8 9 10 11 12 13
Observation
I Chart of Sample_6 I Chart of Sample_12

6.6
UCL=8.168 UCL=6.559
8
6.4
6.2
7
Individual Value
Individual Value
6.0
_ _
X=6.129 X=5.85
6 5.8
5.6
5 5.4
Sample every hour LCL=4.090

Sample
5.2
4x/shift LCL=5.141
4 5.0
1 2 3 4 5 6 7 1 2 3 4
Observation Observation

601
SPC Selection Process

The Control Charts Choose Appropria te
you choose to use will Control Cha rt
always be based first
on the type of data type
ATTRIBUTE CONTINUOUS
you have and then on of data
the objective of the

type of
subgroup
Control Chart. The attribute
size
data
first selection criteria DEFECTS DEFECTIVES
will be whether you Sample size 1 2-5 10+
have Attribute or type

of defect
type of
subgroups
Continuous Data. I – MR
Chart
X–R
Chart
X–S
Chart
CONSTANT VARIABLE CONSTANT VARIABLE
Individuals Mean & Mean &
Continuous SPC & Moving Range Std. Dev.
Range
refers to Control
NP
Charts that display C Chart U Chart
Chart
P Chart SPECIAL CASES
process input or Number of Incidences Number of Proportion

output characteristics Incidences per Unit Defectives Defectives
CumSum EWMA
Chart Chart
based on Continuous
Cumulative Exponentially
Data - data where Sum Weighted Moving
Average
decimal subdivisions
have meaning. When these Control Charts are used to control the Critical X input characteristic it is
called Statistical Process Control (SPC). These charts can also be used to monitor the CTQ’s, the
important process outputs. This is referred to as Statistical Process Monitoring (SPM).
There are two categories of Control Charts for Continuous Data: charts for controlling the process
average and charts for controlling the process variation. Generally, the two categories are combined.
The principal types of Control Charts used in Six Sigma are: charts for Individual Values and Moving
Ranges (I-MR), charts for Averages and Ranges (XBar-R), charts for Averages and Standard
Deviations (XBar-S) and Exponentially Weighted Moving Average charts (EWMA).
Although it is preferable to monitor and control products, services and supporting processes with
Continuous Data,
Data there will be times when Continuous Data is not available or there is a need to
measure and control processes with higher level metrics, such as defects per unit. There are many
examples where process measurements are in the form of Attribute Data. Fortunately, there are
control tools that can be used to monitor these characteristics and to control the critical process
inputs and outputs that are measured with Attribute Data.
Attribute Data, also called discrete data, reflects only one of two conditions: conforming or non-
conforming, pass or fail, go or no go. Four principal types of Control Charts are used to monitor and
control
t l characteristics
h t i ti measured d iin Att
Attribute
ib t DData:
t ththe p ((proportion
ti nonconforming),
f i ) np ((number
b
nonconforming), c (number of non-conformities), and u (non-conformities per unit) charts. Four
principle types of Control Charts are used to monitor and control characteristics measured in
Discrete Data: the p (proportion nonconforming), np (number nonconforming), c (number of non-
conformities), and u (non-conformities per unit) charts. These charts are an aid to decision making.
With Control Limits, they help us filter the probable noise by adequately reflecting the Voice of the
Process.
A defective is defined as an entire unit that fails to meet acceptance criteria, regardless of the
number of defects in the unit. A defect is defined as the failure to meet any one of the many
acceptance criteria. Any unit with at least one defect may be considered to be a defective.
Sometimes more than one defect is allowed, up to some maximum number, before the product is
considered to be defective.
602
Understanding Variable Control Chart Selection
T
Type off Cha
Ch rtt W hen
h do
d you need
d it?
Avera ge & u Production is higher volum e; a llow s process m ea n a nd va ria bility

Ra nge or S to be view ed a nd a ssessed together; more sa m pling tha n w ith
(X Ba r a nd R or Individua ls cha rt (I) a nd M oving Ra nge cha rts (M R) but w hen
X Ba r a nd S) subgroups a re desired. O utliers ca n ca use issues w ith Ra nge (R)
cha rts so Sta nda rd Devia tion cha rts (S) used instea d if concerned.
M ost common
IIndividua
di id l a nd
d u Production
P d ti is
i low
l volum
l e or cycle
l tim
ti e to
t build
b ild product
d t is
i long
l or
M oving Ra nge homogeneous sa m ple represents entire product (ba tch etc.);
sa m pling a nd testing is costly so subgroups a re not desired.
Control lim its a re w ider tha n X Ba r cha rts. Used for SPC on m ost
inputs.
Pre-Control u Set-up is critica l, or cost of setup scra p is high. Use for outputs
Ex ponentia lly u Sm a ll shift needs to be detected, often beca use of a utocorrela tion
W eighted of the output results. Used only for individua ls or a vera ges of
M oving Avera ge O utputs. Infrequently used beca use of ca lcula tion com plex ity .
Cum ula tive Sum u Sa m e rea sons a s EW M A (Ex ponentia lly W eighted M oving Ra nge)
ex cept the pa st da ta is a s im porta nt a s present da ta .
Less Com m on
Understanding Attribute Control Chart Selection
Type of Cha rt W hen do you need it?
P u N eed to tra ck the fra ction of defective

units; sa m ple size is va ria ble a nd usua lly > 5 0
nP u W hen you w a nt to tra ck the num ber of defective

units per subgroup; sa m ple size is usua lly
consta nt a nd usua lly > 5 0
C u W hen you
o w a nt to tra ck the num
n m ber of defects
per subgroup of units produced; sa m ple size is
consta nt
U u W hen you w a nt to tra ck the num ber of

defects per unit; sa m ple size is va ria ble
The P Chart is the most common type of chart in understanding Attribute Control Charts.

603
Detection of Assignable Causes or Patterns
Control Cha rts indica te specia l ca uses being either a ssigna ble ca uses or pa tterns.
The follow ing rules a re a pplica ble for both va ria ble a nd Attribute Da ta to detect
specia l ca uses.
These four rules a re the only a pplica ble tests for Ra nge (R), M oving Ra nge (M R), or
Sta nda rd Devia tion (S) cha rts.
– O ne point m ore tha n 3 Sta nda rd Devia tions from the center line.
– 6 points in a row a ll either increa sing or a ll decrea sing.
– 1 4 points in a row a lterna ting up a nd dow n.
– 9 points in a row on the sa m e side of the center line.
These rema ining four rules a re only for va ria ble da ta to detect specia l ca uses.
– 2 out of 3 points grea ter tha n 2 Sta nda rd Devia tions from the center line on the
sa m e side.
– 4 out of 5 points grea ter tha n 1 Sta nda rd Devia tion from the center line on the
sa m e side.
– 1 5 points in a row a ll w ithin one Sta nda rd Devia tion of either side of the center
line.
– 8 points in a row a ll grea ter tha n one Sta nda rd Devia tion of either side of the
center line.
Remember Control Charts are used to monitor a process performance and to detect Special Causes
due to assignable causes or patterns. The standardized rules of your organization may have some of
the numbers slightly differing. For example, some organizations have 7 or 8 points in a row on the
same side of the Center Line. We will soon show you how to find what your MINITABTM version has
for defaults for the Special Cause tests.
There are typically 8 available tests for detecting Special Cause variation
variation. Only 4 of the 8 Special
Cause tests can be used. Range, Moving Range or Standard Deviation charts are used to monitor
“within” variation.
If you are unsure of what is meant by these specific rule definitions, do not worry. The next few pages
will specifically explain how to interpret these rules.

604
Recommended Special Cause Detection Rules
• If implementing
i l i SPC manuallyll without
ih software
f iinitially,
i i ll the
h most visually
i ll obvious
b i violations
i l i are
more easily detected. SPC on manually filled charts are common place for initial use of defect
prevention techniques.
• These 3 rules are visua lly the most easily detected by personnel.
– One point more than 3 Standard Deviations from the center line.
– 6 points in a row all either increasing or all decreasing.
– 15 points
i t iin a row allll within
ithi one St
Standard
d dD Deviation
i ti off either
ith side
id off th
the center
t liline.
• Dr. Shewhart that worked with the W estern Electric Co. was credited with the following 4 rules
referred to as W estern Electric Rules.
– One point more than 3 Standard Deviations from the center line.
– 8 points in a row on the same side of the center line.
– 2 out of 3 points greater than 2 Standard Deviations from the center line on the same side.
– 4 out of 5 points greater than 1 Standard Deviation from the center line on the same side.
• You might notice the W estern Electric rules vary slightly. The importance is to be consistent in
your organization and decide what rules you will use to detect special causes.
• VERY few organizations use all 8 rules for detecting special causes.
Special Cause Rule Default in MINITABTM
If a Belt is using MIN ITABTM , you must be aware of what default settings
for the rules. You can alter your program defaults with:
Tools>Options>Control Charts and Quality Tools>Define Tests
This would be
changed to 8 if
you prefer the
W estern Electric
Rules.
Many experts have commented on the appropriate tests and numbers to

be used. Decide and be consistent when implementing.

605
Special Cause Rule Selection in MINITABTM
W hen a Belt is using MIN ITABTM , the default tests can be set when
running SPC on the variable or Attribute Data.
Tools>Options>Control Charts and Quality Tools>Tests to Perform
A Belt can always change which tests are selected for any individual
SPC chart.
Special Cause Test Examples
As promised, we will now This is the M OST common specia l ca use test used in SPC cha rts.
closely review the definition
of the Special Cause tests.
The first test is one point
Test 1 One point beyond zone A
more than 3 sigmas from 1
the Center Line. The 3 A

sigma lines are added or B
subtracted from the Center 1 C
Line. The sigma estimation C
for the short-term variation B
will be shown later in this A
module.
If only one point is above

the upper 3 sigma line or
below the lower 3 sigma
line, then a Special Cause
is indicated. This does not
mean you need to confirm if another point is also outside of the 3 sigma lines before action is to be
taken. Don’t forget the methodology of using SPC.
If you want to see the MINITABTM output on the left, execute the MINITABTM command “Stat,
C t l Ch
Control Charts,
t VVariable
i bl Ch
Charts
t ffor IIndividuals,
di id l IIndividuals”
di id l ” and
d th
then select
l t th
the “I chart
h t options
ti and
d
Tests tab”. Remember, your numbers may vary in the slide and those are set in the defaults as
you were shown recently in this module. From now on, we will assume your rules are the same as
shown in this module. If not, just adjust the conclusions.

606
The second test

for detecting This test is a n indica tion of a shift in the process M ea n.
Special Causes is
nine points in a
row on the same Test 2 Nine points in a row on
side of the Center same side of center line
Line. This literally A

means if nine B
consecutive points C
are above the C
Center Line, then B 2
a Special Cause is A
detected that
would account for
a potential Mean
shift in the
process.
This rule would

also be violated
if nine consecutive points are below the Center Line. The amount away from the Center Line does
not matter as long as the consecutive points are all on the same side of the Center Line.
The third test looking

This test is indica ting a trend or gra dua l shift in the M ea n.
for a Special Cause
is six points in a row
all increasing or all
decreasing. This Test 3 Six points in a row, all
increasing or decreasing
means if six
A 3
consecutive times,
B
the present point is
C
higher than the
C
previous point than
B
the rule has been
A
violated and the
process is out of
control. The rule is
also violated if for six
consecutive times
the present point is
lower than the
previous point on the SPC chart.
This rule obviously needs the time order when plotting on the SPC charts to be valid. Typically,
these charts plot increasing time from left to right with the most recent point on the right hand side of
the chart.
chart Do not make the mistake of seeing six points in a line indicating an out of control condition
condition.
Note on the example shown on the right, a straight line shows seven points but it takes that many in
order to have six consecutive points increasing. This rule would be violated no matter what zone the
points occur.

607
Special Cause Test Examples (cont.)
The fourth rule

for a Special This test is indica ting a non-ra ndom pa ttern.
Cause indication
is fourteen points
in a row Test 4 Fourteen points in a
alternating up row, alternating up and down
and down. In A
other words, if B
the first point C
increased from C 4
the last point and B
the second point A
decreased from
the first point and
the third point
increased from
the second point
and so on for
fourteen points,
then the process is considered out of control or a Special Cause is indicated. This rule does not
depend on the points being in any particular zone of the chart. Also note the process is not considered
to be out of control until after the 14th point has followed the alternating up and down pattern.
The fifth Special Cause

This test is indica ting a shift in the M ea n or a w orsening of
test looks for 2 out of 3 va ria tion.
consecutive points more
than 2 sigma away from Test 5 Two out of three points in
a row in zone A (one side of center
the Center Line on the line)
same side.
id Th
The 2 sigma
i A
5
line is obviously 2/3 of the B

distance from the Center C
Line as the 3 sigma line. C
Please note it is not B
required that the points A 5
more than 2 sigma away

be in consecutive order,
they just have to be within
a group of 3 consecutive
points. Notice the example
shown on the right does
NOT have 2 consecutive points 2 sigma away from the Center Line but 2 out of the 3 consecutive
are more than 2 sigma away. Notice this rule is not violated if the 2 points that are more than 2
sigma but NOT on the same side.
Have you noticed that MINITABTM will automatically place a number by the point that violates the
Special Cause rule and that number tells you which of the Special Cause tests has been violated.
In this example shown on the right, the Special Cause rule was violated two times.

608
Special Cause Test Examples (cont.)

The sixth Special Cause
test looks for any four out of This test is indica ting a shift in the M ea n or degra da tion of
five points more than one va ria tion.
sigma from the Center Line Test 6 Four out of five points in
zone B or beyond (one side of
all on the same side. Only center line)
the 4 points that were more A
6
than one sigma need to be B

on the same side. If four of C
th fifive consecutive
the ti points
i t C
are more than one sigma B 6
A
from the Center Line and on
the same side, do NOT
make the wrong assumption
that the rule would not be
violated if one of the four
points was actually more
than 2 sigma from the
Center Line.
This test is indica ting a dra m a tic im provem ent of the
The seventh Special Cause va ria tion in the process.
test looks for 15 points in a
row all within one sigma Test 7 Fifteen points in a row in
zone C (both sides of center line)
from the Center Line. You
A
might think this is a good B
thing and it certainly is. C
However, a process might C 7
want to find the Special B

Cause for this reduced A
variation so the
improvement can be
sustained in the future.
The eighth and final test

for Special Cause
detection is having eight
points in a row all more
This test is indica ting a severe w orsening of va ria tion.
than one sigma from the
Center Line. The eight
consecutive p points can be Test 8 Eight points in a row
beyond zone C (both sides of
any number of sigma center line)
away from the Center A
Line. Do NOT make the B
wrong assumption this rule C
would not be violated if C
some of the points were B 8
A
more than 2 sigma away
from the Center Line
Line. If
you reread the rule, it just
states the points must be
more than one sigma from
the Center Line.

609
SPC Center Line and Control Limit Calculations
This is a reference for you in case you really want to get into the nitty-gritty
nitty gritty. The formulas shown here
are the basis for Control Charts.
Ca lcula te the pa ra meters of the Individua l a nd M R Control Cha rts

w ith the follow ing:
Centerline Control Limits

k
∑R
k
∑x i
i
UCL x = X + E 2 MR UCL MR = D 4 MR
X= i =1 MR = i
k k LCL x = X − E 2 MR LCL MR = D 3 MR
Where:
Xbar: Average of the individuals, becomes the centerline on the Individuals chart
Xi: Individual data points
k: Number of individual data points
Ri : Moving range between individuals, generally calculated using the difference between
each successive pair of readings
MRbar: The average moving range,range the centerline on the range chart
UCLX: Upper control limit on individuals chart
LCLX: Lower control limit on individuals chart
UCLMR: Upper control limit on moving range
LCLMR : Lower control limit on moving range (does not apply for sample sizes below 7)
E2, D3, D4: Constants that vary according to the sample size used in obtaining the moving range
M Rba r (com puted a bove)
σ (st. dev. Estimate)
>
= d 2 (ta ble of consta nts for subgroup size n)
Ca lcula te the pa ra meters of the X Ba r a nd R Control Cha rts w ith the

follow ing:
Centerline Control Lim its

k
∑R
k
∑x i i UCL x = X + A 2 R UCL R = D 4 R
X= i =1
R = i
LCL x = X − A 2 R LCL R = D3 R
Where: k k
Xi: Average of the subgroup averages, it becomes the centerline of the control chart
Xi: Average of each subgroup
k: Number of subgroups
Ri : Range of each subgroup (Maximum observation – Minimum observation)
Rbar: The average range of the subgroups, the centerline on the range chart
UCLX: Upper control limit on average chart
LCLX: Lower control limit on average chart
UCLR: Upper control limit on range chart
LCLR : Lower control limit range chart
A2, D3, D4: Constants that vary according to the subgroup sample size
Rba r (computed a bove)
σ (st. dev. Estimate) =
>
d 2 (ta ble of consta nts for subgroup size n)

610
SPC Center Line and Control Limit Calculations (cont.)
Yet another reference just in case anyone wants to do this stuff manually
manually…have
have fun!!!!
Ca lcula te the pa ra meters of the X Ba r a nd S Control Cha rts w ith the

follow ing:

k k
∑x i ∑s i UCL x = X + A 3 S UCLS = B4 S
X= i =1
S= i=1
k k LCL x = X − A 3 S LCLS = B3 S
Where:
Xi: Average of the subgroup averages, it becomes the centerline of the control chart
Xi: Average of each subgroup
k: Number of subgroups
si : Standard deviation of each subgroup
Sbar: The average s. d. of the subgroups, the centerline on the S chart
UCLX: Upper control limit on average chart
LCLX: Lower control limit on average chart
UCLS: Upper control limit on S chart
LCLS : Lower control limit S chart
A3, B3, B4: Constants that vary according to the subgroup sample size
Sba r (com puted a bove)
σ (st. dev. Estimate) =
>
c4 (ta ble of consta nts for subgroup size n)
We are now moving to the formula summaries for the attribute SPC Charts. These formulas are fairly
basic. The upper and lower Control Limits are equidistant from the Mean % defective unless you
reach a natural limit of 100 or 0%. Remember the p Chart is for tracking the proportion or % defective.
These formulas are a bit more elementary because they are for Attribute Control Charts. Recall p
Charts track the proportion or % defective.
Ca lcula te the pa ra m eters of the P Control Cha rts w ith the follow ing:
Total number of defective items p (1 − p )

p= UCL p = p + 3
Total number of items inspected ni
p (1 − p )
LCL p = p − 3
Where: ni
p: Average proportion defective (0.0 – 1.0)
ni: Number inspected in each subgroup
LCLp: Lower control limit on p chart
UCLp: Upper control limit on p chart
Since the Control Limits are a function of

sample size, they will vary for each sample.

611
The nP Chart
Chart’s
s formulas resemble the P Chart
Chart. This chart tracks the number of defective items in a
subgroup.
Ca lcula te the pa ra meters of the nP Control Cha rts w ith the

follow ing:
Total number of defective items UCL np = n i p + 3 ni p(1 − p)

np =
Total number of subgroups
Where: LCL np = n i p − 3 n i p(1 - p)
np: Average number defective items per subgroup
LCLnp: Lower control limit on nP chart
UCLnp: Upper control limit on nP chart
Since the Control Limits AN D Center Line are a function

of sample size, they will vary for each sample.
The U Chart is also basic in construction and is used to monitor the number of defects per unit.
Ca lcula te the pa ra meters of the U Control Cha rts w ith the

follow ing:

u
u=
Total number of defects Identified UCL u = u + 3
Total number of Units Inspected ni
u
Where: LCL u = u − 3
ni
u: Total number of defects divided by the total number of units inspected.
LCLu: Lower control limit on u chart.
UCLu: Upper control limit on u chart.
Since the Control Limits are a function of sample

size they will vary for each sample
size, sample.

612
The C Control Charts are a nice way of monitoring the number of defects in sampled subgroups
subgroups.
Ca lcula te the pa ra meters of the C Control Cha rts w ith the

follow ing:

Total number of defects UCL c = c + 3 c
c=
Total number of subgroups
LCLc = c − 3 c
W here:
c: Total number of defects divided by the total number of subgroups.

LCLc: Lower control limit on c chart.
UCLc: Upper control limit on c chart.
This EWMA can be considered a smoothing monitoring system with Control Limits. This is rarely used
without computers or automated calculations. The items plotted are NOT the actual measurements
b t th
but the weighted
i ht d measurements. t Th
The exponentially
ti ll weighted
i ht d movingi average iis useful
f l ffor considering
id i
past and historical data and is most commonly used for individual measurements although has been
used for averages of subgroups.
Ca lcula te the pa ra meters of the EW M A Control Cha rts w ith

the follow ing:

σ λ
Zt = λ Xt + (1− λ) Zt −1 UCL = X + 3 ( )[1 − (1 − λ) 2t ]
n 2 − λ
σ λ
LCL = X − 3 ( )[1 − (1 − λ) 2t ]
W here: n 2−λ
Zt: EWMA statistic plotted on control chart at time t
Zt-1: EWMA statistic plotted on control chart at time t-1
λ: The weighting factor between 0 and 1 – suggest using 0.2
σ: Standard deviation of historical data (pooled standard deviation for subgroups
– MRbar/d2 for individual observations)
Xt: Individual data point or sample averages at time t
UCL: Upper control limit on EWMA chart
LCL: Lower control limit on EWMA chart
n: S b
Subgroup samplel size
i

613
Ca lcula te the pa ra m eters of the CUSUM Control Cha rts w ith

M IN ITABTM or other progra m since the ca lcula tions a re even
m ore complica ted tha n the EW M A cha rts.
Beca use of this complex ity of form ula s, ex ecution of either

this or the EW M A a re not done w ithout a utom a tion a nd
com puter a ssista nce.
Ah, anybody got a laptop?
The CUSUM is an even more difficult technique to handle with manual calculations.
calculations We aren’t
aren t even
showing the math behind this rarely used chart. Following the Control Chart selection route shown
earlier, we remember the CUSUM is used when historical information is as important as present data.

614
Pre-Control Charts
Pre-Control Cha rts use limits relative to the specification limits. This is the first
and ON LY chart you will see specification limits plotted for statistical process
control. This is the most basic type of chart and unsophisticated use of process
control.
0.0 0.25 0.5 0.75 1.0 Red Zones. Zone outside the
specification limits. Signals the
process is out-of-control and
should be stopped
Yellow Zones. Zone between

RED Yellow GREEN Yellow Red the PC Lines and the
specification limits, indicates
caution and the need to watch
the process closely
Green Zone. Zone lies

LSL Target USL between the PC Lines, signals the
process is in control
The Pre-Control Charts are often used for startups with high scrap cost or low production volumes
between setups. Pre-Control Charts are like a stoplight are the easiest type of SPC to use by
operators or staff. Remember Pre-Control Charts are to be used ONLY for outputs of a process.
Another approach to using Pre-Control Charts is to use process capability to set the limits where
yellow and red meet.
Process Setup and Restart with Pre-Control
Q ua lifying
lif i Process
P
• To qualify a process, five consecutive parts must fall within the green zone
• The process should be qualified after tool changes, adjustments, new
operators, material changes, etc
M onitoring O ngoing Process

• Sample two consecutive parts at predetermined frequency
– If either part is in the red, stop production and find reason for variation
– W hen one part falls in the yellow zone inspect the other and
• If the second part falls in the green zone then continue
• If the second part falls in the yellow zone on the same side, make an
adjustment to the process
• If second part falls in the yellow zone on the opposite side or in the
red zone, the process is out of control and should be stopped
– If any part falls outside the specification limits or in the red zone, the
process is out of control and should be stopped

615
Responding to Out of Control Indications
SPC is an exciting
tool but we must • The power of SPC isn’t to find out what the Center Line and Control Limits are.
not get enamored • The power is to react to the Out of Control (OOC) indications with your Out of Control
Action Plans (OCAP) for the process involved. These actions are your corrective actions
with. The power of to correct the output or input to achieve proper conditions.
SPC is not to find
the Center Line and Individual SPC chart for Response Time
1 VIOLATION :
Control Limits but 40 UCL=39.76
special cause is indicated

to react to out of 30
Individual Value
control indications _
20
with an out of X=18.38
control action plan. 10 OCAP

SPC for If response time is too high, get
0
effectiveness at LCL=-3.01
additional person on phone bank
1 4 7 10 13 16 19 22 25 28 31
controlling and Observation
reducing long-term
• SPC requires immediate response to a special cause indication.
variation is to • SPC also requires no “ sub optimizing” by those operating the process.
respond – Variability will increase if operators always adjust on every point if not at the center
immediately to out line. ON LY respond when an Out of Control or special cause is detected.
of control or – Training is required to interpret the charts and response to the charts.
Special Cause
indications.
SPC can be actually harmful if those operating the process respond to process variation with
suboptimizing. A basic rule of SPC is if it is not out of control as indicated by the rules, then do not
make any adjustments. There are studies where an operator that responds to off center
measurements will actually produce worse variation than a process not altered at all. Remember,
being off the Center Line is NOT a sign of out of control because Common Cause variation exists.
Training is required to use and interpret the charts not to mention training for you as a Belt to properly
create an SPC chart.
Attribute SPC Example
Pra ctica l Problem : A project has been launched to get rework
reduced to less than 25% of paychecks. Rework includes contacting a
manager about overtime hours to be paid. The project made some
progress but decides they need to implement SPC to sustain the gains
and track % defective. Please analyze the file “ paycheck2.mtw” and
determine the Control Limits and Center Line.
Step 3 and 5 of the methodology is the primary focus for this example.
– Select the a ppropria te control cha rt a nd specia l ca use tests
to employ
– Ca lcula te the Center Line a nd Control Lim its
– Looking at the data set, we see 20 weeks of data.
– The sample size is constant at 250.
– The amount of defective in the sample is in column C3.
Paycheck2.mtw

616
Attribute SPC Example (cont.)
The example includes % paychecks defective. The metric to

be charted is % defective. W e see the P Chart is the most
appropriate attribute SPC chart.
N otice specifications were never discussed. Let us calculate the Control

Limits and Central Line for this example.
W e will confirm what rules for special causes are included in our Control
Chart analysis.

617
Remember to click on the Options and Tests tab to clarify the rules for
detecting special causes.
…. Chart Options>Tests
Chart analysis. The top 3 were selected.
N o special causes were detected. The average % defective checks were

20.38%. The UCL was 28.0% and 12.7% for the LCL.
P Chart of Empl_w_Errors
0.30
UCL=0.2802
0.25
Proportion
_
0.20 P=0.2038
0.15
LCL=0 1274
LCL=0.1274
1 3 5 7 9 11 13 15 17 19
Sample
N ow we must see if the next few weeks are showing special cause from
the results. The sample size remained at 250 and the defective checks
were 61, 64, 77.

618
Remember, we have calculated the Control Limits from the first 20 weeks.
W e must now put in 3 new weeks and N OT have MIN ITABTM calculate
new Control Limits which will be done automatically if we do not follow
this technique. W e are executing Steps 6-8
– Step 6 : Plot process X or Y on the new ly crea ted control
cha rt
– Step 7 : Check for O ut-O f-Control (O O C) conditions a fter ea ch
point
– Step 8 : Interpret findings, investiga te specia l ca use
va ria tion, & m a k e improvem ents follow ing the O ut of
Control Action Pla n (O CAP)
N otice the new 3 weeks of data was entered

into the spreadsheet.
…… Chart Options>Parameters
Place the pbar from the 1 st chart

we created in the estimates tab.
This will prevent MIN ITABTM from
calculating new control limits
which is step 9.
1
0.30
The new updated SPC chart UCL=0.2802
is shown with one special 0.25

Proportion
cause. _
0.20 P=0.2038
0.15
LCL=0.1274
1 3 5 7 9 11 13 15 17 19 21 23
Sample

619
Beca use of the specia l ca use, the process must refer to the O CAP or O ut of Control
Action Pla n tha t sta tes w ha t root ca uses need to be investiga ted a nd w ha t a ctions a re
ta k en to get the process ba ck in control.
1
0.30
UCL=0.2802
0.25
Proportion
n
_
0.20 P=0.2038
0.15
LCL=0.1274
1 3 5 7 9 11 13 15 17 19 21 23
Sample
After the corrective a ctions w ere ta k en, w a it until the nex t sa mple is ta k en to see if the
process ha s cha nged to not show specia l ca use a ctions
ctions.
– If still out of control, refer to the O CAP a nd ta k e further a ction to improve the
process. DO N O T ma k e a ny more cha nges if the process show s ba ck in
control a fter the nex t rea ding.
• Even if the nex t rea ding seem s higher tha n the center line! Don’t ca use
more va ria bility.
If process cha nges a re documented a fter this project w a s closed, the Control Limits
should be reca lcula ted a s in step 9 of the SPC methodology.
Pra ctica l Problem: A job shop drills holes for its largest customer as
a final step to deliver a highly engineered fastener. This shop uses five
drill presses and gathers data every hour with one sample from each
press representing a subgroup. The data is gathered in columns C3-C7.
Step 3 and 5 of the methodology is the primary focus for this example.
– Select the a ppropria te Control Cha rt a nd specia l
ca use tests to employ
– Ca lcula te the Center Line a nd Control Limits
Holediameter.mtw
Let’s walk through another example of using SPC within MINITABTM but in this case it will be
with Continuous Data. Open the MINITABTM worksheet called “hole diameter” and select the
appropriate type of Control Chart and calculate the Center Line and Control Limits.
Lets try another one

one, this time variable…
variable

620
The example has Continuous Data, subgroups and we have

no interest in small changes in this small process output.
The XBar R Chart is selected because we are uninterested in
the XBar S Chart for this example.
Specifications were never discussed. Let us calculate the Control Limits

and Central Line for this example.
Chart analysis.

621
Remember to click on the Options and Tests tab to clarify the rules for
detecting special causes.
……..Xbar-R Chart Options>Tests
W e will confirm what rules for special causes are included in our
Control Chart analysis. The top 2 of 3 were selected.
Also confirm the Rbar method is used for estimating Standard Deviation.
Stat>Control Charts>Variable Charts for Subgroups>Xbar-R>Xbar-R Chart Options>Estimate

622
N o special causes were detected in the XBar Chart. The average hole
diameter was 26.33. The UCL was 33.1 and 19.6 for the LCL.
Xbar-R
Xbar-RChart
Chartof
ofPart1,
Part1,...,
...,Part5
Part5
35
35
UUCL=33.07
C L=33.07
Mean
eMean
30
30
__
__
Sample
X=26.33
Sample
X=26.33
25
25
20
20 LC L=19.59
LCL=19.59
11 66 11
11 16
16 21
21 26
26 31
31 36
36 41
41 46
46
Sample
Sample
1
1
24 UUCL=24.72
C L=24.72
24
Range
SampleRange
18
18
_
12 _
12 R=11.69
R=11.69
Sample
6
6
0 LC L=0
0 LCL=0
1 6 11 16 21 26 31 36 41 46
1 6 11 16 21 26 31 36 41 46
Sample
Sample
N ow we will use the Control Chart to monitor the next 2 hours and see if
we are still in control.
Remember, we have calculated the Control Limits from the first 20 weeks.
W e must now put in 2 more hours and N OT have MIN ITABTM calculate
new Control Limits which will be done automatically if we do not follow
this step. W e are executing Steps 6-8
– Step 6 : Plot process X or Y on the new ly crea ted Control
Cha rt
– Step 7 : Check for O ut-O f-Control (O O C) conditions a fter ea ch
point
– Step 8 : Interpret findings, investiga te specia l ca use
va ria tion, & ma k e improvem ents follow ing the O ut of
Control Action Pla n (O CAP)
N otice the new 2 hours of data was

entered into the spreadsheet.

623
……..Xbar-R Chart Options>Parameters
Pla ce the M ea n from the 1 st cha rt w e crea ted

in the estima tes ta b. The Sta nda rd Devia tion
is Rba r/ d2 . This w ill prevent M IN ITABTM
from ca lcula ting new Control Limits
w hich is step 9 . d2 is found by finding
the ta ble of consta nts show n ea rlier.
Xbar-R Chart of Part1, ..., Part5

35
U C L=33.07
Sample M ean
30
_
_
X=26.33
25
The new upda ted SPC cha rt is show n w ith 20 LC L=19.59
no indica ted specia l ca uses in the X Ba r 1 6 11 16 21 26

Sample
31 36 41 46 51
cha rt. The m ea n, UCL a nd LCL a re 24

1
U C L=24.72
uncha nged beca use of the completed option

Sample Range
18
_
12 R=11.69
a bove. 6
0 LC L=0
1 6 11 16 21 26 31 36 41 46 51
Sample
Beca use of no specia l ca uses, the process does not refer to the O CAP or O ut
of Control Action Pla n a nd N O a ctions a re ta k en.
Xbar-R
Xbar-RChart
Chartof
ofPart1,
Part1,...,
...,Part5
Part5
35
35
U C LL=33.07
33.07
UCL 33 07
UCL=33.07
Sample M ean
30
Sample Mean
30
_
__
_
X=26.33
X=26.33
25
25
20 LC L=19.59
20 LCL=19.59
1 6 11 16 21 26 31 36 41 46 51
1 6 11 16 21 26 31 36 41 46 51
Sample
Sample
1
1
24 U C L=24.72
24 UCL=24.72
Sample Range
18
ge
18
Sample Rang
_
12 _
R=11.69
12 R=11.69
6
6
0 LC L=0
0 LCL=0
1 6 11 16 21 26 31 36 41 46 51
1 6 11 16 21 26 31 36 41 46 51
Sample
Sample
If process cha nges a re docum ented a fter this project w a s closed, the Control
Lim its should be reca lcula ted a s in step 9 of the SPC m ethodology .

624
Recalculation of SPC Chart Limits
• St
Step 9 off the
th methodology
th d l refers
f to
t recalculating
l l ti SPC lilimits.
it
• Processes should see improvement in variation after usage of SPC.
• Reduction in variation or known process shift should result in Center
Line and Control Limits recalculations.
– Statistical confidence of the changes can be confirmed with
Hypothesis Testing from the Analyze Phase
Phase.
• Consider a periodic time frame for checking Limits and Center Lines.
– 3, 6, 12 months are typical and dependent on resources and
priorities
– A set frequency allows for process changes to be captured.
• Incentive to recalculate limits include avoiding false special cause
detection with poorly monitored processes.
• These recommendations are true for both Variable and Attribute data.
SPC Chart Option in MINITABTM for σ Levels
Remembering many of the tests are based on the 1 st and 2 nd Standard

Deviations from the Center Line, some Belts prefer to have some additional
lines displayed. This is possible with:
Stat>Quality Charts> ….. Options>S Limits “tab”
tab
The extra lines can be helpful if users are using MIN ITABTM for the SPC.

625
Describe the elements of an SPC chart and the purposes of

SPC
Understand how SPC ranks in defect prevention
Describe the 13 Step route or methodology of implementing a
chart
Design subgroups if needed for SPC usage
Determine the frequency of sampling
Understand the Control Chart selection methodology
Be familiar with Control Chart parameter calculations such as
UCL, LCL and the Center Line
You have now completed Control Phase – Statistical Process Control.
Notes

626
Lean Six Sigma

Black Belt Training
Control Phase
Six Sigma Control Plans
Now we are going to continue in the Control Phase with “Six Sigma Control Plans”.

627
Overview
The last physical result
of the Control Phase is W
W elcom
elcomee to
to Control
Control
the Control Plan. This
module will discuss a Adva
Advanced
nced Ex
Ex perim
periments
ents
technique to selection
various solutions you Adva
Advanced
nced Ca
Capa
pability
bility
might want from all of
your defect reduction Lea
Leann Controls
Controls
techniques found
earlier in this phase.
Defect
Defect Controls
Controls
We will also discuss
elements of a Control Sta
Statistica
tisticall Process
Process Control
Control
Plan to aid you and (SPC)
(SPC)
your organization to Solution
Solution Selection
Selection
sustain your project’s Six
Six Sigma
Sigma Control
Control Pla
Plans
ns
results. Control
Control Plan
Plan Elements
Elements
W
W ra
rapp Up
Up &
& Action
Action Item
Itemss
We will examine the
meaning of each of
these and show you
how to apply them.
End of Control: Your Objectives
You’ve already decided on the some defect reduction methodology.
Final decisions need to clarify which defect reduction tools to use.

– Capital expenditures may be required.
– Training hurdles to overcome.
– Management
g buy-in
y not completed.
p
This module will help select solutions with a familiar tool.
The Control Phase allows the Belt and its team to tackle other processes in the
future.
– The elements of a Control Phase aid to document how to maintain the
process.
This module identifies the elements of strong Control Plans.
Remember: The objective is to sustain the gains initially found in the

D,M,A,I Phases.
We have discussed all of the tools to improve and sustain your project success. However, you might have
many options
ti or too
t many options
ti to
t implement
i l t final
fi l monitoring
it i or controls.
t l This
Thi module
d l will
ill aid
id you iin
defect reduction selection.
Another objective of this module is to understand the elements of a good Control Plan needed to sustain
your gains.

628
Selecting Solutions
Selecting improvements to implement:

– High-level objective evaluation of all potential improvements
• Impact of each improvement
• Cost to implement each improvement
• Time to implement each improvement
– Balance desire with quantifiable evaluation
• Engineering always wants the gold standard
• Sales always wants inventory
• Production always wants more capacity
The tool for selecting defect prevention methods is unnecessary for just a
ffew changes
h to
t the
th process.
– Many projects with smaller scopes have few, but vital control
methods put into the process.
Selecting solutions comes down to a business decision. The impact, cost and timeliness of the
improvement are all important. These improvement possibilities must be balanced against the
y is always
business needs. A cost benefit analysis y ag good tool to use to assist in determining
g the
priorities.
Recall us talking about the progression of a Six Sigma project? Practical Problem – Statistical
Problem – Statistical Solution – Practical Solution. Consider the Practical Solutions from a
business decision point of view.
Impact Considerations
Impa ct of the improvem ent:

– Time frame of improvements
• Long-term vs. Short-term effectiveness
– If a supplier will lose a major customer because of defects,
the short term benefit will prevail first.
– Effectiveness of the improvement types
• Removing the root cause of the defect
• Monitoring/ flagging for the condition that produces a defect
• Inspecting to determine if the defect occurred
• Training people not to produce defects
Now that’s IMPACT!

629
Cost Considerations
Cost to implement improvement:

– Initial cost to implement improvement
• Cost to train existing work force
• Cost to purchase any new materials necessary for
improvement
• Cost of resources used to build improvement
• Any capital investments required
– On-going costs to sustain improvement
• Future training, inspection, monitoring, and material costs
It’s all about the cash!
Time Considerations
Time to implement improvement:

– Technical time constraints
• W hat is the minimum time it would take to implement?
– Time to build/ create improvement, time to implement
improvement
– Political time constraints
• W hat other priorities are competing for the technical time to
build the improvement?
– Cultural time constraints
• How long will it take to gain support from necessary
stakeholders?
The clock
clock’ss ticking……
ticking

630
Improvement Selection Matrix
IImplementing
l ti this
thi fa
f milia
ili r tool
t l tot prioritize
i iti proposed d
improvements is ba sed on the three selection criteria of
time, cost a nd impa ct.
– All the process outputs are rated in terms of their relative
importance to the process
• The
Th outputs
t t off interest
i t t will
ill be
b the
th same as those
th in
i your X
X-Y
Y
Matrix.
• The relative ranking of importance of the outputs are the same
numbers from the updated X-Y Matrix.
– Each potential improvement is rated against the three criteria of
time cost
time, cost, and impact using a standardized rating scale
– Highest overall rated improvements are best choices for
implementation
This should
resemble the X-Y
Matrix. This tool is
of no use if you
have one or two
improvement
efforts to consider.
The outputs listed
above in most
cases resemble
those of your
original X-Y Matrix
but you might have
another business
output
p added.
The significance rating is the relative ranking of outputs. If one output is rated a 10 and it is twice the
importance of a second output, the rating for the second output would be a 5. The improvements, usually
impacting the X’s, are listed and the relative impact of each item on the left is rated against its impact to
the output. The overall impact rating for one improvement is the sum of the individual impact ratings
multiplied by their respective significant rating of the output impacted. Items on the left having more
impacts on multiple outputs will have a higher overall impact rating. The cost and timing ratings are
multiplied against the overall impact rating.
The improvements listed with the highest overall ratings are the first to get consideration. The range of
impact ratings can be zero to seven. An impact of zero means no impact. The cost and timing ratings are
rated zero to seven. With zero being prohibitive in the cost or timing category.

631
Improvement Selection Matrix Project Outputs
Pi
Primary and
dSSecondary
d M
Metrics
t i off your P
Project.
j t
– List each of the Y’s across the horizontal axis
– Rate the importance of the process Y’s on a scale of 1 to 10
• 1 is not very important, 10 is critical
• The Significance rankings must match your updated X-Y Matrix
rankings
Improvement Selection Matrix
Just like when using

Impact Ratings
the FMEA, your
7 X's are removed from impacting the process output.
ratings may vary for
Continual control and adjustment of critical X's impacting the
the three Selection 6
process output.
Matrix categories.
Continual control of critical X's prevents defects in the process
Feel free to use 5
whatever objective output from X.
ratings you desire. Defect detection of the process output prevents unknown defects
4
from leaving the process.
These are some 3 Process inspection or testing is improved to find defects better.
general guideline
ratings, customize Process is improved with easier control of a critical X impacting the
2
them to meet your process output.
business, just try to 1 Personnel are trained about X's impact on the process output.
standardize whatever 0 X's have no impact on the process output.
criteria you choose.
The recommended
cost ratings from zero Cost to Implement Ratings
to seven are here. In Improvement Costs are minimal with upfront and ongoing
7
many companies, expenses.
expenditures that are Improvement Costs are low and can be expensed with no capital
6
not capitalized usually authorization and recurring expenses are low.
are desired because Improvement Costs are low and can be expensed with no capital
5
authorization
th i ti and d recurring
i expenses are hi higher.
h
they are smaller and
Medium capital priority because of relative ranking of return on
are merely expensed. 4
investment.
Your business may
Low capital priority because of relative ranking of return on
have different 3
investment.
strategies or need of
High capital and ongoing expenses make a low priority for capital
cash so consider your 2
investment.
business’ situation. High capital and/or expenses without acceptable return on
1
investment.
Significant capital and ongoing expenses without alignment with
0
business priorities.

632
Improvement Selection Matrix (cont.)
Time to Implement Ratings

7 Less than a week to get in place and workable.
6 7 - 14 days to get in place and workable.
5 2 - 8 weeks to get the improvement in place and workable.
4 2 - 3 months to get the improvement in place and workable.
2 6 - 9 months
th tto gett the
th improvement
i t iin place
l and
d workable.
k bl
Over a year to get the improvement in place and workable. All
0
above times include time for approvals process.
These time ratings are ranked from zero to seven. You might wonder why something that would take
a year or more we suggest gets a zero rating
i suggestingi the
h iimprovement not b
be considered.
id d M Many
businesses have cycle times of products less than a year so improvements that long are ill
considered.
Example of Completed Solution Selection Matrix
water
o not
kers
ude
Coffee is hot and rrich
Food choices inclu

Plenty of bottled w
interfer with speak
Outside noises do
"healthy choices"
OVERALL
COST TIME OVERALL
IMPACT
RATING RATING RATING
RATING
available
tasting
Significance Rating 10 9 8 9
Impact Impact Impact Impact
Potential Improvements Rating Rating Rating Rating
1 Hotel staff monitors room 2 2 6 0 86 7 7 4214
2 Mgmt visits/leaves ph # 2 0 4 0 52 7 7 2548
3 Replace old coffee makers/coffee 0 7 0 0 63 3 6 1134
4 Menus provided with nutrition info 0 0 0 4 36 5 5 900
5 Comp. gen. "quiet time" scheduled 6 0 0 0 60 3 3 540
6 Dietician approves menus 0 0 0 7 63 5 2 630
Im provem ent Selection M a trix O utput
Improvements with the higher overall rating should be given first priority.
Keep in mind that long time frame capital investments
investments, etc
etc. should have
parallel efforts to keep delays from further occurring.
This is just an example of a completed solution selection matrix. Remember that a cost or time
rating of zero would eliminate the improvement from consideration by your project. Remember your
ratings of the solutions should involved your whole team to get their knowledge and understanding
of final priorities.
Again, higher overall ratings are the improvements to be considered. Do NOT forget about the
potential to run improvements in parallel. Running projects of complexity might need the experience
of a trained project manager. Often projects need to be managed with gantt charts or timelines
showing critical milestones.

633
Implementing Solutions in Your Organization
Once you’ve
O ’ decided
d id d
Implementation Plans should emphasize the need to: defect reduction
solutions, you need to
– Organize the tasks and resources
plan those solutions. A
– Establish realistic time frames and deadlines plan means more than
– Identify actions necessary to ensure success the proverbial back of
the envelope solution
Components of an Implementation Plan include: and should include
– W ork breakdown structure timelines, critical
milestones, project
– Influence strategy for priorities and resourcing review dates and
– Risk management plan specific actions noted
– Audit results for completion and risks. for success in your
solution
All solutions must be part of Control Plan Document. implementation. Many
peoplel use EExcell or MS
Project but many
We have a plan don’t we? options exist to plan
your project closing
with these future
sustaining plans.
What is a Control Plan?
A Control Pla n is:

• W ritten sum m a ry describing sy stem s used for m onitoring/ controlling
process or product va ria tion
• Docum ent a llow ing tea m to form a lly docum ent a ll control m ethods
used to m eet project goa l
• Living docum ent to be upda ted a s new m ea surem ent system s a nd
control m ethods a re a dded for continuous im provem ent
• O ften used to crea te concise opera tor inspection sheet
• N O T a repla cem ent of inform a tion conta ined in deta iled opera ting,
m a intena nce, or design instructions
• ESSEN TIAL portion
ti off fina
fi l project
j t reportt
– Fina l projects a re orga niza tiona lly dependent
• Inform a l or form a l
– Filed a s pa rt of project tra ck ing m echa nism for orga niza tion
• Tra ck benefits
• Reference for unsusta ined results

634
WHO Should Create a Control Plan
Th team
The t working
ki on the
th project!!!!
j t!!!!
AN YON E who has a role in defining, executing or changing the

process:
– Associates
– Technical Experts
– Supervisors
– Managers
– Site Manager
– Human Resources We did it!!
i
WHY Do We Need a Control Plan?
Project results need to be sustained.

• Control Plan requires operators/ engineers, managers, etc. to
follow designated control methods to guarantee product
quality throughout system
• Allows a Belt to move onto other projects!
• Prevents need for constant heroes in an organization who
repeatedly solve the same problems
• Control Plans are becoming more of a customer requirement
Going for distance, not the sprint!

635
Control Plan Elements
The 5 elements of
a Control Plan
include the
Control Pla n
documentation,
monitoring,
response, training Documenta tion Response Pla n Process ow ners
Pla n a ccounta ble to
and aligning m a inta in new
level of
systems and Aligning
process
Sy stems M onitoring Tra ining
structures. Pla n perform a nce
Pla n
& Structures
IM PLEM EN TED Verified

V ifi d Fina
Fi ncia
i l
IM PRO VEM EN TS Impa
Im pa ct
Control Plan Information
Control Plans use all

of the information The tea m develops the Control Pla n by utilizing a ll a va ila ble
from the previous inform a tion from the follow ing:
phases of your project – Results from the M ea sure a nd Ana lyze Pha ses
and the defect – Lessons lea rned from simila r products a nd processes
prevention methods – Tea m’s k now ledge of the process
selected. Control – Design FM EAs
Plans may y not be
– Design review s
exciting because you
are not doing anything – Defect Prevention M ethods selected
new to the process
but stabilizing the
process in the future Documenta tion Response Pla n
Pla n
with this document.
Aligning
Systems M onitoring a ining
Tra g
Pla n Pla n
& Structures

636
Training Plan
W ho/ W ha t orga niza tions require tra ining?

– Those impacted by the improvements
• People who are involved in the process Tra ining
Pla n
impacted by the improvement
• People who support the process impacted by
the improvement
– Those impacted by the Control Plan

• Process owners/ managers
• People who support the processes involved in the Control Plan
• People who will make changes
g to the process in the future
W ho w ill com plete the tra ining?

– Immediate training
• The planning, development and execution is a Tra ining
responsibility of the project team Pla n
• Typically
yp y some of the training g is conducted by
y
the project team
– Qualified trainers
• Typically owned by a training department or process owner
• Those who are responsible for conducting the on-going
training must be identified
Specific training materials need developing

developing.
– PowerPoint, On the Job checklist, Exercises, etc.
W hen will training be conducted?
W hat is the timeline to train everyone

Tra ining
on the new process(es)? Pla n
W hat will trigger ongoing training?

– N ew employee orientation?
– Refresher training?
– Part of the response plan when monitoring shows
performance degrading?

637
Training Plan (cont.)
Tra ining Pla n O utline
Tra ining
Pla n
I t
Integration
ti into
i t
Schedule for O ngoing New Final Location of
W ho W ill Create Training M odules W ho W ill be S chedule for E m ployee E m ployee
T raining M odule M odules Com pletion T rained T raining Trainer(s) T raining M anuals
Documentation Plan
Documentation
Documentation is necessary y to ensure that what Documenta tion
Plan Pla n
Pl
has been learned from the project is shared and
institutionalized:
– Used to aid implementation of solutions
– Used for on-going training
This is often the actual Final Report some organizations use.
Documenta tion must be k ept current to be useful

638
Documentation Plan (cont.)
Items to be included in the Documenta tion Pla n:
Docum enta tion

– Process documenta tion Pla n
• Upda ted Process M a ps/ flow cha rts

• Procedures (SO P’s)
P s)
• FM EA
– Control Pla n documenta tion

• Tra ining ma nua ls
• M onitoringg pla
p n—process
p ma na gement
g cha rts,, reports,
p ,
sops
• Response pla n—FM EA
• Systems a nd structures—job descriptions, performa nce
ma na gement objectives
Assigning responsibility for Documenta tion Pla n:

– Responsibility at implementation
Documentation
Plan
• Black Belt ensures all documents are current
att hand
h d off
ff
• Black Belt ensures there is a process to modify
documentation as the process changes in place
• Black Belt ensures there is a process in place to review
documentation on regular basis for currency/ accuracy
– Responsibility
p y for ongoing
g gp process ((organizationally
g y based))
• Plan must outline who is responsible for making
updates/ modifications to documentation as they occur
• Plan must outline who is responsible to review documents—
ensuring currency/ accuracy of documentation

639
Documentation Plan (cont.)
Documenta tion Pla n O utline

Documenta tion
Pla n
Update/
Items
It IImmediate
di t R i
Review
Document Modification
Necessary Responsibility Responsibility
Responsibility
Monitoring Plan
Purpose of a Monitoring Plan:

– Assures gains are achieved and sustained
– Provides insight for future process improvement activities M onitoring
Pla n
Development of a Monitoring Plan:

– Belt is responsible for the development of the monitoring plan
– Team members will help to develop the plan
– Stakeholders must be consulted
– Organizations with financial tracking would monitor results.
Sustaining the Monitoring Plan:

– Functional managers will be responsible for adherence to the
monitoring
gpplan
• They must be trained on how to do this
• They must be made accountable for adherence

640
Monitoring Plan (cont.)
Tests:
– W hen to Sample
M onitoring
• After training Pla n
• Regular intervals
• Random intervals (often in auditing sense)
– How to Sample
– How to Measure
I knew I should have paid more attention!
Sta tistica l Process Control:

– Control Charts
M onitoring
Pla n
• Posted in area where data collected
• Plot data points real time
– Act on Out of Control Response with guidelines from the
Out of Control Action Plan (OCAP).
– Record actions taken to achieve in-control results.
• N otes impacting performance on chart should be encouraged
– Establishing new limits
• Based on signals that process performance has changed

641
Response Plan
FM EA is a grea t tool to use for the M onitoring Pla n
M onitoring
Pla n
Potential C
Process Potential S Potential O Current D R Responsible
p S O D R
Failure
F il M
Modes
d l Recommend
R d T k
Taken
# Function Failure Effects E Causes of C Process E P Person & E C E P
(process a Actions Actions
(Step) (Y's) V Failure (X's) C Controls T N Target Date V C T N
defects) s
1
– Allow s process m a na ger a nd those involved in the process

to see the entire process a nd how everyone contributes to a
defect free product/ service.
– Provides the mea ns to k eep the document current—
rea ssessing RPN s a s the process cha nges
Monitoring Plan
Check Lists/ M a trices

– Key
K ititems tto check
h k
M onitoring
– Decision criteria; decision road map Pla n
– Multi-variable tables
Visua l M a na gem ent

– Alerts or signals to trigger action
action.
• Empty bins being returned to when need stock replenished
• Red/ yellow/ green reports to signal process performance
– Can be audible also.
– 5S is necessary for Visual Management

642
Response Plan
Response Pla ns — outline process(es) to follow when Response Pla n
there is a defect or Out of Control from monitoring:

– Out of control point on Control Chart
– N on random behavior within Control Limits in
Control Chart
– Condition/ variable proven to produce defects present in process
– Check sheet failure
– Automation failure
Response to poor process results are a must in training.
Response Pla ns a re living documents upda ted w ith

new informa tion a s it becomes a va ila ble.
Components of Response Pla n: Response Pla n
– The triggers for a response

• W hat are the failure modes to check for?
• Usually monitor the highest risk X's in the process
– The recommended response for the failure mode
– The responsibilities for responding to the failure mode
– Documentation
D t ti off Response
R Plan
Pl b being
i ffollowed
ll d iin a ffailure
il mode
d
– Detailed information on the conditions surrounding the failure
mode

643
Response Plan – Abnormality Report
Response Pla n
• Deta iled documenta tion Process
w hen fa ilure modes Metric

occur.
urrent Situation
Signal
• Provide a m ethod for Situation Code
Cu
on-going continuous
improvement. Detailed Situation
Date
Investigation of Cause
• Reinforce
commitment to Code of Cause
elimina ting defects.

Corrective Action
• Fits w ith ISO 9 0 0 0 sta nda rd of Who To Be Involved
ha ving a CAR or Corrective

Root Cause Analysis
Action Request. What To Be Done
Date for completion of analysis
• M ethod to collect frequency of

corrective a ctions. Date for implementation of permanent prevention
Aligning Systems and Structures
Systems and structures are the basis for allowing

people to change their behaviors permanently:
Aligning
– Performance goals/ objectives System s
– Policies/ procedures & Structures
– Job descriptions
– Incentive compensation
– Incentive programs, contests, etc
There a re long- a nd short-term stra tegies

for a lignment of systems a nd structures.

644
Aligning Systems and Structures (cont.)
• Get rid of measurements that do not align with

desired behaviors
Aligning
System s
• Get rid of multiple measures for the same & Structures
desired behaviors
• Implement measures that align with desired behaviors currently not

motivated by incentives
• Change management must consider your process changes and how

the process will respond?
• Are the hourly incentives hurting your chance of success?
Project Sign Off
Best method to assure acceptance of Control Plan is

having supervisors and management for the area
involved. Aligning
Systems
– Meeting for a summary report & Structures
– Specific changes to the process highlighted
– Information where Control Plan is filed
Now that’s
h a Controll Plan!
l

645
Identify all 5 phases of the Six Sigma methodology
Identify at least 3 tools from each phase
Show progress on your ongoing project
Now for the last few questions to ask if you have been progressing on a real world project while
taking this learning. First, has your project made success in the primary metric without
compromising your secondary metrics? Second, have you been faithfully updating your metric
charts and keeping your process owner and project champion updated on your team’s activities. If
not, then start NOW.
Remember a basic change management idea you learned in the Define Phase. If you get
involvement of team members who work in the process and keep the project Champion and
Process Owner updated as to results, then you have the greatest chance of success.
You have now completed Control Phase – Six Sigma Control Plans.
Notes

646
Lean Six Sigma

Black Belt Training
Control Phase
Wrap Up and Action Items

647
Control Phase Overview—The Goal
The goa l of the Control Pha se is to:
• Assess the final process capability.
• Revisit Lean with an eye for sustaining the project

project.
• Evaluate methods for defect prevention.
• Explore various methods to monitor process using SPC.
• Implement a Control Plan.
Gooooaaallllll!!
Organizational Change
Ea ch “ pla yer ” in the process ha s a role in

SUSTAIN IN G project success a chieved.
• Accept responsibility
• M it i
Monitoring
• Responding
• Managing
• Embracing change & continuous learning
• Sharing best practices
• Potential for horizontal replication or expansion of results

648
Control Phase—The Roadblocks
Look for the potential roadblocks and plan to address them

before they become problems:
– Lack of project sign off
– Team members are not involved in Control Plan design
– Management
g does not have knowledgeg on monitoring g and
reacting needs
– Financial benefits are not tracked and integrated into
business
– Lack of buy in of process operators or staff
DMAIC Roadmap
wner
Champion/
Process Ow
Identify Problem Area
Determine Appropriate Project Focus

Define
Estimate COPQ
Establish Team
ure
Assess Stability
Stability, Capability
Capability, and Measurement Systems
Measu
Identify and Prioritize All X’s

Analyze
Prove/ Disprove Impact X’s Have On Problem

Improve
Identify, Prioritize, Select Solutions Control or Eliminate X’s Causing Problems
Implement Solutions to Control or Eliminate X’s Causing Problems

Control
Implement Control Plan to Ensure Problem Doesn’t Return

649
Control Phase
Improvement Selected
Develop Training Plan
Implement Training Plan
Develop Documentation Plan
Implement Documentation Plan
Develop Monitoring Plan
Implement Monitoring Plan
Develop Response Plan
Implement Response Plan
Develop Plan to Align Systems and Structures
Align Systems and Structures
Go to N ext Project
Control Phase Checklist
Control Questions
Step One: Process Enhancement And Control
Results
• How do the results of the improvement(s) match the requirements of the business
case and improvement goals?
• What are the vital few X’s?
• How will you control or redesign these X’s?
• Is there a process control plan in place?
• Has the control plan been handed off to the process owner?
Step Two: Capability Analysis for X and Y
Process Capability
• How are you monitoring the Y’s?
Step Three: Standardization And Continuous Improvement
• How are you going to ensure that this problem does not return?
• Is the learning transferable across the business?
• What is the action plan for spreading the best practice?
• Is there a project documentation file?
• How is this referenced in process procedures and product drawings?
• What is the mechanism to ensure this is not reinvented in the future?
Step Four: Document what you have learned
• Is there an updated FMEA?
• Is the control plan fully documented and implemented ?
• What are the financial implications?
• Are there any spin-off projects?
• What lessons have yyou learned?
General Questions
• Are there any issues/barriers preventing the completion of the project?
• Do the Champion, the Belt and Finance all agree that this project is complete?

650
Planning for Action
W HAT W HO W HEN W HY W HY N O T HO W
Test validation plan for a specific time
Calculate benefits for breakthrough
Implement change across project team
Process map of improved process
Finalize Key Input Variables (KPIV) to meet goal
Prioritize risks of output failure
Control plan for output
Control plan for inputs
Chart a plan to accomplish the desired state of the culture
Mistake proofing plan for inputs or outputs
Implementation plan for effective procedures
Knowledge transfer between Belt, PO, and team members
Knowledge sharing between businesses and divisions
Lean project control plan
Establish continuous or attribute metrics for Cpk
Identify actual versus apparent Cpk
Finalize problem solving strategy
Complete RPN assessment with revised frequency and controls
Show improvement in RPN through action items
Repeat same process for secondary metrics
Summary
At this point,
point you should:
• Have a clear understanding of the specific deliverables to complete

your project.
• Have started to develop a project plan to meet the deliverables

deliverables.
• Have identified ways to deal with potential roadblocks.
• Be ready to apply the Six Sigma method on your N EXT project.

651
It’s a Wrap
Congratulations you
have completed
Certified Lean Six Sigma
Black Belt
Training!!!

652
Lean Six Sigma

Black Belt Training
Control Phase
Quiz
Now we will see what you have retained from the Control Phase of the course. Please answer
these questions to the best of your ability without referencing the text. The answers are in the
Appendix. Please check your answers against the answers provided and review the sections in
the Control Phase where your retention of the knowledge is less than you desire.

653
Control Phase Quiz
1. Which statement is true about the steepest

p ascent Experimental
p Design?
g ((check all that
apply)
A. It finds the optimum spot within the original design space.
B. It attempts to find the optimum region outside the original design space.
C. The design works best when known curvature exists.
D. The design works best when 5 or more factors are significant from the screening
design.
E. The design finds the optimum spot within the original design space if curvature was
found previously
previously.
2. If the Belt has found a good, statistically significant model from the last Full Factorial
Design, what is the main reason a steepest ascent design be considered in the project?
A. 4 factors were found to be statistically significant.
B. The desired process output was not yet found within the original design space.
C. The project target was achieved but the project wants to further improve the process.
D. The DOE indicated curvature because Center Points were included and the local,,
desired maximum was within the original design space.
3. Advanced Capability Analysis for defects per unit is not possible within MINITABTM.
True False
4. Process Capability is discussed in the Control Phase. Why is Process Capability

considered in the Control Phase of a Six Sigma project?
A Process Capability is a way of predicting future performance when a stable process
A.
exists.
B. Special Causes reduce Predictability and Process Capability measures Process
Predictability relative to specifications.
C. Process Capability uses the same equations for normal and non-normal processes.
D. If the process is non-normal the type of distribution must be remembered when
monitoring a process in the Control Phase. This type of Non-normal Distribution must
be known to run a p proper
p Process Capability
p y Analysis.
y
5. The Lean toolbox including items such as 5S, Visual Factory management and Kanbans
can best be described to ________ a process in the Control Phase.
A. remove labor for
B. overly lengthen the Six Sigma project for
C. confuse
D. stabilize
6. How does the idea of MUDA from Lean Principles best fit with the Six Sigma
methodology?
A. MUDA means waste which is indicating defects are occurring in the process.
B. Lean is Six Sigma that originated in SE Asia.
C. MUDA is an abbreviation for Six Sigma tools.
D. MUDA is the technique of finding the best practices.
7. Kaizens or kaikakus are examples of six sigma projects?

True False

654
Control Phase Quiz
8. If excess inventory is one reason for Special Causes in the Six Sigma project, which best
it
item iin L
Lean P
Principles
i i l can hhelp
l iimprove th
the P
Process CCapability
bilit and
d sustainability
t i bilit off th
the
project?
A. Kanban
B. SPC
C. 5S
D. Value Stream Mapping
E. Operator support
9. Kanbans work best with pull systems for determining which products or services are
produced?
True False
10. __________ (fill in the blank) are signals telling a process to process a product or
service.
A. Kaizen
B Kanban
B. K b
C. Andon
D. Poka-Yoke
E. Gemba
11. Since Kanbans are used to control how much inventory exists, it is a quick fix to improve
the inventory.
True False
12. Which are examples of Defect Prevention to consider in your execution of the Control
Phase of your project? (check all that apply)
A. Poka-Yoke or Mistake Proofing
B. Monte Carlo Simulation
C. FMEA
D. Robust product design
E Negotiate
E. N ti t new specification
ifi ti limits
li it ffrom customers
t
13. Which items listed below will cause tolerance specification limits to tighten for an input
statistically affecting the output of interest. (check all that apply)
A. A gauge with a worsening precision.
B. The measuring instrument for the output has improving precision.
C. Other unknown significant Noise factors are increasingly varying.
D. The input
p has a new automated controller to minimize variation the input p from the
desired setting.
14. Every process has causes of variation commonly known as: (check all that apply)
A. Common
B. Insignificant
C. Special
D. Uneducated
15. SPC is an excellent tool for telling us why a process is exhibiting Special Cause
variation.
True False

655
Glossary
Affinity Diagram - A technique for organizing individual pieces of information into groups or broader categories.
ANOVA - Analysis of Variance – A statistical test for identifying significant differences between process or
system treatments or conditions. It is done by comparing the variances around the means of the conditions
being compared.
Attribute Data - Data which on one of a set of discrete values such as pass or fail, yes or no.
Average - Also called the mean, it is the arithmetic average of all of the sample values. It is calculated by adding
all of the sample values together and dividing by the number of elements (n) in the sample
sample.
Bar Chart - A graphical method which depicts how data fall into different categories.
Black Belt - An individual who receives approximately four weeks training in DMAIC, analytical problem solving,
and change management methods. A Black Belt is a full time six sigma team leader solving problems under the
direction of a Champion.
Breakthrough
g Improvement
p - A rate of improvement
p at or near 70% over baseline p
performance of the as-is
process characteristic.
Capability - A comparison of the required operation width of a process or system to its actual performance
width. Expressed as a percentage (yield), a defect rate (dpm, dpmo,), an index (Cp, Cpk, Pp, Ppk), or as a
sigma score (Z).
Cause and Effect Diagram - Fishbone Diagram - A pictorial diagram in the shape of a fishbone showing all
possible variables that could affect a given process output measure.
Central Tendency - A measure of the point about which a group of values is clustered; two measures of central
tendency are the mean, and the median.
Champion -A Champion recognizes, defines, assigns and supports the successful completion of six sigma
projects; they are accountable for the results of the project and the business roadmap to achieve six sigma
within their span of control.
Characteristic - A process input or output which can be measured and monitored

monitored.
Common Causes of Variation - Those sources of variability in a process which are truly random, i.e., inherent
in the process itself.
Complexity -The level of difficulty to build, solve or understand something based on the number of inputs,
interactions and uncertainty involved.
Control Chart - The most p powerful tool of statistical p

process control. It consists of a run chart,, together
g with
statistically determined upper and lower control limits and a centerline.
Control Limits - Upper and lower bounds in a control chart that are determined by the process itself. They can
be used to detect special or common causes of variation. They are usually set at ±3 standard deviations from
the central tendency.
Correlation Coefficient - A measure of the linear relationship between two variables.
Cost of Poor Quality (COPQ) - The costs associated with any activity that is not doing the right thing right the
first time. It is the financial qualification any waste that is not integral to the product or service which your
company provides.

656
Glossary
CP - A capability measure defined as the ratio of the specification width to short-term process performance
width.
CPk -. An adjusted short-term capability index that reduces the capability score in proportion to the offset of the
process center from the specification target.
Critical to Quality (CTQ) - Any characteristic that is critical to the perceived quality of the product, process or
system. See Significant Y.
Critical X - An input to a process or system that exerts a significant influence on any one or all of the key
outputs off a process.
Customer - Anyone who uses or consumes a product or service, whether internal or external to the providing
organization or provider.
Cycle Time - The total amount of elapsed time expended from the time a task, product or service is started
until it is completed.
Defect - An output of a process that does not meet a defined specification

specification, requirement or desire such as time
time,
length, color, finish, quantity, temperature etc.
Defective - A unit of product or service that contains at least one defect.
Deployment (Six Sigma) - The planning, launch, training and implementation management of a six sigma
initiative within a company.
Design
g of Experiments
p (DOE)
( ) - Generally,
y, it is the discipline
p of using
g an efficient,, structured,, and proven
p
approach to interrogating a process or system for the purpose of maximizing the gain in process or system
knowledge.
Design for Six Sigma (DFSS) - The use of six sigma thinking, tools and methods applied to the design of
products and services to improve the initial release performance, ongoing reliability, and life-cycle cost.
DMAIC - The acronym for core phases of the six sigma methodology used to solve process and business
problems through data and analytical methods. See define, measure, analyze, improve and control.
DPMO - Defects per million opportunities – The total number of defects observed divided by the total number
of opportunities, expressed in parts per million. Sometimes called Defects per Million (DPM).
DPU - Defects per unit - The total number of defects detected in some number of units divided by the total
number of those units.
Entitlement - The best demonstrated performance for an existing configuration of a process or system. It is an
empirical demonstration of what level of improvement can potentially be reached
reached.
Epsilon ε - Greek symbol used to represent residual error.
Experimental Design - See Design of Experiments.
Failure Mode and Effects Analysis (FMEA) - A procedure used to identify, assess, and mitigate risks
associated with potential product, system, or process failure modes.
Finance Representative - An individual who provides an independent evaluation of a six sigma project in
terms of hard and/or soft savings. They are a project support resource to both Champions and Project
Leaders.

657
Glossary
Fishbone Diagram - See cause and effect diagram.
Flowchart - A graphic model of the flow of activities, material, and/or information that occurs during a process.
Gage R&R - Quantitative assessment of how much variation (repeatability and reproducibility) is in a measurement
system compared to the total variation of the process or system.
Green Belt - An individual who receives approximately two weeks of training in DMAIC, analytical problem solving,
and change management methods. A Green Belt is a part time six sigma position that applies six sigma to their
local area, doing smaller-scoped projects and providing support to Black Belt projects.
Hidden Factory or Operation - Corrective and non-value-added work required to produce a unit of output that is
generally not recognized as an unnecessary generator of waste in form of resources, materials and cost.
Histogram - A bar chart that depicts the frequencies (by the height of the plotted bars) of numerical or
measurement categories.
Implementation Team - A cross-functional executive team representing various areas of the company . Its charter
is to drive the implementation of six sigma by defining and documenting practices,
practices methods and operating policies
policies.
Input - A resource consumed, utilized, or added to a process or system. Synonymous with X, characteristic, and
input variable.
Input-Process-Output (IPO) Diagram - A visual representation of a process or system where inputs are
represented by input arrows to a box (representing the process or system) and outputs are shown using arrows
emanating out of the box.
lshikawa Diagram - See cause and effect diagram and fishbone diagram.
Least Squares - A method of curve-fitting that defines the best fit as the one that minimizes the sum of the squared
deviations of the data points from the fitted curve.
Long-term Variation - The observed variation of an input or output characteristic which has had the opportunity to
experience the majority of the variation effects that influence it.
L
Lower Control
C t l Limit
Li it (LCL) - for
f controlt l charts:
h t theth limit
li it above
b which
hi h th
the subgroup
b statistics
t ti ti mustt remain
i ffor th
the
process to be in control. Typically, 3 standard deviations below the central tendency.
Lower Specification Limit (LSL) - The lowest value of a characteristic which is acceptable.
Master Black Belt - An individual who has received training beyond a Black Belt. The technical, go-to expert
regarding technical and project issues in six sigma. Master Black Belts teach and mentor other six sigma Belts,
their projects and support Champions.
Mean - See average.
Measurement - The act of obtaining knowledge about an event or characteristic through measured quantification
or assignment to categories.
Measurement Accuracy - For a repeated measurement, it is a comparison of the average of the measurements
compare to some known standard.
Measurement Precision - For a repeated measurement, it is the amount of variation that exists in the measured
values.

658
Glossary
Measurement Systems Analysis (MSA) - An assessment of the accuracy and precision of a method of obtaining
measurements. See also Gage R&R.
Median - The middle value of a data set when the values are arranged in either ascending or descending order.
Metric - A measure that is considered to be a key indicator of performance. It should be linked to goals or
objectives and carefully monitored.
Natural Tolerances of a Process - See Control Limits.
Nominal Group Technique - A structured method that a team can use to generate and rank a list of ideas or
items.
Non-Value Added (NVA) - Any activity performed in producing a product or delivering a service that does not add
value, where value is defined as changing the form, fit or function of the product or service and is something for
which the customer is willing to pay.
Normal Distribution - The distribution characterized by the smooth, bell- shaped curve. Synonymous with
Gaussian Distribution
Distribution.
Objective Statement - A succinct statement of the goals, timing and expectations of a six sigma improvement
project.
Opportunities - The number of characteristics, parameters or features of a product or service that can be classified
as acceptable or unacceptable.
Out of Control - A process is said to be out of control if it exhibits variations larger than its control limits or shows a
pattern of variation.
Output - A resource or item or characteristic that is the product of a process or system. See also Y, CTQ.
Pareto Chart - A bar chart for attribute (or categorical) data categories are presented in descending order of
frequency.
Pareto Principle - The general principle originally proposed by Vilfredo Pareto (1848-1923) that the majority of
influence on an outcome is exerted by a minority of input factors.
Poka-Yoke - A translation of a Japanese term meaning to mistake-proof.
Probability - The likelihood of an event or circumstance occurring.
Problem Statement - A succinct statement of a business situation which is used to bound and describe the
problem the six sigma project is attempting to solve.
Process - A set of activities and material and/or information flow which transforms a set of inputs into outputs for
the purpose of producing a product, providing a service or performing a task.
Process Characterization - The act of thoroughly understanding a process, including the specific relationship(s)
between its outputs and the inputs, and its performance and capability.
Process Certification - Establishing documented evidence that a process will consistently produce required
outcome or meet required specifications.
Process Flow Diagram - See flowchart.

659
Glossary
Process Member - A individual who performs activities within a process to deliver a process output, a product
or a service to a customer
customer.
Process Owner - Process Owners have responsibility for process performance and resources. They provide
support, resources and functional expertise to six sigma projects. They are accountable for implementing
developed six sigma solutions into their process.
Quality Function Deployment (QFD) - A systematic process used to integrate customer requirements into
every aspect of the design and delivery of products and services.
Range - A measure of the variability in a data set. It is the difference between the largest and smallest values
in a data set.
Regression Analysis - A statistical technique for determining the mathematical relation between a measured
quantity and the variables it depends on. Includes Simple and Multiple Linear Regression.
Repeatability (of a Measurement) - The extent to which repeated measurements of a particular object with a
particular instrument produce the same value. See also Gage R&R.
Reproducibility (of a Measurement) - The extent to which repeated measurements of a particular object with
a particular individual produce the same value. See also Gage R&R.
Rework - Activity required to correct defects produced by a process.
Risk Priority Number (RPN) - In Failure Mode Effects Analysis -- the aggregate score of a failure mode
including its severity, frequency of occurrence, and ability to be detected.
Rolled Throughput Yield (RTY) - The probability of a unit going through all process steps or system
characteristics with zero defects.
R.U.M.B.A. - An acronym used to describe a method to determine the validity of customer requirements. It
stands for Reasonable, Understandable, Measurable, Believable, and Achievable.
Run Chart - A basic graphical tool that charts a characteristic’s performance over time.
Scatter Plot - A chart in which one variable is plotted against another to determine the relationship, if any,
between the two.
Screening Experiment - A type of experiment to identify the subset of significant factors from among a large
group of potential factors.
Short Term Variation - The amount of variation observed in a characteristic which has not had the opportunity
to experience all the sources of variation from the inputs acting on it.
Sigma Score (Z) - A commonly used measure of process capability that represents the number of short-term
standard deviations between the center of a process and the closest specification limit. Sometimes referred to
as sigma level, or simply Sigma.
Significant Y - An output of a process that exerts a significant influence on the success of the process or the
customer.
Six Sigma Leader - An individual that leads the implementation of Six Sigma,
Sigma coordinating all of the necessary
activities, assures optimal results are obtained and keeps everyone informed of progress made.

660
Glossary
Six Sigma Project - A well defined effort that states a business problem in quantifiable terms and with known
impro ement e
improvement expectations.
pectations
Six Sigma (System) - A proven set of analytical tools, project management techniques, reporting methods and
management techniques combined to form a powerful problem solving and business improvement methodology.
Special Cause Variation - Those non-random causes of variation that can be detected by the use of control charts
and good process documentation.
Specification Limits - The bounds of acceptable performance for a characteristic.

characteristic
Stability (of a Process) - A process is said to be stable if it shows no recognizable pattern of change and no
special causes of variation are present.
Standard Deviation - One of the most common measures of variability in a data set or in a population. It is the
square root of the variance.
Statistical Problem - A problem that is addressed with facts and data analysis methods.
Statistical Process Control (SPC) - The use of basic graphical and statistical methods for measuring, analyzing,
and controlling the variation of a process for the purpose of continuously improving the process. A process is said to
be in a state of statistical control when it exhibits only random variation.
Statistical Solution - A data driven solution with known confidence/risk levels, as opposed to a qualitative, “I think”
solution.
S pplier - An indi
Supplier individual
id al or entity
entit responsible for providing
pro iding an input
inp t to a process in the form of reso
resources
rces or
information.
Trend - A gradual, systematic change over time or some other variable.
TSSW - Thinking the six sigma way – A mental model for improvement which perceives outcomes through a cause
and effect relationship combined with six sigma concepts to solve everyday and business problems.
Two Level Design - An experiment where all factors are set at one of two levels
Two-Level levels, denoted as low and high (-1
( 1 and
+ 1).
Upper Control Limit (UCL) for Control Charts - The upper limit below which a process statistic must remain to be
in control. Typically this value is 3 standard deviations above the central tendency.
Upper Specification Limit (USL) - The highest value of a characteristic which is acceptable.
Variability - A generic term that refers to the property of a characteristic, process or system to take on different
values when it is repeated.
Variables - Quantities which are subject to change or variability.
Variable Data - Data which is continuous, which can be meaningfully subdivided, i.e. can have decimal
subdivisions.
Variance - A specifically defined mathematical measure of variability in a data set or population. It is the square of
the standard de
deviation.
iation
Variation - See variability.

661
Glossary
VOB - Voice of the business – Represents the needs of the business and the key stakeholders of the
business. It is usuallyy items such as p
profitability,
y revenue, g
growth, market share, etc.
VOC - Voice of the customer – Represents the expressed and non-expressed needs, wants and desires of the
recipient of a process output, a product or a service. Its is usually expressed as specifications, requirements or
expectations.
VOP - Voice of the process – Represents the performance and capability of a process to achieve both
business and customer needs. It is usually expressed in some form of an efficiency and/or effectiveness
metric.
Waste - Waste represents material, effort and time that does not add value in the eyes of key stakeholders
(Customers, Employees, Investors).
X - An input characteristic to a process or system. In six sigma it is usually used in the expression of Y=f(X),
where the output (Y) is a function of the inputs (X).
Y - An output characteristic of a process. In six sigma it is usually used in the expression of Y=f(X), where the
output (Y) is a function of the inputs (X)
(X).
Yellow Belt - An individual who receives approximately one week of training in problem solving and process
optimization methods. Yellow Belts participate in Process Management activates, participate on Green and
Black Belt projects and apply concepts to their work area and their job.
Z Score – See Sigma Score.

1
Lean Six Sigma

Black Belt Training
Appendix
Quiz Answers
The Quiz questions at the end of each phase are intended to be a sampling of the topics covered
and provide you a guide to assess your level of knowledge retention. OpenSourceSixSigma.com
provides a Certified Lean Six Sigma Black Belt Assessment that is comprehensive in its coverage
of the topics addressed in this course. It contains 100 questions and exercises fully covering the
subject matter for Lean Six Sigma Black Belts. We suggest you consider this CLSSBB
Assessment package should you choose to pursue certification in Lean Six Sigma.

2
Define Phase Quiz Answers
1. C. How tightly all the various outcomes are clustered around the average
2. Standard Deviation
3. A. Features
B. Delivery
D. Integrity
E Expense
E.
4. True
5. E. Awareness
6. A. Start and stop points

C. Directional flow
D. All process steps
7. False
8. Change Agent
9. B. The defect or error in the process
10. Brainstorming
11. C. Pareto Analysis
12. Secondary
13. C. Zero inventory between process steps
14. True
15. D. An elimination of the specification(s)
16. A. Champion/Process Owner
17 False
17.
18. A. Internal Failure Costs
19. True
20. False

3
Measure Phase Quiz Answers
1. Reproducibility
2. Linearity
3. C. Data collection for streamed orientation
4. True
5 A.
5. A Nominal Scale Data
6. C. Mode
7. True
8. B. Special Causes are often the focus of BB projects
9. True
10. True
11. B. To help prioritize the independent variables
12. False
13. A. Predict failure risks and minimize their occurrence

B. Quantifies the severity, occurrence and detection of defects
D. Identify ways how a process leads to a failure to meet customer requirements
14. True
15. A. Precision
C. Accuracy
16. A. Primary and Secondary Metrics

B. Vital few X´s in the process
C. Before and after process changes
17. True
18. D. Comparison with a proven precise instrument
19. False

4
Analyze Phase Quiz Answers
1. False
2. Multi-Vari
3. D. Error in measurement
4. True
5. A. A Hypothesis
yp Test is an a p
priori theory
y relating
g to differences between variables
B. A statistical test or Hypothesis Test is performed to prove or disprove the theory
C. A Hypothesis Test converts the Practical Problem into a Statistical Problem.
6. A. Skewness
B. Mixed Distributions
C. Kurtosis
E. Granularity
7. False
8. D. Determine if document A and document B have different Median cycle times
9. True
10. D. Having
g the tails of the distribution equal
q each other
11. True
12. B. Compare more than two sample proportions with each other
13. True
14 C.
14. C 30
15. B. Median
16. False
17. B. Failure to accept the Null Hypothesis
18. True
19. True

5
Improve Phase Quiz Answers
1. C. Relationships between Y and two or more X’s.
2. A. Simple Linear
B. Quadratic
C. Cubic
D. Multiple Linear
E. Logarithmic
3. B. The X’s are assumed to be independent

p of each other.
C. The X’s are assumed to not be correlated.
D. The residuals or errors are assumed to be Normally Distributed.
E. Interactions are NOT included in Multiple Linear Regressions.
F. R2 and the statistical confidence of the coefficients are impacted by the measurement
error of the inputs or X’s.
4. A. Independent of the transform, the upper specification will be a larger number than the
l
lower specification
ifi ti when
h ttransformed.
f d
D. The process data is transformed but not the specification limits.
5. B. Screening factors among possibilities

C. Achieving a robust design
6. D. Response Surface Design
7. D. Define the Practical Problem
8. E. 64
9. A. Full Factorials are used when 5 or fewer factors are involved.

B. Full Factorials are better for optimizing a process than Fractional Factorials.
C. Full Factorials are used instead of Fractional Factorials if interactions need to be fully
understood.
d t d
10. B. The root cause for the defective product characteristic needs to be found.
C. The variation needs to be affected by the input factors.
D. The response time to calls needs to be reduced.
11. B. The process may show little change if curvature exists and the local maximum of the
process output
p p is between the largeg differences of factor levels chosen.
12. A. An Experimental Design cannot be orthogonal if not balanced.

B. An Experimental Design can be a balanced design but not orthogonal although it is
encouraged to use only balanced and orthogonal designs.
C. The use of blocking can be used for accounting of the impact of Noise variables.

6
Improve Phase Quiz Answers
13. False
14. C. If the experiment is going to start in a week, contact the Process Owners to work out
the needs before the experiment.
D. Use a log book and note any unusual observations during the experiment.
15. False
16. B. Implement
p solutions
17. B. The number of experimental runs minus 1
18. A. 13
19. B. A design with IV resolution will not have Main Effects confounded with 2-way
interactions.
C Ad
C. design
i with
ith V resolution
l ti will
ill h
have 2
2-way interactions
i t ti confounded
f d d with
ith 3
3-way
interactions.
E. A design with V resolution has no Main Effects confounded with other Main Effects
F. A design with III resolution has no Main Effects confounded with other Main Effects

7
Control Phase Quiz Answers
1. B. It attempts to find the optimum region outside the original design space.
2. B. The desired process output was not yet found within the original design space.
3. False
4 A. Process Capability is a way of predicting future performance when a stable process

exists.
B. Special
p Causes reduce Predictability y and Process Capability
p y measures Process
Predictability relative to specifications.
D. If the process is non-normal the type of distribution must be remembered when
monitoring a process in the Control Phase. This type of Non-normal Distribution must
be known to run a proper Process Capability Analysis.
5. D. stabilize
6 A.
6. A MUDA means waste
t which
hi h iis iindicating
di ti d defects
f t are occurring
i iin th
the process.
7. True
8. A. Kanban
9. True
10. B. Kanban
11. False
12. A. Poka-Yoke or Mistake Proofing

D. Robust product design
13 A
13. A. A gauge with
ith a worsening
i precision.
i i
C. Other unknown significant Noise factors are increasingly varying.
14. A. Common
C. Special
15. False

Control Phase of The DMAIC Project 1681711113

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Control Phase of The DMAIC Project 1681711113

Uploaded by

Copyright:

Available Formats

Ka n ba n

Sta nda rdized W ork

5 S - W ork pla ce O rga niza tion

Discover Take Action/ No N ex

Certified Lean Six

for deciding w here to store items

Frequency of Keep within arms Keep in local Keep in remote

Monthly or quarterly C NO NO YES

Lean Six Sigma

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

Identify Problem Area

Determine Appropriate Project Focus

Assess Stability, Capability, and Measurement Systems

Identify and Prioritize All X’s

Prove/ Disprove Impact X’s Have On Problem

Identify, Prioritize, Select Solutions Control or Eliminate X’s Causing Problems

Implement Solutions to Control or Eliminate X’s Causing Problems

Implement Control Plan to Ensure Problem Doesn’t Return

Verify Financial Impact

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

Control Phase Finality with Control Plans

Develop Training Plan

Implement Training Plan

Develop Documentation Plan

Implement Documentation Plan

Develop Monitoring Plan

Implement Monitoring Plan

Develop Response Plan

Implement Response Plan

Develop Plan to Align Systems and Structures

Verify Financial Impact

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

Lean Six Sigma

Now we will continue in the Control Phase with “Lean Controls”.

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

The Vision of Lean Supporting Your Project

Remember the goal is to achieve and the SUSTAIN our improvements

Sta nda rdized W ork

Visua l Fa ctory p W e ca nnot susta in

Lea n tools a dd discipline required to further susta in ga ins

What is Waste (MUDA)?

W a ste is often the root of a ny Six Sigma project. The 7 ba sic

– The reduction of M UDA ca n reduce y our outliers a nd help

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

5S Translation - Workplace Organization

Step Ja pa nese Litera l Tra nsla tion English

Step 1 : Seiri Clearing Up Sorting

Step 2 : Seiton Organizing Straightening

Step 3 : Seiso Cleaning Shining

Step 4 : Seketsu Standardizing Standardizing

Step 5 : Shitsuke Training & Discipline Sustaining

Focus on using the English w ords, much ea sier to remember.

The English translations are:

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

SORTING - Decide what is needed.

A Method for Sorting

5S usually begins with a

Always start with the ABC

Certified Lean Six Sigma Black Belt Book Copyright OpenSourceSixSigma.com

A Method for Sorting

Use this gra ph a s a genera l guide

Describe some Lean tools

Understand how these tools can help with project

Understand how the Lean tools depends on each other

Understand how tools must document the defect prevention