S222.3. Quality Improvement Model

Chapter 3:
The Quality
Improvement
Model
Chapter 2 1
PDCA Cycle
Act Plan
Check Do
Plan
• Define Customer requirements for product or service.
1. Marketing Research for new product or service.
2. Inquiries from potential customers.
• Define relevant Processes for:
1. Suppliers
2. Production Process
3. Personnel and Equipment needs
4. Facilities
5. Appraisal and Inspection
6. Delivery
7. Customer Feedback, etc.
Do
• Implement the processes as defined.
• Good ideas can fail.
• When a good idea fails, 90% of the time it is due to improper
implementation.
1. Are there adequate resources?
2. Are personnel adequately trained?
3. Is there a commitment from Management?
• Implementation is also a Process.
1. Is there an Owner for the Implementation Process?
2. Is there an Action Plan for Implementation?
3. Has the Implementation Plan been documented?
• Was there a trial run?
Check
• Are there problems with any Suppliers?
• Audit relevant Processes to see that they are implemented as
designed.
• Identify key points in the Processes for monitoring.
• Identify the most important meaningful measurements for
purposes of monitoring the processes.
• Sample from the process to check for signals of Special Cause
variation or other problems.
• New processes must be sampled more frequently since they
are not well understood.
• What does Customer feedback say?
Act
• Resolve any Supplier problems.

• Fix any Process implementation problems.
• Remove any Special Cause variation in Processes.
• Is Process redesign necessary (does not meet
expectations or new technology becomes available).
• What are main issues from Customer feedback?
Chapter 1 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 7
Copyright (c) 2012 John Wiley & Sons, Inc.
Six Sigma (6σ) Methodologies
DMAIC: This method is used to

improve the current capabilities of an
existing process. This is by far the most
commonly used methodology of sigma
improvement teams.
DMADV: This method is used when you

need to create or completely redesign a
process, product, or service to meet
customer requirements. DMADV teams
are usually staffed by senior managers
and Six Sigma experts.
8
DMAIC Methodology
DEFINE Identify, prioritize, and

select the right project(s)
MEASURE Identify key product

characteristics & process
parameters, understand
processes, and measure
performance
ANALYZE Identify the key (causative)

process determinants
IMPROVE Establish prediction model

and optimize performance
CONTROL Hold the gains
Define Process
The Define
Quality
Process
Improvement Select
Measures
Model
Collect &
Interpret
Data
Define Process
Is
Process No Investigate &
Fix Special
Stable
? Causes
Purpose:
•Communicate to an Yes
individual or team a clear
No Is
understanding of the process Improve
Process
Process
Capable
under study. Capability
?
•Establish improved and Yes

consistent process Use SPC to
Maintain
operations. Current
Process
2-10
Define Process
Process Components
Inputs Outputs
Suppliers Processes Customers
 A process is any activity that converts

 All processes involve Suppliers, Inputs, Outputs, and
Customers
2-11
Define Process
Defining Processes
Why  Communicate to an individual or a

team a clear understanding of the
process under study.
 Standardize process operations.
How  Identify and list Suppliers, Inputs,

Outputs, and Customers.
 Develop flow chart of the process steps.
 Assure a common understanding of
related procedures.
 Verify practice vs. procedure.
2-12
Define Process
Process Standardization
STANDARDIZATION is everyone following the
procedures the same way.
These Procedures:
 Are not the optimum perfection.
 Are not necessarily the current best known
methods.
 Are the agreed-upon methods.
“It is neither possible nor necessary to standardize all

the operations. However, crucial elements...should be
measurable and standardized.”
—Misaaki Imai
KAIZEN
2-13
Define Process
Process Flow Charts Purchasing Process

Manufacturing Submits
Purchase Order
A Graphical Purchasing Contacts

Vendors for Pricing
display of the
steps in a process. Vendor Submits Bids
Discuss Quality vs. Price

and Select Vendor
Standard Symbols
Can Vendor No
Process Steps Meet Schedule?
Yes
Decisions Vendor Delivers Goods
Manufacturing Inspects
Beginning or End Points, Goods
or Connectors between pages
Purchasing Pays Vendor
End
2-14
Define Process
Process Mapping
Pumping String Up
Outputs
Chip weight
Chip viscosity
Filtration Quench Chip defects
Gels
Dirt
Shutdown/rate
Extrusion Cutting
2-15
Detailed Process Maps Define Process
 What is the tool?

 Graphical illustration of the process
 What will the tool identify?
 All value-added and non-value-
added process steps
 Input variables (X’s)
 Output variables (Y’s)
 Data collection points
 When do you apply process mapping?
 Always
2-16
Process Mapping Steps
Define Process
1. Identify the process, its external inputs

and customer outputs
2. Identify all steps in the process graphically
3. List output variables at each step
4. List input variables and classify process
inputs as controlled or uncontrolled
5. Add process specifications for input
variables
2-17
Define Process
Step 1: Identify the Process and

Inputs/Outputs
 We need to get a 50,000 ft. view of the process first
 First identify the process in simple terms
 Secondly we identify external inputs
o Incoming information
o Raw materials
o Personnel
o Energy requirements
 Finally we identify the customer requirements

(outputs)
o Identify the attributes of a correctly functioning product or service
2-18
Define Process
Step 1: Examples
Manufacturing
Inputs Outputs
Fluid Bed Dryer
Rate Appearance (Color)
Temperature Physical Chem
Air Flow Properties
Residence Time Cycle Time
(plugging)
Zone 3 Temp
Non- Manufacturing
Inputs Outputs
Order Entry
Phone Price
FAX Availability
Email Confirmation of
Order
Promise Date
Order number
2-19
Define Process
Step 2: Identify All Steps in the Process

 Include all value-added and non value-added steps
 Process steps, inspection/test, rework, scrap points
Manufacturing
Mixing Extrusion Dryer NADM Impregnation Fluid Bed
Calciner Dryer
Water and Extrude Solution Metals
Material Final
Metals through die Preparation addition
drying, surface preparation /
Preparation
area issues appearance
issues
Non-Manufacturing
Answer Phone Internal Information Order Entry Order Confirmation
Greet customer Get internal P/N Input information FAX confirmation to
Determine parts needed Determine terms Print order confirmation customer
Identify need date Identify lead time Determine ship date Verify manufacturing
Identify ship to address Complete order Review order receipt of order
Identify price worksheet
Identify shipment method
2-20
Define Process
Step 3: List Key Output Variables
 Include both process and product output variables
Manufacturing
Outputs Outputs
Mixing NADM • pH
• TV of Mix -
Water and Solution • Temp
Quality
Metals Preparation • Specific Gravity
Check
Preparation • Clarity
around
extrusion
Extrusion • TV of Mix - Impregnation • Appearance

Quality
Extrude (Color,
Check
through die Metals Wetness)
around
extrusion addition
• Appearance
(Color)
Dryer Fluid Bed • Physical
• Surface Area
Calciner Dryer Chemical
Final Properties
Material • Pore Volume
preparation / • Cycle Time
drying, surface appearance (plugging)
area issues • Appearance
issues • Zone 3 Temp
2-21
Step 3: List Key Output Variables Define Process
 Include both process and product output variables
Non-Manufacturing
Outputs Outputs
Answer Phone Order Entry • Order in
• Prompt
• Greet customer answer • Input information computer
• Determine P/N • Live body • Print order confirmation • All line
• Identify need date • Determine ship date items
• Part number
• Identify ship to address • Review order complete
• Availability
• Identify ship method • Correct info
• Need date
• Promise
date
• Order
number
• Printed
confirmation
Internal Information • Customer Order Confirmation • Order
• Get internal P/N number • FAX confirmation to confirmation
• Determine terms • Order customer to customer
• Identify lead time worksheet • Verify manufacturing • Order to
• Complete order • Pricing receipt of order production
worksheet
2-22
Define Process
Step 4: List and Classify Key Input Variables

 List all key input variables and classify them as
 Controlled inputs
 Uncontrolled inputs
Controlled Inputs: Input variables that can be changed to see

the effect on output variables
Sometimes called “knob” variables
Uncontrolled Inputs: Input variables that impact the output
variables but are difficult or impossible to control (may also
be controllable, just not under control currently)
Example: Environmental variables such as humidity
Critical Inputs: Input variables that have been statistically
shown to have a major impact on the variability of the output
variables
2-23
Process Mapping Examples Define Process
Manufacturing
Inputs Types Outputs Inputs Types Outputs
Mixing NADM • pH
Total Rate C • TV of Mix - Nitric Acid C
Water and H2O2 C Solution • Temp
Mixer Speed C Quality
Metals Water C Preparation • Specific Gravity
Al2O3 Qual U Check
Preparation ADM C • Clarity
Rec Comp U around
extrusion Hold Time U
Agitation C
Ext Rate C • TV of Mix - Phos Acid C

Extrusion Impregnation • Appearance
Die Wear U Quality Nozzle Type C
Extrude Spray Time C (Color,
Ext RPMs C Check
through die Metals Wetness)
Die Change U around Water C
extrusion Moly C addition
Nickel C
Base C
• Appearance
(Color)
Temperature C
Dryer Fluid Bed • Physical
Rot speed C • Surface Area Temperature C
Calciner Dryer Chemical
Draft C Rate C Properties
• Pore Volume Final
Feed Rate C Material Air Flow C preparation / • Cycle Time
Drying air U drying, surface Res Time C appearance (plugging)
area issues • Appearance
issues • Zone 3 Temp
2-24
Define Process
Process Mapping Examples

Non-Manufacturing
Inputs Type Outputs Inputs Type Outputs
• Information C Answer Phone • Order U Order Entry • Order in
• Prompt worksheet • Input information
from customer • Greet customer computer
answer • Computer C • Print order confirmation • All line
• Greeting script C • Determine P/N
• Live body entry screens • Determine ship date
• Answering C • Identify need date items
procedure • Identify ship to address • Part number • Lead time U • Review order complete
• Identify ship method • Availability information
• Telephone U • Correct info
• Need date from mfg
system • Promise
• Shipment C
date
method
• Order
number
• Printed
• Cross C confirmation
reference for Internal Information • Customer Order Confirmation • Order
P/N’s • Printed C
• Get internal P/N number • FAX confirmation to confirmation
confirmation customer
• Order U • Determine terms • Order to customer
sheet • Verify manufacturing
information • Identify lead time worksheet • Order to
• Complete order • Production U receipt of order
• Plant loading U • Pricing production
worksheet schedule
information
• Customer C
• Order C contact info
worksheet
form • Production C
contact info
• Pricing
algorithm C • Confirmation
C
procedure
2-25
Define Process
Step 5: Add Specifications for Inputs

 For input variables identified as Controlled and Critical
Inputs, we can add the operational specifications and
targets for these variables
 This information is the beginnings of the Control Plan!
Controlled Input Upper Lower

Target
Variable Spec Spec
Die Wear ? ? ?
Solvent Type ? ? ?
Ram Speed ? ? ?
Clamping Force ? ? ?
2-26
Define Process
Using Process Maps to Evaluate

Processes
 Understand customer/supplier relationships

 Discover unnecessary steps
 Achieve agreement on process
 Everyone understands their role
 Provides inputs to Cause and Effects Matrix
 Provides inputs to Control Plan Summary
 Provides inputs to Capability Summary
2-27
Select Measures
The Define
Quality Process
Improvement Select
Measures
Model
Collect &
Interpret
Data
Select Measures Is
Process No Investigate &
Fix Special
Stable
Causes
Purpose: ?
•Develop understanding of Yes

customer needs.
Is
•Determine ‘possible’ process Improve
Process
No
Process
Capable
response control points. Capability ?
Yes
Use SPC to
Maintain
Current
Process
3-28
Select Measures
Importance of Measures
Outputs
Process Customers
Products or Services
Need Measures of Process Performance

 To learn about the process.
 To identify improvement
opportunities.
 To monitor performance of
the process.
3-29
Select Measures
Use of Measures
Process Customers
Measurement
Process
Dealing with Dealing with
the Future the Past
Process Control Product Control
and Improvement and Disposition
What Does This Information Make The Decision

Tell Us About The Process? And Move On
3-30
Select Measures
Effective Measures
3-31
Select Measures
Example Measures
Typical Measures of Process Performance
Manufacturing Product characteristics (weight, dimensions,

color, chemical composition, appearance, etc.),
% not meeting customer specifications, etc.
Administrative Number of errors, time to complete activity,

percent not meeting requirements, etc.
Service Service time, delivery time, number of

complaints, etc.
Management Number of injuries, difference between amount

budgeted & actual expenditures, etc.
3-32
Select Measures
Types of Measures
 Counting Measures
Can count
 Count the number of items that do not the good
conform to some standard. and bad.
 Count the number of nonconformities Can count

in a given area, volume, or time the bad
period. only!
 Instrument Measures
 Quality characteristic is measured by
some type of measuring instrument
(weight, time, size, chemical analysis,
dollars, ...)
3-33
Select Measures
Developing Measures
 Understand the customer's needs, expectations, and

wants.
 Use process map to identify key points for measures.
 Develop & document the measurement process.
 Develop a process for collecting, recording, and
analyzing data.
 Try the measure.
3-34
Select Measures
Selecting Measures
Outputs
Process Customers
? Gauge
In-Process
Gauge
Final Product
Gauge
Customer Satisfaction
 Where can we measure the process?

 What are pros and cons of the above locations?
 Where should we start?
3-35
Select Measures
Process Variables
Inputs
Outputs
Suppliers (Raw Process Customers
(Product)
Materials)
Input Properties Uncontrolled / Response / Output Product
Controlled Variables Variables Properties
Process Variables
Process Variables -- All physical or analytical measurements related to a process.

Measurements can be electronic, manual observations, or laboratory results.
Measurements can be in-process or final product oriented.
Process variables can be broken down in to several different types:

•Input Properties - Inputs
•Uncontrolled / Controlled Variables - Inputs
•Response Variables – Outputs (Secondary)
•Product Properties – Outputs (Primary – See on Big Block/SIPOC)
3-36
Select Measures
Input Properties
Inputs
Outputs
(Product)
Materials)
Process Variables
Input Properties (Inputs)-- Properties of inputs to the process that can be controlled
through contact with supplier.
Examples:
•Manufacturing - Purity of raw materials, composition of mixes, dope solids,

dope viscosity
•Lab - Purity of reagents, brand/model of instrument
•Maintenance - Condition of tools, size/composition of gaskets used in repair
•Administrative - Number of mistakes in data
3-37
Select Measures
Controlled/Uncontrolled Variables
Inputs
Outputs
(Product)
Materials)
Process Variables
Controlled Variables (Inputs)-- Variables held at a set point or within a range
(standard operating conditions), either manually or by an automatic algorithm (EPC).
Set Point -- The desired level of a controlled variable.
Uncontrolled Variables (Inputs)– Variables that do not have a control system. Can only
be monitored.
Examples:
•Manufacturing - Feed rate of mix, reactor temperature settings (C), outside
temperature (U), pump shaft speed (C), metering pump speed (C)
•Lab - Hot plate temperature setting, time to cook a sample (C)
•Maintenance - Alignment gauge settings, lathe settings (C)
•Administrative - Procedures followed (U)
3-38
Select Measures
Response/Output Variables
Inputs
Outputs
(Product)
Materials)
Process Variables
Response Variable (Outputs) – an analytical or measured variable that is used to control or
monitor the process but is not a measurement on the final product.
Time Lag -- A delay between expected effects of variables.

Example: 20 minutes after increasing a temperature (controlled input variable), the reactivity
(output variable) begins to increase.
Examples:
•Manufacturing - Composition before distillation, early stage viscosity
•Lab - Visual check for dissolution during heating, final temperature of heated solution
•Maintenance - Vibration of pump during operation, micrometer readings of machined part
•Administrative - Budget variance during the project
3-39
Select Measures
Product Properties / Output Variables

Inputs
Outputs
(Product)
Materials)
Process Variables
Product Properties (Outputs) -- Measurements made on the final product that indicate its
performance. Important to "Value". Probably will be on Big Block/SIPOC.
Target -- The desired state of a response variable or product property.
Examples:
•Manufacturing - Lab test result on final product (IV, L*, a*, b*, lubricant level, denier,
entanglement)
•Lab - Lab test result on “known” reference material
•Maintenance - Equipment performance in the field, length of time until failure
•Administrative - Number of errors in Certificates of Analysis or purchase orders
3-40
Select Measures
External/Input Variables
External Variables
Inputs
Outputs
(Product)
Materials)

Process Variables
External Variables (Inputs) -- Variables that are not controlled but may have an
effect on the process. Typically uncontrolled.
Examples:
•Manufacturing - Ambient temperature

•Lab - Humidity
•Maintenance - Vacation scheduling during deer hunting season
•Administrative - Employee morale
3-41
Customer Requirements / Output Variables Select Measures
External Variables
Inputs
Outputs
(Product)
Materials)
Input Properties Uncontrolled / Response / Output Product Customer

Controlled Variables Variables Properties Requirements
Process Variables
Customer Requirements (Outputs) -- Fitness-for-use specifications given by the
customer. Will be on Big Block/SIPOC or directly influenced by product property outputs.
Specifications -- the range of measurements of a product characteristic within which the

product is judged acceptable to meet customers’ requirements.
Examples:
•Manufacturing - Purity above 99.7%
•Lab - Sample Value reported within 2 hours
•Maintenance - Repairs completed within 4 hours
•Administrative - Errors below 0.5%
3-42
Select Measures
Three Ways to Control Key Variables in a Process
Control to a
Standard
Statistical Engineering
Process Process
Control Control
3-43
Select Measures
Statistical Process Control (SPC)
•Involves use of control charts, special cause action

plans and control strategies to identify and take action
on special causes.
•Primarily used on response variables and product

properties (outputs).
3-44
Select Measures
Engineering Process Control (EPC)
•EPC moves variation from where it bothers you to

where it doesn’t bother you. (Ex. cruise control)
•Automatically makes compensating adjustments

at a specified frequency.
•Must have reliable measurement, autocorrelated

data, and process adjustments with clear cause &
effect.
•Applied to inputs and outputs
3-45
Select Measures
Control To A Standard
•A standard way to perform a task (S.O.P.).
•A standard range that a key process variable should

be within.
•S.O.P.'s should be audited.
•Primarily used in inputs.
•Fundamental backbone of S.P.C.
•MUST be done first!
3-46
Collect & Interpret Data
The Define
Process
Quality
Improvement Select
Measures
Model Collect &

Interpret
Data
Collect & Interpret Data: Is

No Investigate &
Displaying Measures Process
Stable Fix Special
Causes
?
Purpose: Begin collecting and Yes

analyzing data from
Is
the process. Improve
Process
No
Process
Capable
Capability
?
Yes
Use SPC to
Maintain
Current
Process
4-47
Graphical Tools for

Displaying Measures from Processes
 Run Charts
 Histograms
 Pareto Charts
4-48
Run Charts
Measure
 A plot of the data in time 200
order. 150
 Time is on the horizontal
100
axis and the data values
are plotted on the vertical 50
axis. 0
 Run charts show the
-50
process variation over
time. -100
5 10 15 20 25 30
Day
4-49
Histograms
Frequency
25
 A bar chart showing
frequency of occurrence 20
is shown on the vertical 15

axis. 10
 Histograms show the
5
pattern of variation.
0
-50 0 50 100 150 200
Measure
4-50
Pareto Charts
Frequency
 A bar chart showing the 25
relative importance of some
observed characteristic. 20
 The frequency, percent or cost 15
is shown on the vertical axis. 10
 The characteristic (type of 5

defect, cause, etc.) is shown 0
on the horizontal axis. C A E B D F
Cause
 The characteristic is usually
plotted in order of decreasing
magnitude.
4-51
Pump Maintenance
Pump Failure
Pump
6 failed 1 failed 2 failed 4 failed 7 failed
Maintenance
Week 1 Week 2 Week 3 Week 4 Week 20
For each week (time period) record

One possible run chart would be to the number of pump failures.
plot the number of pump failures for
Week # Failures Failure Type
each week (time period). The
opportunity for failures should remain 1 6 Seal, Align...
constant from week to week. 2 1 Fitting, Seal...
3 2 Align, Gear...
Collect information about causes for 4 4 Seal, Fitting...
each failure for use in a Pareto Chart. . . .
Pareto Charts could also be based on . . .
pump location, pump environment,
20 7 Align, Seal...
etc.
4-52
Pump Maintenance Data

20 Run Chart
18
16
Number
14
of 
Failures 12 
10

8 
  # Failures Pareto Chart
6  
  60
4 
 
2   
  50
0  
1 3 5 7 9 11 13 15 17 19 21 23 25
Week 40
30
Histogram
Frequency 6 20
5
10
4
3 0
Seal Alignment Fitting Gear Other
2
1
Type Failure
0
0-1 2-3 4-5 6-7 8-9 10-11 12-13
# Failures 4-53
Shipping Process
Shipments Made
Shipping On-Time On-Time Late On-Time On-Time
For a specified time period:
A good run chart would be to n = Shipments Made

plot p for each time period. A x = Late Shipments
time period could be a week p = x/n
or month. Week n # Late p Reason
1 75 10 0.13 A,C,F...
It would also be good to collect 2 84 6 0.07 B,F,A...
other information about the late 3 78 12 0.15 F,B,B...
shipments for use in a Pareto . . . . .
Chart.
. . . . .
30 70 10 0.14 B,F,I...
4-54
Shipping Data
0.25
Run Chart
P
r
o
0.20
p
o Pareto Chart
r Frequency
0.15
t 100
i 90
o
0.10 80
n
70
L 0.05
60
a
t 50
e 0.00 40
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
30
Week 20
10
Frequency
Histogram 0
B F A E I D J C G H
Reason for Being Late
0.050 0.075 0.100 0.125 0.150 0.175 0.200

Proportion Late
4-55
Purchase Order Process
Completed Purchase Orders

Purchase
Order 2,7,5,4,5 3,10,2,5,3 5,7,3,12,1 4,7,8,3,5 3,3,9,2,4
Process Week 1 Week 2 Week 3 Week 4 Week 20
5 Purchase Orders are selected each week. The

time (in days) it took to process each of the 5
A possibility would be to PO’s is recorded, and the average of the 5
calculated. The average is the measure tracked.
subgroup the data( i.e.
combine 5 purchase orders Week A B C D E Average
and plot their average.) 1 2 7 5 4 5 4.6
2 3 10 2 5 3 4.6
3 5 7 3 12 1 5.6
It might also be informative 4 4 7 8 3 5 5.4
to plot a histogram of all . . . . . . .
the times to see the pattern . . . . . . .
of variation.
20 3 3 9 2 4 4.2
4-56
Purchase Order Data

Histogram
Frequency of 100 total observations
25
20
Run Chart
Time
(Days)
of 20 Averages (of size 5)
15
14
13
10 12
11
10
5 9

8 
7 
0 
6 
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15>15
5       
  
Time (Days) 4    

3
2
1
0
1 3 5 7 9 11 13 15 17 19
Week Sample Taken
4-57
Polymer Manufacturing Process
Material Produced (lots)

Production
Process
Samples
A quality characteristic is
One possibility would be to measured on each sample.
collect a sample of the product
Sample b*
every 4 hours, and measure the
characteristic of interest on that 1 1.51
sample. A run chart could then 2 1.89
be constructed of this data. 3 1.42
. .
It would also be informative to
. .
plot a histogram of all the times
134 1.63
to see the pattern of variation.
b* is a measure of yellowness
4-58
Polymer Manufacturing Data
6 Run Chart
Histogram
5
LS US
4
3
b*
2
0
0 1 2 3 4 5
-1 b*
20 40 60 80 100 120 140
LS is the Lower Specification Limit
Sample
US is the Upper Specification Limit
Note: b* is a measure of yellowness
4-59
The
Quality Define
Process
Improvement Select
Model
Measures
Collect &
Interpret
Data
Collect & Interpret Data: Is

No Investigate &
Diagnosing Variability Process
Stable Fix Special
Causes
?
Purpose: Begin to understand Yes

why there is
Is
variability in data Improve
Process
No
Process
Capable
collected Capability
?
Yes
Use SPC to
Maintain
Current
Process
5-60
What size shoe do you wear?

Size 11 Shoes
1 2 3 4 5 6 7 8 9 10 11 12
Why aren’t size 11’s all the same size?
5-61

GC CHDM Test Method Example
Time Series Plot of % Water Histogram of % Water
0.50 14
12
0.45
10
Frequency
% Water
8
0.40
6
4
0.35
0.30 0
39 43 47 51 55 59 63 67 71 75 0.325 0.350 0.375 0.400 0.425 0.450 0.475 0.500
Batch % Water
Why don’t we get the same %Water value?
5-62
Cause & Effect Matrix – A Tool to Identify and

Quantify Sources of Variation
Rating of Importance to Customer 8 8 4 9 10 4 8 8
1 2 3 4 5 6 7 8
Distribution in
Pellett (within
Performance
% Moly & %
& between)
Cycle Time
Distribution
Distribution
Dust/Fines
Plugging
Porosity
Catalyst
Content
Length
Nickel
Color
Moly
Total
Process Step Process Input
1 Mixing Total Rate 0 3 0 0 0 0 0 0 24

2 Mixing Mixer Speed 0 1 1 0 0 0 0 0 12
3 Mixing Al2O3 Quality 1 9 9 0 0 0 3 0 140
4 Mixing Recycle Composition 1 1 1 0 0 3 0 9 104
5 Mixing Recycle Rate 1 1 1 0 1 3 3 9 138
6 Mixing Nitric Acid 0 9 9 0 0 0 0 0 108
7 Mixing Water Temperature 0 1 1 0 0 0 0 0 12
8 Mixing Water Flow 0 9 9 0 0 0 0 0 108
9 Mixing Recycle Water Rate 0 3 3 0 0 1 0 1 48
Cause & Effects Matrix

5-63
Cause and Effects Matrix
 Relates the key inputs to the key outputs (customer

requirements) using the process map as the primary
information source
 Key outputs are scored as to importance to the customer
 Key inputs are scored as to relationship to key outputs
 Pareto of key inputs to evaluate in the FMEA and
control plans
 Input into the initial evaluation of the Process Control
Plan
5-64
Cause & Effect Matrix Steps

 Identify key customer requirements (outputs) from
process map or other sources
 Rank order and assign priority factor to each Output
(usually on a 1 to 10 scale)
 Identify all process steps and materials (inputs) from
the Process Map
 Evaluate correlation of each input to each output
 low score: changes in the input variable (amount, quality,
etc.) have small effect on output variable
 high score: changes in the input variable can greatly affect
the output variable
 Cross multiply correlation values with priority factors
and sum for each input
5-65
Examples
Bottle Production Big Block Diagram
Bottle Production
Upstream Inputs Outputs Downstream
Resin IV Regrind % Break % at Molder Break % at Filler
Other resin Properties Barrell Temperature Bottle Output Etc…
Bottle Design Screw Speed Melt Temperature
Etc… Screw Design Clarity
Etc… Weight
Wall Thickness Variation
Etc…
Note: Only a partial list 5-66

Bottle Production Example
Bottle Production Block Steps Diagram

Inputs Outputs
Vacuum out of
Resin box Pellet change
Blending with
Regrind
Dryer Hopper
(Regrind + virgin)
Vacuum into
machine hopper
Resin Melt Resin

Regrind%-C Melt Temperature
Barrel temperature-C Melt strength
Screw speed-C MW/IV
Meter cooling temp-C Throughput
Screw design-C
Barrel/screw condition-U
Extrude Parison
Parison programming-C
Parison length
Head adapter design-C
Parison diameter
Head design (PVC, HDPE)-C
Parison temp
Tooling
Thickness Profile
Zone temps
Clarity
Die tip temp
Melt stability
Support air (straight and controlled)
Note: Only a partial Map Parison cut
5-67
Cause & Effect Matrix Form

1. List Key
Outputs Rating of
Importance to
Customer
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Total
1 0
2 0
3 0
4 0
5 0
6 0
7 0
8 0
Excel Template C&E Matrix.XLS 5-68

Rating of
Importance to
Customer
1 2 3 4 5 6
Wall Variation
Bottle Output
Melt Temp
Break %
Weight
Clarity
Total
0
1. List 0
Key 0
0
Outputs 0
0
0
0
0
0
0
0
0
The Outputs are defined in Step 1 of Process Mapping

5-69

Rating of
Importance to
Customer
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
2. Rank
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Outputs as to
Customer
Total
importance
1 0
2 0
3 0
4 0
5 0
6 0
7 0
8 0
5-70
Rating of
Importance to 10 1 9 9 5 8
Customer
1 2 3 4 5 6
2. Rank Outputs as
Wall Variation
Bottle Output
to Customer
Melt Temp
Break %
importance
Weight
Clarity
Total
5-71
Rating of
3. List KeyImportance
Customer
to
Inputs by 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Process Step
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Total
1 0
2 0
3 0
4 0
5 0
6 0
7 0
8 0
Note: Information obtained from process map

5-72
Bottle Production Example Collect & Interpret Data
Rating of
3. List
Importance to Key
10 1 9 9 5 8
Customer
Inputs by
1 2 3 4 5 6
Process
Wall Variation
Bottle Output
Step
Melt Temp
Note: Only a
Break %
Weight
partial list of
Clarity
inputs
Melt Resin Resin

Melt Resin Barrell Temp
Melt Resin Screw Speed
Melt Resin Screw Design
Melt Resin Regrind%
Barell/Screw
Melt Resin
Condition
Screw Tip
Melt Resin
Cooling
Extrude Parison Programing
Extrude Parison Die Tip Temp
Extrude Parison Head Design
Extrude Parison Tooling
Extrude Parison Support Air
This step uses the Process Map inputs directly. Notice the Process Inputs
follow the Process map step-by-step. 5-73

4. Relate
Inputs to Rating of
OutputsImportance
Customer
to
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Total
1 0
2 0
3 0
4 0
5 0
6 0
7 0
8 0
5-74
Relating Inputs to Customer Requirements
 You are ready to relate the customer requirements to the

process input variables
 Correlational scores: No more than 4 levels
 0, 1, 3 and 9
 Assignment of the scoring takes the most time
 To avoid this, spell out the criteria for each score:
0 = No correlation
1 = The process input only remotely affects the customer requirement
3 = The process input has a moderate effect on the customer
requirement
9 = The process input has a direct and strong effect on the customer
requirement
5-75

Rating of
Importance to 10 1 9 9 5 8
4. Relate Customer
Note: Only a
1 2 3 4 5 6
Inputs to partial list of
Wall Variation
Bottle Output
inputs
Outputs
Melt Temp
Break %
Weight
Clarity
Total
1 Melt Resin Resin 9 9 3 9 9 9 324

1 Melt Resin Barrell Temp 3 9 9 1 3 3 168
1 Melt Resin Screw Speed 3 9 9 1 3 3 168
1 Melt Resin Screw Design 3 9 9 1 1 1 142
1 Melt Resin Regrind% 3 1 1 3 3 3 106
Barell/Screw
1 Melt Resin 3 3 3 1 1 1 82
Condition
Screw Tip
1 Melt Resin 1 1 3 0 3 3 77
Cooling
2 Extrude Parison Programing 3 3 9 0 9 9 231
2 Extrude Parison Die Tip Temp 3 3 3 9 3 9 228
2 Extrude Parison Head Design 3 9 3 3 3 9 180
2 Extrude Parison Tooling 3 3 3 3 3 9 174
2 Extrude Parison Support Air 1 0 9 0 1 1 104
Lower Manifold
2 Extrude Parison 3 3 3 3 1 1 100
This is a subjective estimate of how influential the key inputs are on the key outputs
5-76
Rating of
Importance to
Customer
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
5. Cross-
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
Requirement
multiply and
prioritize
Total
1 0
2 0
3 0
4 0
5 0
6 0
7 0
8 0
Sum of (Rating x Correlation Score) values for all

Requirements
5-77

Rating of
5. Cross- Importance to 10 1 9 9 5 8
multiply and Customer
1 2 3 4 5 6
prioritize Note: Only a
Wall Variation
Bottle Output
partial list of
Melt Temp
inputs
Break %
Weight
Clarity
Total
1 Melt Resin Resin 9 9 3 9 9 9 324

1 Melt Resin Barrell Temp 3 9 9 1 3 3 168
1 Melt Resin Screw Speed 3 9 9 1 3 3 168
1 Melt Resin Screw Design 3 9 9 1 1 1 142
1 Melt Resin Regrind% 3 1 1 3 3 3 106
Barell/Screw
1 Melt Resin 3 3 3 1 1 1 82
Condition
Screw Tip
1 Melt Resin 1 1 3 0 3 3 77
Cooling
2 Extrude Parison Programing 3 3 9 0 9 9 231
2 Extrude Parison Die Tip Temp 3 3 3 9 3 9 228
2 Extrude Parison Head Design 3 9 3 3 3 9 180
2 Extrude Parison Tooling 3 3 3 3 3 9 174
2 Extrude Parison Support Air 1 0 9 0 1 1 104
Lower Manifold
2 Extrude Parison 3 3 3 3 1 1 100
We now start getting a feel for which variables are most

important to explaining variation in the outputs 5-78
Bottle Production Example Collect & Interpret Data
Rating of
Importance to 10 1 9 9 5 8 We have sorted on the cross-
Customer
1 2 3 4 5 6
multiplied numbers and find
that the input variables in the
Wall Variation
Bottle Output
Melt Temp
box above are the most
Break %
Weight
Clarity
Total important
Melt Resin Resin 9 9 3 9 9 9 324

We can now evaluate the
Blow Bottle
Extrude Parison
Mold Design
Programing
9
3
0
3
9
9
9
0
0
9
9
9
324
231
control plans for these input
Extrude Parison Die Tip Temp
Mold Water
3 3 3 9 3 9 228 variables
Blow Bottle 9 0 9 3 0 0 198
Temp
Water
Blow Bottle Volume/Cooli 9 0 9 3 0 0 198
ng Rate
Extrude Parison Head Design 3 9 3 3 3 9 180
Extrude Parison Tooling 3 3 3 3 3 9 174 Note: Only a
Blow Bottle Pinch Design 9 0 9 0 0 0 171
Melt Resin Barrell Temp 3 9 9 1 3 3 168 partial list of
Melt Resin Screw Speed 3 9 9 1 3 3 168 inputs
Melt Resin Screw Design 3 9 9 1 1 1 142
# of Mold
Blow Bottle Cooling 9 0 3 0 0 0 117
Zones
Time from
Tail Detab extraction to 9 0 3 0 0 0 117
Detab
5-79
General Approach
 Place the outputs across the top of the matrix and rank
 Place inputs down the side of the matrix starting with the
first process step and moving to the last
 This approach is okay for small process with relatively few
steps
 Should only be used for processes with a relatively
small number of steps and inputs
5-80
Focused Approach
 Phase I
 Place the outputs across the top of the matrix and rank
 Place the process steps down the side of the matrix
 Correlate process step to outputs
 Pareto the process steps
 Phase II
 Start a new C&E Matrix with the inputs from the top three or four
process steps
 Recommended when first starting a project
o Focuses the efforts and gives the team a feeling that they’re working
on the important process steps first
o Gives you a running start at the FMEA and preliminary Control Plan
Analysis
5-81

Control Plan Evaluation
 Standard Operating Procedures
 Do they exist?
 Are they understood?
 Are they being followed?
 Are they current?
 Is operator certification performed?
 Is there a process audit schedule?
5-82
Control Plan Evaluation
 Controllable Input Variables:
 How are they monitored?
 How often are they verified?
 Are optimum target values and specifications known?
 How much variation is there around the target value?
 How consistent are they?
 Other Questions:
 How often is the input variable out of control?
 Which input variables should have control charts?
5-83
Is
Process
The Define
Stable
?
Quality Process
Improvement Select
Measures
Model
Collect &
Interpret
Data
Is Process Stable? Is No Investigate &

Process
Stable Fix Special
Causes
Purpose: Determine the ?
stability of key Yes

measures of the
Is
product. Improve
Process
No
Process
Capable
Capability ?
Yes
Use SPC to
Maintain
Current
Process
6-84
Is
Process
Types of Variation Stable

?
Common Causes
Run Chart
Causes that are inherent in the Quality
process over time, and affect all Characteristic
outcomes of the process.
 Ever-present
 Create small, random fluctuations
in the process
 Lots of them
 The sum of their effects creates Time
the expected variability
 Predictable
6-85
Is
Types of Variation Process
Stable
?
Special Causes
Causes that are not present in the Run Chart
process all the time, but arise
Quality
because of specific circumstances. Characteristic
 Not always present in the process

 Can create large process
disturbances, or sustained shifts
 Relatively few in number
 Pull the process beyond the
expected level of variability Time
 Unpredictable
Control charts help identify the presence of special causes.

6-86
Is
Process
Stable
?
Control Chart Components
 Run chart of the data Control Chart

 Center Line (CL)
UCL
 A line at the average of the
data or target of the process
 Upper Control Limit (UCL) CL
 A line at the upper limit of

expected variability LCL
 Lower Control Limit (LCL) 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32

Run Order
 A line at the lower limit of
expected variability
The control limits are based on data collected from the process.
6-87
Is
Process
Stable
?
Rules for Separating Common &

Special Causes
Two commonly used signals of special causes are:
Rule 1: Any point above the Upper Control Limit (UCL)

or below the Lower Control Limit (LCL)
Rule 2: 8 points in a row on the same side of the center

line (CL)
Note: Additional rules do exist.
6-88
Evaluation of Individuals Data Is
Process
Stable
?
s c
R ,n=2
s s • •
•• • • • • ••
c s •
• • • • • • • ••
••• • • •
• • • • • • • • •
T X • • • • • • •
• • ••
•• • Target
• ••
• • •• • • •
Order of Production
s s Measures Variation in All Data

Used to Estimate 'Spread'
Does Not Reflect 'Capability'
Should Not Be Used for Calculating Control Chart Limits
s c Measures Variation in Successive Values

Used to Estimate the Potential Capability
Should Be Used to Calculate Trial Control Chart Limits
6-89
Is
Process
Estimating Sigma (Standard Deviation) Stable
?
n
 Xi – X
2
Total s s
ss = i=1
n–1
n
 Xi – Xi–1
sc = i=2
= R Short-Term sc
n–1 1.128 1.128
In existing data, Sigma C is a better estimate of the

common cause variability… Since it eliminates variation
due to cycles, shifts, etc…(Special Causes). Therefore,
Sigma C (from edited moving ranges) is always used to
calculate control limits!
6-90
Problem: Individuals Chart Calculations Is
Process
Stable
?
CO N TR OL C HA R T F O R Line 1 - First 25 Points Only Problem #13

X & MR
F req ue ncy = D aily
Date
T ime
O pe rator
Line 1
Me as uremen t ( X) 87.6 91.2 94.0 91.6 81.6 89.1 90.9 94.0 94.4 91.0 84.2 89.5 86.6 92.9 97.4 94.2 81.6 85.6 88.7 88.8 87.7 79.9 96.6 89.3 93.2
Mo ving R ang e (MR ) - 3.6 2.8 2.4 10.0 7.5 1.8 3.1 0.4 3.4 6.8 5.3 2.9 6.3 4.5 3.2 12.6 4.0 3.1 0.1 1.1 7.8 16.7 7.3 3.9
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
MR
6-91
Is
Line 1 - First 25 Points Only
Control Chart for _______________________________ Process
Stable
Individuals X & MR CHARTS - Calculation Worksheet ?
Chart
MR = Current Measurement – Previous Measurement
Calculations
R = Total of MRs = =
Total number MRs
X = Total of Measurements = =
Total number of Measurements
UCL MR = 3.267  R LCL MR = 0

= 3.267 
=
s c = 1.128
R =
1.128
=
UCL X = X + 3 sc LCL X = X – 3 sc
UCL X = + 3( ) LCL X = – 3( )
UCL X = + LCL X = –
UCL X = LCL X =
6-92
Minitab: Creating Individuals Control Charts Is
Process
Stable
?
• Open Minitab Software and the Line 1.MTW Worksheet.
• Create an Individuals Control Chart following the commands in the notes.
• Your output should look like the charts below:
I-MR Chart of X
U C L=103.03
100
Individual Value
_
90 X=89.66
80
LC L=76.30
1 3 5 7 9 11 13 15 17 19 21 23 25
O bser vation
1
16 U C L=16.42
Moving Range
12
8
__
M R=5.03
4
0 LC L=0
1 3 5 7 9 11 13 15 17 19 21 23 25
O bser vation
6-93
Minitab: Creating Individuals Control Charts Is

Process
Stable
?
•Open Problem 14.MTW located in the

Minitab Datasets folder.
•Use Minitab to create an Individuals and

Moving Range control chart for X in
column C1.
•What do you notice about the X and MR

Charts?
•What should you do to establish control

limits?
6-94
Minitab: Creating Individuals Control Charts With Is
Process
Range Edited Limits Stable
?
•As you noticed the moving range control chart for problem 14 has two ranges that
are above the upper control limit.
•So, a special cause source of variation is included in the limits calculation.
•The special cause needs to be removed and the limits re-calculated.
•Row 24 is the data point causing the moving ranges to be out of the limits.
•Use the brush tool to select and update the control chart or create a new column
without data point #24 (Remember to use the Backspace).
•These were taught in the Introduction to Minitab Course which is a pre-requisite

for the SPC course.
•Brush tool – Page 13 Introduction to Minitab book
6-95

Process
?
•The chart below shows the updated control charts without point #24.
I-MR Chart of X_1

66 1 1
U C L=65.261
65
Individual V alue
2
2 2
2 2
64 2
_
X=63.528
63
62
LC L=61.796
1
1
1 5 9 13 17 21 25 29 33 37
O bser vation
1
1
2.4 1 1
U C L=2.128
Moving Range
1.8
1.2
__
0.6 M R=0.651
2
2 2
2 2
2 2
0.0 LC L=0
2
1 5 9 13 17 21 25 29 33 37
O bser vation
•The updated moving range chart shows more moving ranges outside of limits.
•These are caused by rows 7 and 29.
•Remove the data points and update the control charts again.
6-96
Process
?
•The second updated Moving Range chart does not have any points outside of limits
I-MR Chart of X_1
65 1
2 U C L=64.579
2 2
Individual V alue
2 2
64 2
2 _
X=63.411
63
LC L=62.242
62 1
1
1
61
1 5 9 13 17 21 25 29 33 37
O bser vation
1.6
U C L=1.436
1.2
Moving Range
0.8
__
0.4 M R=0.439
0.0 LC L=0
1 5 9 13 17 21 25 29 33 37
O bser vation
•The objective is to calculate control limits that represent common cause sources of
variation only.
•However, stop editing data points once 10 to 20% of the data has been edited.
•If the initial data has this many special causes, the limits will identify plenty special
causes in the future for you to work on. 6-97
Minitab: Obtain Statistics to Calculate Limits for Is

Process
Continuous Process Monitoring Stable
?
Select I-MR Options in the I-MR dialog box

Choose Storage and select Means and Standard deviations
6-98
Minitab: Obtain Statistics to Calculate Control Is
Process
Limits Continued Stable
?
Two new columns are created

Mean1 – Average of your data
STDE1 – Sigma_C
6-99
Is
Process
Stable
?
Process Stability
Stable Process
A process in which the key measures of the output from
the process show no signs of special causes. Variation is a
result of common causes only.
Unstable Process
A process in which the key measures of the output from
the process show signs of special causes in addition to
common causes. Variation is a result of both common and
special causes.
6-100
Is
Process
Process Stability Stable
?
STABLE vs. UNSTABLE PROCESSES
STABLE
s Constant
 Constant
UNSTABLE
s Constant
 Sustained Shift
s Constant
 Irregular Shift
s Constant
 Trend
s Increase
 Constant
s Irregular
 Irregular
6-101
A Stable Process Is
Process
Stable
?
UCL
• •
• • • •
• • • •• •
• • • • • • • • • • • •
•• • • • • • • • • • • •• • • •
• • • •• • • • • • •
• • • • • • • • • •
• •
• • • • • • • • • • • •
• • • •
LCL
Common Causes Alone Are At Work:

• Behaves in a Random Manner
• No Cycles
• No Runs
• No Trends
• No Shifts
• No Defined Patterns 6-102
A Stable Process: Sigma S = Sigma C Is
Process
Lower Upper Stable
Spec Spec
?
Centering O.K.
Capability Adequate
No Action Needed
3sc X 3sc
CAPABILITY
SPREAD
Lower Upper
Spec Spec
Centering Off
Capability Adequate
Shift Centering By
Altering Aim of
Process
Lower Upper
Spec Spec
Centering O.K.
Capability Inadequate
Change Process
6-103
Un-Stable Process Is
Process
Stable
?
UCL • • ••
• ••
• • • • • •
• • • •
• •• • • • • • • •• • • • • • • • ••
•• • • • • • •
• • • • •• • • •• •• •• • • • • • •
• •• • • • •• •
• • • • •
• •
LCL
Assignable Cause(s) Are Present In Addition To

Common Cause Variation
Look For:
• Points Outside the Control Limits
• Shifts
• Cycles
• Runs
• Trends
6-104
Un-Stable Process: Sigma S Not Equal to Is
Process
Stable
Sigma C Lower
Spec
Upper
Spec
?
Spread Within
Specifications
Determine Cause of
Instability and Correct
If Economically
Feasible
CAPABILITY
SPREAD
Lower Upper
Spec Spec
Spread Outside
Specifications
Capability Adequate
Determine Cause of
Instability and Correct
Lower Upper
Spec Spec Spread Outside
Specifications
Capability Inadequate
Change Process -
Attempt to Achieve
At Least Partial
Improvement 6-105
Is
Process
Stable
?
Advantages of Stable Processes Are:
6-106
Is
Process
Stable
?
Polymer Manufacturing Data
Control Chart
5
b*
Histogram 4
LS US 3
UCL=2.2
2
Avg=1.4
1
LCL=0.5
0
0 1 2 3 4 5 20 40 60 80 100 120 140

b* Sample
Note: b* is a measure of yellowness
Histogram does not show whether the process is stable!

6-107
What’s Wrong With Putting Specification Is

Process
Limits on Control Charts? Stable
?
Case 1: (Specifications wider than Control Limits)

USL
x
UCL
x x
x CL
x
LCL
x
LSL
x
Case 2: (Control Limits wider than Specifications)

UCL
x
USL
x x
x CL
x
LSL
x
LCL
In both cases, specification limits on control charts

cause you to take the wrong action.
6-108
Is
Process
Stable
?
Histograms & Control Charts
Histograms Control Charts

 Plot past data  Real-time evaluation
 Cannot tell if process  Help identify presence
is stable of special causes
 Only useful for  Assess past and
prediction if the present stability of
process is stable process
6-109
Is
Process
Stable
?
Pump Maintenance Data
20
18
16
Number 14
of 12 UCL=11.4
Failures 10
8
6
Avg=4.8
4
2
LCL=None
0
2 4 6 8 10 12 14 16 18 20 22 24
Week
Are there any signals of special causes? Circle them.
6-110
Is
Process
Stable
Driving to Work Data ?
55
Time UCL=51.6
(Minutes) 50
Avg=45.9
45
40 LCL=40.2
35
5 10 15 20 25 30 35
Day
The next 5 observations are: 47, 46, 43, 52, 45. Plot them.
6-111
Is
Process
Stable
?
Purchase Order Data
14
13
12
11
Time 10
UCL=9.5
(Days) 9
8
7
6
5 Avg=5.0
4
3
2
1 LCL=0.5
0
2 4 6 8 10 12 14 16 18 20
Week Sample Taken

6-112
Is
Process
Stable
?
Shipping Data
0.30
0.25 UCL
p 0.20
(fraction
nonconforming) 0.15
Avg=0.123
0.10
0.05
0.00 LCL
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
Week
6-113
Is
Process
Quality Improvement Stable

?
Types of Control Charts
Counting Measures Instrument Measures

p charts x (X-bar) charts
np charts Individuals (x) charts
c charts Range (R) charts
u charts Moving Range (MR) charts
Arithmetic Moving Average charts
Exponentially Weighted Moving
Average charts
Cusum charts
“When you have a problem to solve,

you want to choose the right tool.”
6-114
Is
Exercises
Process
Stable
?
Circle any signals of special causes you find in the

following control charts.
Example 1 Example 2
•
% of • • •
Customers • • • •• •
Ranking • • • • Monthly
• •• • • • • •
Eastman • • • • • • •
as #1 • Sales • •
Supplier •
Time Time
6-115
Is
Process
Stable
?
Skill Check - Continued
Example 3 Example 4
• • •
• Number
% • • • • •
• • • of Lost-
Defective
• • • Time •
Accidents • •
• • •
• • •
• ••
•
• • •
•
•
Time Time
6-116
Is
Process
Stable
?
Exercises
1.) Your Catapult Team should complete page 9 of the

“Catapult Process” handout.
2.) Be ready to present your results in PowerPoint
Limit yourselves to 10 minutes for this exercise.
6-117
Is
The Define
Process
Capable
?
Quality Process
Improvement Select
Measures
Model
Collect &
Interpret
Data
Is Process Capable? Is No Investigate &

Process Fix Special
Stable Causes
?
Purpose: Determine the adequacy
of the process with Yes
respect to customer No Is
Improve
/management needs. Process
Process
Capable
Capability ?
Yes
Use SPC to
Maintain
Current
Process
8-118
Is
Process
Capable Process Capable
?
A stable process that meets customer requirements.
Histogram
Control Chart
UCL
CL
LCL
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32
Run Order Lower Spec Upper Spec
Target
Capability assessments for unstable processes, may not be indicative of

how the process is actually performing.
8-119
Is
Process
Capable
?
Assessing Process Capability
 Counting Measures
 The average percent defectives.
 The average number of defects.
 Instrument Measures
 Comparing both the center of the process and the process
variation
8-120
Capability Assessment for Counting Measures Is
Process
Capable
“Order Entry Process” ?
Week # Errors
1 15
2 22 Control Chart
35
3 18
4 10 30
UCL=28.0
5 13 Number 25
6 9 of Errors
20
7 27 Avg=16.0
15
8 12
9 24 10
10 22 5 LCL=4.0
11 8
0
12 8 5 10 15 20
13 26 Week
14 16
15 20
16 10 Is this process adequate as is?
17 16
18 9 Should it be improved?
19 15
20 20
Total 320
8-121
Measures of Process Capability Is

Process
Capable
USL - LSL
Cp = Specification Range =
?
True Process Range 6sc
Cp < 1.0  Process is not capable of meeting specs

Cp = 1.0  Process is marginally capable
Cp > 1.0  Process is capable of meeting specs
Problem: We are assuming the process has a target that is
in the center of the specification range, and that
the process is in fact centered on that target.
Distance from process average

Cpk = to closest specification limit = min (USL - x , x - LSL)
1 True Process Range 3sc
2
Note: a negative result is possible if the process average is outside specifications
Cpk < 1.0  Process is not capable of meeting specs

Cpk = 1.0  Process is marginally capable
Cpk > 1.0  Process is capable of meeting specs
Benefits: • Optimal values are attained by running exactly
between specs.
• Can (must) be used for 1-sided specifications
Warning: Capability assessments for unstable processes, may not be
indicative of how the process is actually performing. 8-122
Is
Process
Capable
Process Capability ?
LSL USL
How much material is out of spec?

 In the short term?
 In the long term?
8-123
Is
Process
Process Capability Ratios Capable
?
LSL USL
Voice of The Process
Voice of The Customer
8-124
Is
Process
Capable
?
8-125
Is
Process
Capable
Process Capability - The Strategy ?
Centering –The Process Is On Target
Spread – Reduce The Variation
Defects Defects
LSL USL
8-126
Process Capability Ratios Is
Process
Capable
?
2 Key Metrics for Measuring Capability
USL  LSL
Cp 
6sc
X- LSL USL- X
Cpk  Min( , )
3sc 3sc
8-127
Is
Process
Process Capability Ratios - Concept Capable

?
USL  LSL
Cp 
6sc
Total Tolerance
Cp 
Process Spread
8-128
CP & CPK Measure Short-term
I Chart for C1
Is
Process
Capable
Capability 39 ?
3.0SL=37.36
Individual Value
34
Is The Process
In Control ?
X=30.60
29
Is It Producing
Defects ?
24 -3.0SL=23.84
0 5 10 15 20 25 30 35
Observation Number
A Short-term Capability study covers a relatively

short period of time (days, weeks) generally
consisting of 30 to 50 data points. The actual
number depends on the subject under study.
8-129
Long Term Performance Is

Process
Capable
?
50
3.0SL=47.12
Individual Value
40
Short term
Is The Process Capability
In Control ?
X=33.80
30
Is It Producing
Defects ?
20 -3.0SL=20.49
0 50 100
Observation Number
A long-term capability study covers a relatively long

period of time (weeks, months) generally consisting of
100-200 data points. Again, the actual amount depends
on the subject under study.
8-130
A Further Look at Capability Is
Process
Capable
?
Compare the estimates of the process deviations

from the short-term and long-term data
Descriptive Statistics
Variable N Mean StdDev

short term 30 30.6 2.23
long term 180 33.8 4.44
What is the difference between the short-term and the

long-term data?
What implication does this have in doing capability
studies?
8-131
Measures of Process Performance Is

Process
Specification Range = USL - LSL Capable
Pp = ?
True Process Range 6ss
P p < 1.0  Process Performance is not meeting specs

P p = 1.0  Process Performance is marginally meeting specs
P p > 1.0  Process Performance is meeting specs
Problem: We are assuming the process has a target that is

in the center of the specification range, and that
the process is in fact centered on that target.
Distance from process average

to closest specification limit min (USL - x , x - LSL)
P pk = 1 =
True Process Range 3ss
2
Note: a negative result is possible if the process average is outside specifications
Ppk < 1.0  Process Performance is not meeting specs

Ppk = 1.0  Process Performance is marginally meeting specs
Ppk > 1.0  Process Performance is meeting specs
Benefits: • Optimal values are attained by running exactly

between specs.
• Can (must) be used for 1-sided specifications 8-132
Performance vs. Capability Is
Process
Capable
?
CO2Sales
Days Levels for 55 Timefor
Outstanding Points
55 Days
14
13
CO2-Shrt
DSO
12
11
10
Index 10 20 30 40 50
These data show that the process, if well controlled can

perform much better than it currently is
8-133
Is
Capability vs. Performance Process

Capable
?
CO2Sales
Days Levels for 55 Timefor
Outstanding Points
55 Days
14
13
CO2-Shrt
DSO
12
11
10
Index 10 20 30 40 50
Capability: Only Process Performance:

random or short Total Variation including
term variability shifts and drifts
(Cp & Cpk) (Pp & Ppk)
8-134
Process Performance Ratios Is
Process
Capable
?
USL  LSL
P p 
6ss
X- LSL USL- X
P pk  Min( , )
3ss 3ss
The P-family of indices are computationally the same as

the C-family of ‘capability’ indices, but use the observed
long-term standard deviation.
8-135
WARNING!!! Is
Process
Capable
?
Statistical Assumptions Made In Capability Studies
1. Data Comes From a Stable Process

 If not, work towards getting the process in
control
 Don’t despair, you can still make some
assumptions about your process in the mean
time
8-136

S222.3. Quality Improvement Model

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S222.3. Quality Improvement Model

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Chapter 3:

• Resolve any Supplier problems.

Six Sigma (6σ) Methodologies

DMAIC: This method is used to

DMADV: This method is used when you

DEFINE Identify, prioritize, and

MEASURE Identify key product

ANALYZE Identify the key (causative)

IMPROVE Establish prediction model

CONTROL Hold the gains

•Establish improved and Yes

 A process is any activity that converts

Why  Communicate to an individual or a

How  Identify and list Suppliers, Inputs,

“It is neither possible nor necessary to standardize all

Process Flow Charts Purchasing Process

A Graphical Purchasing Contacts

Discuss Quality vs. Price

Detailed Process Maps Define Process

 What is the tool?

1. Identify the process, its external inputs

Step 1: Identify the Process and

 Finally we identify the customer requirements

Step 2: Identify All Steps in the Process

Extrusion • TV of Mix - Impregnation • Appearance

Step 3: List Key Output Variables Define Process

 Include both process and product output variables

Step 4: List and Classify Key Input Variables

Controlled Inputs: Input variables that can be changed to see

Process Mapping Examples Define Process

Ext Rate C • TV of Mix - Phos Acid C

Process Mapping Examples

Step 5: Add Specifications for Inputs

Controlled Input Upper Lower

Using Process Maps to Evaluate

 Understand customer/supplier relationships

•Develop understanding of Yes

Need Measures of Process Performance

What Does This Information Make The Decision

Typical Measures of Process Performance

Manufacturing Product characteristics (weight, dimensions,

Administrative Number of errors, time to complete activity,

Service Service time, delivery time, number of

Management Number of injuries, difference between amount

 Count the number of nonconformities Can count

 Understand the customer's needs, expectations, and

 Where can we measure the process?

Process Variables -- All physical or analytical measurements related to a process.

Process variables can be broken down in to several different types:

•Manufacturing - Purity of raw materials, composition of mixes, dope solids,

Time Lag -- A delay between expected effects of variables.

Product Properties / Output Variables

Target -- The desired state of a response variable or product property.

Input Properties Uncontrolled / Response / Output Product

•Manufacturing - Ambient temperature

Customer Requirements / Output Variables Select Measures

Input Properties Uncontrolled / Response / Output Product Customer

Specifications -- the range of measurements of a product characteristic within which the

Three Ways to Control Key Variables in a Process

Statistical Process Control (SPC)

•Involves use of control charts, special cause action

•Primarily used on response variables and product

Engineering Process Control (EPC)

•EPC moves variation from where it bothers you to