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# Chapter 3

## Process Capability and

Statistical Process Control

Lecture Outline

## Basics of Statistical Process Control

Control Charts
Control Charts for Attributes
Control Charts for Variables
Control Chart Patterns
SPC with Excel and OM Tools
Process Capability

## Copyright 2011 John Wiley & Sons, Inc.

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Binomial Experiment

## A binomial experiment (also known as a Bernoulli trial) is a statistical

experiment that has the following properties:

## The experiment consists of n repeated trials.

Each trial can result in just two possible outcomes. We call one of these
outcomes a success and the other, a failure.
The probability of success, denoted by P, is the same on every trial.
The trials are independent

3-3

## The binomial distribution

The binomial distribution gives the discrete
probability distribution of obtaining exactly n
successes out of N trials. The binomial
distribution is therefore given by

## Copyright 2011 John Wiley & Sons, Inc.

3-4

A soccer (or hockey) player may attempt to score multiple goals from multiple
shots. If he or she has a shooting success probability of 0.25 and takes 4 shots
in a match, then the number of goals he or she scores can be modeled as
B(4, 0.25); note that just as p represents the probability of any given shot
becoming a goal, 1 p representsdepending on how the model is set up and
which sport is chosenthe shot missing the net or the goalkeeper making the
save. The probability of the player scoring 0, 1, 2, 3, or 4 goals on 4 shots are:

3-5

## Statistical Process Control (SPC)

Statistical Process Control
monitoring production process to
detect and prevent poor quality
is a tool for identifying problems in
order to make improvements

Sample
subset of items produced to use for
inspection

Control Charts
process is within statistical control
limits

3-6

Process Variability
Random
inherent in a process
depends on equipment
and machinery,
engineering, operator,
and system of
measurement
natural occurrences

## Copyright 2011 John Wiley & Sons, Inc.

Non-Random
special causes
identifiable and
correctable
include equipment out of
materials, changes in
parts or materials, broken
machinery or equipment,
operator fatigue or poor
work methods, or errors
due to lack of training

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## SPC in Quality Management

SPC uses
Is the process in control?
Identify problems in order to make
improvements
Contribute to the TQM goal of continuous
improvement

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Quality Measures:
Attributes and Variables
Attribute
A characteristic which is evaluated with a discrete
response
Color, cleanliness, surface texture, taste or smell
Variable measure
A characteristic that is continuous and can be measured
Weight, length, voltage, volume

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## SPC Applied to Services

Nature of defects is different in services
Service defect is a failure to meet customer requirements
Monitor time and customer satisfaction

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## SPC Applied to Services

Hospitals
timeliness & quickness of care, staff responses to requests,
accuracy of lab tests, cleanliness, courtesy, accuracy of
paperwork, speed of admittance & checkouts

Grocery stores
waiting time to check out, frequency of out-of-stock items, quality
of food items, cleanliness, customer complaints, checkout
register errors

Airlines
flight delays, lost luggage & luggage handling, waiting time at
ticket counters & check-in, agent & flight attendant courtesy,
accurate flight information, cabin cleanliness & maintenance

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## SPC Applied to Services

Fast-food restaurants
waiting time for service, customer complaints, cleanliness, food
quality, order accuracy, employee courtesy

Catalogue-order companies
order accuracy, operator knowledge & courtesy, packaging,
delivery time, phone order waiting time

Insurance companies
billing accuracy, timeliness of claims processing, agent
availability & response time

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## Where to Use Control Charts

Process
Has a tendency to go out of control
Is particularly harmful and costly if it goes out of control

## When to use control charts:

At beginning of process because of waste to begin
production process with bad supplies
Before a costly or irreversible point, after which product is
difficult to rework or correct
Before and after assembly or painting operations that might
cover defects
Before the outgoing final product or service is delivered
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Control Charts
A graph that monitors process quality
Control limits
upper and lower bands of a control chart

Attributes chart
p-chart
c-chart

Variables chart
mean (x bar chart)
range (R-chart)

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Out of control
Upper
control
limit
Process
average
Lower
control
limit

10

Sample number

## Copyright 2011 John Wiley & Sons, Inc.

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Normal Distribution

## In probability theory, the normal (or Gaussian) distribution, is a

continuous probability distribution that is often used as a first approximation to describe realvalued random variables that tend to cluster around a single mean value. The graph of the
associated probability density function is bell-shaped, and is known as the Gaussian function or
bell curve:

## where parameter is the mean value and 2 is the variance.

The distribution with = 0 and 2 = 1 is called the standard normal.

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Normal Distribution
Probabilities for Z= 2.00 and Z = 3.00

95%
99.74%
-3

-2

## Copyright 2011 John Wiley & Sons, Inc.

-1

=0

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A Process Is in Control If
1. no sample points outside limits
2. most points near process average
3. about equal number of points above
and below centerline
4. points appear randomly distributed

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## Control Charts for Attributes

p-chart
uses portion defective in a sample

c-chart
uses number of defects (non-conformities) in a
sample

## Copyright 2011 John Wiley & Sons, Inc.

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p-Chart
UCL = p + zp
LCL = p - zp
z
p
p

=
number of standard deviations from process
average
=
sample proportion defective; estimates
process mean
= standard deviation of
proportion
p(1sample
- p)

## Copyright 2011 John Wiley & Sons, Inc.

p =

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Construction of p-Chart
SAMPLE #

1
2
3
:
:
20

NUMBER OF
DEFECTIVES

PROPORTION
DEFECTIVE

6
0
4
:
:
18
200

.06
.00
.04
:
:
.18

## Copyright 2011 John Wiley & Sons, Inc.

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Construction of p-Chart
p=

total defectives
total sample observations

UCL = p + z

p(1 - p)
= 0.10 + 3
n

0.10(1 - 0.10)
100

UCL = 0.190
LCL = p - z

p(1 - p)
= 0.10 - 3
n

0.10(1 - 0.10)
100

LCL = 0.010

## Copyright 2011 John Wiley & Sons, Inc.

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Construction of p-Chart
0.20
UCL = 0.190

0.18

Proportion defective

0.16
0.14
0.12
0.10

p = 0.10

0.08
0.06
0.04
0.02

LCL = 0.010
2

## Copyright 2011 John Wiley & Sons, Inc.

8
10
12
Sample number

14

16

18

20

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p-Chart in Excel
Click on Insert then Charts
to construct control chart
I4 + 3*SQRT(I4*(1-I4)/100)
I4 - 3*SQRT(I4*(1-I4)/100)

## Column values copied

from I5 and I6
Copyright 2011 John Wiley & Sons, Inc.

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c-Chart
UCL = c + zc
LCL = c - zc

c =

where
c = number of defects per sample

## Copyright 2011 John Wiley & Sons, Inc.

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c-Chart
Number of defects in 15 sample rooms
SAMPLE

NUMBER
OF
DEFECTS

1
2
3

12
8
16

:
:

:
:

15

15
190

## Copyright 2011 John Wiley & Sons, Inc.

190
c=
= 12.67
15
UCL = c + zc
= 12.67 + 3
= 23.35

12.67

LCL = c - zc
= 12.67 - 3
= 1.99

12.67

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c-Chart
24
UCL = 23.35

Number of defects

21
18

c = 12.67

15
12
9
6
LCL = 1.99

10

12

14

16

Sample number

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## Control Charts for Variables

Range chart ( R-Chart )
Plot sample range (variability)

## Mean chart ( x -Chart )

Plot sample averages

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## x-bar Chart: Known

UCL = x=+ z x=
LCL = x - z xWhere
=
X=

x- 1 + x- 2 + ... + x- k
k
= process standard deviation
x = standard deviation of sample means =/ n
k = number of samples (subgroups)
n = sample size (number of observations)

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## x-bar Chart Example: Known

Observations(Slip-Ring Diameter, cm) n
Sample k

x-

We know = .08
Copyright 2011 John Wiley & Sons, Inc.

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## x-bar Chart Example: Known

= _____
50.09
X=
= 5.01
10
=
UCL = x + z -x
= 5.01 + 3(.08 / 10)
= 5.09

= 4.93

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## x-bar Chart Example: Unknown

= _

UCL = x + A2R

LCL = x - A2R

where
=
x = average of the sample means
_
R = average range value

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Control
Chart
Factors

Sample
Size
n
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

A2
1.880
1.023
0.729
0.577
0.483
0.419
0.373
0.337
0.308
0.285
0.266
0.249
0.235
0.223
0.212
0.203
0.194
0.187
0.180
0.173
0.167
0.162
0.157
0.153

D3
0.000
0.000
0.000
0.000
0.000
0.076
0.136
0.184
0.223
0.256
0.283
0.307
0.328
0.347
0.363
0.378
0.391
0.404
0.415
0.425
0.435
0.443
0.452
0.459

D4
3.267
2.575
2.282
2.114
2.004
1.924
1.864
1.816
1.777
1.744
1.717
1.693
1.672
1.653
1.637
1.622
1.609
1.596
1.585
1.575
1.565
1.557
1.548
1.541
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## x-bar Chart Example: Unknown

OBSERVATIONS (SLIP- RING DIAMETER, CM)
SAMPLE k

1
2
3
4
5
6
7
8
9
10

5.02
5.01
4.99
5.03
4.95
4.97
5.05
5.09
5.14
5.01

5.01
5.03
5.00
4.91
4.92
5.06
5.01
5.10
5.10
4.98

4.94
5.07
4.93
5.01
5.03
5.06
5.10
5.00
4.99
5.08

4.99
4.95
4.92
4.98
5.05
4.96
4.96
4.99
5.08
5.07

4.96
4.96
4.99
4.89
5.01
5.03
4.99
5.08
5.09
4.99

4.98
5.00
4.97
4.96
4.99
5.01
5.02
5.05
5.08
5.03

0.08
0.12
0.08
0.14
0.13
0.10
0.14
0.11
0.15
0.10

Totals 50.09

1.15

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## x-bar Chart Example: Unknown

_
R=

R
____
=
k

1.15
____
10 = 0.115

x
50.09
_____
=
___
x=
=
= 5.01 cm
10
k
_
=
UCL = x + A2R = 5.01 + (0.58)(0.115) = 5.08
=

3-35

x- bar
Chart
Example

5.10
5.08
UCL = 5.08

5.06
5.04

Mean

5.02

=
x = 5.01

5.00
4.98
4.96
4.94

LCL = 4.94

4.92
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1

## Copyright 2011 John Wiley & Sons, Inc.

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5
6
7
Sample number

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R- Chart
UCL = D4R
R=

LCL = D3R
R
k

Where
R = range of each sample
k = number of samples (sub groups)

## Copyright 2011 John Wiley & Sons, Inc.

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R-Chart Example
OBSERVATIONS (SLIP- RING DIAMETER, CM)
SAMPLE k

1
2
3
4
5
6
7
8
9
10

5.02
5.01
4.99
5.03
4.95
4.97
5.05
5.09
5.14
5.01

5.01
5.03
5.00
4.91
4.92
5.06
5.01
5.10
5.10
4.98

4.94
5.07
4.93
5.01
5.03
5.06
5.10
5.00
4.99
5.08

4.99
4.95
4.92
4.98
5.05
4.96
4.96
4.99
5.08
5.07

4.96
4.96
4.99
4.89
5.01
5.03
4.99
5.08
5.09
4.99

4.98
5.00
4.97
4.96
4.99
5.01
5.02
5.05
5.08
5.03

0.08
0.12
0.08
0.14
0.13
0.10
0.14
0.11
0.15
0.10

Totals 50.09

1.15

## Copyright 2011 John Wiley & Sons, Inc.

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R-Chart Example
_
UCL = D4R = 2.11(0.115) = 0.243
_
LCL = D3R = 0(0.115) = 0
Retrieve chart factors D3 and D4

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R-Chart Example
0.28
0.24

Range

0.20
0.16
0.12

UCL = 0.243
R = 0.115

0.08
0.04
0

LCL = 0
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2
3

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4
5
6
7
Sample number

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## Using x- bar and R-Charts

Together
Process average and process variability must be
in control
Samples can have very narrow ranges, but
sample averages might be beyond control limits
Or, sample averages may be in control, but
ranges might be out of control
An R-chart might show a distinct downward
trend, suggesting some nonrandom cause is
reducing variation

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## Control Chart Patterns

Run
sequence of sample values that display same
characteristic

Pattern test
determines if observations within limits of a control
chart display a nonrandom pattern

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## Control Chart Patterns

To identify a pattern look for:

## 8 consecutive points on one side of the center line

8 consecutive points up or down
14 points alternating up or down
2 out of 3 consecutive points in zone A (on one side of
center line)
4 out of 5 consecutive points in zone A or B (on one
side of center line)

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## Control Chart Patterns

UCL

UCL

LCL

LCL
Sample observations
consistently below the
center line

## Copyright 2011 John Wiley & Sons, Inc.

Sample observations
consistently above the
center line

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## Control Chart Patterns

UCL

UCL

LCL

LCL
Sample observations
consistently increasing

## Copyright 2011 John Wiley & Sons, Inc.

Sample observations
consistently decreasing

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## Zones for Pattern Tests

=
3 sigma = x + A2R

UCL
Zone A

=
2 sigma = x + 2 (A2R)
3

Zone B
=
1 sigma = x + 1 (A2R)
3

Zone C

Process
average

=
x

Zone C

=
1 sigma = x - 1 (A2R)
3

Zone B
=
2 sigma = x - 2 (A2R)
3

Zone A
=
3 sigma = x - A2R

LCL
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2

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3

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4

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5

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6

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9

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Sample number
Copyright 2011 John Wiley & Sons, Inc.

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SAMPLE
1
2
3
4
5
6
7
8
9
10

ABOVE/BELOW

UP/DOWN

ZONE

4.98
5.00
4.95
4.96
4.99
5.01
5.02
5.05
5.08
5.03

B
B
B
B
B

A
A
A
A

U
D
D
U
U
U
U
U
D

B
C
A
A
C
C
C
B
A
B

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## Sample Size Determination

Attribute charts require larger sample sizes
50 to 100 parts in a sample
Variable charts require smaller samples
2 to 10 parts in a sample

## Copyright 2011 John Wiley & Sons, Inc.

3-49

Process Capability
Compare natural variability to design variability
Natural variability
What we measure with control charts
Process mean = 8.80 oz, Std dev. = 0.12 oz
Tolerances
Design specifications reflecting product
requirements
Net weight = 9.0 oz 0.5 oz
Tolerances are 0.5 oz

## Copyright 2011 John Wiley & Sons, Inc.

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Process Capability

## Copyright 2011 John Wiley & Sons, Inc.

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Process Capability

3-52

## Process Capability Ratio

Cp =
=

tolerance range
process range
upper spec limit - lower spec limit

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Computing Cp

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Cpk = minimum

## Copyright 2011 John Wiley & Sons, Inc.

=
x - lower specification limit
3

## upper specification limit - =

x
3

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Computing Cpk
Net weight specification = 9.0 oz 0.5 oz
Process mean = 8.80 oz
Process standard deviation = 0.12 oz

Cpk = minimum

## =x - lower specification limit

,
3
upper specification limit - =
x
3

= minimum

,
= 0.83
3(0.12)
3(0.12)

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=(D6-D7)/(6*D8)

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## Copyright 2011 John Wiley & Sons, Inc.

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