CHAPTER II

Control Charts

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 CHAPTER II
Control Charts

Introduction:

Control charts can be used to monitor or evaluate a process. There

are basically two types of control charts, those for variables data and
those for attributes data. The process itself will dictate which type of
control chart to use. If the data derived from the process are of a
discrete nature (e.g., go/no-go, acceptable/not acceptable) then an
attributes type of chart would be used. If the data derived from the
process are of a continuous nature (e.g., diameter, length) then a
variables type of chart would be used. Within each chart type there
are several chart combinations that can be used to further evaluate
the process.

Some of the more common chart types, Average( ) and Range (R )

charts, Individuals ( I ) chart, Moving Range (MR) chart, etc., belong
to the variables chart family. Charts based on count or percent data
(e.g., p, np, c, u) belong to the attributes chart family.

When introducing control charts into an organization, it is important

to prioritize problem areas and use charts where they are most
needed. Problem signals can come from the cost control system, user
complaints, internal bottlenecks, etc. The use of attributes control
charts on key overall quality measures often points the way to the
specific process areas that would need more detailed examination
including the possible use of control charts for variables.

If available, variables data are always preferred as they contain more

useful information than attributes data for the same amount of effort.
For example you need a larger sample size for attributes than for
variables data to have the same amount of confidence in the results.
If the use of variables measurement systems is infeasible, the
application of attributes analysis should not be overlooked.

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Control Charts

Figure II.1: Variables Data

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 CHAPTER II
Control Charts

Variables Control Charts

Variables control charts represent the typical application of
statistical process control where the processes and their outputs can
be characterized by variable measurements (see Figure II.1).

Variables control charts are particularly useful for several reasons:

• A quantitative value (e.g., "the diameter is 16.45 mm") contains

more information than a simple yes-no statement (e.g., "the
diameter is within specification");
• Although collecting variables data is usually more costly than
collecting attributes data (e.g., go/no-go), a decision can be
reached more quickly with a smaller sample size. This can lead
to lower total measurement costs due to increased efficiency;
• Because fewer parts need to be checked before making reliable
decisions, the time delay between an "out-of-control" signal and
corrective action is usually shorter; and
• With variables data, performance of a process can be analyzed,
and improvement can be quantified, even if all individual values
are within the specification limits. This is important in seeking
continual improvement.

A variables chart can explain process data in terms of its process

variation, piece-to-piece variation, and its process average. Because
of this, control charts for variables are usually prepared and
analyzed in pairs, one chart for process average and another for the
process variation.

The most commonly used pair are the and R charts. is the
arithmetic average of the values in small subgroups – a measure of
process average; R is the range of values within each subgroup
(highest minus lowest) – a measure of process variation. However,
there are a number of other control charts that may be more useful
under certain circumstances.

The : and R charts may be the most common charts, but they
may not be the most appropriate for all situations.

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CHAPTER II
Control Charts

Figure II.2: Attributes Data

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 CHAPTER II
Control Charts

Attributes Control Charts

Although control charts are most often thought of in terms of
variables, control charts have also been developed for attributes; see
Figure II.2. Attributes data have discrete values and they can be
counted for recording and analysis. With attribute analysis the data
are separated into distinct categories (conforming/nonconforming,
pass/fail, go/no-go, present/absent, low/medium/high). Examples
include the presence of a required label, the continuity of an
electrical circuit, visual analysis of a painted surface, or errors in a
typed document.
Other examples are of characteristics that are measurable, but where
the results are recorded in a simple yes/no fashion, such as the
conformance of a shaft diameter when measured on a go/no-go
gage, the acceptability of door margins to a visual or gage check, or
on-time delivery performance. Control charts for attributes are
important for several reasons:
• Attributes data situations exist in any technical or
administrative process, so attributes analysis techniques
are useful in many applications. The most significant difficulty
is to develop precise operational definitions of what is
conforming.
• Attributes data are already available in many situations —
wherever there are existing inspections, repair logs, sorts of
rejected material, etc. In these cases, no additional effort is
required for data collection. The only expense involved is for
the effort of converting the data to control chart form.
• Where new data must be collected, attributes information is
generally quick and inexpensive to obtain. With simple gaging
(e.g., a go/no-go gage or visual standards), specialized
measurement skills are often are not required. There are many
occasions where specialized measurement skills are required
especially when the part measured falls in the "gray" area. 16
• Much data gathered for management summary reporting are
often in attributes form and can benefit from control chart
analysis. Examples include scrap rates, quality audits and
material rejections. Because of the ability to distinguish
between special and common cause variation, control chart
analysis can be valuable in interpreting these management
reports.
This manual will use conforming/nonconforming throughout
attributes discussions simply because
• These categories are "traditionally" used
• Organizations just starting on the path to continual
improvement usually begin with these categories
• Many of the examples available in literature use these
categories.
It should not be inferred that these are the only "acceptable"
categories or that attributes charts cannot be used with Case 1
processes; see Chapter I, Section E. 17
16
See the Attribute Measurement System Study chapter in the MSA Reference Manual.
17
See also: Montgomery (1997), Wheeler (1991,1995), Wise and fair (1998).
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CHAPTER II
Control Charts

Elements of Control Charts

There is no single "approved" manner of displaying control charts.

However the reasons for the use of control charts (see Chapter I,
Section E) must be kept in mind. Any format is acceptable as long
as it contains the following (see Figure II.3):

• (A) Appropriate scale

The scale should be such that the natural variation of the process
can be easily viewed. A scale which yields a "narrow" control chart
does not enable analysis and control of the process.

• (B) UCL, LCL

The ability to determine outliers which signal special causes
the control chart requires control limits based on the
sampling distribution. Specifications limits should not be
used in place of valid control limits for process analysis and
control.

• (B) Centerline
The control chart requires a centerline based on the sampling
distribution in order to allow the determination of non-random
patterns which signal special causes.

• (C) Subgroup sequence / timeline

Maintaining the sequence in which the data are collected provides
indications of "when" a special cause occurs and whether that special
cause is time-oriented.

• (D) Identification of out-of-control plotted values

Plotted points which are out of statistical control should be identified
on the control chart. For process control the analysis for special
causes and their identification should occur as each sample is plotted
as well as periodic reviews of the control chart as a whole for non-
random patterns.

• (E) Event Log

Besides the collection, charting, and analysis of data, additional
supporting information should be collected. This information should

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 CHAPTER II
Control Charts

include any potential sources of variation as well as any actions

taken to resolve out-of-control signals (OCS). This information can
be recorded on the control chart or on a separate Event Log.

If there has not been any change in the process between subgroups,
it is not necessary to include an entry on the process event log.

Figure II.3: Elements of Control Charts

During the initial analysis of the process, knowledge of what would

constitute a potential special cause for this specific process may be
incomplete. Consequently, the initial information collection activities
may include events which will prove out not to be special causes.
Such events need not be identified in subsequent information
collection activities. If initial information collection activities are not
sufficiently comprehensive, then time may be wasted in identifying
specific events which cause out-of-control signals.

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CHAPTER II
Control Charts

For control charts which are included as a part of a report and for
those which are maintained manually the following "header"
information should be included:

• What: part/product/service name and number/identification

• Where: operation/process step information, name/identification
• Who: operator and appraiser
• How: measurement system used, name/number, units (scale)
• How many: subgroup size, uniform or by sample
• When: sampling scheme (frequency and time)

Figure II.4 shows a completed manually maintained control chart

which includes all these elements

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 CHAPTER II
Control Charts

Figure II.4a: Simple Control Chart (Front side)

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CHAPTER II
Control Charts

Figure II.4b: Simple Control Chart (back side) – Event Log

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 CHAPTER II – Section A
Control Charting Process

CHAPTER II - Section A
Control Chart Process
Preparatory Steps
Before control charts can be used, several preparatory steps should be
taken:

9 Establish an environment suitable for action.

9 Define the process.

9 Determine the features or characteristics to be charted

based on:
Caution
„ The customer's needs.
„ Current and potential problem areas.
„ Correlation between characteristics.

Correlation between variables does not imply a causal relationship. In

the absence of process knowledge, a designed experiment may be
needed to verify such relationships and their significance.

9 Define the characteristic.

The characteristic must be operationally defined so that
results can be communicated to all concerned in ways that
have the same meaning today as yesterday. This involves
specifying what information is to be gathered, where, how,
and under what conditions.
An operational definition describes the characteristic that is
to be evaluated and whether the characteristic is qualitative
(discrete) or quantitative (continuous). Attributes control
charts would be used to monitor and evaluate discrete
variables whereas variables control charts would be used to
monitor and evaluate continuous variables.

9 Define the measurement system.

Total process variability consists of part-to-part variability
and measurement system variability. It is very important to
evaluate the effect of the measurement system's variability
on the overall process variability and determine whether it
is acceptable. The measurement performance must be
predictable in terms of accuracy, precision and stability.
Periodic calibration is not enough to validate the
measurement system's capability for its intended use. In
addition to being calibrated, the measurement system must
be evaluated in terms of its suitability for the intended use.

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Control Charting Process

For more detail on this subject see the Measurement

Systems Analysis (MSA) Reference Manual. The
definition of the measurement system will determine what
type of chart, variables or attributes, is appropriate.

9 Minimize unnecessary variation.

Unnecessary external causes of variation should be

reduced before the study begins. This could simply mean
watching that the process is being operated as intended.
The purpose is to avoid obvious problems that could and
should be corrected without use of control charts. This
includes process adjustment or over control. In all cases, a
process event log may be kept noting all relevant events
such as tool changes, new raw material lots, measurement
system changes, etc. This will aid in subsequent process
analysis.

9 Assure selection scheme is appropriate for detecting

expected special causes.

WARNING: Even though convenience sampling and/or

haphazard sampling is often thought of as being random
sampling, it is not. If one assumes that it is, and in reality it is
not, one carries an unnecessary risk that may lead to
erroneous and or biased conclusions.

For more details see Chapter I, Section H.

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 CHAPTER II – Section A
Control Charting Process

Control Chart Mechanics

The steps to using control charts are:

1. Data Collection

2. Establish Control Limits

3. Interpret for Statistical Control

4. Extend Control Limits for ongoing control (see Figure II.5)

Data Collection

Control charts are developed from measurements of a particular

characteristic or feature of the process. These measurements are
combined into a (control) statistic (e.g., average, median, range,
standard deviation, individual) which describes an attribute of the
process distributional form. The measurement data are collected from
individual samples from a process stream. The samples are collected
in subgroups and may consist of one or more pieces. In general, a
larger subgroup size makes it easier to detect small process shifts.

Create a Sampling Plan

For control charts to be effective the sampling plan should define

rational subgroups. A rational subgroup is one in which the samples
are selected so that the chance for variation due to special causes
occurring within a subgroup is minimized, while the chance for
special cause variation between subgroups is maximized. The key
item to remember when developing a sampling plan is that the
variation between subgroups is going to be compared to the variation
within subgroups. Taking consecutive samples for the subgroups
minimizes the opportunity for the process to change and should
minimize the within-subgroup variation. The sampling frequency
will determine the opportunity the process has to change between
subgroups.
The variation within a subgroup represents the piece-to-piece
variation over a short period of time.18 Any significant variation
between subgroups would reflect changes in the process that should
be investigated for appropriate action.
Subgroup Size – The type of process under investigation dictates how
the subgroup size is defined. As stated earlier, a larger subgroup size
makes it easier to detect small process shifts. The team responsible
has to determine the appropriate subgroup size. If the expected shift
is relatively small, then a larger subgroup size would be needed
compared to that required if the anticipated shift is large.

18
See also Appendix A.
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CHAPTER II – Section A
Control Charting Process

Figure II.5: Extending Control Limits

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 CHAPTER II – Section A
Control Charting Process

The subgroup size should remain constant but there may be

situations where the subgroup size varies within a single control
chart. The calculation of the control limits depends on the subgroup
size and if one varies the subgroup size the control limits will
change for that subgroup. There are other techniques that deal with
variable subgroup sizes; for example, see Montgomery (1997) and
Grant and Leavenworth (1996).
Subgroup Frequency — The subgroups are taken sequentially in
time, e.g., once every 15 minutes or twice per shift. The goal is to
detect changes in the process over time. Subgroups should be
collected often enough, and at appropriate times so that they can
reflect the potential opportunities for change. The potential causes of
change could be due to work-shift differences, relief operators,
warm-up trends, material lots, etc.
Number of Subgroups — The number of subgroups needed to
establish control limits should satisfy the following criterion:
enough subgroups should be gathered to assure that the major
sources of variation which can affect the process have had an
opportunity to appear. Generally, 25 or more subgroups containing
about 100 or more individual readings give a good test for stability
and, if stable, good estimates of the process location and spread.
This number of subgroups ensures that the effect of any extreme
values in the range or standard deviation will be minimized.
In some cases, existing data may be available which could accelerate
this first stage of the study. However, they should be used only if
they are recent and if the basis for establishing subgroups is clearly
understood. Before continuing, a rational sampling plan must be
developed and documented.
Sampling Scheme — If the special causes affecting the process can
occur unpredictably, the appropriate sampling scheme is a random
(or probability) sample. A random sample is one in which every
sample point (rational subgroup) has the same chance (probability)
of being selected. A random sample is systematic and planned; that
is, all sample points are determined before any data are collected.
For special causes that are known to occur at specific times or
events, the sampling scheme should utilize this knowledge.
Haphazard sampling or convenience sampling not based on the
expected occurrence of a specific special cause should be avoided
since this type of sampling provides a false sense of security; it can
lead to a biased result and consequently a possible erroneous
decision.

Whichever sampling scheme is used all sample points should be

determined before any data are collected (see Deming (1950) and
Gruska (2004)).

NOTE: For a discussion about rational subgrouping and the effect of

subgrouping on control chart interpretation see Appendix A.

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Control Charting Process

Control Chart Setup

A control chart will have sections for:

9 Header information including the description of the process
and sampling plan.

9 Recording/displaying the actual data values collected.

This should also include the date & time or other subgroup
identification.

9 For interim data calculations (optional for automated charts).

This should also include a space for the calculations based
on the readings and the calculated control statistic(s).

9 For plotting each of the control statistics being analyzed.

The value for the control statistic is usually plotted on the
vertical scale and the horizontal scale is the sequence in
time. The data values and the plot points for the control
statistic should be aligned vertically. The scale should be
broad enough to contain all the variation in the control
statistic. A guideline is that the initial scale could be set to
twice the difference between the (expected) maximum and
minimum values.

9 To log observations.
This section should include details such as process
adjustments, tooling changes, material changes, or other
events which may affect the variability of the process.

Record Raw Data

9 Enter the individual values and the identification for each subgroup.

9 Log any pertinent observation(s).

Calculate Sample Control Statistic(s) for Each Subgroup

The control statistics to be plotted are calculated from the subgroup

measurement data. These statistics may be the sample mean,
median, range, standard deviation, etc. Calculate the statistics
according to the formulae for the type of chart that is being used.

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Control Charting Process

Plot the Control Statistic(s) on the Control Charts

Plot the control statistic on the chart. Make sure that the plot points
for the corresponding control statistics are aligned vertically. Connect
the points with lines to help visualize patterns and trends.
The data should be reviewed while they are being collected in order
to identify potential problems. If any points are substantially higher
or lower than the others, confine that the calculations and plots are
correct and log any pertinent observations.

Establish Control Limits

Control limits are defined by the natural variation of the control

statistic. They define a range of values that the control statistic could
randomly fall within, given there is only common cause to the
variation. If the average of two different subgroups from the same
process is calculated, it is reasonable to expect that they will be about
the same. But since they were calculated using different parts, the
two averages are not expected to be identical. Even though the two
averages are different, there is a limit to how different they are
expected to be, due to random chance. This defines the location
of the control limits. This is the basis for all control chart techniques.
If the process is stable (i.e., having only common cause variation),
then there is a high probability that for any subgroup sample the
calculated control statistic will fall within the control limits. If the
control statistic exceeds the control limits then this indicates that a
special cause variation may be present.

There are two phases in statistical process control studies.

1. The first is identifying and eliminating the special causes of
variation in the process. The objective is to stabilize the process.
A stable, predictable process is said to be in statistical
control.
2. The second phase is concerned with predicting future
measurements thus verifying ongoing process stability. During
this phase, data analysis and reaction to special causes is done
in real time. Once stable, the process can be analyzed to
determine if it is capable of producing what the customer
desires.

Identify the centerline and control limits of the control chart

To assist in the graphical analysis of the plotted control statistics,

draw lines to indicate the location estimate (centerline) and control
limits of the control statistic on the chart.
In general, to set up a control chart calculate:
9 Centerline,
9 Upper Control Limit (UCL),
9 Lower Control Limit (LCL).

See Chapter II, Section C, for the formulas.

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Control Charting Process

Interpret for Statistical Control

If the process has no special causes affecting its variability, then the
control statistics will fall between the control limits in a random
fashion (i.e., no patterns will be evident).
Special causes can affect either the process location (e.g., average,
median) or the variation (e.g., range, standard deviation) or both. The
objective of control chart analysis is to identify any evidence that the
process variability or the process location is not operating at a
constant level – that one or both are out of statistical control – and to
take appropriate action.
In the subsequent discussion, the Average will be used for the
location control statistic and the Range for the variation control
statistic. The conclusions stated for these control statistics also apply
equally to the other possible control statistics.
Since the control limits of the location statistic are dependent on the
variation statistic, the variation control statistic should be analyzed
first for stability. The variation and location statistics are analyzed
separately, but comparison of patterns between the two charts may
sometimes give added insight into special causes affecting the
process
A process cannot be said to be stable (in statistical control) unless
both charts have no out-of-control conditions (indications of special
causes).

Analyze the Data Plots on the Range Chart

Since the ability to interpret either the subgroup ranges or subgroup
averages depends on the estimate of piece-to-piece variability, the R
chart is analyzed first. The data points are compared with the control
limits, for points out of control or for unusual patterns or trends (see
Chapter II, Section D)

Find and Address Special Causes (Range Chart)

For each indication of a special cause in the range chart data, conduct
an analysis of the process operation to determine the cause and
improve process understanding; correct that condition, and prevent it
from recurring. The control chart itself should be a useful guide in
problem analysis, suggesting when the condition may have began
and how long it continued. However, recognize that not all special
causes are negative; some special causes can result in positive
process improvement in terms of decreased variation in the range –
those special causes should be assessed for possible
institutionalization within the process, where appropriate.

Timeliness is important in problem analysis, both in terms of

minimizing the production of inconsistent output, and in terms of
having fresh evidence for diagnosis. For instance, the appearance of a
single point beyond the control limits is reason to begin an

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Control Charting Process

immediate analysis of the process. A process event log may also be

helpful source of information in terms of identifying special causes
of variation.

Figure II.6: Control Limits Recalculation

It should be emphasized that problem solving is often the most

difficult and time-consuming step. Statistical input from the control
chart can be an appropriate starting point, but other methods such
as Pareto charts, cause and effect diagrams, or other graphical
analysis can be helpful (see Ishikawa (1976)). Ultimately, however,
the explanations for behavior lie within the process and the people
who are involved with it. Thoroughness, patience, insight and
understanding will be required to develop actions that will
measurably improve performance.

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Control Charting Process

Recalculate Control Limits (Range Chart)

When conducting an initial process study or a reassessment of

process capability, the control limits should be recalculated to
exclude the effects of out-of-control periods for which process causes
have been clearly identified and removed or institutionalized.
Exclude all subgroups affected by the special causes that have been
identified and removed or institutionalized, then recalculate and plot
the new average range and control limits. Confirm that all range
points show control when compared to the new limits; if not, repeat
the identification, correction, recalculation sequence.

If any subgroups were dropped from the R chart because of

identified special causes, they should also be excluded from the
chart. The revised and should be used to recalculate the trial
control limits for averages, (see Figure II.6).

NOTE: The exclusion of subgroups representing unstable

conditions is not just "throwing away bad data." Rather, by
excluding the points affected by known special causes, there is a
better estimate of the background level of variation due to common
causes. This, in turn, gives the most appropriate basis for the
control limits to detect future occurrences of special causes of
variation. Be reminded, however, that the process must be
changed so the special cause will not recur (if undesirable) as part
of the process.

Find and Address Special Causes (Average Chart)

Once the special cause which affect the variation (Range Chart)
have been identified and their effect have been removed, the
Average Chart can be evaluated for special causes. In Figure II.6
the new control limits for the averages indicate that two samples
are out of control.
For each indication of an out-of-control condition in the average
chart data, conduct an analysis of the process operation to
determine the reason for the special cause; correct that condition,
and prevent it from recurring. Use the chart data as a guide to
when such conditions began and how long they continued.
Timeliness in analysis is important, both for diagnosis and to
minimize inconsistent output. Again, be aware that not all special
causes need be undesirable (see Chapter I, Section E and Chapter
II, Section B).
Problem solving techniques such as Pareto analysis and cause-and-
effect analysis can help. (Ishikawa (1976)).

Recalculate Control Limits (Average Chart)

When conducting an initial process study or a reassessment of

process capability, exclude any out-of-control points for which
special causes have been found and removed; recalculate and plot
the process average and control limits. Confirm that all data

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Control Charting Process

points show control when compared to the new limits; if not,

repeat the identification, correction, recalculation sequence.

Final Comments

The preceding discussions were intended to give a functional

introduction to control chart analysis. Even though these discussions
used the Average and Range Charts, the concepts apply to all
control chart approaches.

Furthermore, there are other considerations that can be useful to the

analyst. One of the most important is the reminder that, even with
processes that are in statistical control, the probability of getting a
false signal of a special cause on any individual subgroup increases
as more data are reviewed.

While it is wise to investigate all signals as possible evidence of

special causes, it should be recognized that they may have been
caused by the system and that there may be no underlying local
process problem. If no clear evidence of a special cause is found,
any "corrective" action will probably serve to increase, rather than
decrease, the total variability in the process output.

For further discussion of interpretation, tests for randomness in data,

and problem-solving, see AT&T (1984), Duncan (1986), Grant and
Leavenworth (1996), Juran and Godfrey (1999), Charbonneau and
Gordon (1978), Ishikawa (1976), Wheeler (1991, 1995), and Ott
(2000).

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Control Charting Process

Figure II.7: Extend Control Limits for Ongoing Control

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 CHAPTER II – Section A
Control Charting Process

Extend Control Limits for Ongoing Control

When the initial (or historical) data are consistently contained

within the trial control limits, extend the limits to cover future
periods. It might be desirable here to adjust the process to the
target if the process center is off target. These limits would be
used for ongoing monitoring of the process, with the operator
and local supervision responding to signs of out-of-control
conditions on either the location and variation or R chart
with prompt action (see Figure 11.7).

A change in the subgroup sample size would affect the expected

average range and the control limits for both ranges and averages.
This situation could occur, for instance, if it were decided to take
smaller samples more frequently, so as to detect large process shifts
more quickly without increasing the total number of pieces sampled
per day. To adjust central lines and control limits for a new
subgroup sample size, the following steps should be taken:
• Estimate the process standard deviation ( the estimate is
shown as ").19 Using the existing subgroup
size calculate: where is the average of the
subgroup ranges ( for periods with the ranges in control )
and d2 is a constant t varying by sample size n, the number
of samples in a subgroup, as shown in the
partial table below, taken from Appendix E:

n 2 3 4 5 6 7 8 9 10

d2 1.13 1.69 2.06 2.33 2.53 2.70 2.85 2.97 3.08

• Using the table factors based on the new subgroup size,

calculate the new range and control limits:

Plot these new control limits on the chart as the basis for ongoing
process control. As long as the process remains in control for both
averages and ranges, the ongoing limits can be extended for
additional periods. If, however, there is evidence that the process
average or range has changed (in either direction), the cause should
be determined and, if the change is justifiable, control limits should
be recalculated based on current performance.

19
This manual will distinguish between the estimated standard deviation due to the within-subgroup
variation and the total variation by using the subscripts "C" and "P", respectively.
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Control Charting Process

Final Concepts on "Control" - For Further

Consideration
"A perfect state of control is never attainable in a production process.
The goal of the process control charts is not perfection, but a
reasonable and economical state of control. For practical purposes,
therefore, a controlled process is not one where the chart never goes
out of control. If a chart never went out of control we would seriously
question whether that operation should be charted. For shop purposes
a controlled process is considered to be one where only a small
percentage of the points go out of control and where out-of-control
points are followed by proper action 20." See also Figure 11.8.

Obviously, there are different levels or degrees of statistical control.

The definition of control used can range from mere outliers (beyond
the control limits), through runs, trends and stratification, to full zone
analysis. As the definition of control used advances to full zone
analysis, the likelihood of finding lack of control increases (for
example, a process with no outliers may demonstrate lack of control
through an obvious run still within the control limits). For this
reason, the definition of control used should be consistent with your
ability to detect this at the point of control and should remain the
same within one time period, within one process. Some suppliers may
not be able to apply the fuller definitions of control on the floor on a
real-time basis due to immature stages of operator training or lack of
sophistication in the operator's ability. The ability to detect lack of
control at the point of control on a real-time basis is an advantage of
the control chart. Over-interpretation of the data can be a danger in
maintaining a true state of economical control.

20
AT&T (1984)

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Control Charting Process

Figure II.8: Process Variation Relative to Specification Limits

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Control Charting Process

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 CHAPTER II – Section B
Defining “Out of Control ” Signals

CHAPTER II - Section B
Defining "Out-of-Control" Signals
Point Beyond a Control
Limit.

The presence of one or more points beyond either control limit is

primary evidence of special cause variation at that point. This special
cause could have occurred prior to this point.
Since points beyond the control limits would be rare if only variation
from common causes were present, the presumption is that a special
cause has accounted for the extreme value. Therefore, any point
beyond a control limit is a signal for analysis of the operation for the
special cause. Mark any data points that are beyond the control limits
for investigation and corrective action based on when that special
cause actually started.
A point outside a control limit is generally a sign of one or more of
the following:

• The control limit or plot point has been miscalculated or

misplotted.
• The piece-to-piece variability or the spread of the distribution has
increased (i.e., worsened), either at that one point in time or as
part of a trend.
• The measurement system has changed (e.g., a different appraiser
or instrument).
• The measurement system lacks appropriate discrimination.

For charts dealing with the spread, a point below the lower control
limit is generally a sign of one or more of the following:

• The control limit or plot point is in error.

• The spread of the distribution has decreased (i.e., becomes better).

• The measurement system has changed (including possible editing

or alteration of the data).
A point beyond either control limit is generally a sign that the
process has shifted either at that one point or as part of a trend (see
Figure II.9).

When the ranges are in statistical control, the process spread – the
within-subgroup variation is considered to be stable. The averages
can then be analyzed to see if the process location is changing over
time.

Since control limits for are based upon the amount of variation in
the ranges, then if the averages are in statistical control, their
variation is related to the amount of variation seen in the ranges -the-

69
 CHAPTER II – Section B
Defining “Out of Control ” Signals

common-cause variation of the system. If the averages are not in

control, some special causes of variation are making the process
location unstable.

Figure II.9: Points Beyond Control Limits

Patterns or Trends Within

the Control Limits
The presence of unusual patterns or trends, even when all ranges are
within the control limits, can be evidence of the influence of a special
cause during the period of the pattern or trend. This could give the
first warning of an unfavorable condition which should be corrected.
Conversely, certain patterns or trends could be favorable and should
be studied for possible permanent improvement of the process.
Comparison of patterns between the range and average charts may
give added insight.
There are situations where an "out-of-control pattern" may be a bad
event for one process and a good event for another process. An
example of this is that in an and R chart a series of 7 or more points
on one side of the centerline may indicate an out-of-control situation.
If this happened in a p chart, the process may actually be improving
if the series is below the average line (less nonconformances are
being produced). So in this case the series is a good thing — if we
identify and retain the cause.

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 CHAPTER II – Section B
Defining “Out of Control ” Signals

Runs
Runs — Each of the following are signs that a process shift or trend
has begun:
• 7 points in a row on one side of the or .
• 7 points in a row that are consistently increasing (equal to or
greater than the preceding points), or consistently decreasing.
Mark the point that prompts the decision; it may be helpful to extend
a reference line back to the beginning of the run. Analysis should
consider the approximate time at which it appears that the trend or
shift first began.

Figure 11.10: Runs in an Average Control Chart

A run above the average range, or a run up, signifies one or both of
the following:
9 Greater spread in the output values, which could be from
an irregular cause (such as equipment malfunction or loose
fixturing) or from a shift in one of the process elements
(e.g., a new, less uniform raw material lot).
9 A change in the measurement system (e.g., new inspector
or gage).

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CHAPTER II – Section B
Defining “Out of Control ” Signals

Figure II.11: Runs in a Range Control Chart

A run below the average range, or a run down, signifies one or both
of the following:
9 Smaller spread in output values, which is usually a good
condition that should be studied for wider application and
process improvement.
9 A change in the measurement system, which could mask
real performance changes.

NOTE: As the subgroup size (n) becomes smaller (5 or less), the

likelihood of runs below R increases, so a run length of 8 or more
could be necessary to signal a decrease in process variability.

A run relative to the process average is generally a sign of one or

both of the following:
9 The process average has changed — and may still be
changing.
9 The measurement system has changed (drift, bias,
sensitivity, etc.).

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 CHAPTER II – Section B
Defining “Out of Control ” Signals

Obvious Nonrandom Patterns

In addition to the presence of points beyond control limits or long
runs, other distinct patterns may appear in the data that give clues
to special causes. Care should be taken not to over-interpret the
data, since even random (i.e., common cause) data can sometimes
give the illusion of nonrandomness (i.e., special causes). Examples
of nonrandom patterns could be obvious trends (even though they
did not satisfy the runs tests), cycles, the overall spread of data
points within the control limits, or even relationships among values
within subgroups (e.g., the first reading might always be the
highest). One test for the overall spread of subgroup data points is
described below.

Distance of points from : Generally, about 2/3 of the

plotted Points should lie within the middle third of the
region between the control limits; about 1/3 of the points should be
in the outer two-thirds of the region. If substantially more than 2/3

of the plotted points lie close to investigate one or more

of the following:
• The control limits or plot points have been miscalculated or
misplotted.
• The process or the sampling method is stratified; each
subgroup systematically contains measurements from two or
more process streams that have very different process
averages (e.g., one piece from each of several spindles).
• The data have been edited (subgroups with ranges that
deviated much from the average have been altered or
removed).

If substantially fewer than 2/3 of the plotted points lie close to

(for 25 subgroups if 40% or fewer are in the middle third),
investigate one or both of the following:

• The control limits or plot points have been miscalculated or

misplotted.
• The process or the sampling method causes successive
subgroups to contain measurements from two or more process
streams that have dramatically different variability (e.g., mixed
lots of input materials).

If several process streams are present, they should be identified and

tracked separately (see also Appendix A). Figure II.12 shows a
nonrandom pattern for the R chart.

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CHAPTER II – Section B
Defining “Out of Control ” Signals

Figure II.12: Nonrandom Patterns in a Control Chart

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 CHAPTER II – Section B
Defining “Out of Control ” Signals

Special Cause Criteria

There are several criteria for identifying special causes (see table
below and AT&T (1984)). The most commonly used are discussed
above. The decision as to which criteria to use depends on the
process being studied/controlled.

Summary of Typical Special Cause Criteria

1 1 point more than 3 standard deviations 21 from centerline
2 7 points in a row on same side of centerline
3 6 points in a row, all increasing or all decreasing
4 14 points in a row, alternating up and down
5 2 out of 3 points > 2 standard deviations from centerline (same side)
6 4 out of 5 points > 1 standard deviation from centerline (same side)
7 15 points in a row within 1 standard deviation of centerline (either side)
8 8 points in a row > 1 standard deviation from centerline (either side)
Table II.1

Note 1: Except for the first criterion, the numbers associated with the
criteria do not establish an order or priority of use. Determination of
which of the additional criteria to use depends on the specific
process characteristics and special causes which are dominant
within the process.

Note 2: Care should be given not to apply multiple criteria except in

those cases where it makes sense. The application of each
additional criterion increases the sensitivity of finding a special
cause but also increases the chance of a Type I error.

In reviewing the above, it should be noted that not all these

considerations for interpretation of control can be applied on the
production floor. There is simply too much for the appraiser to
remember and utilizing the advantages of a computer is often not
feasible on the production floor. So, much of this more detailed
analysis may need to be done offline rather than in real time. This
supports the need for the process event log and for appropriate
thoughtful analysis to be done after the fact.

Another consideration is in the training of operators. Application of

the additional control criteria should be used on the production floor
when applicable, but not until the operator is ready for it; both with
the appropriate training and tools. With time and experience the
Operator will recognize these patterns in real time.

21
In this table, “standard deviation” refers to the standard deviation used in the calculations of the
control limits.
75
CHAPTER II – Section B
Defining “Out of Control ” Signals

Average Run Length (ARL)

Chapter I stated that decisions made based on charts should
balance the risks of Type I errors (over-control, false alarms) to
Type II errors (under-control). A measure of this balance is the
Average Run Length ( ARL).

The Average Run Length is the number of sample subgroups

expected between out-of-control signals. The in-control
Average Run Length (ARLO ) is the expected number of
subgroup samples between false alarms.

The ARL is dependent on how out-of-control signals are

defined, the true target value's deviation from the estimate, and
the true variation relative to the estimate.
Below is a table of approximate ARL's for the standard
Shewhart control chart with exceeding the control
limits as the only out-of-control signal.

ARL

0 370.4
0.1 352.9
0.2 308.4
0.3 253.1
0.5 155.2
1.0 43.9
1.5 15.0
2.0 6.3
3.0 2.0
4.0 1.2

This table indicates that a mean shift of 1.5 standard deviations

(of the mean) would be signaled (on average) by the 15 th
subgroup after the shift. A shift of 4 standard deviations would
be identified within 2 subgroups.

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 CHAPTER II – Section B
Defining “Out of Control ” Signals

This table also shows that a false signal may be indicated for a
process without a shift (i.e., the process remains in statistical control)
every 370 subgroups (on average).

Since , the practical magnitude of the shifts can be reduced

by increasing the number of items in each subgroup. Larger
subgroups reduce the size of and tighten the control limits
around .

Alternatively, the ARL's can be reduced by adding more out-of-

control criteria. Other signals such as runs tests and patterns analysis
along with the control limits will reduce the size of the A R L ' s .

The following table is approximate ARL 's for the same chart adding
the runs test of 7-points in a row on one side of .

Shift in Target
ARL

0 59.8
0.1 53.9
0.2 41.8
0.3 30.8
0.5 17.9
1.0 8.7
1.5 6.9
2.0 6.1
3.0 2.0
4.0 1.2

As can be seen, adding the one extra out-of-control criterion

significantly reduces the ARLs for small shifts in the mean, a
decrease in the risk of a
Type II error. Note that the zero-shift (the in-control) ARL is also
reduced significantly. This is an increase in the risk of a Type I error
or false alarm.
This balance between wanting a long ARL when the process is in
control versus a short ARL when there is a process change has led to
the development of other charting methods. Some of those methods
are briefly described in Chapter III.

77
CHAPTER II – Section C
Control Chart Formulas:

Figure II.13: Average and Range Charts

78
 CHAPTER II – Section C
Control Chart Formulas:

CHAPTER II - Section C
Control Chart Formulas

Control chart constants for all control charts discussed in this

section are listed in Appendix E.

Variables Control Charts

Average and Range Charts

Subgroup Average:

n = number of samples in a subgroup

Subgroup Range:

(within each subgroup)

Grand Average:

k = number of subgroups used to determine the

Grand Average and Average Range
Average Range:

Estimate of the Standard Deviation of X :

Estimate of the Standard Deviation of X :

79
CHAPTER II – Section C
Control Chart Formulas:

Chart Features:
Centerline Control Limits

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 CHAPTER II – Section C
Control Chart Formulas:

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81
CHAPTER II – Section C
Control Chart Formulas:

Figure II.14: Average and Standard Deviation Charts

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 CHAPTER II – Section C
Control Chart Formulas:

Average and Standard Deviation Charts

Subgroup Average:

n = number of samples in a subgroup

Subgroup Standard Deviation (Within-subgroup Variation):

Grand Average:

K= number of subgroups used to Determine

the Grand Average And Average
Standard Deviation

22
Average Standard Deviation:

Estimate of the Standard Deviation of X :

Estimate of the Standard Deviation of :

Chart Features:
Centerline Control Limits

22
Also known as the pooled standard deviation.

83
CHAPTER II – Section C
Control Chart Formulas:

Figure II.15: Median and Range Charts

84
 CHAPTER II – Section C
Control Chart Formulas:

Median and Range Charts

Sample Value: xi, i = 1...n (sample size)

Subgroup Median:

X(o) is the value of the 0 th element in the sample

when the data are arranged in ascending order

if n is odd

if n is even

n = number of elements in a subgroup

k = number of subgroups used to determine the
Average Median and Average Range

Subgroup Range:

(within each subgroup)

Average Median:

Average Range:

Estimate of the Standard Deviation of X :

Chart Features: 23
Centerline Control Limits

23
This approach to the Median Chart uses averages in the calculation of the centerline and control
limits. There are other approaches in the literature which do not use averages.

85
CHAPTER II – Section C
Control Chart Formulas:

Figure II.16: Individual and Moving Range Charts

86
 CHAPTER II – Section C
Control Chart Formulas:

Individuals and Moving Range Charts (X, MR)

Individual Value: xi, i =1,..., k individual values :

Average of Individual Values:

Moving Range:

(Range between current value and previous value.)

Average Moving Range:

Estimate of the Standard Deviation of X :

Chart Features:
Centerline Control Limits

Because moving ranges are involved, the points being plotted on the
range chart are correlated. Therefore, valid signals occur only in the
form of points beyond the control limits. Other rules used to evaluate
the data for non-random patterns ( see Chapter II, Section B ) are
not reliable indicators of out-of-control conditions.

87
CHAPTER II – Section C
Control Chart Formulas:

Figure II.17: Proportion Nonconforming Chart

88
 CHAPTER II – Section C
Control Chart Formulas:

Attributes Control Charts

Control Charts for Nonconforming Items 24

Attributes charts are part of probability based charts discussed in
Chapter III. These control charts use categorical data and the
probabilities related to the categories to identify the presences of
special causes. The analysis of categorical data by these charts
generally utilizes the binomial, or poisson distribution approximated
by the normal form.

Traditionally attributes charts are used to track unacceptable parts by

identifying nonconforming items and nonconformities within an
item. There is nothing intrinsic in attributes charts that restricts them
to be solely used in charting nonconforming items. They can also be
used for tracking positive events. However, we will follow tradition
and refer to these as nonconformances and nonconformities.

Proportion Nonconforming (p Chart)

Guideline:
Since the control limits are based on a normal approximation,
the sample size used should be such that ≥5.

Individual Value

ni = number of parts inspected;

npi = number of nonconforming items found

Average of Individual Values

where k = number of subgroups

if all the ni’s are equal

24
An alternative to these charts is the Individuals and Moving Range Chart (see Wheeler (1995)).

89
CHAPTER II – Section C
Control Chart Formulas:

Chart Features:
Centerline Control Limits

If the sample size is constant (n)

Control Limits

Constant control limits when the sample size varies

(for situations where ≥ 0.75 )

Control Limits

( = average sample size)

( = average sample size)

Example Uses:
• Accept/Reject Decisions with constant or variable subgroup
size
9 First Time Quality (FTQ) results 25
9 Proportion nonconforming
9 Proportion conforming 26
9 Proportion of items above (or below) a threshold value
• Judgment Decisions
9 Proportion of items within a specified category
9 Proportion of items above (or below) a threshold value
Proportion Uptime (equipment)

25
This is alternatively known as FTC (First Time Capability) and RTY (Rolled Throughput Yield).
26
This chart is sometimes called a q-chart; this is based on the practice of calculating the parameter
q=1-p.
90