Control Charts3

Control Charts
UCL
Statistics
UWL
Target
LWL
LCL
Sample Number
1. Introduction
Introduction
Quality control charts, are graphs on which the quality
of the product is plotted as manufacturing or servicing
is actually proceeding.
By enabling corrective actions to be taken at the
earliest possible moment and avoiding unnecessary
corrections, the charts help to ensure the manufacture
of uniform product or providing consistent services
which complies with the specification.
History of Control Chart
Mr. Shewart, an American, has been credited with

the invention of control charts for variable and
attribute data in the 1920s, at the Bell Telephone
Industries.
The term Shewart Control Charts is in common use.
Dynamic Picture of Process
Plotting graph, charting and presenting the data as a

picture is common to process control method, used
throughout the manufacturing and service industries.
Converting data into a picture is a vital step towards
greater and quicker understanding of the process.
Confidence While Control

Charting
Control charting enables everyone to make
decision and to know the degree of confidence
with which the decisions are made. There may be
some margin of error. No technique, even 100%
automated inspection, can guarantee the validity
of the result; there is always some room to doubt.
Control Charts
Statistically based control chart is a device intended to
be used
- at the point of operation
- by the operator of that process
- to asses the current situation
- by taking sample and plotting sample result
To enable the operator to decide about the
process.
What Control Chart Does?
It graphically, represents the output of the process.

And
Uses statistical limits and patterns of plot, for
decision making
Analogy to Traffic Signal

A control chart is like a traffic signal, the
operation of which is based on evidence from
samples taken at random intervals.
A green signal - Process be allowed to
continue without adjustment
A yellow signal - Wait and watch
trouble is possible
A red signal
- Process has wandered
Investigate and adjust
Analogy to Traffic Signal
Stop
Investigate/Adjust
Wait and Watch
Go
No action on Process
Decision About The Process
Go
To let the process continue to run without any
adjustment.
This means only common causes are

present.
Decision About the Process
Wait and watch

Be careful and seek for more information
This is the case where presence of

trouble is possible
Decision About the Process

Stop
Take action ( Investigate/Adjust )
This means that there is practically no doubt a
special cause has crept in the system. Process
has wandered and corrective actions must be
taken, otherwise defective items will be
produced.
2. Why control charts
Why Control Chart?
To ensure
that the output of the process is-
Normal
Whether Output is Normal?

Both histogram and control chart can tell us
whether the output is normal? However,
Histogram views the process as history ,
as the entire output together.
Control chart views the process in real time,
at different time intervals as the process
progresses.
Frequency
Histogram a History of Process

Output
16
14
12
10
8
6
4
2
0
47
48 49 50 51 52 53 54
kg
Control Chart Views Process in Real Time

Output of the process in real time
Mean
Target
UCLx
Target
LCLx
Range
UCLr
Time Intervals
Why Control Chart?
It helps in finding
is there any change in location

of process mean in real time
Change in Location of Process

Mean
Process with
mean at less
than target
Process with
mean at Target
43 44 45 46 47 48
Process with
mean at more
than target
49 50 51 52
53
Why Control Chart?
It helps in finding
Is there any change in the spread

of the process in real time?
Change in Spread of Process

Spread due
to common causes
Larger spread due

to special causes
43
44
45
46
47
48
49
50
51
52
53
Why Control Chart?

To keep the cost of production minimum
Since the control chart is maintained in real time, and gives us a
signal that some special cause has crept into the system, we can take
timely action. Timely action enables us to prevent manufacturing of
defective. Manufacturing defective items is non value added activity; it
adds to the cost of manufacturing, therefore must be avoided.
By maintaining control chart we avoid 100% inspection, and thus save
cost of verification.
Why Control Chart?

Pre-requisite for process capability studies
Process capability studies, are based on premises

that the process during the study was stable i.e.
only common causes were present. This ensures
that output has normal distribution. The stability of
the process can only be demonstrated by
maintaining control chart during the study.
Why Control Chart?
Decision in regards to production process

Control chart helps in determining whether we should :
- let the process to continue without adjustment
- seek more information
- stop the process for investigation/adjustment.
3. Basic steps for control

charting
Basic Steps for Control Charts

Step No. 1
Identify quality characteristics of product or process

that affects fitness for use.
Maintaining control chart is an expensive activity.
Control charts should be maintained only for critical
quality characteristics. Design of Experiments is one
of the good source to find the critical quality
characteristics of the process.
Step No . 2
Design the sampling plan and decide method of

its measurement.
At this step we decide, how many units will be in
a sample and how frequently the samples will be
taken by the operator.

Step No. 3
Take samples at different intervals and plot statistics

of the sample measurements on control chart.
Mean, range, standard deviation etc are the statistics
of measurements of a sample. On a mean control
chart, we plot the mean of sample and on a range
control chart, we plot the range of the sample.

Step No. 4
Take corrective action - when a signal for significant

change in process characteristic is received.
Here we use OCAP (Out of Control Action Plan) to
investigate, as why a significant change in the
process has occurred and then take corrective action
as suggested in OCAP, to bring the process under
control.
Summary of Control Chart

Techniques
In Control Chart Technique we have
Quality characteristics
Sampling procedure
Plotting of statistics
Corrective action
4. Typical control chart
Elements of Typical Control Chart

1. Horizontal axis for sample number
2. Vertical axis for sample statistics e.g.
mean, range, standard deviation of sample.
3. Target Line
4. Upper control line
5. Upper warning line
6. Lower control line
7. Lower warning line
8. Plotting of sample statistics
9. Line connecting the plotted statistics
Elements of Typical Control Chart

Upper control line
Sample Statistics
Upper warning line
Target
Lower warning line

Lower control line
2
3
4
Sample Number
5. Types of control chart
Types of Control Chart
We have two main types of control charts. One

for variable data and the other for attribute data.
Since now world-wide, the current operating level is number of parts
defective per million parts produced, aptly described as PPM; control charts
for attribute data has no meaning. The reason being that the sample size for
maintaining control chart at the PPM level, is very large, perhaps equal to lot
size, that means 100% inspection.
Most Commonly Used Variable Control

Charts
Following are the most commonly used variable
control charts:
To track the accuracy of the process
- Mean control chart or x-bar chart

To track the precision of the process
- Range control chart
Most Common Type of Control Chart for

Variable Data
For tracking
Accuracy
Mean
control chart
Variable
Control
Chart
For tracking
Precision
Range
control chart
6. Concepts behind control

charts
Understanding effect of
shift of process mean
Case When Process Mean is at

Target
Process
Mean
Target
U
-3s
42
43
44
45
46
+3 s
47
48
49
U-L=6s
50
51
52
Chances of getting a reading beyond U & L is almost nil
53
Case - Small Shift of the Process

Mean
Small shift in process
Process
Mean
Shaded area
shows the
probability of
getting
a reading
beyond U
L
Target
U-L = 6 s
42
43
44
45
46
47
48
49
50
51
Chances of getting a reading outside U is small
52
53
Case - Large Shift of the Process

Mean
Large shift in process
Process
Mean
Target
Shaded area
shows the
probability of
getting
a reading
beyond U
U-L = 6 s
42
43
44
45
46
47
48
49
50
51
Chances of getting a reading outside U is large
52
53
Summary of Effect of Process Shift
When there is no shift in the process nearly all the observations fall
within -3 s and + 3 s.
When there is small shift in the mean of process some observations
fall outside original -3 s and +3 s zone.
Chances of an observation falling outside original -3 s and + 3 s
zone increases with the increase in the shift of process mean.
Our Conclusion from Normal Distribution
When an observation falls within original +3 s and -3 s

zone of mean of a process, we conclude that there is no
shift in the mean of process. This is so because falling
of an observation between these limits is a chance.
When an observation falls beyond original +3 s and -3
s zone of process mean, we conclude that there is shift
in location of the process
7. Distribution of
population
vs
Distribution of mean
Distribution of Mean of Samples
Since on the control charts for accuracy we

plot and watch the trend of the means and
ranges of the samples, it is necessary that
we should understand the behaviour of
distribution of mean of samples.
Distribution of Averages of Samples
Suppose we have a lot of 1000 tablets, and let us say, weight of the
tablets follows a normal distribution having a standard deviation, s.
Let us take a sample of n tablets. Calculate mean of the sample and
record it. Continue this exercise of taking samples, calculating the
mean of samples and recording, 1000 times.
The mean of samples shall have normal distribution with standard
deviation, Sm = (s n). Distribution of population and means of
sample shall have same means.
Distribution - Population Vs Sample

Means
Distribution of
means of samples
[standard deviation = (s n)]
Distribution of population
(standard deviation = s
43
44
45
46
47
48
49
Quality Characteristics
50
51
52
53
Control and Warning Limits for Mean

Control Chart
If we know the standard deviation of the population, say
sand the number of units in a sample, say n; then the
control and warning limits are calculated as follows:
If desired target of the process is T, then
Upper control limit, UCL = T + 3 (s n)
Upper warning limit. UWL = T + 2 (s n)
Lower control limit, LCL = T - 3 (s n)
Lower warning limit, LWL = T - 2 (s n)
Control Limits for Mean Control

Chart
Distribution of mean of samples
UCL
UWL
3 (s n)
2 (s n)
Target
2 (s n)
3 (s n)
LWL
LCL
Sample Number
8. Establishing Control
Charts
Establishing Control Chart

Step No.1
Select quality characteristics which needs to
be controlled
- Weight
- Length
- Viscosity
- Tensile Strength
- Capacitance

Step No.2
Decide the number of units, n to be taken in a
sample.
The minimum sample size should be 2. As the sample size increases then the
sensitivity i.e. the quickness with which the chart gives an indication of shift of the
process increases. However, with the increase of the sample size cost of
inspection also increases.
Generally, n can be 4 or 5.

Step No. 3
Decide the frequency of picking up of sample
If the shift in the process average causes more
loss, then take smaller samples more frequently.
If the cost of inspection is high then take smaller
samples at large interval.
As and general guidance, for deciding the frequency of taking a

sample, we can use the table given in the next slide.
If our lot size in a shift is say 3000, then in a shift we require 50 units.
If the sample size n, is say 4 then
Number of visits to the process is = 504 = 12
The time of an 8-hour shift, be divided in 12 equal parts. Samples
should be taken round about every 45 minutes.

Lot Size
Total Number of items
66 - 100
10
101 - 180
15
181 - 300
25
301 - 500
30
501 - 800
35
801 - 1300
40
1301 - 3200
50
3201 - 8000
60

Step No. 4
Collect data on a special control chart data

collection sheet. ( Minimum 100 observations)
The data collection sheet has following main portions:
1. General details for part, department etc.
2. Columns for date and time sample taken
3. Columns for measurements of sample
4. Column for mean of sample
5. Column for range of sample
Typical Data Collection Sheet
Part
SN
Operation
Date
Measurement
Time
X1
1
2
3
..
25
Other Details
X2
X3
X4
Mean Range

Step No. 5
Fill up the control chart data sheet

1) As per the plan, visit the process and
collect a sample of required number of units.
2) Measure the units and record.
3) Take requisite number of samples ( 20-25).
4) Calculate the mean of each of the sample.
5) Calculate the range of each of the sample.
9. Establishing Trial Control Limits
Example - Establishing Trial Control

Limits
A supervisor decided to put his process under

statistical control. For the purpose of establishing
control chart he collected 10 samples (Normally it
should be 20 samples) containing 5 units. The
samples were measured and the same is shown in
the next slide. The desired target of the process, T is
50. Establish control chart for monitoring the process.
Example - Data Collection

Subgroup Reading
Subgroup
No.
X1
X2
X3
X4
X5
47
45
48
52
51
48
52
47
50
50
49
48
52
50
49
49
50
52
50
49
51
50
53
50
48
50
50
49
51
47
51
48
50
50
54
50
48
50
50
52
48
48
49
50
51
10
49
50
50
52
51
Mean of
subgroup
Range of
subgroup
Example - Calculation of Subgroup

No.1
Measurements are 47, 45, 48, 52 & 51
Mean of measurements of subgroup No. 1

= (47 + 45 + 48 + 52 + 51)/5 = 48.6
Range of measurements of subgroup No. 1
= ( largest reading - smallest reading )
= ( 52 - 45 )
=7
Example - Calculation of subgroup

Mean & Range
Subgroup Reading
Subgroup
No.
X5
Mean of
subgroup
Range of
subgroup
X1
X2
X3
X4
47
45
48
52
51
48.6
48
52
47
50
50
49.4
49
48
52
50
49
49.6
49
50
52
50
49
50.0
51
50
53
50
48
50.4
50
50
49
51
47
49.4
51
48
50
50
54
50.6
50
48
50
50
52
50.0
48
48
49
50
51
49.2
10
49
50
50
52
51
50.2
Establishing
Control Chart
Step
No. 6
Calculate Mean Range, R
R=
Sum of ranges of subgroups

Total number of subgroups
In our case
R=
(7 + 5 +4 3 + 5 + 4 + 6 + 4 + 3 + 3 )
Total number of subgroups

Step No. 7
Using following table of constants find trial control limit for mean
and range control chart
Sub Group
Size
A2
D4
D3
1.880
3.267
1.023
2.527
0.729
2.282
0.577
2.115
0.483
2.004
0.419
1.924
0.076

Step No. 8
Calculate Trial control Limits with target value, T
Trial control limits for mean control chart
Upper Control Limit, UCLx = T + A2 x R
Lower Control Limit, LCLx = T - A2 x R
Trial control limits for range control chart
Upper Control Limit, UCLr = D4 x R
Lower Control Limit, LCLr = D3 x R
Calculation of Trial Control

Limits
Size of Subgroup, n = 5
Factor A2, when n is 5 = 0.577
Factor D4, when n is 5 = 2.115
Factor D3, when n is 5 = 0
Target value, T = 50
Mean Range, R = 4.4

Step No. 8
Trial control Limits in our case

For mean control chart
Upper Control Limit, UCLx = 50 + 0.577 x 4.4=52.5
Lower Control Limit, LCLx = 50 - 0.577 x 4.4=47.5
For range control chart
Upper Control Limit, UCLr = 2.115 x 4.4 = 9.3
Lower Control Limit, LCLr = 0 x 4.4 = 0
Step No. 9
Discard the outliers

Outliers are those observations which do not belong
to normal population. If Outliers are included in the
calculation, then the information is distorted.
Checking for Outliers

Checking for mean outliers
Scan column of sample means. If any mean
of sample is more than UCLx or less than
LCLx then drop that sample.
Checking for range outliers
Scan column of sample range. If any range is
more than UCLr then drop that sample.

If any sample(s) is dropped then recalculate the trial
control limits using remaining sample(s).
Continue this exercise till there is no further
droppings. When there is no further dropping trial
control limits becomes control limits for control chart.
In all we can drop up to 25% of the samples

In our case
- None of the subgroup mean is more than 52.5
- None of the subgroup mean is less than 47.5
- None of the range is more than 9.3
- None of the range is less than 0
Hence there is no revision of trial control limits is required.
These limits can be used for maintaining the control charts.
Calculation of Control Limits for Mean

Step No. 10
Control Chart
Compute warning limits for mean control chart
Upper warning limit, UWLx = T +
Lower warning limit, LWLx = T -
2 x A2 x R
3
2 x A2 x R
3
Calculation of Control Limits for Mean

Control limits
Chartfor mean control chart in our
Warning
example
Uwlx = 50 +
2 x 0.577 x 4.4
3
= 51.7
Lwlx = 50 -
2 x 0.577 x 4.4
3
= 48.3
Action and Warning Limits for Mean

Control chart
UCLx
UWLx
Mean
Target
LWLx
LCLx
2
3
4
5
Sample Number
Action and Warning Limits for Mean Control

Chart for Example
UCLx=52.5
UWLx=51.7
Mean
Target=50
LWLx=48.3
LCLx= 47.5
2
3
4
5
Sample Number
Constants for Range Control chart

Sample
size, n
D4
D3
DWLR
DWUR
3.27
0.04
2.81
2.57
0.18
2.17
2.28
0.29
1.93
2.11
0.37
1.81
2.00
0.42
1.72
1.92
0.08
0.46
1.66
Calculation of Control Limits for Range

Control Chart
Step No. 11
Compute warning limits for range control

chart
Upper Warning Limit, UWLr = DWUR x R
Lower Warning Limit, LWLr = DWLR x R
Action and Warning Limits for

Control Chart
UCLx
UWLx
Mean
Target
LWLx
Range
LCLx
UCLr
UWLr
R
LWLr
2
3
4
5
Sample Number
Calculation of Warning Limits for Range

Control Chart
In our case
Size of sub group, n = 5
Mean range R = 4.4
DWUR when n is 5 = 1.81
DWLR when n is 5 = 0.37
Calculation of Warning Limits for Range

Control Chart
In our case warning limits for range control

chart
Upper Warning Limit, UWLr = DWUR x R
= 1.81 x 4.4
=8
Lower Warning Limit, LWLr = DWLR x R
= 0.37 x 4.4
= 1.6
Action and Warning Limits for Control

Chart
UCLx = 52.5
Mean
UWLx = 51.7
Target = 50
LWLx = 48.3
LCLx = 47.5
UCLr = 9.3
Range
UWLr = 8
R = 4.4
LWLr = 1.6
2
3
4
5
Sample Number
Flow Chart for Establishing Control Chart

Start
Decide subgroup size
Record observations
Find mean and range of

each subgroup
Calculate mean range, R
Flow Chart for Establishing Control

Chart
UCLx = T + A2 x R
LCLx = T - A2 x R
UCLr = D4 x R
LCLr = D3 x R
Is any
sub-group mean or range
out side the control
limit ?
No
Yes
Drop that
Group
Flow Chart for Control Chart
Select suitable scale for

mean control chart and
range control chart
Draw Lines for

Target, UCL, UWL, LCL & LWL for mean
Mean range, UCL , UWL, LCL & LWL for range
Stop
10. Interpreting control

charts
Interpreting Control
Chart
The control chart gets divided in three zones.

Zone - 1 If the plotted point falls in this zone, do not make any
adjustment, continue with the process.
Zone - 2 If the plotted point falls in this zone then special cause may be
present. Be careful watch for plotting of another sample(s).
Zone - 3 If the plotted point falls in this zone then special cause has
crept into the system, and corrective action is required.
Zones for Mean Control Chart

Action
Sample Mean
Zone - 3
UCL
UWL
Zone - 2
Warning
Zone - 1
Continue
Target
Zone - 1
Continue
Zone - 2
Warning
Zone - 3
Action
LWL
LCL
Sample Number
Interpreting Control Chart

Because the basis for control chart theory follows the normal
distribution, the same rules that governs the normal distribution are
used to interpret the control charts. These rules include:
- Randomness.
- Symmetry about the centre of the distribution.
- 99.73% of the population lies between - 3 s of and + 3 s the
centre line.
- 95.4% population lies between -2 s and + 2 s of the centre line.
If the process output follows these rules, the

process is said to be stable or in control with only
common causes of variation present. If it fails to
follow these rules, it may be out of control with
special causes of variation present. These
special causes must be found and corrected.

A single point above or below the control limits.
Probability of a point falling outside the control limit is
less than 0.14%. This pattern may indicate:
- a special cause of variation from a material,
equipment, method, operator etc.
- mismeasurement of a part or parts.
- miscalculated or misplotted data point.

One point outside
control limit
Statistics
UCL
UWL
Target
LWL
LCL
3
4
5
Sample Number

Seven consecutive points are falling on one side of the centre
line.
Probability of a point falling above or below the centre line is
50-50. The probability of seven consecutive points falling on
one side of the centre line is 0.78% ( 1 in 128)
This pattern indicates a shift in the process output from
changes in the equipment, methods, or material or shift in the
measurement system.

Seven consecutive points on one
side of the centre line
Statistics
UCL
UWL
Target
LWL
LCL
3
4
5
Sample Number
Two consecutive points fall between warning limit and

corresponding control limit.
In a normal distribution, the probability of two consecutive
points falling between warning limit and corresponding control
limit is 0.05%
(1 in 2000).
This could be due to large shift in the process, equipment,
material, method or
measurement system.

Two consecutive points between warning limit and
corresponding control limit
Statistics
UCL
UWL
Target
LWL
LCL
3
4
5
Sample Number

Two points out of three consecutive points fall between
warning limit and corresponding control limit.
This could be due to large shift in the process,
equipment, material, method or measurement system.

Two points out of three consecutive points
between warning limit and corresponding
control limit
Statistics
UCL
UWL
Target
LWL
LCL
3
4
5
Sample Number

A trend of seven points in a row upward or
downward demonstrates nonrandomness.
This happens when
- Gradual deterioration or wear in
equipment.
- Improvement or deterioration in
technique.
- Operator fatigue.

Seven consecutive points having
upward trend
Statistics
UCL
UWL
Target
LWL
LCL
3
4
5
Sample Number

Seven consecutive points having
downward trend
Statistics
UCL
UWL
Target
LWL
LCL
Sample Number

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Control Charts

History of Control Chart

Mr. Shewart, an American, has been credited with

Dynamic Picture of Process

Plotting graph, charting and presenting the data as a

Confidence While Control

What Control Chart Does?

It graphically, represents the output of the process.

Analogy to Traffic Signal

Analogy to Traffic Signal

Wait and Watch

Decision About The Process

This means only common causes are

Decision About the Process

Wait and watch

This is the case where presence of

Decision About the Process

2. Why control charts

Why Control Chart?

that the output of the process is-

Whether Output is Normal?

Histogram a History of Process

Control Chart Views Process in Real Time

Why Control Chart?

is there any change in location

Change in Location of Process

Why Control Chart?

Is there any change in the spread

Change in Spread of Process

Larger spread due

Why Control Chart?

Why Control Chart?

Process capability studies, are based on premises

Why Control Chart?

Decision in regards to production process

3. Basic steps for control

Basic Steps for Control Charts

Identify quality characteristics of product or process

Basic Steps for Control Charts

Design the sampling plan and decide method of

Basic Steps for Control Charts

Take samples at different intervals and plot statistics

Basic Steps for Control Charts

Take corrective action - when a signal for significant

Summary of Control Chart

4. Typical control chart

Elements of Typical Control Chart

Elements of Typical Control Chart

Upper warning line

Lower warning line

5. Types of control chart

Types of Control Chart

We have two main types of control charts. One

Most Commonly Used Variable Control

- Mean control chart or x-bar chart

- Range control chart

Most Common Type of Control Chart for

6. Concepts behind control

Case When Process Mean is at