INDU 6331
ADVANCED QUALITY CONTROL
1
Lecture 4: Methods and philosophy of
statistical process control
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Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 3
Copyright (c) 2012 John Wiley & Sons, Inc.
Statistical process control (SPC) is a powerful
collection of problem-solving tools useful in achieving
process stability and improving capability through the
reduction of variability.
SPC is one of the greatest technological developments of
the twentieth century because it is based on sound
underlying principles, is easy to use, has significant
impact, and can be applied to any process.
Its seven major tools are:
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 4
Copyright (c) 2012 John Wiley & Sons, Inc.
Basic SPC Tools
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 5
Copyright (c) 2012 John Wiley & Sons, Inc.
• Although these tools, often called “the magnificent seven,” are an
important part of SPC, they comprise only its technical aspects.
• The proper deployment of SPC helps create an environment in which all
individuals in an organization seek continuous improvement in quality
and productivity. This environment is best developed when management
becomes involved in the process. Once this environment is established,
routine application of the magnificent seven becomes part of the usual
manner of doing business, and the organization is well on its way to
achieving its quality improvement objectives.
• Of the seven tools, the Shewhart control chart is probably the most
technically sophisticated. It was developed in the 1920s by Walter A.
Shewhart of the Bell Telephone Laboratories. To understand the statistical
concepts that form the basis of SPC, we must first describe Shewhart’s
theory of variability:
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 6
Copyright (c) 2012 John Wiley & Sons, Inc.
In any production process, regardless of how well designed or
carefully maintained it is, a certain amount of inherent or natural
variability will always exist. This natural variability or
“background noise” is the cumulative effect of many small,
essentially unavoidable causes. In the framework of statistical
quality control, this natural variability is often called a “stable
system of chance causes.”
A process that is operating with only chance causes of variation
present is said to be in statistical control. In other words, the
chance causes are an inherent part of the process.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 7
Copyright (c) 2012 John Wiley & Sons, Inc.
Other kinds of variability may occasionally be present in the output
of a process. This variability in key quality characteristics usually
arises from three sources:
– improperly adjusted or controlled machines,
– operator errors, or
– defective raw material.
• Such variability is generally large when compared to the
background noise, and usually represents an unacceptable level of
process performance.
• We refer to these sources of variability that are not part of the
chance cause pattern as assignable causes of variation.
• A process that is operating in the presence of assignable causes is
said to be an out-of-control process.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 8
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5.2 Chance and Assignable Causes of Variation
• A process is operating with only chance causes of variation present is said to
be in statistical control.
• A process that is operating in the presence of assignable causes is said to be
out of control.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 9
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A major objective of statistical process control is to quickly detect the
occurrence of assignable causes of process shifts so that
investigation of the process and corrective action may be undertaken
before many nonconforming units are manufactured.
The control chart is an on-line process-monitoring technique widely
used for this purpose.
• Control charts may also be used to estimate the parameters of a
production process, and, through this information, to determine
process capability.
• The control chart may also provide information useful in improving
the process.
• The eventual goal of statistical process control is the elimination of
variability in the process. It may not be possible to completely
eliminate variability, but the control chart is an effective tool in
reducing
Chapter 5
variability as much as possible. 10
Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery.
Copyright (c) 2012 John Wiley & Sons, Inc.
5.3 Statistical Basis of the Control Chart
• A control chart contains
– A center line (represents the average
value of the quality characteristic)
– An upper control limit
– A lower control limit
• A point that plots within the control limits
indicates the process is in control
– No action is necessary
• A point that plots outside the control limits is
evidence that the process is out of control
– Investigation and corrective action are
required to find and eliminate assignable
cause(s)
• There is a close connection between control
charts and hypothesis testing
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 11
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Photolithography Example
• Important quality characteristic in hard bake is resist flow width
• Process is monitored by average flow width
– Sample of 5 wafers
– Process mean is 1.5 microns
– Process standard deviation is 0.15 microns
• Note that all plotted points fall inside the control limits
– Process is considered to be in statistical control
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 12
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Determination of the Control Limits
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Shewhart Control Chart Model
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How the Shewhart Control Chart Works
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Out-Of-Control-Action Plans
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 17
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More Basic Principles
• Two general types of control charts
– Variables (Chapter 6)
• Continuous scale of measurement
• Quality characteristic described by central tendency and a
measure of variability
– Attributes (Chapter 7)
• Conforming/nonconforming
• Counts
• Control chart design encompasses selection of
– sample size,
– control limits, and
– sampling frequency
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 18
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Choice of Control Limits
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 19
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Choice of Control Limits
Specifying the control limits is one of the critical decisions that
must be made in designing a control chart.
By moving the control limits farther from the center line, we decrease the
risk of a type I error—that is, the risk of a point falling beyond the control
limits, indicating an out-of-control condition when no assignable cause is
present. (concluding the process is out of control when it is really in
control) .However, widening the control limits will also increase the risk of
a type II error—that is, the risk of a point falling between the control
limits when the process is really out of control.
If we move the control limits closer to the center line, the opposite effect is
obtained: The risk of type I error is increased, while the risk of type II
error is decreased. (concluding the process is in control when it is really
out of control)
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 20
Copyright (c) 2012 John Wiley & Sons, Inc.
Choice of Control Limits
• 3-Sigma Control Limits
– Probability of type I error is 0.0027
• Probability Limits
– Type I error probability is chosen directly
– For example, 0.001 gives 3.09-sigma control limits (from Normal table)
• Warning Limits
– Typically selected as 2-sigma limits
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 21
Copyright (c) 2012 John Wiley & Sons, Inc.
Sample Size and Sampling Frequency
• In designing a control chart, we must specify both the
sample size and the frequency of sampling.
• In general, larger samples will make it easier to detect
small shifts in the process.
• When choosing the sample size, we must keep in
mind the size of the shift that we are trying to detect.
• If the process shift is relatively large, then we use
smaller sample sizes than those that would be
employed if the shift of interest were relatively small.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 22
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Run length: number of points that must be
plotted before a point indicates an out-of-control
condition.
What is the distribution of run length?
Remember: 1/p is the mean of the geometric distribution
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 23
Copyright (c) 2012 John Wiley & Sons, Inc.
Sample Size and Sampling Frequency
Another way to evaluate the decisions regarding sample size and sampling frequency is
through the average run length (ARL) of the control chart. Essentially, the ARL is the
average number of points that must be plotted before a point indicates an out-of-control
condition. If the process observations are uncorrelated, then for any Shewhart control
chart, the ARL can be calculated easily from
where p is the probability that any point exceeds the control limits. This equation can
be used to evaluate the performance of the control chart.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 24
Copyright (c) 2012 John Wiley & Sons, Inc.
To illustrate, for the chart with three-sigma limits, p = 0.0027 is the
probability that a single point falls outside the limits when the process is
in control. Therefore, the average run length of the chart when the
process is in control (called ARL0) is
Why p = 0.0027?
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 25
Copyright (c) 2012 John Wiley & Sons, Inc.
Example:
For a control chart with 3 sigma limit, sampling is planned to be performed
every 2 hours. What is the ATS for this process?
ATS= 370*2 = 740 hours
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 26
Copyright (c) 2012 John Wiley & Sons, Inc.
In general, larger samples will make it easier to detect small shifts in the
process. This is demonstrated in Figure 5.9, where we have plotted the
operating-characteristic curve for the chart in Figure 5.8 for various sample
sizes. Note that the probability of detecting a shift from 1.500 microns to
1.650 microns (for example) increases as the sample size n increases
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 27
Copyright (c) 2012 John Wiley & Sons, Inc.
1.53
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 28
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1.53 0.76
0.76
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 29
Copyright (c) 2012 John Wiley & Sons, Inc.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 30
Copyright (c) 2012 John Wiley & Sons, Inc.
⁄
⁄ = . . =2
= 0.0228,
= 22
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 31
Copyright (c) 2012 John Wiley & Sons, Inc.
Rational Subgroups
If we want to take 5 samples each hour, we can do it in two ways:
• Collecting 5 samples at 9 am, 5 samples at 10 am, …
• Collecting 5 samples from 9 am to 10 am (one sample at 9, one at 9:112,…)
What are the advantages and disadvantages?
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 32
Copyright (c) 2012 John Wiley & Sons, Inc.
Rational Subgroups
• Two general approaches for constructing rational subgroups:
1. Sample consists of units produced at the same time consecutive units
– Primary purpose is to detect process shifts
2. Sample consists of units that are representative of all units produced since last
sample random sample of all process output over sampling interval
– Often used to make decisions about acceptance of product
– Effective at detecting shifts to out-of-control state and back into in-control state between
samples
– Care must be taken because we can often make any process appear to be in statistical
control just by stretching out the interval between observations in the sample.
The rational subgroup concept means that subgroups or samples should be selected
so that if assignable causes are present, chance for differences between
subgroups will be maximized, while chance for difference due to assignable
causes within a subgroup will be minimized. (method 1)
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 33
Copyright (c) 2012 John Wiley & Sons, Inc.
Rational Subgroups- consecutive
• In Figure a we show a process for which the
mean experiences a series of sustained shifts,
and the corresponding observations obtained
from this process at the points in time along the
horizontal axis, assuming that five consecutive
units are selected.
• Figure b shows the control chart and an R chart
(or range chart) for these data. The center line
and control limits on the R chart are constructed
using the range of each sample in the upper part
of the figure (details will be given in Chapter 6).
Note that although the process mean is
shifting, the process variability is stable.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 34
Copyright (c) 2012 John Wiley & Sons, Inc.
Rational Subgroups
When the rational subgroup is a random
sample of all units produced over the
sampling interval, considerable care must
be taken in interpreting the control charts.
If the process mean drifts between several
levels during the interval between samples,
this may cause the range of the observations
within the sample to be relatively large,
resulting in wider limits on the x chart.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 35
Copyright (c) 2012 John Wiley & Sons, Inc.
Patterns on Control Charts
A control chart may indicate an out-of-
control condition when one or more points
fall beyond the control limits or when the
plotted points exhibit some nonrandom
pattern of behavior.
A run of length 8 or more points has a very low probability of occurrence in a
random sample of points.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 36
Copyright (c) 2012 John Wiley & Sons, Inc.
Patterns on Control Charts
• Pattern is very nonrandom in appearance
• 19 of 25 points plot below the center line, while only 6 plot above
• Following 4th point, 5 points in a row increase in magnitude, a run up
• There is also an unusually long run down beginning with 18th point
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 37
Copyright (c) 2012 John Wiley & Sons, Inc.
The Cyclic Pattern
• Note that the plotted sample averages exhibit a cyclic behavior.
• Such a pattern may indicate a problem with the process such as operator
fatigue, raw material deliveries, heat or stress buildup, and so forth.
• Although the process is not really out of control, the yield may be improved by
elimination or reduction of the sources of variability causing this cyclic
behavior.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 38
Copyright (c) 2012 John Wiley & Sons, Inc.
The Cyclic Pattern
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 39
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Introduction to Statistical Quality Control, 8th Edition by Douglas C. Montgomery. 40
Copyright (c) 2019 John Wiley & Sons, Inc.
The ability to interpret a particular pattern in terms of
assignable causes requires experience and knowledge of the
process. That is, we must not only know the statistical
principles of control charts, but we must also have a good
understanding of the process.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 41
Copyright (c) 2012 John Wiley & Sons, Inc.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 42
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Example: Consider using 2 rules with 1 = 0.01, and 2 = 0.02. With the
assumption of independence, calculate overall
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 43
Copyright (c) 2012 John Wiley & Sons, Inc.
Reasons for Popularity
of Control Charts
1. Control charts are a proven technique for improving
productivity.
2. Control charts are effective in defect prevention.
3. Control charts prevent unnecessary process adjustment.
4. Control charts provide diagnostic information.
5. Control charts provide information about process
capability. (the value of important process parameters
and their stability over time.)
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 44
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5.4 THE REST OF THE “MAGNIFICENT SEVEN”
1. Histogram or stem-and-leaf plot
2. Check sheet
3. Pareto chart
4. Cause-and-effect diagram
5. Defect concentration diagram
6. Scatter diagram
7. Control chart
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 45
Copyright (c) 2012 John Wiley & Sons, Inc.
Check Sheet
A check sheet can be very useful in this data collection activity.
The check sheet shown in Fig. 5.16 was developed by an
aerospace firm engineer who was investigating defects that
occurred on one of the firm’s tanks. The engineer designed the
check sheet to help summarize all the historical defect data
available on the tanks.
Because only a few tanks were manufactured each month, it
seemed appropriate to summarize the data monthly and to
identify as many different types of defects as possible.
The time-oriented summary is particularly valuable in looking
for trends or other meaningful patterns. For example, if many
defects occur during the summer, one possible cause that might
be the use of temporary workers during a heavy vacation period.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 46
Copyright (c) 2012 John Wiley & Sons, Inc.
Check Sheet
Measure
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 47
Copyright (c) 2012 John Wiley & Sons, Inc.
• The magnificent seven can be used in our personal lives. Develop a check sheet to
record “defects” you have in your personal life (such as overeating, being rude, not
meeting commitments, missing class, etc.). Use the check sheet to keep a record of
these “defects” for one month. Use a Pareto chart to analyze these data. What are the
underlying causes of these “defects”?
• Example of a check sheet to collect data on personal opportunities for
improvement. Many possible solutions, including defect categories and counts.
Day
Defect 1 2 3 4 5 6 7 … 31 TOTAL
Overeating 0 2 1 0 1 0 1 … 1 6
Being Rude 10 11 9 9 7 10 11 … 9 76
Not meeting commitments 4 2 2 2 1 0 1 … 7 19
Missing class 4 6 3 2 7 9 4 … 2 37
Etc.
TOTAL 18 21 15 13 16 19 17 19 138
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 48
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Pareto Chart of 5-31Defect
140 100
120
80
100
Percent
TOTAL
80 60
60 40
40
20
20
0 0
5-31Defect de ss ts er
Ru cl
a en O
th
in
g
in
g itm
e s m
B is m
M co
g
etin
e
t m
No
TOTAL 76 37 19 6
Percent 55.1 26.8 13.8 4.3
Cum % 55.1 81.9 95.7 100.0
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 49
Copyright (c) 2012 John Wiley & Sons, Inc.
Pareto Chart
Plotting the total
frequency of
occurrence of each
defect type (the
last column of the
table in Fig. 5.16)
against the various
defect types will
produce Fig.
5.17, which is
called a Pareto
chart.
Measure and Analyze steps of DMAIC
Note that the Pareto chart does not automatically identify the most important
defects, but only the most frequent.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 50
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stacked Pareto chart
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 51
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• Pareto charts are widely used in nonmanufacturing applications of
quality improvement methods. A Pareto chart used by a quality
improvement team in a procurement organization is shown in
Figure 5.18c.
• The team was investigating errors on purchase orders in an effort
to reduce the organization’s number of purchase order changes.
(Each change typically cost between $100 and $500, and the
organization issued several hundred purchase order changes each
month.) This Pareto chart has two scales: one for the actual error
frequency and another for the percentage of errors.
• Figure 5.18d presents a Pareto chart constructed by a quality
improvement team in a hospital to reflect the reasons for
cancellation of scheduled outpatient surgery.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 52
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Cause and Effect Diagram
• Once a defect, error, or problem has been identified and isolated for
further study, we must begin to analyze potential causes of this
undesirable effect.
• In situations where causes are not obvious (sometimes they are), the
cause-and-effect diagram is a formal tool frequently useful in
unlayering potential causes.
• The cause-and-effect diagram is very useful in the analyze and
improve steps of DMAIC.
• The cause-and-effect diagram constructed by a quality improvement
team assigned to identify potential problem areas in the tank
manufacturing process mentioned earlier is shown in Fig. 5.19.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 53
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Cause-and-Effect Diagram
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Defect Concentration Diagram
• A defect concentration diagram is a picture of the unit,
showing all relevant views. Then the various types of defects
are drawn on the picture, and the diagram is analyzed to
determine whether the location of the defects on the unit
conveys any useful information about the potential causes of
the defects.
• Defect concentration diagrams are very useful in the analyze
step of DMAIC.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 56
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Defect Concentration Diagram
See the next display for explanations…
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 57
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Figure 5.20 presents a defect concentration diagram for
the final assembly stage of a refrigerator manufacturing
process. Surface-finish defects are identified by the dark
shaded areas on the refrigerator. From inspection of the
diagram it seems clear that materials handling is
responsible for the majority of these defects. The unit is
being moved by securing a belt around the middle, and
this belt is either too loose or tight, worn out, made of
abrasive material, or too narrow. Furthermore, when the
unit is moved the corners are being damaged. It is
possible that worker fatigue is a factor. In any event,
proper work methods and improved materials handling
will likely improve this process dramatically.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 58
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Scatter Diagram
The scatter diagram is a useful plot for
identifying a potential relationship between two
variables. Data are collected in pairs on the two
variables—say, (yi, xi)—for i = 1, 2, . . . , n. Then
yi is plotted against the corresponding xi. The
shape of the scatter diagram often indicates what
type of relationship may exist between the two
variables. Scatter diagrams are very useful in
regression modeling.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 59
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Scatter Diagram Figure 5.22 shows a scatter diagram relating
metal recovery (in percent) from a
magnathermic smelting process for
magnesium against corresponding values of
the amount of reclaim flux added to the
crucible. The scatter diagram indicates a
strong positive correlation between metal
recovery and flux amount; that is, as the
amount of flux added is increased, the metal
recovery also increases.
Chapter 5 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 60
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• It is tempting to conclude that the relationship is one based on
cause and effect: By increasing the amount of reclaim flux used,
we can always ensure high metal recovery.
• This thinking is potentially dangerous, because correlation does
not necessarily imply causality. This apparent relationship could
be caused by something quite different. For example, both
variables could be related to a third one, such as the temperature
of the metal prior to the reclaim pouring operation, and this
relationship could be responsible for what we see in Fig. 5.22.
• If higher temperatures lead to higher metal recovery and the
practice is to add reclaim flux in proportion to temperature,
adding more flux when the process is running at low temperature
will do nothing to enhance yield.
• The scatter diagram is useful for identifying potential
relationships. Designed experiments must be used to verify
causality.
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For good discussions of phase I control chart usage and related matters, see
the papers:
Woodall (2000),
Borror and Champ (2001),
Boyles (2000), Champ and Chou (2003)
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