INDUSTRIAL ENGINEERING APPLICATIONS AND PRACTICES: USERS ENCYCLOPEDIA ISBN: 09654599-0-X Copyright 1999 INTERNATIONAL JOURNAL OF INDUSTRIAL ENGINEERING SPECIAL CONTROL CHARTS A. Sermet Anagun, PhD STATEMENT OF THE PROBLEM Statistical Process Control (SPC) is a powerful collection of problem-solving tools, such as histograms, Pareto diagrams, cause-effect diagrams, check sheets, stratification, scatter diagrams, and control charts, useful in achieving process stability and improving capability through the reduction of variability. A control chart, also known as Shewhart control chart and mostly preferred among the other tools, has an ability to determine whether there are variation created by causes in the process and to reduce or adjust the variation, if applicable and required, by taking the necessary corrective actions regarding to the causes that created the variation. When the control charts are properly used, they may: • be applied by operators for ongoing control of a process, • help the process perform consistently and predictably, • allow the process to achieve higher quality, lower cost, and higher effective capacity, • provide a common language for discussing the process performance, • distinguish special from common causes of variation as a guide to local or management action. In order to use control charts as intended, first, a proper control chart should be selected suitable for the process characteristics, such as: • manufacturing type and volume (bulk, continuous, or discrete), • type of inspection and strategy (destructive or non-destructive testing, in-process or pre-process inspection), • cost of inspection, • inspection time, quality characteristics of the product being produced within the process (quantitative or qualitative), • distribution of quality characteristic(s) • lot or sample size. Second, to make the process, which is generally defined as a combination of people, machines, and other equipment, raw materials, methods, and environment that produces products as planned, stable or to keep the process in control, the causes of variations, if applicable, should be determined and interpret effectively assuming that the proper control chart has been implemented. In any process, regardless of how well the process is designed and maintained, a certain amount of inherent or natural variability, variation due to chance causes, may occur. When chance causes, which are inevitable, difficult to detect or identify, are in affect, a process is considered to be in a state of statistical control. Any attempt to adjust for this kind of variation results in over control and is likely to throw the process out of control. On the other hand, even if a process is in control, variation due to machine and operator performances and characteristics of incoming materials or other causes may occur within a stable and predictable process. If unnatural patterns are observed, special causes responsible for the condition must be determined and interpreted effectively so that these disturbances such as operator fatigue, tool wear, different incoming materials, voltage fluctuations, or systematic adjustment of the process may be eliminated from the process by taking the necessary corrective actions. The control charts are used to detect and eliminate unwanted special causes of variation occurred during a period of time where a certain amount of products have already been manufactured. It should be recalled that these special causes of variation have an adverse effect on the overall output of the process, not just individual product characteristics. In order to obtain the expected benefits of using control charts as a problem-solving tool, the following issues should be taken into consideration: • Key characteristics that best indicate the control or out-of-control status of a process should be selected for control purposes. Thus, quality of many product characteristics may be improved with applying control charts on the key characteristics as the features which have the greatest influence upon the product fit, performance, service life as mutually agreed with the customer,
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INDUSTRIAL ENGINEERING APPLICATIONS AND PRACTICES: USERS ENCYCLOPEDIA ISBN: 09654599-0-X
Copyright 1999 INTERNATIONAL JOURNAL OF INDUSTRIAL ENGINEERING
SPECIAL CONTROL CHARTS
A. Sermet Anagun, PhD
STATEMENT OF THE PROBLEM
Statistical Process Control (SPC) is a powerful collection of problem-solving tools, such as histograms, Pareto
diagrams, cause-effect diagrams, check sheets, stratification, scatter diagrams, and control charts, useful in
achieving process stability and improving capability through the reduction of variability. A control chart, also
known as Shewhart control chart and mostly preferred among the other tools, has an ability to determine whether
there are variation created by causes in the process and to reduce or adjust the variation, if applicable and
required, by taking the necessary corrective actions regarding to the causes that created the variation. When the
control charts are properly used, they may:
• be applied by operators for ongoing control of a process,
• help the process perform consistently and predictably,
• allow the process to achieve higher quality, lower cost, and higher effective capacity,
• provide a common language for discussing the process performance,
• distinguish special from common causes of variation as a guide to local or management action.
In order to use control charts as intended, first, a proper control chart should be selected suitable for the process
characteristics, such as:
• manufacturing type and volume (bulk, continuous, or discrete),
• type of inspection and strategy (destructive or non-destructive testing, in-process or pre-process
inspection),
• cost of inspection,
• inspection time, quality characteristics of the product being produced within the process (quantitative or
qualitative),
• distribution of quality characteristic(s)
• lot or sample size.
Second, to make the process, which is generally defined as a combination of people, machines, and other
equipment, raw materials, methods, and environment that produces products as planned, stable or to keep the
process in control, the causes of variations, if applicable, should be determined and interpret effectively assuming
that the proper control chart has been implemented.
In any process, regardless of how well the process is designed and maintained, a certain amount of inherent or
natural variability, variation due to chance causes, may occur. When chance causes, which are inevitable, difficult
to detect or identify, are in affect, a process is considered to be in a state of statistical control. Any attempt to
adjust for this kind of variation results in over control and is likely to throw the process out of control.
On the other hand, even if a process is in control, variation due to machine and operator performances and
characteristics of incoming materials or other causes may occur within a stable and predictable process. If
unnatural patterns are observed, special causes responsible for the condition must be determined and interpreted
effectively so that these disturbances such as operator fatigue, tool wear, different incoming materials, voltage
fluctuations, or systematic adjustment of the process may be eliminated from the process by taking the necessary
corrective actions.
The control charts are used to detect and eliminate unwanted special causes of variation occurred during a period
of time where a certain amount of products have already been manufactured. It should be recalled that these
special causes of variation have an adverse effect on the overall output of the process, not just individual product
characteristics. In order to obtain the expected benefits of using control charts as a problem-solving tool, the
following issues should be taken into consideration:
• Key characteristics that best indicate the control or out-of-control status of a process should be selected
for control purposes. Thus, quality of many product characteristics may be improved with applying
control charts on the key characteristics as the features which have the greatest influence upon the
product fit, performance, service life as mutually agreed with the customer,
INDUSTRIAL ENGINEERING APPLICATIONS AND PRACTICES: USERS ENCYCLOPEDIA ISBN: 09654599-0-X
Copyright 1999 INTERNATIONAL JOURNAL OF INDUSTRIAL ENGINEERING
• The control charts must be applied to control a process where the same machine(s), the same machining
method, and the same materials are used.
There are control charts developed which may be categorized into two groups regardless of the characteristics of
the products, either measurable such as length and diameter or countable such as number of defects per unit:
standards are given meaning that population parameters such as mean and standard deviation are known and
there is no need to collect data to establish control limits, and standards are not given meaning that population
parameters are not known and control limits must be derived from at least 20-25 subgroups of data taken from
the process based on a sampling policy.
The commonly known control charts may not be used when:
• production level is low; therefore, an extensive amount of time should be waited to collect a required
number of data, at least 20-25 individuals or subgroups of data, to establish control limits so to construct
a control chart.
• production is run in a discrete form because of unexpected delays due to lack of materials or sudden
changes in production scheduling; therefore, a certain amount of production may be performed by
different personnel and time intervals.
• besides piece-to-piece and time-to-time variation, variation within the piece is needed to be measured
and observed.
• even though the characteristics observed or dimensions measured are similar in terms of machine,
material, and method used, separate control charts should be constructed for each characteristic or
dimension, instead of monitoring similar characteristics on the same chart.
The process should be investigated by the person, who is responsible for statistical process control, to determine
whether the circumstances given above are applicable for processes or characteristics concerned to be able to
select the proper control chart for evaluating the processes and making them stable. When a control chart is
selected without considering the circumstances of the process or characteristics occur, the chart being constructed
may not be proper to evaluate the process because each control chart has its own properties in terms of sample
size, type of characteristic observed, formulation to calculate the control limits, the coefficients used in the
formulation, and the interpretation of the chart constructed.
SOLUTIONS TO THE PROBLEM: SPC USING SPECIAL CONTROL CHARTS
The number of measurements in the sample is an essential criterion for selecting a control chart. Suppose, a set of
samples, for instance, each has seven measurements, are taken from a process based on a sampling policy. Since
the sample size is relatively large, the standard deviation should be preferred instead of the range to represent the
dispersion of the process concerned.
The standard deviation is considered as an effective parameter for representing the variation since it is calculated
using all of the data points. On the other hand, when the sample size is relatively small, the range yields almost as
good as an estimator of the variance. However, for moderate values, the range loses efficiency rapidly, as it
ignores all the information in the sample between the maximum and the minimum measurements. Nevertheless,
the range may be preferred to simplify the calculation; but, for this situation, based on the sample size, the
average and the standard deviation chart should be used to evaluate the process effectively.
Addition, using an improper control chart may often cause a problem such that an interpretation may be done as
the process is out-of-control based on the selected chart even though it is under control indeed or vice versa.
These conclude that the selection of a proper control chart for the purpose of statistical process control requires
an extensive amount of attention in terms of properties of the control charts.
In the remaining of this chapter, the control charts, namely special control charts, will be discussed based on
specific examples which are prepared to demonstrate each special control chart in regard to where and when to
use, how to calculate the control limits, and how to evaluate the chart constructed and similarities between the
traditional control charts will be given. Some of the charts being introduced here require a minimum number of
data points to be constructed and evaluated (standards are not given). For the other charts, there is not such a
constraint because the control limits are derived directly from the specification limits (standards are given) and
measurements are plotted on a control chart to evaluate the process concerned.
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1. Interrupted Average and Range Chart
The interrupted average and range chart, which is similar to the average and range chart, may be used for discrete
or low volume production. It is also used when there are unexpected delays in process due to lack of materials
and sudden changes in production scheduling. Therefore, the products may be produced by different personnel
and time intervals. In other words, a machine is setup to do an operation for 10 pieces and not perform that
operation again for several days or weeks. Production control considerations might also dictate that more than
one operator-machine combinations may be set up to run an operation simultaneously, so that defining the
process becomes a much more generic than for classical production situations.
The chart is started with different short runs from the process. Generally small samples (e.g., 2 or 3) obtained
from one characteristic of a product that produced within a process are taken based on tight intervals (e.g., 15
minutes). The control chart is filled out as the parts run, filed, then filled out during the next run. This activity
continues until there are not any parts to produce within that time interval or the necessary samples are taken to
construct a chart. For instance, suppose that a drilling operation is being performed for a diameter of a flange
with specification of 0.515±0.005, and an unreasonably long time is required to accumulate necessary number of sub-grouped data because of insufficient number of flange at the time where production is being run. In this case,
the drilling operation is performed as long as the number of parts available at hand, then the machine used for
drilling operation and the personnel who does that operation may be switched to operate on parts with different
specifications depending upon a production scheduling. For these reasons, whereas the parts are processed lot by
lot in terms of time intervals, a separate work order is assigned to each lot and measurements obtained from each
lot are plotted and evaluated separately according to the control limits calculated regarding to the appropriate lot.
Assume that the mentioned drilling operation has been performed and the sub-grouped data, each had three
samples and coded as 0.5XX, have been obtained as given in Table 1.
Table 1. Measurements for a Drilling Operation of a Flange
Work
Order
Date Sample
No.
X1 X2 X3 X R
06 3/10 1 16.0 16.5 16.0 16.2 0.5
2 17.0 16.5 16.0 16.5 1.0
3 16.0 16.0 15.5 15.8 0.5
4 17.0 15.0 15.0 15.7 2.0
5 17.5 16.5 17.0 17.0 1.0
6 17.0 15.6 17.5 16.7 1.9
7 16.0 16.5 16.5 16.3 0.5
17 5/07 8 14.5 14.0 14.0 14.2 0.5
9 15.0 14.5 15.5 15.0 1.0
10 15.5 16.0 15.5 15.7 0.5
11 15.0 15.0 15.0 15.0 0.0
12 16.0 15.5 16.5 16.0 1.0
13 16.5 17.5 18.0 17.3 1.5
20 6/02 14 17.5 17.5 18.5 17.8 1.0
15 16.0 16.5 17.0 16.5 1.0
16 16.0 15.5 16.0 15.8 0.5
17 16.0 16.0 17.0 16.3 1.0
18 16.5 17.0 16.5 16.7 0.5
19 17.0 17.5 16.0 16.8 1.5
20 16.5 16.5 16.5 16.5 0.0
The control limits of the chart for each time interval (run) may be calculated as follows:
for average chart,
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kk
kX
kk
kX
RAXLCL
RAXUCL
2
2
−=
+=
for range chart,
k
kR
k
kR
RDLCL
RDUCL
3
4
=
=
where k is the time interval in which the samples are obtained, A2, D3 and D4 are the necessary coefficients for
the sample size of n, k
X is the grand average of the kth time interval which is obtained from the samples’
averages, kR is the average range of the k
th time interval which is obtained based on the differences between a
maximum and a minimum measurements of the samples
Since the measurements obtained from different personnel and time intervals, this chart help production reach a
state of control and monitor variation in process over time. Thus, a proper setup for the process monitored may
be easily determined by focusing on the variation during the intervals to make the process stable and predictable.
In order to determine the control limits for each time intervals, first, grand averages and average range for
intervals should be calculated as follows:
06.17
4.7
731.16
7
2.114
7
7
1
7
1 ======
∑∑== i
Ii
Ii
Ii
IR
R
X
X
75.06
5.4
653.15
6
20.93
6
6
1
6
1 ======
∑∑== i
IIi
IIi
IIi
IIR
R
X
X
79.07
5.5
763.16
7
4.116
7
7
1
7
1 ======
∑∑== i
IIIi
IIIi
IIIi
IIIR
R
X
X
The control limits for the portions of average and range are then calculated using the equations given above and
the coefficients of A2 = 1.023, D4 = 2.574, and D3 = 0 for the sample size of 3. The calculated control limits are
given in Table 2.
Table 2. Control Limits for a Flange Drilling Operation
The Time Intervals
Control Limits I II III
UCLX 17.39 16.30 17.44
LCLX 15.23 14.76 15.82
UCLR 2.73 1.93 2.03
LCLR 0 0 0
As in the average and range chart, subgroup averages on the average chart and subgroup ranges on the range
chart are plotted and the points are connected according to the time intervals where samples are taken. The
control charts for the averages and ranges are given in Figure 1 and Figure 2, respectively.
INDUSTRIAL ENGINEERING APPLICATIONS AND PRACTICES: USERS ENCYCLOPEDIA ISBN: 09654599-0-X
Copyright 1999 INTERNATIONAL JOURNAL OF INDUSTRIAL ENGINEERING
When the charts are examined, the following results may be obtained:
1. According to the average chart, the first setup is the best among others.
2. Variation between setups in average chart is extensive.
3. There may be an excess tool wear in the second time interval, and few data points are out of control limits.
4. Whereas the ranges are stable, 2/dR may be used for an estimate of standard deviation to perform a process
capability study.
As a conclusion, the machine should be setup and the personnel should be advised based on the setup of the first
interval. For this example, a process capability study may not be performed because the process is not in control.
Therefore, first, necessary corrective actions should be taken to reduce the variation, and then a process
capability index may be calculated to interpret the process. The interrupted average and range chart may be
interpreted and the process capability may be studied in the same manner as the average and range chart.
2. Multiple Variation Chart
The multiple variation chart may be used when specification limits or the population mean and standard deviation
are known. Consequently, there is no need to collect data to establish control limits.
In contrast to other known chart such as the average and range and the average and standard deviation charts,
piece-to-piece variation, variation within the piece, and time-to-time variation may be examined with this chart.
Piece-to-piece variation concerns itself with different sizes of dimensions such as thickness, diameter, and the
variation within the piece concerns itself with problems such as roundness and taper, the time-to-time variation,
on the other hand, concerns itself with variation between the averages of the subgroups. Since three types of
variation are taken into consideration with this chart, the effects of different raw materials, sources, fixtures,
operators, and spindles may be easily determined and compared to improve the process performance.
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Suppose that specifications of a diameter on a shaft are 0.500±0.003 inch, roundness is considered as a key characteristic to evaluate a process regarding to three different variation. Samples, each has four pieces, are taken
from the process and minimum and maximum measurements of each piece are given in Table 3.
Table 3. Measurements of a Diameter of a Shaft (coded as deviations from nominal)
Sample
Number
Measurements
X
Deviation Below
Nominal (-)
Deviation Above
Nominal (+)
1 X1 -0.0005 0.0035
2 X2 -0.0020 0.0030
3 X3 -0.0020 0.0040
4 X4 -0.0005 0.0040
5 X1 -0.0005 0.0035
6 X2 -0.0005 0.0030
7 X3 -0.0020 0.0030
8 X4 0.0000 0.0045
9 X1 -0.0010 0.0030
10 X2 -0.0015 0.0030
11 X3 -0.0010 0.0040
12 X4 -0.0010 0.0040
13 X1 -0.0015 0.0035
14 X2 -0.0005 0.0045
15 X3 -0.0020 0.0030
16 X4 -0.0020 0.0020
In order to construct a multiple variation chart, maximum and minimum values of the characteristic of each
sample in one particular location are measured and plotted for each sample on the same vertical line as deviation
from a nominal value of the characteristic examined. After selecting the proper scale, the specification limits are
drawn on the chart, and the midpoints of each plot (the point between the maximum and the minimum
measurements) are connected. Ranges are not considered with this chart. A multiple variation chart for the data
given in Table 3 is depicted in Figure 3.
Figure 3. A Multiple Variation Chart for the Shaft Example
The multiple variation chart may be interpreted as follows:
• If the distance between averages of each sample in the subgroup varies, this represents piece-to-piece variation, which could be caused due to tool wear, or operator influence. The process is out of control,
-0.005
-0.004
-0.003
-0.002
-0.001
0
0.001
0.002
0.003
0.004
0.005
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
USL
LSL
CL
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Copyright 1999 INTERNATIONAL JOURNAL OF INDUSTRIAL ENGINEERING
whereas either the minimum or the maximum measurement is out of specification limits for the appropriate
pieces.
• If the maximum or the minimum measurement being part of a sample is out of specification limits, the cause may be variation within the piece. The distance between the two measurements for each sample represents the
degree of variation within the piece. There is sudden increase and/or decrease due to excess taper for the
example.
• Variation between the averages of each subgroup to another represents time-to-time variation, which could be caused due to setup error or uncalibrated machine tool/equipment. Even though the process is not in control,
there is not a large variation between samples’ averages. However, necessary corrective actions should be
taken to reduce variation.
3. Print Tolerance Control Chart
As the multiple variation chart, the print tolerance control chart uses specification limits directly and applied
statistics to establish control limits. This chart is not only good for low volume production, but also for high
volume production since the control limits may be calculated without requiring any previous data. The control
limits derived from the specification limits are centered around the nominal of the specification. The control
limits of a print tolerance control chart are determined as follows:
1. Calculate the L factor based on the sample size of n and the assumption of the process mean is normally
distributed within ±3σ limits.
6
2dL =
where, d2 is the coefficient obtained from a table based on the sample size of n.
2. Calculate Rmax, the maximum that the ranges can reach and still maintain capability.
LtoleranceionspecificatTotalR ⋅=max
3. Calculate the control limits;
for average chart,
max2
max2
RAMTDLCL
RAMTDUCL
X
X
−=
+=
for range chart,
max3
max4
RDLCL
RDUCL
R
R
=
=
where, MTD is the mid-tolerance dimension (centerline of the chart), A2, D3 and D4 are the necessary coefficients
for the sample size of n.
Suppose that a shaft is being machined according to specifications of 0.500±0.010 inch. While the production is running, fifteen samples with the size of 5 are taken based on a sampling policy. The obtained data are coded as
values above 0.480 inch and given in Table 4. Let us examine whether the process is in control using the print
tolerance chart.
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Table 4. Measurements for a Characteristic of a Shaft
Sample No. X1 X2 X3 X4 X5 X R
1 22 25 23 26 23 23.8 4
2 23 25 24 23 25 24.0 2
3 26 24 25 23 24 24.4 3
4 23 23 24 25 25 24.0 2
5 23 24 23 24 25 23.8 2
6 25 24 23 22 23 23.4 3
7 24 25 25 24 23 24.2 2
8 24 24 25 24 23 24.0 2
9 23 24 24 25 25 24.2 2
10 24 23 23 24 23 23.4 1
11 24 25 25 25 24 24.6 1
12 24 25 26 30 26 26.2 6
13 25 24 23 24 23 23.8 2
14 24 25 25 23 20 23.4 5
15 23 23 21 24 21 22.4 3
The control limits for the measured quality characteristic may be calculated using d2=2.326, A2=0.577,
D4=2.115, and D3=0 for sample size of 5:
1. Calculating L,
3877.06
326.2
6
2 ===d
L
2. Calculating Rmax,
0078.03877.0200.0
max
=⋅=
⋅= LtoleranceionspecificatTotalR
3. Calculating the control limits for the average and the range charts, respectively;
4955.00078.0)577.0(500.0
5045.00078.0)577.0(500.0
=−=
=+=
X
X
LCL
UCL
0.00078.0)0(
0165.00078.0)115.2(
==
==
R
R
LCL
UCL
After calculating the control limits, the actual averages and ranges obtained from the process are plotted and the
chart is interpreted to decide whether the process is in control. The print tolerance charts for averages and ranges
are given in Figure 4 and Figure 5, respectively.
10
12
14
16
18
20
22
24
26
28
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
UCL
LCL
MTD
Figure 4. The Print Tolerance Chart for Averages
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0
0.005
0.01
0.015
0.02
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
UCL
LCL
CL
Figure 5. The Print Tolerance Chart for Ranges
When the print tolerance charts are examined closely, it can be say that the process is out of control because the
11th and 12
th samples are above the UCL in the averages chart, and the process is setup and operated
approximately 0.004 inch above nominal. For the range chart, on the other hand, all of the samples are within the
control limits and it may be assumed that the variation is not high enough to require corrective actions.
4. PreControl Chart
PreControl (PC) chart, also known as stoplight or target control chart, was developed in the early 60’s as a means
of providing the advantages of control charts on the machine without burdening the operator with knowing how
to construct and interpret control charts. Rather, it represents a series of easily followed rules, which lead the
operator to correct adjustments, or as importantly, to leave the process alone when only random chance is
affecting the output. The concept is based on knowledge of the characteristics of a normal distribution.
The PC chart, applicable to short and long production runs, is easy to use and it is simple to implement in the
facility. Recording data and calculation are nor required; however, plotting and interpretation according to the
rules may be necessary. In order to use PC chart effectively, the process should be centered between specification
limits, with ±3σ equal to or better than specification limits, or a capability index, Cp, of 1.00 or more. If this condition is met, the PC chart will keep the capable process centered and detect shifts that may result in making
some of the parts outside of the specification limits or decreasing the probability of making defectives.
The PC chart uses specification limits to establish PC limits. The PC limits (PCL), as shown in Figure 6, are
established as follows:
4
toleranceionspecificatTotalMTDPCL ±=
where, MTD is the mid-tolerance dimension.
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USL
UPCL
LSL
LPCL
MTD
RED
RED
YELLOW
YELLOW
GREEN
GREEN
Figure 6. Graphical Description of PC Limits
The center zone between the upper and the lower PC limits is one-half the print tolerance and is called green
area. The sides between the PC limits and the specification limits are one-fourth of the total tolerance and are
called yellow zones. Outsides the specification limits are called the red zones. As in Figure 1, he zones may be
colored to make the procedure simple, understandable, and applicable.
In PC chart, if the process is capable and the process is centered, around 86% of the parts will fall between the
PC limits (green zones), and around 7% of the parts will fall in each of the outer sections (yellow zones). So,
under the conditions of statistical control, 7% of the points plotted would be expected to occur in each outer zone
or 1 time in 14 on the average.
Let us consider an example of a drilling operation for a diameter of a flange with specifications of 0.500±0.002 inch. The data, 20 individual values, obtained from this operation are given in Table 5.
Table 5. Measurements obtained from a drilling operation for a diameter
Sample No X Sample No X
1 0.5030 11 0.5000
2 0.5015 12 0.5008
3 0.5000 13 0.5000
4 0.5005 14 0.5005
5 0.4995 15 0.5015
6 0.5005 16 0.5012
4 0.5005 17 0.5002
8 0.5015 18 0.5005
9 0.5005 19 0.4982
10 0.5008 20 0.5015
The PC limits, for MTD is 0.500 inch and total specification tolerance is 0.004 inch, may be calculated as
follows:
4
toleranceionspecificatTotalMTDPCL ±=
499.0001.0500.0
501.0001.0500.0
=−=
=+=
LPCL
UPCL
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The parts as they produced checked and measurements are usually plotted on the chart. The PC chart for the
The interpretation of the chart may be performed based on the following rules:
1. If the part measured falls outside the specification limits (red zones), the process stopped and reset.
2. If the part measured is between the PC limits and the specification limits (yellow zones), a second part is
tested;
a. If the second part is in the same yellow zone, the process is stopped and reset.
b. If the second part is in the opposite yellow zone, the process is stopped and corrective actions are taken.
c. If the second part is between the PC limits (green zones), continue the process.
3. When five consecutive parts fall within the PC limits, switch to frequency of gaging.
4. When a process is reset for any reason, five consecutive parts must occur within the PC limits before
switching to the frequency of gaging.
Graphical description of the PC rules is depicted in Figure 8.
USL
LSL
UPCL
LPCL
MTD
1 2 2a 2b 2c 3, 4
Figure 8. Graphical Description of PC Rules
When the PC chart constructed for the drilling operation example is evaluated based on the PC rules given above,
the following results may be obtained:
1. Whereas the first sample is out of specification limits, the process should have been stopped and reset (with
rule number of 1).
2. When the 16th sample is taken, the process should have been stopped and reset (with rule number of 2a).
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3. When the 20th sample is taken, the corrective actions should have been taken after stopping the process (with
rule number of 2b).
4. The process may be considered in control except for the previous comments.
In addition to the advantages of the traditional control charts such as indicating shifts in process centering and
increases in process spread, assuring that the number of defective parts will not exceed predetermined levels, PC
chart offers some valuable advantages. These advantages are given as follows:
1. Operator control becomes more practical since no recording, calculating, or plotting of data is required.
However, measurements may be plotted if the consumer or management desires to keep a PC chart as
statistical evidence of process control.
2. By adjusting the inspection frequency to a proper level, PC chart may be applied to long production runs.
3. PC chart may be used with attributes by appropriately colored go/no-go gages to initiate PC limits or even
visual characteristics by assigning visual standards to the PC limits.
4. Under the assumption of that the process capability is less than the specification and the process is centered,
the control limits are directly driven from the specification limits without requiring any previous data. This
makes the PC chart simple to understand and easy to implement.
5. Since it works directly with the specification limits, it does not require any statistics background to explain
the chart to the people who will be using the plan.
Despite the advantages, PC chart has some drawbacks. Since it is assumed that the process is capable and
normally distributed within ±3σ limits, central tendency is considered the only problem. Thus, sensitivity to variation in the process is reduced. While the process is monitored, the operator evaluates the process according
to the easily followed rules and tries to keep the process centered. Therefore, assessment of capability may be
difficult.
In addition, some over-control, adjusting the process when it does not need an adjustment, and/or under-control,
not adjusting the process when it does need an adjustment, may result. Finally, the PC chart, unlike the other
control charts, may not be used for problem solving, but instead, may be used for monitoring a process. For that
reason, the PC chart is often used to initially implement some form of statistical process control in the facility and
is soon followed by more sensitive process control charts to detect, if applicable, and control the variation within
the process.
5. Two-R Control Chart
Most of the control charts seen in the textbooks have measured piece-to-piece and time-to-time variation. The
range chart measures variation from piece-to-piece in the individuals and moving average charts and between
pieces within in the subgroup in the average and range charts. The time-to-time variation is plotted on the
individual or average portion of the suitable chart. However, there may be another source of variation, called
within-piece variation, that need to be considered for some situations. The traditional control charts such as the
average and range and the average and standard deviation charts do not allow tracking and recording this type of
variation.
Two-R control chart, which is a combination of the individuals control chart and the average and range chart,
allow plotting three different sources of variation. The two-R chart is especially useful in processes where within-
piece or within-group variation is as important as between-piece or between-group variation such as measures of
roundness or concentricity, flatness, surface finish, thickness, a dimensional characteristic common to many parts
processed in a fixture at the same time, or even hardness of a batch of parts run through a heat treat operation.
This chart consists of three separate charts: an individuals or average chart for representing variation between the
individuals or averages of the samples (what is happening to the process center), a range chart for representing
variation piece-to-piece variation (how uniformly the process is behaving batch-to-batch), and a range chart for
representing within piece variation (how uniformly the parts are treated within each batch). For instance, if a
quality characteristic examined is a roundness of a diameter of a shaft, the difference between the maximum and
the minimum readings of a part is called variation within the piece (Rw), and the average of the maximum and the
minimum measures determines the time-to-time variation. The difference between the previous reading and the
most current reading is called the piece-to-piece variation (Rp). The two-R chart is constructed after 20-25 data
points available and interpreted in the same manner as the other control charts. The control limits for the chart
may be calculated as follows:
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Individuals chart, pX
pX
REXLCL
REXUCL
2
2
−=
+=
Rw chart,
wR
wR
RDLCL
RDUCL
w
w
3
4
=
=
Rp chart, pR
pR
RDLCL
RDUCL
p
p
3
4
=
=
where, X is the average of the maximum and the minimum readings, wR is the average of ranges for within-
piece variation determined by subtracting the max reading from the min reading, pR is the average of ranges for
piece-to-piece variation determined by subtracting the second plot point from the first plot point, and
4322 and,,/3 DDdE = are the coefficients for the sample size of 2. For the process capability study, an
estimated standard deviation for the process is calculated using 2/ dR for each range type as 22ˆ
wp σσσ += ,
where, 2/ dR pp =σ and 2/ dR ww =σ
Painting is considered as special process. Suppose that a part which affect the speed of an aircraft while the
aircraft is making some sort of movements, such as closing to and leaving from the ground sharply, in the air is
being painted trough a special process. Thickness of the paint shoot up, with specifications of 0.0012-0.0040
inch, is a key characteristic. For this situation, the thickness of the paint through the surface of the part is
measured and recorded as minimum and maximum values. The data, coded as 0.00XX, for this example are
given in Table 6.
Table 6. Measurements for a Painting Process
Sample No. XMin X
Max Xi Rw Rp
1 14 16 15.0 2 -
2 12 16 14.0 4 1.0
3 14 19 16.5 5 2.5
4 13 16 14.5 3 2.5
5 13 16 14.5 3 0.0
6 13 15 14.0 2 0.5
7 14 17 15.5 3 1.5
8 13 15 14.0 2 1.5
9 12 14 13.0 2 1.0
10 13 16 14.5 3 1.5
11 14 16 15.0 2 0.5
12 12 15 13.5 3 1.5
13 13 15 14.0 2 1.5
14 12 14 13.0 2 1.0
15 13 16 14.5 3 1.5
16 14 16 15.0 2 0.5
17 15 16 15.5 1 0.5
18 14 16 15.0 2 0.5
19 15 17 16.0 2 1.0
20 13 14 13.5 1 2.5
The control limits of the 2-R chart for the painting process are calculated using E2=2.660, D4=3.267, and D3=0
for the sample size of 2:
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21.119
23,45.2
20
49,525.14
20
5.290====== pw RRX
for individuals chart,
3064.1121.1)660.2(525.14
7436.1721.1)660.2(525.14
=⋅−=
=⋅+=
X
X
LCL
UCL
for wR chart,
0.045.2)0(
0042.845.2)267.3(
=⋅=
=⋅=
w
w
R
R
LCL
UCL
for pR chart,
0.021.1)0(
9541.321.1)267.3(
=⋅=
=⋅=
p
p
R
R
LCL
UCL
The 2-R control charts for individuals, wR , and pR are depicted in Figures 9-11, respectively.
Assume that the parts are being manufactured on a process with specifications of 2.015±0.002, 1.831±0.002 and 4.6795±0.002 inches, respectively. The parts have different specifications; however, they are made of the same material, and manufactured on a process using the same method. Thus, a control chart, for instance, deviations
from nominal chart, may be a candidate to control that process in which the parts are being processed. Suppose
the parts are processed based on schedule and the coded measurements obtained from the process are given in
Table 7.
Table 7. Measurements for the Parts A, B, and C
Sample No. Part Nominal X Deviation R
1 A 15 14.9 -0.1 -
2 A 15.1 0.1 0.2
3 A 15.3 0.3 0.2
4 A 14.8 -0.2 0.5
5 B 31 31.0 0.0 -
6 B 31.4 0.4 0.4
7 B 31.2 0.2 0.2
8 B 30.9 -0.1 0.3
9 B 30.8 -0.2 0.1
10 C 79.5 79.2 -0.3 -
11 C 79.8 0.3 0.6
12 C 78.8 -0.7 1.0
13 C 78.9 -0.6 0.1
14 C 79.3 -0.2 0.4
15 C 79.8 0.3 0.5
The plot points for the averages or individuals are simply represented by deviations from nominals and plotted as
in the traditional control charts. The control limits are calculated using proper formula depending on the sample
size of n; average chart for n≥2 and individuals chart for n=1. Whereas each sample has a single measurement, the control limits are determined as if a control chart being used for individuals:
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The control limits using E2=2.660, D4=3.267 and D3=0 are given:
375.012
5.4
3and0533.0
15
80.0==
−=−=
−== ∑∑
m
RR
m
XX
for individuals chart,
051.1375.0)660.2(0533.0
9442.0375.0)660.2(0533.0
−=⋅−−=
=⋅+−=
X
X
LCL
UCL
for range chart,
0.0375.0)0(
225.1375.0)267.3(
=⋅=
=⋅=
R
R
LCL
UCL
The control charts are depicted in Figure 12 and Figure 13 for individuals and ranges, respectively.
-1.5
-1
-0.5
0
0.5
1
1.5
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
UCL
CL
LCL
Figure 12. A Deviations from the Nominal Chart for Averages
0
0 .2
0 .4
0 .6
0 .8
1
1 .2
1 .4
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
UCL
CL
LCL
Figure 13. A Deviations from the Nominal Chart for Ranges
There is a decreasing trend during manufacturing of parts B especially starting from the 6th sample, and a large
variation may be seen within the process when the parts C are started to manufactured. The latter result, which
may also be seen in the range chart, shows evidence that the parts C would be different in terms of material,
machine, and method so that the test should have been performed before starting to construct the charts. Indeed,
the ratio of Totalc RR / (0.52/0.375=1.39) is greater than 1.3, which implies that the parts C should be plotted on
a separate chart. Hence, the deviations from the nominal charts should be constructed and reevaluated after
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eliminating the parts C. For a capability study of the deviations from nominal chart, the steps as in the other
control charts are followed, but actual limits of each different characteristic and its tolerance are used for making
decision whether a process is capable.
6.2. Deviation from Target Chart
Many processes in manufacturing need to position their process output close enough to one of the specification
limits for a purpose of economics such as extension of tool life and longer solution deterioration times. In this
case, the parts are produced within the print tolerance; however, some parts such as bearings, pistons, bores, and
keys are processed either above or below nominal to be on the safe side especially for assembly. A control chart
named deviation from the target chart is developed for the situations where similar characteristics of a part or
different parts are processed and leading a target for each characteristic instead of being around nominal is
important or required.
In order to use the deviation from the target chart, the properties mentioned for the deviation from the nominal
chart must also be satisfied because of the similarities between them. Addition, the parts or characteristics of the
parts being plotted on the same chart could have different sample averages. For this case, the chart may not be
easily evaluated. Besides, a result may be obtained that the process in which the parts are being manufactured is
out of control due to large variation between the sample averages while the process is statistically under control
(Type I error). Therefore, a test should be performed to determine which deviation chart is appropriate for the
process or the parts concerned. The steps for the test are given below:
1. Calculate standard deviations of the parts taken into consideration and F1 value,
1
)( 2
−
−= ∑
n
XXs
i
and
n
tF
v;2/1
α=
where, n is the number of samples for each part concerned, vt ;2/α is the value obtained from t distribution
for significance level of α and degree of freedom of v=(n-1).
2. Use the following criterion to determine which chart is appropriate,
⋅≤
⋅>=−
ChartNominalthefromDeviationuse
ChartTargetthefromDeviationuseTargetNominal
1
1
sF
sF
For instance, a nominal value of part A is coded as 24.5, and a target value as 25.9. Seven samples are taken and
standard deviation is calculated as 1.32. To make a decision, F1 value should be determined. The required F1
value for α =0.05 is
92.07
4469.2
7
6;025.01 ===
tF
Since 2144.132.192.01 =⋅=⋅ sF and 24.5-25.9 = -1.4 = 1.4 > 1.2144, deviation from the target chart should
be selected.
As mentioned before, the control limits for the deviation from the target charts are calculated and the charts are
constructed based on either average and range charts or individuals and moving range charts depending on the
sample size. Let us suppose an example to introduce this particular control chart. Parts A, B, and C have different
specifications, but they are made of the same material and machined using the same method. The data, each is
having three pieces, obtained from the process are coded and given in Table 8.
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Table 8. Measurements for the Parts A, B, and C
Sample No Part X1 X2 X3 X Target ′X
R
1 A 93 95 91 93 90 3 4
2 A 89 92 83 88 90 -2 9
3 A 94 93 89 92 90 2 5
4 A 96 89 97 94 90 4 8
5 A 88 86 93 89 90 -1 6
6 A 91 92 87 90 90 0 5
7 B 59 55 58 57.3 58 -0.7 4
8 B 63 57 59 59.7 58 1.7 6
9 B 59 61 60 60 58 2 10
10 B 60 55 56 57 58 -1 5
11 B 58 54 56 56 58 -2 4
12 B 60 55 59 58 58 0 5
13 C 36 30 33 33 30 3 6
14 C 29 33 31 31 30 1 4
15 C 32 26 29 29 30 -1 6
16 C 34 29 27 30 30 0 7
The control limits for the deviation from the target charts; using A2=1.023, D4=2.575, and D3=0 for the sample
size of n=3 and the number of sample m=16, are calculated as follows:
375.516
86and5625.0
16
9======
∑∑m
RR
m
XX
for average chart,
937.4375.5)023.1(5625.0
062.6375.5)023.1(5625.0
−=⋅−=
=⋅+=
X
X
LCL
UCL
for range chart,
0.0375.5)0(
841.13375.5)575.2(
=⋅=
=⋅=
R
R
LCL
UCL
The control charts are given in Figure 14 and Figure 15, respectively.
-6
-4
-2
0
2
4
6
8
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
UCL
CL
LCL
Figure 14. A Deviation from the Target Chart for Averages
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0
2
4
6
8
10
12
14
16
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
UCL
CL
LCL
Figure 15. A Deviation from the Target Chart for Ranges
When both average and range charts are examined, it may be said that process is in control; however, variation
for the parts A is larger than the others. Therefore, the variation for the parts A should be decreased.
7. Short Run Chart
The traditional control charts such as the average and range charts and the average and standard deviation charts
only allows for one quality characteristic to plotted at a time. When two characteristics are tracked, two charts are
needed to evaluate the process. Deviation chart based on either nominal or target values may be used to plot two
or more characteristics on a chart when the dispersion expressed in range or standard deviation are essentially
identical between characteristics.
The range or standard deviation is used in the formulas for calculating the upper and lower control limits on both
portions of the control charts. When the dispersion expressed in range or standard deviation calculated using the
samples taken from the process is large, artificially high limits may occur so that true out of control conditions
could be masked. In order to make the evaluation process as effective as it should be, short run chart, also known
as Z and W for the average and range (standard deviation) charts and Z and W for the individuals and moving
range charts, may be used to somehow eliminate the effect of having the range or the standard deviation in the
calculation of the control limits. With the short run chart, a plot point is calculated on a control chart that is
independent of the range or standard deviation using a series of inequalities.
A range value determined either a difference between the maximum and the minimum readings observed as in the
average and range charts, or a difference between successive readings as in the individuals and range charts, lies
between the upper and the lower control limits. This may be shown in the following inequality:
RiR UCLRLCL <<
or
RDRRD i 43 <<
Now, if the last inequality is divided by R , which may be a historical or a target value for the process concerned,
or a current value determined based on the samples taken, the following result is obtained:
43 DR
RD i <<
The control chart will have D3 as the lower control limit, D4 as the upper control limit, and 1.00 for the central
line because it occurs when R = R . Therefore, the plot point for each range, Ri, is
R
RR ii =
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where, Ri is the ith range calculated from the current subgroup for a characteristic of a part, and R is the
historical average or target value for the same part. The control limits D3 and D4 are independent of R ; however,
they are a function of sample size n, which must be constant.
With the short run chart, samples obtained from two or more characteristics of a part or different parts may be
plotted. If two or more characteristics of a part, two diameters with different dimensions on the same part, or
more than two characteristics of different parts, two diameters with different dimensions on the different parts or
two different characteristics such as length and width, on the same part, are monitored, the plot points are
determined based on the historical average or target value of the processes from which the samples are taken. For
instance, if there are data obtained from two parts, part A and part B, related to a characteristic, two diameters
with same or different dimensions, then the plot points for part A and part B may be calculated using AR and
BR , respectively. This enables us to plot different parts with similar characteristics generated from similar
processes with different averages and dispersions.
The same approach is followed to determine the plot points for the average portion of the chart. The control
limits for average portion of the average and range chart also contain R in the formula. An average of a
subgroup, X , falls between the control limits. This may be shown in the following inequality:
XXUCLXLCL <<
or
RAXXRAX 22 +<<−
If we subtract X from the inequality and divide by R , we will get:
XRAXXXXRAX −+<−<−− )()()( 22
22
)(A
R
XXA <
−<−
As in the range chart, the control limits –A2 and A2 are dependent of sample size n, which must be constant. The
central line is equal to 0.0 because it occurs when 0=− XX , which is the ideal situation. The plot point of each
average, iX , is:
R
XXX i
−=
where, R is the average range obtained from the ranges of the samples, X is the historical or current grand
average, and X is the average of a subgroup.
The short run chart may be applied to individuals by making the necessary modifications. The ranges are
calculated considering the difference between the successive data points, also called moving range. Therefore, if
there is not any data available to compute a historical range average, sum of the ranges derived from the samples
is divided by m-1, where, m is the number of samples. The control limits for the range portion of the chart are
calculated using D3 and D4 for sample size of 2 and the plot points are determined in the same manner as in the
average and range chart. However, in contrast to the average and range chart, the control limits for the
individuals are calculated using E2 for the sample size of 2. The control limits independent of the X and R , and
plot points determined based on the concept discussed are given as:
The control limits;
REXXREX 22 +<<−
XREXXXXREX −+<−<−− )()( 22
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22 ER
XXE <
−<−
The plot points;
R
XXX i
−=
where, R is the average historical or current range and X is the average of the individuals or a historical value.
The individuals version of the short run chart is also applicable to the situations where two or more
characteristics of a part or more than two parts with similar characteristics may be monitored at the same time.
Suppose a process in which similar characteristics of two shafts are manufactured. While shaft A has
specifications of 9.6310±0.0025 inch, specifications of shaft B are 12.2150±0.003 inch. Based on the records, historical or target average and range for the shaft A are 9.6315 and 0.00082 inches, so for the shaft B 12.2158
and 0.00053 inches. The shafts are sampled with the size of 3 as they manufactured based on the schedule. The
data, coded as 9.63XX and 12.21XX, obtained from the process and statistics calculated for the short-run chart
The control limits are determined directly using ±A2 =1.02 for the averages, D3 =0 and D4 =2.57 for the ranges according to the sample size of 3. In short run charts, since the calculated overall average and average range
should be the same as the historical values of related statistics, the centerline for each characteristic or part is
determined as:
for average chart,
00==
−=
−
ii
ii
i
ii
RR
XX
R
XX
for range chart,
1==i
i
i
i
R
R
R
R
The short run charts are given in Figure 16 for the average portion and in Figure 17 for range portion of the chart,
respectively.
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-1 .5
-1
-0 .5
0
0.5
1
1.5
1 2 3 4 5 6 7 8 9 10 11 12 13
UCL
CL
LCL
Figure 16. Short Run Chart for Averages
0
0.5
1
1.5
2
2.5
3
1 2 3 4 5 6 7 8 9 10 11 12 13
UCL
CL
LCL
Figure 17. Short Run Chart for Ranges
The process may be considered in control whereas variation within the process based on ranges is small. On the
other hand, when the averages are concerned, the process in out of control due to the plotting point of the 10th
sample is above the upper control limits and large variation especially for shaft A. Therefore, the sources of
variation should be determined and eliminated from the process with taking proper corrective actions.
CONCLUDING REMARKS
Control charts, mostly preferred tool for statistical process control, are used for two basic purposes. As a
judgement point of view, the control charts are used to provide guidance whether a process has been operating in
a state of statistical control and signal the presence of special causes of variation so that corrective actions may be
taken. On the other hand, for the operation point of view, control charts are used to maintain the state of
statistical control by extending control limits as a basis for real time decisions.
When a control chart, which is a graphical means of displaying both time-to-time and piece-to-piece variation
exhibited by a key characteristic, is used properly, it provides potential benefits. The control charts may help the
process perform consistently and predictably in terms of higher quality, lower cost, and higher effective capacity.
Besides, they provide a common language for discussing the processes performances and distinguish special from
common causes of variation as a guide to local or management action.
In order to obtain the benefits discussed; however, a control chart suitable for the product and/or process
characteristics should be selected. In this chapter, besides the traditional control charts, alternative control charts,
which may be used when special circumstances, such as low volume of production, importance of additional
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sources of variation, and so on, occur, are introduced to people who work as responsible for statistical process
control in such manufacturing processes and come across problems related to issues of statistical process control.
As a conclusion, it should be recalled that an extensive amount of attention is required for selecting a proper
control chart among the ones given here and applying the selected chart for the key characteristic(s) or
process(es) concerned. The practitioners may use the information based on the properties of the discussed special
control charts given in Table 10 as a guide to determine the proper control chart for their interests.
Table 10. The properties of special control charts
Special Control Charts
Property 1 2 3 4 5 6 7
Sample size 2 2 2 1 or 2 1 1 or 2 1 or 2
Quality
characteristic
1 1 1 1 or 2 1 1 1
Number of
characteristics
1 1 1 1 1 1 or 2 1 or 2
Type of
variation
observed
1 and 2 1, 2, and 3 1 and 2 1 and 2 1, 2, and 3 1 and 2 1 and 2