Phase DPMO

Control Phase
Statistical Process Control
M# 642
Statistical Process Control
Welcome to Control
Advanced Capability
Elements and Purpose
Defect Prevention
Methodology and Chart Types
Statistical Process Control (SPC)
Special Cause Tests
Six Sigma Control Plans
Examples
Lean Controls
Black Belt Project Closure
Wrap Up & Action Items
M# 643
OSSS LSS Black Belt v10.3 - Control Phase 2 © Open Source Six Sigma, LLC
SPC Overview: Collecting Data
Population:
– An entire group of objects that have been made or will be
made containing a characteristic of interest
Sample:
– A sample is a subset of the population of interest
– The group of objects actually measured in a statistical
study
– Samples are used to estimate the true population
parameters
Population
Sample
Sample
Sample
M# 644
SPC Overview: Control Methods/Effectiveness
Type 1 Corrective Action = Countermeasure: improvement made to the process

which will eliminate the error condition from occurring. The defect will never be created.
This is also referred to as a long-term corrective action in the form of mistake proofing
or design changes.
Type 2 Corrective Action = Flag: improvement made to the process which will detect
when the error condition has occurred. This flag will shut down the equipment so that
the defect will not move forward.
SPC on X’s or Y’s with fully trained operators and staff who respect the rules. Once a
chart signals a problem everyone understands the rules of SPC and agrees to shut
down for Special Cause identification. (Cpk > certain level).
Type 3 Corrective Action = Inspection: implementation of a short-term containment

which is likely to detect the defect caused by the error condition. Containments are
typically audits or 100% inspection.
SPC on X’s or Y’s with fully trained operators. The operators have been trained and
understand the rules of SPC, but management will not empower them to stop for
investigation.
S.O.P. “Standard Operation Procedure” is implemented to attempt to detect the defects.

This action is not sustainable short-term or long-term.
SPC on X’s or Y’s without proper usage = WALL PAPER.
M# 645
Elements of Control Charts
• Developed by Dr. Walter A. Shewhart in 1924

• Graphical and visual plot of changes in the data over time
– This is necessary for visual management of your process.
• Control Charts were designed as a methodology for indicating change
in performance, either variation or Mean/Median.
• All Control Charts have a Central Line and Control Limits to detect
Special Cause variation.
Control Chart of Recycle

60 1
UCL=55.24
Special Cause 50
Variation Detected
40
Individual Value
30
_
X=29.06
Process
20
Center
Control Limits
10
LCL=2.87
0
1 4 7 10 13 16 19 22 25 28
Observation
M# 646
Understanding the Power of SPC
Control Charts indicate when a process is “out of control” or exhibiting Special

Cause variation but NOT why!
SPC Charts incorporate upper and lower Control Limits.
– The limits are typically +/- 3 standard deviations from the Center Line.
– These limits represent 99.73% of natural variability for Normal
Distributions.
SPC Charts allow workers and supervision to maintain improved process
performance from Six Sigma projects.
Use of SPC Charts can be applied with all processes.
– Services, manufacturing, and retail are just a few industries with SPC
applications.
– Caution must be taken with use of SPC for Non-normal processes.
Control Limits describe the process variability and are unrelated to customer
specifications. (Voice of the Process instead of Voice of the Customer)
– An undesirable situation is having Control Limits wider than customer
specification limits. This will exist for poorly performing processes with a
Cp less than 1.0
Many SPC Charts exist and selection must be appropriate for effectiveness.
M# 646
Focus of Six Sigma and the Use of SPC
Y=f(x)
To get results, should we focus our behavior on the Y or X?
Y X1 . . . XN
Dependent Independent
Output Input
Effect Cause
Symptom Problem
Monitor Control
If we find the “vital few” X’s, first consider using

SPC on the X’s to achieve a desired Y?
M# 647
The Control Chart Cookbook
General Steps for Constructing Control Charts

1. Select characteristic (critical “X” or CTQ) to be charted.
2. Determine the purpose of the chart.
3. Select data-collection points.
4. Establish the basis for sub-grouping (only for Y’s).
5. Select the type of Control Chart.
6. Determine the measurement method/criteria.
7. Establish the sampling interval/frequency.
8. Determine the sample size.
9. Establish the basis of calculating the Control Limits.
Stirred or
10. Set up the forms or software for charting data. Shaken?
11. Set up the forms or software for collecting data.
12. Prepare written instructions for all phases.
13. Conduct the necessary training.
M# 647
Purpose of Statistical Process Control
Every process has Causes of Variation known as:

– Common Cause: Natural variability (i.e. random within control limits)
– Special Cause: Unnatural variability
• Assignable: Reason for detected Variability
• Pattern Change: Presence of trend or unusual pattern
SPC is a basic tool to monitor and improve variation in a

process.
SPC is used to detect Special Cause variation telling us the
process is “out of control” but does NOT tell us why.
SPC gives a glimpse of ongoing process capability AND is a
visual management tool.
This is a special cause!!

M# 648
Control Chart Anatomy
Special Cause
Variation Run Chart of
Process is “Out data points
of Control”
Upper Control
Limit
+/- 3 Standard
Deviations
Common Cause
Variation
Process is “In
Control”
Lower Control
Limit
Average
Special Cause
Variation
Process is “Out
of Control” Process Sequence/Time Scale
M# 649
Control and Out of Control
Outlier
3
2
1
99.7%
95%
68%
-1
-2
-3
Outlier
M# 650
Size of Subgroups
Typical subgroup sizes are 3-12 for variable data:

– If difficulty of gathering sample or expense of testing exists the size, n,
is smaller
– 3, 5, and 10 are the most common size of subgroups because of ease
of calculations when SPC is done without computers.
Size of subgroups aid in detection of shifts of Mean indicating Special Cause
exists. The larger the subgroup size, the greater chance of detecting a Special
Cause. Subgroup size for Attribute Data is often 50 – 200.
Lot 1 Lot 5
Lot 3
Lot 2
Lot 4
Short-term studies
Long-term study
M# 651
The Impact of Variation
Sources of Variation Sources of Variation Sources of Variation
- Natural Process Variation - Natural Process Variation - Natural Process Variation

as defined by subgroup - Different Operators - Different Operators
selection - Supplier Source
-UCL
-LCL
First, select the spread

that we will declare as
the “Natural Process
Variation”, so that
whenever any point
lands outside these So, when a second And, of course, if two
“Control Limits”, an source of variation additional sources of variation
alarm will sound appears, we will know! arrive, we will detect that, too!
If you base your limits on all three sources of variation,

what will sound the alarm?
M# 651
SPC Chart Selection Process
Choose Appropriate
Control Chart
ATTRIBUTE type CONTINUOUS

of data
type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES
Sample size 1 2-8 9+

type
type of
of defect
subgroups
I – MR X–R X–S
Chart Chart Chart
CONSTANT VARIABLE CONSTANT VARIABLE
Individuals Mean & Mean &
& Moving Range Std. Dev.
Range
NP SPECIAL CASES
C Chart U Chart P Chart
Chart
Number of Incidences Number of Proportion

Incidences per Unit Defectives Defectives
CuSum EWMA
Chart Chart
Cumulative Exponentially
Sum Weighted Moving
Average M# 652
Understanding Variable Control Chart Selection
Type of Chart
When do you need it?
Most common
 Production is higher volume; allows subgroup process Mean and Range
Average & Range
(Xbar-R) or Variability (Xbar-S) to be viewed and assessed together.
or StdDev
Outliers can cause issues with Range (R) charts so Standard Deviation
(Xbar and R or
charts (S) used instead if concerned.
Xbar and S)
 Production is low volume or cycle time to build product is long or
Individual and homogeneous sample represents entire product (batch etc.); sampling
Moving Range and testing is costly so subgroups are not desired. Control limits are
wider than Xbar Charts. Used for SPC on most inputs.
 Set-up is critical, cost of setup scrap is high and/or very low production
Pre-Control volumes. Used for outputs only and prior to establishing I-MR or Xbar-R
Control Charts.
 Small shift needs to be detected, often because of autocorrelation of the

Exponentially output results. Used only for individuals or averages of Outputs.
Weighted
Infrequently used because of calculation complexity.
Moving Average
 Same reasons as EWMA (Exponentially Weighted Moving Range) except
Cumulative Sum the past data is as important as present data.
Less Common
M# 653
SPC: Xbar-R Chart
If each of your observations consists of a subgroup of data, rather than just

individual measurements, an Xbar-R or Xbar-S chart providers greater
sensitivity. Failure to form rational subgroups correctly will make your charts
dangerously wrong.
Xbar-R Chart
U C L=225.76
225
Sample Mean
222 _
_
X=221.13
219
LC L=216.50
216
1 3 5 7 9 11 13 15 17 19 21 23
Sample
U C L=16.97
16
Sample Range
12
_
8 R=8.03
0 LC L=0
1 3 5 7 9 11 13 15 17 19 21 23
Sample
M# 654
Xbar-R Chart Calculations
Calculate the parameters of the Xbar and R (Xbar-R) Control Charts with
the following:
Center Line Control Limits

k
R
k
x i i UCL x  X  A 2 R UCL R  D 4 R
X i 1
R  i
LCL x  X  A 2 R LCL R  D3R
k k
Where:
Xi : Average of the subgroup averages, it becomes the Center Line of the Control Chart
Xi: Average of each subgroup
k: Number of subgroups
Ri : Range of each subgroup (Maximum observation – Minimum observation)
Rbar: The average range of the subgroups, the Center Line on the Range Chart
UCLX: Upper Control Limit on Average Chart
LCLX: Lower Control Limit on Average Chart
UCLR: Upper Control Limit on Range Chart
LCLR : Lower Control Limit Range Chart
A2, D3, D4: Constants that vary according to the subgroup sample size
M# 655
Xbar-S Chart Calculations
Calculate the parameters of the Xbar and S (Xbar-S) Control Charts with the
following:

k k
x i s i UCL x  X  A3 S UCL S  B4 S
X i 1
S i 1
k k LCL x  X  A3 S LCL S  B3 S
Where:
Xi: Average of the subgroup averages, it becomes the Center Line of the Control Chart
Xi: Average of each subgroup
k: Number of subgroups
si : Standard Deviation of each subgroup
Sbar: The average S. D. of the subgroups, the Center Line on the S chart
UCLX: Upper Control Limit on Average Chart
LCLX: Lower Control Limit on Average Chart
UCLS: Upper Control Limit on S Chart
LCLS : Lower Control Limit S Chart
A3, B3, B4: Constants that vary according to the subgroup sample size
M# 655
SPC: I-MR Chart
An Individuals and Moving Range (I-MR) Chart combines Control Charts of the
values of each individual observation and a moving range between points.
You can use the I chart to track the process level and to detect the presence of
Special Causes when the sample size is 1.
Seeing both charts together allows you to track the process level and process
variation at the same time, providing greater sensitivity that can help detect the
presence of Special Causes.
I-MR Chart
U C L=226.12
225.0
Individual Value
222.5
_
220.0 X=219.89
217.5
215.0
LC L=213.67
1 13 25 37 49 61 73 85 97 109
O bse r v ation
8
U C L=7.649
6
Moving Range
4
__
M R=2.341
2
0 LC L=0
1 13 25 37 49 61 73 85 97 109
O bse r v ation
M# 656
I-MR Chart Calculations
Calculate the parameters of the Individual and MR (I-MR) Control Charts

with the following:

k
R
k
x i i
UCL x  X  E 2 MR UCL M R  D 4 MR
X i 1 MR  i
k k LCL x  X  E 2 MR LCL M R  D3 MR
Where:
Xbar: Average of the individuals, becomes the Center Line on the Individuals Chart
Xi: Individual data points
k: Number of individual data points
Ri : Moving range between individuals, generally calculated using the difference between
each successive pair of readings
MRbar: The average moving range, the Center Line on the Range Chart
UCLX: Upper Control Limit on Individuals Chart
LCLX: Lower Control Limit on Individuals Chart
UCLMR: Upper Control Limit on moving range
LCLMR : Lower Control Limit on moving range (does not apply for sample sizes below 7)
E2, D3, D4: Constants that vary according to the sample size used in obtaining the moving range
M# 656
SPC: Pre-Control Charts
Pre-Control Charts use zones relative to the specification limits not standard
deviations. This is the first and ONLY chart you will see specification limits
plotted for Statistical Process Control. This is the most basic type of chart and
unsophisticated use of process control.
Red Zones. Zone outside the

0.0 0.25 0.5 0.75 1.0 specification limits. Signals the
process is out-of-control and
should be stopped
Yellow Zones. Zone between

RED Yellow GREEN Yellow Red
the PC Lines and the
specification limits, indicates
caution and the need to watch
the process closely
Green Zone. Zone lies

LSL Target USL between the PC Lines, signals
the process is in control
M# 657
Process Setup and Restart with Pre-Control
Qualifying Process
• To qualify a process, five consecutive parts must fall within the green zone
– The process should be qualified after tool changes, adjustments, new
operators, material changes, etc
Monitoring Ongoing Process

• Sample two consecutive parts at predetermined frequency
– If either part is in the red, stop production and find reason for variation
– When one part falls in the yellow zone inspect the other and
• If the second part falls in the green zone then continue
• If the second part falls in the yellow zone on the same side, make
an adjustment to the process
• If second part falls in the yellow zone on the opposite side or in the
red zone, the process is out of control and should be stopped
– If any part falls outside the specification limits or in the red zone, the
process is out of control and should be stopped
M# 657
SPC: Exponentially Weighted Moving Average (EWMA) Chart
An EWMA chart is a chart of Exponentially-Weighted Moving Averages. Each

EWMA point incorporates information from all of the previous subgroups or
observations, but gives less weight to process data as they get older. You can
customize the EWMA chart to detect any size shift in the process.
Use EWMA charts to monitor in-control processes to detect small shifts away
from the target. EWMA charts are suitable for processes in which it takes
some time to produce a single item.
Because of the complexity of formulas, execution of the EWMA is usually not

done without automation and computer assistance.
M# 658
EWMA Chart Calculations
Calculate the parameters of the EWMA Control Charts with the

following:
Control Limits
Center Line σ λ
UCL  X  3 ( )[1 (1  λ) 2t ]
n 2λ
Zt  λ X t  (1  λ) Zt 1
σ λ
LCL  X  3 ( )[1  (1  λ) 2t ]
n 2λ
Where:
Zt: EWMA statistic plotted on Control Chart at time t
Zt-1: EWMA statistic plotted on Control Chart at time t-1
: The weighting factor between 0 and 1 – suggest using 0.2
: Standard Deviation of historical data (pooled Standard Deviation for subgroups
– MRbar/d2 for individual observations)
Xt: Individual data point or sample averages at time t
UCL: Upper Control Limit on EWMA Chart
LCL: Lower Control Limit on EWMA Chart
n: Subgroup sample size
M# 658
SPC: Cumulative Sum (CUSUM) Chart
CUSUM charts display the sum of the differences between sample values and
the target. Use CUSUM charts for in-control processes to detect small shifts
away from the target. CUSUM charts are suitable for processes in which it
takes some time to produce a single item.
Calculate the parameters of the CUSUM control charts with MINITABTM or other
program since the calculations are even more complicated than the EWMA
charts.
Because of the complexity of formulas, execution of the CUSUM is not done

without automation and computer assistance.
M# 659
Understanding Attribute Control Chart Selection
Type of
Attribute Chart
No hierarchy When do you need it?
P  Need to track the percentage of defective
units in a defined subgroup; sample size is
variable and usually > 50
nP  When you want to track the number of defective
units per subgroup; sample size is usually
constant and usually > 50
C  When you want to track the number of defects per
subgroup of units produced; sample size is
constant
U  When you want to track the number of

defects per unit; sample size is variable
Unlike Variable Control Charts, there is no usage hierarchy with Attribute

Charts. The chart choice is entirely dependent the characteristics of the
Attribute Data to be plotted. M# 660
SPC : P Chart
• P Charts and nP Charts are for tracking defectives.

• A P Chart can do everything an nP Chart can, so we’ll just learn how to do
a P Chart!
• Used for tracking defectives – the item is either good or bad, pass or fail,
accept or reject.
• Center Line is the proportion of “rejects” and is also your Process
Capability.
• Input to the P Chart is a series of integers — number bad, number
rejected. In addition, you must supply the sample size.
M# 661
P Chart Calculations
Calculate the parameters of the P Control Charts with the

following:

p (1  p )
p
Total number of defective items UCL p  p  3
Total number of items inspected ni
p (1  p )
LCL p  p  3
Where: ni
p: Average proportion defective (0.0 – 1.0)
ni: Number inspected in each subgroup
LCLp: Lower Control Limit on P Chart
UCLp: Upper Control Limit on P Chart
Since the Control Limits are a function of

sample size, they will vary for each sample.
M# 662
nP Chart Calculations
Calculate the parameters of the nP Control Charts with the

following:
np 
Total number of defective items UCL np  n i p  3 ni p(1  p)
Total number of subgroups
Where: LCL np  n i p  3 n i p(1- p)
np: Average number defective items per subgroup
ni: Number inspected in each subgroup
LCLnp: Lower Control Limit on nP chart
UCLnp: Upper Control Limit on nP chart
Since the Control Limits AND Center Line are a

function of sample size, they will vary for each sample.
M# 662
SPC: U Chart
• U Charts and C Charts are for tracking defects.

• A U Chart can do everything a C Chart can, so we’ll just learn how to do a U
Chart. This chart counts flaws or errors (defects). One “search area” can
have more than one flaw or error.
• Search area (unit) can be practically anything we wish to define. We can look
for typographical errors per page, the number of paint blemishes on a truck
door or the number of bricks a mason drops in a workday.
• You supply the number of defects on each unit inspected.
M# 663
U Chart Calculations
Calculate the parameters of the U Control Charts with the

following:

u
u
Total number of defects Identified UCL u  u  3
Total number of Units Inspected ni
u
LCL u  u  3
Where: ni
u: Total number of defects divided by the total number of units inspected.
ni : Number inspected in each subgroup
LCLu: Lower Control Limit on U Chart.
UCLu: Upper Control Limit on U Chart.
Since the Control Limits are a function of

sample size, they will vary for each sample.
M# 664
C Chart Calculations
Calculate the parameters of the C Control Charts with the

following:

Total number of defects UCL c  c  3 c
c
Total number of subgroups
LCL c  c  3 c
Where:
c: Total number of defects divided by the total number of subgroups.

LCLc: Lower Control Limit on C Chart.
UCLc: Upper Control Limit on C Chart.
M# 664
Frequency of Sampling
Sampling Frequency is a balance between cost of sampling and

testing versus cost of not detecting shifts in Mean or variation.
Process knowledge is an input to frequency of samples after the
subgroup size has been decided.
– If a process shifts but cannot be detected because of too infrequent
sampling, the customer suffers
– If choice is given of large subgroup samples infrequently or smaller
subgroups more frequently, most choose to get information more
frequently.
– In some processes, with automated sampling and testing frequent
sampling is easy.
If undecided as to sample frequency, sample more frequently to confirm
detection of process shifts and reduce frequency if process variation is
still detectable.
A rule of thumb also states “sample a process at least 10X more
frequent than the frequency of ‘out of control’ conditions”.
M# 665
Frequency of Sampling
Sampling too little will not allow for sufficient detection of shifts in the
process because of Special Causes.
I Chart of Sample_3
Output 7.5
UCL=7.385
All possible samples 7.0

7.5
Individual Value
6.5
7
_
6.5 6.0
X=6.1
6
5.5
5.5
5 5.0 Sample every half hour
LCL=4.815
1 7 13 19 25 31 37
1 2 3 4 5 6 7 8 9 10 11 12 13
Observation
I Chart of Sample_6 I Chart of Sample_12

6.6
UCL=8.168 UCL=6.559
8
6.4
6.2
7
Individual Value
Individual Value
6.0
_ _
X=6.129 X=5.85
6 5.8
5.6
5 5.4
5.2
Sample 4x per shift
Sample every hour LCL=5.141
4 LCL=4.090
5.0
1 2 3 4 5 6 7 1 2 3 4
Observation Observation
M# 665
Detection of Assignable Causes or Patterns
Control Charts indicate Special Causes as being either assignable causes or

patterns.
There are typically 8 rules for detecting Special Cause and making a process
Out of Control.
These 4 rules are applicable tests for both variable or attribute control charts.
They are also visually the most easily detected by personnel.
– 1 data point outside the calculated Upper or Lower Control Limit.
– 9 points in a row on the same side of the center line.
– 6 points in a row all either increasing or all decreasing.
– 14 points in a row alternating up and down.
The remaining 4 rules are only for variable data control charts.
– 2 out of 3 points greater than 2 Standard Deviations from the Center
Line on the same side.
– 4 out of 5 points greater than 1 Standard Deviation from the Center
Line on the same side.
– 15 points in a row all within one Standard Deviation of either side of the
Center Line.
– 8 points in a row all greater than one Standard Deviation of either side
of the Center Line.
M# 667
Special Cause Rule Defaults in MINITABTM
When using MINITABTM, you should be aware of the default settings for
the rules. You can alter your program defaults by selecting:
Tools > Options…
Control Charts and

Quality Tools
Tests
Many experts have commented on the appropriate tests and numbers

to be used. Decide then be consistent when implementing.
M# 667
Special Cause Tests
This is the MOST common Special Cause test

used in SPC charts.
Test 1 One point beyond zone A

1
A
B
C
C
B
A
M# 668
Special Cause Tests
This test is an indication of a shift in the process Mean
Test 2 Nine points in a row on

same side of center line
A
B
C
C
B 2
M# 668
Special Cause Tests
This test is indicating a trend or gradual shift in the Mean
M# 669
Special Cause Tests
This test is indicating a non-random pattern
Test 4 Fourteen points in a

row, alternating up and down
A
B
C
C 4
B
A
M# 669
Special Cause Tests
This test is indicating a shift in the Mean or a worsening of

variation.
Test 5 Two out of three points in

a row in zone A (one side of center
line)
5
A
B
C
C
B
A 5
M# 670
Special Cause Tests
This test is indicating a shift in the Mean or degradation of

variation
Test 6 Four out of five points in

zone B or beyond (one side of
center line)
6
A
B
C
C
B 6
M# 670
Special Cause Tests
This test is indicating a dramatic improvement of the

variation in the process
Test 7 Fifteen points in a row in

zone C (both sides of center line)
A
B
C
C 7
B
A
M# 671
Special Cause Tests
This test is indicating a severe worsening of variation
Test 8 Eight points in a row

beyond zone C (both sides of
center line)
A
B
C
C
B 8
M# 671
Responding to Out of Control Indications
The power of SPC is not to find out what the Center Line and Control Limits are.
The power is to react to the Out of Control (OOC) indications with your Out of
Control Action Plans (OCAP) for the process involved. These actions are your
corrective actions to correct the output or input to achieve proper conditions.
Individual SPC chart for Response Time
40
1
UCL=39.76
VIOLATION:
Special Cause is indicated
30
Individual Value
20 _
X=18.38
10 OCAP
If response time is too high, get
0
LCL=-3.01
additional person on phone bank
1 4 7 10 13 16 19 22 25 28 31
Observation
SPC requires immediate response to a Special Cause indication.

SPC also requires no “sub optimizing” by those operating the process.
– Variability will increase if operators always adjust on every point if not at
the Center Line. ONLY respond when an Out of Control or Special
Cause is detected.
– Training is required to interpret the charts and response to the charts. M# 672
Attribute SPC Example
Practical Problem: A project has been launched to get rework

reduced to less than 25% of paychecks. Rework includes contacting a
manager about overtime hours to be paid. The project made some
progress but decides they need to implement SPC to sustain the gains
and track % defective. Please analyze the file “paycheck2.mtw” and
determine the Control Limits and Center Line.
Step 3 and 5 of the methodology is the primary focus for this example.
– Select the appropriate Control Chart and Special Cause tests to
employ
– Calculate the Center Line and Control Limits
– Looking at the data set, we see 20 weeks of data.
– The sample size is constant at 250.
– The amount of defective in the sample is in column C3.
Paycheck2.mtw
M# 672
Attribute SPC Example (cont.)
The example includes % paychecks defective. The metric to be

charted is % defective. We see the P Chart is the most
appropriate Attribute SPC Chart.
Choose Appropriate
Control Chart
type
ATTRIBUTE CONTINUOUS
of data
type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES

type
type of
of defect
subgroups I – MR X–R X–S
Chart Chart Chart
Range
NP
C Chart U Chart P Chart SPECIAL CASES
Chart

Incidences per Unit Defectives Defectives CuSum EWMA
Chart Chart
Sum Weighted
Moving Average M# 673
Notice specifications were never discussed. Let us calculate the

Control Limits and Central Line for this example.
Stat > Control Charts > Attribute Charts > P…
We will confirm what rules for Special Causes are included in our
Control Chart analysis.
M# 673
Click on the “P Chart Options…” and go to the “Tests” tab to

clarify the rules for detecting Special Causes.
…. P Chart Options… > Tests tab
Control Chart analysis. Select the top 3 and Click OK
M# 674
No Special Causes were detected. The average % defective

checks were 20.38%. The UCL was 28.0% and 12.7% for the
LCL.
P Chart of Empl_w_Errors
0.30
UCL=0.2802
0.25
Proportion
_
0.20 P=0.2038
0.15
LCL=0.1274
1 3 5 7 9 11 13 15 17 19
Sample
Now we must see if the next few weeks are showing Special
Cause from the results. The sample size remained at 250 and
the defective checks were 61, 64, 77.
M# 674
We have calculated the Control Limits from the first 20 weeks. Now we
need to add in 3 new weeks of data and NOT have MINITABTM calculate
new Control Limits.
We are executing Steps 6-8
– Step 6: Plot process X or Y on the newly created Control Chart
– Step 7: Check for Out-Of-Control (OOC) conditions after each point
– Step 8: Interpret findings, investigate Special Cause variation, &
make improvements following the Out of Control Action Plan
(OCAP)
Notice the new 3 weeks of data was entered

into the spreadsheet.
M# 675
MINITABTM will automatically calculate new control limits when data is added or
removed unless we follow this technique:
……P Chart Options > Parameters tab
The new updated SPC chart

is shown with one Special
Cause.
Place the P value from the P Chart of Empl_w_Errors
first chart we created in the 0.30

1
“Estimates’ tab. This will UCL=0.2802
prevent MINITABTM from 0.25
calculating new Control Limits Proportion
_
0.20 P=0.2038
0.15
LCL=0.1274
1 3 5 7 9 11 13 15 17 19 21 23
Sample
M# 675
Attribute SPC example (cont.)
Because of the Special Cause, the process must refer to the Out of Control
Action Plan (OCAP) that states what Root Causes need to be investigated and
what actions are taken to get the process back in Control.
P Chart of Empl_w_Errors
1
0.30
UCL=0.2802
0.25
Proportion
_
0.20 P=0.2038
0.15
LCL=0.1274
1 3 5 7 9 11 13 15 17 19 21 23
Sample
After the corrective actions are taken, wait until the next sample is taken to see if
the process has changed to not show Special Cause affect.
– If still out of control, refer to the OCAP and take further action. DO NOT make
any more changes if the process shows back in control after the next reading.
• Even if the next reading seems higher or lower than the Center Line! If it’s
within the Control limits, don’t react and cause more variability.
If process changes are documented after this project was closed, the Control
Limits should be recalculated as in step 9 of the SPC methodology.
M# 676
Variable SPC Example
Practical Problem: A job shop drills holes for its largest

customer as a final step to deliver a highly engineered fastener.
This shop uses five drill presses and gathers data every hour
with one sample from each press representing a subgroup. The
data is gathered in columns C3-C7 of the file “Holediameter.mtw”
Step 3 and 5 of the methodology is the primary focus for this

example.
– Select the appropriate Control Chart and Special Cause
tests to employ
– Calculate the Center Line and Control Limits
Holediameter.mtw
M# 676
Variable SPC Example (cont.)
The example has Continuous Data, subgroups and we have no

interest in small changes in the process output. We select the
Xbar-R Chart because the Subgroup size is 5 parts.
Choose Appropriate
Control Chart
type
ATTRIBUTE CONTINUOUS
of data
type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES

type
type of
of defect
subgroups I – MR X–R X–S
Chart Chart Chart
Range
NP
C Chart U Chart P Chart SPECIAL CASES
Chart

Incidences per Unit Defectives Defectives CuSum EWMA
Chart Chart
Sum Weighted
Moving Average
M# 677
Again, notice that Specifications are never discussed. Let us

calculate the Control Limits and Center Line for this example.
In the drop down menu select
“Observations for a subgroup are in one row of columns:”
Then select all 5 columns in the window.
Stat > Control Charts > Variables Chart for Subgroups > Xbar R…
Control Chart analysis. M# 677
Click on the “Xbar and R Options…” button then the “Tests” tab
to clarify the rules for detecting Special Causes.
We will confirm what ……..Xbar-R Chart... Options > Tests
rules for Special Causes
are included in our
Control Chart analysis.
For this example check
the first and third test.
M# 678
Then the select the “Estimate” tab and check the radio button for
the Rbar method for estimating Standard Deviation.
……..Xbar-R Chart Options > Estimate
M# 678
No Special Causes were detected in the Xbar Chart with the 2 selected
tests. The average hole diameter (X) is 26.33. The UCL is 33.07 and
19.59 for the LCL.
Xbar-R Chart of Part1, ..., Part5
35
U C L=33.07
Sample M ean
30
_
_
X=26.33
25
20 LC L=19.59
1 6 11 16 21 26 31 36 41 46
Sample
1
24 U C L=24.72
Sample Range
18
_
12 R=11.69
0 LC L=0
1 6 11 16 21 26 31 36 41 46
Sample
Now we will use the Control Chart to monitor the next 2 hours and see if
we are still in control. M# 679
Remember, we have calculated the Control Limits from the first 20

weeks. We must now put in 2 more hours and NOT have MINITABTM
calculate new Control Limits which will be done automatically if we do not
follow this step. We are executing Steps 6-8
– Step 6: Plot process X or Y on the newly created Control Chart
– Step 7: Check for Out-Of-Control (OOC) conditions after each point
– Step 8: Interpret findings, investigate special cause variation,
& make improvements following the Out of Control Action Plan
(OCAP)
Enter the new 2 hours of

data as shown into the
spreadsheet.
M# 679
MINITABTM will automatically calculate new control limits when data is added or
removed unless we follow this technique:
……..Xbar-R Chart Options > Parameters
Enter the Mean (X) from the FIRST

chart we created in the “Mean:” field.
For Standard deviation, enter the value

of the average Range from the FIRST
chart divided by the d2 factor (R/d2).
The d2 factor is found in the table of
constants for a given sample size. d2
for a sample size of 5 is 2.326 so
11.69 /2.326 = 5.026
This will prevent MINITABTM from

calculating new Control Limits.
M# 680
A new updated Xbar-R Chart is shown with still no Special Causes detected by
the 2 selected tests. The Mean, UCL and LCL are unchanged from the first
chart because of the completed parameters option.
The process does not refer to the OCAP or Out of Control Action Plan and NO
actions are required.
Xbar-R Chart of Part1, ..., Part5
If process
35
changes are U C L=33.07
documented
Sample M ean
30
after the _
_
X=26.33
25
project is
closed, the 20 LC L=19.59
Control Limits 1 6 11 16 21 26 31 36 41 46 51
Sample
should be
1
recalculated 24 U C L=24.72
as in Step 9 of
Sample Range
18
the SPC 12
_
R=11.69
methodology
6
0 LC L=0
1 6 11 16 21 26 31 36 41 46 51
Sample
M# 680
Recalculation of SPC Chart Limits
• Step 9 of the methodology refers to recalculating SPC limits.

• Processes should see improvement in variation after usage of SPC.
• Reduction in variation or known process shift should result in Center
Line and Control Limits recalculations.
– Statistical confidence of the changes can be confirmed with
Hypothesis Testing from the Analyze Phase.
• Consider a periodic time frame for checking Control Limits and
Center Lines.
– 3, 6, 12 months are typical and dependent on resources and
priorities
– A set frequency allows for process changes to be captured.
• Incentive to recalculate limits include avoiding false Special Cause
detection with poorly monitored processes.
• These recommendations are true for both Variable and Attribute
Data.
M# 681
SPC Chart Option in MINITABTM for  Levels
Remembering many of the tests are based on the 1st and 2nd Standard
Deviations from the Center Line, some Black Belts prefer to have these
additional lines displayed. This is possible by selecting the S limit tab
from the Options window. Here is an example of the I-MR Options
window: ….I-MR Options > S Limits
The extra lines can be helpful if users are using MINITABTM for the SPC.
M# 681
Summary
At this point, you should be able to:

• Describe the elements of an SPC Chart and the purposes of SPC
• Understand how SPC ranks in Defect Prevention
• Describe the 13 step route or methodology of implementing a chart
• Design subgroups if needed for SPC usage
• Determine the frequency of sampling
• Understand the Control Chart selection methodology
• Be familiar with Control Chart calculations such as UCL, LCL and
the Center Line
• Understand the Special Cause tests and Out of Control parameters
M# 682

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What are the elements of a control chart and their purpose?

What are the elements of a control chart and their purpose?

What are the steps to implement a statistical process control chart?

What are the steps to implement a statistical process control chart?

Control Phase

Statistical Process Control

Black Belt Project Closure

Wrap Up & Action Items

Type 1 Corrective Action = Countermeasure: improvement made to the process

Type 3 Corrective Action = Inspection: implementation of a short-term containment

S.O.P. “Standard Operation Procedure” is implemented to attempt to detect the defects.

SPC on X’s or Y’s without proper usage = WALL PAPER.

• Developed by Dr. Walter A. Shewhart in 1924

Control Chart of Recycle

Control Charts indicate when a process is “out of control” or exhibiting Special

If we find the “vital few” X’s, first consider using

General Steps for Constructing Control Charts

Every process has Causes of Variation known as:

SPC is a basic tool to monitor and improve variation in a

This is a special cause!!

Typical subgroup sizes are 3-12 for variable data:

Sources of Variation Sources of Variation Sources of Variation

- Natural Process Variation - Natural Process Variation - Natural Process Variation

First, select the spread

If you base your limits on all three sources of variation,

ATTRIBUTE type CONTINUOUS

Sample size 1 2-8 9+

Number of Incidences Number of Proportion

 Small shift needs to be detected, often because of autocorrelation of the

If each of your observations consists of a subgroup of data, rather than just

Center Line Control Limits

Center Line Control Limits

Calculate the parameters of the Individual and MR (I-MR) Control Charts

Center Line Control Limits

Red Zones. Zone outside the

Yellow Zones. Zone between

Green Zone. Zone lies

Monitoring Ongoing Process

An EWMA chart is a chart of Exponentially-Weighted Moving Averages. Each

Because of the complexity of formulas, execution of the EWMA is usually not

Calculate the parameters of the EWMA Control Charts with the

Because of the complexity of formulas, execution of the CUSUM is not done

U  When you want to track the number of

Unlike Variable Control Charts, there is no usage hierarchy with Attribute

• P Charts and nP Charts are for tracking defectives.

Calculate the parameters of the P Control Charts with the

Center Line Control Limits

Since the Control Limits are a function of

Calculate the parameters of the nP Control Charts with the

Center Line Control Limits

Since the Control Limits AND Center Line are a

• U Charts and C Charts are for tracking defects.

Calculate the parameters of the U Control Charts with the

Center Line Control Limits

Since the Control Limits are a function of

Calculate the parameters of the C Control Charts with the

Center Line Control Limits

c: Total number of defects divided by the total number of subgroups.

Sampling Frequency is a balance between cost of sampling and

All possible samples 7.0