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Chapter 5 Statistical Quality Control, 7th Edition by Douglas C. Montgomery. 1

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Learning Objectives

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Basic SPC Tools

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5.2 Chance and Assignable Causes of Variation

• A process is operating with only chance causes of variation present is said to
be in statistical control.
• A process that is operating in the presence of assignable causes is said to be
out of control.

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5.3 Statistical Basis of the Control Chart

• A control chart contains
– A center line
– An upper control limit
– A lower control limit
• A point that plots within the control
limits indicates the process is in
control
– No action is necessary
• A point that plots outside the
control limits is evidence that the
process is out of control
– Investigation and corrective action
are required to find and eliminate
assignable cause(s)
• If the process is in control, all the
plotted points should have an
essentially random pattern.
• There is a close connection between
control charts and hypothesis
testing
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Photolithography Example
• Important quality
characteristic in hard
bake is resist flow width
• Process is monitored by
average flow width
– Sample of 5 wafers
– Process mean is 1.5
microns
– Process standard
deviation is 0.15
microns
• Note that all plotted
points fall inside the
control limits
– Process is considered to
be in statistical control

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Determination of the Control Limits

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How the Shewhart Control Chart Works

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Shewhart Control Chart Model

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Out-Of-Control-Action Plans (OCAP)

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More Basic Principles

• Control charts may be used to estimate process
parameters, which are used to determine capability
of the process to produce acceptable products.
• Two general types of control charts
– Variables (Chapter 6)
• Continuous scale of measurement
• Quality characteristic described by central tendency and a measure
of variability
– Attributes (Chapter 7)
• Conforming/nonconforming
• Counts
• Control chart design encompasses selection of
sample size, control limits, and sampling frequency
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Types of Process Variability

• Stationary and uncorrelated  data vary around a fixed mean in a stable
or predictable manner
• Stationary and autocorrelated  successive observations are dependent
with tendency to move in long runs on either side of mean
• Nonstationary  process drifts without any sense of a stable or fixed mean

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Reasons for Popularity

of Control Charts
1. Control charts are a proven technique for improving
productivity.
2. Control charts are effective in defect prevention -
“Do it right the first time”.
3. Control charts prevent unnecessary process
adjustment -“If it isn’t broken, don’t fix it” .
4. Control charts provide diagnostic information.
5. Control charts provide information about process
capability.

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5.3.2 Choice of Control Limits

• 3-Sigma Control Limits
– Probability of type I error is 0.0027
• Probability Limits
– Type I error probability is chosen directly
– For example, 0.001 gives 3.09-sigma control limits
• Warning Limits
– Typically selected as 2-sigma limits

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5.3.3 Sample Size and Sampling Frequency

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5.3.4 Rational Subgroups

• The rational subgroup concept means that subgroups or samples
should be selected so that if assignable causes are present, chance for
differences between subgroups will be maximized, while chance for
difference due to assignable causes within a subgroup will be
minimized.

• Two general approaches for constructing rational subgroups:

1. Sample consists of units produced at the same time  consecutive units
– Primary purpose is to detect process shifts
2. Sample consists of units that are representative of all units produced
since last sample  random sample of all process output over
sampling interval
– Often used to make decisions about acceptance of product
– Effective at detecting shifts to out-of-control state and back into in-control
state between samples
– Care must be taken because we can often make any process appear to be
in statistical control just by stretching out the interval between
observations in the sample.

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Rational Subgroups

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5.3.5 Analysis of Patterns on Control Charts

• Pattern is very nonrandom in appearance

• 19 of 25 points plot below the center line, while only 6 plot
above
• Following 4th point, 5 points in a row increase in magnitude,
a run up
• There is also an unusually long run down beginning with
18th point
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The Cyclic Pattern

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5.3.6 Discussion of Sensitizing Rules for

Control Charts

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4.3.7 Phase I and Phase II of Control Chart Application

• Phase I is a retrospective analysis of process

data to construct trial control limits
– Charts are effective at detecting large, sustained
shifts in process parameters, outliers, measurement
errors, data entry errors, etc.
– Facilitates identification and removal of assignable
causes
• In phase II, the control chart is used to monitor
the process
– Process is assumed to be reasonably stable
– Emphasis is on process monitoring, not on bringing
an unruly process into control

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5.4 THE REST OF THE “MAGNIFICENT SEVEN”

1. Histogram or stem-and-leaf plot

2. Check sheet
3. Pareto chart
4. Cause-and-effect diagram
5. Defect concentration diagram
6. Scatter diagram
7. Control chart

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Check Sheet

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Pareto Chart

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Cause-and-Effect Diagram

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Defect Concentration Diagram

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Scatter Diagram

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5.5 Implementing SPC in a Quality Improvement Program

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5.6 An Application of SPC

• Improving quality in a copper plating operation at a
printed circuit board fabrication plant
• The DMAIC process was used
• During the define step, the team decided to focus on
reducing flow time through the process
• During the measures step, controller downtown was
recognized as a major factor in excessive flow time

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5.7 Applications of SPC and Quality Improvement

Tools in Transactional and Service Businesses
• Nonmanufacturing applications often do not differ
substantially from industrial applications, but
sometimes require ingenuity
1. Most nonmanufacturing operations do not have a natural
measurement system
2. The observability of the process may be fairly low
3. People are usually involved in transactional and services
processes, and variability between people may be an
important part of the problem
• Flow charts, operation process charts and value
stream mapping are particularly useful in developing
process definition and process understanding. This is
sometimes called process mapping.
– Used to identify value-added versus nonvalue-added
activity
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Value Stream Mapping

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Transactional and Service Businesses

• All of the quality improvement tools can be used,

including designed experiments
• Sometimes a simulation model if the process is useful
• More likely to encounter attribute data
• Lots of the continuous data may not be normally
distributed (such as cycle time)
• Non-normality isn’t a big problem, because many
techniques are relatively insensitive to the normality
assumption
• Transformations and nonparametric methods could be
used if the problem is severe enough

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Consider a regression model on y = cycle time to process a claim in an

insurance company:

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