Chapter 6 Introduction to Statistical Quality Control, 7th Edition by Douglas C. Montgomery.

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 Review Questions
• What are chance and assignable causes of variability? What part
do they play in the operation and interpretation of a Shewhart
control chart?

• Discuss the relationship between a control chart and statistical

hypothesis testing.

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 Review Questions
• Discuss type I and type II errors relative to the control chart.
What practical implication in terms of process operation do
these two types of errors have?

• Relative to the control chart, the type I error represents the probability of
concluding the process is out of control when it isn't, meaning a plot point is
outside the control limits when in fact the process is still in control. In process
operation, high frequencies of false alarms could lead to excessive investigation
costs, unnecessary process adjustment (and increased variability), and lack of
credibility for SPC methods.

• The type II error represents the probability of concluding the process is in control,
when actually it is not; this results from a plot point within the control limits even
though the process mean has shifted out of control. The effect on process
operations of failing to detect an out-of-control shift would be an increase in non-
conforming product and associated costs.
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 Learning Objectives

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Process variability can be monitored with either a control chart for the standard deviation,
called the s control chart, or a control chart for the range, called an R control chart.

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Subgroup Data with Unknown  and 

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The development of the equations for computing the control limits
on the x-bar and R control charts is relatively easy.

The random variable W = R/σ is called the relative range.

The parameters of the distribution of W are a function of the sample
size n.
The mean of W is d2.
Consequently, an estimator of σ is σˆ = R/d2.
Values of d2 for various sample sizes are given in Appendix Table
VI. Therefore, if is the average range of the m preliminary samples,
we may use:

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 Phase I Application of x and R Charts
• Eqns 6.4 and 6.5 are trial control limits
– Determined from m initial samples
• Typically, 20-25 subgroups of size n between 3 and 5
– Any out-of-control points should be examined for assignable causes
• If assignable causes are found, discard points from calculations and
revise the trial control limits
• Continue examination until all points plot in control
• Adopt resulting trial control limits for use
• If no assignable cause is found, there are two options
1. Eliminate point as if an assignable cause were found and revise limits
2. Retain point and consider limits appropriate for control
– If there are many out-of-control points they should be examined for
patterns that may identify underlying process problems

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 Example 6.1 The Hard Bake Process

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 Revision of Control Limits
and Center Lines
• Effective use of control charts requires periodic
review and revision of control limits and center lines
• Sometimes users replace the center line on the x chart
with a target value
• When R chart is out of control, out-of-control points
are often eliminated to recompute a revised value of R
which is used to determine new limits and center line
on R chart and new limits on x chart

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 Phase II Operation of Charts
• Use of control chart for monitoring future
production, once a set of reliable limits are
established, is called phase II of control chart
usage (Figure 6.4)
• A run chart showing individuals observations
in each sample, called a tolerance chart or
tier diagram (Figure 6.5), may reveal patterns
or unusual observations in the data

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• In examining control chart data, it is sometimes
helpful to construct a run chart of the individual
observations in each sample. This chart is
sometimes called a tier chart or tolerance
diagram.
• This may reveal some pattern in the data, or it
may show that a particular value of x-bar or R
was produced by one or two unusual
observations in the sample. A box plot is usually
a very simple way to construct the tier diagram.
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• A tier chart of the flow width data observations is shown in Fig. 6.5. This
chart does not indicate that the out-of-control signals were generated by
unusual individual observations, but instead, they probably resulted from a
shift in the mean around the time that sample 38 was taken.
• The average of the averages of samples 38 through 45 is 1.6633 microns. The
specification limits of (1.50–0.50) and (1.50+0.50) microns are plotted in Fig.
6.5, along with a sketch of the normal distribution that represents process
output when the process mean equals the in-control value 1.5056 microns. A
sketch of the normal distribution representing process output at the new
apparent mean diameter of 1.6633 microns is also shown in Fig. 6.5.

• It is obvious that a much higher percentage of nonconforming wafers will be

produced at this new mean flow rate. Since the process is out of control, a
search for the cause of this shift in the mean must be conducted.

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 Control vs. Specification Limits
• Control limits are derived from natural
process variability, or the natural tolerance
limits of a process

• Specification limits are determined

externally, for example by customers or
designers

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 Control vs. Specification Limits

• There is no
mathematical or
statistical
relationship
between the
control limits and
the specification
limits

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 Guidelines for Control Chart Design
• Control chart design requires specification of sample
size, control limit width, and sampling frequency
– Exact solution requires detailed information on
statistical characteristics as well as economic
factors
– The problem of choosing sample size and
sampling frequency is one of allocating sampling
effort

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 Guidelines for Control Chart Design
• For x chart, choose as small a sample size is consistent with
magnitude of process shift one is trying to detect.

• For moderate to large shifts, relatively small samples are

effective. For small shifts, larger samples are needed.

• For small samples, R chart is relatively insensitive to changes

in process standard deviation. For larger samples (n > 10 or
12), s or s2 charts are better choices (see Sections 6.3.1 and 6.3.2).

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Guidelines for Control Chart Design
• If a shift does occur while a sample is taken, the sample
average can obscure this effect.
• Consequently, this is an argument for using as small a sample
size as is consistent with the magnitude of the process shift that
one is trying to detect.
• An alternative to increasing the sample size is to use warning
limits and other sensitizing procedures to enhance the ability of
the control chart to detect small process shifts

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Guidelines for Control Chart Design
• On the other hand, if we are trying to detect small
shifts, then larger sample sizes of possibly n = 15 to
n = 25 are needed.
• When smaller samples are used, there is less risk of a
process shift occurring while a sample is taken.

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 When it is possible to specify standard values for the process mean and standard
deviation, we may use these standards to establish the control charts for x-bar and R
without analysis of past data.

Suppose that the standards given are μ and σ. Then the parameters of the x-bar chart
are in Equations 6.14 and 6.15 (A can be read from Appendix Table VI).

To construct the R chart with a standard value of σ, recall that σ = R/d2, where d2 is the
mean of the distribution of the relative range. Furthermore, the standard deviation of R
is σR =d3σ, where d3 is the standard deviation of the distribution of the relative range.
Therefore, the parameters of the control chart are in Equation 6.16.

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 6.2.4 Interpretation of Control Charts

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Cyclic patterns occasionally appear on the control chart.
Such a pattern on the x-bar chart may result from systematic
environmental changes such as temperature, operator
fatigue, regular rotation of operators and/or machines, or
fluctuation in voltage or pressure or some other variable in
the production equipment.
R charts will sometimes reveal cycles because of
maintenance schedules, operator fatigue, or tool wear
resulting in excessive variability.

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A mixture is indicated when the plotted points tend to fall near or slightly outside
the control limits, with relatively few points near the center line.
A mixture pattern is generated by two (or more) overlapping distributions
generating the process output. The probability distributions that could be associated
with the mixture pattern in Fig. 6.9 are shown on the right-hand side of that figure.

The severity of the mixture pattern depends on the extent to which the distributions
overlap. Sometimes mixtures result from “overcontrol,” where the operators make
process adjustments too often, responding to random variation in the output rather
than systematic causes.
A mixture pattern can also occur when output product from several sources (such
as parallel machines) is fed into a common stream which is then sampled for process
monitoring purposes.

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A shift in process level is illustrated in Fig. 6.10. These shifts
may result from the introduction of new workers; changes in
methods, raw materials, or machines; a change in the
inspection method or standards; or a change in either the skill,
attentiveness, or motivation of the operators.

Sometimes an improvement in process performance is noted

following introduction of a control chart program, simply
because of motivational factors influencing the workers.

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A trend, or continuous movement in one direction
Trends are usually due to a gradual wearing out or deterioration of a tool or
some other critical process component.
In chemical processes they often occur because of settling or separation of the
components of a mixture. They can also result from human causes, such
as operator fatigue or the presence of supervision.
Finally, trends can result from seasonal influences, such as temperature.
When trends are due to tool wear or other systematic causes of deterioration, this
may be directly incorporated into the control chart model. (e.g. Regression Control Chart,
Modified Control Chart (see Chapter 9))

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Stratification, or a tendency for the points to cluster
artificially around the center line, is illustrated in Fig.
6.12.
We note that there is a marked lack of natural variability
in the observed pattern. One potential cause of
stratification is incorrect calculation of control limits.
This pattern may also result when the sampling process
collects one or more units from several different
underlying distributions within each subgroup.

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• For example, suppose that a sample of size 5 is
obtained by taking one observation from each of five
parallel processes. If the largest and smallest units in
each sample are relatively far apart because they
come from two different distributions, then R will be
incorrectly inflated, causing the limits on the x-bar
chart to be too wide. In this case R incorrectly
measures the variability between the different
underlying distributions, in addition to the chance
cause variation that it is intended to measure.

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 6.2.5 The Effect of Non-normality
• An assumption in performance properties is that the
underlying distribution of quality characteristic is normal
– If underlying distribution is not normal, sampling distributions can be
derived and exact probability limits obtained
• Burr (1967) notes the usual normal theory control limits are
very robust to normality assumption
• Schilling and Nelson (1976) indicate that in most cases,
samples of size 4 or 5 are sufficient to ensure reasonable
robustness to normality assumption for x-bar chart
• Sampling distribution of R is not symmetric, thus symmetric
3-sigma
x limits are an approximation and -risk is not 0.0027.
R chart is more sensitive to departures from normality than
chart.
• Assumptions of normality and independence are not a primary
concern in phase I

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 6.2.6 The Operating Characteristic Function
The ability of the and R charts to detect shifts in process quality is described
by their operating-characteristic (OC) curves.

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 6.2.6 The Operating Characteristic Function
where Φ denotes the standard normal cumulative distribution function. This
reduces to

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Figure 6.13 indicates that for the typical sample sizes 4, 5, and 6, the chart is
not particularly effective in detecting a small shift—say, those on the order of
1.5s or less—on the first sample following the shift.

If the shift is 1.0σ and the sample

size is n = 5, then β = 0.75.

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 Learning Objectives

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