Chapter 5 Introduction to Statistical Quality Control, 5th Edition by Douglas C. Montgomery.

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Chapter 5 Introduction to Statistical Quality Control, 5th Edition by Douglas C. Montgomery. 2
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Chapter 5 Introduction to Statistical Quality Control, 5th Edition by Douglas C. Montgomery. 3
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• A single measurable quality characteristic,
such as a dimension, weight, or volume, is
called a variable. Control charts for variables
are used extensively. Control charts are one of
the primary tools used in the analize and
control steps of DMAIC.

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• When dealing with a quality characteristic that is a
variable, it is usually necessary to monitor both the
mean value of the quality characteristic and its
variability. Control of the process average or mean
quality level is usually done with the control chart for
means, or the x control chart. 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. The R chart is more widely used. Usually,
separate and R charts are maintained for each quality
characteristic of interest

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 It is important to maintain control over both the process mean and
process variability.
Figure 5.1 illustrates the output of a production process. In Fig. 5.1a both
the mean and standard deviation are in control at their nominal values
;consequently, most of the process output falls within the specification
limits.
However, in Fig.5.1b the mean has shifted to a value m1 > m0 , resulting
in a higher fraction of nonconforming product.
In Fig. 5.1c the process standard deviation has shifted to a value s1 > s0.
This also results in higher process fallout, even though the process mean
is still at the nominal value.

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Subgroup Data with Unknown µ and s

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Subgroup Data with Unknown µ and s

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 Thus, would be used as the center line on the chart.
To construct the control limits, we need an estimate of the standard
deviation.

If x1 , x2 , . . . , xn is a sample of size n , then the range of the sample

is the difference between the largest and
smallest observations; that is,

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Subgroup Data with Unknown µ and s

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 Process variability may be monitored by plotting values of the sample range

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• Development of Equations (5.4) and (5.5). The
development of the equations for computing
the control limits on the and R control charts is
relatively easy.
• The random variable W = R/s 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.

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 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
• In phase I control chart usage, when preliminary samples are used to
construct and R control charts, it is customary to treat the control limits
obtained from equations (5.4) and (5.5) as 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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• Occasionally, when the initial sample values of x and R are plotted against
the trial control limits, many points will plot out of control. Clearly, if we
arbitrarily drop the outof- control points, we will have an unsatisfactory
situation, as few data will remain with which we can recompute reliable
control limits. We also suspect that this approach would ignore much useful
information in the data. On the other hand, searching for an assignable
cause for each out-of-control point is unlikely to be successful. We have
found that when many of the initial samples plot out of control against the
trial limits, it is better to concentrate on the patterns on control charts
formed by these points. Such a pattern will almost always exist. Usually,
the assignable cause associated with the pattern of out-of-control points is
fairly easy to identify. Removal of this process problem usually results in a
major process improvement.

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 Figure 5.3 illustrates three cases of interest relative to the PCR Cp and
process specifications. In Fig. 5.3a the PCR Cp is greater than unity. This
means that the process uses up much less than 100% of the tolerance band.
Consequently, relatively few non-conforming units will be produced by this
process. Figure 5.3b shows a process for which the PCR Cp = 1; that
is, the process uses up all the tolerance band. For a normal distribution this
would imply about 0.27% (or 2700 ppm) nonconforming units.
Finally, Fig. 5.3c presents a process for which the PCR Cp < 1; that is, the
process uses up more than 100% of the tolerance band. In this case the
process is very yield-sensitive, and a large number of nonconforming units
will be produced.

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 Revision of Control Limits
and Center Lines
• The effective use of any control chart will require periodic revision of the
control limits and center lines. Some practitioners establish regular periods
for review and revision of control chart limits, such as every week, every
month, or every 25, 50, or 100 samples. When revising control limits,
remember that it is highly desirable to use at least 25 samples or subgroups
(some authorities recommend 200–300 individual observations) in
computing control limits.

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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 5-4)
• A run chart showing individuals observations
in each sample, called a tolerance chart or
tier diagram (Figure 5-5), may reveal patterns
or unusual observations in the data

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• A tier chart of the flow width data observations is shown in Fig. 5.5. 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 Å} 0.50 microns are plotted in Fig. 5.5, 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. 5.5.
• 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

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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

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

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 Example

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 Example

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 Example

38

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 Rational Subgroups

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 Rational Subgroups

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 Rational Subgroups
• x charts monitor between-sample variability
• R charts measure within-sample variability
• Standard deviation estimate of s used to construct
control limits is calculated from within-sample
variability
• It is not correct to estimate s using

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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
• 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.

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 Changing Sample size on x and R
Chart
• We have presented the development of and R charts assuming that the sample size
n is constant from sample to sample.
• However, there are situations in which the sample size n is not constant. One
situation is that of variable sample size on control charts; that is, each sample may
consist of a different number of observations. The and R charts are generally not
used in this case because they lead to a changing center line on the R chart, which
is difficult to interpret for many users.
• Another situation is that of making a permanent (or semipermanent ) change in the
sample size because of cost or because the process has exhibited good stability and
fewer resources are being allocated for process monitoring. In this case, it is easy to
recompute, the new control limits directly from the old ones without collecting
additional samples based on the new sample size.

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 Example

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• 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 chart
• Sampling distribution of R is not symmetric, thus symmetric 3-sigma limits
are an approximation and a-risk is not 0.0027. R chart is more sensitive to
departures from normality than x chart.
• Assumptions of normality and independence are not a primary concern in
phase I

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 Average Run Lengths
• Crowder (1987b) showed that
ARL0 of combined individuals
and moving-range chart with
conventional 3-sigma limits is
generally much less than ARL0 (=
370) of standard Shewhart control
chart

• Ability of individuals chart to

detect small shifts is very poor
– Rather than narrowing the 3-
sigma limits, correct approach to
detecting small shifts is a
cumulative-sum or exponentially
weighted moving-average control
chart (Chapter 8)

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 Normality
• Borrer, Montgomery, and
Runger (1999) found in-
control ARL is dramatically
affected by nonnormal data
• One approach for
nonnormal data is to
determine control limits for
individuals control chart
based on percentiles of
correct underlying
distribution
– Requires at least 100 and
preferably 200 observations

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 Ex.1
• The data shown in Table 6E.3 are the deviations from nominal
diameter for holes drilled in a carbon-fiber composite material
used in aerospace manufacturing. The values reported are
deviations from nominal in ten-thousandths of an inch.
• (a) Set up and R charts on the process. Is the process in
statistical control?
• (b) Estimate the process standard deviation using the range
method.
• (c) If specifications are at nominal Å}100, what can you say
about the capability of this process? Calculate the PCR Cp.

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 Ex.2
• The fill volume of soft-drink beverage bottles is an important quality
characteristic. The volume is measured (approximately) by placing a gauge
over the crown and comparing the height of the liquid in the neck of the
bottle against a coded scale. On this scale, a reading of zero corresponds to
the correct fill height. Fifteen samples of size n = 10 have been analyzed,
and the fill heights are shown in Table .
• (a) Set up and s control charts on this process. Does the process exhibit
statistical control? If necessary, construct revised control limits.
• (b) Set up an R chart, and compare with the s chart in part (a).
• (c) Set up an s2 chart and compare with the s chart in part (a).

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 Ex.3

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 Ex.4

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 Ex.5
• A TiW layer is deposited on a substrate using a sputtering tool.
Table contains layer thickness measurements (in Angstroms)
on 20 subgroups of four substrates.
• (a) Set up and R control charts on this process. Is the process
in control? Revise the control limits as necessary.
• (b) Estimate the mean and standard deviation of the process.
• (c) If the specifications are at 450 Å} 30, estimate the process
capability.

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 Ex.6
• Suppose that following the
construction of the and R control
charts in Exercise 5, the process
engineers decided to change the
subgroup size to n = 2.
• Table contains 10 new subgroups of
thickness data. Plot this data on the
control charts from Exercise 6.5 (a)
based on the new subgroup size. Is
the process in statistical control?

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