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 Basic SPC Tools

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 • 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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• 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)
• 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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 Shewhart Control Chart Model

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 More Basic Principles
• Charts may be used to estimate process parameters,
which are used to determine capability
• Two general types of control charts
– Variables (Chapter 5)
• Continuous scale of measurement
• Quality characteristic described by central tendency and a measure
of variability
– Attributes (Chapter 6)
• 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.
3. Control charts prevent unnecessary process
adjustment.
4. Control charts provide diagnostic information.
5. Control charts provide information about process
capability.

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• 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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• 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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 • 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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• 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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4-4 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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• Nonmanufacturing applications 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
• Flow charts and operation process charts 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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