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# Introduction to Process Capability

Process capability enables the prediction of the ability of any process to produce products and services that meet their specifications. This module focuses on typical manufacturing processes. Transactional and other manufacturing processes will be discussed in the Advanced Process Capability module. The principles of process capability will be introduced - then Minitab will be used to calculate process capabilities.

## What We Will Learn

At the conclusion of this module participants will be able to: 1. Recognize the value of and uses for process capability. 2. Calculate and explain the capability of processes whose output is normally distributed. 3. Predict the probability that the output of a process will be within its specification limits.

## 2012 ASQ Slide 3

Basic Principle
All measures of process capability are based on the concept of calculating the number of standard deviations between the process center and the specification limits. A Six Sigma process has six units of standard deviation between the process center and both specification limits.

LSL

USL

2012 ASQ Slide 5

## Quantifying Process Capability

Yield of a one sigma process 0.683

If we assume the process is centered on the target and does not shift or drift the yields would be. Process Sigma Yield 1 0.6826895 2 0.9544997 3 0.9973002 4 0.9999367 5 0.9999994 6 1.0000000

LSL

USL

## 2012 ASQ Slide 6

Calculating Yield
We know that Z is the number of units of standard deviation on a standard normal curve which has a mean of zero and a standard deviation of one. We also know any normal distribution can be converted to the standard normal using the equation for Z.

x Z

If the specification limits are substituted for X we can determine the number of units of standard deviation between the process center and the specification limits on the standard normal curve. Then we can use the tables to look up the probability a value will be less than that number.

X X s

In most cases we do not know or , so we substitute the sample statistics for the population parameters as shown.

## Calculating Yield Example

Consider a process that has the following specification limits: Lower Specification Limit (LSL) of -1 Upper Specification Limit (USL) of 1. Data indicates the process is centered on 0 with a standard deviation of 1. What is the yield?

## USL-X ZUSL= s 1-0 ZUSL= =1 1

Using tables to look up the area under the curve when Z=1 we find .8413. This means that 84.13% of the product has a value less than the upper specification limit.

## Calculating Yield Example - continued

Z LSL= LSL-X s -1-0 = -1 ZLSL = 1

Again using tables to look up the area under the curve when Z=-1 we find .1586. This means that 15.86% of the product has a value less than the lower specification limit. The yield is the value that is less than or equal to the USL and greater than or equal to the LSL. Thus the yield is (.8413 - .1586) or .6827, which is 68.27% (recall area under the curve at 1 standard deviation).

## Calculating the Yield in Minitab

Graph > Probability Distribution Plot

## Calculating the Yield in Minitab

Normal, Mean=0, StDev=1 0.4 0.6827

Distribution Plot

0.3

Density

0.2

0.1

0.0

-1

0 X

## Process Capability Terms

Measures of the ability of a process to produce compliant products/services: Cp - Short-term process capability

## Does not consider process centering

Also known as process entitlement For a limited period of time (not including shifts and drifts)

## Does consider process centering

For an extended period of time (including shifts and drifts) Does not consider process centering For an extended period of time (including shifts and drifts) Does consider process centering

## See formulae on next page.

2012 ASQ Slide 13

Capability Formulae
Cp = Pp = Cpk= Ppk=
Lesser of: Specification Width (s) Short-Term Process Width =

USL-LSL 6 ST
USL-LSL 6 LT

USL-X or 3 ST
USL-X or 3 LT

X-LSL 3 ST
X-LSL 3 LT

## 2012 ASQ Slide 14

Capability Formulae
_ ^ ^ where ST = R/d2*; LT =

## Process Capability Using Minitab

Consider an injection molding machine with 5 cavities that is producing plastic bottle caps with a target value of 1 inch and a tolerance of .005.

If we are relatively confident that there is little variation between cavities, we might look at this example as having a subgroup size equal to 5. This practice is not a common one and should only be attempted with caution. The data is in Bottle Caps.mtw.

## Decision Tree to Minitab Path

Data Discrete Continuous Note: If possible plot the data in time sequence to determine stability before determining process capability. See Control Chart Selection for the appropriate charting method. Defective (Attribute) Defects (Count) P.05 Yes
No

P<.05 No

Raw Data
Yes

Normal

Non-Normal

## Stat>Quality Tools>Process Capability> Normal

Yes

No

Stratified

1. Yield can be modeled using e^(-dpu) 2. Process yield can be converted to process sigma using the standard normal distribution. Calc>Probability Distributions>Normal> Inverse 3. To convert from long term to short term add 1.5 sigma

No

Yes

No

Yes

## 2012 ASQ Slide 17

Using Minitab
The data is continuous so test for normality Stat>Basic Statistics>Normality Test

## The Normality Test

Probability Plot of Caps
Normal 99.99 99 95
Percent
Mean 1.000 StDev 0.001986 N 750 AD 0.619 P-Value 0.107

80 50 20 5 1 0.01 0.992 0.994 0.996 0.998 1.000 1.002 1.004 1.006 1.008 Caps

The P value is > .05 therefore do not reject the assumption of normality. Much more about this in week 2.

## 2012 ASQ Slide 21

Minitab Results
Process Capability of Caps
LSL
P rocess LS L Target USL S ample M ean S ample N S tD ev (Within) S tD ev (O v erall) D ata 0.995 1 1.005 1.00006 750 0.00198431 0.00198636

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

0.
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

4 99

5 0.

6 99

0 0.

7 99

5 0.

9 99

0 1.

0 00

5 1.

2 00

0 1.

3 00

5 1.

5 00

## 2012 ASQ Slide 22

Process Data
Calculated directly from the data. The within standard deviation is the pooled standard deviation of the subgroups.
Process Capability of Caps
LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## 2012 ASQ Slide 23

Observed Performance
Process Capability of Caps
LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

The percent that was outside of the upper and lower specification limits in this data set.

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## Expected Within Performance

Process Capability of Caps

The percent that is expected to be outside of the upper and lower specification limits on an short term basis. This projection is based on the within standard deviation and the process mean.

LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## Expected Overall Performance

Process Capability of Caps

The percent that is expected to be outside of the upper and lower specification limits on an long term basis. This projection is based on the overall standard deviation and the process mean.

LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## Calculating Cpk and Ppk

Process Capability of Caps
LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

Cpl and Cpu are calculated using the process mean, the respective specification limits and the within standard deviation. Cpk is the lesser of Cpl or Cpu.
Within Ov erall
P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

Target

USL

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## Calculating Cpk and Ppk

Process Capability of Caps
LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

PPL and PPU are calculated using the process mean, the respective specification limits and the overall standard deviation. Ppk is the lesser of PPL or PPU.
Within Ov erall
P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

Target

USL

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## 2012 ASQ Slide 28

Within - Between
Process Capability of Caps
LSL
P rocess Data LS L 0.995 Target 1 USL 1.005 S ample M ean 1.00006 S ample N 750 S tDev (Within) 0.00198431 S tDev (O v erall) 0.00198636

This process is very stable as indicated by the Within and Between lines being very close together.

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.84 C P L 0.85 C P U 0.83 C pk 0.83 O v erall C apability Pp PPL PPU P pk C pm 0.84 0.85 0.83 0.83 0.84

0
O bserv ed P erformance % < LS L 0.40 % > U S L 0.67 % Total 1.07

9 .9

45 0

9 .9

60 0

9 .9

75 0

9 .9

90 1

0 .0

05 1

0 .0

20 1

0 .0

35 1

0 .0

50

## 2012 ASQ Slide 30

Assistant Result
Capability Analysis for Caps Diagnostic Report
Xbar-R Chart Confirm that the process is stable. 1.002
Mean

Statistical Process Control chart indicates the process is stable. Note: stability and capability are evaluated independently.

Range

## 2012 ASQ Slide 31

Assistant Result
Capability Analysis for Caps Summary Report
How capable is the process? 0 6 Customer Requirements Upper Spec Target Lower Spec Process Characterization Does the process mean differ from 1? 0 0.05 0.1 > 0.5 Mean Standard deviation Actual (overall) capability Pp Ppk Z.Bench % Out of spec Comments Conclusions -- The process mean does not differ significantly from the target (p > 0.05). -- The defect rate is 1.19%, which estimates the percentage of parts from the process that are outside the spec limits. Actual (overall) capability is what the customer experiences. 1.0001 0.0019864 1.005 1 0.995

Low
Z.Bench = 2.26

High

Yes
P = 0.378

No

Actual (overall) Capability Are the data inside the limits and close to the target?
LSL Target USL

## A Process That Drifts

Consider a similar process that does change over time.
Datafile/Caps Drift.mtw. First test for normality

## 2012 ASQ Slide 33

Normality Test
Probability Plot of Caps Drift
Normal 99.99 99 95
Percent
Mean 1.000 StDev 0.001291 N 720 AD 0.326 P-Value 0.520

80 50 20 5 1 0.01 0.9950

0.9975

1.0025

1.0050

## 2012 ASQ Slide 34

Capability Analysis

## 2012 ASQ Slide 35

Capability Analysis
Process Capability of Caps Drift
LSL
P rocess D ata LS L 0.995 Target 1 USL 1.005 S ample M ean 0.999998 S ample N 720 S tD ev (Within) 0.00102066 S tD ev (O v erall) 0.00129055

Target

## USL Within Ov erall

P otential (Within) C apability Cp 1.63 C P L 1.63 C P U 1.63 C pk 1.63 O v erall C apability Pp PPL PPU P pk C pm 1.29 1.29 1.29 1.29 1.29

This process is changing over time as indicated by the difference between the Within and Between lines. Plot this data using a control chart.
0.9960 0.9975 0.9990 1.0005 1.0020 1.0035 1.0050
O bserv ed P erformance % < LS L 0.00 % > U S L 0.00 % Total 0.00 E xp. Within P erformance % < LS L 0.00 % > U S L 0.00 % Total 0.00 E xp. O v erall P erformance % < LS L 0.01 % > U S L 0.01 % Total 0.01

## 2012 ASQ Slide 36

Control Chart
Stat>Control Charts>Variable Charts for Subgroups

Note: Any point outside of the control limits indicates an assignable cause (non-random event). Control Charts will be covered in detail later in the course. Control charts are only used here to assess process stability.

## Control Charts Shows Process Drift

Xbar-R Chart of Caps Drift
1.002
Sample Mean

1 1 22 1 2 5 5 22 2 22 2 5 2 22 2 2 2 2 2 2 622 2 6 2 6 22 2 2 22 1
57 71 Sample

1.000

1 5 5522 22 5 55 2 5 2 6 2 2 2 2 2 2 2 2 6 22 2 5 5 2 222 2 55 1 1 11 1
127 141

UCL=1.001368

_ _ X=0.999998
LCL=0.998629

8
0.998 1 15 29

5 5 1
43

85

99

113

1
0.0045
Sample Range

UCL=0.005020

_ R=0.002374 2
LCL=0

Assistant Setup

## 2012 ASQ Slide 39

Assistant Result
Capability Analysis for Caps Drift Diagnostic Report
Xbar-R Chart Confirm that the process is stable. 1.002
Mean

Statistical Process Control chart indicates the process is stable. Note: stability and capability are evaluated independently.

1.000 0.998

Range

## Exercise 1 - Comparing Two Processes

Two suppliers have submitted sample parts. The parts were created in subgroups of 5 and the specification limits are: LSL 14.8 USL 15.2 Use the Minitabs Assistant to compare the processes

Assistant Dialog

## 2012 ASQ Slide 42

Assistant Output
Before/After Capability Comparison for Supplier 1 vs Supplier 2 Summary Report
Reduction in % Out of Spec
100%

## Upper Spec 15.2

Was the process standard deviation reduced? 0 0.05 0.1 > 0.5

Statistics

## Change 0.028137 -0.46167 1.16 1.17 4.21 -69.73 -697260

Yes
P = 0.000 Did the process mean change? 0 0.05 0.1

No

> 0.5

Yes
P = 0.136 Actual (overall) Capability Are the data inside the limits and close to the target?
LSLTarget SL U

No

Mean Standard deviation Capability Pp Ppk Z.Bench % Out of spec PPM (DPMO)

## Comments Before: Supplier 1 After: Supplier 2

Before

Conclusions -- The process standard deviation was reduced significantly (p < 0.05). -- The process mean did not change significantly (p > 0.05). Actual (overall) capability is what the customer experiences.

After

## 2012 ASQ Slide 43

Assistant Output
Before/After Capability Comparison for Supplier 1 vs Supplier 2 Process Performance Report
Capability Histogram Are the data inside the limits and close to the target?
LSL TargetUSL

Process Characterization Before Total N Subgroup size Mean StDev (overall) StDev (within) 750 5 14.970 0.51343 0.51061 After 750 5 14.998 0.051757 0.051383 Change

Before

## 0.028137 -0.46167 -0.45923

Capability Statistics Before After 1.29 1.28 3.69 0.00 0.01 0 113 1.30 1.28 3.72 0.01 100 Change 1.16 1.17 4.21 -70.27 -69.73 -702667 -697260 1.17 1.17 4.23 -69.57 -695692 Actual (overall) Pp Ppk Z.Bench % Out of spec (obs) % Out of spec (exp) PPM (DPMO) (obs) PPM (DPMO) (exp) Potential (within) Cp Cpk Z.Bench % Out of spec (exp) PPM (DPMO) (exp)

After

0.13 0.11 -0.52 70.27 69.74 702667 697373 0.13 0.11 -0.51 69.58 695792

13.6

14.0

14.4

14.8

15.2

15.6

16.0

16.4

Actual (overall) capability is what the customer experiences. Potential (within) capability is what could be achieved if process shifts and drifts were eliminated.

## 2012 ASQ Slide 44

Exercise 2
Assume a process owner has asked you analyze the data in Process Capability Exercise 1.mtw. Parts A and B are made on different machines in lots (subgroups) of 5.

The customer has established specification limits of 10 .1 and requires a Ppk of 1.33.
Prepare a brief presentation to describe your analysis and recommendations? Remember to present data practically, graphically and analytically.

## Exercise 2 - Normality Tests

Graph > Probability Plot > Multiple

## Exercise 2 - Normality Tests

Probability Plot of Part A, Part B
Normal 99.99
Variable Part A Part B Mean 10.00 10.00 StDev N AD P 0.05049 750 0.420 0.324 0.05647 750 0.248 0.752

99 95

Percent

80 50 20 5 1

0.01

9.8

9.9

10.0 Data

10.1

10.2

## No reason to reject the assumption of normality for either part.

2012 ASQ Slide 47

## Control Chart Shows Process Stability

Xbar-R Chart of Part A
UCL=10.0675 10.05
Sample Mean

10.00

_ _ X=10.0009

UCL=0.2441
Sample Range

0.2

4
0.1

4 4 4

_ R=0.1154

LCL=0

## Worksheet: Process Capability Exercise 1.MTW

2012 ASQ Slide 49

## Control Chart Shows Variation Over Time

Xbar-R Chart of Part B
1 1
10.05
Sample Mean

11

1 5

UCL=10.0662

## 10.00 9.95 9.90 1

_ _ X=9.9996 5 1
16 31 46

5 1
61 76 Sample 91 106

1
121

LCL=9.9330

1
136

UCL=0.2441
Sample Range

0.2

4
0.1

4 4 4

_ R=0.1154

LCL=0

## Worksheet: Process Capability Exercise 1.MTW

2012 ASQ Slide 50

## Process Capability- Part A

Process Capability of Part A
LSL
Process Data LSL 9.9 Target 10 USL 10.1 Sample Mean 10.0009 Sample N 750 StDev(Within) 0.0496334 StDev(Overall) 0.0504922

Target

USL

Within Overall
Potential (Within) Capability Cp 0.67 CPL 0.68 CPU 0.67 Cpk 0.67 Overall Capability Pp PPL PPU Ppk Cpm 0.66 0.67 0.65 0.65 0.66

9.88
Observed Performance % < LSL 1.87 % > USL 2.80 % Total 4.67

9.92

## 9.96 10.00 10.04 10.08 10.12

Exp. Overall Performance % < LSL 2.28 % > USL 2.49 % Total 4.77

Exp. Within Performance % < LSL 2.10 % > USL 2.30 % Total 4.40

## Process Capability- Part B

Process Capability of Part B
LSL
P rocess Data LS L 9.9 Target 10 USL 10.1 S ample M ean 9.99961 S ample N 750 S tDev (Within) 0.0496334 S tDev (O v erall) 0.0564727

Target

## USL Within Ov erall

P otential (Within) C apability Cp 0.67 C P L 0.67 C P U 0.67 C pk 0.67 O v erall C apability Pp PPL PPU P pk C pm 0.59 0.59 0.59 0.59 0.59

9.84
O bserv ed P erformance % < LS L 4.13 % > U S L 4.00 % Total 8.13

9.90

9.96

## 2012 ASQ Slide 54

Assistant Output
Reduction in % Out of Spec 61% % Out of spec increased by 61% from 4.77% to 7.66%.

This shows negative improvement. Lets reverse the order to make interpretation easier.

## Before/After Capability Comparison for Part A vs Part B Summary Report

Lower Spec 9.9 Customer Requirements Target 10 Upper Spec 10.1

Was the process standard deviation reduced? 0 0.05 0.1 > 0.5

Statistics

## Change -1.31E-03 0.0059805 -0.07 -0.07 -0.24 2.89

Yes

No
P = 0.999 Did the process mean change?

0.05

0.1

> 0.5

Yes

No
P = 0.636 Actual (overall) Capability Are the data inside the limits and close to the target?
LSL Target USL

## Comments Before: Part A After: Part B

Before

Conclusions -- The process standard deviation was not reduced significantly (p > 0.05). -- The process mean did not change significantly (p > 0.05). Actual (overall) capability is what the customer experiences.

After

## Exercise 2 Assistant Output

Capability Comparison for Part B vs Part A Summary Report
Part A has less Defectives than Part B 38% % Out of spec was reduced by 38% from 7.66% to 4.77%. Lower Spec 9.9 Customer Requirements Target 10 Upper Spec 10.1

Was the process standard deviation reduced? 0 0.05 0.1 > 0.5

Statistics

## Change 0.0013091 -5.98E-03 0.07 0.07 0.24 -2.89

Yes
P = 0.001 Did the process mean change? 0 0.05 0.1

No

> 0.5

Yes

No
P = 0.636 Actual (overall) Capability Are the data inside the limits and close to the target?
LSL Target USL

## Mean Standard deviation Capability Pp Ppk Z.Bench % Out of spec

Before: Part B

After: Part A

Before

After

Conclusions -- The process standard deviation was reduced significantly (p < 0.05). -- The process mean did not change significantly (p > 0.05). Actual (overall) capability is what the customer experiences.

## Exercise 2 Assistant Output

Capability Comparison for Part B vs Part A Diagnostic Report
Xbar-R Charts Confirm that the Before and After process conditions are stable.
Part B
10.05
Mean

Note: Before and After were changed to Part B and Part A by double clicking on the field and typing the modified data.

Part A

10.00 9.95

0.2
Range

## 0.1 0.0 1 16 31 46 61 76 91 106 121 136 1 16 31 46 61 76 91 106 121 136

Normality Plots The points should be close to the line. Part B Part A Normality Test (Anderson-Darling) Part B Results P-value Pass 0.752 Part A Pass 0.324

## What We Have Learned

1. Recognized the value of and uses for process capability. 2. Calculated and explained the capability of processes whose output is normally distributed. 3. Predicted the probability that the output of a process will be within its specification limits.