ENGR 3215

SPRING 2019
PROFESSOR VAN SCOTER
LECTURE 4

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CHAPTER 4 INFERENCES 4.1.1, 4.2,
4.3, 4.4, 4.6 TO COME NEXT

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CHANGE TO COURSE SYLLABUS TO INTRODUCE
TOPICS IN A MORE LOGICAL ORDER FOR EXAM 1

• QUALITY CONTROL CHARTS

• DIFFERENT CHARTS AND THEIR USES
• CENTRAL LIMIT THEOREM
• DETERMINING WHEN A PROCESS IS ‘OUT OF CONTROL’
• STATISTICS FOR QUALITY
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XBAR AND RANGE (XBAR-R) CONTROL CHARTS
• ANOTHER COMMON CONTROL CHART FOR CONTINUOUS DATA IS THE
XBAR AND RANGE (XBAR-R) CHART
• THE XBAR-R CHART IS ALSO TWO CHARTS USED IN TANDEM, USED WHEN
YOU CAN RATIONALLY COLLECT MEASUREMENTS IN SUBGROUPS OF
BETWEEN TWO AND 10 OBSERVATIONS
• EACH SUBGROUP IS A SNAPSHOT OF THE PROCESS AT A GIVEN POINT IN
TIME

• THE CHART’S X-AXES ARE TIME BASED, SO THE CHART SHOWS THE
HISTORY OF THE PROCESS, SO IT IS IMPORTANT THAT THE DATA IS IN TIME-
ORDER 4

Taken from https://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

XBAR AND RANGE (XBAR-R) CONTROL CHART

Xbar chart

Xbar-R chart

Taken from https://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

XBAR AND RANGE (XBAR-R) CONTROL CHART

• THE XBAR CHART IS USED TO EVALUATE CONSISTENCY

OF PROCESS
AVERAGES BY PLOTTING THE AVERAGE OF EACH SUBGROUP
• IT IS EFFICIENT AT DETECTING RELATIVELY LARGE SHIFTS (TYPICALLY
1.5SIGMA OR LARGER) IN THE PROCESS AVERAGE
• THE R CHART PLOTS THE RANGES OF EACH SUBGROUP
• THE R CHART IS USED TO EVALUATE THE CONSISTENCY OF PROCESS
VARIATION
• LOOK AT THE R CHART FIRST, IF THE R CHART IS OUT OF CONTROL, THEN
THE CONTROL LIMITS ON THE XBAR CHART ARE MEANINGLESS
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Taken from https://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

XBAR AND RANGE (XBAR-R) CONTROL CHART

• THE XBAR CHART USES THE SAMPLE MEAN (MU OR XBAR) OF A LARGE,
INITIAL SAMPLE OF DATA AS THE CENTERLINE

• UPPER AND LOWER CONTROL LIMITS ARE THE SAMPLE MEAN PLUS OR
MINUS 3 TIMES THE SAMPLE STANDARD DEVIATION

• THE XBAR-R CHART USES THE MEAN RANGE OF A LARGE, INITIAL SAMPLE
OF DATA AS THE CENTERLINE

• UPPER AND LOWER CONTROL LIMITS ARE THE MEAN RANGE PLUS OR
MINUS 3 TIMES THE SAMPLE STANDARD DEVIATION OF THE MEAN RANGE
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

XBAR AND RANGE (XBAR-R) CONTROL CHART

Xbar chart

Xbar-R chart

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

XBAR AND RANGE (XBAR-R) CONTROL CHART RESULTS

• THE TOP CHART IS AN X-BAR CHART OF PHOTORESIST THICKNESS

• BOTTOM CHART IS A RANGE CHART FOR THE PHOTORESIST THICKNESS
• NOTICE RANGE VARIABILITY CAN BE OUT-OF-CONTROL WHILE THE MEAN OF THE
MEASUREMENTS IS IN CONTROL

• DIFFERENCES IN CHARTS HELPS US TO BETTER ANALYZE THE CAUSE OF SUCH A

PROBLEM, BECAUSE WE HAVE MORE DATA

• AN IN-CONTROL-RANGE, BUT OUT-OF-CONTROL MEAN, COULD INDICATE A SHIFT

IN PROCESS MEAN

• AN OUT-OF-CONTROL (OOC) RANGE AND AN IN CONTROL MEAN COULD MEAN

AN INCREASE IN VARIABILITY
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

TYPE OF DATA ALSO DETERMINES DISTRIBUTION
AND STATISTICAL METHODOLOGY

• Good / Bad
• Pass / Fail

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Taken from https://www.hqsc.govt.nz/assets/General-NEMR-files-images-/Scientific-symposium-John-Krueger-Nov-2016.pdf; 2 Feb 2019

UNDERSTANDING CONTROL CHARTS

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Taken from http://www.syque.com/quality_tools/toolbook/Control/how.htm/; 2 Feb 2019

STANDARD NORMAL DISTRIBUTION

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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

NORMAL DISTRIBUTION PROPERTIES
• CURVE IS SYMMETRICAL ABOUT ITS MEAN – IT IS THE APEX OF THE CURVE
• THE WIDTH OF THE BELL-SHAPED CURVE INCREASES AS THE STANDARD DEVIATION
INCREASES AND DECREASES AS THE STANDARD DEVIATION DECREASES

• APPROXIMATELY 68% OF THE DATA IS WITHIN ONE STANDARD DEVIATION OF THE MEAN,
95% WITHIN TWO, AND 99% WITHIN THREE STANDARD DEVIATIONS OF THE MEAN
• THE CENTRAL LIMIT THEOREM IMPLIES THAT THE SUM OF Ƞ INDEPENDENTLY DISTRIBUTED
RANDOM VARIABLES IS APPROXIMATELY NORMAL, REGARDLESS OF THE DISTRIBUTION OF
THE INDEPENDENT VARIABLES. THE APPROXIMATION IMPROVES AS Ƞ INCREASES

• IN GENERAL, IF XSUBI ARE IDENTICALLY DISTRIBUTED, AND THE DISTRIBUTION DOES NOT
DEPART RADICALLY FROM THE NORMAL, THEN THE CENTRAL LIMIT THEOREM WORKS QUITE
WELL, AND THESE CONDITIONS ARE FREQUENTLY MET FOR QUALITY ENGINEERING PROBLEMS
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

XBAR CONTROL CHARTS

• CONTROL LIMITS SHOW WHAT THE PROCESS IS ACTUALLY DOING (WHILE

SPECIFICATION LIMITS SAY WHAT THE PROCESS SHOULD BE DOING)

• EACH POINT ON A VARIABLES CONTROL CHART IS USUALLY MADE UP OF A SET OF

MEASUREMENTS – FOR TWO REASONS

1. IT RESULTS IN A PREDICTABLE NORMAL (BELL-SHAPED_ DISTRIBUTION FOR THE

OVERALL CHART, DUE TO THE CENTRAL LIMIT THEOREM

2. THIS WILL RESULT IN TIGHTER CONTROL LIMITS BECAUSE THE AVERAGING EFFECT IN
EACH GROUP SMOOTHS OUT INDIVIDUAL HIGH AND LOW MEASUREMENTS, RESULTING
IN A CONTROL CHART THAT CAN DETECT SMALLER CHANGES IN THE PROCESS THAN
ONE WHICH PLOTS ONE POINT FOR EACH MEASUREMENT

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Taken from http://www.syque.com/quality_tools/toolbook/Control/how.htm/; 2 Feb 2019

XBAR AND XBAR-R CONTROL CHARTS
• TWO CONTROL CHARTS MUST BE DRAWN WHEN TRACKING
VARIABLES

• JUST MEASURING THE AVERAGE OF SUBGROUPS COULD RESULT IN

SIGNIFICANT VARIATION WITHIN THE SUBGROUPS BEING MISSED

• THE CONTROL LIMITS FOR THE RANGE CHART ARE NOT SYMMETRICAL
ABOUT THE CENTER AVERAGE LINE

• THE DISTRIBUTION FOR THE RANGE CHART IS SKEWED, AND IT IS ALSO

COMMON FOR THE LOWER CONTROL LIMIT OF A RANGE CHART TO BE
ON THE ZERO LINE
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Taken from http://www.syque.com/quality_tools/toolbook/Control/how.htm/; 2 Feb 2019

UNDERSTANDING VARIATION IN SUBGROUPS

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Taken from http://www.syque.com/quality_tools/toolbook/Control/how.htm/; 2 Feb 2019

SHEWHART’S RULES OR WESTERN ELECTRIC RULES
• SHEWHART CAME UP WITH 8 RULES THAT ARE COMMONLY USED IN INDUSTRY
TODAY

• THE RULES ARE USED AS SIGNALS TO SUGGEST THAT THE DATA THAT WE ARE
COLLECTING IS NOT WHAT WOULD BE EXPECTED IF ONLY COMMON CAUSES OF
VARIATION WERE PRESENT

• THE RULES ARE CRITERIA FOR IDENTIFYING THAT SPECIAL CAUSE VARIATION IS
CURRENTLY PRESENT IN THE PROCESS

• DIFFERENT COMPANIES USE DIFFERENT RULES, SO IT IS IMPORTANT TO UNDERSTAND

EACH RULE AND WHY EACH RULE INDICATES THE PRESENCE OF SPECIAL CAUSE
VARIATION
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 1: THE EXISTENCE OF A DATA POINT OUTSIDE OF
THE UCL/LCL ZONE

UCL, 3 sigma

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LCL
Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019
RULE 2: TWO OUT OF THREE SUCCESSIVE DATA POINTS ARE
ON THE SAME SIDE OF THE CENTERLINE AND FARTHER
THAN 2 SIGMA FROM IT

UCL, 3 sigma

2 sigma

LCL 19

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 3: FOUR OUT OF FIVE SUCCESSIVE DATA POINTS ARE
ON THE SAME SIDE OF THE CENTERLINE AND FARTHER
THAN 1 SIGMA FROM IT
UCL, 3 sigma

1 sigma

LCL 20

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 4: A RUN OF EIGHT OR MORE DATA POINTS ARE
ON THE SAME SIDE OF THE CENTERLINE
UCL, 3 sigma

1 sigma

LCL 21

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

 RULES 5 – 8
OBVIOUS CONSISTENT OR PERSISTENT
PATTERNS

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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 5: SIX OR MORE SUCCESSIVE NUMBERS
SHOWING A CONTINUOUS INCREASE OR DECREASE
UCL, 3 sigma

1 sigma

LCL 23

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 6: FOURTEEN OR MORE SUCCESSIVE NUMBERS THAT
OSCILLATE IN SIZE (SMALLER, LARGER, SMALLER, ETC.)
UCL, 3 sigma

1 sigma

LCL 24

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 7: EIGHT OR MORE SUCCESSIVE NUMBERS THAT
AVOID THE 1 SIGMA ZONE
UCL, 3 sigma

1 sigma

LCL 25

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULE 8: FIFTEEN SUCCESSIVE POINTS FALL IN THE 1
SIGMA ZONE ONLY, TO EITHER SIDE OF THE CENTERLINE
UCL, 3 sigma

1 sigma

LCL 26

Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

RULES FOR CONTROL CHARTS
• THE PROCESS IS SAID TO BE IN STATISTICAL CONTROL IF AND ONLY IF
THE VARIATION IS ONLY DUE TO COMMON CAUSES

• IF ONE OR MORE OF THE ABOVE RULES IS BROKEN, THIS INDICATES A

SPECIAL CAUSE VARIATION AND THE PROCESS IS NOT EXHIBITING
STATISTICAL CONTROL OR IS SAID TO BE OUT-OF-CONTROL (OOC)

• IF THE PROCESS IS OUT OF CONTROL, THE NEXT STEP IS TO LOOK FOR

THE ROOT CAUSE OF THE SPECIAL CAUSE VARIATION AND THEN
REMOVE THIS CAUSE TO BRING THE PROCESS BACK INTO STATISTICAL
CONTROL
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

TYPE I AND TYPE II ERRORS IN CONTROL CHARTS

• TYPE I ERROR OCCURS WHEN THE DECISION RULES

(SHEWHART RULES) LEAD YOU TO DECIDE THAT SPECIAL
CAUSE VARIATION IS PRESENT WHEN IN FACT IT IS NOT
PRESENT. THIS WOULD BE A FALSE ALARM

• TYPE II ERROR OCCURS WHEN THE DECISION RULES LEAD

YOU NOT TO DECIDE THAT A SPECIAL CAUSE VARIATION
IS PRESENT WHEN IN FACT IT IS PRESENT. THIS WOULD BE
A MISS
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

SUMMARY OF 8 CONTROL CHART RULES

Rule Rule Name Pattern

1 Beyond Limits
2 Zone A (3 sigma)
3 Zone B (2 sigma)
4 Zone C (1-sigma)
5 Trend
6 Mixture
7 Stratification
8 Over-control
One or more points beyond the control limits
2 out of 3 consecutive points in Zone A or beyond
4 out of 5 consecutive points in Zone B or beyond
7 or more consecutive points on one side of the
average (Zone C or beyond)
7 consecutive points trending up or down
8 consecutive points with no points in Zone C
15 consecutive points in Zone C
14 consecutive points alternating up and down

It should be noted that the numbers can be different depending upon the source. 29

Taken from http://www.spcforexcel.com/knowledge/control-chart-basics/control-chart-rules-interpretation; 2 Feb 2019

 POSSIBLE CAUSES BY PATTERN
Pattern Description Rule Possible Causes
Large shifts from 1,2 New person doing the job; Wrong setup; Measurement
the average error; Process step skipped; Process step not completed;
Power failure; Equipment breakdown
Small shifts from the 3,4 Raw material change; Change in work instruction; Different
average measurement device/calibration; Different shift; Person
gains greater skills in doing the job; Change in
maintenance program; Change in setup procedure
Trends 5 Tooling wear; Temperature effects (cooling, heating)
Mixtures 6 More than one process present (e.g. shifts, machines, raw
materials)
Stratifications 7 More than one process present (e.g. shifts, machines, raw
materials)
Over-control 8 Tampering by operator; Alternating raw materials 30

Taken from http://www.spcforexcel.com/knowledge/control-chart-basics/control-chart-rules-interpretation; 2 Feb 2019

PROCESS CHANGES

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PROCESS CHANGES
• THERE ARE MANY INSTANCES WHEN YOUR CONTROL CHART MAY NOT
PRODUCE AN OUT-OF-CONTROL (OOC) SIGNAL, BUT THE PROCESS
MAY BE TRENDING OR CHANGING WITHIN THE CONTROL LIMITS

• IT IS IMPORTANT TO BE AWARE OF THESE TYPES OF CHANGES

REGARDLESS OF THE RULES YOU ARE USING TO DECLARE YOUR PROCESS
OUT-OF-CONTROL

• WHEN CHARTING PROPORTIONS, P- AND NP-CHARTS ARE USEFUL

(E.G., COMPLIANCE RATES OR PROCESS YIELDS

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Taken from http://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

PROCESS CHANGES
• A MEASURE OF DEFECTIVE UNITS IS FOUND WITH U- AND C-CHARTS
• IN A U-CHART, THE DEFECTS WITHIN THE UNIT MUST BE INDEPENDENT OF
ONE ANOTHER, SUCH AS WITH COMPONENT FAILURES IN A PRINTED
CIRCUIT BOARD OR THE NUMBER OF DEFECTS ON A BILLING STATEMENT

• USE A C-CHART FOR CONTINUOUS ITEMS, SUCH AS FABRIC (E.G.,

DEFECTS PER SQ METER OF CLOTH)

• A C-CHART IS A USEFUL ALTERNATIVE TO A U-CHART WHEN THERE ARE

A LOT OF POSSIBLE DEFECTS ON A UNIT, BUT ONLY A SMALL CHANCE
OF ONE DEFECT OCCURRING (E.G., FLAWS IN A ROLL OF MATERIAL)
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Taken from http://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

PROCESS CHANGE EXAMPLES
1. SHIFT- WHEN THE DATA STARTS
TO CENTER AROUND A
DIFFERENT MEAN OR CENTER
LINE

2. TREND-WHEN THE PROCESS

MEAN BEGINS TO GRADUALLY
MOVE IN ONE DIRECTION

3. CYCLE- WHEN THE DATA BEGIN

TO INCREASE OR DECREASE IN A
CYCLICAL OR REPETITIVE
PATTERN
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Taken from http://nanohub.org/resources/26832/download/SPC_PK02_PG.pdf/; 2 Feb 2019

HOW TO SELECT A CONTROL CHART

• VARIABLES CONTROL CHARTS ARE MORE SENSITIVE TO CHANGE THAN

ATTRIBUTE CONTROL CHARTS

• VARIABLES CONTROL CHARTS ARE USEFUL FOR PROCESSES SUCH AS

MEASURING TOOL WEAR

• USE AN INDIVIDUALS CHART WHEN FEW MEASUREMENTS ARE AVAILABLE

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Taken from https://www.isixsigma.com/tools-templates/control-charts/a-guide-to-control-charts/; 2 Feb 2019

ASSIGNMENT FOR NEXT THURSDAY 2/14/19

• IN HUSKYCT THERE IS A SET OF DATA THAT YOU WILL BE USING

• YOU WILL BE TEACHING YOURSELF HOW TO CREATE CONTROL CHARTS USING EXCEL
• YOU WILL BE ANALYZING THE DATA IN TWO WAYS – SEE CHAPTER 6 OF TEXT (ALL VERSIONS)
1. ASSUME THAT YOU HAVE NO HISTORICAL DATA (USE RANGE)

2. USE THE HISTORICAL DATA THAT YOU HAVE BEEN GIVEN (USE STANDARD DEVIATION)

• THIS SHOULD BE WRITTEN UP AS A LAB REPORT, I EXPECT TO SEE DISCUSSION ABOUT IF THE
CHARTS ARE IN CONTROL, AND IF NOT, WHAT COULD BE THE CAUSE. ALSO DISCUSS THE
DIFFERENCES SEEN BETWEEN THE RANGE AND STANDARD DEVIATION CHARTS. DOCUMENT AS
THOUGH YOU ARE EXPLAINING TO SOMEONE WITH MINIMAL KNOWLEDGE OF THESE TESTS OR
THEIR USEFULNESS.

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