Systems Analysis & Improvement
Methods and philosophy of statistical
process control
UCD School of Mechanical and Materials Engineering
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Learning Objectives
1.Understand chance and assignable causes of variability in a
process
2.Explain the statistical basis of the Shewhart control chart,
including choice of sample size, control limits, and sampling
interval
3.Explain the rational subgroup concept
4.Explain phase I and phase II use of control charts
5.Explain how average run length is used as a performance
measure for a control chart
6.Explain how sensitizing rules and pattern recognition are
used in conjunction with control charts
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Basic SPC Tools
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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Chance and Assignable Causes of Variation
• A process is operating with only chance causes of variation 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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Statistical Basis of the Control Chart
• 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 6
– Process is considered to be in statistical control
Determination of the Control Limits
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Shewhart Control Chart Model
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Process improvement activity
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Out-Of-Control-Action Plan (OCAP)
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More Basic Principles
• Two general types of control charts
– Variables
• Continuous scale of measurement
• Quality characteristic described by central tendency and
a measure of variability
– Attributes
• Conforming/nonconforming
• Counts
• Control chart design encompasses selection of sample size,
control limits, and sampling frequency
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Types of Process Variability
• a) Stationary and uncorrelated − data vary around a fixed mean in a stable
manner
• b) Stationary and autocorrelated − successive observations are dependent with
tendency to move in long runs on either side of mean
• c) 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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Choice of Control Limits
• 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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Sample Size and Sampling Frequency
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Rational Subgroups
• 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 (Snapshot and Random Sample) for
constructing rational subgroups:
1. Sample consists of units produced at the same time − consecutive units
– Primary purpose is to detect process shifts
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Rational Subgroups
2. Each sample consists of units that are representative of all units produced
since last sample
– 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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Patterns on Control Charts
• 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 unusual long run down beginning with 18th point
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The Cyclic Pattern
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Decision rules for detecting non-random
patterns on control charts
1. One point plots outside the three-sigma
control limits,
2. Two out of three consecutive points plot
beyond the two-sigma warning limits,
3. Four out of five consecutive points plot at
a distance of one-sigma or beyond from the
center line, or
4. Eight consecutive points plot on one side
of the center line.
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Sensitizing Rules
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Phase I and Phase II of Control Chart Application
• 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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