Chapter 7

Attributes Control Charts

Statistical Quality Control

(D. C. Montgomery)

Overview I

Classify each item inspected: conforming or nonconforming

attribute variable

three attributes control charts:

1. p chart; control chart for fraction nonconforming (np chart)
2. c chart; control chart for nonconformities
3. u chart; control chart for nonconformities per unit

Introduction I

generally not as informative as variables charts

useful in service industries and nonmanufacturing or

transactional business process

not easily measured on a numerical scale

C.C. for Fraction Nonconforming I

I

fraction nonconforming: the ratio of #{nonconforming

items} in a population to the total number of items in that
population

The statistical principles underlying the control chart for

fraction nonconforming:
the binomial distribution
I

p: the probability that any unit will not conform to

specifications
the successive units produced are independent

each unit Xi Ber(p)

C.C. for Fraction Nonconforming II

I

a random sample of n units of product is selected

D=

Pn

i=1 Xi :

#{non conforming of units}

D B(n, p)
!

P{D = x} =

n x
p (1 p)nx ,
x

E(D) = np;

Var(D) = np(1 p)

x = 0, 1, . . . , n

The sample fraction nonconforming= the ratio of the number of nonconforming units in the sample D to the sample
size n
D
p(1 p)
p =
E(
p) = p = p; Var(
p) = p2 =
n
n

C.C. for Fraction Nonconforming III

Review:
the general model for the Shewhart control chart
I

w: statistic that measures a quality characteristic

w , w2 : the mean and variance of w

L: the distance of the control limits from the center

line (Customary choosing L = 3)
UCL = w + Lw
Center line = w
UCL = w Lw

C.C. for Fraction Nonconforming IV

I

p: the true fraction nonconforming in the production

process (a specified standard value)

Fraction Nonconforming C.C: Standard Given

s

p(1 p)
n

p(1 p)
n

UCL = p + Lp = p + 3
Center line = p = p
UCL = p Lp = p 3

LCL < 0 customarily set LCL = 0

assume the control chart only has an upper control
limits

C.C. for Fraction Nonconforming V

I

p is not know estimated from observed data

m preliminary samples, each of size n (m : 20 25)

Di : nonconforming units in sample i

the fraction nonconforming in the ith sample:

pi =

Di
,
n

i = 1, . . . , m

the average of these individual sample fractions

nonconforming:
Pm

p =
(estimates p)

i=1 Di

mn

Pm

i
i=1 p
m

C.C. for Fraction Nonconforming VI

Fraction Nonconforming C.C: No Standard Given
s

UCL = p + 3

p(1 p)
n

Center line = p
s

UCL = p 3

p(1 p)
n

the trial control limits based on m initial samples

pi : to test whether the process was in control when the

preliminary data were collected

Phase I: Any points that exceed the trial control limits

should be investigated.

C.C. for Fraction Nonconforming VII

I

If assignable causes for these points are discovered, they

should be discarded and new trial control limits
determined.

If p is given the calculation of trial control limits is

unnecessary

p would rarely be known, we would be given a standard

value of p (represents a target value for the process)

If future samples indicated an out-of-control condition, we

must determine whether the process is out of control at the
target p but in control at some other value of p.

Example 7.1: cardboard cans I

Frozen orange juice
I

packed in 6 oz cardboard cans

determine whether it could possibly leak either on

the side seam or around the bottom joint

Set up a control chart to improve the fraction of

nonconforming cans produced by this machine

Example 7.1: cardboard cans II

I

m = 30 samples of n = 50 cans

selected at 1/2 hour intervals over a three-shift()

period

Example 7.1: cardboard cans III

Example 7.1: cardboard cans IV

Example 7.1: cardboard cans V

Sample 15 & 23:

investigated whether
an assignable
cause??

Example 7.1: cardboard cans VI

Example 7.1: cardboard cans VII

Excluding assignable
causes (Samples 15
& 23)

Analysis of the data

does not produce
any reasonable
assignable cause for
sample 21
decide to retain
the point

Example 7.1: cardboard cans VIII

I

If the new operator

working during the entire 2
hors period (samples 21-24)
we should discard all
four sample (21-24)

p is much too high

Engineering staff: several
adjustments can be made
on the machine

Example 7.1: cardboard cans IX

no assignable cause of this

out-of-control signal can be
determined

Test: the process fraction

nonconforming in this
current three-shift period
differs from the previous
one
H0 : p1 = p2

Example 7.1: cardboard cans X

The hypotheses:
H0 : p1 = p2

H1 : p1 > p2
P54

p1 = p = 0.2150;

p2 =

i=31 Di

(50)(24)

= 0.1108

The (approximate) test statistic (p.145) :

p1 p2
Z0 = q
= 7.10 > Z0.05 = 1.645
p(1 p)( n11 + n12 )
p =

n1 p1 + n2 p2
= 0.1669
n1 + n2

reject H0 i.e., there has been a significant decrease in the

process fallout

Example 7.1: cardboard cans XI

The new control chart:
UCL = 0.2440
Center line = p = 0.1108
LCL = max{0.0224, 0} = 0

Example 7.1: cardboard cans XII

Fraction Nonconforming Control Chart I

Three parameters in the fraction nonconforming control chart
I

the sample size (n)

the frequency of sampling

the width of the control limits

Common to base a control chart for fraction nonconforming

on 100% inspection of all process output over some
convenient period of time
I
I

a shift ()
a day

interrelated between sample size and sampling frequency

Fraction Nonconforming Control Chart II

sampling frequency
1. appropriate sampling frequency for the production rate (
fixes n)
2. rational subgrouping

Ex: three shifts-suspect shifts differ in their general quality

level
I

each shift as a subgroup;

Fraction Nonconforming Control Chart III

Sample size:
I

p is very small
choose n sufficiently large
a high probability of finding at least one nonconforming
unit in the sample
Otherwise, find the control limits: the presence of only one
nonconforming unit in the sample would indicate an
out-of-control condition
Ex: (p, n) = (0.01, 8) UCL = p + 3
one nonconforming unit in the sample
p = 81 = 0.1250
out of control

p(1p)
n

= 0.1155

Fraction Nonconforming Control Chart IV

(1)
I

choose n s.t.
P(finding at least on nonconforming unit per sample)

D: #{nonconforming items in the sample}

Ex: p = 0.01 P(D 1) 0.95

1. The binomial distribution:
P(D = 0) =

n!
(0.01)0 (1 0.01)n0 = 0.05
0!(n 0)!

n = 298
2. Using the Poisson approximation to the binomial
distribution
= np 3 n = 3/p = 300

Fraction Nonconforming Control Chart V

(2)
I

Duncan (1986): choose n large enough s.t. approximately a

50% chance of detecting a process shift of some specified
amount
p0 = 0.01 a shift to p1 = 0.05
P(detect the shigt) 0.05

r
P

|
p p0 | > L

p0 p1 L

p0 (1 p0 ) 
p1
n
p0 (1p0 )
n

p1 (1 p1 )/n

r
p1 p0 + L

0.5
p0 p1 + L

p
p1
< q

<

p1 (1p1 )
n

p0 (1 p0 )
(Regard
n

p0 p1 L

p0 (1p0 )
n

p1 (1p1 )
n

p0 (1p0 )/n

p1 (1p1 )/n

0)

= 0.5

Fraction Nonconforming Control Chart VI

s

= p1 p0 = L
n=

 2
L

p0 (1 p0 )
n

p0 (1 p0 )

(p0 , , L) = (0.01, 0.04, 3) n = 56

(3)
I

In control and p is small choose n s.t. LCL > 0

s

LCL = p L

p(1 p)
(1 p) 2
>0n>
L
n
p

(p, L) = (0.05, L) n > 171

Fraction Nonconforming Control Chart VII

I

Three-sigma control limits are usually employed on the p

chart

the fraction nonconforming control chart is not a

universal() model for all data on fraction
nonconforming
I

based on binomial distribution:

(i) p = constant
(ii) successive() unit of production are independent

nonconforming units: clustered or dependent

the fraction nonconforming control chart is often of
little use

Fraction Nonconforming Control Chart VIII

Care:
I

interpreting points that plot below the LCL

not represent a real improvement in process quality (ex:

caused by errors; improperly calibrated test and inspection
equipment)

The np Control Chart I

()
number nonconforming (np) control chart
q

UCL = np + 3 np(1 p)
Center Line = np
q

LCL = np 3 np(1 p)
I

p: unavailable p = p

np chart: easier to interpret than p chart

The np Control Chart II

Example 7.2: an np control chart
I

the orange juice concentrate can process in Table 7.1

p = 0.2313; n = 50
UCL = 20.510
Center Line = 11.565
LCL = 2.620

#{nonconforming units}: integer

(LCL,UCL)=(2,21)

if a sample value of np plotted at or beyond the

control limits

The np Control Chart III

Variable Sample Size I

the sample is a 100% inspection of process output over

some period of units

different numbers of units in each period

Three approaches to constructing and operating a control chart

with a variable n
1. Variable-width control limits
2. Control limits based on an average sample size
3. The standardized control chart

Variable Sample Size II

Variable-width control limits:

P25

Di
i=1 ni

p = Pi=1
25

UCL = p + 3
p = p + 3
s

LCL = p 3
p = p + 3

p(1 p)
ni
p(1 p)
ni

Variable Sample Size III

Variable Sample Size IV

Control limits based on an average sample size:
P25

n
=

i=1 ni

25
s

UCL = p + 3
p = p + 3
s

LCL = p 3
p = p + 3

p(1 p)
n

p(1 p)
n

Assume: future sample sizes will not differ greatly

unusually large variation in the size of a sample or a point

plots near the approximate control limits
the exact control limits for that point should be
determined

Variable Sample Size V

Variable Sample Size VI

Sample 11: close to the

UCL, yet in control

But is using
Variable-width control
limits: it is
out-of-control

Care: points near the

approximate control
limits

Variable Sample Size VII

I

Problem: a change in pi must be interpreted relative to ni

p = 0.20 and two successive sample

pi = 0.28, ni = 50
pi+1 = 0.24, ni+1 = 250

pi > pi+1 ?
0.28 0.2
0.24 0.2
p
= 1.41 < 1.58 = p
0.2(1 0.2)/50
0.2(1 0.2)/50

Variable Sample Size VIII

The standardized control chart:
I

the points are plotted in standard deviation units

Center line = 0; (UCL, LCL)=(+3,-3)

The variable in standardized control chart:

pi p
Zi = q

p(1p)
ni

I
I

p: the process fraction nonconforming in the in-control state

if no standard is given p = p

Variable Sample Size IX

Minitab: Download STANDARD.mac

Variable Sample Size X

%STANDARD Di ni

Variable Sample Size XI

difficult for operating personnel to understand and

interpret

the actual process fraction defective has been lost

OC function and ARL I

Operating-characteristic (OC) function:
I

a graphical display of the probability of incorrectly

accepting the hypothesis of statistical control (type II
error, -error) vs. p

providing a measure of the sensitivity of the control

ability to detect a shift from the nominal value p to
some other value p
= P{
p < UCL|p} P{
p LCL|p}
= P{D < nUCL|p} P{D nLCL|p} (D B(n, p))

if LCL<0 P{D nLCL|p} should be dropped

OC function and ARL II

OC function and ARL III

ARL()
ARL =

1
P{sample point plots out of control}
1

In control: ARL0 =

Out of control: ARL1 =

1
1

p = p: = 1 = 0.0027
1
ARL0 = 0.0027
370

p = 0.3: = 0.8594
1
ARL1 = 10.8594
=7

n ARL1

Control charts for defects I

I

A nonconforming item: a unit of product

I

does not satisfy one or more of the specifications of the

product
at least one nonconformity

depending on their nature and severity(): possible

contain several nonconformities and not be classified as
nonconforming

1. c chart: total number of nonconformities in a unit

2. u chart: average number of nonconformities per unit
Assume: the occurrence of nonconformities in samples of
constant size Poisson distribution

c chart I
I

defects Poisson distribution

x: #{nonconformities}

c: the parameter of the Poisson distribution

three-sigma limits
x P(c) p(x) =

e c c x
,
x!

x = 0, 1, 2, . . .

c chart: Standard Given

UCL = c + 3 c
Center line = c

LCL = c 3 c

(if obtaining nagtive LCLLCL=0)

c chart II

c chart: No Standard Given (trial control limits)

UCL = c + 3 c
Center line = c

LCL = c 3 c

c = the observed average number of nonconformities in a

preliminary sample of inspection units

c chart III
Example 7.3: Printed Circuit Boards
I

26 successive sample of 100 boards

c = 19.85,

(UCL, LCL) = (c +3 c , c 3 c ) = (33.22, 6.48)

c chart IV

two points plot outside the control limits

exclude the two samples:

c = 19.67,

(UCL, LCL) = (32.97, 6.36)

c chart V

#{nonconformities per board} is still unacceptably high

further action is necessary to improve the process

c chart VI
I

c chart is more informative than p chart

several different types of nonconformities

analyzing the nonconformities by type insight into their

cause

c chart VII

u chart I
I

the control chart on a sample size of n inspection units

(1) nc chart:

UCL = nc + 3 nc
Center line = nc

LCL = nc 3 nc

(2) u chart: the average number of nonconformities per

inspection unit i.e., u = nx
r

UCL = u + 3

u
n

Center line = u
r

LCL = u 3

u
n

u chart II
Variable sample size: the number of inspection units in a
sample will not be constant

u chart III

1. Based on an average sample size: n

=
2. standardized statistic:
ui
u
Zi = q
(UCL, LCL) = (+3, 3)
u

ni

Pm

i=1 ni /m

Alternative probability models for count

data I

c chart: assume the Poisson distribution

nonconformities: cluster patterns

I

compound Poisson distribution

Mixtures of various types of nonconformities

Demerit Systems I
demerit() scheme:

The number of demerits in the inspection unit:

di = 100ciA + 50ciB + 10ciC + ciD
I

demerit weights for Class (A,B,C,D): (100,50,10,1)

Demerit Systems II
I

#{demeritPper unit}:
n

Di

i=1
ui = D

n =
n
linear combination of independent Poisson r.v.

UCL = u + 3
u
Center line = u
LCL = u 3
u
where
u = 100
uA + 50
uB + 10
uC + uD
"

(100)2 uA + (50)2 uB + (10)2 uC + uD

u =
n

#1/2

Demerit Systems III

OC curve of u chart:
= P{x < UCL|u} P{x LCL|u}
= P{c < nUCL|u} P{cx nLCL|u}
= P{nLCL x < nUCL|u}
dn UCLe

X
x=<n LCL>

e nu (nu)x
x!

Attributes and Variables Control Chart I

I

Variables control chart: x and R charts, x and s charts

I
I
I

more information about process performance

process mean and variability might be obtained
provide relative to the potential cause of that out-of-control
signal
indication of impending() trouble and allow to
take corrective action before any defectives are actually
produced

Attributes and Variables Control Chart II

Attributes control chart: p (np) chart, c chart, u chart

I
I

several quality characteristics can be considered jointly

sometimes avoiding expensive() and
time-consuming() measurements

Generally, variables C.C. are preferable to attributes

Attributes and Variables Control Chart III

Example 7.7: Advantage of Variables C.C.
I Nominal value of the mean and std: (, ) = (50, 2)
I SL (3-): (USL,LSL)=(56,44)
I x
chart: the process is in control at the nominal level of 0 50,

p0 = 0.0027
I Suppose: 0 = 50 1 = 52; p0 = 0.0027 p1 = 0.0228;

= 0.50
i.e., P{detecting this shift on the first subsequent sample} = 0.50
I Appropriate n for x
chart and comparing it to the n for a p

chart?

Attributes and Variables Control Chart IV

3(2)
UCL of x chart: 50 + = 52 n = 9
n
-error of p chart: n =

 2
L

p0 (1 p0 ) = 59.98
= 60

Attributes and Variables Control Chart V

Example 7.8: Misaaplication of x and R charts
I

inspected a sample of the production units several

times each shift using attributes inspection

pi : estimate of the process fraction nonconforming

A consultant: converting their fraction

nonconforming data into x and R charts;
each group of 5 successive values of pi
5
1X
x =
pi ;
5 i=1

R = max(
pi ) min(
pi )

Attributes and Variables Control Chart VI

Attributes and Variables Control Chart VII

Guidelines for Implementing C.C. I

Some general guidelines helpful in implementing control chart:

I

Determining which process characteristics to control

Determining where the charts should be implemented in

the process

Choosing the proper type of control charts

Taking actions to improve processes as the results of

SPC/control chart analysis

Selecting data-collection systems and computer software