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UNIT V - THEORY OF CONTROL CHARTS & ACCEPTANCE SAMPLING (12hours)

Introduction - Definition of Quality - Chance Causes and assignable Causes – SQC Benefits and Limitations
Theory of Control Charts: Control Charts for Variables - -R , -σ charts - run up - run down - Process capability studies.
Control Charts for attributes – P chart, nP chart, C and U chart.
Acceptance sampling- OC curve - AQL -LTPD - AOQL - Sampling Plans - Simple - Double - Multiple and sequential
sampling plans –simple problems

1. Quality – Introduction & Definition

The term “Quality” is mostly used by industrialists. Quality means “fit for use”. Quality is the most important
consumer - decision factor in selecting products and services. In modern times we have professional societies,
Governmental regulatory body which aims at assuring the quality of products sold to consumers. Every customer has
a ‘right’ to get good quality product, which is consumed by “Consumer Protection Act, 1986”.

Quality is defined based on view point that products and services must meet the requirements of the consumers.
Quality control is a process employed to ensure a certain level of quality in a product or service. Essentially, quality
control involves the examination of a product, service, or process for certain minimum levels of quality. The basic
goal of quality control is to ensure that the products, services or processes are provided to meet the specific
requirements and are dependable satisfactory and fiscally sound.

It is clear to say that when manufacturing began and competition accompanied manufacturing, consumers would
compare and choose the products based on qualities such as performance, reliability, durability, serviceability,
aesthetics (visual appeal of the product), features, company reputation and standards required by the consumers. It
is worthwhile to note that quality is inversely proportional to variability in quality characteristics. Thus, if quality of
the product varies from certain respective characteristics then quality of that product will downgrade. As a
consequence of this, the company’s reputation will come down. For example, if you make regular business trips using
a particular airline and the flight does not arrive on time, the prospective customer will choose an alternative mode
of travel and hence, the airline company loses its reputation and business as well. Therefore the main objective of
the manufacturing company is to enhance the company’s reputation, maintain low cost, improve quality of the
product, reduction of the variability and ensure that whether the product satisfies consumer’s needs or not. Most
organizations find it difficult to provide good quality products (identical from product to product and meet customer
expectations).
Chance Causes and Assignable Causes
Defects due to man, machine and material are called as assignable causes. Corrective action can be taken to remove
these causes.
Certain variations take place at random. No specific reasons can be assigned for this. These variations cannot be
avoided. These variations are caused by chance. These are called chance causes.
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Benefits of Statistical Quality Control

1) It provides a means of detecting error at inspection.
2) It leads to more uniform quality of production.
3) It improves the relationship with the customer.
4) It reduces inspection costs.
5) It reduces the number of rejects and saves the cost of material.
6) It provides a basis for attainable specifications.
7) It points out the bottlenecks and trouble spots.
8) It provides a means of determining the capability of the manufacturing process.
9) It promotes the understanding and appreciation of quality control.

2. Theory of Control Charts

The control chart is a graph used to study how a process changes over time. Data are plotted in time order. A control
chart always has a central line for the average, an upper line for the upper control limit and a lower line for the lower
control limit. These lines are determined from historical data. By comparing current data to these lines, you can draw
conclusions about whether the process variation is consistent (in control) or is unpredictable (out of control, affected
by special causes of variation).

Control Charts for Variables

Many quality characteristics can be expressed in terms of a numerical measurement. For example, the
diameter of a bearing could be measured with a micrometer and expressed in millimeters. A single measurable
quality characteristic, such as a dimension, weight, or volume, is called a variable. Control charts for variables are
used extensively.
When dealing with a quality characteristic that is a variable, it is usually necessary to monitor both the mean
value of the quality characteristic and its variability. Control of the process average or mean quality level is usually
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done with the control chart for means, or the control chart. Process variability can be monitored with either a
control chart for the standard deviation, called the s control chart, or a control chart for the range, called an R
control chart. The R chart is more widely used. Usually, separate and R charts are maintained for each quality
characteristic of interest. Suppose that a quality characteristic is normally distributed with mean m and standard
deviations, where both m and s are known. If x1, x2, . . . , xn is a sample of size n, then the average of this sample is

Let x1, x2, . . . , xm be the average of each sample. Then, xbarbar is the average of averages. Thus, xbarbar would be
used as the center line on the chart.

To construct the control limits, we need an estimate of the standard deviation σ. For this we may estimate σ from
either the standard deviations or the ranges of the m samples. For the present, we will use the range method.

Range R
If x1, x2, . . . , xn is a sample of size n, then the range of the sample is the difference between the largest and smallest
observations; that is, Rmax –Rmin.
Let R1, R2, . . . , Rm be the ranges of the m samples. The average range is

Control Limits for X bar chart

Control Limits for R chart

Process variability may be monitored by plotting values of the sample range R on a control
chart. The center line and control limits of the R chart are as follows:
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Example : A hard-bake process is used in conjunction with photolithography in semiconductor manufacturing. We

wish to establish statistical control of the flow width of the resist in this process using and R charts. Twenty-five
samples, each of size five wafers, have been taken when we think the process is in control. The interval of time
between samples or subgroups is one hour. The flow width measurement data (n x microns) from these samples are
shown in Table.

When setting up and R control charts, it is best to begin with the R chart. Because the control limits on the chart
depend on the process variability, unless process variability is in control, these limits will not have much meaning.
Using the data in Table 6.1, we find that the center line for the Rchart is

For samples of n D3=0 and D4 =2.114. Therefore, the control limits for the
Rchart are, using equation (6.5),
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The R chart is shown in Fig. 6.2b. Both control charts in Fig.6.2 were constructed by Minitab. Note that the UCL for
the Rchart is reported as 0.6876, because Minitab uses more decimal places in the calculation than we did. When the
25 sample ranges are plotted on the R chart in Fig. 6.2b there is no indication of an out-of-control condition. Since
the R chart indicates that process variability is in control, we may now construct the chart. The center line is

To find the control limits on the chart, we use A2 =0.577 from Appendix Table VI for samples of size n =5 and below
equation to find

and

The chart is shown in Fig. 6.2a. When the preliminary sample averages are plotted on this chart, no indication of an
out of-control condition is observed. Therefore, since both the X bar and R charts exhibit control, we would conclude
that the process is in control at the stated levels and adopt the trial control limits for use in phase II, where
monitoring of future production is of interest.

Fig.: Xbar and R charts (from Minitab) for flow width in the hard-bake process..

Interpretation of x and R Charts

We have noted previously that a control chart can indicate an out-of-control condition even though no single point
plots outside the control limits, if the pattern of the plotted points exhibits nonrandom or systematic behavior. In
many cases, the pattern of the plotted points will provide useful diagnostic information on the process, and this
information can be used to make process modifications that reduce variability (the goal of statistical process control).
Furthermore, these patterns occur fairly often in phase, and their elimination is frequently crucial in bringing a
process into control.
In this section, we briefly discuss interpretation of control charts, focusing on some of the more common patterns
that appear on x and R charts and some of the process characteristics that may produce the patterns. To effectively
interpret and R charts, the analyst must be familiar with both the statistical principles underlying the control chart
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and the process itself. Additional information on the interpretation of patterns on control charts is in the Western
Electric Statistical Quality Control Handbook (1956, pp. 149–183).
In interpreting patterns on the chart, we must first determine whether or not the Rchart is in control. Some
assignable causes show up on both the and R charts. If both the X bar and R charts exhibit a nonrandom pattern, the
best strategy is to eliminate the R chart assignable causes first. In many cases, this will automatically eliminate the
nonrandom pattern on the chart. Never attempt to interpret the chart when the R chart indicates an out-of-control
condition.

Cyclic patterns occasionally appear on the control chart. A typical example is shown in Fig. 6.8. Such a pattern on the
chart may result from systematic environmental changes such as temperature, operator fatigue, regular rotation of
operators and/or machines, or fluctuation in voltage or pressure or some other variable in the production
equipment. R charts will sometimes reveal cycles because of maintenance schedules, operator fatigue, or tool wear
resulting in excessive variability. In one study in which this author was involved, systematic variability in the fill
volume of a metal container was caused by the on–off cycle of a compressor in the filling machine.

A mixture is indicated when the plotted points tend to fall near or slightly outside the control limits, with relatively
few points near the center line, as shown in Fig. 6.9. A mixture pattern is generated by two (or more) overlapping
distributions generating the process output. The probability distributions that could be associated with the mixture
pattern in Fig. 6.9 are shown on the right-hand side of that figure. The severity of the mixture pattern depends on
the extent to which the distributions overlap. Sometimes mixtures result from “overcontrol, ”where the operators
make process adjustments too often, responding to random variation in the output rather than systematic causes. A
mixture pattern can also occur when output product from several sources (such as parallel machines) is fed into a
common stream which is then sampled for process monitoring purposes.

A shift in process level is illustrated in Fig. 6.10. These shifts may result from the introduction of new workers;
changes in methods, raw materials, or machines; a change in the inspection method or standards; or a change in
either the skill, attentiveness, or motivation of the operators. Sometimes an improvement in process performance is
noted following introduction of a control chart program, simply because of motivational factors influencing the
workers.
Applications of Variables Control Charts
 Using Control Charts to Improve Suppliers’ Processes
 Using SPC to Purchase a Machine Tool
 SPC Implementation in a Short-Run Job-Shop
 Use of x – and R Charts in Transactional and Service Businesses
 The Need for Care in Selecting Rational Subgroups
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Control Charts for Attributes

P Chart
The sample fraction nonconforming is defined as the ratio of the number of nonconforming units in the sample D to
the sample size n; that is,

Control limits for P chart is given by

The np Control Chart. It is also possible to base a control chart on the number nonconforming rather than the
fraction nonconforming. This is often called an number nonconforming(np) control chart. The parameters of this
chart are as follows.

If a standard value for p is unavailable, then can be used to estimate p. Many non statistically trained personnel find
the np chart easier to interpret than the usual fraction nonconforming control chart.

Control Charts for Nonconformities (Defects)

A nonconforming item is a unit of product that does not satisfy one or more of the specifications for that product.
Each specific point at which a specification is not satisfied results in a defect or nonconformity. A control chart for
nonconformities, or c chart with three sigma limits would be defined as follows,

assuming that a standard value for c is available. Should these calculations yield a negative value for the LCL, set LCL
= 0. If no standard is given, then c may be estimated as the observed average number of non conformities in a
preliminary sample of inspection units—say, . In this case, the control chart has parameters defined as follows.
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Choice of Sample Size: The u Chart.

This approach involves setting up a control chart based on the average number of nonconformities per inspection
unit. If we find x total nonconformities in a sample of n inspection units, then the average number of
nonconformities per inspection unit is

Note that x is a Poisson random variable; consequently, the parameters of the control chart for the average number
of nonconformities per unit are as follows,

where represents the observed average number of nonconformities per unit in a preliminary set of data. Control
limits found from equation (7.19) would be regarded as trial control limits. This per-unit chart often is called the
control chart for nonconformities, or u chart.

Acceptance-Sampling
In more recent years, it has become typical to work with suppliers to improve their process performance through the
use of SPC and designed experiments, and not to rely as much on acceptance sampling as a primary quality assurance
tool.
A typical application of acceptance sampling is as follows: A company receives a shipment of product from a supplier.
This product is often a component or raw material used in the company’s manufacturing process. A sample is taken
from the lot, and some quality characteristic of the units in the sample is inspected. On the basis of the information
in this sample, a decision is made regarding lot disposition. Usually, this decision is either to accept or to reject the
lot. Sometimes we refer to this decision as lot sentencing. Accepted lots are put into production; rejected lots may be
returned to the supplier or may be subjected to some other lot disposition action.

Although it is customary to think of acceptance sampling as a receiving inspection activity, there are other uses of
sampling methods. For example, frequently a manufacturer will sample and inspect its own product at various stages
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of production. Lots that are accepted are sent forward for further processing, and rejected lots may be reworked or
scrapped.
Three aspects of sampling are important:
1. It is the purpose of acceptance sampling to sentence lots, not to estimate the lot quality. Most acceptance-
sampling plans are not designed for estimation purposes.
2. Acceptance-sampling plans do not provide any direct form of quality control. Acceptance sampling simply accepts
and rejects lots. Even if all lots are of the same quality, sampling will accept some lots and reject others, the accepted
lots being no better than the rejected ones. Process controls are used to control and systematically improve quality,
but acceptance sampling is not.
3. The most effective use of acceptance sampling is not to “inspect quality into the product,” but rather as an audit
tool to ensure that the output of a process conforms to requirements.

Uses of Sampling
Acceptance sampling is most likely to be useful in the following situations:
1. When testing is destructive
2. When the cost of 100% inspection is extremely high
3. When 100% inspection is not technologically feasible or would require so much calendar time that production
scheduling would be seriously impacted
4. When there are many items to be inspected and the inspection error rate is sufficiently high that 100% inspection
might cause a higher percentage of defective units to be passed than would occur with the use of a sampling plan.
5. When the supplier has an excellent quality history, and some reduction in inspection from 100% is desired, but the
supplier’s process capability is sufficiently low as to make no inspection an unsatisfactory alternative
6. When there are potentially serious product liability risks, and although the supplier’s process is satisfactory, a
program for continuously monitoring the product is necessary

Advantages of Sampling
When acceptance sampling is contrasted with 100% inspection, it has the following advantages:
1. It is usually less expensive because there is less inspection.
2. There is less handling of the product, hence reduced damage.
3. It is applicable to destructive testing.
4. Fewer personnel are involved in inspection activities.
5. It often greatly reduces the amount of inspection error.
6. The rejection of entire lots as opposed to the simple return of defectives often provides
a stronger motivation to the supplier for quality improvements.
Disadvantages of Sampling
Acceptance sampling also has several disadvantages, however. These include the following:
1. There are risks of accepting “bad” lots and rejecting “good” lots.
2. Less information is usually generated about the product or about the process that manufactured the product.
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3. Acceptance sampling requires planning and documentation of the acceptance-sampling procedure whereas 100%
inspection does not.
The OC Curve
An important measure of the performance of an acceptance-sampling plan is the operating characteristic (OC)
curve. This curve plots the probability of accepting the lot versus the lot fraction defective. Thus, the OC curve
displays the discriminatory power of the sampling plan. That is, it shows the probability that a lot submitted with a
certain fraction defective will be either accepted or rejected. The OC curve of the sampling plan n = 89, c = 2 is shown
in below figure.

OC curve for the single sampling plan – n=89, c=2

It is easy to demonstrate how the points on this curve are obtained. Suppose that the lot size N is large (theoretically
infinite). Under this condition, the distribution of the number of defectives d in a random sample of n items is
binomial with parameters n and p, where p is the fraction of defective items in the lot. An equivalent way to
conceptualize this is to draw lots of N items at random from a theoretically infinite process, and then to draw
random samples of n from these lots. Sampling from the lot in this manner is the equivalent of sampling directly from
the process.
Effect of n and c on OC Curves.
A sampling plan that discriminated perfectly between good and bad lots would have an OC curve that looks like Fig.
15.3. The OC curve runs horizontally at a probability of acceptance Pa = 1.00 until a level of lot quality that is
considered “bad” is reached, at which point the curve drops vertically to a probability of acceptance Pa = 0.00, and
then the curve runs horizontally again for all lot fraction defectives greater than the undesirable level.
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If such a sampling plan could be employed, all lots of “bad” quality would be rejected, and all lots of “good” quality
would be accepted.

Unfortunately, the ideal OC curve in Fig. 15.3 can almost never be obtained in practice. In theory, it could be realized
by 100% inspection, if the inspection were error-free. The ideal OC curve shape can be approached, however, by
increasing the sample size. Figure 15.4 shows that the OC curve becomes more like the idealized OC curve shape as
the sample size increases. (Note that the acceptance number c is kept proportional to n.) Thus, the precision with
which a sampling plan differentiates between good and bad lots increases with the size of the sample. The greater is
the slope of the OC curve, the greater is the discriminatory power. Figure 15.5 shows how the OC curve changes as
the acceptance number changes. Generally, changing the acceptance number does not dramatically change the slope
of the OC curve. As the acceptance number is decreased, the OC curve is shifted to the left. Plans with smaller values
of c provide discrimination at lower levels of lot fraction defective than do plans with larger values of c.

A consumer often establishes a sampling plan for a continuing supply of components or raw material with reference
to an acceptable quality level (AQL). The AQL represents the poorest level of quality for the supplier’s process that
the consumer would consider to be acceptable as a process average. Note that the AQL is a property of the supplier’s
manufacturing process; it is not a property of the sampling plan. The consumer will often design the sampling
procedure so that the OC curve gives a high probability of acceptance at the AQL. Furthermore, the AQL is not usually
intended to be a specification on the product, nor is it a target value for the supplier’s production process. It is simply
a standard against which to judge the lots. It is hoped that the supplier’s process will operate at a fallout level that is
considerably better than the AQL.

The consumer will also be interested in the other end of the OC curve—that is, in the protection that is obtained for
individual lots of poor quality. In such a situation, the consumer may establish a lot tolerance percent defective
(LTPD). The LTPD is the poorest level of quality that the consumer is willing to accept in an individual lot. Note that
the lot tolerance percent defective is not a characteristic of the sampling plan, but is a level of lot quality specified
by the consumer. Alternate names for the LTPD are the rejectable quality level (RQL) and the limiting quality level
(LQL). It is possible to design acceptance-sampling plans that give specified probabilities of acceptance at the LTPD
point. Subsequently, we will see how to design sampling plans that have specified performance at the AQL and LTPD
points.

Type-A and Type-B OC Curves. The OC curves that were constructed in the previous examples are called type-B OC
curves. In the construction of the OC curve it was assumed that the samples came from a large lot or that we were
sampling from a stream of lots selected at random from a process. In this situation, the binomial distribution is the
exact probability distribution for calculating the probability of lot acceptance. Such an OC curve is referred to as a
type-B OC curve.
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The type-A OC curve is used to calculate probabilities of acceptance for an isolated lot of finite size. Suppose that the
lot size is N, the sample size is n, and the acceptance number is c. The exact sampling distribution of the number of
defective items in the sample is the hypergeometric distribution.

Types of Sampling Plans

There are a number of different ways to classify acceptance-sampling plans. One major classification is by variables
and attributes. Variables, of course, are quality characteristics that are measured on a numerical scale. Attributes
are quality characteristics that are expressed on a “go, no-go” basis. This chapter deals with lot-by-lot acceptance-
sampling plans for attributes. Variables sampling plans are the subject of Chapter 16, along with a brief discussion
of several special acceptance-sampling procedures.
A single-sampling plan is a lot-sentencing procedure in which one sample of n units is selected at random from the
lot, and the disposition of the lot is determined based on the information contained in that sample. For example, a
single-sampling plan for attributes would consist of a sample size n and an acceptance number c. The procedure
would operate as follows: Select n items at random from the lot. If there are c or fewer defectives in the sample,
accept the lot, and if there are more than c defective items in the sample, reject the lot. We investigate this type of
sampling plan extensively in Section 15.2.

Suppose that a lot of size N has been submitted for inspection. A single-sampling plan is defined by the sample size n
and the acceptance number c. Thus, if the lot size is N = 10,000, then the sampling plan
n = 89
c=2

means that from a lot of size 10,000 a random sample of n = 89 units is inspected and the number of nonconforming
or defective items d observed. If the number of observed defectives d is less than or equal to c = 2, the lot will be
accepted. If the number of observed defectives d is greater than 2, the lot will be rejected. Since the quality
characteristic inspected is an attribute, each unit in the sample is judged to be either conforming or nonconforming.
One or several attributes can be inspected in the same sample; generally, a unit that is nonconforming to
specifications on one or more attributes is said to be a defective unit. This procedure is called a single-sampling plan
because the lot is sentenced based on the information contained in one sample of size n.

Double-Sampling Plans
Double-sampling plans are somewhat more complicated. Following an initial sample, a decision based on the
information in that sample is made either to (1) accept the lot, (2) reject the lot, or (3) take a second sample. If the
second sample is taken, the information from both the first and second sample is combined in order to reach a
decision whether to accept or reject the lot. Double-sampling plans are discussed in Section 15.3.

A double-sampling plan is a procedure in which, under certain circumstances, a second sample is required before the
lot can be sentenced. A double-sampling plan is defined by four parameters:
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n1 = sample size on the first sample

c1 = acceptance number of the first sample
n2 = sample size on the second sample
c2 = acceptance number for both sample

The principal advantage of a double-sampling plan with respect to single-sampling is that it may reduce the total
amount of required inspection. Suppose that the first sample taken under a double-sampling plan is smaller than the
sample that would be required using a single-sampling plan that offers the consumer the same protection. In all
cases, then, in which a lot is accepted or rejected on the first sample, the cost of inspection will be lower for double-
sampling than it would be for single-sampling. It is also possible to reject a lot without complete inspection of the
second sample. (This is called curtailment on the second sample.) Consequently, the use of double-sampling can
often result in lower total inspection costs. Furthermore, in some situations, a doublesampling plan has the
psychological advantage of giving a lot a second chance. This may have some appeal to the supplier. However, there
is no real advantage to double sampling in this regard, because single- and double-sampling plans can be chosen so
that they have the same OC curves. Thus, both plans would offer the same risks of accepting or rejecting lots of
specified quality.

Double-sampling has two potential disadvantages. First, unless curtailment is used on the second sample, under
some circumstances double-sampling may require more total inspection than would be required in a single-sampling
plan that offers the same protection. Thus, unless double-sampling is used carefully, its potential economic
advantage may be lost. The second disadvantage of double sampling is that it is administratively more complex,
which may increase the opportunity for the occurrence of inspection errors.

Multiple-Sampling Plans
A multiple-sampling plan is an extension of the double-sampling concept, in that more than two samples may be
required in order to reach a decision regarding the disposition of the lot. Sample sizes in multiple sampling are
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usually smaller than they are in either single or double sampling. The ultimate extension of multiple sampling is
sequential sampling, in which units are selected from the lot one at a time, and following inspection of each unit, a
decision is made either to accept the lot, reject the lot, or select another unit.

A multiple-sampling plan is an extension of double-sampling in that more than two samples can be required to
sentence a lot.
An example of a multiple-sampling plan with five stages follows.

This plan will operate as follows: If, at the completion of any stage of sampling, the number of defective items is less
than or equal to the acceptance number, the lot is accepted. If, during any stage, the number of defective items
equals or exceeds the rejection number, the lot is rejected; otherwise the next sample is taken. The multiple-
sampling procedure continues until the fifth sample is taken, at which time a lot disposition decision must be made.
The first sample is usually inspected 100%, although subsequent samples are usually subject to curtailment.

Sequential-Sampling Plans
Sequential-sampling is an extension of the double-sampling and multiple-sampling concept. In sequential-sampling,
we take a sequence of samples from the lot and allow the number of samples to be determined entirely by the
results of the sampling process. In practice, sequential-sampling can theoretically continue indefinitely, until the lot is
inspected 100%. In practice, sequential-sampling plans are usually truncated after the number inspected is equal to
three times the number that would have been inspected using a corresponding single-sampling plan. If the sample
size selected at each stage is greater than one, the process is usually called group sequential-sampling. If the sample
size inspected at each stage is one, the procedure is usually called item-by-item sequential-sampling.
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