Lot-by-lot

Acceptance Sampling
Techniques
by
Attributes
 Topic Outcome:
At the end of this topic, student will be able to:
 Describe the consumer-producer relationship
from a OC curve.
 Determine and explain producer’s risk,
consumer’s risk, AQL, and LQ.
 Determine and explain AOQ, ASN, and ATI.
 Design and apply a sampling plan.
 Topic Outline:
Introduction
Consumer-Producer Relationship
 Producer’s Risk (α ) & AQL (Tahap Mutu
Kebolehterimaan)
 Consumer’s Risk (β ) & LQ (Mutu Terhad)
AOQ (Mutu Purata Pengeluaran)
ASN
ATI
Design of Sampling Plan.
(1) Introduction
 Introduction
 An OC curve can be plotted for any combination of sample
size (n) and acceptance number (c).
 Each combination results in a different curve.
 Some of the most important things to remember about OC
curves can be seen by comparing the curves.
 DIFFERENT n: A larger sample size tends to result in a
steeper curve  such a plan is said to have greater
“discriminating power” than plan with smaller sample size
and shallower curve.
 DIFFERENT c: a larger c tends to change the shape of the
curve, creating a flat “shoulder” at the top while retaining a
thin “tail” at the bottom.
 OC curve has 3 parts
Shoulder (or peak) at the top
It shows the quality of the product that
[or Percent of Lots Accepted,100Pa]

will be accepted by sampling plan

Probability of Acceptance, Pa

1.0
without question.
Middle portion between shoulder and
tail
At exact centre of the curve, where the Pa
0.5 is 50%, product of corresponding quality
has 50-50 chance of being either rejected
or accepted.

Thin part of the tail at

the bottom
0 It shows the quality of
5.0 10.0
Percent Nonconforming (100p0) the product that is almost
certain to be rejected by
the plan.
 In general, engineer should make sure that the “shoulder”
of the curve corresponds to the product he/she is willing to
be accepted and that the “tail” of the curve corresponds to
the product he/she is willing to be rejected.
 Maximum economy is likely to be obtained when the
process is running at or near its capability level and
when this level matches the shoulder of the OC curve to
be used.
(2) Consumer–Producer Relationship
Producer’s Risk
AQL
Producer’s Risk (α )
 It is defined as the probability or risk of rejecting a lot
when the quality of the lot is acceptable.
 What does this mean to an engineer?
 The risk for a good product to be rejected  a lost to an
organization.

 Example:
 A process capability is 99%. Customer is willing to accept 1%
nonconforming units. However, during inspection a certain
percentage of lots still rejected ever though the percent of
nonconforming is less than 1%.
How to estimate Producer’s Risk (α )
1) Plot OC curve for the sampling plan.
2) Find the percentage nonconforming (100p0) in the
process.
• Rough estimation can be done if no exact data is
available.
• However for a more accurate check, a process
capability study is preferable.
1) Use the process capability percentage to determine the
probability of acceptance (Pa) on the OC curve.
2) Producer’s Risk (α ) = 1 - Pa
Q & A:

Process Capability = 99%

1.Sampling Plan, N=3000, n=80, c=0
2.Sampling Plan, N=3000, n=80, c=1
3.Sampling Plan, N=3000, n=80, c=2
4.Sampling Plan, N=3000, n=80, c=3
5.Sampling Plan, N=3000, n=80, c=4
Find the Producer’s Risk for the above sampling plans
according to the stated process capability.
 OC Curve Process Capability = 99%
 100p0 = 1%
100

90 Percentage of Lots
Percent of Lots Accepted (100Pa )

NOT Accepted (Pr)

80

70
c=4 c 100Pa 100α

60 0 44.9% 55.1%
c=3
50
1 80.9% 19.1%
40
c=2
30 2 95.2% 4.8%
20
c=1
3 99.1% 0.9%
10
c=0 4 99.8% 0.2%
0
0 1 2 3 4 5 6
Percent Nonconforming (100p 0)
Acceptable Quality Level (AQL)
 It is associated with producer’s risk.
 It is a numerical definition of an acceptable lot.
 It is the maximum percent nonconforming that can be
considered satisfactory for the purposes of acceptance
sampling.
 It is a reference point on the OC curve and is not
meant to convey to the producer that any percent
nonconforming is acceptable.
 It is a statistical term and is not meant to be used by
general public.
 Producer only can guarantee an acceptable lot when 0%
nonconforming or the number nonconforming in the lot
less than or equal to acceptance number, c.
 Producer’s quality goal is to meet or exceed the
specifications so that no nonconforming units are
present in the lot.
 A sampling plan should have a low Producer’s risk for
quality that is equal to or better than the AQL.
 Example:

Sampling plan: N=4000, n=300, and c=4, AQL=0.7%.

What is the non-acceptance probability?
 OC Curve
93%
100
Comment: 90
(AQL, 1-100Pa)

Percent of Lots Accepted (100Pa )

• Producer’s risk = 7% 80

• Product that is 0.7% 70

nonconforming will have 60

a non-acceptance
50
probability of 0.07 or
7%. 40

30
• 7 out of 100 lots that
are 0.7% 20

nonconforming will not 10

be accepted by the
0
sampling plan. 0 0.5 1 1.5 2 2.5 3
Percent Nonconforming (100p 0)
Consumer’s Risk
LQ
Consumer’s Risk (β )
 It is defined as the probability or risk of accepting a “bad”
lot based on a sampling plan.
 It is expressed in terms of probability of acceptance.
 To estimate consumer’s risk:
Plot OC curve for a sampling plan.
Find out the percent nonconforming that the
consumer wants to reject.
Find this value on the OC curve and determine the
probability of acceptance. This gives the risk of
accepting unsatisfactory quality provided the product
of such poor quality is actually submitted.
Q & A:

Consumer wants to reject product that is 4% nonconforming.

1. Sampling Plan, N=3000, n=80, c=0
2. Sampling Plan, N=3000, n=80, c=1
3. Sampling Plan, N=3000, n=80, c=2
4. Sampling Plan, N=3000, n=80, c=3
5. Sampling Plan, N=3000, n=80, c=4
Find the Consumer’s Risk (β ) for the above sampling plans.
 OC Curve

100

90
Percent of Lots Accepted (100Pa )

80

70
c=4 c 100Pa=100β

60 0 4.1%
c=3
50
1 17.1%
40
c=2
30 2 38.0%
20
c=1
3 60.2%
10
c=0 4 78.1%
0
0 1 2 3 4 5 6
Percent Nonconforming (100p 0)
Limiting Quality (LQ)
 It is associated with consumer’s risk.
 It is a numerical definition of a nonconforming lot.
 It is the percent nonconforming in a lot for which (for
acceptance purposes) the consumer wishes the
probability of acceptance to be low.
 For previous example, LQ = 4% for 100β = 5% (for c=0)
 lots that are 4% nonconforming will have a 5%
chance of being accepted.  1 out of 20 lots that are
4% nonconforming will be accepted by this sampling
plan.
(3) Average Outgoing Quality (AOQ)
Average Outgoing Quality (AOQ)
 It is the average quality of outgoing product.
 All accepted lots + All rejected lots after the rejected lots
have been effectively 100% inspected (screened) and all
nonconforming units replaced by conforming one.
 Rectifying Inspection.
 AOQ = (100p0)(Pa)

 It is the quality that leaves the inspection operation.

 When rectification/sorting does not occur, the AOQ is
same as the incoming quality (or process quality).
 Rectifying Inspection Program

Fraction non-conforming
 AOQ Curve
Average Outgoing
Average Outgoing Quality-%
1.8 Quality Limit (AOQL)
1.6
1.4
1.2
1.0
0.8 Incoming quality = 2%
0.6 nonconforming AOQ
0.4 is ~1.45%
0.2
0.0
0 1 2 3 4 5 6
Percent Nonconforming
N=3000, n=89, c=2
AOQL
Why AOQ is better than Incoming quality?
AOQ Curve
Curve without
rectification
Average Outgoing Quality-%
1.8
1.6
1.4
1.2
1.0
0.8
0.6
0.4
0.2
0.0
0 1 2 3 4 5 6
Percent Nonconforming
AOQL
Q&A

Suppose that over a period of time, 15 lots of 3000

each are shipped by producer to the consumer. The
lots are 2% nonconforming and a sampling plan of
n=89 and c=2 is used to determine acceptance.
 OC Curve

100 • 100Pa for 2% nonconforming

90
lot (100p0) is 73.6%.
Percent of Lots Accepted (100P a )

80

• How many lots are accepted

70
73.6%
60
by the consumer?
50
• 0.736 x 15 = 11 lots
40

30 • 4 lots are NOT accepted by the

20
sampling plan and returned to
10
the producer for rectification.
0
0 1 2 3 4 5 6
• These 4 lots receive 100%
Percent Nonconforming (100p0)
inspection and are returned to
the consumer with 0%
nonconforming.
 15 lots 11 lots
2% Nonconforming 2% Nonconforming
N = 3000
Producer n = 89 Consumer
c=2
4 lots
2% Nonconforming

4 lots
0% Nonconforming

Total Number Number Nonconforming

11 lots (2% NC) 11(3000) =33,000 33,000(0.02) = 660
4 lots (0% NC)  4(3000)(0.98)=11,760 0
------------ -------
44,760 660
Percent Nonconforming (AOQ) = (660/44760)100 = 1.47%
[consumer actually receives 1.47% nonconforming, whereas the
producer’s quality is 2%]
 OC Curve

100
• If the producer’s risk (α )
90
is equal to 0.05, the
Percent of Lots Accepted (100P a )

80

AQL=1%
70
73.6%
60

50
• Producer at 2%
40 nonconforming is not
30
achieving the desired
20

10
quality level.
0
0 1 2 3 4 5 6
Percent Nonconforming (100p0)
(4) Average Sample Number(ASN)
 Average Sample Number(ASN)
 It is a comparison of the average amount inspected per lot
by the consumer for a certain sampling plan.
 The ASN depends on the type of sampling plan:
 Single Sampling Plan
ASN is constant
 Double Sampling Plan
ASN = n1 + n2(1+P1)
Where n1 is the first sample size number
n2 is the second sample size number
P1 is the probability of a decision on first
sample
 Multiple Sampling Plan
ASN = n1P1 + (n1+n2)P2 + ….+ (n1+n2+…+nk)Pk
Where nk is the sample size of the last level, Pk is the
probability of a decision at the last level.

ASN curves
 ASN curves are a valuable tool for justifying double or
multiple sampling.
 When inspection costs are great due to inspection
time, equipment cost, or equipment availability.
Q&A
Given the single sampling plan n=80 and c=2 and the
equal effective double sampling plan n1=50, c1=0, r1=3,
n2=50, c2=3, and r2=4, compare the ASN of the two by
constructing their curves.
For single sampling, the ASN is a straight line at n=80.
For double sampling, the solution is
PI =P0 + P3 ormore
Assume that p0=0.01; then np0=50(0.01)=0.5. From
Appendix C:
P0=0.607
P3 or more = 1-P2orless = 1-0.986 = 0.014
ASN = n1+n2[1-(P0+P3ormore )]
ASN = 50 + 50[1-(0.607+0.014)]=69
Repeating for different values of p0, the double sampling
plan is plotted as shown in Fig. above.
 The formula assumes that inspection continues even after
the rejection number is reached.
 It is frequently the practice to discontinue inspection after
the rejection number is reached on either the first or
second sample.
 This practice is called curtailed inspection, and the
formula is much more complicated. Thus, the ASN curve
for double sampling is somewhat lower than what actually
occurs.
 Analysis of the ASN curve for double sampling.
 At p0 of 0.03  single and double sampling plans have
about the same amount of inspection.
 For p0<0.03  double sampling plan has less inspection
because a decision to accept on the first sample is more
likely.
 For p0>0.03  double sampling plan has less inspection
because a decision not to accept on the first sample is
more likely and a second sample is not required.
 Note: in most ASN curves, the double sample curve does
not get close to the single sample one.
 Typical ASN
curves
(5) Average Total Inspection (ATI)
 Average Total Inspection (ATI)
 It is the amount inspected by both the consumer and the
producer.
 Provide information on the amount inspected and NOT the
effectiveness of the plan.
 Single Sampling Plan
ATI = n + (1 – Pa)(N – n)
 Assumption:
Rectified lots receive 100% inspection.
 Lots with 0% nonconforming  ATI = n
 Lots with 100% nonconforming  ATI = N
 Example
 Determine the ATI curve for the single sampling plan N =
3000, n = 89, and c = 2.

 Assume that p0 = 0.02. From the OC curve, Pa = 0.731.

 ATI = n + (1 – Pa)(N – n) = 89 + (1 – 0.731)(3000 – 89)
ATI = 872
 Repeat for other p0 values until a smooth curve is obtained.
(6) Design of Sampling Plan
 Design of Sampling Plan

“Rule of Thumb”
A sampling plan should not be adopted without seeing
the OC curve!!!!!
Sampling Plans for Stipulated Producer’s Risk
When α and its corresponding AQL are specified, a
family of sampling plans can be determined.

[or Percent of Lots Accepted,100Pa]

Probability of Acceptance, Pa Producer’s Risk
1.0

0.5

AQL

0
5.0 10.0
Percent Nonconforming (100p0)
 How to construct a family of sampling plan?
[α =0.05, AQL (or 100p0)=1.2%]
1) Arbitrarily select c values.
2) Find np0 values correspond to the c values (from
Table below) -- interpolation
3) Calculate n, from n=np0/p0
4) Construct OC curves with n and c values.
Q&A

Construct a family of sampling plan [α =0.05, AQL (or

100p0)=1.2%]
•Arbitrarily select c values.
• c=1, 2, and 6
• α =0.05  Pa=0.95  np0 values correspond to the c
values (Table 9-4). If np0 value is not available in the
Table, interpolation is needed to find the values using
the pre-calculated values from Table above.
• From Table 9-4  obtain np0 values
• Calculate n, from n=np0/p0
• Pa = 0.95; p0.95 = 0.012
c np0 (from Table 9-4) n = np0/p0

1 0.355 29.6 (~30)

2 0.818 68.2 (~68)

6 3.286 273.9 (~274)

• Construct OC curves with n and c values.

 OC Curve • All the plans provide the
100α =5
same protection for the
100
producer, but the
90 c=1 consumer’s risk (β ) = 0.10
Percent of Lots Accepted (100Pa )

n=30 is quite different.

80
• For plan c=6, n=274 
70 c=2 product that is 3.8%
60 n=68 nonconforming will be
accepted 10% (β = 0.10) of
50 c=6 the time.
40 n=274
30
100β =10
20
For consumer’s viewpoint, the plan
10 with c=6, n=274 provides better
protection,but the size is large.
0
0 1 2 3 4 5 6 7 8
Percent Nonconforming (100p0) AQL=1.2%
Sampling Plans for Stipulated Consumer’s Risk
When β and its corresponding Limiting Quality (LQ) are
specified, a family of sampling plans can be determined.

[or Percent of Lots Accepted,100Pa]

Probability of Acceptance, Pa
1.0

Consumer’s Risk

0.5
LQ

0
5.0 10.0
Percent Nonconforming (100p0)
 Q&A

Construct a family of sampling plans [β =0.10, LQ (or 100p0)=6.0%]

• Arbitrarily select c values.

• c=1, 3, and 7
• Find np0 values correspond to the c values (from above Table).

∀ β =0.10  100Pa=10  np0 values correspond to the c values

in the Table.
• Calculate n, from n=np0/p0
• Pa = 0.10; p0.95 = 0.060
c np0 (from above Table) n

1 3.890 64.8 (~65)

3 6.681 111.4 (~111)

7 11.771 196.2 (~196)

• Construct OC curves with n and c values.

 OC Curve
100α =5 • All the plans provide the
100 same protection for the
c=1 consumer, but the
90
Percent of Lots Accepted (100Pa )

n=65 producer’s risk (α ) = 0.05

80 is quite different.
70 c=3 • For plan c=1, n=65 
60 n=111 product that is 0.5%
nonconforming will not be
50 c=7 accepted 5% (100α = 5%)
40 n=196 of the time.
30
100β =10
20
For producer’s viewpoint, the plan
10 with c=1, n=65 provides better
protection,but the size is large.
0
0 1 2 3 4 5 6 7 8
Percent Nonconforming (100p0) LQ=6.0%
 Sampling Plans for Stipulated Producer’s &
Consumer’s Risk

It is difficult to obtain an OC curve that will satisfy both

conditions.
There will be 4 sampling plans that are close to meeting
both stipulations.
How to determine the plans?
Given:
(decisions based on historical data, experimentation, or
engineering judgment, purchasing contract)
α =0.05, AQL=0.9
β =0.10, LQ=7.8 p0.10 0.078
= = 8.667
p0.95 0.009
• From above Table, the ratio falls between the row for c=1
and c=2.
• Thus, plans that exactly meet the consumer’s stipulation
of LQ = 7.8% for β =0.10 are:
c np0.10 (from Table n=(np0.10 )/p0.10
9-4)
1 3.890 49.9 (50)

2 5.322 68.2 (68)

Plans that exactly meet the producer’s stipulation of AQL
=0.9% for α =0.05 are:

c np0.95 (from Table n=(np0.95 )/p0.95

9-4)
1 0.355 39.4 (39)

2 0.818 90.8 (91)

Construct OC curves.
 OC Curve
100α = 5
100
c=1
90
n=50

Percent of Lots Accepted (100Pa )

80

70 c=2
n=68
60
c=2
50 n=91
40
c=1
30
n=39
100β = 20
10 10

0
0 1 2 3 4 5 6 7 8
AQL=0.9 LQ=7.8
Percent Nonconforming (100p0)
Which of the 4 plans to select?
Based on 4 criteria.
1st Criterion:
The lowest sample size and the lowest acceptance number
be selected.
e.g.  c=1, n=39

2nd Criterion:
The greatest sample size and the largest acceptance
number
be selected.
e.g.  c=2, n=91
3rd Criterion:
The plan exactly meets the consumer’s stipulation and
comes as close as possible to the producer’s stipulation.
e.g.  c=1, n=50 and c=2, n=68.

Calculations to determine which plan is closest to the

producer’s stipulation of AQL=0.9%, α =0.05 are:

c n p0.95 =np0.95 /n

1 50 0.355/50=0.007 0.009
This plan is
2 68 0.818/68=0.012
selected
4th Criterion:
The plan exactly meets the producer’s stipulation and comes
as close as possible to the consumer’s stipulation.
e.g.  c=1, n=39 and c=2, n=91.

Calculations to determine which plan is closest to the

producer’s stipulation of LQ=7.8%, β =0.10 are:

c n p0.10 =np0.10 /n

1 39 0.3890/39=0.100

2 91 5.322/91=0.058
0.078
This plan is
selected
 The task of designing a sampling plan system is a
tedious one.
 Sampling plan systems are available.
E.g.: ANSI/ASQ Z1.4 – 1993 (equivalent to MS 567 –
1978)
  universally used for acceptance product.
  This is an AQL or producer’s risk system.
E.g.: Dodge-Romig
  LQ or consumer’s risk system.
END