UNIT 1 INTRODUCTION TO STATISTICAL

QUALITY CONTROL
Structure
1.1 Introduction
Objectives
1.2 Quality
Defining Quality
Dimensions of Quality
Quality Control
Historical Review of Quality Control
1.3 Statistical Quality Control (SQC)
Elements of SQC
Techniques of SQC
Statistical Process Control (SPC)
Product Control
1.4 Causes of Variation
Chance Causes
Assignable Causes
1.5 Control Charts
1.6 3σ Limits
1.7 Control Chart Patterns
Natural Patterns of Variation
Unnatural Patterns of Variation
1.8 Advantages and Limitations of SQC
1.9 Summary
1.10 Solutions/Answers

1.1 INTRODUCTION
In our day-to-day life, we use different products and services from the time we
get up until we get back to bed. For example, we use different types of products
such as toothpaste, soap, detergent, clothes, food, gas stove, vehicle, phone,
computer, TV, electric bulb, etc. and we also use different types of services
such as water supply, electricity, transportation, health care, education, etc.
All of us wish that these products and services should fulfil certain
specifications when we use them. If the product/service fulfils the
specifications needed for its proper use, we say that it is of good quality. If it
does not fulfil the specifications, it is said to be of poor quality.
In the face of ever-growing market competition, the main objective of the
manufacturer or producer is to achieve quality assurance in manufacturing and
service organisations so that his/her product/service can meet the existing
competition in the market. In order to achieve this objective, different statistical
tools have been developed, which are useful for controlling the quality of
products vis-a-vis certain specifications or standard. The technique of

7
Process Control controlling product quality against the specifications using statistical tools is
known as Statistical Quality Control (SQC).
In this unit, you will learn about the concepts and various aspects of SQC. In
Sec. 1.2, we define the term quality and discuss dimensions of quality, quality
control and historical review of quality control. In Sec. 1.3, we describe various
aspects of SQC, e.g., the elements and techniques of SQC, statistical process
control and product control. We also discuss the causes of variation, which
may be due to chance or could be assigned to some factors in the production
process in Sec. 1.4. In Sec. 1.5, we introduce the control chart – a tool used in
statistical quality control to indicate whether a process is under control or
out-of-control. We explain the concept of 3σ limits, different patterns of the
control chart and advantages and limitations of SQC in Secs. 1.5 to 1.8. In the
next unit, you will study the control charts for variables.
Objectives
After studying this unit, you should be able to:
 explain the concepts of quality, quality control and statistical quality
control (SQC);
 describe the need for statistical quality control;
 distinguish between causes of variation (chance causes and assignable
causes) in the production process;
 describe the techniques of SQC;
 define process control and product control;
 explain the concept of control chart, the principle underlying 3σ limits and
various control chart patterns; and
 discuss advantages and limitations of SQC.

1.2 QUALITY
In the introduction of the unit, we have just given you the flavour of the notion
of quality. We now define the term quality. The dictionary meaning of quality
is Degree of Excellence. It means that both products and services should be
excellent. This definition of the term quality is rather subjective as it depends
on the perception of excellence and varies from situation to situation or from
person to person. If 20 different people are asked to define quality, most
probably there will be 20 different answers. However, the best will be widely
used. If we ask what quality they want, mostly people say they want the best.
This indicates that the general public opinion about the term quality is the best.
However, if we observe the buying habits of people, we find that most people
buy an item at a discount price in a sale or a mid priced item rather than the
most expensive one. This indicates that while buying something, people want
the best that they can afford. Further, apart from price, there are many other
things to be considered for quality such as cost, size, performance, warranty,
appearance, etc.
The concept of quality as goodness or the best or luxury is not adequate for
professionals working in quality control because the best depends on an
individual’s perception. For example, a person may think that a car is a good
vehicle for Delhi roads, but a comparatively poor vehicle for the forests of

8
Himachal Pradesh, Madhya Pradesh, etc. because the best vehicle for these Introduction to Statistical
places would be one with four-wheel drive. Similarly, a good walking shoe is Quality Control
good for walking, but unsuitable for running. Therefore, the intended use of
the product or service needs to be included in the concept of quality. So we
need to define the term quality.
1.2.1 Defining Quality
There are several ways of defining quality:
1. Initially, quality was defined as conforming to specifications. This means
that any product should be manufactured according to given specifications.
If a product fulfils its specifications, it is considered to be a quality
product.
There are some problems with this definition. In some cases, it is found that
even though a product conforms to all specifications, its utility is not up to
the mark. For example, suppose a person wishes to purchase a touch screen
mobile phone having clear sound. The shopkeeper shows him/her such a
mobile set. But the person may feel that the size of the mobile phone is big.
So he/she may not purchase it because it is not fit for his/her use.
Therefore, from the point of view of customers, such products are not
useful. Thus, there is a need to redefine the term quality.
2. The definition of quality was modified to include fitness for use. This
means that the manufactured product should be such that it conforms to its
specifications and is fit for use. However, it was found that in some cases, a
product conformed to all specifications and was fit for use but could not be
sold as it did not appeal to the customer. Therefore, to sell any product it is
necessary to incorporate the customer’s viewpoint.
3. According to the third definition, quality was customer satisfaction. This
means that a product, which brings satisfaction to the customer could be
termed as a quality product. Then it was found that every customer would
have plenty of demands in respect of each product that he/she wished to
buy. However, customers seldom express all of their expectations. For
example, suppose a person goes to a restaurant and orders a pizza. If the
pizza given to him is not hot, that person would definitely be unhappy. But
it is also true that the customer would never mention that he/she wanted a
hot pizza! There are many situations where the customers are unhappy,
even when all their expressed or stated needs are fulfilled. Hence, while
defining quality, there is a need for considering unexpressed or unstated
needs of customers.
4. The fourth definition given for quality was delighting the customer.
Delight is one step ahead of satisfaction. When a product fulfils both the
expressed and unexpressed needs of the customer, he/she is delighted.
However, this definition was also improved upon.
5. The fifth definition given for quality was enchanting the customers.
According to this definition, the manufacturer plays a dual role: firstly,
he/she should know the need of the customers. Secondly, he/she should
make customers aware of this fact and also make them feel that these are
the products they want. For example, an electric bulb manufacturer needs to
educate customers about LEDs and make them want to buy LEDs as these
are low on consumption of electricity even though if these cost slightly
more. Now-a-days, every manufacturer is expected to follow this
definition.
9
Process Control From the above discussion, we may conclude that in the manufacturing and
services sector, the following aspects have to be incorporated in the definition
of quality:
 conforming to specifications,
 fitness for use,
 customer satisfaction,
 delighting the customer, and
 enchanting the customers.
Having explained the concept of quality in industry, and defined it we now
describe various dimensions of quality.
1.2.2 Dimensions of Quality
David A. Garvin is the
C. Roland Christensen In the previous section, we have explained the concept of quality and defined
Professor of Business it. In 1988, David A. Garvin summarised eight basic elements of quality, which
Administration at the are known as the dimensions of quality. We describe them briefly.
Harvard Business
School, i) Performance
Massachussetes USA.
The first dimension of quality is performance. It refers to the primary
operating characteristics of a product. Consumers judge the quality of any
product based on its performance after comparing it with the competitor’s
products or the prevailing market standard. For example, a mobile phone can
be judged by its clarity of sound, weight, size, functions, etc. Similarly, a
motorcycle can be judged by its pick-up, fuel efficiency, etc.
ii) Features
Features constitute the second dimension of quality. These refer to additional
characteristics available in products along with the primary operating
characteristics. For example, complimentary drinks and snacks in a flight or
hotel, Bluetooth and FM in mobile, etc. A customers choice is also influenced
by this dimension of quality.
iii) Reliability
Reliability refers to the probability of a product’s failure within a specified
time period. If a product fails frequently, we say that it is an unreliable product.
For example, if a TV of a particular company requires frequent repair, we say
that it is unreliable. There are many products such as laptops, TVs,
automobiles, etc. in which customer’s view about quality is influenced by the
reliability of the product.
iv) Conformance (Agreement)
Conformance means meeting specifications. Customers obviously want that
the product should meet its specifications. For example, when we purchase a
motorcycle, we check whether the sitting space, weight, size, pick-up, fuel
efficiency, etc. conform to the specifications mentioned by the company. This
dimension also influences customers choice.
v) Durability
Durability refers to the measure of product life. It can also be understood as
the operational life of the product, i.e., how long the product can be used
without replacement. The life of an electric bulb is an example of durability:

10
when its filament burns up, the bulb needs to be replaced because at this stage, Introduction to Statistical
repair is not possible. Durability also changes customers view. Quality Control

vi) Serviceability
Serviceability is the sixth dimension of the quality. Consumers are concerned
not only about a product break-down, but also about the time taken before the
product is serviced restored. Serviceability is concerned with how readily a
product can be serviced back into operational mode. For example, suppose a
customer wishes to buy a washing machine. While deciding on the company,
he/she may consider how long the company takes to service or repair it in case
it breaks down.
vii) Aesthetics
The seventh dimension of quality is aesthetics, which means how a product
looks, sounds, feels, etc. The aesthetic value of a product is purely subjective.
For example, some people may find a particular car aesthetically appealing
while others may not.
viii) Reputation
Reputation is related to the past performance of the company. In many cases,
customers also check out the quality of products made by the company in the
past. For instance, if a company launches a new car, it is usually assumed by
the customer that the new model would be successful because the past
performance of other cars of that company was good.
In order to design and manufacture products of high quality, it is necessary to
incorporate all eight dimensions of quality.

You may like to pause here and check your understanding about the definition
of quality and its dimensions by answering the following exercise.
E1) Choose the correct option from the following:
i) Quality means
a) fitness for use
b) degree of excellence
c) conformance to requirement or specifications
d) all of the above
ii) Primary operating characteristic of a product is known as
a) aesthetics
b) reliability
c) performance
d) features
iii) Durability refers to a measure of
a) product life
b) specifications
c) past performance of the product
d) the probability of a product’s failure within a specified time
period
11
Process Control
So far you have studied the definition of quality and its dimensions. We now
introduce the concept of quality control.

1.2.3 Quality Control

We first understand what we mean by control.
A process is a series of
actions or operations The process/procedure/method that is applied to meet the specifications or
that transforms input to standard is known as control. Process control works on feedback and
output. comprises the following steps:
1. Choose the parameter to control, i.e., we first choose the characteristic that
we intend to control such as length, height, weight, defects, etc.
2. Choose the unit of measurement, e.g., centimeter (cm), millimeter (mm),
gram (g), etc.
3. Set the standard or goal for the parameter to control, e.g., 5 cm, 10 g, etc.
4. Select a sensing device, which can measure the parameter to control in
terms of the unit of measure, e.g., scale, a weighing balance, etc.
5. Measure the actual performance.
6. Compare the actual performance with the standard.
7. Take necessary action when there is a difference between actual
performance and the standard.
Thus, quality control can be defined as:
“The process by which we measure the quality characteristics of the product,
compare them with the specifications or standard and take suitable actions
whenever there is a difference between actual quality and the specifications or
standard”.
Now-a-days, quality is controlled by using statistical tools. This technique is
known as Statistical Quality Control, which we describe in the next section.
However, before you study further, you may like to know how the concept of
quality control evolved historically.
1.2.4 Historical Review of Quality Control
The notion of quality control is not new. We may say that it began when
human beings lived in forests and ate raw plants and animals. In those times,
they used natural materials and may have faced problems such as which plants
were suitable for eating and which ones were poisonous for health. With the
evolution of early technology, human beings started processing natural
materials. They made products and examined themselves whether these worked
properly for their purpose or not. For example, they produced rough hewn
stone tools. They may have checked the point of the tool to see whether it was
sharp enough for their purpose. In those times, human beings were both
manufacturers and users. This situation changed with time.
As civilisations arose, jobs were divided and different people got specialised in
production of different goods and services. For example, farmers cultivated
crops, potters made pots; weavers wove the cloth required for everyone. This
specialisation created a separation between the producer and the user. Thus, the
producer/manufacturer and the user were no longer the same individual.
However, the goods were not so complicated and the user had long familiarity
with the products through prior use. Therefore, the user could assure that the Introduction to Statistical
products were fit for use. The situation changed drastically with the advent of Quality Control
industrialisation and the notion of quality control underwent a sea change.
For the sake of interest, we describe below the important stages in the historical
evolution of quality control:
1. Operator or craftsman quality control
From early civilisation until the industrial revolution, quality control was
ensured/observed either by a single worker (operator or craftsman) or a
very small number of workers who totally controlled the quality of their
work. This situation continued until the nineteenth century.
2. Foreman or supervisor control
Large factories were established after the industrial revolution to meet the
increasing demand of consumers. Therefore, the number of workers
increased in the factories. This gave rise to the need of supervisors who
guided, controlled and administered other workers. Generally, in those
times, the supervisor was picked up from among the workers of the factory
who had thorough knowledge of the work. Checking the quality of a job
done by workers was also the responsibility of the supervisor functions.
This situation continued until the First World War.
3. Inspector of quality control
The manufacturing system became more complex due to interchangeable
components on a mass scale and it became essential to critically examine
each component with the help of measuring instruments. Obviously, this
job could not be performed by the supervisor because he/she had expertise
only in one component of the product. Thus, a full time inspector came on
the scene to inspect the finished goods and quality control was separated
from production.
4. Statistical quality control
Initially, quality control inspectors inspected all products. However, this
was costly and time consuming. In 1924, Walter A. Shewhart, a
researcher of Bell Telephone Laboratories (a Research and Development
Unit of the American Telephone and Telegraph Company) developed the
technique of statistical control charts for the control of product Walter Andrew Shewhart
(1891-1967)
variability. This is usually considered as the beginning of statistical quality
control (SQC). An American physicist,
engineer and statistician,
In the same decade, Harold F. Dodge and Harry G. Roming, researchers of sometimes known as
Bell Telephone Laboratories, developed statistically based acceptance the father of statistical
sampling as an alternative of 100% inspection. quality control.

The techniques of control chart and acceptance sampling were used in Bell
system, but neither of these were widely adopted outside it. However, this
changed during the Second World War. The ordinance department of the
U.S. Army was facing the problem of how to get large quantities of arms
and ammunitions from multiple suppliers at acceptable levels of quality. In
1942, a quality control section was established in the War Department and
acceptance sampling came to be used widely.
After the Second World War, Japan was trying to revive from the William Edwards Deming
(1900-1993)
devastations of world war. Japanese industries were almost destroyed and An American engineer,
its leaders knew that rebuilding the industry was essential for the survival statistician, professor,
author, lecturer and
Process Control of the nation. Japanese industrialists decided to engage an American
statistician as their consultant. The man they chose was W. Edwards
Deming, who had studied with Walter Shewhart. Deming developed
theories on how statistics could be used to improve industrial quality. He
gave a series of lectures in Japan on statistical quality improvement
methods. Japan adopted these methods and within a few decades, became
one of the most successful industrial nations on the earth.
So far, we have given you an overview of the concepts of quality and quality
control. We now discuss statistical quality control.

1.3 STATISTICAL QUALITY CONTROL (SQC)

In the highly competitive market today, the main objective of manufacturers or
producers is to achieve quality assurance in manufacturing and service
organisations. In order to achieve this objective, different statistical tools have
been developed, which are useful for controlling the quality of products vis-a-
vis the specifications or standard. The technique of using statistical tools for
controlling product quality vis-a-vis the specifications is known as Statistical
Quality Control (SQC).
Statistical quality control is defined as the technique of applying statistical
methods based on the theory of probability and sampling to establish
quality standard and to maintain it in the most economical manner.
Let us now outline the elements that constitute SQC.
1.3.1 Elements of SQC
The following are the main elements of SQC:
a) Sample Inspection
We know that 100% inspection needs huge expenditure of time, money,
labour and resources. Further, if the nature of the product is such that it is
completely destroyed during the process of inspection, e.g., a bulb, candle,
ammunition, food, etc., 100% inspection is not practicable. Therefore, SQC
is based on sampling inspection. In sampling inspection method, some
items or units (called sample) are randomly selected from the process and
then each and every unit of the sample is inspected.
b) Use of Statistical Methods
Some commonly used statistical tools such as random sampling, mean,
range, standard deviation, mean deviation, standard error and concepts such
as probability, binomial distribution, Poisson distribution, normal
distribution, etc., are used in SQC. Since, quality control method involves
extensive use of statistics, it is termed as Statistical Quality Control.
c) Fundamental Objective
The fundamental objective of SQC is to decide whether the unit produced
is according to its specifications or not. If the unit produced is not
according to its specifications and there is a variation in quality, it becomes
necessary to trace the causes of variation and eliminate them if possible.
d) Decision Making
With the help of SQC, we decide whether the quality of the product or the
process of manufacturing/producing goods is under control or not.

14
e) Specifications, Production and Inspection Introduction to Statistical
Quality Control
SQC method helps in deciding about the specifications, production and
inspection of an product.

We now describe the techniques of statistical quality control.

1.3.2 Techniques of Statistical Quality Control
The important techniques used for statistical quality control can be broadly
classified into two categories:
 Statistical Process Control (SPC) or simply Process Control, and
 Product Control.

These techniques are further classified into different categories as shown in

Fig.1.1.

Fig. 1.1: Classification of SQC techniques.

Let us discuss both categories of SQC techniques in some detail.

1.3.3 Statistical Process Control (SPC)

Statistical Process Control (SPC) or simply process control (PC) is the first part
of SQC. For understanding SPC, first of all, we should understand the concept
of process in quality control. .

A process is a series of operations or actions that transforms input to

output. It is said to be stable or repeatable if the resulting output product is of
the given specifications or standard quality. But sometimes, due to certain
causes such as poor quality of raw material, change in the machine settings, use
of unskilled work force, improper machine, etc., the stable process is disturbed.
In such situations, we require a tool or technique through which we can control
the process. This technique is known as statistical process control (SPC).
Statistical process control is a technique used for understanding and monitoring
the process by collecting data on quality characteristics periodically from the
process, analysing them and taking suitable actions whenever there is a
difference between actual quality and the specifications or standard.
Process Control Statistical process control technique is widely used in almost all manufacturing
processes for achieving process stability and making continuous improvements
in product quality. Its major tools are:
1. Histogram
2. Check sheet
3. Pareto chart
4. Cause and effect diagram
5. Process flow diagram
6. Scatter diagram
7. Control chart
Of these seven tools we shall describe only the technique of “control chart”
given by W.A. Shewhart in 1924 because it is the most preferred technique
today. In fact, it is probably an outstanding technique for controlling and
improving quality. We introduce the basics of control chart in Sec. 1.5. In Units
2, 3 and 4 of this course, we discuss various types of control charts.
1.3.4 Product Control
In many situations, the product is so complex that a manufacturer cannot make
all components or parts of the product. Therefore, one or more component (s)
of a product are purchased from outside agents or suppliers and the
manufacturer does not have a direct control over the quality of such component
(s). In such situations, the manufacturer faces the problem of controlling the
quality of component (s) sourced from elsewhere. In addition, the manufacturer
needs to control the quality of the final product. So he/she also faces the
problem of ensuring that the final product meets its specifications and various
lots of the product do not contain an excessively large number of defective
items. Such types of problems come under the category of product control.
Product control means to control the products in such a way that these are
free from defects and conform to their specifications.
Initially, product control was done by 100% inspection, which means that each
and every unit produced or received from the outside suppliers was inspected.
This type of inspection has the advantage of giving complete assurance that all
defective units have been eliminated from the inspected lot. However, it is time
consuming and costly. Also, if a product is destroyed under inspection, e.g.,
light bulb, crackers, ammunition, picture tube of the TV, etc., 100% inspection
is not possible.
Sampling inspection or acceptance sampling was developed as an alternative of
100% inspection.
Acceptance sampling is a technique in which a small part or fraction of
items/units is selected randomly from a lot and the selected items/units are
inspected to decide whether the lot should be accepted or rejected on the basis
of the information obtained from sample inspection. This is how product
control is achieved through acceptance sampling.
Acceptance sampling is also of different types. We shall discuss it in detail in
Unit 5.

You may like to pause now and check your understanding of various aspects of
SQC discussed in this section. Answer the following exercises.
16
E2) Choose the correct option from the following: Introduction to Statistical
Quality Control
i) Statistical quality control (SQC) is a technique of
a) process control
b) product control
c) both (a) and (b)
ii) The statistical techniques used in statistical quality control are
a) control charts
b) acceptance sampling plans
c) both (a) and (b)
iii) Process control is achieved through
a) control charts
b) acceptance sampling plans
c) both (a) and (b)
iv) Product control is achieved through
a) control charts
b) acceptance sampling plans
c) both (a) and (b)

You have learnt that SQC techniques are used for process control and product
control so that the products of desired quality may be manufactured. We now
explain the causes of variation in the process.

1.4 CAUSES OF VARIATION

Variation in manufactured products is inevitable; it is a fact of nature and
industrial life. Even when a production process is well designed or carefully
maintained, no two products are identical. The difference between any two
products could be very large, moderate, very small or even undetectable
depending on the sources of variation. For example, the weight of a particular
model of automobile varies from unit to unit, the weight of packets of milk
may differ very slightly from each other, the length of refills of ball pens, the
diameter of cricket balls may also be different and so on. The existence of
variation in products affects quality. So the aim of SQC is to trace the sources
of such variation and try to eliminate them as far as possible. The causes of
variation are broadly classified into two categories:
1. Chance causes, and
2. Assignable causes.
1.4.1 Chance Causes
Chance causes are also known as random or natural or common causes. Even
in a well designed or carefully maintained production process, variability exists
in the product due to some natural/random causes. Even if the process is
operated under the same conditions, that is, the quality of raw materials used is
same and there is no change in the machine settings, operators or the
environment, there is a specific pattern of variability in the product. For
17
Process Control example, the diameter of ball bearings varies slightly, there is a slight variation
in the weight of cricket balls, the fuel efficiency of a particular model of
automobile is varies slightly and so on. Such variability is due to different
common or chance causes, may which affect the process output in minor ways.
Such causes are known as chance causes of variation. These may arise due to,
inflexibility of aged machines, variability in purchased material, poor lighting,
extent of worker training or other non obvious reasons. These may or may not
be present at the same time, but when taken together produce random results. If
the quality of the output varies too much due to chance causes, the process
must be redesigned or modified to eliminate one or more of these causes. Since
process redesigning or modification is the responsibility of the management,
the elimination of common/chance causes of variation is usually the
responsibility of the management and not that of workers. It may not be
possible to eliminate all chance causes in a process. However, even if
variation due to chance causes is present in the production process, it is
still said to be under statistical control.
1.4.2 Assignable Causes
Another kind of variability may be present occasionally in the output of a
process. The causes of such type of variability are not due to the process
design, but take place because of changes in raw material, machine, operator,
environment or any other component of the process. These causes are called
assignable causes and are also known as special or non-random or unnatural
causes. Accidental improper setting of the machine, a worker falling ill and
still continuing to work, change of operators or shift, breakages, misreading of
scales, batch of defective raw material, etc. are examples of assignable causes.
Since the effect of assignable causes is localised within a process, these may be
eliminated by workers or their immediate supervisor. The variability due to
assignable causes is generally larger than the variability due to chance causes
and it usually represents an unacceptable level of process performance. A
process that is operating in the presence of assignable causes is said to be an
out-of-control process.
You can now check your understanding of the causes of variation by answering
the following exercise.
E3) A company manufactures cricket balls. The statistical quality controller
of the company finds that there is a variation in the weight of cricket
balls. Answers the following:
i) The variation in the weight of cricket balls may be due to
a) assignable causes
b) chance causes
c) both (a) and (b)
ii) If the variation in the weight is due to chance causes, it is
a) controllable
b) not controllable
c) both (a) and (b)
iii) If the variation in the weight is due to assignable causes, it is
a) controllable
18
 b) not controllable Introduction to Statistical
Quality Control
c) both (a) and (b)
iv) The variation due to chance causes
a) is tolerable
b) does not affecting the quality of a product
c) is uncontrollable
d) all of the above
v) The variation due to assignable causes
a) can be removed
b) cannot be removed
c) can be removed sometimes
d) can be removed most of the times

Having explained the causes of variations in the production process, we now

introduce the technique of control chart. It is the main technique used for
process control.

1.5 CONTROL CHARTS

You will agree that graphical representation is one of the most sensitive
statistical instruments. So we can represent the quality characteristic of the
output product such as weight, length, diameter, defects, etc. graphically to
understand, describe or monitor process variation. The idea of representing
quality characteristics graphically was first given by Walter A. Shewhart. He
invented control charts for the industrial processes to distinguish acceptable
(chance) variation from the assignable variation. He observed that with the help
of control charts, the occurrence of assignable causes of variation could be
detected quickly and corrective action could be taken to eliminate them.
A control chart is a two-dimensional graphical display of a quality
characteristic that has been measured or computed in terms of mean or other
statistic from samples and plotted against the sample number or time at which
the sample is taken from the process.
The concept of control chart is based on the theory of sampling and probability.
In a control chart, a sample statistic of a quality characteristic such as mean,
range, proportion of defective units, etc. is taken along the Y-axis and the
sample number or time is taken along the X-axis. A control chart consists of
three horizontal lines, which are described below:
1. Centre Line (CL) – The centre line of a control chart represents the value
which can have three different interpretations depending on the available
data. First, it can be the average value of the quality characteristic or the
average of the plotted points. Second, it can be a standard or reference
value, based on representative prior data or an aimed (targeted) value
based on specifications. Third, it can be the population parameter if that
value is known. The centre line is usually represented by a solid line.

19
Process Control 2. Upper Control Line – The upper control line represents the upper value
of the variation in the quality characteristic. So this line is called upper
conrol limit (UCL). Usually, the UCL is shown by a dotted line.
3. Lower Control Line – The lower control line represents the lower value
of the variation in the quality characteristic. So this line is called lower
control limit (LCL). Usually, the LCL is shown by a dotted line.
The UCL and LCL also have three interpretations depending on the available
data same as the centre line. These limits are obtained using the concept of 3σ
(three sigma) limits, which we shall describe in Sec. 1.6.
For construction of control charts, we select samples of few units/items at
regular intervals from the process. Then we measure the quality characteristic,
e.g., length of foil, diameter of ball bearing, weight of cricket ball, etc. for each
unit of the selected samples or count the number of defects, number of
defective units, etc. for each selected sample. After that, we calculate the
statistic such as mean, standard deviation, range, proportion of defective unit,
etc. for each sample. Then the values of the calculated statistic are plotted
against the sample number or time. The sample points on the graph may be
joined by a line. Joining the sample points by line segments is not compulsory
but by doing so, we can easily understand their sequence (pattern) over time.
If all sample points lie on or in between the upper and lower control limits, the
control chart indicates that the process is under statistical control. That is,
only chance causes are present in the process. No assignable cause is present
in the process. However, if one or more sample points lie outside the control
limits, the control chart alarms (indicates) that the process is not under
statistical control. Some assignable causes are present in the process. To
bring the process under statistical control, it is necessary to investigate the
assignable causes and take corrective action to eliminate them.
However, a control chart cannot tell us what is wrong it. In fact, it is the
responsibility of the supervisor or quality control manager to find out what has
gone wrong.
Note: Sometimes the sample points may be inside the control limits but may
behave in a systematic or non-random manner. This is also an indication that
the process is out-of-control. For example, suppose 22 of the last 25 sample
points lie below the centre line but above the lower control line and only 3 of
these points lie above the centre line but below the upper control line. This
pattern indicates that the process is not under statistical control because it is
not random in appearance. We shall explore this aspect in more detail in Sec
1.7.
You may like try the following exercise before studying further.
E4) Choose the correct option from the following:
i) Control chart is a
a) one-dimensional chart.
b) two-dimensional chart.
c) three-dimensional chart.
d) none of the above.
ii) Control chart consists of
a) one control line.
20
 b) two control lines. Introduction to Statistical
Quality Control
c) three control lines.
d) four control lines.
iii) If one or more sample points lie outside the control limits, the control
chart indicates that
a) there is no assignable cause in the process and the process is under
statistical control.
b) there is at least one assignable cause in the process and the
process is under statistical control.
c) there is at least one assignable cause in the process and the
process is out of statistical control.
d) there is no assignable cause in the process and the process is out
of statistical control.
iv) Control charts in statistical quality control are used for
a) describing the pattern of variation.
b) checking whether the variability in the product is within the
tolerance limits or not.
c) both (a) and (b).

In Sec. 1.5, you have learnt about the control chart, which contains a centre line
(CL), lower control limit (LCL) and upper control limit (UCL). We now
discuss how to obtain the centre line and control limits for a control chart. The
UCL and LCL are also called 3σ limits.

1.6 3σ LIMITS
The quality characteristic can be described by a probability distribution or a
frequency distribution. In most situations, a quality characteristic follows a
normal distribution or can be approximated by a normal distribution. You
have studied the normal distribution in Unit 14 of MST-003 entitled Probability
Theory and you know the probability that a normally distributed random
variable (X) lies between   3 and   3 is 0.9973 where  and  are the
mean and the standard deviation of the random variable (X). Thus,
P    3  X    3  0.9973
So the probability that the random variable X lies outside the limits   3 is
1– 0.9973 = 0.0027, which is very small. It means that if we consider 100
samples, most probably 0.27 of these may fall outside the   3 limits. So if
an observation falls outside the 3 limits in 100 observations, it is logical to
suspect that something might have gone wrong. Therefore, the control limits on
a control chart are set up by using 3 limits. The UCL and LCL of a control
chart are called 3σ limits of the chart. The question is: How do we calculate
3σ limits?
Suppose M is a sample statistic (e.g., mean, range, proportion of defectives,
etc.) that measures some quality characteristic of interest. Further suppose that

21
Process Control µM and σM are the mean and standard error (standard deviation) of the sample
statistic M, respectively. Then the centre line and control limits for controlling
the quality characteristic are given by:
Centre line (CL)   M ... (1)

Upper control limit (UCL)   M  3M ... (2)

Lower control limit (LCL)  M  3M ... (3)

Fig. 1.2: 3σ limits.

The chart in Fig. 1.2 shows the centre line (CL), lower control limit (LCL) and
upper control limit (UCL). The UCL and LCL are set at the distance ± 3σM
from the centre line (µM). Note from Fig. 1.2 that the area covered between the
UCL    M  3M  and LCL    M  3 M  is 0.9973 (99.73%). So the
probability that an observation falls outside these limits is 0.0027.
If the sample points fall between the control lines, the process is said to be
under statistical control. But, if one or more points lie outside the control
limits, control chart alarms (indicates) that the process is not under statistical
control. Some assignable causes are present in the process. To bring the
process under statistical control, it is necessary to investigate the assignable
causes and take corrective action to eliminate them and then continue the
production process.
You may now like to check your understanding of 3σ limits by answering the
following exercise.
E5) If μ and σ represent the mean and standard deviation of the process, the
lower and upper three sigma control limits for a control chart are given
by:
a)   32 and   32
b)   3 and   3

c)  2  32 and  2  3 2

d)  2  3 and  2  3
e)

In Sec. 1.6., you have learnt that the points on the control chart describe a
pattern. If one or more sample points fall outside the control limits, the process
is said to be out-of-control and if all sample points are inside or on the control Introduction to Statistical
limits, the process is said to be under statistical control. But in many cases, the Quality Control
sample points may lie within the control limits and yet show an unnatural or
specific pattern. This is also an indication of assignable causes. So to decide
whether the process is under statistical control or not, it is also important to
analyse the pattern of the sample points. This is what we discuss in Sec. 1.7.

1.7 CONTROL CHART PATTERNS

The patterns of the control chart are broadly classified into two categories:
1. Natural patterns of variation, and
2. Unnatural patterns of variation.
We first discuss the natural patterns of variation.
1.7.1 Natural Patterns of Variation
In Unit 1 of MST-002 entitled Analysis of Quantitative Data, you have studied
that the central tendency is the characteristic of the distribution. Most
observations tend to concentrate near the centre (mean) of the distribution and
very few points lie near the tails. Since normal distribution is symmetrical
about its mean (µ), i.e., the centre line is at µ (CL   ), we expect that half the
points will lie above the centre line and half below it. We also know that for the
normal distribution
P   3  X    3  0.9973
This means that 99.73% observations lie between the 3 limits. So of a total of
100 observations, 99.73 observations will lie inside the 3 limits and only
0.27 observations may lie outside the 3 limits.
We may conclude that a control chart having a natural pattern of variation has
the following three characteristics:
i) Most points lie near the centre line of the chart.
ii) Very few points lie near the control limits.
iii) None of the points fall outside the control limits.
A typical control chart with 3σ limits is shown in Fig.1.3.

UCL

CL

LCL

Sample Number
Process Control Fig. 1.3: Typical control chart.

1.7.2 Unnatural Patterns of Variation

The Western Electric Company engineers have identified 15 unnatural typical
patterns in control charts. In this section, we discuss the most important types
of unnatural patterns:
1. Extreme Variation
If one or more samples point are significantly different from the other points
and lie outside the control limits of the control chart as shown in Fig.1.4, we
say that there is an extreme variation in the chart. Some assignable causes are
present in the process and corrective action is necessary to bring the process
under control.

UCL

CL

LCL

Sample Number

Fig. 1.4: Extreme variation.

Causes of extreme variation are:
i) Error in measurement, recording and calculations,
ii) Wrong setting and defective machine tools or erroneous use,
iii) Power failures for short time,
iv) Use of a new tool, failure of the component at the time of test, etc.
A sample point falling outside the control limits is a clear indication of the
presence of assignable causes. There are other situations where in the pattern of
sample points on the chart indicates the presence of assignable causes, although
all points may lie within the control limits. Such situations are discussed below.
2. Trend
If consecutive points on the control chart tend to move upward or downward as
shown in Fig. 1.5, it can be assumed that the process indicates a trend. If proper
care or corrective action is not taken, the process may go out-of-control.
 Introduction to Statistical
Quality Control
UCL

CL

LCL

Sample Number

Fig. 1.5: Trend pattern.

Causes of trend pattern are:
i) Tool or die wear,
ii) Gradual change in temperature or humidity,
iii) Gradual wearing of operating machine parts,
iv) Gradual deterioration of equipment, etc.
3. Cycles
When consecutive points exhibit a cyclic pattern (as shown in Fig. 1.6), it is
also an indication that assignable causes are present in the process which affect
it periodically.

UCL

CL

LCL

Sample Number

Fig. 1.6: Cyclic pattern.

Causes of cyclic pattern are:
i) Rotation of operators,
ii) Periodic changes in temperature and humidity,
iii) Periodicity in the mechanical or chemical properties of the material,
iv) Seasonal variation of incoming component, etc.
4. Shifts
Process Control When a series of consecutive points falls above or below the centre line of the
chart, it can be assumed that a shift in the process has taken place. This
indicates the presence of some assignable causes. Such a pattern is shown in
Fig. 1.7.

UCL

CL

LCL

Sample Number

Fig. 1.7: Shift pattern.

Generally, it is assumed that when 7 consecutive points lie above or below the
centre line, a shift has occurred.
Causes of shift pattern are:
i) Change in material,
ii) Change in machine setting,
iii) Change in operator, inspector, inspection equipment, etc.
5. Erratic Fluctuations
When the sample points of control chart tend to fall near or slightly outside the
control limits with relatively few points near the centre line as shown in
Fig. 1.8, it can be assumed that erratic fluctuation has taken place. This
indicates the presence of some assignable causes. The causes for erratic
fluctuations are slightly difficult to identify. These may be due to different
causes acting at different times in the process.

UCL

CL

LCL

Sanple Number

Fig. 1.8: Erratic fluctuations.

Causes of erratic fluctuations are: Introduction to Statistical
Quality Control
i) Different types of materials being processed,
ii) Change in operator, machine, inspection, equipment,
iii) Frequent adjustment of machine, etc.
You may now like to review what you have studied about control charts
patterns.

E6) Choose the correct option from the following:

i) If the points on the chart have continuous movements
upward/downward, the pattern is called
a) freak pattern b) shift pattern
c) trend pattern d) cyclic pattern
ii) If all points on the control chart are within the control limits and the
pattern of the points show trend, the process is said to be
a) under control b) out-of-control
c) both (a) and (b)
iii) To check whether the process is under control or out-of-control, we
see
a) the pattern of the sample points on the chart
b) the position of the sample points on the control chart
c) both (a) and (b)

1.8 ADVANTAGES AND LIMITATIONS OF SQC

When a lot of items/units is manufactured, the manufacturer has two methods
to check the quality of the lot: firstly, he/she could check each and every item A lot is the collection
and decide about the quality of the product, i.e., 100% inspection. Secondly, of units or items.
he/she could use the statistical quality control methods, i.e., inspect a small
number of items and decide about the quality of the entire lot of the produced
product. SQC has many advantages over 100% inspections, which are listed
below:
1. Ease of Application
An excellent feature of statistical quality control is that it is easy to apply.
While developing the statistical methods for quality control, skilled and
intelligent persons are required. However, even those persons who have not
had extensive specialised training can apply statistical methods easily.
2. Reduction in Costs
The cost of inspection is reduced. In SQC as only a part or fraction of a lot is
taken and inspected.
3. Greater Efficiency
Inspection of every item is bound to reduce the efficiency of a quality control
inspectors because of dullness. Inspectors are more alert while using.SQC as
only a part is inspected.

27
Process Control 4. Early Detection of Faulty Units
SQC consists of continuous checking of the quality of the product. When a
sample point falls outside the control limits it gives the signal that the process
is not under statistical control. If some assignable causes are present in the
process, necessary corrective action can be taken. Therefore, SQC ensures an
early detection of faults and results in minimum wastage of items.
5. Helpful in Specification
Using SQC, we can find out whether the produced item is under control or not,
that is, whether the item meets the specifications within the tolerance limits or
not. If the variation is beyond the tolerance limits, SQC gives a danger signal
and necessary corrective action can be taken. So, as long as statistical control
continues, specifications can be accurately predicted for the future, which
cannot be guaranteed by 100% inspection.
6. Ensures Overall Coordination
SQC methods ensure coordination between managers managing specifications,
production and inspection. It provides a basis to resolve the differences arising
among the various interests in an organisation.
7. Determination of the Effect of Change in the Process
With the help of control charts, we can easily detect whether or not a change in
the production process results in a significant change in the quality.
8. Equilibrium in Consumer’s and Producer’s Risk
Methods such as quality control and acceptance sampling help in maintaining
equilibrium between the consumer’s risk and producer’s risk.
9. Wider Applications
It is not only useful in the examination of items produced in small numbers, but
also when bulk production has to be done.
10. Unique Method
Statistical quality control is helpful for those items that get destroyed on being
examined for a given quality characteristic, for example, the intensity of match
sticks, average life of compact fluorescent lamp (CFL), strength of glass, etc.,
In such cases, 100% inspection will spoil the entire lot and create a huge loss.
However, SQC has some limitations, which are described below:
1. When a sample of the items drawn from the lot is not a true representative
of the entire lot, does not have the same characteristics as the lot from
which it is drawn. Then a good lot may be rejected and a bad one may be
accepted. This is the main limitation of SQC.
2. SQC cannot be used mechanically for any production process without
studying the process and without adequate knowledge about it.
3. SQC applied on a production process provides only the information that the
process is under control or out-of-control. It cannot take any action for
improvement.
We end this unit by giving a summary of its contents.

1.9 SUMMARY
1. Quality means:
28
  conforming to specifications, Introduction to Statistical
Quality Control
 fitness for use,
 customer satisfaction,
 delighting the customer, and
 enchanting the customers.
2. Quality has eight dimensions:
i) Performance ii) Features iii) Reliability iv) Conformance
v) Durability vi) Serviceability vii) Aesthetics
viii) Reputation
3. Quality control is defined as the process by which we measure the quality
characteristics of the product, compare them with the specifications or
standard and take suitable actions whenever there is a difference between
actual quality and the specifications or standard.
4. The technique of controlling product quality vis-a-vis the specifications
using statistical tools is known as Statistical Quality Control (SQC).

5. Statistical quality control can be broadly classified into two categories:

 Statistical Process Control (SPC) or simply Process Control, and
 Product Control or Acceptance Sampling.
6. Statistical process control is a technique used for understanding and
monitoring the process by collecting the data on quality characteristic
periodically from the process, analysing them and take suitable actions
whenever there is a difference between actual quality and the
specifications.
7. Product control means to control the producta in such a way that these are
free from defects and conform to their specifications.
8. The causes of variation are broadly classified into two categories:
 Chance or random or natural or common causes, and
 Assignable or non-random or unnatural or special causes.

9. The control chart is a two-dimensional graphical display of a quality

characteristic that has been measured or computed in terms of means or
other statistics from a sample and plotted against the sample number or
time at which the sample is taken from the process.

10. A control chart consists of three horizontal lines:

Centre Line (CL) – The centre line of a control chart represents the value
which can have three different interpretations depending on the available
data. First, it can be the average value of the quality characteristic or the
average of the plotted points. Second, it can be a standard or reference
value, based on representative prior data or an aimed (targeted) value
based on specifications. Third, it can be the population parameter if that
value is known. The centre line is usually represented by a solid line.

29
Process Control Upper Control Line – The upper control line represents the upper value
of the variation in the quality characteristic. So this line is called upper
conrol limit (UCL). Usually, the UCL is shown by a dotted line.
Lower Control Line – The lower control line represents the lower value
of the variation in the quality characteristic. So this line is called lower
control limit (LCL). Usually, the LCL is shown by a dotted line.
11. If all sample points lie on or in between the upper and lower control
limits, the control chart indicates that the process is under statistical
control. However, if one or more points lie outside the control limits, the
control chart alarms (indicates) that the process is not under statistical
control. Some assignable causes are present in the process.
12. There are two types of patterns of sample points on the control chart:
 Natural patterns of variation, and
 Unnatural patterns of variation

1.10 SOLUTIONS/ANSWERS
E1) i) Option (d) is the correct option because we know that quality has
to incorporate the following:
 conforming to specifications,
 fitness for use,
 customer satisfaction,
 delighting the customer, and
 enchanting the customers.
ii) Option (c) is the correct option because we know that the
performance is the primary operating characteristics of a product.
Features are the additional characteristics available in product
along with the primary operating characteristics. Reliability refers
to the probability of a product’s failure within a specified time
period. Aesthetics means how a product looks, sounds, feels, etc.
iii) Option (a) is the correct option because we know that durability
means a measure of product life. Conformance means meeting
the specifications or standard. Reputation is related to the past
performance of the company. Reliability refers to the probability
of a product’s failure within a specified time period.
E2) i) Option (c) is the correct option because we know that statistical
quality control is a technique of both process control and product
control.
ii) Option (c) is the correct option because we know that statistical
quality control is a technique of both process control and product
control. The control charts are used for process control and
acceptance sampling plans are used for product control.
iii) Option (a) is the correct option because we know that process
control is achieved through control charts, whereas product
control is achieved through acceptance sampling plans.

30
 iv) Option (b) is the correct option because we know that product Introduction to Statistical
control is achieved through acceptance sampling plans, whereas Quality Control
process control is achieved through control charts.
E3) i) Option (c) is the correct option because we know that the
variation in quality characteristic may be due to assignable causes
and chance causes.
ii) Option (b) is the correct option because we know that the
variation due to chance causes is not controllable whereas the
variation due to assignable causes is controllable.
iii) Option (a) is the correct option because we know that the
variation due to assignable causes is controllable whereas the
variation due to chance causes is not controllable.
iv) Option (d) is the correct option because we know that chance
causes affect the process output in minor ways.
v) Option (a) is the correct option because we know that the
variation due to assignable causes can be removed always.
E4) i) Option (b) is the correct option because we know that the control
chart is a two-dimensional graphical display of a quality
characteristic.
ii) Option (c) is the correct option because we know that the control
chart consists of the centre line, upper control line, and lower
control line.
iii) Option (c) is the correct option because we know that if one or
more points lie outside the control limits, the process is not under
statistical control. Some assignable causes are present in the
process.

iv) Option (c) is the correct option because we know that control
charts in statistical quality control are used for describing the
pattern of variation and checking whether the variability in the
product is within the tolerance limits or not.
E5) Option (b) is the correct option because we know that the lower and
upper three sigma control limits for a control chart are μ ± 3σ where µ
and σ are the mean and the standard deviation of a random variable.
E6) i) Option (c) is the correct option because we know that if some
consecutive points on the control chart tend to move upward or
downward, it is called a trend pattern. If one sample point is
significantly different from the other points and lies outside the
control limits of the control chart, we say that there is an extreme
variation (freak) in the chart. If a series of consecutive points
falls above or below the centre line of the chart, it can be assumed
that a shift in the process has taken place. If points on the chart
have peaks and troughs which repeat themselves, we say that there
is a cyclic pattern. These patterns are also an indication of the
assignable causes.

ii) Option (b) is the correct option because we know that if the
sample points show trend, it is also an indication of assignable
causes and the process is out-of-control.
31
Process Control iii) Option (c) is the correct option because for checking whether the
process is under control or out-of-control, we see the pattern of
the sample points on the chart as well as the position of the
sample points on the control chart.

32