SIX SIGMA GREENBELT PROGRAM

D MAI C
- Moving towards defect free processes

Alexiv Villas
<date>

W W W . E C C I N T E R N AT I O N AL . C O M

PHILIPPINES MALAYSIA VIETNAM INDONESIA INDIA CHINA 1

 Control Phase
Defect Prevention

2
 Defect Controls

Realistic Tolerance and Six Sigma Design

Defect Controls Process Automation or Interruption

Statistical Process Control (SPC) Poka-Yoke

Six Sigma Control Plans

Wrap Up & Action Items

3
 Purpose of Defect Prevention in Control Phase

Process improvement efforts often falter during implementation of new

operating methods learned in the Analyze Phase.

Sustainable improvements can not be achieved without control tactics

to guarantee permanency.

Defect Prevention seeks to gain permanency by eliminating or rigidly

defining human intervention in a process.

Yes sir, we are in CONTROL!

4
s Level for Project Sustaining in Control

5-6s: Six Sigma product and/or process design eliminates an error BEST
condition OR an automated system monitors the process and
automatically adjust critical Xs to correct settings without human
intervention to sustain process improvements

4-5s: Automated mechanism shuts down the process and prevents

further operation until a required action is performed

3-5s: Mistake proofing prevents a product/service from passing onto

the next step

3-4s: SPC on Xs with the special causes are identified and acted
upon by fully trained operators and staff who adhere to the rules

2-4s: SPC on Ys

1-3s: Development of SOPs and process audits

0-1s: Training and awareness

WORST

5
 6s Product/Process Design
Designing products and processes such that the output Y meets or
exceeds the target capability.
24
Specification on Y

22

Distribution 21
of Y
19

Relationship
17 Y = F(x)
10 11 12 13 14 15 16 17 18 19 20

Distribution of X

When designing the part or process, specifications on X are set such that
the target capability on Y is achieved.
Both the target and tolerance of the X must be addressed in the spec
limits.
6
 6s Product/Process Design
Upper
Prediction
24
Interval
Specification on

22

Distribution Relationship
Y

21
of Y
Y = F(x)
19

17

10 11 12 13 14 15 16 17 18 19 20 Lower
Prediction
Distribution of X Interval

If the relationship between X and Y is empirically developed through

Regressions or DOEs uncertainty exists.

As a result, confidence intervals should be used when establishing the

specifications for X.

7
 Product/Process Design Example
Using 95% prediction bands within MINITAB TM
Stat > Regression>Fitted Lin Plot ..OptionsDisplay Prediction Interval
Regression Plot
Y = 7.75434 + 5.81104X
R-Sq = 88.0 %

90

80

What are the 70

spec limits for 60

the output?
Output

50

40

30

20
Regression
10
95% PI
0

0 5 10

Input
What is the tolerance range for the input?
If you want 6 performance, you will remember to tighten the outputs
specification to select the tolerance range of the input.

8
 Product/Process Design Example
Regression Plot
Y = 2.32891 - 0.282622X
R-Sq = 96.1 %

10
Note: High output spec connects
with top line in both cases.
Output2

Regression

0 95% PI Regression Plot

Y = 7.75434 + 5.81104X
R-Sq = 88.0 %
-30 -20 -10 0

Input2 90

80

70

60

50

Output
40

30

Lower input spec 20

10
Regression
95% PI
0

0 5 10

Input
Using top output spec determines high or low tolerance for input
depending on slope of Regression.

9
Poor Regression Impacting Tolerancing
Regression Plot
Y = -4.7E-01 R-Sq =
+ 0.811312X 90.4 % Poor Correlation does not
allow for tighter
tolerancing.
20
Outp1

10

Regression Regression Plot

0 95% PI Y = 1.46491 R-Sq =
+ 0.645476X 63.0 %
0 10 20 30
30
Inp1

20

Outp2
10

Regression
0
95% PI

0 10 20 30

Inp1

10
 5 6 Full Automation
Full Automation: Systems that monitor the process and automatically
adjust critical Xs to correct settings.

Automatic gauging and system adjustments

Automatic detection and system activation systems - landing gear
extension based on aircraft speed and power setting
Systems that count cycles and automatically make adjustments
based on an optimum number of cycles
Automated temperature controllers for controlling heating and
cooling systems
Anti-Lock braking systems
Automatic welder control units for volts, amps and distance traveled
on each weld cycle

11
 Full Automation Example
A Green Belt is working on controlling rust on machined surfaces of
brake rotors:
A rust inhibiter is applied during the wash cycle after final
machining is completed
Concentration of the inhibiter in the wash tank is a critical X that
must be maintained
The previous system was a standard S.O.P. requiring a process
technician to audit and add the inhibiter manually

As part of the Control Phase, the team has implemented an automatic

check and replenish system on the washer

Full Automation

Dont worry boss, its automated!!

12
 4 5 s Process Interruption
Process Interruption: Mechanism installed that shuts down the
process and prevents further operation until a required action is
preformed:
Ground fault circuit breakers
Child proof caps on medications
Software routines to prevent undesirable commands
Safety interlocks on equipment such as light curtains, dual palm
buttons, ram blocks
Transfer system guides or fixtures that prevent over or undersized
parts from proceeding
Temperature conveyor interlocks on ovens
Missing component detection that stops the process when triggered

13
 4 5 s Process Interruption
Example:

A Green Belt is working on launching a new electric drive unit on a

transfer system
One common failure mode of the system is a bearing failure on the
main motor shaft
It was determined that a high press fit at bearing installation was
causing these failures
The root cause of the problem turned out to be undersized bearings
from the supplier

Until the supplier could be brought into control or replaced, the team
implemented a press load monitor at the bearing press with a indicator
If the monitor detects a press load higher than the set point, it shuts
down the press and will not allow the unit to be removed from press
until an interlock key is turned and the ram reset in the manual mode
Only the line lead person and the supervisor have keys to the
interlock
The non-conforming part is automatically marked with red dye

Process Interruption
14
 3 5 Mistake Proofing
Mistake Proofing is best defined as:
Using wisdom, ingenuity, or serendipity to create devices allowing
a 100% defect free step 100% of the time

Poka-Yoke is the Japanese term for mistake proofing or to avoid

yokeuro inadvertent errors poka.
1 2 3 4

5 7 8 See if you can

find the Poka-
Yokes!
6

15
Traditional Quality vs. Mistake Proofing

Traditional Inspection
Result
Sort
Worker or Dont Do Defective At Other
Machine Error Anything Step

Discover Take Action/ No Next

Error Feedback Defect Step

Source Inspection
KEEP ERRORS FROM
TURNING INTO DEFECTS

16
 Styles of Mistake Proofing

There are 2 states of a defect which are addressed with mistake proofing.

ERROR ABOUT TO OCCUR ERROR HAS OCCURRED

DEFECT ABOUT TO OCCUR DEFECT HAS OCCURRED

(Prediction) (Detection)

WARNING SIGNAL WARNING SIGNAL

CONTROL / FEEDBACK CONTROL / FEEDBACK

SHUTDOWN SHUTDOWN
(Stop Operation) (Stop Operation)

17
 Mistake Proofing Devices Design

Hints to help design a mistake

proofing device:
Simple
Inexpensive
Give prompt feedback
Give prompt action (prevention)
Focused application
Have the right peoples input

BEST ...makes it impossible for errors to occur

BETTER allows for detection while error is being made
GOOD ...detects defect before it continues to the next
operation

18
 Types of Mistake Proof Devices
Contact Method
Physical or energy contact
product
1 Guide Pins of
Different Sizes
with

Limit switches
Photo-electric beams
Fixed Value Method
Number of parts to be
2 Error Detection
and Alarms
attached/assembled
etc. are constant
Number of steps done in
operation
Limit switches
3 Limit Switches

Motion-step Method
Checks for correct sequencing
Checks for correct timing
4 Counters

Photo-electric switches and

5
timers
Checklists

19
 Mistake Proofing Examples
Everyday examples of mistake-proofing: Automobile
Home Seat belts
Automated shutoffs on electric Air bags
coffee pots Car engine warning lights
Ground fault circuit breakers for Office
bathroom in or outside electric Spell check in word processing
circuits software
Pilotless gas ranges and hot water Questioning Do you want to delete
heaters after depressing the Delete button
Child proof caps on medications on your computer
Butane lighters with safety button Factory
Computers Dual palm buttons and other guards
Mouse insertion on machinery
Retail
USB cable connection
Tamper proof packaging
Battery insertion

Power save feature

20
Advantages of Mistake Proofing as A Control Method

Mistake Proofing advantages include:

Only simple training programs are required
Inspection operations are eliminated and the process is simplified
Relieves operators from repetitive tasks of typical visual inspection
Promotes creativity and value adding activities
Results in defect free work
Requires immediate action when problems arise
Provides 100% inspection internal to the operation

The best resource for pictorial examples of Mistake Proofing is:

Poka-Yoke: Improving Product Quality by Preventing Defects.

Overview by Hiroyuki Hirano. Productivity Press, 1988.)

21
Defect Prevention Culture and Good Control Plans

Involve everyone in defect prevention

Establish process capability through SPC
Establish and adhere to standard procedures
Make daily improvements
Invent Mistake-proofing devices

Make immediate feedback and action part of culture

Dont just stop at one mistake proofing device per product

Defect Prevention is needed for all potential defects

Defect Prevention implemented MUST be documented in your living

FMEA for the process/product

22
 Class Exercise

Break into your groups and discuss mistake proofing systems currently
at your facilities

Identify one automation example and one process interruption example

per group

Be prepared to present both examples to the class

Answer the following questions as part of the discussion and

presentation:
How was the need for the control system identified? If a Critical X
is mistake proofed, how was it identified as being critical?
How are they maintained?
How are they verified as working properly?
Are they ever disabled?

You have 30 minutes!

23
 Class Exercise about Defect Prevention

Prepare a probable Defect Prevention method to apply to

your project.

List any potential barriers to implementation.

24
 Summary

At this point, you should be able to:

Describe some methods of Defect Prevention

Understand how these techniques can help with project sustainability:

Including reducing those outliers as seen in the Advanced Process
Capability section
If the vital X was identified, prevent the cause of defective Y

Understand what tools must document the Defect Prevention created in the
Control Phase

25
 Control Phase
Statistical Process Control
 Statistical Process Control

Elements and Purpose

Defect Controls
Methodology
Statistical Process Control (SPC)
Special Cause Tests
Six Sigma Control Plans
Examples
Wrap Up & Action Items

27
 SPC Overview: Collecting Data
Population:
An entire group of objects that have been made or will be
made containing a characteristic of interest
Sample:
A sample is a subset of the population of interest
The group of objects actually measured in a statistical
study
Samples are used to estimate the true population
parameters

Population

Sample
Sample
Sample

28
 SPC Selection Process
Choose
Appropriate
Control Chart

type
ATTRIBUTE CONTINUOUS
of data

type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES

Sample size
1 2-5 10+
type
type of
of defect
subgroups I MR XR XS
Chart Chart Chart
CONSTANT VARIABLE CONSTANT VARIABLE
Individuals Mean & Mean &
& Moving Range Std. Dev.
Range
U NP
C Chart P Chart
Chart Chart

Number of Incidences Number of Proportion

Incidences per Unit Defectives Defectives

29
 SPC Overview: I-MR Chart
An I-MR chart combines a Control Chart of the average moving range with the Individuals
Chart.
You can use individuals charts to track the process level and to detect the presence of
Special Causes when the sample size is 1.
Seeing both charts together allows you to track both the process level and process
variation at the same time, providing greater sensitivity that can help detect the presence of
Special Causes.
Individuals Chart
Individuals Chart
Observation
Observation
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
4
34
3
2 Data
12 Data
Measure

LCL
01
Measure

LCL
-1 0 Xbar
Xbar
-1 UCL
-2
UCL
-3-2
-4-3
-4

M Rbar Chart
M Rbar Chart
Observation
Observation
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
5
5
4
4 Range
Range
Range

3 LCL
Range

3 LCL
2 Rbar
2 Rbar
UCL
1 UCL
1
0
0

30
 SPC Overview: Xbar-R Chart
If each of your observations consists of a subgroup of data, rather than just individual
measurements, an Xbar-R chart providers greater sensitivity. Failure to form rational
subgroups correctly will make your Xbar-R charts dangerously wrong.

Xbar Chart
Xbar Chart
Subgroup
Subgroup
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1.5
1.5
1
1
0.5 Xbar
0.5 Xbar
0 LCL
Xbar

0 LCL
Xbar

-0.5 Xbarbar
-0.5 Xbarbar
-1 UCL
-1 UCL
-1.5
-1.5
-2
-2

Rbar Chart
Rbar Chart
Subgroup
Subgroup
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
6
6
5
5 Rbar
4 Rbar
4 LCL
Rbar

3 LCL
Rbar

3 Rbar
2 Rbar
2 UCL
1 UCL
1
0
0

31
 SPC Overview: U Chart
C Charts and U Charts are for tracking defects.
A U Chart can do everything a C Chart can, so well just learn how to do a U
Chart. This chart counts flaws or errors (defects). One search area can
have more than one flaw or error.
Search area (unit) can be practically anything we wish to define. We can look
for typographical errors per page, the number of paint blemishes on a truck
door or the number of bricks a mason drops in a workday.
You supply the number of defects on each unit inspected.

U Chart
U Chart

Sample
Sample
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1
1
0.8
0.8 DPU
DPU
0.6 LCL
DPU

0.6 LCL
DPU

0.4 Ubar
0.4 Ubar
UCL
0.2 UCL
0.2
0
0

32
 SPC Overview: P Chart
NP Charts and P Charts are for tracking defectives.
A P Chart can do everything an NP Chart can, so well just learn how to do a P
Chart!
Used for tracking defectives the item is either good or bad, pass or fail,
accept or reject.
Center Line is the proportion of rejects and is also your Process Capability.
Input to the P Chart is a series of integers number bad, number rejected.
In addition, you must supply the sample size.

P Chart
P Chart

Sam ple
Sam ple
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
0.35
Proportion Defective (P)

0.35
Proportion Defective (P)

0.3
0.3 P
0.25 P
0.25
0.2 LCL
0.2 LCL
0.15 Pbar
0.15 Pbar
0.1 UCL
0.1 UCL
0.05
0.05
0
0

33
 SPC Overview: Control Methods/Effectiveness

Type 1 Corrective Action = Countermeasure: improvement made to the process

which will eliminate the error condition from occurring. The defect will never be
created. This is also referred to as a long-term corrective action in the form of mistake
proofing or design changes.

Type 2 Corrective Action = Flag: improvement made to the process which will detect
when the error condition has occurred. This flag will shut down the equipment so that
the defect will not move forward.

SPC on Xs or Ys with fully trained operators and staff who respect the rules. Once a
chart signals a problem everyone understands the rules of SPC and agrees to shut
down for Special Cause identification. (Cpk > certain level).

Type 3 Corrective Action = Inspection: implementation of a short-term containment

which is likely to detect the defect caused by the error condition. Containments are
typically audits or 100% inspection.

SPC on Xs or Ys with fully trained operators. The operators have been trained and
understand the rules of SPC, but management will not empower them to stop for
investigation.

S.O.P. is implemented to attempt to detect the defects. This action is not sustainable
short-term or long-term.

SPC on Xs or Ys without proper usage. = WALL PAPER.

34
Purpose of Statistical Process Control
Every process has Causes of Variation known as:
Common Cause: Natural variability
Special Cause: Unnatural variability
Assignable: Reason for detected Variability
Pattern Change: Presence of trend or unusual pattern

SPC is a basic tool to monitor and improve variation in a process.

SPC is used to detect Special Cause variation telling us the process is

out of control but does NOT tell us why.

SPC gives a glimpse of ongoing process capability AND is a visual

management tool.

35
 Elements of Control Charts
Developed by Dr Walter A. Shewhart of Bell Laboratories from 1924
Graphical and visual plot of changes in the data over time
This is necessary for visual management of your process.
Control Charts were designed as a methodology for indicating change in
performance, either variation or Mean/Median.
Charts have a Central Line and Control Limits to detect Special Cause variation.

Control Chart of Recycle

60 1

UCL=55.24

Special Cause 50

Variation Detected 40
Individual Value

Process Center
_
30 X=29.06

20 (usually the Mean)

Control Limits 10

LCL=2.87
0
1 4 7 10 13 16 19 22 25 28
Observation

36
 Understanding the Power of SPC
Control Charts indicate when a process is out of control or exhibiting Special Cause variation
but NOT why!

SPC Charts incorporate upper and lower Control Limits.

The limits are typically +/- 3 from the Center Line.
These limits represent 99.73% of natural variability for Normal Distributions.

SPC Charts allow workers and supervision to maintain improved process performance from Six
Sigma projects.

Use of SPC Charts can be applied with all processes.

Services, manufacturing, and retail are just a few industries with SPC applications.
Caution must be taken with use of SPC for Non-normal processes.

Control Limits describe the process variability and are unrelated to customer specifications.
(Voice of the Process instead of Voice of the Customer)
An undesirable situation is having Control Limits wider than customer specification
limits. This will exist for poorly performing processes with a Cp less than 1.0

Many SPC Charts exist and selection must be appropriate for effectiveness.

37
 The Control Chart Cookbook
General Steps for Constructing Control Charts
1. Select characteristic (critical X or CTQ) to be charted.
2. Determine the purpose of the chart.
3. Select data-collection points.
4. Establish the basis for sub-grouping (only for Ys).
5. Select the type of Control Chart.
6. Determine the measurement method/criteria.
7. Establish the sampling interval/frequency.
8. Determine the sample size.
9. Establish the basis of calculating the Control Limits.
Stirred or
10. Set up the forms or software for charting data. Shaken?
11. Set up the forms or software for collecting data.
12. Prepare written instructions for all phases.
13. Conduct the necessary training.

38
Focus of Six Sigma and the Use of SPC

Y=F(x)
To get results, should we focus our behavior on the Y or X?

Y X1 . . . XN
Dependent Independent
Output Input
Effect Cause
Symptom Problem
Monitor Control

If we find the vital few Xs, first consider using

SPC on the Xs to achieve a desired Y?

39
 Control Chart Anatomy
Special Cause Run Chart of
Variation
Process is Out data points
of Control

Upper Control
Limit

+/- 3 sigma
Common Cause
Variation
Process is In
Control

Lower Control
Limit

Mean
Special Cause
Variation
Process is Out
of Control Process Sequence/Time Scale

40
Control and Out of Control
Outlier

3
2
1

99.7%
95%
68%
-1

-2

-3
Outlier

41
 Size of Subgroups
Typical subgroup sizes are 3-12 for variable data:
If difficulty of gathering sample or expense of testing exists the size, n, is
smaller
3, 5, and 10 are the most common size of subgroups because of ease
of calculations when SPC is done without computers.
Size of subgroups aid in detection of shifts of Mean indicating Special Cause
exists. The larger the subgroup size, the greater chance of detecting a Special
Cause. Subgroup size for Attribute Data is often 50 200.

Lot 1 Lot 5

Lot 3

Lot 2

Lot 4
Short-term studies

Long-term study

42
 The Impact of Variation

Sources of Variation Sources of Variation Sources of Variation

- Natural Process Variation - Natural Process Variation - Natural Process Variation

as defined by subgroup - Different Operators - Different Operators
selection - Supplier Source

-UCL

-LCL

First, select the spread that

we will declare as the
Natural Process Variation,
so that whenever any point
lands outside these So, when a second source And, of course, if two additional
Control Limits, an alarm of variation appears, we sources of variation arrive, we will
will sound will know! detect that, too!

If you base your limits on all three sources of variation, what will sound the alarm?

43
 Frequency of Sampling
Sampling Frequency is a balance between cost of sampling and testing
versus cost of not detecting shifts in Mean or variation.

Process knowledge is an input to frequency of samples after the subgroup

size has been decided.
If a process shifts but cannot be detected because of too infrequent
sampling, the customer suffers
If choice is given of large subgroup samples infrequently or smaller
subgroups more frequently, most choose to get information more
frequently.
In some processes, with automated sampling and testing frequent
sampling is easy.

If undecided as to sample frequency, sample more frequently to confirm

detection of process shifts and reduce frequency if process variation is
still detectable.

A rule of thumb also states sample a process at least 10X more frequent
than the frequency of out of control conditions.

44
 Frequency of Sampling
Sampling too little will not allow for sufficient detection of shifts in the
process because of Special Causes.
I Chart of Sample_ 3
7.5
UCL=7.385

All possible samples 7.0

Individual Value
6.5
_
X=6.1
6.0

5.5

5.0
Sample every half hour LCL=4.815

1 2 3 4 5 6 7 8 9 10 11 12 13
Observation

I Chart of Sample_ 6 I Chart of Sample_ 12

6.6
UCL=8.168 UCL=6.559
8
6.4

6.2
7
Individual Value

Individual Value
6.0
_ _
X=6.129 X=5.85
6 5.8

5.6

5 5.4

Sample 4x per shift

5.2
Sample every hour
4 LCL=4.090
LCL=5.141
5.0
1 2 3 4 5 6 7 1 2 3 4
Observation Observation

45
 SPC Selection Process
Choose Appropriate
Control Chart

ATTRIBUTE type CONTINUOUS

of data

type of
subgroup
attribute
size
data
DEFECTS DEFECTIVES

Sample size 1 2-5 10+

type
type of
of defect
subgroups
I MR XR XS
Chart Chart Chart
CONSTANT VARIABLE CONSTANT VARIABLE
Individuals Mean & Mean & Std.
& Moving Range Dev.
Range

C Chart U Chart NP Chart P Chart SPECIAL CASES

Number of Incidences Number of Proportion

Incidences per Unit Defectives Defectives
CumSum EWMA
Chart Chart

Cumulative Exponentially
Sum Weighted Moving
Average

46
Understanding Variable Control Chart Selection

Type of Chart When do you need it?

Production is higher volume; allows process Mean and

Average & Range
or S variability to be viewed and assessed together; more sampling
(Xbar and R or than with Individuals Chart (I) and Moving Range Charts (MR)
Xbar and S) but when subgroups are desired. Outliers can cause issues
with Range (R) charts so Standard Deviation charts (S) used
Most common instead if concerned.

Production is low volume or cycle time to build product is long

Individual and or homogeneous sample represents entire product (batch etc.);
Moving Range sampling and testing is costly so subgroups are not desired.
Control limits are wider than Xbar Charts. Used for SPC on
most inputs.

47
Understanding Attribute Control Chart Selection

Type of Chart When do you need it?

P Need to track the fraction of defective

units; sample size is variable and usually > 50

When you want to track the number of defective

nP units per subgroup; sample size is usually
constant and usually > 50

When you want to track the number of defects

C per subgroup of units produced; sample size is
constant

U When you want to track the number of

defects per unit; sample size is variable

48 48
 Detection of Assignable Causes or Patterns

Control Charts indicate Special Causes being either assignable

causes or patterns.

The following rules are applicable for both variable and Attribute
Data to detect Special Causes.

These four rules are the only applicable tests for Range (R),
Moving Range (MR) or Standard Deviation (S) charts.
One point more than 3 Standard Deviations from the Center
Line.
6 points in a row all either increasing or all decreasing.
14 points in a row alternating up and down.
9 points in a row on the same side of the center line.

49
Detection of Assignable Causes or Patterns
Control Charts indicate Special Causes being either assignable causes or
patterns.

These remaining four rules are only for variable data to detect Special
Causes.
2 out of 3 points greater than 2 Standard Deviations from the Center
Line on the same side.
4 out of 5 points greater than 1 Standard Deviation from the Center
Line on the same side.
15 points in a row all within one Standard Deviation of either side of
the Center Line.
8 points in a row all greater than one Standard Deviation of either
side of the Center Line.

50
 Special Cause Rule Default in MINITABTM

If a Belt is using MINITABTM, you must be aware of what default settings for
the rules. You can alter your program defaults with:

Tools>Options>Control Charts and Quality Tools>Define Tests

This would be
changed to 8 if
you prefer the
Western
Electric Rules.

Many experts have commented on the appropriate tests and numbers to be

used. Decide then be consistent when implementing.

51
 Special Cause Rule Selection in MINITABTM

When a Belt is using MINITABTM, the default tests can be set when running
SPC on the variable or Attribute Data.

Tools>Options>Control Charts and Quality Tools>Tests to Perform

A Belt can always change which tests are selected for any individual SPC
chart.

52
 Special Cause Test Examples

This is the MOST common Special Cause test used in SPC charts.

Test 1 One point beyond zone A

1

A
B
1 C
C
B
A

53
 Special Cause Test Examples

This test is an indication of a shift in the process Mean.

Test 2 Nine points in a row on

same side of center line

A
B
C
C
B 2

54
 Special Cause Test Examples

This test is indicating a trend or gradual shift in the Mean.

Test 3 Six points in a row, all

increasing or decreasing
A 3

B
C
C
B
A

55
 Special Cause Test Examples

This test is indicating a non-random pattern.

Test 4 Fourteen points in a

row, alternating up and down

A
B
C
C 4

B
A

56
 Special Cause Test Examples

This test is indicating a shift in the Mean or a worsening of

variation.

Test 5 Two out of three points in

a row in zone A (one side of center
line)
5
A
B
C
C
B
A 5

57
 Special Cause Test Examples
This test is indicating a shift in the Mean or degradation of
variation.
Test 6 Four out of five points in
zone B or beyond (one side of
center line)
6
A
B
C
C
B 6

58
 Special Cause Test Examples

This test is indicating a dramatic improvement of the variation in

the process.

Test 7 Fifteen points in a row in

zone C (both sides of center line)
A
B
C
C 7

B
A

59
 Special Cause Test Examples

This test is indicating a severe worsening of variation.

Test 8 Eight points in a row

beyond zone C (both sides of
center line)
A
B
C
C
B 8

60
SPC Center Line and Control Limit Calculations
Calculate the parameters of the Individual and MR Control Charts with the
following:

Center Line Control Limits

k

R
k

x i i
UCL x X E 2 MR UCL MR D 4 MR
X i 1 MR i

k k LCL x X E 2 MR LCL MR D 3 MR
Where:
Xbar: Average of the individuals, becomes the Center Line on the Individuals Chart
Xi: Individual data points
k: Number of individual data points
Ri : Moving range between individuals, generally calculated using the difference between
each successive pair of readings
MRbar: The average moving range, the Center Line on the Range Chart
UCLX: Upper Control Limit on Individuals Chart
LCLX: Lower Control Limit on Individuals Chart
UCLMR: Upper Control Limit on moving range
LCLMR : Lower Control Limit on moving range (does not apply for sample sizes below 7)
E2, D3, D4: Constants that vary according to the sample size used in obtaining the moving range
MRbar (computed above)
(st. dev. Estimate)

= d2 (table of constants for subgroup size n)

61
SPC Center Line and Control Limit Calculations
Calculate the parameters of the XBar and R Control Charts with the
following:

Center Line Control Limits

k

R
k

x i i UCL x X A 2 R UCL R D 4 R
X i 1
R i
LCL x X A 2 R LCL R D 3 R
Where: k k
Xi: Average of the subgroup averages, it becomes the Center Line of the Control Chart
Xi: Average of each subgroup
k: Number of subgroups
Ri : Range of each subgroup (Maximum observation Minimum observation)
Rbar: The average range of the subgroups, the Center Line on the Range Chart
UCLX: Upper Control Limit on Average Chart
LCLX: Lower Control Limit on Average Chart
UCLR: Upper Control Limit on Range Chart
LCLR : Lower Control Limit Range Chart
A2, D3, D4: Constants that vary according
Rbar to(computed
the subgroup sample size
above)
(st. dev. Estimate)

= d2 (table of constants for subgroup size n)

62
SPC Center Line and Control Limit Calculations
Calculate the parameters of the Xbar and S Control Charts with the
following:

Center Line Control Limits

k k

x i s i UCL x X A 3 S UCL S B4 S
X i 1
S i 1

k k LCL x X A 3 S LCLS B3 S
Where:
Xi: Average of the subgroup averages, it becomes the Center Line of the Control Chart
Xi: Average of each subgroup
k: Number of subgroups
si : Standard Deviation of each subgroup
Sbar: The average S. D. of the subgroups, the Center Line on the S chart
UCLX: Upper Control Limit on Average Chart
LCLX: Lower Control Limit on Average Chart
UCLS: Upper Control Limit on S Chart
LCLS : Lower Control Limit S Chart
A3, B3, B4: Constants that vary according
Sbar to the subgroup
(computed sample size
above)
(st. dev. Estimate)

= c4 (table of constants for subgroup size n)

63
SPC Center Line and Control Limit Calculations
Calculate the parameters of the P Control Charts with the following:

Center Line Control Limits

Total number of defective items p (1 p )

p UCL p p 3
Total number of items inspected ni
p (1 p )
LCL p p 3
Where: ni
p: Average proportion defective (0.0 1.0)
ni: Number inspected in each subgroup
LCLp: Lower Control Limit on P Chart
UCLp: Upper Control Limit on P Chart

Since the Control Limits are a function of

sample size, they will vary for each
sample.
64
SPC Center Line and Control Limit Calculations

Calculate the parameters of the nP Control Charts with

the following:
Center Line Control Limits

Total number of defective items UCL np n i p 3 ni p(1 p )

np
Total number of subgroups
Where: LCL np n i p 3 n i p(1 - p)
np: Average number defective items per subgroup
ni: Number inspected in each subgroup
LCLnp: Lower Control Limit on nP chart
UCLnp: Upper Control Limit on nP chart

Since the Control Limits AND Center Line are a

function of sample size, they will vary for each
sample.
65
SPC Center Line and Control Limit Calculations
Calculate the parameters of the U Control Charts with the
following:

Center Line Control Limits

u
u
Total number of defects Identified UCL u u 3
Total number of Units Inspected ni
u
Where: LCL u u 3
ni
u: Total number of defects divided by the total number of units
inspected.
ni: Number inspected in each subgroup
LCLu: Lower Control Limit on U Chart.
UCLu: Upper Control Limit on U Chart.

Since the Control Limits are a function of

sample size, they will vary for each sample.

66
SPC Center Line and Control Limit Calculations

Calculate the parameters of the C Control Charts

with the following:

Center Line Control Limits

Total number of defects UCL c c 3 c
c
Total number of subgroups

LCL c c 3 c
Where:

c: Total number of defects divided by the total number of subgroups.

LCLc: Lower Control Limit on C Chart.
UCLc: Upper Control Limit on C Chart.

67
 Pre-Control Charts
Pre-Control Charts use limits relative to the specification limits. This is the
first and ONLY chart you will see specification limits plotted for Statistical
Process Control. This is the most basic type of chart and unsophisticated use
of process control.

0.0 0.25 0.5 0.75 1.0 Red Zones. Zone outside the
specification limits. Signals the
process is out-of-control and
should be stopped

Yellow Zones. Zone between

RED Yellow GREEN Yellow Red the PC Lines and the
specification limits, indicates
caution and the need to watch
the process closely

Green Zone. Zone lies

LSL Target USL between the PC Lines, signals
the process is in control

68
 Process Setup and Restart with Pre-Control

Qualifying Process
To qualify a process, five consecutive parts must fall within the green zone
The process should be qualified after tool changes, adjustments, new
operators, material changes, etc

Monitoring Ongoing Process

Sample two consecutive parts at predetermined frequency
If either part is in the red, stop production and find reason for variation
When one part falls in the yellow zone inspect the other and
If the second part falls in the green zone then continue
If the second part falls in the yellow zone on the same side, make an
adjustment to the process
If second part falls in the yellow zone on the opposite side or in the red
zone, the process is out of control and should be stopped
If any part falls outside the specification limits or in the red zone, the
process is out of control and should be stopped

69
 Responding to Out of Control Indications

The power of SPC is not to find out what the Center Line and Control Limits are.
The power is to react to the Out of Control (OOC) indications with your Out of Control
Action Plans (OCAP) for the process involved. These actions are your corrective
actions to correct the output or input to achieve proper conditions.

Individual SPC chart for Response Time

40
1
UCL=39.76
VIOLATION:
Special Cause is indicated
30
Individual Value

20 _
X=18.38

10 OCAP
0
If response time is too high, get
LCL=-3.01
additional person on phone bank
1 4 7 10 13 16 19 22 25 28 31
Observation

SPC requires immediate response to a Special Cause indication.

SPC also requires no sub optimizing by those operating the process.
Variability will increase if operators always adjust on every point if not at the
Center Line. ONLY respond when an Out of Control or Special Cause is detected.
Training is required to interpret the charts and response to the charts.

70
 Attribute SPC Example
Practical Problem: A project has been launched to get rework reduced to
less than 25% of paychecks. Rework includes contacting a manager about
overtime hours to be paid. The project made some progress but decides
they need to implement SPC to sustain the gains and track % defective.
Please analyze the file paycheck2.mtw and determine the Control Limits
and Center Line.

Step 3 and 5 of the methodology is the primary focus for this example.
Select the appropriate Control Chart and Special Cause tests
to employ
Calculate the Center Line and Control Limits
Looking at the data set, we see 20 weeks of data.
The sample size is constant at 250.
The amount of defective in the sample is in column C3.

Paycheck2.mtw

71
 Attribute SPC Example (cont.)
The example includes % paychecks defective. The metric
to be charted is % defective. We see the P Chart is the
most appropriate Attribute SPC Chart.

72
 Attribute SPC Example (cont.)

Notice specifications were never discussed. Let us calculate the

Control Limits and Central Line for this example.

We will confirm what rules for Special Causes are included in our
Control Chart analysis.

73
 Attribute SPC Example (cont.)
Remember to click on the Options and Tests tab to clarify
the rules for detecting Special Causes.
. Chart Options>Tests

We will confirm what rules for Special Causes are included in our
Control Chart analysis. The top 3 were selected.

74
 Attribute SPC Example (cont.)

No Special Causes were detected. The average % defective

checks were 20.38%. The UCL was 28.0% and 12.7% for the LCL.
P Chart of Empl_ w_ Errors
0.30

UCL=0.2802

0.25
Proportion

_
0.20 P=0.2038

0.15

LCL=0.1274

1 3 5 7 9 11 13 15 17 19
Sample

Now we must see if the next few weeks are showing Special Cause
from the results. The sample size remained at 250 and the defective
checks were 61, 64, 77.

75
 Attribute SPC Example (cont.)

Remember, we have calculated the Control Limits from the first 20 weeks. We
must now put in 3 new weeks and NOT have MINITABTM calculate new Control
Limits which will be done automatically if we do not follow this technique. We are
executing Steps 6-8
Step 6: Plot process X or Y on the newly created Control Chart
Step 7: Check for Out-Of-Control (OOC) conditions after each point
Step 8: Interpret findings, investigate Special Cause variation,
& make improvements following the Out of Control Action Plan
(OCAP)

Notice the new 3 weeks of data was entered into the

spreadsheet.

76
 Attribute SPC Example (cont.)
Chart Options>Parameters

Place the pbar from the first chart

we created in the Estimates tab.
This will prevent MINITABTM from
calculating new Control Limits
which is step 9.

P Chart of Empl_ w_ Errors

1

The new updated SPC chart

0.30

UCL=0.2802

is shown with one Special 0.25

Cause. Proportion
_
0.20 P=0.2038

0.15

LCL=0.1274

1 3 5 7 9 11 13 15 17 19 21 23
Sample

77
 Attribute SPC example (cont.)
Because of the Special Cause, the process must refer to the OCAP or Out of Control Action Plan that states
what root causes need to be investigated and what actions are taken to get the process back in control.

P Chart of Empl_ w_ Errors

1

0.30

UCL=0.2802

0.25

Proportion
_
0.20 P=0.2038

0.15

LCL=0.1274

1 3 5 7 9 11 13 15 17 19 21 23
Sample

After the corrective actions were taken, wait until the next sample is taken to see if the process has changed
to not show Special Cause actions.
If still out of control, refer to the OCAP and take further action to improve the process. DO NOT
make any more changes if the process shows back in control after the next reading.
Even if the next reading seems higher than the Center Line! Dont cause more variability.

If process changes are documented after this project was closed, the Control Limits should be recalculated
as in step 9 of the SPC methodology.

78
 Variable SPC Example

Practical Problem: A job shop drills holes for its largest customer
as a final step to deliver a highly engineered fastener. This shop uses
five drill presses and gathers data every hour with one sample from
each press representing a subgroup. The data is gathered in columns
C3-C7.

Step 3 and 5 of the methodology is the primary focus for this example.
Select the appropriate Control Chart and
Special Cause tests to employ
Calculate the Center Line and Control Limits
Holediameter.mtw

79
 Variable SPC Example (cont.)
The example has Continuous Data, subgroups and we
have no interest in small changes in this small process
output. The Xbar R Chart is selected because we are
uninterested in the Xbar S Chart for this example.

80
 Variable SPC Example (cont.)
Specifications were never discussed. Let us calculate the Control
Limits and Center Line for this example.

We will confirm what rules for Special Causes are included in our
Control Chart analysis.

81
 Variable SPC Example (cont.)
Remember to click on the Options and Tests tab to clarify the
rules for detecting Special Causes.
..Xbar-R Chart Options>Tests

We will confirm what rules for Special Causes are included in our
Control Chart analysis. The top 2 of 3 were selected.

82
 Variable SPC Example (cont.)
Also confirm the Rbar method is used for estimating Standard Deviation.
Stat>Control Charts>Variable Charts for Subgroups>Xbar-R>Xbar-R Chart Options>Estimate

83
 Variable SPC Example (cont.)
No Special Causes were detected in the Xbar Chart. The average
hole diameter was 26.33. The UCL was 33.1 and 19.6 for the LCL.
Xbar-R
Xbar-RChart
Chartof
ofPart1,
Part1,...,
...,Part5
Part5
35
35
UCL=33.07
UCL=33.07
Mean

30
SampleMean

30
_
__
_
X=26.33
Sample

X=26.33
25
25

20
20 LCL=19.59
LCL=19.59
11 66 11
11 16
16 21
21 26
26 31
31 36
36 41
41 46
46
Sample
Sample

1
1
24 UCL=24.72
UCL=24.72
24
Range
SampleRange

18
18
__
12
12 R=11.69
R=11.69
Sample

66

00 LCL=0
LCL=0
11 66 11
11 16
16 21
21 26
26 31
31 36
36 41
41 46
46
Sample
Sample

Now we will use the Control Chart to monitor the next 2 hours and
see if we are still in control.
84
 Variable SPC Example (cont.)
Remember, we have calculated the Control Limits from the first 20 weeks. We
must now put in 2 more hours and NOT have MINITABTM calculate new Control
Limits which will be done automatically if we do not follow this step. We are
executing Steps 6-8
Step 6: Plot process X or Y on the newly created Control Chart
Step 7: Check for Out-Of-Control (OOC) conditions after each point
Step 8: Interpret findings, investigate special cause variation, &
make improvements following the Out of Control Action Plan
(OCAP)

Notice the new 2 hours of data was

entered into the spreadsheet.

85
 Variable SPC Example (cont.)
..Xbar-R Chart Options>Parameters

Place the mean from the FIRST chart we

created in the estimates tab. The Standard
Deviation is Rbar/d2. This will prevent
MINITABTM from calculating new Control
Limits which is Step 9. d2 is found by
finding the table of constants shown earlier.

Xbar-R Chart of Part1, ..., Part5

35
UCL=33.07

The new updated SPC Chart is shown with

Sample Mean
30
_
_
X=26.33

no indicated Special Causes in the Xbar

25

Chart. The Mean, UCL and LCL are

20 LCL=19.59
1 6 11 16 21 26 31 36 41 46 51
Sample

unchanged because of the completed 24

1
UCL=24.72

option above. Sample Range

18

12
_
R=11.69

0 LCL=0
1 6 11 16 21 26 31 36 41 46 51
Sample

86
 Variable SPC Example (cont.)
Because of no Special Causes, the process does not refer to the OCAP or Out of
Control Action Plan and NO actions are taken.

Xbar-R
Xbar-RChart
Chartof
ofPart1,
Part1,...,
...,Part5
Part5
35
35
UCL=33.07
UCL=33.07
Sample Mean

30
Sample Mean

30
_
__
_
X=26.33
X=26.33
25
25

20 LCL=19.59
20 LCL=19.59
1 6 11 16 21 26 31 36 41 46 51
1 6 11 16 21 26 31 36 41 46 51
Sample
Sample

1
1
24 UCL=24.72
24 UCL=24.72
Sample Range

18
Sample Range

18
_
12 _
R=11.69
12 R=11.69

6
6

0 LCL=0
0 LCL=0
1 6 11 16 21 26 31 36 41 46 51
1 6 11 16 21 26 31 36 41 46 51
Sample
Sample

If process changes are documented after this project was closed, the Control Limits
should be recalculated as in Step 9 of the SPC methodology.

87
 Recalculation of SPC Chart Limits
Step 9 of the methodology refers to recalculating SPC limits.
Processes should see improvement in variation after usage of SPC.
Reduction in variation or known process shift should result in Center
Line and Control Limits recalculations.
Statistical confidence of the changes can be confirmed with
Hypothesis Testing from the Analyze Phase.
Consider a periodic time frame for checking Control Limits and Center
Lines.
3, 6, 12 months are typical and dependent on resources and
priorities
A set frequency allows for process changes to be captured.
Incentive to recalculate limits include avoiding false Special Cause
detection with poorly monitored processes.
These recommendations are true for both Variable and Attribute Data.

88
 Summary
At this point, you should be able to:

Describe the elements of an SPC Chart and the purposes of SPC

Understand how SPC ranks in Defect Prevention
Describe the 13 step route or methodology of implementing a chart
Design subgroups if needed for SPC usage
Determine the frequency of sampling
Understand the Control Chart selection methodology
Be familiar with Control Chart parameter calculations such as UCL,
LCL and the Center Line

89
 Control Phase
Six Sigma Control Plans
 Statistical Process Control

Defect Controls

Statistical Process Control (SPC)

Solution Selection
Six Sigma Control Plans
Control Plan Elements
Wrap Up & Action Items

91
 End of Control: Your Objectives
Youve already decided on the some defect reduction methodology.

Final decisions need to clarify which defect reduction tools to use.

Capital expenditures may be required.
Training hurdles to overcome.
Management buy-in not completed.

This module will help select solutions with a familiar tool.

The Control Phase allows the Belt and its team to tackle other
processes in the future.
The elements of a Control Phase aid to document how to
maintain the process.

This module identifies the elements of strong Control Plans.

Remember: The objective is to sustain the gains initially

found in the D,M,A,I Phases.

92
 Selecting Solutions
Selecting improvements to implement:
High-level objective evaluation of all potential improvements
Impact of each improvement
Cost to implement each improvement
Time to implement each improvement
Balance desire with quantifiable evaluation
Engineering always wants the gold standard
Sales always wants inventory
Production always wants more capacity

The tool for selecting defect prevention methods is unnecessary for just
a few changes to the process.
Many projects with smaller scopes have few, but vital control
methods put into the process.

93
 Impact Considerations
Impact of the improvement:
Time frame of improvements
Long-term vs. Short-term effectiveness
If a supplier will lose a major customer because of
defects, the short term benefit will prevail first.
Effectiveness of the improvement types
Removing the root cause of the defect
Monitoring/flagging for the condition that produces a defect
Inspecting to determine if the defect occurred
Training people not to produce defects

Now thats
IMPACT!
94
 Cost Considerations
Cost to implement improvement:
Initial cost to implement improvement
Cost to train existing work force
Cost to purchase any new materials necessary for
improvement
Cost of resources used to build improvement
Any capital investments required
On-going costs to sustain improvement
Future training, inspection, monitoring, and material costs

Its all about the cash!

95
 Time Considerations
Time to implement improvement:
Technical time constraints
What is the minimum time it would take to implement?
Time to build/create improvement, time to implement
improvement
Political time constraints
What other priorities are competing for the technical time
to build the improvement?
Cultural time constraints
How long will it take to gain support from necessary
stakeholders?

The clocks ticking

96
 Improvement Selection Matrix
Implementing this familiar tool to prioritize proposed
improvements is based on the three selection criteria of time, cost
and impact.
All the process outputs are rated in terms of their relative
importance to the process
The outputs of interest will be the same as those in your X-Y
Matrix.
The relative ranking of importance of the outputs are the
same numbers from the updated X-Y Matrix.
Each potential improvement is rated against the three criteria of
time, cost, and impact using a standardized rating scale
Highest overall rated improvements are best choices for
implementation

97
Improvement Selection Matrix

Solution Matrix.xls

98
 Improvement Selection Matrix Project Outputs

Primary and Secondary Metrics of your Project.

List each of the Ys across the horizontal axis
Rate the importance of the process Ys on a scale of 1 to 10
1 is not very important, 10 is critical
The Significance rankings must match your updated X-Y
Matrix rankings

99
 Improvement Selection Matrix
Impact Ratings
7 X's are removed from impacting the process output.
Continual control and adjustment of critical X's impacting the
6
process output.
Continual control of critical X's prevents defects in the process
5
output from X.
Defect detection of the process output prevents unknown defects
4
from leaving the process.
3 Process inspection or testing is improved to find defects better.
Process is improved with easier control of a critical X impacting the
2
process output.
1 Personnel are trained about X's impact on the process output.
0 X's have no impact on the process output.

100
 Improvement Selection Matrix
Cost to Implement Ratings
Improvement Costs are minimal with upfront and ongoing
7
expenses.
Improvement Costs are low and can be expensed with no capital
6
authorization and recurring expenses are low.
Improvement Costs are low and can be expensed with no capital
5
authorization and recurring expenses are higher.
Medium capital priority because of relative ranking of return on
4
investment.
Low capital priority because of relative ranking of return on
3
investment.
High capital and ongoing expenses make a low priority for capital
2
investment.
High capital and/or expenses without acceptable return on
1
investment.
Significant capital and ongoing expenses without alignment with
0
business priorities.

101
 Improvement Selection Matrix

Time to Implement Ratings

7 Less than a week to get in place and workable.
6 7 - 14 days to get in place and workable.
5 2 - 8 weeks to get the improvement in place and workable.
4 2 - 3 months to get the improvement in place and workable.
3 3 - 6 months to get the improvement in place and workable.
2 6 - 9 months to get the improvement in place and workable.
1 9 - 12 months to get the improvement in place and workable.
Over a year to get the improvement in place and workable. All
0
above times include time for approvals process.

102
 Example of Completed Solution Selection Matrix

Improvement Selection Matrix Output

Improvements with the higher overall rating should be given first priority.
Keep in mind that long time frame capital investments, etc. should have
parallel efforts to keep delays from further occurring.

103
Implementing Solutions in Your Organization

Implementation plans should emphasize the need to:

Organize the tasks and resources
Establish realistic time frames and deadlines
Identify actions necessary to ensure success

Components of an implementation plan include:

Work breakdown structure
Influence strategy for priorities and resourcing
Risk management plan
Audit results for completion and risks.

All solutions must be part of Control Plan Document.

We have a plan dont we?

104
 What is a Control Plan?
A Control Plan is:
Written summary describing systems used for monitoring/controlling process or
product variation
Document allowing team to formally document all control methods used to
meet project goal
Living document to be updated as new measurement systems and control
methods are added for continuous improvement
Often used to create concise operator inspection sheet
NOT a replacement of information contained in detailed operating,
maintenance, or design instructions
ESSENTIAL portion of final project report
Final projects are organizationally dependent
Informal or formal
Filed as part of project tracking mechanism for organization
Track benefits
Reference for unsustained results

105
 WHO Should Create a Control Plan

The team working on the project!!!!

ANYONE who has a role in defining, executing or

changing the process:
Associates
Technical Experts
Supervisors
Managers
Site Manager
Human Resources

We did it!!
106
 Why Do We Need a Control Plan?
Project results need to be sustained.
Control Plan requires operators/engineers, managers, etc. to
follow designated control methods to guarantee product
quality throughout system
Allows a Belt to move onto other projects!
Prevents need for constant heroes in an organization who
repeatedly solve the same problems
Control Plans are becoming more of a customer requirement

Going for distance, not the sprint!

107
 Control Plan Elements

Control Plan

Documentation Response Process owners

Plan Plan accountable to
maintain new
level of
Aligning
process
Systems Monitoring Training
Plan performance
Plan
& Structures

IMPLEMENTED Verified Financial

IMPROVEMENT Impact
S
108
 Control Plan Information
The team develops the Control Plan by utilizing all available information
from the following:
Results from the Measure and Analyze Phases
Lessons learned from similar products and processes
Teams knowledge of the process
Design FMEAs
Design reviews
Defect Prevention Methods selected

Documentation Response
Plan Plan

Aligning
Systems Monitoring Training
Plan Plan
& Structures

109
 Training Plan
Who/What organizations require training?

Those impacted by the improvements

People who are involved in the process Training
Plan
impacted by the improvement
People who support the process impacted by the
improvement

Those impacted by the Control Plan

Process owners/managers
People who support the processes involved in the Control
Plan
People who will make changes to the process in the future

110
 Training Plan
Who will complete the training?
Immediate training
The planning, development and execution is a Training

responsibility of the project team Plan

Typically some of the training is conducted by

the project team
Qualified trainers
Typically owned by a training department or process owner
Those who are responsible for conducting the on-going
training must be identified

Specific training materials need developing.

PowerPoint, On the Job Checklist, Exercises, etc.

111
 Training Plan

When will training be conducted?

What is the timeline to train everyone Training

Plan
on the new process(es)?

What will trigger ongoing training?

New employee orientation?
Refresher training?
Part of the response plan when monitoring
shows performance degrading?

112
 Training Plan
Training Plan Outline

Training
Plan

Integration into
Schedule for Ongoing New Final Location of
Who Will Create Training Modules Who Will be Schedule for Employee Employee
Training Module Modules Completion Trained Training Trainer(s) Training Manuals

113
 Documentation Plan
Documentation
Documentation is necessary to ensure that what Documentation
Plan Plan
has been learned from the project is shared and
institutionalized:
Used to aid implementation of solutions
Used for on-going training

This is often the actual Final Report some organizations use.

Documentation must be kept current to be

useful

114
 Documentation Plan

Items to be included in the

Documentation Plan: Documentation
Plan

Process documentation
Updated Process Maps/flowcharts
Procedures (SOPs)
FMEA

Control Plan documentation

Training manuals
Monitoring planprocess management charts, reports, sops
Response planFMEA
Systems and structuresjob descriptions, performance
management objectives

115
 Documentation Plan
Assigning responsibility for Documentation Plan:
Responsibility at implementation
Documentation
Black Belt ensures all documents are current Plan

at hand off
Black Belt ensures there is a process to modify
documentation as the process changes in place
Black Belt ensures there is a process in place to review
documentation on regular basis for currency/accuracy
Responsibility for ongoing process (organizationally based)
Plan must outline who is responsible for making
updates/modifications to documentation as they occur
Plan must outline who is responsible to review documents
ensuring currency/accuracy of documentation

116
 Documentation Plan

Documentation Plan Outline

Documentation
Plan

117
 Monitoring Plan
Purpose of a Monitoring Plan:
Assures gains are achieved and sustained
Provides insight for future process improvement activities Monitoring
Plan

Development of a Monitoring Plan:

Belt is responsible for the development of the monitoring plan
Team members will help to develop the plan
Stakeholders must be consulted
Organizations with financial tracking would monitor results.

Sustaining the Monitoring Plan:

Functional managers will be responsible for adherence to the
monitoring plan
They must be trained on how to do this
They must be made accountable for adherence

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 Monitoring Plan
Tests:
When to Sample
Monitoring
After training Plan

Regular intervals
Random intervals (often in auditing sense)
How to Sample
How to Measure

I knew I should have paid more attention!

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 Monitoring Plan

Statistical Process Control:

Monitoring
Control Charts Plan

Posted in area where data collected

Plot data points real time
Act on Out of Control Response with guidelines from
the Out of Control Action Plan (OCAP).
Record actions taken to achieve in-control results.
Notes impacting performance on chart should be
encouraged
Establishing new limits
Based on signals that process performance has changed

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 Response Plan

FMEA is a great tool to use for the

Monitoring Plan Monitoring
Plan

Potential C
Process Potential Potential S C Potential O Current D R Responsible S O D R
Process Failure Modes Potential S l Potential O Current D R Recommend Responsible Taken S O D R
# Function Failure Modes Failure Effects E l Causes of C Process E P Recommend Person & Taken E C E P
# Function (process Failure Effects E a Causes of C Process E P Actions Person & Actions E C E P
(Step) (process (Y's) V a Failure (X's) C Controls T N Actions Target Date Actions V C T N
(Step) defects) (Y's) Vs Failure (X's) C Controls T N Target Date V C T N
defects) s
1
1
2
2
3
3
4
4
5
5
6
6

Allows process manager and those involved in the process to

see the entire process and how everyone contributes to a
defect free product/service.
Provides the means to keep the document currentreassessing
RPNs as the process changes

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 Monitoring Plan
Check Lists/Matrices
Key items to check
Monitoring
Decision criteria; decision road map Plan

Multi-variable tables

Visual Management
Alerts or signals to trigger action.
Empty bins being returned to when need stock replenished
Red/yellow/green reports to signal process performance
Can be audible also.
5S is necessary for Visual Management

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 Response Plan

Response Plans outline process(es) to follow when Response

Plan

there is a defect or Out of Control from monitoring:

Out of control point on Control Chart
Non random behavior within Control Limits in
Control Chart
Condition/variable proven to produce defects present in process
Check sheet failure
Automation failure

Response to poor process results are a must in training.

Response Plans are living documents updated

with
new information as it becomes available.
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 Response Plan
Components of Response Plan: Response
Plan
The triggers for a response
What are the Failure Modes to check for?
Usually monitor the highest risk X's in the process
The recommended response for the Failure Mode
The responsibilities for responding to the Failure Mode
Documentation of response plan being followed in a Failure
Mode
Detailed information on the conditions surrounding the Failure
Mode

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 Response Plan Abnormality Report
Response
Detailed documentation Plan

when failure modes

occur.

Provide a method for

on-going continuous
improvement.

Reinforce
commitment to
eliminating defects.

Fits with ISO 9000 standard of

having
a CAR or Corrective Action Request.

Method to collect frequency of

corrective actions.

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 Aligning Systems and Structures
Systems and structures are the basis for allowing
people to change their behaviors permanently:
Performance goals/objectives Aligning
Systems

Policies/procedures & Structures

Job descriptions
Incentive compensation
Incentive programs, contests, etc

There are long- and short-term strategies

for alignment of systems and structures.

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 Aligning Systems and Structures
Get rid of measurements that do not align with
desired behaviors
Aligning
Systems
Get rid of multiple measures for the same & Structures

desired behaviors

Implement measures that align with desired behaviors currently not

motivated by incentives

Change management must consider your process changes and how

the process will respond?

Are the hourly incentives hurting your chance of success?

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 Project Sign Off
Best method to assure acceptance of Control Plan
is having supervisors and management for the area
involved. Aligning
Systems
& Structures

Meeting for a summary report

Specific changes to the process highlighted

Information where Control Plan is filed

Now thats a Control Plan!

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 End of Six Sigma Methodology

At this point, you should be able to:

Identify all 5 phases of the Six Sigma methodology

Identify at least 3 tools from each phase

Show progress on your ongoing project

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