9. Machine and Process Capability - Q-DAS
Transcription
9. Machine and Process Capability - Q-DAS
Quality Management in the Bosch Group | Technical Statistics 9. Machine and Process Capability 3. Edition, 01.07.2004 2. Edition 29.07.1991 1. Edition 11.04.1990 The minimum requirements given in this manual for capability and performance indices are valid at the time of publication (edition date). In case of conflict, the requirements of QSP0402 are binding and take precedence over this manual. 2004 Robert Bosch GmbH -2- Machine and Process Capability Table of Contents Page 1. Introduction ............................................................................................................................... 4 2. Terms......................................................................................................................................... 4 3. Flow Chart for Machine and Process Capability Study ............................................................ 6 4. Machine Capability Study......................................................................................................... 7 4.1 A Machine Capability Study in Detail ............................................................................ 8 4.2 Data Evaluation ............................................................................................................... 9 4.2.1 Study of Temporal Stability.................................................................................. 9 4.2.2 Standard Method................................................................................................... 9 4.2.3 Manual Calculation Procedure............................................................................ 11 4.3 Machine Capability Study with Reduced Expense........................................................ 12 5. Process Capability Study......................................................................................................... 14 5.1 Procedure....................................................................................................................... 14 5.2 Data Evaluation (Standard Method) .............................................................................. 14 5.2.1 Studying the Process Stability (Analysis of Variance and F Test) ..................... 14 5.2.2 Studying the Statistical Distribution ................................................................... 15 5.2.3 Calculating Process Capability Indices............................................................... 15 5.3 Data Evaluation (Manual Calculation Procedure)......................................................... 16 5.3.1 Studying the Process Stability ............................................................................ 16 5.3.2 Studying the Statistical Distribution ................................................................... 16 5.3.3 Calculating Process Capability Indices............................................................... 16 6. Interpretation of Capability Indices......................................................................................... 18 6.1 Relation between Capability Index and Fraction Nonconforming ................................ 18 6.2 Effect of the Sample Size .............................................................................................. 19 6.3 Effect of the Measurement System................................................................................ 19 7. Capability Indices for Qualitative Characteristics................................................................... 20 8. Report of Capability or Performance Indices.......................................................................... 20 9. Methods for Calculating Capability Indices............................................................................ 21 9.1 Method M1 .................................................................................................................... 21 9.2 Method M2 .................................................................................................................... 22 9.3 Method M3 (Range Method)......................................................................................... 22 9.4 Method M4 (Quantile Method) ..................................................................................... 23 10. Distribution Models .............................................................................................................. 24 10.1 Distributions from the Johnson Family ....................................................................... 24 10.2 Extended Normal Distribution..................................................................................... 25 11. Examples ............................................................................................................................... 26 12. Capability Indices for Two-Dimensional Characteristics ..................................................... 30 13. Forms..................................................................................................................................... 31 14. Abbreviations ........................................................................................................................ 37 15. References ............................................................................................................................. 39 Index............................................................................................................................................ 40 -3- 1. Introduction Suitable methods must be applied for monitoring, and where applicable, measurement of processes. “These methods shall demonstrate the ability of the processes to achieve planned results. When planned results are not achieved, correction and corrective action shall be taken, as appropriate, to ensure conformity of the product.” (see [2]) Examples of characteristics to assess the process performance or capability are or include the following: • • • • • Capability indices Response time Cycle time or throughput Reliability and safety Rate of yield • • • • Effectiveness and efficiency Use of suitable technology Avoidance and reduction of waste Costs 2. Terms Process This document deals exclusively with production and assembly processes. A process is understood as a series of activities or procedures in which raw materials or pre-machined parts or components are further processed to generate a finished product. The definition in the standard [1] is as follows: “Set of interrelated or interacting activities which transforms inputs into outputs.” Capability Studies A process capability study (Process analysis, see [3]) is performed for a new or changed production process (including assembly) in order to verify the (preliminary) process capability or performance and to obtain additional inputs for controlling the process (see [3]). References [10] and [11] distinguish between long-term and short-term studies. In a short-term study (e.g., machine capability study), characteristics of products manufactured in one continuous production run are evaluated. A long-term study evaluates parts manufactured over a longer time-span which is representative of the variation encountered in series production. Capability and Performance Indices Quantitative measures for evaluating capability include the machine and process capability or process performance indices (see [4]). These must achieve or surpass the specified minimum values. The minimum requirements given in this manual for capability and performance indices are valid at the time of publication (edition date). In case of conflict, the requirements of QSP0402 are binding and take precedence over this manual. Higher minimum requirements for process capability or performance may exist for special characteristics, or may be specified internally on a product-by-product basis. Machine Capability Study The machine capability study is a short-term study with the sole aim of discovering the machine-specific effects on the production process. -4- Process Capability Study The process capability study is a longer-term study. In addition to variation arising from the machine, all other external factors that influence the production process over a longer operating time must be taken into account. Stable Process A stable (in statistical control) process is only subject to random influences. In particular, the location and variation of the product characteristic are stable over time. (see [4]) Quality-Capable Process A process is quality-capable when it can meet all the specified requirements without exception. Capability Indices Cmk, Cpk and Performance Index Ppk In accordance with the QS-9000 reference documents [10] and [11], the term C pk must only be used for a stable process. A process is stable if the following synonymous statements apply to it: • • • • Mean and variance are constant. No systematic variations of the mean such as trend, batch-to-batch variation, etc., occur. There is no significant difference between sample variation and and total variation. Every sample represents the location and variation of the total process. If the process is not stable, one speaks of “process performance”, and the index is called the process performance index, P pk . This applies to all processes with systematic variation of the mean such as trend or batch-to-batch variation (see Chapter 3). It is, therefore, the process behavior which determines whether the index is named C pk or P pk . In a machine capability study (“initial process study” or “short term study” see [10]), the index is always called C mk , except where different customer requirements are specified. C mk is understood to be an index for a short-term capability study in terms of [10] and [11]. Only when sufficient data has been collected over a longer term (e.g., as the result of a process capability study, pre-production run with at least 125 values or evaluation of several control charts) it is possible to calculate and distinguish between C pk and P pk on the basis of the process behavior. -5- 3. Flow Chart for Machine and Process Capability Study Cmk Machine capability index Cpk Process capability index Ppk Process performance index k = katayori (japanese term for offset, bias, systematic deviation) Calculation of the indices Data recording Long-term study Short-term study Duration of study? (Process capability/ performance) (Machine capability) Section yes Section no Process stable? Process without systematic variation of the mean 4.2.2 or 4.2.3 no Process with systematic variation of the mean no Normally distributed? 5.2.2 or 5.3.2 Normally distributed? 5.2.3 or 5.3.3 yes yes 5.2.1 or 5.3.1 Normal distribution Assign distribution model Normal distribution Assign distribution model Extended normal distribution Cm/Cmk Cm/Cmk Cp/Cpk Cp/Cpk Pp/Ppk -6- 4. Machine Capability Study A machine capability study concentrates exclusively on the characteristics of the machine, i.e., to the extent possible, the influence or effects of variables external to the machine (noise factors) are minimized. Some examples of variation sources are: Man - Personnel Shift changes Speed Feedrate Tools Cycle times Coolant flow rate and temperature Pressures Current (in the case of welding equipment) Power (in the case of laser welding) Change status (in the case of optimization measures) Material - Semi-finished products, rough parts or blanks from different lots or manufacturers Method - Run-in (warm-up) time of the machining facility before sampling Differing pre-machining or production flow Environment (mother nature) - Room temperature (temperature changes during production of the sample) Relative humidity, atmospheric pressure Vibration acting upon the machining facility Location of the machining facility in the building (storey) Unusual events Machine - It is expected that only the machine's inherent sources of variation will affect the product and its characteristics if these possible influences are kept constant. In cases where this is not possible, the changes in the external influencing factors should be documented in the record of test results. This information can be used as the basis for optimization measures if the capability specifications are not met. -7- 4.1 A Machine Capability Study in Detail A machine capability study cannot be performed in the absence of capable measurement or test processes (see also 6.3 and [15]). Start Preparation of the machining device (pre-production run) so that the measured values are in the middle of the tolerance zone as far as possible. For characteristics limited to one side, choose the best possible setting with reference to the limiting value (or target value). Manufacturing of a representative number (minimum: 50, if possible: 100) of parts in a continuous, uninterrupted production run. Deviations must be documented. Measurement of the parts characteristic(s) and documentation of the results in accordance with the production sequence. Statistical evaluation: - qualitative evaluation of temporal stability - study of the distribution of these values - calculation of capability indices no Minimum requirement met? yes Machine is capable Note: for information on reducing the sample size, see Section 4.3. -8- Problem analysis; make improvements 4.2 Data Evaluation 4.2.1 Study of Temporal Stability On the basis of the single value chart, a qualitative evaluation is now performed to determine whether the measured values are stable over time. • • • Are systematic variations visible in the time-series? Are the individual values concentrated in the vicinity of the set target value? Do all individual values lie within a zone corresponding to approximately 60% of the tolerance range? The following are specific signs that a process is not stable: • • • • There are single, inexplicable outliers There are inexplicable steps or a trend Most of the individual values are above or below the target value If the characteristic is limited to two sides: Most of the individual values are close to both limit values. If the series appears “chaotic” and is not plausible, the cause(s) for this behavior must be investigated and eliminated. The capability study then must be repeated. 4.2.2 Standard Procedure The standard procedure for evaluationg capability, described below, should be used to calculate the machine capability indices. However, this method can only be used if a distribution model has already been determined. This method can only be used with special statistics software - in some cases, the best fitting distribution model is automatically selected. Otherwise, an evaluation based on the manual calculation procedure can be used (Section 4.2.3). Study of the Statistical Distribution Knowledge of the production procedure and the type of tolerance often aid in selecting a theoretical distribution which is appropriate for describing the empirical distribution. For example, if there is an equal probability of a characteristic's values deviating upwards and downwards from the nominal value (positive or negative deviation), one can expect the characteristic to be approximately normally distributed. However, this is not always the case. In contrast, characteristics which are “naturally” limited on one side typically are represented by skewed, asymmetrical distributions. For example, concentricity and roughness are non-negative by definition. In such a case, zero acts as a natural lower limit. If a characteristic has two natural limits (a lower value, below which the characteristic can not fall, and an upper value, above which the characteristic can not rise), the characteristic can be approximated by a rectangular distribution. It must be emphasized that a process characteristic may or may not behave in accordance with these rules. In some cases, major deviations may be observed (for more information, see Section 5.2.2). If a statistical software program is used, the user is faced with the problem of selecting an appropriate distribution, i.e., one that represents the random sample on hand. -9- Within the framework of a machine capability study, a statistical test is used to distinguish only roughly between • • normal distribution and other distributions If the characteristic values are not normally distributed, a mathematical procedure the “Johnson Transformation” can be used to select the most suitable distribution from a range of possible distributions. If this automatic adjustment is not available, probability plots or statistical goodness-of-fit tests can be used to aid in distribution selection. For information on evaluating short-term studies, see also the flow chart in Chapter 3. Calculating Machine Capability Indices The quantile method is the preferred way to calculate machine capability indices (see method M4 in Section 9.4). The capability indices C m and C m k are calculated as follows: Cm = T Q̂ 0.99865 − Q̂ 0.00135 ~ USL − ~ x x − LSL Cmk = minimum value of ; ~ Q̂ 0.99865 − ~ x − Q̂ 0.00135 x Unlike C m k , C m accounts only for the spread but not the location of the distribution relative to the tolerance zone (see Figure on the following page). The machine is capable if C mk ≥ 1.67 (for information on minimum requirements, see also Chapter 2.) If characteristics are limited to one side (by USL and zero alone, or just by LSL), the formula related to the given specification limit applies, i.e., only C m k is calculated. Methods M1, M2 and M3 shown in Chapter 9 also can be used. - 10 - 5s LSL USL Cm = 1.67 Cmk = 1.67 3.6 s Cm = 1.67 Cmk = 1.2 Comparison of C m and C m k 4.2.3 Manual Calculation Procedure If no special software is available, C m and C m k also can be calculated as follows. The mean x and the overall standard deviation s total are calculated from the n measured values xi: x= 1 n ⋅ xi n i =1 ∑ s total = n 1 ⋅ xi −x n −1 i =1 ∑( ) 2 Then: Cm = T 6 ⋅ s total with T = USL - LSL USL − x x − LSL Cmk = minimum value of and 3 ⋅ s total 3 ⋅ s total If characteristics are limited to one side (by USL and zero alone, or just by LSL), the formula related to the given limit applies. Since no information is available here on the distribution model and s total is used, this method leads to comparatively small results. - 11 - 4.3 Machine Capability Study with Reduced Expense As specified in Section 4.1, at least fifty ( n = 50 ) parts should be manufactured for a machine capability study, but use of one hundered ( n = 100 ) parts is preferred. In practice, capability studies often incur high costs due to expensive measurements. In such cases, the following, two-stage procedure may be used to minimize cost: 1. Of the 50 parts produced consecutively, begin the study by measuring only every second part, i.e., parts 2, 4, 6, ..., 50. This step yields 25 measured values per characteristic. The machine is considered capable if the capability index calculated from the 25 values is C mk ≥ 2.0 . 2. If 1.67 < C mk < 2.0 , the remaining 25 parts must also be measured. These results are combined with the original 25 measurements and the capability index is re-calculated. The machine is considered capable if a capability index C mk ≥ 1.67 is achieved using all 50 values. Using a reduced sample size does not change the “quality” of the conclusion. While n = 25 leads to less secure conclusions regarding the spread than does n = 50 , raising the threshold capability value to 2.0 from 1.67 compensates for the reduced sample size. Unless otherwise specified, the contractually specified requirement to be met by the machine manufacturer remains as C mk ≥ 1.67 with n = 50 . However, the machine manufacturer may be authorized to perform a machine inspection using the above procedure ( C mk ≥ 2.0 with n = 25 ). Simplified Machine Release Manufacture 50 parts in sequence and number them in the order they were manufactured Measure every 2nd part i.e. parts No. 2, 4, 6, ..., 50 Document the measurements and calculate Cmk yes Implement corrective actions and repeat capability study Cmk ≥ 2.0 no Measure parts numbered 1, 3, 5, ..., 49 and add the measured values to the existing documented results (No. 2, 4, 6, ..., 50) no Cmk ≥ 1.67 - 12 - yes The maschine is capable In special cases, it may be unavoidable to reduce the sample size even further (regardless of the capability requirement). This may be the case if the measurement procedure is very expensive or the test is destructive. Naturally, the smaller the sample size, the less accurate the conclusions (larger confidence interval of the characteristic calculated from the sample). The quality assurance office must be consulted before the sample size is reduced. In such cases, the machine or process parameters should be given priority instead of the product parameters. This also applies to the problem of qualitative product characteristics dealt with in Chapter 7. - 13 - 5. Process Capability Study The process capability study is a long-term study that is conducted over an extended operating time and includes sources of variation external to a machine. These sources are typically summarized under the headings of Man, Machine, Material, Method and Environment. 5.1 Procedure A process capability study includes the following steps: • • • Select parts from series production in “rational” samples (not sorted); at least 25 subgroups should be evaluated. The preferred sample size is n = 5. Overall, at least 125 parts should be examinded. Measure part characteristics and record the results along with production sequence. Statistical evaluation of the data: Evaluate temporal stability and statistical distribution. Calculate capability indices. Note: In special cases, use of fewer than 125 parts may be unavoidable due to time or cost of making the necessary measurements, or if the test is destructive. Smaller sample sizes lead to larger confidence intervals of the characteristic(s) being studied. In turn, this reduces the accuracy of the conclusions that may be drawn from the data. The quality assurance office must be consulted before the sample size is reduced. 5.2 Data Evaluation (Standard Method) The following evaluation steps 5.2.1 to 5.2.3 must also be performed in the same way if the process capability or performance is to be calculated on the basis of the data from quality control charts. 5.2.1 Studying the Process Stability (Analysis of Variance and F Test) First of all, it is specified whether measured values are temporally stable or not. If statistical software is being used, this information can be gained using the analysis of variance (ANOVA). For this purpose, the total variation (variance) of all single values is divided into two parts: a variation “Within subgroup” of groups of five, for example, and a variation “Between subgroups” of means from group to group. An F test is then used to check whether the variation “Between subgroups” is significantly larger than the variation “Within subgroup” or not. What is this information used for? Ultimately, a capability index must be given as the result of the process capability study, whether or not a trend or batch-to-batch variation is detected in the process. The result of the F test now allows at the very least a rough distinction to be made as to whether a process model with a stable mean or an extended normal distribution can be used as a process model. More critical however are cases where the control limits for the standard deviations are exceeded. This indicates that the process variation is not stable, that the process behavior cannot be explained statistically and hence, that the process is not in statistical control. It is necessary to study and eliminate the causes of this “chaotic” behavior and to repeat the capability study. - 14 - 5.2.2 Studying the Statistical Distribution The observed (measured) characteristic values are interpreted as realizations of a statistical random variable. An expression such as “Determining the distribution shape” probably gives the impression that the measured values hide a specific distribution which is not known initially but which can be found objectively by using statistical methods. In reality, one can merely select a distribution model and test it statistically to see if this very distribution is at the very least almost compatible with the observed data. All other conclusions made on the strength of the model (e.g. normal distribution) stand and fall with the validity of the model. Which distribution models can be used for descriptive purposes? In the standard [8], some distribution models which are suitable for describing real production processes are displayed qualitatively. Qualitative here simply means that all that is shown is how the resulting distribution arises from a “Momentary distribution” with varying location and variation parameters and whether the distribution is uni-modal or multi-modal. If a statistical software program is used, the user is faced with the problem of selecting an appropriate distribution, i.e., one that represents the random sample on hand. During the process capability study, statistical tests are used to distinguish only roughly between • • • normal distribution, extended normal distribution, other distributions The normal distribution or the extended normal distribution acts as the standard distribution. Using a mathematical procedure called the “Johnson Transformation”, it is possible to select the most suitable distribution from the range of “other distributions” here. The parameters of the distribution selected are adjusted as well as possible to the data set to be evaluated. If this automatic distribution adjustment is not available, probability plots or statistical goodness-of-fit tests can be used to aid in distribution selection. 5.2.3 Calculating Process Capability Indices The quantile method is recommended as the standard method for calculating machine capability indices. See Chapter 9 for a discussion of advantages and disadvantages of this and alternative methods. Manual calculation methods are described in Section 5.3.3. - 15 - 5.3 Data Evaluation (Manual Calculation Procedure) 5.3.1 Studying the Process Stability Test Using the Distribution of the Means Here, one uses the fact that the means of sufficiently large random samples (approximately n = 4 or higher) are approximately distributed normally. This is not affected by the distribution of the individual values and is a result of the central limit theorem of statistics. For the stability test, “control limits” based on the normal distribution are calculated for the means and the standard deviations of e.g. groups of five. If the control limits for the means are exceeded, this shows that the process is not stable and that its position has changed systematically (see form in Chapter 13). Test Using the Standard Deviation of the Means This stability test variant is illustrated in the flow chart in Section 5.3.3. 5.3.2 Studying the Statistical Distribution A qualitative evaluation can be made and a distribution assigned using graphic representations such as an individual value plot, a histogram, probability plots etc. Calculating the shape parameters (skewness, kurtosis) or performing distribution tests can act as quantitative methods. 5.3.3 Calculating Process Capability Indices If no special software is available, capability and performance values can also be calculated as follows. Normal distribution: method M1, M2 (see Sections 9.1 and 9.2) Random distribution: From the n measured values x i , the total mean x and the overall standard deviation s total are calculated: x= 1 n ⋅ xi n i =1 ∑ s total = n 1 ⋅ xi −x n −1 i =1 ∑( ) 2 and with T = USL - LSL finally Pp = T 6 ⋅ s total USL − x Pp k = minimum value of ; 3 ⋅ s total x − LSL 3 ⋅ s total If characteristics are limited to one side (by USL and zero alone, or just by LSL), the relevant formula depending on the given limit applies. As no information is available here on the distribution model and s total is therefore used, this method can lead to comparatively smaller results. Extended normal distribution: See Section 10.2 and flow chart on the following page. - 16 - Manual Calculation Procedure for Extended Normal Distribution µˆ = x , s2 , σˆ = sx > sx no 1.4 ⋅ s Process is stable; no systematic variation of the mean n ⋅ an yes ( 1 µˆ max = ⋅ x 1 max + x 2 max + x 3 max 3 1 µˆ min = ⋅ x 1 min + x 2 min + x 3 min 3 ( ) ) MM = µˆ max − µˆ min yes no Characteristic limited to only one side? no Only USL given? Pp = yes Ppk = USL − µˆ max 3 ⋅ σˆ If the query s x > Ppk = µˆ min − LSL 3 ⋅ σˆ T − MM 6 ⋅ σˆ USL − µˆ max µˆ min − LSL ; Ppk = min 3 ⋅ σˆ 3 ⋅ σˆ 1 .4 ⋅ s receives a “yes” answer, a systematic variation of the mean has n ⋅an occurred (trend, batch-to-batch variation). σˆ x = s x = m 1 ⋅ xj −x m −1 j =1 ∑( ) 2 is the standard deviation of the means. µ̂ ma x = mean of the 3 largest means x i µ̂ min = mean of the 3 smallest means x i MM (moving mean, trend) is the “leeway” which the systematic variation of the mean demands (see also Section 10.2). For σ̂ and parameter an, see Section 9.1. - 17 - 6. Interpretation of Capability Indices The following section contains information which everyone who performs or evaluates machine or process capability studies should be familiar with. The aim of a machine or process capability study is to reach a conclusion about the process behavior (in control or not?) and an as yet non-existent parent population namely the totality of parts to be manufactured in the future on the basis of the random sample results. This is called an indirect (or inductive) statistical inference. Such an inference can only be reached if the distribution of the parent population is already known. On the basis of the (representative) random sample, the parameters of this distribution are all that have to be estimated. In reality however, the situation is different. After the sample values have been recorded, nothing is known about temporal stability, the distribution of the values, the distribution parameters or their time behavior. All this must be evaluated on the basis of the low number of single values available. 6.1 Relation Between Capability Index and Fraction Nonconforming Most of the literature on process capability shows that there is a direct relation between a calculated C pk value and a fraction nonconforming, e.g.: C pk = 1.33 corresponds to 32 ppm (one-sided). This relation is based on the normal distribution model. If the real characteristic distribution deviates from the normal distribution, different fractions nonconforming normally arise (see Chapter 10). 0.3 ppm 99.99994 % 32 ppm -3 2.275% 95.45 % 15.865 % -4 1350 ppm 99.73 % 2.275% -5 32 ppm 99.9937 % 1350 ppm -6 0.3 ppm -2 15.865 % 68.27 % -1 0 1 2 3 4 5 6 Normal distribution: percentages within the ranges ± 1s, ± 2s, ± 3s, ± 4s, ± 5s, as well as fractions nonconforming at top and bottom. - 18 - 6.2 Effect of the Sample Size The sample size has a major effect on the quality of statistical conclusions. This is reflected in the size of the confidence intervals for estimated distribution parameters such as mean and standard deviation. Seen statistically, a machine or process capability index is also a random variable which can vary from sample to sample even if the process remains unchanged. In particular, the smaller the random sample, the more critical the allocation of a distribution model (based on the Johnson algorithm for example). A suitable distribution model is selected and adjusted depending on the skewness and kurtosis. However, these variables react very sensitively to extreme values if the random sample is small. Therefore, making a minor change to a low number of individual values can lead to a “change-over” when the distribution model is selected and a corresponding change to the capability index. 6.3 Effect of the Measurement System The measuring device and measuring procedure used to measure the parts in the random sample are very important for evaluating the process later on. If the measuring device is not accurate enough or if the measuring procedure is unsuitable, the tolerance for the production process is reduced unnecessarily. A large %GRR value or a small C g value impair the machine and process capability indices. Please note also that a capable measuring device is no use if the parts are dirty, non-tempered, deformed or have excessive shape deviations during the test. Information, examples and calculation procedures for calculating the “Capability of measurement and test processes” are given in [15]. - 19 - 7. Capability Indices for Qualitative Characteristics Capability indices such as C p and C pk can only be calculated using “normal” formulae if the characteristic is measurable. However, there are some processes where the characteristic is not measurable. During the printed circuit board component assembly or soldering processes, for example, defects can occur which are merely counted but not measured in the true sense of the word. Such defects may include component assembly defects (incorrect or missing component or wrong direction) and soldering defects (cold soldering point, short-circuit, missing connection). In order to calculate a capability index in such a case, the following option is suggested in the literature: k is considered as a theoretical fraction nonconforming of a normal distribution. n In this ratio, k stands for the number of defects in a random sample, and n stands for the sample size. If u 1 − p̂ designates the quantile of the standard normal distribution to the probability value The ratio p̂ = 1 − p̂ , then C pk = u 1 − p̂ is the capability index. This procedure corresponds to method M2 in 3 Section 9.2 and conforms with [8]. 8. Report of Capability or Performance Indices In order to achieve as much transparency as possible in calculating and circulating capability indices (reporting), the following information should always be available (see [8]): Example: Process capability index Cp = 1.75 Process capability index Cpk = 1.47 Calculation method M4 Number of values taken as a basis 200 Optional: - Sampling interval Time and duration of data recording Distribution model (reason) Measuring system Technical framework conditions - 20 - 9. Methods for Calculating Capability Indices In this chapter, all values are called C p or C pk to make things easier. In concrete applications, it is the statistical distribution (process model) which determines whether the capability indices C p or C pk , or the process performance indices P p or P pk are specified. The calculation method has no effect on this. 9.1 Method M1 This method can only be used for normal distribution. USL − µˆ ; C pk = minimum value of 3 ⋅ σˆ USL − LSL 6 ⋅ σˆ Cp = µˆ − LSL 3 ⋅ σˆ Estimating the process average: µˆ = x = xj = 1 ⋅ m m ∑x Total mean (mean of the sample means) j j =1 1 n ⋅ xi n i =1 ∑ Mean of a sample with size n (e.g. n = 5) Estimating the standard deviation of the process s2 σˆ = σˆ = s an σˆ = R dn where where s2 = s= 1 m 2 ⋅ sj m j =1 ∑ m 1 ⋅ sj m j =1 ∑ σˆ = s total where sj = where R= where s total = n 1 ⋅ xi j − x j n − 1 i =1 ∑( ) 2 1 m ⋅ Rj m j =1 ∑ m n 1 ⋅ ( x ij − x ) 2 m ⋅ n −1 j = 1 i =1 ∑∑ n an 2 0.798 3 0.886 4 0.921 5 0.940 6 0.952 7 0.959 8 0.965 9 0.969 10 0.973 dn 1.128 1.693 2.059 2.326 2.534 2.704 2.847 2.970 3.078 P A = 99 % Advantages: • C pk can also be calculated manually. Disadvantages • The value of the calculated index varies slightly with the formula used to estimate the standard deviation. - 21 - 9.2 Method M2 If p L is the fraction nonconforming at the lower specification limit LSL and p U the fraction nonconforming at the upper specification limit USL, the capability index is u1− pU u1− pL C pk = minimum value of ; 3 3 For information on applying this method for qualitative characteristics, see also Chapter 7. 9.3 Method M3 (Range Method) Cp = USL − LSL x max − x min and Calculation of µ̂ as for M1 or USL − µˆ C pk = minimum value of ; x max − µˆ 1 m ~ µˆ = ~ x= ⋅ xj m j =1 ∑ µˆ − LSL µˆ − x min (mean of the sample medians) Advantages: • Always works • It is not necessary to select an approximating distribution • C pk can easily be calculated manually as well Disadvantages: • The result depends on n • This method does not use all sample values. Outliers have a major effect on the result. This method is therefore not recommended. Note: this method covers the 60% rule in accordance with QS-Info 2/1996. - 22 - 9.4 Method M4 (Quantile Method) The width of the range, which corresponds to 99.73% of the distribution of the population, is defined as the process spread. The limits of this range are called “0.135% quantile” = Q̂ 0.00135 and “99.865% quantile” = Q̂ 0.99865 . 0.135% of the values of the population are to be found both below Q̂ 0.00135 and above Q̂ 0.99865 . The “hat” on the Q shows that this is an estimated value calculated from a random sample. Cp = USL − LSL Q̂ 0.99865 − Q̂ 0.00135 USL − ~ x ; C pk = minimum value of Q̂ 0.99865 − ~ x ~ x − LSL ~ x − Q̂ 0.00135 If characteristics are limited to one side (by USL and zero alone, or just by LSL), the relevant formula depending on the given limiting value applies. LSL USL − ~ x USL Schematic representation of the method. In this example of a normal distribution, the median ~ x is the same as the mean x , and because of Q̂ 0.99865 − ~ x = 3 s , the result for C pk is the same as the result achieved with the formula C pk = ~ x USL − x 3⋅s Q̂ 0.99865 Q̂ 0.99865 − ~ x Advantages: • This method works for all empirical distributions which one can expect to meet in practice. Disadvantages • It is necessary to select an approximating distribution. • The result depends on this distribution. • This procedure can only be used with the assistance of a computer (in case of a normal distribution, still graphically using a probability plot). - 23 - 10. Distribution Models 10.1 Distributions from the Johnson Family There are several theoretical distribution models. A wide range of distributions can be covered using the Johnson distributions, e.g. Lognormal distribution. Unbounded distributions (system of unbounded distributions; see [17]) Bounded distributions (system of bounded distributions; see [17]) Unlike the bell-shaped normal distribution, these functions reach zero. They have contact with the x-axis. Outside these contact points, they adopt the value zero. For this reason, theoretical fractions nonconforming with respect to a limiting value LSL or USL can also be exactly zero in these cases. - 24 - 10.2 Extended Normal Distribution The extended normal distribution arises when a normally-distributed process exhibits an additional variation of the average position (MM = moving mean). See also example 4 in Chapter 11. MM M µ̂ min µ̂ max There are several methods of calculating the MM: a) Variance-analytical calculation of the variance of the means, followed by calculation of MM (standard in QS-STAT). b) Calculation on the basis of the variance of the sample means as long as these are normally distributed (e.g. MM = 5.15 ⋅ σˆ x ) c) Calculation of MM as the difference between an upper and lower process location (see flow chart in Section 5.3.3): MM = µˆ max − µˆ min - 25 - 11. Examples Example 1 Machine capability study, characteristic limited to two sides Evaluation with quantile method M4 Feature: disk height in mm n = 50 USL OSG 10.000 [mm] → 9.995 +3 s 9.990 _ x 9.985 -3 s LSL USG 9.980 0 10 20 30 40 50 Relative frequency→ relative Häufigkeit Value no. → 25 LSL USG -3 s +3 s ~ x USL OSG Normal distribution ~ x = 9.988 20 15 LSL = 9.98 USL = 10.0 ~ x − LSL C mk = ~ = 1.8 x − Q̂ 0.00135 10 5 Cm = 0 9.980 9.985 9.990 9.995 10.000 Disk height [mm] NDNV →→ Scheibenhöhe [mm] - 26 - USL − LSL = 2 .1 Q̂ 0.99865 − Q̂ 0.00135 Example 2 Machine capability study, characteristic limited to one side on the top Evaluation with quantile method M4 Characteristic: roughness Rz in µm n = 50 Op3 Q̂ 0.,99865 99865 4.5 4.0 USL OSG Rz [mü] → 3.5 3.0 2.5 2.0 _ x 1.5 1.0 p3 U Q̂ 0.,00135 00135 0.5 0.0 0 10 20 30 40 50 Value → Wertno. Nr. → Relative relativefrequency Häufigkeit → Q̂ Up3 Q̂ 00.,00135 00135 ~ x USL OSG Q̂O0p3,.99865 Distribution in accordance with Johnson transformation ~ x = 1,4 40 30 C mk = 20 10 USL = 4.0 x USL − ~ = 0 .8 Q̂ 0.99865 − ~ x In this example, there is no point in calculating C m . 0 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 Rz [mü] Johnson SB→ - 27 - The machine is not capable. Example 3 Machine capability study, characteristic limited to two sides Evaluation with quantile method M4 Feature: housing length in mm n = 50 54.10 USL OSG 54.09 54.08 [mm] → 54.07 54.06 p3 Q̂Q̂00.99865 ,O 99865 54.05 54.04 _ x 54.03 54.02 p3 Q̂00.,00135 U Q̂ 00135 54.01 54.00 LSL USG 0 10 20 30 40 50 Wert Nr. Value no.→→ relative Häufigkeit → Relative frequency Q̂ 0p3 U ,.00135 20 LSL USG ~ x Q̂O Q̂ ,p3 99865 00.99865 USL OSG Distribution in accordance with Johnson transformation ~ x = 54.033 16 12 LSL = 54.0 USL = 54.1 ~ x − LSL C mk = ~ = 1.74 x − Q̂ 0.00135 8 4 Cm = 0 54.00 54.02 54.04 54.06 54.08 54.10 [mm] Johnson SB→ USL − LSL = 2.49 Q̂ 0.99865 − Q̂ 0.00135 Note: Because of the Johnson transformation, a bounded distribution is allocated to the empirical distribution in this case. The theoretical fraction nonconforming for both LSL and USL is zero. - 28 - Example 4 Evaluation of long-term process capability, characteristic limited to one side on the top Characteristic: cylindricity in µm n = 775 4.0 OSG USL Cylindricity→ Zylinderform 3.5 Q̂O Q̂ ,p3 99865 00.99865 3.0 2.5 _ x 2.0 1.5 1.0 0.5 Q̂ Q̂U 00.,p3 00135 00135 0.0 0 100 200 300 400 500 600 700 Value no. → Relative relative frequency Häufigkeit → Q̂ 0U.,00135 p3 00135 20 ~ x p3 Q̂Q̂00.O 99865 , 99865 USL OSG Extended normal distribution ~ x = 1.8 16 12 Ppk = 8 4 USL = 4.0 x USL − ~ = 1.44 Q̂ 0.99865 − ~ x In this example, there is no point in calculating Pp. 0 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 Zylinderform NV(<>) Cylindricity ND(<>) Æ→ Long-term data was evaluated here. As the process exhibits systematic variation of the mean, it is not stable within the meaning of [4]. The process performance index Ppk is therefore given. - 29 - 12. Capability Indices for Two-Dimensional Characteristics The position of a bore is one example of a two-dimensional characteristic. The position in a plane is clearly determined by indicating two x and y coordinates relative to the origin (point with the (0, 0) coordinates). The position tolerance can be given by means of a circle with radius T where the center is identical to the target position. In the following, it is assumed that the measured positions ( x i , y i ) are subject to a twodimensional normal distribution, i.e. each component is distributed normally. These positions can be displayed as points in the x-y diagram. Using suitable software, a two-dimensional normal distribution is adjusted to these positions and an elliptical random variation range calculated. This range includes the 1 − p percentage of the parent population and lies completely within the tolerance circle. Just as in method M2 for one-dimensional characteristics, the process capability index is then u1− p given as C pk = , where u 1 − p is the (one-sided right) threshold value (quantile) to the 3 fraction nonconforming p of the (one-dimensional) standard normal distribution. If the measured points are moved in such a way that their center ( x , y) is the same as the center of the tolerance circle, the elliptical random variation range (still completely within the u1− p tolerance circle) is larger. The relevant process capability index C p is given as C p = . 3 3 3 2 2 1 1 0 0 -3 -2 -1 0 1 2 3 -3 -2 -1 0 -1 -1 -2 -2 -3 -3 The 4 s-ellipse (99.9968% range) touches the tolerance circle, Cpk = 1.33. 1 2 3 When the cloud of points is centered, the 7.6 s-ellipse touches the tolerance circle, Notes: The “tolerance circle” can be distorted into an ellipse in a rectangular screen even when the x and y-scale are selected immediately. If the positions are given in polar coordinates (radius and angle), they must be turned into Cartesian coordinates. The sketched procedure can be applied to any bivariate characteristic (e.g. unbalance) and can be generalized for characteristics with p components using the p-variate normal distribution. - 30 - 13. Forms Machine and process capability studies are normally evaluated using special computer programs. The forms listed here are therefore given purely as aids for collecting data manually and using manual calculation procedures. Evaluation form for machine capability study Evaluation form for process capability study - 31 - - 32 - Evaluation Sheet for Machine Capability Analysis Machine No.: 314084 Part: Material: Nominal value Tolerance: Upper limit: Lower limit: Disk Steel 10.00 0.20 10.20 10.00 Designation: Manufacturer: Milling machine H. u. K. Tool: Meas. system: mm mm mm mm Standard: Operation: Order: 047011 Sheet no.: 1 von 1 Year: Workshop: 1998 xyz Digital Gage Gage block Milling W33007 Evaluation performed by: Date: Machine cycle time: Duration of random sampling: Start of random sampling: End of random sampling: Schmidt 13/10/01 2 / min 100 min 8:50 PM 10:30 PM Process and ambient parameters: Batch A Cutting speed vx, rpm nx Tool 3 Machine temperature 27.3 °C Air temperature 24.5 °C Punching machine not operating Location: Building 17/2 Machine was not switched off during breakfast from 8:30 pm to 8:45 pm Note: Enter measured values overleaf Evaluation: (Take values from overleaf): x= 10.116 mm s total = 0.016 x max = 10.120 mm s= 0.016 x min = 10.112 mm s max = 0.024 Cm = C mk = C mk = T = 6 ⋅ s total 0.200 0.0960 = 2.08 USL − x = 3 ⋅ s total 0.084 0.0480 = 1.75 x − LSL = 3 ⋅ s total 0.116 0.0160 Smallest value Cmk is valid! = 2.42 Stability test (if "no", process unstable): Stability limits for mean values: Are Stability limit for standard deviations: UCL = x + 1.3 ⋅ s = 10.137 LCL = x − 1.3 ⋅ s = 10.095 x max and x min within UCL and LCL? X UCL s = 2.1 ⋅ s = Yes No Is s max ≤ UCL s ? 0.034 X Yes No © Robert Bosch GmbH reserves all rights even in the event of industrial property rights. We reserve all rights of disposal such as copying and passing on to third parties. Quality Assurance Normal distribution Individual value chart 0.20 - 0.10 - 0- 0 5 10 15 20 25 30 1 2 40 45 mm Table values in m ----> x1 x2 x3 x4 x5 35 3 4 5 6 50 55 60 8 9 10 70 75 80 85 90 95 100 10.00 Deviation from 7 65 11 12 13 14 15 16 17 18 19 20 11 12 13 14 15 16 17 18 19 20 0.13 0.11 0.10 0.09 0.11 0.13 0.10 0.14 0.13 0.12 0.10 0.14 0.12 0.12 0.10 0.12 0.11 0.10 0.15 0.10 0.11 0.10 0.11 0.13 0.13 0.15 0.14 0.13 0.12 0.12 0.12 0.12 0.13 0.10 0.10 0.10 0.12 0.12 0.09 0.11 0.11 0.13 0.11 0.14 0.12 0.09 0.10 0.11 0.10 0.13 0.114 0.120 0.114 0.116 0.112 0.118 0.114 0.120 0.118 0.116 0.011 0.016 0.011 0.021 0.013 0.024 0.017 0.016 0.024 0.011 x s 0.14 0.13 - x 0.12 0.11 0.10 0.09 - s 0.04 0.03 0.02 0.01 1 Evaluation: 2 x = 0.116 3 4 5 6 x max = 0.120 7 8 9 x min = 0.112 10 s = 0.016 s max = 0.024 © Robert Bosch GmbH reserves all rights even in the event of industrial property rights. We reserve all rights of disposal such as copying and passing on to third parties. s total = 0.016 Evaluation Sheet for Process Capability Analysis Machine No.: 20113 Part: Material: Nominal value Tolerance: Upper limit: Lower limit: Housing Al 54.10 0.40 54.30 53.90 Designation: Manufacturer: BZ20 Steinel Tool: Meas. system: mm mm mm mm 047011 Sheet no.: 1 von 1 Year: Workshop: 1998 Milling cutter Trimos W 1391 Evaluation performed by: Date: Standard: Operation: Order: Machine cycle time: Mill end face Duration of random sampling: Start of random sampling: End of random sampling: Rl. 13/05/03 3 / min 3h 6:45 PM 9:45 PM Process and ambient parameters: Blank from supplier R. & B. Cutting speed vx, rpm nx Feed sx Milling cutter 2 HSS Machine temperature 30.1 °C (run-in time 15 min) Air temperature 25.7 °C Location Building 17/2 Note: Enter measured values overleaf Evaluation (Take values from overleaf): x= 54.114 mm s total = x max = 54.123 mm s= 0.039 x min = 54.101 mm s max = 0.045 C pk = s = 0.94 T = 6 ⋅ σˆ 0.400 0.2489 = 1.61 x − LSL = 3 ⋅ σˆ 0.214 0.1245 = 1.72 USL − x = 3 ⋅ σˆ 0.186 0.1245 Cp = C pk = σˆ = 0.0415 Smallest value Cpk is valid! = 1.49 Stability test (if "no", process unstable): Stability limits for mean values: Are Stability limits for standard deviations: UCL = x + 1.3 ⋅ s = 54.165 LCL = x − 1.3 ⋅ s = 54.063 x max and x min within UCL and LCL? X UCL s = 2.1 ⋅ s = Yes No Is s max ≤ UCL s ? 0.082 X Yes No © Robert Bosch GmbH reserves all rights even in the event of industrial property rights. We reserve all rights of disposal such as copying and passing on to third parties. Quality Assurance Normal distribution Individual value chart 0.20 - 0.10 - 0- 0 5 10 15 20 25 30 1 2 40 45 mm Table values in m ----> x1 x2 x3 x4 x5 35 3 4 5 6 50 55 60 8 9 10 70 75 80 85 90 95 100 54.00 Deviation from 7 65 11 12 13 14 15 16 17 18 19 20 11 12 13 14 15 16 17 18 19 20 0.06 0.07 0.11 0.13 0.06 0.10 0.15 0.10 0.15 0.08 0.09 0.11 0.17 0.11 0.17 0.05 0.08 0.14 0.05 0.15 0.08 0.14 0.06 0.09 0.14 0.16 0.12 0.07 0.14 0.14 0.11 0.18 0.12 0.16 0.07 0.14 0.10 0.17 0.09 0.10 0.17 0.10 0.09 0.10 0.11 0.10 0.07 0.12 0.16 0.15 0.101 0.120 0.112 0.117 0.112 0.109 0.104 0.121 0.118 0.123 0.042 0.041 0.042 0.029 0.044 0.042 0.033 0.037 0.045 0.031 x s 0.20 0.15 - x 0.10 0.05 0.00 0.10 - s 0.05 0.00 - Evaluation: 1 2 x = 0.114 3 4 5 6 x max = 0.123 7 8 9 x min = 0.101 10 s = 0.039 s max = 0.045 © Robert Bosch GmbH reserves all rights even in the event of industrial property rights. We reserve all rights of disposal such as copying and passing on to third parties. s total = 0.036 14. Abbreviations an Factor for calculating σ̂ from the mean standard deviation s Cg Capability index of a measurement process without taking account of the systematic deviation C m , C mk Machine capability index C p , C pk Process capability index dn Factor for calculating σ̂ from the mean range R LCL Lower control limit (lower limit for the stability test) LSL Lower specification limit m Number of groups of five or number of single samples MM Moving mean; measure for the systematic variation of the mean µ̂ max Mean of the three largest means µ̂ min Mean of the three smallest means n Number of values per column or number of values in a single sample PA Confidence level Pp , Ppk Process performance index %GRR Overall variation of a measurement process referred to the tolerance of the characteristic pL Fraction nonconforming at the lower specification limit LSL pU Fraction nonconforming at the upper specification limit USL Q̂ 0.00135 Estimated value for the 0.135% quantile of a characteristic distribution Q̂ 0.99865 Estimated value for the 99.865% quantile of a characteristic distribution R Range of a set of numbers Rj Range of the jth sample R Mean of ranges s Empirical standard deviation s2 Mean variance; mean of squared standard deviations - 37 - s max Largest single value from a set of standard deviations sn Standard deviation of a random sample of n single values s total Standard deviation of all single values sx Standard deviation of the means s Mean standard deviation from m random samples of equal size T Tolerance of a characteristic u1− p Quantile of the standard normal distribution to value 1-p UCL Upper control limit (upper limit for the stability test) USL Upper specification limit xi i -th single value in a random sample xi j i -th single value in the j-th random sample x max Largest single value in a set of numbers (maximum) x min Smallest single value in a set of numbers (minimum) x Arithmetic mean xj jth arithmetic mean x Mean of means ~ x Median σ̂ Estimated value for the standard deviation of the parent population ∑ Sum Reference to other commonly-used abbreviations: Booklet No. 9 DIN 55319 ISO/DIS 21747 QS-STAT Lower specification limit LSL L L LSL Upper specification limit USL U U USL Lower Quantile Q̂ 0.00135 Q̂ 0.00135 X 0.135 % Q ob 3 Upper Quantile Q̂ 0.99865 Q̂ 0.99865 X 99.865 % Q un 3 - 38 - 15. References [1] EN ISO 9000:2000 Quality management systems Fundamentals and vocabulary [2] EN ISO 9001:2000 Quality management systems Requirements [3] ISO/TS 16949 Quality management systems Particular requirements for the application of ISO 9001:2000 for automotive production and relevant service part organizations [4] ISO/DIS 21747:2002 Process Performance and Capability Indices [5] ISO/DIS 3534-2 Statistics Vocabulary and Symbols [6] [7] DIN 55350 Begriffe der Qualitätssicherung und Statistik DIN 55350-11 Begriffe des Qualitätsmanagements DIN 55350-33 Begriffe der statistischen Prozesslenkung (SPC) [8] DIN 55319 Qualitätsfähigkeitskenngrößen [9] Chrysler, Ford, GM: QS-9000, Quality System Requirements, 1995 [10] Chrysler, Ford, GM: Statistical Process Control, Reference Manual, 1995 [11] Chrysler, Ford, GM: Production Part Approval Process, PPAP, 1999 Bosch, Booklet Series: “Quality Assurance in the Bosch Group, Technical Statistics” [12] No. 1, Basic Concepts of Technical Statistics, Variable Characteristics [13] No. 3, Evaluation of Measurement Series [14] No. 7, Statistical Process Control [15] No. 10, Capability of Measurement and Test Processes [16] Dietrich/Schulze: Statistical Procedures for Machine and Process Qualification, 2003, Hanser-Verlag [17] Elderton and Johnson, Systems of Frequency Curves, 1969, Cambridge Univ. Press [18] Davis R. Bothe: Measuring Process Capability, 1997, McGraw-Hill - 39 - Index Page 5M ............................................................................................................................................... 14 Capability indices.......................................................................................................................... 5 Capability or performance indices ................................................................................................ 4 Distribution models ..................................................................................................................... 15 Extended distribution ............................................................................................................ 17, 25 Fraction nonconforming.............................................................................................................. 18 Indirect inference ........................................................................................................................ 18 Johnson distribution family......................................................................................................... 24 Kurtosis ....................................................................................................................................... 19 Machine capability study .............................................................................................................. 4 Manual calculation procedure ......................................................................................... 11, 16, 17 Measurement system................................................................................................................... 19 Process capability Indices Cp, Cpk....................................................................................................................... 15 Process capability study ................................................................................................................ 5 Process performance ..................................................................................................................... 5 Qualitative characteristics ........................................................................................................... 20 Quantile method .............................................................................................................. 10, 15, 23 Range method.............................................................................................................................. 22 Sample size.................................................................................................................................. 19 Skewed distribution....................................................................................................................... 9 Skewness ..................................................................................................................................... 19 Stability ......................................................................................................................................... 9 Stability test................................................................................................................................. 16 Two-dimensional characteristics................................................................................................. 30 - 40 - Robert Bosch GmbH C/QMM Postfach 30 02 20 D-70442 Stuttgart Germany Phone +49 711 811-4 47 88 Fax +49 711 811-2 31 26 www.bosch.com