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charts—Guide
Australian Standard

Quality control—Variables
AS 3942—1993
 This Australian Standard was prepared by Committee QR/4, Statistical Quality
Procedures. It was approved on behalf of the Council of Standards Australia on
18 August 1992 and published on 15 February 1993.

The following interests are represented on Committee QR/4:

Australian Organization for Quality
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Bureau of Steel Manufacturers of Australia

CSIRO, Division of Mathematics and Statistics
Federation of Automotive Products Manufacturers
Institute of Quality Assurance
National Association of Testing Authorities, Australia
Queensland University of Technology
Statistical Society of Australia
University of Newcastle
University of Wollongong

Review of Australian Standards. To keep abreast of progress in industry, Australi an Standards are subject
to periodic review and are kept up to date by the issue of amendments or new editi ons as necessary. It is
important therefore that Standards users ensure that they are in possession of the latest editi on, and any
amendments thereto.
Full detail s of all Australi an Standards and related publications wil l be found in the Standards Australia
Catalogue of Publications; this information is supplemented each month by the magazine ‘The Australian
Standard’, which subscribing members receive, and which gives details of new publi cati ons, new editi ons
and amendments, and of withdrawn Standards.
Suggesti ons for improvements to Australi an Standards, addressed to the head offi ce of Standards Australi a,
are welcomed. Noti fi cati on of any inaccuracy or ambiguity found in an Australi an Standard should be made
without delay in order that the matter may be investigated and appropriate action taken.

This Standard was issued in draft form for comment as DR 90021.

 AS 3942—1993

Australian Standard
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Quality control—Variables
charts—Guide

First publi shed as AS 3942—1993.

PUBLISHED BY STANDARDS AUSTRALIA

(STANDARDS ASSOCIATION OF AUSTRALIA)
1 THE CRESCENT, HOMEBUSH, NSW 2140
ISBN 0 7262 7795 9
 AS 3942—1993 2

PREFACE

This Standard has been prepared by the Standards Australia Committee on Statistical Quality Procedures,
at the request of the Quality and Reliability Standards Advisory Committee.
The need for an Australian Standard to cover quality control of processes using variables charts has been
referred to Standards Australia by the Australian Organization for Quality which was aware that the current
Standards used by local industry (i.e. either BSI Standards or USA Standards) differed in both matters of
definition and emphasis.
This Standard is the third in this series, the others being AS 3940, Quality control—Guide to the use of
control chart methods including Cusum techniques and AS 3941, Quality control—Guide for number
non-conforming.
This Standard is based on BS 5701, Guide to number-defective charts for quality control and BS 2564,
Control chart technique when manufacturing to a specification, with special reference to articles machined
to dimensional tolerances, it also draws on ANSI Standard 21.3.1958, Control chart method of controlling
quality during production, and Ford Motor Co. document, Continued process control and process
capability improvement.
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payment provided such programs are used exclusively in-house by the creators of the programs.
Care should be taken to ensure that material used is fr om the current editi on of the Standard and that it is updated whenever the
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The use of material in pri nt form or in computer soft ware programs to be used commercially, with or without payment, or in
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 3 AS 3942—1993

CONTENTS

Page

FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

SECTION 1 SCOPE AND GENERAL

1.1 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 REFERENCED DOCUMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

SECTION 2 PREPARATION FOR CONTROL CHARTING

2.1 SCOPE OF SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.2 ANALYSIS OF THE PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
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2.3 CHOICE OF QUALITY CHARACTERISTICS . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.4 COLLECTION OF SAMPLE DATA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

SECTION 3 TYPES OF VARIABLES CHART

3.1 SCOPE OF SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3.2 STATISTICAL MEASURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3.3 TYPES OF CHARTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

SECTION 4 SETTING UP THE CONTROL CHART

4.1 SCOPE OF SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4.2 COLLECTION AND ANALYSIS OF PRELIMINARY DATA . . . . . . . . . . . . . . 11
4.3 ESTABLISHMENT OF CONTROL AND WARNING LIMITS . . . . . . . . . . . . . . 11

SECTION 5 USING THE CONTROL CHART DURING PRODUCTION

5.1 SCOPE OF SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . .. .. . . . 14
5.2 ACTION TO BE TAKEN ON THE RESULTS . . . . . . . . . . . . . . . . . . .. . . . . . 14
5.3 USE OF CONTROL CHARTS FOR PROCESS CONTROL . . . . . . .. . .. .. . . . 14
5.4 CONTINUING USE OF CONTROL CHARTS . . . . . . . . . . . . . . . . . . .. . . . . . 14

SECTION 6 USE OF CONTROL CHARTS FOR PROCESS CAPABILITY

6.1 SCOPE OF SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
6.2 ASSESSMENT OF PROCESS CAPABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . 16
6.3 IMPROVEMENT OF PROCESS CAPABILITY . . . . . . . . . . . . . . . . . . . . . . . . . 17
6.4 REASSESSMENT OF THE PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

APPENDICES

A ANALYSIS OF SAMPLE DATA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

B ASSESSMENT OF PROCESS CAPABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . 21
C ALTERNATIVE METHOD OF ESTIMATING THE PROCESS DEVIATION . . . 24
 AS 3942—1993 4

FOREWORD

The purpose of this Standard is to provide guidance for the preparation and use of control charts when the
data to be entered on the chart comprise measured characteristics of the process under study. In this sense
they are distinguished from number nonconforming charts in which the characteristics are classified as
attributes (conforming or nonconforming, for example) rather than measured ‘exactly’. There is often a
considerable amount of information in classified attributes but there is always more information contained
in measured variables. In fact, data capture technology is advancing at such a rate that data will
increasingly be captured automatically by sensors linked to computers, greatly facilitating the use of
measurement-based methods. Whether or not the measurement technology is sophisticated, the potential
impact of control charting will only be realized if the variables measured are key quality characteristics
of the process.
The process under study must be clearly defined before charting commences. This means the stages, the
inputs (including human resources), the outputs and the customers of the process (and their needs) must
be well understood. It is only after this level of understanding has been achieved that consideration should
be given to what should be measured and a sampling plan devised to ensure the data gathered are suitable
for the task at hand.
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Measured variables lend themselves to monitoring of whether either the level or the variability of the
process output is within reasonable limits to allow the process to continue in operation. There are several
different types of statistical measures of both level and variability, including purely graphical
representations which combine both. Guidance is provided as to the choice of statistical methods, and to
the calculation of limits which permit the distinction to be made between chance or common
(non-assignable) causes and special (assignable) causes; the latter require intervention in the process to
rectify special problems which have arisen, but the former indicate that the process is performing to its
inherent capability. If the variation is unacceptable, the system needs to be changed. An important reason
for the distinction between common (non-assignable) and special (assignable) causes is that excessive or
unwarranted intervention in process operations usually results in an increase in process variability and a
concomitant reduction in the quality of goods and services being produced (or in the capability of the
process).
This Standard provides a guide to the use of the equations required for the calculation of limits. It is
recognized that, although these equations are simple to use, understanding the assumptions which underlie
their use requires a deeper knowledge of statistical theory. Collaboration with trained statisticians in the
establishment of control charts will be very cost-effective. The Standard also provides guidance to the use
of graphical statistical tools which can be used effectively in conjunction with control charts.
Control charts for variables constitute an important tool for quality improvement and this importance will
increase significantly as measurement technology advances. However, the use of control charts should be
placed in context as they concentrate on control of the process rather than outcomes. Other simple quality
improvement tools such as Pareto charts, cause-and-effect diagrams, graphical analysis or designed
experiments can be an effective means of process analysis. Quality improvement will only thrive in an
environment where teamwork is nurtured, where the contribution of all members of the team is valued, and
where outcomes which satisfy customer needs and expectations are elevated to a central pedestal.
 5 AS 3942—1993

STANDARDS AUSTRALIA

Australian Standard
Quality control—Variables charts—Guide

SECTION 1 SCOPE AND GENERAL

1.1 SCOPE This Standard describes a method of statistical quality control which involves charting
measurements of a quality characteristic. It sets out accepted methods of charting which are easy to use
and which may safely and profitably replace routine inspection. These charts indicate both the level and
variability of the quality characteristic and can be applied to data from individual or discrete items of
product, bulk commodities or continuous materials.
This Standard is intended as a guide for persons concerned with making decisions on products and
processes, and the charting techniques outlined may be employed to establish and maintain process control
and capability.
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NOTE: No attempt is made to deal at length with the stati stical pri nciples underlying these methods descri bed in this Standard,
the objecti ve being to show how to use them.

1.2 REFERENCED DOCUMENTS The following Standards are referred to in this Standard:
AS
1057 Quality assurance and quality control—Glossary of terms
3940 Quality Control—Guide to the use of control chart methods including Cusum techniques
ASTM
STP15D Manual on presentation of data and control chart analysis

1.3 DEFINITIONS For the purpose of this Standard, the definitions given in AS 1057 apply.

COPYRIGHT
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AS 3942-1993, Quality control - Variables charts -

Guide
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