implementing cusum

8/20/2019 Implementing Cusum

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Introduction

A cusum chart is a plot of the cumulative differences between successive values and atarget value. The key features of a cusum chart are that they:

● are extremely good at identifying changes in process mean;● can be applied to both variables and attributes charts including, for example, ranges

and standard deviations.

The disadvantages are that they:

● are not very powerful at identifying other out-of-control signals;● are more difficult to set up and use than other types of control chart.

Unlike other charts they:

● make use of all historic data: that is, each value on the cusum is a function of all previous data points;

● are interpreted by analysing the slope of the chart.

In this book we provide an introduction to cusum charts with the aim of demonstratingtheir power. Many people may wish to use them to identify changes in process aver-age, and use other charts or statistical techniques for further investigation.

Basic cusum charts

A simple golfing example (Table 24.1, Charts 24.1–24.4)

A simple example will clarify how the chart is used. On an 18-hole golf course each holehas a “par” score depending on the difficulty of successfully getting the ball from the tee

into the hole. Table 24.1 gives the par and score for each of the 18 holes and the scoreachieved by a better golfer than myself, along with the (score – par) and cusum.

Chart 24.1 is a run chart of the number of strokes taken for each hole. Not surprisingly,this does not tell us much. The process seems to be in control, and uneventful exceptperhaps for the score at hole 12, which has the highest value, 6. We could refine thechart by recognising that the target (par) for each hole is different, and chart both the parand the actual score as in Chart 24.2. Unfortunately, this chart still does not make it obvi-ous as to how well we are doing. We could use a different chart, as in Chart 24.3, to plot(score – par). This also does not give a quick indication as to what is happening.

An introduction to cusum (cumulative sum)charts

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Implementing and Using SPC308

0

1

2

3

4

5

6

7

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18Hole

S c o r e

Chart 24.1 Run chart of golf scores

0

1

2

3

4

5

6

7

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18Hole

S c o r e

score par

Chart 24.2 Run chart of par and actual golf scores

Table 24.1 Golfing scores

Hole Par Score Score – par Cusum(number of (score – par)

strokes)

1 4 4 0 02 3 4 1 13 4 3 1 04 4 3 1 15 4 4 0 16 3 3 0 17 4 3 1 28 3 4 1 19 5 4 1 2

10 4 4 0 211 4 3 1 312 5 6 1 213 3 3 0 214 4 3 1 315 4 4 0 316 3 3 1 417 4 5 1 318 5 4 1 4

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Generally we are interested in how well we are performing. Using the (par) as thetarget, we know that sometimes we are on par, sometimes above par and sometimesbelow par, but is there a trend? Are we usually above or below par? Did our perform-ance change part way round the course? One way of answering this question is to com-pare the number of scores above, below and on par. There are 8 holes below par, 6 onpar and 4 above par. Unfortunately, whilst this suggests that we may generally be below par, it does not take into account how many strokes away from par we are, nor do wehave a method of determining if the process changed and if so when. To answer thisquestion we can look at the cumulative differences between par and our score. The cal-culations are given in Table 24.1 and the resulting chart is Chart 24.4. The chart trendssteeply down and this tells us that our average score is below par, and because thereare no changes in trend, we conclude that our performance has not changed, apartfrom random variation (for details on how to interpret a cusum chart see below).

Setting up a cusum chart (Chart 24.5)

The next example is taken from an organisation that was concerned about the amountof downtime on a critical piece of equipment. The metric of interest is the number of

An introduction to cusum (cumulative sum) charts 309

1

2

0

1

2

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

Hole

S c o r e

p a r

Chart 24.3 Run chart of differences (score par)

5

4

3

2

1

0

1

2

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

Hole

C u s u m

Chart 24.4 Cusum chart of (score par)

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t

D o w n t

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2 7

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3 3 . 4

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3 9 . 4

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4 6 . 7

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. 5 C u s u m c h a r

t : d o w n t

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k

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hours downtime per week. Below the cusum chart are the data that would normally beincluded with the chart. The steps for setting up the chart are:

1. Enter the downtime onto the chart (Chart 24.5).2. Calculate the average.

The average hours downtime per week, x –. x – 1260 hours downtime/52 weeks 24.2 hours per week.

3. Select the target ( T ). Any value can be selected as the target. However, when selecting the target there aretwo considerations:(a) It is easier to interpret the chart if on average the slope is nearly horizontal (to

achieve this select the target equal to the average, 24.2 in this case).(b) If appropriate, select the target to be an appropriate value near the average, for

example, in the golf example, selecting a target at par was appropriate.In the downtime example, we select the average.

4. Calculate the difference between the recorded values and the target, x T , and enterthem on the chart.

5. Calculate the cusum values, ( x T ), for each week and enter them on thechart. The first cusum 0.2, the second 0.2 2.8 2.5 and the third2.5 2.2 0.3, etc.

6. Find the maximum and minimum cusum as this will determine the limits of cusum scale.For the downtime data the values are 0.2 and 52.5.

7. Determine scaling.Unless a suitable scaling convention is adopted the cusum chart may be difficultto interpret. At one extreme the slopes may be very flat and at the other extremetrivial changes may look dramatic as shown in Chart 24.6. The conventionthat has been widely adopted is that one observation along the horizontal axisshould cover approximately the same distance as 2 standard deviations, 2 s , on the

vertical axis.

20

20

100

10

20

30

40

50

60

C u s u m

0204060

C u s u m

Chart 24.6 The effect of changing the scale on a chart

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s is determined in the usual way as S MR R –/1.128, where R – is the average

moving range. The moving ranges, ignoring the sign, are calculated and enteredon the chart. For the downtime data, the sum of the 51 moving ranges is 194.4

giving:

We round this down to a more convenient scaling of 5, and so the distance of 1 weekon horizontal axis will be the same distance as 5 on the vertical axis.

8. Plot the cusum.9. Interpret the chart.

Interpreting the cusum chart (Charts 24.7 and 24.8)

To interpret the cusum we are interested in slope and changes in the slope. The difficulty comes not in deciding what the slope is, but rather whether a change in slope is significant.

The rules as shown in Chart 24.7 are that if the cusum:

● Is horizontal, the process average equals the target.● Slopes downwards (negative slope), the process average is less than the target.● Slopes upwards (positive slope), the process average is greater than the target.● The steeper the slope, the greater the difference between the target and the process

average.● Changes slope, the process average has changed (Chart 24.8).● Is a curve, the process average is continually changing.

Other interpretation clues are:

● The process change occurs at the point where the slope changes.● A jump in the chart signals a single very high/low observation. However, the cusum

chart is not very effective at identifying single abnormally high or low values.

R

s

s

194.451

3.81

3.811.128

3.38

2 6.76.


Negative slope:average below target

Horizontal:average target

Positive slope:average above target

Chart 24.7 Interpretation of a cusum chart

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Interpreting the cusum chart is far more difficult than for the other control charts. Thereare two basic methods of determining whether a change in slope is random variationor not. The first is to construct a mask out of paper or card and place the mask on the chart,the other is to construct decision lines on the chart. Decision lines and masks are con-structed to identify changes of a specific size of shift. We explain the construction of botha mask and decision lines for general-purpose analysis, that is, for identifying shifts of 1 s .

Constructing and using a mask (Figures 24.1 and 24.2)

To make a mask drawn on transparent film (or cut out of paper) Figure 24.1:1. Calculate the quantity 5 s (i.e. 5 standard deviation).2. Measure the distance (e.g. in mm) on the vertical axis of the cusum chart that

represents 5 s .

Process average was below targetand decreases

Process average was above targetand increases

Process average was below targetand is now above target

Process average was above targetand is now below target

Process average was equal to targetand is now above target

Process average was equal to targetand is now below target

Process average was below targetand is now equal to target

Process average was above targetand is now equal to target

Process average iscontinually changing

Chart 24.8 Interpretation of a cusum chart: with changes in slope

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3. Draw a horizontal line on the transparent film (datum line).4. From the right-hand end of this line draw a vertical line up and down for a distance

equal to 5 s (CB and CD).5. Measure the distance (e.g. in mm) on the horizontal axis of the cusum chart that

represents 10 observations.6. Measure a distance equivalent to 10 observations to the left of C along the datum line.7. Mark off two points at 10 s vertically above and below, A and E.8. Join the points AB and DE.

If you are constructing a paper mask, cut out the paper around ABDE.To use the mask, place it on the chart (Figure 24.2) so that DB runs parallel to the ver-

tical axis with the limbs pointing to the left, as constructed. Slide the mask horizontally over the chart placing C of the mask on each point plotted. If at any point the mask cutsthe cusum, then the average has shifted from the target by the equivalent of 1 s or more.


5 s

5 s

10 sample points

10 s

Datum Line

A

B

D

E

C

Figure 24.1 Cusum mask

C

C

(a) (b)

Figure 24.2 Cusum (a) does not cross the mask implying the process average has notchanged and (b) crosses the mask implying the process average has changed by morethan 1 s

Note that the coordinates of the plotted points are not of themselves of much inter-est. This is because each point represents the cumulative difference between the actualdata value and a target since the beginning of the chart.

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However, it is easy to calculate the process average for a span of data between any two points i and j , x –i 1, j The formula for doing so is:

where C j is the cusum for week j and T is the target value. As an example, we see from Chart 24.5 that there appears to be a process change

around week 29 and we can use the above formula to calculate the average incidentrates before and after this point.

For the data up to week 29, i 0 so i 1 1 and j 29 giving:

note that C 0 0.To check that this is correct, the total downtime for the first 29 month 754.4.

Dividing by 29 weeks gives 754.4/29 26.0 incidents per week.Similarly, for the data from week 30, i 1 30 and j 52 and

Comments ● The turning point was taken to be week 29. However, the cusum for week 30 is

higher than that for week 29; should week 30 be selected as the turning point? Thekey to interpreting a cusum chart is the slope, and since the slope of the data frompoint zero is greatest at week 29, that week is taken as the turning point. However,the purpose of the chart is to gain insight. It is quite likely that whatever caused theprocess change did not occur exactly at the end of ANY particular week, and even if it did, changes are seldom abrupt. The message from the chart is that there is strongevidence that a change in process average occurred at around week 29, and the mostlikely week for the change is week 29.

● The construction of masks is tedious and time consuming; however, it is recom-mended that a few be constructed to develop understanding and gain familiarity

with the method.● There are different types of masks used for different situations. For more information

see the British Standard BS5703.

Constructing and using decision lines (Chart 24.9)

A common method of highlighting changes on the cusum chart is to construct decisionlines. The steps are:1. Identify the suspected change in process average.

In Chart 24.9, this is week 29.2. Identify the beginning of the earlier process.

In Chart 24.9, there seems to be no earlier process change, so the first section of thechart for comparison is taken to be the first week.

x 3052,

0 51.552 29

24.2 22.0.

x 1 29,

51.5 029 0

24.2 26.0

x C C

j i T i j j i

1,

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( x T )

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1 3 . 8

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1 5 . 3

1 9 . 1

1 9 . 9

1 5 . 6

1 5 . 4

1 8 . 1

1 7 . 9

1 6 . 8

1 7 . 5

2 0 . 3

2 5 . 0

2 8 . 8

2 8 . 1

3 2 . 8 3 5 . 6

3 3 . 4

3 2 . 6

3 5 . 4

3 9 . 4

3 8 . 2

4 0 . 0

4 6 . 7

5 1 . 5

5 2 . 2

4 9 . 0

4 3 . 8

3 9 . 5

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6 . 2

9 . 5

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3 . 0

5 . 0

1 3 . 0

8 . 0

4 . 0

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1 . 0

3 . 0

5 . 0

4 . 0

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3 . 0

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1 . 9

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5 . 5 2 . 0

5 . 0

1 . 5

3 . 5

1 . 3

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F

E D

A C

B

2 0

1 0 0 1 0 2 0 3 0 4 0 5 0 6 0

C u s u m C h a r

t 2 4 . 9 C u s u m c h a r

t : d o w n t

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i n g

d e c i s i o n

l i n e s

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3. From the point identified in step 2, draw a straight line through the suspectedprocess change point (week 29 in Chart 24.9, line AB).

4. From the point identified in step 2, draw a vertical line above (or below depending

on whether we are testing to see if the process has increased or decreased) a dis-tance of 5 s .In Chart 24.9, 5 s 5 3.38 16.9 and the first cusum value is 0.2, so the line, ACextends down to 0.2 16.9 17.1.

5. From the point identified in step 2, count 10 observations along the chart and draw a vertical line above (or below) a length of 10 s from the line AB: 10 s 10 3.38 33.8.The line is labelled DE.

6. Draw a line from C through E and continue it. If it cuts the chart, then we concludethat the process has changed. In this case the line cuts the cusum at F.

Comments ● In Chart 24.9, week 4 is an out-of-control point, as would be seen if an X/MR chart

were been drawn. There is no simple way of seeing this on the cusum chart. For thisreason, the cusum chart is usually used in conjunction with other charts. (It would,of course, be possible to calculate the upper action limit (UAL) using the formula forthe X/MR chart and check by eye that no individual observations are above this value.)

● Constructing decision lines can be quite quick with a little practice, but is still laborious.● A key use of the cusum chart is to identify where a process might have a change in aver-

age, and then to return to the other control charts to see if this is indeed mirrored there.

Weighted cusum charts

When to use weighted cusum charts

Weighted cusums are an extension of cusums used wherever the opportunity for the met-ric being monitored to vary is different for each observation. Thus, the weighted cusumis used in the same situations as p and u charts as well as for many variables situations.For example, the downtime chart recorded hours of downtime per week and so theopportunity for downtime remained constant, however, if the number of items of equipment being monitored varied from week to week, perhaps because we are moni-toring hired items and the number of items varies with workload, then a weightedcusum chart would be needed.

The basic concepts behind the weighted cusum chart are the same as for the cusumchart, but the formulae and charting are more difficult.

As an example of the weighted cusum we return to the loss incident data used to illus-trate the c and u charts in the previous chapter. Since the number of exposure hours

varies each month we should use a weighted cusum chart rather than a cusum chart.

Chart format

As usual the data and calculations are provided below the table. In a weighted cusumchart we plot the cumulative cusum against the cumulative hours (in the case of

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Chart 24.10). For example, after 10 months we have monitored a total of 2.50 millionhours, and the cumulative sum of incidents is 5.22. As will be immediately obvious,the horizontal distance between the points varies. This is because each month has a

varying number of exposure hours.

Setting up and interpreting a weighted cusum chart

1. Enter the number of incidents, x , and the number of exposure hours, w , onto the chart.2. Determine the target value. In this case the average number of incidents per million

exposure hours was used, and was calculated as:

3. For each month calculate the expected number of incidents wT and enter the dataon the chart. For month i 1, w 0.23 hours so wT 0.23 4.31 0.991 incidents.This tells us that at a rate of 4.31 incidents per million man hours, we expect 0.991incidents this month which had 0.23 exposure hours.

4. For each month calculate the difference between the actual and the expected inci-dents, x wT .For month 1, x 3 incidents and wT 0.991 giving a value of 3 0.991 2.009.Enter the data into the appropriate row below the chart.

5. For each month calculate the cumulative number of hours, w and enter the datainto the appropriate row below the chart.

6. For each month calculate the weighted cusum; that is, the cumulative difference

between the actual and expected number of incidents, ( x wT ) and enter it below the chart.7. Find the maximum and minimum values of the weighted cusum for scaling purposes.8. Calculate the standard deviation, s , the formula is:

where:w – the average number of hours per month 13.924/35 0.398,n 35 months, x – average number of incidents per million hours 60/13.924 4.31.

(i.e. the same as T in this case).

The calculations for are given below the chart, and the total is 224.

Therefore

s 0.398

(35 1)224 1.62

( )2 x wx w

s w

n x wx

w ( 1)( )2∑

T total number of incidents

total number of eexposure hours60 incidents

13.924 million hhours4.31 incidents per million hours.

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319

c : N u m

b e r o

f

i n c i

d e n t s x

n : E x p o s u r e

h o u r s

( m i l l i o n s

) w

E x p e c t e d

i n c i

d e n t s

( w T )

A c t u a

l -

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i n c i

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C u m u l a t

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h o u r s

Σ w W

e i g h

t e d

c u s u m

C

( x w T )

0

1

2

3

4

5

6

7

8

9

1 0

1 1

1 2

1 3

1 4

C u m u

l a t i v e n u m

b e r o

f h o u r s

( m i l l i o n s )

w x

x

w x

( x

w x ) 2

( x w x

) 2 / w

M o n

t h n o . =

i

1

2

3

4

5

6

7

8

9

1 0

1 1

1 2

1 3

1 4

1 5

1 6

1 7

1 8

1 9

2 0

2 1

2 2

2 3

2 4

2 5

2 6

2 7

2 8

2 9

3 0

3 1

3 2

3 3

3 4

3 5

C o m m e n

t

M o n

t h

J a n y r 1

J a n y r 2

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0 2 4 6 8 1 0 1 2 1 4 1 6

W e i g h t e d c u s u m s u m ( x w T )

C h a r t

2 4 . 1 0 W e i g h

t e d c u s u m c h a r

t f o r

i n c i

d e n t s

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9. Scale the chart so that 2 s units on the vertical axis corresponds to one unit on thehorizontal axis. In this case, 2 s 3.2 should cover approximately the same dis-tance on the vertical axis as 1 million exposure hours on the horizontal axis.

10. Plot the data.11. Interpret the chart in the same way as for the non-weighted cusum.There is a major change in slope at around months 16 and 17. A mask or decisionlines could be constructed to confirm this, or the corresponding u chart can bereviewed.The formula for calculating the process average for a span of data between any two points is still straightforward, but a little more complicated than before. Todetermine the process average between two points, i and j , x –i 1, j The formula fordoing so is:

where C i is the cusum value for month i . W i is the cumulative exposure hours for week i. For example, the average number of incidents per million exposure hoursfrom month i 1 5 to j 17 is given by:

To check this, the total number of incidents during this period was 30 and the totalnumber of exposure hours was 4.229 resulting in 7.1 incidents per million hoursexposure.

Summary

In this chapter we provided an introduction to cumulative (cusum) charts. We saw that:

● The cusum sum chart is a very powerful chart for identifying changes in the processaverage.

● They monitor the cumulative difference between the recorded values and a target value. The target is usually chosen to be the process average.

● Cusums can be used for both variables and attributes data.● Cusum charts complement, and are usually used in conjunction with other control

charts. The usual Schewhart charts are better at identifying all process signals exceptsmall changes in process average whilst the cusum chart is particularly good at iden-tifying small sustained changes in average.

● The chart is more difficult to draw and interpret, and interpretation is by analysingchanges in slope.

● To aid interpretation either masks can be constructed or decision lines can be drawnon the chart.

x 5 17,

13.68 1.905.18 0.95

4.31 7.1.

x C C

W W T i j

j i

j i

1,

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implementing cusum

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