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Introduction

.l The scopeof design

,l.l Tasksandactivities
: engineer's main task is to apply his scientific knowledge to the solution of
nical problems and then to optimise that solution within the given material,
nological and economic constraints.To this task the designermakes a highly
rrtant contribution. His ideas, knowledge and abilities have a fundamental
t on the nature of manufactured products, their customer appeal and their

rall profitability.
Dcsigning is the intellectual attempt to meet certain demands in the best

blc way. It is an engineering

activitythat impingeson nearlyeverysphereof
irn life, relies on the discoveries and laws of science, and creates the

itions for applyingtheselaws to the manufactureof usefulproducts[1.2,

. t . 11
. . 2 67, . 5 2\,. 5 3 1 .
l ) i x o n [ 1 . 1 1 ] a n d l a t e r P e n n y [ 1 . 3 4 ]h a v e p l a c e dt h e w o r k o f t h e e n g i n e e r i n g
igrrcr at the centre of two intersectingcultural and technical streams(Figure
l), ()ther modelsare also possible:
respects,designingis a creative activity that calls for a sound
Iu 1t.t.vt'hologlcal
rtling in mathematics, physics, chemistry, mechanics, thermodynamics,
rrtlynamics,electrical engineering, production engineering, materials tech-

Politics

Sociology,
psycn0r0gy

Economics

Sclence

Englneering E n g i n e e r i n g
ili;l,:d:desrgn
science
Industrial
deslgn

I
I

riesr0n
Arlislic

of
l
l , l . T h e c e n t r a activity

de*i3n,from
n I l..ial

I
Arl

Production

I Introduction

nology and design theory, together with practical knowledge and experience in
specialist fields. Initiative, resolution, economic insight, tenacity, optimism,
sociability and teamwork are qualities that will stand all designersin good stead
and are indispensable to those in responsible positions 1I.32].
ln systematicrespects, designing is the optimisation of given objectives within
partly conflicting constraints.Requirements changewith time, so that a particular solution can only be optimised in a particular set of circumstances.
ln organisational respects,designing plays an essentialpart in the manufacture
and processingof raw materialsand products. It callsfor closecollaborationwith
workers in many other spheres.Thus, to collect all the information he needs,the
designer must establish close links with salesmen, buyers, cost accountants,
estimators,planners, production engineers,materialsspecialists,researchworkers, test engineers and standards engineers. A good flow of information and
regular exchangesof experienceare essentialand must be encouragedby proper
organisation and personal example.
Because of the different demands made upon him and the many possible
procedures,the designer can play a variety of roles in the productive process.
With original designs not commissioned by an outside client, the conceptual
and embodiment design phasesare often organisedseparatelyfrom the execution of the order (see 3.2) as shown in Figure 1.2. This organisationalmodel

Conceptual
design
Embodiment
design

Design
activity
E-

Product
creation

----

Inlormation

'fhe

scope of design

thc senior staff providing backup with technical advice and cost calculations
llrigure 1.3). Such work must be scheduledvery carefully-innovations can only
hc introduced step by step and within limits; otherwise the risks may become too
Areat, especially in heavy engineeringprojects.

lu1111ll,
\t-

r.iI Conct
-__jlEmbo(
Figure 1.3. Organisationof the
design activity: the conceptual
design,the embodiment design,
the detail designand the
cxecution of the order are
organisedjointly

Product
creation

----- Inl0rmatl0n

When it comes to mass production, it is often useful to involve the experirnental development department in the design activity (Figure 1.4) because
ht'rc the fusion of theory and experimental development greatly facilitates the
dcsigner's task. Many problems are solved more simply and cheaply by
l)r('lirninary and relatively cheap experimentsthan by calculation and work on
tlrt' rlrawing board alone. Some designs require further development work
ht'lorc production; in other casesthe job can be started straight away.
f-l
| | Mana0ementl
L
l-l

Figure 1.2. Organisationof the

design activity: the conceptual
design and the embodiment
design are separated from the
d e t a i l d e s i g na n d t h e e x e c u t i o n
of the order

offersthe designermuch greaterfreedomand scopethan conventionaldevelopment design.The drawbackis a possiblesplit betweenthe conceptualand detail
designdepartmentsand also the introduction of a distinction between 'high
class'and 'run-of-the-mill' designers.This trend must be deliberatelycounteractedby regular staff exchanges.Thus, when a new designis sent to the detail
designdepartment it is advisableto allow a proportion of the staff to move
acrosswith it. This will alsoensurean optimumflow of information.Conversely,
staff from the detail designdepartmentprovide a useful sourceof experience
duringthe conceptualdesignphaseand canhelp to keep productioncostsin line
with market realities.
With large, one-off products, an order often calls for further developmentin
the form of adaptivedesigns.Inthis case,the conceptualdesign,the embodiment design,the detail designand the executionof the order go hanclin hand,

r-)

design
Detail
Execution
of order

r' I ..1.Organisationof the

I rptrrr
r h ' r r i r ri r c t i v i t y :t h e c o n c e p t u a l
( h ' r r r , r rt .h c c a l c u l a t i o n t, h e
f r r r l r o t l i r nnet d e s i g na n d t h e
t re
tt||r' I rllcntal developmena
| c f r , r r ; r l c tl lr o m t h e d e t a i ld e s i g n
l n r l t l r c e x c c u t i o no f t h e o r d e r

activity
t ,-J Hr00ucl
crealr0n

----

lntormation

Irt lroth psychologicaland organisationalrespects,designwork on a particular

:rrr rrnclin a particular place is performed by people with extremely varied
l l i o t t a n c lc x n c r i c n c c .F o r t h c m o s t c f f c c t i v ed i v i s i o n o f l a b o u r , t h e w o r k
b c s l t i r r c do u t l r c t w c c t ti t c i t d c t t t i c i t l ltyr a i n c c lc n g i n c c r s ,e n g i n e e r sw i t h a
p r a c t i c i r lb i r c k g r o u r r dt,c c h n i c i t n s t t t d t l r i r u g l t l s t r t c na, l l w o r k i n g i n c l t t s c
)ntIt()n,

I Introduction

1.1.2 Typesof design

Design terminology has changed considerably within the past few years. Thus'
Wogerbauer [1.60] speaks of original development, further development, and
adaptive design; Opitz [1.31] of original, adaptive,variant and principle design.
In this book, we distinguish between three types of design whose boundaries,
however, are not precisely fixed:
- Original design
which involves elaborating an original solution principle for a system (plant'
machine or assembly)with the same, a similar, or a new task.
- Adaptive design
which involv es adapting a known system (the solution principle remaining the
same) to a changed task. Here original designs of parts or assembliesare
-

often called for.

Variant design
which involves varying the size and/or arrangement of certain aspectsof the
chosen system, the function and solution principle remaining unchanged.No
new problems arise aS a result of, say, changesin materials, constraints or
technological factors.

The last heading also covers commissioned work in which the solution
principle and the finished design remain the same and only the dimensions of
individual parts are changed on previously prepared drawings. Some authors'
'fixed principle design'.
and U.501, call this
[1.31]
An enquiry [1.5] held among members of VDMA (German Association of
Mechanical Engineering Companies) in 1973 showed that, in the mechanical
engineering industry, some 55 per cent of products were based on adaptive
designs, 25 per cent on original designs and 20 per cent on variant designs.
Although the imprecision of the boundaries of each type makes classification
difficuli, the large proportion of original and adaptive designsshows that a good
designerhas to be both highly creative and flexible.

1.1.3 The nature of, and needfor, systematicdesign

The designer has to be a man of many parts. If we consider the vast range of
products he helps to make and the specialisedknowledge or experience that goes
into them, it is clear that his work does not fit into a rigid mould. Because design
has a crucial effect on the technical and economic value of the productproduction methods can only be optimised within the framework he has
bstablished-the designer must aim at a dependable approach. To that end, he
must be taught, or be expected to learn, all the special skills underlying
systematic thought and procedure.
A design method, therefore, must:
-"n.ouiuge
a problem-directed approach; that is, it must be applicable to
every type of design activity, no matter in what specialistfield;

I I fhe scope of design

foster inventiveness and understanding; that is, facilitate the search for
optimum solutions;
,be compatible with the concepts, methods and findings of other disciplines;
not rely on chance:
'facilitate the application of known solutionsto related tasks;
- - be compatible with electronic data processing;
-- be easily taught and learned; and
--- reflect modern management-sciencethinking; that is, reduce workload, save
time, prevent human error, and help to maintain active interest'
Such an approach will lead the designerto possiblesolutionsmore quickly and
drrectly than any other. As other disciplinesbecome more scientific,and as the
usc of computers calls increasingly for logical data preparation, so designing,
loo, must become more logical, more sequential,more transparent, and more
()pcn to correction U.14]. An enhanced appreciationof the designer'scontribulion and status is only possible when his methods and style of work are in line
with current developments in scientific and industrial practice.
'fhis
is not meant to detract from the importance of intuition or experience.
qtritethe contrary-the additional use of systematicprocedurescan only serveto
increasethe output and inventivenessof talented designers.Any logical and
rvstcmatic approach, however exacting, involves a measureof intuition; that is,
tn inkling of the overall solution. No real successis likely without intuition.
ln teaching design methods, it is therefore important to foster and guide the
rtrrdent's own abilities, to encourage creativity, and at the same time to drive
Irorne the need for objective evaluation of the results. Only in this way is it
prrssibleto raise the designer'sgeneral standingand the regard in which his work
rr hcld. Systematicprocedureshelp to render designingcomprehensibleand also
r.;rscthe teacher'sload. However, the student should be warned againsttreating
lris teacher'sopinions as so many dogmas.The best teacher merely tries to steer
tht.student'sefforts from unconsciousinto consciousand more fruitful paths. As
rr result, when he collaborateswith other engineers,the designerwill not merely
l',' lrcrldinghis own, but will be able to take the lead [1.32].
Systematic design alone can produce a truly rational approach and hence
gt'rrcrallyvalid solutions-that is, solutions that can be used time and again. It
rrlsohelps to establisha workable schedulebased on rational project planning,
rtrth as Critical Path Analysis, and hence enables the designer to predict how
rrrrrchtime he will have to spend on a feasibility study, how much on the search
for a solution and how much on the evaluation of the result. Increasedreliance
orr similarity laws, so useful in model testing, along with consistent use of
ltlrnclard specifications, size ranges and modular methods, facilitates further
tirtionalisation, not only in the design activity, but throughout the entire
p r ( ) d u c t i o np r o c e s s .
'I'imc
i s r n o n c y . L c s s d e m a n d i n g t a s k s c a n b e d e l e g a t e dt o s u b o r d i n a t e s .
N f t r r c o v c r ,i t i s r c l a t i v e l yc a s yt ( ) d c t c r n r i n ch o w m u c h o f t h e w o r k i s u n n e c e s s a r y
o r b c s t l e f t t o c o m p u t c r s a n d c o m p u t c r - a i d c dd r a u g h t i n g [ 1 . 8 , 1 . 2 6 1 .T h c s c
lcmarks also apply to such indircct dcrign activitic$as collccting intirrmation on

I Introduction

standards,components,matcrialsclc. systcnrttictlcsigngreatlyfacilitatesthe
rationaldeploymentof computcrand dutu $yritcnls.
A rationalapproachmust als'cover thc designcr'scostcomputations.
More
accurateand speedypreliminarycalculutions
with thc help of better data will
becomea necessityin the dcsignfiekJ.lt is csscntialtcl devisemethods
with
which it is possibleto estimatefinal costs.at lcast approximateiy,
even ar an
early stagein the designprocess.This. too. callslirr a systematic
and rational
approach.

1.2 The development

of systematic
design
1.2.1 Historical backgroun-d
and important contributionsby
Kesselring,Leyer,Niemannandothers
All developmentshave antecedents.They mature when there is a need for them,
when the right technology is available, and when they are economicallyfeasible.
This also applies to the development we have called 'systematicdesign'.
It is difficult to determine its real origins. Can we trace it back to Leonardo da
vinci? Anyone looking at the sketchesof this early master must be surprised to
see-and the modern systematistdelights in discovering-the great extent to
which Leonardo used systematicvariation of possiblesolutions
[1.30]. Right up
to the industrial era, designingwas closely associatedwith arts and crafts.
with the rise of mechanisation,as Redtenbacher[1 .35] pointed out early on in
his Prinzipien der Mechanik und des Maschinenbaas (principles of Mechanics
and of Machine construction), attention became increasingly focused on a
number of characteristicsand principles that continue to be of great importance,
namely: sufficient strength, sufficient stiffness,low wear, low friction, minimum
use of materials, easy handling, easy assemblyand maximum rationalisation.
Redtenbacher'spupil Reuleaux [1.36] developed these ideas but, in view of
their often conflicting requirements, suggested that the assessmentof their
relative importance must be left to the individual designer's intellieence and
discretion.
Important contributions to the development of engineering design were also
m a d e b y B a c h [ 1 . 1 ] a n d R i e d l e r [ 1 . 3 9 ] , w h o r e a l i s e d t h a t t h e s e l e c t i o no f
materials, the choice of production methods and the provision of adequate
strength are of equal importance and that they influence one another. Rotscher
[1.42] mentions the following essential characteristics of design: specified
purpose, effective load paths, and efficient manufacture and assembly. Loads
should be conducted along the shortest paths, and if possible by axial forces
rather than by bending moments. Longer load paths not only waste materials
and increase costs but also require considerablechanges in form. Calculation
and laying out must go hand in hand. The designerstarts with what he is sivcn

1 . 2 T h e d e v e l o p m e n t o f s y s t e m a t i cd e s i g n

rrnd with ready-made assemblies.As soon as possible, he should make scale

tlrawings to ensure the correct spatial layout. Calculation can be used to obtain
cither rough estimatesfor the preliminary layout, or precisevaluesfor checking
the detail design.
Laudien II.24], examining the load paths in machine parts, givesthe following
rrclvice:for a rigid connection, join the parts in the direction of the load; if
llexibility is required, join the parts along indirect load paths; do not make
unnecessaryprovisions;do not over-specify;do not fulfil more demandsthan are
rcquired; save by simplification and economical construction.
Modern systematicideas were pioneered by Erkens [1.12] in the 1920s.He
insistson a step-by-stepapproach basedon constant testing and evaluation, and
rrlsoon the balancing of conflicting demands, a processthat must be continued
turrtila network of ideas-the design-emerges.
A more comprehensive account of the 'technique of design' has been
prcsented by Wogerbauer [1.60] who divides the designer's overall task into
rubsidiary tasks, and these into operational and implementationaltasks.He also
cxrrmines (but fails to present in systematic form) the numerous interrelalionships between the identifiable constraints the designer must take into
lc('ount. Wogerbauer himself does not proceed to a systematicelaboration of
lrrlrrtions. His systematicsearch starts with a solution discoveredmore or less
Inlrritively and varied as comprehensively as possible in respect of the basic
for rrr, materials and method of manufacture. The resulting profusion of possible
trrlrrtionsis then reduced by tests and evaluations,cost being a crucial criterion.
W,'qcrbauer's very comprehensivelist of characteristicshelps in the search for
In ()l)timum solution and also in testing and evaluating the results.
llrough some need for improving and rationalising the design process was
fclt evcn before World War II, progress was impeded by the following
tttls'

tlrc lrbsenceof a reliable means of representingabstract ideas; and

tlrc widespread view that designing is a form of art, not a technical activity
l r k c i r n yo t h e r .
lht' risc of systematicdesign had therefore to wait until these obstacleshad
rr t lcared and for the wider adoption of systematictechniques,not least in
tct'hnical areas, and the emergenceof modern data-processingmethods. A
rotl ol staff shortages[1.54] provided a further impetus.
lvftrtlt'r'lricleasof systematic design were given a greal boost by Kesselring,
rt'hncr, Niemann, Matousek and Leyer. These men were not merelv
rttrrnl 1'rioneers;
their work continues to provide most useful suggestionsfor
ittg thc individual phasesand steps of systematicdesign.

:lring Il.l9l first explainedthe basisof his method of successive

t r r l i o r r si n 1 9 4 2( f o r a s u m m a r y s e e[ 1 . 2 1 ] a n d [ 1 . 5 6 ] ) .I t s s a l i e n tf e a t u r e
cvirluirtion ol fornr variants accordingto technical and economic criteria.
l h c o r y o t t c c h n i c i r cl o r n p o s i t i o nI I . 2 0 1 ,K c s s e l r i n gp r e s e n t s - i n a d d i t i o n t o
r t l b r r s i ci d c a s o n t h c t c c h n i c a lc o n t r i b u t i o n o f t h c d c s i g n e ra n d o n h i s
. u t t i t u d c i u r d r c s p o n s i l l i l i t y - t n a c c ( ) u n lo l ' t h c u n d c r l y i n g s c i c n t i f i c

I Introcluction

principles (the mathematical and physical relationships) and the economic

constraints (the manufacturing costs). In the theory of form design which he
derives from the above, he mentions five overlying principles:
-the principle of minimum manufacturing costs;
-the principle of minimum space requirement;
-the principle of minimum weight;
-the principle of minimum losses;and
-the principle of optimum handling.
The design and optimisation of individual parts and simple technical artefacts
is the object of the theory of form design.It is characterisedby the simultaneous
application of physical and economic laws, and leads to a determination of the
shape and dimensions of components and an appropriate choice of materials,
manufacturing methods etc. If selected optimisation characteristicsare taken
into account, the best solution can be found with the help of mathematical
methods.
Tschochner [1.53] mentions four fundamental design factors, namely working
principle, material, form and size. They are interconnected and dependent on
the requirements, the number of units, costs etc. The designer starts from the
working principle, determines the other fundamental factors-material and
form-and matches them with the help of the chosen dimensions.
Niemann [1.29] starts out with a scalelayout of the overall designshowing the
main dimensions and the general arrangement. Next he divides the overall
design into parts that can be developed in parallel. He proceeds from a definition
of the task to a systematicvariation of possible solutions and finally to a formal
selection of the optimum solution. These steps are in general agreement with
those used in more recent methods. Niemann also draws attention to the then
lack of methods for arriving at new solutions. He must be considereda pioneer
of systematicdesign inasmuch as he consistentlydemanded and encouragedits
development.
Matousek [1.27] lists four essential factors: working principle, material,
manufacture and form design, and then, following Wogerbauer [1.60] , elaborates an overall working plan based on these four factors. He adds that, if the
cost aspect is unsatisfactory, all four factors have to be re-examined in an
iterative manner.
Leyer 11.25] is mainly concerned with form design. He distinguishes three
main design phases. In the first, the working principle is laid down with the help
of an idea, an invention, or establishedfacts; the secondphase is that of actual
design;the third phaseis that of implementation. His secondphaseis essentially
that of embodiment, that is, layout and form design supported by calculations.
During this phase, principles or rules have to be taken into account-for
instance the principle of constant wall thickness, the principle of lightweight
construction, the principle of shortest load paths and the principle of
homogeneity. Leyer's rules of form design are so valuable because.in practice,
failure is still far lessfrequently the result of bad working principlcs than of poor
detail desisn.

I h c d e v e l o p m e n t o f s y s t e m a t i cd e s i g n

1.2.2 Modern designmethods

'l

hese preliminary attempts made way for intensive developments,mainly by

runivcrsityprofessorswho had learned the art of design in practicalcontact with
prorlucts of increasing complexity. They realised that greater reliance on
phvsics,mathematics and information theory, and the use of systematictechnics. were not only possible but, with the growing division of labour, quite
lispensable.Needless to say, these developmentswere strongly affected by
.' requirements of the particular industries in which they originated. Most
rc from precision, power transmissionand electromechanicalengineering,in
ich systematicrelationshipsare more obvious than in heavy engineering.

Svstematicdesign according to Hansen

rrscnand other membersof the IlmenauSchool(Bischoff,Bock) first put

rrrdtheir systematic
designproposalsin the early 1950sII.6, I.1,I.16].
nscn presented a more comprehensivedesignsystem in the secondedition of
standard work published in 1965 [1.17]. He himself has summed up his
rt'eclure as follows:
l)etcrmine the crux of your task, becauseit is common to all solutions.
('ombine the possible elements purposefully, for all solutions develop from
r r r c hc o m b i n a t i o n s .
l)e tcrmine the shortcomingsof every solution and try to reduce them or their
t ' l Ic c t s .
St'lect the solution with the fewest shortcomings.
l'rovide documentation to permit practical evaluation.
I lresc procedural rules are the basisof a systemcomprising four steps.Figure
1 rlrows the steps for the conceptual phase. The same four-step system is also
rcrl cluring the subsequentdesign phases.Hansen begins with the analysis,
r(lu('. and specificationof the task, which leads him to the basic principle.
rnrrst be formulated abstractlv enough to comprise everv conceivable
Iro11.111.',1
must embrace the overall function derived from the task.
'l
ht' sccond step is the systematic search for solution elements and their
l r r r u r l i o ni n t o w o r k i n g m e a n s .
lrttachesgreat importance to the third step, in which any shortcomings
l.rrrs.'n
I
rt'r'icwcclin order to develop improved working means.
In thc lirurth and last step, these improved working means are evaluated to
r r r i r r cl h c o p t i m u m w o r k i n g m e a n sf o r t h e t a s k .
l()7-l lf irrrscnpublished another work, entitled Konstruktionswissenschafl
s c i c n c co l c l c s i g n )[ l . l t t l . I n i t , h c u s e ss y s t e m sa n a l y s i sa n d i n f o r m a t i o n
t o t l c f i n c t h c r l c s i g n p r o c c s si r n c lt h c n i t t t t r c o f t e c h n i c a la r t e f a c t s .H e
o r r l h c v l r i o u s t y p c so l ' s l r u c t u r ci r n r ll u t t c l i o t ri r n c lt h c i r i n t e r r e l a t i o n s h i p s ,
'l'hc
lrook is tn<lrcconccrncclwith
alur discusscsthc prtlblcln of dnlu ril()ritgc.

thun with ruler of pructicll tlcsign.

icrl l'undanrcnttls

1t)

I Introductio

Task

11

t l t v c l o p m e n t o f s y s t e m a t i cd e s i g n

Input

(Concept,
layout)

signals
material,
Energy,

Prel
iminary
considerations
principle
Basic
Search
lorandcombinati0n
0f eiementary
soluti0n
elements

Working
means
(Workrng
principle,
principle)
lormdesign

Review
ol shortcomings
lmproved
working
means
(Working
principle,
principle)
lormdesign
- Rationai
evaluation
0ptimum
working
means
(Working
principie,
principle)
lormdesign

Function
of a Machine
fulflledbya

Physical
Process
realised
bythe

FormDesign
Features
of theoverall
design

Concept
(Layout,
Production
documents)

Figure1.5. Designstepsaccordingto Hansen[1.16,1.17]

1. From the taskvia workingmeansto the conceot
2. Fromthe conceptviawor-king
principlesto the layout
3. From the layoutvia form designprinciplesto the productiondocuments

Similarly, Miiller [1.28] in his Grundlagen der systematischenHeuristik (The

fundamentalsof systematicheuristics)presentsa theoretical and abstractpicture
of the design process.
2 Systematic design according to Rodenacker
After Hansen, it is Rodenacker [1.40] above all whose original design method
has made the greatest impact. He starts out from the fact that every machine
must fulfil certain purposesor functions. Rodenacker looks upon designingas a
transformation of information, leading from the abstract to the concrete.
Designing is a reversal of physical experiments.Figure 1.6 showsthe main steps
of Rodenacker's design method. He starts out by defining and abstracting the
requirements and by establishing a function structure. Next he looks foi the
appropriate physical process and finally for the required form design features.
Rodenacker develops his systematic principles chiefly by means of examples
taken from process engineering, but his ideas apply quite generally to the
development of technical systems.He proposesthe folrowing rules
[1.a1]:
Rule 1. Clarify the task (the required relationships).
Rule 2. Establish the function structure (the logical relationships).
Rule 3. Choose the physical process (the physical relationships).
Rule 4. Determine the embodiment (the constructionalrelationships).
Rule 5. check the logical, physical and constructionalrelationshipsby
appropriate calculation.
Rule 6. Eliminate disturbine factors and errors.

0utput
1.6. Design steps according to Rodenacker [1.401

7 . l i i n a l i s et h e o v e r a l l d e s i g n .
fi. I{cview the chosen design.
this rrrcthod, the function structures (Rule 2) are based solely on functions
'rl lrtrrn two-valued logic. These functions are separation,connection and
tlrc llow of energy, material or signalsin technicalsystems)channelling.We
I'r' r'rrrnriningthe problem of logical functions at greater length in 5.3.3.
' losiL',,1rcquirements having been satisfied,the next step is to choose the
Srlrrsit'irlprocess(Rule 3). Rodenacker usesphysical effectsand equations,
p;rrlicular attention to the time factor. Experimentation is said to be the
\{ ru| ( (' of information.
tlrc rrcxt concrete step, Rodenacker determines the embodiment fixed by
lnr,'rrl lrrrclthe form desiqn features. The latter result from the variation of
t's. rrrrlcrials and motions to achievethe required characteristics(Rule 4).
' \ \ ( ) l k c k r r . r cs o f a r m u s t b e c h e c k e d b y c a r r y i n g o u t t h e a p p r o p r i a t e
t r o r r s .s r r c ha s c o m p o n e n t s t r e s s e s( R u l e 5 ) .
nirr'kcr is particularly concerned with the identification and elimination
rrrlrillti lirctors causing quantitative and qualitative fluctuations (Rule 6).
tnirv surrr it irll up by saying that the main factor of systematicdesign,
trg to l{otlcnackcr, is the determination of the underlying physical
:r. ln his irl.rproachR
. o c l c n a c k c rc o n s i c l c r sn o t o n l y t h e s y s t e m a t i c
n l o l c o n c r c t c r l c s i s nt i r s k si r s o u t l i n c r ll b o v c . b r . r ta l s o t h e m e t h o d o l o g v
i t t g ' n c w r l c v i c c si r r t r rl t t i r c l t i t t c s . ' lt' lrtl i r lc t r t .l h c l ) r o p o s c ist s c i t r c hf o r
s l k n o w n g t l t y s i c i rcll l c c t s i r s i r n l c i u r so l ' i t r r i v i n g l r t
n c w i t l ) l ) l i c i t l i o l ro
xrlttlions.

72

I Introduetion

3 Algorithmic selectionprocedure for design basedon design catalogues

according to Roth
Roth divides the design process into several phases,each with specific steps that,
depending on the results, must be repeated several times [1.44, 1.48] (Figure
1.7).

0. Task-formulation

requtrements
echnical
cosls
andspecitied

I h c d e v c l o p m e n t o l s y s t e m a t i cd e s i g n

1a
IJ

I lrc first phase is the analysisof the product environment leading to a precise
dr'lirrition of the problem. This definition includes the specified function, the
'hrrical requirements and the specified costs, three selection criteria with
t'sc help it is possible to choose from design cataloguesin due course. Next
'lunctional relationship has to be elaborated in two steps. To discover the
t'rirll function structure, every statement in the problem definition must be
rciated with a system of general functions so selectedthat different alterna's result from changesin their arrangement.Roth's 'general functions' refer
gcneral characteristicsdetermining various technical artefacts-that is, which
cct, change, store and channel material, energy or information [1 .45-I.47,
ll. Once the general functional relationship has been determined, the
ible combinations of sub-functions are split up into recurring elementary
l r l c m sw h i c h c a n b e c a t a l o g u e d .
'l
hc next step, the determination of the special function structure, is the
rpt to solve these elementary problems with the help of basic physical
irtions-that is, of physical effects expressed,if possible, in mathematical
trrlite.

of overall
1.1Determination
lunction
structure
ol special
1.2Determinatton
lunction
structure

and
2.1Formdesign
selection
material

forproduction
2.2Design

tunctronAclualcosts
Actual
lunction
,"^.
'""" actual-specified
costs,
actual-specilied

drawings
Production

'he

actual product is elaborated in the next phase. First comes the embodirt oi the solutions of the elementarv Droblems. A seneral solution is then
rrirted by combining these embodiments in accordance with the overall
ti()n structure. Variation will now produce a host of general solutions from
'lr tlrc best can be chosen and modified in the light of production requirerrts.'fhe resulting variants are evaluated in turn so that the most promising
tlr('l)roblem in hand can be determined before oroduction drawinss and
i l ) r r ' l r t a t i o na r e c o m p l e t e d .
[,'t lr rcfers to the whole process as an'algorithmic selection procedure for
rr lxrsed on design catalogues'. He suggeststhat the information needed
tlr, inclividualstepsis best chosenfrom catalogueswith the help of selection
r, lt'r.istics.He accordingly attachesgreat importance to the compilation of
r : r r r r l < r g u[e1s. 4 3 , I . 4 9 1( s e e5 . 4 . 3 ) .
:rlgorithmic-physical design method according to Koller

(",\('nliirlfeaturesof Koller'smethod1I.22,I.231are the breakdownof the

r l)r'occssinto a larger number of steps and the emphasis placed on
'rrlrrrv lrhvsical connections. The aim is the algorithmicisationand hence
ir\rng corrlputerisationof design. Figure 1.8 shows the various phases of
r'r schcrne and the elementarv desisn activities associatedwith them. He
trishcs bctwccn function svnthesis.oualitative svnthesisand cuantitative
s, l'or iur cxact dcscription of the individual steps the reader is referred

l i l c r r r t t r Ir lc. : . ] 1 .
r r s c o l c ( ) r r r p u t c r as l s o c a l l s l i r r t h c f i l r r n u l a t i o no f c l e a r r u l e s g o v e r n i n g
l r o c c s s e tso
c l c t t t c n l i r r ys t c p . ' l i r t h i r t c r t d K o l l c r r c t l u c c sc o n t p l c xt c c h n i c a p
nunll)cr ol physicll lunctiotts lnd lltclt slipulatcs rulcs lirr thcir

F i g u r c I . 7 . P h r r s c rsr n t ls t c P so l t l t c r l c s i g t lt l I ( ) c c s ist c c t r r t l i t ttgo l { o t l r I I ' l t i l

cirn bc cxprcsscdby
nt. llis basicprcmisc is thrl thcrc l'unctiort$

| ' I h e d e v e l o p m e n t o f s y s t e r n a t i cd e s i g n

hrrownmachine elementsand also by elementsthat have still to be developed. ln

tlt'riving his functions, Koller?s starting point is the fact that, in technical
rvslems, only the properties and states of energy, material, signals and their
llows can be changed in magnitude and direction. Together with the physical
ittputs and outputs, this gives 12 functions and correspondinginversefunctions,
which Koller calls basic operations, amongst them channelling and isolating,
:reasingand decreasing,coupling and interrupting (see Figure 2.5).
Ilccause technical systems involve logical as well as physical relationships,
ion synthesis will yield a function structure consisting of logically and
ysically interrelated basic operations.
Koller contends that, in the qualitative design phase, the basic operations of
Irnical systems depend exclusively on physical, chemical and/or biological
:ts. The choice of the appropriate effect producessolution principlesfor the
rlormance of the basic operations which, with more complex requirementsor
nctlon structures, may be combined into assembliesand overall systems.A
rirlitativedesign', finally, demands the determination of shapes,to which end
rller has devised several rules of form desiqn. Variations involvins several
tcria are stipulated for every step, for example variations of the material or of
shape,thus paving the way for severalsolution variants. Koller's quantitative
ltthesiscomprises the classicaldesign activitiesof calculation and layout.
lrr accordancewith his aim of algorithmicisingand computerisingthe design
rcess,Koller lays particular emphasison small (elementary) developmentsor
ps and on clear mathematical rules and definitions.

.9

C
-F

c
L

15

struclure
lunclion
Elem.

'6

theconcept
Fixing

=
L

.2.3 Other proposals

out(arranglng)
Laying

'I

.6

.z

<J

torproduction
Preparing

c=
iIo

Figure1.8. Stepsand elementarydesignactivitiesaccordingto Koller [1.22.

he systems approach

ternstheory as an inter-disciplinaryscienceusesspecialmethods, procedures

I rridsfor the analysis,planning, selection and optimum design of complex
t r ' r n s[ 1 . 3 , 1 . 9 , 1 . 1 0 ,1 . 6 1 ] .
I r'ehnical artefacts, including the products of light and heavy engineering
hrstry,are artificial, concrete and mostly dynamic systemsconsistinsof setsof
'rccl elements, interrelated by
virtue of their properties. A system is also
rrcterisedby the fact that it has a boundary which cuts acrossits links with
t'rrvironment (Figure 1.9). These links determine the external behaviour of
\vstem, so that it is possible to define a function expressingthe relationship
s'ccn inputs and outputs, and hence changesin the magnitudesof the system
l r l c s( s e e2 . 1. 3 ) .
l;ronr the idea that technical artefactscan be representedas systems,it was a
t s t c p t o t h c a p p l i c a t i o no f s y s t c m st h c r l r yt o t h e d e s i g np r o c e s s t, h e m o r e s o

tltc objcctivcsof systcms

thcorycorrcspund
vcry largclyto thc cxpectations
Itavcof a good dcsignmethodus specificdat thc bcginningof this chaptcr

l,

'l'hc

sy$tcmsupproachrellcctf tho gonoralupprcciationrhar complcx

d e v c k r p m e n t o f s y s t e m a t i cd e s i g n

l6

1'7

System
studies
problem
analysis,
definition
State

Goalprogramme
Goalsetting,
criterla
lisl

System
synthesis
Development
ol solution
variants

ors2;
orerements
ors;s2,- s,a:subsvstems
Slti::"t*,tJll.,Jlff,}i131ft',T.r,,",'.,
1, - 13:inPuts; O1-O2: outputs

System
analysis
Properties
andbehaviour
of variants

eaih involving analysisand syn

problems are best tackled in fixed steps'

,r";;';?"t].10

The first of theseis t

showsthe stepsof rhe systemsapproach.

(rr irr'ur'rou"l'
nto,-uiio':.""*g or
gatherin
gatnerlrlg
i9"* th"'v*1."T.,
111"i-::
Tlo:
-T;::i.
the clea
;---^-:^ -^^,,i-amcnrq
The :?*"l".tJ'
he is
aim here
trend studiesor known requirements'

System
evaluation
goalpr0gramme
Evaluation
ol varlants
against

market analyses,

to U" t91".:.1.,tl
formulationof ttreprobieir(o' 'ut'-ptot'lem)
up the purpose:
is drawn :T:::":i.:t:3
programme
perhapseven during the first step' a
goalsof th""tft:l
thl
torrnui'"^f*ion'to
which is to give

System
decision
0ptimum
system
selected

::::i:i]:51'J
andhenc
variants
of solution
eviruation

ffi:}.';ij,',[r,;^i;;;",.Jrlqr"r,

for the discovery.f th;';;ti"tu"i'otutio'.t

Soluti.onvzrriantsare tneXs;'r1tfe;s"1

Beforether
u.quir",rduringthefirsttwosteps.
:,T;: ilH.?ir;'t;;;#;*.
6J:u:1,*"-t':: lilt^t*:::
the performunt"
canbe
variants
l
"uuruut"i,
tt" evaluationthar follows,the performance
;rd ;#;;r.'rn
;?:'r*"".
each variant is comparedwith the original Coul:'ing,,:",:l:-:i:i:-tl.*1:

System
lmplementation
Plans
phase
Planning
thenexlsystems

, I . 10.Stepsof the systems

approach

decisionismadeandtheoptimumsystemselected.Finally,informationlSglve

As
outintheformof-y';;;;l;meniation plans'
ltsl: 1 l9::^"^Y,l:lniii'l
goil' so that iterativeproceduresmay
do not alwayst"uOstruigntto tn" final
this optimisationprocess,which con
needed.Built_in o".irir", ,t"ps facilitatJ

, rscn [1.15] are currently developing this method, paying particular attent,r thc optimisation of dynamic systems.

tutes a transformation of information'

An importantrprt"rl^ti "ppiit"io,n of -th"-:tt:::::p^p::ffi1"f

#
concept
basisof a known or a developedsolution

"r;;,;;;;"r;;;;r;{."o"the
;';";;;i;'
to p.oou."
ispossible

""d"1.,!fil::'-'T,-',::"'::'i'JJ1:li:L,'5t
with their tinks,canbe subjected
iogether

hil;*;;
;*:I'ffi#
ttt" d:.*-1111:tjf,lt:||:,T;
opti-it"d to satisfv
variationinJ
mathematical
about1
statements
mathematical
such
of
ir, ,r," use
ffi::H',i';il;;;
t:r"f:
n*
uehaviour
( ; r r a v r v uoi
j: h e:L?,':9t
a n l l t a l l v sb
quuantitative
"r^ . so
' : tutio
e l e m e n3:'
t s f.
: ; ^ - ; ' :and11:l]:
, . 1 - . - ; .li"^
h e v i o r r of
or I the
t h e :il*:il
behaviour
dynamic
relations expresslng tne statistical
and the formulation of a goal functttl
instance in the form of transfer functions,
1 . . hhavc
,'rr" h
btr '

of systems-toq:l*
Such mathematicaltu*' fo' the description
RichtcrIl '37' I 3t'tlt
equipment'
aboveall, for signal-processing
cstablished,

th.signas a learning process

rrrplcmcntto the methods we have been describingis basedon the view that
rrrrt'-sidccl
cmohasison discursivemethods is inadequate and cannot, in any
, srrtisl'ythc clesigncr.For that reason various attempts have been made to
lop tlcsign mcthoclswith the help of automatic control techniquesinvolving
i r r r tl c c d b i r c k .S r " r cm
h c t h o d s n o t o n l v h c l p t o e l u c i c l a t et h e i n t e r r e l a t i o n s h i p
' e r t t l c s i g r t c t ' l r t ccl r t v i r o n n r c n l . l ' r uitt l s t lt h r o w l i g h t o n t h c g e n e r a ls c o p eo f
tt tltouglttl)roccsscs
W l i c l r t l c r 1 1 , 5 7 . l . 5 f { l l r i r s t t r g t t c t l .h y i t t t i r k r g vw i t h s t t c l tc y b c r t l et i c
n s c o n l r o l i t n d l c i t r n i n g .t h u t c f c l t i v c d c s i g n i s l l t c t t t o s lc o t t t p l c xl o r t n

I lntroduction

18

that
of the ,learningprocess'.Learning representsa higher form of control, one
also
but
(rules),
quality
at constant
involves not onty quantitative
"nung"t
as
quantities
technical
changesin the qualiiy itself. Similarly, designingchanges
well as working PrinciPles.
In structuralterms,iearning and control can, despitequalitativedifferences,
Thus Figure1.11representsa
be consideredas comparablecircularprocesses.
designcycle involvinga learning system,an environmentand the relevantflow

lCommunicationDecision

Storage

Action

'l'he
| '
d e v e l o p m e n t o f s y s t e m a t i cd e s i g n

19

'l

hc learning processthus keepsincreasingthe level of information and hence

flt'ilitatesthe searchfor a solution.

General comparison and statementof the authors' own aims

closerexaminationthe methodswe havebeendescribingprove to havebeen
rnglyinfluencedby their authors'specialist
fields.They nevertheless
resemone another far more closelythan the variousconceptsand terms would
n to suggest.
ln particular, several of these methods have been strongly influenced by the
rtluctsof precision engineering and power transmissiontechnologywhich, in
r, bear a strong structural resemblance to electronic systems. This has
sted a breakdown of functions and associatedsub-solutionsinto elements
mbling the functional building blocks of electronics.Moreover, the compilaof classificationschemesand design catalogues,as well as the combination
solution elements, is easier in these fields than it is in general mechanical
rrcenng
Itr ull the methods examined, the requirementsare abstractedfor the purpose
trriving at generally valid functions. The degree to which the various authors
irk down their functions. however. differs from case to case. All stressthe
lr'Iirnceof physicalprocessesduring the first phase.They alsosharethe idea of

:p-lry-step
advancefrom a qualitativeto a quantitativephase.Furthermore,
ol t ltem stipulate a deliberate variation and combination of solution elements
tlillcrent complexity. All try to algorithmicise the design process and to
css it by simple rules or laws. This common approach has been embodied in

Environment

system
Learning

F i g u r e1 . 1 1 D e s i g n c y c l e w i t h l e a r n i n g S y s t e m a n d e n v i r o n m e n t , a f t e r W i i c h t l e r [ 1 . 5 8 1

'learning system:designer'takes a problem from'

of information. The
pro
returnsa solution to, the enviionment. Discursiveand intuitive actions

learning system'
solutions (ideas) that are held in the short-term store of the
demands
environmental
the
with
solution
comparison of the proposed
lt,"^Tt

hiscrepunciescallingfor new decisionsand henceleadir

;h;";;;
;;';"J;;;
are reducedto a minimum, the optimu
discrepancies
the
to new actions.once
of optimisationis called a learni
process
in
this
cycle
A
solution is to hand.
from 1
element. The learning iystem musi not be consideredin isolation
the requir
environment.In otheiwords, the environmentnot merely imposes
in findi
part
ments and receivesthe solutions,but frequentlyplays a crucial
which presel
the latter. we distinguish between a passiveenvironment,
to informati
information on demuni, and an activeenvironment,which reacts
in
involved
returned by the learning system,or in other words is directly
optimisati
of
discoveryof the solutioti.Wnut mattersis that, for the purpose
as a con
the designprocessshouldbe treated, not statically,but dynamically
process-inwhich the information feedbackmust be repeatedY"iit llt llllll
can bc ft
solution
iion content has reached the level at which the optimum

' l i n cV D I 2 2 2 2
|.551.

rtlr thc help of the methods examined above together with our own work we
, irr what follows, endeavour to present a comprehensivetheory of general
'r'r'ingdesign. Most of the argumentsare elaborationsof a seriesof papers
frtrlrlishedin 1912-1914[1.33] and which we have since discussedat some
lr rvith a number of practising designers and research engineers, tested
ltt'tllv in practice, and changed and amplified accordingly.Our own theory
rrrlrrckresnot claim to be the final word on the subject-it simply tries to
rre various methods in a coherent and oracticable wav. We hooe that it
\('r'\'c as an introduction and springboard for the learner; as a help and
lrtiorr lilr the teacher; and as a source of information, and perhaps of
r l c l r r r r i r r gl i.r r t h e p r a c t i t i o n e r .

2T

I F u n d a m e n t a l so f e n g i n e c r i n g s y s t e m s

Fundamentals

A concrete example is the combined coupling shown in Figure 2.1. This can be
treated as two sub-systems-a flexible coupling and a clutch. The sub-system
't
ltrtch' can, in turn, be subdivided into system elements, in this case
( ()llrponents.

Designingisamany-sidedandwide-rangingactivity.Itisbasednotonlyon
etc-but
math"emaiics,physics and their branches-mechanics, thermodynamics
industrial
elements,
machine
also on proOuition technology, materials science,
and cost u..orrrting, which are not discussedin this book'
-unug"..nt

i;?;;";p

a theory of designthut .un serveas a strategyfor the development

-__^L^*^
^^A
systems
of solutions, we must first examine the fundamentalsof engineering
make detail
p.oc"du."s.' only when that has been done is it possible to
recommendationsfor design work.

2.1 Fundamentalsof engineeringsystems

2.1.1 System' plant' equipment, machine' assemblyand componen
as plant
Technical tasks are performed with the help of such technical artefacts
approxi
in
the
here
listed
components,
and
equipment, machines, assemblies
uses
idenli-cal
have
not
may
terms
These
complexity.
mate order of their
is
sometim
evaporator)
(reactor,
equipment
of
piece
a
different fields. Thus,
as 'plant' i
consideredto be more complex thin plant, and artefacts described
'machines' in others'
certain fields may be described as
is u
A machine consistsof assembliesand components.control equipment
compon(
in olant and machinesalike and may be made up of assembliesand
re
terms
of
these
uses
various
The
machines.
small
of
ani perhaps even
historical develoPments.
Hubka [2.10] has drawn up a comprehensivelist of possibleclassifications

technicalirteficts basedon such criteria as function, solution principle,

on
plexity, manufacture,product etc' It is., however' impossibleto agree
fort
and
tasks,applications
i"n"ruity acceptable,yrt"- of classification-the
much to be said for Hubk
is
there
Hence
complex.
and
varied
too
ir" *u.-h
to t
suggestionthat technicalartefactsshouldbe treated assystemsconnected
i
divided
be
by means of inputs and outputs' A systemcan
sys
the
"niironr',.nt
what belongsto a particular systemis determined-by
sub-systems.
t
boun'dary.The inputs anJ outputs crossthe systemboundary(l'2'3)' With

l:

. -SvslelHoulOarv

l . S y s t e m :' C o u p l i n g '
/ r s r s t e r ne l e m e n t s r; . . / c o n n e c t i n ge l e m e n t s S
; o v e r a l ls y s t e m S
; , subsystem
r l ' l , r ' o u p l i n g ' ;. t 2 s u b s y s t e m' c l u t c h ' l 1 i n p u t s ; O o u t p u t s

'llr,'s',51cm
d e p i c t e di n F i g u r e 2 . 1 i s b a s e do n i t s m e c h a n i c a cl o n s t r u c t i o n .I t
ftrrrrs'c r'. equally possibleto considerit in terms of its functions (see2.1.3). In
r;rrt'. the total system'coupling'can be split up into the sub-systems
'rrrg' lrnd 'clutching'; the second sub-systeminto the further sub-systems
'transferring
torque'.
1,rrrqclutch operating force into normal force' and
llrc svstcrnelement g could equally well be treated as a sub-systemwhose
r{rn rt i\ to convert the actuating force into a larger normal force actins on
llrttion strrfaces.
r('n(lir)gon their use, any number of such subdivisionsmay be made. The
't lrirs to cstablish particular systemsfor particular purposes, and must
lltt'ir virrious inputs and outputs and fix their boundaries.In doing this he
w h r r t t er n r i n o l o g yh c l i k e s o r i s c u s t o m a r yi n h i s p a r t i c u l a rf i e l d .

upprourhitispossibletodefineappropriatesystemsateverystageofabstr

parts ilf la
tion, analysis or classification. As a rule such systems are

superiorsystems.

___J

(lottversion of energy,materialand signals

) t t t t l c r st t t i r l t c ri t t r t t i r t t ys l t t t p c su n d l i t r r t t s .l t s r r i r l t r r i rtli l r r n . < l rt h c l i l r n t

lmprcsscdu;roltit. ;rrovidcrhim with infitrmutiorrirlroutits possiblcuscs.

I r r r r d a m e n t a l so f e n g i n e e r i n gs y s t e m s

2 Funclamentals

Z3

22
is a primary source of information
Matter without form is inconceivable-form
concept of force
the development ;f physics'-the
about the state of matte'' Wlttt
the means by
being
Force was ton'eiued as
became increasingly important'
was explained
process
this
;;;",;; ;;, .t ung"a. Ultimately
which the motion
of energy
equivalence
"f
of relaiivity postulated the.
in terms of energy. f'tt" in"o'y
offi:

[2'30] lists."nergi.'*"ll:i, *,'::"^T1':"':t"

andmatter.Weizslcker
asa run,n,,rtbeintroduced

l|l.S]ll"il [llrrl'"r'ni* rl ir""r""o,"ii*"

t::i:1si31
g
quantitv.o;iv ;v referencet-ini"'pruv
damental
;:: Xt"T
informaand1;'ffu1
matter
of energv,
il l*:, 9::',
i:["J:ffi1'J;t#;i:,"jn;;;;'
be adequately described'
tion
,tTtiJi::;lfil
w
-^:c:^A x.,
form.
form.We
manifest
itsmqnif'eqt
by ito
is ofrenspecified
iln"r" , enersy

*"tl"l]iil:
of
oI mechanical,"'i""i'"i"'"t:'.:1
speak
sp:a\
etc' Thr
::".:g,,;l'":''i,fif,l,il"',i
*Zigrtt, colour,conditionn:{t;
as
substitutematerialwith such propertles
givJn more concreteexpressionb
is'o"n"'ally
generalconcept i'i;';;;;ti
t::,:if";T:t-::J
"f
is'itreptrvsic?t

of the,"r^,'inoi'hat
means

f::TtL *l::
betweenpeopleis often calleda
exchanged

ff#":;[i#"tt";;

12.\rl.

svstems-qrunt
of technicar
I "qlllT::i :1r.1*l5;i.l''T$il
il! un",rrls

lrrirrirlswithout any flow of material. In many casesenergy has to be specially

prol'ided for this purpose; in other caseslatent energy can be drawn upon
rrcctly. Every conversion of signalsis associatedwith a conversionof energy,
rrrghnot necessarilywith a conversion of material
lrr what follows, we shall be dealing with:
l rrcrgy: mechanical, thermal, electrical, chemical, optical, nuclear etc
lrlso force, current, heat . . .
lrlirterial:gas, liquid, solid, dust etc
also raw material, test sample,
r r o r k p i e c ee t c . . e n d p r o d u c t , c o m p o n e n te t c .
Si{niils: magnitude, disptay. control impulse, diSa, information etc .
taken into
lnr cvery type of proposed conversion, quantity and quality must be taket
task,
for
the
choice of
sideration if rigorous criteria for the definition of the
is fullv
No
statement
rrtions and for an evaluation. are to be established.
aspects
have
been
taken
quantitative
as
well
as
its
qualitative
lirrcd unless its
r l c c o u n t . T h u s . t h e s t a t e m e n t : ' 1 0 0k g / so f s t e a ma t 8 0 b a r a n d 5 0 0 ' C ' i s n o t
rrrllicient definition of the input of a steam turbine unlessthere is the further
tilication that these figures refer to a nominal quantity of steam and not, for
trrnce,to the maximum flow capacityof the turbine, and unlessthe admissible
(turrtions of the state of the steam are fixed at, say, 80 bar + 5 bar and
t (' + 10oC,that is, extended by a qualitative aspect.
lrr very many applications,it is also essentialto stipulate the cost or value of
irrputsand/or the maximum permissiblecosts of the outputs (see [2.23]).
l o sgtn up: all technical systemsinvolve the conversion of energy, material
rl or signalswhich must be defined in quantitative, qualitative and economic
r r r r ' ( F i g u r e2 . 2 ) .

ilff;#:il#'ffi
."ffi"Jff
l';r;T:ilil::::::::::'l'.,'.T'.'"','[:l
o]::,::
*n"1'
u'"'r'
;;;i'
ll:lfi:H;# ,iliJ-.'i#.:;;ffi
".1
::
"'"
;;u:"'i1"rv;:'"iJ"*:'::TI":J3#
J;#llilft in"a,varietv ::'*:t :;:T^:il;i;:';
:?"Jf
T"Zir)-'r;"T;;il''"danctthermalenergy,
convet
"-r:iI':a combustion
::;::1ff engine
n:H:::il:l
:Ii7i;"i;,J"*"".n"r,.a1

,--- ^l^.-- ^^ir/ar

cstatlon
f q f i n n cconve
onvel
thermal energy a nuclear power
chemical into mechanical and

';;:;:;;

so.on'
nuclearinto thermalenergy,and

ff'ffi il.:k;i

; ; varietY
"l Y:I^lh;1;T.?:,'T

,"{':n::',';;:o''il{;;;;'t"J'"-'n"""4"::'nff
li"}";"l,"Ti:"';
iil'lll'lI 1."
;; ;'**; o?J I nI't'"dp' l"::': T::?lll"',1i",
iJ,li
for test
;:ffiilT':,i#r""r;
o"fffi
,"."iu"i,

"t*are destroved
"l
surfacefinishesand some

Signals a
informationin the form of signals.
ot"nt must process
with others' transmitted, disPla
prepared, comparetl or combined

'"
eot,.conver1i1J-"*l3s;;,1"::1111
tvp
::'X".1''?J"1
ilJ.l;,",,onej"p"nding.on
#'iIn I
piobrem
th.e
::.]:,:**ton'
.i;;".:l':lit.l"l",Tl";;r,",r,
il;;i; ; il 1;""tJa.1 tl", T,il: r*,"iji'.I;'
nversron
convelsrurr
heco
case,
case, tthe
three cc
frequently alllil:":'J
type of converston, and quite
accompanied by a second

into play. rhus there-cu'"''u3no ::^I:T,:::::i?1"""

small'
."t""^;tn

or signalswithout

of.energy' howe^ver

I
t:t:,
rsionof'n"igvisoftJnT'o:i?.t:9
ll
rheconve
wit
l]t,1
:::l:""':#i.trf
compared
nuclear,
a
(asin
Hi:i-t.;;vl"
"ir'rr"
-.ont,or
o
l"i''*"
""H:r'r,l-n;'-ilil
*"li;i^ il"
power
cnt
coal-rirecr,
thc:";
or1.;3
::1::"1:l:j il flli::':i

;::#;iltttg

flilt',Tf; 3,'iliJ,iii'i;"";i;";;
otiltli"t"u"r'

i,"

andregu'ation

rcccivc' trltttsttlrltr
numerousmeasuringinstrumcnts

I rr,rrr2
- e. 2 . T h e c o n v e r s i o no f
, r r ' rq v . m a t e r i a la n d s i g n a l s .
\ , , l u t i o n n o t y e t k n o w n ; t a s ko r
l r r r rtLi o n d e s c r i b e do n t h e b a s i so f
r r r l ) l l 1 \ . n od u t p u t s

Energy+
Material
s ---Signa

+
Energy'
----c- lVlaterial
--.- Signa
s'

The functional interrelationship

,'rrlcr to solve a technical problem we need a svstem with a clear and easily
r.t1119".1
relationship between inputs and outputs. In the case of material
\ ( rsions, for instance,we require identical outputs for identical inputs. Also,
lrr r'r'n thc bcginning and the end of a process,for instancefilling a tank, there
lrc ir clcrrr anclrcprocluciblerelationship.Such relationshipsmust alwaysbe
n r r c r -l t h u t i s . c l c s i g n c ct ol n l c c t z rs p c c i f i c a t i o nF. o r t h e p u r p o s eo f d e s c r i b i n g
s t r l v i r r gc l c s i g np r o t r l c n r s i.t i s u s c l u l l < li r p p l yt h c t c r m . f i l r < ' t i o nI < 'tth e g e n e r a l
r l t o s cl ) u r l ) ( ) s ict i s t o p c r f o r m a t a s k .
l l ( ) u t l ) u tr c l i r t i t l n s h i op l i r s v s t c r rw
l o r s t l r t i c[ ) t ( ) c c s s ci sl i s c r r o t r g l lt o t l c l c t r t t i r t ct l t c i n l t t r t si r t t r lo u t l t u t s ;l o r
l ( ' ( . s s clsl r i r t c l r i r r r g ew i t l r l i r t t c ( t l y l t l n t i c p f r l c c s s c s )t.h c t l r s k t t t t t s tb c t l c l i n c t l
t l r e l b v i r d e s c r i p t i o rorl ' t l r c i r r i t i n l u n df i n u l m u g n i t u t l c sA, t t h i ss t i r g ct l t c r ei s

a1

2 Fundamentals

no need to stipulate what solution will satisfythis kind of function. The function
thus becomesan abstractformulation of the task, independent of any particular
solution.
If the overall task has been adequately defined-that is, if the inputs and
outputs of all the quantities involved and their actual or required properties are
known-then it is possible to specify the overall function.
An overall function can often be divided directly into identifiable subfunctions corresponding to sub-tasks. The relationship between sub-functions
and overall function is very often governed by certain constraints,inasmuch as
some sub-functionshave to be satisfied before others.
On the other hand it is usually possible to link sub-functionsin various ways
and hence to create variants. In all such cases,the links must be compatible.
The meaningful and compatible combination of sub-functionsinto an overall
function produces a so-calledfunction structure,which may be varied to satisfy
the overall function.
To that end it is useful to make a block diagram in which the processesand
sub-systemsinside a given block (black box) are at first ignored (Figure 2.2).
Functions are usually defined by statementsconsistingof a verb and a noun,
f o r e x a m p l e ' i n c r e a s ep r e s s u r e ' , ' t r a n s f e rt o r q u e ' o r ' r e d u c e s p e e d ' .T h e y a r e
derived from the conversionsof energy, material and signalsdiscussedin2.1.2.
So far as is possible, all these data should be accompaniedwith specificationsof
the physical quantities.
In most engineering applications, a combination of all three types of convers i o n i s u s u a l l y i n v o l v e d , w i t h t h e c o n v e r s i o ne i t h e r o f m a t e r i a l o r o f e n e r g y
influencing the function structure decisively.
It is useful to distinguish between main and auxiliary functions. Whtle main
functions are those sub-functions that serve the overall function directly,
auxiliary functions are those that contribute to it indirectly. They have a
supportive or complementary character and are often determined by the nature
of the sofution. These definitions are derived from value analysis [2.4, 2.28,
2.29]1andare not identical for all levels of approach. While it may not always be
possibleto make a clear distinction between main and auxiliary functions, the
tcrms are. nevertheless.useful.
It is also important to examine the relationship between the various subfunctions, and to pay particular attention to their logical sequenceor necessary
interconnection.
As an example, consider the packing of carpet squares, stamped out of a
length of carpet. The first task is to introduce a method of control so that the
perfect squarescan be selected,counted and packed in specifiedlots. The main
flow here is that of material shown in the form of a block diagram in Figure 2.3.
On closer examination we discover that this chain of sub-functionsrequires the
introduction of auxiliary functions because:
-the stamping-out processcreates offcuts that have to be removecl;
-rejects must be removed separately and reprocessecl;ancl
-packing material must be brought in.

25

, ' i I u n c l a m e n t a l so f e n g i n e e r i n gs y s t e m s

,'
*ifffiTfl* 3i;ffi1'0"'
ili1ii.ii,'o,o
L00secarpel

len0in

lTF-ffi

l::':'-'r'-'-'^'-"' rJiJ

n l0ls

l\,'laterial
f 0w l---l lVainlunctron ---

System
boundary

1.3. Function structurefor the packing ofcarpet squares

'l

lrc result is the function structure shown in Fieure 2.4.It will be seenthat the
lrrnction'count squares'can also give the signalto pack the squaresinto lots
ruspccified size.

-1

irernp
lr0m
L'1r(lln

I
.==+ lvaterlal
i---l Marn{unctlon
flow
--- Signal
flow
function
Auxiliary
i_-_-_i
- - - S y s t e mb o u n d a r y
' l. l:unction structurefor the packing of carpet squaresas in Figure 2.3 with
r l r r r r c t i o nas d d e d

llr,,, l'hirus [2.19] has defined functions in general as activities,effects, goals

r orrrtrrintq. In mathematics, a function is the associationof a magnitude y
,r rrrrunituclcx so that a unique value (single-valuedfunction) or more than
r . r l t r c( r n u l t i - v a l u e df u n c t i o n ) o f y i s a s s i g n e d
f o r e v e r y v a l u eo f x . A c c o r d i n g
flrc rlclinilion givcn in DIN69910 l2.al, all functions are determined by
r v c s( t i r s k s ,u c t i v i t i e sc, h a r a c t e r i s t i c s ) .
r t i u u s r v r i t c r s o n c l c s i g nr n c t h o c l s( s c c 1 . 2 . 2 ) h a v e put forward wider or
t t l c l i r r i t i r l nos l g c r t c r l r l l yi r p p l i c i r b l lcu n c l i o n s( s c c -s3)
l l t e o r y . i t i s l l o s s i t r l ct o c l i t s s i l ' yI t t t t e l i o t t ss o t l t l t l t h c l o w c s t l c v e l o f t h e
s l r t t c l t t r c c o t t s i s t sc x c l t t s i v c l Yo l ' I t t l t c l i o t t sl l t t r t c i u n r o t b c s u b - d i v i c l c c l

gcncrlllyupplicrblc,
r wlrilc rcrrrairring

2 Fundamentals

2l

| , r r . l . r n r e n l a ol sl c n g i n c e r i n S
gy\tems

Rodenacker [2.23] has defined functions in terms of two-valued logic, Roth

12.251interms of their general applicability, and Koller 12.12,2.131in terms of
the required physical effects. Krumhauer [2.14] has examined generalfunctions
in the light of possible computer applications during the conceptual design
phase, paying special attention to the relationship between inputs and outputs
after changes in type, magnitude, number, place and time. By and large, he
'change' he refers
arrives at the same functions as Roth, except that by
'increase or
exclusively to changes in the type of input and output, while by
decrease'he refers exclusivelyto changesin magnitude.
As Figure 2.5 shows, all these definitions are compatible if it is remembered
'connect' and'separate'to refer to the logical connections
that Rodenacker uses
only.

cl

.i
ffi
l-

lol

lF r;l
t"it

2.1.4 The physical interrelationship

c.)

cl
N

+
ii
I
a.l

Establishinga function structurefacilitatesthe discoveryof solutionsbecausei

simplifies the general search for them and also because solutions to
functions can be elaborated separatelv.

ci

Individualsub-functions,
by blackboxes,mustnow
originallyrepresented
replacedwith more concretestatements.Sub-functions
are usuallyfulfilled
physical processes-nearly all engineering solutions are based on physi

phenomena. In addition, of course, chemical and biological phenomena m

also be involved, but they are relatively few and far between in our chosenfield.
If, in what follows, we refer to physical processes,we tacitly include the effects
possiblechemical or biological processes.
Physical processes are based on physical effects. A physical effect can
described quantitatively by means of the physical laws governing the physica
quantities involved. Thus the friction effect is described by Coulomb's law
Fs 'b; and the expansi
F p : 1 z F N tl h e l e v e r e f f e c t b y t h e l e v e r l a w F a ' o :
R
o
d
e
nacker [2.23] and Kolle
effect by the expansionlaw ll:
ct'l'A0.
particular,
have collated such effects.
[2.I2], in
Several phvsical effects mav have to be combined in order to fulfil
sub-function. Thus the operation of a bimetal strip is the result of a combina
of two effects, namely thermal expansion and elasticity. If, in concrete cases
these effects are assigned to a sub-function, we obtain the physical principle

E
z

O
cd

I-:TJ

frilE

,-

that sub-function.
Figure2.6 illustratesthe stages-sub-function,physicaleffect.physicalpri
ple and solutionprinciple(see2.1.5)-of three sub-functions(only the inp
and outputs of the main flow are shown):
-transfer torque by the friction effect in accordance with Coulomb's law
-amplify force by the lever effect in accordance with the lcvcr law; a
- make electrical contact by bridging the gap by means of thc cxpansion cf
i n a c c o r d a n c ew i t h t h e l a w o f l i n c a r c x p a n s i o no f s o l i c l so r l i c l u i c l s .
A s u b - f u n c t i o nc a n o f t c n b c l t r l l ' i l l c t lt r y v a r i o u sp h y s i c i r cl l ' l ' c c t s , ' l ' h uisr l i
can bc arrrplil'icd by thc levcr cl'l'cct, ihc wedgc cfl'cct. thc clcclro-ntlgnc

'('
,',
iu
9i
i';
r{

i,i
,rS
"gt ,,,
("
'i ii

s,b
,"r' ,! h

i''
j!

:'

?,
i.i

O
al

nr i\

.!b

ry)

!;;

28

2 Fundamentals

Sub-f
unction

principle
principle Solution
Physical

Physical
eflect
(independent
ol solution)

(Subfunction
and
physical
etlect)

principle
(Physical
and
leatures)
formdesign

Friction

ft:pFn
LeVCI
FA

FA Amplily
,F^
b
muscular

lorceby lever
rs: rei
Fa'a: Fs'b

Expansr
on
q

Zl=u I ZS

by
contact
Close
nsol expanding
ry
mercu
ZI=a l-ZS

Figure2.6.Fulfillingsub-functions
by solutionprinciplesbuilt up of physicalprinciples
andform designfeatures
:ffect, the hydraulic effect etc. The physical principle found to satisfy a
efie
part
rarticular sub-function must, however, be compatible with the physical principles
rles of other, associatedsub-functions. A hydraulic amplifier, for instance,
:annot be directly powered by an electric battery. Moreover, a given physical
canr
prin
rrinciple will fully satisfy a given sub-function under certain conditions only.
Thu
fhus a pneumatic control system will be superior to a mechanical or electrical
:ontrol system only in particular circumstances.
conl
Compatibility and optimum fulfilment cannot generally be assessedexcept in
hc context of the overall function, and then only during its concrete embodi'l'o
ttcrtt.
that cnd, the required layout and final forms have to be specified.

21.1.5
. 1 The form interrelationship
The
fhe function is satisfied by the application of the solution principle, which
real
ealised by the arrangement of surfaces (or spaces) and the choice of motic
[ 2.23).
2.2
The surfacesare varied in respect of, and determined by:
- Type
- Shape
* Position
- Size
*Number
[2.24).

29

I I u l t d a m e n t a l s o f e n g i n e e r i n gs y s t e m s

S i r rilarly
r i l the requisite motions (kinematics) are determined by:
)e
I r'1.1,
translation-rotation
regular-irregular
N l r ture
t
l ) iircction
rc
in x, y, z-directions and/or about x, y, z-axes
rrgnitude velocity etc
N{rtg
, N trrmnb e r
o n e , s e v e r a le t c
we need a general idea of the type of material with which the
t<
l n iircldition,
ccs are to be produced, for example, whether it is solid, liquid or gaseous;
fircc
ftl or flexible; elasticor plastic; stiff, hard or tough; or corrosion-resistant.A
rirl idea of the final form is often insufficient; the properties of the materials
!criri
tr specified before an adequate formulation of the requisite form design
be
fttt
rc undertaken.
trc
I
p r r lIythe combination of the physical principle with the main form design
!urc:s (surfaces,motions and materials) allows the principle of the solution to
. This combination is called the solution orinciple. and it is the first
fcrctte step in the implementation of the solution.
In l';igure 2.6 the examples discussedin 2.I.4 have been converted into
,n principles by the addition of certain form design features.
futi.,r
p'rirr
rrsferring the torque by friction against a cylindrical surface in accordance
l v i r l r Coulomb's law will, depending on the way in which the normal force is
lead to the selection of a shrink fit or a clamp connection as the
I l t P licd,
l
p
rinciple.
r
t
i
o
n
&rl r'
plifying
muscular force with the help of a lever in accordancewith the
Arrtl
'r
r
.'
law
after
determining the pivot and force application points (working
It'
t t r rl ;rces)
;
and consideringthe necessarymotions will lead to a description of
:
principle (lever solution, eccentricsolution etc).
l l t t ' solution
N ; r liing
li
electric contact by bridging a gap using the expansioneffect, applied
l l l r (t'cordancewith the linear expansionlaw, only leads to an overall solution
(
after determination of the size and position of Ihe surfaces needed
l r i l lrt'iple
fot Itltc motion of the expanding medium , a material (mercury) expanding by a
t irmount and serving as a switch.
I t r . ' tl
.rrtisfy the overall function, the solution principles of the various subli' .,
h ' l t t trrrshave to be combined. There are obviously severalways in which this
,
Guideline VDI 222212.211calls
each combination acombination of
I lrr' rltrrrc.
tlcs.
r1,
)n,
ln ",rilny cases, a combination of solution principles must be given more
[ ' r c t c cxpressionbefore it can be evaluated.This involves more definite ideas
hc nratcrialsto be used, a preliminary dimensionedlayout and a technical
ity stucly.As a rule it is not until then that one obtains a solution concept
:irn lrc cvaluated in the light of the objectives and the actual constraints
'l'lrc
solution concept is thc funclamentalproposal of a solution satisfying
.6)
o v c r i r l l l u n c t i o n a n c lh o l c l i n g< l u t t h c p r o r n i s ct h a t t h e t a s k m a y b e r e a l i s e d .

l.''r,.

Irxl. scvcrll conccptvariantsarc possiblc.

*.giiEii-

30

2 Fundamen

2.1.6 General objectivesand constraints

The solution of technical tasks is determined bv the seneral obiectives a
constraints.
The fulfilment of the technical function, the attainment of economic feasibili
and the observance of safety requirements may be considered as genera
objectives. The fulfilment of the technicalfunction alone does not complete t
designer's task; it would simply be an end in itself. Economic feasibility i
another essential requirement, and concern with human and environment
safety must impose itself for ethical reasons.Every one of these objectives h
direct repercussionson the rest.
In addition, the solution of technical problems imposes certain constra
or requirements resulting from ergonomics, production methods, tra
facilities, intended operation etc, no matter whether these constraintsare t
result of the particular task or the general state of technology. In the fi
case we speak of task-specific constraints, in the second of general
straints that, though not specified explicitly, must neverthelessbe taken i
account.
Hubka [2.10] separatesthe properties affectedby the constraintsinto catego
ies based variously on industrial, ergonomic, aesthetic, distribution, deliver
planning, design, production and economic factors.
Besides satisfying the functional, physical and form interrelationships,
solution must also satisfy certain general or task-specificconstraints.These
be classifiedunder the following headings:
- Safety
alsoin the wider senseof reliability
- E,rgonomics
the man-machine
context
- Production
type of manufactureand facilitiesfor the production
parts
- Quality control
at any point during the manufacturing process
- Assembly
during and after manufacture
'f
ransport
inside and outside the factory
Opcration
intended use, handling
Mirintcnuncc
u p k e e p , i n s p e c t i o na n d r e p a i r
lrxpcncliturc
c o s t sa n d s c h e d u l e s
'l'hc
corrstraints thnt can be derived from these characteristicsaffect t
I u n c t i o r . rt,h c w o r k i n g p r i n c i p l e a n d t h e f o r m d e s i g n , a n d a l s o i n f l u e n c e
anothcr. I lcncc they should be treated as checkpoints throughout the desi
process.and adapted to each level of embodiment.
It is advisable to consider them even during the conceptualphase, at least
essence.During the embodiment phase, when the layout and form design of t
more or less qualitatively elaborated concept is first quantified, both t
objectives of the task and also the general and task-specificconstraintsmust
considered in concrete detail. This involves several steos-the collcction
further information, layout and form design, and the elimination of wcirk lin
t o g e t h e r w i t h a f r e s h , i f l i m i t e d , s e a r c ho f s o l u t i o n sf o r a v i r r i c t y o l ' s r r b - l i r

31

I : u n d a m e n t a l so f t h e s y s t e m a t i ca p p r o a c h

rrrlr-functions), until, finally, in the detail phase the elaboration of detail

;nvingsand production documents brings the design processto a conclusion.

2 Fundamentals of the systematicapproach

2.1 General working method
'lirre we deal with the specific steps and rules of systematic
design, we must
cliscussa number of general principles. These come from a host of different
'iplines, including non-technical
ones, and are usually built on inter-disciplinv lundamentals. Management science,psychotogyand philosophy have been
ong the main inspirations, which is not suprising when we consider that
thods designed to improve working procedures impinge on the qualities,
rrrcitiesand limitations of human thought.
I lre following conditions must be satisfied by anyone using a systematic
rr.oach:
l tr.sr,tre
the requisite motivation for the solution of the task, for instance by
tliscussionof the objectivesand of the significanceof the entire project and by
rlcneral intellectual stimulation.
{'larfy the boundary conditions, that is, define the initial and marginal
t onstraints.
I )ispelprejudice to ensure the most wide-rangingpossiblesearchfor solutions
rrrrclto avoid logical errors.
I ttok for variants,that is, find a number of possiblesolutionsfrom which the
lrt'st can be selected.
\ltke decisions.This is facilitated by objective evaluations.without decisions
t l r c r ec a n b e n o p r o g r e s s .

I lrc following proceduresare based not only on our own professional

rl', ricnce,but alsoand aboveall, on the work of Holliger12.8,2.91,
Nadler
' 1t.2.113]and Mtiller
when
used
as
intellectual
tools
in
the
systematic
[2.16].
',rri n for iolutions
;; ;;;"i;;;
;;.ly
and effectivethoughrthey are also
"r.l
( t i heuristic
r,,\\
r i l \ \ ln
l as
lIgUrlSllu
principles.
They underlymostsystematic
procedures
and are
PIII
Lv

r)

rLLrrrorr!

, l , l i er r b l ei n a l l f i e l d s .

I rrltritiveand discursivethought
Itrrrritivc thought involves sudden ideas (flashes of inspiration) and cannot
' r r n r r l l yb c p r o c l u c c ctlo o r c l e r . A s a r u l e . i n t u i t i v e t h o u g h t p r o c e s s e si n v o l v e
t rl v c o n t p l c x i t s s o c i i t t i o n so f i c l c i r s ,c l a b < l r i r t c ci ln t h e s u b c o n s c i o u sm i n d .
I t t r t r g litn l t r i t i o r rh l r sl c c ll o i r l i r r g cr t r r r n b cor l g o o r l l r r r ccl v c n c x c c l l c n ts o l u t i c l n s
p t r r c l vi r r t r r i l i v ci r p p r o l r c lhr t r st l r c l i r l k r u , i r rtgl i s l r t l v i r n t i r g c s :
l l t c r i g l t l i t l c t rr i t r c l vc ( ) n l e sa t t h c r i g h l n l ( ) n r c nsl i r r c r ' i lc i u l t . t (b) tc c l i c i t c c il r l
will:

32

2 Fundamentals

- the resultdependsstronglyon individualtalent

and experience;and
- thereis a dangerthat solutionswill be circumscribed
by one's specialtraini
and experience.
It is therefore advisable to use more deliberate procedures that tackl
problems step by step, and such procedures are called discursive. Here the ster
are chosen intentionally; they can be influenced and communicated. It is
lmportant aspect of this procedure that a problem is rarely tackled as a whole
but is first divided into manageableparts and then analysed.
It must, however, be stressedthat the intuitive and discursivemethods are

opposites.Experiencehas shown that intuition is stimulatedby discursi,

thought.Thus while complexassignments
must alwaysbe tackledone srepar

time, the subsidiary problems involved may, and often should, be solved
intuitive ways.
In systematic work it is helpful to exploit certain general characteristics
human thought. Holliger [2.9] distinguishesbetween unconscious,preconsci<
and consciousthought and prescribesthe transformation of aimlessand uncon
scious procedures and of disorderly and fantasy-charged preconscious proce
dures into a conscious or deliberate approach. This can-be dbne with the help o
methodical rules, clear task formulation and a structured procedure. A furtheiair
to conscious thought is the assoclation of ideas. one should, however, avoid se
complexes of ideas becausethese may turn out to be too inflexible, and

complexes
shouldbe deliberatelydissolved.
It is obviousthat systematic
thou
is neededmore for originaldesignthanfor routinetasks,whichcanqenerallv

performed successfullyeven if the underlying thought processesremain uncon

scious. Another important property of human thought is the inevitability o
errors, for which allowancesshould, if possible,be made from the start. In thi

connection,Holliger speaksof 'catastrophe

analysis'.one should,however,
carefulto minimiseerrorsor the weak links resultingfrom them. This can
doneby:
-clearly definingthe requirementsand constraints
of a particulartask;
-not forcingintuitivesolutionsbut usinga discursive
approach;
-avoiding fixed ideas;and
-adapting methods,proceduresand technicalaids
to the task in hand.
2 Analysis

Analysisis the resolutionof anythingcomplexinto its elementsand the study

theseelementsand of their interrelationships.It calls for identification,deii
tion. structuringand arrangement.
If errorsare to be minimised,then problemsmust be formulatedclearlya
unambiguously.To that end, they have to be analysed.problem analysismez

separating the essential from the inessential and, in the .ur" of .o.

problems,preparinga discursivesolutionby resolutioninto individual.

transparent,
subsidiaryproblems.If the searchfor the solutignprovcs6ifficult,
reformulationof the problem may provc hclpful. Expericncehas shown thi

u n d a m e n t a l so f t h e s y s t e m a t i ca p p r o a c h

JJ

clul analysis and formulation of problems are among the most important
rs of the systematicapproach.

'llrc

solution of a problem can also be brought nearer by structureanalysis,

is, the searchfor hierarchicalstructuresor logicalconnections.In general,
type of analysiscan be said to aim at the demonstrationof similaritiesor

:titive features in different systems(see 5.4).

rnther helpful approach is weak link analysis. It is based on the fact that

causedby ignorance,mistakenideas,external
ry systemhas weaknesses
ances, physical limitations and manufacturingerrors. During the delment of a system it is therefore important to analyse the design concept or

embodimentfor the expresspurposeof discoveringpossibleweak links

prescribing the remedies. To that end special evaluation procedures (see
and weak tink identification methods (see 6.6) have been developed.
rience has shown that this type of analysis may not only lead to specific

ovementsof the chosensolution principle, but also may trigger off new
ion principles.
nthesis
r'.llsis the putting together of parts or elements to produce new effects and
dcrnonstrate that these effects create an overall order. It involves search and
rvcry, and also composition and combination. An essentialfeature of all
rt work is the combination of individual findinss or sub-solutionsinto an

rrllworkingsystem-that is, the association

of components
to form a whole.
irrs the processof synthesisthe information discoveredby analysesis
'csscdas well. In general,it is advisableto basesynthesison global
a
or
rtt.sapproach; in other words to bear in mind the general task or course of

rtswhile workingon sub-tasks

or individualsteps.Unlessthisis done,there
lht' grave risk that, despite the optimisation of individual assembliesor steps,
rtritirbleoverall solution will be reached.Appreciation of this fact is the basis
f lrc inter-disciplinary development known as value analysis which proceeds
thc analysis of the problem and function structure to a global approach
ving the early collaboration of all departments concerned. A global
orrch is also needed in large-scaleprojects, and especially in preparing
tltrlcs by such techniques as Critical Path Analysis. The entire systems
otl is strongly basedon the global approach,which is particularly important
lltt' cvaluation of solution proposalsbecausethe value of a particular solution
ortly be gauged after overall assessmentof all the requirements and
r i r i n t s( s e e5 . t t ) .
rn of labour and collaboration
csscntial finding of management scicnccis that the implementation of large
cttnrplcx tasks calls for the division of labour, the more so as specialisation

'I'his

of modern
is alsodcmandcdby tltc incrcaringlytight schcdulcs

. Now, divisionof labou |nrg!{iFdlrciplinary

f-

which,
collaboration

34

2 Fundament

35

I I r r r r c l a m e n t a losf t h e s y s t e m a t i ca p p r o a c h

in its turn, involves special organisational and staff arrangements and attitude
including individual receptiveness to the ideas of others. It must, however, t
stressed that inter-disciplinary collaboration and teamwork also demand
rigorous allocation of responsibility. Thus the product manager should be in sol
charge of the development of a particular product, regardless of department
boundaries.

shattto hub
Task:
Connect
andhub
Shaft
lnitral
situation.

5 Generally applicable methods

The following general methods provide further support for systematicwork,
are widely used [2.9].
The method of persistentquestions (The 'Why?' technique)

When using systematicprocedures it is often a good idea to keep ask

questionsas a stimulus to fresh thought and intuition. A standard list
questionsalsofostersthe discursive
method.In short,askingquestions
is one o
the most important methodological tools. This explains why many authors ha
drawn up special questionnaires(checklists).

rc 2.7. Develooment of shaft-hub connectionsin accordancewith the method of

rvlrrdsteps

The method of negation

bc made to turn this purely theoretical and ideal systeminto a technologilcasible one, and finally into one that meets all the concreterequirements.
rrtunately, it is rarely possible to specify in advance which particular ideal
rrr will satisfy all functions, especiallythose linked together in a complex

The method of deliberate negation starts from a known solution, splits it in

individual parts or describes it by individual statements, and negates the

statements
one by one or in groups.This deliberateinversionoftencreatesne
solutionpossibilities.
Thus,when considering
a 'rotating'machineelement

might also examine the 'static' case. Moreover, the mere omissionof an elemen
can be tantamount to a negation. This procedure is also known as 'systemati
doubting'[2.9].

Themethodof forward steps

Starting from a first solution attempt, one follows as many paths as
yieldingfurther solutions.This method is also called the method of diverse
thought.It is not necessarily
svstematic.
but frequentlystartswith an unsystem
tic divergence of ideas. The method is illustratedin Figure2.7.
Themethodof backwardsteps
Starting from the objectivesof the development,one retracesall the poss
paths that may have led up to it. This method is also called the melhod
convergent thought, because only such ideas are developed as converge on
ultimate goal.

The method is particularly useful for drawing up production plans an

developingsystemsfor the manufactureof designedcomponents.
It is similarto the methodof Nadler 12.17l,whohasproposedthe constructi
of an ideal systemthat will satisfyall demands.This systemis not developed
practicebut formulatedin the mind. It demandsoptimum conditionssuchas
ideal environment which causes no external disturbances.Having formul

sucha system,there follows a step-by-step

investigationof whal concc

rtrttltod of systematicvariation

of the solutionare known, it is possible,by

requiredcharacteristics
variation,to developa more or lesscompletesolutionfield. This
rlvcs the construction of a generalisedclassification,that is, a schematic
'rcntation of the various characteristicsand possible solutions (see 5.4.3).
rr lhc viewpoint of managementscience,too, it is obvious that the discovery
lrrlrrtions is assistedby the construction and use of classificationschemes.
Ir rrll authors consider systematic variation one of the most important
r t l i c a lp r o c e d u r e s .

2 I'roblem solving as information conversion

ation conversion
we cliscussed
the basic ideas of the systemsapproach (1 .2.3) we found that
a constant flow of information. Information is
solvinq
demands
rrr
(see Figure 2.8).
and
transmitted
proccssed
,
analyses,trend studies,patents,technical
markct
frctm
is
rcceivetl
nrirtion

I , t { . ' l ' l t c c o t t v er s i r l t tr l l '

rn
,Eft-

2 Fundamen

journals, research,licenses,inquiriesfrom customers,concreteassignment

design catalogues, analyses of natural and artificial systems, calculations
experiments, analogies,general and in-house standards and regulations, stoc

sheets,deliveryinstructions,computerdata,test reports,accidentreports,a
also through 'asking questions'.Data collectionis an essentialelement
problemsolving[2.1].
Information is processedby analysisand synthesis,the development
solutionconcepts,calculation,experiment,the elaborationof layout drawin
and also the evaluation of solutions.
Information is transmittedby means of drawings, reports, production do
ments etc. Quite often provision must also be made for the information to
stored.
Information conversion is usually a very complicated process. Thus,
solution of various problems requires information of different type, content a
range. Beyond that, in order to raise the level of information and improve it,
mav be necessarvto reiterate certain steps.
To meet the growing demand for an optimal and rational flow of informati
inside an enterprise, and also about its dealingswith the market, severalspeci
procedures have been developed in recent years. Zimmermann [2.32] h
published a comprehensiveanalysisof these procedures,basedon 74 thesesa

206 bibliographicalentries. What matters above all is, by organisation

measuresand the appropriate techniques,to establisha quick and adequate
of information between the various departments working on a particular
To that end various models have been developedfor processingwritten or

informationto satisfya variety of needs12.221.

It is understandable
that t
researchwork should have been done initially for management systems.
recently this type of researchhas spread to engineeringsystems[2.15], since it
now recognised that technical developments in a particular industry depen
largely on the efficiency and range of its information system.
Useful criteria for evaluating the quality of information will be found in

They include:
-Reliability, that is, the probabilityof the informationbeingtrustworthyan
correct.
-Sharpness, that is, the precision and clarity of the information content.
-Volume
and density, that is, the indication of the number of words a
pictures needed for the description of a system or process.
-Value, that is, the importance of the information to the recipient.
- Actuality, that is, an indication of the point in time when the information
be used.
-Form, that is, the distinction between graphic and alpha-numericdata.
- Originality, that is, an indication of whether or not the original character
the infbrmation must be preserved.
-Complexity, that is, the structure of, or sirnilaritybctwccn, inlirrntirt
s y m b o l sa n d i n f o r m a t i o n c l c r n c r t l s .u r r i t sr l r c o r n l l l c x c s ,
- l ) c g r c c o f r c f ' i n c r n c r ttl l.t i r t i s . l l t c t l r r i r r r l i tovl d c l i r i l i r r t l r c i n l i r n r r i r t i o n .

I ' rrtllutrcntals

31

lrrlilrmation systems
lrrrild up an information system, one may have to take into account, aparl
rr the above criteria, the position of the user (for instance section leader,
l n c r , o r d r a u g h t s m a n ) t; h e d e s i g np h a s e( c o n c e p t u a l ,e m b o d i m e n t ,d e t a i l ) ;
t r p c o f d e s i g n ( o r i g i n a l d e s i g n , a d a p t i v ed e s i g n , v a r i a n t d e s i g n ) ; a n d t h e
plcxity of the system to be developed (for instance plant, machine,
:rnbly, component). The following stepsin the constructionof an information
'nr can be distinguished:
:tcrmination of the requirements;
cntification of the sources;
rllcction:
rrssificationand processing;
)l llge;

: t ri c v a l ; a n d
rrnputerisation,if necessary.
rcral information systems have already proved their practical usefulness.
: rvc shall merely list a few important bibliographicalsourceson information

d a t as y s t e m[s2 . 5 ,2 . 1 5 , 2 . 2 0 ,
i c a t i o n[ 2 . 6 , 2 . 2 I , 2 . 3 4 ]a n do n c o m p l e t e

, .1.33].The most important conceptsof information theory are covered in

.l.l 300 and DIN 44 301 12.2,2.3).
t'onglusien,it must be stressedthat the ready availability of a wide range of
llrellcnsive and problem-oriented information is of the utmost importance in
tflrisn process12.261.The optimum and rational processingof information is
tlr lrrcilitated
b y t h e s y s t e m a t i ca p p r o a c h .

39

I r i er r c r a l p r o b l e m - s o l v i n g

The designprocess

__-:

lo
to
t

t4
IE

In the previous two chapterswe examinedthe

fundamentalson which design
work should be
to best advantage.They form the basisof a
systemaic
.built
approachwhich the
practisingdesignercan foilow, regardlessof specialty,
and
involve a variety of methods,someof which
havestilf to be described.

r=

l=

ta

- ---

t O
t d

I
I
I
____J

3.1 General problem solving

l . l . G e n e r a lp r o b l e m - s o l v i n gp r o c e d u r e

meth,od
invorves
stepbv step
):,::::*Tt "l:::-?!"",:',:y.:
it, weli:?1'T-:.rving
proceed
from
tie
quatitati;,;;;;,";;",',l,oi,'i!,
:::!::.::i^yi,!,,:::r:

each new step being more concrete than

the last.

lj,r:q:"*-*

::I

1."-:r"ydered

as theconversion
of information(see2.2.2).

ru.fi" e.iai,r'ffi ;; J;.,

: n"r".nroi"'utiJ,il;;;;;;Ji;";;;;,";,'i
Thigher
lrt::: ::* .1^y,',
11 "I it.9".o
"p "
is,"1,
to repear
at
a
!v rvrrur4re"lfti;
I
:"r^,1"t"r,'that
the necessary improvement

virriant is selected. Because each step of the design process must be

tcd, evaluation servesas a check on progresstowards the objective.
:isionsinvolve the following considerations(see Figure 3.2):
lhc results of the previous step meet the objective, the next step can be
are incompatible with the objective the next step may not be

has beei made.

conversionof informationprovidesdata not only

for the
next
step, however small, but also throws fresh iight
"^lt"i:"r*l:"".1y
on tr," fr"uious one.
The splitting of the designprocessinto stepsensures
.
that the essentiallinks
be^tween
objectives,planniig, implementation andchecking
are maintained [ 3 . 1 ,

Repeat
thestep
0 na n r g n e r
information
level

3.e].

With theselinks we can,following Krick

or::j:T::

[3.2] andpenny

[3.5],
generar
sotutiori
orprourem'sirir"r"
llr).
f:1.1.

Every task invotves-,first.of atl, a confro";";;;;;f

il;;;;;iem

construct a

with

what is
already known. The intensity of this confrontation
depends on the designer,s
knowledge, ability and expeiience, and
on the particular field inr r which
vt rrrvrr
rtu
he
is
tJ

however,
more-detailediniormarion
abourihetaskitself,
lliii"i;^t"^1t]:T:r;
about possibtesolutionprinciplesand about known
3];.1,,^ll.^.::,lljraints,
olems
.rrv

0."
:?,lJ:::'Tl-il
of the requirements.

140\

rtJgtl,

Afolheresu
ts
In
salrslactory
l(rrnrs
ol
lhcobiccl
ve?

isextre
mely
"r"rrf "i ll.r;tffi i'i ;#; #.l:;

Nextcomes the definition of the essential problems

(the crux of the task) on a
mo^re.abstract plane, to.ut
fix the objectives and chief constraints. Such
1o
definitions, far from prejudging
the issue, open the way to the untrammclrcd
search for solutions, including unconventional
ones.

lT,::llrl:f

is creTtjon,when
solutions
aredeveloped
by variousmc.ns.nd

'y'.1",T,ticauy
rr,n."",Ir,;'"';iil;;i'il'1.;;:
ji:l"jl1.i,,1.:.i::Tlif".l
thcre mustalsr hc evuruution,
foll'wcd riy a deci;;itt,,
.n thc trrisisof wtrich

Ooncrrldesirionprrrcctr

ls a repetition
ol the
steplinancially
viable
andpromising?

40

3 T h e d e s i g np r o c e s s

Flow of work during the designprocess

If repetition of the previous step (or if necessaryof severalprecedingsteps)is

financially viable and promises good results, the step must be repeated on a
higher information level.
- If the answer to the previous question is no, the development must be
stopped.
Even if the results of a particular step do not meet the objective, they might
neverthelessprove useful if the objective or the task were wholly or partly
changed.
This whole process, leading from confrontation through creation to decision,
must be repeated in each successive,increasinglyconcrete, phase of the design
process.

3.2 Flow of work during the designprocess

II
-t

=:

Clarify
thetask
Elaborate
thespecilication

-9o

problems
ldentily
essential
Establish
function
structures
principles
Search
lorsolution
Combine
andlirmupintoconcept
varlants
Evaluate
against
technical
andeconomic
criteria

ll
o

'--

=O

The main phasesinvolved are:

- Clarification of the task
- Conceptual design
- Embodiment design
- Detail design.
Figure 3.3 shows this processstep by step. At every step, a decisionhas to be
made as to whether the next step can be taken or whether previous steps have
first to be repeated. Continuing right to the end only to discover that a serious
mistake has been made at an earlier stage is somethingthat must be avoided at
all costs.
The obvious decision to stop a development that may not prove cost-effective
(3.1) has not been included in the flow diagram.
Clarification of the task
This phase involves the collection of information about the requirements to be
embodied in the solution and also about the constraints.
It is followed by the drawing up and elaboration of the detailed specification

.2
E
O

preliminary
Develop
layouts
andl0rmdesrgns
Select
bestpreliminary
layouts
Reline
andevaluate
against
technical
andeconomic
criteria

E
E

. oq
E

E
E

variants. The conceptual designphase consistsof severalsteps (see 5.1) none

which may be skipped if the most promising solution concept is to be reached. I

.E
E

0plmiseandcomplete
formdesigns
(lhcck
f0rerr0rs
andcosteffectiveness
parts
l'rr:pare
thepreliminary
listandproducti0n
documents

I rrr;t
t:;t;dt;lails
(,ompktlu
rJclai
drawngs
andproduction
documents
{ilrtr;k
;rlldocLtmenls

.6

-6

the subsequentembodimentand detail designphasesit is extremelydifficult

impossible to correct fundamental shortcomings of the concept. A successf
solution is more likely to spring from the choice of the most appropria
principles than from exaggerated concentration on the finer points. This clai
does not conflict with the fact that even the best principles may be frustratccl by
l a c k o f a t t e n t i o nt o d e t a i l .

Conceptualdesign
The conceptual design phase involves the establishment of function structures

(requirements
list) (see4.2).

the searchfor suitable solution principles and their combinationinto co

;
=

t
I

Steprof thedcrignprrrcs
'...'*l&*

42

3 The design process

The concept variants that have been eraborated

must now be evaluated.
_
variants that do not satisfy the demands of
the specification have to be
eliminated; the rest must be judged by the methodical
application of specific
criteria. During this phase, the chief ciiteria are
of a technical nature, though
rough economic criteria have also begun to play part
a
(see 5.g). on the basisof
the evaluation the best solution concept can now
be selected.
It mav be that severalconceptvarianis look equally promising,
and that a final
decisioncan only be reached on a more concrete
level. Moreover, various form
designsmay satisfy one and the same solution conceot.
Embodiment design
D u r i n g t h i s p h a s e .t h e d e signer,
i
starting from the concept, determinesthe lavout

and forms, and develops a technicai product o. ,yrt.-

i.

technical and economic considerations(iee

""";;l;;;'#,h
[3.7] and[3.g]).
It is often necessaryto produce several layouts
to ,.ui" simultaneouslyor
successivelyin order to obtain more information
about the advantagesand
disadvantagesof the different variants and thus pave
the way for a technicaland
economic evaluation.
Frequently, the evaluation of individual variants may
lead to the selectionof
one that looks particularly promising but which may
neverthelessbenefit from,
and be further improved by, incorporating ideas
and solutions from the others.
By appropriate combination and tire elimlnation
of weak links, the best layout
can then be obtained.
definitive layout provides a check of function, strength,
spatial compati, ..Thut
bility etc, and it is also at this stage, at the very latest,
that t*hefinancialviability
of the project must be assessed.
Detail tlesign
This is the phase of the design process in
which the arrangement, fbrm,
dimensions and surface prop".ties of all the
individual parts are finally laid
ooyn:.r1" m-aterialsspecified,the technical and
economic ieasibility re-checked
and all the drawings and other production documents
p.oau."Jl:.7, 3.g1.
It is important that the designershould not relax his vigilance
at this stage,lest
his ideasand plans be changedout of recognition. It
is a mistake to think that the
detail design poses subordinate problemJacking in
importance or interest. As
we said earlier, the difficulties frequently arise from
lack of attention to 6etail.

Quite often correctionsmustbe mioe ouringthisphaseand the prece<ling

steps
repeated'not so much with regardto the overallsolution,
as for the im-prove-

ment of assembliesand components.

In the flow diagram (Figuie 3.3), the crucial activities
are:
- Optimisation of the principle;
and
- Optimisation of the layout
and forms.
Theyinfluence each other and, as the figure shows, overlap
to a consicrcratrll
extent. It is obvious that important production criteria (such
as maximunr sizc
production mcthods etc) can play a crucial rore
c v c n c r u r i n gt h c c ' n c c p t

A'

I Flow of work during the designprocess

+J

phase, much as the range of possible materials and the spatial requirements
irrl'luence the choice of a particular solution during the embodiment design
plurse.In general, however, the optimisation of the form designsand hence of
lhc manufacturing processes will begin to assume growing importance as
e r r r b o d i m e npt r o c e e d s .
'fhe
main phases of the design process cannot always be clearly delimited.
'l
hus even a conceptual decision may require a scale drawing for the purpose of
:ciding on possiblelayouts. Conversely,the preliminary layout selectedduring
hc embodiment design phase may involve nothing more than rough sketches
3.31.Moreover, certain optimisations may be postponed until the detail design
itse. Such variations of the design process in no way detract from the value of
: general scheme.
l;igure 3.3 does not include models and prototypes becausethe information
:y supply may be needed at any point in the design process and cannot
:refore be fitted into any particular slot. In many cases,models and prototypes
vc to be developed even during the conceptualphase, particularly when they
: intended to clarify fundamental questionsin, say, the precisionengineering,
ctronics and mass production industries. In heavy engineering,on the other
rrd, if prototypes are needed at all, they must often be precededby a complete
rr through the detail design phase.
It rnust also be stressedthat the execution oforders (1.1) need not be part of
' clesign process, especially not in the case of size ranges and modular
rrrlucts,where electronic data processingcan help to reduce the work to a
tnple consultation of data banks. Apart from general layout drawings and
'rrrbly plans, no further design or drawing work is needed.

lrr (iuideline VDI 2222 [3.6) the designprocessis representedby a flow

rrrm (Figure 3.4) which we have included here becauseof its visual impact
I rrlsofor purposesof comparison. On it, the embodiment designphase is not
tlrvicledto the same extent as it is in Figure 3.3 or as we shall be dividing it up
( ' l r i r p t e6r .
( )rr looking at Figure 3.3, and after reading about the methods described in
lolkrwing chapters,the practising designermay well object that he lacks the
' to go through every one of the many steps. He should bear in mind that:
rrrostof the stepshave to be taken in any case,albeit unconsciously,in which
t ' ; r s cr r n f o r s e e nc o n s e q u e n c e m
s ay arise:
lltc rlcliberate step-by-step procedure, on the other hand, ensures that
notltirtg cssentialhas been overlooked or ignored, and is therefore indispenstltlc in thc case of original designs;
In tlrc casc of adaptive designs, it is possible to resort to time-tested
rachcsancl to reservethe step-by-stepprocedure for speciallypromising
$cs I
thc dcsigncr is cxpcctccl to pnrducc bctlcr rcsults. then he must be given the

rt| timc tlrc systcmirtic

approuchdcmands;and
hcconrcsmorc occuratcif thc ttcp-by-stcpnrcthodis followccl

--*fr*--

3 Thc dcsignProcess

44

trl

Tasks

EE

a
m

-E

s4

4 Product planning and clarificationof the task

task
Selected
lunction
Overall
t0
(Function
structure
Subjunctions
lunction)
theoverall
meet
principles
and/orbuilding
Solutron
forthesub-lunctions
blocks

prrnciples
and/or
s0luti0n
@ Selected
blocks
building

a
E

to
ofptinciples
Qsrn[tnstions
tunction
fulliltheoverall

-o

C
O

V
-

(r0ugh
dimensioned
variants
Concept
orlaYouts)
sketches
@

concePt
Solution
lay0ut
!irns65i6ned

@
a

0tprinciples
c0mbinati0n
Selected

lnprouedla1oul
aSSemDlles
Selected

Assignments are set not only by clients but increasingly, and especiallyin the
cuse of original designs, they originate in the special planning dipartments of
eompanies.In that case,the designersare bound by the planning ideasof others.
lrven then, however, the designer'sspecial skills wiil prove most useful in the
ltredium and long-term planning of products. The senior staff of the design
dcpartment should therefore maintain close contacts not only with the production department, but also with the product planning department.
l'lanning can also be done by outside bodies, for instance by the authorities,
bv planning committees etc.
llcfore he takes the first step, by proceedingto the clarification of the task in
hlrlcl' the designer should familiarise himself *itn tne principles and procedures
ol grroductplanning.

E
E

=
D

ol assemDlles
variants
Formdesrgn

E
U

A
NI

assemottes
0ptimum
FinallaYout

ol components
deslgn
Detail

rrrm
*

documents
Plgiu6lion
lists.
instructl0ns)
oarts
ldrawings.

Figure3.4.Flow diagramofthe designprocess'from [3'6]

Experiencehasshownthat'byandlarge,theresultsof.thestep-byconventi
procedure compare favourably with those involved in the
approach.

.l Product planning
l.l Taskandprocedures
e l.rg 11commercial product can be designedthere has tobe aprocluctidea;thar
, rnt' lhat promisesto lead to technicallyand economicallyviable applications.
z\t ctrrcfing to Brankamp [4.2] and
[4.77], product planning is the systematic
ttt h lirr. and selectionand development of, promising product ideas.In many
rIrrrrics,accordingly, the product planning department is expectedto follow
rlt'r'ckrpment of the product idea in the design and manufacturing departtr irncl to watch over its market behaviour. In this book we shall only be
rrrr witlr product planning in the narrower sense.while it is often left to the
irrg clircctor or other responsible individuals to develop and market the
grrotlrrctat the right time, it is now increasinglyacceptedthat innovations
tl bc systcmatically planned. A very important aspect of the systematic
It is that it provides a better prediction of the timing and costs of a
i r t 'l ) r ( ) . l c c t .
r l i r t t u l u s l i r r i r p r o c l u c tp l a n c a n c o m e from outside or from within the
y , W c i r c c o r c l i n g l cy l i s t i n g u i s hb c t w c c n c x t c r n a l a n d i n t e r n a ls t i m u l i .
t t l l n d c c o l l o r n i co b s o l c s c c n c co l ' t h c c ( ) n l P a n y ' sp r o d u c t s ,i d c n t i l ' i c c l
by n drop in lurnoveri

46

4 P r o d u c t p l a n n i n g a n d c l a r i f i c a t i o n o f t h e task

discovery of new researchdata, proceduresor technologies;

market requirements;
- economic and political changes; and
-technical and economic superiority of competing products'
Internal stimuli include:
capacitY;
- drop in profitabilitY;
- n"* discoveries by the company research department; and
- introduction of new production methods'

-the

Therehavebeennu-",ou,proposalsforasystematicandorganisedapproach
o
involve the following
D
,o pioOu", planning [4.4, 4.6, 4.i-, 4.I4,4.15] all of which
steps:
-situation analysis and definition of company objectives;
-discovery of Product ideas;
-product selection; and
- product definition.
(I'2'3)'
These steps are compatible with the general systems approach

4.1.2 Situationanalysisand definitionof companyobjectives

are am
Market analysisand clarificationof companypotentialand.objectives
the most important first stepsof successfulproduct planning' ^.
Market analysisis first of all appliedto the turnover and profit situation.
gre
timely detection of profit shortfills and their correction are clearly of
aspects:
impoitance.Next the analysisis extendedto the following external
- socio-political and environmental requirements (including laws
regulations);
- limits of growth;
- overall market develoPments;
- economic conditions; and
- technological develoPments.
The accuracy of the analysis is impeded by:
- market fluctuations;
- decreasing life cycles of products; and
-uncertain forecasts.
of
An important aspect of product planning over and above the analysis

externaliactors isitre anitysis of internal data, representedby the companv

potential and its actual situation. The company potential charactertses
Kraa
tverall capacityof an enterpriseto meet a demand.Kehrmann[4.6] and
a
compa
of
areas
and
types
the
surveyof
[a.9]have-ud" u comp.eh"nsive
potential (Figure 4.1)
pr
Apart from data obtained from outside and inside the company'
objectives.
company's
the
of
planning also calls for a clear definition
objectives may include:
- i i g t t m a r k e t g r o w t h a n d a g o o d s h a r eo f t h c m a r k c t :

I I Product planning

4j

high flexibility in case of market fluctuations; and

high rates of profit and good liquidity.
Market conditions, company objectives and company potential define the
rrrca in which the search for a new product can be usefully pursued. That area is

Areaol
potentialDevelopmenl
lypeot
notential

Information

t acilities

l'rtrson
nel

I lltance

Procurement Production

Distribution

Experience
Fvnpripnro
Experience
Experience
- Development
- Procedure
of
Negotiation
ol
Publicity
functions
and
- Customer
delivery
terms
Preparation
service
- 0rganisational
properties
- 0rganisational
Materials
- Working
principles methods
Dimensions melhods
0rgan
isational Purchasing
organiPrecision
Sales
organisation
- 0rganisational Customer
meth0ds
sation
relations
Trademark
rights
withsuppliers methods
Contacts
Sale
negotiators
- Patents
- Materials,
- Final
bought- 0rgan
isationai
buyer
- Ltcences
outparts
Structure
etc
Resources
etc
etc
etc
Fnrrinmpnt
Property,
Means
Buildings Branches
of developmenl
- Experimental
lields Means
of transporl Infrastructure
Equipment
- Test
equipment
Means
ol production Means
ol transport
etc
etc
etc
etc
Research
statf
Designers
Draughtsmen
etc

Staff
- Insidestaff
- Outside
stalf

Professional
staff
Auxillary
stalf
etc

etc

Stafl
- Inside
staff
0utside
staff
etc

Budget;
long-term
linance

g r r r t ' - 1 .T1y. p e sa n da r e a so f a c o m p a n y 'pso t e n t i a la, f t e r

[4.6]
vr crrllcda searchfield 14.2,4.6].In the final determination of a searchfield. il
lr bc nssssary to take severaladditional factors into account (seeFigure 4.2).
Ic lroundariesof a searchfield depend strongly on the planning horizon-that
| .n Ihc time scale (short-term or long-term) set for product planning.
'l'lrc
s.me approach underlies the procedural plan shown in Figure 4.3.

l..l l)iscovery of product ideas

searchfor newproductideas.
f cru* ol productplanningis the systematic
ideasarc cssentially
mcthodsfor findingsolutionsas
)thodsol' discovcring
('hlptcr 5, anclshoukl be buscdon thc gcncral*-ting method
in
fsribcd
lurrcd in 2,2,1.
-r-r-.-

, 1 P r o c l u c tp l a n n i n g a n d c l a r i l i c a t i o n o f t h e t a s k

49

Clarification ol' the task

Therearecases,however,inwhichtheseproceduresalonedonotleadtothe
discoveryofconcreteproducticleas.Insteadtheythrowupinterestingquestions
for whicir solution ideas must first be elaborated'

- Environmental
control
regulations
Salety
regulations
Factory
- Standards

demands
Market
- Market
potential
- Market
structure
- Market
share
Competition

measures
Economic
Financial
Polic\/
policY
Fiscal
- Customs
agreements
regulations
Export

field
Search

{ields
of search
Determination

Procedure
- Methods
- Materials

Aimsof enterprise
Lilecyclesof Products
Costs,Protits
Enterprise
Potential
Limitsof Potentlal
expansion

situatton
andlicence
Patent
- lnternationalrsatlon
- Population
growth
- Education
develoPments
Military

I r l r r r e4 . 3 . P r o d u c t p l a n n i n g

.1.1.5 Product definition

'I

Fisure 4.2. External and internal

iniormation for the determination
of searchfields, atler [4.6]

4.1.4 Product selection

The selection of promising product ideas is of great importance becauseof t
expenseof subsequentdevelopments.Such selectioncannot, of course,be mo
t
than rough and ready at this stage, when still relatively little is known about
to
product
theof
properties
or
the
idea
product
ihe
of
impleme-ntation
develooed from it. Here, too, it may be advisableto make a feasibility st
before beginning the search for a concrete solution'
With a great many product ideas it is advisableto make a selectionfor
purpose oT identifying t6or" product ideas that seem to fit in bcst with
I'url
.o-puny'r or othei generalobjectives. This step should be followcd by a
l
i
s
tcd
evaluatitn (see 5.8) based on the technicalancl ccononriccritcriit

, 4.e]
[4.1

lr, last step of product planning, namely 'product definition', involves the
rg,,t il'ication of the most important features and requirements of the final
frr,rtluct.Such definitions or proposals are usually submitted to the company
lrr',1111
$efs1e they are acted upon. They are best presented in the form of a
rrrrrlrlified specification or requirements list (see 4.2) which must later be
, r r r p l c t e da n d e l a b o r a t e db y t h e d e s i g nd e p a r t m e n t .

.2 Clarification of the task

l. |

'I'he

importance of task clarification

t l es i g t t c r ' sw o r k s t i t r l sw i l l t i t p i r r t i c r r l r r r ' p r o b l c[r' n

. v. c r vt a s ki n v o l v c sc c r t l r i n
t t l t i t t l s t l u t t t t t i r vc l t i r n g cw i l h t i r r r c l r r r l r r r r r s hl c l r r l l y u r r d c r s t r l o ri l t h c
I t t t t t t ts r t l t t t i r l tits t o l t c l o t u t t l , l j r o n t l h c v c r y ( ) u l $ c l .t l r c i c t i r r c .t l r e t l r s k r n t r s l
r l c l i t t c d i r s l u l l v i u t t l c l c i r r l yi t s p o r u i b l cf f r t h $ t u m p l i l ' i c i r l i o r r r ; r r rcrol r r c c l i o r r s

,l Product planning and clarificationof the task

50

To that
during its subsequentelaborationcan be confinedto the most essential'
(requirements
end, ind also as a basisfor subsequentdecisions,a specification
in
list) [4.10,4.11]shouldalwaysbe drawnup and consulted.It is indispensable
the caseof originaldesigns.
-presented
to the designor developmentdepartmentin
The task is generally
one of the following forms:
-aSadevelopmentorder(fromoutsideorfromtheproductplanning
department);
definiteorder; or
-asarequestbasedon,forinstance,suggestionsandcriticismbysales'
itself.
research,test or assembiystaff, or originatingin the designdepartment
and
one
hand
the
on
proposer
or
Without closecontactbetweenthe client
can
solution
optimum
no
other,
the
thosein chargeof the designdepartmenton
often
department,
design
the
to
presented
be expected6".u,,*" the pioblem, as
further data
does not contain all the necessaryinformation. A phase of
following
the
answer
must
phase
This
collection must then be initiated.
questions:
- What is the ProblemreallYabout?
- What implicit wishesand expectationsare involved?
- Do the specifiedconstraintsactuallyexist?and
- What paths are open for development?
formulation
Fixed iolution ideas or concreteindicationsimplicit in the task
function
required
the
Only
outcome.
final
the
on
often have an adverseeffect
should
constraints
task-specific
the
and
outputs
with the appropriateinputs and
be
must
questions
following
the
purpose
that
For
be specifiedrigtrt at the start.
asked:
-Whatobjectivesistheintendedsolutionexpectedtosatisfy?
- What proPertiesmust it have?and
- What propertiesmust it not have?
departme
eny geneial requirementsnot specifiedby the product planning
department' T
must be assessedin terms of information collected by the design
that end, the following factors should be examined:

:1.2Clarification of the task

3.
-

51

Standards and guidelines

International recommendations.
National standards.
Expert advice.

4. Future developments
-Allowing
for changesin requirements ancl fashion.
- observing new projects so
as to determine the trends of technical and
economic developments.
- Developing ideas that best meet
customers'wishes.
once all the necessarydata have been collected, it is advisableto combine
them into a system basedon the establishedstepsof the designprocess.
For that
l)urpose a general specification should be drawn up, namely, a more detailed
rcquirements list than the one supplied by the customer.

4.2.2 The specification(requirementslist)

t Contents
Whcn preparing a detailed specification it is essential to state whether the
irrrlividualitems are demands or wishes.
I)amands are requirementsthat must be met under all circumstances,in other
$o1{5, requirements without whose fulfilment the solution is not acceptable(for
irrrtrrncesuch qualitative demands as 'suitable for tropical conditions', ,splashprrol'' etc). Minimum demands must be formulated as such (for examole
l' ' 20 kW; L < 400 mm).
ll'i,rftesare requirements that should be taken into considerationwhenever
possible,perhaps with the stipulation that they only warrant limited increasesin
r"t It is advisable to classify wishes as being of major, medium or minor
l ) ( ) r t a n c [e4 . 1 3 ] .
lhc distinction between demands and wishes is also important at the
,rlrrirtionstage, sinceselection(see 5.6) dependson the fulfilment of demands,
rlt' L'vuluation (see 5.8) bears on only such variants as already meet the
t;rttcls

l. Possible com7anY shortcomings

-Evaluationofenquiriestothesalesdepartment.Thisevaluationclarifiest
customer'srequirements.Itisimportanttoevaluateenquiriesratherth
firmorders,whichalreadyrepresenttheselectionofaspecificproduct'
- Customers' comPlaints.
-Assembly and test reports.
2.
-

Stateof technologY
ComPetitors' Programmes'
tcchnical jtltrrnitls ancl ntttlttt
Acc<luntstlf sinrilitr stllutions in tcxtbotlks,
S t u c l Yt t l P a t c n t s '

l'r'crr bcfore a certain solution is adopted, a list of demandsand wishesshould

rlurwr.rup and the quantitativeand qualitativeaspectstabulated.only then

I tlrt' resultinginformationbe adequate:
ttrty: All data involving numbers and magnitudes,such as number of items
rccluired, maximum weight, power output, throughput, volume flow
rittc ctc.
ity: All data involving permissiblevariationsor specialrequirementssuch
ils watcrproof, corrosi<tnproof, shock proof etc.
G g u i r c n t c n t ss h o u l c l .i f p o s s i b l c ,b c q u a n t i f i c c la n c l ,i n a n y c a s e ,c l e f i n e di n
c l c s r c s t p t l s s i b l ct c r m s . S p c c i a l i n d i c u t i o n so l ' i n r p o r t i u r t i n f l u c n c c s .i n t c n -

or procedurcsmuy llso be includcdin thc rpccificltion,which is thus an

52

4 Product planning and clarification of the task

internal digest of all the demands and wishes expressed in the language of the
various departments involved in the design process. As a result, the specification
not only reflects the initial position but, since it is continually reviewed, also
serves as an up-to-date working document. In addition it is a record that can, if
necessary,be presented to the board and the sales department so that they may
make their objections known before the actual work is started.
2 Format

1.2 Clarification ol the task

53

crnphasismust always be entered in the specification,which will then reflect the

progressof the project at any one time.
Responsibility for this work is vested in the chief designer. The updated
specification should be circulated among all departments concerned with the
tlevelopment of the product (management, sales,accounts, researchetc). The
specificationcan only be changed or extended by decision of those in charge of
lhe overall project.
3 Listing the requirements

For a recommended layout of a specification,see Figure 4.4.

The format of the specification should be agreed with the company's standards
office so that it can be used, elaborated and adopted in as many departments as
possible. Figure 4.4 is thus no more than a suggestionthat can, of course, be
modified at will.

veor orooeily
Oblecl
wilhquanl
kl veand
quar
tal!e
dala

I necessry
spil nloslb{yslems
(l!nclonsor assemb
les)
of baseon checkiht
headings

Figure4.4. Layout of a
specification

It may prove useful to draw up the specificationin order of sub-systems

(functions or assemblies)where such can be identified, or else by checklist
headings(see4.2.2.3).With established
solutions,in whichthe assemblies
to
developed or improved are already determined, the specificationmust
arranged in accordance with these-special design groups are usually put i
charge of the development of each assembly. With motor cars, for instance, t

sp'ecificationcan be subdividedinto engine, transmissionand bodywork

velopment.
In the case of essentialand also of less obvious reouirements it is extre
useful to record the source of specific demands or wishes. It is then possible to
back to the proposer and to enquire into his actual motives. This is partic
important when the question arises of whether or not the demands can
phangedin the light of subsequentdevelopments.
Such change.rin, and additions to" the original task as might rcsult from
b c t t c r u n d c r s t a n d i n g o f s o l u t i < l n p o s s i b i l i t i c so r f r o m p o s s i b l c c h t n g c s

As a rule designers have some difficulty in drawing up their first specification.

l:xperience, however, will greatly facilitate the compilation of subsequentones.
It is useful to head all specificationswith a description of the overall task and
some characteristicdata, for example'Induction motor, rating 63 kW,4-pole'.
'l'his
helps to convey some idea of the nature and scope of the problem.
Further data are collected with the help of a checklist reflecting the general
anclspecific objectives and constraints.By applying this checklist to the task in
hrrnd and then asking what questions he needs to have answered,the designer
rrrayelicit a most beneficial associationof ideas.
Franke [4.3] has drawn up a very detailed checklist,basedon a searchmatrix.
('hccklists and questionnairesare particularly usefulif they cover no more than a
lirnited field, if they do not date too quickly, and if they can be taken in at a
glirnce. In this book we shall deliberately refrain from presenting detailed
tlrrcstionnaires-it is our considered opinion that easily memorised checklists
rrith regular headings will help the designerto hit upon the essentialquestions
;rrrlonatically, and without laborious aids.
'I'lrc
first step in the clarification of the task is the elucidation of the necessary
Irrrtctionsand task-specificconstraints. This is done by reference to the followtrru lrcadings: geometry-kinematics-forces-energy-material-signals.
The
lorrrbination of the relevant concepts produces a welcome redundancy and
Ircrrccan important check that nothing essentialhas been forgotten.
I'lrc remaining general or task-specificconstraintscome under the headings
frstcrfin 2.1.6 and must be taken into account time and again.
( )ncc the data have been gathered, they must be combined in a sensibleway.
'lo
thlrt end, numbering of individual items may prove useful.
lrr thc light of the arguments advanced in this chapter, the following general
Itcllrocl of compiling specificationscan now be recommended:
('onrpilc the requirements
l'ly attcntion to the main headingsof the checklist(Figure 4.5) and determine
l l t c c p r a n t i t a t i v ea n d t h e q u a l i t a t i v ed a t a .
Ask:
Whlt objcctivcsmust thc solutionsatisfy'?
Whlt propcrtics must it havc'/

Whutpropertics
mustit not havc?
furthcr
information
Compile
'*--

55

.l Product planning and clarificationol the task

54

Mainheadings

Examples

;SUEd:NOV

VEPAG
PACKING
CO.

Specification

Geometry

arrangement,
number,
spacerequirement,
length,diameter,
Size,height,breadth,
extensron.
connection,

Kinematics
Forces

velocity,
acceleratl0n.
Type
ofmotion,
direction
ofmotion,
stiff
ness,
weight,
load,
detormation,
lrequency,
magnitude
of force,
Direction
of force,
res0nance.
inlertia
f0rces,
elasticity,

Energy

pressure,
heating,
temperature,
ventilati0n,
state,
loss,friction,
elficiency,
0utput,
c0nve'si0n.
capacitV.
supply.
storage.
cooling,

Material

Flowandtransport
of materials.
propertres
auxl arymaterials,
Physica
andchemical
oltheint a andf nalproduct,
prescr
atl0ns
etc).
als(toodregu
bedmater

Probablelolerance:
t I mm

control
equipment.
Inputs
lorrn,
display,
andoutputs,

(Project
y Bll allowl0raul0malic
leed'inln duecOurs
conference
Cardb0ard
sediOns
fedif mafual
lgi70)
, nu165

Signals
Satety

protecti0n
Operational
andenvrronmental
salety.
Direct
systems,

Ergonomics

height,
clearness
0t layout,
relationship,
typeol operation,
operating
Man-machine
compatibility.
lighting,
shape
sitting
comfort,
pr0ducti0n
prelerred
rnethods,
possible
I mitations,
maximum
dimensrons,
Factory
qualtyandtolerances,
wastage.
means
achievable
ofproduction,

Producti
on
control
0uality

regulations
andstandards.
application
ofspecial
Possibilities
oftesting
andmeasuring,

Assembly

foundatlons.
installation,
siting,
regulations,
Special

Transport

(height
nature
andweight),
clearance,
means
0ftransport
dueto liftinggear,
LimitatiOns
andconditions
ol despatch.

0peration

(lorexample,
sulphurous
area,
destinati0n
wear,
special
uses,marketing
0uietness,
tropical
conditi0ns).
atmosphere,

Maintenance

painting,
cleaning
(il any),inspecti0n,
exchange
andrepatr,
intervals
Servicing

Costs

permissible
investment
anddeprecrati0n.
manufacturing
costs,
costoftools,
lvlaximum

les
Schedu

project
planning
date.
andc0ntro1,
delivery
Enddateol development,

for

Sub-task: assemble
cartons

)hanges D Requirements
W

Resp.

Assemble
andgluel5 carlons/mln
ai?o

^f

hn"^hr

^, I ca^ri^nc

Alternatives
500 x 500mm
400 x 400mm
450x 450mm (onlyl0%)

if anyol lhree
dlrect
ons
Carl0ns
capable
0l benq rem0ved

151121
r970

bar
Available
airoressure:6
lheassembled
cartons
COunler
required
f0rcOuftlng
quick
y m0veable
Machine
wllhout
lurther
adjustmenl
ngthe
Gluenq 0n leavngthemachine
0l bear
thgiuemuslhave
setandthecarl0ns
mustbecapable
lull load.
c leedmechan
sm
in Outpul
n withaul0mal
Workng prnclple
musla lowincrease
t0 30 carlors/m
min!ls
20i70)
c0r{cfcfcc
Maxm!mprodrcl
0nc0slsDl/ I 5000 (Pr0jecl
End ol developmenl
Schedule:
Planfeddeliverydate

Once the task has been adequatelyclarified and the relevant departments itre
s a t i s f i e ctlh a t t h c l i s t e d r e q u i r e m e n t sa r e t e c h n i c a l l ya n c l c c o n o m i c i t l l yi t t t i t i
i r b l c . t h c w i t v i s c l c i r r l i l r t h c c o r t c c p t u u lc l c s i g nl t h i t s c .

Smith
s
gr0up

placed
0nlher base
Assembled
cartons
0n cofveyor
belt1yln0
ll00rleve:300mm
Heighl
0f convey0r
beltab0ve

F i g u r e4 . 5 .C h e c k l i sf to r d r a w i n gu p a s p e c i f i c a t i o n

- Specify demands and wishes clearly.

-If
possible, rank wishes as being of major, medium or minor importance.
2. Arrange the requirements in clear order, as follows:
-First define the main objective and the main characteristics;
-then
split into identifiable sub-systems,functions, assemblies etc, or in
accordancewith the main headings of the checklist.
3. Enter the specification on standard forms and circulate among interested
departments"licensees,directors etc.
4. Examine objections and amendments and, if necessary,incorporate them in
the specification.

Page:1

311311971
1l7 11911

21,'1i71

m f!les2ill P0nt2)
c0nlerence
ncw Ihsetln0limcls (Prolecl
fl0lmeI gluenqmach

lll/ I,'7l

putchased
cOstD[/ 6000
ftom0!tsideAdditional
equlpment
Gl!cing

I )t'11

(induslria
safety)
wllh2 handcOftrol
can0fly bestafted
Opefation

8 )ttl

Provide
slop
emerqncy

li'ol,nr'ri

,jsr/' r/

I r g t r r e ' l , t t , l ' ; 1 1 l o ts I e c i t i c l t t r o r r l i r r i r ( ' i r t l o n ; r r s e t t t l r l t t t l r c l t i n c ' ( l ) c t t u r t t t l s / ) l l t tvteo t

I t ' t ' t r r r r t l i t; r t t . t l) ,

56

' 1 P r o c l u c tp l a n n i n g a n d c l a r i f i c a t i o n o f t h e t a s k

4 Examples
our first example concerns the subsidiary task 'assemble cartons' in the new
design of a packing machine (Figure 4.6). Quatitative and quantitative considerations were taken into account, for instance on the specification of the
cardboard sections.A first change in the specification(15 December 1970)was
made following the discovery that, though the nominal rating of the compressed
air system was 8 bar, no more than 6 bar could be counted on with certainty.
closer study also showed that glueing would prove more costly than was
originally anticipated, so that the maximum costswere corrected on 29 January
I97I, the extra expenditure having first been approved.
rn 5.2, Figure 5.2, and in 5.9, Figures 5.65 and 5.81, complete specifications
based on the above recommendationsare provided as further examples.
5 Further applications
Even when the design is not original and the solution principle as well as the
layout are fixed so that nothing more than adaptations or dimensional changes
have to be made in a familiar area, orders should neverthelessbe executed on
the basis of specificationswhich can then take the form of printed forms or
questionnaires.They should be constructed in such a way that information for
electronic data processing and quality control can be read off directly. As a
result, specificationsbecome sourcesof information for direct action.
Beyond that, specifications once compiled, are an invaluabl e store of information about the required or desired properties of the product, and hence
extremely helpful for further developments, negotiationswith suppliersetc.
The examination of a specification during project conferences or before
assessingvarious designs is an extremely useful procedure. All those involved
are put in possessionof all the available information and all salient evaluation
criteria are brought home to them.

Conceptualdesign

Conceptual design is that part of the design process in which, by the identification of the essential problems through abstraction, by the establishment of
function structures and by the search for appropriate solution principles and
their combination, the basic solution path is laid down through the elaboration
of a solution concept.
From Figure 3.3 we can see that the conceptual phase is preceded by a
decision based on the following considerations:
- Has the task been clarified sufficiently to allow development of a solution in
the form of a design?
- Must further information about the task be acquired?
- Is it possible to reach the chosen objective within the given financial
restrictions?
-Is a conceptual elaboration really needed, or do known solutions permit
direct progress to the embodiment and detail design phases?
- If the conceptual stage is indispensable, how and to what extent should it be
developed on systematiclines?

5.1 Stepsof conceptualdesign

According to the procedural plan outlined in 3.2, the conceptual design phase
succeedsthe clarification of the task. Figure 5.1 shows the steps involved; they
rrre correlated in such a way as to satisfy the general principles set out in 3.1.
The reasons for the individual steps have been examined in Chapter 3 and
nced not be further discussedhere. It should, however, be mentioned that
rcfinements of any one of the steps by reiteration on a higher information level
slrould be made whenever necessary.The loops involved have been omitted
lrom Figure 5.1 for the sake of greater clarity.
'l'he
individual steps and the appropriate working methods will now be
c x u m i n e di n d e t a i l .

5.2 Abstracting to identify the essentialproblems

5.2.1Aim of abstraction
Solutionprinciplcsor dcsignsbasedon traditionalmethodsare unlikelyto
providc optimum ilnswcrswhcn ncw tcchnologics,
proccdurcs,matcrials,and

58

5 C o n c e p t u a lc l e s i g n

I
I

lnlormation

Abstract
to identifv
the essentlal
Droblems

I
Definitiion

II

ishfunction
Estab
structures
- sublunctions
lunction
Overall

Creation

princlples
for solution
Search
to fulfilthesubjunctions
6
a

principles
Combine
solution
I lunctron
to fulfiltheovera

Firmupintoconcept
variants

variants
against
Evaluate
concept
lechnical
and economic
criteria

Check

Decision

I
Figure5.1. Stepsof conceptual
design
also new scientific discoveries, possibly in new combinations, hold the key to
better solutions.
Every industry and every design office is a store of experiences as well as of
prejudices and conventions which, coupled to the wish to minimise risks, stand
in the way of better and more economic but unconventional solutions. In his
search for an optimum solution, the designer, far from allowing himself to be
influenced by fixed or conventional ideas, must therefore examine very carefully
whether novel and more suitable paths may not be open to him. To that end, he
should have recourse to abstraction, which means ignoring what is particular or
incidental and emphasising what is general and essential.
Such generalisation leads straight to the crux of the task. If it is properly
formulated, then the overall function and the essentialconstraints become clear
without in any way prejudicing the choice of a particular solution.
As an example, consider the improvement of a labyrinth seal in accordance
with a specification. In the abstracting approach, the crux of the task would not
so much be the design of a labyrinth seal as that of a shaft seal without physical
contact, due regard being paid to certain operating and spatiai constraints,and
also to cost limits and delivery times. Specifically,the designerwould have ttl ask
h i m s e l fw h c t h e r t h e c r u x w a s :

5 . 2 A b s t r a c t i n g t o i d e n t i f y t h e e s s e n t i a lp r o b l e m s

59

-to
-to
-to
-to
-to

improve the sealing quality or to improve operational safety;

reduce weight or to reduce the spacerequirement;
lower costs;
shorten delivery time; or
improve production methods.
New developments involving a proven solution principle, coupled to modifications in production methods, are often imposed by the need to lower costs and
shorten delivery times.
All the requirements listed above might have to be satisfied by the overall
solution, but their importance may differ from case to case. Nevertheless,due
regard must be paid to each of them, since any one is likely to provide the
impetus for the discovery of a new and better solution principle.
Once the crux of the task has been clarified to some extent, it becomesmuch
easierto formulate the overall task in terms of the essentialsub-problemsas they
cmerge.
Thus if, in the example we have mentioned, an improvement in the sealing
properties were the crucial requirement, new sealing systemswould have to be
lirund. This would mean studying the flow of fluids in narrow passagesand, from
the knowledge acquired, providing for better sealing properties, while also
sirtisfyingthe other sub-problemswe have mentioned.
lf, on the other hand, cost reduction were the crucial point, then, after an
rrrralysis
of the cost structure, one would have to see whether the same physical
cllccts could be produced by the use of cheaper materials, by reducing the
rrrrmberof components or by using a different manufacturing technique.
It is the identification of the crux of the task with the functional connections
rrrtdthe task-specificconstraintsthat throws up the essentialproblems for which
r o l u t i o n sh a v e t o b e f o u n d 1 5 . 1 6 .5 . 3 5 . 5 . 5 7 1 .

.q.2.2 Abstraction and problem formulation

I lrc clarrification of the task with the help of a specification will have helped to
lot rrs the designer's attention on the problems involved and will have greatly
Ilt rcased his particular level of information. Elaborating the specificationmay
lhrrs be said to have prepared him for the next step. When he setsout to tackle
Irr rrssignment,the designer has no ready solution, or only an inadequate one.
)('l)cndingon his knowledge, experienceand familiarity with previous designs,
' lrrsk will be more or less new to him.
llis first step is to analyse the specification in respect of the required function
csscntial constraints. Roth [5.50] advisesthat the functional relationships
ttaincd in thc specificationbe formulated explicitly and arrangedin order of

'l'hlt

w i l l r e v e a lt h e s e n e r a l
abstraction,
analysis,couplcdto a stcp-by-stcp
;ts and cssentialfcaturcsof the task.as follows:
l. Eliminatcpcrsunalprcfercncct.

- 5 C o n c c P t u a ld c s i g n

5 . 2 A b s t r a c t i n g t o i d e n t i f y t h e e s s e n t i a lp r o b l e r n s

Step2. Omit requirements that have no direct bearing on the function and the
essentialconstraints.

Step3. Transform quantitative into qualitative data and reduce them to essential statements.
Step 4. Generalise the results of the previous step.
Step 5. Formulate the problem in solution-neutral terms.
Depending on either the nature of the task or the size of the specification, or
both, certain steps may be omitted.
Tabl'e 5.1 illustrates abstraction based on these steps using the specification
shown in Figure 5.2.The generalformulation makes it clear that, with respectto
the functional relationships, the problem is the measurement of quantities of
motor vehiclefuel gaugebasedon specification
Table5.1. Procedureduringabstraction:
givenin Figure5.2.

Specification
Fuelgauge

V o l r m e : 2 0l16 0 l
Shape
llxedor unspec
lied(rigid)

l,4atsria
: sleelor p astlc
Connectlon
lo conta
ner:
Fiange
connection

Resultof stepsI and 2:

- V o l u m e s2: 0 I t o 1 6 0I
- Shapeof container:fixed or unspecified(rigid)
- Top or side connection
- Height of container:150mm to 600 mm
- Distancebetweencontainerand indicator:I Om, 3m to 4m
- Petroland diesel,temperaturerange:-25"C to 65'C
- Output of transmitter: unspecifiedsignal
- Externalenergy:(DC at 6V, 12V, 24V, Variation-I5Vo to +257o)
- Output signalaccuracyat maximum+3Vc (togetherwith indicatorerror *5".)
- Responsesensitivity:\o/oof maximumsignaloutput
- Possibilityof signalcalibration
- Minimum measurable
content:3aloof maximumvalue
Result of Step3
- Various volumes
- Various containershapes
- Various connections
- Various contents(liquid levels)
- Distancebetweencontainerand indicator:I Om
- Quantity of liquid varieswith time
- Unspecifiedsignal
- (with outsideenergy)

Topconnecliol

Sideconnct
on
H : 1 5 0m m - 6 0 0m m
d:gTlmmh=20mm

D slancc
lromconla
ner10indcalor
+ 0 m ,3 m - 4 m
lm-20m
2 C0nlenls,
lemperalure
rangemalerial
Llquid

range
operatln0

Sl0raqe
envirOnmenl

Pelrol
0r diesel

-25"C t0 +65'C

-40'C l0 +100'C

3 Signal,
energy
0ulput0f transmilter:
electrlc
slgfal(v0ltage
change
w th quantity
chanqe)
Availabl
s0urc
0f energy:
DCal 6V,12V,24V
Vollage
varatlon-15% Ia +25'k
Oulput
signaaccrracy
al maxa3%
!2"/"
(toqelher
withndlcalor
err0rt5%)
undernormal
c0ndllions
hOrizonlal
leve v = cOnsl
ablel0 wllhsland
shocks
0l n0rmal
drivifg
Res00nse
sensitiv
ly: I % 0f maximum
oulpul
s gnal

Result of Step 4
- Various volumes
- Various containershapes
- Transmissionover variousdistances
- Measurecontinuouschangesin quantity of liquid
Resultof Step5 (Problem formulation)
- Measurecontinuouslychangingquantitiesof liquid in containersof unspccificd
from thc conlitittc
at variousdistances
and shapeand indicatethe measurements

0 5% 01maxmumoulput
signal
S gfal unallected
byanqleol iquidsurtace
Possb I ly ol signal
calibralion

Replaces
lirs!issue
ol 14i5i19f3

l ' r g u r c . 5 . 2S
. p c c i l i c a t i o n r: r r o t o rv c h i c l cf u c l g l u g e

6t

62

5 Conceptualdesign

2rd issue21
6,1973

Specifrcatton
Fuegauqe

for

63

5 . 2 A b s t r a c t i n g t o i d e n t i f y t h e e s s e n t i a lp r o b l e m s

liquid, and that this is subject to the essentialconditions that the quantity of
liquid is changing continuously and that the liquid is in containers of unspecified
size and shape.
This analysis thus leads to a definition of the objective on an abstract plane,
without laying down any particular solution.

5.2.3 Systematic broadening of problem formulation

Changes

D
W

Bespansible

Requirenents
Possibil
withIu I c0ntaifer
ty of siOnacalibralion

Llinimum
measurable
conlent:
3% 0l maxmumvalue
Reserve
lankc0nlents
byspeclal
signa
4 0peralinq
condlions

Forward
acceleral
on 1 l0m/s2

Sideways
accelerat
on t10m/s2

tlpward
acceleral
0n (vibrali0n)
up lo 30m/s2
Sh0cks
in l0MarddirectiOn
wilh0ul
damaoe
up lo 30m/s2

FoMard
t ll up to 130"

Sideways
lill max45'

(ventilated)
Tankn0lpressrrised

Once the crux of the task has been identified by correct problem formulation, a
step-by-stepenquiry must be initiated to discover if an extension of, or even a
change in, the original task might lead to promising solutions.
An excellent illustration of this procedure has been given by Krick [5.29]. The
task he used as an example was an improved method of filling, storing and
loading bags of animal feed. An analysisgave the situation shown in Figure 5.3.
It would have been a grave mistake to begin immediately by thinking of possible
improvementsto the existing situation. By proceedingin this way one is likely to
ignore other, more useful and more economic solutions.
In principle, the following problem formulations are possible,each representing a higher level of abstraction (broader formulation) than the last:
l. Filling, weighing, stitching and stacking bags of feed.
.1. Transferrins feed from the mixins bin to stacked bass in the warehouse.

5 Testrequiremsnls
D
D

SaltspraytestsfOrinsdeandoulside
components
accordlng
l0 clefl s requremenls
Pressure
testfof c0nlaiflef
30kN/m2
6. Lifeexpeclancy
dufabll
ly 0l conla
ner

ln respecl
Lileexpeclancy
0l corrOslOt
dueI0 cOflenls
andcondensali0n
5 years

l\.4ust
c0nlorm
withheavy
vehlcle
reg!lalions

Stack
of
empty
sacks

/ Product
on

-A B0
Key
P Prepare
L) | ransporl
Q Process
I Check

c0

Wagon

\iia\
S Tply To0lied 0 L:ld"lpre'L0.ldrner
on maintenance
8 Operat
lnstallalion
by nonspec
a isl
0

#lT:rql

lvuslbe repaceab
e andmantnance
lree

Vstore

9. 0uantily
10,000/day
0l theadiuslable
lype5000/day
0l them0stp0puar
type
10.Cosls
l\lanulactrrinq
cOsts< Dl\13
00 each

Replaces
firslissutol 14i311973

Figure -5.2(continued)

Stacked
sacks
await
filling
Q
ManA Iiftsempty
sacklromstack
andplaces
it under
spout
forfilling.
$
ManA f llsthesackbygravrty
leed,
manually
controlling
therateof frow.
@
ManA hands
thebagto manB
ManB checks
theweghtandadds.orrem0ves
r'raleil,i
wh(-.n
necessary
to adjrsl 'heweighl Vv

t,

lVlan
B hands
lhcbaqto manC.

o
o
w

a|(isllch0s
M;ur(l ftrlrl:;
lhclop0l lit0harl

Q'

tr,tan
D takesthebagandloadsit onwagon
ioaoeO
wagonis pushed
to warehouse.
by menE andF.
aaqsarestacked
Baqs
awartrng
sale.
- arestOred
Bags
areloaded
onwaiting
lruck,
twoo' tnree
al a trmebyfanolruck
(jclrvrrrrtrr
llrorr
r0 c0nsumer

'l'he
l ' t g u r e5 , . 1 .
P l c s c r r ln t c t l t ( x lo l l i l l i r r g ,s l o r i l t g ,n n t l l o n r l i r r gl r i r g ro l l i , c t l .r r l t er l 5 . J t ) l

5 Conceptualclesign

3.
4.
5.
6.
7.
8.

Transferringfeed from the mixing bin to bagson the delivery truck.

Transferringfeed from the mixing bin to the deliverytruck.
Transferringfeed from the mixing bin to a deliverysystem.
Transferringfeed from the mixing bin to the consumer'sstoragebins.
Transferringfeed from ingredientbins to consumer's
storagebins.
Transferringfeed ingredientsfrom their sourceto the consumer.
Krick hasincorporatedsomeof theseformulationsin a diagram(Figure5.4).

StateA
= N

Feed
m i x i nbgi n

StateA
EI

'-

rj

=o
E

Feed
bin
mixing

A
State

=
-

Feed
bin
mixing

A
State
E
o

StateB

WFeed

ingredients
at their
s0urce

Stacked
bagsol
leedin warehouse

B
State

'ffi
Bagsof leed
loaded
on
delivery
truck

StateB
in
Feed
c0nsumer's
orns
storage
State
B

D
L,t/
Feed
in
consumer's
bins
storage

illustrating
of the feeddistribution_problem,
Figure5.4.Alternativeformulations
of a problem,after[5'29]
progressively
broaderformulations
A : initial state;B : final state

It is characteristicof this approachthat the problem formulation is made as

broad as possiblein successivesteps. In other words, the current or obvious
which
formulation is not acceptedat face value but broadenedsystematically,
Th
may conflict with decisionsalreadytaken, but opensup new perspectives.
formulation 8 above is the broadest. the most general and the least circu
cribed.
The crux of the task, in fact, is the transport of the correct quantity and quali
of feed from the producer to the consumer and not, for instance, the
method of closing or stacking bags, or moving them into the warehouse.With
broader formulation, solutions may appear that render the filling of bags a
storing them in the warehouse unnecessarv
H o w f a r t h i s p r o c c s so f a b s t r a c t i o ni s c < l n t i n u e dd c p c n d so n t h c c o n s t r a i n t s .

5 . 2 A b s t r a c t i n g t o i d e n t i f y t h e e s s e n t i a lp r o b l e m s

65

the case under consideration, Formulation 8 must be rejected on technical,

seasonaland meteorological grounds: the consumption of feed is not confined to
harvest time; for various reasons the consumer will not want to store feed for a
whole year; moreover, he may be reluctant to mix the required ingredients
himself. However, the transfer of feed on demand, for instance, with delivery
trucks taking it directly from the mixing bin to the consumer's storage bin
(Formulation 6), is more economical than intermediate storage in a warehouse
and the transport of smaller quantities in bags. In this connection, the reader
might recall the development in a different field which culminated in the delivery
of ready-mixed concrete direct to the building site in special vehicles.
We have tried to show how comprehensive problem formulation on an
abstract plane opens the way for better solutions. This approach, furthermore,
helps to raise the influence and responsibility of the engineer by giving him an
overview of the problem and thus involving him in, for instance,environmental
p r o t e c t i o na n d r e c y c l i n g .
At this stage, at the very latest, all but genuine constraints ought to have been
climinated. Unfortunately, fictitious constraints often continue to impede the
designeror proposer, albeit unconsciously.Thus a solution of the feed-transfer
problem in accordance with Formulation 6 would have been impossible had the
cngineer concerned set himself the fictitious constraint that the transfer might
only be made in bags.
Another example: technical staff of a company that has been exclusively
rnaking or using hydraulic control systemswill all too easily accept the fictitious
constraint that, in the future as in the past, all technical control problems must
hc solved on the hydraulic principle. This restriction only becomes a genuine
eonstraint if it is decided, after due consideration and a deliberate decision, that
the hydraulic control system must be retained, for instance in order to increase
tlre firm's turnover or in order to simplify storekeeping and maintenance
rrroblems.
In principle, all paths must be left open until such time as it becomes clear
*'hich solution principle is the best. Thus the designer must question all the
t onstraints he is given and work out with the client or proposer whether or not
they should be retained as genuine restrictions.In addition, the designer must
It,rrrnto discard fictitious constraints that he himself has come to accept, and to
thrrt end ask critical questionsand test all his presuppositions.Here he may find
rt useful to ask the questionswe mentioned in connectionwith the compilation of
thc specification, namely:
What properties must the solution have?
What properties must the solution not have?
Abstraction helps to identify fictitious constraints and to eliminate all but
licnuincrcstrictions.
Wc shall concludc this section with a few useful examplesof abstractionand
p r o b l c m l i r r t n u l a t i o n:
l)o ntlt clcsigna gilritgc cloor, trut ltxrk lirr lnclrls of sccuringa garagein such a
wny that the cur is protcctcd from thievcs und thc wcitthcr,

5 Conceptualdesign

not design a keyed shaft, but look for the best way of connecting gear
_Do
wheel and shaft.
Do not design a packing machine, but look for the best way of despatching
a
product safely or, if the constraints are genuine, of packing a pioduct
compactly.
Do not design a clamping device, but look ior u -"uns of keeping
the
workpiece firmly fixed.
From the above formulations-and this is very helpful for the next
step-the
final formulation can be derived in a way that ioes not prejudice
the solution
and at the same time turns it into a function:
'Seal
shaft without contact'-and not 'Design a labyrinth seal,.
quantity of fluid continuously'-and noi .Guug" height of liquid
-'Measure
with a float'.
'Measure
out feed'-and not .Weieh feed in sacks'.

5 . 3 E , s t a b l i s h i n gf u n c t i o n s t r u c t u r e s

5.3.2 Breaking down into sub-functions

Depending on the complexity of the problem, the resulting overall function will
in turn be more or less complex. By complexity we mean the relative lack of
transparency of the relationships between inputs and outputs, the relative
intricacy of the necessaryphysical processes,and the relatively large number of
assembliesand components involved.
Just as a technical system can be divided into sub-systems and elements
(2.I.1), so a complex or overall function can be broken down into sub-functions
of lower complexity. The combination of individual sub-functionsresults in a
function structure representing the overall function (see Figure 5.6).
Energy
Material

5.3 Establishingfunctionstructures
5.3.1 Overall function
Accordingto 2'r.3, the requirements
determinethe function,that is, the

relationshipbetweenthe inputsand outputsof a plant,machineor

assembly.
In
5.2we explainedthat problemformulaiionobtainedby abstraction
doesmuch
the same'Hence,oncethe crux of the overallproblemhasbeenformulated,
it is
possibleto indicate an overall function thai, based on the
flow of energy,
materialor signalscan,with the useof a block diagram,expressthe relationship
betweeninputs and outputs independentlyof thi solution.That relationship
must be specifiedas preciselyas possible.
In our exampleof a fuel gauge(Figure 5.2), quantitiesof liquid areintroduced
.
into and removedfrom a container,and the p.bbl.m is to measureand
indicate
the quantityof liquid found in the containerat any one time. The result,
in the
liquid system,is a flow of materialwith the funciion .storeliquid'
and, in the
measuringsystem, a flow of signalswith the function ,measureand
indicate
quantityof liquid'. The secondis the overallfunctionof the specific
taskunder
consideration,
that is, the development
of a fuel gauge(Figur"i.sy. That overall
function can be divided into sub-functionsin a iurther stlp.

System:

Function:
t

system
I
I Measuring
----_--

*LrJl|=.
t
andrndrcate
I lveasure
I
otliourdI
I- Quantity

Figure5.5.overall functionsof the systems

involvedin measuring
the contentsof a
container

Figure5.6. Establishing
a functionstructureby breakingdownan overallfunction
intosub-functions
The object of breaking down complex functions is:
- the determination of sub-functions facilitating the subsequent search for
solutions; and
- the combination of these sub-functions into a simple and unambiguous
function structure.
The optimum method of breaking down an overall function-that is, the
optimum number of sub-function levels and also the number of sub-functions
pcr level-is determined by the relative novelty of the problem and also by the
rncthod used to search for a solution.
In the case of original designs, neither the individual sub-functions nor their
rclationships are generally known. In that case, the search for, and establishrrrcnt of, an optimum function structure constitute some of the most important
stcps of the conceptual design phase. In the case of adaptive designs,on the
othcr hand, the general structure with its assembliesand components is much
bcttcr known, so that a function structure can be obtained by the analysisof the
procluct to bc developed. Depending on the special demands of the specification, that l'unction structure can be modified by the variation, addition or
o r n i s s i o n o f i n c l i v i c l u a ls u b - f u n c t i o n st l r b y c h e r n g e si n t h e i r c o m b i n a t i o n .
l"unction structurcs arc of grcat importuncc irt thc clcvcl<lpmcntof moclular
$ystcms, For ihis typc ol' vuriunt dcslgn, thc physical structurc-that is. thc

6u

5 conccptual
design

assemblies
and individualcomponentsused as buildingblocksand also their
relationships-must be reflectedin the function structuie.
A further advantageof settingup a function structureis that it allowsa clear
defin-itionof existingsub-systems
oi of thoseto be newly developed,so that they
can be dealt with separately.
If existingassemblies
can be assigneddirectlyas complexsub-functions,
the
subdivisionof the function structurecan be discontinuedat a fairly high level
of
complexity.In the caseof new assembliesor thoserequiring fuithei
development,however,the divisioninto sub-functions
of decreaiingclmplexitymustbe
continueduntil the searchfor a solutionseemspromising.As a iesult,
function
structuresmay savea greatdeal of time and money.
Apart from helpingin the searchfor a solution,functionstructures
or their
sub-functionscan also b,eusedfor purposesof classification.Exampres
are the
'classifying
criteria'of classification
schemes(see5.4.3)and the subdivisionof
designcatalogues.
I.t may prove expedientnot only to set up task-specific
functions,but alsoto
.
elaboratethe function structure from geniraily viia sub-functions.
The latter
recur in. technical systemsand may be helpful in the slarch
for a solution
inasmuchas they may lead to the discoveryof task-specific
sub-functions
(see
5.3.3)or as designcatalogues
may list sorutions
for them.Figure5.7, whichis

Characteristic

Generally
valid
functions

Symbols

Explanations
(l)/0utput
Input
(0)

Type

Change

*z-

Magnitude

Vary

--K*E-

Number

Connect

tE*

Place

Channel

--tr]

Placeofll0
Placeoll:0

Time

Store

*KIF

Timeofll0

--<:
-=-

Typeand
outward
formol
I and0 differ
l<0
t>0
Numberofl>0
Numberofl<0

Figure 5.7. Generally valid functionsderived from the characteristicstype, magnitucie,

number, place and time in respectof the conversionof energy,material and
sigials

basedon a suggestion
by Krumhauer[5.30],on our own teachingexperience
and
on a numberof familiarproposals
5.44,5.50],
givesa list<ifgenerally
valid
15.26,
functions.

5 . 3 E s t a b l i s h i n gf u n c t i o n s t r u c t u r e s

69

5.3.3 Logical considerations

The logical analysis of functional relationships starts with the search for the
cssential ones that must necessarily appear in a system if the overall problem is
to be solved. It may equally well be the relationshipsbetween sub-functionsas
those between inputs and outputs of particular sub-functions.
Let us first of all look at the relationships between sub-functions'
As we pointed out in 2.1.3, certain sub-functions must be satisfied before
'if-then' relaanother sub-function can be meaningfully introduced. So-called
tionship helps to clarify this point: if sub-functionA is present, then sub-function
B can come into effect, and so on. Often several sub-functions must all be
satisfied simultaneously before another sub-function can be put into effect. The
co-ordination of sub-functions thus determines the structure of the energyl
material or signal conversion under consideration.Thus, during a test of tensile
strength, the first sub-function-'load specimen'-must be satisfied before the
'measure deformation'-snn be deother sub-functions-'measure force' and
ployed. The last two sub-functions,moreover, must be satisfiedsimultaneously.
Attention must be paid to consistency and order within the flow under
consideration, and this is done by the unambiguous combination of the
sub-functions.
Logical relationships,moreover, must also be establishedbetween the inputs
lundoutputs of a particular sub-function. In most casesthere are several inputs
and outputs whose relationshipscan be treated like propositionsin two-valued
logic (for example, true/untrue, yes/no,in/out, fulfilled/not fulfilled, present/not
present) and expressedby Boolean algebra.
We distinguish between AND-functions, OR-functions and NOT-functions,
rrnd also between their combination into more complex NOR-functions (OR
rvith NoT), NAND-functions (AND with NoT) and storagefunctions with the
help of flip-flops [5.10, 5.38, 5.44]. All these are called logical functions.
In the caseof AND-functions, all signalson the input side must have the same
validity if a valid signal is to appear on the output side.
In the caseof OR-functions, one signalonly on the input side must be valid if a
valid signal is to appear on the output side.
In the case of NOT-functions, the signal on the input side is negated so that
thc negated signal appearson the output side.
All these logical functions can be expressedby standard symbols.The logical
virlidity of any signal can be read off from the truth table shown in Figure 5.8, in
which all the inputs are combined systematicallyto yield the relevant outputs.
I'lre Boolean equations have been added for the sake of completeness.Using
Iogical functions it is possible to construct complex switchings and thus to
incrcasc thc safety and reliability of control and communication systems.
shows two mechanical clutches with their characteristiclogical
Figurc -5.c.)
'l'ltc
w r t r k i n g so f t h c c l u t c h o n t h c l c f t c a n b e r e p r e s e n t e db y a s i m p l e
luncti<lns.
A N I ) - l u n c t i o n ( s i g n a ln r u s tb c s c n t i l n ( l c l u t c l tc n g l g c c lb c f o r c t h c t t t r q u c c a n b e
t r l n s r n i t t c d ) . ' l ' h c c t u t c l ro n t l r c r i g h t h a o b c c n s o c o n s t r u c t c dt h i t t , w h c n t h c

"

pV

/-*

"'1

lo

.5 Cionceptual design

ANDJunction
(Conjunction)

Designation

Symbol

0RJunction
(Dislunction)

x1

A1

t7

A2

N0TJunction
(Negation)

/ l0 1

Truth
table

/ T-lo

Boolean
arge0ra
(Function)

y={2Ax1

y = x 1 ux 7

77

5 . 3 E s t a b l i s h i n gf u n c t i o n s t r u c t u r c s

operating signal is given, the clutch is disengagedso that X1 must be negative if

the torque is to be transmitted. In other words, only X2 may be present or
positive if the desired effect is to be produced'
As our next example, we shall consider the catch mechanism of a car door
(Figure 5.10). Here, too, the logical relationship is a simple-AND-function,
b"iuur. the catch operating lever C can only be activated by the input force lc
a c t i n go n t h e l e v e r A i f t h e l o c k i n g l e v e r B i s a t ' 1 ' . S h o u l d t h e s p e c i f i c a t i o n

Mechanism

v.x
LCVETS
A,B,C
Baseplate
0
spring
Spiral
E
ot leverA
surtaces
0 , 0 , c , 0 Working
totheSystem
F
Force
applied

Figure 5.8. Logical functions

X i n d e p e n d e n t s t a t e m e n t( s i g n a l ) ;Y d e p e n d e n ts t a t e m e n t 'l 0 ' , ' 1 ' v a l u e o f s t a t e m e n t e, g
'off', 'on'

Kinematic
diagram
F
r 1 . lnputforce
x2
t;

(First
inputvariable)
B
lever
of locking
Positron
(Second
inputvariable)
leverC
of catchoperating
Positron
(0utput)

of thesystem
lunction
Logical

x1

y=x1A),7

^?

ol1

'v = y' . 'n\ 'y' -/

y . x1 A xt

X t - 1 l o rF > 0
x 1 =0 l o rF : 0
rotation
X 2 -0 LeverB prevents
of leverA
ol leverB
X ? - 1 Posltion
of leverA
allowsrotation
Y = 0 Doorcatchclosed
Y - 1 DoorcatchoPen

}/(Torque
transmitted)
F i g u r c 5 . 9 . l , o g i c a ll i r n c t i o r ro f t w o c l u t c h c s

l r i g r r r c5 . l ( ) . ( ' i r l c l rr r r c c h l r r r i sor rl rl r c u r t k x r t i t l l e t 1 5 .l f r l r v i t l rt t t c c h t t t t i s t tkti.l t c t l t l t t i t

r l i i r g r l r r irr r t r lh r g i c l r l t t t t c l i r r tttt l t l t c s v s l c l t t

72

5 Conceptualdcsign

contain further demands affecting the logical connection, then the function
structure will grow correspondinglymore complex [5.16].
Figure 5.11 shows a logical system for monitoring the bearing lubrication
system of a multi-bearing machine shaft involving AND- and OR-functions.
Every bearing position is monitored for oil pressure and oil flow by a comparison
of a specifiedor target value with the actual value. However, only one positive
value for each bearing position is needed to allow the system to operate.

| _')

5 . 3 E s t a b l i s h i n qf u n c t i o n s t r u c t u r e s

5.3.4 Physicalconsiderations
Apart from logical considerations,the demands and wishes of the specification
also reflect the physical relationships of the conversion of energy, material and
signals. These must be represented by an appropriate function structure (see
Figure5.12).

ol {low:
Types
t
M

Bearing
1
Pt

v,

Bearing
2
Pt

i)

Pt

v3

Bearing
4

Bearlng
3
Pt

vL

anddirection
Flowof energy
anddirection
Flowofmaterial
anddirection
Flowofsignals

System:
boundary
System

Function:
Figure5.12.Symbolsfor
representing
sub-functions
in a
functionstructure

Figure5.11.Logicalfunctionsfor monitoringa bearinglubricationsystem.A positive

signalfor everybearing(oil present)sufficesto permit operation.Monitor pressurep;
monitor oil flow V

To decide whether or not a losical function structure mav help in the sea
for a solution, it is useful to estaLrlishwhich demands and wishes in t
specification have logical contents. It is very important to determine whet
these logical contents can be satisfied by logical functions with the

AND, OR and NOT relationships

alone,or whetherthey mustbe combi
into more complicatedsystems.Only in the lastcaseis it usuallynecessary
examinethe logical relationshipsfurther.
- Logical structuresare evaluatedand optimisedwith thc help of Bot
alsebra.

Auxiliary
function

iL i- - - l

It is useful to begin by establishingthe main flow of a structure,if clearly

present.Once a simple function structurewith its most important relationships
hasbeenfound, then it is mucheasier,in a furtherstep,to considerthe auxiliary
l'lowswith their correspondingsub-functions,and also to proceedto a further
rrnalysis
of complexsub-functions.
At this point, it often helpsto envisagea
lrreliminary solution concept for the simplified function structure without,
however,prejudicingthe final solution.
Fisures5.13and 5.14showthe functionstructureof a tensiletestinsmachine

Our examples make it clear that:

Logical relationships are derived directly from the corresponding requi
ments of the problem (specification). Such requirements may conce

operation,safety,reliability or preventionof faults.They are determined

the constraintsof the system.
- It is helpful to inquire into the logicalcontentof demandsin the specificati
by meansof if-then' propositions.
- It is possibleto createthe prerequisitesfor different solutions.
- Experiencehas shownthat clarificationof the logicalrelationshipsfacilital
the searchfor solutions.

Mainlunction

Lload

E
Lde{ormalion

Specimen

Specimen611o,r16
c_
ul0rce
Sdeformation

F
Lload

.t

,l

I M e a s u rl e
l
l'--l I deformation
l-l-.rl

to,

fdeformation

men
Speci

Specimen6rlo,rr6

D
) v. c r l l l f u n c t i o n( a ) a n ds u b - f u n c t i o (nnsr a i nf u n c t i o n s()b ) o f a t e s t i n g
l ; i g u , r c . 5 . 1( 3
mrchinc

14

5 C o n c e p t u a ld e s i g n

F..
-auxrl
SF tarqet

Sarrrsa

E
Dough
Additives
-t

t"gul----i-er,*rn
reotp,',
l*r
--li ---------Ll[il':

I
E
LLoad

s
Specimen

l-;',;;1.
;-- !':'lru$1
ir----.i--L-qs--I

energy
Change
intoforceand
m0vement

15

5.3 Establishins function structures

F,
-toss

Shaped
dough

L_

Dispense

L0a0
specimen

Fdelormation

Waste

Separate Feedoul

V Waste

Figure 5.14. Completed function structure for the overall function set out in Figure 5.13

with a relativelycomplexflow of energy,materialand signals.In this type of

overall function, the function structure is built up step by step from subfunctions,attentionat first beingfocussedon essentialmain functions.Thus, on
a first functional level, only suchsub-functionsare specifiedas directly satisfy
the required overall function. In addition, such complex sub-functionsas
'changeenergyinto force and movement'and 'load
specimen'are alsoformulatedat the start, becausethey help to establisha simplefunctionstructure.
In the problem under consideration,the energy and signalflows are of roughly
equivalent importance in the search for a solution, while the flow of materialthat is the exchange of specimens-is only essential for the holding function
which was added to Figure 5.14. Hence it is impossibleto specify just one main
flow. In Figure 5.14 an adjusting function for the load magnitudes and, at the
output of the system,the energy lost during the energy flow were added because
both clearly affect the design. The energy required to deform the specimen is
lost. Moreover, the auxiliary functions 'amplify measurements'and 'compare
target with actual values' proved indispensable for the adjustment of the energy
level.
As a further example let us consider the function structure of a dough-shaping
machine used, for instance,in the manufacture of biscuits. To satisfy the ove
all function of this conversion of material in accordance with Figure 5.15
appropriate or necessarysub-functions of the main flow have to be found
The most important can be deduced, often without great difficulty, from t
technology or manufacturing techniques of the processinvolved-in this ca
the manufacture of confectionery. For the rest, the function structure can
completed by asking appropriate questions. Thus a negative answer to
question 'May the waste be mixed directly with new dough?' introduces t
necessarysub-function 'prepare'. The operation under consideration was fclu
to involve seven sub-functionswhich could be combined into a number

function-structure
variants.Fieure5.15showsfurtherhow severalfunctions
be fused together to provide what are often simple and economic solutions.
T h e r e a r e , h o w e v e r ,s o m ep r o b l e m si n w h i c h v a r i a t i o no f t h c m a i n f l o w
c i r n n o t l c a c lt o i t s o l u t i < t nh c c a u s ca u x i l i a r y f l < l w sh a v c a c r u c i i t l b c i r r i n qo n t

lrrgure5.1-5.Overallfunctionandfunctionstructurevariantsof a dough-shaping
machine
Ior the manufactureof biscuits(in respectof the mainflow only)
tlcsigrr. As an cxample. let us consider the function structure of a potato
I t l t r v c s t i t t gt r r i t c h i n c .F i g u r c . 5 . 1 6 as h o w s t h e o v e r a l l f u n c t i o n a n d t h e f u n c t i o n
t l r u c t u r c b i t s c do n t l t c l ' l o wo l ' n t i r t c r i a l( t h c m a i n f l o w ) a n c lt h e a u x i l i a r yf l o w s o f
c l l c r g y a n d s i g n i t l s .I n F i g u r c . 5 , l 6 / ) .b y c o r n p a r i x r t t .l h c l u r r c t i o ns t r u c t r r r ei s

76

5 C o n c e P t u a ld e s i g n

Potatoes
potatoes
Reject
Leaves
etc.
Soil,

71

- 5 . 3E s t a b l i s h i n gf u n c t i o n s t r u c t u r e s

System
elements

Tasks
of
system
elements

Accept
input
torque
ano
signal

Iakeup FandS

-L*

Turn

Spindle

(
h\

valid
SubJunctions N0. Generally
luncti
ons

Passliquid

_l

Std.S."-t
0usn

It II

fl

)otatoes
rn
heground
Reject

Coarse
Leaves
Fineparticles

Beari
ng
bush

Locate
spindle
axially
and
radially

bear
Ing
bush

Sealbetween
housing
andspindle

Housi
ng

Reject
Coarse
Leaves

Finepartlcles

D
machine
Figure5.16.(a) Functionstructureof a potatoharvesting
(b) For comparison:
diagramwith generallyvalidfunctionsbasedon Figure5.7

represented by means of generally valid functions, to emphasise the clear

interrelationship of the different flows. When generally valid functions are used,
the separation into sub-functions is as a rule more pronounced than it is in the
case of task-specific sub-functions. Thus, in the present example, the sub'
'connect energ,y
function 'separate' is replaced with the generally valid functions
'connect').
with material mix'and'separate material mix' (the reverse of
Our next example is meant to illustrate the derivation of function structures

the analysisof existing systems.This method is particularly suitable f

developments in which at least one solution with the appropriate functit
structure is known, and the main problem is the discovery of better solutit
Figure 5.17 shows the stepsused in the analysisof a flow control valve (a typi
on-off switch). showins the individual tasks of the various elements itn(l I
s u b - f u n c t i o n ss u t i s f i c c lb v t h e s v s t e m . F r o m t h e s u b - f u n c t i o n s ,t h c t t t t t c t i
s t r u c t u r cc i r n l r c t l c r i v c c l r n c lt h c n v a r i c c lf o r p u r p o s c so l i t t t P r o v i n gt h e p r r l t l

lll*,"*
lilr--

I
I

Locate
spindle I
Threaded axially
and
+
beannq radially
I
bush

Channel

l-11J--tiouio

Supporl

Potatoes

liquid

tl

srrrug,t-*--l
liquid

seal
,

- I f*

Pass

ilquro

Vary
llow

ptrrrr,rl
Provide
axial
on sealing
bush i

Channel
flowol
energy
andsignals
Connect
flowof
energy
andsignals

Connect
flowof
andmaterial
? signals
Varyfiowof
material
3

Donotchannel
flow
ofmaterial(stop)

t,

Channel
flow
of material

Channel
flow
ol energy

II
tl

-lrt t , r z # n z
IT

l i r|l

lff1'---!Ei.n
| f'ril
i"-

:--#.
'

L--.-

--

-t

I :igure5.17. Analysisof a flow control valvein respectof its functionstructure

The function structure examined in Section5.9 shows clearly that the study of
Irrnction structures may prove extremely useful, even after the physical effect
lrrs been selected, in determining the behaviour of the system at a very early
',trrgeof its development, and hence in identifying the
structurethat best suits the
problem under consideration.

.5.-1.5Practical usesof function structures

\\'hcn cstablishingfunction structures,we must distinguishbetween original and
.rtLrptivcclcsigns.In the caseof original designs,the basisof a function structure
rs tlrc .r7.rcci/'it'ution
and the abstract .formulation of the problem. Among the
r l ( ' l l l i t r l ( lisr t t c lw i s h c s ,w c a r e a b l e t o i d e n t i f y f u n c t i o n a lr e l a t i o n s h i p so, r a t l e a s t
l l t c s t t b - l t t t t c l i r l t si r l t h c i n p u t sa n c lo u t p r . r t os f a f u n c t i o n s t r u c t u r e .I t i s h e l p f u l t o
\ r r l t c ( ) t l ll h c l t r r t c l i o r r r lc l i r l i r l n s h i pi rsr i s i r r lgr o n r t h c s p c c i f i c a t i oinn t h c f o r m o f
r t ' t t t c t l c c si t t t t l t o i r r n u l l . l ct l t c s c i n l l t c r l r t l e ro l t l r c i r l r n l i c i l t i r t c ci rl n p < l r t i r n c<cl r i n
r r l n c o l l l c r k r g i c i r lo t t l c r ' ,

78

5 Conccptual dcsign

In the case of adaptive designs, the starting point is the function structure of
the existingsolution obtained by the analysis of the elements. It helps to develop
variants so as to open the path for other solutions, for subsequentoptimisation
and to develop modular products. The identification of functional relationships
can be facilitated by asking the right questions.
In modular systems, the function structure has a decisive influence on the
modules and their arrangement. Here, the function structure and that of the
assembly is affected not only by functional considerations, but also, and
increasinglyso, by manufacturing needs.
Anyone setting up a function structure ought to bear the following points in
mind:
1. First derive a rough function structure with a few sub-functions from what
functional relationships you can identify in the specification, and then break this
rough structure down, step by step, by the resolution of complex sub-functions.
This is much simpler than starting out with more complicated structures. In
certain circumstances, it may be helpful to substitute a first solution concept fot
the rough structure and then, by analysisof that first concept, to derive other
important sub-functions. It is also possible to begin with sub-functionswhose
inputs and outputs cross the assumedsystem boundary. From these we can then
determine the inputs and outputs for the neighbouringfunctions, in other words,
work from the system boundary inwards.
2. If no clear relationship between the sub-functions can be identified, the
searchfor a first solution principle may, under certain circumstances,be based
on the mere enumeration of important sub-functions without logical or physical
relationships,but if possible, arranged in order of increasingcomplexity.
3. Logical relationships may lead to function structures through which the
logical elementsof various working principles (mechanical,electricaletc) can be
anticipated.
4. Function structures are not complete unless the existing or expected flow of
energy, material and signalscan be specified.

Nevertheless,it is useful to begin by focussingattention on the main flow

because,as a rule, it determinesthe designand is more easilyderivedfrom the
requirements.The auxiliaryflows then help in the further elaborationof the
design, in coping with faults, and in dealing with problems of power transmi

sion, control etc. The completefunction structure,comprisingall flows and thei

relationships,can be obtained by iteration, that is, by looking first for t
structureof the main flow, completing that structureby taking the auxili
flows into account, and then establishing the overall structure.

5. In settingup function structuresit is helpful to know that, in the conversion

energy,material and signals,severalsub-functionsrecur in most structures
should therefore be introduced first. Essentiallv. these are the senerally
functions of Figure 5.'7, and they can prove extremely helpful in the search
task-specificfunctions.
C o n v e r s i o no f e n e r g y :
- C h a n g i n g c n c r g y - f o r i n s t a n c e ,e l e c t r i c a li n t o m c c h i t n i c a cl n e r g y .

5 . 3 E s t a b l i s h i n gf u n c t i o n s t r u c t u r e s

-Varying energy components-for instance,amplifying torque.

- Connecting energy with a signal-for instance,switchingon electricalenergy.
- Channelling energy-for instance, transferring power.
- Storing energy-for instance, storing kinetic energy.
Conversion of material:
-Changing matter-for instance, liquefying a gas.
-Varying material dimensions-for instance,rolling sheet metal.
-Connecting matter with energy-for instance,moving parts.
- Connecting matter with signal-for instance,cutting off steam.
-connecting
materials of different type-for instance, mixing or separating
materials.
- Channelling material-for instance, mining coal.
-Storing material-for instance, keeping grain in a silo.
C o n v e r s i o no l s i g n a l s :
-Changing signals-for instance, changing a mechanical into an electrical
signal, or a continuous into an intermittent signal.
-Varying signal magnitudes-for instance,increasinga signal'samplitude.
-Connecting signalswith energy-for instance,amplifying measurements.
- Connecting signalswith matter-for instance,marking materials.
- Connecting signals with signals-for instance, comparing target values with
actual values.
- Channelling signals-for instance, transferring data.
-Storing signals-for instance, in data banks.
6. From a rough structure, or from a function structure obtained by the analysis
trf known systems, it is possible to derive further variants and hence to optimise
the solution, by:
-Breaking down or combining individual sub-functions;
- Changing the arrangement of individual sub-functions;
- Changing the type of switching used (series switching, parallel switching or
bridge switching); and by making
Shifts in the system boundary.
Because varying the function structure introduces distinct solutions, the
sctting up of function structures constitutes a first step in the search for
solutions.
/ Function structures should be kept as simple as possible, so as to lead to
sirnple and economical solutions. To this end, it is also advisableto aim at the
( ()rnbination of functions for the purpose of obtaining integrated function
( lrrriers.There are, however, some problems in which discretefunctionsmust be
;rssignedto discrete function carriers, for instance, when the requirements
rlcrnandseparation, or when there is a need for extreme loading and quality. In
tltis conncction, the reader is referred to our discussionof the division of tasks
( s c c( r . 4 . 2 ) .
ti. f n tlrc scitrch lilr it solution, nonc l'tvl ltronti:;ittgJunc'tion
structuresshould be
t t t l r o t l t r c c r l ,l i r r w h i c h p u r p o s c i t s c l e < ' l i t t tl tt r u t c a d r r r a( s c c . 5 . ( r ) s h < l u l c lb c
c t t t p k r y c d .c v c l r a l t h i s c i r r l y s t a g c .

u0

5 Conceptualdesigrr

81

5.3 Establishingfunction structurcs

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Figure 5. 1ll. Dcve krpment of a function structure for a fuel gaugc

3=.=;
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S l c p - b y - s t c pt t c v c l o p r r r c r sr tt i r r t i r r gl l . o r l t h c p r o b l c r nl i r l r r r u l i r t i o n

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5 Conceptualdesign

82

9. For the representation of function structures it is best to use the simple and
informative symbols shown in Figure 5.12, supplemented with task-specific
verbal clarifications.
Function structures are intended to facilitate the discovery of solutions: they
are not ends in themselves.It dependsvery much on the novelty of the task and
the experience of the designer to what degree he will develop them.
Moreover, it should be remembered that function structures are seldom
completely free of physical or formal presuppositions, which means that the
number of possible solutions is inevitably restricted to some extent. Hence it is
perfectly legitimate to conceive a preliminary solution and then to develop and
complete the function structure and its variants by working through the process
as many times as necessary.
Let us return to the example of the fuel gauge(5.2.2). Figure 5.18 shows the
development and variation of a function structure in accordance with the
suggestionspresented in this section.
The flow of signals has been treated as the main flow. Associated subfunctions are developed in two steps. Since the specification also provides for
measurementsin containers of different sizes,holding varying initial quantities
of liquid, an adjustment of the signal to the respectivesize of the container is
expedient, and is accordinglyintroduced as an auxiliary function. Measurements
in containers of various unspecified shapes will, in certain circumstances,
demand the correction of the signalas another auxiliary function. The measuring
operation may require a supply of external energy, which must then be
introduced as a further flow. Finally, consider the system boundary. If existing
indicating instruments are to be used, the device will have to emit an electric
output signal. If they are not, then the sub-functions 'channel signal' and
'indicate
signal' must be included in the search for the solution. An important
sub-function that must be satisfiedfirst, and on the working principle of which
the others clearly depend, is 'receive signal'. The solution to this will largely
decide to what extent individual sub-functionscan be chansed round or omitted.

5.4 Searching for solution principles to fulfil the

sub-functions
Solution principles have to be found for the various sub-functionsand t
principles must eventually be combined. A solution principle must reflect t
physical effect needed for the fulfilment of a given function and also its
design features (2.1.5). In many cases,however, it is not necessaryto look
special physical effects, the form design being the sole problem. Moreover,
the search for a solution it is often difficult to make a clear mental distincti
between the physical effect and the form design features. Theoretical i
a b o u t t h c n a t u r c a n c lf o r m o f t h e f u n c t i o n c a r r i e r sa r c u s u a l l yp r e s c n t c db y
o l d i a g r a n t so r I r c c h i r n d s k c t c h c s .
a

5 . 4 S e a r c h i n gf o r s o l u t i o n p r i n c i p l e s

It should be emphasisedthat the step we are now discussingis intended to lead

to several solution variants (a solution field). A solution field can be constructed
by variation of the physical effects and of the form design features. Moreover, to
satisfy a particular sub-function, several physical effects may be involved in one
o r s e v e r a lf u n c t i o n c a r r i e r s .
The following aids and methods are useful in the search for solutions, not only
during the conceptual design phase, but also during the embodiment design
phase that follows. An attempted solution based on conventional aids may, if
necessary,be developed further by methods with an intuitive or a discursive
bias.
If, in what follows, we distinguish between conventional aids and methods
with an intuitive or discursive bias, we do so for purely didactic and systematic
reasons.The different approachesdo not exclude and, indeed, often complement, one another. Which precise path should be followed in individual cases
depends on the problem, the state of information and the nature of the
preliminary work.

5.4.1 Conventionalaids
I Literature search
I'or the designer, up-to-date technological data provide a wealth of important
information. Such data can be found in textbooks and technical journals, in
Patent files and in brochures published by competitors. They provide a most
rrsefulsurvey of known solution possibilities.Increasingly,this type of information is fed into computer data banks and stored for future use.
2 Analysis of natural systems
l lrc study of natural forms, structures,organismsand processescan lead to very
rrscful and novel technical solutions. The connections between biology and
tt'chnology are investigatedby bionics and biomechanics.Nature can stimulate
tlrc creative imagination of the designer in a host of different ways
[5.21].
I'cchnical applications of the design principles of natural forms include
lr{lrtweight structures employing honeycombs,tubes and rods, and the profiles
,rl ircroplanes, ships etc. Of great importance are lightweight structuresin the
Irrr'111
,r1 thin stems (Figure 5.19). Another technical application is sandwich
t'ottstruction.Figure 5.20 shows a few derivations of the natural principles that
lrrrvcprovcd useful in the building of aircraft.
'l'ltc
ho<lksttf a burr provided the solution incorporated in the Velcro fastener
( l ; i g u r c s. 5 . 2 1a n c l- 5 . 2 2 ) .
Anulysisof existingtechnicalsystems
..1
'l'hc
anitlysisof cxisting tcchnical systcm$is onc of thc rnost irnportant mcans of

ncwor improvcdsolutionvrrlrnb rtcp by titcp.

3cneruting

u4

-5 ('onceptual design

5 . J S c r r c h i n gI o r s o l u l i o np r i n c i p l e s

85

^t\

F i g u r e5 . 1 9 .W a l l o f a w h e a t s t e m [ 5 . 2 1 ]
Transverse
direction

lil

/)Yil

,\,\..\
tt
ll
ttl
\,2\,2\,/

ill .YY)
lil
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lll

)\

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ltl
ill
lll'il w\ry
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-T-J-

tlilitq.qJLE}

Layeflng

Extruded
n0neyc0m0

Layeflng

F i g u r e5 . 2 1 .H o o k so f a b u r r .a f t e r[ 5 . 2 1 1

Figure -5.22.Velcro fastener,after [5.21]

identification of the physical effects involved which, in turn, might have

suggestednew solutions principles for corresponding sub-functions.It is also
possibleto adopt solution principles discoveredduring the analysis.
Existing systemsused for analysismight include:
- Products or methods of competing companies.
- Older products and methods of one's own company.
- Similar products or assembliesin which several sub-functionsor parts of the
function structure correspond with those for which a solution is being sought.
Becausethe only systemsto be analysedare those having some bearing on the
ncw problem as a whole or on parts of it, we may call this method the systematic
cxploitation of proven ideas, or of experience.It will prove particularly helpful
irr finding a first solution concept as a starting point for further variations. It
rrrust,however, be said that this approach carries the danger of causing the
tlcsigner to stick with known solutions instead of pursuing new paths.
{ Analcgies

c
Figure 5.20. Sandwichconstructionfor lightweight structures[5.22]
(a) A few honeycomb structures(b) Completed honeycombstructure (c) Sandwichbox
girder

This analysis involves the mental or even physical dissection of fin

products. It may be considereda form of structure analysis(2.2.I) aimed at t
discoveryof related logical, physicaland form designfeatures.Figure -5.17sht
a n c x a m p l c o f t h i s t y p e o f a n a l y s i s .H e r e , s u b - f u n c t i o n sw c r c d c r i v c c lf r o m
c x i s t i n g c o n l ' i g u r l l i ( ) n , I i r o m t h c r n , f u r t h c r i t n i l l y s i sw o u l d h i t v c l c d t o

l n the search for solutions and in the analysis of system properties it is often
rrscl'ul to substitute an analogous problem (or system) for the one under
considcration, and to treat it as a model. In technical systems,analogiesmay be
o l r t r r i n e d ,f o r i n s t a n c e , b y c h a n g i n g t h e t y p e o f e n e r g y u s e d [ 5 . 4 , 5 . 5 2 ] .
Artirkrgieschosen from the non-technicalsphere may prove very useful as well
( s c c. 5 . 4 . 1 . 2 ) .
llcsiclcshclping in the searchfor a solution, analogiesare also most helpful in
tlrc stuclyttl' thc l'rclritviourof a systcm ch.rringan early stage of its development
h y l t t c i t n s< t l ' s i t t t u l i t t i oann c lr n o c l c lt c c h n i t l u c s i,r n c li n t h c s u b s c q u e n itd e n t i f i c a l i o n t t l ' c s s c t t t i i t ln c w s u b - s o l u t i o n su n c l / t t rt h c i r r t r t x l u c t i o no l ' c a r l y o p t i m i s a Iton$,

fl(r

5 Conceptualclcsign

If the model is to be uppii.O to systemsof markedly different dimensionsand

conditions, a supportive similarity (dimensional) analysisshould be undertaken
( s e e7 . 1 . 1 ) .

5 Measurements and model tests

Measurements on existing systems, model tests supported by similarity analysis
and other experimental studies are among the designer'smost important sources
o f i n f o r m a t i o n [ 5 . 2 ] . R o d e n a c k e r [ 5 . a 3 ] i n p a r t i c u l a r l a y s g r e a t s t r e s so n t h e
importance of experimental studies, arguing that design can be interpreted as
the reversal of physical experiment.
In the precision engineering and mass production industries, experimental
investigationsare an important and establishedmeans of arriving at solutions.
This approach has organisational repercussionssince, in the creation of such
products, experimental development is often incorporated within the design
a c t i v i t y( 1 . 1 . 1 ) .

5 . 4 S e a r c h i n gf o r s o l u t i o n p r i n c i p l e s

87

Because of inadequate information, new technologies or procedures may fail

to reach the designer'sconsciousness.
These dangersincreasewith specialisation,the division of tasks and with time
pressure.
There are several methods of encouraging intuition and opening new paths by
the association of ideas. The simplest and most common of these involves critical
discussionswith colleagues.Provided that such discussionsare not allowed to
stray too far and are based on the general methods of persistent questions,
negation, forward steps etc (2.2.1), they can be very effective and helpful.
Methods with an intuitive bias such as brainstorming, synectics,the Delphi
method, Method 635 and many others involve group-participationtechniquesto
generate the widest possible range of ideas.
Most of these techniques were originally devised for the solution of nontechnical problems. They are, however, applicable to any field that demands
new. unconventional ideas.
I Brainstorming

5.4.2 Methodswith an intuitive bias

The designer often seeks and discovers the solution for a difficult problem by
intuition-that is, the solution comes to him in a flash after a period of search
and reflection. As ProfessorJohn Galtung of the International PeaceResearch
Institute in Oslo has put it: 'The good idea is not discoveredor undiscovered;it
comes, it happens'. It is then developed, modified and amended, until suchtime
as it leads to the solution of the problem.
Good ideas are always scrutinisedby the subconsciousor preconsciousin the
light of expert knowledge, experienceand the task in hand, and often the simple
impetus resulting from the association of ideas suffices to force them into
consciousness.That impetus can also come from apparently unconnected
external eventsor discussions.Frequently, the designer'ssudden idea will hit the
bull's eye, so that all he need do is to make changesor adaptations that lead
straight to the final solution. If that is, indeed, the caseand a successfulproduct
is created,then the designerhas followed an optimum procedure and can rightly
be satisfied. Very many good solutions are born in that way and successfully
developed. A good design method, far from trying to eliminate this process
should rather serve to back it uo.
An industrial concern should neverthelessbeware of exclusiverelianceon t
intuition of its designers,nor should the designersthemselvesleave everythi
to chance or rare inspirations. Purely intuitive methods have the followi
disadvantages:
-The
right idea does not always come at the right time, since it cannot
forced.
- C u r r c n t c o n v c n t i o n sa n d p e r s o n a lp r e j u d i c e sm a y i n h i b i t o r i g i n a l
nlcnts,

Brainstorming can be describedas a method of generatinga flood of new ideas.

It was originally suggestedby Osborn [5.34] and provides conditions in which a
group of open-minded people from as many different spheres of life as possible
bring up any thoughts that occur to them and thus trigger off new ideas in the
minds of the other participants [5.63]. Brainstorming relies strongly on stimulation of the memory and on the association of ideas that have never been
considered in the current context or have never been allowed to reach
consciousness.
For maximum effect, brainstorming sessionsshould be run on the followins
lines:
Composition of the group
- The group should have a leader and consist of a minimum of five and a
maximum of 15 people. Fewer than five constitute too small a spectrum of
opinion and experience, and hence produce too few stimuli. With more than
15, close collaboration may decline because of individual passivity and
withdrawal.
The group must not be confined to experts.It is important that as many fields
and activities as possibleare represented,the involvement of laymen adding a
rich new dimension.
The group should not be hierarchicallystructured but, if possible,made up of
cqr.ralsto prevent the censoring of such t'houghts as might give offence to
s u p c r i o r so r s u h o r t l i n a t e s .
I tudershilt rt.l'thc grotrlt
'l'hc
l c a d c r o l ' t h c g r o u l ' r s h o u l d o n l y t t k c t h c i r r i t i i r t i v ci n c l c i r l i n gw i t h
o r g u n i s u l i o n u lp r o b l c m s ( i n v i t a t i o n , a o m p o t i t i o n . d u r i t t i o n a n d c v l l u i r t i o n ) .

88

5 (irnceptual design

Before the actual brainstorming sessionhe must outline the problem and,
during the session, he must see to it that the rules are obsefved and, in
particular, that the atmosphereremains free and easy. To that end he might
itart the sessionby expressinga few absurd ideas, or mentioning an example
from another brainstorming session. He should never lead in the expression
of ideas. On the other hand, he can encourage the flow of new ideas
whenever the productivity of the group slackens. The group leader must
ensurethat no one criticisesthe ideas of other participants.He should appoint
one or two participants to take minutes.
Procedure
-All
participants must try to shed their intellectual inhibitions-that is, they
should avoid rejecting as absurb, false, embarrassing,stupid or redundant
any ideas expressedspontaneouslyby themselvesor by other members of the
group.
--No participant may criticise ideas that are brought up, and everyone must
refrain from using such killer phrasesas'We've heard it all before','It can't
'It will never work' and 'It has nothing to do with the problem'.
be done',
New ideas are taken up by the other participants, who may change and
develop them at will. It is also useful to combine several ideas into new
proposals.
-All
ideas should be written down, sketched out, or spoken into a tape
recorder.
- All suggestionsshould be concrete enough to allow the emergence of specific
solution ideas.
-The practicability of the suggestionsshould be ignored at first.
-A
session should not generally last for more than 30 to 45 minutes.
Experience has shown that longer sessionsproduce nothing new and lead to
unnecessaryrepetitions. It is better to make a fresh start with new ideas or
with other participants later.
Evaluation
- The results are reviewed by experts and if possible classified, graded in order
of feasibility and developed further.
- The final result should be reviewed with the entire group to avoid possible
misunderstandingsor one-sided interpretations on the part of the experts.
New and more advanced ideas may well be expressedor developed during
sucha reviewsession.
Brainstorming is indicated whenever:
-No
practical solution principle has been discovered.
- The physical process underlying a possible solution has not yel
identified.
- T h c r e i s a g c n c r a l f c c l i n g t h a t d e a c l l o c kh a s b c c n r c i l c h c ( l .
- A r a d i c a ld c p a r t u r c l r o t r r t h c c o n v c n t i o n a la p p r o u c hi s r c q u i r c t l .

5 . 4 S e a r c h i n gl o r s o l u t i o np r i n ei p l e s

Brainstorming is useful even in the solution of sub-problemsarisingin known or

existing systems. Moreover, it has a beneficial side effect: all the participants are
supplied with new data, or at least with fresh ideas on possible procedures,
applications,materials, combinations etc, becausethe group representsa broad
spectrum of opinion and expertise (for instance, designers, production engineers, salesmen, materials experts and buyers). It is astonishing what a
profusion and range of ideas such a group can generate. The designer,for one,
will remember the ideas brought up during brainstorming sessionson many
future occasions. Brainstorming triggers off new lines of thought, stimulates
interest and representsa break in one's normal routine.
It should, however, be stressed that no miracles must be expected from
brainstorming sessions.Most of the ideas expressedwill not be technically or
economically feasible, and those that are will often be familiar to the experts.
Brainstorming is meant first of all to trigger off new ideas, but it cannot be
expected to produce ready-made solutions becauseproblems are generally too
complex and too difficult to be solved by spontaneousideas alone. However, if a
sessionshould produce one or two useful new ideas, or even some hints in what
direction the solution might be sought, it will have achieved a great deal.
An example of a solution obtained by brainstorming will be found in 5.9.2,
which also shows how the resulting ideas were evaluated and how classifying
criteria for the subsequent search for solutions were derived from them.
2 Method 635
Brainstorming has been developed into Method 635 by Rohrbach [5.45].
After familiarising themselves with the task and after careful analysis, each of
six participants is asked to write down three rough solutions in the form of
kcywords. After some time, the solutions are handed to the participant's
rrcighbour who, after reading the previous suggestion, enters three further
solutions or developments. This processis continued until each original set of
thrce solutions has been completed or developedthrough associationby the five
rrther participants. Hence the name of the method.
Method 635 has the following advantagesover brainstorming:
A good idea can be developed more systematically.
It is possible to follow the development of an idea and to determine more or
lcss reliably who originated the successfulsolution principle, which might
prove advisable for legal reasons.
'l'lrc
problem of group leadership hardly arises.
l h c r c l a t i v c d i s a d v a n t a g eo f t h e m e t h o d i s :
llccluccclcrcativity by the individual participants owing to isolation and lack
ol stinrulirti<ln
i n t h c a b s e n c eo f o v e r t g r o u p a c t i v i t y .
J l)clphi method
I n t h i s m c l h o d . c x p c r t s i n t ; r a r t i c u l a rf i e l d u r c u s k c d k r r w r i t t c n o p i n i o n s 1 5 . 9 1 ,

90

5 Conccptual design

The requeststake the following form:

First round:
What starting points for solving the given problem do you
suggest?Pleasemake spontaneoussuggestions.
round:
Second
Here is a list of various starting points for solving the given
problem. Pleasego through this list and make what further
suggestionsoccur to you.
Third round: Here is the final evaluationof the first two rounds. Pleasego
you consider
through the list and write down what suggestions
most practicable.
This elaborateproceduremust be plannedvery carefullyand is usuallyconfined
to generalproblemsbearingon fundamentalquestions
or on companypolicy.In
the field of engineeringdesign,the Delphi method should be reservedfor
fundamentalstudiesof long-termdevelopments.
4 Synectics
Synectics
is a technicalneologismand refersto the combinationof variousand
apparentlyindependentconcepts.Synecticsis comparableto brainstorming,
with the differencethat its aim is to trigger off fruitful ideas with the help of
analogiesculled from non-technicalor semi-technical
fields.The methodwas
with
than brainstorming
first proposedby Gordon [5.18].It is more systematic
its arbitraryflow of ideas.For the rest, both methodscall for completefrankness
and lack of inhibitionor criticism.
A synecticsgroup shouldconsistof no more than sevenmembers,lest the
ideas expressedrun away with themselves.The leader of the group has an
additionaltask: he must help the group to developthe proposedanalogiesby
guiding them through the following steps:
- Presentation
of the problem.
-Familiarisation with the problem(analysis).
- Graspof the problem.
- Rejection of familiar assumptionswith the help of analogiesdrawn from
other spheres.
-Analysis of one of the analogies.
- Comparisonof the analogywith the existingproblem.
-Development of a new idea from that comparison.
-Development of a possiblesolution.
If the result is unsatisfactory,the processmay have to be repeated with a
different analogy.
An examplemay help to illustrate this method. In a seminarset up for the
purposeof discoveringthe best method of removing urinary calculi from tho
human body, severalmechanicaldevicesfor gripping, holding and extracting
these stones were mentioned. The device would have to stretch and open
inside the urethra. The keywords'stretch' and 'open up' suggestedthe idea of

umbrellato one of the participants(Figure5.23).

Qirestion:how can the umbrellaprinciple (a) be applied?lly (b) dril

5 . - l S e a r c h i n gl o r s o l u t i o np r i n c i p l c s

91

throughthe stone,pushingthe umbrellathroughthe hole and openingit up? Not

very feasible.By (.) pushinga tuLrethroughthe hole andblowingit up (balloon)
behindthe stone?Drilling of hole not feasible.BV (d) pushingthe tube pastthe
stone?When the tube is withdrawn the resistancemay seriouslvdamagethe

7A*'.
/ \ \\
^,
til
tllil
,{

-'.i

','

tl

\J

\ --

J- v

U2

obc
Figure5.23.Step-by-stepdevelopmentof a solutionprinciplefor the removalof urinary
calculibasedon an analogy
urethra. By (e) adding a second balloon as a guide and by (f) embedding the
stone in a gel between the two ballons and then pulling it out? This was found to
be the best solution (Figure 5.24).
Characteristic of this approach is the unrestricted use of analogieswhich, in
the case of technical problems, are selected from the non-technical or semitechnical spheres. Such analogieswill generally suggestthemselvesquite spontaneouslyat the first attempt but, during subsequentdevelopment and analysis,
they will generally be derived more systematically.

I i g u r e5 . 2 4 .

developedin Figure5.23

5 (lombination of methods
,,\ny one of these methods taken by itself may not lead to the required goal.
l ' . r p c r i e n c eh a s s h o w n t h a t :
'I'hc
group leader of, or another participant in, a brainstorming sessionmay,
whcn the flow of ideas dries up, introduce synectic procedures-deriving
irnirlogics,systemzrticnegation etc-to releasea new flood of ideas.
A ncw idca or an analogy may radically changethe approach and ideas of the
8roup.
A surnmary of what has been agreed so far may lead to new ideas.
'destroystone'
I n t h c s c m i n a r w c n r e n t i o n e d ,t h e p r c s c n t a t i o no f t h e i d e a
producctl a host ttf ncw suggcstions such as tlrilling, smashing, hammering,
Ultraronic disintegrution and so on. Whcn ths flow of idcas cvcntually dricd up,
-

92

5 Conceptualdcsigrr

93

5 . 4 S c a r c h i n g 1 ' o rs o l u t i o n p r i n c i p l e s

'How doesnature destroy?'which immediately evoked a

the group leader asked,
number of new suggestionsincluding weathering, heating and cooling, decay,
putrefaction, bacterial action, ice expansion and chemical decomposition. A
'clasp stone' and 'destroy stone' provoked the
combination of the two principles
question, 'What else?'. This produced the answer'contact', which in turn threw
up such new ideas as sucking, glueing, and applying various contact forces.
The different methods should be combined so as best to meet particular cases.
A pragmatic approach ensuresthe best results.

5.4.3 Methods with a discursivebias

Methods with a discursive bias provide solutions in a deliberate step-by-step
approach. Discursive methods do not exclude intuition, which can make its
influence felt during individual stepsand in the solution of individual problems,
but not in the direct implementation of the overall task.
I Systematicstudy of physical processes
If the solution of a problem involves a known physicaleffect representedby an
equation, and especially when several physical variables are involved, various
solutions can be derived from the analysisof their interrelationships-that is, of
the relationship between a dependent and an independent variable, all other
quantities being kept constant. Thus, if we have an equation in the form y : /
(u,v,w) then, according to this method, we investigatesolution variants for the
r e l a t i o n s h i p s . I r: f @ , y , w ) , y 2 : f ( u , v , w ) a n d y 3 : f ( u , v , w ) , t h e u n d e r l i n e d
quantities being kept constant.
Rodenacker has given several examples of this procedure, one of which
concernsthe development of a capillary viscometer[5.42]. Four solution variants
can be derived from the well known law of capillary action q * Ap'/l(V't)
( t h e y a r e s h o w n s c h e m a t i c a l l yi n F i g u r e 5 . 2 5 ) .
1. A solution in which the differential pressure/p servesas a measure of thc
viscosity: rl 6 lp (V,r and / : const.).
2. A solution based on the diameter of the capillary tube: q 6 / (V,/p and / =
c o n s t .) .
3. A solution based on changesin the length of the capillary tube: ry cr lll (/p.V
and r : const.).
4. A solution based on changesin the volume flow rate'.n cr IIV (Ap.r and I =
c o n s t .) .
Another way of obtaining new or improved solutions by the analysis of

physicalequationsis the resolution of known physicaleffects into their lrrrli

vidual components. Rodenacker, in particular, has used this approach in tho
design of new devices or the development of new applications for cxisti
clcvices.
I l y w a y o l c x i t n r p l c ,l c t u s l o o k a t t h e c l c v c l o t . l r n c rot l i r l r i c t i o n i r l t h r c
l o c k i r r gt l c v i c c . b l r s c t lt l r r t h c i r r r l r l y s i so l l l t c c t l t t t t l i o t tg r t v c t t t i r t g l l t c l o r

I iulrre-5.25.Schematicrepresentationof four viscometers,after [5.421

/ ('ontainer; 2 gear pump; ,l variable drive; 4 pressuregauge;5 fixed capillarytube; 6
, rrpillarytube with variable diameter; 7 capillary tube with variable length
,r,'cdcd to release a threaded fastener:

r : pl(dt2) tan(Q"- 0) + @t2)pl

(1)

llrc torque given by equation (1) is made up of the following components;

I r i c t i o n a lt o r q u e i n t h e t h r e a d :
Tt* P(dl2) ano,:
rrlrerc

P(dl2')p,

(2)

tan@,: ptllcos(ol2): p,

I r i t ' t i o n i r lt o r q u e o n t h e b o l t h e a d o r n u t f a c e :
T,i: P(Dl2) tan@t: P(Dl2) p1

(3)

l ( t ' l c l r s ct o r ( l u c o l t h c t h r e a d d u e t o p r e - l o a da n d t h r e a d p i t c h :
1 ' ,ll,
l,

I'(dl2)rln (-/l) -

P . lL

(4)

t l r r c i r rpl i t c h ./ , . l r c l i xi r n g l c .r / * r n c i u rl h r e i r t l( t ) r l i i r r n c t c r/.' . . - p r c - k r i r r l .
r r r el r r l r r e c( | ) t l i r r r t r t ' l c,rr.r , v a [ l u i l (l v ) c o c l l i c i en t o l l t i c t i ( ] ni n t l r c t l r r c l r t l .

t)4

-5 Conceptualdesign

It : actual coefficient of friction in the thread,lr : coefficient of friction on the

head or nut face, a : flank angle, Q : angle of friction).
To discover solution principles for the improvement of the locking properties
of a threadedfastener, we must analysethe physicalrelationshipsfurther so as to
identify the physical effects involved.
The individual effects involved in equations (2) and (3) are:
- The friction effect (Coulomb friction)

4:
-

95

5 . ' l S e a r c h i n gl b r s o l u t i o n p r i n c i p l c s

lor
criterion
Classifying
thecolumns
labelling
tor
Classifying
criterion
labelling
therows

! ' P a n df i : P 1 P

The lever effect

Tt: Ft dl2 and Tt: \ Dl2

-

The wedge effect

p,, : prlcos (ctl2)

The individual effects in equation (4) are:

- The wedge effect
F, n P tan(-B)
-

Classifying
criterion
for
labelling
therows

The lever effect

Tr:

F, dl2

An examination of the individual physical effects will yield the following

solution principlesfor the improvement of the locking properties of the fastener:
- Use of the wedge effect to reduce the tendency to loosen by decreasingthe
helix angle B.
- Use of the lever effect to increasethe frictional moment on the head or nut
face by increasing the mean face diameter D.
- Use of the friction effect to increase the frictional forces by increasing the
coefficient of friction trr.
- Use of the wedge effect to increase the frictional force on the face by means of
conical surfaces(P.1r1lsin 7 with included angle : 27). This method is used
with automobile wheel attachment nuts.
- Increase of the flank ansle a to increase the virtual coefficient of friction
the thread.
2 Systematicsearch with the help of classification schemes
In 2.2.1 we showed that the systematicpresentation of data is helpful in t
respects.On the one hand it stimulatesthe searchfor further solutionsin vuri<
directions; on the other hand it facilitates the identification and combination
essential solution characteristics.Because of these advantases a numbcr
classificationschemes have been drawn uo" all with a similar basic strr.rct
D r c i b h o l z[ - 5 . 1 1h] a s p u b l i s h e da c o m p r e h e n s i vscu r v e yo f t h e p o s s i b l ci r p p l i c
l i < l n so f s u c h c l a s s i f i c a t i o ns c h c m e s
I ' h c r r s r r r rt lw o - r l i r r r c r r s i o l sn cl h c r n cc < l n s i s lrst l r o l s i r t t t l c o l t r r t t l tos l 1
n l c t c r sr r s e trl r st ' l r r s s i l v i ncgl i { c r i t r .I j i g r r r c5 , 1 6i l l u r t r n l c rl h c g c r t r ' r ' lsr tl r r r c l t r r c

Figure 5.26. General structure of

classificationschemes,after [5. I 1l

r'lassificationschemes(a) when parameters are provided for both the rows and
thc columns and (b) when parameters are provided for the rows only, because
thc columns cannot be arranged in any apparent order. If necessary, the
, llssifying criteria can be extended by a further breakdown of the parametersor
,lrrrracteristics(Figure 5.27), which process,however, often tends to confusethe
r'('ncrAlpicture. By allocating the column parametersto the rows it is possibleto
r r;ursformevery classificationschemebasedon row and column into a schemein
rrlrich only the row parameters are retained, and the columns are merely
r r r u n b e r e d( F i g u r e 5 . 2 8 ) .
Srrchclassificationschemeshelp the design processin a great many ways. In
l , , r r l i c u l a r ,t h e y c a n s e r v e a s d e s i g n c a t a l o g u e sd u r i n g a l l p h a s e so f t h e s e a r c h
j(,r 'r \olut'on, and they can also help in the combination of sub-solutionsinto
r , \ t ' r i r l ls o l u t i o n s ( s e e 5 . 5 . 1 ) . Z w i c k y
[ 5 . 6 5 ]h a s r e f e r r e d t o t h e m a s ' m o r p h o l o r ' r , ; rrl r u r t r i c e s ' .
l lrc clroicc ol classifying criteria or of their parameters is of crucial import. t t t t t ' I l l c s t i r b l i s h i n ga c l i t s s i f i c a t i o ns c h e m e i t i s b e s t t o u s e t h e f o l l o w i n g
r t r ' p- l r y - 5 t c 1y.tl r o c c c l u r c :
5 l r ' p l : S o l r r t i o np r o l - r o s a lasr c c n t c r c c li n t h c r o w s i n r a n d o m o r d e r .
\ t r ' p . l : l l t r . ' s c p t o p r r s l t l s l r r c l n l r livr sr tcht cl l i g h l o tl h c r n l r i n h c a c l i n g s ( c h a r a c t e r i s t i c s )s t r c l ti r s t v l ) eo l c t t c r g v .t t ' p c o l r r r o t i o nc t c ( s c c F i g u r c s5 . 2 9 u r r c l

.s..1()),
lltt'p l;

'l

l t t ' \ ' i r r c el i r s s i l i tel i r r r r c c o r d u t t gw

c a l h l l r er c l r el r r l i r r t s .

96

5 Conccptual clesign

9l

5 . 4 S e a r c h i n gf o r s o l u t i o n p r i n c i p l c s

Classilying
criteria:
physical
Types
of energy,
etfects
andoutward
appearances

Headings.
Mechan
ical
Hydraulic
Pneumatic
Electrical

Examples;
intertia,
Gravitation,
centrilugal
torce
Hydrostatic,
hydrodynamic
Aerostatic,
aerodynamic
Electrostatic,
electrodynamlc,
inductive,
piezo-electric,
capacitative,
transtormation,
rectlfication

Maqnetic
0ptical

Ferromagnetic,
electromagnetic

Thermal

Expansion,
bimetal
effect,
heatstorage,
heat
heat
heatinsulation
transfer,
conduction,

Chemical

reduction,
Combustion,
oxidation,
dissolution,
combination,
translormation,
electrolysis,
reaction
exothermic
andendolhermic

Nuclear
Biolog
ical

Radiation,
isotopes,
source
ofenergy

Rellection,
relraction,
interference,
diffraction,
polarisation,
infra-red,
visible,
ultraviolet

putrefaction,
Fermentation,
decomp0siti0n

I'igure5.29. Classifyingcriteriaand headings(characteristics)

for variationin the physical
searcharea

Figure 5.27. Classificationschemewith further subdivisionof parameters.after [5. ] 1l

R1

R2
C1 R3
R4
R1
R2
c2 R3
R4
R1

Figure5.28.Modified
classification
scheme,after [5.11]

R2
C3 R3
R4

This procedure not only helps one to identify comDatiblecombinations

m o r c i m p o r t a r r ts t i l l , c n c o u r a g e st h e o p e n i n g u p o f t h c w i c l c s tp o s s i b l cs o l u t
l'ic Itls.

Figure -5.31provides a simple example of a search for a solution to satisfy a

sth-function Here the answer was obtained by varying the type of energy
rrsainsta number of working principles.
Figure 5.32 is an example of variation based on motions. Here, the complex
Irrnction'coat carpet with syntheticbacking material'involves the two subI r r n c t i o n s ' m o v ec a r p e t ( s t r i p ) ' a n d ' m o v e a p p l i c a t o r ' f o r w h i c h v a r i o u st y p e s o f
rrrotion and their combination serve as classifying criteria. Thanks to its
\ ()lnprehensivenature the scheme covers every conceivablepossibility and can
,rlsobe used as a model for similar tasks.
As an example of the variation of motions in three dimensions, let us now
(()lrsider the function'form support wires for concrete reinforcing rods'. The
''lrrrpeof such support wires is shown in Figure 5.33, and
the possiblemotions of
t l r e l i r r m i n g t o o l s i n F i g u r e 5 . 3 4 a - c .T h e w i r e s a r e f o r m e d b y t h e c o - o r d i n a t e d
rrrovcmentsof two tools (punch and die). By variation of the basic motions
rlr.wn in (a) it was possible to correlate 20 punch and die motions (b), and by
,'rrrpkryingthe motions in and round all the co-ordinates to finish up with 239
p r r c l i c i r b l cc o m b i n a t i o n s ,s o m e o f w h i c h a r e s h o w n i n ( c ) . F i g u r e5 . 3 5s h o w st h e
r r ' l c c l c r sl o l u l i o np r i n c i p l e s .
l i i g t r r c , 5 . 3 ( rs h o w s t h c v a r i a t i o n o f t h c s u r f a c e si n t h e d e s i g n o f s h a f t - h u b
t ' o t t t t c c t i t t t l s . ' l ' l t i t t t kl s< l s u c h i l r r i l n g c n r c r ) t st .h c r n u l t i p l i c i t yo f s o l u t i o n s
o h l i r i r r c dl.i r r i n s l i r r r c bc y l h c n r c l h o do l ' l o r w l r t l s l c l l s( s c c 2 . 2 . F i g r r r c2 . 7 ) . c i r n
I t c l t t t t i l t l o r l r r l c r i u r t l c o r r r p l lec t l .

9t3

- 5 C t r n c c - p t u i rdl c r i g n

Classilying
criteria
Surfaces,
motions
properties
andprincipal
material
Surtaces
Headings
Type
Shape

Exanples.
Point,
line,surface,
body
Curve,
circle,
ellipse,
parabola
hyperbola,
Triangle,
pentagon,
square,
rectangle,
hexagon,
octagon
Cylinder,
cone,
rhomb,
cube,
sphere
Symmetrical,
asymmetrical

Position

Axial,
radial,
vertical,
horizontal
Parallel,
sequential

Size

Small,
large,
narrow,
broad,
tall,low

Number

Undivided,
divided
Simple,
double,
multiple

Motions
Headings
Type
Nature

Exanples
Stationary,
translati0nal,
rotatr0nal

Direction

Uniform,
non-uniform,
lating
oscil
Plane
orthree-dimensional
In x.y.z
direclion
ard/oraoouly.y,z
axis

Magn
itude

Velocity

Number

0ne,several,
composite
movements

Principai
properties
materiai
Examples
Headings
State
gaseous
Solid,
liquid,
Behaviou
r

plastic,
Rigid,
elastic,
viscous

Form

grains,
powder,
Solid
body,
dust

Figure5.30.Classifyingcriteriaand headings(characteristics)
for variationin the form
designsearcharea

If solutions to severql sub-functions are sought, then it is advisable to start by

'l'he
uEdLrllB these
treating
rucss sub-functions
suD-il.lncuons as
as the
Ine classifying
classlrylng criteria
cnterla for
lor the
the rows.
rows. The uppropri.
appropri
ate columns are then filled with possible solution principles and their characteris

tics, in numericalorder. Figure5.37 showsthe basicstructureof this tvoe

classification
scheme.In the rows,solutionss1iare assigned
to the sub_functir
d. Depending on how concrete a level the search for solutions is conduc

thesecan be physicaleffects,working or solution principles,function carric

selectedcomponents,
or merelycharacteristics
of individualsolutions.Variati
is usuallyfollowed by the combinationof solutionprinciples.combinati
methodswill be discussed
in sreaterdetail in 5.5.
To sum up: the searchfor solutionprincipresfor sub-functionsshoulcl
b a s c do n t h e f o l l < l w i nlsi n c s :

5 . 4 S e a r c h i n gf b r s o l u t i o n p r i n c i p l c s

Typeof energy
'
principle
Workinq

99

mechanical
J
h.
\ L))

hydraulic

Flywheel , Hydraulic
reservoir
Batlery

A o.Bladder
| | b Pislon
p c.Membrane .+ lV,+l
' (Pressure
energy)

(rot.)

Moving t,T,
MASS

(transl.
)

electrical

, Liquid

(pot.enerr
f'
t __,_,t_

Pol
energy

ln-l
-=-l

t tr+-|fesefvOtf

Flowing
liquid

,Fl

thermal
lVlass
ns

f-?^.,.1

77777777.

vdpdLr tul

(electr.
field)
,IC

Magnet
(magn.
field)

Heated
liquid

Superheated
steam

??r+
Metalspring
t,

'!:1
F

tr

r0t.+transl.+oot
Other
springs
(compr.
against
fluid+ gas)

l.fl-ap,nz
lrigure5.31.Differentworkingprinciplesto satisfythe function'storeenergy'byvarying
tl)etypeof energy

Preference should be given to such main sub-functions as determine the

principle of the overall solution and for which no solution principle has yet
bcen discovered.
('lussifying criteria and associated parameters (characteristics) should be
rlcrived from identifiable relationships between the energy, material ancl/or
signal flows or from associatedsystems.
ll thc physical working principle is unknown, it should be derived from the
physical cffccts and, for instance, from the type of energy. If the working
principlc has bccn determined. appropriate form design features (surfaces,
t t l o t i o t t si t n c l I n i t t c r i a l s )s h o u l d b e c h o s e na n d v a r i e d . C h e c k l i s t ss h o u l d b e
t r s c dt o s t i r n u l i r l cn c w i c l c a s( F i g u r c s- 5 . 2 9a n c l- 5 . 3 0 ) .
( ' l i r s s i l i c i t t i t sl tct l t c n t c s h o u l r b
l c b u i l t u l ) s t c l )b y s t c p l r n c a
l sc < l m p r c h c n s i v c l y
i r s p o s s i l r l c .l r r c o r r r l l i r t i b i l i t i cssh o u k l b c t l i s c t r r t l c r li .r n r l < l n l vl h c r n o s l 1 t r < l n r i s i t t g s o l u l i o t l ' p r o p o s i r l sp u r s u c t l . I n s o d o i n g , t l r c t l e s i g r r c rs l r o t r k l t r y t o

100

5 Conceptualdesign

5 . 4 S e a r c h i n gI o r s o l u t i o n p r i n c i p l e s

101

,.8

.+

"tJ

Figure5.33.Supportwire for
concretereinforcingrods[5.23]
rz lower rods
b upperrod
c supportwire
F

,.9

,N

.N

determine which classifying criteria contribute to the discoveryof a solution,

and to examine further variations of these.
-The most promising solutions should be chosen by
a special selectionproced u r e ( s e e5 . 6 ) .
-The same procedure should be followed
for other important sub-functions,
attention being paid to their incompatibility with previously elaborated
sub-functions.
-Solution principles should be combined in
accordancewith 5.5.
If possible, the most comprehensiveclassificationschemesshould be drawn
up, that is, schemesfor repeated use, but systemsshould never be built for
systematics'sake alone.

tl
I

ffit

.l+nrl
'Er

o
,o

c,)
E

.l

'l'he

use of design catalogues(manuals)

-Y
I

-E
<?

0)

tr

F-l

<.9

Oci

lool
lool
lool

Fo
6i

@.9
c

'5

c
-!

c
c
io
6=

s
@+

o;+
o

cio
r)d
O^
'ti

| )csign catalogues are collections of known and proven solutions to design

l,roblems. They contain data of various types and of distinct levels of embodirrrt'nt. Thus they may cover physical effects, solution principles, solution
|.nccpts, machine elements, standard parts, materials, bought-out components
t lt. In the past, such data were usually found in textbooks and handbooks,
( r)nll)'rnycatalogues, trrochuresand standards.Some of these contained. aoart
lr,rrr purely objective data and suggestedsolutions, examples of calculation,
r.l1;1i1v11
methods and other design procedures. Design catalogues should
lrtrviclc:
' ()trickcr, more problem-orientated accessto the accumulated
solutions or
tlrrlir.
l ' h c n r o s tc o n r p r c h c n s i v er a n g e o f s o l u t i o n sp o s s i b l e ,o r , a t t h e v e r y l e a s t ,t h e
t t t o s tc s s c r r t i i rol n c s , t o w h i c h t h c r c s t c a n l a t e r b e a d d e d .
'l'ltc
g r c i r t c s lp o s s i b l er i r n g c o f i n t c r d i s c i p l i n a r ya p p l i c a t i o n s .
l ) i r l i r l t l r c ( ) t l v c t l t i ( ) r l i rcl l c s i g r tp r o c c d u r c s i t s w c l l i r s l i l r c o r r r p u t c r - a i c l c c l
mclltrxls,

102

-5 Conceptualdesign
basicmotions
Possible
Rotation O
andTranslation
. : diefixed

5 . 4 S e a r c h i n gf o r s o l u t i o n p r i n c i p l e s

No.

S o l u t i opnr i n c i p l e

03

No

principle
Solution

(a)
.-.-------\
Number
ol
basic
motions

Variants

,]

motion
1 basic
Punch
Diefixed

Punch
2 basic
motions
Diefixed

motion
Punch
I basic
motion
Die1 basrc

t,

Punch
2 basic
motions
motion
Die1 basic

11

-.

I
.

._

't,]

17-2

._
^

Punch
2 basicmotions
Die2 basicmotions

.------

<)
7=
a)

a>

(b)
No.
1

11-?

11.-1

1 . 1 .3

1.7.-1

,L,.4, A ,A.,
.4, ,-K,
,-sQ,
,4,
,A ,ffi,

l zz

rl'

,-\,

21

31-7

rl'

--\,

3 . 1 .3-

.l J.-

33 2

l zz

fl '

nl
L\L

,-\,

4L

1 2.- 3

17.-2

,rrtt-&t

1 , . 5 ,1

Y
*'gt

4 . 6 . 1-

ll n'

^g'lr(,

51,1

5 . 2 .1-

5 . 4 .1-

lz

lt n'

ilt
?lr

rt3

I
I

lt [r h
ll+
Lii

r-+

3 3 -2

|-|+

ui

t-{

5 . 71

,-r\r,

/n\

Figure 5.34. Variation possibilitiesfor motions of tools for forming support wircs for
concretereinforcing rods, after [5.23];
( a ) P o s s i b l eb a s i cm o t i o n s
(b) Classificationschcme for possiblcrnotior.rs
of purrchanrl rlic
( c ) S o n r co l t l t c p r r r c l i c i t l l l c o r t r b i r l r t i o nos l 1 - r u r r cl nht l c l i cr n o l i o r r s

ffi

\ffi

F{*:*}L

ffi

r c 5 . . 1 5S
. c l c c t c t ls o l t t l i o t tp r i n c i p l c sl i t r l i r r r r r i r rsgu l ) l x ) r tw i r c s t i r r c o l c r c t c
o t c t l t St r t t l r o t t l l t e l r i r s i so l t o o l r r r o l i o r risr r l C C o r d n t r cwc i t h l r i g u r c5 . . 1 { c l,r t t c r

l5,l.j

r04

-5 Conceptualdesign

Variant
Characteri
stic

l-

@@@@@ &w
Position
@@@ M

Shape

wffi

Size
Number

@@& @

Fisure 5.36. Variation of surfacesfor shaft-hub connections,after [5.441

g'q;;trdT

F1

Srt

Srz

Sri

Stt

F2

Szr

szz

52j

s;;

F,

Sir

srz

sl

sm

,Fn

Snt

Snz

Sni

q
"nm

Figure5.37.Basic
structureof a
classificationscheme
with the sub-functions
of an overallfunction
and associated
solutions

The construction of design catalogueshas been studied, above all, by Rot

and collaborators [5.46, 5.51]. Roth suggeststhat a design catalogueof the typ
shown in Figure 5.38 is most likely to satisfy all the demands listed above'
Roth also attaches utmost importance to classifying criteria. They influen
the easewith which cataloguescan be handled and reflect the level of complexit
of particular solutions, and also their degree of embodiment. In the conceptu

5 . 4 S e a r c h i n gf o r s o l u t i o n p r i n c i p l e s

105

design phase, for instance, it is advisable to select as classifying criteria the

functions to be fulfilled by the solutions. This is because the conceptual design is
basedon the underlying sub-functions.For classifyingcharacteristicsit is beit to
choose generally valid functions (5.3), which help to elicit the most productindependent solutions.
Further classifying criteria might include the type and characteristicsof energy
(mechanical, electrical, optical etc), of materials or signals, of surfaces, of
motions and of physical effects. In the caseof design cataloguesintended for the
embodiment design phase, useful classifying criteria include the properties of
materials and the characteristics of particular machine elements, such as
couplings and clutches.By contrast, characteristicsof solutions, such as dimensions, noise etc, should not be used as classifyingcriteria becausethey are of
different importance to different users of the catalogue.
In the actual solutions column, it is possible to include physical equations,
sketchesof solution principles, layout drawings,names of materials,illustrations
etc, depending on the complexity of the catalogue.The type and completeness
of the information given once again depends on the intended application.
Great importance in the choice of solutions attachesto the columns covering
the selection characteristics.Such characteristics may involve a great variety of
properties-for instance, typical dimensions, reliability, response, number of
clementsetc. They help the designerin the preliminary selectionand evaluation
of solutions and, in the caseof computer-basedcatalogues,they can also be used
rn the final selection and evaluation.
Another important requirement of design cataloguesis that they should have
rrniform and clear definitions and svmbols.
The more concrete and detailed the stored information, the more direct but
;rlsothe more limited is the application of a catalogue.With increasingdegree of
t'nrbodiment, data for a given solution become more comprehensive,but the
t lurncesof arriving at a complete solution spectrum decreases.Thus it may be
lrossibleto provide a full list of physical effectsfulfilling the function 'channel',
lrtrt it would hardly be possibleto list all the potential embodiments of bearings
{thanelling a force from a rotating to a stationary system). Ewald [5.12] has
I'rrblisheda collection of design cataloguescompiled by himself and by other
turrlhors[5.46,5.51]. There are several cataloguescovering generators,transfornr('r.s.gears, bearings, shafts, couplings and springs. Koller has published
erlrrlogues of physical effects to fulfil the functions'change type of energy',

lrrrrrgc
type of signal'and 'vary physicalmagnitudes'15.271.

lay0ut
drawrngs,
physical
ons,
equati
etc
sketches
Basic
Figure-5.38.
structureof a clesign
l ronr[ 5.'161
catalog,uc,

or
Assessmenl
descnption
ol thesoluttons
0r elemenls

lrt what follows we include just a few examplesof, or extractsfrom, available

signcataktgues.
lrigurc -5.39shows a catalogueof physicaleffectsassociatedwith the functions

ngc cncrgy'ancl'varycncrgycomponent'.
It is basedon Koller 15.27land
'l'he
ttiltirucr[.5..1{)1. cirtaloguc
mlkcs it possible
to derivetheseeffectsfrom

c l l s s i l ' y i n gc r i t c r i i r .t h a t i s , ' i n p u t s a n c lo u t p u t s ' .T h e c h a r a c t e r i s t i cosn w h i c h

s c l c c l i o n i s b l s c d r n u s t b c c l c r i v c dl ' r o m t h c t c c h n i c a ll i t c r a t u r e .

F'igurc.5.4(lshowsa catnkrgucol mcchlnicalsolutionprinciplcsto f'ulfilthc

5 Conceptualdesign

5 . . 1 S e a r c h i n gf o r s o l u t i o n p r i n c i p l e s

Physical
ellects
E^",n y
-

,4 t^,,n

1,,' l-

Equation
for
locking
direclion
I
a n ds l i d i ndgi r e c t i o
Sn

F00ke
(Tensioni
compTessionl
0en0nq)

t=

to
na . s i n @ .c o s @ -atl,L
I 0 nq - l r

\ / PI
-IRT-"1

I+L

I
'o

lrt..llt

E
O

E
o

l-v1-L

\, /
6,
-'\

e\
-d

\'')f
f6)

9
6

-=

'-

.E

\l--

+
'd

L:
FI

.=

t1tt1

1-plt/ll

= . = s= l 1 1 / 1 3 )
F

.E
6

ttFc

E
lrt..IA,
- P)tona

l , !- 1

loia-p1\ -

l l
' l o n c z - l r|\ / +
c
41 iona.prl

r9#3
-v2n*tt
-'---tzl
.

',1N,

E
.9

I
= 6

'o

113<.117:117<111
; p,< Ian a

,l

;>

;l

E
e
E

.
I

lllton d

lJ I tan a p.\ -

lona

/1?

t,
pr\"

.=

to^a,ir)',
g

li

L:
', t.

u,lt/lt

l,
1 1 ,! , t ,
,, ,),

1 p,l,/1,|

,,.ffi1,.hn
fu,tlr

'-

t1

I,F1'1'

!,'

S,

t1

1
ut hl 2

L o c k i ncqo r d i t i o n
(without
friction):
s l f& .
_
f< J-)sinBf

.a

EE
- :r/2
wedge.1)

l r ', Fl o n a , l
tcn(r(l 4j pt) pr

cq

+
h

>o
gE

-.=

lljr(ll)a-Y I

F i g u r e- 5 . 3 9D
. e s i g nc : r t a l o g u eo f p h y s i c a cl f f c c t sb a s c t lo n 1 5 . 2 7 5. .j t ) l f i r r t h c g c r r c r ; r l l y
a p p l i c a b l et u n c t i o r r s ' c h : r n gccn c r g y ' a n c l ' v a r vc n c r g v c ( ' n l l ) r r n c n t A
' .l s o l r p p l i
fkrw ttf sigttlls

lnt tt ll

1t,1t,),p,,1t,'

c 5 J ( l l l x t r i r e tl t o t t l 1 1 1 s 1 gt '1r t1t r t l o g t tocl t l t c l r r t t c t r o n ' P r ( ) \ , r (ol rcr c - w l r v

axirrl
r r r ' , l t o r r1r5 , { h l

5 Conceptualdesign

108

function'provide one-way axial motion'. In this, unlike the previous catalogue,

the solutions are concrete enough, thanks to the specification of the form design
features, for the embodiment design phase to start with a scale layout drawing'

5.5 Combining solution principles to fulfil the overall

function
The methodsdescribedso far were primarily intendedto help in the searchfor
solution principlesand in the constructionof a solutionfield for sub-functions.
To fulfilihe overall function, it is now necessaryto elaborateoverall solutions
from the combination of principles (system synthesis).The basis of such
combinationsis the establishedfunction structurewhich reflectslogicallyand/or
of the sub-functions'
-physicallypossibleor usefulassociations
The methodswe have beendescribing,and particularlythosewith an intuitive
but there
bias.are intendedto lead to the discoveryof suitablecombinations,
In
directly.
more
are also special methods for arriving at such syntheses
the
principles
with
principle, they must permit a clear combinationof solution
iretp of the issociated physical quantities and the appropriate form design
features.
The main problem with such combinations is ensuring the physical and
geometricalcompatibility of the solution principlesto be combined,which in
the smooth flow of energy, material and/or signals.A further
i.r.n
"nsures
problem is the selectionof technicallyand economicallyfavourablecombina'
iions of principlesfrom the large field of theoreticallypossiblecombinations.
at greaterlengthin 5.6.
This aspectwill be discussed

5.5.1 Systematiccombination
For the purpose of systematic combination, the classification scheme to wl
'morphological matrix' (seeFigure 5.37) is particu
Zwicky [5.05] reters as the

ty useful. Hire, the sub-functionsand the appropriate solutions (solut

principles)
are entered in the rows of the scheme.
If this schemeis to be used for the elaborationof overall solutions'then
least one solution principle must be chosenfor every sub-function(that is'
every row). To provide the overall solution, these principles must then
com6ined systematically into a function structure. If there are rn 1 solul
principles for the sub-function Fr, mz for the sub-function F2 and so on,
nn thettreti
ifter iomplete combination we have ly' tp1 . t z. ft4

possibleoverallsolutionvariants.
The mainproblemwith thismethodof combinationis to decidewhichsol
p r i q c i p l c s a r c c O m p a t i b l e ,t h a t i s , t o n a r r o w d o w n t h c t l t c o r c t i c a l l y
scarch ficld to thc pritctically possiblc search ficld.
-rrrft!

5.5 Combining solution principles

109

The identification of compatiblesub-solutionsis facilitatedif:

- The sub-functionsare listed in the order in which they occur
in the function
structure, if necessaryseparatedaccordingto flow of energy,material and
signals.
- The solution principles are suitably arrangedwith the
help of additional
column parameters,for examplethe type of energy.
- The solution principlesare not merely expressedin words
but also in rough
sketches.
- The most important characteristicsand propertiesof the solutionprinciples
are recordedas well.
This method of combinationis depictedin Figure 5.41. In Figure5.42 it is
appliedto the overallfunctionstructureshownin Figure5.16.The shadedareas

Combinations
of principles

I igure5.41.combiningsolutionprinciplesinto combinations
of principles
( o n t b i n a t i o1n: S , , + S 2 2+ . . . + , S n 2
( o r n b i n a t i o2n: S , , + , S 2 +
r . . . + Snr
r('l)resent the selected combination of principles, the sub-function ,separate
\l()r)cs'involves the application of two solution principles in succession
[5.3].
lrurther examples of this method of combination will be found in 5.9 (Figures
I { r l ' i -. 5 . 6 9 5
, .90 and 5.91).
l'hc verification of compatibilities,too, is facilitated by classificationschemes.
ll trv. sub-functions to be combined-for instance, 'change energy, and .vary
nrcchirnicalenergy component'-are entered respectivelyin the column and row
herrtlingof a matrix with their characteristicsin ihe appiopriate boxes, then the
rnPirtibility of the sub-solutionscan be verified more easily than it could be
rc such examinations confined to the designer'shead. Figure 5.43 illustrates
\ t y p c o f c o m p a t i b i l i t ym a t r i x .

()ttly contbinccompatiblcsub-functions.
only pursucsuchsolutionsils meetthe demancls
of the specification
and look
likc fallingwithin rhc prop.scdbu<lgct(sccsclcctionpiocedures
in 5.6).
Concentrtttctln prontisingcornbinations
und cstablishwhy thcscshoulclbe
pttfcrred above thc rcst,

5 Conceptual desig n

110

iubJunctions\

Lift

sitl

---__Change
Vary Xetn,
nrecnan.
energy
\
c{)mponent \
Chaindrive

,lmu* '

#;h

Separate
leaves

Spurgeardrive B
grid
Sifting

5.5 Combiningsolutionprinciples

(:

wheel
Sifting

Sb,4t/tt

Itese
drive C
rctionwheel 0
rve

Plucker

lI1

spiral
in
0scillatingBimetal
solenoid hotwater

Electric
motor

I
il A capable
ol rolating

slowmolion

yes

slowrolati0n
onlythrough
addlt
onal
(frtrwheelin0
elemenls
elc.)dltlicull
ro
reverse
direclion

yes
lookoutlor
shock
loads

Separate
stones

Sort
p0tat0es

Collect

by hand

byfriction tl checksize
(inclined
plane) { (holegauge)

Conveyor

mass
cnecK
(weighing)

Sack{illing
devrce

Combination
ol principles

Figure5.42.Combination of principles for designing a potato harvesting machine in

with the overall function structure shown in Figure 5.16
accordance
In conclusion, it must be emphasised that what we have been discussingI S
generally valid method of combining sub-solutions into overall solutions.
method can be used for the combination of solution principles during
conceptual phase, and of sub-solutions or even of components and assembl

during the embodimentphase.Becauseit is essentiallya method of informat

processing,it is not confinedto technicalproblemsbut can also be usedin
developmentof managementsystemsand in other fields.

5.5.2 Combining with the help of mathematical methods

Mathematical methods and computers should only be used for the combina
clf solution principles if real advantagescan be expectedfrom them. Thus, at
r c l a t i v c l y i r b s t r i t c tc o n c c p t u a lp h a s e ,w h e n t h c n a t u r e t l l ' t h c s o l u t i o n i s n t l t
f u l l y u n c l c r s l o o d .l t g u a n t i t a t i v c l a h r l r a t i o n - t h n t i s , u m t t l l r c n r i t t i c acl o m

l:J

very
oifricutt
(doml pursue
l0 appiy
fu(her)

f]

mnontV
beapplied
under
certain
circumslances
(deler)

witlra rackand
swivel,
butonly
for lowpiston
speeds

Gearsegments
sutlice,
depending
on angleof rolalon

- Lever
withsliding
blockbulonly
tor lowpiston
_/ speeds

Largetorcesbecause
ol torque
dlringsiow
movemenl
imprecise
posllioning

see82

additional
leverlinkage
bulonlyfor ow
pislonspeeds

yes(when
angieof
rolalon is small,lever
w lh sl d ngblock)

\./
yes

yes

see82

.,./
t

Oscillating
piston
hydraulic

seeD3

\
|

Irigure 5.43. Compatibility matrix for combination possibilities of the sub-functions

'change
'vary
energy' and
m e c h a n i c a l e n e r g y c o m p o n e n t ' , f r o m [ 5 . 1 1]

tron along with an optimisation-is quite out of place and can be misleading.The
( \ceptions are combinations of known elementsand assemblies.for instance in
r:rriant design. In the case of purely logical functions, combinations can be
1 , , ' r . f o r m ewd i t h t h e h e l p o f B o o l e a n a l g e b r a[ 5 . I 5 , 5 . 4 4 ] i n , s a y , t h e l a y o u t o f
.',rlctysystemsor the optimisation of electronic or hydraulic
circuits.
lrr principle, the combination of sub-solutionsinto overall solutions with the
lrt'lp of mathematical methods calls for knowledge of the characteristicsor
l'rrrllcrtiesof the sub-solutionsthat are expectedto correspondwith the relevant
l , r , r p c r t i e so f t h e n e i g h b o u r i n gs u b - s o l u t i o n sT. h e s ep r o p e r t i e sm u s t b e u n a m b i grrousand quantifiable. In the formation of solution concepts, data about the
Itlrt'sicalrelationships may be insufficient, since the geometrical relationships
Itr.rv lrave a limiting effect and hence may, in certain circumstances,lead to
Itrr'orrr;ratibilities.
In that case,physical equation and geometricalstructure must
ftrsl bc rnatchcd mathematically, and this is not generally possible except for
llstcrrrs of klw complexity. For systemsof higher complexity, by contrast, such
f t n c l l r l i o n s o l ' t c n l r c c o r n ca m b i g u o u s , s o t h a t t h e d e s i g n e r m u s t o n c e a g a i n
f h r x r s c b c t w c c n v i r r i a n t s .w c m a y , a c c o r c l i n g l ys, p c a k o f d i a l o g u es y s t e m si n
t l r c l ) r ( ) c c s sr l l c o l n l r i n l r t i o nc t l n s i s t so l r r r i r l h c r r u r t i c lar ln c lc r c i r t i v cs t c p s .
fhich
J ' l ' h i s n t i t k c s i l c l c i t r t l t i r t t h o u g h , w i t h i n c r c a s i n gp h y s i c i r lr c a l i s a t i o no r
p h o d i m c n t o l ' u s o l u l i r t np r i n c i p l c . i t b c c o m c rr i m p l c r t o c s t l b l i s h q u a n t i t a t i v c

t12

. 5 C t t n c e p t u u ld e s i g n

5 . 6 S e l e c t i n gs u i t a b l e c o m b i n a t i o n s

combination rules, the number of properties increasesand with them the

number of constraints and optimisation criteria, so that the mathematicaleffort
required becomesvery great. Combining with the help of mathematicalmethods
c a l l sf o r t h e u s e o f c o m p u t e r s[ 5 . 6 ,5 . 8 , 5 . 2 6 ,5 . 3 0 ] .

5.6 Selectingsuitablecombinations
For the systematicapproach, the solution field should be as wide as possible.By
paying regard to all possibleclassifyingcriteria and characteristics,the designer
is often led to a larger number of possible solutions. This profusion constitutes
the strength and also the weaknessof the systematicapproach. The very great,
theoretically admissible but practically unattainable, number of solutions must
be reduced at the earliest possible moment. On the other hand, care must be
taken not to eliminate valuable solution principles, becauseoften it is only in
their combination with others that an advantageousoverall solution will emerge.
While there is no absolutely safe procedure, the use of a systematic and
verifiable selection procedure greatly facilitates the choice of promising solutions from a wealth of proposals [5.37].
This procedure involves two steps, namely elimination and preference.
First, all totally unsuitable proposals are eliminated. If too many possible
solutions still remain, those that are patently better than the rest must be given
preference. Only these solutions are evaluated at the end of the conceptual
design phase.
If faced with numerous solution proposals, the designer should compile a
selectionchart (Figure 5.44).In principle, after every step-that is, even after
establishingfunction structures-only such solution proposalsshould be pursued
AS:

- are compatible with the overall task and/or with one another (Criterion
-fulfil the demands of the specification(Criterion B);
realisablein respect of performance, layout etc (Criterion C); and
-are expected to be within permissablecosts (Criterion D).
Unsuitable solutions are eliminated in accordancewith these four cri
applied in the correct sequence. Criteria A and B are suitable for
decisionsand their application posesrelatively few problems. Criteria C and
often need a more quantitative approach, which should only be used o
criteria A and B have been satisfied.
Since criteria C and D involve quantitative considerations,they may lead
only to the elimination of proposed solutionswith too small an effect or too
a cost, but also to'preferencesbased on large effects,small spacerequire
and low costs.

solut
if, arnongthc vcry largcnumhcrol'possiblc
is iustificcl
A prcfcrcncc
thcrc urc $omcthlt:
-rjtr.-

r c 5 , 4 4 .S y s t c n r l t i cs c l c c t i o nc h a r t : a l , b l . c t c a r c s o l u t i o nv a r i a n t so f t h e p r o p o s a l s
c i n ' l ' a h l c . 5 . 1 , ' l ' h cc o l u n t r r c s c r v c r l{ i r r r c n l r r k s i l s l sl c i r s o n sf o r l u c k o f

i o no r c l i n r i n i r t i o n

114

5 Conceptualdesign

5 . 6 S e l c c t i n gs u i t a b l e c o m b i n a t i o n s

115

incorporate direct safety measures or introduce favourable ergonomic conditions (Criterion E); or
- are preferred by the designer's company, that is, can be readily developed
with the usual know-how, materials, proceduresand under favourable patent
conditions (Criterion F).
It must be stressed that selection based on preferential criteria is only
advisablewhen there are so many variants that a full evaluation would involve
too much time and effort.
In the caseof function structuresand solution principles,criteria A and B will
usually suffice.
Only after combination of the solution principles need criteria C and D be
applied, followed, if necessary,by the application of criteria E and F.
If, in the suggested sequence, one criterion leads to the elimination of a
proposal, then the other criteria need not be applied to it there and then. At
first, only such solution variants should be pursued as satisfy all the criteria.
Sometimes, however, it is impossible to settle the issue because of lack of
information. In the case of promising variants that satisfy criteria A and B, the
gap will have to be filled (see 5.7) by a re-evaluationof the proposal, which will
ensure that no good solutions are passedover.
The criteria are listed in the order shown above as a labour-savingdevice, and
not in order of importance.
The selectionprocedure has been systematisedfor easierimplementation and
verification (Figure 5.44). Here, the criteria are applied in sequeneeand the
reasonsfor eliminating any solution proposal recorded. Experience has shown
that the selectionprocedure we have describedcan be very quickly applied, that"
it gives a good picture of the reasonsfor selection,and that it provides suitable
documentation in the form of the selection chart.
If the number of solution proposalsis small, elimination may be bapedon the
same criteria. but less formally recorded.
The example we have chosen concerns solution proposals for a fuel gauge in
accordance with the specification in Figure 5.2. An extract from the list of
proposalsis given in Table 5.2.
A further example is shown in Figure 5.45. The specification of a test r
for gear couplings demanded an axial displacementin the test coupling so t
the forces which then appear could be measured. The possible position of t

Figure 5.45. Sketch showing the

principle of a test rig for gear
couplings.
1 drive; 2 gearbox;3 high-speed
shaft; 4 test gear coupling; 5
adjustable bearing block for
s et t i n g t h c a l i g n n t c n t ;6 d c v i c c f o f
lpplying l()rquc

Solution principle

a1
a2
a3

l. Mechanical, static
I.I. Liquid
Weight of liquid
Mass attraction
Use of solvent in the liquid

a4

Matter suspendedin the liquid

b1

1.2. Gas
Gas-filled bladder on top of the liquid

DZ

Volume of gas in sealed container

cl
c')

c3

1.3. Reproduction (Analogue)

Similar quantities of liquid in a container with
similar cross-sections
Similar volumes of gas (similar cross-section)
Container-shapedbody with p j. p1iuu1,1
Indication by:
Suspend by spring + displacement
Attach source of light to floating body displacement of light beam

Signal

Force
Force
Concentration
Residue (of
dissolved substance)
Concentration
Displacement
Pressure (of gas)
Pressure (of gas)

Force
Displacement
Pressure (of gas)
Force

2. Mechanical, dynamic
2.1. Liquid
Exploit the inertia of liquid (acceleration)
Oscillation of mass of liquid

Force (moment)
Frequency,
time
interval
Pump liquid from one container into another
Time
Irleasure quantity pumped across
Enefgy (electrical)
Measure differences in the inflow and the outflow Quantityof
in the container
rnatter(+)
Tap the container and measure response
Frequency
A t t a c h o s c i l l a t o rt o c o n t a i n e rTime (oscillation)

response dependent on mass of liquid

2.2. Cas
Pump gas into a sealed container or pump out
gas until a fixed pressure or a fixed quantitv of
gas is reached

Pressure(of gas)

-1. F,lcctricul

ll
:

as ohmic rcsistance
(volumedependent) Ohmic resistance
l-it1u1.!
Liquiclas diclcctric(volumedependent)
Capacitv

r r l t l c5 , 1 . l l x t r i r c t I r o r r rt h c l i s l o l s o l u t i o r rp r o p o s i r l sf i r r t l c s i g r r i r rugl i r c l g u t r g c

ll6

5 Conceptualdesign

displacement (classifying criterion of the rows) and the axial force input
(classifying criterion of the columns) were combined into the classification
scheme shown in Figure 5.46. The various combinations were checked and
unsuitable variants were eliminated for a number of not immediatelv obvious
reasons.
Axialforce
input
\

v
--lli:-

---T-D<XI

hydrodyn.
Position \
of disolacemenlaxialbearing

t1

1 Right-handI
prnr0n
-*

Inerm.
expansion

-Fo

T$ry
, !E*

l]-___*Jrn-$
z
,,tv.
.,

2 Right-hand 1 2
sleeve

1d*___llhilfrs.

rolling
bearing

+tlll.'

--tt l L
-w-

3 Adlustable l3
shaft
tHHFili$

4 Lett-hand
sleeve

:-#H_l-ht_l-$
5 lntermediateI5
shaft
t1fi

,/,(t

IL

o. ,.,W

_FF

_l

_T t--

,8.-..

+-

--l1.. r
rf

llt'

25

F,H ffi

Figure 5.46. Systematiccombination and elimination of variantsthat are unsuitablein

principle
Combination 21: Fo too great (life of rolling bearingstoo short)
Conrbination23: 2 . Fo, hence life of rolling bearingstoo short
Combination 22,24: Peripheral speedtoo great (life of rolling bearingstoo short)
Combination 31-34: Thermal lencth too small

5.7 Firming up into conceptvariants

The principles elaborated in 5.4 and 5.5 are usually not concrete enough to le
to the adoption of a definite concept variant. This is because,as the searchtirr
solution is based on the function structure, it is aimed, first and foremost, at
f u l f i l m e n t o f a t c c h n i c a l f u n c t i o n . A c o n c e p t m u s t , h < l w c v c r ,a l s o s a t i s f y
c < l n c l i t i o t tl si t i d d o w r t i n 2 . 1 . 6 , a t l c a s t i n c s s c n c c .l i r r o n l y t h c r r i s i t l l o s s i h l e
c v i t l u a t c i t . B c l i r r c c ( ) l l c c p tv i r r i a n t sc l n l ) c c v i t l u u t e d .t h e y n r u s t l l c l i r r n e d

5.7 Firming up into conceptvariants

ITl

which, as experience has shown, almost invariably involves a considerable

effort.
The selection process may already have revealed gaps in information about
very important properties, sometimes to such an extent that not even a rough
and ready decision is possible, let alone a reliable evaluation. The most
important properties of the proposed combination of principles must first be
given a much more concrete qualitative, and often also a rough quantitative,
definition.
Important aspectsof the working principle (such as performance and susceptibility to faults) and also of the embodiment (such as spacerequirements,weight
and service life) and finally of important task-specific constraints must be
known, at least approximately. More detailed information need only be
gathered for promising combinations. If necessary,a second or third selection
must follow the collection of further information.
The necessary data are essentially obtained with the help of such proven
methods as:
-rough calculationsbased on simplified assumptions;
- rough sketches or rough scale-drawings of possible layouts, forms, space
requirements, compatibility etc;
-preliminary experimentsor model tests to determine the main properties, or
approximate quantitative statements about the performance and scope for
optimisation;
-construction
of models to aid analysis and visualisation (for example,
kinematicmodels):
- analoguemodelling and systemssimulation, often with the help of computers;
- further searchesof patents and/or the literature with narrower objectives; and
- market researchof proposed technologies,materials, bought-out parts etc.
With these fresh data it is possible to firm up the most promising combinations
of principles to the point at which they can be evaluated (see 5.8). The
properties of the concept variants must reveal technical as well as economic
lcatures so as to permit the most accurate evaluation possible. It is therefore
rrclvisablewhen firming up into concept variants to bear possible later evaluation
criteria (see 5.8.3) in mind, the better to elaborate the information in a
purposeful way.
An example will show how it is possible to firm up solution proposals into
( ()ncept variants. To that end, we return once more to our fuel gauge.
Figure 5.47 shows a possible solution principle. Estimates of the weights and
rrrertia forces form the basis of the firming up procedure.
'lirtal
force of 20 to 160 litres of the liquid (static):
F , , ,:,6 . r . g . V : 0 . 7 - 5 x 1 0 x ( 2 0 . . . 1 6 0 ) : ( 1 5 0 . . . 1 2 0 0 )N ( f u e l )
i\rlclitional lirrccs cluc to acceleration + 30m/s2 (only the liquid is taken into
c r l n s i d c r a t i o)n:

F r r k=r n t ' o = ( 1 5 . . . 1 2 0 )x 3 ( X t ) = t ( 4 5 ( ) .. . 3 6 ( X ) ) N

118

5 Conceptual design

If the force is convertedinto movementit can be detected,for instancewith the

help of a potentiometer. (The suppressionof movements resulting from
accelerationforces calls for considerabledamping.)
It is possibleto obtain the total force, and hence the quantity of liquid,
statically, either directly by measuringthree bearing forces or indirectly by
measuringjust one bearingforce (seeFigure5.47).
Result:developsolutionfurther, provide damping,seekappropriatesolutions
and firm them up by means of rough scale drawings.Figure 5.48 showsthe
result. Once the necessaryparts and their arrangementare drawn, the proposal
can be evaluated.

4gl

Figure5.47.Solutionprinciplea1
(Table5.2)measureweightof liquid
(Signal= force)

Jt t \ l

F-tr-E

3 force-measuring
devrces

{'-_l

-t:

A-----E
1 force-measuring
devrce

Venlilalion
screw
soldered

0 i lf i l l i n g
fordamping

Flowrestrlctor

Gaslilling
(Pressure
balancing
duringtemperature
changes)

Figure5.48.Embodimentof the solutionprincipleshownin Figure5.47

5.8 Evaluating concept variants against technical and

economiccriteria
I n t h c n c x t s t c p . t h c s o l u t i o n p r o p o s a l s ,n o w f i r n r c r l u p i r r t o c o n c c l . l vt i r r i i r
t n u s t b c c v a l u a l c d s o i t s t o p r o v i c l ca n o b j c c t i v c b u s i sf o r d c c i s i o n s . ' l ' l r c r c

5.8 Evaluating concept variants

119

special evaluation procedures to fill this need, all of them so constructedas to

lend themselves not only to the evaluation of concept variants, but quite
generally of solution variants in every phase of the design process.

5.8.1 Basicprinciples
An evaluatior is meant to determine the 'value', 'usefulness' or 'strength' of a
solution with respect to a given objective. An objective is indispensablesince the
value of a solution is not absolute, but must be gauged in terms of certain
requirements. An evaluation involves a comparison of concept variants or, in
the caseof a comparison with an imaginary ideal solution, a 'rating' or degree of
approximation to that ideal.
An important element of design practice is cost analysis. h involves value
analysis (VA) [5.19, 5.58, 5.61, 5.62], that is, the determination of 'function
costs', by the assignmentof function carriers to the various sub-functions,and
the determination of their manufacturing costs. The main problem here is to
disentangle functions from components since a single component may carry
several sub-functions or a single function may be fulfilled by several components, which leads to an ambiguous distribution of costs. Moreover, costing
presupposes the availability of considerable design documentation. Finally, if
the evaluation and choice of solutions is basedpurely on production costs,there
is the danger that essential technical criteria and other economic considerations-for instance the market reaction to the product-which often cannot be
t;uantified in absolute amounts of money, will be ignored.
Hence there is a need for methods that allow a more comprehensive
evaluation, or in other words cover a broad spectrum of objectives(task-specific
rccluirementsand general constraints).These methods are intended to elaborate
rrot only the quantitative, but also the qualitative, properties of the variants, thus
rrrrrkingit possible to apply them during the conceptualphase, with its low level
,rl cmbodiment and correspondingly low state of information. The result must be
r t'liuble, cost-effective,easily understood and reproducible. The most important
rrrethods to date are use-valueanalysis* (UVA) based on the systemsapproach
l:.(r4l and the combined technical and economic evaluation technique specified
rrr (iuideline VDI2225 [5.60], which essentiallygoes back to Kesselring 15.24].
lrr what follows, we shall outline a basic evaluation procedure incorporating
f lre conccpts of use-valueanalysisand of Guideline VDI 2225.
I ldentifying evaluation criteria
'l
lrc lirst stcp in any evaluation is the drawing up of a set of objectives from
wlrich cvalr.rationcriteria can be derived. In the technical field, such objectives
orc rnirinly l'rascclon thc rcquirements of the specification and on the general
C o n s l r i l i n l(s2 . I . 6 ) .
t ' l ' h cl c l t t ' u s c - v l l t r ci r n i r l v s i s ' ius d i r c c tt r l t t s l i l l i ( t lt l o r r tt h c o r i g i n a(l i c r n r a nt c x t . A
| | m i l n r ,l r u l n r o r cg e n c r ; r lt,c r r nl i r r t h i s t y l t co f t c c h n i q u ci s ' c o s t - b c r t c li r tr t l l v s i s ' .

t20

5 Conceptualdesign

A set of objectives usually comprises several elements that not only introduce
a variety of technical, economic and safety factors, but that also differ greatly in
importance.
A range of objectives should satisfy the following conditions:
-The
objectives must cover the decision-relevant requirements and general
constraints as completely as possible, so that no essentialcriteria are ignored.
- The individual objectives on which the evaluation must be based should be as
independent of one another as possible-that is, provisions to increase the
value of one variant with respect to one objective must not influence its values
with respect to the other objectives.
- The properties of the systemto be evaluatedmust, if possible,be expressedin
concrete quantitative or at least qualitative (verbal) terms.
The tabulation of such objectives depends very much on the purpose of the
particular evaluation-that is, on the design phase and the relative novelty of the
product.
Evaluation criteria can be derived directly from the objectives. Because of the
subsequent assignment of values, all criteria must first be given a positive
formulation, for example:
'low noise'
not 'loudnesslevel'
'high
not 'magnitudeof losses'
efficiency'
'low
not'maintenancerequirements'
maintenance
Use-value analysissystematisesthis step by meansof an objectivbstree, in which
the individual objectives are arranged in hierarchic order. The sub-objectives
are arranged vertically into levels of decreasing complexity, and horizontally.
into objective areas-for instance,technical, economic-or even into major and
minor objectives (Figure 5.49). Because of their required independence,subobjectives of a higher level may only be connected with an objective of the next
lower level. This hierarchical order helps the designer to dete\mine whether or
not all decision-relevant sub-objectives have been covered. Moreover, it simplifies the assessment of the relative importance of the sub-obiectives. The
Areas
e.g.economrc
etficiency
of
engine
I

low
runn
ing
costs

_?

t'
I

I
I

'

.,--1 lOw
,---\.'
( 012)repair ( 02,)

..f''

costs Y

6@G6

,,^..

consumption
consumption
I"igurc5.49.Slructurcof an objcctivcstrcc

-*.,-

5 . 8 E v a l u a t i n gc o n c e p tv a r i a n t s

t21

evaluation criteria, (called objective criteria in use-valueanalysis),can then be

derived from the sub-objectives of the stage with the lowest complexity.
Figure 5.76 gives a concrete example of such an objective system.
Guideline VD|2225, on the contrary, introducesno hierarchicalorder for the
evaluation criteria, but derives a list of them from minimum demands and wishes
and also from general technical properties.
2 Weighting evaluation criteria
To establish evaluation criteria, we must first assesstheir relative contribution
(weighting) to the overall value of the solution, so that relatively unimportant
criteria can be eliminated before the evaluation proper begins. The evaluation
criteria retained are given 'weighting factors' which must be taken into consideration during the subsequent evaluation step. A weighting factor is a real,
positive number. It indicates the relative importance of a particular evaluation
criterion (objective).
It has been suggestedthat such weightings should also be assignedto the
wishes recorded in the specification [5.49], but that is only possible if such
wishes can be ranked in order of importance when the specification is first
drawn up. That, however, rarely happens at this early stage-experience has
shown that a whole series of evaluation criteria emerges during the development
of the solution, and that their relative importance changes. It is nevertheless
most helpful to include rough estimates of the importance of wishes when
drawing up the specification, because, as a rule, all the persons concerned are
available at that time (4.2.2).
In use-value analysis. weightings are based on factors ranging from 0 to 1 (or
lrom 0 to 100). The sum of the factors of all evaluation criteria (sub-objectives at
the lowest stage) must be equal to 1 (or 100) so that a percentageweighting can
be attached to all the sub-objectives. The drawing up of an objectives tree
Llreatlyfacilitates this process. Figure 5.50 illustrates the procedure. Here the
objectives have been set out on four levels of decreasing complexity and
provided with weighting factors. The evaluation proceeds step by step from a
lcvel of higher complexity to the next lower level. Thus the three sub-objectives
Oq1, O12 and O1j of the second level are first weighted with respect to the
ob jective 01 (in this particular case the weightingsare 0.5, 0.25, and 0.25). The
srrrnof the weighting factors for any one level must alwaysbe equal to Zwl: 1.0.
Ncxt comes the weighting of the objectivesof the third level with respectto the
rrrb-objectivesof the second level. Thus the relative weights of O111and O112
rvith respect to the higher objectives O11 were fixed at 0.67 and 0.33. The
r c n t i r i n i n go b j c c t i v c sa r e t r e a t e d i n s i m i l a rf a s h i o n .T h e r e l a t i v ew e i g h t i n go f a n
ohjcctivc at a particular level with respect to the objective 01 is found by
r r r r r l t i p l i c a t i o no 1 ' t h c w c i g h t i n g f a c t o r o f t h e g i v e n o b j e c t i v e l e v e l b y t h e
w e i g h t i r t gl ' l c t o r s o l t h c h i g h c r o b j c c t i v c l c v c l s . T h u s t h e s u b - o b j e c t i v eO t r r r ,
w h i c h h a s i r w c i g h t i n g o l 0 . 2 . 5w i t h r c s p c e tt o t h c s u b - o b j c c t i v eC ) 1 1 1 r )t h
f e next
h i g h c rl c v c l . h u s i r w c i g h t i r r g o l 0 , 2 .x5 ( r . 6 7 x0 . 5 x | = 0 . 0 9 w i t h r c s p c c t o O 1 .

122

5 Conceptualdesign

5.8 Evaluating conccpt variants

tz3

LevelI
1

e9=
=

= C .

6:=

6:

0.09 +

0 . 2 5 + 0 . 1+
6 0 . 0 9 + 0 . 0+4 0 . 0 4 + 0 . 0+8 0 . 2 5 : X w:i1 . 0

s-- =

Figure5.50.Objectivestree with weightingfactors

6F

>=

Such step-by-step weighting generally produces a realistic ranking because it is

much easier to weight two or three sub-objectives with respect to an objective on
a higher level than to confine the weighting to one particular level only,
especially the lowest. Figure 5.76 gives a concrete example of the recommended
procedure.
Guideline VDI2225 tries to dispensewith weightings and relies instead on
evaluation criteria of approximately equal importance. Weighting factors (2x,
3x) are, however, used for pronounced differences. Kesselring [5.24), Lowka.
[5.31] and Stahl [5.56] have examined the influencesof such weighting factorson
the overall value of the solution. Their conclusion was that they exert a
significant influence whenever the variants to be evaluated have very distinct
properties, and whenever the corresponding evaluation criteria have a great
importance.

:69=
d =

tn-

o>
_>

S-

3F

-i

q)

!
C)

-= 69>
c;=

(d

)s'
AS?

C ;

E
O

3 Compiling parameters

The settingup of evaluationcriteriaand the determinationof their importanceis

followed,as a next step, by the assignment
to them of known (or analytically
determined)parameters.Theseparametersshouldeitherbe quantifiableor, if
that is impossible,be expressed
by statements
framedasconcretelyas possible.
It hasprovedvery usefulto assignsuchparametersto the evaluationcriteriain

=
c

ol=

E
E

EB
ad

>5

'-

seethat the verbalformulationof the evaluationcriteriastronslvrcscnrblcs

t

oa
>F

an evaluation chart before proceeding to the actual evaluation. Figurc 5.5

shows an example of such a chart for an internal combustion engine.
appropriate magnitudes entered in the relevant variant columns. The rcuclcr
of the parameters.
I n G u i c l c l i n cV D l 2 2 2 5 , b y c o n t r a s t ,e v a l u a t i o nf o l k r w si m n r c d i i t t c l yu p o n
s c t t i n gu p o l c v a l u a t i o nc r i t c r i i r .

-l=

c)

+=

.sf

.-.

@6
N

5
" 2..1l

U
.9
=5
>9

:U

.j
v?

c-.

qJ

=i
EO
ad

oo
IJ.

124

-5 Conceptualdcsign

values
4 Assessing
The next step is the assessmentof values and hence the actual evaluation. These
'values' derive from a consideration of the relative scale of the previously
determined parameters, and are thus more or less subjective in character.
The Valuesare expressed by points. Use-value analysisemploys a range from 0
to 10; Guideline VDI 2225 a range from 0 to 4 (Figure5.52). The advantageof
the wider range is that, as experiencehas shown, classificationand evaluation

125

5.8 Evaluating conceptvariants

Before anyone can assignpoints to the parameters of the variants, he must at

'value
least be clear about the assessmentrange and the shape of the so-called
function' (see Figure 5.53). A value function connectsvalues (v) and parameter
magnitudes(lz), and its characteristicshapeis determined either with the help of
the known mathematical relationship between the value and the parameter or,
more frequently, by means of estimates [5.20].
1.0

1,0

Value
scale
ysis
Use-value
ana
Pts.
I
0

Meaning
absolutely
useless
solution

UDI2225
I Guideline
Meanins
nr.l
I
0

lncreasing
linear
lunction

function
linear
Decreasing

lncreaslng
exponential
function

lunction
exponenlial
Decreasing

unsatislactory

veryinadequate
solution

2 weaksolution
3

tolerable
solution

adequate
solution

satisfactory
solution

goodsolution
with
fewdrawbacks

goodsolution

v. goodsolution

solution
exceeding
therequirement

10 idealsolution

,]

justtolerable

adequate

good

very9000
(ideal)

l ; i g u r e5 . 5 3 .C o m m o nv a l u ef u n c t i o n sf ,r o m [ 5 . 6 4 1 ; :x m ; i , y : v ; i
It is useful to draw up a chart in which the parameter magnitudes are
t'orrelated step by step with the value scale. Figure 5.54 shows such a scheme,
rrrcorporatingthe point system of use-valueanalysisand also of YDI 2225.
All in all, therefore, the assignment of a value and the setting up of an
Figure 5.52. Points awarded in
use-valueanalysisand guideline

vDr2225

are greatly facilitated by the use of a decimal system and percentages. The
advantagesof the smaller range is that, in dealing with what are so often no morc
than inadequately known characteristicsof the variants, rough evaluationsare
sufficient and, indeed, may be the only meaningful approach. They involve the
following assessments:
-far below average
-below average
- average
- above average
- far above average
It is useful to begin with a search of variants with extremely good ancl
q u a l i t i e sa n d t o a s s i g nappropriate points to them. Points 0 and 4 (or 10) sht
o n l y b e a w a r d e di f t h e characteristicsare really extremc-that is, unsatislitc
()r vcry gootl (itlcirl).Oncc thcse extremc ptlints ltitvc llccn rrssignccl,
r c n r i r i r t i t t gv i t r i i t t t l sl t r c r c l i r t i v c l vc a s v t o l ' i t i l t ,

Value
scale

Parameter
magnitudes
Fuel
per
Mass
VOl2225
I
I Simplicity Service
Use-value
I
consumptionunilpower components
anarysrs
I
lol
I
I
km
s/kWhlkg/kwll
Pts I Ptt
0

360
3/,0

{.
5
6
7
B
r{1

400
380

3.5
3.3
3,1
2,9

320
300

2,7
25

280
260

7,3
2,1

7 t0

1,9

7?0

1,7

100

I 'r

extremely
complicated
complicated
average

simple

7A

rn3

30
40
60
BO

100

r20
140

200
extremely
simple

300
s 0 0. 1 0 t

parilmctcrmagniludcrwith vnlucscitlcs
5,54.('hnrt corrclulirrg

I -()

5 Conceptualdesign

assessmentschememay involve strong subjective influences.Caseswith a clear,

or even experimentally verified, correlation between the values and the parameters are few and far between. one such exception is the evaluation of
machine noise, where the correlation between the value (that is, the protection
of the human ear) and the parameter (noise level in dB) is clearly defined by
ergonomics.
The values v;j of every solution variant established in respect of every
evaluation criterion are added to the list shown in Figure 5.51 (Figure 5.55).
Whenever the evaluation criteria are of different importance to the overall
value of a solution, the weighting factors determined during the second step
must also be taken into consideration.To that end, sub-valuv,; iS multiplied bv
t h e w e i g h t i n gf a c t o r w i ( w v i i : w r . v i ) . F i g u r e 5 . 7 7 g i v e s a p r a c t i c a le * a m p t . - .

r21

5.8 Evaluating concept variants

'-

o=>
o;s

f
E

*
E

>

oq

oE

>a

.g

:s

>*>

,E
E

j-

5 Determining overall value

-_?>

s ;'s=
6=

ci

Ef

--

Ss
Socc

j-

E
!o

sE-

vl

Unweighted:

O V i' :

\- v,;
i: l

J;'9=

'<,=

nn

Weighted:

+E

=s
>-ro<

d>

ts>

The sub-valuesfor every variant having been determined, the overall value must
now be calculated.
For the evaluation of technical products, the summation of sub-valueshas
become the usual method of calculation but can only be considered accurateif
the evaluation criteria are independent. However, even when this condition is
only satisfied approximately, the assumption that the overall value has an
additive structure seems to be iustified.
The overall value of a variant i can then be determined.

js

s_

=S

O W V' 1 : I w r . r ; 1= I w v ; 1
i-f

i:r

5"e
E ___
.s

6 Comparing concept variants

On the basis of the summation rule it is possible to assessvariants in several

ways.

-l =
= -t=

Determining the maximum overall value

In this procedure that variant is judged best which has the maximum overull
value'.

oo
l1

E
0

o@

92]

>F

=x
F C

cd

--.

a6

OVi---> max

or

OWV1-+ max

what we have here is a relative comparison of the variants. This fact is madc
o f i n u s e - v a l u ea n a l y s i s .

<i

}a'l

s
Irl
io

Determining the rating

I f i t r e l a t i v c c o m p i t r i s o no f t h e v a r i a n t si s c o n s i c l c r c ct ol l t c i n s u f f i c i c n ti r n d
i t l r s t r l u l cn r t i r t l o
4 l i t v r t r i l u . tht a s t o [ r c c s t a b l i s h c d ,t l r c r rt l r c o v c r i r l l v i r l u c r n r r s l

;:l
'f

"l E

(r, -

- : c

ir, c

r;
\4.
O

ri

128

-5 Cionccptual design

referred to an imaginary ideal value which results from the maximum possible
value.
n

!rr..

L'll

Unweighted:
R, :

r=l

#:

In somecasesit is usefulto derive the overallrating from thesepartial ratings

and to expressit in numericalform, for instancefor computerprocessing.To
that end, Baatz[5.1] hasproposedtwo procedures,namely:
-the straightline method,basedon the arithmeticmean

nWV,
""ir
v-u".I,w1

W e i g h t e dW
: Rj:

i=1"
n

f.o*.

l1r'i

and
-the

hyperbolic method which involves multiplying both ratings and then

reducing to values between 0 and 1:

R:VR,xR"
The two methods have been combined in Figure 5.57.
Where there are great differences between the technical and economic
ratings, the straight-linemethod can be used to compute a higher overall rating
than is the casewith low but balancedpartial ratings. Becausebalancedsolutions
should be preferred, however, the hyperbolic method is the better of the two; it
helps to balance great differences in rating by its progressive reduction effect.
The greater the imbalance, the greater the reduction effect on the lower overall
values.

l?r,;1'z
c

",faT

t ou
c

Rr+Re

R:

Iw; .v1;

If the available information about the properties of all the concept variants
allows cost estimates,then it is advisableto proceed to a separatedetermination
of the technical rating R1 and the economic rating R". The technical rating is
calculatedin accordancewith the rule we have given-that is, by division of the
technicaloverall value of the given variant by the ideal value-and the economic
rating is calculated similarly, but by reference to comparative costs. The latter
procedure is suggested in VDI 2225, which relates the manufacturing costs
determined for a variant to the comparative manufacturing costs C,,. In that
case, the economic rating becomesR": (ColCvariant).
It is possibleto put, say,
C, : 0 8 X Cadmissiblc
or Co : 0.8 x C-ini-r. of the cheapest variant. If the
technical and economic ratings have been determined separately, then the
determination of the 'overall rating' of a particular variant may prove useful.For
that purpose, Guideline VDI 2225 suggests a so-called s-diagram (strength
diagram) with the technical rating R, as the abscissaand the economic rating R"
as the ordinate (see Figure 5.56). Such diagrams are particularly useful in the'
appraisal of variants during further developments, because they show up the
effects of design decisions very clearly.
1.0

t29

5.8 Evaluating conccpt variants

nA
,<.

E
o

Bol

ilh

\
04

4\

'rl

-o*,.uli

jdvetopmen'
. sreps
_

\
=--\

0.2
Figure 5.56. Rating cliagranrlroln

02

04
06
Tcchnical
raling
B,

0B

10

vDr2225

02

04

06

Tcchnical
ralittqfr' -----*

0B

10

I ) c l c r t t t i t t i r t i . to
t l o v c r l t l l r l r t i r r gh v s l r l i g l t t - l i r r cl r r t t l l v p c r h . l i c t t t el h ' t l s '

130

-5 Conceptualdesign

Rough comparison of solution variants

The method we have described relies on differentiated value scales. It is useful
whenever the 'objective' parameters can be stated with some accuracy and
whenever clear values can be assignedto them. If these conditions cannot be
satisfied, relatively fine evaluations based on a differentiated value scale
constitute a questionable and expensive method. The alternative here is a rough
evaluation involving the application of a particular evaluation criterion to two
variants at a time and the selection of the better in every case. The results are
entered in a so-called dominance matrix [5.13] (Figure 5.58). From the sum of

Varianl

112 r
l

0
0

I
,l
I

4lsl6l7

I
,l

0 1 0
0 0 0
0 l 0
0 0 0
,l

0
0

Sum 3 1 5 2 t 6 t 0 t 4 t 1
Rank 1 1 2 s r 1 l 7 l 3 l 6
1. better 0 . notbetter

Figure5.58.Binaryevaluationof
s o l u t i o nv a r i a n t sa, f t e r[ 5 . 1 3 ]

the columns it is possible to establish a ranking order. If such matrices of

individual criteria are combined into an overall matrix, an overall ranking order
can be established, either by addition of the preference frequencies or by
addition of all the column sums.
While this method is comparatively easy and quick, it is not nearly as
informative as the other procedures we have discussed.
7 Estimating evaluation uncertainties

The possibleerrorsor uncertainties

of the proposedevaluationmethodsfall i
two m_aingroups, namely subjective errors and inherent shortcomings of t
proceoure.
Subjective errors can arise through:
- Abandonment of the neutral position, that is, through bias and partiality.
bias may be hidden from the designer,for instancewhen he comparcshis
d e s i g nw i t h t h a t o f a r i v a l . H e n c e a n e v a l u a t i o n b ys u ' c r u l p c r s o n s ,i f p r

from variuusdcpartnrcnts,
is alwaysadvisablc,
to
lt is cquullyinrportant

5.8 Evaluating concept variants

131

to the different variants in neutral terms, for instance as A, B, C, rather than

as 'Smith's Proposal' etc, since otherwise unnecessaryidentifications and
emotional overtones may be introduced. Extensive systematisationof the
procedure also helps to reduce subjective influences.
- Comparison of variants by the application of evaluation
criteria not equally
suited to all the variants. Such mistakes arise even during the determination
of the parameters and their associationwith the evaluation criteria. If it is
impossible to determine the parameter magnitudes of individual variants for
certain evaluation criteria, then these criteria must be reformulated or
dropped lest they lead to mistaken evaluationsof the individual variants.
- The evaluation of variants in isolation insteadof successively
by application of
the establishedevaluation criteria. Each criterion must be applied to all the
variants in turn (row by row in the evaluation chart) to eliminate any bias in
favour of a particular variant.
-Pronounced interdependenceof the evaluation criteria.
-Choice of unsuitable value functions.
-Incompleteness of evaluation criteria. This defect
can be minimised if one of
the checklistsfor design evaluation appropriate to the relevant design phase is
f o l l o w e d ( s e e5 . 8 . 3 a n d 6 . 7 ) .
Procedure-inherentshortcomings of the recommended evaluation methods are
the result of the almost inevitable 'prognostic uncertainty' arising from the fact
that the predicted parameter magnitudesand also the values are not precise,but
subject to uncertainty and to random variation. These mistakescan be greatly
rcduced by estimatesof the mean error (scatter).
With regard to prognostic uncertainty it is therefore advisable not to express
lhc parametersin figures unlessthis can be done with some accuracy.otherwise,
rt is preferable to use verbal estimates(for instancehigh, average,low) which do
rrot claim to be precise. Numerical values, by contrast, are dangerousbecause
t hcy introduce a false senseof certainty.
A more detailed analysisof evaluation proceduresfor the purpose of judging
tlrcir reliability and also for comparative purposes has been carried out by
lelclmann [5.13] and Stabe [5.55]. The latter has also provided an extensive
I'ibliography. If there is an adequate number of evaluation criteria, and if the
rtrlr-valuesof a particular variant are fairly balanced, then the overall value will
lrt' sLrbjectto a balancing statisticaleffect, and partly too optimistic and partly
kro pcssimisticindividual values will more or less balance out.
t Scarching for weak spots
Wclrk spots can be identified from below-averagevalues for individual evaluallott critcriu. Carcful attention must be paid to them, particularly in the case of
t i s i r r gv i r r i i r r r t sw i t h g o o d o v e r a l l v a l u e s , a n d t h e y o u g h t i f p o s s i b l et o b e
t i t l c d d u r i n g l i r r t h c r c l c v c k r p m e n tT. h c i d c n t i f i c a t i o no f w e a k s p o t sm a y b e
a t c d b y g r l ; r l r s o l ' t h c s u b - v a l u c s - l i r r i n s t a n c c , b y t h c s o - c a l l c c vl a l u e

illustrntcdirt liigurc.5..59,
In it. thc lcngth*ol thc barscorrcspond
to thc

-5 Conceptualdcsign

l -)L

value and the thickness to the weightings. The areas of the bars then indicate the
weighted sub-values,and the cross-hatchedarea the overall weighted value of a
solution variant. It is clear that, in order to improve a solution, it is essentialto
improve those sub-values that provide a greater contribution to the overall value
than the rest. In Figure 5.59, this is the casewith the evaluationcriteria that have
an above average bar thickness (great importance) but a below average bar
length. Apart from a high overall value, it is important to obtain a balanced
value profile, with no serious weak spots. Thus, in Figure 5.59, variant 2 is
better than variant 1, although both have the same overall weighted value.

Varrant2.
)WV:
2

Variant
]WV'
r I A N1.
II: U
WVI:

t-I-

liqf 'n,,..
ll

uy1.'..'

1l

'

wvz2

lf

l,t ,'ll:'
"

WVn.

tyya: ...

'

ll

t'

llVql

./ ' '".)

' ||vot '

]I
,wv62,

i
I
t
I

t:

I
I

10

=
=-

l0

of two variants()w, : l)
Figure5.59.Valueprofilesfor the comparison
There are also casesin which a minimum permissiblevalue is stipulatedfor al}
sub-values-that is, any variant that does not fulfil this condition has to be
rejected, and all variants that do are developed further. In the literature this
'determination of satisfactorysolutions'
procedure is described as the
[5.64].

l -tJ

5.8 Evaluating concept variants

Use-value analysis

VDI Guideline2225

Identification of
objectives or
evaluation criteria
for the evaluation
of concept variants
with the aid of the
specification and a
checklist

Construction of a
hierarchicallyrelated
system of design objectives (objectivestree)
based on the specification
and other general
requlrements

Compilation of important technical

characteristicsand
also of the minimum
demandsand wishes
of the specification

Analysis ol the
evaluation criteria
for the purpose of
determining their
weighting to the
overall value of the
solution. If necessary, determination
of weighting factors

Step by step weighting of

the objective criteria
(evaluation criteria) and
if necessaryelimination
of unimportant criteria

Determination of
weighting factors
only if evaluation
criteria differ
markedly in importance

Compilation ol
parameters applicable to
the concept variants

Construction of an objective parameter matrix

Not generally
included

Assessment of the
parameter magnitudes
and assignment of values
((l-10 or (I-4 points).

Construction of objective Assessmentof

value matrix with the helo characteristicsbv
points (0-,1 points)
of a points system or
value functions; 0 10
polnts

Determination of the
overall value of the
individual concept
variants, generally
by reference to an
ideal solution (rating)

Constructionof a use
value matrix with due
regard to the weightings;
determination of overall
values by summation

D e t e r m i n a t i o no f a t e c h nical rating by summation, with or without

weightingsbased on an
ideal scllution.If necessary determination of
a n e c o n o m i cr a t i n g b a s e d
on manufacturing costs

Comparison ol'
(oncept varmnts

Comparison of overall
use-values

Comparison of the technical and economic

ratings. Construction
of an s-(strength)
diagram

Ii.slitrtuliott of evulttuliort tutccrtuinlies

Estimation of objective
parameter scatter and
use value distribution
Constructionof usevalue proliles

Not explicitly
included

Step

5.8.2 Comparison of evaluationprocedures

Table 5.3 lists the individual steps in the evaluation procedures we have
described and also the similarities and differences between use-value analysis
and Guideline VDI 2225, which are based on similar principles.
The individual steps of use-value analysis are more highly differentiated and
more clear-cut. but involve more work than those of Guideline YDI 2225. Tha
latter is more suitable when there are relativelv few and roughly equivalc
evaluation criteria, which is frequently the case during the conceptual phasc (
5.S.3), and also for the evaluation of certain form design areas during
embodiment phase (see 6.7).

5.8.3 Evaluation during the conceptualphase

'l'irblc
. 5 . 3s u l l l s u l ) t h c g c n c r a l c v u l u a t i o np r r l c c r l t t r cl.) r r r i t t gl h c c o t t c
p h i r s c .t l t c i t t d i v i t l t r r rsl t c p s s h o t t l t lb c i t s l i r l k t w s :

,\curclt .l?tr wcuk spots

l i r r t h c p u r p o s eo f
i r r r l l r o v i n gs e l e c t c c l
v ; r ti i r t t t s

Identification of
characteristicswith a
few points only

1 l r l 1 .\ I l r r r l i l i t l r r l r ls t t ' p s i n t ' r ' : r l t r : r t i o r tn, t t r l t ' o t t t l r i t t i r r n rl r t ' t w t ' r ' r tt t s c - v ; r l r t ci t n i t l v s i sl r t t t l

Iurrlt'ltttt'Vl )l l.ll5

134

5 Conceptualdesign

I dentfy ing evaluation criteria

This step is based, first of all, on the specification.During a previous selection
procedure (5.6) unfulfilled demandsmay have led to the elimination of variants
that were found to be unsuitable in principle. Further information was gathered
subsequently by the firming up of solution proposals (combinations of principles) into concept variants. Hence it is advisable, with all the newly acquired
information, to establish first of all whether all the concept variants to be
evaluated still satisfy the demands of the specification. This involves a new
yes/no decision-that is, a new selection.
It is only to be expected that, even at the present, more concrete, stage,this
decision cannot be made with certainty for all the variants unless much further
effort is applied, which the designermay not be able to provide at this stage.At
the given state of information, it may only be possibleto decide how likely it is
that certain requirements can be fulfilled. In that case, the requirements in
question may become evaluation criteria.
A number of requirements are minimum requirements. It has to be established whether or not these should be exceeded. If they should, further
evaluation criteria may be needed.
For evaluation during the conceptual phase, both the technicaland also the
economic characteristicsshould be consideredas early as possible [5.28]. At the
firming-up stage, however, it is not usually possibleto give the costs in figures.
Nevertheless,the economic aspectsmust be taken into consideration, at least
qualitatively, and so must industrial and environmental safety requirements.
It has been suggested[5.37] that a seriesof headingsbe adopted in accordance
with the embodiment design checklist (see 6.2), and also in keeping with other
proposals, and that evaluation criteria be derived from them (Figure 5.60).
Every heading in the checklist must be assigned at least one evaluation
criterion. These criteria must, moreover, be independent of one another in
terms of the overall objective, so as to avoid multiple evaluations. Consumer
criteria are essentially contained in the first five and last three headings;
producer criteria in the headings'embodiment', 'quality control', 'assembly'and
'costs'.
Evaluation criteria are accordingly derived from:
l. Requirements of the specification
- Probability of satisfying the demands (how probable, despite what difficul-

ties).
- Desirabilityof exceedingminimumrequirements(how far exceeded)
-Wishes (satisfied,not satisfied,how well satisfied).
2. General technical and economic characteristics(to what extent prc
how satisfied).
(see Checklist headings for design evaluation during the conccptual
Figurc -5.60).
I ) u r i n g t l t c c o n c c p l u i r lp h a s c ,t l r c t < l t a ln u r r r b c ro l ' c v i r l r r i r l i o n
c r i t c r i i rr r r u s l
b c l o t t l r i g l t t t t r t l 5 c r i l c r i i r i r r c u s u l l l y c t t o u g l t( s c c l r i g u r c 5 . ( ) 6 ) ,

5.8 Evaluating concept variants

135

Mainheadings

Examples

Function

Characleristics
ol essential
auxiliary
lunction
carriers
thatlollowofnecessity
lromthe
principle
chosen
s0lution
orfromthec0ncept
variant
principle
Characteristics
ol theselected
orprinciples
inrespect
ofsimple
andclear-cut
lunctioning,
adequate
elfect,
lewdisturbing
factors

principle
Working
Embodiment
Safety

Small
number
ol components,
lowcomplexity,
lowspace
requirement,
n0special
problems
withlayout
orformdesign
Preferential
treatrnent
(inherenily
0f directsalety
techniques
safe),
noadditional
safety
measures
needed,
industria
andenvironmental
guaranteed
safety

Ergonomics

Satislactory
man-machine
relationship,
n0strain
good
0rimpairment
ofhealth,
form
0esrgn

Production

production
Fewandestablished
methods,
noexpensive
equipment,
smaI number
of
s mplecomp0nents

Quality
control

Fewtests
andchecks
needed,
procedures
simple
andreliable

Assembly

Easy,
convenient
andquick,
nospecial
a dsneeded

Transport

Normal
means
ol transport,
norisks

0peration

Simple
operation,
longservice
life,lowwear,
easy
andsimple
handling

Maintenance

Little
andsimple
upkeep
andcleaning,
easy
inspection,
easy
repair
Nospecial
running
orolher
associated
costs,
noschedul
ngrisks

Costs

Irigure5.60.Checklistwith mainheadings
for designevaluationduringthe conceptual
'hase
i
l| t i ghting the evaluqtion criteria
l hc evaluation criteria adopted may differ markedly in importance. During the
(()nceptualphase, in which the level of information is fairly low becauseof the
rt l:r{ive lack of embodiment, weighting is not generally advisable.
It is much more advantageous,in the selectionof evaluation criteria, to strive
l.t ittt ilPProximate balance, ignoring low-weighted characteristicsfor the time
l', irts. As a result, evaluation will be concentratedon the main characteristics
.rrrrlhcnce be clear at a glance. Absolutely distinct features, however, which
t,rrrnot be ignored until later, must be introduced -with the help of weighting
l , t tt o r s .
l',rt 11111i,,f puratneters
tl ltirs provccl uscful to list the identified evaluation criteria in the sequenceof
lhc clrccklist hcadings (Figurc -5.60)and to assignthe parametersof the variants
t l l l ( ' r l l . W h i r t c v c r c l u a n t i t a t i v ei n f o r m a t i o n i s a v a i l a b l ea t t h i s s t a g es h o u l d a l s o
t t t c l r r t l t ' cS
l .t t c l tr l t r i r t t l i l r r t i vccl a t ag c n c r a l l yr c s u l tf m m t h e s t e pw e h a v e c a l l e d
l l F t l l ) t r l t ( )c o l ) c c l ) lv i t r i l u t t s ' .I l o w c v c r . s i r r c ci t i s i r n p o s s i b l et o q u a n t i f y a l l
t ' l t l r r i t c l c r i s i i rcl st t r i r t gt l t c c o r t c c p l u i rplh i r s c l.h c t l r r l r l i t i r t i vi rcs p c c tssh o u l cbl c
i n l o w o r d s i r r r t lc o r r c l i r l c r lw i t h t h c v r l u c * - u l c ,

r36

5 Conccptual clesign

Assessing values
Though the attribution of points raisesproblems, it is not advisableto evaluate
too timidly during the conceptual phase.
Those using the 0-4 system proposed in VDI Guideline 2225 may feel the
need to assignintermediate values,particularly when there are many variants,or
when the evaluatinggroup cannot agree on a precisepoint. It may prove helpful
in such casesto attach a tendency sign ( J or t ) to the point in question (see
Figure 5.96). Identifiable tendencies can then be taken into account when
estimating the evaluation uncertainties. The G-10 scale, again, may suggesta
degree of accuracythat does not really exist. Here, argumentsabout a point are
often superfluous. If there is absolute uncertainty in the attribution of points,
which happens quite often during the evaluation of concept variants, the point
under considerationshould be provided with a question mark (seeFigure 5.96).
During the conceptual phaseit may prove difficult to put actual figures to the
costs. It is not therefore generally possible to establishan economic rating R"
with respect to the manufacturing costs. Nevertheless, the technical and
economic aspectscan be identified and separatedqualitatively, to a greater or
lesserextent. The'strength diagram'(see Figure 5.56) can be used to much the
same effect (see also Figures 5.61 to 5.63 which are for the test rig shown in
Figure 5.45).
In many casesa classificationbasedon consumers'and producers' criteria has
a l s op r o v e d u s e f u l .S i n c et h e c o n s u m e r s ' c r i t e r i au s u a l l yi n v o l v et e c h n i c a lr a t i n g s
while the producers' criteria involve economic ratings, it is possible to proceed

\ariant
tecnn\
cfltefla

,ffi

t ) S m a l l d i s t u ri l-)
0ance0lc0upIingkinematics
2)Simple
operation
3)Easyexchange
of coupling
4)Functional
salety
1)
s)Simple
construction

Total

^
",

Total
20

,iz_

r37

.5.8Evaluating concept variants

3)Shorttesting
time
't Possibility
ol
manulacturi
ng
tn own
w0rKsn0p
Total

"e

Total
16

'u,nT,

J lLl

FI_T-I

rL 'fr(

*'ilS

1)lowmaterial
costs
2)lowreassembll
costs

t 2-

-T*

2
2
l/.

07

t,

t,

t,

t,

t,

l7

17

17

16

085

085

0.85

0.80

'll

0.55

t,

l1

13

13

0.56

0.56

0.69

081

081

056

(1)Austenitic
shaft(2)Torque
measuring
shaft
must
bemoved
Irigure-5.62.
Economicevaluationof the remainingconceptvariants,seeFigure5.46

ttv

15t754

0.8

I
0.4

t,

Figure 5.63. Compari.cn of the

technical and economic ratings of
the concept variants in Figures
5.61and5.62

tl
-M

t,

(2)

-lL

il)

(1)Totque
chanqes
withaxialdlsplacement
ol pinion
l r i g r r r c5 , ( r l . ' l c t l t t r i c rtr' lr ' r r l r r i r t i t r lrtrh c r c n u r i r r i n g c o n c ctp' itr t i : r t t l s c. c I r i g t r r c5 , J ( r

0.4 06

10

t , , r r s i r n i l e rcr l a s s i f i c a t i o nt o t h e o n e m e n t i o n e da b o v e . T h e r e a r e t h r e e p o s s i b l e
l rr rn t s o f r c p r e s c n t a t i o n ,n a m e l y :
lcchnical rating with implicit economic aspects(seeFigures 5.77 and 5.96); or
sr'prrratctechnical and economic ratings (see Figures 5.61 to 5.63); and
r r t l t l iilo n i r l c o m p a r i s o r o
. tf c c l n s u m e r sa' n d p r o d u c e r s 'c r i t e r i a .
\\'hich onc is choscn depends on the problem and the amount of information
lr;rilirtrlc.
)rtrrtrt i rri tt g rtyc rul I yuI rtc
t l c t c r r r r i n i r t i oonl t h e o v c r a l l v i r l r r ci s u n l i r t t c r< l f s i m p l e a d d i t i o n s ,o n c e
s h r r v cb c c l r i r s s i l l n e dt o t h c c v i r l u i r t i o rct r i t c r i i ri r n r ll h c v i r r i i r n t s I. l ' . b c c a u s c
l h c c v a l u i t l i o n u n c c r l i r i n t y .i t i s o r r l y p o s s i b l cl ( ) i l s s i l l ni r r i r n l l co l p o i t t t s t o

138

5 Conceptualdesign

r39

- 5 . 9 E x a m p l e s o f c o n c e p t u a lr l c s i u n

individual variants, or if tendency signsare used, one can additionally determine

the possible minimum or maximum overall point number and so obtain the
probable overall value range (see Figure 5.96).

assess
the probabilityandmagnitudeof the possiblerisk, especially
in the caseof
importantdecisions.

Comparing concept v ariants

5.9 Examplesof conceptualdesign

A relative value scale is generally more suitable for purposes of comparison. In

particular, it makes it fairly simple to tell whether particular variants are
relatively close to or far from the target. Concept variants that are some 60 per
cent below the target are not worth further development.
Variants with ratings above 80 per cent and a balanced value profile-that is,
without extremely bad individual characteristics-can generally be moved on to
the embodiment design phase without further improvement.
Intermediate variants, too, may, after elimination of weak spots or an
improved combination, be releasedfor embodiment design.
If often happens that two or more variants are found to be practically
equivalent. It is a very grave mistake, in that case,to base the final decisionon
such slight differences. Instead, evaluation uncertainties,weak spots and the
value profile should be looked at more closely. It may also be necessaryto firm
up on suchvariants during a further step. Schedules,trends, company policy and
so on must be assessedseparatelyand taken into account [5.28].
Estimating evaluation uncertainties
This step is very important, especiallyduring the conceptualphase, and must not
be omitted. Evaluation methods are mere aids, not automatic decisionmechan-.
isms. Uncertainties must be determined by the proceduresexamined in 5.8.1.7.
At this point, however, only such informational gaps need be closed as bear on
the favourite concept variants (for example, variant D in Figure 5.96).
Searchingfor weak spots
During the conceptualphase, the value profile plays an important role. Variants
with a high rating but definite weak spots (unbalanced value profile) may provc
extremely troublesome during subsequent development. If, because of an
unidentified evaluation uncertainty, which is more likely to occur in the
conceptualthan in the embodiment phase, the weak spot should make itself fclt
later, then the whole concept may be put in doubt and all the developmentwork
may prove to have been rn varn.
In such casesit is very much less risky to selecta variant with a slightly lr
rating but a more balanced value profile.
Weak spots in favourite variants can often be eliminated by the transfcr
better sub-solutionsfrom other variants. Moreover. with better information. it
'Ihus
possibleto searchfor a replacementof the unsatisfactorysub-solution.
c r i t c r i aw e h a v e l i s t e c o
l l a v e da n e s s e n t i arl o l e i n t h e s c l c c t i o no f t h e b c s t c r
). hcn csti
v a r i a n ti n t h c p r o b l e r nc l i s c u s s ebdc l o w i n . 5 . t ) . 2( l i i g u r c . 5 . ( ) 6W
c v a l u i t t i o t tu n c c r ' l r i l l l i c sa n d i r l s oi n t h c s c : a r c ht i r r w c t t k s p o t s i l i s a c l v i s i r b l c

In this section we shall be examining examplesof conceptual design involving

the flow of energy, material and signals,and providing clear illustrationsof the
procedure and applications.

5.9.1 Rig for testing impulse torque loading of keyed connections

Step 1: Clarifying the task and elaborating the specification
The problem was the development in a researchinstitute of a test rig capable of
loading keyed shaft-hub connections impulsively with definite torques. Before
drawing up a specification,a number of questionshad to be answered:
- What is meant by impulse loading?
-What impulse torque loadings actually occur in rotating machines?
- What load measurements are possible and useful in the case of keyed
connections?
While the first question led through physical considerations to the impulse
concept and to the possibleeffects of the collision of two or severalmasses,and
rvhile fundamental studies,subsequentlypublished [5.32], helped to answer the
third question, the answerto the secondquestioninvolved considerableresearch
u,ork. Since the test rig was meant to apply and measureimpulse torque loadings
,rl defined magnitude and rate of increase (Figure 5.64), it was important to
torque
Steady
Decaying
torque
Iru,adlustable
sleeplall olf afterImax
adjustable
rateol increase

Figure 5.64. Adjustable settings

for impulse torque loading: rise
time, maximum value and
duration

,rrrrlvscthc torque loadings that occurred in practice in terms of the maximum

t.rt('sof incrcusc cllldt. To that end, the torque/time characteristicsof lathes,
(tirnc transt.nissions,agricultural machines and rolling mills were considered
'l'he
rnirxirnuntrilte of increasefor the caseof non-steadyoperationswas
l\ \ f l.
f t r r r r rttol b c r l 7 7 c l l - l 2 - 5 x l 0 r N m / s a n d t h i s w a s u s e d a s t h e b a s i s f o r t h e t e s t r i g
; h ' rl r r r r n i r r r c c
A f t c r l l t c s c l t l c l i r n i t t i r r ys t u d i c s . i t w i r s p o s s i b l c l o c l n r w u p t r . s p a < ' i f i c u t i o n
( l ; t g t r r c . 5 . ( r . 5 ) . ' l 'rlcr tcg r r i r c r r r c nl rtrsc i r r r i l n F c ti ln i r c c o r t l i r n cwci t h t h c g u i c l c l i n c s
d i r c u s s c di r r 4 , l . l ,

5 C o n c e p t t r a ld e s i g n

140

5 . 9 E x a m p l e s o f c o r r c c p t u a lc l c s i g n

r41

it lssue
10.6197

TUBerlin

SPECIFICATION

TUBerlin

lnpulse-loading lesl tig

D
)hanges W

< 100mm
t0betested:
ofshaft
Drameter
onDIN6885)
based
(Keydimensions
direction
in longitudinal
to bevariable
loadtake-ofl
Hubside

Measurements:
Torque
before
andaltertestconnection
Surface
stress
overlength
ol c0nnecti0n
andkeyface

D
W

Measurements
to berecorded

oPtional
Torque
' inPut
lromthehubtotheshalt
tothehub
ortromtheshaft

D
W

points
Measurement
easily
access
ble
Saletyandergononics

oPtional
direction
Loading

D
D

Resp.

withshattstatlonary
to beapplied
Loading
onlY
in onedtrection
Loading

W
D

Requirements

mustbeheldin positi0n
Testconnection

Kinenatics

D
D

Page2

lmpllseloadln0
Ieslrlg

Signals

Geonetry

SPECIFICA'IION
lor

qurck
(e.9.
0peration
ol testrigassimple
aspossible
andsimple
reassembly
ofrig)

principle
(littlen0se,dirt,vibration)
Working
ol rigenvironmentally
sound
Production
andqualitycontrol

Forces

D
D

t0rsi0n
bypure
ofshatl-nub
Loadinq
moments)
andbending
byshear
(i.e.nolinfluenced
3s
toratleast
t0 bemaintalned
torque
Maximum

W
W

Manufacture
ol testrigin ownworkshops
parts
Bought-out
possible
andstandard
wherever

Testrig:smalldimensions
lowweight

Nospecial
foundations

Fewandsimple
pans
working

Minimum
maintenance

small
of loading:
Frequency
(reason:
measurement
PrinciPle)
aslaraspossible
system
in shaft-hub-key
vibrations
Suppress
to theloadupto 15000Nmcorresponding
adlustable
torque
Maximum
0fa shattol 100mmdiameter
capacity
carrying
mustbepossible
torque
altermaximum
lallolfoftorque
Steep
adjustable
be
mu$
dl/dl
in torque,
Rateof increase
dTldt:125x 103Nm/s
Maximum

lndividual
manufacture
0fallparts
Quality
ofkeyed
shalthub
to DIN6885
andofshalt
endsingear
boxes,
electric
motors,
etc:to DIN748,Sheets
2 and3

Assembly
andtransport

andmatntenance
0peration

mustbereproducible
curve
Torque{ime
mustbe
olc0nnecti0n
destruction
andif necessary
delormatron
Plastic
Possible

Costs
Manufacturing
costs< 20,000
DM(seeresearch
application)

EnergY
Schedules

< 5 k[380V
consumption
Power

D
Materrals
Shaltandhub:45C

2 86 . 7 3

Conclusion
phase:
ofconceptual
Juiylg/3
phase:
Conclusron
ol conceptual
20July1973

Rcplaccs

tc$lri8
Figure5,65.SJxcificnlionof irnpulsc-loldin8,

l,(r5(colrlirructl)

ssuo
oi

Herr
Militzer

t42

5 Conceptualdesign

Step 2: Abstracting to identify the essentialproblems

in Figure5.6-5
Table 5.4. Abstractionand problemformulationbasedon specification
Resultsof first and second steps
-

Shaft diameter to be tested <100mm

Hubside load take-off to be variable in longitudinal direction
Loading to be applied with shaft stationary
Adjustable pure iorque loading of test connection up to 15000 Nm (max.)
Torque to be maintained for not lessthan 3s
Torque must be able to fall off steeply
Maximum possible rate of torque increase dTf dt : 125 x 103 Nm/s
Torque-time curve reproducible
Magnitudes of 16"1,,r",7r,,x",tlfld o to be measured and recorded

Resultsof third step

-

Provide impulse torque loading for keyed shaft-hub connections adjustable in respect
\
of magnitude, rate of increase,duration and fall off
Torque test to be conducted with stationary test shaft

Resttlts of fourth step

-

Provide adjustable dynamic torque loading for component testing

Allow measurement of input loading and component stresses

Results of Jifth step

'Apply
dynamically variable torques with simultaneous measurement of loading itnd
component stresses'.

Step 3: Establishing function structures

The drawing up of function structuresbegins with the formulation of thc ovcrall
function, which results directly from the problem formulation (Figurc -5.66).
E,ssentialsub-functions to fulfil this complex overall functitln chicfly invt
t l t c f k r w o f c n e r g y i t n c l ,f < t rm e a s u r e m c n t st,h c f l t l w t l l s i g n i r l s :
- - ( ' h t t r t 1 1i tct p t t l o t c r , q ' ,itn' t t l l t l a c l( t t l r t l t r c ) .
( ' l t u n g ai t t ; t t t lc l t c r g V i t r l o l r t r x i l i i r r y( t t ( r ( . v l o r C o n t r r t l t t t t t ' l i o r l .

energy
Detormation
Energy
loss

Energy
Mainenergy
(mech.,
electr.)Auxiliary
energy

In accordancewith 5.2.2, the specificationmust be abstractedstep by step to

identify the essential problems:
Steps 1 and 2. Omit requirements (demands and wishes) that have no dirept
bearing on the function and the essentialconstraints.
Step 3. Transform quantitative data into qualitative data and reduce to essential
statements.
Step 4. Generalisethe results of the previous step.
Step 5. Formulate the problem in solution-neutral terms.
T a b l e 5 . 4 s h o w s t h e r e s u l t o f t h e s es t e p s -

143

5 . 9 E x a r n p l e so [ c o n c e p t u a l t l c s i g n

lVlaterial

Slgnals

Shaft
Hub
Key
Startof
control
sequence
Drive
on-ofl

L0a0
shalthub
connection
torque
withdynamic
loading
andmeasure
andstresses

.t

Shalt
Hub
Key
shaflhub
I(4 belore
connection
shatt-hub
I(0 after
connecti0n
o(x,y,z,t)on lhe
surfaces
c0ntact

testrtg
Figure5.66.Overallfunctionof impulse-loading
-

Store energy.
Control load energy or load magnitudes.
Vary load magnitude.
Channel load energy.
Apply load to specimen (shaft-hub connection).
- Measure load
- Measure stress (strain).
In a step by step elaboration, the combination, change of sequence and
addition or omission of these sub-functionsresult in several function structure
variants.Figure 5.67 recordsthese in the order in which they were developed. In
this particular problem, the measurementtasksdo not determine the concept so
the function structure is developed for the flows of energy and material alone.
liunction structure variant 4 is followed up in the search for solution principles
b c c a u s e i t i n c l u d e s t h e s u b - f u n c t i o n so f v a r i a n t 5 , w h i c h s e e m s e q u a l l y
'change
promising. A finer breakdown of individual sub-functions-for instance
'change
'channel
'change
force back
force' and
ellcrgy' into
torque into force',
irrto torque'-will not prove helpful before the searchfor solution principles has
lrccnstarted.
Step 4: Searching for solution principles to fulfil the sub-functions.
lrr thc search for solution principles, the following of the methods listed in
\r'ction 5.4 are the most commonly used:
Arnclng conventional aids:
l . i t c r a t u r es e u r c h e s
Analysis clf an existing universal test rig
A r n o n g r n c t h o d sw i t h a n i n t u i t i v e b i a s :
llririnstorming
z \ r n o n g n r c t h o t l sw i t h a d i s c u r s i v eb i a s :
schemes
S v s t c r n l r t i cs c a r c hw i t h t h e h el p o f c l a s s i f i c a t i o n
s
l
trfaces
l
t
n
c
l
t
l
r
t
l
t
i
t
l
t
l
s
o
f
c
r
r
c
r
g
y
,
V r r l r i r l i o t to l l h c t v l . l c s
l
s
c
o
l
l
i
r
r
c
c
t
r
i
t
t
t
s
l
i
l
r
t
l
t
l
t
t
i
on
o l i r r l c s i g r rc l t l i t l o g t t c
I
llrilrcilllcs
'Ilre
c
o
t
t
t
l
l
i
t t c tbl v t t l c l t t trsl l ' i tc l i r s s i l i c a i
t
r
c
t
l
i
s
c
o
v
t
e
e
t
l
l
h
t
t
s
s o l t t l i o t lt l r i r t c i l l l c s
l t o t r s e l r c r r r c( l r i g r r r c . 5 . ( r t { ) .l r r r r c { t r i ( t n lril l r p t t c c . o t t l v t l t c t l t t t s t i t t t p o r t l t l t t

-5 ConcePtual design

44

145

5.9 Examples of conccptualdesign

lttl
ll
tttl
otttl

=E
s6

rn
\-|/

--r-

--i---

S, |

ffi

-"-==
!=E

\\:2_-19
=

r if--lr
l e o n t.r_ql ft [ 1 * 6 - l i t 1 t ' o s s )
L;nanse
specimenl-E!n#l,lX.t
ffi . _
__[-----l
.Mi-

s:

IU':

il

- ' L _specimen
_
[iri-]
F*
tl|

Y-

gad=

>-

o9p

ns*

a I fA{bl

/';\

a./

Eo
EE
O.=

-,--

-_l_

=./
/

--)-y

__rEl-.t r
__L_
l C o n t rlo' t
li

'=
'-

9^a
i:, 6

,/

d9

\
(

./

,O
tv

s.i

lstorel

subdivided
j"i' i - - - - - p ; ' s ;
Sub-lunction'change'
'load'to
belore
inserted
thecontrolled
change
into'torque
energy

----r

;lu-m.q.ffi-mmffii'
I

G',
I- [ ernto
r al--1
nse
-],,[5
L0a0 f--------;.-

I
ii

llorquel+

,1,
I

it

tr \-\
-

''f
E
E
J

ttl

l:l
fr

Iog

.-

o{
L

E-

o
I

l_

__F-_ t .

l l n c r e a s el ul n a n Q e l m a o l l i

-al control unanse r corp

L0a0
n
ll
f-] ,JlJi,,
l*l [*
thesystem S, i _loulside
,-,.-'
Mt

5 . ( r 7 ,l i r n c t i o n s t r u c t u r ev i t r i i t t t t st t t r i l tt r t rs t c l ) - b y ' s l c p

]f-

t
I

E o
>!:
Ia=

U;

8-_-8

oFi

lli

g60l/\l
oEor(:-):

;-

llo

ul
I V

=
==

't

-t

>g

ru
o
c

E WE

r----rl
I
I

^nN

\!-/

:,j lt
h\

ll

=lN

*f
{ l

I.

B -l

.9

\ \:.r /

e=-

ii

(ftroua
aOueq3

il t r"

'ENI

I
ttl

at

ffi:

o-

_= 1;

(hE

lc

o^

o
c

lA-

9
6
E

-a:
J

l
"l

l+

-.1

:.NIN
t-{

=.1 '
E \11d

a:

: i-tr{f

OE

: lntn

-SE
E

=b

t
N

! , ' !

3
o'_

r\'I

Et

Ll{.J
ill

,^

t\

.!:
o
U

T-'l r A
lt lEN l
I

f ( s)
:>4

EOF:

EO-I
F
q 4T\

=o

|
tM',

o.-6

E{

.9
o

_l
--.1\
s

>o

+\

5\9

.E .1,

{ mt

+
/
o
/,/>

.s2

__Jif

5 /--4

'./e

A-'

t l Ir

.-l lv\

il

;y ,/l--.r-l
'{t\6

dTt

e<,ti

vl

IY

ll
o
c
o
O

<o

{lC

.=

_rl
il

oc

12 32
UU

'Srore
prosram

!]

.z

E/
a/

ll

O>

.9

t R ' i ' i l ] l l n"l::":l-*|

t""*l
raqn " 0 1L0a0I ,*
nChanqe H "Store
- " F-|'"::_:: ll-.-|,
c o m p ll a r d t r f*l
n eLl - l
l
t
I lenersv
i
,, !1"'-'" 1 l

g5-

-r--

urrryur'

=o-

!o

I f^---___lr l-ioaJ_-|i t,
urange

$r------l:.':::
t--lProsrl

electr
Inputenergy

:-tNl

c_-

lM
|

-.--

$TN

Fa-]

GO

energY
Store
itoreadditional
and
rndprogramme
I
qdd.'increase'
Add.
r, l
'switch',
i.e.
\dd.
'elease
energy
r i--__l

'lncrease'function

.9
E

g-{d

(i

U i
1l

!?

..tl
\:,/

titiI

r---f

g lrits |
6 +,xI

q,

/tvl

E/ ll>l

il

T,rs g'fil,/l

//?\=>

(soecimen)

| !4'

Tl
il
can 0e
beinterchanged

nputenergy
---t
-T--l
int more
into
chanqed
;hanged
r
r
i
l-----l
lconr.or
lablelntermedtate
control
;ontrollable
--l
Chanoe
Hrnaqn,tuoe n
lnergy
l'landlime r
l l .----,-*-trir,r'*'qy

ee*

structure
Function

Comments
gyllow
ll with
Energy
control
rols
signals.
'control'
'Change'
nge'and

llrl

(/)

'l
..,I

tr^

:_,
>E-l
o
=--o
ii

H-f

Yn.

c:oil

X
Irl

-rrl

co

l*
l/\i

EJ

r;

S s F , : , , i .s 3
|J.

146

5 Conccptual design

sub-functions and solution principles have been included. Solution principles

that are useless from the start are omitted from, or crossed out in, the
classificationscheme.Especiallywith mechanicalcontrol principles, it is possible
to derive new ones by systematic variation of surfaces and motions. In the
present example, energy provides an important classifyingcriterion with respect
'change energy' and all the
to the solution principles fulfilling the sub-function
other sub-functionsas well.
'release energy', the solution principles involve various
For the sub-function
'load' they involved
clutches and locking mechanisms; for the sub-function
various shaft-hub connectionsand also rigid couplings;and for the sub-function
'measure',
which is not a concept determinant, they involve extensometerstrips
and inductive and capacitativetransducerswith electronic amplifiers.

5 . 9 E x a r n p l e so f c o n c c p l u u l t l c s i n r r

principle
Solution
Subjunction
1

c
o

3
t,

Step 6: Selectingsuitable combinations

It was pointed out in 5.6 that, with a large number of variants, it is advisable,
even before further firming up, to make a preliminary selectionso that detailed
design drawings and calculations are not made for other than promising
combinationsof principles. Figure 5.70 gives an example of this type of.selection
procedure: only four of the seven combinations are pursued after selection.

electr.-mech

i"\

it.

Nli

t!

Control
energy
in resp.
of magn.andtime

varyenergy
component

n
,/l

m e c nm
. -e c n l o

Storeenergy

l\\ ,..T\

electr.-hydr.

m e c nh. -y d r .

.4v,
-\.
.1

'rv
Nsl V
. l

Step 5: Combining solution principles to fulfil the overall function

The sub-solutionsobtained during the last step must now be combined into
overall solutions. In the present example, this was done with the help of the
same classification scheme. From the field of solution principles, various
combinations of principles are derived by combining solutio\ to one subfunction with solutions to the neighbouring sub-functions.
Here, function structure variants 4 and 5 serve as the basis for the combination, the sequenceof sub-functions being slightly varied. In this process, the
compatibilities and technical possibilitiesare considered,not systematicallybut
by discussion.In this context it is often helpful to draw up compatibility matrices
(Figure 5.43). Figure 5.69 showsthe areasof feasiblecombinationsof principles.

I4l

".,1

t2
\-l:._\

<\

b-

"gz

=::l:
'"\

i\\

Figure5 '69. Combinationschemeshowingsevencombinationsof solutionprinciplesin

accordance
with Figure5.68
Variantl:1.1-5.3-6.5-3.4-3.7
V a r i a n t 2: 1 . 1 - 7 . 4 , 5 . 1 - 7 . 4 - 6 . 2 - 3 . 7
V a r i a n t 3 :1 . 1 - 5 . 1 - 3 . I - 6 . 1 - 3 . 7
V a r i a n4
t : 2 . 1- 6 . 8 - 4 . 1- 3 . 2

Variant5:6.7_1.2_7.3_3.7
V a r i a n6t : 6 . 7 - I . 7 _ 7 . 3 _ 3 . j
V a r i a n t T: 6 . 7 _ l . I _ 7 . 4

('alculation steps:
Time needed to reach the maximum torque at the required rate:

o':

15 x 10:

tx * tor:

o ' 1 2S

Force at the end of the loading lever:

x
F n r u * : T : 15 10:: 1 7 . 6 x 1 0 : N
0.85

Step 7: Firming up into concept variants

Before the most promising concept variant can be discovered, the selcctccl
combinations of principles must first be prepared for evaluation. To that cnd.
the designer will make a number of layout drawings (Figures 5.71to 5.74).
Often a line diagram will not, however, be sufficientfor judging the functional
efficacy of a solution--calculations or model experiments may be needcclat
well. As an example, take the cylindrical cam and the flywheel in variant V2
u s c d t o p r o v i c l et h e i m p u l s e t o r q u e l o a d i n g .
( ' a n t h c c y l i t t t l r i c i r cl u r n s h o w n i n F i g u r c 5 . 7 5 p r o c l u c cl l t c r c t l u i s i t c l t
irrcrcirsc ol
d ' l ' l t l t- - I 2 . 5x l 0 r N n r / s i r t r d t h c n l f l x a l l l u n l t ( ) r ( l u c
7 , u u . =l 5 x l ( l r N t r r ' l
'ift.-

lhe l.ading lever is treated as a weak cantilever spring with the end moving
l l t r t r t r g ha d i s t a n c eo f h : 3 0 m m w i t h a f o r c e o f F - o " l n s u c h a w a y
that th;
p t ' rr r r i s s i b l eb e n d i n g s t r e s si s n o t e x c e e d e d .
l r r n g c n t i a lv e l o c i t y o f t h e c y l i n d r i c a l c a m :
f*:

V'

lr

().l2

A n g u l i r i v c l o c i t y i r n c lr l t r n o l ' c y l i n c i r i c a cl i r r n :

(11"'
-. r()rcv/rrirr
,, :.1'.i,t, - 2.()r'tr/sr,, {}.
ti)

}r

-5 Conceptualdesign

TU Berlin

r49

5.9 Examplcs of conccptualdcsigrr

SELECTION
CHART
lmpulse-loading
leslrlg

(Sv)evaluated
by
variants
Solution
(Sv)
lVarksolutjon
variants

S E T E C T ICORNI T E R I A :
yes
n0
Lackol inlormation
Check
specifrcalion

Testconnection

(+) Pursue
solution
( - ) E l i m i n astoel u t i o n
( ? ) C o l l e ci nt f o r m a t i o n
(re-evaluate
solution)
! ) Check
specification

I lask
withtheovera
Compatible
Fufilsdemands
0l lhespecilicati0n

Linkage

Figure5.71.Conceptvariant7, from [5.53]

measures
salety
Inc0rp0rates
direcl
company
Preferred
by desiqneas

Lol1uJ.

og caalroVto.ule-

Hvolraul^cs

rct-

No cxFrae^ce-Poder

Cle.^o,acl

2 I No experie*cs

ye.f
wLEL

bral<es

Cylindrical
cam

probleaaht

appLled
lvleoJ

og u-cgne.|
u'utt-

Supply
3-

hqristor

li'

rcForS

too grecC
cnlrol

Testconnection

l:isure 5.72. Concept variant I/2 from [5.53]

Pcriod of revolution:

2n
Lf

3 . 1 4s

a)

jigrrrc
5 . 7 ( 1S, c l c e t i o t ot l c o n r b i r u t i o n so l s o l u t i o np r i r t c i p l c (r v u r i t t r t t s )

Sincc the switching time of electromagneticallyoperated clutchesfor connectrttgitncldisconnectingthe cam drive is somewherein the region of a few tenths of
rr sccor]cl,thcrc should be no problems in applying this principle. The magnitude
o t , r r r r rrl i l t c o l i n c r c a s ci n , t h e i m p u l s et o r q u e l o a d i n gc a n b e a l t e r e db y m e a n so f
I n l c r c h i u r g c i r b l cea n r sa n c la l s o b y v a r y i n g t h e p e r i o d o f r e v o l u t i o n .
S t c t r sI r l r c s t i n r l r t i n ul ' l v w h c c ll n ( ) l n c n to l ' i n c r t i i r :
( i s i i n t r r t co l ' r l r c c l r c r g yn c c d c r l l i r r t h c i r r r p u l s c( i r r r dI r c n c co f t h c c n c r g y t o b c
s t o r c d ) o t l l l r c i l s s u n l l ' t l i ( ) nt h a l t l l l o u d c a r r y i l U l p i l r t s t r r c c l i r s t i c a l l y
dclirrrncd.

150

5 C o n c e p t u a ld e s i g n

5 . 9 E x a m p l e s o f c o n c e p t u a ld c s i g n

151

Stored energy of flywheel:

| J y a t 2 : 1 5 9x 1 0 z J
\:
-Rotational speed after the impulse:
Eafrer: Er - En'o" : 15 640 J

Testconnection

l2E*,""
--

:
@artcr

: 125rad/s; flartcr: 1 190rev/min

Figure5.73.Conceptvariant/1 from [-5.531

The drop in rpm is thus seen to be very low. Hence all that is needed is a
,motor with a small output.
Step 8: Evaluating the concept variants

Rack
andpinon

Figure5.74.Conceptvariantlz. from [5.531

^

mcx

9 Result
lirrrther firming up by means of scalelayout drawings and also development and
t onstruction of the actual test rig were all based on concept variant V2. Figure
:.79 depicts the end result.

-,b-3cm mox

c=d.x _250,r_

Having thus firmed up on the combinationsof principles, we can now evaluate

the concept variants with some confidence. In what follows we shall be
considering the four variants selectedduring Step 6.
Important wishes in the specificationprovide a seriesof evaluationcriteria of
varying complexity. These are assessedand elaborated with the help of the
checklist (Figure 5.60). Next, a hierarchical classification(objectives tree) is
drawn up to facilitate closer identification and better co-ordination of the
weighting factors and the parameters of the variants (Figure 5.76).
In Figure 5.77 parameter magnitudesand values assignedto the variants have
been set against the evaluation criteria.
It appears that variant V2 has the highest overall value and the best overall
rating. However, variant V3 follows close behind.
For the detection of weak spots, it is advisableto draw a value profile (Figure
-5.78).The figure shows that variant V2 is well balanced in respect of all the
important evaluation criteria. With a weighted rating of 68 per cent, variant V2
thus representsa good starting concept for the embodiment design phase.

Figure 5.75. Development of

cylindricalcam

Stored energy at maximum impulse torque loading:

E.u* : iF.o*'h :260 J
This amount of energy is needed in the time interval At : 0.12 s
- F l y w h e e ld i m e n s i o n s :
S c l c c t : M a x i l n t t m r p m , r l . r . r:r 1 2 ( Xr)e v / m i n ; r r r' l 2 ( rr i t t l / s
I . i r r I ' l y w h c c ld i r t t c r t s i o n o
s l r ' : 0 . 2 n t i r n t l r r ' - ( ) ,I t t t . t l t e l l t ' r v h c c lr t t i t s s .
r r r l- l ( X l k g ,i r r r t lt l r c r r r o r r r c nolt i n c r l i i r .J 1 = l t n s r : - 2 k [ n r r .

5.9.2 One-handedhouseholdwater mixing tap

,\ onc-handed mixing tap is a device for regulating water temperature and
tltroughflow with one hand. This task was sent to the design department by the
p l r r n n i n gd e p a r t m e n t i n t h e f o r m s h o w n i n F i g u r e 5 . 8 0 .
Slcp l: ()larilying the task and elaboratingthe specification
N t ' w t l i r t i tt t t t l i t t i n g s , s t a n c l u r c l s ,a f c t y r c g u l i r t i o n sa n c le r g o n o m i cf a c t o r sl e d t o
tltc rcplircctttctto
t l ' t h c o r i g i n i r l s p c c i l ' i c l t i o nb y t h c r c v i s c d v c r s i < l ns h o w n i n
l r i g u r c5 . l t l . ,

52

5 Conceptualdesign

153

5 . 9 E x a m p l e s o f c o n c c p t u i r ld c s i g n

@
@

il-4
>=< ?' 5

ei

6- s
>!.?

la
E>

od

O
N

=
s--

it@

N
@

=:5
o
- s
_'.^
*46

it
srl

E>

=
il|13n?

0.084
0.12
021
0.09

E
!l ..

3
E

ti-^@
S-=
Y

O
N

=: t\
a
- +

S
S

E>

ilY

s!,

d \

Reliable
and
simple
testing
device

C N

e",

;'s i

E
o

@
@

=
o

O
@

N
N

ll
S-?
>@
Go(t

@
N

tl

-=

c6

SI

ts>

ilo
sil

6S

.E

c)

rvl3-v. I

=
E

004
0.06
0ulckexchange
ol test
c0nnectt0ns

O J

<-

.2
o

a?

E9

3a

>a
OY

>a

>=
x:j

e_>
oo

El!

oEi

8.9
o

ah

cG-

66

E'

<E
':-o
i,j
I^l

=
Good
accessibil
ol measuring
systems

rigurc5.76.()bjcctivcstrcc for impulse-loading

tcstrig

O
d

a
d

!':
-o

q
r9
)W= 1

a
c;

t'

o.E

EF" 6
,:
ilr

>6

.!?

E
it

}F
AE

:g

-3

*9r
|.Ett 5 a

--

ziz

'64
E

E=
a;a

t3

:jE

tr.t

so
>c^

I}J

rll

hdg

!l

E
(n

3a

O*

tr!

q,

LL

Conceptual design

5.9 Examples of conccptuulrlesitn

155

Variant
V2,0WV2: 6.82| Variant
\. )WVs: 6.45
ii

IhN.N

I|
I

\\\l

[r.a
,,','rl l\\.\\\\\\\\\)
N\.\ \\\\\N i
Y/,/./ ./,/,/././,/
r//j

.,/,/ ./

,/,///f\.\\\

.\\\\\\.].)

for

chansesl
il/

I] b
|

t:-

t_-.s

--_1-------.5S
,

i-,

viz 10 9 I 7 6 5 4 3 ? 1 o r 2 3 4 5 6 7 B 9 ro
Figure5.78.Valueprofilefor detectionof weakspots

D
D
D
D
W

vie

D
D
D
D
W
D

F i g u r e- 5 . 7 9F. i n i s h e di m p u l s e l o a d i n gt e s t r i g c o r r e s p o n d i n gt o
concept variant Iz2,from [-5.-531

-handed
watermixino
tap

D
D
D
D
D
W
D
W
W
D
D
D

characterlstics
mtxing
tapwlththel0 lowing
r red:one-handed
household
water
Throughput
l\ilax.pressure

1 0l / m i n

6 bar

pressure
Normal

2 bal

Hotwater
temperature

60"c

SPECIFICATION

THDarmstadt

--=

v./

=l=

10mm
srze
Connector
product
in twoyearslrm
Finished
t0 bemarketed
ention
t0 bepaidl0 appearance.
Thefirm'strademarkl0 beprominently
displayed.
nufacturing
DIV30 eachat a production
rateol 3000tapsperrnonth
coslsnott0 exceed

). ( )nc-ltirrttlcd rrtixi rrg 1it1.r[ : x a n r p l eo f a n i t s s i g t t t t t c tsl t l g g c s t c (bl y t h c I

i gurc .5.13(
l l r u r i n gr l c p i r r t r t t e r t t

D
D
D

jne hdnded nixing lap

Page1

Requi
renents

Resp.

1 Throughput
(mixed
flow)max10/minat 2 bar
pressure
2 Max.
pressure
10bar(test
perDIN240,1)
15baras
3 Temp.
ol waterstandard
60.C,j00.C(short_time)
4 Temperature
setting
independent
ofthroughput
andpressure
5 Permissible
+5"Cata pressure
temp
fluctuation
diff.of +5 barbetw
3enhotandcold
supply
6 Connection:
2 x Cupipes,
l0 x I mm,I : 400mm
7 Single-hole
p 351fmm,basin
attachment
thickness
0 jB mm
(0bserve
basin
dimensions
DINEN3j, DINEN32,DINj368)
B Outflow
above
upper
edge
ofbasin:
50mm
9 Tofithousehold
basin
10 Convertible
intowallfittjng
11 Light
(children)
operation
12 Noexternal
energy
l3 Hard
water
(drinking
supply
warerl
14 Clear
identification
0ftemperature
setting
.15
Trade
prominenily
mark
displayed
l6 Noconnection
of thetwosupplies
whenvalve
shut
17 Noconnection
whenwater
drawn
on
18 Handle
nottoheat
above
35.C
l9 Noburns
fromtouching
thefinrngs
20 Provide
protection
scalding
if extra
costs
small
21 0bvious
operation,
simpie
andconvenient
handling
22 Smooth,
easily
cleaned
contours,
nosharp
edges
23 Noiseless
operati0n
(<20dBasperDtN52218)
24Service
life10years
at about300000
operations
25 Easy
maintenance
andsimple
repairs.
Usestandard
parts
spare
26 Max.manuf.
costs
DM30(3000unitspermonth)
2/ Scheduies
frominception
ofdeveropment
c0nceptual
embodrment
designdetail
/pe
designprotot,
des
rgn
alter2469
Repiaces
1stissue
of 12.6.j923

- l l r r r t l ertrl r i x i r r ;gr p
f'rgrn5
C. X 1S
. p c c i l i c i r t i loi r ro r r e

months

156

5 Conceptualdcsign

Step2: Abstractingto identifythe essentialproblems

The basisof abstractionis the specification,from which it is possibleto arrive at
that the
Figure 5.82. Simple householdsolutionsfor mixing taps suggested
chosensolution principle must be basedon meteringout the water throug\a
diaphragmor valve. Suchalternativesasheatingand coolingby the introduction
tormulation:
Problem
Flowof hotandcoldwater
orsometered
either
stopped
temperature
thatthemixed
toany
canbeadiusted
desired
value
regardless
ofthethroughput.
Functions

@
@
@
FdFrl

--------5
Flowof materials
Flowof signals

r57

5 . 9 E x a r n p l e so f c o n c e p t u a ld e s i g n

unchanged-that is, the relationship V,lV,n must remain constantand independ e n t o f t h e s i g n a lp o s i t i o n s i .

On changing the temperature 8n. V. must remain unchanged-that is, the
sum of V, + Vh: Vn,must remain constant.To that end the componentflows /.
and V6 must be changedlinearly and in the opposite senseto the signalsetting s,y.
Step 3: Establishing function structures
The function structures were derived from the sub-functions;
- Stop-meter-mix
- Adjust flow rate
-Adjust temperature
The physical principle being well known, the function structurescould be
varied and developed to determine the best system and its behaviour (Figures
-5.84to 5.86). From the results, the function structure shownin Figure 5.86 was
chosen as the most satisfactorv.

I ,,,i..

boundary
System

Figure5.i32.Problemformulationandoverallfunctionasper specification,
Figure-5.81
V : volumeflow rate;p : pressure;
dl: temperature
lndex:c : cold,h : hot, m : mixed,o : atmosphere
of external energy through heat exchangersetc could be dismissed:they were
more expensive and involved a time lag. Whenever known solution principles
can be applied such '4 priori determinations' are frequent and permissible.
Next, the physical relationshipsfor the diaphragm or valve flow rate and the
temperature of mixed flows of similar fluids were determined (Figure 5.83).
Temperature and flow rate adjustments are based on the same physical
principle-valve or diaphragm.
On changing the flow rate V^, the flows must be changed linearly and in the
same senseas the signal setting s9. The temperature rl.. however, must remain

lo

rl

I
I
l c

100 20o

300

1,0o

'

500

Flowrate

h - p z = E ( a / 2 )G ; V : v A
.
v = aC ,Vt Ti Y h - P z
q"

0sh: 0sc : 2.5 Oar :Y dh

Ym 8m :

samc fluid

l/h. Oh +

0.2 0.4 0.6 0.8 L0

: 2.5bar;p,, : 2 barjlPsrr

I r.*trrc5.114.Furrctionstructure for a one-hanclccl

water mixinq tap baseclon Figurc -5.132.
\ t c l r ' r ' i r r gl ' l o w@ l r r r t rl r t l j u s t i n gl c r r r P c l l r t r r r c s c y r r l l ; 1 1 1l .'c1iy, r . i r n i x i n ! rI.n t l i e g r l r y r h s .
@
I t t t t ' so l c ( ) l l s l i t l tttc n t p c r a t u r cl r n d c o r r s t i r r lr)tc l c c l r t i l A cl ' l o wn r t c h u v cb c c n p l o t t c c lf i l r
f l t v c t lt c l l l l ) c r i l t u r cs c t t i n g s( , r u ) i r n rlll o r v r i r t cs c t t i r r ; l (s. r i . ) , ' l ' l r r o r r gnhr u t u a lc f f c c l so l l h c
l t h c l c r r t l t c t ' l l t r r ci r r r t l k r u c l l r r i r c t c r i s t i cusr c n o t l i r r c i r r
I l ( ' s \ t l r c so t l t l t c i r t l e t sl t @ r r r r t@
r\('cl)t li)r tlrc sctting,Ti,- ().fll5. ittrd hctrCC
OtCUnrui|ttblc lirr rrrrirlll'Lrrvnrtcs. At rr

llrr\sr!t'ctlillcrcrrcc[rctwccrrt]ic coldtnd hot wt||t

b i t r )r h c l i r r c s h i l t . ' lh c s c t t i n ptrtic n o l o n a t
* {l t{25(dilgrtm on riSht)
rcltrrrlr,ri.
il

( i n t h i rc i t \ r/ , . r , / ) . , ( ) , 5
of rrch olltcrcvert litt tlte

5 Conceptualdesign

158

IVIETER
B

5 . 9 E x a m p l e s o f c o n c e p t u a ld e s i g n

1-59

N4ETER
|7
IVETER
zl

I
I

stJ

t-.

Se

f 10
di

o oB
0

P s n: P s c = 2 . 5b a r

7n
- +-

06

70
60
50
40
30
70
10
55

400

0.4

60r
50f

0.2

401_
30F

10.102 04 06
0
ps6: 2.5bar;p,, : 2 53t

Figure 5.85. Function structure basedon Figure 5.82 in which the temperature rs set
before, and the flow metered after, mixing. With equal pressuresin the supply pipes, the
flow and temperature settings are independent of each other due to equal pressule
differences aiross each temperature-flow-metering valve. The behaviour is linear. Witil
different supply pressures, however, the characteristic ceasesto be linear and is strongly
displaced, especially with small quantities, when the pressurein the mixing chamber
approximates the smaller supply pressure. If it is exceeded, then cold or (here) hot watcr
only will run out regardless of the temperature settrng.

Step 4: Searching for solution principles to fulfil the sub-functions

'vary two flt
Brainstorming was used as a first attempt to solve the problem:
areas,simultaneouslyor successively,in one senseby one movement and in
opposite senseby a second, independent, movement'. This resulted frolrl
sub-function: 'meter flow rate and temperature' in accordancewith the fu

structureshownin Figure5.86.The resultsare shownin Figure5.tt7.

Analysisof brainstormingresults
'fhc

s0f
B0t-

s o l u t i o n s s u g g e s t e d . d u r i n gt h e b r a i n s t < l r m i n gs c s s i o nw e r c c h c c k c d
c s t i r b l i s h c rwl l r c t h e r t h c I / i r r r c il 9 s e t t i n g sw c r c i n ( l e l ) c t t t l c t t tA. r t i r t t a l y s i tst f
l c l i r l l o w i n g $ ( l l u t i ( ) tpl r i l l c i l l l c s :
c o n r h i l t c dn l ( ) v c l n c l l l ss t t g g c s l c ct h

20l-

0.2 04 06 0B
Psn: Psc: 2.5bar itt-

10
-

0 . 2 0 4 0 6 OB
9v: 2.5bar;Pr,: 2 5ut

Figure 5.86. Function structure basedon Fig. 5.82, in which the temperatureand flow at
each inlet is metered out independentlyand then mixed. Linear temperatureand flow
characteristics.No seriouschangeseven at different supply pressurei.

Solutions with separatemovementsfor v and 0 tangential to the valve seat

face
'[-he
independenceof the 7 and r?setting is only guaranteedif each of the flow
rurcas of the valves is bounded by two edges running parallel to the
correspondingmovements. This implies that the movements must proceed at
irn angle to each other and in a straight line. Every valve setting thus has two
pairs of straight and parallel bounding edges(Figure 5.88). This ensuresthat
when one setting is adjusted the other setting is not simultaneouslyadjusted.
l)istribution of bounding edges.Each of the componentsproducing the valve
tlow ureas must have at least two edges that face each other and lie in the
t l i r c c t i o r ro f t h c m o v c m e n t .
willr llrc 7 sctting. both valve areas must approachzero simultaneously.
W i t l r t h c r , ls c t t i r r g .o r r c l l r c a l r u s t i r p p r o a c hz c r o i r s t h e o t h e r a p p r o a c h e si t s
t t t i x i t t t t t l t t . ' l ' h i si r t r l t l i c sw
. i t h 7 s c ( t i n g s (. h l r t t h c l t o u n c l i n ge c l g c so n b c l t h
v i { l v c i t r c ; t st l l t t s t t l l ( ) v c t o w i r r c l sc i r c l t o l l t c r o r l r w i t v l r o n t c a c h o t h c r i n t h c
\ i l l t l c s c l l s c . W i t h r ?s c t t i r t g s t. l t c l r r t t t t t t l i t tcgt l g c r r l r r t l r t , t $ ' ( )v i l l v c l t r c i t sl ) l g s t
n r ( ) v ci n l h c i r p p o s i l cs c l l s c l ( ) c t c h o t h c r ,

160

dcsign
5 conccptual

pipe
cylindrical
#*
A x i aml o v e m:eDn t
J A
/ ent
R o t a r y m o v e: tm
4 A
x )a
-Beam
principre

- Inverse
otcylpioe

-The seat face may be plane, cylindricalor spherical.

- Solutions of this type can be effectedwith a singlevalve element,and seem

t,,
#]

r rn

'il---E-

principre
Inverse
olbeam

vl

simple to design.

lc.
.{YA'

Flowarea

Nir
a_|!

r----- v,

Beam
withptugs
- Ooposing
valves
{,,*(
operated
bysc,ssor
orincip'e
n fl *.nr=
andrackandpinon
H frf ilH
-Sliding
plates
+ sliding
wedges
plates
(asabove)
lnverse
ofsliding

F+l to
&
P
^.r
f-Tl' v
n
0
+
W
Lr
a

Ballsin pipesactivated
by conical
cam
- Rotatrng
valveplate
withaxialmovement
-' --'
(sharp
edges
t0 ensure
correct

4i,
lll ,
a+P2P'&t

-F

mrxrns)a-m
_fl|
UU(ln

rwo
wedqes

VA

pump
(notpursued)
lnjection
Throttle
flap
- Twothrottle
flaps
- Three-way
mixer

Mffi
ffi r#ry

r'Tt

- Chamfered
cylinder
-Pivotandswivel
- controllever
- ball
central
00re
eccentric
bore

wTv

(tZ

-;-

,------

GE//

-..-

/=,

fl

Movementsand
Figure5'88.
bounding edgesof valve positions

2. Solutions with separatemovements for V and B normal to the valve seatface

- This group includes all movements which involve lifting a valve from its seat
face. However, only a movement at right anglesto the seatface is possiblein
practice.
-The independent setting of V and rl can only be achieved with additional
control elements (coupling mechanism).
-The design seemsto require greater effort.
3. Solutions with one type of movement for V and I tangential to the seat face
-To guarantee the indepenclenceof the V and I settings, additional coupling
elements are needed.
- The solutions are similar to those listed under 2. They only differ in the shape
of the seat face and the resulting movement.
1. Solutions with one movement fnr i normal to, and one movement for I
tungential to. the seat face and vice versa
These solutions do not, even with the help of coupling mechanisms,satisfy
thc demand for indepenclent 7 and r1 settinss. The overall function is not
achieved.

._

*-.N\s..tr'::."Yt
ffi
'16\
v

Twotlexiblelubes
(squeezewilhovat

wto

Camorwedoe)

fw
fi
_TW
N

Movewedge
lwoapertures
belween
Jl t,., lrl
- Membrane
#.ut-ij=l.-

-t)
_al
.4\ /,q
\aVqJ
r"

A'

trr
V

a\1,*'
rrV.U

tv

Twobasicpossibilities:
rigidcoupling/via
mechanisms
- lns
SPhincter
Vortex

t-----"--\

lffi:3)

(|\
'ftJ

Twoptates

r67

5.9 Examples of conceptual design

.\-"
\-\$,

\$.v*

F i g u r e5 . t 3 7R
. c s u l to f u b r a i n s t o r m i n gs c s s i o nt o d i s c o v c rs o l u t i o np r i n c i p l c sl i r r t h c
I r s s i g n n r c n t ' v i t rt vw o l ' l o wi r r c l s . s i n r r r l t l n c o u s lov r s t t c c c s s i v e l ivt ,t o t t c s c r t s cl r v o t t c
tt'tcrtl'
n l ( ) v c n rnel l r r t l i r r t l r c o p P o s i t cs c r t s cb v i r s c c r t t t r li .t t d c ; r c n d c t t lt l ( ) v e

l)iscursive searches for solutions could be conducted with the. help of

t llssification schemesfor an independent setting of the flow rate 7 and the
I t ' n r p c r e t t u r re) .
l}irsed on the identified solution principles, the classificationcriteria were
l i s t c c la s s h o w n i n F i g u r e 5 . 8 9 .
'I'hc
combination of the solutions thus discovered into a slngle scheme was
torrnclto be inexpedient for the following reasons:
S o l r r t i o r r sw i t h r n o v e m e n t sf o r I / a n d d t a n g e n t i a l t o t h e s e a t f a c e c a n b e
irtlvirnlagcouslyvaried and classifiedby type of movement and form of valve.
( ( ' l r r s s i l i c a t i osnc h c r n eI s h o w n i n F i g u r e5 . 9 0 . )
W i t l r s o l r r t i o n si n v o l v i n g a s i n g l c I n o v c r r c n t f o r 7 a n d r ) a t t h e s e a t f a c e
( i i r r r g c r r t i i rrll r r r o r r n l r l ) t, h c i r r r a n g c r r r c rot ll l l t c s c i r l l ' i r c c si t t r col f t h c c o u p l i n g
r r r c c l r i t r r i s rl r irr si r r l c c i s i v cb c i r r i n go n l l t c s o l u l i o t t . ( ( ' l a s s i f ' i c i r t i osnc h c n r cI I
s h o w l t i n | i g u r c 5 . ( ) 1).

r62

5 Conceptualdesign

icatlon
Classif
criteria

parameters
Associaled

Direction
of movement

Tangential
toseatface

ilhN\

Normatosealface
Coupiing
of movemenl

-lI

Twomovements
al ananglet0 eachotherlor t/andf
ilovement
notcoupled

0pp0srte

In oneplane

ln Oned rect0nfor l/ andr?

f,Iovemenl
lilovement
couped
Typeof movement

r63

5 . 9 E x a m p l e so f c o n c e p t u a d
l csign

1r

Trans
aton

nn

lrv

Cylnder

aranangle

Cone

Sphere
Special
shapes
Elastic
bodles
Arrangement
of seatfaces

.^-

vt.,+-J

il ,lv
frc '^V,;l TU'

p ate,wedge
Plane

Formof valve

0pposite
I n o n ep a n e
A1anange

Figure 5.89. Classificationcriteria for a one-handedmixing tap

a[7,^.
2\r{'

_l T,

A[Jrk\]F
-tlv

Rotation

-.ii lvF

JL_

(v/

.4.:r' sh

.".'n\^
v!l

j\%
s K3

"V\

Figure 5.91. Classification

Scheme II for solutions to the
one-handed mixing tap problem
Movement tangential or normal
to the seatface
Counled movement in one
direition for I/ and r1

Step 6: Firming up into concept variants

Step5: Selectingsuitable solution principles
Ihe solution principles fulfilling the demands of the specificationand promising
,o be most economic were those found in the classificationscheme shownin
Figure 5.90, and were therefore preferred.

With the help of further research into possible setting or operating elements
which we have not discussedhere, the solution principles could then be firmed
up into concept variants (Figures 5.92 to 5.95).
Step 7: Evaluating the concept variants

il*q'
planeplate

cylinder

c0ne

sphere

trons./tro
ns. trons./rot.

rot.
/rot.
3

i+rl"E ru
BJ' t+t

d'i"
{ili'
o

&r,,

F i g u r c 5 . 9 0 .C l a s s i f i c a t i o S
n c h e r n eI f o r s o l u t i o n so f t h c onc-hantlerlrnixing tirp proltlcm
M o v c n r er t t t a n g c n t i a tl o t l r c s c i t tf a c c
'l'wo
irrtlcpctttlctttntovcnrcnlsitt iul irrrglclirr V nttd rl

Irr accordancewith VDI2225, this step was taken with the help of an evaluation
ehart. In addition, evaluation uncertainties and weak spots were examined
( F i g u r e5 . 9 6 ) .
-fhanks
to the balanced profile and the discernable improvement possibilities,
Solution B (Figure 5.93) was found to be preferable to all others.
'l'he
ball solution D (Figure 5.95) would only have been consideredif further
strrrlicsinto production and assemblyproblems had been undertaken and led to
p o s i t i v cr e s u l t s .
ll Rcsult
l ) r l r w i r r g so l ' S o l r . r t i o nI l w i t h i m p r o v e m e n t st o t h e o p e r a t i n gl e v e r i n r e s p e c to f
r l l i r ( c r c r l t t i r c n l c n t s ,c i r s i c r c l c a n i n g a n c l r t u r n b e ro f p a r t s w e r e p r o d u c e d .T h e
l c v c l o l i n l o n n l l i o r t l i l r S o l u t i o r tI ) w l s i t t t p r o v c t lw i t l t i r v i c w t r l r c - c x l r n r i n i n gi t
f o r l ' i t t i r lc v i r l u i l l i o r t ,

5 Conceptualdcsign
u

5 . 9 E x a m p l e s o f c o n c e p t u a ld e s i g n

I.

THDarmstadt

EVALUATION
CHART
lor

One-handed
mixin0
tap

ln lheorderof
varianl
A
I P:presenl
lhechecklisl
l-eadings| (P):possib'e
aflerrnproverenl
critenon
P
lNoI Evaluation

Page7

B
(P)

E
(P) P (P) P (P)

FunclI

Reliabi
ityofstopping
llow
without
drips

Work
Princ

Reliable,
reproducible
setting
(calcium-resistant
parts)
fewwearinq

2
I

mbo 2

Lowspace
requiremenl

1 3l

Fewparts

2
I

S i m p lm
e anufacture

/?

y
Easy
assemb

2l

Convenient
operation,
sensitive
setting

Easyupkeep
(easy
to clean)

4t

2
I

(wlthstandard
S mpe maintenance
t0os,
littings
neednotbedismanfled)

7?
J

16

24

(%,

(1)

P)

Prod

ASSY 6

.9

Figure5.92.

Figure5.93.

vlainr9

il

l4

joint
or solder
Screw

? Evaluation
uncertain
better
I Tendency:
worse
I Tendency:

2 1 2 3 20

Rr

a+51
Ranking
4
(J),Weakspot(W),lmprovement
(l) of variant/criter
Justificati0n
0n

'26

756

2 (3)

2)

levermechanism
8 1 Simplity
9t

Figure
Figure5.94.
5.94.

Figure 5.95.

'plate
solution with eccentric
Figure 5.92. One-handed mixing tap, solution variant A:
and pull-and-turn grip'
'cylinder solution with lcvcr'
I ' i g u r c 5 . 9 3 .O n e - h a n d e dm i x i n g t a p , s o l u t i o nv a r i a n tB :
' c y l i n c i c sr o l u t i o r rw i t h c n t l
I ; i g u r c5 . 9 4 .O n e- h a n d e dm i x i n g t a p . s o l u t i o nv a r i a n t( ' :
v i r l v c si r n t li r r l t l i t i o r t i sr lc i r l i n g '
'ltlll solrrtion'
t l t P ,s o l t t l i o t tv : l r i i l t l ll ) l
l r i g u r c 5 . 9 5 ,( ) t t c - l t i t n t l c trl r r i x i r r g

position
Indeterminate
y
of ballduringassemb
lmprove
with84

) 9 1 A l t ,irrrn n not l e v e r
t , , ,,. u , , l P t u r i o s0 0 r u l | 0Bnw i l ni m p r 0 v e r e0nl (l 0 n l r 0e e m e r l s
i erse s ernet s tus i n 2 m o n t h s
| 5 0 l u0l n u L x a m i nper o d u c t ipo0ns s i b i l i t p
lj,lr:

ro tJ,

litltlrc 5,t)6. ( )ttc'-h;uttlcttnlixilUttl;l livrlultir)n (rl conccl)t vlliiults A. Ii. (', I)

(P)

6 , I S t e p so f e m b o d i m e n td c s i g n

Embodiment design

Embodiment design is that part of the design process in which, starting from the
concept of a technical product, the design is developed, in accordance with
technical and economic criteria and in the light of further information, to the
point where subsequentdetail design can lead directly to production (see 3.2).

6.1 Stepsof embodimentdesign

Having elaborated the solution concept during the conceptual phase, the
designer can now firm up on the underlying ideas. During the embodiment
phase, at the latest, he must determine the overall layout design (general
arrangement and spatial compatibility), the preliminary form designs(component shapesand materials) and the production procedure, and provide solutions
for any auxiliary functions. In all this, technological and economic considerations are of paramount importance. The design is developed with the help of
scale drawings, critically reviewed, and subjected to a technical and economic
evaluation.
In many cases several embodiment designs are needed before a definitivc
design appropriate to the desired solution can emerge.
In other words, the definitive layout must be developed to the point where a
clear check of function, durability, production, assembly, operation and costs
can be carried out. Only when this has been done is it possibleto prepare the
final production documents.
Unlike conceptual design, embodiment design involves a large number of
corrective steps in which analysis and synthesisconstantly alternate and complement each other. This explains why the familiar methods underlying the seorch
Jor solutions and evaluatior?must be complemented with methods facilitating thc
identification of errors (design faults) and optimisation. The collection o.l
inlrtrmution on materials, manufacturing processes,repeat parts and standards
involvcs a considerableeffort.
'l'ltc
c m b o d i m c n t p r o c e s si s c o m p l e x i n t h a t :
- n l a n y i r c t i o n sh a v c t o b e p c r f o r m c c ls i n r u l t i r n c o u s l y ;
- ' s o n l c s t c p sh a v c t < lb c r c p c i r t c ci lr t t r l r i g h c rl c v c l o l ' i n l i l r r n i r t i o ni;r n c l
- - i t t l t l i t i o t t si r t t di r l t c r i r t i o n si n o n c i r r c i rl r i r v cl c p c r c u s s i o n o
s n l h c c x i s t i n gr l c s i g r r
itt rllhcrlrrcirs.
l f c c i r t t s cr l l t l t i s . i t i s r r o t r r l u ' ; r v s; x r r r r b l g t r l d r n w u p i l s l r i c t p l i r r r l i l r t l r t .

r61

embodiment design phase. Instead, the designer may have to adopt a general
approach. Particular problems may demand deviations and subsidiarysteps,and
these can rarely be predicted in detail.
It is always advisableto proceed from the qualitative to the quantitative, from
the abstract to the concrete, and from rough to detailed designs,and to make
provision for checks and, if necessary,for corrections (see Figure 6'1).
1. Using the specification,the first step is to identify those requirements that
have a crucial bearing on the embodiment design:
-Size-determining requirements such as output. throughput, size of connectors etcl
arrangement-determining requirements such as direction of flow, motion,
oosition etc: and
- material-determining requirements such as resistanceto corrosion, service
life, specified materials etc.
Requirements based on safety, ergonomics, production and assembly involve
special design considerationswhich may affect the size, arrangement (see 6.2)
and selection of materials.
2. Npxt, scale drawings of the spatial constraints determining or restricting
the e6bodiment design must be produced (for instance drawings showing
clearances,axle positions, installation requirements etc).
3. Once the embodiment-determining requirements and spatial constraints
have been established, a rough layout, derived from the concept, is used to
identify the embodiment-determiningmain function carriers-that is the assemblies and components fulfilling the main functions.
The following subsidiary problems must be settled, due regard being paid to
the principles of embodiment design (see 6.4):
Which main functions and function carriers determine the size, arrangement
and component shapesof the overall layout? (For instance,the blade profiles
in turbo-machines or the flow area of valves.)
What main functions must be fulfilled by which function carriers jointly or
separately?(For instance, transmitting torque and allowing for radial movement by means of a flexible shaft or by means of a stiff shaft plus a special
coupling.)
4. Preliminary layouts and form designs for the embodiment-determining
main function carriers must be developed; that is, the general arrangement,
component shapesand materials must be determined provisionally. To that end,
it is advisable to work systematicallythrough the first three headings of the
checklist (Figure 6.2). The result must meet the overall spatial constraints and
thcn bc completed so that all the relevant main functions are fulfilled (for
instancc by spccifying the minimum diameters of drive shafts, provisional gear
r a t i o s , m i r t i r r r u r nw a l l t h i c k n c s sc t c ) . K n o w n s o l u t i o n so r e x i s t i n gc o m p o n e n t s
( r c p c a t p a r t s . s t i r n c l a r dp a r t s c t c ) n r u s l l r c s h o w n i n s i m p l i f i e df o r m . I t m a y b e
usclul to stirrt working orr sclcctct[lrcits rlttly, conrhiningthese later into
-

p r c l i t r r i r t i t rlvl t y o t t l s .
5 . ( ) t t c ( t 1 t l l ( l r cs r t i l l r l r l cP t c l i t t t i l t ; r r r ' l ; t v r l tltl ll rt l $ ll ) c s c l c c t c t il t t l t c c r l r t l i t t t c c

6 Embodiment dcsign

168

II

6.1 Steps of embodiment design

Headings

Examples

Function

ls thestipulated
function
lulfilled?
Whatauxiliary
functions
areneeded?

principle
Working

principles
produce
Dothechosen
working
thedesired
effects
andadvantages?
Whatdisturbing
factors
maybeexpected?

lnlormation

of spatial
constraints
Produce
scaledrawings

Layout
andformdesign Dothechosen
provide:
overall
layout,
comp0nent
shapes,
materials
anddimensions
(strength)
adequate
durability
permissible
(stiffness)
deformation
adequate
stability
freedom
fromresonance
unimpeded
expansion
acceptable
corrosi0n
andwearwiththe
stipulated
service
lifeandloads?

Definition

carriers
mainluncti0n
embodiment-determining
ldentifv
E;

preliminary
layouts
andt0rmdesigns
Develop
carriers
maintunction
fortheembodiment-determininq

L - -

Safety

Haveall thefactors
alfecling
lhe
safety
of thec0mponents,
ol thelunction,
ol theoperation
andol theenvironment
been
takenintoaccount?

Erfnomics

Have
themanmachine
relationships
been
takenintoaccount?
Have
unnecessary
human
stress
or injur;ous
lactors
beenavoided?
Hasattention
beenpaidto goodphysical
layout?

Production

Hastherebeen
a technological
and
procedure?
economic
analysis
ol theproduction

control
Quality

Canthenecessary
checks
beapplied
during
andafterproduction
0r at anyother
required
time,
andhave
theybeen
specif
ed?

Assembly

Canall theinternal
andexternal
processes
assembly
beperformed
simply
and
in thecorrect
order?

Transport

Havethernternal
andexternal
transp0rt
conditions
andrisksbeen
examined
andtaken
intoaccount?

Onprrlinn

Have
all thefactors
influencing
the
operation,
suchasnoise,
vibration,
handling,
etcbeenconsrdered?

Maintenance

Canmaintenance,
inspection
andoverhaul
beeasilyperformed
andchecked?

Costs

Have
thestipulated
costlimitsbeen
observed?
Willadditional
operational
or subsidrary
costs
arise?

Schedu
les

Canthedelivery
dates
bemet?
Arethere
design
modifications
that
mightimprove
thedelverysituation?

preliminary
layouts
suitable
Select
Creatlon

preliminary
andformdesigns
layouts
Develop
carriers
mainfunction
fortheremaining
functions
to auxiliary
forsolutions
Search

c
o
E

torthematnfunction
layouts
andformdesigns
Develop
detailed
carrlers
luncti0n
withtheauxiliary
compatibility
ensuring
carriers

E
q

E
E

lunction
lortheauxillary
layouts
andlormdesigns
detailed
Devel0p
layouts
the0verall
and complete
carriers
E

layouts
theoverall
andrefine
Check

criteria
andecon0mic
technical
aqainst
Evaluate

Evaluation
cnecK

II

Decision

Creation
c

factors
anddisturbing
lorerr0rs
Check

E
c
6
E

I
l r i g r r r c( r L S t c p so l c r r t b o r l i t t t r , t' rl ct tr t g n

Eval
uation
cnecK

II
I

Decision

r69

l " i g u r c6 2 . ( ' h c c k l i s tf o r e m b t t d i m c n tc l c s i g r r

170

6 Embodiment desisn

and with the

with the proceduresdescribed in 5.6 (modified if necessary)

checklist(see6.2).
for
6. PreliminarY laYouts and form designs must now be developed
considered
the remaining main function carriers thit have not yet been
until
becauseknown solutionsexist or they are not embodiment-determining
this stage.
as support'
7. Next, determine what essential auxiliary functions (such
known
exploit
retention, sealingand cooling) are neededand, where possible'
If this
solutions)'
solutions (such as repeat piitr, stundardparts, catalogue
already
procedures
the
proves impossible,s"ar.h ior specialsolutions,using
described(ChaPter5).
carriersmust now
8. Detailed liyouts and form designsfor the main function
and guidelines
rules
design
be developed
'andin accordancewith thi embodiment
detailed
regulations,
standards,
to
6.5), with due attention
i*" o:
compatibility
of
problem
the
to
also
calculationsand experimentalfindings,and
If necessary,divide
with those auxiliary functions that have now been solved.
individually'
or areasthat can be elaborated
into assemblies
for the auxiliary
9. Proceedto developthe detailedlayoutsand form designs
refine the
necessary'
If
parts.
fungtion carriers,addin! standardand bought-out
overall
into
carriers
function
all
designof the main funcii,oncarriersandcombine
layouts.
compatibility,
10. check the overall layoutsfor mistakesin function' spatial
(see
6'2) and the
the-.checklist
to
p.rfor-un"e, durability eic by referencestep.
by
step
refine
Then
iault_eliminationmethod outlined in 6.6.
(see6'7)'
11. Evaluatethe layoutsagainsttechnicaland economiccriteria
concrete
more
put
in
be
to
If a particular project requires several.concepts
be
course,
of
not,
must
process
embodiment
form piior to evaiuaiion,then the
final
the
that
so
demands'
variants
the
of
prr.rrr"d beyond what the evaluation
economicallyas
iayout designcan be determinedand elaboratedas quickly and
is thus possible,in somecases,to take a
on carriershavereachedthe preliminary
:cisionwill haveto be deferreduntil after

'::'#ii
ffi:'*:*::il:-:l;"H,Tffi

6 2 Checklist for embodiment desisn

NI

15. Conclude the embodiment design phase by preparing a preliminary parts

list and preliminary production documents.
16. Fix the definitive layout design and pass on to the detail design phase.
In the embodiment phase, unlike the conceptual phase, it is not necessaryto
lay down special methods for every individual step.
The representation of the layout and form designs may be based on standard
drawing conventions or, if necessary,on simplified scale drawings, as suggested
by Liipertz 16.122).
The searchfor solutions for auxiliary functions and other subsidiary problems
is based either on the procedure described in Chapter 5, but simplified as far as
possible, or else directly on catalogues.Requirements, functions and solutions
with appropriate classifying criteria have already been elaborated.
The embodiment (layout and form designs) of the function carriers is based on
the checklist and involves reference to the principles of mechanics and to
structures and materials technology. It calls for calculations ranging from the
simplest to complex differential equations or the method of finite elements
applied with the help of computers. For these calculations, the reader is referred
to tfe literature listed in 6.5.1, and for even more complex calculationsto the
sp/cial literature. In addition, fixed rules and principles, to be elaborated later,
must be followed.
Because of the fundamental importance of the identification of errors (design
faults) in several of the steps, the reader is especiallyreferred to 6.6.
In the elaboration of embodiment designs,many details have to be clarified,
confirmed or optimised. The more closely they are examined, the more obvious
it becomes whether the right solution concept has been chosen. It may appear
that this or that requirement cannot be met, or that certain characteristicsof the
chosen concept are unsuitable. If this is discovered during the embodiment
phase, it is advisable to re-examine the procedure adopted in the conceptual
phase, for no embodiment design, however perfect, can hope to correct a poor
solution concept. This is equally true of the solution principles applicable to the
various sub-functions.
However, even the most promising solution concept can cause difficulties in
detail .design. This often happens because various features were originally
treated as subordinate or as not in need of further clarification. Attempts to
solve these sub-problems compel the designer to reiterate the appropriate steps
while retaining the chosen solution concept.

evaluationis Possible.
72. Fix the PreliminarYlaYout'
13.optimiseand"o-pt"t"theformdesignsfortheselectedlayoutby
in the courseof the
elimination of the weak points that have been identified
6.2 Checklist for embodiment design
repeatthe previousstepsand adopt
evaluation.If it shouldprove advantageous,
suitablesub-solutionsfrom lessfavouredvariants'
Embodiment design is characterisedby repeateddeliberationand verification
1 4 . C h e c k t h i s l a y o u t d e s i g n f o r e r r o r s ( d e s i g n f a u l t s ) i n f u n c t i o n , s p a t i a(ls e e6 . l ) .
factors' Make what
compatibility etc (sel 6.\ anJ for the effectsof disturbing
Evcry embodimentdesign is an attempt to fulfil a given function with
feasibilitymust bc
improvementsmay be needed.The technicaland economic
appropriutelayout, componentshapcsand materials.Thc proccssstartswith
at this point at the latest'
established

172

6 Embodiment design

preliminary scale layout drawings based on spatial requirements and a rough

analysis, and proceeds to consider safety, ergonomics, production, assembly,
operation, maintenance and costs.
In dealing with these factors, the designer will discover a large number of
interrelationships, so that his approach must be progressive as well as reiterative
(verification and correction). Notwithstanding this double character, however,
his approach must always be such as to allow the speedy identification of those
problems that must be solved first.
Though individual factors may be closely interrelated, the designer can derive
important checklist headingsfrom the general objectives and constraints(2.1.6)
which, moreover, provide him with a useful procedural order and a systematic
check of each step in turn. The checklist thus not only provides a strong mental
impetus, but also ensures that nothing essential is forgotten in the embodiment
phase (see Figure 6.2).
All in all, reference to the headings will help the designer to develop and test
his progress in a systematic and time-saving way. Each heading should be
examined in turn, regardless of its interrelationship with the rest.
The actual sequence is no indication of the relative importance of the various
headings,but ensuresa systematicapproach. For instance,it would be futile to
deal with assembly problems before ascertaining if the required performance or
minimum durability is ensured. The checklistthus provides a consistentscrutiny
of embodiment design and one that is easily memorised.

6.3 Basic rules of embodimentdesign

The following basic rules apply to all embodiment designs. If they are ignored,
breakdowns or accidentsmay occur. They underlie nearly all the steps listed in
6.1. When used in conjunction with the checklist (Figure 6.2) and with the
design fault identification method (see 6.6) they also help with selection and
evaluation.
The basic rules of clarity, simplicity and safety are derived from the general
objectives, that is:
- fulfilment of the technical function;
- economic feasibility; and
- individual and environmental safety.
The literature contains numerous rules of, and guidelines for, embodimenl
d e s i g n 1 6 . 1 2 7 , 6 . 1 2 8 , 6 . 1 4 5 , 6 . 1 5 2 , 6 . 1 1 0 1 .O n c l o s e r a n a l y s i si t a p p e a r s t h a t
clarity, simplicity and safety are fundamental to all of them.
Clarity, that is clarity of function or the lack of ambiguity of a dcsign.
facilitatesreliable prediction of the performanceof the end product and in mitny
casessavestime and costly analyses.
Simplic:ity generalty guarantees economic l'casibility. A smallcr nutrrbcr tll'
c ( ) r n p o n c n t si t n c ls i n t p l c s h i t p c si t r c p r o c l t t c c dn t < l r cq u i c k l y a n d c a s i l y .

6 3 Basic rules ol embodiment desisn

n3

Safety imposes a consistent approach to the problems of strength, reliability,

accident prevention and the protection of the environment.
In short, by observing the three basic rules, the designer can increase his
chancesof successbecausethey focus his attention on, and help him to combine,
functional efficiency, economy and safety. Without this combination no satisfactory solution is likely to emerge.

6.3.1 Clarity
In what follows we shall be applying the basic rule of clarity to the various
headings of the checklist (Figure 6.2):
Function
Within a given function structure, an unambiguous interrelationship between
the various sub-functions and the appropriate inputs and outputs must be
guaranteed.
W/rking principle
The chosen working principle must, in respect of the physical effects:
- reveal a clear relationship between cause and effect, thus ensuring an
appropriate and economical layout;
- guarantee an orderly flow of energy, material and signals.
If it does not, undesirable and unpredictable effects such as excessiveforces,
deformations and wear may ensue.For this reason alone, it is advisableto avoid
the so-called'double restraints', the more so as they can causefurther difficulties
during production and assembly.
By paying attention to the deformations associatedwith a given loading, and
also to thermal expansion, the designer can make the necessaryallowancesfor
possible expansion in a given direction.
The widely used bearing pairs, with a locating and a non-locating bearing
Figure 6.3a), avoid'double restraints'and have a clearly defined behaviour.
stepped bearing pair (Figure 6.3b), on the other hand, should be specified
ly when the expected changes in length are negligible or when the resulting
is permissible. By contrast, a spring-loaded arrangement, in which which
: operating axial force Fu must not exceed the pre-load Fo, will permit a clear
finition of the force transmissionpath (see Figure 6.3c).
Combined bearing arrangements often present problems. The combination
in Figure 6.4a consistsof a needle roller bearing which is intended to
nsmit the radial forces and a ball bearins which is meant to transmit the axial

forces. Hclwever,this particular arrangementdoes not clearly define the

pathfor the radialforces,because
the innerandouterracesof both
transmission
bearingsarc rcstraincdradially.As a rcsultthc scrvicelife cannotbe predicted
shownin F'igurc6.4/r.rrnthc othcr hand,satisfies
Thc arrangcmcnt
accuratcly.
providcdthc dcsigncrcnsurcs,during
rulc with thc sanrcclcnrcnts.
thc <'/arity

t74

Figure6.3

6 Embodiment design

Figure6.4

r75

6 3 Basic rules of embodiment design

If these data are not available, the implementation must be based on

reasonable assumptionsand the expected service life specified accordingly. In
any case, the embodiment must be such that the loads can be defined and
calculated under all operating conditions.
No impairment of the function or the durability of a component must be
allowed to arise.
Similarly, behaviour in respect of stability, resonance,wear and corrosion
must be clearly established.
'for
safetl"s sake'. Thus a
Very often one comes across double restraints
shaft-hub connection designed as a shrink fit will not have a better load-carrying
capacity if it is also provided with a key as in Figure 6.5. The extra element
merely ensurescorrect positioning in the circumferential sense,but becauseof
the reduction in the area at A,the resulting stressconcentration at B and the
presence of complicated and almost incalculable stressesaI C, it decreasesthe
strength in a drastic and fairly unpredictablemanner. Schmid [6.185] has shown
that an axially pre-loaded taper joint for the transmissionof torque requires a
spiralling motion when the hub is assembledon the shaft in order to ensure a
religble shrink fit, and the use of a key would prevent this.
Figure 6.6 shows a housing adapter for a centrifugal pump which can be used
to provide various annulus profiles to fit different blade shapes so that new
housings need not be constructed for each case. Unless the intermediate
pressure in the gap between the adapter and the housing can be clearly

Figure6.4.Combinedrolling-element
bearing:
(a) Transmission
pathof radialforcesnot clear;(b) combinedrollingbearingwith the
sameelementsasin (a), but clearidentification
of the transmission
pathsof theradialancl
axialforces
assembly,that the right-hand race has enough radial play in the housing, thus
making certain that the ball bearing transmits axial forces only.
Layout and form design
T h e l a y o u t ( g e n e r a l a r r a n g e m e n t ) a n d f o r m d e s i g n ( s h a p e sa n d r n a t c r i a l s )
r c q u i r e a c l e a r d e f i n i t i o r ro l ' t h c m a g n i t u d c . t y p c , f r c q u e n c y a n d c l u r a t i o n o l
klads.

l.l7 rA

pressure
balancing
t0 ensure
Passage,
llal P;= Po
Figure 6.6

F i g u r c 6 5 . ( ' o n r b i n c csl h i r l t - h u t r c o l r l t c c t i o r t b y n t c a n s o f s h r i n k f i t a n d kAenye x a m p l e

o l n o t r r p p l y i n gt h c l l l i r r c i p l co l c l i r r i t y .
\
l r i g u r c( r , ( r ,I l o u s i t t gl t l u p l c r i t t i t c o l t l - w i t l c ll ) t l t t t l )

176

6 Embodiment design

regulated, or some other means of attachment is used, the adapter might travel
upwards and damage the blades by rubbing against them'
This is particularly true when similar fits (H7-j6) are chosen for the two
locating diameters which are approximately the same size. This is because,
depending on manufacturing tolerances and working temperature, gaps may
unknown
upp"u., tile relative size of which is unpredictable and which produce
The
housing.
and
the
adapter
the
intermediate pressuresin the space between
designed
specially
of
the
means
by
solution shown in Figure 6.6 (detail) ensures,
connecting passageA (which must have a flow area roughly four to five times
greater thin the-maximum gap area that might appear at the upper locating
Iiameter), a clearly definable intermediate pressure corresponding to the lower
inlet preisure of the pump. As a result the housing adapter is always pressed
downwards when the pump is in operation, and attachments are only needed as
locating aids for assemblyand to prevent any tendency of the adapter to rotate'
SeriJus damagehas been reported in gate valveswhose operational or loading
conditions were not clearly defined [6.80,6.81]. When closed, gate valves
separate, say, two steam pipes and at the same time close off the inside of the
vaive housing. The result is a small, self-containedpressurechamber as in Figure
6.7. If condensate has collected in the lower part of the valve housing, and
steam appearson the inlet side with the valve closed so that the valve is heated,

6 3 B a s i c r u l e so f e m b o d i m e n t d e s i g n

n7

then the enclosed condensate may evaporate and produce an unpredictable

increase in pressure inside the valve housing. The result is either a ruptured
housing or serious damage to the housing cover connection. If the latter is
self-sealing,serious accidentsmay ensuesince, in contrastto what happenswith
overloaded bolted flange connections,there is no preliminary leakageand hence
no warnlng.
The danger lies in the failure to specify clear operational and loading
conditions. Possibleremedies are as follows:
- Connect the inner chamber of the gate valve housing to an appropriate steam
pipe, operational conditions permitting (purru": ppip.).
-Protect the valve housing againstexcesspressure (puu1u.
restricted).
- Drain the valve housing, thus avoiding collection of condensate (puulu"=
-

Pe*t..nol).

Design valves in such a way as to minimise the housing volume (collection of

condensatekept low).
Similar phenomena in welded membrane seals are discussedin [6.154].

Safetv
S e 6 b a s i cr u l e i n 6 . 3 . 3 .
Ergonomics
In the man-machine relationship, the correct operation must be ensured by the
logical layout of the equipment and of the controls.
Production and Quality Control
These must be facilitated by:
- clear and comprehensive data in the form of drawings,parts lists and
instructions;
- the designer's insistence on adherence to the prescribedproductionand
organisationalprocedures.
bly and Transport
uch the same is true of assemblyand transport. A planned assemblysequence
nting mistakes should be incorporated in the design (see 6.5.7).
O p eration and Mainte nsnce
ar installation intructions and the appropriate embodiment design must
ensure that:
the performance is easily checked; and
maintenance involves the smallestpossible variety of tools and equipment.

6.3.2 Simplicity
l j i g u l c ( r , 7 ,( i i r t c v l l v c w i t l t r c l i t t i v c l yl i r r g c
krwcr collc('linl nlcil

'sirnlllc' rncilns 'not

For tccluticll applicationsthc wrlrcl
complcx', 'casily
u t t r l c r s t r x l tilu' t d ' c i r s i l yd t l r t c ' .

n8

(r Embodimcnt design

A solution seemssimpler if it can be effected with fewer components, because

the probability of lower production costs, less wear and lower maintenance is
then greater. However, this is only true if the layout and shapes of the
components are kept simple. Hence the designer should always aim at the
minimum number of components with the simplest shapes[6.118, 6.144,6.154].
As a rule, however, a compromise has to be made: fulfilment of the function
always demands a certain number of components. Cost-efficiency often imposes
a decision between numerous components with simple shapesbut with greater
overall costs, and a single and cheaper cast component with the greater
uncertainty it may entail in delivery.
Returning to the checklist:
Function
In principle, only a minimum number and a clear and consistentcombination of
sub-functionswill be pursued during considerationof the function structure.
Working Principle
In selectingworking principles, only those involving a small number of processes
and components; having obvious validity; and involving low costsare taken into
consideration.
'simpler' in individual casesdependson the problem and the
What constitutes
constralnts.
In the development of the one-handedmixing tap (see 5.9.2) several solution
principles were proposed. One group (Figure 5.90) involved two independent
adjustments in directions tangential to the valve seat face (types of motion:
translation and rotation). The other group (Figure 5.91), though involving only
movements in one direction (normal or tangential to the seat face) required an
additional coupling mechanism to convert the two single adjustments into one
direction of movement. Quite apart from the fact that, in the secondgroup, the
pre-set temperature is often lost when the tap is shut off, all solutions
represented in Figure 5.91 involve a greater design effort than does the first
group. Hence the designer should always begin with a group such as that
depicted in Figure 5.90.
Layout and form design
Here the simplicity rule requires:
- geometrical shapes which can be analysed simply for strength and stiffness;
- symmetrical shapes which provide clearer identification of deformations
during production and under mechanicalor thermal loads.
In many cases,the designer can reduce the work of calculation and experimentation significantly if he tries, by means of a simple design, to facilitate thc
a p p l i c a t i o no f b a s i cm a t h e m a t i c a lp r i n c i p l e s .
Safety
S c c u r r r l c r( r . 3 . 3 .

6 3 Basic rules ol cmboclitncnl dcsrgn

t79

Ergonomics
The man-machine relationship should also be simple and can be significantly
improved by means of:
- sensibleoperating procedures;
- c l e a r p h y s i c a ll a y o u t ; a n d
- easily comprehensiblesignals.
Production and Quality Control
Production and quality control can be simplified, that is speeded up and
improved, if:
- geometrical shapespermit the use of well-established,time-savingmethods;
- the manufacturing methods involve short setting up and waiting times; and
-shapes are chosen to facilitate the inspection process.
Leyer, discussingchangesin manufacturingmethods [6. 119],usesthe example
of a sliding control valve approximately 100mm long to demonstrate how the
replacementof a complicated castingby a brazed product made of geometrically
simple turned parts helped to overcome difficulties and paved the way for more
ecafromicalproduction.
Pursuing his line of approach, we discover that further simplifications are
possible (Figure 6.8). Step 3 helps to simplify the geometrical shape of the
central, tubular part. Step 4 (fewer parts) can be taken when the surfaceareasat
r i g h t a n g l e st o t h e v a l v e a x i s n e e d n o t b e r e t a i n e d .

r e 6 . 8 . S i m p l i f i c a t i o no f a s l i d i n gc o n r r o lv a l v e ( a p p r o x 1 0 0m m l o n g )
[6.l l9].
rleted by steps3 and 4
Castin^gdifficult and expensive;2 Improvement by splitting into simple, brazed, parts;
simplification of central tubular part; 4 Further simpiificati*on
possibility

A f u r t h c r c x i r r r r p l ei s p n l v i c l c cbl y t h e o n e - h a n d e dm i x i n g t a p d i s c u s s e de a r l i e r
c l c s i g no l ' t h c l c v c r i r r r a n g c n r c nst h o w n i n F i g u r c 6 . 9 i s e x p e n s i v et o m a k e
'l'hc
c l i l ' l i c u lt to c l c i r n( s l i t s ,o l l c n r c c c s s c s ) . o n c s l l r w n i n F i g u r e6 . l 0 i s m u c h
r l c r i t l t t l i t l s r tr l l t t r cs t t i t i r l l l cl i r r l r l r t g c rp r r l t l r r c t i r l lrtt r r t s . ' l ' h cl c v c r . w h o s cc n c l
C t t t ts l i t l c i l t l ( l r ( t l i t l ci r t : t c i t t ' t t r t t l c r c r l l i E
i r rl ' ( ) o v cr,' c t p r i r eisr s r r r i r l l crrr r r r r r b cort '

6 Embodiment design

180

Figure6.9

Figure6.10

Figure 6.9. Proposedlever arrangementfor a one-handedmixing tap with translational

and rotational movements
Figure 6.10. Simpler solution with improved embodiment (basedon Schulte)

parts and avoids wear in areas that are difficult to readjust. All in all, therefore,

this solution is by far the better.

6 3 Basic rules ol ernbodiment design

181

F i g u r e6 . 1 1 .A d j u s t a b l e
sealing
r i n go f a n i n d u s t r i aslt e a mt u r b i n e a; d j u s t m e n o
t sn A i n
the samesenseproduceverticalmovement,adjustments
at A in the oppositesense
producea rotationaboutB that approximates
to a horizontalmouement

Operation and maintenance

With respect to operation and maintenance, the simplicity rule means:
- the operation must be possible without special or complicated instructions;
-the sequenceof operations must be clear and simple, and any deviations
or
faults easily identified; and
-maintenance must not be clumsy, laborious and time-consuming.

Assembly and transport

Assembly is simplified, that is facilitated, speeded up, and rendered more
reliable, if:
- the components to be assembledcan be identified easily;
-the assemblyinstructions can be followed easily and quickly;
-no adjustment has to be repeated; and
- reassemblyof previously assembledcomponents is avoided (see 6.5.7).
During assembiy,the sealing ring of a small steam turbine has to be adjusted
vertically and horizontally with the turbine shaft already assembled,to ensure
uniform clearance around the labyrinth seal. Doing this without having to
remove the shaft several times for adjustment poses a problem which may bc
solved by the design shown in Figure 6.11: the adjustment can be made at thc
joint, roiation of the adjustment screws(A) in the same senseproducing vertical
movement only, and rotation in opposite sensesproducing a tilting movemen(
about pivot (B) that approximates to horizontal movement. The pivot itsell
must, however, allow for vertical movement during the adjustment and also for
radial heat expansionwhen the turbine is operating. l'his is achicvcclwith a fcw
of simplc shal'rc. A suititlllc ilrrilngclncnt tlf lltc
easily produ."d
"1"-"nts
s u r f a c e s ,m o r e o v e r , g l ' r v i a t c st h c n c c t l t ( ) s c c u r c l h c p i v o t p i n w i t h i t c l c l i t i o n i t l
l o c k i n g c l c r r r c n l s :i t i s l o c i r t c r li n s r r c l ti r w r t y l l t t t l i t c t l n t t o tI ' i t l lr l t l t .

6.3.3 Safety
I Type and scope of safety techniques
fety considerationsaffect both the reliable fulfilment of technical functions
also the protection of man and the environment. The designerhas recourse

safetytechniquesthat, following16.43],may be classified

as:
direct;
indirect;or
warning.
In general, the designer should try to guarantee safety by the direct method,

t is by choosinga solutionthat precludesdangerfrom the outset.only when

proves impossible should he have recourse to indirect safety methods, in

er words,constructspecialprotectivesystems(see6.3.3.3)[6.44].Warning

y systems, which merely point out dangers and indicate danger areas,
ld be avoided by the designer and should only be used as a last resort and
vcr ils a shortcut,
I n t h c s o l u t i o n o f r r t c c h n i c a lp r < l b l c r r t ,t h c c n g i n c c r i s l ' a c c d w i t h s e v e r a l
c o n s t r i l i n t sn. o t i r l l o l ' w h i c h c i r r rI t c l t o p c l ( ) ( ) v c r c o l l l cs i r n u l t i r n c < l u s l y .
I l c r t r u s t r r c v c r t h c l c s ss t r i v c t o p r o v i d c I t o l u l i o n l l t i r l c o r n c s l l c i l r c s t l o

t82

6 Embodiment design

satisfying all the requirements. A single constraint may, under certain circumstances,put the realisation of the whole project in doubt.
Thus a high demand for safety can greatly complicate a design and, by
reducing the clarity, may even lower the inherent safety of the product.
Moreover, safety provisions may also render a product uneconomic and lead to
its abandonment.
Such cases,however, are exceptional becausesafety and economy generally
go hand in hand. This is particularly true of expensive and complex plant and
machines. Only smooth, accident-freeand safe operation can ensure long-term
Protection againstaccidentsor damage,moreover' goeshand
economic Success.
in hand with reliability [6.48, 6.226] which makes it possible to operate a
machine to full capacity, even though lack of reliability does not necessarilylead
to accidentsor damage. A11in all it is therefore advisableto achieve safety by
treating direct methods as an integral part of the system.
There are four special categoriesof safety technology, namely:
l. Component safety, which concerns the protection of components against
fracture, inadmissible deformation, instability etc. The durability of a component under given loads over a fixed time must be consideredin connection with
the materials and manufacturing method used.
2. Functional safety, which concerns the safe operation and reliability of plant
or machines designed for specific tasks by the appropriate combination of
assemblies and components. It involves the avoidance of dangerous and
economically undesirable operating conditions.
3. Operator safety concerns the safety of human beings, that is the protection
of their physical and mental health while operating the plant or machine.
4. Environmental safety concerns the safety of human beings not directly
involved in operating the plant or machine and the protection of the environment against harmful effects. Becauseof the growth of technology and populations, this category has become one of acute importance.
For the designer, all four categoriesare intimately connected.Thus, component safety influences functional safety and operator safety. Functional safety
may, under certain circumstances,affect component safety, and, in the case of
damage, all can endangerman and his environment in many ways. Therefore the
designer should pay equal heed to all four categories[6'158].
2 Direct safety PrinciPles
Direct safety methods aim at achieving safety through systems or components
directly involved in the perforrlance of a particular task'
To ensure the safe functioning and durability of components, designerscan
a d o p t o n e o f s e v e r a ls a f e t y p r i n c i p l e s[ 6 . 1 - 5 8 1B. a s i c a l l y ,t h e r e a r e t h r e e s u c h
principles, namely:
- t h e s a f e - l i f ep r i n c i p l c ;
- t h c f i t i l - s a l cp r i n c i p l c :i r r l c l
- - t h c r c t l r t r t r l i t r t lcl vr i t t c i p l c .

6 3 Basic rules of ernbodimelrtclesign

183

The safe-life principle demands that all components and their connections be
constructed in such a way as to allow them to operate without breakdown or
malfunction throughout their anticipated life.
This is ensured by:
- the clear specification of the operating conditions and envilonmental factors,
such as the anticipated loads, service life etc;
\
-adequately safe embodiment based on proven principles and calculations;
- numerous and thorough inspectionsduring production and assembly;
- the analysisof components or systemsto determine their durability when they
are overloaded (load levels and/or running time) or subjected to adverse
environmental influences; and
-the determination of the limits of safe operation, due regard being paid to
possible breakdowns.
It is characteristicof this principle that it basessafety exclusivelyon accurate
qualitative and quantitative knowledge of all the influences at work or on the
determination of the limits of failure-free operation.
The application of this principle calls for a great deal of experience, or for
costly and time-consumingpreliminary investigations,and for continuousmonitoring of the state of components. If a failure should neverthelessoccur, and if a
safe life is essential.then as a rule there will be a seriousaccident. for instance
the fracture of an aeroplane wing or the collapse of a bridge.
The fail-safe principle allows for the failure of a system function or for a
component fracture during the service life by ensuring that no grave consequences ensue. To that end:
-a
function or capacity, however small, must be preserved to prevent
dangerousconditions;
- a restricted function must be fulfilled by the failing component or by some
other component until such time as the plant or machine can be put out of
operation without danger;
-the failure or breakdown must be identifiable; and
- the effect of the failing component on the overall safety of the system must be
assessable.
In essence,the impairment of a main function must be signalled. The signal
can take various forms-increasing vibrations, loss of sealing, loss of power,
slowing down-each without causing immediate danger. In addition, special
monitoring systems may be provided to indicate the incipient failure to the
operator. Their layout should be governed by the general principles of protective systems.
The fail-safe principle presupposesknowledge of the consequencesof failure
and provides a means for taking over the impaired function.
By way of example, let us consider a spherical rubber element in an elastic
c o u p l i n g ( F i g u r c 6 . l 2 ) . T h e f i r s t v i s i b l cc r a c k a p p e a r so n t h e o u t e r l a y e r b u t t h e
f u r t c t i r l ni s n o t y c t i r n p a i r e c l( S t i r t c l ) . O n l y w h c n t h c n u m b e r o f r e v o l u t i o n s
u t r d c r l o i r c li s i n c r c i r s c r cl k l c st h c s t i l l r t c s sl r c F , i rtto r l c c r c i r s cw i t h a c i l n s c c l u c n l
l l t l r c c o r r p l i r r gw. l r i e hn l r n i l ' c s l si t s c l l ' ,l o r i n s t i r n c cb. y i r
c l u r n g ci n t h c b c h i r v i o r r o

(r Ernbodinreut
design

184

_ 1st crack

-l
^'

@40mm

185

without loss of essential information. Redundancy is often used delitrerately to

allow for transmissionlosses,and hence to safeguardthe system [6.69].
Redundant safety arrangements lead to an increase in safety, provided that
the breakdown of a particular element of the system is not dangerous in itself
and that other elements, arranged in parallel or in series, can take over its
function fully or at least in part.

to : 30l/s

6 3 Basic rulesof ernbodiment design

rqo

State
@

1stcrack
layer
at edgeof rubber

r 50 0 0
N
^
I

lTlfi'l

- 1 00 0 0

Figure6.13.Fastening
of components:
coveringof the boltedconnectionmaintains
functionandpreventsbrokenpartsmigratingin the eventof bolt failure

s000

Noofrevsunder
Load
against
andstiffness
Figure6.12.Fail-safe
behaviourof an elasticcoupling:crack-state
n u m b e ro f r e v o l u t i o n s

lowering of the critical speed (State 2). With further operation, the crack grows
larger and causesthe stiffnessto decreasestill further (State 3), but even if the
crack went right through, there would not be complete failure of the coupling.
No sudden effect with serious consequencesneed therefore be feared.
Another example is the behaviour of flange bolts made of tough material
which, on overloading, relax. Their impaired function is indicated by the
resulting loss in flange sealing but does not give rise to sudden failure.
Figure 6.13 illustratestwo safe methods of fastening components.The means
of attachment should be so designed that, even if the bolts begin to fail, the
mountings remain in place, no broken parts can migrate and the equipment
continues to function to some extent [6.154].
T h e r e d u n d a n c yp r i n c i p l e p r o v i d e s a n o t h c r n l c i r n s o l ' i n c r c a s i r t gb o t h t h c
s a f e t y a n d t h e r e l i a b i l i t yo f s y s t c n r s .
I n c o m m o n u s a g c , r c c l u n c l a n c yn l c i l n s s t r p c r l l u i l y( ) r c x c c s s .l t t i t t l i r r n t i t t i o t t
t h c o r y , r c c l u n r l i r n cryc l er s t o t h i r l l ' r i r c l i o rot l u l n c r t u g c w h i c l t t t t i r yb c c l i l t t i n i t t c t l

The provision of several engines in aeroplanes, of multistrand cable for a

high-voltage transmission line, and of parallel supply lines or generators, all
ensure that, should a particular element break down, the function is not
completefy impaired. In that case, we speak of active redundancy, becauseall
the components are actively involved. Partial breakdownslead to a corresponding reduction in performance.
If reserve elements (for instance alternative boiler feed pumps)-usually of
the same type and size-are provided and put into operation during breakdowns, then we speak of passive redundancy.
If a multiple arrangement is to be equal in function but different in working
principle, then we have principle redundancy.
Depending on the situation, safety-enhancingelements can be arranged in
parallef (parallel redundancy), for instance emergency oil pumps, or in series
(seriesredundancy), for instance filter installations. In many cases,layouts in
parallel or serieswill not suffice and crossoverlinks will have to be introduced to
guaranteetransmissiondespitethe breakdown of severalelements(Figure 6.14).
In a number of monitoring systems, signals are collected in parallel and
c<rmparcd with one another. Selectiveredundancy (two out of three) and
utmpurative rcdundancy arrangementsare shown in Figure 6.14.
l i , c c l t t n c l i t n cl iyt y o u t sc a n n o t , h o w c v c r , r c p l a c c t h c s a f e - l i f eo r f a i l - s a f ep r i n c i p l c s , ' l ' w oc i t b l cc i t r so l t c r i r l i n gi n l l i r r i r l l cwl i l l . l d r r r i t t c c l l yi n
, c r c a s ct h c r c l i a b i l i t y
l t c o r t t r i l ) u l cn r l l h i r t gt o l h c l ) i l s s c n g c r s ' s i r l c t y . ' l ' h c
t t l p i r s s c l t g c t ' t r i t t t s p.r lbr u

6 Embodiment dcsign

186

6 3 B a s i c r u l e s o f e m b o d i n . r e n td e s i s n

r87

Noredundancy

Paral
lel-redundancy

Series-redundancy
Plant
redundancY
Selective
(2 outof 3)
0uartet-redundancY

-f-l
U-I

0uartet-crossredundancy
redundancy
Principle
in parallel:
prtnciple
working
of A differslromB

ollil signals
Switch
or
dilterent
signat
Yjusione
indicates
critical
i condltion
Plant
redundancY
Comparative

t --ii.^
Fr

Figure6.14.Redundantarrangements

redundant layout of aeroplane engines will not increase safety if any of the
engines has a tendency to explode and hence to endanger the system.
In short, an increasein safety can only be guaranteedif the redundant element
satisfies the safe-life or the fail-safe principles.
Adherence to all the principles we have mentioned-that is the attainment of
safety in general-is greatly facilitated by the principle of the division of tasks
(see6.4.2) and by the two basic rules of clarity and simplicity, as we shall now try
to show with the help of an example.
The principle of the division of tasks and the clarity rule have been applied
with great consistencyto the construction of a helicopter rotor head (Figure
6.15), and help the designer to come up with a particularly safe construction
based on the safe-life principle. All four rotor blades exert a radial force on the
rotor head due to the centrifugal inertia forces, and a bending moment due to
the aerodynamic loading. The rotor blades must also be able to swivel so that
their angles of incidence can be changed.A high safety level is achieved by thc
following measures:
- A completely symmetrical layout so that the external bending moments and
the radial forces at the rotor head cancel out.
- The radial forces are transmitted exclusively by the tr:rsionally flexiblc
member Z to the main central component.
- T h e b e n d i n g m o m e n t i s o n l y t r a n s m i t t c ctl h r o u g h p a r t / l a n c li s t i t k c n b y t h c
r o l l e r b e a r i n g si n t h c r o t o r h c a c l ,
As a rcsult. cvcry corrrp()ncnlciln bc optimally dcsigncdin itccortlittrccwitlt ils

gure 6 15. Rotor-btade attachment of a helicopter basedon the principte of the division
tasks (Messerschmitt-Bolkowsystem)

k. Complicatedjoints and shapes are avoided and a high safety level is

tained.
Indirect safety principles
irect safety methods involve the use of special protective systems and
ive equipment. They are applied whenever direct safety methods prove
adequate. In what follows, we shall be consideringprotective systemsonlya discussionof protective equipment, that is equipment to shield danger

(for instance,machineguards),the readeris referredto $.aa].

ve Systems
tective systems serve either to render endangered plant or machinery
ically safe, which generally means putting it out of action or restricting
flow of energy or material; or to prevent any plant or machinery in a
ngerous state from being put into operation.
Very often, direct and indirect safety methods are inseparable.Thus, control

regulation systemsare not protective systemsas such, but often make

:llent first monitors(primaryprotection)in a safetychain.In that case,the
trol and regulation systemsmust embody certain propertiesof protective
ms.
The properties of protective systems should, in principle, be used in all
ms, provided that they can be incorporated without unacceptableextra cost

t2'7\.
In the layout of protective systcms,thc ftlllowing requirementsmust be taken
to consiclcrrtti<ltt:

'aning
rrc it pr()lcclivcsystcrnpttxlttccschllnfcf in the wtlrking conditionsol' a

188

6 Embodiment design

plant, a warning must be given so that the operating or supervisingstaff can, if

not eliminate the source of the danger, at least take the necessarycountermeasures. Surprise effects should be avoided as far as possible. If a protective
system stops or prevents the operation of the plant, it ought to indicate the
reason.
Self-Monitoring
A protective system must be self-monitoring, that is, it must not only be
triggered when the system breaks down, but also by faults of its own. This
requirement is best satisfied by the closed circuit principle because, with it, the
energy needed for activating the safety device is stored and any disturbance of,
or fault in, the protective system will releasethat energy and switch off the plant
or machinery. The closed circuit principle can be used not only in electronic
protective systemsbut also in systemsusing other types of,energy.
In a hydraulic protective system based on the closed circuit principle (Figure
6.16), a pump .1 with a pressure-regulatingvalve 2 ensures a constant prepressure pp. The protective system with the pressure p, is connected to the
pre-pressure system by means of an orifice 3. Under normal conditions, all
outlets are closed, so that the quick-action stop valve 4 is held open by the
pressurep, to admit the energy supply of the machine. In case of a faulty axial
shaft position, the piston valve 5 at the end of the shaft opens, the pressurep,
drops, and further energy supplies are cut off by the quick-action stop valve 4.
The same effect is produced by damageto the pre-pressureor protective system,

F i g u r e6 . 1 6 .H y d r a u l i c p r o t e c t i o n
systemto prevent incorrect axial
shaft positionsbasedon the closed
circuit principle
Figure 6.i7. Safetyfence contact
layout: (a) not self-rnonitoringif
s p r i n gf a i l s l ( b ) e v c n i n t l ' r cc a s co 1 '
s p r i n gl ' : r i l r r rtch c c o r t t i r c its
b r o k c nb y o w n w c i g l r t l( c ) c i r c t r i t
c l o s c t bl v l r r rr r rl i t

6 3 Basic rulcs of ernbodiment dcsign

I fi()

for example by pipe fracture, lack of oil or pump failure. The system is
self-monitoring.
Figure 6.17 shows layouts of safety fence contacts,for example for a machine
guard. closed contacts signal safety fence in position. In layout a, failure of the
spring would close the contacts and give an incorrect signal. Layouts b and c
solve this problem in two different ways.
Multiple, multi-principle and independentprotective systems
If human life may be endangeredor if large-scaledamagehas to be averted, then
multiple (at least double) protective systemsbased on different principles and
independent of each other (primary and secondaryprotection) must be used.
Because a single protective system may break down, its mere doubling or
replication ensures greater safety: it is unlikely that all the systemswill fail at
once. This is, however, only true provided that the replicatedprotective systems
do not all fail due to a common fault. Safety is considerably increasedif the
double or multiple systems work independently of one another and are,
moreover, based on different working principles. In that case?common faults,
for instance due to corrosion, will not have catastrophic consequences:the
simultaneousbreakdown of all such systemsis highly improbable.
This requirement is met in the control of steam turbines for example (Figure
6.18). In the case of overspeeding,the energy supply is cut off by two systems
differing in principle. Increases in speed first bring in the regulating system
whose speed measurement and regulating valve are independent of, and
different in principle from, the quick-action shut-off system. (The simultaneous
hydraulic supply on the closed circuit principle is permissiblebecauseit involves
a common self-monitoring effect in that pump failure closesboth valves.) The
triggering values are staggered so that the regulating system is brought into
operation first and only if it should fail is the quick-action system activated.
Figure 6.19 depicts two methods of guarding againstexcesspressurebuild-up
in a pressure vessel. Mere doubling of the protective system would not help
against common faults, for instance against corrosion, use of wrong materials
etc. The use of two different working principles makes simultaneous breakdowns more unlikely.
It ought to be remembered that, in protective systems, the simultaneous
occurrence of different types of redundancy is possible or even necessary(for
example in parallel and principle redundancy: Figures 6.18 and 6.19).
4 Designing for safety
Here, too, the checklist (Figure 6.2) can prove a great help. Safety criteria must
be scrutinisedin respect of all the headings listed.
Func:tiotrand wnrking principle

l)it(l

I t i s i r r t p o r t a n tt o c s t a b l i s hw h e t h e r o r n o t t h e f u n c t i o n i s f u l f i l l e d s a f e l y a n d
rcliirlrly lry thc choscttsoltttion. Likcly fatlts irntldisntrbin14
I'actorsmust be taken
i n i r l r r c c o u t t itt s w c l l . l t i s t t o t i r l w i r y sc l c r r r . l t o w c v c r , t ( ) w h i r t c x t c n t i r l l < l w a n c c

( r E r n b o c l i m e n td c s i g n

190

6 3 Basic rules of ernbodimcnt design

191

case of new techniques and their application. It has been argued that technical
risks must be no greater than the risks man must expect from natural causes
should,
t6.921.However, this must be a matter for discretion. The final decision
in any case, reflect a responsible attitude towards mankind.

F i g u r e6 . 1 8 D o u b l e - P r i n c i P l e
closed-circuitprotectivesystem
,
againstoverspending
I e

Doubling
0

Figure 6.19 Protectivesystetnagainst

excessivepressurebuild up in pressure
working vessels:(a) two safetyvalves(not safe
different
p n n c r p l e s againstcommon faults);
(b) safetyvalve and shearplate, double
0
principle protective system

must be made for exceptional, purely hypothetical, circumstancesthat could

affect the function.
The correct estimation of the scope and likelihood of a risk should be based on
the successivenegation of each of the functions to be fulfilled and on the analysis
of the likely consequences(see 6.6). Sabotageneed not necessarilybe considered in this context, although general safety methods are likely to decreaseits
effects.
What we have to consider first and foremost are failures due to possible
disturbancesof the structure, operation and environment of a machine, and
what preventive stepsshould be taken. Harmful effectsnot due to technological
factors (such as operator ignorance) cannot be eliminated by technical systems
but must be considered and if possible limited.
A further question is whether the direct safety technique we have been
discussingis adequate, or whether safety should be increased by additional
protective systems.Finally, we might also ask whether, should it be impossiblc
t o m a k e a c l c q u a t es a f e t yp r o v i s i o n si n a p a r t i c u l a rc a s c ,t h e w h o l e p r o j e c t s h o u l t l
bc al'rancklnccl.
'f'ltc:tnswcr
l u r sb < ' < ' rutt t u i n e r l ,t l n t h c
c l c p c n c l so n t h c d e g r c ct t l
" ; u . l t ' t . tlln(l
' t l t u ()ll
t lhc rttrrgrrilrrdctt.l tlrt
pntbultilitl,tll'tttrltrevarttultlatlttrtrttliattr u<"<'iilt'tt,
1 r o . r l ; i l t<l a' ( n t . \ ( ( l u ( , t t ' t(, )r l.l j c c t i v c s t i u l ( l n f ( l rt r c ( l l : l c nl n c k i n g .p r r r t i c t t l i r r l ivr t t l t c

Layout and form design

External loads produce stressesin components. By analysiswe determine their
magnitude and frequency (steadyand/or alternating loads). The various types of
stressproduced can be determined by calculation or experiment.
Materials technology provides the designer with limiting values of stressfor
particular conditions (tension, compression, bending, shear and torsion),
beyond which the material will fail. Since these valuesare usually obtained from
tests on specimensand not from tests on the component itself, the stressesto
which the latter is subjected should be kept well within the limits if adequate
durability is to be guaranteed.
The ratio of the limiting stresso1 of the material to the acceptableworking
stress oyu'in the component is called the safety factor, SF : oyloy.
The value of the safety factor dependson uncertaintiesin the determinationof
the limiting stress,on uncertaintiesin the load assumptions,on the calculation
method, on the manufacturing processesused, on the (uncertain) influence of
shape, size and environment, and also on the probability and importance of
possible failures.
The determination of safety factors still lacks generally valid criteria. An
investigation by the authors has shown that published recommended safety
factors cannot be classifiedby type of product, branch of engineering or such
other criteria as toughnessof material, size of component, probability of failure
etc. Tradition, figures based on one-off and often inadequately explained
failures, hunches and experiencesare often the basis of numerical data from
which no generally valid statementscan be derived.
What figures are given in the literature must therefore be treated with
circumspection.Their application usually calls for knowledge of the individual
circumstances and of the special practices or regulations of the branch of
engineering in question.
Toughness, that is the ability to undergo plastic deformation before failure
and thus relieve stress concentrationscaused by unevenly distributed loads, is
one of the most important safety features any material can have. The usual
overspeedspinning tests of rotors with the correspondinglyhigh stressesthey set
up, and also the required overpressuretests of pressurevessels-provided that
they are built of tough materials-are good examples of the direct safety
technique aimed at reducing stressconcentrationsin finished components.
Becausetoughnessis a crucial safety-enhancingproperty of materials, it is not
c n o u g h s i r n p l yt o a i m a t g r e a t e ry i e l d s t r e n g t h .S i n c e ,i n g e n e r a l ,t h e t o u g h n e s s
g l ' r r r l l c r i i r l s c l c c r c a s e sw i t h i n c r e a s i n gy i e l d s t r e n g t h ,i t i s e s s e n t i a lt o e n s u r e
, l t h c r w i s ct h c b c t t c l i t s< l t ' p l t r s t iccl c f o r m t t t i o nt l r c n o l t l n g c r
n r i n i r r r r r rtror u g h n c s s <
S u i r r i u l i c c (. l

t92

6 Ernbodiment desrgn

Dangerous too are those casesin which the material turns brittle with time or
for other reasons (for instance, due to radiation, corrosion, heat, or surface
coatings). This is particularly true of synthetic materials.
If the safety of a component is calculated merely by the difference between the
computed stressand the maximum permissiblestress,a vital point is missed.
Of the utmost importance is the loading condition and the effect on the
properties of the material due to aging, heat, radiation, weathering, operating
conditions and manufacturing processes,for instance welding and heat treatment. Residual stresses must not be underestimated either: brittle (fast)
fractures without plastic deformation can occur suddenly and without warning.
The avoidance of a build-up of additive stresses,of brittle materials, and of
manufacturing processesthat encourage brittle fractures, is therefore an essential requirement of the direct safety technique.
If plastic deformation is monitored at a critical point, or can be used to impede
the function in such a way that the danger can be noticed before man or
machines are endangered,it becomes a fail-safe device [6.154].
Elastic deformationr must not be allowed to disturb the smooth functioning of
a machine, for instance through loss of clearance. If this happens the force
transmissionpaths or the expansionscan no longer be determined with certainty
and overloading or fracture may ensue. This is true of stationaryno less than of
m o v i n g p a r t s ( s e e6 . 4 . 1 ) .
By stability we refer not only to the basic stability of a machine but also to its
stable operation. Disturbancesshould be counteractedby stabilisingeffects,that
is by automatic return to the initial or normal position. The designermust ensure
that neutral equilibrium or potentially unstable statesdo not lead to a build-up
of disturbancesthat might get out of control (see 6.4.4).
Resonancesproduce increasedstressesthat cannot be accuratelydetermined.
They must be avoided unless the vibrations can be sufficiently damped. This
applies not only to the stability problem, but also to such associatedphenomena
as noise and vibration which impair the operator's efficiency and health.
Thermal expansionmust be taken into account under all operating conditions
if overloading and impairment of the function are to be avoided (see 6.5.2).
Inefficient seals are a common causeof breakdown or trouble. Careful choice
of seals, provision for pressure relief at critical sealing points and careful
attention to fluid dynamics help to overcome these problems.
Wear and the resulting particles can also impede operational safety, and must
therefore be kept within tolerable limits. In particular, the designer should
ensure that such particles do not damage or interfere with other components.
They should be removed as near as possibleto their point of origin.
Uniform coruosion reduces the designed thickness of components and local
c o r r o s i o n ,p a r t i c u l a r l yo f c o m p o n e n t ss u b j e c tt o c l y n a m i cl o a d i n g ,m a y a p p r e c i a b l y i n c r c a s c t h c s t r c s s c o n c c n t r i r t i < l ri r n t l l c i r d t < l l ' i r s t l l ' a c t u r e sw i t h l i t t l c
'l'ltcrc
clclilrttrirti<lrt.
i s n o s u c h t l t i r t gi r sl ) c r t n i l l l c l l is l i r l ) i l i t yu n c l c rc < l r r o s i o n - t h c
l < l r r t lc i r l ' l i t c i t yo l c o r r r p o n c n t st l c c r c l s c s w i l l t l i n t c , l f o t l r r u r i l ' < l r r ri r r r r l k l c a l
c r l r r o s i t l n( c i r r r s c se. l l e c t s t r r r t l l c r r r c t l i c r )t r r c d c n l t w i t h i l r 6 . 5 , 4 . l i i n i r l l y .

6 3 Basic rules ol embodiment design

193

corrosion products can impede the functioning of machines, for instance by

jamming valve spindles, control mechanismsetc.
Ergonomics
The application of ergonomic principles to industrial safety involves the careful
scrutiny of safety at work and of the man-machine relationship. A great many
b o o k s a n d p a p e r s h a v e b e e n d e v o t e dt o t h i s s u b j e c t[ 6 . 2 6 , 6 . 4 6 , 6 . 7 3 4 , 6 . 1 6 3 ,
6.195]. In addition [6.43] specifies the basic requirements of general safety
design, and [6.44] deals with protective equipment. Regulations by various
professionalbodies, factory inspectoratesetc must be scrupulouslyobservedin
all branchesof engineering, and so must a great deal of speciallegislation [6.68].
In a book of this kind it is impossible to examine every aspect of industrial
safety, but operator ignorance and fatigue are two factors that should alwaysbe
taken into consideration. For that reason alone, machinesmust be designedon
ergonomic principles (see 6.5.1). Tables 6.1 and 6.2 list the minimum requirements for safe industrial desisn.

with varioustypesof energy.

Table6.1. Harmfuleffectsassociated
Mechanical
Acoustic
Hydraulic
Pneumatic
Electrical
Optical
Thermal
Chemical
Radioactive

Relative movement of man and machine,

mechanicalvibrations. dust
Noise
Jets of liquid
Jets of gas, pressure waves
Passageof current through body,
electrostatic discharges
Dazzle, ultra-violet radiation, arcs
Hot/cold parts, radiation, inflammation
Acids, alkalis, poisons, gases,vapours
Nuclear radiation, X-rays

Table 6.2. Minimum industrial safety requirements in mechanicaldevices

Protectiveequipmentregardlessof the operational speedis required:
- for gear, belt, chain and rope drives
- for all rotating parts longer than 50 mm, even if they are completely smooth
- for all couplings
- in case of danger from flying parts
- for potential traps (slides coming up against stops; components pushing, or rotating
against, each other); descendingcomponents (weights, counter-weights)
- for slots. for example, at material inputs. The gap between parts must not exceed
[i mm; in the case of rollers, the geometrical relationship must be examined and, if
ncccssary,special guards must be installed.
Iilectricul inttullution nrust always be planned in collaboration with electrical experts. In
thc cirsc ttl uctttt,;ti<
, cltctttiutl itntl nttliout li lc rlitttgct, cxllcrt itclviccntust bc sought for
t h c r c t l u i s i t cl ) l o t c c t i o n .

194

6 Embodiment design

Production and quality control

Components must be designed in such a way that their qualities are maintained
during production. To that end special quality controls must be instituted, if
necessaryby specialregulations. The designermust help to avoid the emergence
of dangerous weak spots in the course of manufacturing processes(see 6.3.1,
6.3.2 and6.5.6).
Assembly and transport
The loads to which the product will be subjected during assemblyand transport
must be taken into consideration at the embodiment design stage. Welds curiied
out during assembly must be tested and, where necessary,heat treated. All
major assemblyprocessesshould, whenever possible,tre concludedby functional checks.
Firm basesand support points should alwaysbe provided and marked clearly.
The weights of parts heavier than 100kg should be marked where they can be
seen easily. If frequent dismantling is called for, the appropriate lifting points
must be incorporated. Suitable handling points must be provided for transport
and marked clearly.
Operation
operation and handling must be safe [6.43,6.44]. The failure of any automatic
device must be indicated at once so that the requisite actions can be taken.
Maintenance
Maintenance and repair work must only be undertaken when the machine is shut
down. Particular care is needed with assemblyor adjusting tools. Safety switches
must ensure that the machinery is not started unintentionally. Centrally placed,
easily accessibleand simple service and adjustment points should be provided.
During inspection or repair, safe accessshould be possiblethrough the provision
of handrails, steps, non-slip surfacesetc.
Costs and schedules
Cost and schedulerequirements must not affect safety. Cost limits and delivery
dates are ensured by careful planning, and by implementing the correcr concepts
and methods, not by cutting corners. The consequencesof accidentsand failuies
are generally much greater and graver than the effort needed to prevent them.

6.4 Principles of embodimentdesign

The generalprinciplesof embodimentdesignhave been discussedat some
lengthin the literature.Kesselring[6.9tt]hasset out the principlesof minimum
manufacturing
costs,minimumspacerequiremenltr
minimumweight,minimum
losses,and optimumhandling(t,2.1). Lcycr 16.l20ldiccusses
thc principleof

{ r 4 P r i n c i p l e so I e m b o d i m e n td e s i g n

195

lightweight construction. It is obviously neither possible nor desirable that all

these principles should be implemented in every technical solution-one of them
might be crucial, the rest merely desirable. Which principle must predominate in
a given case can only be deduced from the task and the company's general
objectives. By proceeding systematically, elaborating a specification, abstracting
to identify the crux of the problem, and also by following the checklist given in
4.2.2, the designer transforms the principles into a concrete proposal that
enables him to determine the manufacturing costs, spacerequirements, weights,
etc, and to compare these with the requirements in the specification.
The systematic approach also highlights the question of how, with a given
problem and a fixed solution principle, a function can be best fulfilled and by
what type of function carrier. Embodiment design principles facilitate this part
of the design process.In particular, they help with Steps3 and 4, but also with
Steps 7 to 9 as listed in 6.1 above.
For the relatively common task of transmitting forces or moments, it seems
'principles of force transmission'.
advisable to establishspecial
Tasks requiring changes in the type or variations in the magnitude of a force
are primarily fulfilled by the appropriate physical effects, but the designer must
also apply the 'principle of minimum losses' [6.98] for energy-conservationor
economic reasons,which he does by adopting a small number of highly efficient
steps. This principle also applies to the efficient conversion of one type of energy
into another, whenever this should be required. In that casethe designproblem,
in terms of generally valid functions, reduces essentially to one of channelling,
connecting and storing.
Energy storage problems involve the accumulation of potential and kinetic
energy, be it directly or indirectly through the collection of material. The
storage of energy, however, raisesthe question of the stability of the system,
and the consequent application of the 'principles of stability and planned
instability'.
Often, several functions have to be fulfilled by one or several function
carriers. Here the 'principle of the division of tasks' may be useful to the
designer. Its application involves a careful analysis of the functions and their
assignment to function carriers. This analysis of functions is also helpful for the
application of the'principle of self-help', when supplementaryeffects must be
identified and exploited.
In applying embodiment design principles, the designer may find that they run
counter to certain requirements. Thus the principle of uniform strength may
conflict with the demand for minimum costs. Again, the principle of self-help
may conflict with fail-safebehaviour (6.3.3), the principle of equal wall thickness
chosen for the purpose of simplifying the manufacturing process [6.118] may
conflict with the demand for lightweight construction, and so on.
These principles represent many strategies that are only applicable under
certain conditions. In using them, the designer must strike a balance between
compcting demands.To that end, the present authors have developedwhat they
c o n s i d c r t o b e i m p o r t a n t e m b o d i m e n t d c s i g n p r i n c i p l e s ,w h i c h w i l l n o w b e

t96

6 Embodiment design

presented. Most are based on energy-flow considerationsand, by analogy, they

apply equally well to the flow of material and of signals.

6.4.1 Principlesof force transmission

I Flowlines of force and the principle of uniform strength
The problems solved in mechanical engineering generally involve forces and/or
motions and their connection, change,variation or channelling,and involve the
conversion of energy, material and signals. The generally applicable function
'channel
forces' includes the application of loads to, the transfer of forces
between, and the transmissionof forces through componentsand devices [6.18,
6.27, 6.118).
In general, the designerwill try to avoid all sudden changesof direction in the
flowlines of force, that is force transmission path, caused by sharp deflections
'flowlines of force' aids the
and abrupt changes of cross section. The idea of
visualisationof the force-transmissionpath (load path) through componentsand
devices, and is analogousto flowlines in fluid mechanics.
Leyer [6.118,6.I20) has dealt with the transmissionof forces at some length,
so that we can dispensewith a detailed discussionof the problem. The designer
is advised to consult these important texts. Leyer, moreover, emphasisesthe
complex interaction between the functional, technological and production
aspects.
'Force transmission' must be understood in a broad sense, that is, it must
include the application, transfer and transmission of bending and twisting
moments.
The external loads applied to a component produce axial and transverse forces
plus bending and twisting movements at every section. These set up stresses,
direct and shear, and produce longitudinal, lateral (Poisson) and shear strains
(elastic or plastic deformations).
'mental
The section dimensions transmitting the forces are obtained by
dissection' of the components at the point under consideration.
The sum of the stresses over these sections produces internal forces and
moments which must be in equilibrium with the external loads.
The stresses, determined from the section dimensions, are then compared
with the material properties of tensile strength, yield strength, fatigue strength,
creep strength etc, due regard being paid to streJJconcentrations,surface finish
and size effects.
The principle of uniform strength 16.7,6.2051aims, with the help of appropriate materials and shapes, to achieve uniform strength throughout the device
over its anticipated operational life. Like the principle of lightweight construction [6.120], it should be applied whenever economic circumstancesallow.
This important consideration often misleadsthe designer into neglecting thc
deformations (strains) associatedwith the strcsscs.It is, however, thcse very
deformations that often throw light tln thc bchaviour of comprlncntsand tcll us
what wc ncccl to know about thcir functionul cfflciency.

6 . l P r i n c i p l e so f e m b o d i r n e n t d e s i g n

r97

2 Principle of direct and short force transmission path

In agreement with Leyer
[6.11g] we consider the following principle of great
importance:
If a force or moment is to be transmitted from
one place to another with the
minimum possible deformation, then the shortest
and most direct torcetransmission path is the best.
This principle ensures:
-minimum use of materials
(volume, weight); and
- minimum deformation.
This is.particularly.true if it is possible to solve
a problem using tensire or
compressivestressesalone, becausethese stresses,
unlike bending and torsional
stresses,produce smalrer deformations. when
a component is in compression,
however, speciarattention must be paid to the
danger of buckling.
If, on the other hand, we require a flexibre
component capableof consid.erabre
elastic deformation, then a design using bending
o, torrionir ,rr"rirris generally
the more economical.
The principte is illustrated in Figure 6.2o-the
mounting of a machine frame
on a concrete foundation-where different
requirements Jemand supports with
different stiffnesses-This, in turn, has
repercussionson the operationar be-

6.20.,Supportinga machine frame on

a concrerefbundation:
,I\ry1::
t]cid supporr due to short force transmissron
path and low stresson the
l1l^i:ly
Daseplates:
(b) longer force transmissionpath,
but still a rigid support with tubes or
box sections
undercompression:

supportwirh pronounced
bendingdeformati
r o n ( a s tiffer
i
I:]..1:..s
constructionwould
l n v o t v e:l,tU
rg r c a t e r
u s eo f m a t e r i a l s ) ;

supnort
underbendins
srresscs:
11] :1:l*lj,.l,iblc

rhcroacr
intorsion.
rhiscan
be
uscrllilr irltcringthc ics.rrrancc
[,:l,l;il,ll;:;l]:;:ry::1,:::.'.*
l,:i:l;l,ilr,i.li''r'',,,'*n'its
char.ircic,risliris

198

6 Ernbodiment design

haviour of the machine: different natural and resonant frequencies, modified

response to additional loads etc. The more rigid solutions are obtained with
minimum material and space requirements by means of a short support under
compression; the most flexible solution by means of a spring, which transmits
the force in torsion. If we look at other design solutions, we shall find many
examples of the same principle: for example, in the torsion bar springs of motor
cars or in flexible pipes that rely on bending or torsional deformations.
The choice of means thus depends primarily on the nature of the task-that is
on whether the force transmission path must be designed for stability with
maximum stiffness, or whether certain force-deformation relationships must be
satisfied first and stability can be treated as a subsidiary problem.
If the yietd point is exceeded, then the following facts have to be taken into
consideration (see Figure 6.21):
1. When a component is loaded by a force, it is invariably subjected to
deformation. If the yield point is exceeded,then the linear-elasticrelationship

199

6 4 P r i n c i p l e s o f e r n b o d i m en t d e s i g n

3 Principle of matched deformations

Designs matched to the flowlines of force avoid sharp deflections of the
transmission path and sudden changes in cross section, thus preventing the
uneven distribution of stresseswith high stressconcentrations.A visualisationof
the flowlines of force, though very graphic, does not always reveal the decisive
factors involved. Here, too, the key is the deformation of the affected
components.
The principle of matched deformations states that related components must
be designed in such a way that, under load, they will deform in the same sense
and, if possible, by the same amount.
As an example let us take solderedor glued connectionsin which the solder or
adhesive layer has a different modulus of elasticity from that of the material to
be joined. Figure 6.22a lllustrates the resulting deformation [6.129]. The
deformations and the thickness of the solder or adhesive lavers have been

Tmax: Tmean

Figure 6.21 Force deformation diagram of

tough materials. Arrows indicate causeeffect relationship

c
o

C
F

between the force and the deformation no longer holds. Relatively small

Figure6.22

Figure6.23

re 6.22. Overlapping adhesiveor solder joint with strongly exaggerateddeformation

[6.12e1;

F u r t 6 c r r c ( l u i r c m c n t sa r c t h c u s c r l l t o u g l t t t t a t c r i i t l si t n c l t h c a v o i c l a n c co l ' i t
5 g i l l - u p 9 l ' i l u l t i - a x i a l s t r c s s c si l t l l t c s n t t t c$ c n l i c .U x l l t l t p l c si t r c h i g h l y - c l i s t o r t c d
s l t r i t t k t ' i t s .p r c l o i r t l c t l r o l t s i t l t d c l l r t t t ; l r ,

)
)

Parts 1 and 2 deformed in the samesense

Parts I and 2 deformed in the oppositesense

Figurc 6.23. Distribution of forces and shear stressesin overlappingjoints with laycr ot
a d h c s i v co r s o k l c r ,f r o r n [ 6 . 1 2 5 ] ;
( t t ) o v c r l a p p c t lo r t o r t c s i c l e( b e n d i n gs t r e s sI r c g l e c t c c l )
( h ) s l l l i c c t lw i t l t l i n c a rl y c l c c r c a s i n tgh i c k n c s s
(c) prortouncctl'tlcl'lcctionol thc flowlincs ol lirrcc' with tlclirrnrittionsirt thc oppositc
tcnsc (bcntlinF strcssncglcctctl)

6 E , m b o d i m e n td e s i g n

strongly exaggerated.The load F, which is transmitted acrossthe junction of

Parts 1 and 2, produces distinct deformations in the overlapping parts, the
adhesive layer being subjected to particularly marked deformation near the
edges due to differences in the relative deformation of Parts I and2. While Part
1 bears the full load F at the upper edge of the adhesivelayer and is therefore
stretched, Part 2 does not yet bear a load. The relative shift in the adhesivelayer
sets up a local shear stressthat exceedsthe mean calculatedvalue.
A particularly unsatisfactory result is shown in Figure 6.22b where, as a result
of opposite and unmatched deformations of Parts 1 and 2, the deformation in
the adhesive layer is considerably increased.This example makes it clear why
provision should be made for deformations to take place in the same senseand,
if possible, to be equal in magnitude. Magyar 16.125)has made a mathematical
study of the relationships between load and shear stress:the result is shown
qualitatively in Figure 6.23.
The same phenomenon also occurs between nuts and bolts in bolted joints
16.2441.The nut (Figure 6.24a) is in compressionand the bolt is in tension, that
is they are deformed in the opposite sense.In the modified nut (Figure 6.24b) a
deformation in the same senseis set up in the leading threads,which gives rise to
a smaller relative deformation and hence a more even distribution of the load
borne by individual threads. Wiegand 16.2441hasbeen able to demonstrate this
effect by showing that such nuts have a longer service life. Paland [6.160] has
shown more recently that standard nuts are not as unsatisfactoryas Maduschka

6 4 P r i n c i p l c so l e n r b o d i r n e n tc l e s i g n

[6.I23] has suggested,becausethe moment F'h producesadclitionirloutwatd

deformations of the nut and thus relieves the leading threads of their loirtl. 'l'h!
load-relievingdeformation of the nut due to this moment and also to thc bcrr4ing
of the threads can be considerably increased by using material with l lrwcr
modulus of elasticity, for instance titanium [6.102]. If, on the other hancl, rlrc
load-relieving deformations are resistedby a very stiff nut or a very small lcvcl
arm h, then the type of load distribution describedby Maduschka would ensuc.
As a further example, let us take a shaft-hub connection formed by a shrink
fit. In essence,this, too, involves the deformation of two components (scc
[6 '82)) . In transmitting the torque, the shaft experiencesa torsional deformation
that decreasesas the torque is transferred to the hub. The hub, for its part, is
deformed in accordancewith the transmitted toroue.
Figure 6.25 shows that the maximum relative deformation occurs at A. In the
case of alternating torques, this may lead to fretting corrosion; moreover the
right-hand end, to all intents and purposes,contributesnothing to the transferof
the torque.

Lifiit,fisA3i"drn*
PALAM
i

after

Figure6.25

403020100
9o
Share
of load
borneby
individual
threads

ryl

Figure6.26

Figure 6 25 Shaft-hub connectionwith strong 'force flowline deflection'

l'6rsional
deformationsof shaft and hub in opposite sen-se
(yr : angle of twist)
Figure 6.26. Shaft-hub connectionwith graduat 'force flowline def'lection' Torsional
deformationsof shaft and hub in the same sense

Figure6.24. Nut shapesand load

distribution irfter | 6.2441
( a ) S t a n c l a r cnlu t : l i n r i t i r i gc a s ca f t c r
M i r r l u s c l r k1i r6 . 1 2 . 3I 1) i;r l i r n 1d 6 .l 6 0 l a l l o w i n g
lirr tlclirrrttirtirlrttlrrc to rrrorrrent/, . /r
( h ) M r x l i l ' i c dt t u l w i t l t r t t i r t c l t c t l
t l c k r r r t t n l i o n irn l l t c t c r r s i o rltt r r r t

The solution shown in Figure 6.26 is much better because the resulting
formations are in the same sense. The best solution appears when the
nal stitlness of the hub is matched to that of the shaft. The transfer of
rque then takes place along the whole length of the connection and hish stress
ncentrations are avoided.
Even if the shrink fit were replaced with a keyed connection, the layout
pictccl in Figure 6.25 would, becausethe torsional deformations are in
the
) s l t cs c n s c ,s c t u p v e r y h i g h c o n t a c ts t r e s s e isn t h e n e i g h b o u r h o o do f A . T h e
. r tr l c p i c t c ciln F i g u r c 6 . 2 6 ,o n t h e o t h c r h i r n c.l w i l l , b c c a u s ct h e d c f o r m a t i o n s
a r c i l r t h c s i u n cs c n s c ,c n s u r c i u ' lc v c n s t r c s st l i s t r i l l u t i o n
[(r.1331.

6 Embodirnent dcsign

The principle of matched deformations can also be applied to bearings as in

Figlure6.27.
Mention must also be made of welded joints. Here the residual stresseswhich
occur on cooling and the stress concentrations caused by deflections of the force
transmissionpath can be reduced by careful design (see [6.8, 6.12]).

6 4 P r i n c i p l e so f e m b o d i m e n t d e s i g n

transmission path, and the right side a relatively low torsional stiffness because
of its greater path length. when the torque is first applied, the left wheel will be
set in motion while the right wheel remains stationary until the right hand part of
the shaft has twisted sufficiently to transmit the torque. The drive assemblyhas a
t e n d e n c yt o r u n s k e w .
It is essential to provide the same torsional stiffness to both parts of the shaft
so as to ensure an appropriate division of the initial torque. This can be achieved
in two distinct ways if the input torque is taken in one position only: either by
symmetrical layout (Figure 6.28b); or by adaptation of the torsional stiffness of
the appropriate parts of the shaft (Figure 6.28c).
4 Principle of balanced forces

in bearings:
Figure6.27.Forcetransmission
(a) edgecompression
because
of insufficient
adaptationof the bearingto the deformed
shaft
(b) moreevenbearingpressurebecause
of matcheddeformations
(c) lackingadjustment
to shaftdeformation
(d) moreevenbearingpressurebecause
of adaptability
of bearingbush
The principle of matched deformationsmust be taken into account not only in
the transfer of forces from one component to another, but also in the division or
combination of forces or moments. A well known problem is the simultaneous
propulsion of wheels that have to be placed at a considerabledistancefrom onc
another, for instance in crane drive assemblies.In the layout shown in Figurc
6.28a, the left side has a relatively high torsional stiffnessdue to the short force

Figure 6.28. Application of the principle

t=11+!7
o f m a t c h e d ,h e r e e q u a l ,d e f o r m a t i o n s
in crane drives:
(a) unequal torsional deformation of
l e n g t h s1 , a n d 1 ,
( b ) s y m m c t r i c a l a y o u tc n s u r c sc c l u a l
t o r s i o n a lt l c l i r r r n a t i r l n
( c ) i r s v r t t n t c t r i c l li r y o u tw i t l r c r l u a l
t o r r i o t t t l d c f o r t t t i t t i t t lttl t l c t < t: t t l l t l l l i t t i o n
ol loniottul rlill ttcrrc;'

Those forces and moments that serve the function directly, such as the drivins
rque, the tangential tooth force and the load torque in a gearbox, can, in
rdance with the definition of a main function, be described as functionally
ermined main forces.
In addition, there are many forces or moments that do not serve the function
irectly but cannot be ignored, for instance:
the axial force produced by a helical gear;
the force resulting from a pressure difference, for instance across the blades
of a turbine or across a control valve;
tensile forces for producing a friction connection;
inertia forces due to linear accelerationor rotation of components; and
fluid flow forces inasmuch as they are not the main forces.
Such forces and moments accompanying the main ones are called associated
and may either produce an auxiliary effect (see auxiliary function) or else
r merely as invariable concomitants.
Associated forces place additronal loads on the components and require an
ropriate layout or must be taken up by further surfacesand elements such as
iffening members, collars, bearingsetc. As a result, weights are increasedand
rther frictional lossesmay be incurred. For that reason, the associatedforces
ust, whenever possible,be balancedout at their place of origin, thus obviating
e need for a heavier construction or for reinforced bearins and transfer
lements.
As has been shown in [6.151], this balance of forces is essentiallyensured by

typesof solution:

balancing elements; or
symmetrical layout.
Figure 6.29 shows how the associatedforces can be balanced in a turbine,
l i c a l g c a r sa n d a c o n e c l u t c h , w i t h t h e h e l p o f t h e p r i n c i p l eo f d i r e c t a n d s h o r t
: c t r a n s r . r ' r r s s rpoant h . A s a r e s u l t . n o b e a r i n g p o s i t i o n i s a d d i t i o n a l l yl o a d e d
n c l t h c c l c s i g r risr r c h i g h l y c c o n o m i c a l .
W h c n i t c o l l l c st o l h c l ' l i r l a n c i n g
of incrtia lilrccs,wc find that a rotationally
n y n t r t t c t r i c il ti tl y o t t li s i r t h c r c n t l yb i r l a n c c c l . ' l ' hsci r n r cs o l u t i o np r i n c i p l ci s i r p p l i c d

204

6 Embodiment design

for reciprocating masses, as we know from automobile engineering. If the

number of cylinders is too small to ensure a perfect balance, either special
balancing elements, weights or shafts [6.168] are introduced, or cylinders are
arranged symmetrically, as for instancein opposed cylinder engines.
balance
without
(small
lorces)

element
balancing
(med
!m forces)

symmray0ul
(large
lorces)

6.4 Principles
of embodiment
design

XE

The concept of the flowlines of force should be consideredin conjunctiorrrvith

the following principles:
The principle of uniform strength which ensures, through the careful selccriol
of materials and shapes, that each component is of uniform strength irrrtl
contributes equally to the overall strength of a device throughout its servicelilcl
The principle of direct and short force transmission path which ensures nrinimum volume, weight and deformation, and which should be applied particularly
if a rigid component is needed;
The principle of matched deformatlons which ensures the matching of deformations of related components so that stressconcentrationsare avoided and
the function can be reliably fulfilled.
The principle of balanced forces which ensures, with the help of balancing
elements or a symmetrical layout, that the associatedforces accompanying the
main ones are reacted as close as possible to their place of origin, so that
material quantities and lossescan be kept to a minimum.

6.4.2 Principle of the division of tasks

I Assignment of sub-functions

forcesillustratedby meansol
Figure6.29. Fundamentalsolutionsfor balancingassociated
a turbine,helicalgearsanda coneclutch

Even during the setting up and variation of the function structure, it is important
to determine to what extent severalfunctions can be replacedbv a sineleone. or
hether one function can be subdivided into several sub-functions(5.3).
These questions reappear in the embodiment phase, when the problem is to
lfil the requisite functions with the choice and assignment of suitable function
rriers. We ask:
what sub-functionscan be fulfilled with one function carrier only?
what sub-functionsmust be fulfilled with the help of several.distinct function
carriers?
So far as the number of components and the spaceand weight requirements
concerned, a single function carrier fulfilling several functions would, of
rse, be the best. In respect of the manufacturing and assembly processes,
wever, this may prove disadvantageous,if only becauseof the complicated
ape of the resulting component. Nevertheless, for economic reasons, the
tempt should always be made to fulfil several functions with a single function

As a general rule (which, however, can be ignored if there are overriding

reasonsfor doing so) balancing elementsshould be chosenfor relatively small or
medium forces, and a symmetrical layout for relatively large forces.
All in all, we can say of the transmissionof forces (in the discussionof whiclr
the physically undefinable but descriptiveidea of the flowlines of force is mosl
helpful) that:
- t h e f l o w l i n e s o f f o r c c m u s t a l w i r y sb c c k r s c d i i r n r l
- s l r i r r p c l c l ' l c c t i o nosl t h c t ' k l w l i n c so t ' l i r r c ci r t t r lc l t i r r t g cisr t t l t c ' r l c n s i t y ' < l l ' t l r t '
l i n c s r c s r r l t i n gl ' r o r r rs t r t l t l e rcr ' l r ; r n r l t i' tst c t o s s s c c l i r l t tr t t t t s tb c r r v o i t l c r l .

Numerous assemblies and components can fulfil several functions simuleouslv or successivelv.
Thus a shaft on which a gearwheelhas been mounted transfersthe torque and
rotating motion simultaneouslyand at the same time takes up the bending
ents and shear forces resulting from the normal tooth force. It also locates
g
thc cars irxially ancl, in the case of helical gears, carries the axial force
c o n l p o n c l l t sl r o n r t h c t c c t h . I n c o n j u n c t i o n w i t h t h c b o d y o f t h e g e a r w h e e l ,i t
p n l v i r l c ss u l l i c i c n ts t i fl n c s st o c n s u r cc t l r r c c tr r r i r t i n o
gl'thc tccth.
A 1 t t 1 l cI ' l i t t t g c r l t t t t c c t i o trtt t i r k c sl l o s s i l r l cl l r c c o r r r r c c t i o inr n r ls c p i r r i r t i o no l t h c

c
O

206

6 Embodiment design

pipes, ensuresthe sealingof the joint and transmitsall forcesand momentsin

ini pipe resulting from residual tension, from thermal expansionor from
unbalancedpipe loads.
A turbine casingprovidesthe appropriateinlet and outlet flow areasfor the
fluid, provides a mounting for the stationary blades, transmitsthe reaction
forcesto the foundation, and ensuresa tight seal.
The wall of a pressuretank in a chemicalplant must combinea retainingwith
a sealingfunction and staveoff corrosion,while not interferingwith the chemical
process.
A deep groove ball bearing, apart from its centeringtask, transmits both
radial and axial forcesand occupiesa relativelysmallvolume,for which reasons
it is a popularmachineelement.
The combinationof severalfunctionsin a singlefunction carrier may often
prove economicallyadvantageous,but may have certain drawbacks.These do
not usuallyappearunless:
- the capacityof the function carrier hasto be increasedto the limit in respect
of one or severalfunctions;or
- the behaviourof the function carriermust be kept absolutelyconstantin one
important resPect.
As a rule, it is impossible to optimise the carrier of several combined
functions. Instead,the designerhas recourseto the principle of the division of
by which a specialfunction carrier is assignedto every function'
tasks16.1551,
Moreover, in borderline cases?it may even be useful to distribute a single
function over severalfunction carriers.
The principleof the divisionof tasks:
- allowsvery much better exploitationof the componentconcerned;
-provides for greaterload capacity;and
unambiguousbehaviour, and hence fosters the basic clarity rlule
"trr1ttet
(6.3.1)
This is becausethe separationof tasksfacilitatesoptimum designin respectof
everysub-functionand leadsto more accuratecalculations.In general,however,
the constructionaleffort becomescorrespondinglygreater.
To determinewhether the principle of the division of taskscan be usefully
applied, the functions must be analysedwith a view to determining if the
simultaneousfulfilment of several functions in one carrier introduces constraintsor mutual interference.If it does,then it is best to settlefor individual
function carriers.
2 Divisionof tasksfor distinctfunctions
of the divisionof tasksfor
Examplesfrom variousfieldsillustratethe advantage
distinctfuncti<lns.
asfound for instancebetweena turbineand a gcnerator,it
In largcgearhoxes.
of the foundationsand bcarings,antl
of thermalexpunsion
is advisablc,hecause
to usea radiallynnd torsiontrllyflcxiblc
ulsebccauscof thc tonional oscillations.

6 4 P r i n c i p l e so f e m b o d i m e u t d c s i g t l

207

shaft whilst maintaining the shortestpossibleaxial length on the output side

[6.150].However,becauseof the forcei betweenthe geaiteeth,the transmission
shaftmust be asrigid aspossible.Here the principleof th" diuisionof tasksleads
to the following arrangement:the gearwheelis fitted to a stiff hollow outer shaft
with the shortestpossibledistancebetweenthe bearings,while the radially and
torsionallyflexible componenttakes the form of an inner torsion shaft (Figure
6.30).

igure 6.30. Large gearbox with an output torsion shaft; the bearingforces are
ansmitted over a stiff hollow shaft; the inner torsion shaft is radiaiv and torsionallv

ible, from [6.150](Siemens-Maag)

Modern pressure-fedboilers are built with a membranewall, as shown in

igure6.31.The furnacemustbe gas-tight.Moreover,optimumheattransferto
water demands thin walls with large surface areas. Beyond that, thermal
pansion and pressure differences between the furnace and its environment
ust also be taken into consideration, and so must the weight of the walls. This

mplexproblemis solvedwith the help of the principleof the divisionof tasks.

tubularwallswith their weldedlipsconstitutethe sealedfurnace.The forces
Iting from the pressuredifferencesare transferredto the specialsupports
outsidcthe heatedareawhichalsocarrythe weightof the, usuallysuspended,
walls. Articulatedarms betweenthc tubularwull and the supportsallow for

208

6 Embodirnent design

P r i n c i p l e so f e m b o d i r n e n t d e s i g n

209

l-carrying function is performed by the clamp which, in its turn, is designed

the principle of the division of tasks. The clamp is made up of segments,
ich transmit forces and bending moments by means of a close tolerance fit,
nd shrink rings hold the clamp segments together by friction in a simple and
ffective manner. Every part can be optimally designed for its particular task
d is easily analysed.
The casingsof turbines must ensure a tight seal under all operational and
al conditions if they are to conduct the working fluid with minimum loss
turbulence. They must also provide an annular area and a support for the
ionary blades. During temperature changes,sectionedcasingswith an axial
nge have a particular tendency to distort and to lose sealing power due to
rrked changesin shape at the inlet and outlet [6.166].
This effect can be offset by a separate blade carrier, that is by a division of
The annular area and stationary blade attachment can be desisned
rdlessof the larger casingwith its inlet and outlet sections.The outer casins
n then be designedexclusivelyfor durability and sealingpower (Figure 6.33).

Figure 6.31. Sectionof boiler with membrane walls and

separatesupports (Babcock)

unimpeded thermal expansion. Thus every part can be designedin accordance

with its special task.
The clamp connection in a superheatedsteam pipe shown in Figure 6.32has
also been designedon the principle of the division of tasks.The sealingand load
carrying functions are assignedto different function carriers: the sealing function
is performed by the welded membrane seal, which is axially loaded by the
tension in the clamp. Tensile forces or bending moments should not be carried
by the seal, whose function and durability would thereby be destroyed, so the

l ; i g r r r c6 , 3 2 ,( ' l i t r t t Pc r t t t t l c c t i t t ti t l i t
iupctlrcnlc(l rlclrttt pipc ( Zikcsclt )

r e 6 . 3 3 A x i a l l y d i v i d e d t u r b i n e h o u s i n sf r o m [ 6 . 1 6 ( r l l;o w e r h a l f c o n v e n t i o n a lu; p p e r
w i t h s e p a r a t eb l a d e c l r r i e r

A further example is provided by the synthesisof ammonia, which involves

ing nitrogen and hydrogen into a container under high pressures and
atures. If the hydrogen were allowed to come into direct contact with a
ritic steel container, it_ would penetrate into and decarbonise the latter.
ucing decomposition at the grain boundarieswith the formation of methane
,72). The solution is again basedon the division of tasks.The sealingfunction
provided by an inner casing of austeniticsteel which is resistantto hydrogen,
3 support and strength are provided by a surrounding pressure chamber
tructecl of high-tensile ferritic steel, not resistantto hydrosen.
l n t h c c l c c t r i c a lc i r c u i t - b r e a k e ri l l u s t r a t e di n F i g u r e 6 . 3 4 , t w o o r e v e n t h r e e
t i r c t s y s t c n l sa r c p r < l v i d e d .T h e b r e a k c r c o n t a c t sl t a k e t h e a r c i n s c u r r e n t
r i l t g t l r c c k l s i n g o r o p c n i n g o f t h e s w i t c h , i r n c lt h c m a i n c o n t a c t s3 c a r r y t h e
r r c l t l t t l t t l c t ' t t o r t t t ci ttll l t t l i t i o t t s . ' l ' hl rcr c i r k c rc ( ) l t l i r c t/s i r r cs u bj c c l t r l b u r n i n q ,

2r0

6 Embodiment dcsiln

that is to wear and tear, and must be designedaccordingly,while the marrr

contactsmust be designedto carry the full working current.
The division of tasks is also illustratedin Figure 6.35: the Ringfedcr
connectorscarry the torque while the correspondingcylindricalsurfacesensur('

2II

P r i n c i p l e so f e m b o d i m e n t d e s i g n

the deep-groove ball bearing is not supported radially and hence transmits
ial forces only, while the roller bearing transmits radial forces only.
The principle of the division of tasks has been applied consistently to the
struction of composite flat belts. They are made up, on the one hand, of a
thetic material capable of carrying high tensile loads and, on the other hand,
a chrome leather layer on the contact surface which provides a high coefficient
friction for the transfer of the load.
Yet another example is provided by the rotor blade attachment in a helicopter

6.1s).
Division of tasks for identical functions
increasesin load or size reach a limit, a single function can be assigned to
ral, identical function carriers. In other words, the load can be divided and
recombined later. There are numerous examples.
The load capacity of a V-belt cannot be increased at will by increases ln lts
section (number of load-carrying strands per belt) because, for a glven

ley diameter, an increasein the belt height ft (Figure 6.37) leads to

an

Figure6.34
Figure 6.34. Arrangement of contactsin circuit breaker (AEG)
1 breaker contacts;2 intermediate contacts;J main contacts
Figure 6.35 Ringfeder connector plus centralisingsurfaces

the central location and seating of the pulley, something the Ringfeder connector could not provide by itself.
A further example is provided by the design of rolling element bearings irr
which the servicelife of the locating bearing is increasedby the clear separatiorr
of the transmissionpaths of radial and axial forces (Figure 6.36). The outer racc

load-carryi
ng
strands
fabriccoating

Figure6.37.Crosssectionof
V-belt

rubber
filling

ase in the bending stress. As a result of the ensuing deformation, the

r, which has hysteresisproperties and is also a poor conductor of heat,
overheated and this reducesits life. A disproportionally wide belt, on
other hand, loses the stiffness needed to take up the normal forces acting on
wedge-shapedsurfacesof the pulley. An increasein load-carrying capacity
, however, be obtained by dividing the overall load into part loads each
ropriate to the load limit and normal life of the individual belt (multiple

ment of parallelV-belts).
The coefficient of thermal expansion of superheated steam pipes made of
nitic steel is approximately 50 per cent higher than that of pipes made of the

I ferriticsteel.Suchpipes,moreover,areparticularlystiff.At constantinner
res and fixed materialpropertylimits, the ratio of outer to inner pipe
ter remainsconstantif the inner diameteris changed.However,whilethe
roughput at constant flow velocitiesvaries as the squareof the inner diameter,
F i g u r c6 . . l t rl,. o c i t t i t rbgc l r i n gw i l h
pittltslor
rcpglolclrttnstrtissiott
rldld und ttxinllirrccs

bcndingand torsionalstiffnesses
vary asits fourth power.The substitution
of
pipc lincsfor a singlclargepipewouldadmittedlyleadto increased
pressure
h c i t l f r t s s c sl i r r t h c s a l n c f l o w a r c a , b u t w o u l d r c d u c c b v l l z t h c s t i f f n e s s

212

6 Embodiment tltsr

resistingthermal expansion. With four or eight pipelines the individual reaclrrrtl

forces would then be no more than I or * of that present in a single pipe [6.3{1,
6.2061. In addition, the reduction in wall thickness leads to a reduction in
thermal stresses.
Gearboxes, and epicyclic gearboxesin particular, make use of the principlc ,rf
the division of tasks, or rather of forces, in the form of multiple meshing, whit lt
will increasethe transmissioncapacityof the gearbox, provided that the therrrrrrl
effects can be kept within reasonable limits. In the symmetrical layout ,tl
epicyclic gearboxesbased on the principle of balancedforces ( 6.4.I.4) even t lrc
bending moment in the shaft is eliminated because the forces produced by llrc
gearscancel out. However, the torsional deformation is increasedbecauseo1'Ilrc
greater load capacity (Figure 6.38). In large gearboxes,this principle is applietl

a1t

of embodiment design

ztJ

the caseof the multiple pipeline discussedabove,the individual pipe loss

ts, the relationships between inflow and outflow, and also the geo-

of the pipe layouts must be kept similar, or else the individualloss

ients must be small and not very greatly affected by the flow speeds.
the case of multiple gears, either a strictly symmetrical arrangement must

equal stiffnessesand temperaturedistributionsthroughout the gearbox

Double

Triple

0uadruple

6.39

Figure6.40
6.39.Basicarrangements
of multiplegears,from [6.150]
re 6.40. Balanced forces in multiple gearsby meansof flexible torsion shafts,from

forces,from [6 2]
Figure6.38.Epicyclicgearboxwith balanced
to advantage in the form of multiple drives equipped with spur gears, which havc
external teeth only and hence are more easily manufactured. As Ehrlensprcl
[6.57] has shown, it is possible to increasethe load capacitywith the number of
force transmission paths, though not in direct proportion because each stcp
introduces a different flank geometry with a slightly greater flank loading. Basic
arrangementsare depicted in Figure 6.39.
One problem of the principle of the division of tasks is the uniforrn
participation of all the elements in the fulfilment of the function, that is thc
provision of a uniform distribution of forces or loads. In general, this can only bc
achieved if:
-the participating elements adjust themselvesautomaticallyto balance out thc
forces; or

- appropriateflexibility is speciallyprovidedin the forcetransmission

paths.
In the caseof multipleV-belt drivcs,thc tangcntialforccsproducesliglrt
crrorsin thc lcngtlts
nnydimensional
of the beltswhichhclp to ol'l'sct
extensions
in thc shaft.and thtt\
of thc bcltsor in thc pullcysor uny lnck of parallelism
cnsurccqull loirdshirring.

I flexibleelements[6.58]must ensurethe equalparticipationof all the

nts.
re 6.40 illustrates a flexible arrangement.Further balancingcomponents,

as elasticand articulatedjoints, are describedin [6.58].

ll in all, the principle of the division of tasks provides for increases in the
imum load capacity or for wider applications. By spreading tasks over
al function carriers, we also gain a clearer picture of the relationship
n forces and their effects, and, what is more, can increase the output,
only that a balanced division of forces is maintained by adjustable or

-regulatingelements.

In general, the application of the principle of the division of tasks calls for
ter effort on the part of the designer, which must be offset by greater overall

or safety.

.3 Principle of self-help
Concepts and definitions

thc lastsectionwc discussed

the principleof the divisionof tasksand showed
it couldhclp to incrcasckradcapacityand to provitJea clearerclefinitionof

6 E m b o d i m e n t t l er r l r r

214

the behaviour of the components. To that end, we analysed the variorrr

sub-functions and assigned them to such function carriers as neither influerrt.'
nor interfere with one another.
The same analysis can also be used in conjunction with the principle t,l
self-helpto achieve, through the appropriate choice of systemelementsand the ir
arrangement, a mutual supportive interaction that improves the fulfilment of tlrr'
'self help' provides 1or
function. Under normal conditions (normal loading),
greater effect or relief; in emergency situations (overloading), it provides 1t,r
greater safety.
In a self-helpingdesign,the overall effectis made up of an initial effect ancl rr

2t5

P r i n c i p l e so f e m b o d i m e n t d e s i g n

ral technical characteristics:efficiencv.servicelife. use of materials,techl i m i t , e t c . I t is defined as

technical characteristic with self-help
technical characteristic without self-help
never the application of the self-help principle calls for a greater effort on
designer'spart, then it must bring clear technical or economic advantages.
Identical design approaches may turn out to be self-helping or self-damaging,
nding on the layout. Take the case of an inspection cover (Figure 6.42). So

supplementaryeffect.
The initial effect setsoff the physicalprocessrequired by the solution but rs
insufficienton its own.
The supplementaryeffect is obtained from the functionally determined mairr
forces (gearbox torque, sealing force etc) andior from the associated forct':
(axial force produced by helical gears, centrifugal force, force due to thermirl
expansion etc), provided, of course, that the two sets of forces are clearl\
correlated. A supplementary effect may also be obtained from appropriat,
changes in force transmission paths.
The idea of formulating the self-help principle was first suggested by the
Bredtschneider-Uhde self-sealingcover, particularly suitable for pressure vess e l s [ 6 . 1 1 3 , 6 . 1 5 4 , 6 . 1 8 1 ] . F i g u r e 6 . 4 1 s h o w sh o w i t w o r k s . A r e l a t i v e l ys m a l l
force provided by the central bolt 2, suffices to press the cover 1 against thc
metal seal 5. The initial effect of this force ensures that the parts make thc
proper contact. With increasing operational pressure a supplementary effect is
produced, thanks to whrch the sealing force between cover and tank is increaserl
appropriately. The internal pressure thus provides the required sealing forcc
automatically.

t-s
lD

I
I

ng
sell-helpi

selt-damaging

re 6.42

zlt
ping
sell-hel

4-/

ll

sell-damag
ing

Figure6.43

6.42. Layout of an inspectioncover

i n i t i a le f f e c t ; S : s u p p l e m e n t aer yf f e c t O
; : overalleffect;p: internalpressure
re 6.43. Force diagram to Figure 6.42
t : tensionscrew;subscript
changein tength; subscript
forces; Fo : preload; ll:
flangeiseal

2
3
4

5
1

Figure 6.41. Self-sealingcover

1 cover; 2 central bolt;3 crossmember;
4 element with saw tooth thread;
5 metal sealing ring; p : internal pressure;
d: temoerature

contribution
of the supplementary
It may be usefulto specifythe quantitativc
prodttcittg
O
in
thc
dcgrcc
of
self-hclp
cl'fcctS to thc ovcrall effect
x=SlO-(f..,1
'l'hc

gnin l'rom scll-lrclpsolutionrcan ll| OrPrcmcdin tcrms ol' thc onc or

-r&,-

as the pressureinside the tank is greaterthan the pressureoutside,the

becausethe pressureon the cover (supplementary
ut shownis self-helping,
) increases the sealing effect (overall effect) of the initial tension-screw
(initial effect).
The layout shown on the right, by contrast, is self-damagingbecause the
ssure on the cover dereasesthe sealingeffect (O) of the initial tenslon-screw
(1). If, however, the tank were kept at below atmosphericpressure,the left
t would be self-damaging, the right layout self-helping (see also Figure

43).
This example shows that the degree of self-help depends on the resultant
:t: in thc presentcasethe effect on the sealingforce resultingfrom the elastic
, irncln<lton thc simple addition <lf thc forcc exerted by the screw and the
:c ilcling 0n thc c()vcr.

276

6 Embodiment desigl

Figure 6.43 can also be considered as a force-deformation diagram of a bolterl

connection with a preload and a working load. The conventional bolted flangt'
connection may be called self-damaging inasmuch as, under operational condi
tions, the overall effect-that is the flange sealing-becomes smaller than thr'
preload. Also the loading of the bolts is increased at same time. If possiblc.
therefore, only such self-reinforcing arrangements should be chosen as increase
the overall effect, while reducing the loading of the bolts (Figures 6.44 a-l
illustrate such arrangements.)

217

P r i n c i p l e so f e m b o d i m e n t d e s i g n

This group of self-helpingsolutionsis the most common. Under part-load

itions, it ensures grealer service life, l e s s w e a r . h i g h e r e f f i c i e n c y e t c ,
use the components are only loaded to an extent needed to fulfil the
tion at any particularmoment.
As a first example, let us consider a continuously adjustable friction drive

6.4s).
12

Adlustment

I
I

0,2
boe
re 6.45

(a) multiple disc clutch with adjustment ring; (b) force acting on the adjustment ring;
(c) adjustable disc of two-disc friction clutch; (d) crown wheel attachment,symmetrical
take-up of forces

For practical purposes, it is useful to classify self-helping solutions

accordance
with Table 6.3.
Table 6.3. Summary of self-helping solutions
Normal load

Type of self-help

self-reinforcing

Supplementary
effect due to

main and associated associatedforces

forces

Important
features

main or associated
forces act in the
same senseas other
main forces

self-balancing

associatedforces
act in the opposite
senseto main
forces

Overload
self-protecting
altered force
transmissionpath
force transmission
path altered by
elasticdeforniation;
limitation of
function
permissible

/,'.

Lz

c0
Figure6.44.Self-reinforcing
boltedconnections

l,=oz

0 8t
I

0,6x
0./0,2

F.l

0.4
r/r

1,0

0,6

0,8

Figure6.46

frictiondrive
adjustabte
re 6.45.Continuously
load spring; b: drive shaft; c: cup wheel; d: conewheel; e.'roller follower;f cam
on the cup wheel; r. radius on which F, and F,,act
6.46. Degree of self-help (x) and i n i t i a l ( / ) , s u p p l e m e n t a r y( S ) a n d o v e r a t l( O )
against the relative torque Z/T.u* for the friction drive (Figure 6.45)

The preload spring d pressesthe freely movable cup wheel c on the drive shaft
against the cone wheel d, thus providing the initial effect. Once a torque is
ied, the roller follower e attached to shaft b is pressed against the cam /
d on the cup wheel c where it produced a normal force F" that can be
lved into a tangential force F, and an axial force F, which, for its part,
s the contact force F. applied to the cone wheel in a fixed proportion to
appliedtorgue T: Fn: Tl(r'tan a).
The force Fu representslhe supplementaryeffect gained from the torque. The
rall effect is obtained from the spring preload force Fo, plus the axial force F,,
ich varies as the torque Z (c/Figure 6.46). The tangential driving force F6 on
cone, which determines the transmittable torque, is therefore
Fa:(Fp+F^).tt

2 Self-reinforcing solutions
I n s e l f - r e i n f o r c i n gs o l u t i o n s .the supplcmcntilry
effcctisubtaincddirectlyfrom ir
main or associatedforce and addsto thc initiuleffectto proclucc
a grcatcrovcrlll
cffect.

t h c c l e g r e eo f s e l f - h e l px : S I O : F ^ l ( F p + F ^ ) .
It is obvious that the contact pressure between the wheels, which helps to
r r n i n c t h e w c a r a n d t h e s e r v i c el i f e < l f t h e d r i v e . m u s t n o t e x c e e dw h a t i s
i c l l v r r c c c s s i r r vA. c < l n v c n t i o n asl o l u t i o l t ( n o s c l l - r c i n f < l r c c m c n tw) o u l d h a v e

278

6 Embodiment desigrr

demanded an axial force produced exclusively by the spring preload corresponding to the maximum torque, and therefore maximum pressure being applied to
the contact area under all loads. As a result the bearings, too, would have had to
carry a considerably greater load, which would have led to a reduced service lifc
or demanded a much heavier construction.
A rough calculation shows that if the actual loading is, say, 75 per cent of thc
nominal maximum load, then the bearing load would be reduced by about 20 per
cent which, because of the exponential relationship of service life to load, can
lead to a doubling of the life of the bearings. In that case, the self-help gain in
respect of the service life becomes:

Life with self-help

:
TL:
Life without self-helo

/r-rn np\ n
l-"''
| :L253:2

219

Principles of embodiment design

trghtening
before

altertightening
0

\ctP I

Figure 6.44 shows various self-reinforcing layouts of contact surfaces loadecl

by bolts, in which the frictional forces are increased by the operational forces
while the bolts themselves are off-loaded.
The application of the principle of self-help in the design of self-reinforcing
brakes has been describedby Kiihnpast [6.113] and Roth [6.176].Depending on
the application, even self-damaging,and in this case self-weakening,solutions
can prove interesting, inasmuch as they reduce the effect of variations of the
coefficient of friction on the braking moment 16.62,6.1761.
Self-reinforcing seals (Figure 6.47) provide us with further examples. In them.
the operating pressure against which the seal has to be applied is used to produce
the supplementary effect.
Finally we must mention one case in which the supplementary effect is
produced by an associated force. In hydrostatic axial bearings, the centrifugal
inertia effect leads to an increase in oil pressure which, at high revolutions, will
help to improve the load-carrying capacity, provided the heat can be removed
(see Figure 6.48). The supplementary effect leads to an improvement in the
load-carrying capacity due to the increased oil pressure resulting from the
centrifugal effect alone, the overall effect is due to the load-carrying capacity of
the combined static and dynamic pressures.According to Kiihnpast [6.113] it
should be possibleat, say, 166 revls and x :0.38, to obtain a gain in self-helpof

v:1.6.
The supplementary effect of another associatedforce, namely that caused by
the effect of temperature on the shrink-fitted rings of a turbine, is disiussed in

[6.1s4].
3 Self-balancing solutions
In self-balancing solutions, the supplementary effect is obtained from an
associatedforce, and offsets the initial cffcct to produce an improved overall
effect.
A simple examplc is providcd by turbo-machincr. A bludc uttachcd to a rotor

Figure 6.47. Self-reinforcing

seals;
(a) setf-sealingwasher; (b) tubeless
tyre; (c) radial-shaftseal; (d) sleeve
seal; (e) sliding-ringseal

05
N
mm2

^s-/
\o/

04

\l

s/
I 03

oo2
I

/'

0,1

99' \
n-A

\
510

20

30mm38
12

13

from [6.113]
axialbearings,
Figure6.48.Self-helpeffectin hydrostatic
iect to a bending stressdue to the tangential force acting upon it and also to
axial tensile stressdue to the centrifugal inertia force. The two are additive

, becausea certainstressmust not be exceeded,the transferable

taneential
is rcduccd(Figurc6.49).lf, howevcr,the bladeis attachedat an ansle,a

220

6 Embodiment clcsrll

supplementary effect is produced: an additional bending stress due to tlrr.

centrifugal force acting on the offset centre of gravity of the blade opposes tlrt.
original bending stress and thus allows the application of a larger tangentirrl
force-that is a greater overall effect. How far this balancing process can l)(,
carried depends on the aerodynamic and mechanical conditions.

22r

ples of embodiment design

rcular, we try to protect componentsthat are frequently subject to slight

. If special safety arrangements,for instanceto limit the load, are not
ial, then a self-protecting solution may prove advantageous. It will

timesbe simplicityitself.
'-protecting

solutions derive their supplementary effect from an additional

transmissionpath that, in caseof excessloading, is generally created after
:n elastic deformation has taken place. As a result, the distribution of the
ines of force is altered and the load-carrying capacity increased. Admittedin that case,the functional properties associatedwith normal conditions may
me altered, limited or suspended.
: springsshown in Figure 6.51 have such self-protectingproperties. In case

'Es h o c k

M c : F Bl : F c e.
Fe:Fcsin(o-t)
-f-

),,*oo

a
CG: Centre
ofgravity
Fr: Tangential
rrl
lorce;
F,: Centrifugal
force;
o6r: Bending
stress
duetoF1;o. : Axial
stress
duetoF6;ouc: Bend
component
olF6
stress
duetoF6;Fa: Axlal
component
ofF6;FsBending

T1t o4

],,
F

solutionfor turbineblades;
Figure6 49 Self-balancing
(a) conventional
solution;(b) leaningof the bladeproducesa balancing
supplementar,v
effectdueto the additionalbendingstresses
producedby the centrifugal
force(os,) whitlr
opposethe bendingstresses
force(ou,); (c) diagramof forces
causedby the tangential
A self-balancing effect can also be produced by allowing thermally inducctl
forces (stresses)to oppose other forces (stresses);for instance those resultirru
from excessor other mechanical loads (Figure 6.50).
All the examples we have given are intended to encourage the design ol
technical systemsensuring that:
- the forces and moments with their resultingloads cancelout as far as possible:
or that
- additional forces or moments are produced in a clearly defined way so that rt
is possible to balance them out.
4 Self-protecting solutions
I n g c n c r a l , i n t h c c v c n t o f i r n o v c r l o l t l . w c ( l ( t l t ( t t w i l r l t c o r n l ) ( ) r l c l l l st o l r r '
d c s l r o y c r.l u n l c s s r, r l c o r r r s ct.h c v h l r v r ' l t ' c t t l c l i l r c r i t tl ev t l t ' s i g t t c;rrl sw e ; r kl i r t k t

tr5

0
re6.50

Figure6.51

:6.50. t{oop stressesin a thick-walledcylinder due to the internal pressureonnand

:rllure differcncesat nearly steadyheat flow o6,n;
n o t t - l t i t l i t t r c l tst go l t t t i o l t ,t h er r n a ls t r e s si s a d d e dt o t h e m a x i m u mm e c h a n i c asl t r e s so n
l l l n c l s u rl i t c c :
t r c l l - h ; 1 1 ; 1 1 1 t ' l l l g s o l t l l i o t t . lsl t rccr sr ns uo lp p o s c s m a x i m u m r n e c h a nsi tcraels s o n t h e
s t t rl r r c c
c { r ' 5 1 S c l l ' 1 l l ( ) t c ( ' t ist togl t t l i o titt rs l l t i t t g s(;l r )t r r ( t l ) l o r c ' ct r ' : r r r s r n i s s i o r r
llrrth
i c r l ,t l l t ' t l r r t t t t ;fttlt t t t ' t t r litrt r r t s l t t ' t t t l ro' rt ll i r r r i t c ti ln r ' l r s o
c l c r c c s sl o l r t l r r i g

222

6 Embodiment dcsilrr

of excessloading, the spring elementswhich are normally subject to torsional trr

bending stresseswill transmit the additional force directly. The same effect mrrv
also be produced if the springs are shock-loaded(Figure 6.51b).
Figure 6.52 shows the layout of elastic couplings in which restriction of thc
spring movements provides additional force transmission paths with consequcnt
loss of flexibility but with increasedload-carrying capacity. In Figure 6.52a, the
load-carrying capacity of the bar springs is altered inasmuch as, besides th,'
normal bending, a powerful shear force between the two halves of the couplirrl
appears with overloads.

223

Principles of embodiment design

.4 Principles of stability and planned instability

mechanics, we know the concepts of stable, neutral and unstable

ilibrium, as illustratedin Fieure6.53

In elaborating solutions, the designer must always consider the effect of
urbances and try to keep the system stable by devising means whereby
disturbancescan be made to cancel out, or at least to mitigate one another.
stable

r e6 . 5 3
racteristics of

Afterdisturbance,
the
system
returns
automatically
to itsold
position
andequilibrium
state

Upondeflection,
the
potential
energy
ol the
deflected
bodyincreases
andimposes
a return
tothe
position
original

Afterdisturbance,
the
syslem
adopts
a new
position
withunchanged
equilibrium
state

Upondeflection,
the
potential
energy
remains
constant

After
disturbance,
the
system
adopts
a new
position
andequilibrium

Upondeflection,
the
potential
energy
ol the
dellected
bodydecreases
andimposes
a newposition

SIAIC

uilibrium states
isturbances are self-reinforcing, we have unstable behaviour. This effect 1 S

irablein certainsolutions, in which case we speak of planned instability.

I

[ ilp

0b
solutionin couplings;changeof forcetransmissionpathswith
Figure6.52.Self-protecting
(a) bar springcoupling;(b) elastic
lossof elasticpropertiesin caseof overloading;
couplingwith coilspringsandspecialbuffersto takeup the forcesin caseof overloadinr

Figure 6.52b shows a coupling that, strictly speaking, may be considereclit

borderline case between a division of tasks and a self-protectingsolution. Tlrc
buffers will only take up forces in case of overloading. The characteristic of thc
spring elements remains unchanged. However, the force transmissionpath is
altered after a given elastic deformation has taken place.
Kiihnpast [6.113] alse mentions cases in which there is an uneven strcsri
distribution over a cross-sectionand where plastic deformation can then be usctl
for purposes of self-protection. In such cases, however, sufficiently touglt
materials and adequate dimensional stability are needed.
I t i s h o p e d t h a t t h e p r i n c i p l c o f s c l l ' h c l p b a s c d o n s c l f - r c i n f o r c i n g ,s c l l '
b a l a n c i n ga n d s e l f - p r o t e c t i n gs o l u t i ( ) n sw i l l c n c o u r a g ct h c c l c s i g n c rt o c x i t n t i t t c
every conccivahlc arrangcnrcnt in un cffort lo urrive ttt an cffcctivc itntl
c c o n o r n i c i t sl o l t t t i t l n .

of stability

applyingthis principle, the designertries either to ensurethat disturbances

I out or else to reducetheir particular effects.
uler 16.167lhas discussed
this subjectat lengthand we shall now look at
of his examples.
the designof pistonsfor pumpsor regulatingdevices,the main objectiveis
achieve stable behaviour and minimum friction.
igure 6.54a shows the layout of a piston with unstable characteristics.
rbances due, say, to inaccuraciesin the cylinder bore can tilt the piston
tly and produce pressure distributions over the piston that encourage
tilting (unstable behaviour). Stable behaviour is ensured by the layout
in Figure 6.54b, which, however, has a disadvantage:the piston rod inlet
to be sealed off on the pressureside.
According to [6.167], the layout shown in Figure 6.54a canbe stabilisedby the
res shown in Figure 6.55 a-d. They ensure that a disturbance will itself

iatc suchprcssurcdistributions
as tend to correctthe misalignment.
Anothcr exilmplcis thc wcll known cirscof hydrostatic
bcaringswith oil
s distributcrlirrounclthc pcriphcry.whcn thc bqrring is loaclccl.
rhc

114

6 Embodimenttl.'r

leakage path below the load is reduced with the result that pressurebuilds up in
the affected oil pocket and decreases in the opposite one. Thanks to tlro
combined effect, the bearing can take up the load with very small shrrfl
displacement.
The stuffing boxes and sealsof turbo-machinery must always be designecll,rl
thermo-stable behaviour 16.1671.The seal of a turbo-charger shown in Figrrrr..
6.56 is a casein point. In the thermo-unstablelayout (Figure 6.56a) most of llrc
frictional heat generated by contact forces will flow into the rotor which will ht'rrt
up further, expand, and hence increase the contact forces. In the stalrlc
arrangement (Figure 6.56b), by contrast, the frictional heat will cause tlrc
contact forces to be reduced. A disturbance thus produces a self-limiting eflcr t
Figurg6 54, Pistonin cylinder,
tilteddue to a disturbance.
from
16.1,671;
(a) resultingpressuredistribution
producesan effectthat increases
the disturbance(unstable
behaviour);
(b) resultingpressure
distribution
producesan effectthat opposesthe
disturbance(stablebehaviour)

of embodiment design

22s

similar approach is used in the design of taper roller bearings.Thus, in the

shown in Figure 6.57a, heating of the shaft, by excessiveloading for
:, will tend to rincrease
rrwrv4rv
the
L r r w rload
vau
even
L
vLrl
l u t L r t g l because
further
uE;LduSE
of
u
I the
t r r c texpansion
s)xpalrslult
of
o
l
shaft due to the increasedfrictional heat. The arrangementshown in Figure
rb, by contrast, will lead to a load reduction.
In the caseunder consideration.

6.57.Taper roller bearings in which the shaft heats up more than the housing;
thermal expansionleads to increasedloading and hence to unstablebehaviour
thermal expansionleads to reduced loading and hence to stablebehaviour

reduction must not, however, be allowed to reach the point where one of the
ings becomes unloaded, because the shaft at that point would then not be
radially and the bearings easily damaged.
nother interesting example of thermo-stable behaviour is provided bv the

elical gearsused in marine gearboxes16.2391.

ple of planned
some cases, unstable or bistable behaviour is positively welcome. This

when,on reachinga limit, a clearlydistinctstateor positionis required

no intermediate state is acceptable. The requisite instability is initiated when

ected physical quantity reaches a limiting value and then introduces

for improvingthe resultingpressure
Figure6.55.Measures
distribution,from [6.167];
(a) unstablebehaviourmitigatedby pressure-equalising
grooves;
(b) stablebehaviourthroughconicalpiston;
(c) throughpressure
pockets;
(d) throughjoint fittedabovecentreof gravityof the piston

inforcing effects.
well known application is in the design of safety and alarm valves [6.l6jl
, on reaching a limiting pressure, will spring from a completely closed to a
letely open position. This avoids undesirable settings with a low flow rate
tter and wear of the valve seat (see Figure 6.126).
ure 6.58 illustrates the solution principle.

Up to the limitingpressure
p: p.r,the valveremainsclosedunderthe preload
the spring. If this pressureis exceeded,then the valve head will lift off verv
ly. The result is an intermediate pressurepi,rhe valve head throttling the
t. This intermediate pressureacts on the additional surface,4uof the valve
and produces a supplementary opening force that offsets the elastic force of

springF, to suchan extentthat the valveheadlifts rapidly.In the openstate,

nt intermediate pressurep' is set up and keeps the valve open. To close

valve,the pressuremustbe reducedconsiderably

belowthe limitingopening
becausc,in the openstate,the pressureis appliedto a greatersurface
Figurc6.56.Scitlin turtr<tchsrgcr.fronr16.l67l

One applic:rtionis thc prcssureswitchfor monitoringbearingoil pressure

in l"'igurc(r,59,ll'thc bctringoil prcssurc
dropsl'rcklwl ccrtainvalue,the

226

6 Embodimcntdcsisrr

h =h,
h=0

Figure6.58

Figure6.59

Figure 6.58 Solution principle for a valve with an unstable opening mechanrsm
d: precompression of spring; s : stiffness of spring; { : spring force; /z : lift of valve
head;p : pressureon valve;p, : limiting pressurejust sufficientto open the valve;
pr : intermediate pressure on opening of valve ; p' : pressure after opening of valve;
pe: atmosphericpressure;Au: valve-openingsurfacearea;Au: additional surfacearc;r
Valve closed:
F,: s' d> p' A,.
h--0
V a l v ej u s t o p e n :
F,: s -d { A. A,,
h:0
Valve opening fully:
F,= s(d + h) < p . A, + pi. At. h-,->h,
Valve fully open:
F,: s(d + hr) : p'(A, + A^),
h : fu (newequilibrium positiorrI
Figure 6 59. Diagrammatic sketch of a pressureswitch to monitor bearing oil pressure.
from [6.167]
1 main oil system pressure;2 orifice,3 safety system activating rapid shut-off valles ; 4
drainage(no pressure);5 bearing oil pressure

s
+$/'
$7

6.5 Guidelines for embodirnent design

227

piston jumps open and the pressure inside

the safety system is reduced with
consequent shut-off of the endangeredmachinery.
T h e - p r . i n c i p t eo f p l a n n e c li n s r i b i l t t y
,
s h u t - o f f d e v i c e si n w h i c h a s t r i k e r p i n
gravity slightly offset from the centie
o
angular speed is reached, the striker
p r e l o a d . T h e r e s u l t i n gi n c r e a s ei n t h e
e
to an increase in the centrifugal force
ar
w i l h o r r t any
e n r r further
frrrrLo-:-^-^^^^
.'
without
increase iin the
ang,
the rate of increase in the centrifusai
g r e a t e rt h a n t h a t o f t h e o p p o s i n g
spiin,
pin begins to move. The forces -uit
Ui
can be achieved provided that dF"/dr>
once it has been displaced to th" outside,
the pin strikes a catch which, in
turn, activatesthe rapid shut_off mechanism.

6.5 Guidelines for embodiment design

5.1 General considerations
addition to the three basic rures (clarity, simplicity
and safety) derived from
general objectives (g:1, the designer
must also follow a number
.
rurtruvl
ofl
u

guidelinesbasedon ih" generarconstraints

r v l vout
set
u r \in
L tL
2.r.6
'r'\)

n dP:j]T:tt,q:sign
the checklist in Figure 6.2.
These guidelines cover the respective

constraints and requirements

and are in
ping with the basic rules. In what follows
we shall cover what we considerto
t!9 most important of them
lrrLru without
wru_r(rLil_
making
rnaKlng any
any Clalms
claims to
to completeneSs.
comDreteness.

n dirn y o.witrrvinenLv

withm rrr,2>s,
unstable
behaviour
startlng
fromcu: ar,

Figure6.60

Figure6.61

I l i g u r c ( r ( r 0R a p i d s h u t - o f f p i n l i n s h a f t - ] w i t h c c n t r cgor li r v i t y C G o f f s e t b y c a n c l s p r i r r l
2 I r o l t l i r r gt h c p i n i n t h c n o r n r a lp o s i t i o n ,f r o r t r1 6 ,l ( r 7 l
l i i g t r r c( r . ( r l ( i r t r l l h o l s p r i n gl i r r c c i r r r t tl ' t ' r r t r i l r r g ilrol t r ' c ; r gr i r r r tt l t c t l i s l l l l r c c n t c rrr to l l l r t .
c c t l t r co l g r i r v i t yo l t h c r a p i d s l t u t - o l lp i n ( l J i g u r c{ r , { { l ) ,e - c c c c r r t r i c i t oy l c c n t r c o f '
g r ; t v i t y :r / - s P r i n gJ r r c c o r n P r c s s i orl,rr;, l i n t r t t r t ln n l u l n t r r ; x c t lh c y o r r rw
l h i c l rt h c l l i r r l i l t ,
oll

u- ^ u.t* or special

:i 1",:have
f :::: l':l'
l_1I:,0.: to
. which
"1 the reader will ".,
counts
been published,
be referred.
Designing for durability (stressrequirements):
the designeris ,li.r."o

to tt.
eraturecoveringmachineelements
[6.6i, 6.7g,6.I0g,6..*5, O.iOl,6.2071.
He shouldHqJ
pay rpvLr.r
specialdrrtrr'u'
attentionto
ro cnanges
changes
in loadrng
ln
loadingconditions
conditionswith
with rime :r

time and
the correct estimates of the level and
type of the resulting stresses.
amage-accumulationcriteria help to improve
service-life predictions
[6.79,
1 9 1 ,6 . 2 0 9 1 .
In.determining stresses,the designer must
take stressconcentrationsandior
ultiaxial

axiarsrress
conditions
inri account
s.ii)",-i.2ts,6.240].
[6,.25,6.r.4r,
sscssmcnts
of durabilitymustbe basedon the materialprop".ir.,
and the
l p p r . ; r r i i r rfci r i r u rccr i t e r i [a6 . 2 2 . 6 . 7 6 , 6 . g 6 , . 6 . r 3 g , 6e..2i r0i ,2o, . z z o , 6 . z 2 r l .
: I)csignirrg t0 iril.w
f<tr dij orrnatictn.,stahility anrJresonance:'the
designer is

,:l]r]l,lll1i.rc
c.tcur.1i.ns
in nrcch.rrics
,,,,,i,,,u.ii,,"ctynamics:

Ij:1,::1
l ' c c h l r . ::'
i c s.ill:
. i r ' st lr r c r r g t h . p r . b r c r r rr sv . o l , t , 6 l l 7 .
6 .r 9 2' ,,6
lo.
, ,."2i 10 .r,l .lv, i, r1r r i r t i r l r r
p r o h l 1 , l 1l (sr\, l ( ) 6{, r l J i l : s t i r b i l i t p
y r o l r l t , r rlr(rr l ( ) l l ; , , , , , 1
.l tirritc

228

6 Embodimeutrlcslr'

elements [6.250].In 6.4.1 we have dealt briefly with the problems of designirrrr
with due allowance for the deformation caused by the transmission of forces
Designing to allow for expansion and creep, that is temperature phenometr;r,
will be discussedin 6.5.2 and 6.5.3, and designingagainst corrosion in 6.5.4
Wear poses an extraordinarily complex problern that is currently beirl
examined from many sides. The reader is referred to the literature [6.5, 6.lt t

6 . 1 0 56, . 7 t t ,6 . 1 6 26, . 2 3 4 1 .
Safety problems are treated at some length in 6.3.3.
General ergonomic problems are discussedin [6.96, 6.140, 6.764, 6.1]''
6 . 1 8 7 ,6 . 1 8 8 ] .T h e e r g o n o m i cu s e o f e q u i p m e n ti s d e a l t w i t h i n 1 6 . 4 6 , 6 . 4 ,16 . e \
6 . 1 I 2 , 6 . 1 1 7 , 6 . 7 7 3 , 6 . 7 7 4 , 6 . 1 8 4 ]M
. o n i t o r i n g a n d c o n t r o l a r e c o v e r e di n [ 6 . 1 . 1i
6.I72, 6.I89]. The harmful effects of noise and their mitigation are examineclrrr
[ 6 . 6 5 , 6 . 8 3 , 6 . 8 4, 6 . 1 1 4, 6 . 1 8 6 , 6 . 2 7 r, 6 . 2 1 7, 6 . 2 2 5 ] .
The form design of technical products involves special rules which 31s ssf oLrl
i n [ 6 . 5 6 ,6 . 1 0 3 ,6 . 2 1 . 8 ] .
Design for production and assembly (including quality control and transport) s
dealt with at some length in 6.5.6 and 6.5.7. Designing to standards(see 6.5 .t
helps with this aspect and also in reducing costs and improving schedules.
The problems involved in design for operation and maintenance depend vcrr
m u c h o n t h e p r o d u c t a n d i t s u s e . T h e r e a d e ri s r e f e r r e d t o [ 6 . 4 5 , 6 . 9 3 , 6 . 1 ( ) s
6.I35,6.2461 and also to the literature listed under ergonomics above.,
6.5.2 Designing to allow for expansion
Materials used in technical systemstend to expand when they are heated. Tlrt'
resulting problems must be taken into considerationnot only in the design ol
thermal devices in which higher temperaturesmust be expected as a matter ol
course, but also in high-performance engines and devices in which frictionrrl
h e a t i n gc a n o c c u r a n d s p e c i a lc o o l i n g i s e m p l o y e d .A s a r e s u l t ,s e v e r a la r e a su i l l
be affected by local heating. Moreover, deviceswhose environmental tempcr;r.
ture fluctuates significantly will only work properly if the physical effects ol
thermal expansion have been allowed for in the design [6.154].
Apart from the thermal effects of linear expansion, the designer must also
consider the purely mechanical expansion of parts subjected to heavy loading

G u i d e l i n e s f o r em b o d i m e n t d e s i g n

nate axis only, while the coefficient of cubical expansion defines the
tive change of volume per degree of temperature rise. For homogeneous
its value is three times that of the coefficient of linear expansion.
loefficients of expansion should be understood as mean values over the
icular temperature range/0^; they depend not only on the material but also
the temperature. At higher temperatures, the coefficient usually increases.
Figure 6.62 gives the coefficients of linear expansion of distinct groups of
ineering materials. It shows that with commonly used combinations of
ls, for example of 35C carbon steel with austenitic (I\CI18% Cr-Ni-Nb)
.-lnvar

(64%Fe,36%Ni)

..-

Tungsten
Molybdenum

Chromium

....-

Vanadium
Greycastiron
(10C/13%
13%Chromium
Cr)
Steel
Titanium,
35CCarbon
steel

Pureiron
- Gold

Austenitic
stainless
steel(10Cl1Bk
Cr-Ni-Nb)
Copper

Bronze

60

._

Polycarbonate

*-

Brass
Aluminium
Tin
alloy(cast),

g0

.-

(homopolymer)
Polyacelal

..-

Aluminium

66
Nylon

.-

Magnesium
Alloy

=.-

Nylon
6
(copolymer)
Polyacetal

N y l o6n1 0

I Expansion
E x p a n s i o nh a s b e e n t h e s u b j e c to f a h o s t o f s p e c i a ls t u d i e s .F o r s o l i d b o d i e st l r , '
cocfficicnt of linear expansion is defined as

Leao

e: ,411U..40,,,)
w l r c r c , , l / : c I l r r r g ci r r l c r r g t [ ( c x l l i r r r s i o r r ) t l rlrot .l r l ( , n l l ) c r i l t r t rrci s c < t 1t | 0 , , , .
/ - t h c l c n g t l rr l l t l r c c t l r r r p o n c nl ln r ( l c tr ' o t t s i r l c n r t i o rnr.r r t l
. 1 1 / , ,- ,- n l c i r nt e n ' l l ) c r l r t r r r r . ' t l i l l r ' t cl no cwc l t i c l rt l r c l r o t l vi s s t r b j c c t c t l .
'l'ltc
r ' o r ' l l i r ' i r ' r tot l l i t t c l r tc x l l t t t r i o s tt l c l t n c r l l t c c x p ; t t t s i o tot t l r s o l i r ll r l o r r Fr lr r r t '

D
l V t ' i r ttt' o r ' l l i c i c rot ll l i n c l r c x p t r n s i olror r v l r ri o r r sr r r i r t ci ar l s l( a ) n r c t a l l i c

230

6 Embodimentti,

steel, or of grey cast iron with bronze or aluminium, great care must be takcrr
allow for relative expansions because of the sisnificant differences in r
coefficients of thermal expansion. with larse dimensions. even the relatrrr.
small differencesbetween, say, 35C carbon steel and 13 per cent chromium sr
(10C11,3%Cr) can cause serious problems.
Metals with a low melting point, such as aluminium and magnesium.
greater coefficients of thermal expansion than metals with a high melting
such as tungsten, molybdenum and chromium.
Nickel alloys have different coefficients depending on their nickel conl(.nt,
Very low values occur in the range of 32-40 per cent by weight, with .l()';r
Ni-64% Fe (known as 'Invar') having the lowest coefficient.
Synthetic materials have significantly higher coefficients of expansion
metals.

lines for embodiment design

zJl

re 6.63a shows a body clamped at one point with no degreesof freedom.

al expansion it can expand freely from this point along the various
Figure 6.63b shows a plate that can be rotated about the z axis and thus has
ee of freedom. As shown in Figure 6.63c, this singledegree of freedom
simply removed by means of a slide. were this plate to expand under
temperature increases,it would have to rotate about the z axis. for the

-)
of treedom
'/,/ Delees
=0
r =0 . R

2 Expansion of components
To calculate changes in length, /1, the designer must know the temperatrrrc
distribution (position and time) in the component and hence the mean tempt'rr.
ture change with respect to the initial value.
If the temperature distribution does not change with time, we speak oi tg
steady or fixed expansion. If the temperature distribution changeswith time. rvc
speak of an unsteady or fluctuating expanslon.
In the case of steady expansion, the physical ouantities on which tl
expansion of the components depends are obtained from the basic equations:
/l:

a. l' /0n

/o-:t7l'nour*,
o*

The change in length /l which concerns the designer is therefore dependent orr!
- t h e c o e f f i c i e n to f l i n e a r e x p a n s i o nc :
-the length / of the component; and
-the mean temperature change A0^over this length,
and can be determined accordinslv.
The value thus determined has a direct bearing on the desisn: evt
component must be clearly located and must only have as many degrees t
freedom as are necessaryfor its proper functioning. In general, a point is fixcd
and the requisite translational and rotational movements are set by approprirrrc
guides, for example slides, bearings etc. A body in space (a satelritc or
helicopter) has three translational degreesof freedom in the x, y and z directiorrr
and three rotational degrees of freedom about the x, y and z axes. A sliclirrg
p i v o t ( f o r e x a m p l e t h e n o n - l o c a t i n gb c a r i n go f a s h a f t ) p r o v i d e st w o d e g r c c s. [
f r c c d o m - o n e t r a n s l a t i o n a la n c l o n c r o l a t i o n i t l , A b o d y c l a m p c c la t o n c p o i r r l
( l i r r c x a n t p l c a b u i l t - i n h c a r n ) , o n t h c ( ) t h c r h u n d , h u s n o c l c g r c c so l ' l ' r c c c k l r r ,
l.ityouts lritscd tln thcsc coltsidctltaont rlonc do nol. howcvcr. allow lor
cxpulrsiorrnutonrlticirlly. ils wc shttll now domonrtrute,

S = .90.Z-9m
Degrees
of lreedom
I = 0 ,R = 0

"A
L"= r",
"u

cd
6.63 Expansiondueto steadyuniformtemperature
distribution;continuous
line:
state;brokenline: highertemperature
state;
body attachedto a fixed poinl
plate can rotate about the z axis; that is. one degree offreedom
plate as tn
(b) but
in (D)
Dut wlth
with slngle
singledegreeof freedom removed by an additional sliding pivot
Plate
plate as in (b) but allowing for expansionwithout rotation. it would also be possible
le simple slideswhich might equally well be arrangedalong the x axis as along a line
the z axis inchned attan E = lyll,

does not lie in the direction of the expansion that results from the change of
h in the x and y directions..If the slide allowed only translational movement
did not also act as a pivot, then jamming would occur. By fitting the slide in
direction of one of the co-odinates(Figure 6.63d) it is possibleto avoid the
i < l no f t h e c o m p o n e n t .

fter deformationdue to thermalexpansiongeometricsimilaritywill only be

ttaincd if the followingconditionsare met:
Thc c<lcfficicnt
of cxpansiono must be constantthroughoutthe component
(isotrophy),whichcanbe takenfor grantedin practiceprovidedthat ontyone
kirul of mrtcrial is uscd and that thc tcmpcraturcdiffcrcnccsare not too
8rcilt,

232

6 Embodiment tlLrr

lines for embodiment design

T h e t h e r m a l s t r a i n s e a l o n g t h e xy,, z a x e s m u s t b e s u c h t h a t * : y: e z : a . , l
[6.131].
If a is constant throughout a component, then the mean temperature incrcr
must be the same for all three axes, so that we have:

symmetry line of the deformed state should, in the first instance.

be
tt both along the symmetry line of the component and also along that of
the

mposedtemperaturefield. However,asFigure6.646shows,tf,issymmetmay not be easilyidentifiablefrom the componentshapeand temperature

bution, so that the ultimate state of deformation must also be taken

into
nt. Ihat state, as we said earlier, may also be causedby external loads.
To
extent' our remarks also apply to guides of components subject to
large

/l*: 1*'a'/0^
llr:lr.a./0^
Zlt: lr'a' /0^

nical deformations.An examplewill be found in

16.12l.
following examplesmay serveas further illustrations:

and for the x and y axes:

al.
/l*

t a n c '0 : J : J

1.,
l*

The component must not be subjected to additional thermal loads, which rirll
not happen if, for instance, it is completely surrounded by a source of hr.:rl
[6.131].
As a rule, however, different temperaturesare measured in a single comp..
nent. Even in the simplest case, with the temperature distribution changing
linearly along the x axis (Figure 6.64a), a change in angle is produced whicli.

Figure 6.64. Expansion under non-uniform temperature distribution, here decreasing

linearly along the x axis:
(a) Plate correspondingto Figure 6.63d; non-uniform temperaturedistribution product
deformation shown by broken line; sliding pivot required
(b) Guide placed on symmetry line of deformed state so that a simple slide can be userl

again, can only be taken up by a guide with a sliding as well as a pivoti

movement. A simple slide, which allows translational movement with r
degree of freedom, can only be used if the guide lies along the line of symmct
of the deformation (Figure 6.64b).

If this conditionis not fulfilled, a furtherdegreeof freedommust be allowc{.

Hencewe obtainthe rule that guidesthat take up thermalexpansionand hirvc
one degreeof freedomonly must lie on a line throughthe fixed point, and tlrir
line must be the symmetryline of thc dcformcdstate,
The deformed state can be causcdby loud-depcndcntancl tempcraturc.
depcndcntstresses,in aclditionto thc exptndon itsclf, Sincc thc strcsslntl
tcmpcraturcdistributirtnalso dcpcndr on thc rhape of thc conrponcnt.tlc

233

gure 6-65 is the plan view of a device whose temperature decreases

from the
re to the periphery. It is supported on four feet. In Figure 6.65a one
of the

waschosenasthe fixed point. If the deviceis not to ,oLt. o,

iam, the suide

re 6.65. Plan view of a devrce.

temperature decreasesfrom
rcentre to the periphery, mounted
four feet:
Designatedfixed point on one
; simple slide along a line that is
the symmetry line of the
rature field
maginary fixed point in the centre
device formed by the
ion of the lines of expansron

lmaginary
point
fixed

only be placed along the symmetry line of the temperature field, that is
on
opposite foot. Figure 6.65b shows a method of providing guides along
netry lines, without a designated fixed point. The intersection of the linei
gh the guides constitutes an imaginary fixed point from which the device
expand evenly in all directions.In that case,two guides,for example I and2,
ld be omitted.
gure 6.66 shows the location of inner casings in outer casings
when a
mon centre must be maintained as, for instance,in turbines. If the deformed
pe of these components is not completely rotationally symmetrical, then
the
les must be placed on the symmetry lines to prevent jamming of guides
-Such due

say' oval deformation of the casings,(see Figure 6.66:D.

oval
rmation is causedby temperaturedifferences,especialryduring the warmphase.The imaginaryfixed point lies on the longitudinalaxisof tie casingor
ft.
Figure 6.67 shows an austenitic steel high-temperature steam inlet pipe
a
tich must be fitted into a ferritic steel outir casing b while protruding into
a

tic steclinnercasingc. Because

of markeddifferences
in thL two coeificients

expansion and also because of the considerable temperature differences

wccn thc componcnts; particular attention must be puia to relative expan-

1n.

An imaginaryfixcd point is provided by the rotationallysymmetrical

c s . i l n i l r r i l n g c m c n t c n s u r i n g t h e u n i m p c c l c de x p a n s i o no f t h e a u s t e n i t i c
p o n c n l t k l n g u n y l i n c t h r o u g h t h c i n r i r g i n u r yf i x c d p o i r r t . B c c a u s c
thc

aa i
L JL+

6 Embodimentclcsrlrr

Guidelines for embodiment design

235

the fixed point of the inner casing are not identical and no definite
rature distributionscan be assignedto the components.The double
e of freedom is obtained with the help of the piston-ring seal e which
ts the independent axial and radial movements of the inlet prpe.
lative expansion of components
far, we have been considering expansionin a relatively stable environment.
ry often, however, the relative expansion of two (or more) components has to
taken into account, especiallyin the caseof mutual loadingsor when certain
ces must be maintained. If in addition the temperature varies with time,

)n the designeris faced with a very difficult problem. The relative expansion
the two componentsis:

00
F i g u r e6 . 6 6 . L o c a t i o no f i n n e r c a s i n g si n o u t e r c a s i n g s :
(a) Arrangement of guidesdoes not allow for expansion;oval deformation of the
h o u s i n g sc a n c a u s eg u i d e st o j u m
(b) Arrangement allowing for expansion;guideslie along symmetry lines; no jamminr
with oval deformation

\i/
__-u-/l\

d r . t : G 1. 1 1 '/ 0 ^ 1 1 1 1 - a z . l z . / 7 n z ( t ) .
te relative expansion

relative mean temperature difference does not vary with time, and if the
:ients of linear expansion are identical, then all that has to be done to
ise the relative expansion is to even out the temperature or else to select
rials with different coefficients of expansion. often both are necessary.
s can be seen in the case of a flanged connection consisting of a steel stud
an aluminium flange (Figure 6.68). Because the aluminium has a higher
icient of expansion, a temperature rise will increasethe load on the siud,
:h may lead to failure. This can be prevented, on the one hand, by increasing
length of the stud and using a sleeve and, on the other hand, by usine

Figure 6 67 Inlet pipe a of a steam turbine made of austeniticsteel that takes the stearn
through the ferritic steelouter casingb to the inner casingc. Expansionplanesthrough
g u i d e w a y sr / d e t e r m i n ea n i m a g i n a r yf i x e d p o i n t . P i s t o nr i n g s e a l sa t c p e r m i t t h e a x i a l
a n c lr a c l i i rcl x p a n s i o no f t h e e n d o f t h e i n l et p i p c ( B B C )

tclnpcrilturc
distribution
at that pointis l'airlyunilitrm,thc rcspcctivc
raclialirrrrl
producca rcsultingcxp[n$i()n
axiillcxpilnsions
ulongthc indicatcdlincs.
lly crlntrasi,tlrc inscrtiolrol'tltc inlet pipe into thc inncr casilrgnlustilll()w
indcpcndcrtlcxplrtsionillon!llw() uxci. bccttnc thc fixcd point ol'tlrc irrlct;ri;x'

l r c 6 . ( r l l . . ( ' o r r n c c t r obny n r e a n so f a s t e e ls t u d a n d a l u m i n i u mf l a n g e
[6.147]:
ttlud crtdirrt.gcrcrl
bccauscalurrriniunrflaugc has gre:rterexpansion
i n c r l r p o r l t t i o ttlt l l n v i t t c x 1 ' r i t n s i osnl c c v cw i t h l r c ' o c l f i c i c r irltf c x l r u p s i e nc l o s ct o ( . 1
! i l o b i r l i r r r c tch c r c l l t i v c c x p t r n s i o no l t l t r r r g ct r r r tsl l r r t l

6 Embodiment dcsrlrr

components with appropriate coefficientsof expansion.If relative expansion r\

to be avoided altogether, then we must have:
dr"r: 0 : ar' lt'/0^t-Gz'lz'/0-zWith /1 : lz* lz and,t:

1:

everywhere display the same temperature-depenclentproperties. This can

be remedied if the expansions are kept under control by the carefully
ned introduction of appropriate cooling or heating.

a3'\'/0^3

l2l\the relative lengthof sleeveto flange becomes:

a3'/06-

Guidelines lor embodiment design

c\'A0^1

c1'/0^1- a2'/0^2

s t et ' l
With
steady-state expansion, /0^t: /0^2: /06
and with
( a r : 1 1 x 1 0 - 6 ) ,I n v a r ( a 2 : 1 x 1 0 - 6 ) a n d a l u m i n i u ma l l o y ( a z : 2 0 x 1 0 6 ) r r s
t h e c h o s e nm a t e r i a l s( a s i n F i g u r e 6 . 6 8 b ) ,w e h a v e 7 : l z l l t = 0 . 9 .
The designer will be familiar with the complicated expansion problerrrr
associatedwith the pistons of internal combustionengines.Here, the tempcrrr
ture distribution over and along the piston differs even in the near-steadystrrtr'
and, what is more, differences in the coefficientsof expansion of piston urrtl
cylinder must also be taken into account. One solution is the use of iul
aluminium-silicon alloy with a relatively smallcoefficient of expansion (smallt'r
than 20 x 10-6), of expansion-inhibitinginsertsthat are also good heat conclrrr'.
tors, and of a flexible piston skirt. The bimetal effect provided by steel inscrts
also helps to match the shape of the piston skirt to that of the cylinder [6.12t'l:
Fisure 6.69.

teady relativ e expansion

the temperature changes with time, for instance during heating or cooling
)cesses,we often find a relative expansion much greater than that which is
in the steady,final state. This is becausethe temperatureof the individual
ponents can differ considerably. In the common case of components of
rl length and equal coefficients of expansion, we have:
CIl: (12: C and \:

lr:1

d . e r: G ' I ( 2 0 ^ 1 ( t ) - / 0 ^ x r ) .

The_heating of components has been examined by, among others, Endres and
r l m [ 6 . 5 9 , 6 . 1 8 0 ] .N o m a t t e r w h e t h e r w e a s s u m ea s t e p o r l i n e a r t e m p e r a t u r e
nge in the heating medium, the heating curve will be characterisedby a time
stant. If, for instance, we consider the temperature change /0^ of a
ponent dunng a sudden temperature increase/0* of the heatins medium.
, u n d e r t h e a d m i t t e d l y a p p r o x i m a t ea s s u m p t i o nr h a t t h e s u r f a c ea n d m e a n
peraturesof the components are equal-which, in practice, is approximately
only for relatively thin walls and high thermal conductivity-we obtain the

shownin Figure6.70, with:

Z0^:

/0* (l - e-ttr)

/ is the time and Z is the time constant such that:

Figure 6.69. Piston of internal

combustion engine made of an
aluminium-silicon alloy with steel
insertswhich inhibit circumferential
expansion ; moreover the bimetal effect
ensures optimum adaptation of the
piston skirt to the cylinder (Mahle
design)from [6.126]

If, on the other hand,the choiceof materials

is restrictedin practice,then thc
designermust rely on temperatureadjustments.
In high-powergenerators.l()r
instance,large lengthsof insulatedcopperrod must be embeddedin the steeI
purposes
alonethe absolute
lnu\l
rotors.For insulation
and relativeexpansions
possible.
only
small
Here
thc
solution
keep
the
tempcralrrrc
trc kcpt as
as
is to
lcvcl to a minirnumlry cooling[(r.ll6. 6.23.51,
Morcovcr,if thcscfast-rurtrtirtg
thcrmll imbuluncclt
rotorshilvc largcdimcnsions,
may ()ccurtcvcn thoughthe
tcrrrpcrilturc
distributionis rclirtivclyunaform,
lhc rtltttr.bcclusc<ll'itsctlrttpli
rnrrlcrisltthrt
cirlcdstruclurciurdlhc virriotrs
havegoncirrtoil. nrirynrlt irlwlrrr

f :c'm
h.A

re:
specific heat of the component;
mass of the component;
heat transfer coefficient of the heated surface of the component: and
heated area of the component.
te the simplification involved, this approach may be considered funtal.
ith two componentshaving different time constants,we obtain temperature
9s that, at a given critical time, will have a maximum difference. At this
we have maximum relative expansion, and must provide clearancesto
thc expansionor run the risk of excessivestressesbeyond the yield point.
l idcntical tcmperature curves appear if the time constants of the two
t n c n t sc a n b c c q u a l i s e d .I n t h a t c a s e ,t h e r e i s n o r e l a t i v ee x p a n s i o n .T h i s
i v c c i r n n o t a l w a y s b c a c h i e v e d ,b u t i n o r d e r t o r e n d e r t h e t i m e c o n s t a n r s
l x i n r i r t c l yc q u i r l . t h a t i s , t r l r c c l u c ct h c r c l i r t i v cc x p a n s i o n ,t h c d e s i g n e rc a n ,
thc rclirtiolrship:

6 Emhodiment desilrr

238

l.1e

Guidelinesfor embodiment desisn

v - n r zl - r
A 2n.rl 7

Z9^tlnox
lZ.Sn,-

,J

+fA --a
(heated
tromoutside)t2' -____l/
Holrow
shal

Horowshar
6-A(heated
frominside)
\f__,

Prare

constantsof a step
Fisure 6.70. The effects on two components with different time
te"mperaturechange, A8*, in the heating medium

vl

T : c ' o '-- ' - .

Ah

_/

''L-'
\-{-a],

(heated
on oneside) o

*:>_]

fi:|iro.rborhsides)
S \
where

V: volume of the component;

e : density of the component,
either adapt the ratio of the volume V to the heated surface area A;
or else adjust the heat transfer coefficient h by means of , say, lagging.
Figure 6.71 gives the relationship VIA for a number of simple but representrttive bodies.

Brade

v tbt,
' A= t4 ='

,ffi
r{
tr'

V_ t b t - t
A 2tb 2

!_ A,t_A"
A

CI

re 6 .7 | . Volume-surface area relationship of various geometrical bodies, arrows

to heated surfaces

As a result, the clearance between the spindle and the sleeve will diminislt
dangerously.
fn a, tne sleevesare sealed axially but can expand freely radially. Moreovct,
their volume to area ratio is such that spindle and sleeveshave approximatclV
equal time constants.As a result, the clearanceremains more or less uniform lt
ali temperatures and can therefore be kept small. The surface of the valvc
spindleind the inner surfaceof the sleevesare heated by steam leaks, so that rvc
have:
(VlA)rrin6":

rl2
(VlA),t".u": (ruz- rl)12r,;
. c hilvc
w i t h r ; : r a n c l ( 7 / , 4 ) , n ; , ' , 1: 1 "( V l A ) , t e c \ cw
rl2:

(rri - r2)l2r

/n- r' V2

00
rc 6 72. Spindlc sealsof steam valves;
l i x c t l s l c c v cr c r l r r i r c sr c l i r t i v c l yl a r g cs p i n d l cc l c i r l i r r . r cbce c a u s ei t h a s n o t b e e n
I t l t o i r l k r wl o r c x p r r n s i o n
r : r r l i r r l l lvr c c l r r r t lr r x i l r l l vs c l r l c rsl l c c v cP c l r t r i t ss l t t i r l sl l t i t t r l l c l c i r n r n c cb c c i r t r s sc p i n t l l c
r l c c r c l t ; r r cl r c c r tr l c r i r r t c t ll o l t i r v ct l r e s l r r r r r . ' t t i lcco l l s l i l l t l

6 Embodimentdesirrr

Figure 6.73 showsvarious steam turbine housings.With appropriate design it

is possible to adapt the volume to area ratio of the housing and also the hcrrt
transfer coefficient and size of the heated surface to the time constants of thc
shaft, and thus keep the blade clearancesapproximately constantwhen startirrl
(heating) the turbine.

247

Guidelines for embodiment design

ence a gradual plastic deformation that, after a given period, may lead to
re. The ensuing time-dependentfracture stressis much lower than the 0.2
cent proof stress at the same temperature determined by short-term
riments (see Figure 6.74). Critical temperature and creep strength depend
ly on the materials used and must both be taken into consideration.with

s, the criticaltemperaturelies between300' and 400"C.

casing
Single

(partial)
blade
Separate
statronary
carrier

mm2

I
Double
casing

\-

II

(full)
bladecarriet
Separate
stationary

t\

Figure6.73. Steamturbine housingswith differenttime constants

fino
@

There are several well known methods for reducing the heat translt'r
coefficient of a component (for example by insulation) and thus for slowing
down the heating and reducing the relative expansion.
The ideas we have just put forward are applicable wherever temperaturcs
change with time, and particularly wherever relative expansion goes hand rn
hand with clearance reductions that are likely to endanger the functioning ol'
turbines, piston engines and machines operating in hot environments.

Heat
treatment
t h 930'C/0il
+ 2n730clan

I
200

\
\r

og

\\

\\
o62(105)
1
I

Critical
temperature
Ot

6.5.3 Designing to allow for creep and relaxation

I Behaviour of materials subject to temperature changes
When designingcomponents subject to temperature changeswe must take into
account not only the expansion effect, but also the creep properties of tlrc
materials. The temperaturesinvolved need not necessarilybe very high, thoLrglt
they usually are. However, there are some materials that will, even at temperir.
tures well below 100"C, behave in much the same way as metals do at very high
temperatures.
Beelich [6.9] has examined this subject at some length and in what follows u'c
shall base ourselveslargely on his findings.
Materials in common use, pure metals no less than alloys, have a polvcrystalline structure and a temperature-dependentbehaviour. Below a crilicul
t e m p e r a t u r et,h e s t a b i l i t yo f t h e i n t c r - c r y s t a l l i n cb o n d s i s l a r g e l yi n d e p e n d c n lo l
t i m c , a n d t h c y i c l d p o i n t c a n b c u s c c lt o c l c t c r m i n ct h c s t r c n g t ho f c < l r n p o n c r r l s .
C o m p o n c n t s a t t c m p c r a t u r c sa t t o v c t h c c r i t i c t t lt c m p c r i l t u r c a r c s t r u n g l y i r t l ' l r t c n c c d b y t h c t i n r c - d c p c n d c r r t r c h i r v i o u ro f t h c m a t c r i n l , I n t h i s t c n r p c r a t r r r c
r i l n g , c , r r r a t c r i i r l sw i l l . u r r t l c r t l r c i r t l l u c n c c t t f k l u d . l c n l p c r i l t u r c i u r d t i r r r e ,

0c
400
Temperature

(1osl

600

'
re 6 74. Characteristic values determined by high-temperature tensile strength and
:p experimentswith 21Cll 5% Cr-Mo-V steel at various temperatureslcritical
perature is the intersectionofthe curvesof0.27a proofstress and the stressfor 0.27c

strainin 105hours
when working with synthetic materials, the designer must allow for their

asticbehavioureven at temperatures
below 100"C.
In general, the modulus of elasticity changesinversely with the temperature
re 6.75a). The smallest changesoccur with nickel alloys
As the modulus of elasticity drops, so does the stiffnessof the components,
of synthetic components in particular (see Figure 6.75b).In their case,the

igner must know the temperatureat which the modulusof elasticitydrops

nly to rclativelylow values
Crcep
p o t l c n l st l r i t l i t r c P u t u n ( l c r l t l a d sl i r r k r t t gp c r i r x l sa t h i g h t c n r p c r l t u r c sw i l l ,

a Aa

6 Embodimentdesign

6.5 Guidclines lbr embodiment design

in addition to the strain given by Hooke's Law (e : ol E), also experienceplastic

with time. This property of materials, which is known as
deformation (eo1u,,)
'creep', depends on stress,the effective temperature 6 and time.
We say a material creeps if the strain of the components increasesunder
constant stress[6.9]. The creep curvesof various materials are well known [6.64.

t.rl
-l
al

"'l

6.eol.

2.10s
N
mm2
L!

1t
q

at1

#:ffi81'ffi

10(
N
mm2
l0l

N
' I c-rt*r2
Ir,
. , lr'rirr*
-T- t

l-.-rnermosets
(ol*
bl\

N p
; i,lilf
,, i
b_"t
\

. .^q
Ilu-

=r

i-Thermoplasticr

100 200 300 0c 500

TemPerature
t -... 0

l n ' 3 LD-polyethvlene
4 Epoxy
resin(pur
tl',.
5 4 + g l a s s r e i cnnf og \
I
100

-100

/irl

o\1/

100 2000c 300

Temperatu
re

Primary
Secondary Tertiary
creep
creepregroncreepregion region
(Accelerated
(Transitional
(Steadycreep)
creep)
creep)

Figure6.75 Relationship
of modulusof elasticity
to temperature,
of variousmaterials
( a ) m e t a l s( b ) s y n t h e t im
c atcrials

r e . 6 . 7 . 6S. t r a i n( a ) a n d c r e e pr a r e
w r t n d u r a t t o no f l o a d ( s c h e m a t i c
ntatron) ; characteristics of
varlous creep phases

Creep at room temperature

'.t':"]sanrtevenausteniticsteelsshowvarying
degreesof
,:t:?^::'.1:-r_1*lt
on,length

Before we can design componentsloaded to near the yield stress,we must kno\\'
how they react in the transition region between the elastic and the plastic statcs
[6.90]. With persistent static loads in this transition region, we can expect
primary creep in metals even at room temperature (see Figure 6.76). Thc
resulting plastic deformations are small and merely affect the dimensional
stability of a particular component. In general. steels show little creep when
s u b j e c t t o s t r e s s< 0 . 7 5 ' q y 2 o r < 0 . 5 5 ' o F , w h e r e a s , i n t h e c a s e o f s y n t h e t i c
materials, a reliable assessmentof the mechanicalbehaviour can only be madc
by consideration of the temperature and time-dependent characteristics.
Creep below the critical temperature
Previous studies 16.90,6.971of metals have shown that the customary calculir
t i o n s , b a s e d o n h i g h - t e m p e r a t u r ey i e l d s t r e n g t h a s t h e m a x i m u m p e r m i s s i b l t '
s t r c s sf o r s h c l r t - t e r ml o a d s .a c l d i t i o n atl h c r m a l l < l a c las n c ll o a d v a r i a t i o n s ,s u f f i c t
t u pt o t h c c r i t i c a lt c n r p c r a t u r c .
W i l h c o t r r p o n c n t tsh a t r l r u s th i r v c l r i g l rt l i r n c n s i o l t i sr lt i r b i l i l y ,h o w c v c r . t h t '
c h t r r l c t c r i s t i cosl l h c r r r i r t c r i ; t l c i c l r r r i r t c hr lv c r c c p c x p c r i n r c r t t rst t r r s ltr l s o l r t '
t i r k er r i r r t ot ' o l r s i t l t ' l r t i o rcrv, c r rr t n t r x l ( ' t n l c l hVi p h l c t t t l ) c l t l t t t ( ' sI ,l t u r l l o v c rrlt t t r l

,1.^l.r11g

of operationandworking,"-;;;;i;.

st turai.n*;:
#;,,i;
try ere
vated
:*:i:,,1".": T: :,"1,.
-.: ?1."i: ruc
"
may
lead
tJ
u
.urr.J
t",iil*";;;
:l*::-3:l..11a1sform1tions
rependence
of I
properties
of themateriurr,
:9-"n:"-of-the

s [ 6 . 1 0 7 ,6 . 1 3 2 ] .

*;i;hlr r.iTtr" .#"'r,l,il

above the critical temperature

this temperature region, mechanicalloads
wilr causedeformations in metals

j::"?"f: lT:f::t'll,"..y,..Jd,rt..neir,,inat
is thematerials
willcreep.
rn
:ral,thisprocess
canbe dividedintoihreeff,ur".
6.g7l(FiCr*;i;6;l
16.g0,
changes,*reueginnin
d ;f i?" tertiary
:. phase
lln:.T:must
be consider"d
dung".our.
"1n;:,:*J,,::1"1i,_"_,e
l..rlJirr";;"i;t..; ffiru,:i
s at approximatelyl per
centpermanentstrain.Fig"ure
o.zzlir"*, the 10s

crcep strengthso1o7n1111s
at 500"C of various steels.
Rcluxation

I t l i t t l c d s y s l c n l s ( s p r i r r g s ,b o l t s , t c n s i t l n w i r c s .
shrink l'its), thc ncccssary
l i r t l p r o t l u c c si r r t o v c r i r l l s l r i r i n r , ( c k r r r g l r t i o r r
, l / ) . l l c c i r u s co l . c r c c p i r n r l

f r E , m h o d i n t e ndt e s i g r t

244

245

Guidelinesfor embodiment design

300
N
mmZ

250

I 200
I

b tsn

Critical
temperature
ol

ot

100

(cast
17Cl1
5o/"Cr-lVo-V

10

t,

?
L
6 8102
in N/mm2
Stress

6 8101

correspondingto a lVo permanent strain of various steels after 105

Figure6.77.Stresses
hoursat 500'C[6.1461
settling of the material due to plastic flow at the bearing surfaces and split lines.
the ratio of plastic to elastic deformation gradually increases.The phenomenort
'relaxation'
[6.60,
of decreasingelastic strain at constant overall strain is called

6.24t,6.2421.
Loaded components are usually preloaded at room temperature. Becausethc
modulus of elasticity varies with the temperature (Figure 6.75), the preload
decreasesat higher temperatures even without a change in length of the loadecl

super-imposed stresses(normal or tangential to the surface). Studies of thc

relaxation of bolted flanges [6.60, 6.241, 6.242) have shown that plastic
deformation also occurs at the split lines and bearing surfaces(settlement) and irt
the threads (creep and settlement).
To sum up, we can say that, with metallic components:
- The drop in preload depends on the relative stiffness of the parts loadetl
againsteach other. The more rigid the connection, the greater the drop in thc
preload due to plastic deformation (creep and settlement)'
- Although settlement can be appreciably offset during the tightening of boltctl
flanges or the assemblingof shrink fits, the designershould, where possiblc,
provide for few but accurately machined surfaces (split lines, bearipg
surfaces).
- T h e r e i s a t e m p e r a t u r el i m i t b c y o n d w h i c h t h e m $ t e r i o lc a n n o t b e p r o p c r l r '
u s c d ( F i g u r c 6 . 7 f t ) , I n a d c l i t i o n ,t h c d c s i g n e rt h o u l d t l w t t y s c h o o s c m a t c r i i t l r

M12steelbolts/nuts
0 o-.-o 45C/10C
.---{
34C11"/"
Crl3SC
* -----+ 42C
I 1okCr-Mo/35C
b x-x

C/l 5o/"Cr-lvo-V

21C 1 5"/" Cr-Mo-V/25Cl1oio

Cr-

200

250

300

350

400 450 500

Temperature

5500c 600

: 6.78. Remaining pre-load stressoo,"(103)after 1000h in bolted joints at the

iling temperature. Preload : 0.2o/oinitial strain [6.242]

in which the appropriate yield point is not reached even with superimposed
operational stresses.
In the short term, high initial pre-loads (initial clamping forces) give rise ro
higher residual clamping forces. ln the longer term, the residual clamping
forces become relatively independent of the initial preload (Figure 6.79).
Joints that have already undergone relaxation can be tightened up if the
toughnessof the material permits. As a rule, creep of about 1 per cent, which
leads to the tertiary creep region, must not be exceeded.
If joints are subjected to an alternating load in addition to the static preload
(Figure 6.80), then, as experiments have shown, the amplitudes tolerated
during relaxation-dependentdecreasesin the mean stress are considerably
greater than those tolerated at constant mean stress.However, relaxationdependent decreasesin the mean stresswill often lead to a loosening of the
hen using bolted joints made of synthetic materials, the designer tries to
advantase of their small electrical and thermal conductivities, their
ance to corrosion, their hieh mechanical damping, their small specific
ts etc. In addition, such joints must, of course, have the appropriate
h and toushness.
Specialattentionmust also be paid to preloaddecay, lest the functioning of

jointsbe seriouslyimpaired.
S p e c i asl t u d i e s[ 6 . 1 3 6 ,6 . 7 3 7 ,6 .2311have shown that in svnthetic.unlike
l l i c .m a t c r i a l s :
the prcltlad rcmainingaftcr a givcn timc ilnd at room tcmperaturcis
dclcrmincdhy thc nratcrillitsclfand its tcndcncyto ubsorhmoisturc:and

246

6 5 Guidelines for embodirnent design

6 E t n b o c l i r n e n td e s i g n

110
N
mm7
120

M l 2B o l3t 4 C l 1 C
" kr
M 1 2N u 3t 5 C
Testtemperature
450'C
Relaxation
A
static
+o. N/mm2
dynamic
o35
.90
. 100

1t?

lm!lo

F^
"'

s
TI

tAe

-Fu
"AB

=
E

Fp.lt9 99^ltrengthand^durability
of boltedconnections
arexperimental
remperature
of 450'C[6.2a|l;sizeMt2; boft34alt%Cr sreel;nut35Csteel;'staiil
stress
3.5-5
fie'load
N/mm2;
(a) creep experiment (b) alternatingfatigue (wohler) experiment (c) fatigue
relaxation
expenment (seeFigure 6.79)

No of loadapplicatjons
iV*

10-2

101

l l f T l 0I -

100

10,

h-----?

Figure 6'79. Effect of different levelsof initial joint pre-load on the residualctamping
force with time, for both static and alternating(fatigue) loading

continual changesin the absorption and releaseof moisture have a particular-ly deleterious effect.

4 Design features
In order to increasethe potential life of componentssubject to long-term loacls.
the designer must familiarise himself with the behaviour with time of the
material involved. According to [6.90], it is dangerousto use short-term valuc\
to predict Ioad responsesfor periods of l0s hours or longer.
It is impossible to avoid thermal stressesin all componentsby specifying tht.
use of highly alloyed materials. Appropriate clcsign features are often m()rc
u s e f u l t h a n c h a n g e si n t h e m a t e r i a l .
T h c c l e s i g nm u s t b e s u c h a s t o k c c p c r c c l l w i t h i r rp c l n r i s s i b l cl i n r i t s .w S i c h c i r r r
bc clonc ['ly rncansof:
- : t h i g h c l i t s l i cs t r i t i l tr c s c r v c ,w h i c l r l t c l p r l o
k e c p d o w n i r t l t l i t i o n l rflt 1 r t l st l u c t o
l c n l l ) c r i l t r r r lc' l r r c t r r i r t i <(tsncsc l r i g r r r c6 t { l } ;

Figure6.81.Austenitic-ferritic
steelflaneed
joint for operatingremperatures
of 000"i
[ 6 . le e l
-

insulatit'r' or cooling of the component as in steam turbines

and in gas
t u r l ' r i n c s( s c c F i g u r e 6 . 8 2 ) :
- t h c i r v . i d i r n c co f m a s sc o n c e n t r a t i o n s
w h i c h , i n u n s t e a d yp r o c e s s e sm
, ay lead
t o i l r c r c i r s c rt!h c r n r a l l < l a c l i n ga; n c l
-' tltc
l ) r c v c l l t i ( ) no l c t ' c c P i t t t t t t w i r n t c dr l i r c c l i o l r sw l r i c h c a n c i r r r s cl u n c l i < l n a l

6 Embodiment desigrr

248

5 Guidelinesfor embodiment desisn

In-other words, the part which is moved during dismantlingshould not pr..iccl
ially beyond the fixed part [6.154].

Designing against corrosion damage

often happens that corrosion can only be reduced, not completely avoided;
)reover the use of corrosion-proof materials may not be economical.It follows

Figure 6.82. Double casing steam turbine with shrink rings that hold the inner casing
together. Relaxation of the shrink rings is reduced by cooling with exhaust steam. As the
machine increasesits output, the shrink rings exert an increasing pressure thanks to
growing temperature differences between the steam inlet and outlet. The shrink rings are
Jeated on heat-inhibiting segments which, with the help of shims, permit the original
shrink fit to be restored after relaxation (BBC design)
failure (for instance the jamming of valve spindles) or dismantling problems

( s e eF i g u r e 6 . 8 3 ) .
In Figure 6.83a the material of the cover creeps into the relief groove. Thc
cover, which heats up more quickly, pressesagainst the centering surface an(l
also creeps at point y. The cover shown in Figure 6.83b is a better design since,
despite the creep, it can be dismantled easily. In addition the cover has been
made hollow so that it cannot exert a significant radial force on the centering
surface.

Causes and effects of corrosion

'hile
the formation of metal oxide layers in dry environments and at higher
mperaturestends to increasechemicalresistanceto corrosion, relativelv weak
trolytes are formed in conditions below the dew point and these generally
to electrochemicalcorrosion [6.r9i). corrosion ii also fostered bv the fact
at different components have contacting surfaces with different properties, for
stance due to the inclusion of various noble or base metals, to differencesin
talline structure, and to residual stressesset up, for instance, by heat
tment and welding. In addition, wherever the design calls for slits or holes.
ere appear local ditt.erencesin electrolyte concentrationeven in the absence
of
rences in electric potential resulting from the use of different materials.

Accordingto [6.89,6.r93,6.r94,6.20g,6.212]we mustdistinguish

between
iform and locallyconcentrated
corrosion.The latter has a variety of causes

d effects, so that we must further distinguish between corrosion in crevices,

ntact (bimetallic) corrosion, transition zone corrosion
corrosion
[6.ri7),'erosion
trgue, stress corroslon cracking and corrosion accompanying
and
vitation.
The preventive measures depend on the respective causesand effects. various
a m p l e sa r e g i v e n i n 6 . 5 . 4 . 4 .

force
Sealing

Uniform corrosion
presenceof moisture (weak electrolytes) combined with oxygen from
the
e n t , particularly below the dew point.

F i g u r e6 . 8 3 .C e n t e r i n ga n d s e a l i n go f a c o v c r l 6 l 5 4 l l
lhc rclicf g,rtxlvcatrd at.l'
(af Dismantling is impeclcclbccauscthc nrltcriitl c'rccgts,into
ftlrccs.('rccp docs
with
tmtllcr
clttmping
scitl
t)cttcr
provirlcs
il
ccigc
r",,li'rg
Cunuc*
it.rj
tlclign
irrrprrlvctl
ttl
not inrpcdc tlisnrlntling tltlrtks

rtensivc, uniform corrosion of the surface;in steel, for instance,approximatelv

I m m . p c r a n n u m i n a n o r m a l a t m o s p h e r c . S < l m e t i m c sm o r e ' p . o n o u n . . o

:rlly, cspccilllyin zorrcskcpt l'rcclucntly

below thc dcw point arrclhcncc

250

6 Embodiment desigl

subject to moisture concentration. Uniform corrosion is fostered by greater

activity of the medium, higher flow velocity, and intensive heat transmission.
Remedies
-

Provision of uniform service life by means of appropriate wall thicknessesancl

materials.
- Design based on a concept that obviates corrosion or makes it economicallr
acceptable (see Example 1 below).
- The use of small and smooth surfaces involving geometrical shapes with rr
maximum volume to surface area ratio (see Example 2 below).
-The avoidance of moisture traps (Figure 6.84).
- The avoidance of local temperature differences by good insulation antl
prevention of hot or cold bridges (see Example 3 belbw).
-The avoidance of flow rates greater than 2mls.
- The avoidance of areas of high and differing thermal loads on heaterl
surfaces.
- The application of a protective coating, possibly in conjunction with cathodit
protection.

Guidelinesfor embodirnent design

251

Local corrosion
I corrosion is particularly harmful because, unlike uniform corrosion. it
ces very hrgh stress concentrations and also because it cannot alwavs be
ticipated. For that reason, the zonesin question require specialattention right
m the start.
roston tn crevrces

ost often, the accumulation of acidic electrolytes(moisture,

aqueous

dium), followingthe hydrolysisof corrosionproductsin crevicesetc.

In rust_
acid-proof steels, there is a breakdownof passivitydue to
depletionof

ygen in the crevice.

ffects

ased corrosion in hidden areas.Increasedstressconcentration

in areasthat
ln
any case, under greater stress.Danger of fracture or separtion
,
without
or warnlng.
edies

wr0ng

righl

wr0ng

right

The provision of smooth, crevice-freesurfacesand connections.

The provision of weld seams without permanent crevices;
the use of butt
seamsor through-welded fillet seams(Figure 6.g5).
The sealing of crevices, for instance by providing protruding
parts with
moisture-proof sleevesor coatings.
wr0ng

IL--_-j L

right

tr-tr
Drainhole

c
Figure 6.t14.Drainage of componentssusccptiltlct<lcttrrtlsion;
(a) clcsignof l'klrlrscncouragingantl irrtllctlittgcorrttrittn
( l l ) w r o n g a r r dr i g h t i r r r i l t t g c n l c t totl s t e c ls c c l i o n r
( c ) b r l c k c t s r u i r d co l c h i t t t n c sl c c t i o t tw i t h t l l n i n h o l e

r c 6 . 1 i 5E, x a m p l eosf w e l d e di o i n t s ;

, s u s c c p t i b l cl o c o r r < l s i o ni n c r c v i c e s
r) c o r r c c tt l c s i g na c c o r d i n gt o [ ( r .I 9 7 1
) u c v i c e - l l c c w c l t l i r l gt l f ' p i p c s ;i t l s oi n t p r o v c sr c s r s t i u l c tco s t r c s sc o r r o s r g rcr r l c k i p g

252
-

( r E , m b o d i r n e n td c s i r l

5 Guidelines for embodiment design

t)_t

The enlargement of crevices so that throughflow prevents the accumulation ol

moisture.

Cont act (b imetallic) co r r o sio n

Cause
The contact of two metals with different potentials in the presence of lrrr
efectrolyte 16.196,6.208).

Endangered
atea
valve
to venting

Effects
The baser of the two metals will corrode more rapidly than the nobler round the
contact area, and the faster the smaller its surface area. Once again, the stress
concentration is increased and corrosion products may be deposited. Suclr
deposits have secondaryeffects of various kinds, for instancethe production ol
slime, contamination of the medium etc.
Remedies
- Use combinationsof metals with small potential differencesand hence a smlll
contact current.
- Prevent aetion of electrolyteson the contact area by providing local insulatiorr
between the two metals.
- Avoid electrolytesaltogether.
- If necessary,resort to planned corrosion by introducing still baser materials irr
the form of 'sacrificial anodes'.
Transition zone corrosion

,ure6.86. Increasedcorrosion at the transition from the gaseousto the Iiquid state
197]due to concentrationof the m e d i u m i n the region of the water line oi a vertically
anged condenser.This can oe re medied by raising the water level

rosion fatigue
SE

ive attacks on a component subjected to mechanical fatigue loadins

i a b l y r e d u c e i t s s t r e n g t h .T h e g r e a t e r t h e l o a d i n g .t h e m o r e i n t e n s et h !
rrosion and the shorter the life of the comDonenl

Causes
Changesof state of the medium or its componentsfrom the liquid to the gaseous
phase and vice versa tend to increasethe danger of corrosion of metallic surfaccs
in the transition zone. That danger may be increasedfurther by encrustations

ure without distortion, as in fatigue failure. Because the corrosion pro, especially in slightly corrosive media, can only be seen under a micro, this type of corrosion is often mistaken for normal fatisue failure.

[6.re]1.
Effects
This type of corrosion is concentrated in the transition zone and is the more
pronounced the more sudden the change of state and the more aggressivethe
medium [6.177].
Remedies
-The gradual input and removal of heat by a heating or cooling element.
-The reduction of turbulence, and hence of heat transfer coefficients at tht'
i n l e t o f t h e a f f e c t e dm e d i u m , f o r i n s t a n c eb y m c a n s o f g u i c l ep l a t e s .
- T h e p r o v i s i o no f c o r r o s i o n - r e s i s t i njga c k c t si r t c r i t i c l l l l o i n t s ( s c c E x a m p l c s i
and 4).
- T h c a v o i c l a n c oc l ' t r i r n s i t i o nz o n c p r o l l l c r t t sl t y l p p r < t p r i i r l cr l c s i g nI c i r l r r r c s
Fiuurc (r.fi(r.

The minimisation of alternating mechanicalor thermal stressesand especially

avoidance of oscillatory stressesdue to resonancephenomena.
The avoidance of stressconcentrations.
The provision of compressivestresseson the surface by shotblasting,roller
burnishing, nitriding, etc to increasethe working life.
The avoidance of contact with corrosive media (electrolytes).
The provision of surface coating (for example rubber, baked enamel, hot dip
galvanisation,aluminium etc).
s,scorrctsio n crac kinp

a i n s c n s i t i v cn t a t c r i a l st en d to develop trans- or inter-crystallinecracks if

i c t c l r s i l c s t r c s s c sc < l m b i n c w i t h a s p c c i l ' i ct r i g g c r , T h c s c r n a t c r i a l sa r c :

254

desirrr
6 Embodiment

unalloyed carbon steels, austenitic steels, brass, magnesium, aluminium allors

and titanium alloys.
Effects
Depending on the medium [6.197), various very fine and rapidly developinr
trans- or inter-crystalline cracks appear in the component. Adjacent parts arc
not affected.
Remedies
- The avoidance of sensitive materials, which may not, however, be possible
becauseof other requirements.
-The
substantial reduction or complete avoidance of tensile stresses on the
attacked surfaces, for instance by preloading or shgt-blasting.
- The reduction of residual tensile stressesby annealing.
- The application of cathodic coatings
-The
avoidance of corrosive influences bv lowerins the concentration antl
temperature.
Corrosion accompanying erosion, cavitation and abrasion
Corrosion may accompany erosion and cavitation, in which casethe breakdown
of the material is accelerated.The basicremedy is the avoidanceor reduction ()l'
erosion and cavitation by hydrodynamic means or specialdesignfeatures. Only
when this is not possible should such hard surface treatments as metal spraying
or hard chrome coating be considered.
Abrasion spots can appear, for instance,as a result of thermal expansion, or
of pipes vibrating againsttheir supportsetc. In either case,the oxidic protection
layer on the surfaces of the rubbing parts may become damaged. Exposecl
metallic areas have a more negative electrochemical potential than thosc
covered with a protective layer. If the fluid medium is an electrolyte, thesc
relatively small exposed areas will be broken down electrochemicallyunlessthc
protective layer can be regenerated.
Remedies
- Reduce the vibration of the pipes by reducing the flow velocity inside thenr
and/or change the distancesbetween the supports.
- Increase the gaps so that no rubbing contact takes place.
- Increasethe wall thicknessof the pipes, thus increasingtheir stiffnessand thc
tolerable corrosion rate.
-Use pipe materials that readily accept protective coatings.
I n g e n e r a l ,t h e d e s i g n e rs h o u l d a i m a t e n s u r i n gt h e m a x i m u m a n d u n i f o r m l i l c
o f a l l c o m p o n e n t s[ 6 . 1 7 7 ] . I f i t s h o u l d p r o v e c c o n o m i c a l l yi m p o s s i b l et o m c c t
t h e s er e q u i r e m e n t sw i t h t h e a p p r o p r i i l t cc h o i c co f m a t c r i a l sa n d l a y o u t , t h c n t h c
designcr must providc for thc rcgullr monitoring of all urens and comprtncnts
particularly pronc to corrosion. ftlr insluncc hy virual inspcction und rcgulirr

255

Guidelinesfor embodiment design

asurementsof the wall thicknesses,

directly by mechanical or ultrasonic
ods andiorindirectlyby meansof corrosionprobes that can be scrutinised
d replacedat regularintervals.
Corrosionshouldnever be allowedto proceedto the point where it threatens
ty (6.33.{.
Finally, the reader is referred back to the principle of the division of tasks
4.2), with the help of which even difficult corrosion problems can be solved.
, one component might provide protection against corrosion and provide a

, while another provides support or transmits forces. As a result, the

bination of high mechanical stresseswith corrosion stressesis avoided. and
choice of materials for any one component becomeseasier [6.155].
Examples of designing against corrosion damage

ample I
ye is used to absorbCO2 from a gaseousmixture under pressure,and the
2-enriched lye is then forced to surrender much of its CO2 by expansion
neration). The position of the expansionchamber in a gas-washingplant is
rmined by the following factors
If the lye were expanded immediately behindthe washingtower (Figure6.8'7
,
int A) the pipework to B would have to withstandlowerpressures
and would
Preferred
location
forexpansion

in C02)

C02outlel

Gasunder
pressure
in C0r)

Pump

Figure 6.87. Influence ofthe

point chosen for the
expansion of COr-enriched
lye on the choice of material
for the pipework from A to B

ingly allow a saving in wall thickness. However, because of the release of

the agressiveness
of the lye permeatedwith CO2 bubbleswould increaseto
an extent that the cheap-unalloyed pipe steel commonly used would prove
and hence have to be replaced with a more expensive rust and
material. For that reason,it is far better to keep the CO2-enrichedrye
pressureuntil it enters the regeneration tower (point B).

desiqner has to choose between two methods of storing compressed gases

re 6.t3tt):
3(I
cylindricalcontainers,each with a capacity of 50 litres and a wall
)
thickncss
of 6 mm:

256

6 Embodiment dcsigrr

Figure6.88.Influenceofcontainershapeon corrosion16.l77linthecaseof gasesstoredrrr

200bar:
(a) in 30 cylinderswith a capacityof 50 litreseach;
(b) in a spherewith a capacityof 1.5mr'
(b) 1 sphericalcontainer with a capacityof 1 .5 m3 and a wall thicknessof 30 mm.
Solution b is less prone to corrosion for two reasons:
-The surfaceexposedto corrosive attack is approximately 6.4 m2, and is aborrt
five times smaller than it is in a. In other words, less material is lost througlr
corrosion to the same depth.
- For an anticipatedcorrosion depth of 2 mm in 10 years, the loss of strength irr
a is such that the wall of the container must be increasedto a thickness ol
8 mm, while corrosion to a depth of 2 mm in the 30 mm wall of container b is
relatively insignificant. The sphericalcontainer is therefore the better design

251

5 Guidelinesfor embodimetrt dcsign

re 6.89. Outlet of a
ner for superheated
and CO2 under
original design
insulatedoutlet avoiding
rt
nsatlon
) other corrosion-resistant
nts with separate
ponents

)
)

1 lnterchangeableand/or
wallthickness
2 greater
(depending
on losses)
material
3 moredurable
L

Gos

of the two.
Example 3
Figure 6.894 shows the original design of a container holding a mixture ol
super-heatedsteam and co2 16.1711.The outlet is not insulated and cooling
leads to the formation of a condensate with strong electrolytic properties
Corrosion will attack at the transition zone between the condensate and thc
gaseswith the result that the outlet may break away.
Figure 6.89 shows two solutions: a using insulation and b using separate
components made of more durable materials'
Example 4
In a heated pipe carrying moist gases,the inlet to the heated area is particularlv
prone to corrosion (Figure 6.90a). A lesssudden transition (Figure 6.90b) or art
extra protective sleeve (Fig. 6.90c) offer remedies.

6.5.5 Designingto standards

I Ob.jcctivcsof standardisatitllr
A n c s s c t t t i i tll' c i t t t t r c< l l ' t l t en t c t h t l t l sw c l t i t v cl r c c n d i r c t t s s i n gi s t h c h r c i l k t l < t w trtl l

Region
threatened
bycorrosron

ngmeorum
00
re 6.90.Corrosionin a heatedpipe[6 1771
severecorrosion at the inlet due to suddentransition
suddentransition avoided
protective sleevecoverscritical zone and mitigatessuddentransition

x into simple problems. Thus, in the conceptual phase, the overall

nction is broken down into simpler sub-functionsto facilitate the searchfor
-f'r.rnr;tioncarriers or the use of design catalogues. In the embodiment
p h i t s c . t o o . i t i s h c l l l l ' u l t o w o r k s e p a r a t e l yo n i n d i v i d u a l a r e a s o r a s s e m b l i e s
b c t i l r c r c c o r r r l t i n i n gt h c r r r i n l < l r r n o v c r i t l l l i r y o u t c l c s i g n .l f w e e x a m i n c t h i s

258

6 Embodiment design

approach in the light of the minimisation of effort, we are bound to ask to what
extent generally applicable function carriers can be determined and documented
so that the designer can have ready accessto tested solutions-that is, to known
elements and assemblies.
This question has also been raised in connection with standardisation which,
according to Kienzle [6.100], can be defined as follows:
'Standardisation
lays down the definitive solution of a repetitive technical or
organisational problem with the best technical means available at the time. It
is therefore a form of technical and economic optimisation limited bv the time
factor.'
Further definitions can be found in [6.33]:
'Standardisation
determines the best solution of recurring problems,'
or in [6.36]:
'Standardisation
is the systematic unification by those concerned of material
and immaterial things for the benefit of the community.'
Standardisation considered as the unification and determination of solutions.
for instance in the form of national and international standards (BSI, DIN.
ISO), of company standards, or of generally applicable design catalogues,and
also of data sheetsis becoming of increasingimportance in systematicdesign
Here, the fact that the objectives of standardisationare to limit the range of
possible solutions in no way conflicts with the systematic search for a multiplicity
of solutions, because standardisation is largely confined to the determination of
individual elements, sub-solutions, materials, computation and testing procedures etc, while the search for a multiplicity solutions and their optimisation is
basedon the combination or synthesisof known elementsand data. Standardisation is therefore not simply an important complement to, but the prerequisiteof,
the systematic approach, in which various elements are combined as so many
building blocks.
It is, however, important to stressthe limitations of all types of standardisation. As Kienzle stated: 'Standardisation. . . is a form of technicaland economic
optimisation limited by the time factor'.
The data in standardsare time-dependentand must be continually updated to
reflect technological changes.
In what follows, we shall be examining the possibilitiesof, need for and limits
of, standards in the design process. In addition, the reader is referred to the
c o m p r e h e n s i v el i t e r a t u r e [ 6 . 1 3 , 6 . 3 3 , 6 . 3 4 , 6 . 3 6 , 6 . I 0 I ) .
2 Types of standard
In technical devices, standards of various origin, content, range of application
and complexity are used in the design of even the simplest components. Thus
B d n n i n g e r [ 6 . 4 ] h a s s h o w n t h a t n o l e s st h a n 3 0 s t a n d a r d sw e r e i n v o l v e d i n t h c
d e s i g n o f a s i m p l e c o m p o n e n t f o r a p a r t i c u l u r p r e c i s i o n - e n g i n e e r i ndgc v i c c .
D e s i g n e r sa v e r s e t o s t a n d a r d i s a t i o n( ' S t a n d a r d i r a t i o na s a s t r a i t j a c k e t ' 1 6 . 4 1 )
should considcr how many standarclsthcy uro unwlttingly in thcir daily work. lt'

6.5 Guidelines
for embodiment
desien

259

they do so, they will find that standards are the indispensable foundation and
prerequisite of all types of design work.
The following discussion of types of standard is meant to:
- draw the attention of systematic designers to this important method of
acquiring an organised body of information;
-encourage them to make wide use of standards;
- invite them to suggest new standards or, at the very least, to influence the
development of standardisation;and
remind them of the crux of standardisation, namelythe systematicarrangement of facts with a view to their unification and optimisationin the light of
functional considerations.

y their origin we distinguishbetween:

nationalstandards
of BSI (BritishStandards
Institution)or the DIN (German
StandardsInstitution);
European standardsof the CEN (Comit6 Europ6ende Normalisation)and
CENELEC (Comitd Europ6ende NormalisationElectrotechnique);
recommendations
of the IEC (InternationalElectrotechnical
Commission);
and
recommendations
and more recentlyuniversalstandards
by the ISO (InternationalOrsanisationfor Standardisation).
By their content we distinguish, for instance, between communication stanrds, classificationstandards,type standards,planning standards,dimensional
dards, material standards, quality standards, procedural standards, opertional standards,test standards,delivery standardsand safety standards.
By their scope we distinguish between basic standards,that is general and

terdisciplinarystandards;and specialstandards,that is standardsused in

list fields.
The level of a standard is determined by its breadth, depth and range of

lication.
A full standard covers every possible aspect, a partial standard does not
de all the details, and an outline standard provides a rough and ready
mework in areas where technical development might be impeded by full
ndardisation. It is usual to develop outline standards before partial standards
these before full standards, which are, in any case, relatively rare. One
rd can, and usual does, play several roles.
Besides the national and international standards we have mentioned. the
igner can also have recourse to the rules and regulations published by
essionalengineeringorganisations[6.50, 6.2271.These are important as they
the way for further standardisationafter initial trials.
The designer can also have recourse to a variety of internal company standards

regulations
as follows:
[6.3I, 6.5I,6.66,6.238].Thesecanbe classified
compilations of representative standards, that is, a selection from general
standards that is applicable to the special requirements of a particular
c<lmpany-for instance,stock lists and comparisonsof old with new standards
(synoptic stanclarcls)
;

260

6 Embodiment desigl

-catalogues, lists and data sheetson bought-outparts, including their storage

and also data on the acquisition (ordering/supply) of raw materials, semifinished materials, fuels etc;
- cataloguesor lists of in-house parts, for instance machine elements, reperlt
parts, assembliesetc;
- information sheetsfor the purpose of technical and economic optimisation, f<tr
instance on production capacity, manufacturing methods, cost comparisons
( s e e6 . 5 . 6 . 7 ) ;
- rules and regulations for the calculation and embodiment design of machinc
elements, assemblies,machines and plant, if necessarywith a selection ol
sizes and/or types;
- information sheets on storage and transporr capacity
-regulations
poncerning quality control, for example inspection and testinr
procedures;
-rules
and guidelines for the preparation and processing of information, fttt
instance of drawings, parts lists, numbering systems and electronic datrr
processing;and
-rules
laying down organisational and working procedures, for instance the
updating of parts lists and drawings.
3 Using standards
Though there are no absolutely binding standards in the legal sense at the timc
of writing, national and international standards are widely treated as regulations, adherenceto which is of great advantagein the caseof legal disputes.This
is particularly true of safety standards 16.43,6.54, 6.68].
In addition, all company standardsshould be consideredbinding within their
sphere of application, not least for economic reasons.
The sphere of application of a given standard is largely set by Kienzle's
definition (see above). A standard can only be valid and binding if it does not
conflict with technical, economic, safetyor even aestheticdemands.Even in thc
case of such conflicts, however, the designer should guard against rejecting <lr
replacing the relevant standards out of hand, without assessingthe possiblc
consequences.
Moreover, he should never make such assessmentby himself, but shoultl
always consult the standardsorganisation and the head of his department.
In what follows, the reader will find a number of recommendationsand hints
for the correct use of standards.
First of all, we recommend adherence to national standards since tltc
preferred sizes laid down in them help to determine the dimensions of irll
c o m p o n e n t s .I f t h e s eb a s i cs t a n d a r d su r c i g n o r c d , t h e n u n p r e d i c t a b l el o n g - t c r t t t
c o n s c q u e n c c s( f o r i n s t a n c e ,i n t h c s p a r c p a r t s s c r v i c c ) ,a n d g r a v e t c c h n i c a li t r t t l
cconomicrisks may cnsuc.
J'hc usc ol' stlndarcls shoulcl bc exumlned uguinst thc chccklist in (r.l
itlrovc.

5 Guidelines Ior embodiment design

261

ton

the anticipated overall function or sub-function be fulfilled by the use of a

ndard solution?
If it cannot, the problem (specification) and the chosen function structure
uld be re-examined before the search for a solution is besun.
'orking

principle

n existingstandardshelp the development of suitable solution principles or

pts?
If they impede this development, then the consequencesof ignoring or
anglngthem or of introducing new standardsmust be sublected to a detailed
lysis.
and form design

basicand specialstandards-especially
constructional,dimensional, mateand safety-must be fully taken into account. Testing and inspection
res also influence the embodiment.
Standardsshould only be ignored in borderline problems.

ery
blishedcomponent, work and environmental safety standards and regula_
must be rigorously observed. Safety standards must always be given
ce over rationalisation procedures and economics.

field of ergonomic standardshas not yet been adequatelyopened up, so that

designerwould do well to consult the general literature (6.5.1) and work in
collaboration with production and safety engineers.
uction
, observance of production standards is particularly important and that of
ry regulationsis binding. The designershould only deviatefrom production
rds after a broad assessmentof all the industrial and relevant market
rchase and sales) aspects.
'ity

control

standardsand inspectionrulesare essentialfeaturesof quality control.

assembly must be ensured by the observation of standard tolerances.

and fits, and also of test standardsand inspection rules.
)ort

, insidcas well as outside the factory, is rendered safer, simpler and

cco!l()micali f t h c r c l c v a n t s t a n d a r d sa r c o b s e r v e d .

262

6 Embodiment design

5 Guidelinesfor embodiment design

Operation
The correct operation of engineering products involves the use of various
standards, for example, standard symbols and standard operating procedures.
Maintenance
Standard symbols (for instance, circuit diagrams) should be used and servicc
standards should be provided.

Expenditure
Costsand deliverytimesmust be minimisedwith the help of companystandards
The above list must not be consideredexhaustiveor universallyapplicablethe designer'swork is much too variedand complexfor that, and the rangeol
generaland companystandardsmuch wider than we havebeen able to cover in
our summary.By working his way down the checklist,fhe designercan tell fairlr
quickly to what extent a particular standardfits the variousheadings.
It may also be helpful to searchspecialindexesfor the appropriatestandarcls
and rules. Fundamental principles for the application of standardsto thc
designer's
work are alsoset out in a numberof specialcontributions[6.11,6.53.

6.eel.

Finally, we should like to refer the reader to the use of preferred numbers anrl
preferred series of numbers I6.L6,6.171in the graduation of sizesand in typc
rationalisation, especially in the development of size ranges and modular
products (see Chapter 7).

4 Developing standards
Since the designer bears much of the responsiblity for the development,
manufacture and utilisation of products, he should play a leading role in thc
revision of existing standards, and the development of new ones. To make a
useful contribution to the development of standards, he must first determinc
whether the revision of an existing standard or the development of a new
standard is technically or economically justified. There is rarely a clear-cul
answer to this question. In particular, completely reliable assessmentsof thc
economic consequencesare seldom possible because of the complex effects of
in-house costs and market influences,and, in any case,would involve considcrable research.
The evaluation criteria set out in Figure 6.91, once again arranged rrr
accordance with the checklist, can prove of great help in the assessmentof
existing or newly proposed standardsif they are used in conjunction with thc
u s u a l e v a l u a t i o np r o c e d u r e .N o t a l l t h e e v a l u a t i o nc r i t e r i a w e h a v e m e n t i o n c t l
a p p l y t o t h e a s s e s s m e not f i n d i v i d u a l s t a n d a r d s .T h u s , t h e e v a l u a t i o n o f : r
d r a w i n g s t a n d a r di s i n f l u e n c e db y i t s c l a r i t y , b y t h c i m p r o v e m c n ti n c o m m u n i c l t i o n , b y t h c s i m p l i f i c a t i o no f t h c d c s i g no c t i v i l y a n d t h c o v c r a l l c x c c u t i o n( ) l ' t h c

Examples
principle
andformdesign

Lackof ambiguity
ensured
position
Market
of theproduct
favourably
influenced
Material
andenergy
expenditure
reduced
Complexity
of the
product
reduced,
design
worksystematically
improved
and
simplified,
partsfacilrtated
anduseof replacement
Salety
increased,
Clarity
of instructions
improved,
Psychological
and
aesthetic
conditions
improved.
Materials
handling,
storekeeping,
manufacturing
and
quality
control
lacilitated
Execution
of theorders
planning
simplified;
production
improved;
capacity
increased
Inspecti0n
quality
andtesting
simplified;
improved
Assembly
facilitated,
Transport
andpacking
simplified
0peration
clarilied
Replacement
of partsimproved,
sparepartsservice
and
maintenance
facil
itated
Costsot,and/or
timespenton,desigh,
workpreparation,
materials
handling,
manulacture,
assembly
andquality
controlreduced,
Calculations
simplitied
Electronic
dataprocessing
reduces
costsof slandardisation.

re 6.91 Evaluation criteria for the assessment

of standards

:r it provides, by the degree to which it is generally acceptedand also by the

s its development entails. Before he makes an evaluation, the standards
ineer or designer should therefore grade the importance of the various
iluation criteria and discard those that may not apply. In much the same way
with the recommendationsin 5.8, there must be an adequatevalue rarlns to
y the development of standards.

Finally and by way of summary, the following principles of developing

neral, and particularlycompany,standards,can be enunciated:
Standardisationshould only be used if it is economicaland useful. There must
be a need.
Standards must not contain any provisions that conflict with the law (for
instance, with monopoly restrictionsor safety regulations).
Standards must be unambiguous, framed in clear terms and
under-

stood.
Standarddimensionsmust, as far as possible,agreewith preferred number
series.

Standardsmust ensure the complete interchangeabilityof parts. If a standardiscd product is modified in such a way that it can no longer be freely
intcrchangcdcvcn in respectof a singlefeature, its designation(identification
nurnbcr)must bc altcrcd.

6 Embodiment design

-All
standardsmust be based on SI units.
- Matters of fashion and taste should not be standardised. Colours, for
instance, should only be standardisedfor use in identification symbols.
- Standardsshould only be altered for technical,not for purely formal, reasons
- The development of new standards must be generally agreed by all thc
departments concerned.
Thus when a new standard is proposed, it should first be examined by a working
party, and then presented for wider discussion.The proposed standard thus
servesas a draft for the final standard. if adopted.

6.5.6 Designingfor production

6 5 Guidelines for embodirncnt desiqn

fulfilment of a given function and to the best solution from a production point of
view. Another step in the same direction is the application of general and
company standards (6.5.5).

Task
clarilication
design
Conceptual
design
Embodiment
design
Detail

I Relationship between design and production

The crucial influence of design decisions on production costs,production times
and the quality of the producl has been describedin [6.23,6.110]. Designingfot
production means designing for the minimisation of production costs while
maintaining the required quality of the product.
By production, we usually refer to:
- the manufacture of components in the narrow senseby acceptedprocesses
-

[6.3e];

assembly, including transport of components;

quality control;
materials handling; and
operations planning.
The designer will accordingly do well to consult the checklist (6.2) under thc
h e a d i n g s ' p r o d u c t i o n ' , ' q u a l i t yc o n t r o l ' , ' a s s e m b l y 'a n d ' t r a n s p o r t ' .
In what follows we shall first concentrate on the design of components or
assembliesin the narrower sense,while paying due regard to quality control and
improvement of the overall production procedure. In 6.5.1 we shall thcn
examine design features for improved assemblyand transport.
Designing for production is greatly facilitated if, from the earliest possiblc
stage, the designer's decisions are backed up with data compiled by the
standardsdepartment, the planning and estimating department, the purchasing
department and the production manager. Figure 6.92 shows how the flow ol
information can be improved by systematicmeans and the appropriate organisir'
tional measures. In original designs of mass-produced articles, systemalic
procedures and exchangesof views are essential.Their use, however, shoulrl
also be encouragedin one-off and small batch production, especiallyin the cast'
of adaptive designs,where the designeris often forced to make decisionswithorrl
c o n s u l t a t i o n ,i f o n l y t o m e e t d e l i v e r y c l i t t c s .
I ) c s i g n i n gf < l rp r o c l u c t i o nh u s b c c o n r ci r r ti n c r c i r s i r t g liyn t p r l r t a n ta c t i v i t y i n l h t '
w a k c o l ' g r o w i n g a u l o r r r a t i o nI.l y o b s c r v i t t gt l t c b i r s i cr u l c s < l l ' s i n t l l l i c i t yi r r r t l
'llrr'
c l i r r i t y ( 6 . 3 ) , t h c t l c s i g n c ri s i r l r c r r t l vp r o c c c d i n gr r k r t t gt l t c c r l r r c c tl i n c s .
p r i r t c i p l c so l r ' r r r l l o t l i r r r ctrht .l ' s i g r( t( r , { ) , t r N r ,c t l t l l c r t ( l t i t t tt r r i t b c t t c t i t t t r ls l r l i ' r

manulacture
Component
Assembly
control
0uality
Product

Figure 6.92. Flow of

information

For an overview of the designer'sinfluence on the production procedure, and

the interdependenceof designand production, the reader is referred to Table
. That table highlights severalgroups of problems with a direct bearing on the
ionalisation of production procedure [6.14], namely:
Appropriate overall layout design which determines the production procedure
the breakdown of the product into assembliesand individual components
use or bought-out, new, repeat or standard).
Appropriate form design of componenrs, which determines the production
:cdure, the manufacturing methods and the quality of components.
Appropriate selection of materials, which detrmines the production procedure,
nranufacturing methods, the materials handling and quality control.
Altpntpriutc ust'o.f standard and bought-out components, which influence the
r t l u c l i o r rc i r l - l i r c i t yt h
, c s t o r a g ea n d t h e c o s t s .
A l t l t n t l t r i u t ad o c t u r r t ' n ! u l i o rw
r ,h i c h r n r r s tl r c i r r l i r p l c rtlo 1 h c p r o c l u c t i o np r o c e d i t r c . t ( ) l l t c r t l r r t r r f l t c l t r r i rnt rgc t h < l cllrsr r t lt o t l t c t l u l r l i t vc r l n t r r l l .

266

6 Embodiment desitrr

Table 6.4. Relationship betweendesign and production

Overall layout
design

Component form
design:

Production

Shape and dimensions

Surface finishes
Tolerances
Limits and fits

Materials selection:

conversely' such production limitations as the

capacityof

Design
Assemblies
Components
Bought-out parts
Standard parts
Joining and assembly
Transport aids
Quality control

Type of material
Treatment
Quality control
Semi-finished materials
Availability

Production procedure
Assembly and transport
possibilities
Batch size of similar
components
Proportion of in-house and
bought-out items
Quality control
Production procedure
Manufacturing methods,
machine tools
Measuring instruments
In-house and bought-out
components
Quality control

Production procedure
Manufacturing methods,
machine tools
Materials handling
(purchase,storage)
In-house and bought-out parlr
Quality control

Standardand
bought-out
components

Repeat parts
Standard parts
Bought-out parts

Purchases
Storage
Stock control

Production
documentation

Workshop drawings
Parts lists
Data processing
programmes
Assembly instructions
Testing instructions

Execution of orders
Production planning
Production control
Quality control

.5 Guidelines for embodiment design

267
machines,assembly

etc,naturallyhaverepercussions
on rhedesigner,s
choice
{i:.tlnt"t

iJ:T:f"ll
the overall layout.

The appropriate sub-division of the overall layout

can give rise to diJJ.erentiar,
:egral, composite androt buitding-broca
methods of coristructionD iffe rential co nstr uctio n metho d

By differentialconstructionwe refer to the breakdown

of a component(a
of one or severalfunctions) into severaleasily manuru.t.,rlo'pu.ts. carrier
This idea
comesfrom lightweightengineering
[6.g7],where that appioac]r'ri,as
introduced
for the purpose of optimising
_toia'-"u.yingcapacity. In both cases,we are
entitledto speakof the ,principle
of sub_di,iision
fo.'p.oJuil;,.
As an example of the differential method let
us take the rotor of a

Synch'onousgenerator (Figure 6.93).

rre6'93.Rotor of synchronous
generatorafter[6.r2] (AE,G-Telefunken);
asforgedpart
2 Appropriate overall layout design
The overall layout design, developed from the function structure. determines
the division of a product into assembliesand components.
With the overall layout design the desrgner:
- determines the source of the components, that is
whether they are in-housr,.
bought-out, standard or repeat parts;
-determines the production procedure for instance
,
whether the parirllr.l
m a n u f a c t u r co f i n d i v i d u a l c o m p o n c n t sr l r l r s s c r l r b l i ciss p o s s i b l c ;
- t f c t c r n t i n c s t h c d i m a t t . s i r t n i. rsn c l
t h c r t g r l l r o x i r r r i r l ch u t c l t ; ; i z c , so l s i r r r i l l r r
c o r r r l l o n c n l si,r r r r li r l s <tl h c r n c i r n s< t l 'f u i t t i t t 1i r4t t t la . r . r c i l r / r / t ' ;
s c l c c t ss u i l i r b l c/ i / . r ;i r n r l
i t t l l r r c r r t ' c tsl t t t t l i t t(' ( , t t t r ( ) ly r r o t . t . r l r l t . r ,

as dtsc constructionwith forged flanges

and with welded flanses

The large forging shown_atthe top is divided

into several rotor discs consisting
simple forged parts and two considerably
smalrer flanged ,rruiir, b. Each of

: Iattercould alsobe subdividedinto shait,disc

supporinurg",-*o coupling
nge in the form of a welded construction,c.
The reasonfor this differentiar
,nstrucrionmight be the market
situation (price, d"liu;;t Oaie; of turge

of.thesenerator
to various
outputrequire_
Iillll,,;il"u
r:nrs(r.t.r sizcs)
ancltypesof coupring.
"jl:. :1::,'.:1il,l:i:"
i fu.rtheradvantage
r, ir,t"in"T"ri,
n .c *rrnul'rrcturccr
.s st.ck ancrnot nJcessariry
to a specifiE
..;;;

However,
lhc illtrstrirli()ll
irlso(lcrrronstrirlcs
thc Iir'itrrti.rrs'f'rlrc'cliffcrcniiu';n,r)l.l,lit-.

268

6 Embodiment dcsitrr

Guidelines for embodiment design

beyond a certain rotor length and diameter, the machining costs become tot'
great and the stiffnessof the joints too problematical.
Figure 6.94 shows the magnet support of a large-scaleDC motor which carr
either be cast in one piece or else be built up from sheet metal and welded. Tht.
production costs of the second design are some 25 per cent lower than those ol
the first, and this despite the fact that the differential construction involvcs
several processes.However, the cost reduction is not constant but depends rtn
the relative market situation of castings,sheet metal and semi-finishedmaterial
castin I laminated
and
oneprece
I welded

procedure
Productron
1 Cast 2 Cast
biock
magnet RoI block
plates
support Stamp
plates
Stack
plates
Rivet
Welh
dousing

lvagnet
support
duringassembly

1953 1951 1956 1962

Production
costsol laminated
support
asa percentage
ol costsof castsupporl

Figure6.94.Productioncostsof a DC motormagnetsupportafter[6.104](Siemens)

. g u r e6 . 9 5 .W i n d i n gm a c h i n e( E r n s tJ u l i u sK G ) :
) w i n d i n gh e a dw i t h i n r e g r a t eddr i v eu n i t
winding head with separatedrive unit

Another differential construction is shown in Figure 6.95. In the winding

machine a, the winding head is integrated with the drive unit on a common shalt.
The differential solution b was developed to facilitate the parallel manufacturc
of drive units and winding heads to meet various requirements. In this way, it
small number of standard drive units can be combined with a large number of
winding heads.
The replacement of forged and cast constructions with welded constructions
incorporating suitable semi-finished parts provides a further example of tlris
method.
All in all, differential designs have the following advantages,disadvantagcs
and limitations:
Advantages:
- u s e o f e a s i l y a v a i l a b l e a n d f a v o u r a b l y p r i c e d s e m i - f i n i s h e dm a t e r i a l s o r
s t a n d a r dp a r t s ;
-easier acquisiti<lnof forgecl and cnst purts;
- c a s i c r a d a p t a t i o nt o c x i s t i n g f l c t o r y l a y o u t ( d i m c n s i o n s .w c i g h t ) l
- incrctsc irr componcnt hatch sizcri

reduction in component dimensionsallowing easier assembly

and transport;
simpler inspection (smaller components urrd lu.g". batch
sizes);
easier maintenance, for instanceby simple replicement of woin
pa.ts;
easier adaptation to special requiremenis; and
reduced risk of missing delivery dates.
sadvantageo
s r limital.ions:
greater machining outlay;
greater assemblycosts;
greater need for quality control (smaller tolerances,
necessaryfits etc); and
limitations of function by joints (stiffness,vibration, sealing).
ral const ruction metho d

intcgralconstruction
we referto the combination of severalparts into a single
l n c n t , T y p i c a l c x a m p l c sa r e c a s tc o n s t r u c t i o n si n s t e a d
o f w e l d e d. o n r t r i . _
c x t r u s i o l l si n s t c l d o l c < l n n c c t c cslc c t l o n s ,w c l c l c di n s t c a d
of bolted ioints

6 Ernbodiment desigrr

etc. In lightweight engineering this type of construction is often used to avoi(l

stressconcentationsand to save weight [6.87].
Figure 6.96 showsan example chosenfrom electricalengineering.Here, a casl
and welded construction has been replaced with a single cast component
Though the castingis fairly complicated, it leads to a cost reduction of 36.5 per
cent. Naturally, this percentage will vary with the size of the batch and with
market conditions.

6.5 Guidelines for embodimcnt clesign

:7t

end discs. Variant c is an integral construction in that

two cast holkrw botlir.s

In.Variantd thecastconstruction
is splitup agairr(a

;ilffi il w:,dil':#;f;lll
:n1::*,l3"ll:
Ti I"":a,r,"ii,
",i;;
show
-"tnoosaves
matert"iiir'in.'it"i,
ff;?l:;:T:illi 1)
.thattheintegral
l:?::lP_:l::d.,rc":her.

was chosen because of difficulties in procuring large

castings.
The advantages and disadvantages of the integial
consf,uction method are
easily determined by a reversar of the advantages
and disadvantagesof the
differential method.

Comp osite construc tion met ho d

By composite construction we refer to:
-_ the inseparable connection
of several, differently made parts into a single
component needing further work, for instance, the
combination of cast and
forged parts;
- the simultaneousapplication
of several joining methods for the combination
of components [6.ieS1; o.
-_ the combination of various
materials for optimal exproitation of their

Figure 6.96. End cover of

electric motor after [6.104]
(Siemens);
( a ) c o m p o s i t ec o n s t r u c t i o n
(b) integral construction

Castandwelded
construction

Castcomponenl
D

Figure 6.98 gives an example of the first method: the

combination of caststeel
mponents and rolled steel sheet into a welded constnrction
Further examples are bogies with cast centres and
welded arms, and also the
:lding of cast bar joints used in steel structures.
Examples of the secondmethod are combinations
of adhesivesand rivets or of
hesivesand bolts.

Another example is the rotor of a hydroelectric generator (Figure 6.97). Four

different constructionswith the same generator output and identical radial loads
were investigated. Variant a has numerous individual support discs and mlr'
therefore be considered a differential construction. In Variant b the degree ol
division is reduced by the use of cast-steelhollow shafts, two support rings antl
radialloads:
14poles
:63 108N

-+l

t]f; M.gnct whcel of

a hydro-electricgenerator of compositeconstructronfrom
l'1," I
1 . |5( n I r ( ; ' l ' c l c l u n k c n )
l r i A t r r t(' r , t ) 7 ,l t o t o r c r r r t r t r t r r ' l i o ltot t ; t l l t t l ; t 'r c l l t ' l t t r l r r t ' [ c ( ' l I t ( ' l l ( ' n ( r' ; r l r r t ( S i r ' r r r t . r r)r

S P r t l i l r r r l l c t ls t c c l s l r c c t
S t t l t p , r lt t : r r l s l t . c l

272

6 E , m b o d i m e n td e s i g t t

The combination of several materials into a single part is exemplified by

synthetic components with cast-in thread inserts; by composite sound-absorption
panels which have two plates separated by a plastic core; and also by rubber/
metal components.
Another economical design of the composite type is the combination of steel
and pre-stressedconcrete 16.7al.
B uildin g - b I o ck constructio n method
If the differential method is used to split a component in such a way that thc
resulting parts and/or assembliescan also be used in other products, then thel
can be considered as building-blocks. These are particularly useful if they arc
cheap to produce. In a sense,the utilisation of repeat parts from stock may also
be considered a building-block construction method.

5 Guidelinesfor embodimcnt desisn

PS

Guidelines

1-1

(D

Right

Wrong

O:

Pa

Choose
simple
tor
shapes
patterns
(straight
andcores
lines,
rectangles)

Pa

patlerns,
if
Aimatundivided
possible
(eg by
withoul
cores
means
ofopen
cross
sections)

Pa

tapers
lromthespllfline
Provide

Pa

Arrange
ribssothatpattern
canbe
removed;
avoid
undercuts

w
i

^q_l

**'a*'*tu*^ q**ffi*
F--r_r

ffi

ffisw

af,^1

% \ MLY)
3 Appropriate form design of components
With his form design of components the designer exerts a great influence oll
production costs, production times and the quality of the product. Thus his
choice of shapes,dimensions, surfacefinishes, tolerancesand joints affects:
- the production procedure;
- the machine tools, inchtding bench tools and measuring instruments;
- the choice between in-house components and bought-otll components;
- the selection of materials and semi-finished materials; and
-the quality control procedures.
Conversely, production facilities influence the design features. Thus, thc
available machine tools might limit the dimensions of componentsand necessitate a split-up into several connected parts or the acquisition of bought-out
components.
There are special guidelines for designing for production, and these arc
d e s c r i b e da t l e n g t hi n t h e l i t e r a t u r e f 6 . 2 I , 6 . 2 4 , 6 . 1 2 8 , 6 . I 4 5 , 6 . I 7 0 , 6 . 2 1 3 , 6 . 2 3 1 ,
6.248,6.2491.In keeping with the aims of this book, we shall be presenting thc
reader with none but essentialdesign suggestionsarrangedsystematicallyin thc
form of charts. Our classifyingcriteria will be the processs/eps(PS) used in thc
manufacture of the component. In addition, we shall be assigningobjectives-'reduction of costs'(C) and 'improvement of quality' (Q)-to the various desigrt
guidelines. When designing components,the designer should always bear thcsc
processsteps and objectives in mind.
Form designfor primary shaping processes
The form designof components to be shapedby primary processes,for examplc
casting and sintering, must satisfy the demands and characteristicsof tlrc
processesused.
ln cast components (primary shapcs obtaincd from thc fluid statc) thc
designer must allow for the following pr()ccssstcps: /r(rtlenr(Pa), casting (Cal
'l'lrc
and mac'hining(Ma). Figurc (r.99lists thc most important dcsign guidclincs.
l i t c r a t u r c c i t c d c o r t t i t i n sf u r t h c r i n l i t r m u t i t l n .

Pa

Ensure
accurale
location
olcores

Ca

(bubbles,
Avoid
vertical
sections
blowholes)
andreduced
crosstotherisers
sections

Aimaluniform
wallthicknesses
andcross-sections
andatgradual
changes
ofcross-seclion;
select
material
allowing
otadequate
wall
thicknesses
andcom0onent
sizes

Setsplitlines
toavoid
misalignment
andto permrt
easy
removal
oftheflash

Arrange
caslings
toease
machini
ng

C
0

Ma

Ma

Ma

Provide
adequate
supporl
surlaces

Ma Avoidsloping
machining
and
boring
surlaces
Ma

Combine
processes
machining
by
appropriate
arrangement
of
machining
andboring
surlaces

Ma Avoid
unnecessary
machining
by
breaking
uplarge
surlaces

tu%
*{W*

i%

@S-=@*

uz#

llash'

16-^!+r
t!rz:r,li

C
0
C

.-iq
l*t

ffi.

F--n
F==-U+
::,ll

-,tl

Mo

\Ns

NSs
f,ltal

fl /6-)

u'g
c

Mu
uu%

i i g u r c 6 . 9 9 , l ) c s i g ng u i d c l i n c sw i l h c x l n r p l c sl i r r c a s tc o m p o n e n t si,n a c c o r d a n c e
with
6 . 7 1 ,6 . 11 8 ,6 . 1 4 5 .6 , t 7 0 . 6 . 2 4 7 1

6 Embodiment desigu

274

In designing sintered components (primary shapes obtained from the powder

state), the designer must allow for tooling (To) and sintering (Si). In particular.
he must be guided by the latest findings of powder technology. The essential
euidelines are shown in Fieure 6.100.

PS
TO

Guidelines
edges
andsharp
Avoidrounded
angles

(D

-o=
O=

C
0

Right

Wrong
r

5 Guidelines for embodiment design

275

Design guidelinesfor drop forging have been collatedin Figure 6.101.They

low for the processstepsof: tooling (To), forginS (Fo) and machining(Ma).
Figure 6.102listsdesignguidelinesfor the cold extrusionof simplerotationally
'mmetricalsolid and hollow bodies.They allow for the processstepsof: tooling
lo) and extrusion(Ex). It must be stressedthat only certaintypes of steelcan
: usedeconomically.Like all other cold forming methods,cold extrusiongives

PS

Guidelines

t3>

Si

Si

Si

Si

sharp
angles
edges,
Avoidsharp
transitions
andtangential

limits
and
dimensional
0bserve
relations:
HeightHAVidthW<25
l> 2 mm
Wallthicknesses
Holes
d> 2 mm

small-toothed
Avoid
Proliles

small
Avoidexcessively
tolerances

rH@

t-ffi@
u+@

To

Avoidundercuts,

To

tapers
Provide

T\1zI F-T
..f

dil

atabout
half
To Aimforsplitlines
perpendicular
height
tosmallest
height

--v

To Avoidbentsplitlines

c
c

Wrong

Right

*w*

*w*

WW

ww

0
To Aimatsimple,
if possible
parts
Fo rotationally
symmetrical,

protusions,
Avoidgreat

after[6.611
for sinteredcomponents,
with examples
Figure6.100.Designguidelines

Fo Aimatshapes
thatoccurdurrng
pressing
Forlarge
unrestrained
numbers
adapt
tolinished
shape

C
0

Form design for secondary shaping processes

Fo Avoidexcessively
thinsections

-0

Avoid
large
curvatures,
excessively
narrow
ribs,frlletsand
holes
excessively
small

;0

Avoid
incross
sharp
changes
sections
andcross
sections
that
project
intothedie
excessively

split-lines
inthecase
ol
Stagger
parts
cup-shaped
of large
depth

The form design of components to be shaped by secondary processes, for

example, forging, extrusion, bending, must adhere to the guidelines listctl
below. Special consideration for the design of ferrous materials can be found irt
[6.37] and of non-ferrous metals in 16.a2).
With hammer forging (free forging), the designer need only allow for thc
actual forging process, since no complicated devices (for instance, dies) arc
involved. The following design guidelines should be observed:
- Aim at simple shapes,if possible with parallel surfaces (conical transitions arc
difficult) and with large curvatures(avoid sharp edges).Objectives:reductiort
of costs, improvement of quality.
-Aim
at light forgings, perhaps by separation and subsequentcombinatiort.
Objective: reduction of costs.
--Avoid excessivedeformations or excessiveclifferencesin cross-sectionstltrc,
f o r i n s t a n c e ,t o t h e p r e s e n c eo f c x c c s s i v c l yh i g h a n d f i n e r i b s o r o f e x c e s s i v c l v
n a r r o w i n d c n t a t i o n s .O h j c c t i v c : i m p r o v e m c n to f q u a l i t y .
- Try to placc bossesand indcnlrtiunr on on tidc only, Objcctivc: rcduction ol
cotits,

:o

linesothat
thesplit
lia Select
misalignment
iseasily
detected
andremoval
issimple
olllash

KKK
we

-a_*av&_*ffi
rr
w
, v lL u
l
utu
l

*G=l*

tu%i%"
ffi

p a r t si n a c c o r d a n c ew i t h
| u r c 6 . l ( f l . l ) c s i g ng u i r l c l i n e sw i t h c x a n r p l e sf o r c l r o p - f o r g e d
9 5 . 6 . t 7 ( ) ,6 . 2t 4 . 6 . 2 5I I

Guidelines for embodiment design

6 Embodiment dcsilrr

276

PS

wr0ng

Guidelines
i

) ' -

TO
Ex

Avoidundercuts

Ex

andexcessively
Avoidtapers
differences
smalldiameter

Ex Provide
rotational
lysymmetrical u
partswithout
pr0trusi0ns,
material
split
andjoin
otheruise
in cross
changes
Ex Avoidsharp

edges
andfillets
sharp
section,

Ex Avoid
small,
longorlateral
holes
andthreads

211

Right

ww ww
ww MM
MWW wwM
ilwM tuwM
wwwwww

after[6.631
for coldextrusions,
with examples
Figure6.102.Designguidelines
rise to work hardening, in which the yield strength is raisedwhile the toughness
of the material drops significantly. The designer must take this factor inltr
consideration. The best materials for cold extrusion are case-hardeningarrrl
heat-treatablesteels.
For drawing, the following design guidelines are recommended in [6.170]:
- Allow for tooling (To): Choose the dimensionsin such a way that the smallest
possible number of drawing steps is needed. Objective: reduction of costs.
-Allow
for tooling and drawing (To/Dr): Aim at rotationally symmetrical
hollow bodies; producing the corners of rectangularhollow bodies leads to it
high loading of the materials and tools. Objectives: improvement of qualitv,
reduction of costs.
- Allow for drawing (Dr): Choose tough materials. Objective: improvement of
quality.
-Allow
for drawing (Dr): For the design of flanges see [6.148]. Objectivc:
improvement of quality.
Bending (cold bending) as it is used for the manufacture of sheet metirl
components in precision and electrical engineering, and also for casings,
claddings and air ducts in general mechanical engineering [6.1] involves twtr
separate steps, namely cutting (Cu) and bending (Be). The designer mtrsl
accordinglyallow for both. The designguidelinesshown in Figure 6.103 apply ttr
the bending processalone; cutting is covered under the next heading.
Form designfor separution
O f t h e s c p a r a t i n gp r o c c c l u r c sn r c n t i o n c d i n 1 6 . 3 9 1o n d [ 6 . 3 1 t 1w
. c shall ortlv
' n r a c h i n i n gw i t h g c o n r c t r i c l l l y d c f i n c d c u t s ' ( t u r n i n l q ,b o r i n g , n r i l l i r r g )
cunsiclcr

Guidelines

Wrong

=>

le

parts
bent
Avoid
complex
(material
waste);
rather
splitand
J0rn

3e

Allow
forminimum
values
ol
radii(bulging
bending
inthe
c0mpresst0n
area
and
overslretching
inthetenslon
area)
llange
height
andtolerances

le

Provide
icient
suff
distance
pre-pierced
holes
between
and
bend

le

Aimatholes
andnotches
to cross
when
thebend
it isnotpossible
to
provide
gap
theminimum

lo

Avoid
sloping
edges
andtapers
in
theregion
ofthebend

to

Provide
clearances
atthecorners
when
allsides
aretobebentup

Right

I = | (l maleria
)

,
-r-.

---

fi='r' ar

@d

&
@fr

[E

6.103.Designguidelineswith examplesfor bent parts,after [6.11

'machining

with geometrically undefined cuts' (grinding). In addition we

lbe considering separation by cutting as defined in [6.a0]. In all separating
;essesthe designer must allow for tooling (To), including clamping, and
hining (Ma).
ign for tooling involves:
'he
provision of adequate clamping facilities. Objectives: improvement of
uality.
\ preferential sequence of operations that does not necessitatethe relamping of components. Objectives: reduction of costs, improvement of
uality.
'he
provision of adequate tool clearances. Objective: improvement of

quality.
sign for machiningin all separatingprocessesinvolves:
The avoidanceof unnecessary
machining,that is reductionof machined
arcas, fine surfacefinishesand closetolerancesto the absoluteminimum
(protrudingbossesand cut-outsplacedat sameheightor depth are advantugcous),Objcctivc:reductionof costs.

6 Embodimcnt clcsilrr

218

location of machined surfacesparallel or perpendicular to the clamping

surfaces. Objectives: reduction of costs, improvement of quality'
-The
choice of turning and boring in preference to milling and shaping
-The

Objective: reduction of costs.

Figure 6.104 represents the design guidelines for components machined br
turnlng; Figure 6.tOS tor components machined by boring; Figure 6.106 for

PS

Guidelines

(-)

To

toolrunoul
adequate
Provide

TO

toolshapes
Aimforsimple

Guidelines

To

Aimforstraight
millrng
surlaces; C
form
tools
areexpensive;
select
milling
forgang
dimensions

t0

Provide
runouts
foredge
mills;
edge
milling
ischeaper
thanend
milling

Adapt
runout
tomilling
tool
diameter
Avoid
longmilling
cuts
(eg
byselecting
curved
surfaces
slots).

To

Ma Arrange
surlaces
ononeleveland

parallel
totheclamping,

andtight
To Avoidgrooves

TO

oninnersurlaces
tolerances

clamping,
loradequate
Provide

eg
machining,
Ma Avoidexcessive
highcollars
byseparate
replace
parts

andsurface
working
length
Ma Adapt
function,
finish
totherequired

@ .mft_''*'
G j[ft."'-'
Aftrftirff,
Lu-il+*Jl
wL-N_s

ni

a--l

io

Figure 6.104. Design guidelineswith examplesfor componentsmachinedby turning. in

aciordance with [6. 128, 6. 1701

PS

Guidelines

possible,
tools
useborlng
To Where
holes
Ma onblind

(D

=
>
L J :

c
0

flats 0
andfinishing
To Provide
starting
angled
through
breakino
Ma lorholes
surfaces

To

holes,
Aimforcontinuous
blindholes
avoiding

Wrong

(.)

PS

q)

-) .=

Right

ffiffi
%
ffi@M ffi@M

by boring,in
ntilcltittcd
fitr com;xrncnls
Figurc(r.l()5.Dcsignguidclincswith.cxirnr;rlcr
l c l ' o r d l n c cw i t h 1 6 I. 2 8 .6 . 1 1 5 6. . I 7 ( l l

279

Wrong

Right

Right

Wrong

-\ -=

5 Guidelinesfor embodimentdesign

c
0

t+l

M,

f=-'f
@h

6.106.Designguidelines
with examples
for componentsmachined by milling, in
ancewith [6.128,6.1701

iomponentsmachinedby milling; and Figure 6.107for componentsmachinedby

lrinding.
, In the designof cut-out components,the characteristicsof.the tools (To) and
,f.thecuttingmethod(Cu) [6.85]mustbe takeninto consideration
(Fig. 6.108).
iorm design joining
for
)f the joiningmethodsdiscussed
in [6.a1]we shallonly considerweldingunder
he aboveheading.For separablejoints the readeris referredto 6.5.7.
, Welding involvesthree processsteps,namelypreparation(pr), wetding(We)
nd finishing (Fi). The following designguidelinesapply:
-Pr, we, Fi: avoid the imitation of cast designs;preferablyselectstandard,
easily obtainable or prefabricatedplates, sectionsor other semi-finished
materials; make use of compositeconstructions(cast/forgedcomponents).
Objective:reductionof costs.
- we: adaptthe material,weldingquality and weldingsequenceto the required
strength,sealingand shape.objectives:reductionof costs,improvementof
quality.
- we: aim for small weldingseamsand small dimensionsto reducedamage
through heating and to simplify handling. objectives: improvementof
quality,rcductionof costs.
-wc/Fi: minimiscthe amountof welding(heat input) to avoid or reduce

280

PS
Io

6 Embocliment dcsrr:rr

Guidelines
Avoid
edge
limitations

Wrong

=>

distortion and corrective work. Objectives: improvement of quality, reduction of costs.

Further guidelines are given in Figure 6.109.

0
C
rEJ---tlEl
f---

TO

Right

281

5 Guidelines for embodiment desisn

forgrinding
Provide
runouts
wneet
s

PS

flL+-rEr
L_F---_I-

Pr

+%r?

Guidelines
and
Preter
withfewparts
solutions
weldseams

t)--@t

To

grinding
by
Aimlorunimpeded
ofsurfaces
appropriate
selecti0n

To Giveprelerence
toequal
blend
possible)
Ma radii(ifnorunout
andto

C
0

il
weldable
seams
Pr Aimtoreasily
We loadspermit
Fi

Pr Avoid
ofweldmaterial
build-up
We andintersecting
weldseams

C
0

We Reduce
residual
stresses
dueto

equaltapers

TO

Guidelines
prefer
Aimforsimple
cuts,
angular
corners,
avoid
curves

(-)

O
!>
O=

Wrong

.GS

v/
TO

vr'

Cu Avoid
sharp-angled
shapes
and

ru mm

c
0

posrtive
We Ensure
location
ofthe
priortowelding
Fi components
Allowsufticient
material
lor
machining
welding
atter

tr

f,

Wt

Iolerance

6 . 1 0 9 .D e s i g ng u i d e l i n e sf o r w e l d e dc o m p o n e n t s i.n a c c o r d a n c w
e i t h [ 6 1 4 5 .6 . 1 7 (

6 2t3l

I Appropriate selection of materials and of semi-finished materials

excessively
tighttolerances

permitling
Preler
shapes
subsequent
cutswithout
danger
of
damage.

We Aimlorgoodaccessibllity

Fi

Aimforsharp-edged
transitions
C
to
facilitate
thecutting
ofthe
0
template
andtoensure
easy
grindi
ng

layout
Cu Avoidwaste
bycareful
ol
partsonstandard
plate
cut-out
widths

Cu

Right

choice
of
shrinkage
byappropriate
weldseams
andwelding
sequence,
andalsoofconnecting
(flexible
secti0ns
0l lowstiffness
tongues
andcorners)

F i g u r e6 . 1 0 7 .D e s i g ng u i d e l i n e sw i t h e x a m p l e sf o r c o m p o n e n t sm a c h i n e db y g r i n d i n g .i n
accordancewith [6. 1701

PS

Righl

Wrong

o)

--=

F-rl
-1=-

liigurc6.1(llt,l)csigrrguirlclirtcs
l'orcut-outcomFrnonlr,In uccortllnccwith l().l?(ll

[n optimum choice of materials and semi-finished materials is difficult to make

tecause of interactions between characteristics of the function, working princi)le, layout and form design, safety, ergonomics, production, quality control,
lssembly,transport, operation, maintenance,costsand schedules.When expenlive materials are involved, their careful selection is nevertheless of the utmost
tconomic importance. In general, the designeris advisedto consult the checklist
,Figurc 6.2) and to evaluate the materials accordingly.
Thc selected material and the resulting processing and machining of the
: o n r p o n c n t s ,t h c i r t l u a l i t y a n d t h e m a r k e t c o n d i t i o n si n f l u e n c e :

282

6 Embodimentdesirrr

- the production procedure;

- the choice of machine tools, including bench tools and measuring instruments.
-materials handling, for example, purchasing and storage;
- quality control; and also
-the choice between in-house and bought-out parts.
The close relationship between design, production procedures and materials
technology calls for close cooperation between the designer, the productiorr
engineer, the materials expert and the buyer.
The most important recommendations for the selection of materials for
primary shaping processes(for example casting and sintering) and seconclarr
shaping processes (for example forging, extrusion etc) have been set out br
Illgner [6.91]. Few designers are completely familiar with the selection ol
materials needed for such new manufacturing methods as ultraS'onicwelding
electron-beam welding, laser technology, plasma cutting, spark erosion arrtl
electrochemicalprocesses.These topics are discussedin [6.28, 6.55, 6.88, 6.13().

283

Guidelines for embodiment desien

'es to show that minimisation

of weight, which often involves a great deal of
gn and technical effort, does not necessarilylead to minimisatLn
of costs.
over, even when the calculated cost reductions due to the incorporation
of
finished materials and simplification in manufacturing methods are
nor
t, the actual savings may be much greater because of the consequent
ction in idle time and time spent on operations scheduling.

1- 0 e20
Fo 520

6.1831.

Closely connected with the selection of materials is the choice of semi-finishcrl

materials (for example, tube, standard extrusionsetc). Becauseof the comm()rl
method of costing by weight, the designer tends to think that cost reductiorr
invariably goes hand in hand with weight reduction. However, as Figure 6.111)
makes clear, that belief is often mistaken.

I platethickness
(2
16mm)

F i g u r e6 , 1 1 1E
. l e c t r i cm o t o r
housingof weldedconstruction
b
(Siemens);
3 platethicknesses (a) currentdesign
( 5 ,1 0a n d1 6 m m ) (b) proposeddesign

re example also shows that, for the minimisation of production costs, the
ral production overheads must be considered in addition to the cost of
:rials and labour. Finally, it draws attention to another series of problems
the modern designerhas to solve: he must adapt his designsto the demands

potential of numericallycontrolledmachinetools. Let us stay with the

l-cutting machine. with his decisionto reduce the numbei of plate

Figure6.110.Costareasfor
lightweightandeconomical
from [6.2191
constructions,
constructionconstruction

The following examplethrows further light on this problem.Figure 6.111

showsa welded electricmotor housing.The old layout involvedeight different
platethicknesses
to achievethe requiredstiffness
with a minimisationof weight
In the modifieddesign,however,the numberof plate thicknesses
wasdeliberately reducedalthoughthis increasedthe weight. This changein the design
involvedthe replacementof standardflame-cuttingby numericallycontrollcd
machines.
The extraoutlaywasto be justifiedby keepingthe programmingantl
re-equipmentcostslow and by maximumutilisationof the plate matcriirl
throughstackingbeforecutting.A costanalysis
showedthat,despitean incrcasc
in wcight due to oversizingof sonrcof the housingports,the new dcsignwirs
chcaper than the old thanks to klwel labour costs and lowcr procluctiolr
overhcuds.Adrnittcdly,lhc actuulsuvinj wm not very grcut, but this cxlmplc

nesses,the designer opened the way for a computer-aided layout of the

rial on the plates, and hence for the highly cost-effective introduction of
lrically controlled flame cutting machines
[6.10].
further example of the economic use of semi-finished materials is siven in

re 6.r12 which showsthe plate-cuttingplan for a weldedmotor hous=ins.

To

L__

r e 6 . 1 1 2E
. l e c t r i cm o t o r
housing,Weldedconstruction
i t h p l a t cp l a nf r o r n[ 6 . 1 1 5 1
(Sicnrcns)

b
c

Plate-cutting
plan

6 Embodimentclcsrr,rr

285

Guidelines for embodiment design

allow the use of circular blanks for the end wall bearing shieldsd, the end wrllr
are made from four parts b, which are then welded together. The resultirrg
aperture, even after machining, is smaller than the bearing shield made from l hc
blank. In addition, this arrangement provides the support feet c.

rential construction will be more cost-effectiveand quicker to execute than

integral construction. He must accordinglycombine the functional approach
h an analysisof production and supply conditions anclwith careful costing and
evaluation. Ultimately, designingfor production means minimising costs

5 Appropriate use of standard and bought-out components

arrive at the most cost-effective solution, the designer has recourse to value

analysis
The designer should always try to use components that do not have to lrc
specially manufactured but are readily available as repeat,standard, or boup,ltr
out parts. In that way, he can help to create favourable supply and storrrlc
conditions. Easily available bought-out parts are often cheaperthan parts mrrrlc
in-house.
The importance of standard parts has been stressedon several occasionsThe decision whether components are to be made in-house or bought-orrt
depends on the following considerations:
- number (one-off , batch or mass production);
-whether production is for a specific order or for the general market;
- the market situation (costs,delivery datesof materials and bought-out parts );
-the possibility of using existing production facilities;
-the manpower situation; and
- the available or desired desree of automation.
These factors influence not only the decision whether in-house production
to be preferred to sub-contract production, but also the designer's ovct
approach. Unfortunately, most of the factors vary with time. This means thirt
particular decision may be justified at the time when it is made but may'
longer be right if the market or manning situation and the production capac
have changed. Particularly in the caseof one-off or batch products of the hcrr
engineeringindustry, the production and market situation has to be re-examir
at regular intervals.

ysis 16.222,6.228,6.2301.In the discussionand evaluationof the cost-

:tivenessof a particular solution, collaboration between the various denartts concerned-that is, exchangesof view between the salesteam, the buying
r, the design team, the production team and the costing department
lvatue
ysis team)-proves invaluable. The resulting pooling of expert knowledge

experienceprovidesa roundedassessment
of the requirements,
layout aid
t designs,materials,productionprocedures,
stock-keeping
provisions,stan-

how?
| why? how?
| why?
1stlevel

2ndlevel

how?
; why?

3rdtevel

how?

4thtevel

C' I C, I C, I C, I C5| c6 I C; I C8

6 Appropriate documentation
The effect of production documents (in the form of drawings, parts lists
assembly instructions) on costs, delivery dates, product quality etc is olt
underestimated.The layout, clarity and comprehensivenessof such documc
have a particularly marked influence on highly mechanised and automir
production methods. They determine the execution of the order, product
planning, production control and quality control.

7 Costing and cost evaluation

lirr prriluctionwill not hclp thc dcsigncrto nrlslc

of clcsigning
Thc guiclclirres
i r l l t h c c o r n p l c x p r o b l c n r s i r r v o l v c d u n l c r ; h c u l s o t i t k c s i n t o i r c c o t n t li t l l I

rclcvirrrtdirlir witlrorrtwhiclr lrc cunnrtlprcdicl willt ccrtirinlvwhcth('t il

6, I l.-1.
Assigrrnle
nt ol asscnrtrlies
andcornponents
to subfunctions
[6.22tt,6 230]

286

6 Embodimenttlrrrr:n

dardisation and market conditions, and hence leads to more reliable and quickcl
decisions than the designer could have arrived at by himself.
It also helps to split up the overall function into sub-functionsof decreasirrg
complexity and to assign these sub-functions to function carriers, that is lrt
assembliesand components. (Figure 6.113illustratesthis procedure schematit:rl.
ly.) From the calculated costs of componentsit is then possibleto estimatc tlre
cost of fulfilling the required overall function and the sub-functions. Strr'h
'function
costs' provide a basis for the evaluation of design variants, covering rrt
they do market considerations(are all functions absolutely necessary?),dcsirlll
considerations(the choice of suitable function structures and solution concr'l)tr
and the sub-functions they entail), and production considerations (form desiln
of individual components).
For the minimisation of costs,it is advisableto proceed at the earliestpossilrlo
stage to the optimisation of the economic factors and hence of the productlrl
procedure. The choice of a suitable solution concept usually cuts produclrotl

Guidelines for embodiment desisn

115 gives the cost distribution of a synchronousgenerator[6.104].It showsthat

mpts to lower the labour and overhead costs of the rotor shaft R1 by design
ures alone are not likely to be very successful, whereas a reduction in
ight or the choice of economical materials will lead to a significant drop in
;ts. with the stator housing s3, on the other hand, a changeof design leading
an alternative manufacturing method looks promising in view of the high

R1
R2
R3
R4
B5
R6
92Jl
c^^

costs more significantlythan do direct production measures.Moreover

changesin the designare deferreduntil the productionstage,they often ent;r
high alteration costs. Figure 6.114 illustratesthis point. In short, prorlrrc

3ca
M1

optimisation should be begun just as soon as the available information pernrits,

Figure6 115.Coststructureof
a synchronous
generator,from
[ 6 . 1 0 4(]S i e m e n s )
ExamplesR1: rotor shaft;R2:
rotor body;R5: rotor winding;
SJ:statorhousing;55:
bearing;56: spider;M2:
mountinssetc

O6

of alterationcostson. tltc
Figure6.114.Influenceon costreductionby, anddependence
from [6.22t3]
designand productionphases,
Cost structure

Useful aids to cost reductionare providedby estimatesof the coststru(

Without a grasp of the cost distribution-that is of the relative shitrc
m a t c r i a l s , l a b c l u r , a n d p r o d u c t i < l nt l v c r h c a d si n t h c c o s t s o f a c o m p o n c t l t I

asscmbly-the dcsigncrcann()ttcll whut meo$uroshc must takc to l<lwcrI

cstimittcs
costs.Hcnceit is importanttrl providcthc rolcvantdocumenlatiun:
rlf old ollmrter for nditpiivcdcsigns.liigr
rlriginuldcsignslncl rccllcul:rtiotts

281

s4
s5
s6
s7
s8
s9
M2
10
Production
costs

addition to the cost structure, the designer must also take into account the
ute costs of the components, materials, semi-finished materials. and of
rd and bought-out parts. The relevant figures must be prepared as quickly
accurately as possible by the estimatingdepartment, at leasi in the form of
ive costs. Figures 6.116 and 6.117 show such relative cost comparisons.
often suffice for arriving at decisions and have the advantage over abolute
computations that they fluctuate less and hence are more generally
cable over a longer period of time.
iable preliminary calculations are still no more than a dream of modern
rs, who are far too often left to their own devices. In view of the sreat
ence of these decisions on the production costs, this state of affairs has
intolerable and should be tackled by the engineering industry at the

possibleopportunity.
For the cconomical design of components and simpler technical artefacts,
It)l suggcstsan evaluation procedure and gives a comprehensivelist of the
i t n t t c c h n i c a la n c lc c < l l r < t m idca t u .

288

6 Embodiment desilrr

289

Guidelines for embodiment design

plaleslaminate
I windI soak

Other
assemblies

Materials

Testing

Figure 6.116. Comparative costsof 30 mm round bar steel,from [6.1901

(a) Costsby weight (no requirementsas to strength and weight)
(b) Ratio of costsper unit weight to yield strength
(c) Machining coststo produce constantsurfacefinish
( S t e e lI : 2 0 C ; S t e e l2 0 : 1 6 5 C l l 2 % C r - M o - V )

'''

3 2 2 8 7 t , 2 01 6 1 2 I 4 0 1 2 3 4 5 6 7 I I 1 0 1 1 1 21 3
Dellvery
timein weeks
Manufacturing
timein weeks
re 6.118. Production procedure of an electric motor from the series shown in Figure
(AEG Telefunken)

e 1,1
o

i
E

17

acturing the components and assembliesare indicated by the lengths of

horizontal lines. The diagram not only makes clear where improvements can
made by the choice of more quickly procurable raw and semi-finished
ials or by keeping these materials in stock, but also where different

facturingstepscould be taken in parallel. Thus by allowingthe stator

1l

1.0

inations to be built up in parallel with the construction of the housing (two

-consuming operations), a significant reduction in the overall production

ule is possible.
breakdowns of the production procedure are now common practice in
project planning and control of all large companies. They facilitate the
ination of critical times and of possible design improvements [6.94,

F i g u r e6 . 1 1 7C
. o m p a r a t i vceo s t so f b o l t e dj o i n t s ,f r o m [ 6 . 1 9 0 1
Production time
Accuratc production timc cstinrntcs hclp the dcsigner tu improvc <ln clclivcr
datcs, Figurc 6.1 lfl givcs an cxnmpler the production sequcncc l'or il m c d i u r
'l'hc
powcr clcctric molor,
tinrcr spnt on rcquiring thc mntcrial itntl oil

7 Designing for easeof assembly

Types of assembly
a s s c t t t b l yw c r c f c r t o t h e c o m b i n a t i o no f c o m p o n e n t si n t o a p r o d u c t a n d t o

290

6 Embodiment desilrr

the auxiliary work needed during and after production. The cost and qualirr
of a product depend on the type and number of assembly operations and orr
their execution. The type and number, in their turn, depend on the layorrt
design of the product and on the type of production (one-off or batclr
production).
The following guidelines for designing for ease of assembly can therefore lr,,
no more than general hints. In individual cases, they may be influenced,'r
overridden by reference to the following headingsof the checklist (Figure 6.lr
function, working principle, layout and form design, safety, ergonomics, pr,,
duction, quality control, transport, operation and maintenance.
According to [6.3, 6.200, 6.224] the following essential operations rrrt.
involved:
- Storing of parts to be assembled, if possible in a systematic m a n n ( ' r
Automatic assembly further necessitatesthe programmed supply of p a r t s u r t l
connecting elements.
-Handling of components, including:
oidentifying the part by fitter or robot;
o picking-up the part, if necessary in conjunction with individual s e l e c t i tr r t
and dispensing;and
omoving the part to the assembly point, if necessaryin conjunction wirlr
separation, manipulation etc.
-Positionireg (placing the part correctly for assembly), and aligning (firrll
adjustment of the position of the part before and possibly after joining).
-Joining parts by the provision of appropriate connections. According rrt

16.41],the following operationsmust also be includedhere:

o bringing together,for exampleby inserting,superposing,
suspending
folding:
o filling, for exampleby soaking;
o pressingtogether,for exampleby bolting, clampingor shrink fitting;
o joining by primary processes,for example by fusing, casting irr
vulcanising;
o joining by secondaryprocesses,
for exampleby bendingor by auxilirr
components;and
o joining by the combination of materials, for instanceby welding, solder

or glueing.
- Adjustingto equalisetolerances,to restorethe requiredplay etc
[6.2001.
- Securingthe assembled
partsagainstunwantedmovements
underoperatiorr
-

loads.
Inspecting. Depending on the degree of automation, various testing it
measuring operationsmust b e p e r f o r m e d ,p o s s i b l yb e t w e e ni n d i v i d u a la s s c r
bly operations.

Thcseopcrationsare involvcclin cvcry asscmbly

proccss,thcir imp<lrtirrrcc.
scqucnccand frcqucncyclcpcndirrg
on thc numberul' urrits(onc-ol'fasscrnl)l\.,
batchasscmbly)
(manunl.part:lut()nriltic
and thc dcgrccof uutrtmotlon
or l'rrllv
tuutomirlic
lsscnrbly).

Guidelines for embodiment design

297

General guidelines for ease of assembly

tional production involves the simplification and automation of the assemblv
rcess[6.32, 6.236].
It is advantageous,first of all, to standardisethe necessaryassemblyoperarns. Such standardisation means using the minimum number of assembly
niques and, above all, assemblytools. The designercan make a considerable
tribution here, for example by choosingone bolt size to satisfyvarious load
ditions even if some may be larger than he might otherwise specify.
A lurther requirement is the provision of simple assembly operationLs(6.3.2).
rr instance, in one-off production it is advantageous to use standard tools
her than expensivespecial tools. The cost of individual operations, however,
pends greatly on the available assembly equipment and the staff, so that it is
ible to make general pronouncements on what is simple and cost-

If the designpermits parallel assemblyof different sub-assemblies.

then a
nsiderablereductionin the overallproductiontime is possible.
In general, the designer should always aim at a reduction in the number of
mbly operations. Since these operationsdepend on the number of individual

ponents,he must try to:

decrease the number of identical components, for instance, by replacing a

large number of small bolts with a smaller number of larger ones;
combine several components into one larger component (integral
construction);
use pre-assembled (bought-out) assemblies; and
facilitate the combination of severaloperations by appropriate arrangement of
locating surfacesand connectors, to ensure, for instance, the simultaneous
tightening of several bolts (see Figure 6.tI9).
Even though the precisesequenceof assemblyoperationsis determined by the
oduction planning department and not by the designer, the latter should
rtheless try to provide for a logical sequence, thus obviating mistakes and
ring simple repair and maintenance.

Guidelines for improving assembly operations

ease of assembly, the designer should consider each assembly operation
rately.

s operation, which is particularly important in automated assembly,is

itated by the use of easily stackedcomponents.The appropriate design

asuresinclude:
thc provision of compatible stacking surfaces;and
thc pr<lvisionclf shapesensuring the correct orientation of non-symmetrical
p l r t s ' ( h o l c s , p i n s , g r o < t v c sc t c ) .

292

6 E m b o d i m e ndt c : r r , r r

5 Guii d e l i n e s f o r e m b o d i m c n t d e s r s n

293

up

Guidelines

Wrong

Right

Alml0rsimple
assembly
operations

Aimlorfewassembly
operations
andsimple
components

ls olperation is particularly important in automated assembly.By appropriatc

lice of design features, the designer must:
avol d the entanglement of individual parts;
prevent the nesting of individual parts; and
provide, if necessary,specialfeaturesto ensurepositiveholding of the
coml
component.
ovtnS
t e m covement of parts from the store to the assemblysite is greatly influenced
the size,
r
weight and type (one-off, mass production) of the part. In general,
weve
er, the designer should aim for:
short't distances,for instance by appropriate splitting of the product into easily
A S S Embled
T
modules:
good
7 ergonomic and safety provisions, for instance by avoiding visual
obstr
ructions or potential danger spots; and also

Provide
lorparallel
assembly

stmplehandlingmethods,for instanceby the provisionof easilymanipulable

stmp
joints.
trans
transport
equipmentor of easilyaccessible
re
e shape
shr of componentsmust accordinglybe designedfor easytransport.
tstttol
nonmg

Reduce
number
ol identical
components

rdres
resen[6.3] divides positioning into orientating and aligning. In both, the
signe
rer should:
a l mr .for symmetry if no preferential position is demanded;

distir
tinguish permissible or prescribed positions, for instance by surface marks
or by
br the shape of the locating surfaces;

(integral
Combine
components
construction)

a l mr .for the automatic alignment of the joints; and if that is not possible

tvide adjustablejoints.
prov
tn8
trkl-.:

H/&/
Combine
several
operations

/'V/r/;V

bolldlrection

Figure 6.119. Design guidelineswith examplesfor easeof assembly,in accordancewitlr

[6 3l
Identfying
Avoid muddlingsimilarparts, for instanccby thc usc of:
- distinctshapes;
- distinctdimcnsions
of similarshope$t
or
- clistinctfinishcs.

for easy joining entails the appropriate choice of joining method and
lors so that:
jointts that have to be disassembledfrequently, for instanceto replacewearing
parts
s, are equipped with easily separable connectors;
only' those joints that are rarely or never disassembleduse connectionsthat
are e
expensiveto separate, for example shrink fits or welded joints;
postt
tioning is combined with joining where possible, for instance by means of
ting connectors;
locat
any lack of fit between stiff components is allowed for by the insertion of
'ble
flexil or compensating elements; and
general, procedures should involve a minimum number of simple operain gc
tions
ns and minimum tool use, provided, of course, that the function can be
full'il
Il'iIlccl.
tc t,l.t
itt.s(rtion of a part into the locating surfacesis facilitated by:
((1.$y
l.$Y (l('('('J.f t o t h c l o c a t i n g s u r f a c e ;

294

6 Embodiment rlr

-visual checks,for instance inspection holes;

-simple movements (for example translational) at the locating surfaces;
-short movements at the locating surfaces;
-special insertion
facilities, for instance, by chamfering;
- avoidance of simultaneous fitting operations, for instance in stepped shaft
-

idelinesfor embodimentdesisn

Guidelines

Wrong

Right

toring:
. Easy
stacking

holes, by choosing locating surfaces of different lengths; and by

avoidance of double restraints.

Adjusting
-provision of sensitive,repeatable adjustments; and
- avoidance of adjustments that affect previous adjustments:
- rendering the results of adjustments measurable and controllable.

295

. clear
orientation

ling:
land
ldentitying
. Dysnape

Securing

t--l--l
-TT[-

qJ

LJ

righlhdthread

To lock the joints against unwanted movements due to operating loads,

advisable:

bysrze

-to chooseself-locking,for exampleappropriatelypreloaded,joints; or

- to provide suchadditionalform-fitting or frictional locksascanbe asseml
without greatcost.

f-'r-l
-TTrr-

-{-;iil:}-@-

left-hdthlead

tr u
rTI,.l

l:L

Ef,

Picking
up
. Nohidden
nesting

Inspecting

holes
Provision
otsteps,

By appropriate measures, the designer must also provide for:

- simple checks on critical requirements (for example air vents in rota
machines). Inspection rules without adequate inspection facilities
pointless; and
- inspection and further adjustments without dismantling already a s s e m b l
parts.
Figure 6.120 gives examples of components designedusing these guideli
Further examples will be found in 16.223).

Moving
. Possible
sliding
orrolling

Ease
ofmanipulation

bsitioning:
4 Evaluating easeof assembly
The above design guidelines for ease of assembly are quite generally applica
Their importance, or in other words their practicability, is however stror
influenced by the nature of the production process and hence by the naturr
the assembly operation. Thus, storing, picking up and positioning are particu
ly important in automated assembly plants for mass-produced articles, w
moving, positioning and inserting are of special importance in heavy enginc
ing. Another crucial consideration in all types of production is whether a gir
product is assembledonce and for all by skilled company engineers,or whct
its maintenance and repair call for rcpcatcd asscmblyoperations by lcss cx1)('

outsidestaff.
Even if the designguidclincswc huvc given arc scrupulously
<lbscrvcd,
spccialcharactcristics
ol'individuillcrscs
murl rtlllbc tukcnintu account.l.or

il noprelerred
| . Symmetry
Dosttton
I
I
| .
I

Marking
ofpreterred
Position

i, .

Automatic
alignment

L#

r#
---1---

oladjustment
. Ease

in
with examples
for improvingassembly
operations,
6. 120.Designguidelines
a n c cw i t h6 . 3 . 6 . 2 2 3 1

6 Embodiment

Coping with design faults, disturbing factors and risks

291

Evaluation criteria for assessingease of assembly

Joining:
method
Joining
. lorrepeated
assembly

simple,
if function
allows

positioning
combine
and
l0rnrng

fortolerances.
Allowing
for
instance
bycompensating
parts

Simple executionof assemblyoperations

o Storing
o Handling
Identifying
Picking up
Moving
o Positioning
Orientating
Aligning
o Joining
o Adjusting
o Securing
o Inspecting

lnserting
. goodaccessibility

improved
lead-ins

avoidance
ofsimultaneous
littingoperations

Securing:
.

if possible
simple,
without
additional
elements

Freedomfrom possibleassemblyerrors
Avoidanceof damageto components
Maintenanceof safeworking conditions
Observanceof ergonomicstandards
Avoidanceof specialtraining of the assemblystaff

Coping with design faults, disturbing factors and

risks
.1 Identifying design faults and disturbing factors

Figure6.120(continued)

evaluation of easeof assemblyit is helpful to consult the evaluationcriteria gi

in Table 6.5.
To begin with, all the components must be examined to determinc t
cost-effectivenessand scheduling. Next, the overall assemblyshould bc scr
n i s e di n t h e l i g h t o f t h e g e n e r a le v a l u a t i o nc r i t c r i ag i v e n i n T a b l e 6 . 5 . E x p c r i c
h a s s h o w n t h a t d e s i g nf o r e a s eo f a s s c m b l yc a n n o t b c q u a n t i f i c d a c c u r i r t c l y ,
t h a t i t s c v a l u a t i o nm u s t , a s a r u l c , b c o f u q u a l i t u t i v ct y p c . l n p l a n n i n ga s s c r r r

for lnass-productiolt
()n I
tltc dcsigncrwill do better to buschis cvaluatir)ns
prtxluctionol' grrotolypcs,

design process involves a series of creative and corrective steps. so far we

been dealing with the former alone. The designer, however, is forced to
amine his ideas and solutionstime and again, and to that end he makes use
lection and evaluation procedures.These facilitate the systematicsearchfor
links. Even so, the designer can make mistakes, for instance by ignoring
faulty features as appear with progressiveembodiment. Now, it is essential
ify potential faulty behaviour at the earliest possible stage and, moreeven
in the case of satisfactory behaviour, evaluate the possible effects of
,
ing factors.
idcntification of design faults and disturbing factors is facilitated by the
riite abandonment of the optimistic and creative approach in favour of a
I a n d c r l r r c c t i v eo n e [ 6 . 1 5 3 , 6 . 1 5 9 ] . T h i s c h a n g ei n p e r s p e c t i v ei s o f t e n
: u l t b c c a u s cs u b j c c t i v c i d e a s k e e p i m p e d i n g o b j e c t i v ee v a l u a t i o n s .

298

6 Embodimenr
il

299

g with design faults, disturbing factors and risks

I Fault-tree analysis
The influence of faults and disturbing factors can be determined systemati(
by recourse to what is known as fault-tree analysis 16.73,6.1271.
From the conceptual phase, the designer knows what overall function rr
individual sub-functions have to be fulfilled. The established function structrr
can thus be used to identify all the functions to be checked. These functions rr
now negated one by one-that is assumedto be unfulfilled. By reference to I

checklist(Figure6.2),lhe designercan seekout the possiblefaults or disr

bancescausingparticularfunctionalfailures.The OR or AND relationshilr
thesefaults and their effectscan then be examined.
The conclusions will help him to improve his design and, if necessar\.
re-examine the solution concept or to change the rnethod of productit
assembly,operation or maintenance. Let us take a concrete example [6.t-st;
The design of a safety blow-off valve for a gas container (Figure 6.121) rrr
be checked for possible design faults during the conceptual phase. From r

h,:1!!y,
Pno* /,

o!-4r/

line
condition
0perating
Valvelunction

Faults

normal
cl0sed

^^,--l
I lul I lldl

closed

reaKage

00esnol
00esnol
o0en
close
6.I22.Operating conditions, valve main functions and faults of the safety valve

pipe
Blow-ofl

Figure 6.121.Safety blow-off valve

for a gas container

specificationand the function structure,it is possibleto specifythe operar

conditions depicted in Figure 6.122. The blow-off valve is intended to open
the operating pressure,pop, eXCeds1.1 times the nominal working pressrl
pno-, and to close when the container is again at nominal pressure: The n
functions are therefore 'open valve' and 'close valve'. The overall function c
also be described as 'limit pressure'. Let us now assumea possible failure ol'
overall function, namely'valve does notlimit pressure'(Figure 6.I23). The vi
functions shown in Figure 6.122, and their timing, are negated. They havc
OR relationship with the overall function. Each fault thus identified is rrc

investigatedin terms of its possiblecauscs(Figure6.124).The fault wc

chosento investigatein more detail is 'doesnot open'.
An identifiedcausemav havcto bc ussociatcd
with furthercauseswith whit
it has an OR or AND rclationship.
tnd whlch mny hovc to bc

of
Figure6.123.Construction
fault-treebasedon faults
identifiedfrom Fisure 6.122
ingly. On the basis of the information gained from fault-tree analysis,the

is able to revisethe specification(Figure 6.I25) before he proceedsto

embodiment phase. As a result, his design will be greatly improved and
tial faults avoided.
r second example concerns the embodiment phase. Possible faults of an
valve (Figure 6.126), are shown in Figure 6.127 and the appropriate

production,assemblyand operationremediesin Figure6.128.

that fault-treeanalvsismust.bv its verv nature,
must.however.be stressed
confined to important design areasand critical processes.What is essentialis

thc dcsigncrshouldlearn to usethis approachby rote. In other words,he

and look for potential
hlbitually ncgatcthe identifiablesub-functions

300

6 Embodiment dcsilrr

Coping with design faults, disturbing factors and risks

301

Figure 6.126. Sectionaldrawing of an alarm valve

Figure6.124.Detailfrom
completedfault-tree(Figure6.123)
for the fault 'doesnot open'

Valve
cone
blocked

ication
Specif
tot

blow-cffnlve
Salety

(valve
headwithplanesealing
Valve
surface
without
taper)

| ,9.73

N0rigidj0intbetween
valveheadandspindie
Easy
maintenance
orexchange
0fsealing
surfaces

Setting
pressure
Correct
notmarked
unknown
Settlng
too
Force/preload
easilymoved
miscalculaled
[,lovement
of preloadscrew
nolmeasured
correctly
W r o nsgp r i n g
Dimensional
errors
in components

Blow-cff
aperture
blocked

Erosion
dueto
wrongmaterial
Corrosion
Seleclion
ol wrongmaterial
Inclusion
ol wrongmaterial
Spring
sticks
to block
Seatdistorted
bycreep
Temperature
toohigh
Clearance
toosmall
fit
Faulty
of componenls
Deformation

Covered
byother
components
B owoffpipe(if
present)
blocked
Vatve
seat
blocked

Figtre 6.127. Fault-tree analysisfor alarm valve (Figure 6.126)

25

Valve
liftlimited

26

Damping
of valvemovement

27

Insta
lationin a c osed,ice-proof
area

28

frlction
N os l i d i nsge a l sa,v o i d

Influence of disturbing factors

fo01-pr00f
(eg diflerent
Ensure
mounttng

above approach should be applied not only to the examination of faults but
to the search for potential disturing factors. Failures are often due to the
r. According to Rodenacker [6.169], disturbancescan be causedby fluctuaof the input values, that is by qualitative differencesin the flow of material,
rgy or signals entering the system. If these have a deleterious effect on the
result, they may have to be offset by special design features.
Di:;turbanceJ may also result from the function structure if the interrelaip l-rctwcensub-functions is ambiguous, or from the working principle if
plrysicirl cl'l'cct is not correctly anticipated. The selected layout and form
,f.r irn(l tlrc associatcclmaterial propcrtv Iluctuatiottsand tolerqnccsneeded

29

flange
sizesfor inletandoutlet)

x)

Requirements
wererevlsed
afterconsttucti0n
0l
laulttree

liigrrrc (r.125 I{cvision of sgrccilicltirrn irltcr fnttll.trcc rturlytis

by reference to the headingsof the checklist, namely working principle,

t and form design, etc (Figure 6.2).

302

6 E m b o d i m e n t t l es r r r l

Coping with designfaults, disturbing factorsand risks

303

.2 Designing for minimum risk

ite provisionsagainstfaults and disturbingfactors,the designerwill still be

Blow-off
aperture
blocked
A,R Testin
setposition

D Desrgn
P Production
A Assembly
(useand
0 Operation
matntenance)
R Record
required

lockfor
D Provide
adjustment
screw

Check
choice
A, R Check
environment
of material
ol valve
P,R Check
on
D,0 Forbid
useof
production
(choice
pipe
blow-otf
of materials
D Avoidcovering
andfits)
holewithballor
D,RFixtemp
conefilter
range
pointing
A Install
valve
0, RCheck
operating
Iemperature
D Spring
mustnot
stickto block

Figure 6.128. Various corrective measures as a result of the fault-tree analysis (Figure
6.127\

with gaps in his store of information and with evaluation uncertainties-for

nical and economic reasons?it is not always possible to cover everything
h theoretical or experimental analyses. Sometimes all the designer can hope
do is to set limits. Thus despite the most careful approach, some doubt may
ain whether the chosen solution invariably fulfils the function laid down in
specification or whether the economic assumptions are still justified by the

ly changingmarket situation.In short, a certainrisk remains.

One might be tempted always to design in such a way that the permitted limits
not exceeded, and to obviate any impairment of the function or early
mage by running the equipment below full capacity. The practical engineer
that with this approach he very quickly comes up against another risk: the
solution becomes too large, too heavy or too expensive and can no longer
pete in the market. The lower technical risk is offset by the greater economic

Coping with risks

d with this situation,the designermust ask himselfwhat countermeasures

can take-provided,
for production and assembly may not have the effects they were assume(l
have. Finally, the influence of external disturbing factors such as temperatutc
moisture, dust, vibration etc cannot be neglected,and measuresmust be take
to avoid potential faults.
3 Procedure
All in all, the analysis of faults and disturbing factors and their eliminat
should be conducted along the following lines:
-Identify, and then negate functions.
-Look
for possible causesof faults in ambiguousfunction structures,such
o imperfect working principles;
o imperfect form designs:
o imperfect material, energy and signal flows;
o abnormal factors causing undesirable reactions of the system in respcct
s t r e s s e s .d e f o r m a t i o n s .s t a b i l i t y . r e s o n a n c e .w e a r . c o r r o s i o n . e x p a n s i r
s e a l i n gp o w e r , s a f e t y .e r g o n o m i c s .p r o d u c t i o n . q u a l i t y c o n t r o l . t r a n s p o r l
operation and maintenance (Figure 6.2).
- Determine what conditionsmust bc mct for faults to ensue(for exilnll
AND or OR relationships).

- Introduccappropriatc
dcsignrcmcdicsby improvingon theoriginalsolulion,
<lr hy clcvisingchccksof production,arrcmbly, tr$nsport,opcratitln iutd
mnintcntncc.On thc wholc it in bcttor to lmprovcon thc origilralsohriion

of course, that the solution was carefully chosen in the

place and the appropriateguidelineswere scrupulouslyfollowed.

The essentialapproach, which we shall be examining in greater detail, is that
designer must, on the basis of the analysisof faults, disturbing factors and

spots,provide a substitutesolutionagainstthe possibilitythat the original

tion misht not cover all uncertainties.
In the systematicsearch for solutions, several solution variants were elaboand analysed.To that end, the advantagesand disadvantagesof individual
tions were discussedand compared. This comparisonmay have led to a new
improved solution. As a result, the designer is familiar with the range of
ible solutions; he has been able to rank them and also to take stock of the
nomlc contralnts.
principle, he will select the cheapestsolution, provided only that it has
icient technical merit for, though it may be more risky, it will afford him
ter economic leeway. The chancesof marketing the resulting product, and
of judging the validity of the solution, are greater than those of marketing
lier product, which might jeopardisethe entire developmentor, becauseof
'riskless'
design, cannot provide information about performance limits.

While he is well advisedto adoptthis strategy,the designershouldassiduously

reckless developments that might lead to damage, breakdowns and a
dcal of unnecessaryirritation. If risks cannot be eliminated by theoretical
or experiment in good time or with justifiable outlay, the designermay
f<rrccdto opt for the cheaper and riskier solution, but he should alwayskeep a

costly,lcssriskyaltcrnativein reserve.

305

C o p i n g w i t h d e s i g nf a u l t s . d i s t u r b i n g f a c t o r s a n d r i s k s

304
To that end, he must develop the less cost-effective solution proposllr
elaborated in the conceptual and embodiment phases into a second or thirtl
solution reservedfor critical design areas,and ready for immediate use in casctrl
need. Provision for such development should be built into the chosensolution ll
the latter should not meet all expectations,it can then be modified, if necessitrv
step by step, without great outlay in money and time.
approach not only helps to reduce economic risks for :r
ihir ryti"-atic
also to introduce innovations one at a time, and to provitlt'
but
tolerable outlay,
of
a detailed analysis their performance, so that further developmentscan lrc
made with minimum risk and at minimum cost. This approach must, of cours(',
be coupled with a systematic follow-up of the practical experiences gairr"l
through it.
By designingfor minimum risk, the designerthus tries to balancethe technicrrl
againstthe economic hazards and so presentsthe producer with useful experi'
encesand the user with a reliable product.

t could be obtained if forced convection was substituted for natural

vectioncooling(Figures6.I29b and 6.130).

This raised the difficult question of whether natural convection cooling would
rtheless meet the required operational conditions and, if not, whether the
elaborate and more costlv alternative with its additional cooling circuit
uld be accepted bv the customers.
'minimum risk' decision-that is to construct the housing in such a way
The
t either cooling system could easily be used-helped the designer to gain
rience for only a small increase in cost.

I
Hemp-packing

{fll5'J

Theory
Experiment

2 Examples of designing for minimum risk

Example 1
A study of possible improvements in the performance of a stuffing box shorr..'tl
that, tb inirease the sealing pressure and the iurface speed, the resulting
frictional heat on the shaft must be removed rapidly in order to keep tltC

d>

temperaturein the sealingareasbelow the limit.

.Ib
that the packingringsbe mountedon the shaft
ttrat end, it wassuggested
as to rotate with it and rub againstthe housingrather than the shaft. The hc
generatedby friction could then be extractedthrough the thin wall (Figtt
e.ngd. Theorticaland experimentalstudiesshowedthat a markedimprov

lL-

+Fffi,

:-

.<

_2-

h
-4

Figure 6.129.Cooled stuffing box

in which the packing revolves
with the shaft. The appropriate
designof shaft and pressring
ensures the internal connection
ofthe packing rings; a very short,
heat path facilitates good heat
extraction;
(a) heat extraction by natural
convection currentsin the
surrounding medium, dependent
on the prevailing air flow
( b ) h c a t c x t r i t c t i o t lt r y f o r c c t l
c(Ilvcclion tluc t() scpilriltc
cortlingrir flow crtsuring
hllhcr flow vckrcilics nnd
lncremcd hcnl cxt rtct ion

?3
V4

Figure 6. 130. Theoretical

and experimental
temperature
determinations at the seal
plotted against the
peripheral speed on the
shaft
(a) Layout as in Figure
6.I29a
(b) Layout as in Figure

6.r29b
m/s

(c) Conventional stuffing

box with packing
attachedto the housing

ple 2
the development of a series of high-pressure steam valves operating at
peratures of more than 500"C, the question arose whether the customary
hod of nitriding the valve spindles and bushes should be retained despite the
that the nitrided surface expands with temperature (thereby reducing the
ial clearance), or whether very much more expensive stellite hard facing
ld have to be substituted. When the problem first arose,there was a lack of
uatc information about the long-term behaviour of such layers at high

'minimum risk' solution adopted was to selectthe wall

:raturcs.The
of the valve spindleand bushesso that, if
and thc clinrcnsions
krrcsscs

306

6 E m b o d i m e n t ( l e\ r t n

307

Coping with designfaults, disturbing factorsand risks

necessaryand without changingthe other components,stellite-treated

pirrtt
could be substitutedfor the otherswhenevernecessary.
As it turned out, tlrc
operatingtemperaturerangewas considerablylower than had beenanticipaterl.
so that nitriding provided a satisfactorysolution and also helpedto identify tha
operationallimits. Once theselimits were known, the more expensivesolution
could be reservedfor more demandinsconditions.
Example3
Reliable design calculationsfor large machine parts, particularly in onc olf
production,dependon the analyticalmethodsand the postulatedconstraint\,
It is not alwayspossibleto predict all characteristics
with the necessary
degrt'c
of accuracy.This applies,for instance,to the determinationof the criti,rrl
whirlingspeedsof shafts.Often, it is impossibleto predictthe preciseflexibrlrry
of the bearingsandfoundations.However,the differencebetweenhighercritirul
whirling speedsin high-speedinstallationsis small in the rangeof flexibilitrtr
normallyencountered.
In the situationdepictedin Figure6.131,'minimumr isk'
designcan once again be applied to advantagebecausethe spacingo1 tho

Figure6.132

Figure6.133

e 6.1,32. Support which, by selecting different spacers, allows the distancesbetween

bearings to be varied.
rre 6.133. Plain bearingswith laminated springs1, allowing adjustmentsof
ibility (BBC). (Laminated springs also have good clamping properties thus narrowing
critical range)

g the many suggestionsput forward for a device to wind a strip into a

layeredring, two seemedparticularlypromising(Figures6.734a and b).
solutionshownin Figure 6.134ais the simplerand cheaperbut alsothe
ier of the two, becauseit is not certain whether the inner rotating mandrel 1
is invariably able, despite the increased friction produced by the knurling
the pressure of the springs 2, to move the strip 3 forward.

-B

e solutionshownin Figure6.I34bis lessrisky, because

the pressurerollers

Theoretically Flexibility
of
predicted
range bearings
and
which
cannot
foundations
befurther
re0uce0
Figure 6.l3l. Critical whirling speeds(qualitative)for a shaft plotted againstthc
flexibility of bearingsand foundations

bcarings,which has a major influcrrccon the critical speed,can be acl.j

(Figurc6.132).Intcrposcdsprirrglaminations
(Figurc6.133),morcovcr,llk
altcrationof thc cffcctivc l'lcxibiliticn.Both measurcs,takcn tugctlrcr
scpuratcly,will produccthc requircdcffcct to that thc sccondor third critir
whirlingspccdctn bc clinrinnlcdfnrm thooporrtln3ipccd rtngc ol'thc nrlclr

to the ends of the springs and the feed roller 5, which moreover can be
riven, make the advance of the strip more certain. This solution,
r, is the more costly of the two, and also more susceptible to wear
use of the greater number of moving parts

'minimumrisk' solutionis that shownin Figure6.I34a,but with a feed-in

r as in Figure 6.134b, and arranged in such away that, if need be, it can be

n without alterationof the other parts (Figure6.134c).

is additional element proved essentialwhen the machine was tested, and
readily available.

large electrical machines, fans attached to the shafts ensure the efficient
ing of the windings and the laminations.
quantity of air involved cannot, however, be predicted with accuracy
of thc uncertain inflow and outflow relationships.Hence, in the first
s. thc blaclcswcrc maclc adiustable to facilitate the correction of the air

308

6 Embodimentdcsrlrr

7 Evaluating embodiment designs

309

6.135.Blades of a coolins fan in an electricalmachine: the anele can be altered to

djust the air flow (AEG)
slot for balancing weights; b grub screw for fixing the blades; c rotor; d blade

7 Evaluating embodimentdesigns
63
F i g u r e6 . i 3 4 .
(a) Proposedwinding device
^1rotating mandrel; 2 pressuresprings;3 strip to be wound; 4 parts of the ejection
mechanism
( h ) P r o p o s e dw i n d i n gd e v i c e
1 rotating mandrel; 2 springswith pressurerollers;3 strip to be wound ; 4 parts of ejectit
mechanism;5 feed-in roller loaded by spring and possiblydriven
(c) Chosen solution

by
springs;3stripto be wound;5feed-inroller tensioned
1 rotatingmandrel;2pressure
spring6 and drivenby belt 7

throughput(Figure 6.135).With enoughexperience,it was then poSsiblc

Here, asin Examlllc
substitutea non-adjustable
and cheapercastconstuction.
the possibilityof makingcorrectionsensuresa 'minimumrisk' solution.
The sameapproachcan alsobe usedfor morecomplexventilationsystcrlls.
which the air quantities and pressurelosscscannot be predicted with accurir(

shouldmcct ri
to showthat the designer
All theseexamples
are intendccl
thc l'irststcpbut ulsothc sccondor third, whiclrc
not simplyby considcring
oftcn bc donc at rclativclysrnilllco$l, Expcricncchus shownthat cmcrgc
nlcasurcst() corrcct unlilrcsccnftrultr are mgny timcs morc costly itnd
consunring.

5.8 we discussedthe subject of design evaluation. The basic procedures

tlined there apply equally well to the conceptual and to the subsequent
. As embodiment progresses,the evaluation will, of course, rest on more
more concrete objectives and properties.
In the embodiment phase, the technicalproperties must be evaluatedin terms
the technical rating, R,, and the economic properties separatelywith the help
the calculated production costs in terms of the economic rating, R.. The two
ings can then be compared on a diagram (5.8.1.6).

The prerequisitesof this approachare:

That all the embodimentdesignshavethe samedegreeof concreteness,
that
is the sameinformationcontent(for instance,rough designsmust only be
comparedwith rough designs).In many casesit suffices,while keepingthe
overall perspectivein mind, to evaluateonly thoseaspectsthat show marked
differences
from one another.Oncethat hasbeendone,their relationshipto
the whole, of course, must be examined,for examplethe relationship
betweenpart costsand total costs.
That the production costs (materials,labour and overheads)can be determined. If a particular solution introducessubsidiaryproduction costs and
demandsspecialinvestments,
then, dependingon the point of view (producby amortisation.
er's or user's),thesefactorsmustbe allowedfor, if necessary
In addition,optimisationcan help to achievea minimisationof production
und opcratingcosts.

310

6 Embodimentdesirrr

If the determination of production costsis omitted, then the economic ratilrrl

can only be evaluated qualitatively, as it was in the conceptual phase. In tht'
embodiment phase, however, costs should, in principle, be determined more
concretely.
As we mentioned in 5.8.1, the first step is to establish the evaluation criteritt
They are derived from:
- the requirements of the specification:
o desirable improvement on minimum demands (how far exceeded); and
o wishes (fulfilled, not fulfilled, how well fulfilled);
-the technical properties (to what extent present and fulfilled).
The exhaustivenessof the evaluation criteria is tested against the headings t'l
the checklist (Figure 6.136), specially adapted to the level of embodimcrrt
attained.
Heading

Examples

Function

principle:
in accordance
withtheselected
working
Fulfilment
risk,susceptibility
to disturbances
efficiency,

Layout
design
Form
design

fits,scope
lor modifications
requirements,
weight,
arrangement,
Space

Salety
Ergonomics
Produclion

protection
Direct
methods,
industrial
safety,
ol theenvironment
safety

7 Evaluating embodiment designs

311

rs described in7.l. They are instancesof the common case in which what
to be evaluatedis not the overall design but designvariants in chosendesisn
Fisure 6.137 shows the three variants of the bearins bracket to be
aluated. In variant Vllhe bearing bracket is fitted directly to the front wall, as
welded construction. In that case, the rotor can only be assembledvertically
the top, which must be facilitated by the appropriate housing shape.

life,wear,
Durability,
deformation,
sealing,
operating
stability,
resonance
shockresistance,
lVlan-machine
relati0nship,
handling,
aesthetic
considerations
Risk-free
methods,
setting-up
time,heattreatment,
surface
tolerances
treatment,

0ualitycontrol
Assembly
Transport
0peration

possibilities
Testing

Maintenance
Costs
Schedules

repair
Servicing,
checking,
andexchange

adjustable,
resettable
Unambiguous,
easy,c0mf0rtable,

v3
6.137.Design variants for bearingbracket. Simplified diagram (AEG-Telefunken)

packing
transportati0n,
means
lnternal
andexternal
of despatch,
properties,
Handling,
behaviour,
corrosion
operational
consumption
ol energy
(economic
rating)
Evaluated
separately
date
Production
schedule
andcompletion

Variant I/2 consists of a separate bearing assembly of welded construction,

ich is bolted to the machine base. The rotor is assembledhorizontally, with
bearing bracket unbolted.
In variant V3, the bearing bracket is incorporated in the end plate as a cast
component which replaces the front wall, closes the lateral housing

rturesand is bolted to the housins.

Figure6.136.Checklistfor evaluatingembodimentdesigns
At least one significant evaluation criterion must be considered for euch
heading, though sometimes more will be needed. A heading may only ltc
ignored if the correspondingproperties are absent from, or indentical in, all tltc
variants. This approach avoids subjective over-valuations of individual pro.
p e r t i e s .I t m u s t b e f o l l o w e d b y t h e p r o c c d u r a ls t e p so u t l i n e d i n 5 . 8 . 1 .
I n t h e c m b o d i m e n t p h a s e ,e v a l u a t i o nn l s r lc o n s t i t u t c sa n e s s c n t i a sl e a r c hl o r
wcak spots.
As an examplc of thc cvaluation of dc*i3nr ln thc embodimcnt phasc, wc shlll
c o n s i d c r t h c b c i r r i r r gb r i r c k c t l i r r u s c w i t h l h ! h o u * i n g o f t h c r i r n g c o l ' c l c c t n c

The evaluation of the technical properties (technical rating) is made with the
of an evaluation chart, Figure 6.138 (see also Figure 5.51). Since evaluation
teria for such desisn areascannot be fullv derived from the specificationof the
ire machine, it is useful to consult the checklist (Figure 6.136). The following
ings of the checklist apply to the case under consideration:
tion- Lay o ut design- Form design

bearing spacing permits higher speeds,quieter running and shorter

ovcrallconstruction.
tligh stiffne.rsof the loaded areas of the bearing and housing reduces
dcformltionof thc air ventsand leadsto smootherrunnins.

JIL

6 Embodimenl rlcrrr,rr

313

7 Evaluating embodiment designs

Good damping characterlsllcsrender the machine less susceptible to damaging vibrations.

Ergonomics
o

S>

ES

ll *

=: s'=
L-

Incorporatior? of the bearing into the housing reduces the danger of injury
through projecting edges and gives a more satisfactory form design.

ILS

ides minimising the production costs (which are assessed separately in

>_
o

+=

o
o

rmining the economic rating) the designer should, because of limited

uction capacity:

o
O

E
O
@

=
S

@
O

il

O
N

Sq

=-

ll

^i'F6

try to make do with few productionfacilities; and

aim for a high level of sub-contracting.

o-

so

ity contr ol-A ssembly-Tr ansp or t

=s .F=

E
B
o

B
o

trr
6

s-

l l
N

o
o

E
r=
E9
Ea

, =E

oo
=E

il^

=- s=

E=

>s
o

n-Maintenance

r=

B
o

oil

i l N

E
E

c
f

design of the bearing bracket influences the assembly of the rotors, the
tting and inspection of the air vent, and the assembly of the seals and the end
s of the housing. The rotor assembly, in particular, also influences the
sport facilities because of its great weight.
Hence the desisner should aim for easeof assembly and inspection

bo
'a
-:qJ
(D

o
c
a

E
o

c
o

>6

tqo
oYAta
o6=

E=
@

'=

oo

o
a

o
O

O
O

<6

o
o

o,^

o
c

-E

c
E -

i6o

)=

6
ttt

o
F

>R

==

I-

>ll
('iJ

ooS

result.
For a full assessment,the technical and economic ratings of the three variants

o?-

.-PE

@6

5rr^ ll

servicingof the sealsbetween housing and shaft, and also the inspectionand
ning of the motor windings, is affected by their accessibilityand the ease
h which they can be dismantled.
Hence the designer should aim for an easy exchange of seals and simple
of the interior of the motor.
In Figure 6.138, the three designvariants have been evaluatedwith the help of
criteria, and the appropriate parameters values entered. Weighted values
obtained by means of weighting factors. The evaluation shows that the
nical ratings impose the order V3-V1-V2, Vl and V2being relatively close
each other. Variant Iz3 has not only the highest technical rating but also the
t balanced value profile.
The economic rating is obtained from an analysis of the production costs. To
'ideal
ate the ratings. the
costs' were set at 80 per cent of the cheapest
iant. Figure 6.139 gives the economicratings of the three variants obtained as

EE
ao

Variants

Figurc(r.139.Economic
ratingof the threedesign
variantsshownin Figure
6 .t 3 7

Percentage
production
costs
Economic
ratingfi.

Vt

V2

106%

r 0 0%

0,75

0.8

V3
11t

0,16

3r4

6 E m b c l d i m c n tr l r s r r , r

have been incorporated in a rating diagram (Figure 6.140). The reader will sr.,.
that though variant 73 has the highest technicalrating, it is also the most cosrlr
In the case under review, the costs of the evaluated design area amount to ollr
5 per cent of the overall cost of the motor, so that the economic ratings of tlr,.
cheapestand most expensive variants alter the overall costs by no more thrrrr
about 3.3 per cent. Moreover, with variant v3 the cosis of the housing ,,,,.

Developingsizerangesand modular products

t,0

.1 Sizeranges
V?

0,8

V1

I
| 0,6
v3o

0,4
Figure6.140.Comparison
of the technicaland
economicratingsof the
designvariantsshownin
Figure6.137

0,2

0,?

0,4

0.6

0,B

1.0

4+

slightly reduced. In view of the pronounced effectsof deformation and dampirrr:

on the smooth running of the machine, variant V3 was judged to be the best ol
the three despite its relatively low economic rating, the more so as cast enrl
plates were known to produce good results in practice.

1erangesprovide a rationalisationof designand production procedures[7.31].

For the manufacturer they have the following advantages:
The design work can be done once and for all and can be used for a host of
applications.
The production of selected sizes can be repeated in batches and hence
becomes more cost-effective.
Higher quality is possible.
is implies the following advantages for the user:
competitive and high quality products;
short delivery times; and
easy acquisition of replacement parts and fittings.
Disadvantagesfor both manufacturer and user are:
limited choice of sizes, not always with optimum operational properties.
By size range we refer to technical artefacts (machines, assemblies or
ponents) for a wide sphere of applicationsthat:
fulfil the same function;
are based on the same solution principle;
are made in varyingsizes:
involve similar production techniques.
If, in addition to the range of sizes, other associatedfunctions have to be
ted, then modular products (see 7 .2.2) will have to be developed side
side with size ranges. The development of size ranges may be original or
on an existing product but must, in either case, be carefully graded. We
to the initial size as the basic design and to the derived sizes as sequential

[7.31].
In the development of a size range, similarity laws play an essential, and
l-geometric preferred numbers a useful, role.

Similarity laws
lnrctric similarity ensuressimplicityand clarity of design.The designer
lws, howcver, that technical artefacts stepped up in geometric proportions
srl-callcdpantograph constructions)are not satisfactoryexcept in very rare
: s . l l t p i r r t i c u l a r ,p u r c l y g e o m e t r i c a lm a g n i f i c a t i o ni s o n l y p e r m i s s i b l ew h e n

t16

7 D e v e l o p i n g s i z e r a n g e si i n d m o d u l a r p r o ( i r , I

;imilarity laws permit, which should always be checked. These laws are usr',|
i,/erysuccessfullyin model testing 17.28, 1.30, 7 .32,'7.361.In general, howevt r
lhe development of size rangeshas a different objective from model technologr,
namely to achieve:
-the same level of material utilisationl
-with similar materials if possible; and
-with the same technology.
lt follows that, if the function is to be fulfilled equally well throughout the rani',
lhe relative stressesmust remain the same.
We speak of similarity if the relationship of at least one physical quantitv rrr
the basic and sequential designs is constant. It is possible to define bu'r,
similarities with the help of the fundamental quantities length, time, forr,'
quantity of electricity (charge), temperatureand luminous intensity (Table 7. I t
Iable 7.1. Basicsimilarities

Table 7.2 lists important similarity relationships in the development of size

anges for mechanical systems.They are by no means exhaustive and must be
pplemented from case to case, for instance in bearing developments bv
mmerfeld's number and in hydraulic machines by the cavitation number and

pressureindex.

Table 7.2. Special similarity relationships

Similarity
Kinematic

atic

Dynamic

Similarity

Basic quantity

Invariants

Geometric
Temporal
Force
E,lectrical
Thermal
Photometric

Length
Time
Force
Charge
Temperature
Luminous intensity

E 1 , : L 1 lL 1 y
9t: tltt
cpp: FJFl
qo: QJQo
E,1: $ylt)11
et:Jrllo

Thus we have geometric similarity if the ratio of all the lengths of any sequentnl
design to all the lengths of the basic design is constant. Here, the norr.
dimensionalparameter to be held constantis gl: L1lLs, where L1 is any lengtlr
of the first member of the size range (sequentialdesign);and Ls the corresporrtl.
ing length of the basic design. In the same way, we can describesimilarities irr
time, force, electricity, temperature and luminous intensity.
If two or more of the basic quantitesare in constantproportion, then we hirrc
special similarities. Now, model technology has defined dimensionlessp:ur.
meters for important and recurring similarities. Thus, in the case of sinrrrltaneous invariance of length and time , we have kinematic similarity , and in t lrr,.
caseof simultaneous invariance of length and force we speak of static similaritt ,
A very important similarity, namely dynamic similarity, appears whcrr ;r
constant force relationship is combined with geometric and temporal similrrr
ities. Depending on the forces involved, we arrive at different dimensiorrl,'sr
parameters. Thermal similarity deservesspecialmention because,in the case,'l
geometrically similar size ranges and the same utilisation of materials, it canrr,rl
be squared with dynamic similarity.
* F u n d a m e n t aplh y s i c aql u a n t i t i e a
s r e a s l i s t c di n t h c o r r g i r r l (l l c l r l u n t c x t . ' l - h cl r ; r ' , r ,
p h y s i c aql u a n t i t i esse l e c t efdo r t h c S I s y s t c rtni i l l c rs l i g h l l vr r r t t l ,l o n gw i t ht h c i l b a s i ct r r r t .
( r r r c t r c t) il r r r t ' ( s r ' c o r trtul ); :r s(sk i l r r g t i t r tct l)c: c t l i ct ' r t t tr, l
s h o w ni n b r a c k c t su,r c :l c r r g t h
( q r n r l t c r c ) ;l h c r r l o t l V r r i r r r r itcc r r r l l c r ; r t r r r (ck c l v i r r l ; l t t t r l l t t t t t i t t o t t ist t t t ' t t s i t v( c l t t r l t ' l l r ) I l r '
t l i l l c t c r t c c s t l o t t o l ; r l l r ' t ' tl l t u n t i t t c i D l r ' :r l t ' r t t t l r e t l

317

7 [ Sizc ranges

Invariants
gr,9t

Definition

Description

"O;Sry

9r-.9t

Hooke

Ho:

9L' 9r' 9F

Newton

Nr:

n'. r,

Relative elastic force

-!-

Relative inertia

Q'vt'L'
Ho

C a u c h *y

Ca:';;:

Froude

Fr:

o. v2

Inertia force/elasticforce

v2

Inertia force/gravitational
force

gr

NN **

E
e'8'L

Reynolds

Re-

E,lasticforce/gravitational
force

L'''Q
q

Inertia force/frictionalforce
in liquids and gases

9L,90

Biot

Supplied or removed/conducte
quantity of heat

9 r ' 9 r po

Fourier

Conducted/stored
quantity of heat

In some texts, we find Ca : v . t/ pt E . This is appropriate if Ca is intended as a velocity

relationship.
Not named.

Similarity at constant stress

In heavy engineering systems,inertia forces (forces due to mass, acceleration
etc) and elastic forces resultinq from the stress-strain relationship play a
p r c t k l r r r i n a n tr o l e .
l l ' t h c s t r c s s c sa r e t o r e m a i n c o n s t a n t throughout a size range, then
0-t'l:-cortstlrnl.

318

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o t l r r ,L

In that case the stressparameter becomes:

,r^:o':1!:
os

fo Eo

3le

Size rangcs

le 7.3. Similarity relationshipsfor geometricalsimilarity and cquirl strcsses: tlt'pcrrrl,

: of important quantities on length

W i t h t h e s a m em a t e r i a l , t h a t i s a t E p : E t l E o : 1 .

th Ca: Qv2lE:constant and the same material, that is a : E :const

we need:

t; :
cp,: 111y:
l, orup, : +
t, or cpzr: er
z L t )L r
With this so-calledCauchy condition, all changesin length must increasc rl
.he same ratio as the appropriate lengths. The elastic force parameter th( r)
)ecomes:

Speeds, n, rr.r
nding and torsional critical speedsftr,, a",
trains e, stresseso, surface pressuresp due to inertia and elastic forces, speeds y
stiffnessess, elastic deformations A L

otAt
: ezt ,
ooAo

with

eo :

gu.cPp,: I

and

cpt: g2y

fttIat
rt0a0

eights W, torques I, torsion stiffnesses,s,

vFt:

nd moments of area I, J
QtVtat

gts

te: The utilisation of the materials and safety level are only constant if the influence
of
the dimensions on the material propertils can be ignored.

with
Qp: QrlQo: l, Ev : Vt/Vo: tlltt,

Qr."
(Pra

assmoments of inertia I' , J'

QoVoao

(Ptt

Q12

rsP
M o m e n t sM
, , M,

l'he inertia force oarameter is:

9r."

rarnss, stresses
o, surfacepressures
p due to gravity
orces F

(Ppp.:

f, : c()r.tst

n the caseof geometricalsimilarity the following relationshipsoccur

: rtt

rnd

Size ranges developed in accordance with these laws are geometrically similar
nd provide for the identical utilisation of the materials.Such deveioDmentsare
ible whenever gravity and temperature have no decisive influence on the
sign. If they have, the use of semi-similar seriesis advisable(see 7.1.5).

L{A et
r
"^_ rrh_A
ve have

Decimal-geometric preferred number series

Eet: ELlg2,
A. dynamic similarity, that is a constant ratio between inertia and elastic forr*
vith geometric similarity, can only be attained if cp,: Ey:
?pp:

Qzr: Qpr: ELlrPt-: E2L

.Ience the velocity ratio becomes:

cg,: grlclt:

qrlEr:

With the same material, the same result can also be derived from the Cauclrv
rumber (Table 7.2), for when p and E remain constant then the dynarrrrc
;imilarity will only remain constant if the velocity v also remains constant.
For all important quantities such as power, torque etc, ancl u'itlr
pr:ch:const. andcpr:gr:gn:9,:
l , i t i s n o w p o s s i b l ct o c s t a b l i s ht l r . '
; i m i l a r i t y r e l a t i o n s h i p ss h o w n i n T a b l c 7 . 3 .
I t s h o u l d b e r c m c m b c r c c lt h i t t t l t c u t i l i s i r t i o r o
t l t l t c r t t i r l c r i a l sl n c l t h c s i r t c t r
c v c l o n l y r c r t t a i r tc ( ) n s t i r n ti l t l t c i r t l ' l u c r t c o
c l t l t c r l i r n c n s i t ) n (s) l l t h c r r r l r l c r i , r l
r l o p c r t i c sc i r r rl r c i u r r o r c t tl h r o r r g l r o r tr ltr c r i r c t i l n F c .

we are familiar with the most important similarity relationships,we still

to determine the best method of choosing the individual steps of a size

nge. Kienzle [].24,7.251and Berg [7.5 to 7.9] have arguedrhat a decimaltric series is the most useful.
A decimal-geometric series is based on multiplication by a constant factor cp
is developed within one decade. The constant factor E determines the step
of the series and can be expressedas:

E : \EJ-q,: \,M
re n is the number of steps within a decade. For 10 steps, the serieswould
have a factor:

,o:Vlo:1.25
i s c i r l l c cR
f 1 0 . T h c n u m b e r o f t e r m s i n t h e s e r i e si s z : n * 1 .
'l'lrblc
7 , 4 s c t s o u l t h c m : r i n v a l u c so f f o u r p r e f e r r e dn u m b e r s e r i e s[ 7 . 1 2 ] .
'l'ltc
t t c c t l l o t g c o t n c l t ' i cs c i r l i n gi s o t l c r r l i r u n c li n c l a i l y l i f c a n c l i n t e c h n i c a l

7 Developing size rangesand modular

t.4. Main values of preferred numbers [7.121

(logscale)

Diameter
d in mm

50

Basicseries

Basic series

JLl

7 1 Size ranges

R10

R20

R40

R5

R10

R20

R 4t)

1.00

1.00

1.00
1.06
l.r2
1.18
r.25
r.32
1.40
1.50

4.00

4.00

4.00

4.00
4.25
4.50
4.75
5.00
5.30
5.60
6.00

1.60
1.70
1.80
1.90
2.00
2.12
2.24
2.36

6.30

12s 140 160 180 200 17+ zS0 zg0 315 355 400 450 s00

60
58
56
ct

t.t2
1.25

1.25

r.40
1.60

1.60
1.80

2.00

2.00
1

2.50

1A

2.50
2.80

3.15

3.15
3.55

4.50
s.00

5.00
5.60

6.30

6.30
1.rc

8.00

8.00
900

6.30
6.'70
7.r0
7.50
800
8.50
9.00
950

2.50
2.6s
2.80
3.00
3.15
3.35
3.55
3.75

:e. The resultingseriesconform with the Weber-Fechnerlaw which

re physiologicalsensationproduced by a stimulusis proportional
hm of the stimulus.
the [7.33] has shown how, in the development of friction drives, t
er instinctively chooses the main dimensions by means of geomctrit
;. Our own work on turbine shaft oil scraper rings has confirmed tltt
;s. In Figure 7.1, shaft diameters are plotted using a logarithmic str
t the number of newly designedoil scraperrings (or rings on order) ovt'r
of 10 years. The results show that there were 47 diameterswith pcirkr
r r l e s sr e g u l a r i n t e r v a l s ,w h i c h c l e a r l yd e m o n s t r a t e sa g e o m e t r i c asl c i r l i r r
v e r , t h e n u m b e r o f n o m i n a l s i z e sw a s d i s t u r b i n g l yl a r g e - s o m e d i f f c r c t l
f c w m i l l i m c t r c s a n c lg a v c r i s c t o v c r y s m a l l p r o c l u c t i o nb a t c h e s .[ - t r c k r
r r c 7 . 1 a l s os h o w s ,i l ' l l r c f ' c r r c cs li z c si t r c s c l c c t c cwl i t h t h c h c l p < l tt h c l { .
t l r c n u r r r h c l o l v i r r i i r n t sc i r n b c r c c l u c c t l o l c s s t l u t n I t i t l l , g i v i r r l r l
c r i r l r l y n r o r c b i r l i r r r c c ti rl r r r lh i g h c r r c ( p l i r c n l c t l lp c r t t t t t t t i t t i tsl i z c . l l r r t l t h c
c r s c l r r l s c l sl r r c l rp r c l c r r c r l n u n r t r c r st l c l i b c r i r l c l y .u t l l u c ht t t r t r cs t t i t r t t r l rt 'r r c
worrltlhlvc crttcrgctl ty itscll,

52
50
48
46
lrl,

L7
/.0
38
36
34
37
30
o
2B
5 26
2L
22
70
18
to
l4

12
10
I
6
L

7
?LN

727

2io

340375
3bo

Figure 7. I . Frequencyof seal di ameters d of scraper rings for tu rbine shafts; continuous
line: actual situation; broken line: suggestedsizerange

The use of preferred number series thus provides the following advantages

.12):
Appropriate scalingleads to the selectionof nominal sizesin accordancewith
demand. The finer series have common numerical values with the coarser.
With proper gradation it is possible to approximate an arithmetical series.
This facilitates jumping from row to row and hence provides the different
steps needed for matching the distribution of the market requirement. The
preferred number series contain both decimal powers and also doubles and
halves.
-There is a reduction of the dimensionalvariants by the choice of dimensions
bascd on prcferred numbers with a consequent saving in manufacturing
i n l r r r c t i o n s ,c q u i p m e n t a n d m e a s u r i n gt o o l s .
- Sincc thc llrocluctsancl qr.roticntsof terms of the seriesare in turn terms of a
g c o r r r c l r i c i rsl c r i c s ,l r n l r l y s c si r n r lc i r l c u l l t i o n sr c c l u c cr n a i n l yt o m u l t i p l i c a t i o n
l r r r r tl l i v i s i t r r rA s . r i s c t l n l i r i n c riln t h c l l r c t ' c r t c rnl t t n t b c rs c r i c sw i t l t a g o o c l

-)zL

approximation, geometric gradation of component diameters will generatt.

circumferences, circular areas, cylinder contents and spherical surfaces thlrt
are, in their turn, terms of the preferred number series.
If the dimensions of a component or of a machine are terms of a geometricrrl
series, then linear magnifications or diminutions will give rise to preferrctl
numbers in the same series provided, of course, that the magnification or
diminution factor is also selected from the series.
Automatic growth of the size range will be compatible with existingor futurr'
ranges.

particularrangeof sizesinto severalsets.

If we define a characteristic
number N of a ranse suchthat:
Greatest term of the ranse

3.r5

?.5
2

R
a

t.0

1
1

Er

In general, when trying to rationalise a product size range, the designer uill
select his increments once and for all. To that end he makes an approprilrrr.
selection of step sizes, for instance in respect of power and torque. T-lt;rr
selection can be based on several considerations.First of these is the markcr
situation, which as a rule requires small incrementsso that the varied demarr,l.
of customerscan be met most effectively. The second considerationis efficierrr
design and production. For technical and economic reasons,the selected step
sizes must be fine enough to meet the technical demands (for instanct,.
power), and yet coarse enough to allow large-batch production based on;r
simplified range. The selectionof optimum step sizesthus involves an integratt'tl
approach to the'market-design-production-sales'
system, and requircs
information about:
-market expectations(sales)in respect of individual sizes;
-market behaviour in respect of simplified ranges and the resulting gaps,
-production costs and times of the various step sizes and the effect on thc
overall production costs; and
-properties of each product in the size range.
Since the optimum selectionof step sizesmust be based on all the factors wo
have mentioned, it is not always possibleto opt for a constant step factor; mo16
often technical and economic considerations will demand the breakup ol

N:

I
6.3
5

El

7.1.3 Selectionof stepsizes

rnn

Smallest term of the ranse

wheren is the numberof the stepsin any particularrangeand z: n * I is tlro

numberof terms,then the factor:
q:VN'
Thc rangccan bc split up by mcansof a<'onstant
r,>ravariublefac:tor,thirt ir,
by stcps within and/or bctwccn coarscror fincr prcfcrrcd nunrbcrsclicr
(R .5-R 4t)).1'hc rcsultingstcp charactcristics
arc shownin l-'igurc7.2,
'I'ypc
A hus u constuntfuctor (for instunccqt= 1.25corrcsponding
to l{ l0;
ovcr thc cntirc rungc.

323

Size ranges

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o d L r tr '

8s

1 2 3 4 5 6 7 8 9 1 01 2 3 1 5 6 7 8 9 r 0 1 2 3 l . 56 7 8 9 1 0 r 2 3 4 5 6 7 8 9 1 01 2 3 i - 56 7 8 9 1 0
*
Termnumber

l:i,Tlllflltrffiffi ffi
TypeA

TypeB

TypeC

trffiffi ffiffi
Type
D

TypeE

Figure 7.2. Step characteristicsofsize ranges[7.16]; (factors assignedto each step)

In Type B, the lower part of the range is divided up coarsely (for instance
g:1.6
corresponding to R 5) and the upper part more finely (for instance

:1.25 corresponding
to R 10). Suchdegressive
geometricalproduct ranges

should be used whenever a coarser grading for the smaller product sizes is

ically justifiable.If a degressive

gradingis ssed, it should alwaysbe
on the combination of several preferred number series with decreasing
ep factors and not on a constantly decreasingseries since, on the one hand,
at adaptations may be needed can be made accurate enough and, on the other
d, adherence to the preferred number series is advantageousfor the reasons
have already set out.
Type C has a greater increment in the upper range and is used if demand is
ncentrated on smaller sizes. It is also known as a progressive geometrical

ge.
Type D has a smaller, and Type E alarger, step factor in the middle part of
range.
For simplicity, we can generally take it that the size gradation must be the
r the greater the demand and the more precisely certain technical stipulas have to be met. A different gradation can be chosen whenever the market
ands and without great design effort. Needless to say, the effects on
uction must be taken into account as well.
In grading, a distinction must be made between independent and dependent
uantities. As a rule, the task itself determines which sizesmust be treated as
pendent and which as independent. For example, geometric grading of the
output may be advantageous for market reasons and grading of sizes by
ferred number series for production reasons. If the two are associated by a
r law (Figure 7.3, curve a) then both can be graded by a preferred number
ics, cither with exponent p :1 (linear growth) or with p # 1 (non-linear
h) (see 1.1.4). In Figure 7.3, the dependent and independent quantities
vc bccn plottcd logarithmically. If the preferred numbers have the same

rr. lhcn thc spacingis constant(Figure7.4)

324

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o d u r t

D5

vI

Dqs

D4

ri l

t;

u34

D3
D
u23

D2

D,,

rf

).

lb.""'

'"

,ro

los

l,o,
P Ne g q [ m m-]
(D) quantities.
(1)anddependent
For a power
Figure7 3. Gradingof independent
on the PN (preferrednumber)diagram(curverrI
functionthereis a linearrelationship
for othersthereis a non-linearrelationship
t\z

l'ro

However, technical systems may not involve power relationships betu'crrt

dependent and independent quantities. In that case, not all the sizes can l)c
geometrically graded. Here the designer must decide, depending on the trrsk,
whether he grades the independent or the dependent quantities in accordantc
with a preferred number series.
For economic reasons,it is often advisableto split the range into parts and lrr
replace several sizeswith just one for each part (semi-similar size range). hrrt
care must be taken to ensure that the stepped line needed for such gradatiorrrl
roughly equivalent to the continuous curve. Figure 7.3 shows the resultirrg

Sizc ranges

stepped line for size relationships based on a power function (curve a ) and for
non-linear relationshipswhich are not governed by that function (curve b).
Independent sizes In, Izs etc have been assigned to the geometrically graded
part of the rangesDtDz, D2D3 etc. This correlation is obtained by replacingthe
DtDz, D2D3 etc with their geometric mean values Drz: \/il:D,
and then
drawing the stepped line accordingly. This is preferable to fixing the line
intuitively, which is done far too often. It will be seen that the dependent
relationships based on curve a once again result in a geometric grading of the
steps,while the non-linear relationshipsbasedon curve b do not (in other words,
the 1'- values are not geometrically graded). Here the designer must again
decide for what sizesa gradation based on preferred numbers is still appropriate.
Further deviations from strictly geometric gradings may, as we have already
said, be imposed by manufacturing considerations.Practice has shown that it
may be more economical to provide arithmetic or even irregular incrementsfor
some component dimensions, so that, in a product size range, semi-finished
materials, which are not usually geometrically graded, can be exploited more
fully, or the manufacturing processcan be simplified (see 7.1.5). Even though
grading based on preferred number series is generally advisable, the designer
should not use it rigidly, but decide each case individually after cost analysis.
Deviation from geometric grading will also occur if certain dimensions only
have to be stepped, while others have to be adapted to specific customer
mands. This is called a sliding arrangement [1 .15), and may prove most
ive when the special dimensioning involved does not lead to a significant
in production costs.Thus for the ball valve seriesdescribedin [7.15] the
imensionsof the housing, drive shaftsand bearingsare firmly stepped,whereas
e plugs and sealing rings have been given 'sliding' dimensionsfor hydrodynareasons. A similar approach is used in the design of turbines and thermal

uipment 17.261.

.1.4 Geometricallysimilar sizeranges

the basic design, the choice of materials and the necessarycalculationsarc to
nd, and if the nominal dimensions lie roughly in the middle of the intcndcd
range, then nearly all technicalrelationshipscan be expressedin the gcncral

4..J'o

tr

lll4-lll4

^
-t'.--T-

(v,=ts-gxo=!t-!tY
Illxn

| : cxP or

tona=l

l-Tt.0

+1

lg9rnr=n

rl

1,25

3J54
tttr
nlrt

63 I

I
I
I

1 0l ? s

F i g u r e7 . 4 . T e c h n i c a l
relationshipsin the PN
d i a g r a m ;n s t c p n u m b c r r n
t h c f i n c s t u n d c r l y i n g/ ' N
s c n c s ,c v c r y i l l l c r s c c l r ( ) r 'sr
p r c l c r r c d n u r n b c ro l t h i s
r c r i c s ; c v c r y i r r t c g irr l
c x l ) o n c n tl c l t l s b : r c kt o
l t t o l l t c t p t c l t ' rt c t l t t r t t t t l t t ' t

logy : logc *plog,r.

Every preferred number (PN) can be expressedby PN:

l)mtn oy'

log (PN) : mln

hcrc nr is the step number in the PN range and n the number of steps within
c r l c c a d c . I l c n c c t h e t e c h n i c a lr e l a t i o n s h i pc a n a l s o b e e x p r e s s e db y :
tfly
il

'*lt
- ftl,.
ntl

m,.
^

326

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o r l r r ,r

The basic design is assignedthe index O, the first successivemember of tlr,'

size range (sequential design) the index 1, the k-th member the index k.
All relationships can now be represented by straight lines in a doublr'
logarithmic graph, the slope of each line correspondingto the exponentp of llr,'
technical relationship (dependence) (Figure 7.4). For simplicity, we entcr tlr,'
preferred numbers instead of the logarithms and so obtajn a very practicalrl,'
visual tool for the development of size ranges,as Berg [1 .7,7.9] has pointed orrr
Every intersection represents a preferred number, and is always produced l,r
lines with integral exponents. If the abscissagives the nominal sizex, then llr,'
factor g*:xtlxo. In geometrically similar size ranges it is equal to the lenltlr
factor cpy. Once the basic design has been fixed, all other magnitudcs
dimensions, torques, power, speeds etc-can be derived from the knou rr
exponentsof their physical or technical relationships(see Table 7.3) and can 1,,'
drawn as straight lines with the appropriate slope (thus weight, ew: Et3, rrrll
h a v e a s l o p eo f 3 : 1 ) .
As a result, the main dimensions of the product can be expressedin diagrrrrrr
form without the need for further drawings (see Figures 7.5 and7.6).
Such data sheets enable the designer, starting from the basic design. trr
provide the salesdepartment, the purchasingdepartment, the planning deprrrt

321

Size ranges

560
s00

,I
E BO
= 160
? 1t0
E rnn

I
B
mm
6

=80
E

11

v J

=::

sll

3U

=
- r4n5

,l

*l= ll,5
_ 28

-E

"

J:

ti'
-?n
:]R
. 16
e 14
I t?s
'= 117

s10
-9

;
=
63 80 10012s160
d1+

'71

a63
5,6
63 80 100 125 160200 250 315 400 500
-tR10
R2A 4
-H! -1-- -1.-HB
H5---H6-l--H7
-u5.
-1
J x7 L-xB_
v5--.1*x5
C l a sosf s h r i ntki Id t o rl d t d : 1 1 + 0 . 3 % "
dt_

gure 7.6 Data sheetfor the gear coupling sizerange in the nominal dianteter ritngc (r,
rrespondingto the basic designshown in Figure 7.5. Dimensionsgeometricallysimilar
ceptions: outer sleeve diameter D of the smallest member for reaions of stiffnessI
ndard module s m are not stepped in accordance with preferred numbers ; special
adaptatron of prtch circle diameter becauseof the demand for an integral, even number of
tccth. The classof shrink fit is shown under the abcissa

w i t h4 n o :, a t . , = r i o , - 12 . r - 1 1 - 6 32-.115 = Z n n

fit d:
Shrrnk

ff=t r tosr"

*S ,

henceD:/5selecled-s=4mm

fl==l?
frl,/,,/.
\r I /
,'']"'

l , i g r r r e7 , 5 l l r r s i ct l r ' r r g rtr, r r l . l t ' l r(r' o u l ) l i n l \l r / ( , r . t t l l l ( .r,/ , - l { X l r r r r r r

nt and the production department with crucial information on every size in

J rangc.
I t s h o u l d , h o w e v e r , b e r e m e m b e r e d that the measurements cannot be
altsl.crrcclclircctly from the data sheetsto the drawings (which need only be
r r l c o n c c i r r r o r c l c r h a s b e e n r e c e i v e d )unless the following factors have also
b c c t t l i r k c r ri n t o c o n s i c l c r a t i < l r r :

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o r l r r ,r r

I Size ranges

329

1 . Fits and tolerancesare not in geometric step with the nominal sizes,the sizc t rl
a t o l e r a n c eu n i t i f o r a d i m e n s i o nD b e i n g g i v e n b y j : 0 . 4 5 . l / D + 0 . 0 0 1 / ) ,
that is, the factor for the tolerance unit being determined by the relationshrgr
Qi:

Qtll3.

Particularly in the case of shrink and interference fits but also of functiorr.
determined bearing clearancesetc, the tolerancesmust, becausethe eluslrt,
deformations tend towards er, be adapted accordingly. In other wor'(l\,
smaller dimensionsmake more, and larger dimensionsless, severe deman,ls
(Figure 7.6).
2 . Technological limitations often demand deviations. Thus a cast wall cannot lrt.
reduced below a minimum thickness, and certain thicknessescannot lrc
completely hardened by quenching. In all such cases,the limiting dimensi,,rrr
must be ascertained,as was done, for instance, with the smallestsleevc l.r
the gear coupling shown in Figure 7.6, which had to be strengthenedbr';rrr
i n c r e a s ei n t h e w a l l t h i c k n e s s( D : 7 I m m
t o D : 1 5 m m ) . T h e s a m ep r i n c i l , l c
applies to measurement and machining provisions.
J.
Overriding standards are not always based on preferred numbers, so tlrc
relevant componentsmust be adaptedaccordingly(seeFigure 7.6-fixing rhc
module).
4. Overriding similarity laws or other requirements may impose a more l)ro.
nounced deviation from geometric similarity, in which case semi-sintil;rt
s e r i e ss h o u l d b e u s e d ( s e e 7 . 1 . 5 ) .
Once the necessarydeviations from geometric similarity have been dctr
mined, if necessaryby checking drawings of the critical areas, they are entercd i
the data sheet. Production documents need not be prepared until actuir
needed. To illustrate the size ranqe. sav in catalosues or advertisemcnt
displays of the type previously reserved for technical drawings have come r
increasinguse [7.7, 7.25]. Figure 7.7 shows an example basedon a gearbox
range.
Figure 7.8 shows the basic design of a geometrical range of torque-limitc
providing for equal utilisation of materials. If the lining wears, the dro1.r

Display of a gearbox sizerange [7. l4] (Flender)

torque must be kept as small as possible.This is done by meansof a I

number of peripheralcoil springswith relatively flat characteristiccurves.
sizesof the torque-limiterfulfil the similarityconditionsmentionedin Table 7
relationships between forces are kept constant over the entire range ancl
utilisation of the material is constant.
Figures 7.9 a and b are the relevant data sheets.The identifiable deviatiorr
dimension B is determined by the overriding standardwidth of the chain whc
(bought-out parts); the deviation of ,4 by the use of standardscrewsand taps rr
also by technological factors (wall thickness). Figures 7.10 a and b show r
s m a l l e s ta n d l a r g e s tm e m b e r o f t h c s i z c r a n g c r c s p c c t i v e l y .

7.1.5 Semi-similar
sizeranges
(ictlntctricallysirnilirrsiz.criutgcsburedon e decimal.gcornctric
scricscirrrrrol

r e 7 . U .B a s i cd e s i g no f a t o r q u e - l i m i t e r( R i n g s p a n nK G )

be realised. Significant deviations from geometrical similarity may be

posedby the followingfactors:

ovcrridingsimilaritylaws;
and
ovcrridingtaskrequirements;
rtvcrritlingproductionrequirements.
In rrll suchclscs,.roni-sitnilarsizerangcsmust be developed.

7 Developing size ranges and modular protlut lr

2s000
20000
16 0 0 0
12500
r 0000
80 0 0
6 30 0
s000
4000

500
450
400
3s5
315
280
250
22t200
180
160
140
125
117
r00
90
E
80
71
: 63
56
; 50
45
5 /.0

11qn

I
|
|
|

2000
1600
12s0
1000
800

neglected, then the relationships derived from the cauchy condition no longer
ly. This, as we have explained, is because,while the inertia and elasticforces
t constant speed depend on the length factor (gn: gpp:e2r), the weight
lncreasesas:

9 p * : p t . s - V r l @ o ' 8 - V i : g p g 3 r , a n d f o r c p o: l ,

5
b=

'o

rcesmust change.Hence with similarcross-sections

the stresses
changeaswell

WD

nd geometric similarity cannot be maintained. This is the case, for instance,

ith the construction of electrical machines and convevor svstems.

l1q
?50

?8
77
20
18

440
_? 31,5

J I,

= 25

influenceof thermalprocesses
similar seriesof problems ariseswith thermal processes.Constanttemperaure relationships96 only apply when there is thermal similarity, regardlessof
her the heat-flow is steadyor fluctuating.The first caseis representedby
so-calledBiot number, Bi:hLll
U.201, where ft is the heat transfer

//
W

ient and /. the coefficient of thermal conductivity of the heated wall. Here
it is obvious that, with approximately equal heat transfer coefficients (the
ity remaining the same) and with the same materials, only the length can

e75

t0

=20

11
12
11,
10

63 80 1001251602002s0 315
Nominal
D inmm+
dlmension
0

e3r.

tant, length is the only variable dimension. If it does vary, the relevant
imensionlessparameter cannot remain constant-that is, the relationship of the

500
400

200
;
160
E
125
!
100
E80

as er*:

Table 7 .2 showsthat, if all other material propertiesand the speedremain

I tioo

bq

33r

7.1 Size ranges

ry, and indeed must vary in a size range. As a result the dimensionless
rameter governing thermal similarity cannot itself remain unchanged.The

16

17,5
10

80 100125160200
D inmm+
dimension
Nominal

gure 7.9. Data sheetsfor torque-limiter shown in Figure 7'8

parts
I Dimensions adaptedto overriding standardsor the sizesof bought-out
of
inertiaWD2
and
moment
W
weight
T,
torque
) Main parameteri:

me is true of fluctuating heating or cooling processes represented by the

r number:

Fo = ltlksLz),
re ,t is the coefficient of thermal conductivity, c lhe specific heat and g the
sity of the material. If the material remains the same, the time r and the
h L are variable. For the Cauchy number to remain constant. the time must
ry as a function of the length. Once again we are left only with the length,
ich must be variable in a size range. Hence the Fourier number can only
in constant if:
(Pt:?Lt

is, if the time varies as the square of the length.

=e

e
I

b
igure7.10. Layouts from the size range shown in Figure 7.9 (RingspannKG);
) smallest
) largest
Overriding

similarity laws

{luenc'eof gruvity
incrtiil lirrccs.clilsticlirrccs:rndwcilhl rct lolclhcr. und il thc liltlcr cilnnothc

All other thingsbeingequal, therefore,thermalstresses

due to temperature
riationsincreaseas the souareof the wall thickness.
similarity relationships
the function of a device is determined by physical processesthat do not involve

rtia or elasticforces, then the physicalrelationshipsmust be taken into

siderationin all designsbasedon similaritylaws[7.18,7.30,7.32,7.36].
In a plain bearing,for instance,the operatingconditionsare set by the
crfcld number:
So: pq4l(qco)

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o t l t t tl r

JZ

'here p is the mean pressure, r/ the non-dimensional clearance, 17the dynantrc

iscosity and @ the rotational speed.
In a machine that otherwise obeys the Cauchy number, we have
.. - PtV2r\ottto
- .^ -.2 I - I
,ft,!\9iU"f6r*,:
With elastic forces we have ep:1,
'e have:
9v:

7, 9.:

with weight we have gp: et', for the rcst,

7 1 9 Y ,c P n =1 a t I : c o n s t '

.1 Size ranges

JJ.'

tasmuch as inputs and outputs may vary widely in size, as happens with paper
nd print products.

Figure 7.11 is a schematicrepresentation

of a rathe.Here, the size of the
an-operated controls cannot be increased with the size of the range; indeed
me cannot be altered at all. Thus the operating height must always be adapted
to man, and there are some operations that require an exceptionally long turning
length or an exceptionally large turning diameter. In all such casesthe machine
as a whole must be designed on semi-similar principles, while individual
assemblies such as spindle drives, tail-stocks etc can be developed as geometri-

y srmrlarseries.

'lltr'

y'ith elastic forces, therefore, we have gs,,: eri with weight gs,,: El.
ommerfeld number increases with the overall size, the bearing becottt,r
rcreasinglyeccentric and, at a given size, may take up the clearancenecessiu\
rr lubrication.
In a pipe with laminar flow, the loss of pressure is expressedby:

l p' : f ! . 9 r t : 3 2 n ! ,
d2

d2

,here f : 641R" in the laminar region, R": dvpfry, / : length of

: diameter of pipe, v : velocity in the pipe, e : densityof the fluid,
: dynamicviscosityof the fluid.
With r7: constant,the pressurelossfunctionbecomes:
clzp: Q,lQr
'hus,

if the pressure loss is to remain constant, the velocity in the pipe nr

lcrease in proportion to the size. As a result, the Reynolds number n
tcrease to such an extent that the transition region for turbulent flow is reachc
r which case the above equations no longer hold.
Electric AC motors that have a discretespeeddepending on the pole numl
annot be used to adjust the speed of a finely stepped range of machines (lr
rstance pumps) to maintain a constant Cauchy number. The consequenr
rould be varying stresses and different outputs and the remedy is a suititl
d a p t e d s e m i - s i m i l a rs e r i e s .

Overriding task requirements

'he
c h o i c e o f a s e m i - s i m i l a rs i z e r a n g e m a y b e i m p o s e d ,n o t o n l y b y s i m i l i r r i t
lws but also by overriding task requirements. This situation often arises irr
r g o n o m i cc o n t e x t . A l l c o m p o n e n t sw i t h w h i c h h u m a n b e i n g sc o m e i n t o c o n t
n t h c c o u r s co f t h c i r w o r k - e s p e c i a l l y t h c c o n t r o l s ,h a n d l e s ,s t a n d i n ga n d s r t t i
, l a c c s ,a n d s a f c t y f c a t u r c s - m u s t f i t m i t n ' s p h y s i o l o g i c a ln c c d s a n d p h y s i c l l
l i n t c n s i < l r t sI n
. g c n c r l l , n o n c o f t h c s c c o n r p r ) n c n t sc a n b c c h a n g c d w i t h t l r o

rurminal
siz.crlf thc rangc,
An ovcrriding rcquircnrcntrnily rlso rppcur for purcly tcchnicll rcils(ln\.

i s u r e7 . I l . L a t h ew i t h m a i n
nsions and controls
wn schematically;the

meter/lengrh/height
rario
y haveto be variedto suit
I q,. * cp,,but if possible
= cpr,: I for ergonomic

eo=*
"0

9r=#
ng

'p,=
-!:'
"

Da

Overriding production requirements

development of a size range is aimed at high cost-effectiveness.within the

nge, especiallyif it is finely stepped,individual componentsand assemblies

be more coarsely stepped to provide larger batch sizesfor even greater cost
tiveness.

Figure7 .12is the datasheetof a geometrically

similarturbinerangeconsisting
sevensizes.Stuffingboxesand locatingboltsare steppedmore coarselythan
rest, ensuringgreaterbatch sizesand greatereconomy.Figure7.13 shows
increasein batch sizesfor an assumedsalesprojection.
All these examples make it clear that it is not always possible to adhere to

:metricallysimilarsizeranges;instead,the designermuststrive,with the help

similaritylaws,to arrive at that sizerangewhich providesthe highestoverall
ilisation of the strength of every component. Depending on the physical
raints, each size will have to be individually selected.This is best done with
help of exponential equations, as we shall now go on to show.
Adaptation with the help of exponential equations
ponential equations are a simple means of dealing with the requirements
n t i o n c d u n d e r 7 . 1 . 5 . 1 - 3 a n d o f d e v e l o p i n gs e m i - s i m i l a rs i z e r a n g e s .
As wc havc pointed out, nearly all technicalrelationshipscan be expressedby
rwcr l'uncti<lns.

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o t l r t 't '

334

800
mm
630

wheeldiameter
Turbine
pipediameter
Exhaust
part:outletdiameter
Reaction

s00

Meanpistondiameter

400
3 1 5 .4
250
200

diameter
Coupling
Mainsealdiameter
boxdiameter
Stuffing
frontPinion
diameter:
Bearing
gearwheel
diameter:
Bearing

160
'1
25

!ogr)"k i-xr:xugL'"k; rr:

where 91 is the chosenstep factor of the dimension chosenas nominal in the size
range' 10,x0, z0 are the appropriate values of the basicdesign,k is the k-th step,
Bnd y., Je and ze are the associatedexponents.
Since cp is a constant, we have for all elements ct : ci
(zlEtz"t{)e'
lu : locPtv.k: c(xocpy'"k)p"

31.1
25
400
710

are geometricallysinrrl
Figure7.72. Data sheetfor turbine sizerange: main dimensions
bolts are in largcl
locating
and
boxes
stuffing
standards;
by
determined
are
deviations
steps than the other comPonents
forecast
Sales

265 315 400 s00 630 710 800

\umDer 6 I
s 6 3 2 I

Type

boltsperturbine
3 locating

0 4 00 5 0063 6 1 1 0 8 0
a75 ,3',r5
6
3
Number1 8 77 77 r8 I
)lZe

Fieure7.13.Salesforecastin respectot
tuibine sizerange(Figure7.12)and the
bolts.Becauseof the large
associated
stepsizes,largerbatchsizesarepossible

With ye - cxoP^zoP' we have:

hich is independent of k.
Here y", x" and zc are the exponents to be determined, and p* and p, the
ysical exponents of x and z.
The exponent ye must be determined independently of xc and zc.
Let us now consider a practical example: the provision of sprung elastic
peline supports for a range of geometrically similar valves (Figure 7.14). The
llowing requirements must be met:
the stress in the spring due to the weight of the valve must be constant
throughout the range;
the stiffness of the spring must increase as the bending stiffness of the pipe;
the mean spring diameter, 2R, must preserve geometricalsimilarity with the
increasingvalve size (nominal dimension d).
What law must the spring wire diameter 2r and the number of active coils,
n, obey?
First of all the appropriate relationships must be set down, so that the
exponential equation can be determined (the subscripte shows that only the
exponent of the corresponding quantity is involved):
F:

Number

0 3 15
/q

Cd3
F.R

to
Comblned
Size

050
tq

C XqP"Z1.P' . EtG"ktt-+ z"k r,)

Jc: xepxl Z"pr,

50
/.0

26s

llt

By equating the exponents, we obtain:

boltdiameter
Locating
Flange
boltdiameter
Valvediameter

80

Zoer'"k

IoEJ"u : Y,EtG.kt'+z"kr,)

100

20

!x:

portdiameter
Transfer

63

o80
1B

T h u s a p h y s i c a lc ; u i t n t i t Yo f ' t h c k - t h m c r n b c r o f a s i z c r a n g c c a n t l l t c r l
r e p r e s c n t c cbl y :
I'l -- t'u1u/''-ul"
'l

335

expressedby preferred numbers starting from the basic design (Index 0):

r000

7 I Sizcranges

I
1 c r l c p c r r t l u t l v i t l a i l h l c t , l n ( l t h c i t t t l c l t c t t t l c r t tv t r l i t t b l c s t l t t t t l ; c i t t t i t l w l t t r

13nf2
.)--

Gra
4nR3

(1)

F,:3d"
F. * R. - 3r":6

(2)

r.:

(3)

s" : 4r. - n" - 3R"

(1')
(2')

(3',)

[ . c t r / b c t h e i n d e p e n d e n tv a r i a b l e .
S i r r c c t h c s p r i n g s t r e s s m u s t r e m a i n c o n s t a n t , t h e f a c t o r ( p r : 1 , and the
xponcnt r" = 0. Thc stiffnesss of the spring must correspond to the bending
l l i l l r r c s sr r f t l t c p i p c s .A c c o r c l i n gt o T a b l c 7 . 3 t h i s i s e n s u r e db y E , : E r S i n c et h e

36

,)-)/

7 Developing size ranges and modular

Substitutingequations(5') and (6') in equation(2') we obtain:

3 d " +d " - 3 r " : 6

r.: (413)d"

L!
6

S u b s t i t u t i n ge q u a t i o n s( 4 ' ) , ( 6 ' ) a n d ( 7 ' ) i n e q u a t i o n ( 3 ' ) , w e o b t a i n :

(7')

4rr- n"- 3d": 4.

ffi- +|

n" : 4r, - 4d" = 4(413)d, - 4d" : (413)d"

Result: Spring wire diameter 2 r and the number of active coils n must
increase as d4t3.
In that case. the factor is:
Qr:

Qn:

qdt4/3

The spread of the individual sizes is shown qualitatively in the data sheet
r e p r o d u c e di n F i g u r e 7 . 1 5 .
Examples
ample 1
range of high-pressuregear pumps is to consist of six sizes giving delivery
umes ranging from 1.6 to 250cm3 per revolution at a maximum operating

of 200bar and a constantinput speedof 1500rev/min.In Figure7.16

steps laid down for the six sizesare plotted againstthe delivery volumes. The
l o w i n g r e l a t i o n s h i p sa r e i n v o l v e d :
The pitch circle diameters (each pump size has only one) are graded in
a c c o r d a n c ew i t h R 1 0 w i t h a f a c t o r o f B u : 1 . 2 5 , t h e s i z e sd e v i a t i n g v e r y
slightly from the preferred numbers by virtue of the constant.integral number
of teeth and also because the standard values of the modules rn differ very
slightly from the R 10 series.
The volume delivered per revolution resulting from the tooth geometry is

ABTO
Noninalsizeof valve

tigure7 .1,4
Figure7.15
rigure7.14.Valvesupportedin pipe line by meansof coil springs
rigure7.15.Data sheetfor semi-similar
coil springs

V :2n dnmb, where b : gear tooth width.

rasic dimension d of the valves i n c r e a s e sg e o m e t r i c a l l y ,e s : E 6 , s o t h a t

)xponent of s becomes:
s": d"

The loading is equal to the weight of the valve F; the weight dimcnsiorr
'elated to the basic size d by
E r : E u : . T h e e x p o n e n t o f F r e f e r r e c lt o , /
hcrcforc:
/'' : 3d'
l l ' t h c n r c a ns l l r i n gc l i i r r n c t ci rs t r l i n c r c i r s ci n l l c ( ) n l c t r i c asli r n i l i r r i t yw, c

From one size to the next, and at geometrical similarity, the volume delivered
lore lncreasesas:
: Qt3 : 1'253:2,
Qv : cPa,,cP^qt
the volume delivered doubles from step to step (Figure 7.16).
p u m p p ( ) w er P : A t t . I / i n c r e a s e sa s
Ep:

E^p(EYlcP)

V'rt, :

I irnclt1, -_-I

l i l v C V ' t { - - r 7 ' . 1{ ) f i

ll,. - r/"

(t ' l

7 Developing size rangesand modular

]8
250
0
cm3/rev
160,0
1250
100.0
800
630
50,0
10,0
3 15
80.0 25,0
r * l 20.0
50,0 160
4 0 0 12,5
31,5 1 0 0
2 5 0 B,O
20,0 6,3
16,0 5 0
B O 17,5 4.0
m m 1 00
l s 0 8.0
6,3
5,0
boJ 1.f,
40
25
20
315

339

Size ranges

and the increasing bending mornents due to increasesin tooth width) with a
shaft of constant diameter, the three pumps with the greatest tooth width in
each size group must have their output pressure reduced. For overriding
economic reasons (identical shaft diameter, identical bearings), the first two
pumps of each size group do not have their strength fully exploited.
- The delivery volumes of the top three pumps in any size group correspond
to
the bottom three of the next group up. A delivery pressure of 200 bar can
therefore be obtained over the entire delivery-volume range.
This particular size range was conceived as a semi-similar series with a small
number of housing sizesand severaltooth width sets, so that, at the same drive
speed and pressure over the entire range ('overriding task requirements') and
also at constant gear tocth size, constant gearwheel and shaft diameters per
housing size ('overriding production requirements'), the maximum possible
range of delivery volumes could be provided.

t
I

Example 2
In Figure 7.r1 theoutput P of asize range of electric motors with varying pole
numbers (speeds) has been plotted against the various product sizes (shaft
heights H). The shaft heights are in accordancewith R 20 andhave a step factor

I "19

PC1 PTz PC3 PC4 PCs

Product
size

igtreT .1.6.Data sheetfor a size range of high-pressuregear pumps: I/ volume delivt rt'
lr revolution; b gear-tooth width; do pitch circle diameter ot gears (Reichert, Hof)

ecomes:

t P p : c P v: 2
iecauseof the constant rotational speed, the torque is steppedup accorclillfl
-Every pump size has been provided with six tooth widths b, exccpl
smallestsize which has eight, so that smaller stepsin the volume delivcrctl t
b e o b t a i n e d . T h i s m e a n s t h a t f o r e a c h p u m p s i z e t h e g e o m e t r i c a lv ( ) l u
c l e l i v c r e dV, = 2 n d 1 1 m b ,w i l l h a v e a f a c t o ro f 9 v , , : Q u : 1 . 2 5 , r d 1i t n c rl r t l r t ' t
'l'hc
p,trr
c o n s t i r n ta n c lt h c c h o s c nt o t t t h w i c l t hf a c t t l rb c i n g c 1 t 5 :| . 2 5 ( R l 0 ) .
ctlrvc fi)r illlv ollc Dullll sizc tltcn lrcctltttcs:

I ' r , , *| \ ' , . - { l - l ' 2 5

Io copc rvitI the nlcchllnicill sllcrr('r (terttlliltF Itrlttt lltc ittt'rt'irsittl.l

3'r50
KW
2500
22t0
2000
't800
1600
1400
1250
r120
1000
s00
800
710
630
560
500
450
400
35s
3r5
280
750
/t\
7r ) 0

B - p o t . mPo.x

l'r'r ((10 /,50 500 560

(:;lr;|ll
['r0(lri(;l
:;t/(]
lrcirllrl
l{) -

6 3 0m m7 1 0
-

Figure7 17.Outputdatasheetfor
an electricmotor sizerange(AEG
T e l e f u n k e n[)7 . 1 ]

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o t l t t Lt

341

7 I Size rarrges

a: o,tJBbhtD.Ihttt
A : 1.12. The output of the electric motor is governed by P
at constant angular velocity o or speedn, current density -I and magnetic I I t rr
nsity B, the output is proportional to the conductor dimensionsb, h, / and itl', '
the distance Dl2 of the conductor from the shaft axis.
The output factor is therefore given by:
c P p : Q r 4: l . \ 2 4 : 1 . 6 ( R 5 ) .
ln the 4-pole motor (1500rev/min) the output range is therefore 500-3150k\\
Becausepower output varies with speed, and also becausethe dimensions"l
e conductor, the diameter of the rotors and the heat removed by ventilati,'rr
''
ve to be varied, the slower 6-pole version must be reduced by three steps ( I
(280
to
1800kW)
2240kW) and the S-pole version by a further two steps
To provide marketable and finer output increments and also to satisfv tlr,
'erriding production requirements, four outputs are provided per shaft hcir'lrt
motor size, so that the output curve assumesthe form of a steppecl lirr'
n a l l e r o u t p u t s a r e o b t a i n e d b y v a r y i n g t h e s i z e o f t h e e l e c t r i c a l l ya c t i v e p ' ' r t .
rd fitting them into the same size of housing. In contrast to what happenc,l rrr
r(ample1, the outputs for the different size groups (fixed pole number) clo tr,'l
r e r l a p ,( a l t h o u g ht h i s h a s b e e n d o n e w i t h o t h e r m o t o r d e s i g n ss o a s t o m a l r r l , r r r l
ficiencv).
Figure 7.18 showsthe welded housingsof the motor range in greatly simplili,'tl
rm. The stepped sizesof several important dimensions are entered in a tlrrlit
Leet(Figure 7.19).Itcan be seenthat the shaft height H,the housingheight i /tf
rd the distance between the foundation bolts B and A are all stepped up by t
c t o r E y : g H : 1 . 1 2 , R 2 0 . J u s t o n e h o u s i n gl e n g t h B C i s p r o v i d e df o r t h e l o
rtputs per shaft size (Figure 7.18). This is possiblebecausedifferent sizesol I
ectrically active parts can be fitted easily into one housing size. Without tlri
rparationof the housingsfrom the electricalcomponents,the layout would ttr
I economic and several housing lengths would have to be provided for c;tt

t_a

t
\a
qb-

o r r s i l t gi r r c t l t i c k c r r i b s r c t l r t i r c t l ,
l l c c l i t r s co l o v c l r i r l i r r gs i r r r i l l r r i t \l 'i r u ' s ,o v c t t i t l i r t g l ; r s k r e t l t r i r e l l l ( ' l l t.sr r r t l
v c i r i r l i r r gl t r r r t l t r r ' l i ornt . t l r r i r t . r r r r ' r ti rl rt ,r l i r ' i r l t t it rl il t t t r ' t t s i o tittst t t lt t o t t t i t l l rrlt r , ' t

25.0a

315

+
2 8 0 | 22.t,

900

raft height l7 .271

'overriding similarity laws' on the electrical side (for instant't'

Because of
:spect of the windings) the housing length step factor ps6 cannot be kc
)nstant over the entire range of the shaft heights. Figure 7.19 shows t
rcreasein step factor for BC with increasingshaft height, the step sizc tr
rproaching R 20 for the last two housingsof the range.
'l
Let us now look at a few detailed measurementsof this housing desiglr
aseplatedimensionsAA and BA have been graded by a singlestep factolur lr
c s b c t w e e n R 2 0 a n d R 4 0 . T h i s w a s d o n e t o s a v e m a t e r i a lw h i l e m a i r r t i r i r t r
r c m i n i m u r n c l i r n c n s i o n sn c c d c c l f o r a s s c m b l yo f f i x i n g b o l t s . T h c b i r s c p
r i c k r r c s sI I A l t a s b c c r r s t c p p c c l i n a c c o r c l a n c cw i t h t h c u s u a l s c m i - l i n i s h
r l t c r i i r lc l i r r r c n s i o nbsu, l l l y l r n c l u r g cl i r l k r w sI l 2 0 . [ ' o r t l t c s t r c n g t h c l t i nIgi l r r
r l r r i r tl h i c k n c s s/ l / : i s p r o v i t l c r lt i l r l o t r r l t o t t s i r t gs i z c s .O n l y l t l r l l t c l l r t l l , '

DBlpns=9y)

3 1 5 6a

250 H.zo,o

710

\n ?u.

18,0

630

200

16,0

EAN I

14.0

Figure7.19

,ru

f
I
500r-3 5 5 400 450 500 560 630 710

Product
size

Figurc 7. lfi Housing for the electric motor sizerange (simplified) shown in Figure 7 17
(AEG Telefunken);
( i r ) c r o s ss c c t i o n s

(lt) elevation

l r i g r r r c7 , l ( J ,1 ) r r t rsrh c c t t o r l t o r t s i n gr l i n t c r t s i o nosl t h c c l c c t r i cr t t o t o rs i z cr a n g ci n F i g u r e
7 , l 7 ( S v r r r l r o il rssi r rI ; i g u r c7 . l l l )

a Aa

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o d u ( l \

J+L

may have to be stepped in accordance with laws that differ from those leading ttr
geometric similarity. In every case, however, the designer must, in the first
instance, aim at size ranges based on the appropriate similarity laws and th('
preferred number series and only deviate from them after careful consideratiorr
of the costs involved.

7 .1.6 The developmentof sizeranges

Size-rangedevelopment can be summed up as follows:
1. Prepare the basicdesignfor the range. This can be completelynew or derivt,l
from an existing product.
2. Determine the physical relationships (exponents) in accordancewith s i m i l l r r
ity laws, using Table 7.3 for geometricallysimilar product ranges,o r u s l l l r '

productranges.Put downthe
exponentialequationsfor semi-similar
the form of data sheets.
3. Determine the step sizes and add them to the data sheets'
4. Adapt the theoretically obtained ranges to satisfy overriding standarcls,'t
technological requirements and record the deviations.
5. Check the product range againstscalelayouts of assembliespaying partictrlrrr
attention to critical areas for extreme dimensions.
6. Improve and perfect what documentation may be needed to determinc tlrc
range and prepare production documents (when required).
The need for developing a semi-similarsizerange may not alwaysappear frrtttl
the specificationor from a first survey of the physicalrelationships,but may ortly
become clear during the actual development.

7.2 Modular products

In 7.1 we discussedthe features and designpotential of sizerange developmeIlt
Their aim is the rationalisation of product development by the implementittir
of the same function with the same solution principle and if possible with t
same properties over a wide range of stzes.
Modular products provide rationalisationin a different situation. If a prodt
is to fulfil different functions, then many variants will have to be proviclctl ,
great cost in design and production. Rationalisationis, however, possiblc il t
oarticular function variant at anY one time is based on a combination ol'lix
i n d i v i d u a l p a r t s a n d / o r a s s e m b l i e s( f u n c t i o n u n i t s ) , a n d t h i s i s p r e c i s e l yw l t r r t
modular systenr sets out to achreve.
B y m o d u l a r p r o t l u c t sw e r c f c r t o m i t c h i n c s ,a s s c m b l i c sa n d c O m p o n c n l sI
l u l l ' i l v a r i o u s o v c r a l l l ' u n c t i o t r st h r < l t r g l t( h c c o n r b i n i t t i t l l to f ' d i s t i n c t b u i l t l i r t l

bklcksrlr rrroclulcs.
llcclusc srlchrrl(xlulcsnrily contc ilt vrlriotuisizcs.mttdttlitrprotlttclsoltctl
'l'hc
shortldhc produccdby sinrillr lccltttttlttcr
trrotlulcs
ilrvolvcsirc rltUlu,,

7.2 Modular products

343

whenever possible. Since in a modular system the overall function results from a
combination of discrete units, the development of modular products demands
the elaboration of a corresponding function structure and this calls for greater
design effort during the conceptual and embodiment phases than does a pure
size range development.
The modular system can provide a favourable technical and economic solution
whenever all or some different products are required in small batch numbers
only, and whenever they can be based on a single unit or on only a few basic and
additional units.
Besides fulfilling a variety of functions, modular systems can also serve to
incease the production batch size of identical parts for use as building blocks in a
variety of products. This additional objective, which greatly helps to rationalise
the production procedure, is attained by the breakdown of the product into
elementary components (6.5.6). Which of the two objectives is paramount
depends largely on the product and on the task it has to perform. With a
wide-ranging overall function, what matters most is a resolution of the product
into function-orientated modules; with a small number of overall function
variants, on the other hand, a production-orientated resolution is the paramount
consideration.
Often, modular development is only initiated when what was originally
conceived as an individual or size-rangedevelopment is expected to yield a large
number of variants. To that end, products that have already been marketed are
often redesigned as a modular system. The disadvantage here is that the
products are more or less predetermined; the advantage that their essential
properties have already been tested so that an expensivenew development can
be dispensedwith.

7.2.1 Modular product systematics

Modular product systematics
is discussed
in [7.10,7.11]. Basingourselveson
thesefindings,we shallfirst of all examinethe principlesandthe mostimportant
concepts,and merely add a few amplifications.
Modular productsystemsare built up of separableor inseparable
units.
We must distinguish between function modules and production modules.
Functionmoduleshelp to implementtechnicalfunctionsindcpendentlyor in
combinationwith others. Productionmodulesare designedindepcndentlyof
their function and are basedon production considerations
alone" Function
modulesin the narrower sensehave been dividedinto equipment,accessory,
connectingand other modules17.70,7.IIl. This divisionis neitherclear-cutnor
adequatefor the developmentof modularsystems.
For the classificationof function modulesit seemsadvantageous
to definethe
varioustypesof functionthat recurin modularsystemsand can be combinedas
sub-functions
to fulfil differentoverallfunctions(overallfunctionvariants)(see
Figurc7.20).
I)u.ticluttctiorf.r
ilrc funclamcntal
to a svstcm.Thcv are not variablein

344

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o c l r r t '

principle. A basic function can fulfil an overall function simply or in combinatiorr

with other functions. It is implemented in a basicmodule which may come in ()r)c
'essential'(Figure
or several sizes,stagesand finishes. Basic modules are
7.20)

lmplementation
Variants

_
Essential
module
----- Possible
module
- - 0nlyinspecial
Ieads
cases;
tomixed
systems
Figure7.20.Functionand moduletypesin modularand mixedproductsystems

A production-orientated charcteristic islhe complexity of a module. Here we

distinguish between large modules which, as assemblies,can be subdivided into
components, and small modules that are components themselves
A further aspect of module characterisation is their type of combination. The
designer should always aim for technically advantageouscombinations of similar
modules. In practice, however, the combination of similar with different
modules, and also with customer-specificnon-modules, is often unavoidable.
Non-modules, as mixed systems,can meet market requirementsvery economically.
For the characterisation of modular systems we can also consider their
divisibility-in other words, the extent to which a particular module can be
broken down into individual parts for functional or manufacturing reasons. For
the modular system as a whole, divisibility defines the number of individual units
and their possible combinations.
For the application of closed modular systems,their range and potential can be
expressed by combinatorial plans with a finite and predictable number of
variants. Such plans make it possible to choose desired combinations directly.
By contrast, open modular systemscontain a great multiplicity of combinatorial
possibilities, which cannot be fully planned or represented. A specimen plan
provides examples of typical applications of the modular system.
The above-mentioned concepts of module development are summarised in
Table 7.5.

Classifyingbriteria
of module:

Auxiliary functions are implemented by locating or joining auxiliary modt

'essential'type.
in conjunction with the basic modules and usually of the
Specialfunctions are complementary and task-specific sub-functions that ncc
not appear in all overall function variants. They are implemented by speci
'possible' type.
modules of the
Adaptive functions are necessary for adaptation to other systems and
marginal conditions. They are implementedby adaptive modules whose dimc
sions are not fully fixed in advance and hence allow for unpredictable circ
s t a n c e s .A d a p t i v e m o d u l e s m a y b e o f t h e ' e s s e n t i a l ' o r t h e ' p o s s i b l e ' t y p e .
Customer-specificfunctionr not provided for in the modular system will rccur
time and again even in the most careful development. Such systems ill
implementedby non-modules which have to be designedindividually for spccilic
tasks. If they are used, the result is a mixed system, that is a combinatitlrl ol
modules and non-modules.
By the importance of a module wc rcfcr trt its ranking within a morlttllt
s y s t e m . T h u s , f u n c t i < l nm o d u l c s c a n b c r $ n k c d t t s ' ( ' J . T c l I i ( t / ' o ri l s ' l t o s . r i h l e '

l7.l3l.

345

7.2 Modular products

mportance of modules
lexity of modules

Combinationof modules

Divisibilityof modules
Applicationof nrorlulcs

Distinguishingfeatures
-

Function modules
o Basic modules
o Auxiliary modules
o Special modules
o Adaptive modules
. Non-modules
Production modules
Essential modules
Possible modules
Large modules
Small modules
S i m i l a r m o d u l e so n l y
Different modules only
Similar and different modules
Modules and non-modules
Number of parts per module
Number of units and their possible
combinations
Closed system with combinatorial plan

C)pensystemwith specimenplan

Tnblc 7.5, ( irnccpls ot' nrrltlullr syrtcnlitlioi

346

7 D e v e l o p i n gs i z e r a n g e sa n d m o d u l r r p r o ( l u \r \

347

7.2 Modular products

7.2.2 Modular product development

In what follows the development of modular systems will be presented in
accordance with the steps listed in Figure 3.3.

=
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Clarifying the task

In his formulation of demands and wishes, for instance with the help of th.'
checklist (Figure 4.5), the designermust pay careful attention to the clarificatiorr
of the various tasks to be performed by the product. A characteristic demancl ol
the specification of a modular system is that it must fulfil several overrrll
functions.
Of particular importance for the economic analysis and application of modul..'
are data about the market expectationsof particular variants. Friedewald [7. | /l
speaksof the quantification of function variants for the technical and econorrrit
optimisation of modules. Whenever the implementation of rarely demandr',1
variants increasesthe overall costs of the modular system, an attempt must lrc
made to remove such variants. The more searchingthese analysesare before tlrc
actual development is begun, the greater are the chances of arriving at ;r
cost-effective solution. However, the reduction of types by the removal trl
infrequently demanded and costly variants cannot be finalised until the elabo.
rated solution concept or even the embodiment design provides reliablc
information about the cost of the different variants and also about the influencc
of every individual variant on the cost of the modular system as a whole.

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The establishmentof function structuresis of particular importance in llr

development of modular systems. With the function structure-that

0)

is tl

splitting up of the requiredoverall functioninto sub-functions-the structurc(

the system is already laid down, at least in principle. From the outset, tl
designer must try to subdivide the overall function variants into a mininru

number of similar and recurring sub-functions(basic,auxiliary,speciali

adaptive functions, see Figure 7.20). The function structures of the ovcr
function variants must be logically and physically compatible, and the su
functions determined by them must be interchangeable.To that end, it is usclr
if, depending on the particular task, the overall function can be achieved
'essential'
functions and by additional task-specific'possible'functions.
Figure 7.21 shows the function structure for the modular bearing systc
discussed in [7.3, 7.23]. The most frequently demanded overall functio
namely 'non-locating bearing', 'locating bearing' and 'hydrostatic locati
bearing', together with the appropriate basic, special, auxiliary and adapt
functions, are represented.By means of the sub-function 'seal betwecn rotilti
and stationary systems', we can show that it is often more cost-cffectivc lrl
combine several functi<lnsinto onc complcx l'unction; thus in thc prcscnt cirsc,
the sealing function was comhincd with tn ilclaptivc function to sltisl'y vitrioitr
conditiorts.Thc productitlrt mrxlulc. which pcrforms this colrrplcx function. wlr

(.)

o
t-

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o

b6

.l (.)
o.l
F-

9=F

=:.='6:iE
oa/5=
LU:

bo
Il

348

7 D e v e l o p i n gs i z e r a n g e sa n d m o d u l a r p r r r r l , , , , .

7.2 Modular products

accordingly specified as an unfinished one that could be completed dr.rrirrg

production as a simple line seal, as a line seal with an additional labyrinth or ir\ 0
seal with an additional coupling adapter (see Figure 1.22). Ir should also b6
stressed that there are special functions (special modules) that occur in at lerrrl
'transfer axial force Fa
one overall function variant (here:
from rotltirrr'trt
stationary system'), others that represent possible modules for all overrrll
'set and measureoil pressure'),and yet others that orrly
function variants (here:
'feed high pressure oil').
become necessaryat a certain size (here:
In the setting up of function structures the following objectives shoultl 116
borne in mind:
- Aim for the implementation of the required overall functions by
combination of the minimum number of easily implementable basic
tions.
-Try
to divide the overall functions into basic functions and if necessarr irr
auxiliary, special and adaptive functions in accordancewith Figure 7.2(l
such a way that variants in high demand are predominantly built-up with lrrrr
functions, and more rarely demanded variants with additional special rr
adaptive functions. For very rarely demanded function variants, tnr
systemswith additional functions (non-modules) are often more cost-cllr
tive.
-Try
to combine several sub-functions in a single module if this incrci
cost-effectiveness. Such combinations are particularly recommended for
implementation of adaptive functions.
Searchingfor solution principles and concept vanants
The next step is to find solution principlesfor the implementation of the varir
sub-functions. To that end. the desisner should, above all. look for s
principles as provide variants without changes in working principle and I
design. As a rule, it is advantageousto stipulate similar types of energy

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1'hc plain bctring systcnlnlusl l'rctlcsigncdduringthc conccptunlphlsc

b{]

similarphysicalworkingprinciplesfor the individualfunctionmodules.Thusi

more cost effective and technicallv advantageous, in the combinatiort
sub-solutions into overall solutions (concept variants), to implement vari
drive functions with a single type of energy rather than provide a single mt
system with separate electrical, hydraulic and mechanical drives.
A satisfactoryproduction solution is also ensured by the implementation
severalfunctions by a single unfinished module that can be completed in vitr
ways depending on the requirements.
However, so complex are the technicaland economicfactors involved thirt
impossible to lay down hard and fast rules. Thus, in the case of the
system (Figure 7 .22) ft seems technically and economically advantagcout
provide the bearing shell with lateral locating surfacesfor taking up sntall rr
forces. With larger axial forces, hclwcvcr, rolling lrcarings must l'lc llrov
i n s t e a d ;i t w o u l d b e a m i s t a k c t o t r y , f i l r p u r c l y t h c o r c t i c a lr c a s o n s ,t o l r i l l
t h e r a d i a l a n d a x i a l f i r r c c so v c r t h c c n t i r c s i z . cr n n g c b y n l c o n s< l l ' p l l i n b c i r r i t t

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350

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o r l r r r l t

7 2 Modular products

351

two alternative lubrication systems (free ring or fixed ring) because tht
respective advantages and disadvantagescan only be determined by lrrt

tions than to impose such adaptations on the whole modular system. An

alternative is the use of mixed systems.

experimentsl7 .23].The designof the ultimatelychosenbearingsystemis sht

in Fisure 7 .22.

Prep aring dimens io ned lay o uts

Selecting and evaluating

If several concept variants have been found during the previous steps,each rrrrr
now be evaluated with the helo of technical and economic criteria so that t
most favourable solution concept can be selected.Experience has shown llrrrl
since the properties of any one variant are not yet sufficiently clear at this strrle
such selections are very difficult to make.
Thus, in the case of the bearing system, preliminary evaluationshave tt,
made even in the conceptual phase, for instance as to whether the axial lorr
should be taken up by plain or rolling bearings. However, the final choitt'r
lubricating system can only be taken after the building of prototypes :r
experimentation with them.
Apart from the determination of the technical rating of individual con..r
variants, economic factors are of crucial importance in the design of morlrr
systems.To come to grips with them, the designermust estimatethe productr
costs of the individual modules and their relative effect on the cost ol
modular system as a whole. To that end, he will first of all determinc
'function
expected
costs' of the sub-functionsor of the modules fulfilling tlrc
At the lower level of embodiment characteristicof the conceptual phasc.
cannot usually hope to come up with more than very rough estimates. Si
basic modules appear in all sorts of variants, he will select such soltrl
principles as provide the most cost-effective basic modules. Special and adi
modules take second place in the minimisation of costs.
For minimisins the costs of a modular svstem. not onlv the mod
themselvesbut also their interaction must be taken into account; in partic
the influence of special. auxiliary and adaptive modules on the cost of thc
modules. The influence of the cost of every overall function variant on thc
of the modular system as a whole must be fully determined. This may pr(
complex task. Thus, in the bearing system we have been considering.

functionvariant 'cool oil internallv' would sreatlvinfluencethe costof thc

module 'bearing housing', becausethe dimensionsof the specialmodule 'w

cooler' determine the dimensions of the housins and hence the overall costs.
there is only a small demand for this variant then it is certainly rr
cost-effectiveto fit the oil cooler to the outside of the housing and to put ul)
the extra cost of an oil pump.

ln short, the layout of the basicmoclulesmust be adaptedto the cxpc

demand.To that end, the influcnccof the rcmainingmodulcsis ol'
importance.If it is impossiblc
to prrlviclc
a markctablcaclaptation
ol thc
conccpt.thc lcastcost-cft'cctivc
functirtnvnritntsshouldbc clirninatccllrorrr
modularsystcm.lt will ol'tcn bc ntorc economicullo rcplaccurrr,rsuirl
virri
which rcndcr lhc ovcrlll syritcnrIn()rccxpendvc.by mrkirrgirrdivirlull

Once the solution concept has been selected, the individual modules must be
designed, in accordance both with their functions and also with the production
requirements. In the design of modular systems, manufacturing and assembly
considerationsare of paramount economic importance. By paying heed to the
embodiment design guidelines laid down in 6.5.6 and 6.5.7, the designermust
try to provide basic, auxiliary, special and adaptive modules with the maximum
number of similar and recurring parts and the minimum number of unfinished
parts and manufacturing processes.
When selectingstep sizes,the designershould aim at the optimum divisibility
of modules, and to that end he may well adopt the differential construction
approach. The determination of the optimum number of modules is, however, a
complex task, for it is influenced by the following factors:
- Requirements and quality must be maintained and the propagation of errors
must be taken into account. Thus the greater the number of individual
components, the greater the number of fits, and this may have untoward
repercussions on the function, for instance on the vibration of the machine.
Overall function variants must be created by simple assemblyof modules.
Modules may only be broken down to the extent that functions and costs
allow.
In modular products marketed as overall systems,variants of which the client
can assemble himself by combinations of the modules 17.291,the most
common modules must be designed for equal wear and tear and for easy
replacement.
In determining the most cost-efficient modularity, the designer must pay
special heed to the cost, not only of the design itself, but also of overall
schedulingand of manufacturing processesincluding assembly,handling and
distribution.

Figure L22 showsthe scalelayout of the bearingsystemwe have been

ussing. In Figure 7 .23 the structure of the overall function variants is shown

the form of a family tree. In both thesefigures,only the most important

blies and individualparts of the bearingsystemhave been entered;the
ual modularityis greater.If the functionstructureis comparedwith the final
ular structure, it becomes clear that in the given modular system several

nctionsare fulfilled bv a sinelemodule or its variants.Table 7.6 showsthe

ules used and their assisnedfunctions.
'p aring pro duction documents
uction documents must be prepared in such a way that the execution of
rs can be based on the simple, and if possiblecomputer-aided,combination
nd l'urthcr cluboration of modules for the required overall function variants.
I ) r i r w i n g s r c q u i r c a r r a p p r o p r i a t e p a r t - n u m b e r i n gs y s t e m a n d c l a s s i f i c a t i o n ,

352

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r l ) r o ( i r Lr,r

2 Modular products

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D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o r l r r rr r

two prerequisitesof the optimum combination of modules (individual parts an(l

assemblies).
The combination of individual modules into product variants must be rr..
corded in the parts list. To build up a parts list, the designer can refer to rlr(,
so-calledvariant parts list [7.13] which is based on the structure of the proclrrr't
and in which a distinction is made between'essential'and'possible'modules.
Particularly suited to the numeration of drawings and parts lists is the methorl
of parallel encoding, which assignsidentification numbers for the unequivot rrl
and unmistakeabledescription of componentsand assembliesand classificatrorr
numbers for the function-orientatedrecording and retrieval of thesecomponcnl\
and assemblies.The classification number is of particular importance in rlrr.
modular product system, because it helps to detect functional and otlr,.l
similarities of comoonents.

\
/
7.2.3 Advantages and limitations of modular systems
For the manufacturer,
modularsystemsprovideadvantages
in nearlyall arr.rrs:
-ready documentation
for tenders,project planningand design;designinrlrr
done once and for all, thoughit may be more costlyfor that very reason:

- additional design effort is needed for unforeseeableorders only;

-combinations with non-modules are possible;
-overall schedulingis simplified and delivery dates may be improved;
- the execution of orders by the design and production departmentscan bc c
short through the production of modules in parallel; in addition parts can
supplied quickly;
- computer-aided execution of orders is greatly facilitated;
- calculationsare simplified;
-modules can be manufactured for stock with consequentsavings;
- more appropriate subdivision of assembliesensures favourable asscrrr
conditions; and
- modular product technology can be applied at successivestagesof protl
development, for example, in product planning, in the peparationof drawi
and parts lists, in the purchase of raw materials and semi-finishedmatcrilt
in the manufacture of parts, in assemblywork, and also in marketing.
For the user Ihere are the following advantages:
- s h o r t d e l i v e r yt i m e s ;
- b e t t e r e x c h a n g ep o s s i b i l i t i e sa n d e a s i e rm a i n t e n a n c e ;
- b e t t e r s p a r ep a r t s s e r v i c e :
- p o s s i b l e c h a n g e so f f u n c t i o n s a n d e x t e n s i o n so f t h c r a n g c ; a n d
- a l m o s t t o t a l e l i m i n a t i o no f c r r o r s t h a n k s t o w c l l - d c v c l o p c dp r o c l u c t s .
For the munul'actur(rthc limit of a moclularproduct systcm is rcachcclwhcrrc
t h c s u b c l i v i s i o ni l t t o t r r o d u l c sl c a d s t < l t c c h n i c a l s h o r t c o n r i l r g sa n d c c o n r
Iosscs:

7.2 Modularproducts

355

Adaptations to special customer's wishes are not as easily made as they are
with individual designs (loss of flexibility and market orientation).
- Once the system has been adopted, working drawings are made on receipt of
orders only, with the result that the stock of drawings may be inadequate.
- Product changes can only be considered at long intervals because once-andfor-all development costs are high.
- The technical features are more strongly influenced by the design of modules
and the modularity than they would be by individual designs.
- Increased manufacturing costs, for instance of locating surfaces; manufacturing quality must be higher because re-machining is impossible.
-Increased assemblyoutlay is likely.
- Since the user's as well as the manufacturer's interests have to be taken into
consideration, the determination of an optimal modular system may prove
very difficult.
- Rare combinations needed to implement unusual requirements may prove
much costlier than tailor-made designs.
For the user there are such disadvantages as:
- special wishes cannot be met easily;
- certain qualitative characteristics may be less satisfactory than they would be
with special-purposedesigns;and

weightsand structuralvolumesof modularproductsare usuallygreaterthan

and foundathoseof speciallydesignedproducts,and so spacerequirements
tion costsmay increase.
Experiencehas shown that, while modular production helps to reduce general

staff costsin particular),it may lead to an

ads (includingadministrative
s e i n s h o p f l o o r w a g e s a n d e s p e c i a l l yi n t h e c o s t o f m a t e r i a l sb c c a u s e ,a s
ntioned earlier, it tends to involve greater weights and volumes. Only if a

lar systemis developedwith the expressintention of renderingevery

nction variant more cost-effectivethan a speciallydesignedproduct can there
a significant reduction in overall costs.

.2.4 Examples
rrc motor systems
lar systems are particuarly cost-effective in the production of such
versal drive svstems as electric motors.

Figure 7.24 showsa modular high-outputelectricmotor system17.34].Of the

ifiable modules, Numbers 1,2,5 and Il are fixed basic modules, Numbers
6, 7, 8, 9 and l0 are basic modules with possible adaptations for specific
uirements (for example Numbers 4, 6, 7 and 8 for adaptation to various
ages or Number 9 for adaptation to the coupling dimensions) and Numbers 3
I2 are special modules for meeting certain safety provisions.
This particular modular systemis at one and the same time a size range, every
m o d u l c b c i n q a v a i l a b l ei n d i f f e r e n t d i m e n s i o n s .

356

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o r l r r r

F i g t r e 7 . 2 4M
. o d u l a r s y s t e m f o r t h r e e - p h a s e m o t ohrisgohfo u t p u ta, f t e r [ 73 4 1, s h r
the mostimportantmodules
1 Base frame; 2 Support frame of outer housing;3 Cover platesand ventilation grid; J
Terminal box; 5 Stator housing; 6 Stator laminations;7 Stator winding; 8 Winding ct
9 Shaft and rotor; 10 Rotor laminations and winding; 11 Bearing; 12 Cover plate

A smaller degree of modularity is found in the next example-an

elc

motor systemof medium output 17.341.Figure 7.25 showsits structurc

contrastto the motor in Figure 1.24, the statorhousingis combinedwith
stator laminations and with the windins into a sinsle and undivided
module. As a result, the following production sequencehas to be obsc
manufacture stator housins as a welded construction-assemble and welcl
laminations-add windings. In other words, the housing and the laminrt
cannot be manufactured in parallel as they were in our first example. ['lcrc. I
modular product technique bears mainly on the attachmcnt and constructi()rl
t h e c o o l e r a n d t e r m i n a l b o x e s . o n t h c i n s t a l l i r t i < lonf v a r i o u sp r o t c c t i < l nd c

and on the bearings(rollingbcarings,plain bcarings),Figurc7.2(rshowsI

'l'his
possiblcarrangcrncnts
l'rlr coolcrsancltcrntinul brlxcs.
nrodullr prr
systcm,lrlrl, is cornbincdwilh l sizcrungc$y$tcm.

7.2 Modular products

lP 23

SllstJmIPR

System lP 44

u
t0
Svstem IPW 24

Figure 7.25. Modular systemfor three-phasemotors of medium output, after [7 .34],

howing the most important modules
Squirrel cagerotor;2 Winding head cover;3 Rolling bearingassembly;4 Radial plain
ring;5 Bearing cover; 6 Stator housingwith laminationsand winding; 7 Cover grid; 8
eatherprotection;9Airfilter; l0Terminal box; ll Coverplate l2 Coolingsystem;
irlwater cooler

Another modularproductsystemfor electricmotorsis describedin [7.1].It is

on the size range shown in Figure 7.77 and also containsthe plain bearing
em shown in Fipure 7 .22.

are another familiar example of modular systems. They involve a

multiplicity of market-determined function variants (for instance, the attachmcnt of different input and output devices,various shaft positions and different
gcar ratios). For the user it is a great advantage if he can build up gearbox
to suit his particular requirements or if, in the caseof damage,he
conl'igurati<lns
sinrplc
itncl spccdy replacements.For the maufacturer the modular
nrakc
Cun

3s8

7 D e v e l o p i n g s i z e r a n g e s a n d m o d u l a r p r o r l r r ,t r

3s9

2 Modular products

elements
ol
Cooler
water
or
bothsides,
onrtght
Cooler
front
or
connectionconnection
left,water
back
frontor back
withcoonrt
Layout
elements
onbothr,'1'',
ondemand

onlyIPR44

rl-llts+

TJll r#
6r:Ih
lll,+ll

4l-lql
il.t | ilt
Layout
wrthsidefixed
cooler
on
demand

Layout
withcootttrt
elements
onboltt',tlr'1
0noeman0

Figure 7.26 Possiblearrangementsof coolersand terminal boxesfor the motor sho* rr

Figure7.25

system provides a comprehensive gearbox system with only a few housings,

w h e e l s ,s h a f t sa n d b e a r i n g s .
Figure 7.27 givesan example: the housing of a modular gearbox allowing
different input shaft positions and also for different gear arrangements (si
and multiple stages,spur and bevel gears) 17.2ll. The reader will noticc
undivided housing 1, which is closed on the output shaft side with an oval
2, and on the other side, for easier gear assembly, with alarge, circular cr
underneath a smaller oval cover 4. While the circular cover 3 locatcs
bearings of the various input shafts, the oval cover 4 merely covers the

ut:l|l

IVIililI

|re

ll
iltF
L_r__.]____-u
-lTY

ruil1

ilI

II

r e 7. 2 7. ' H a n s e n - P a t e ngte' a r b o x[ 7 2 1 1

r aperturesto various spur gearcombinations,by the inclusionof a special

al cover for the flange-mounting of a drive motor, and by the provision for a
vel gear input stage. The disadvantage of this highly modular design is that it
mands a very accurate location of the various covers for proper alignment of
shafts and seals. Moreover, the housing is not fully utilised unless all the gear

are built in. A further development,namely a split housing[7.221,

iates these problems (Figure 7.28). In that case the small individual covers
t remain only carry the seals or only cover the bearing apertures.

aperturewhen the input is throughbevelgears;but if the input is through

gears, it contains a shaft seal. The slow running output stage IV is alwitvs
through a bearing in the opposite side of the housing, with its shaft seal ltc
the oval cover 2. The complete housing is therefore broken down into sc
function/production modules, the central housing section and the circulitr
serving as basic modules, the two oval covers serving as modulcs aclitpltd
particular arrangements and dimcnsions of thc shal'ts,and thc bcitring ol
b e v e l p i n i o n a n d a r c c t a n g u l a rb l i n d c t l v c r s c r v i n g a s s p c c i a l m o d u l c s .

arr4ngcmcnthas thc advantitgcof providing.with u singlcccntrill

lduptntiottol lltc r
vnrinnlsby uppropriutc
scction,a multiplicityol'possiblc

IV

x l2T1 ;
I ; i g u r c7 . 2 1 ,I |l.o u s i n gf o, r ' l I a n s c n - P a t e n t ' g e a r b o. 2
thc housingis syntntctrical

7 D e v e l o p i n g s i z e r a n g e sa n d m o d u l a r p r o t l t r ,I

360

Another modular gearbox design is shown in Figure 7.29 [7.31)- It $:rr

developed for the expresspurpose of providing a broad gear system (in resl'rt,t
of shaft positions and gear ratios) with the fewest possiblemodules. In contrrrrl
to the example shown in Figure 7.27, severalhousing variants were providctl to
match more closely different gearbox variants and hence to reduce weight rrrrtl
volume.
Another modular gearbox,
varied, is describedin l7 .7a1.

which

and outputs in particular can

7 .29.WGW gearboxl7.371
Fig:ure

Endcap
withbullet

lrolltly

F i g u r c7 3 0 . O p c l t t t 6 t l t t l l t\tV s t c t l l ( } l c r t l l r t ' V r t t(sl ) c r r r 1 p ,l ) r r i s [ r r r g ) ,

( i r) n t o t l t r l c s( h ) s p et ' i t r t er t P l i t t t

7 2 Modular products

361

Further examples
Further examples taken from hydraulics, pneumatics and machine tool construction can be found in the literature17.2,7.79,1.351.
Mo dular conveyor system
While all the systems discussedabove are examples of 'closed' modular systems,
Figure 7.30 shows the modules and a specimen plan of an 'open' modular
system.

363

8 Summary

Summarv
Steps
E
6

lvlethods
and
ards

s
(,
O

main
suppo(ing

C =

')

= !

After examining the historical background and the fundamentals, t h i s b o o k l r ; r r

described a step-by-step approach to design, starting with product planning :rrrrl
the clarification of the task and proceeding to the conceptual and e m b o d i r r rrtt l
design phases. As special aids to cost-effective design it has also discussetltho
development of size ranges and of modular products.
Conceptual design and embodiment design are the two crucial phases in t
creation of technical products or systems. Their respective steps are showrr
Figures 8.1 and 8.2, where the various methods and aids are correlated rrr
their main or supporting applications. The figures also chart the progr
of the designer's work and the timing of the various steps. The propr
correlations are not, of course, absolutely fixed, because tasks and problt
differ from product to product, and because some of the steps may have to
omitted.
In other words, the various methods should only be applied when they
required. Work should never be done for the sake of systematicsor for peclir
reasons.Depending on his inclinations,experienceand skill, the designersh<
choose the appropriate method for a particular step.
The ability to abstract, to work systematically and to think logically
creatively complement the designer's professional knowledge. In the va
design steps, these abilities are demanded to varying degrees.Abstractiotr
particularly needed for the identification of essentialproblems, for setting
function structures, for determining the characteristics of classification schc
and for the application of the principles and rules of embodiment dcsi
Systematicand logical thinking help in the elaboration of function structurcs,
setting up classificationschemes,in the analysisof systemsand processesirrrtl
the combination of elements. Creative ability helps in the variation of funct
structures, in the search for solutions with the help of intuitive methods, ilr
combination of elements with the help of classification schemes rtr tlesi
c a t a l o g u e sa n d i n t h e a p p l i c a t i o no f t h e b a s i c r u l e s , p r i n c i p l e sa n c l g u i c l c l i
P r o f e s s i o n akl n o w l e d g ei s n e e d e d p a r t i c u l a r l yf o r t h c d r a w i n g u p o f s p c c i l r r
t i o n s , f o r t h e s e a r c hf o r w e a k l i r r k s .l i l r s c l c c t i o t ta n d c v a l u i t t i o na n d l i r r c l t t
b a s e do n t h e v a r i o u s c h c c k l i s t sa r r d o r r l i r u l t t r n c i n g ,

Figurc [3.3c<lmbincs
thc chccklistsuppropriatelo thc variousdcsignplr
Thc listsarc in accorcllnccwitlr thc gcncruldlrcctivcsgivcnin 2. 1.(r,lrrrl c

Trend
studies
Market
analysis
Specification

t.2.

Abstraction

5.2.

natural
systems

5.4.',|

known
solutrons

4.1
4.1

Tests,
measurements

5 . 4 .I

Brainstorming
SVnectics

5.4,2.

processes
Syslematic
study0f physical
5.4.3.
frcalion
Class
schemes

5.4.3.

Design
catalogues

5 . 4 .3

Sketches
Intuitive
improvements

5.5.

procedures
Seleclion

5.6.

Evaluation
methods

5.8.

Value
analysis

6.5.6

E
O

o o
o o
o o

o o

t . 4 .I

physical
mathematical
relationships

o o
o o

Black
boxrepresentatlon
Funct
on structure
Literature
search

= a

OE

8.1 The systematicapproach

o
o

o oo
o o
o o

o
o o
o o
o o
o
o o o o o
o

o
o

8.1. Correlation of methods and aids with the various steps of the conceptual
ign phase (numbers refer to chapters and sections)

t the technical function is implemented economically and safely. The

i n g s o f t h e c h e c k l i s t sa r e a d a p t e dt o t h e v a r i o u sd e s i g np h a s e s .
Before a specification can be drawn up, the requirements must be known in
ail so that the function and important constraintscan be identified. For that
r n , i n t h c c h c c k l i s t u s e d d u r i n g t h e c l a r i f i c a t i o no f t h e t a s k , t h e h e a d i n g
: t i t r t ' n r a k c s w l y f o r t h c a s s o c i a t c dh c a d i n g s ' g e o m e t r y ' , ' k i n e m a t i c s ' ,

364

8 1 The systematic appro;r,h

I Summary

rof task
E

= o

y)"

-f,

Ehi

6o

=-

>

= 6

igure
4 5)
oe

-E

4.2.

o q

o o
o

Functlon
slructure
5

S o l u t j omne t h o d u
s rn 0
phase
conceptual

C h e ci ks t

o.z.

ry

Pr*d"
l..o
Force
kansmiss
on I

oo
o oo ooo
c ooooooooo
o o ooo

l _o ,
I

"

Faulttreeanalys
s
R i s rke d u o
c tn
Evaluation
methods

(Figure
5 44)
w ththe
Compatible
overal
I task

Function

Embodying

Function

ooo

6.6

Evaluati
ng

Function
design
Layoul

Embodiment

Layoutandform
0esrgn
ility
Durab
Deformation
Stability
Resonance
Expansion
Corrosion
Wear

Form
design

Satety

Safety

Safety

Ergonomics

Ergonomics

Ergonomics

Production

Production

Production

Quality
control

Ouality
contro

Ouality
control

Prelerred
bydesigner's
Assembly
c0mpany

Assembly

Assemb,,

Transport

Transport

Transport

0peration

Operation

0peration

Mantenance

Maintenance

Maintenance

Costs

Costs

Costs

Schedules

Schedu
les

isable
Real
i np r i n c i p l e

Incorporates
direcl
measures
salely

Durabi
ity(Stress)
Deformation
ity
Stabil
Resonance
Expansion
Creep
Reaxation
Corrosion
Wear
Ergonomics
Standards
Product
on
Assembly
contro
Ouality
Transport
0peration
Maintenance
procedures
Selection

Discovering
ldentifying
optimumChecking
concept
embodiment
optimum
embodiment
Determining
layout,
l0rms
andmaterials
(Figure
(Figure
5 60)
(Figure
6 2)
6 136)

\J

ol tasks
0ivision
Seif-help
andp anned
Stability
itv
instabi
b u r 0Ien e s

ldentilying
thebest
combination
ol
prnctples

Fullils
demands
ol
thespecilication

B a s ircu l e s :i m p l i c i t y , | 6 . 3 .
clarity,
safety

Evaluating

principle Working
principle
Working

o ooo

Solutonconcept

>t

Embodiment
design

Selecti
ng

a=

=
Specilicat
on

s!?

Conceptual
design

8.3. Summary of checklists with main headings

Figure 8.2. Correlation of mcthocls anrl airls with thc stcps ol' thc cmtr<lclimcntdcsiytt
phase (numbcrs ref'crto chaplcrs an(l scclion$)

)es', renergy', 'material' and 'signals',all of which facilitate the identification

description of th'e overall function. Similarly, in the embodiment phase, the
'cmbodiment'
ing
is replaced with the appropriate 'layout and form design'
r i r c t c r i s t i c s .S i r n i l i r r h c a d i n g s a p p l y t o e v a l u a t i o n ; t h e y h a v e a w e l c o m e
t u r t c l r r r rw
c yh i c h c n s u r c s t h i r l t h c y c < l v c ra l l c o n t i n g c n c i e s .
S o t t t c o l l l t c t t t c l l t o d si l n ( l i r i ( l sw c h i l v c c x a n l i n c d i l r c a p p l i c a b l ea t d i f f e r e n t

8.2 Time commltment

:ls of embodiment and can therefore be used repeatedly. This is particularly

casewith the documentation (for example, specification,function structure,
ction and evaluation charts). Moreover, it has been found that systematically
)orated documents for certain product groups have a wider application in
: they can be used for other products, thus reducing the overall cost of thc
ematic approach.

I Introduction

I Time commitment
meet the objection that systematicproceduresare very time-consumlng,w('
e broken down the man-hours spent on each step of the conceptual phast'
gure 8.4). These percentagesare basedon practical experienceto date at thc

Steps

En9

Clarfyinqthetask
oroblens
essential
lo 'derlrly
Absl.actrng

10v,

function
structures
Establishing
Intuitive
e g bralnstormlng
Searchtno
lor
solutions

drscursrve

y
ngquaitative
principles
andselect
solution
Combining
P r e l i m i ncaar iyc u l a t t 0 n s
F i r m i nr roni n l o
varlants Prelim
concept
narylayouts

References

15%

1.1 Bach,,C., 1880(12th.ed 7920).Die Machinenelemente.

Stuttgart:Arnold Bergstrdsser Verlagsbuchhandlung.
7.2 Bar, S., 1970.Aufgabe und Stellungdes Konstrukteursbei der Schwerindustrie,
Konstruktion22. 1-5.
1.3 Beitz, w., 1971.
.systemtechnikim Ingenieurbereich,vDl-Berichte 174 (with
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4.

3Y.
)E o/
?q o/

varlants
concePl
Evaluating

r00%
phase(estinlirtt'
of breakdownof man-hoursspenton the conceptual
,ure8 4. Percentage
on
experience)
;ed
iversity and in industry. The greatest percentageis devoted to conventitlrtltl
.ivities, that is to firming up into concept variants which involves prelimirtrrty
culations and layouts. A systematic approach during the conceptual
rvides, with very little extra time expenditure, a broader over-vlew il
tmises a greater chance of arriving at an optimum solution. Things arc ttr
ry different in the embodiment phase. By consulting the checklists
lowing the basic rules, principles and guidelines,the designerwill usually I
le to save time and effort. Checking with the help of fault-identificirtir
: t h o d s , m o r e o v e r , h e l p s t o i m p r o v c q u a l i t y a n d o n l y b e c o m e su n a c c c p l i r l
. v a l u i t t i o n sd o n o t c o n s u t l l cl t
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r c h t i m c w h c n o n c c o n s i c l c r st l t c i t t l i l r n t i t t i o nt h c y y i c l d , c s p c c i a l l yi t t t l t d
l r c S l i l r w c a k l i n k s .A n y o n c l l r r r r i l i i rwr i t l r t h c n l c t l r ( x l sc i l n . i t t a n y c i t s c .i l l ' r l v o
S r t t l d c r a n d b c t t c r r c s u l t s i r t i r r c l i t l i v c l y s h o r t t i t t t c . l r t p i t r t i c t r l i r r ,t l t d
i l c r r y t t i c u p p r o i t c h h o k l s o r r l i t B r c n l c t p r ( ) m i l i co l l t v r t i t l i r t gt i t t t c - c o t t s t t t l t t t t l
r o r s t l t r c t t t i t l i t c k o l ' i t t l o r t t t i r l i ( l l tl l l l t t l r a l l t ,

1 . 1 2E r k e n s ,A . , 1 9 2 8 B
. e i t r r i g ez u r K o n s t r u k t i o n s e r z i e h uZn.gv, D I 7 2 , l 7 - z r .
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F., 1954.Technische
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'l'tcrtttlttttclt
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r
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l
1
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(
,
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7.36 Weber, M., 1930. Das allgerneineAhnlichkeitsprinzip der Physik und sein Zttsrtttt
menhang mit der Dirnensionslehreund der Modellwissenschaft.Jahrb. der Sclrillt
bautechn. Ges 31. 27+354
7.37 WestdeutscheGetriebewerke, 1975. Prospectus Bochum

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(iruphic Mttdtlltttli'
-.
Antlrcirscn. M. M. and Sclrnritlt. 1", 1j.., l9?9 littl4itrctring
l
.
o
t
t
<
k
l
t
t
Ncwrtcs-lJtrttcrw()rt l'
'lfrrirrg.
M . W . : r n t l l . : r i t h w i r i t c . l l ,{ . , l ( ) 7 ?l l t w t t t l n v e n t ,M a c n r i l l i l n . l . o t t d o t t '
, l y r t o r m t u ' A p p n n t h . k t , t l r t ' l ) t , t i 1 4t tt.tl l r r l t t t t t ' t l
V I ) 1 , ' i 9 H 7 V l ) l l ) t . t i g : t tl l t t n t l / t o o Ai l l /
(icinr.n ctliti.rr). Vctcitt l)errtsr'lrr't
S ! , r r t , r , r t t t r t !t , r ' r u l i u l r ( t r i r r 1 r l i l t r ( t r t . l l t ) l l t l
I
I t t p c r t i e r r rV
c c t l l r g 'l ) t t s s c k h r t

lndex

abrasion 254
abstractformulation 77
abstraction 58
and problem formulation 5943
procedure during 60
to identify problems t42,156
accelerationforces 118
adaptations 56
adaptivedesigns 2, 4, 67,78
adaptive functions 3M
adhesivejoints I99
adjustments 294
alarmvalve 225,229
algorithmic-physical
design
method 13-15
algorithmicselectionprocedure 72-13
aluminium-siliconalloypiston 236
ammonia synthesis 209
analysis 32-3,38
of existingtechnicalsystems 83-5
of naturalsystems 83
ofspecification 59
AND-functions 69,72
AND-relationship 298
animal feed bag filling, storing and
loading,63
assembly 20, 177,180,194,228,373
assemblydesignaspects 289-296
assemblyevaluation 29+7
assemblyguidelines 291
assemblyoperations 29I-5
assemblytypes 289-90
associatedforces 203
associationofideas 32
automatedassembly 293
auxiliaryflows 75,78
auxiliaryfunctions 24,74, 344
auxiliarymodules 3M
Baatz,U. 126
B a c h .C . 6
backwardstcpsmcthod 34
balirncctrl'lilrccs 203-5.212

balancedvalue profile 132

balancingcomponents 2I3
balancing elements 204
basic functions 343
basicmodules 344,350
bearing bracket designvariants 317
bearing-lubricationsystem72
bearingoil pressure 225
Deanng
force transmissionin 202
hydrostatic 223
hydrostaticaxial 2I8,2I9,228
bending stressesin 2I9
modular system 346,350
plain 348
rolling 210
taper roller 225
bending moments 208
bendingstiffness 2lI
bendingstresses 197,211,279,220
bent parts 277
Berg, S. 3I9
black boxes 26
boilers with membranewall 207
bolted connections 216,247
boltedjoints 2ffi,245,288
Booleanalgebra 69J2,711
bought-outcomponents 284
brainstorming 87-9, 158,160
Brankamp, K. 45
Bredtschneider-Uhde
self-sealins
cover 2I4
brittle materials I92
BSI (British StandardsInstitution) 259
building-blockconstructionmethod 272
carton assemblymachine 55-6
cast components 272
catastropheanalysis32
Cauchycondition 318,331
Cauchynumber 318,331,332
causc-cffcct
relationship 198
cirvitati()n 254

Index

390
CENC (Comit6 Europ6ende
Normalisation) 259
CENELEC (Comit6EuroP6ende
Normalisation
Electotechnique) 259
characteristicnumber 322
checklist,summaryof 362
circuit-breaker 209
steam
clampconnectionof superheated
pipe 208
clamping 277
clarity l72J ,182,31.5
classificationschemes 68,94-101, 108,
109
classifyingcriteria 94, 95, 98, 104-5
closedmodular systems 345
clutchoverallvaluerating 403
clutchselectionprintout 402
COz-enrichedlye 255
cold extrusion 275
collaboration 334
combinationof principles 29,lO9
companyobjectives 46,47
companypotential 47
companyshortcomings 50
compatibilitymatrix 109,111
compatibilityverification 109
component 20
componentfastening185
componentformdesign 212-81
componentsafety 185
compositeconstructionmethod 2772
gasesstorage 255
compressed
computer-aideddraughting 5
computers
designapplications 5
potentialbenefitsof 110,112,118
conceptvariants 44, \16-8,348-50
comparing 126,138
determing the rating of 126-9
evaluating 118-19,151,163,350-1
firming up into 146,163
selecting 350-l
design 2, 30, 40,57-165,362
conceptual
to identifytheessential
abstracting
problems 5746
comhiningsttlutionprinciples l0U-12
functionstructurcs
cstablishing
66-82
c v i t l u i t t i r t gc ( ) n c c l )vt a r i i t n ti t g i t i t t s t
tccltnicnl itntl ccttntlntic
critcrit I ltt .19
e v i r l r u r l i o trtl t t t i t t t l I l 2 t ,
c x i t t t t l t l c so l 1 , l t )( r 5

firming-up into concePt

variants 11G18
logicalconsiderations 69Jz
man-hoursspenton 366
searchingfor solutionprinciplesfor
sub-functions 824
selectingsuitablecombinations

nz-rc

stepsof 57
useofterm 57
concretefoundations I97
connectors 293
constraints 58,59,64,70
fictitious 65
genuine 65
consumercharacteristics136
control equipment 20
conventionalaids 83_6
conveyors,modular systems 36I
coolingfan 307
corrosion 92
accompanyingerosion,cavitationand
abrasion 254
causesand effectsof 249
contact(bimetallic) 255
crevice 257
local 251-5
transitionzone 255
uniform 249-50
corrosiondamage 249-56
designingagainst 2554
corrosionfatigue 253
costsof components,materials,semifinishedmaterials,and standard
and bought-outparts 287
cost reduction 59
costrequirements 194
cost structure 286
costingand costevaluation 284-9
Coulomb'slaw 26
couplings 21, 183,192,222,231
crane drives 202
creativeability 362
creep 24{0_3
abovecriticaltemPerature 243
at room temperature 242
below criticaltemperature 242
designfeatures 246-9
crccpcurvcs 242
c r c c ps t r c n g t h 2 4 1 , 2 4 3
( ' r i t i c a l ) : r t hA n a l y s i s 3 3
criticrrltcnll)criltttrc l,l(I .l
( ' r i l i e i rwl l t i r l i r r g s p c c t l s3 ( X r
('u\lolttclr1x'cilielttttetiotts 1't'l

Index

cut-out components 279,280

cyberneticconcepts l7
data banks 83
data collection 36
data sheets 326,328,334,339
preferrednumber
decimal-geometic
series 3f922
decisionprocess 39
definitive layout 166
deformation 19V203,211., 237,247,248
Delphi method 89-90
designcataloguesI2-I3,101-8
designconcept 1
designcyclewith learningsystemand
environment 18
designfactors 8
designfaults 297,306
designfunctions 13
designmethod 4,9-15
designprocess 3&44
flowdiagram 44
phasesinvolved 40
work flow during 4V
designscope 14
designtask 45
and activities 1-3
seealso task
designtypes 4
designerresponsibility 53
deignerole 2,4,49
detaildesign 3I,424
differentialconstructionmethod 267-9
dimensionalchanges 56
dimensionallayouts351
Institution) 259
DIN (GermanStandards
DIN 44 300 37
DIN 44 301 37
DIN 69910 25
discursivebias 92-1.08
discursiveprocedures32
disturbingfactors 297-302
divisionof labour 334
documentation 284,351
dominancematrix 130
dough-shapingmachine74
drawingrequirements 3514
drop fbrging 275
durability 191,221
c l y n a m isci m i l a r i t y 3 1 6 ,3 1 8 , 3 3 6
c c o r l o r r r i c c h i r r a c t c r i s t1i c3s4
ct\lrorrriccritcrilr .ll{

39r
economicevaluation\37
economicfactors 348
economicfeasibility 30
economic rating 128,136, 13'7, 309, 374
elasticcouplings 222
elasticdeformation 792,197
elasticforces 318,330,332,350
elasticpipelinesupports 335
electricmotor end cover 270
electricmotor housing 283, 340
electricmotor magnetsupport 268
electricmotor sizerange 339
electricmotors
1\C332
modular systems 355J
electricalinstallations 193
electricalmachines 307
operated
electromagnetically
clutches 149
eliminationprocedure lI2
embodimentdesign 2,30. 42, 166-374
basicrulesof 172-3
checklist 170_2
corrective steps 166
evaluation of 309-14
guidelinesfor 227-96
principlesof 194-227
stepsof 1.66-iI
useofterm 166
energyconversion 21-3,78
energysources,harmfuleffectsassociated
with 193
energystorage 99,795
engineeringsystems,fundamentals
of 2W37
environmentaldemands18
environmentalsafety 182
epicyclicgearboxes212
equipment 20
ergonomics 177,179,193,228
Erkens,A. 7
erosion 254
errors
identification 166,I7I
inevitabilityof 32
minimising 32
essentialmodules 354
evaluation 119
comparisonofprocedures 132
conceptvariants 163
during conceptualphase 132-9
embodimentdesign309-14
i n c l i v i c l usatlc p si n 1 3 3
, 27.312
c v i r l u i r t i ocrhr i r r t 1 2 3 1

392
evaluationchecklists 131,135
weightingfactors 135
evaluationcriteria 262,296,310,311
compifingparameters122-3,135
derivationof 120,134
identifying 1192I,134
of approximatelyequal
importance I22
weighting 121
evaluationuncertainties130-1,136,
138,144
existingsolution 18
existingtechnicalsystems 83-5
expansioneffects 22840
exponentialequations 333J

fail-safeprinciple 183
fatiguesafetyfactor 398
fault-identification 366
fault-treeanalysis 298-301
finite elementmethod 227-8,362
first solutionconcept 78
fits 328
flangedconnection 235
flangedjoints 247
flowlinesof forces 196,201,2045,
22t,230
forceddeformationdiagram 198,216
force transmission 228
in bearings 202
principles of 195-205
path 272,222
forcetransmission
principleofdirect andshort 197-8,
205
form design 8, 29, 167,174-8,791-3,
24V311,320
for components 272-81
for jointing 279
for primary shapingprocesses 2724
for secondaryshapingprocesses 274
for separation 276-9
forminterrelationship 28_9
forward stepsmethod 34
Fouriernumber 331
frettingcorrosion 201
l'rictiondrive 2l'7
l r i c t i o n atlh r c a d - l o c k i n g d e v i c9e2 4
I u c lg a u g cd c s i g ns o l u t i o np r o p o s a l s I l 5
l t r r r c t i r rcna r r i c r s l 7 1 , 2 8 6
l u n c t i o nc o s l s 3 . 5 0
.1.1.1
ntotltrlcs 3.1.'1,
Irrrtctiort
I r r r t c t i o t t - r l r i c t r l isl tyet(t lt l l c s i sI ( t

Index

function structure 2M,66-82, 157

derivationof 76
developmentof 80
establishing I42,34b
practicalusesof 77-82
representationof 82
selectionprocedure 79
simplification 79
studyof 77
variantsof 75
function variants,overall 351
functionalinterrelationship 234
functionalrelationships,logicalanalysis
of 69J2
'182
functionalsafety
fundamentalsof engineeringsystems
2C_31
fundamentalof systematicapproach
JI_/

future development 5l
gatevalve 176
gearcouplingsizerange 326-'7
gearcouplingtest rig 114
gearpumps 337
gearboxes 206,207,212
modular systems 35'740
generalconstraints 30
generalobjectives 30
generallyvalid functions 68
geometricscaling 319
geometicseries 322
geometricsimilarity 23I, 315, 316, 319
globalapproach 33
glued connections 199
grinding 279,280
hammerforging 274
Hansen,F. 9
heat transfer coeffient 240
helicalcompressionsprings 393
187,
helicopterrotor-bladeattachment
211
Holliger,H. 32
honeycombstructures 84
Hooke'slaw 242
hoopstresses 221
l l t r h k aV, . 2 0
hydraulicprolcclionsystcm l Uu
mag,nct
Itydro-clcct
ric gcrrcrat()r
whccl 271
rot()r'
gcrtcrirl()t
Ityrllo-clccltic
rlrnrltueli(ln 170

19.1

Index

ideal system 34
identificationof components 292
IEC (InternationalElectrotechnical
Commission) 259
'if then' relationship 69
inertiaforces 203,317,318,
330,348
inevitabilityof errors 32
informationcollection 54,166
information conversion 354,38, 42
informationfeedback 18
informationprocessing 22
information quality evaluation 36
information storage 56, 83, 105, 111
information systems 37
initial effect 214
inputs 20,23
inspection 294
inspectioncover 275
integralconstructionmethod 269-71
inter-disciplinarycollaboration 334
intuitive bias 86-92
intuitive throught 31
ISO (InternationalOrganisationfor
Standards) 259
joining methods 293
K e s s e l r i n gF,. 1 , 7 1 9 ,f 2 2 , 1 9 4
keyed connections 20I
Kienzle,O. 3I9
kinematicsimilarity 316
Koller, R. 13,26
Krumhauer,P. 26
Krihnpast,R. 2I8,222
labyrinth seal 58
laminar flow 332
lathe controls 333
Laudien,K. 7
layouts 167,174-8,791-3,230,311
learningprocess 17-19
Leonardo da Vinci 6
leverlaw 26
L e y e r ,A . 7 , 8 , 7 9 4
lightweightstructures,sandwich
constructionfor 84
linear expansioncoefficient 228
finearrelationships392
l i t c r a t u r cs e a r c h 8 3
I o c k i n gm c t h ( ) ( l s2 9 4
krgicirllrrrtcttorts(r()

logicalrelationships69J2,78,84
logicalsystems 72
logicalthinking 362
long-termloads 246
machines 20
machiningprocesses276,277
Maduschka.L.2(n.201
Magyar, J. 200
main functioncarriers f67
main functions 24
maintenance 171,181,794,228,313
market analysis 46
market conditions 47
massproduction 3,296
matcheddeformationsprinciple
199-203,205
materials 22
materialsbehaviour 240
materialsconversion 79
materialsselection 236,28I,284
methods 8, 110 2
mathematical
M a t o u s e kR
, . 7,8
mesurementson existingsystems 84
method 635 89
milling 219
model tests 84.316
modulardevelopment 343
modular productdevelopment 346-54
modular productsystematics 343-5
modular products 34241
modular systems
advantages
and limitationsof 354-5
developmentof 346
examples 355-61
open 345,360,361
modulecharacterisation 345
module development 345
modulusof elasticity 247,244
monitoring 72,18V9
bearingoil pressure 225
morphologicalmatrix 108
motion forms 29
motion variations 97
motor vehiclefuel garage 61
movementof parts 293
Mtiller. J. 10
multiple gears 213
NAND-functions 69
r r a t u r asl y s t c masn a l y s i s i i 3
r r c g i r l i orrtrr c t h o d 3 4

394
new developments 59
nickel alloys 230
N i e m a n nG
, . 7,8
NOR-functions 69
NOT-functions 69,72
objectivestree 120,122
oil scraperrings 320
mixingtap 151,180
one-handed
one-offproducts 2
operation 177,181,194,228,313
operatorsafety 182
Opitz,H. 317
8
optimisationcharacteristics
OR-functions 69,72
OR relationship 298
2,3
organisationalaspects
model 2
organisational
originaldesigns 4, 67
outputs 20,23
overalleffects 214
overallfunction 24,29,58,66,73,75,

r09,11s

overalllayout design 266-72

overalltask 24
overallvalue determination 126,B7-B
overlappingjoints 199
overloadprotection 22Vl
overridingsimilaritylaws 328,33V2,
340
overridingstandards 328
overridingtaskrequirements332-3
Paland,E. G. 200
pantographconstructions
315
partslists 354
physicafeffects 26,73-:7,92,105
physicalinterrelationship 26-8
physicalprocesses
26,924
picking-upoperation 293
pistonwith unstablecharacteristics223
plannedinstabilityprinciple 225-7
plant 20
plasticdeformation 192
positioningrcquircmcnts 293
possiblcmoclulcs 354
p o t i r t oh i r r v c s t i r r n
g a c h i r r c7 6 . I l 0
p o w c rl u n c t i o r t s 3 3 3
PrclcrcnccJrrrtcctlttrcl0()
prclcrrctlttunthcrscrics .l l9 1.5,.1.15
prc-krirtlctl
cllccts l.l.l tr
p r c r s u r er l i s t r i h t r t i o r tl : . 1

Indcx

pressurelossfunction 332
primary shapingprocesses 2724
principleofuniformstrength 194,205
problem analysis 32
problemformulation 5946
problem-solving 38-40
asinformationconversion 354
procedure-inherentshortcomings
131
producercharacteristics 136
product definition 49
product ideas 45,47-B
product planning 45-9
product selection 48
product structuredata 374
production I77, I79, 794,228,373
productioncosts 264,283
productiondesignaspects 264 87
productiondocuments 284,351
productionmodules 343,346
production-orientatedstructure 364
productionprocedure 265
productionrequirements,
overriding 333
productiontimes 264,288-9
professionalknowledge362
progresscheck 39
protectiveequipment I87,193
protectivesystems 187,189
'provideone-wayaxialmotion'
function 108
psychologicalaspects
1,3
q u a l i t ya s p e c t s 2 3 , 5 1, 2 6 4
qualitycontrol 717,179,194,228,313
questions
method 34
R 10series 319
R 20 series 320
rating diagram I25
rationalapproach 5,6
Redtenbacher,
F 6
redundancyprinciple l8+ 7
R e i d l e rA
, . 6
relativeexpansionof components
23540
relaxation 2434
r c l i a b i l i t y c s t i m a t i ol n3 l
rcpcillparts 377
rcsirlualstrcsscs 202
rcs()nirnccs192,227
l { c u l c n u xl,; , ( r
R c u t l r cW
, , .11(l
l l i r ' h t c r ,A , t t r

Index
Ringfederconnector2IO
risk assessment 190
risk designaspect 303-14
R o d e n a c k e rW
, . G. I0,26,92
Rohrback,B 89
Roth, K. 12,26,104,738,227
Rotscher,F. 6

395

signalsflow 82
similarity at constantstress 317-9
similarity concept 316
similaritylaws 315-9
designsbasedon 331
overriding 328,33U2,340
similarityrelationships 317,319,3312
simplicity 172,177-81
,315, 333
safe-lifeprinciple 183
sinteredcomponents274
safetyaspects 173,l8l-94,228
situationanalysis 46
designingfor 189-94
sizeeffects 196
safetyblow-off valve 298
sizeranges 315
safetychecklist 189
developmentof 342
safetyfactor 191,398
geometricallysimilar325-8
safetyfencecontacts 188,189
semi-similar 32U2
safetyprinciples
slidingarrangement325
direct 182-7
slidingcontrol valve 779
indirect 187-9
solderedconnections199
safetyrequirements 30, 193
solution concept 29
safetytechniques 181 2
solution principles 28,29, 32
safetyvalves 225
combinationof methods 912
salesforecast 334
combiningto fulfil overall
sandwichbox girder 84
function 108-10,146
sandwichconstructionfbr lightweight
for sub-functions 85, 98-101
structures 84
intuitive biasmethods 86 92
schedulerequirements194
searching
for 824,143,158,348-50
s e a l sa n ds e a l i n g B f , f 9 2 , 2 0 8 , 2 1 4 , 2 1 8 ,
selectingsuitable 162
219,239,268,313,322,348
selectionof combinations
of 148
searchfield 48
sub-functions 82
secondaryshapingprocesses 274
to fulfil sub-functions 143,158
selectioncharacteristics
105
solutionvariants 83
selectionchart ll2
binary evaluation 130
self-balancingsolutions 218-20
optimisationof 384
seff-damagingeffects2154
rough comparisonof 130
self-helpprinciple 95,2812
Sommerfeldnumber 331
self-limitingeffect 224
specialfunctions 344
self-monitoringsystems188-9
specialmodules 344
self-protectingsolutions 22V2
specification 514,77, 134,151,362-3
self-reinforcingarrangements276
analysisof 59
self-reinforcingbrakes 278
checklist 54
self-reinforcingseals 218
contents 51
self-reinforcingsolutions 276-8
examples 56
self-sealingcover 2f4
format of 52
semi-finishedmaterials 2814
furtherapplications 56
separatingprocedures276
Iistingthe requirements 534
shaft-hubconnections 35,97, f04, 115,
method of compiling 534
201
recommendedlayout 52
test rig 139
stability 192,227
shapegenerationofcomponents 397
stabilityprinciple 223-5
shearstresses 99,200
staff exchanges 2
shrinkfits 201,218
standardcomponents284
shut-offdevices 227
standardisation
signals 22
asa straitjackct 2-5tj
s i g r t i r l s c o n v c r s i o2n3 , 7 9
s l 256S
o t rj c c t i v c o

Index

396
standards 56,231,25ffi4
developing 2624
typesof 258-60
using 260_2
staticsimilarity 316
235-1
steady-staterelativeexpansion
steaminlet pipe 233
steamturbine housing 240
steamvalveoperation 305
steamvalvespindleseals 239
stepcharacteristics322
stepsizes,optimum selectionof 322-5
storagerequirements 291
strengthdiagram 136
strengthproblems 22'7
stressconcentrations 196,199,202,227
stressconditions 227
stresscorrosioncracking 253
stressdetermination22'7
stressparameter 318
stressrequirements227
structureanalysis 33, 84
stuffingbox performance 304
sub-functions 24-8,67-8,73,74,'76,78,
97,286
assignmentof 2054
relationshipsbetween69
solutionprinciplesfor 82 6,98-101'
143,158
subjectiveerrors 130-l
sub-objectives 120
sub-systems20, 21,24, 52
sub-values 126,131,132
superheatedsteamPiPes 2ll
clampconnectionof 208
supplementaryeffect 214
surfacefinish 96
surfaceforms 28
surfacevariation 97
generatorcoststructure 287
synchronous
synchronousgeneratorrotor 26'7
synectics 90-1
s y n t h e s i s3 3 , 3 8
syntheticmaterials230
systemboundary 20
elements 21
system
s y s t e m a ta
i cp p r o a c h 3 l - 7 , 3 6 2 4
l 0l n
ll-10
systcmaticc<tmbinati<
dcsign 2
systcnratic
ttl I lanscn 9- l()
accordirtg
ttl Kollcr l3- l5
accorcling
to l\ldcttttckcr l(l | |
itccordittg
lccortlirtgto l{otlt ll
ol (r l()
tlcvckrpntcttl

general comparison and statementof

authors'own aims 19
historicalbackground G8
importantcontributions 6-8
nature of I 6
need for 4 6
systematicselectionchart 113
systematicthinking 362
s y s t e m a t r cv a n a t l o n 3 5
systems 20
systemsapproach l5-7, 33
systemstheory 15

task clarification 40,49-55, 151

task division for distinct functions 206-11
task division principle 205-13
taskrequirements, overriding 332-3
task-specificconstraints 30
teaching methods 5
technical artefacts 20
technicalcharacteristics 134
technical composition theory 7
technical criteria 48
technicalevaluation 136
technical factors 348
technical function 30
technical rating 128, 136, 137,309, 3 I 1.
-) L+

technologicaldata 83
technologicallimitations328
technologystate 50
temperaturecurves 237
temperaturedistribution23(u-1
temperatureeffects233,24{l_-1
tendencysign 136
tensileforces 208
tensilestresses 279
tensiletestingmachine 73
thermalexpansion 92,228y'.0
thermal processes 331
thermalsimilarity 31.6
thermal strains 232
thermalstresses 246
thermo-stablebehaviour224
time commitment 413
tolerances 328
tooling 27'7
torcluc-limiters328
ttrrsionaloscillations 2Ml
stil'llrcss 202,203,21|
ttrrsiottal
torsiortllslrcsscs 97
t{}ughncss 9 |
l r l n s p r l r l 1 7 7 ,l t l 0 . 1 9 1 . l l l ' t , .11. 1

Index

T s c h o c h n eH
r ,. 7, 8
turbineblades 220
turbinecasings 209,233,248
turbo-machinery 21V24
turning 278

uniform strengthprinciple 796,205

unsteadyrelativeexpansion 237
use-valueanalysis 116-18,130

value analysis 24, 33, 119,2854

value assessment 1244,136
value function 125
value profiles 7312
valuescale I25,130
variantdesigns 4,67,404
V-belt drives 2lI2
YDI Gddeline 2222 19, 43
VDI Guideline2225 719,1212, 124,
\28, r33, 136
Velcro fastener 83
vibrations 92,227

391
Wrichtler,R. 77
warningsystems 181,187-8
weak links 33,220
weak spots 131-2,138,I54
wear 192,228
Weber-Fechnerlaw 320
weight effects 330
weightingfactors 1272, 126,r35
welded components 28I
weldedconstruction 283
welded joints 202
welding process 279
Wiegand,H. 200
winding device 307
winding machine 269
Wcigerbauer,H. 8
working principles 178
y i e l dp o i n t 1 9 8 . 2 3 7 , 2 4 62 ,5 4
yield strength 276
Zimmermann,D.
Zwicky,F. 108

36

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