ASM Handbook, Volume 20: Materials Selection and Design [1st ed.] 0871703866, 9780871703866

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VOLUME

ASM INTERNATIONAL

The Materials Information Company

®

Pu blica t ion I n for m a t ion a n d Con t r ibu t or s

Materials Selection and Design was published in 1997 as Volume 20 of ASM Handbook. The Volume was prepared under the direction of the ASM International Handbook Committee.

Volu m e Ch a ir The Volume Chair was George E. Dieter.

Au t h or s a n d Con t r ibu t or s • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •

Peter Andresen General Electric Corporate Research and Development Center Michael F. Ashby Cambridge University Anne-Marie M. Baker University of Massachusetts Charles A. Barrett NASA Lewis Research Center Carol M.F. Barry University of Massachusetts Raymond Bayer Tribology Consultant Michael Blinn Materials Characterization Laboratory Bruce E. Boardman Deere & Company Technical Center Geoffrey Boothroyd Boothroyd Dewhurst Inc. David L. Bourell The University of Texas at Austin James G. Bralla Manufacturing Consultant Bruce L. Bramfitt Bethlehem Steel Corporation Peter R. Bridenbaugh Alcoa Technical Center Eric W. Brooman Concurrent Technologies Corporation Ronald N. Caron Olin Corporation Umesh Chandra Concurrent Technologies Corporation Joel P. Clark Massachusetts Institute of Technology Don P. Clausing Massachusetts Institute of Technology Thomas H. Courtney Michigan Technological University Mark Craig Variation Systems Analysis, Inc. James E. Crosheck CADSI Shaun Devlin Ford Motor Company Donald L. Dewhirst Ford Motor Company R. Judd Diefendorf Clemson University George E. Dieter University of Maryland John R. Dixon University of Massachusetts William E. Dowling, Jr. Ford Motor Company Stephen F. Duffy Cleveland State University Lance A. Ealey McKinsey & Company Peter Elliot Corrosion and Materials Cosultancy Inc. Mahmoud M. Farag American University in Cairo Frank R. Field III Massachusetts Institute of Technology B. Lynn Ferguson Deformation Control Technology Shirley Fleischmann Grand Valley State University F. Peter Ford General Electric Corporate Research and Development Center Theodore C. Fowler Fowler & Whitestone Victor A. Greenhut Rutgers--The State University of New Jersey Daniel C. Haworth General Motors Research and Development Center Richard W. Heckel Michigan Technological University David P. Hoult Massachusetts Institute of Technology Kenneth H. Huebner Ford Motor Company Thomas A. Hunter Forensic Engineering Consultants, Inc. Lesley A. Janosik NASA Lewis Research Center

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Geza Kardos Carleton University Erhard Krempl Rensselaer Polytechnic Institute Howard A. Kuhn Concurrent Technologies Corporation Richard C. Laramee Intermountain Design, Inc. John MacKrell CIMdata Arnold R. Marder Lehigh University C. Lawrence Meador Massachusetts Institute of Technology Edward Muccio Ferris State University Peter O'Rourke Los Alamos National Laboratory Kevin N. Otto Massachusetts Institute of Technology Nagendra Palle Ford Motor Company Anand J. Paul Concurrent Technologies Corporation Thomas S. Piwonka The University of Alabama Hans H. Portisch Krupp VDM Austria GmbH Raj Ranganathan General Motors Corporation Richard C. Rice Battelle Columbus Mark L. Robinson Hamilton Precision Metals Richard Roth Massachusetts Institute of Technology Eugene Rymaszewski Rensselaer Polytechnic Institute K. Sampath Concurrent Technologies Corporation Howard Sanderow Management and Engineering Technologies Jon Schaeffer General Electric Aircraft Engines John A. Schey University of Waterloo James Smialek NASA Lewis Research Center Charles O. Smith Engineering Consultant Douglas E. Smith Ford Motor Company Preston G. Smith New Product Dynamics James T. Staley Alcoa Technical Center David A. Stephenson General Motors Corporation Henry Stoll Northwestern University Charles L. Thomas University of Utah Gerald Trantina General Electric Corporate Research and Development Center B. Lee Tuttle GMI Engineering and Management Institute George F. Vander Voort Buehler Ltd. Anthony J. Vizzini University of Maryland Gary A. Vrsek Ford Motor Company Volker Weiss Syracuse University Jack H. Westbrook Brookline Technologies James C. Williams General Electric Aircraft Engines Roy Williams Materials Characterization Laboratory Kristin L. Wood University of Texas David A. Woodford Materials Performance Analysis, Inc.

Re vie w e r s • • • • • • • • •

John Abraham Purdue University Robert M. Aiken, Jr. Case Western Reserve University David J. Albert Albert Consulting Group C. Wesley Allen CWA Engineering William Anderson Automated Analysis Corporation Harry W. Antes SPS Technologies (retired) William R. Apblett Amet Engineering Michael F. Ashby Cambridge University Carl Baker Pacific Northwest National Laboratory

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H. Barry Bebb Barry Bebb & Associates James Birchmeier General Motors Corporation Neil Birks University of Pittsburgh Peter J. Blau Oak Ridge National Laboratory Omer W. Blodgett Lincoln Electric Company Geoffrey Boothroyd Boothroyd Dewhurst Inc. David L. Bourell University of Texas at Austin Rodney R. Boyer Boeing Company Bruce L. Bramfitt Bethlehem Steel Corporation Charlie R. Brooks The University of Tennessee Eric W. Brooman Concurrent Technologies Corporation William L. Brown Caterpillar Inc. Myron E. Browning Matrix Technologies George C. Campbell Ford Motor Company Barry H. Carden Charter Oak Consulting Group, Inc. Ronald N. Caron Olin Corporation Craig D. Clauser Consulting Engineers Inc. Don P. Clausing Massachusetts Institute of Technology Lou Cohen Independent Consultant Arthur Cohen Copper Development Association Inc. Thomas H. Courtney Michigan Technological University Eugene E. Covert Massachusetts Institute of Technology Margaret D. Cramer IMO Pumps, IMO Industries Inc. Richard Crawford University of Texas Robert C. Creese West Virginia University Frank W. Crossman Lockheed Martin Advanced Technology Center Charles J. Crout Forging Developments International, Inc. David Cutherell Design Edge Fran Cverna ASM International Edward J. Daniels Argonne National Laboratory Craig V. Darragh The Timken Company Randall W. Davis McDonnell Douglas Helicopter Systems Rudolph Deanin University of Massachusetts-Lowell John J. deBarbadillo Inco Alloys International Donald L. Dewhirst Ford Motor Company George E. Dieter University of Maryland John R. Dixon University of Massachusetts Keith A. Ellison Wilson & Daleo Inc. William J. Endres University of Michigan Steven Eppinger Massachusetts Institute of Technology Georges Fadel Clemson University Abdel Aziz Fahmy North Carolina State University Mahmoud M. Farag The American University in Cairo Mattison K. Ferber Oak Ridge National Laboratory Stephen Freiman National Institute of Standards and Technology Peter A. Gallerani Integrated Technologies, Inc. Murray W. Garbrick Lockheed Martin Corporation Michelle M. Gauthier Raytheon Electronic Systems T.B. Gibbons ABB-CE Power Plant Laboratories Brian Gleeson The University of New South Wales Raphael Haftka University of Florida Larry D. Hanke Materials Evaluation and Engineering, Inc. Richard W. Heckel Michigan Technological University Alfredo Herrera McDonnell Douglas Helicopter Systems

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Barry S. Hindin Battelle Columbus Division David Hoeppner University of Utah Maurice Howes IIT Research Institute Kenneth H. Huebner Ford Motor Company M.W. Hyer Virginia Polytechnic Institute and State University Serope Kalpakjian Illinois Institute of Technology Geza Kardos Carleton University Theodoulos Z. Kattamis University of Connecticut J. Gilbert Kaufman Aluminum Association Michael Kemen Attwood Corporation Robert D. Kissinger GE Aircraft Engines William D. Kline GE Aircraft Engines Lawrence J. Korb Metallurgical Consultant Paul J. Kovach Stress Engineering Services, Inc. Jesa Kreiner California State University, Fullerton Howard A. Kuhn Concurrent Technologies Corporation Joseph V. Lambert Lockheed Martin Richard C. Laramee Intermountain Design Inc. David E. Laughlin Carnegie Mellon University Alan Lawley Drexel University Peter W. Lee The Timken Company Keith Legg Rowan Catalyst Inc. Richard L. Lehman Rutgers--The State University of New Jersey Iain LeMay Metallurgical Consulting Services Ltd. James H. Lindsay General Motors R&D Center Carl R. Loper, Jr. The University of Wisconsin-Madison Kenneth Ludema University of Michigan John MacKrell CIMdata, Inc. Arnold R. Marder Lehigh University Lee S. Mayer Cessna Aircraft Company Anna E. McHale Consultant Gerald H. Meier University of Pittsburgh A. Mikulec Ford Motor Company M.R. Mitchell Rockwell International Science Center James G. Morris University of Kentucky Edward Muccio Ferris State University Mary C. Murdock Buffalo State College James A. Murray Independent Consultant John S. Nelson Pennsylvania Steel Technologies, Inc. Glenn B. Nordmark Consultant David LeRoy Olson Colorado School of Mines Joel Orr Orr Associates International Kevin N. Otto Massachusetts Institute of Technology William G. Ovens Rose-Hulman Institute of Technology Charles Overby Ohio University Leander F. Pease III Powder-Tech Associates, Inc. Thomas S. Piwonka The University of Alabama Michael Poccia Eastman Kodak Company Hans H. Portisch Krupp VDM Austria GmbH Tom Priestley Analogy Inc. Louis J. Pulgrano DuPont Company Chandra Putcha California State University, Fullerton Donald W. Radford Colorado State University James A. Rains, Jr. General Motors Corporation

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Harold S. Reemsnyder Bethlehem Steel Corporation Michael Rigdon Institute for Defense Analyses David A. Rigney The Ohio State University Ana Rivas Case Western Reserve University J. Barry Roach Welch Allyn, Inc. Mark L. Robinson Hamilton Precision Metals, Inc. Gerald J. Roe Bethlehem Steel Corporation Edwin Ruh Ruh International Inc. John Rumble National Institute of Standards and Technology Jerry Russmann Deere & Company C.O. Ruud The Pennsylvania State University Edmund F. Rybicki The University of Tulsa K. Sampath Concurrent Technologies Corporation John A. Schey University of Waterloo Julie M. Schoenung California State Polytechnic University, Ponoma Marlene Schwarz Polaroid Corporation S.L. Semiatin Air Force Materials Directorate, Wright Laboratory Donald P. Seraphim Rainbow Displays & Company Sheri D. Sheppard Stanford University John A. Shields, Jr. CSM Industries, Inc. Allen W. Sindel Sindel & Associates M. Singh NYMA, Inc., NASA Lewis Research Center James L. Smialek NASA Lewis Research Center Charles O. Smith Engineering Consultant Robert S. Sproule Consulting Engineer James T. Staley Alcoa Technical Center Edgar A. Starke, Jr. University of Virginia Henry Stoll Northwestern University Brent Strong Brigham Young University Gary S. Strumolo Ford Motor Company John Sullivan Ford Motor Company Thomas F. Talbot Consulting Engineer Raj B. Thakkar A.O. Smith Automotive Products Company Thomas Thurman Rockwell Avionics and Communications Tracy S. Tillman Eastern Michigan University Peter Timmins Risk Based Inspection Inc. George E. Totten Union Carbide Corporation Marc Tricard Norton Company R.C. Tucker, Jr. Praxair Surface Technologies, Inc. Floyd R. Tuler Alcan Aluminum Corporation George F. Vander Voort Buehler Ltd. Garret N. Vanderplaats Vanderplaats Research & Development, Inc. Jack R. Vinson University of Delaware Anthony M. Waas University of Michigan John Walters Scientific Forming Technologies Corporation Harry W. Walton The Torrington Company Paul T. Wang Alcoa Technical Center Colin Wearring Variation Systems Analysis, Inc. David C. Weckman University of Waterloo David W. Weiss University of Maryland Volker Weiss Syracuse University Jack H. Westbrook Brookline Technologies Bruce A. Wilson McDonnell Douglas Corporation Ronald Wolosewicz Rockwell Graphic Systems

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Kristin L. Wood University of Texas David A. Woodford Materials Performance analysis, Inc. Michael G. Wyzgoski General Motors R&D Center Ren-Jye Yang Ford Motor Company Steven B. Young Trent University David C. Zenger Worcester Polytechnic Institute

For e w or d Handbooks published by ASM International have long been the premier reference sources on the properties, processing, and applications of metals and nonmetallic engineering materials. The fundamental purpose of these handbooks is to provide authoritative information and data necessary for the appropriate selection of materials to meet critical design and performance criteria. ASM Handbook, Volume 20 takes the next step by focusing in detail on the processes of materials selection and engineering design and by providing tools, techniques, and resources to help optimize these processes. Information of this type has been provided in other handbook volumes--most notably in Volume 3 of the 9th Edition Metals Handbook--but never to the impressive scope and depth of this handbook. Volume 20 reflects the increasingly interrelated nature of engineering product development, encompassing design, materials selection and processing, and manufacturing and assembly. Many of the articles in this volume describe methods for coordinating or integrating activities that traditionally have been viewed as isolated, self-contained steps in a linear process. Other articles focus on specific design and materials considerations that must be addressed to achieve particular design and performance objectives. As in all ASM Handbook volumes, the emphasis is on providing practical information that will help engineers and technical personnel perform their jobs. The creation of this multidisciplinary volume has been a complex and demanding task. It would not have been possible without the leadership of Volume Chair George E. Dieter. We are grateful to Dr. Dieter for his efforts in developing the concept for this volume, organizing an outstanding group of contributors, and guiding the project through to completion. Special thanks are also due to the Section Chairs, to the members of the ASM Handbook Committee, and to the ASM editorial and production staff. We are especially grateful to the more than two hundred authors and reviewers who contributed their time and expertise to create this extraordinary information resource. George Krauss President, ASM International Michael J. DeHaemer Managing Director, ASM International

Pr e fa ce All engineers who are concerned with the development of products or the design of machines and structures must be knowledgeable about the materials from which they are made. After all, the selection of the correct material for a design is a key step in the design process because it is the crucial decision that links the computer calculations and the lines on an engineering drawing with a working design. At the same time, the rapid progress in materials science and engineering has made a large number of materials--metals, polymers, ceramics, and composites--of potential interest to the designer. Thus, the range of materials available to the engineer is much larger than ever before. This presents the opportunity for innovation in design by utilizing these materials in products that provide greater performance at lower cost. To achieve this requires a more rational process for materials selection than is normally used. Materials engineers have traditionally been involved in helping to select materials. In most cases, this is done more or less in isolation from the actual design process. Sometimes the materials expert becomes involved only when the design fails. In the past ten years, mostly in response to the pressures of international competitiveness, new approaches to product design and development have arisen to improve quality, drive down cost, and reduce product cycle time. Generally called concurrent engineering, it uses product development teams of experts from all functions--design, manufacturing, marketing, and so forth--to work together from the start of the product design project. This opens new opportunities for better material selection. It also has resulted in the development of new computer-based design tools. If materials

engineers are to play an important future role in product development, they need to be more familiar with the design process and these design tools. Thus, Volume 20 of ASM Handbook is aimed at two important groups: materials professionals and design professionals. As a handbook on materials selection and design, it is unique. No other handbook deals with this subject area in this way, bridging the gaps between two vital but often distant areas of expertise. The Handbook is divided into seven sections: • • • • • • •

The Design Process Criteria and Concepts in Design Design Tools The Materials Selection Process Effects of Composition, Processing, and Structure on Materials Properties Properties versus Performance of Materials Manufacturing Aspects of Design

Emphasis throughout is on concepts and principles, amply supported by examples and case histories. This is not a handbook of material property data, nor is it a place to find detailed discussion of specific material selection problems. Other volumes in the ASM Handbook series often provide this type of information. Section 1, "The Design Process," sets the stage for the materials engineer to better understand and participate in the product design process. The context of design within a manufacturing firm is described, and the role of the materials engineer in design is discussed. Emphasis is placed on methods for conceptual and configuration design, including the development of a product specification. Methods for creative generation of conceptual designs and for evaluation of conceptual and configuration alternatives are introduced. Learning to work effectively in cross-functional teams is discussed. Section 2, "Criteria and Concepts in Design" deals with design concepts and methods that are important for a complete understanding of engineering design. The list is long: concurrent engineering, including QFD; codes and standards; statistical aspects of design; reliability in design; life-cycle engineering; design for quality; robust design (the Taguchi approach); risk and hazard analysis; human factors in design; design for the environment (green design); safety; and product liability and design. Section 3 considers "Design Tools." This section provides an overview of the computer-aided engineering tools that are finding wide usage in product design. This includes the fundamentals of computer-aided design, and the use of computerbased methods in mechanism dynamics, stress analysis (finite element analysis), fluid and heat transfer analysis, and electronic design. Also considered are computer methods for design optimization and tolerance analysis. Finally, the section ends with discussions of the document packages necessary for design and of methods for rapid prototyping. Section 4, "The Materials Selection Process," lays out the complexity of the materials selection problem and describes various methodologies for the selection of materials. Included are Ashby's material property charts and performance indices, the use of decision matrices, and computer-aided methods. Also discussed are the use that can be made of value analysis and failure analysis in solving a materials selection problem. The close interrelationship of materials selection and economic issues and processing are reinforced in separate articles. Section 5, "Effects of Composition, Processing, and Structure on Materials Properties," is aimed chiefly at the design engineer who is not a materials specialist. It is a "mini-textbook" on materials science and engineering, with a strong engineering flavor and oriented chiefly at explaining mechanical properties and behavior in terms of structure. The role that processing plays in influencing structure is given emphasis. The articles in this Section cover metallic alloys, ceramics, engineering plastics, and composite materials. The Section concludes with an article on places to find materials information and properties. Section 6, "Properties versus Performance of Materials," features articles that attempt to cross the materials/design gap in a way that the designer will understand how the material controls properties and the materials engineer will become more familiar with real-world operating conditions. Again, emphasis is mostly on mechanical behavior and includes articles on design for static structures, fatigue, fracture toughness, and high temperature. Other articles consider design for corrosion

resistance, oxidation, wear, and electronic and magnetic applications. Separate articles consider the special concerns when designing with brittle materials, plastics, and composite materials. Section 7, "Manufacturing Aspects of Design," focuses on the effects of manufacturing processes on the properties and the costs of product designs. The section contains articles on design for manufacture and assembly (DFM and DFA), general guidelines for selecting processes, modeling of processes, and cost estimation in manufacturing. Individual articles deal with design for casting, deformation processes, powder processing, machining, joining, heat treatment, residual stresses, and surface finishing. Articles also deal with design for ceramic processing, plastics processing, and composite manufacture. This Handbook would not have been possible without the dedicated hard work of the chairmen of the sections: John R. Dixon, University of Massachusetts (retired); Bruce Boardman, Deere & Company; Kenneth H. Huebner, Ford Motor Company; Richard W. Heckel, Michigan Technological University (retired); David A. Woodford, Materials Performance analysis Inc.; and Howard A. Kuhn, Concurrent Technologies Corporation. Special thanks goes to several individuals who did work well beyond the normal call of duty in reviewing manuscripts: Serope Kalpakjian, John A. Schey, and Charles O. Smith. I wish to thank all of the busy people who agreed to author articles for the Handbook. The high rate of acceptance, from both the design community and the materials community, is a strong indicator of the importance of the need that ASM Handbook, Volume 20, fills. George E. Dieter University of Maryland

Ge n e r a l I n for m a t ion Office r s a n d Tr u st e e s of ASM I n t e r n a t ion a l ( 1 9 9 6 - 1 9 9 7 ) Office r s

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George Krauss President and Trustee Colorado School of Mines Alton D. Romig, Jr. Vice President and Trustee Sandia National Laboratories Michael J. DeHaemer Secretary and Managing Director ASM International W. Raymond Cribb Treasurer Brush Wellman Inc. William E. Quist Immediate Past President Boeing Commercial Airplane Group

Tr u st e e s

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Nicholas F. Fiore Carpenter Technology Corporation Merton C. Flemings Massachusetts Institute of Technology Gerald G. Hoeft Caterpillar Inc. Kishor M. Kulkarni Advanced Metalworking Practices Inc. Thomas F. McCardle Kolene Corporation Bhakta B. Rath U.S. Naval Research Laboratory Darrell W. Smith Michigan Technological University Leo G. Thompson Lindberg Corporation William Wallace National Research Council Canada

M e m be r s of t h e ASM H a n dbook Com m it t e e ( 1 9 9 6 - 1 9 9 7 ) • • • • •

William L. Mankins (Chair 1994-; Member 1989-) Inco Alloys International Inc. Michelle M. Gauthier (Vice Chair 1994-; Member 1990-) Raytheon Company Bruce P. Bardes (1993-) Miami University Rodney R. Boyer (1982-1985; 1995-) Boeing Commercial Airplane Group Toni M. Brugger (1993-) Carpenter Technology

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R. Chattopadhyay (1996-) Consultant Rosalind P. Cheslock (1994-) Ashurst Technology Center Inc. Craig V. Darragh (1989-) The Timken Company Aicha Elshabini-Riad (1990-) Virginia Polytechnic Institute & State University Henry E. Fairman (1993-) MQS Inspection Inc. Michael T. Hahn (1995-) Northrop Grumman Corporation Larry D. Hanke (1994-) Materials Evaluation and Engineering Inc. Dennis D. Huffman (1982-) The Timken Company S. Jim Ibarra, Jr. (1991-) Amoco Corporation Dwight Janoff (1995-) FMC Corporation Paul J. Kovach (1995-) Stress Engineering Services Inc. Peter W. Lee (1990-) The Timken Company Anthony J. Rotolico (1993-) Engelhard Surface Technology Mahi Sahoo (1993-) CANMET Wilbur C. Simmons (1993-) Army Research Office Kenneth B. Tator (1991-) KTA-Tator Inc. Malcolm Thomas (1993-) Allison Engine Company Jeffrey Waldman (1995-) Drexel University Dan Zhao (1996-) Essex Group Inc.

Pr e viou s Ch a ir s of t h e ASM H a n dbook Com m it t e e • • • • • • • • • • • • • • • • • • • • • • • •

R.J. Austin (1992-1994) (Member 1984-1996) L.B. Case (1931-1933) (Member 1927-1933) T.D. Cooper (1984-1986) (Member 1981-1986) E.O. Dixon (1952-1954) (Member 1947-1955) R.L. Dowdell (1938-1939) (Member 1935-1939) J.P. Gill (1937) (Member 1934-1937) J.D. Graham (1966-1968) (Member 1961-1970) J.F. Harper (1923-1926) (Member 1923-1926) C.H. Herty, Jr. (1934-1936) (Member 1930-1936) D.D. Huffman (1986-1990) (Member 1982-) J.B. Johnson (1948-1951) (Member 1944-1951) L.J. Korb (1983) (Member 1978-1983) R.W.E. Leiter (1962-1963) (Member 1955-1958, 1960-1964) G.V. Luerssen (1943-1947) (Member 1942-1947) G.N. Maniar (1979-1980) (Member 1974-1980) J.L. McCall (1982) (Member 1977-1982) W.J. Merten (1927-1930) (Member 1923-1933) D.L. Olson (1990-1992) (Member 1982-1988, 1989-1992) N.E. Promisel (1955-1961) (Member 1954-1963) G.J. Shubat (1973-1975) (Member 1966-1975) W.A. Stadtler (1969-1972) (Member 1962-1972) R. Ward (1976-1978) (Member 1972-1978) M.G.H. Wells (1981) (Member 1976-1981) D.J. Wright (1964-1965) (Member 1959-1967)

St a ff ASM International staff who contributed to the development of the Volume included Scott D. Henry, Assistant Director of Reference Publications; Steven R. Lampman, Technical Editor; Grace M. Davidson, Manager of Handbook Production; Bonnie R. Sanders, Chief Copy Editor; Randall L. Boring, Production Coordinator; Kathleen S. Dragolich, Production Coordinator; and Amy E. Hammel, Editorial Assistant. Editorial assistance was provided by Nikki DiMatteo,

Kelly Ferjutz, Heather Lampman, and Mary Jane Riddlebaugh. The Volume was prepared under the direction of William W. Scott, Jr., Director of Technical Publications. Con ve r sion t o Ele ct r on ic File s ASM Handbook, Volume 20, Materials Selection and Design was converted to electronic files in 1999. The conversion was based on the first printing (1997). No substantive changes were made to the content of the Volume, but some minor corrections and clarifications were made as needed. ASM International staff who contributed to the conversion of the Volume included Sally Fahrenholz-Mann, Bonnie Sanders, Marlene Seuffert, Gayle Kalman, Scott Henry, Robert Braddock, Alexandra Hoskins, and Erika Baxter. The electronic version was prepared under the direction of William W. Scott, Jr., Technical Director, and Michael J. DeHaemer, Managing Director. Copyr igh t I n for m a t ion ( for Pr in t Volu m e ) Copyright © 1997 by ASM International® All rights reserved No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the written permission of the copyright owner. First printing, December 1997 This book is a collective effort involving hundreds of technical specialists. It brings together a wealth of information from world-wide sources to help scientists, engineers, and technicians solve current and long-range problems. Great care is taken in the compilation and production of this Volume, but it should be made clear that NO WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, WITHOUT LIMITATION, WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, ARE GIVEN IN CONNECTION WITH THIS PUBLICATION. Although this information is believed to be accurate by ASM, ASM cannot guarantee that favorable results will be obtained from the use of this publication alone. This publication is intended for use by persons having technical skill, at their sole discretion and risk. Since the conditions of product or material use are outside of ASM's control, ASM assumes no liability or obligation in connection with any use of this information. No claim of any kind, whether as to products or information in this publication, and whether or not based on negligence, shall be greater in amount than the purchase price of this product or publication in respect of which damages are claimed. THE REMEDY HEREBY PROVIDED SHALL BE THE EXCLUSIVE AND SOLE REMEDY OF BUYER, AND IN NO EVENT SHALL EITHER PARTY BE LIABLE FOR SPECIAL, INDIRECT OR CONSEQUENTIAL DAMAGES WHETHER OR NOT CAUSED BY OR RESULTING FROM THE NEGLIGENCE OF SUCH PARTY. As with any material, evaluation of the material under enduse conditions prior to specification is essential. Therefore, specific testing under actual conditions is recommended. Nothing contained in this book shall be construed as a grant of any right of manufacture, sale, use, or reproduction, in connection with any method, process, apparatus, product, composition, or system, whether or not covered by letters patent, copyright, or trademark, and nothing contained in this book shall be construed as a defense against any alleged infringement of letters patent, copyright, or trademark, or as a defense against liability for such infringement. Comments, criticisms, and suggestions are invited, and should be forwarded to ASM International. Libr a r y of Con gr e ss Ca t a login g- in - Pu blica t ion D a t a ( for Pr in t Volu m e ) ASM handbook. Vols. 1-2 have title: Metals handbook. Includes bibliographical references and indexes.

Contents: v. 1. Properties and selection--irons,steels, and high-performance alloys--v. 2. Propertiesand selection-nonferrous alloys and special-purposematerials--[etc.]--v. 20. Materials selection and design. 1. Metals--Handbooks, manuals, etc. 2. HandbookCommittee. II. Metals Handbook. TA459.M43 1990 620.1'6 90-115 ISBN 0-87170-377-7 (v.1) SAN 204-7586 ISBN 0-87170-386-6

Metal-work--Handbooks,

manuals,

etc.

I.

ASM

International.

Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

I n t r odu ct ion THE ROLE of the materials engineer in the design and manufacture of today's highly sophisticated products is varied, complex, exciting, and always changing. Because it is not always the metallurgical or materials engineer who specifies the material, this ASM Handbook on materials selection and design is prepared to benefit all engineers who are involved with selecting materials with their related processes that lead to a ready-to-assemble manufactured component. This article discusses the various roles and responsibilities of materials engineers in a product realization organization and suggests new and different ways in which materials engineers may benefit their organization. Insights into use of the remainder of this Volume are also offered. Materials selection specialists have been practicing their art since the beginning of recorded time. The first caveman, searching for food, required an implement that would not break during use. Although wood, stone, and bone were the only structural materials available, there were still choices: hard wood versus soft wood, and hard stones and flint, which would sharpen when broken, versus soft stones. While prehistoric man learned only from experience, learning nevertheless took place, and the art of materials selection became a valued skill within the community. As other materials, such as copper and iron, became available, the skill became almost mystical, with knowledge passed down from father to son, until the middle to late 19th century. By then the blacksmith had replaced the alchemist. At this point, the blacksmith had become the local expert in materials selection and shaping and was recognized as a valuable and enabling member of the community. The role of the materials selection expert has evolved. Today when we think of materials selection specialists, we think of those who have been formally trained as metallurgical or materials engineers. But as discussed below, there are many more engineers involved in materials selection than those with the title metallurgist, materials engineer, or materials scientist. Modern engineered materials are now available that have attractive but complex properties. Therefore, it is becoming essential to develop a much closer working relationship between those who design a component and those who advise the designer on materials selection. In fact, the most efficient structural designs are now generated by incorporating, from the beginning, the complex properties of modern engineered materials into the design synthesis step (matching form to function). The actual selection of a material to satisfy a design need is effectively performed every day in literally dozens of different ways by people of many different backgrounds. The selection process can range from simply re-specifying a previously used material (or one used by a competitor) through finite element analyses or modeling routines to precisely identify property requirements. Additionally, the selection may be done by someone formally trained in metallurgy and materials science or by designers themselves. There is no unique individual role when it comes to materials selection. Today, the selection of the material and its processing, product design, cost, availability, recycleability, and performance in final product form have become inseparable. As a result, more and more companies are forming integrated product development (IPD) teams to ensure that all needed input is obtained concurrently. Whether it is used in a small company (which frequently, from lack of resources, is forced to work in the IPD mode) or a large company (who may have to create a "skunk works"), the IPD approach has been shown to lead to a better result and to achieve this result faster. The integration of material, process, and product design relies on individuals who are trained in materials selection and can work in a team environment. Often, it is the materials specialist, familiar with the frequent, conflicting needs of design, production, and marketing, who can assume the role of mediator to focus on the final product. We hope that this point will be made clearly in this Volume. Attempting to define a single role for the individual who actually selects a material for a design is not possible. That individual frequently assumes roles that cross many engineering and manufacturing disciplines. Starting with the initial design and material choice, through prototype manufacture and testing, and continuing to final production, the materials

selection specialist is an essential team member. As more companies shrink their in-house, captive manufacturing and assembly operations, the role of the materials selection function may increasingly be outsourced, along with the actual manufacturing activity. This possibility can create opportunities for the materials selection specialist, but it can also create risk for the "virtual manufacturers." Worldwide, the vast majority of manufacturing firms are small and cannot afford the luxury of a formally trained materials scientist or materials selection specialist. Rather, they have individuals trained in many areas, one of which is materials. In a smaller enterprise, these individuals actually select materials as a part of their daily design activity. Whether that training was gained as a part of another degree program, as part of a community college associates program, on the job, or as the result of a series of ASM International's Materials Engineering Institute courses, the result is the development of an individual trained in the many and varied facets of materials selection. For most products and materials applications this practice works quite well. However, for high-performance products, where understanding the subtleties of materials performance can be the defining difference, this practice can lead to a less than optimal result. The emergence of agile manufacturing and rapid response scenarios, coupled with ongoing developments in new and tailored materials, further specializes the critical function of materials selection. Before proceeding into detail about the many roles of the materials engineer, it is appropriate to summarize the content of the remainder of this Volume to help guide readers to the portions most important to their specific interests. The volume is divided into seven instructional sections, which are summarized in Table 1 and discussed further in the following paragraphs. Table 1 Overview of the Sections in ASM Handbook, Vol 20, Materials Selection and Design Section title

Summary

1. The Design Process

This section offers insights into the several roles that must be played by the materials selection expert. It also reviews the process and methods that may be applied to enhance and improve the effectiveness of the design process.

2. Criteria and Concepts in Design

This section goes into detail on many of the "soft" issues related to design, process, safety, manufacturability, and quality. These issues are not historically a part of the design and material selection process, because they do not relate to the quantifiable properties (e.g., strength or toughness) or attributes (e.g., wear or corrosion resistance) that determine the ability of a material to perform the desired function. Nevertheless, they are of critical importance, because parts and assemblies must be made with wellunderstood variance, consistent processing, and the expectation that the part will perform safely and reliably in the ultimate customer's application.

3. Design Tools

This section details the tools associated with a state-of-the-art design process. Included are discussions on paper and paperless drawings, adding tolerances, computer-aided drafting and computer-aided design, rapid prototyping, modeling, finite element methods, optimization methods, and documenting and communicating the design to others.

4. The Materials Selection Process

This section begins the details of what steps and methods are actually required to properly select a material and its corresponding manufacturing process. Topics included are an overview of the process, technical and economic issues, the Ashby materials selection charts, use of decision matrices, computer-aided materials selection, the relationship between materials properties and processing, and the use of value analysis and failure analysis.

5. Effects of Composition, Processing, and Structure on Materials Properties

The science of materials selection is introduced in this section as the relationships between different families of materials (e.g., metals, ceramics, plastics) are discussed. Additionally the effects of thermal and mechanical processing on performance properties of materials are discussed. Sources of materials data are also listed in this section.

6. Properties versus Performance of Materials

This section details and discusses the actual properties needed for specific general types of design (e.g., structural, optical, magnetic, electronic) as well as accepted design processes and methodology for prevention of several common performance needs (e.g., corrosion, fatigue, fracture toughness, high

temperature, wear, oxidation). Additionally there is discussion relating to design with brittle materials, plastics, and composite materials, and for surface treatments.

7. Manufacturing Aspects of Design

This section discusses what may be the most important aspects of a successful design: how the conceptual ideas are cost effectively converted into hardware. The majority of commonly used manufacturing processes are discussed in detail in a series of separate chapters, but ultimately, the designer and materials selection expert must merge these thermal and mechanical processes into a description of the properties and attributes of the final part. Techniques for computer-based modeling and costing are also discussed. Additionally, there is discussion about the effect of processing on several of the common nonmetallic materials and the control of residual stresses resulting from manufacturing. Finally, this section includes a discussion on designing for ease of assembly of the many parts that may be involved in a final product, ready for delivery to the ultimate customer.

Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

Th e D e sign Pr oce ss Section 1 of this Volume shows that the process of materials selection during design can take many paths. As already suggested, the task may simply be to design a "new" part that is nearly identical to an existing part and is expected to be used in similar ways. In this case, it may be possible to use the same material and processing as were used for the existing part. Alternatively, the task may be to design and select material for a new part for which there is no prior history. Obviously, this is a much more complex task and requires knowledge of loads, load distributions, environmental conditions, and a host of other performance factors (including customer expectations) and manufacturing-related factors. In addition to a knowledge of the required performance characteristics, the materials selector must be able to define and account for manufacturing-induced changes in material properties. Different production methods, as well as controlled and uncontrolled thermal and mechanical treatments, will have varying effects on the performance properties and the cost of the final part or assembly. Hence, the materials specialist must also work with the value engineering function to achieve the lowest cost consistent with customer value. Often, it is by relating the varying effects of manufacturing processes to customer needs that one manufacturer develops a product that has an advantage over another, using essentially the same material and process combinations. While the effects of manufacturing-induced changes to performance properties are covered in a later section (as well as in other ASM Handbook Volumes), it is critical to understand and accept that the choice of manufacturing processes is frequently not under the direct control of the materials selection expert. In fact, by the time the concept and initial configuration of a design is committed to paper, or to a computer-aided design (CAD) system, the manufacturing processes and sequence of processes required to produce a product cost effectively are normally fixed. They are no longer variables that can be controlled without redesign. The above approach generally follows the path that George Dieter refers to as a "process first approach" in his article "Overview of the Materials Selection Process" in this Volume. Unfortunately, it has been common for designers, inadvertently, to create parts with geometric features that place severe restrictions on the selection of manufacturing processes, with even less freedom remaining for material selection ( Table 4 in Dieter's article demonstrates this point). The use of "design for manufacturability" concepts and IPD teams is beginning to eliminate this undesirable practice. Until the IPD approach is in common use, an alternative, referred to as a "materials first approach," may be useful. The materials first approach depends on a thorough understanding of the service environment and advocates choices based on properties that satisfy those performance needs ( Table 3 in Dieter's article provides a useful starting point). Similarly, overly restrictive selection of the material independently limits the manufacturing processes available. This is all the more reason to use IPD methods. As suggested above, the use of a cross-functional IPD team to translate the desired performance requirements into a design concept usually yields the best result most quickly. Such a team contains the expertise to decide between the use of steel sheet, machined forgings, nonferrous castings, or reinforced polymers as well as to select the processing and joining

methods. Table 2 summarizes many common specialties required to define materials, processes, and manufacturing methods for making cost effective parts and assemblies that meet the customer's expectations. These decisions are not, by themselves, sufficient to ensure a successful design, but the use of cross-functional teams to concurrently consider design, materials, manufacturing processes, and final cost provides superior customer value. Obviously, no individual design exercise will contain one member from each specialty; in many practical cases, each member can represent multiple specialties. Table 2 Typical specialties involved during an "ideal" materials selection process General area

Specialty

Materials science

Metals

Plastics

Ceramics

Coatings

Chemistry

Electrochemistry

Processing

Forging

Casting

Welding

Hot forming

Cold forming

Molding

Machining

Sintering

Heat treatment

Cost analysis

Purchasing (supply management)

Process engineering

Industrial engineering

Life cycle costing

Design Quality assurance

(Specific to application)

Inspection

Statistics

Reliability

Field test

Customer

Other

Marketing

Legal

Environmental

Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

Cr it e r ia a n d Con ce pt s in D e sign Material selection involves more than meeting minimum property requirements for strength, fatigue, toughness, corrosion resistance, or wear resistance. There are numerous options for product design and materials selection, and frequently they cannot be quantified. This precludes the use of mathematical optimization routines and shifts the emphasis to experience. Experience is essential in dealing with these "soft issues" related to qualitative non-property considerations. The design must be producible. This means robust processes must be selected that have known statistical variation and will yield features or complete parts that lie well within the specification limits. This design for manufacturability approach is becoming popular, is an integral part of an IPD team's tool box, and has been demonstrated to be effective in improving quality and reducing cost. Designing to minimize the total costs to the consumer during the expected product life (the life cycle cost) is yet another challenge. These costs include raw material, production, use, maintenance (scheduled or otherwise), and disposal or recycling costs. Some of these cost elements are unknown. This is where the combination of the art and skill of engineering faces its most severe test. Similar issues arise when the safety, product liability, and warranty cost exposure aspects of product design and material selection are concerned. In many cases, alternate designs or materials could be chosen with no measurable difference.

However, there are also many cases where a particular design and/or material choice could prevent an undesirable product failure mode. An understanding of how a part, assembly, or entire structure can fail and the ramifications of that failure is essential in providing a safe and reliable design. A well-known example is the failure of one material in a ductile mode while another fails in a brittle mode. The former could provide that extra margin of safety by giving a warning that there is an impending failure while the latter fails catastrophically without warning. Knowing the ways a product can fail and the safety ramifications of each failure mode will go a long way to minimizing the consequences of failure if the product is used in a manner that exceeds the design intent. Failure mode and effects analysis (FMEA) can help in this regard. Product success requires that the appearance and function of the product must meet the customer's approval. Normally these are design factors, but material selection and surface finish can be equally important. Consumers' tastes often change with time; for instance, current camera customers prefer a dull or matte black finish instead of brightly finished ones. Numerous materials-related solutions to accommodate this change in buying patterns were proposed, including anodizing, painting, and changing the substrate material from metal to plastic. The camera example leads into a discussion of designing for the environment. The growing environmental and regulatory demand to consider the entire life cycle of a product could require the manufacturer to recover and recycle the product and process waste materials. This places renewed emphasis on considering all options. Changing the materials or the manufacture of the camera mentioned above involves designing an environmentally friendly product. Changing from chromium plating appears to be environmentally friendly, but today's chrome plating units are being constructed to operate in a zero discharge mode, so there is no obvious gain from eliminating the chrome. The anodizing process can be just as clean. Paint, on the other hand, is suffering severe scrutiny over both emissions during the painting process as well as subsequent mishandling by the consumer. And, changing the camera body to plastic is not necessarily a good solution because the recycling infrastructure is not yet adequate on a global level to effectively reclaim the material. Another design factor is the repairability of a product. Automobiles are not intended to have accidents, but they do. Design and material selection only for initial cost and performance factors has led to the widespread use of one-piece plastic parts that are not repairable in many cases. Any product that costs more to repair than the owner finds acceptable will eventually suffer in the marketplace. The second Section of this Handbook, "Criteria and Concepts in Design," provides significant additional detail about factors that must be considered during the conceptual stage of design. While many of these factors are not quantifiable, they affect the ultimate cost and ability of the design to satisfy customer expectations. Often, it is the materials engineer who is best equipped to integrate and account for these soft issues, which can be one of the deciding factors in the marketplace. Unfortunately, the pressure of design schedules can squeeze the time allotted for a thorough selection of material and process. The materials engineer must guard against this. Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

D e sign Tools Once the concept and geometry of a part or assembly have been determined, the designer proceeds to the detailed manufacturing design phase. The output from this phase is a physical blueprint or electronic CAD file from which the part will be manufactured. This output contains input for the materials engineer in the form of material selection and processing notes that will guide the manufacturing activity and ultimately may evolve into formal material and processing specifications. Section 3, "Design Tools," contains numerous articles relating to the functions required to pass from the conceptual stage to a detailed and optimized design. These articles introduce concepts for CAD, tolerancing, optimizing, documenting, and prototyping. A common thread between all of these aspects is that the designer requires sets of validated material and processing properties. Again, the materials engineer is an important resource. While there are numerous sources of basic materials data, few sources take into consideration the inherent differences between manufacturing facilities. It is the materials engineer, familiar with the required manufacturing processes and how they individually and collectively affect

the ultimate properties of the material, who leads the process of translating handbook data into anticipated product performance. The need to produce a prototype part that accurately represents the future parts, including manufacturing process capability, is another factor that complicates the design process. While a prototype can be machined from a block of wrought metal, the properties of this first part will not be the same as those of the production parts if casting, forming, or powder consolidation processes are ultimately used to produce the required shape. The machined prototype will be useful for testing, fit, design functionality, and the determination of service loads, but it will provide little information about ultimate fatigue life, fracture toughness, or other environmental needs. Driven by this need, new methods of rapid prototyping continue to be developed. In a very few cases, techniques are available to quickly produce accurate prototypes that equal final production parts. Continuing with the example of machined versus cast parts, a replica of the part can be machined from expanded polystyrene and the lost foam casting method can be used to produce a "real" casting. This casting possesses all of the significant characteristics of the yet-to-be manufactured production parts. More details of these technologies can be found in the article "Rapid Prototyping" in this Volume. The materials engineer will often be asked to evaluate the degree to which the prototype can be expected to represent the production parts. Failure to include this comparison step can result in retro design under duress, schedule delays, and increased cost. Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

Th e M a t e r ia ls Se le ct ion Pr oce ss Ultimately, the design reaches the stage where final material selection is required. At that time, knowledge of both mechanical and environmental requirements is essential. During the conceptual design stage, only general data were required about materials properties, materials processing effects, and performance parameters. These broad descriptions need to be refined into specific performance requirements, including the processing steps that will ensure this performance. The materials engineer provides guidance based on knowledge of the properties of the base materials and knowledge of the relationships between the material processing and the final properties. The materials engineer's knowledge of the processes available within the manufacturing facility and the property changes due to the mechanical or thermomechanical processes can simplify the choices between cost, manufacture, environment, and many other issues. Section 4, "The Materials Selection Process," provides details on many of the issues and steps required to finally arrive at the optimal material selection. Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

Effe ct s of Com posit ion , Pr oce ssin g, a n d St r u ct u r e on M a t e r ia ls Pr ope r t ie s Few product lines require a thorough knowledge of all the different materials, compositions, structure, and processing relationships contained in Section 5. However, materials engineers must know which of these to apply to their operations and have general knowledge about the others. In many cases, the materials and process content of a product can be used to differentiate it in the marketplace. Therefore, it is important for the materials engineer to possess the education and background to become expert in new materials and material processes as they emerge so that the company's new products will be competitive.

Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

Pr ope r t ie s ve r su s Pe r for m a n ce of M a t e r ia ls Up to this point, the subject of performance has been referred to only in passing or as something that is known and will be satisfied by the material and processing combination chosen. Obviously, that is a gross oversimplification. Section 6 addresses the more significant relationships between properties and performance. For simplicity, these subjects are presented individually. In reality there are usually several limiting, and often competing, property-related performance criteria. Bridges and boilers, for example, require strength, modulus, fatigue, fracture, corrosion, thermal expansion, and so on. It is the role of the materials engineer to integrate these many factors into a successful product. Detailed discussion of the methods used to determine the minimum materials properties required to meet desired product characteristics is not included here. In general, the methods for determining the minimum required performance properties are well beyond the scope of this Volume, or perhaps any single handbook. Fortunately, the vast majority of products designed are derived from existing products, so the materials engineer has a good idea of service conditions and product requirements. An accurate and complete understanding of a customer's intended use of a product is essential to the design and manufacture of a successful product. This information is the heart of the product design specification discussed in the article "Conceptual and Configuration Design of Products and Assemblies" in Section 1. Also missing from Section 6 is any reference to methods for testing new or prototype parts, assemblies, or products in service-based conditions. Since Wohler's pioneering explanation of fatigue in railroad axles over one hundred years ago, there has been continuous advancement in the understanding of service environments, recording of service conditions (loads, strains, strain rates, corrosion, temperature, etc.), and accelerated laboratory testing methods to understand the effect of these conditions. From Wohler's simple axle test unit, to laboratory-sized material property test coupons, to fullscale automobile or airplane test beds, there has been a competitive need for something other than placing a product in the hands of the consumer and waiting (possibly years) to learn if it was underdesigned (premature failure and safety or liability issues), overdesigned (too heavy or expensive), or appropriately designed. Adding to the complexity is the fact that many consumers do not have similar or well-defined operating envelopes, resulting in large variations in service loads and lifetimes. Dealing with this uncertainty is one of the major challenges for a designer. Th e Role of t h e M a t e r ia ls En gin e e r in D e sign Bruce Boardm an, Deere and Com pany Technical Cent er; Jam es C. William s, General Elect ric Aircraft Engines; Pet er R. Bridenbaugh, Alum inum Com pany of Am erica Technical Cent er

M a n u fa ct u r in g Aspe ct s of D e sign Section 7, "Manufacturing Aspects of Design," introduces articles on manufacturing-related factors besides properties, including cost. As previously stated, the manufacturing processes capable of producing a specific part design are restricted, if not fixed, at the time of conceptual design. Combine this with the fact that, for most parts, costs are related to manufacturing and assembly, and it becomes apparent that choosing the "best" design is highly dependent on choosing the "best" manufacturing method. Since this decision is made early in the process, it becomes important for designers to avail themselves of the manufacturing expertise provided by the materials engineer. Once the manufacturing process has been identified, there is still the need to optimize the process, determine its capability, and understand the effect(s) that the process will have on a material and its properties. Computer modeling is making significant contributions to our understanding of the effects of processing on properties, as well as which steps in the processing sequence are most important to control in order to consistently produce high-quality parts that meet the design intent. The articles "Design for Quality" and "Robust Design" in Section 2 provide additional detail on the needs and methods used for process control. It is worth noting that, in almost every example, quality improvements also lead to

cost reductions by reducing rejections, downstream rework, inventory requirements, warranty costs, and disappointed customers. Section 7 provides detail on methods for optimizing the majority of manufacturing processes for several specific material classes. Probably the most challenging, as well as the most needed, are modeling methods for predicting what will happen on a microstructural basis during manufacturing operations such as heat treatment, forging, and casting. Only through an understanding of the time-temperature profile, and its relationship to non-isothermal cooling and/or solidification of a material, can the materials engineer predict final microstructures, including any transformation and/or thermally induced stresses.

Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

I n t r odu ct ion THE ROLE OF ENGINEERING DESIGN in a manufacturing firm is to transform relatively vague marketing goals into the specific information needed to manufacture a product or machine that will make the firm a profit. This information is in the form of drawings, computer-aided design (CAD) data, notes, instructions, and so forth. Figure 1 shows that engineering design takes place approximately between marketing and manufacturing within the total product realization process of a firm. Engineering design, however, is not an isolated activity. It influences, and is influenced by, all the other parts of a manufacturing business.

Fig. 1 Engineering design as a part of t he product realizat ion process

In the past, the interrelatedness of design with other product realization functions was not sufficiently recognized. New design processes and methods involve the use of cross-functional teams and constant, effective two-way communications with all those who contribute to product realization in a firm. A discussion of engineering design benefits from distinguishing between parts and assemblies. Though a few products consist of only one part--a straight wrench or paper clip, for example--most products are assemblies of parts. The process of designing assemblies is described in the article "Conceptual and Configuration Design of Products and Assemblies" in this Volume. Distinguishing between special-purpose assemblies and standard components is also helpful. A standard component is an assembly that is manufactured in quantity for use in many other products. Examples are motors, switches, gear boxes, and so forth. As assemblies are designed, a repeated (or recursive) process takes place in which the product is decomposed into subassemblies and finally into individual parts or standard components. (See the section "Engineering Conceptual Design" in this article.) Then to complete the design, the individual parts must be designed, manufactured, and assembled. The process of designing parts is described in the article "Conceptual and Configuration Design of Parts" in this Volume. The design of a part involves selection of a material and a complementary manufacturing process. The majority of parts used in products today are either injection molded plastics, stamped ferrous metals, or die-cast nonferrous metals. Of course, many other material-process combinations are also in use. Some parts are made by a sequence of processes, such as casting followed by selective machining. Materials and process selection are described in the Sections "The Materials Selection Process" and "Manufacturing Aspects of Design" in this Volume. The above paragraphs point out several important and unique requirements imposed on the engineering design process. An obvious one is that parts must be designed for manufacturing as well as for functionality, a requirement that has generated a body of knowledge called design for manufacturing (DFM). Another obvious requirement is that to obtain a final product, parts must be assembled. This has fostered the special field of design for assembly (DFA). Though it is not so obvious, a consideration overriding both DFM and DFA is that assemblies and parts should be designed in a way that results in the minimum total number of parts possible (Ref 1). A smaller part count almost always will result in lower total product cost when all costs are considered, including costs of materials, tooling, processing, assembly, inventory, overhead, and so forth. Of course, engineering designers must design products that not only can be economically manufactured and assembled, but they also must function as intended. This requires selecting and understanding the physical principles by which the product will operate. Moreover, proper function requires special attention to tolerances. These two considerations are called designing for function and fit. However, designers must consider a myriad of other issues as well: installation, maintenance, service, environment, disposal, product life, reliability, safety, and others. The phrase design for X (DFX) refers to all these other issues (Ref 2). Designing for DFM, DFA, minimum parts, function, fit, and DFX is still not all that is required of the engineering designer. Products also must be designed for marketing and profit, that is, for the customer and for the nature of the marketplace. Designers, therefore, must be aware of what features customers want, and what customers consider to be quality in a product. In addition, marketing considerations must include cost, quality, and, increasingly important, time-that is, when the product will reach the marketplace. Designers also should recognize that the processes by which parts and products are made, and the conditions under which they are used, are variable. Designing so that products are robust under these variabilities is another design requirement. Designing a complex product or even a relatively simple one with all these requirements and considerations in mind is a tough and complex task. Therefore, finding creative, effective solutions to the many problems that are encountered throughout the process is essential to competitive success. Creative problem solving is especially important early in the design process when conceptual alternatives are generated, and choices are made that essentially fix the nature and character of the product. Creative problem solving in a design context is discussed in the article "Creative Concept Development" in this Volume. A great deal of varied knowledge is needed to perform design competently and quickly. Thus design is usually a team effort involving people from marketing, several branches of engineering, and manufacturing. The formulation,

organization, and operation of such design teams are discussed in the article "Cross-Functional Design Teams" in this Volume. The remainder of this article presents an overview of the engineering design process. Though the process is extremely complex, distinct stages of design activities can be identified and described (Ref 3). The first stage is how marketing goals, often vague or subjective, are translated into quantitative, objective engineering requirements to guide the rest of the engineering design process.

Re fe r e n ce s

1. G. Boothroyd, Assembly Automation and Product Design, Marcel Dekker, 1992 2. D.A. Gatenby, Design for "X"(DFX) and CAD/CAE, Proceedings of the 3rd International Conference on Design for Manufacturability and Assembly, 6-8 June 1988, (Newport, RI) 3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

Fr om M a r k e t in g Goa ls t o En gin e e r in g Re qu ir e m e n t s The goal of this first stage in the engineering design process is to translate a marketing idea into specific engineering terms. Accomplishing this translation involves an understanding and communication among marketing people, industrial designers, engineering designers, and customers. I n du st r ia l D e sign . The industrial design process creates the first broadly functional description of a product together

with its essential visual conception. Artistic renderings of proposed new products are made, and almost always physical models are developed. Models at this stage are usually very rough, nonfunctional ones showing only external form, color, and texture, though some also may have a few moving parts. Though practices vary, it is strongly advised that industrial design be a cooperative effort of the industrial designers and engineers, as well as materials, manufacturing, and marketing people. Industrial designers consider marketing, aesthetics, company image, and style when creating a proposed size and shape for a product. Engineering designers, on the other hand, are concerned with how to get all the required functional parts into the limited size and shape proposed. Another issue requiring cooperation may be choosing materials for those parts that consumers can see or handle. Both design engineers and manufacturing engineers, of course, are concerned with how the product is to be made within the required cost and time constraints. The phrase product marketing concept describes fairly well the results of industrial design. The product marketing concept includes all information about the product essential to its marketing. On the other hand, the design at this stage should contain as little information as possible about engineering design and manufacturing in order to allow as much freedom as possible to the engineering design phases that follow. Such a policy is called least commitment, and it is a good policy at all stages of product realization. The idea is to allow as much freedom as possible for downstream decisions so that engineers are free to develop the best possible solutions unconstrained by unnecessary commitments made at previous stages. A least commitment policy, for example, means that materials should not be specified this early in the design process unless the material choice has clear marketing implications. This often happens for those parts of the product that customers see and handle. Th e En gin e e r in g D e sign Spe cifica t ion . The engineering design specification, also called the product design specification (PDS) (Ref 4), is described in detail in the article "Conceptual and Configuration Design of Products and Assemblies" in this Volume. Though different products require different kinds of information in their specification,

essential categories are common to all. Regardless of how it is organized, an engineering specification in one way or another must contain information in two major categories: •

•

In-use purposes are related to the anticipated users and misusers (i.e., the customers) of the product including the primary intended purpose(s) to which users will put the product, any unintended purposes to which the product may be put (given that human beings behave the way they do), and any special features or secondary functions required or desired. Functional requirements are qualitative or quantitative goals and limits placed on product performance, the environmental and other conditions under which the product is to perform, physical attributes, process technologies, aesthetics, and business issues like time and cost.

Though the initial engineering design specification should be as complete and accurate as possible, it must also be recognized that a specification is never fully completed. Indeed, a specification is normally subjected to a certain amount of change throughout the design process. However, if changes cause significant redesign, they often can be very expensive and time consuming and affect the final product quality. Moreover maintaining the connection between engineering characteristics and customer requirements is crucial.

Re fe r e n ce cit e d in t h is se ct ion

4. S. Pugh, Total Design: Integrating Methods for Successful Product Engineering, Addison-Wesley, 1991 Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

En gin e e r in g St a ge s A design is information. As a product is designed, the information known and recorded about it increases and becomes more detailed. Though no formal theoretical foundation exists for identifying specific stages of design information content, some stages are intuitively obvious (Ref 3) and include: • • • •

Stage 1: the product marketing concept Stage 2: the engineering (or physical) concept Stage 3: for parts, the configuration design Stage 4: the parametric design

The information contained in a product marketing concept is described in the section "From Marketing Goals to Engineering Requirements" in this article. The other stages are discussed in sections that follow. Some references (e.g., Ref 5) expand the conceptual stage into two separate stages called conceptual and embodiment design and then include the configuration design of parts as a part of detail design.

Re fe r e n ce s cit e d in t h is se ct ion

3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 5. G. Pahl and W. Beitz, Engineering Design, K. Wallace, Ed., The Design Council, 1984

Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

Gu ide d I t e r a t ion For all of the stages of engineering design, that is, stages 2, 3, and 4 listed above, the problem solving methodology employed is called guided iteration (Ref 3). The steps in the guided iteration process, illustrated in Fig. 2, are formulation of the problem; generation of alternative solutions; evaluation of the alternatives; and if none is acceptable, redesign guided by the results of the evaluations. This methodology is fundamental to design processes. It is repeated hundreds or thousands of times during a product design. It is used again and again in recursive fashion for the conceptual stage to select materials and processes, to configure parts, and to assign numerical values to dimensions and tolerances (i.e., parametric design). See Fig. 3.

Fig. 2 Guided it erat ion m et hodology

Fig. 3 Guided it erat ion used for concept ual, configurat ion, and param et ric design

The action of a designer that adds to the information content of the design is a decision based on evaluation results. Some say, therefore, that design is decision making. This statement is true to some extent, but it does not illuminate how design decisions are made. They are made by guided iteration. That is, the additional information needed to advance the design is made explicit in a problem formulation. Alternative ways of providing that information are generated, and the alternatives are evaluated. Finally a decision is made about the acceptability of the alternatives. Thus decision making in design, repeated over and over again in all stages, is to accept, revise, or reject a proposed alternative. It is important to note how critical the generation of alternatives and their evaluation is to the decision about acceptability. If an alternative has not been considered, it cannot be evaluated and accepted. If the evaluations performed are incorrect, careless, or have failed to consider all the issues, then a poor decision may be made. All the steps in guided iteration must be well done every time they are done in order to obtain the best possible design result.

Re fe r e n ce cit e d in t h is se ct ion

3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995

Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

En gin e e r in g Con ce pt u a l D e sign With an engineering design specification prepared to the extent that is feasible, the next stage of design is to determine the physical concept by which the product will function. (Hopefully, the concept has not been dictated by the specification in violation of the least commitment policy.) The physical concept includes the physical principles by which the product will work and an abstract physical embodiment that will employ the principles to accomplish the desired functionality. As a very simple example of the meaning of these terms, suppose the required function is simply to support a load over an open space. One physical principle derived from beam theory is that longitudinal tensile and compressive stresses within a bending member can support a transverse load. The physical embodiment that uses this effect is a long, slender member of uniform cross section; here it is called a beam. Note in this example how the physical principle is integral to the embodiment. If only purely tension or compression stresses were used to support the load, an embodiment called a truss, which employs only tension and compression, might have resulted. In other words, though there is not usually a unique embodiment for implementing a physical concept, a concept and its embodiment are inextricably linked. When a product is more complex, it consists of an assembly of subassemblies and parts. Then the physical concept is not so simple as in the above examples, and the embodiment must identify a set of principal functional subassemblies. For example, for an automobile, the subassemblies identified might be the engine, drivetrain, frame, body, suspension system, and steering system. The physical principles by which a product will work are specified by including sufficient information in its embodiment about how each of these functional subassemblies will interact with all the others to accomplish the required product functions. The term decomposition is generally used to describe the part of the design process that identifies the subassemblies comprising a product or larger assembly. That is, in the conceptual design of an automobile, it could be decomposed into the engine, drivetrain, frame, and so forth. Decomposition can be performed in two ways. (a) It can be done first purely in terms of functions. Physical embodiments are selected to fulfill the functions. (b) Alternatively, it can be done directly in terms of physical embodiments with the functions remaining more or less implicit. Most design is done as in (b). However, there are very good reasons for proceeding as in (a), that is, in function-first fashion (Ref 5, 6). In the automobile, for example, the function of the engine is to convert a source of on-board energy to rotational mechanical power. This function need not be provided by the usual internal combustion engine; instead it could be provided by an electric motor, a turbine powered by compressed gas, human-powered pedals, and many other alternatives. In the case of an automobile, the available alternative sources of power are very familiar. In a new, less-familiar product, however, the advantage of function-first decomposition is that it stimulates designers to consider many ways of fulfilling a given function instead of choosing the most common embodiment that comes to mind. For an initial embodiment, it is usually sufficient to perform only one level of functional or physical decomposition, but all subassemblies thus created will ultimately, as a part of their own conceptual design, be decomposed again and again. For example, a lawn mower engine may be decomposed into, among other things, an engine block and a carburetor. Then in turn, the carburetor may be decomposed into, among other things, a float and a cover. Thus the process of conceptual decomposition repeats (or recurs) until no new subassemblies are created, that is, until only parts or standard components are obtained. See Fig. 4.

Fig. 4 Model of recursive decom posit ion

Ge n e r a t in g Con ce pt u a l D e sign Alt e r n a t ive s. A large number of alternative physical concepts should be generated

for evaluation in terms of the requirements because the selection of the best possible conceptual alternative is a crucial step in obtaining the best possible solution. Nonoptimal choices at this stage are extremely costly in time and money if they have to be corrected later. Unfortunately, there is a human tendency, strong in some designers and design organizations, to pass quickly through the engineering conceptual stage by considering only the one or two possible conceptual solutions that are most familiar to the people involved. This procedure very often ignores other possible solutions that may be superior; that is, ones that may be found by business competitors who are more thorough. Eva lu a t in g Con ce pt u a l D e sign Alt e r n a t ive s. Evaluation of proposed conceptual designs is a crucial step. There is

a significant difference between having a design and having the best competitive design (Ref 7). This distinction is often missed by people in marketing, management, and manufacturing. Evaluation must be incisively and knowledgeably done, and all the issues must be considered as thoroughly as possible. Here again, the tendency in some firms is to perform only quick, subjective evaluations. Unfortunately, a common evaluation process used is, "I like this one best!" However, the design decision can be only as good as the evaluations performed, and good evaluation methods are available. See, for example, Ref 4. Gu ide d Re de sign of Con ce pt u a l Alt e r n a t ive s. All of the methods available for comparison and evaluation of physical concepts indicate in general, qualitative terms which alternatives are best. In addition, and at least as important, the methods also illuminate the specific characteristics of proposed alternatives that are weak or strong. Thus evaluation directs the attention of designers to the changes or refinements that are needed to improve the alternatives. After such improvements are made, the alternatives can be reevaluated and then redesigned.

After evaluation and redesign, if none of the generated alternatives is acceptable, the search for new alternatives must be resumed. This search, too, can now be guided by the evaluation results. Thorough evaluation develops a great deal of useful information about the design. In particular, after evaluation, designers know why the alternatives generated so far are unacceptable, and thus they know why different principles, technologies, materials, or manufacturing processes are needed. Such knowledge is important in guiding the renewed search for concepts that will have a better chance of fulfilling the requirements of the engineering design specification. It is important to appreciate that the engineering conceptual design process, from development of an engineering specification through generation of alternatives, evaluation of alternatives, to guided redesign, essentially must be repeated for each subassembly that is created as the product is decomposed and through as many levels of decomposition as needed to get to individual parts or standard components. Each subassembly has its own special functionality and

engineering requirements, which are not the same as those of the product as a whole. For large products, the complexity that results from all these design processes inside design processes, and so forth can be astounding. Keeping track of all the interactions is a monumental task, especially as changes are made that may propagate throughout the design. Thus clear, written documentation is essential throughout the process, and this documentation is particularly critical for effective and efficient teamwork. D e sign of Asse m blie s Com pa r e d t o D e sign for Asse m bly. Discussion so far has been about design of

assemblies. Design for assembly (DFA) involves mainly the design of parts so that they can be handled easily and inserted properly into place during the assembly process; these concepts are addressed in the article "Design for Manufacture and Assembly" in this Volume. Design for assembly does involve some design of assembly issues, such as the paramount issue of designing for the minimum number of parts. Also, if the assembly is to be done automatically, assemblies should be designed so that all parts are insertable from a single direction. There are, however, issues in design of assemblies that have little to do with design for assembly. One of these is called stack-up, meaning the way tolerances can add up in an assembly. (See the article "Dimensional Management and Tolerance Analysis" in this Volume.) Designers obviously must be aware of such issues: establishing tolerances requires attention to both functionality and manufacturability.

Re fe r e n ce s cit e d in t h is se ct ion

4. S. Pugh, Total Design: Integrating Methods for Successful Product Engineering, Addison-Wesley, 1991 5. G. Pahl and W. Beitz, Engineering Design, K. Wallace, Ed., The Design Council, 1984 6. E. Crossley, A Shorthand Route to Design Creativity, Mach. Des., April 10, 1980 7. C.W. Allen, personal communication, 1993 Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

Th e Con figu r a t ion D e sign of Spe cia l- Pu r pose Pa r t s As described in the preceding section, the engineering conceptual design process decomposes a product into layers of nested subassemblies and ultimately into standard components and special-purpose parts. Often an enormous number of special parts have to be designed, manufactured, and assembled into a subassembly for final assembly into the product. This section contains a discussion of the first stage in the design of these parts: designing their configuration. I s t h is Pa r t N e ce ssa r y? The starting place for designing a part is to try to eliminate the part. Readers are referred to

Ref 8 by Boothroyd and Dewhurst for a relatively easy method for determining whether a proposed part is actually needed as a separate part. As pointed out above, one complex part is almost always less expensive overall than two or more simpler parts. However, this general rule may have exceptions and must be examined. The added complexity, for example, may delay production while the more complex tooling is being made (Ref 9). If a part is necessary and a standard part can be used, then it is usually more economical to specify the standard part instead of designing and manufacturing a special-purpose part. W h a t is a Con figu r a t ion ? Ultimately, designers must determine exact numerical values for the dimensions and

tolerances of parts, that is, perform parametric design. However, before this step can be done, parts are configured. A part configuration specifies the features of a part (see the bulleted list below) and their arrangement and connectivity, but the part configuration does not specify exact dimensions. The configuration can and should be evaluated as a configuration before its final dimensions and tolerances are established. Features of parts include:

• • • •

Walls of various kinds (flat, curved, tapered, and so forth) Add-ons to walls, such as holes, bosses, notches, grooves, and ribs Solid elements, such as rods, cubes, tubes or spheres Intersections among the walls, add-ons, and solid elements

As with engineering conceptual design, designing a part configuration is done by guided iteration. For m u la t in g t h e Pr oble m . Designing a part requires an engineering design specification for the part. The functions and other requirements for a part are not, in general, the same as those of the subassembly or product into which the part will be assembled. However, the engineering specification of a part will contain the same types of information as listed in the section "From Marketing Goals to Engineering Requirements" in this article.

Each part in a product is important to the whole, but each part also has a life (e.g., a functionality) of its own. Products and to some extent their subassemblies have a wide variety of unique functions, but there are only a relatively limited number of (mostly technical) functions for parts to perform. These include, for example, supporting forces, providing a barrier, providing a passage, providing a location, aiding manufacture, and adding strength or stiffness. Since reducing the number of parts is always an important goal, it is always helpful to combine as many such technical functions as possible into a single part. Th e Con figu r a t ion Re qu ir e m e n t s Sk e t ch . Designing a part can be done only by sketching, whether on paper or in a CAD system. To begin, a designer must know the interactions that the part has with other parts and subassemblies. These interactions include forces (loads and available support areas), energy or material flows, and physical matings or other spatial requirements (e.g., certain spaces may be unavailable to the part). A sketch that shows these interactions to approximate scale is a very helpful starting place and is called a configuration requirement sketch. Ge n e r a t in g Alt e r n a t ive Con figu r a t ion Solu t ion s. There may be dozens or even hundreds of possible part

configurations. Often too many exist to consider generating all the possible ones for evaluation. Thus the generation of alternatives must be limited by qualitative physical reasoning and by reasoning about manufacturability. Qualitative essentially means reasoning without numbers though orders of magnitude of numbers are certainly involved. Thus qualitative reasoning fits configuration design evaluation well because configurations are themselves largely without numbers. Nevertheless, even without numbers, the basis of qualitative reasoning is still rooted in fundamental physical principles. Qualitative reasoning is far more objective and useful than guesses or feelings. It can be used to generate configurations that, once dimensions are added, will make efficient use of materials, avoid common failure modes, promote or restrict heat transfer, and so forth. It should be remembered that, though designers are ultimately responsible for decisions made during design, others are available for input all along the way. This is one advantage of cross-functional teams, and experts and consultants from outside the team also can be called in. M a t e r ia ls a t t h e Con figu r a t ion St a ge . At this point in the part design process, it is necessary to decide upon a

manufacturing process and at least a class of materials (e.g., aluminum, thermoplastic, steel). However, unless the information is needed for evaluation of the configurations, selection of the exact material (e.g., the particular aluminum alloy or thermoplastic) should be postponed consistent with least commitment until the parametric stage. Consultation with materials and manufacturing experts is, of course, strongly advised. It should also be remembered that some material choices have marketing implications as well. Other factors, such as recycling concerns and existing business relationships, also may be relevant. Eva lu a t in g D e sign for M a n u fa ct u r a bilit y a t t h e Pa r t Con figu r a t ion St a ge . In addition to qualitative physical

reasoning about functionality, effective part configurations are strongly influenced by manufacturing issues. In stamping, injection molding, and die casting, for example, the part configuration is strongly related to die costs (Ref 3). Design for manufacturability guidelines is determined by the physical nature of the manufacturing process involved. Descriptions of a number of manufacturing processes are presented in the Section "Manufacturing Aspects of Design" in this Volume. For assembly, also see especially Ref 1 and 8.

In considering DFM guidelines, designers should remember that reducing part count is an overriding concern. Thus complications that reduce part count are generally preferable to simplified designs with more parts. Of course, when part count is minimum, then making parts easy to manufacture is desirable. Re de sign in g. The evaluations for functionality (including material use) and for DFM will guide the redesign of

prospective configurations. Tole r a n ce s a t t h e Con figu r a t ion St a ge . Determining tolerances of part designs so that the parts will both function

well and be manufacturable also has important implications at the configuration stage. Increasing the number and tightness of specified tolerances causes a corresponding increase in the cost and difficulty of manufacturing.

Re fe r e n ce s cit e d in t h is se ct ion

1. G. Boothroyd, Assembly Automation and Product Design, Marcel Dekker, 1992 3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 8. G. Boothroyd and P. Dewhurst, Product Design for Assembly, Boothroyd Dewhurst, Inc., 1989 9. K.T. Ulrich et al., "Including the Value of Time in Design for Manufacturing," MIT Sloan School of Management Working Paper No. 3243-91-MSA, Dec, 1991 Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

M e t h ods for Pa r a m e t r ic D e sign Evaluations of concepts and configurations are based primarily on qualitative reasoning about physical principles and manufacturing processes. In parametric design, however, numerical computations become much more important. The attributes of parts identified at the configuration stage become the design variables for parametric design, and their values must now be determined. These values are mostly, though not exclusively, numerical. Relative processing costs (as distinguished from tooling costs) are sensitive to the exact values assigned so that relative processing costs must now be considered along with functionality as a part of parametric design (Ref 3). Most parametric design methods can be applied to special-purpose parts and to standard parts and standard assemblies. A number of powerful methods are available for the parametric design of components and small assemblies, including guided iteration, optimization (see the article "Design Optimization" in this Volume), and statistical methods (see the articles "Statistical Aspects of Design" and "Robust Design" in this Volume). Tole r a n ce s a t t h e Pa r a m e t r ic St a ge of D e sign . At the configuration stage, the concern is with reducing the relative tightness and number of tolerances that must be assigned to obtain the required functionality. At the parametric stage, actual tolerance values are assigned. Not only do the values strongly influence functionality, they also have a strong influence on processing costs. W h y M e t h ods for Pa r a m e t r ic D e sign Ar e N e e de d. At the parametric design stage, the tendency in practice is to avoid the use of formal methods. Experienced designers tend to rely on experience and what has worked previously. If experience has resulted in general knowledge and understanding that can be applied in new situations and it works, then that is fine. However, the slow adaptation of Taguchi's approach (Ref 10, 11) (or some method) of robust design by United States industry was an important factor enabling foreign competitors to design and produce reliable products that captured a number of important markets (see the article "Robust Design" in this Volume). The lesson is that experience that merely works does not necessarily work well enough to beat competitors who are continually learning new and better methods.

Of course, some dimensions are determined exactly by manufacturing considerations, space or weight concerns, and other such limits.

Gu ide d I t e r a t ion for Pa r a m e t r ic D e sign of Com pon e n t s. As with engineering conceptual and configuration

design, parametric design problems for components can be solved by the general method of guided iteration. The specific methods used to implement these steps in parametric design are different from the methods used in conceptual and configuration design. Problem formulation in parametric design requires identification of the design variables, including their range of allowed values; identification of the performance parameters whose values will be computed or measured to evaluate the performance of trial designs; the performance criteria to be included in the evaluation; and the analysis methods that will be used to compute values for the evaluation parameters. Generation of alternatives in parametric design requires selecting an initial design, that is, an initial set of values for the design variables. Consideration of DFM issues may guide or limit these values. Evaluation in parametric design requires computation of the values for the performance parameters as well as selection and implementation of a method for evaluating the overall quality of the trial design. Since multiple evaluation criteria usually exist, this step requires considering how to obtain an overall evaluation from the separate evaluations of each criterion. Redesign in parametric requires that new values be selected for the design variables so that a new trial design can be evaluated. Obtaining the new values is guided by the evaluations of the preceding trial or trials. Reference 3 discusses this subject in detail for interested readers. Opt im iza t ion M e t h ods for Pa r a m e t r ic D e sign . Optimization is a well-developed field of study that is the subject

of entire courses and books. Excellent texts and reference books on optimization are available for use by designers; an example is Ref 12. The more technically advanced manufacturing firms will likely have optimization experts with which designers and design teams can consult. Computer programs are also available, for example, the optimization software programs Optdes and OptdesX (trademarks of Design Synthesis, Inc., East Provo, UT). Though there are exceptions, in general, optimization methods are useful when the following conditions are met. The design variables are all numeric and continuous. In this case, optimization methods are likely to be effective and efficient. If not, optimization can still possibly be used, but some adaptations will be required. A single function (called the "criterion function" or "objective function") can be written in terms of the design variables that express the overall quality or goodness of a trial design. Often this single function is cost, though in some cases it can be weight, efficiency, robustness, or some other performance factor. Su bopt im iza t ion . In complex, realistic parametric design problems, an appropriate criterion function often cannot be

readily formulated to meet the conditions required by optimization techniques. Nevertheless, sometimes certain subparts of problems can be solved by optimization. This is called suboptimization. Suboptimization can be effective and helpful with a stipulation. One cannot in general optimize a whole problem solution by dividing it up into subproblems, each of which is suboptimized separately. Suboptimization of all the subparts of a system does not in general lead to optimization of the whole system. The degree to which the subsystems are coupled is the degree to which suboptimization is suboptimal. Still, suboptimization can be advantageous in situations where any adverse effect from a suboptimized section on the whole system is negligible or acceptable. St a t ist ica lly Ba se d a n d Ta gu ch i Appr oa ch e s for Pa r a m e t r ic D e sign . Methods from the field of statistics and design of experiments (Ref 13, 14) also can be used to assist performing parametric design in some cases. Only the socalled Taguchi approach (Ref 10, 11) is introduced here because it is fairly easily applied and because its use is now fairly common. Moreover, it has a good record of successful application. Robu st n e ss. The overall evaluation criterion in Taguchi's techniques is called robustness. Robustness refers to how

consistently a component or product performs under variable conditions in its environment and as it wears during its lifetime. The variable conditions under which a product must function may include, for example, a range of temperatures, humidity, or input conditions (e.g., voltages, flow rates). Robustness also refers to the degree that the performance of a product is immune to normal variations in manufacture, that is, to variations in materials and processing.

N oise Fa ct or s. The terms noise or noise factors are commonly used for the uncontrollable variable conditions of

environment, wear, and manufacture. Thus another way to describe robustness is to say that it is the degree to which the performance of a product is insensitive to noise factors. Con t r ol Fa ct or s. Noise factors, which the designer cannot control, are not to be confused with the design variables,

whose values the designer can control. Design variables are called control factors in the Taguchi approaches. Though designers have no control over the noise factors, the ranges over which noise factors vary are usually reasonably predictable. St r a t e gie s t o Ach ie ve Robu st n e ss. To achieve robustness in the face of the environmental and other noise factors, two different strategies may be followed. One strategy is to design the product so that the performance of sensitive parts is insulated from the noise conditions (e.g., provide thermal or vibration insulation). Alternatively, steps might be taken to remove or reduce the source of a noise (e.g., eliminate the cause of temperature variations or the source of vibrations). Both insulating the part or product from the noise and eliminating the source of the noise are called "reduce the noise" strategies.

A second design strategy is to accept the noise but reduce its consequences. In this approach, the product is designed so that its lifetime performance is as insensitive to the noises as possible. For example, instead of thermally insulating the part or parts whose performance is sensitive to temperature, those parts can be designed so their performance is not significantly impaired by the expected temperature variations. Often, of course, both "reduce the noise" and "reduce the consequences" strategies may be used simultaneously, but reducing the noise is usually a considerably more expensive solution. Taguchi techniques have a built-in trade-off methodology for selecting the set of control factors that results in the best combination of performance and robustness given the conditions of noise in manufacturing and use. The methodology maximizes the signal-to-noise ratio. Though it is a reasonable criterion, designers using the Taguchi methods have no control over it. Nevertheless, the Taguchi techniques have a very good track record for producing excellent overall results. A disadvantage of the Taguchi method is that only a few values of the design variables over a limited range can be considered. Another disadvantage is that in many cases, experimentation is required to obtain the performance results. When the cost and time required for experimentation are large, the disadvantage is obvious. Where analysis and/or simulation can be used instead of experimentation, they usually will be both quicker and less expensive. Moreover, the use of statistical methods and proper design of experiments can, in most cases, make experimentation more efficient, and these methods can be applied to analytical models and numerical simulations as well as to hardware. Using the Taguchi approach is not the only statistical approach to achieving robust designs that also perform well (Ref 13, 14). Robustness (that is, variability of performance) often can be included when using guided iteration and optimization for parametric design. Additional information about the Taguchi methods is provided in the article "Robust Design" in this Volume.

Re fe r e n ce s cit e d in t h is se ct ion

3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 10. G. Taguchi, The Development of Quality Engineering, The American Supplier Institute, Vol 1 (No. 1), Fall, 1988 11. G. Taguchi and D. Clausing, Robust Quality, Harvard Business Review, Jan-Feb, 1990 12. P.Y. Papalambros and D.J. Wilde, Principles of Optimal Design, Cambridge University Press, John Wiley & Sons, 1989 13. G.E.P. Box, S. Bisgaard, and C. Fung, An Explanation and Critique of Taguchi's Contributions to Quality Engineering, Qual. Reliab. Int., Vol 4, 1988, p 121-131 14. G. Box and S. Bisgaard, Statistical Tools for Improving Designs, Mech. Eng., Jan, 1988

Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

Be st Pr a ct ice s of Pr odu ct Re a liza t ion This section very briefly describes a number of the practices, called best practices, used by successful firms to achieve the goals of quality, cost, time-to-market, and marketing flexibility (Ref 15). Traditionally, cost was considered of paramount importance, and no one would argue that cost is unimportant. However, in the 1980s, quality, defined very broadly, became equally or possibly more important. Unfortunately, in many firms, quality was rather narrowly viewed as exclusively related to manufacturing or production instead of to design and the rest of the product realization process. This limited view results in a serious error because it ignores the fact that many factors determining quality are largely decided in the design stages, especially the early design stages. For a good discussion of quality issues, see Ref 16. W h a t Bu sin e ss Ar e You Re a lly I n ? In some (especially older) manufacturing firms, a strong cultural bent exists

toward the belief that the business of the firm is to manufacture things, specifically the things that constitute their current product or product line. However, the business of such a firm is not really a particular product or product line. Rather, their business is the service that these products perform for customers. For example, the business of a company manufacturing pencils is not making pencils; it is providing the service that pencils provide their users. That is, the business of such a firm is to provide the service that enables people to record their thoughts and other information onto hard copy. A firm manufacturing pencils may never decide to manufacture ballpoint pens, word processors, or speech recognition systems, but at least viewing their business as a service provider reveals who their competitors are (not just other pencil manufacturers) and who they may be in the future. It also gives the firm an incentive for inventing the next popular thought-recording product, even if it is only a better pencil. Thus manufacturing firms should determine and become conscious of what service their products perform for customers, and what the customer values about that service and the way it is provided. Sou r ce s of N e w I de a s. There are four primary sources of ideas for new or revised products in firms: customers,

employees, benchmarking, and new technology. Competitive manufacturing businesses require constant feedback from the customers who buy, sell, repair, or use the products of the company. If a design engineer is looking for positive new ideas as well as for shortcomings of current products, then he or she must get out personally and talk to the customers throughout the design process, and after. Design engineer communication with customers through field trials, field observations, focus groups, and interviews is important to excellent design results. Employees in the factory, shops, and offices are also an extremely valuable source of new ideas for products and product improvements. Good practice requires that there must be a believable, financially rewarding, well understood, and low threshold (easy to use) mechanism for employees to get their new product, product improvement, and process improvement ideas heard and seriously considered. Benchmarking (Ref 17, 18) also stimulates engineers and others in a firm to see and discover new product ideas and new ways of viewing both design and manufacturing. Benchmarking can emcompass studies of both competitor and noncompetitor products and processes. Keeping abreast of new technologies and methodologies in materials, manufacturing, design, engineering, and management is another important source of ideas for new and improved products. Coupling new technological information with the search for new or improved product ideas is an essential part of the product development process that is not, strictly speaking, engineering design defined here, but it is important if engineering designers are to produce the best possible products for a company.

Cr oss- Fu n ct ion a l Te a m s. It would be difficult to overstate the importance of cross-functional teams and teamwork to

the implementation of effective, modern design practices and methods. The close cooperation of different disciplines is especially important to realizing the benefits of DFA and DFM and to ensuring that designs are consistent with marketing and business considerations. In this Volume, the topic of cross-functional teams is discussed in detail in the article "CrossFunctional Design Teams." It is also covered in Ref 19. Focu s on Qu a lit y. The most competitive companies recognize that quality is crucial to competitiveness and that quality

cannot be built into or inspected into a product unless it is first designed into a product. Time-to-market is also recognized as a critical factor in profitability, and development times can be significantly shortened through appropriate management and engineering design approaches (e.g., concurrent design and design for manufacturing). See the article "Concurrent Engineering" in this Volume. Finally, competitive firms know that quality, time-to-market, and cost are all interrelated. None should be sacrificed for the other. The most competitive firms tend to have established metrics (i.e., measurements) that indicate their performance regarding quality, cost, and time-to-market. One way to help establish such metrics is through competitive benchmarking. See Ref 17 and 18. Competitive benchmarking involves a detailed look at the products and processes (both design and manufacturing processes) of the very best competitors of a company. Competing products can be purchased, taken apart, and analyzed for cost, performance, and manufacturability. Out of this process, metrics can be established for the products and processes of a company, and performance can be measured against these metrics. Con cu r r e n t En gin e e r in g, D e sign for X ( D FX) , a n d D e sign for M a n u fa ct u r in g ( D FM ) . Concurrent design

attempts to organize the product realization process so as to have as much information and knowledge available about all the issues in the life of a product at all stages of the design process. This is also referred to as design for X, where X stands for the customer, robustness, manufacturing (including tooling, assembly, processing), environment, safety, reliability, inspectability, maintenance and service, shipping, disposability, and all the other issues in the life cycle of the designed object and its production (Ref 2). D e sign for t h e Cu st om e r . Quality function deployment (QFD) (Ref 20) is a method for deriving the desired

engineering characteristics of a product from customer input or of transforming customer inputs into engineering requirements. A technique for implementing QFD, called the house of quality (Ref 20), is generally used to perform the product or design evaluation and to guide the redesign for improved customer satisfaction. D FA a n d D FM . The importance of DFA and DFM to product realization has already been indicated. However, lip

service to DFA and DFM is not sufficient. There is much to know about both of them, and the firm has to acquire and apply that knowledge to their processes. D e sign for Robu st n e ss. As with DFA and DFM, design for robustness requires more than lip service. The knowledge of what it is and how to do it actually must be brought into a firm and used if its benefits on product quality are to be realized. Ph ysica l Pr ot ot ypin g Policie s. Reducing the number of planned prototypes (e.g., from three to two) will save a great

deal of time (Ref 21) because design engineers, who know ideas will get tested in prototypes, are prone to take risks in their initial designs. But the product realization process is not the time to take risks. Risky ideas should be developed and tested in the laboratory before they are incorporated into product development programs. St r a t e gic Use of Com pu t a t ion a l Pr ot ot ypin g a n d Sim u la t ion s. Modern computational methods employing

computers make it possible to reduce or even eliminate more expensive and more time-consuming physical prototyping. Computer-aided design, solid modeling, finite element methods, and many kinds of simulation programs are used by best practice firms to improve quality and reduce design and development time. See the articles "Computer-Aided Design" and "Rapid Prototyping" in this Volume. Ex a ct in g Con t r ol of Pr oce sse s. The previous idea of quality assurance was to inspect parts and assemblies after they

had been produced. The new best practice is to control processes so rigorously that inspection is unnecessary. Methods of statistical process control (SPC) have been developed for this purpose and are in widespread use (Ref 22).

I n t im a t e I n volve m e n t of Ve n dor s. Dozens, hundreds, or even thousands of vendors may be involved in the

manufacture of certain products and machines. Previous practice was to prepare specifications that vendors must meet with their products and that were used to obtain competitive bids from a number of competing vendors. The present practice is to employ only one or two vendors and to involve them in the product design, especially as it relates to the parts and subassemblies to be supplied by the vendor.

Re fe r e n ce s cit e d in t h is se ct ion

2. D.A. Gatenby, Design for "X"(DFX) and CAD/CAE, Proceedings of the 3rd International Conference on Design for Manufacturability and Assembly, 6-8 June 1988, (Newport, RI) 15. National Research Council, Improving Engineering Design: Designing for Competitive Advantage, National Academy Press, 1991 16. D.A. Garvin, Competing on the Eight Dimensions of Quality, Harvard Business Review, Nov/Dec 1987, p 101-109 17. R.C. Camp, Benchmarking, ASCQ Quality Press, 1989 18. F.G. Tucker, How to Measure Yourself Against the Best, Harvard Business Review, Jan/Feb 1987, p 8-10 19. P.G. Smith and D.G. Reinertsen, Developing Products in Half the Time, Van Nostrand Reinhold, 1991 20. D.R. Hauser and D. Clausing, The House of Quality, Harvard Business Review, May-June, 1988 21. M.B. Wall, K. Ulrich, and W.C. Flowers, Making Sense of Prototyping Technologies for Product Design, Proceedings, Design Theory and Methodology Conference, DE Vol 31, ASME, April, 1991 22. R. Galezian, Process Control: Statistical Principles and Tools, Quality Alert Institute, 1991 Ove r vie w of t h e D e sign Pr oce ss John R. Dixon, Universit y of Massachuset t s ( Professor Em erit us)

Re fe r e n ce s 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14.

G. Boothroyd, Assembly Automation and Product Design, Marcel Dekker, 1992 D.A. Gatenby, Design for "X"(DFX) and CAD/CAE, Proceedings of the 3rd International Conference on Design for Manufacturability and Assembly, 6-8 June 1988, (Newport, RI) J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 S. Pugh, Total Design: Integrating Methods for Successful Product Engineering, Addison-Wesley, 1991 G. Pahl and W. Beitz, Engineering Design, K. Wallace, Ed., The Design Council, 1984 E. Crossley, A Shorthand Route to Design Creativity, Mach. Des., April 10, 1980 C.W. Allen, personal communication, 1993 G. Boothroyd and P. Dewhurst, Product Design for Assembly, Boothroyd Dewhurst, Inc., 1989 K.T. Ulrich et al., "Including the Value of Time in Design for Manufacturing," MIT Sloan School of Management Working Paper No. 3243-91-MSA, Dec, 1991 G. Taguchi, The Development of Quality Engineering, The American Supplier Institute, Vol 1 (No. 1), Fall, 1988 G. Taguchi and D. Clausing, Robust Quality, Harvard Business Review, Jan-Feb, 1990 P.Y. Papalambros and D.J. Wilde, Principles of Optimal Design, Cambridge University Press, John Wiley & Sons, 1989 G.E.P. Box, S. Bisgaard, and C. Fung, An Explanation and Critique of Taguchi's Contributions to Quality Engineering, Qual. Reliab. Int., Vol 4, 1988, p 121-131 G. Box and S. Bisgaard, Statistical Tools for Improving Designs, Mech. Eng., Jan, 1988

15. National Research Council, Improving Engineering Design: Designing for Competitive Advantage, National Academy Press, 1991 16. D.A. Garvin, Competing on the Eight Dimensions of Quality, Harvard Business Review, Nov/Dec 1987, p 101-109 17. R.C. Camp, Benchmarking, ASCQ Quality Press, 1989 18. F.G. Tucker, How to Measure Yourself Against the Best, Harvard Business Review, Jan/Feb 1987, p 8-10 19. P.G. Smith and D.G. Reinertsen, Developing Products in Half the Time, Van Nostrand Reinhold, 1991 20. D.R. Hauser and D. Clausing, The House of Quality, Harvard Business Review, May-June, 1988 21. M.B. Wall, K. Ulrich, and W.C. Flowers, Making Sense of Prototyping Technologies for Product Design, Proceedings, Design Theory and Methodology Conference, DE Vol 31, ASME, April, 1991 22. R. Galezian, Process Control: Statistical Principles and Tools, Quality Alert Institute, 1991

Con ce pt u a l a n d Con figu r a t ion D e sign of Pr odu ct s a n d Asse m blie s Kevin N. Ot t o, Massachuset t s I nst it ut e of Technology; Krist in L. Wood, The Universit y of Texas

I n t r odu ct ion COMPETITIVE DESIGN of new products is the key capability that companies must master to remain in business. It requires more than good engineering, it is fraught with risks and opportunities, and it requires effective judgment about technology, the market, and time. Several recent business decisions give insight to these claims: •

•

•

To avoid losing market share, all U.S. commercial airplane manufacturers have offered contracts to deliver aircraft at prices that are below current cost (Ref 1). The companies are betting that they can remain profitable through improvement of their products and processes. In the early 1980s, Sony offered an improved magnetic videotape recording technology, the Betamax system. Although it offered better magnetic media performance, it did not satisfy customers, who rather were more concerned with low cost, large selection of entertainment, and standardization. In 1996, both Ford and Toyota launched new family sedans. Three years earlier, each had torn apart and thoroughly analyzed each other's cars. Ford decided to increase the options in its Taurus, matching Toyota's earlier Camry, while Toyota decided to decrease the options in its Camry, matching Ford's earlier Taurus.

There is clearly a need to apply statistically sound methods to evaluating the intended customer population for a product. It is equally important to design into the product what is required to meet customer demands, applying rigorous methods for incorporating the best technologies. This article describes an integrated set of structured methods (Fig. 1) that were developed to address these needs. The methods start with identifying the customer population for the product and developing a representation of the feature demands of this group. Based on this representation, a functional architecture is established for the new product, defining what it must do. The next step is to identify competitive products and analyze how they perform as they do. This competitive benchmarking is then used to create a customer-driven specification for the product, through a process known as quality function deployment. From this specification, different technologies and components can be systematically explored and selected through functional models. With a preliminary concept selected, the functional model can be refined into a physically based parametric model that can be optimized to establish geometric and physical targets. This model may then be detailed and established as the alpha prototype of a new product.

Fig. 1 The concept and configurat ion developm ent process. " Pervasive" act ivit ies occur t hroughout product developm ent .

Re fe r e n ce

1. Wall Street Journal, 24 April 1995, p 1 Con ce pt u a l a n d Con figu r a t ion D e sign of Pr odu ct s a n d Asse m blie s Kevin N. Ot t o, Massachuset t s I nst it ut e of Technology; Krist in L. Wood, The Universit y of Texas

Ta sk Cla r ifica t ion Conceptual and configuration design of products, as depicted in Fig. 1, begins and ends with customers, emphasizing quality processes and artifacts throughout. Intertwined with the focus on customers and quality are a number of technical and business concerns. We thus initiate the conceptual design process with task clarification: understanding the design task and mission, questioning the design efforts and organization, and investigating the business and technological market. Task clarification sets the foundation for solving a design task, where the foundation is continually revisited to find weak points and to seek structural integrity of a design team approach. It occurs not only at the beginning of the process, but throughout. M ission St a t e m e n t a n d Te ch n ica l Qu e st ion in g A mission statement and technical clarification of the task are important first steps in the conceptual design process. They are intended to:

• • • •

Focus design efforts Define goals Define timelines for task completion Provide guidelines for the design process, to prevent conflicts within the design team and concurrent engineering organization

The first step in task clarification is usually to gather additional information. The following questions need to be answered, not once but continually through the life cycle of the design process (Ref 2): • • • • • • • • • •

What is the problem really about? What implicit expectations and desires are involved? Are the stated customer needs, functional requirements, and constraints truly appropriate? What avenues are open for creative design? What avenues are limited or not open for creative design? Are there limitations on scope? What characteristics/properties must the product have? What characteristics/properties must the product not have? What aspects of the design task can and should be quantified? Do any biases exist in the chosen task statement or terminology? Has the design task been posed at the appropriate level of abstraction? What are the technical and technological conflicts inherent in the design task?

It is surprising how often a great deal of time (and money) are wasted because no one took time at the front end of a project to really understand the problem. To obtain this understanding, the design of any product or service must begin with a complete understanding of the customers' needs, as discussed in the section "Understanding and Satisfying the Customer" in this article. The tangible result of technical questioning is a clear statement of the design team's mission. Following is a sample template for a mission statement (Ref 3):

Product description

One concise and focused sentence

Key business or humanitarian goals

Schedule

Gross margin/profit or break-even point

Market share

Advancement of human needs

Primary market

Brief phrase of market sector/group

Secondary market

List of secondary markets, currently or perceived

Assumptions

Key assumptions or uncontrolled factors, to be confirmed by customer(s)

Stakeholders

One- to five-word statements of customer sets

Avenues for creative design

Identify key areas for innovation

Scope limitations

List of limitations that will reign back the design team from "solving the world"

The mission statement should not be used as a mere statement of "parenthood." Instead it should be used as a "passport," "calling card," and "banner," stating the design team's intentions. When interviewing customers, meeting with potential suppliers, or carrying out design reviews, members of the design team should make the mission statement the lead item of discussion. Bu sin e ss Ca se An a lysis: Un de r st a n din g t h e Fin a n cia l M a r k e t Technical questioning is only one side of the proverbial design coin. Understanding the business market represents the other side, especially to complete the mission statement. During any conceptual and configuration design effort, a product's market must be clarified through the development of a business case analysis. A number of financial assessment techniques exist at varying levels of detail. Two notable generic techniques are the "Economics of Product Development Projects" (Ref 3) and the Harvard business case method (Ref 4, 5, 6). This section explains how the Harvard business case method can be used to understand the potential impact of product development. A summary is shown in Table 1. Application of the methodology is described below for a simple mechanical product: a fingernail clipper. Table 1 Summary of the Harvard business case method Process step

Description

1. Problem statement

What market problem are you addressing, fixing, improving, making more efficient, etc.? This should be limited to one sentence, two at the most. Only one problem can be addressed. If the problem is complex, with many interrelated subproblems, the problem should be clarified and refined to the basic (atomic) or kernel problems.

2. Assumptions

Discuss any limiting assumptions made in preparing the business case proposal, such as product costs, direction of the industry/department, etc. This step provides a clear statement of the scope of work.

3. Major factors

List, briefly, major factors of the environment that affect the decision. This may be the state of the business (capital constraint), critical business needs or directions (strategies), etc.

4. Minor factors

List, briefly, factors that should be considered, but that do not seem to have a significant effect on the problem

5. Alternatives

List concrete or hypothesized alternatives (minimum of three) to address the problem or opportunity defined by the problem statement, assumptions, and major factors. Two or three sentences should be sufficient. Under each alternative list the advantages and disadvantages of each.

6. Discussion of alternatives

Review each of the alternatives with respect to the stated problem, assumptions, major and minor factors. Compare alternatives and discuss the relative merits of each (in terms of cost savings/avoidance, cycle time reduction, increase in quality, and head count reduction). From this discussion, a clear leader among the alternatives (i.e., the most feasible alternative) should be identified.

7. Recommendation

State your recommendation. There should be no need to defend it; this should have been covered in the last section. If needed, elaborate on the recommendation to add clarity.

8. Implementation

Describe the implementation plan. Include resource requirements: financial, human, space, etc. Describe the time frame requirements, controls, and measurements that will be needed to ensure that goals are met. Measurements should be tied directly to solving the problem, and adequate tracking mechanisms should be used to quantify the success of the project. Contingency plans should be developed that address any high-risk aspects of the solution.

Fingernail clippers are widely used by several markets: consumers (the primary market), professional salons, and domestic pet manicurists. Assume that a company seeks to improve its current product offering for the consumer market, in order to increase its market share in a complementary product line, fingernail polish. The mission is to design a fingernail clipper for comfortable use by either the left or right hand. It is assumed that comfort, low cost, reliability (consistently remove nails with a simple finger force throughout the product's life), and storage compactness are the driving market needs (to be confirmed or revised through customer interviews). The corporation also seeks only a 30% gross margin, since the goal is to increase the market share of fingernail polish. A number of solutions exist for addressing both the technical and process issues associated with a fingernail clipper product development. A business case may be derived for each of the possible solutions. However, the intent during the early stages of conceptual and configuration design is not to study all possible alternatives in detail, but rather to determine whether a minimal benefit to the business will be realized by improving the clipper (i.e., comfort, cost, reliability, and compactness). As such, this example concentrates on steps 5 and 6 of the Harvard business case method (Table 1), where only one generic alternative is considered. A device solution (i.e., a new, generic, hypothetical clipper design) is the alternative considered, emphasizing the possibilities of reduced cost and higher reliability through compactness and fewer components. These possible benefits call for a "break-even" financial analysis for the clipper problem. This analysis answers the question: "Is the hypothetical clipper with less material (compactness) and fewer components feasible as a business venture?" It begins with a summary of the current costs for fingernail clipper development (Table 2), as projected from the current product. Because these costs continually change with new technology and market forces, the actual costs have been multiplied by a random factor. The important issue is the cost of the current clipper operation relative to the cost of the hypothesized solution. The cost projections are based on 750,000 clippers, with a product distribution of 80% small clippers, for fingernails, and 20% large clippers, for toenails. The average cost for this distribution is $0.31 per product for fabrication, $0.17 for labor, and $0.23 for engineering time. Table 2 Current costs scenario (fingernail clipper example) Category

Projected cost, $

Cost per product, $/clipper

Assembly

60,000

0.10

Handling

36,000

0.06

16,500

0.11

Labor costs

Small clipper

Large clipper

Assembly

10,500

0.07

123,000

0.17

Materials

96,000

0.16

Piece-parts

72,000

0.12

Tooling

6,000

0.01

Materials

30,000

0.20

Piece-parts

21,000

0.14

Tooling

4,500

0.03

Total

229,500

0.31

Subtotal (ongoing costs)

352,500

...

Total

173,600

0.23

Total costs

526,100

0.71

Handling

Total

Fabrication costs

Small clipper

Large clipper

Engineering costs

For the purpose of comparison, the adopted concept for this analysis is a "generic," hypothesized clipper with reduced parts. It is assumed that suitable component and fabrication technology exists for this concept. Such a device would require fewer materials and components and less assembly and labor, but tool costs would potentially increase due to higher precision in the cutter alignment. Based on this new concept, Table 3 lists the expected costs for 750,000 products (same distribution of small and large clippers), again multiplied by a random factor). One-time development (engineering) costs account for $187,000 (increase in tooling design), and projected ongoing fabrication and engineering costs account for $231,000 ($154,500 fabrication plus $76,500 labor), compared with current product ongoing costs of $352,500.

Table 3 Proposed costs scenario (fingernail clipper example) Projected cost, $

Cost per product, $/clipper

Assembly

30,000

0.05

Handling

30,000

0.05

Assembly

9,000

0.06

Handling

7,500

0.05

76,500

...

Materials

66,000

0.11

Piece-parts

24,000

0.04

Tooling

24,000

0.04

Materials

21,000

0.14

Piece-parts

9,000

0.06

Tooling

10,500

0.07

Total

154,500

...

Subtotal (ongoing costs)

231,000

...

Category

Labor costs

Small clipper

Large clipper

Total

Fabrication costs

Small clipper

Large clipper

Engineering costs

Total

187,000

0.25

Total costs

418,000

...

It is then necessary to compare the current and proposed costs, to determine the payback period and cost savings. Table 4 shows the results of this break-even analysis. The payback period is 6 months, with a potential savings of $121,500 for 750,000 products. These results are extremely encouraging. Significant cycle time and cost savings may be achieved for the business if a suitable fingernail clipper concept can be developed. Because of these potential savings, the project should be carried to the next stage: conceptual design and prototype. Table 4 Break-even cost analysis (fingernail clipper example) Issue

Analysis result

Estimated payback period for development costs

6 months

Projected savings for first 100,000 products

$16,200

Projected cost savings for next 650,000 products

$105,300

Expected average cycle time savings for each 100,000 product lot

38% of current work days

I m plica t ion s. While only a subset of the Harvard business case method is illustrated above, the potential impact is

impressive. A "go/no-go" decision may be made early in the product development process, provided that financial information exists for the current market and projected costs can be readily assumed for hypothesized concepts. Such decisions should be made in parallel with technical and industrial design clarifications. Also, they should continually be reviewed and updated as new information becomes available, especially as concrete product configurations are derived. A critical aspect of the Harvard business case method is that cost data are needed in order to predict a product's potential return on investment of a product. If an entirely new product or family of products is under development, cost data may not exist. The Harvard business case method can still be applied if data can be obtained from a similar or analogous product, or from very rough estimates of preliminary product layouts.

Re fe r e n ce s cit e d in t h is se ct ion

2. G. Altshuller, Creativity as an Exact Science, Gordon & Breach Publishers, 1984 3. K. Ulrich and S. Eppinger, Product Design and Development, McGraw-Hill, 1995 4. M.P. McNair, The Case Method at the Harvard Business School, McGraw-Hill, 1954 5. R. Ratliff, K.L. Wood, C. Sumrell, and R.H. Crawford, "A Conceptual Design Study of the EVT Process of In-Circuit Tests," IBM Technical Report, IBM ECAT, Austin, TX, May 1993 6. R. Ronstadt, The Art of Case Analysis: A Guide to the Diagnosis of Business Situations, Lord Publishing, Natick, MA, 1988

Con ce pt u a l a n d Con figu r a t ion D e sign of Pr odu ct s a n d Asse m blie s Kevin N. Ot t o, Massachuset t s I nst it ut e of Technology; Krist in L. Wood, The Universit y of Texas

Un de r st a n din g a n d Sa t isfyin g t h e Cu st om e r Having clarified the business opportunity, a firm should determine whether there is actual demand for a new or revised product. Too many technology development initiatives are undertaken with no basis for market acceptance other than management belief. The "technologist's problem" (the belief that if the developer thinks the technology is valuable, everyone else should also) is unfortunately very common in the engineering community. Akia Morita, founder of Sony Corporation, once boasted that, "Our plan is to lead the public to new products rather than ask them what they want. The public does not know what is possible, we do" (Ref 7). One result is products such as the Betamax. While the technologypush approach can and does sometimes work, it is also clear that considering the customer's desires will pull product development into better directions and amplify success. It is important to recognize that "the customer" is only a statistical concept. There are countless potential buyers. Several tasks, discussed below, must be completed in order to develop a statistically valid customer needs list. Ga t h e r in g Cu st om e r N e e d D a t a Reference 8 is an excellent management science reference on customer requirements. Reference 9 provides a total quality management perspective. Some of the techniques for constructing a list of customer needs include using the product, circulating questionnaires, holding focus group discussions, and conducting interviews. Usin g t h e Pr odu ct . The design teams goes to the locations where their or their competitor's product is used, and they

use the product as the customer would. If customer tasks can be easily understood and undertaken by the design team, and the design team is small, then this approach is effective. It is costly, though, for projects with either large design teams or highly skilled customer tasks that require training. Further, it does not address the need to document customer needs. Qu e st ion n a ir e s. The design team makes a list of criteria that they consider relevant to customers' concerns, and customers rank the product on these criteria. Alternatively, the design team forms a list of questions for customers to answer. The problem is that what the design team considers most important is not necessarily what customers consider most important. Focu s Gr ou ps. In a focus group discussion, a moderator facilitates a session with a group of customers who examine,

use, and discuss the product. Usually this is done in the design team's environment, typically in a room with a two-way mirror so that the design team can observe the customers during the session. This session can be video- or audiotaped for later examination. I n t e r vie w s. Sometimes a design team asks an interviewer to discuss the product with a single customer, typically in the

environment where the product is used by the customer. Again, the interview can be video- or audiotaped for later examination. Griffin and Hauser (Ref 10) found that interviews are the most effective technique for uncovering information per amount of effort. They also report that for consumer product design projects, properly interviewing nine customers for one hour each uncovers over 90% of customer needs. Assuming a homogeneous market, interviews beyond the ninth subject tend to uncover very few new customer needs. Using an interview sheet with canned questions does not work well for eliciting customer needs. It is much better to state nothing other than the single request, "Walk me through a typical session using the product." Typically the interview starts with the customer approaching the product in storage, before even using it. Where is it stored? What must the customer do to obtain it from storage and prepare it for use? How is it unpacked from the box and assembled? Ideally, when the customer does any motion or thought processing at all, the customer should describe it to the interviewer. This

should be continued through the product use, followed by cleanup and re-storage. Here are some useful questions for prompting conversation during silent moments (Ref 3): • • •

What do you like or dislike about this product? What issues do you consider when purchasing this product? What improvements would you make to this product?

If a company is contemplating the development of a new product (e.g., a new technology with no existing products on the market), the above questions work well as a starting point. Because the customer cannot walk through the use of an actual product, an analogous device should be used, even a blob of clay, so that customers can manipulate a substance when describing their desires. Here are some general hints for effective customer interviews (Ref 3): • • •

• •

•

Go with the flow. Do not try to stick closely to any interview guide, including this one. Use visual stimuli and props. Bring any tangentially related product, and ask about it. Suppress preconceived notions about the product technology. The customers will make assumptions about the technology, but the interviewer should avoid biasing the discussion with any assumptions about how the product will be designed or used. That leads to speculation, not facts. Have the customer demonstrate. It usually unveils new information. Be alert for surprises and latent needs. The interviewer should pursue any surprise answer with followup questions. This usually uncovers latent needs, needs that the customer is not consciously aware of and that are otherwise hard to uncover. Watch for nonverbal information. Words cannot communicate all product sensations.

Figure 2 shows a form for collecting customer interview data, completed for the fingernail clipper example. The first two columns are completed during the actual interviews. The first column documents any interviewer's prompts to the customer, what might have been said to get the response, if anything. The second column documents the raw data, what the customer said in his or her own words. No interpretation should be made by the interviewer when completing these columns.

Fig. 2 Cust om er need collect ion form ( fingernail clipper exam ple)

The other columns are completed as soon as possible after the interview. In the third column, customer statements from the second column are interpreted in a structured noun-verb format (though not rigidly so). When making these interpretations, it is important to express what the product must do, not how the product might do it. Positive rather than negative phrasing should be used, to keep the interpretations focused on actual needs and not on whether a product is satisfying them. Finally, the words "must" and "should" should not be used in the statements. Rather, these qualifications should be incorporated into subsequent importance ratings, which constitute the fourth column. In the fourth column, the importance of the customer's stated needs is interpreted using five ordered ratings: must, good, should, nice, and not (Ref 11). A must rating is used when a customer absolutely must have this feature, generally when it

is the determining criterion in purchasing the product. Must ratings will act as constraints. The not rating is for features that the customer never uses and does not care about. Com pilin g Cu st om e r N e e ds From interviews or other customer data, multiple lists of customer needs must be compiled into one. The design team should transcribe each need onto an index card, then group the cards into categories to make an affinity diagram (Fig. 3).

Fig. 3 Convert ing t he set of cust om er needs int o an affinit y diagram

An alternative approach is to have a few customers sort the cards as explained above. This prevents the customer data from being biased by the design team. Next, a matrix is created in which the needs are listed down the rows and are repeated across the columns. The matrix is filled in with entries (i,j), the number of times that need i appears with need j. From this matrix, a statistical hierarchical cluster analysis can be performed, converting the matrix into a tree structure where each need is arranged next to the need statements or clusters that are "closest." The design team then parses the tree into a two- or three-level structure with exemplar labels for the branches. Reference 8 provides details. This approach is believed to be a more complete way to parse the need statements, although more costly. Ra n k in g Cu st om e r N e e ds Once the customer needs have been compiled, numerical importance rankings must be established. A design team should take care, however, because the typical customer population will be multi-modal, with segments that have different importance weightings. Multi-modal populations present systems-level choices about which product options to offer. Methods for designing a product family to meet such demands is a subject of active research (Ref 12, 13). A traditional approach to rating customer needs is to compare the number of subjects who mention a need to the total number of subjects. For example:

(Eq 1) where is the ith interpreted customer need importance rank. This ranking is flawed, as it includes a measure of need obviousness, as opposed to need importance. A need may not be important but may be very obvious, and so every subject mentions it. Because of this concern, the design team typically reviews the different statements in column 2 of the

customer response sheets (Fig. 2) to raise and lower the result from Eq 1. This approach is less than quantitative, takes excessive time, and is hard to justify. A good approach to forming an importance ranking for a population is to send the list of customer needs to a random sample of customers (generally at least 100), asking them to rank the importance of each need. This approach can provide a sound statistical sample. However, any determination of statistical importance must incorporate two phases. First, a decision must be made as to whether the customer need is a hard constraint that must be satisfied, or an objective that can be traded off versus other customer needs. The former must be separated from the latter and accounted for differently by the design team. To separate out customer needs that are hard constraints, each need is examined one at a time, and the number of must responses is compared to the total number of subjects. Clearly, if every subject flags the need as a must, then that need must be satisfied. But if only a fraction of the subjects indicate that the product must satisfy a need, a decision must be made about what fraction should be used before interpreting the customer need as a constraint. To answer this question, statistical outlier analysis can be applied to determine when a "few" musts are outlier responses that are not worth flagging. A must-confidence percentage level, Cmust, can be defined as the desired customer response percentage about the median needed to switch the customer need from an objective to a constraint. Cmust is bounded between zero and one. Note that although Cmust is a confidence percentage level, the approach here does not presume normally distributed data. No confidence intervals have been mentioned, only confidence percentages. Often engineers feel comfortable with Cmust = 0.999, corresponding to three confidence intervals, when operating with normally distributed data. Such a value of Cmust is excessive here, as it can create excessive constraints for the design team. It will force many customer needs to carry infinite importance as musts. To establish whether a customer need is a constraint, tabulate the importance responses into the five categories described above. One can calculate how many subjects need to provide must responses for a customer need to be considered a must:

(1 - Cmust)(N - 1) 0, reduces the value of the objective function. Once the search direction sI is selected, I is computed from a one-dimensional search that minimizes F(bI + I sI). The method of steepest descent is one of the simplest unconstrained descent algorithms that provides a satisfactory result. This method is rarely used in practical problems because of its poor performance, but it is discussed here to demonstrate the basics of descent algorithms. Furthermore, more advanced descent methods have been motivated by a desire to improve the steepest descent method. The search direction of Eq 2 for the method of steepest descent is the negative of the objective function gradient, that is:

sI = -

F(bI)

(Eq 3)

Note that in this case sI represents the direction of largest decrease in the objective function F. For each iteration, the objective function F and its gradient F = -sI are evaluated. Multiple-function evaluations are then performed during the one-dimensional line search. More advanced algorithms use higher-order information to compute search directions. Quasi-Newton methods, for example, are popular because they approximate the matrix of second-order sensitivities (the Hessian matrix) with gradient information, thus avoiding its direct computation. As an example, Fig. 2 shows the iterative solution path for the Broyden-Fletcher-Goldfarb-Shanno (BFGS) quasi-Newton algorithm on Rosenbrock's function (Ref 4).

Fig. 2 Unconst rained opt im izat ion procedure using BFGS search direct ions. Shown is t he t wo-dim ensional Rosenbrock funct ion F( b) = 100( b 2 opt im al design. Source: Ref 4

) 2 + ( 1 - b 1 ) 2 , which has a unique m inim um at ( 1,1) . i, init ial design; * ,

In addition to general-purpose optimization algorithms, efficient techniques of limited scope have also been developed for specific applications. The fully stressed design technique (Ref 1), for example, minimizes the mass of truss structures subject to stress constraints alone. New designs are updated based on optimality criteria, which works well in this case for

lightly redundant single-material structures. The limitations of many specific optimization methods render them useless for general applications and thus receive little attention today. Con ve r ge n ce Cr it e r ia . Because numerical optimization is iterative, it is important to know when to stop, that is, when

the optimization process has converged to the optimal design. Specifying the maximum number of allowable optimization iterations guarantees that the optimization process terminates; however, it does not ensure convergence is achieved. One convergence criterion is to monitor absolute and relative changes of the objective and constraint functions and the design parameters (Ref 2). Convergence can then be indicated when changes in the performance measures and/or design parameters between successive optimization iterations are within a predefined tolerance. For example, one can choose to terminate an optimization when a new design results in a reduction of mass that is within 1% of the mass for the initial design. Another important convergence criterion is provided by the Kuhn-Tucker necessary conditions for optimality (Ref 1, 2, 3). For unconstrained problems, this criterion simply requires that at the optimal design b*, the objective function F(b*) is less than a small specified constant. The Kuhn-Tucker conditions generalize for constrained gradient optimization problems where a linear combination of the objective function gradient and the constraint gradients are used to indicate convergence (Ref 2, 3). An a lysis Solu t ion s a n d Opt im iza t ion Solu t ion s. The solution of an optimization problem differs significantly

from that of a typical CAE simulation. Computer-aided-engineering simulations compute the response or state of a product or process, for example, displacement or temperature; whereas the goal of an optimization solution is to define the product or process itself. Additionally, when analyzing a structure, for example, the displacement solution is almost always guaranteed and under certain conditions, it is unique. On the other hand, the existence and uniqueness of an optimal design is not ensured. Quite possibly, a design may not exist that will merely satisfy the constraints, let alone, be optimal. Furthermore, numerical methods used to solve optimization problems are often sensitive to the initial guess, and solution methods are algorithm dependent. The CAE engineer attempting to optimize his or her design should not be discouraged if the first try is not as successful as expected. Algor it h m Se le ct ion . Optimization algorithms are classified by the derivative information that they require to compute

sI in Eq 2, for example, zero-, first-, and second-order methods. Common unconstrained algorithms include the random search, Powell's conjugate direction, and sequential simplex methods (zero-order); steepest descent, Fletcher-Reeves' conjugate direction, variable metric, Davidon-Fletcher-Powell (DFP), and BFGS methods (first-order); and Newton's method (second-order) (Ref 1, 2, 3, 4, 5). Constrained first-order methods include reduced gradient, feasible direction, and sequential linear and quadratic programming methods (Ref 1, 2, 3, 4, 5). In CAE-based design optimization, efficient algorithms are desired because each iteration requires one or more computationally expensive numerical simulations. Higher-order algorithms are generally more efficient, that is, they require fewer iterations; however, higher-order derivatives may be impractical to evaluate. First-order methods are typically used in CAE-based design optimization because they require far fewer function evaluations than zero-order methods and avoid the Hessian evaluations required for second-order methods. Reference 4 provides further guidance for algorithm selection when solving unconstrained and linearly and nonlinearly constrained optimization problems.

Re fe r e n ce s cit e d in t h is se ct ion

1. R.T. Haftka and Z. Gürdal, Elements of Structural Optimization, 3rd ed., Kluwer Academic Publishers, 1992 2. G.N. Vanderplaats, Numerical Optimization Techniques for Engineering Design: with Applications, McGraw-Hill, 1984 3. D.G. Luenberger, Linear and Nonlinear Programming, 2nd ed., Addison-Wesley, 1984 4. P.E. Gill, W. Murray, and M.H. Wright, Practical Optimization, Academic Press, 1981 5. E.J. Haug and J.S. Arora, Applied Optimal Design, John Wiley & Sons, 1979 6. W. Stadler, Natural Structural Shapes of Shallow Arches, J. Appl. Mech. (Trans. ASME), June 1977, p 291298 7. S. Adali, Pareto Optimal Design of Beams Subjected to Support Motions, Comput. Struct., Vol 16 (No. 1-4), 1983, p 297-303 8. DOT v4.20-DOC v1.30 User's Manuals, Vanderplaats Research and Development, Inc., Colorado Springs, CO, 1995

D e sign Opt im iza t ion Douglas E. Sm it h, Ford Mot or Com pany

Com pu t e r - Aide d- En gin e e r in g- Ba se d Opt im a l D e sign A general framework for CAE-based optimal design is shown in Fig. 3. In CAE analysis, the response of a system (e.g., the displacement in a vehicle structure) is computed using a numerical simulation. While these results are extremely helpful in determining the state of the current design, they do not indicate what changes are required when design criteria are violated.

Fig. 3 CAE analysis and CAE design process

In CAE design, the simulation software is included in a loop that iteratively updates the initial design to satisfy design criteria. A CAE simulation is performed on the design, which is followed by a computation of the performance measures and the sensitivity of the performance measures with respect to the design parameters. The optimization algorithm then computes a new design, and the process is continued. To effectively integrate a CAE simulation package into an optimization environment, particular attention must be given to the simulation program, the design parameterization, describing the desired product or process attributes in terms of mathematical statements that form the optimization problem, selection of an optimization algorithm, and performing efficient and accurate design-sensitivity analyses. N u m e r ica l Sim u la t ion

Numerical simulation packages exist that are capable of modeling many physical phenomena involving complex material models, a variety of boundary conditions, and quite arbitrary geometries. These programs take the design definition as input and evaluate the performance measures of interest (see the articles "Mechanism Dynamics and Simulation," "Finite Element Analysis," and "Computational Fluid Dynamics" in this Volume). Most simulation codes solve partial differential equations by using the finite element method (Ref 9), or some other suitable discretization scheme. In linear structural systems under static loading, for example, the governing differential equations are discretized and assembled to form a system of linear algebraic equations of the form:

Ku = f

(Eq 4)

where u is the displacement at discrete locations in the model (e.g., nodes in a finite element analysis), K is the stiffness matrix, and f contains the applied forces. It is of primary importance that the numerical simulation be robust and accurately represent the physical structure or system being designed. Additionally, because the numerical simulation must be fully automated, leading-edge simulation methods that require significant user interaction such as manual mesh adaptations may not be suitable for design optimization. Furthermore, the accuracy of the numerical result must be maintained over the entire design space. Recall that here merely the model is optimized and not the actual physical product. An optimal design based on an inaccurate simulation may not actually be the best design and it may violate important constraints, or both. Computer-aided engineering optimal design is not immune to the old saying "garbage in, garbage out." D e sign Pa r a m e t e r iza t ion The design variables in a CAE-based optimization can parameterize any quantity that serves as input to the numerical simulation. This includes material properties such as density, modulus, or viscosity; boundary conditions such as applied loads or displacements; element properties such as plate thicknesses or beam cross sections; and node point locations. In structural optimization, a distinction is often made between sizing design variables and shape design variables. This distinction has evolved primarily as a result of implementing optimization algorithms with numerical simulation codes and has little to do with the optimization algorithm itself. Recall that optimization algorithms merely take numerical values of the design variables and performance measures as input and generate an updated design, regardless of the design parameter representation in the numerical simulation. This distinction, however, plays a significant role when transforming the design parameter data into inputs for the numerical simulation and when performing design-sensitivity analysis. Sizin g D e sign Pa r a m e t e r s. A sizing design parameter can be thought of as one that does not alter the location of

nodal locations in the numerical model. Material properties, boundary conditions, and element properties (such as a bar cross section or plate thickness) are all sizing design parameters. Including these parameters in the optimization process is often quite straightforward because modified values are easily updated in the numerical simulation input files. Sh a pe D e sign Pa r a m e t e r s. Shape design parameters describe the boundary position in the numerical model and thus define nodal locations. A simple shape parameterization may define the coordinates of a single node point location (which is usually not recommended). Alternatively, adjusting a shape design variable may require that the entire numerical simulation model be remeshed. Implementing shape design variables is often more complex than that for sizing variables because the relationship between a shape parameter and each of the node locations must be specified prior to each optimization iteration. Two approaches are commonly used in shape optimization: geometry-based mesh parameterization and design basis vectors. Ge om e t r y- Ba se d M e sh Pa r a m e t e r iza t ion . In this approach, nodal locations are related to higher-level geometry

data such as surface-control points or fillet radii through an automatic mesh generator. The approach has been used with mapped meshes and free meshes (Ref 10, 11, 12). Geometric-based parameterizations are well suited for integration with parametric solid modelers and are quite attractive because the optimal design is described with respect to realistic physical quantities such as hole diameters or length dimensions. The primary disadvantage is that the mesh generator must be included as part of the function and gradient evaluation process to generate new meshes for each optimization iteration. Additionally, the initial numerical simulation mesh must be generated in terms of the shape parameters, which may be a formidable task for large complex models.

Th e Re du ce d- Ba sis Appr oa ch . The reduced-basis method starts with a base configuration with a distinct mesh

topology (i.e., the element layout and connectivity), which remains fixed during the optimization (see e.g., Ref 2). The mesh is then distorted during the optimization to form the optimal shape. New nodal coordinates are computed from:

(Eq 5)

where X and Xo are the current and original nodal coordinates, respectively, n is the number of shape parameters, and bk and Vk are the kth shape parameter and design basis vector, respectively. Each basis vector, representing the design velocity (Ref 13) Vk = Xk - Xo, is of length equal to the number of nodes in the finite element model and relates the motion of each nodal coordinate to the design variable bk. Note that bk = 0, k = 1,2,. . ., n gives the initial design. Numerous methods have been used to generate the design basis vectors (Ref 2, 14, 15), and any procedure that produces linearly independent nodal perturbations may be used. New mesh shapes are efficiently computed with the reduced-basis approach; however, care must be taken to ensure that mesh distortion does not degrade the numerical solution. Figure 4 from Ref 15 illustrates the reduced-basis approach for an automotive lower-control arm with five basis shapes. The optimal design is a linear combination of the initial shape and the basis shapes that minimizes mass subject to stress constraints.

Fig. 4 Basis shapes for st ruct ural shape opt im izat ion of an aut om ot ive lower cont rol arm . ( a) I nit ial design. ( b) Opt im al design. ( c) Five basis shapes of cont rol arm m odel wit h arrows t hat show t he locat ion and direct ion of m esh dist ort ion. Source: Ref 15

Sizin g Pa r a m e t e r s ve r su s Sh a pe Pa r a m e t e r s. From the above definition, it is obvious that material properties

and boundary conditions are sizing parameters; however, model geometry variables may or may not be sizing parameters depending on how they are represented in the numerical model. The thickness of a platelike structure, for example, can be parameterized by either a shape or a sizing design parameter. A sizing design parameter can be used to parameterize the element thickness property when plate elements are used in the analysis. Alternatively, when solid brick elements are used to discretize the geometry through the plate thickness, a change in thickness repositions nodal locations. In the latter

case, thickness would not be a sizing parameter. The same is true for beam-type structures whose cross-sectional properties are often represented by area or moment of inertia element constants. Opt im iza t ion Pr oble m For m u la t ion The formulation of the optimization problem often defines the success or failure of a CAE-based design optimization. Even with the most accurate numerical simulation and the best optimization algorithm, the success of the optimization may be in jeopardy if Eq 1 is not properly posed. The objective function and constraints must represent the important performance measures in the product or process design. For example, formulating a structural optimization may merely require the minimization of mass subject to stiffness and stress constraints. However, defining the optimization problem to design a casting operation may not be as straightforward. Care must always be taken to guarantee that all important constraints are included in the optimization. D e sign Se n sit ivit y An a lysis As mentioned above, descent algorithms use design-sensitivity information to compute the optimal design. The design sensitivities (or design derivatives) quantify the relationships between design parameters and design-performance measures. Computing design sensitivities with respect to each design parameter must be performed accurately and efficiently so that the CAE-optimization process is feasible. Fin it e D iffe r e n ce Appr ox im a t ion s. Often the design sensitivity of the function F with respect to the design variable bi is evaluated by the forward finite difference approximation as:

(Eq 6) where

bi is a zero vector with the exception of the ith location that contains

bi.

Significant disadvantages of the finite difference method exist when it is used with CAE analysis tools, namely, computational expense and lack of accuracy. Performance measures and thus the system response must be evaluated N + 1 times to compute the design sensitivity with respect to each of the N design variables. Computer-aided-engineering models for industrial applications typically have thousands of degrees of freedom, often rendering the finite difference method impractical for optimal design because numerous expensive numerical simulations may be prohibitive. Additionally, when F is nonlinear in the design variable bi, the finite difference approximation depends on the perturbation size bi. When bi is too large, discretization errors occur, and when bi is too small round-off error due to limits in machine precision corrupts the sensitivity calculation. Small but nonzero sensitivities are particularly susceptible to round-off error. Accuracy may be gained at the expense of computational resources by using double precision calculations or central differencing. An a lyt ica l D e sign - Se n sit ivit y An a lysis. Analytical approaches for sensitivity computations avoid costly perturbation methods by differentiating the governing equations of the system with respect to the design parameters (Ref 13, 16). Here only steady-state solution methods are considered. Note that a performance measure in the optimization problem may be an explicit function of the design parameters b or it may depend on the response u, which is implicitly dependent on b through Eq 4. In this case, the performance measure F can be rewritten as:

F(b) = F(u(b), b)

(Eq 7)

where both the implicit and explicit dependence of the performance measure F on the design b is exposed. Assuming sufficient smoothness, the design sensitivity of F with respect to the design variable bi, i = 1,2,. . ., N is calculated from:

(Eq 8) where F = {dF/db}T. The first term in Eq 8 addresses the implicit dependence of F on the design b and the last term quantifies the explicit dependence of F on b. For example, the mass of a structure does not depend on the displacement

response u so that only F/ b is nonzero. Alternatively, when the displacement at a node is the performance measure, F/ b = 0, and the design sensitivity only has an implicit contribution. The explicit derivatives F/ u and F/ bi are readily available once the design engineer parameterizes the design and defines the performance measures. The difficulty in evaluating dF/dbi in Eq 8, however, arises from the presence of the implicit response sensitivity du/dbi, which is defined through the discretized governing equations (see e.g., Eq 4). Therefore, to compute dF/dbi, the implicit response derivative du/dbi must be evaluated using the direct differentiation method or eliminated from Eq 8 with the adjoint method (see e.g., Ref 13, 16). Th e D ir e ct D iffe r e n t ia t ion M e t h od. In the direct differentiation method, a pseudo problem is formed for each design

parameter by differentiating Eq 4 with respect to each bi, which after rearranging gives:

(Eq 9) Thus computing the response sensitivity du/dbi amounts to solving an alternative system of equations that resembles the original analysis of Eq 4. Note that the pseudo problem of Eq 9 must be performed for each bi where the pseudo load dK/dbi u + df/dbi replaces the load vector f in Eq 4 and the computed response u in Eq 4 becomes the pseudo response du/dbi. The design-sensitivity computation for dF/dbi then follows from Eq 8 where a simple vector dot product and vector addition are performed for any number of performance measures F. Th e Adj oin t Va r ia ble M e t h od. In the adjoint variable method, the implicit response derivative du/dbi in Eq 8 is

eliminated by first solving the adjoint problem:

(Eq 10)

for the adjoint variable vector

and then evaluating the design sensitivity dF/dbi as:

(Eq 11) One adjoint variable vector is computed for each performance measure F by assembling the adjoint load F/ u and solving the alternative system of Eq 10 that again resembles Eq 4. The design sensitivity dF/dbi is then evaluated with a simple vector dot product computation and a vector addition for each design variable as shown in Eq 11. Se le ct ion a n d Use of M e t h ods. In contrast to the finite difference method, both the direct differentiation and adjoint

methods are efficient and accurate. For example, when the inverted stiffness matrix K-1 (or its transpose K-T) has been stored, the implicit response sensitivity du/dbi and the adjoint variable vector are efficiently computed from Eq 9 and 10, respectively. Furthermore, when the same discretization method is used in the analysis and the sensitivity analysis, the resulting sensitivities are exact for the numerical problem being considered. Additionally, even though the two methods enjoy quite different derivations, they give identical results (Ref 17). In fact, the same explicit sensitivities (i.e., F/ u, F/ bi, dK/dbi, and df/dbi) are required for both calculations. The choice of using one method over the other is an efficiency issue that depends on the optimization problem. When the number of performance measures (including the objective function and all of the constraints) exceeds the number of design variables N, the direct differentiation method is more efficient. Conversely, when N exceeds the number of performance measures, the adjoint variable method is preferred (Ref 16). Analytical approaches to design-sensitivity analysis are far superior to the brute force finite difference method, especially for large models or when the original simulation is either nonlinear or transient. However, they must be fully integrated into the simulation program to be effective, which will likely be a lengthy implementation and require access to the simulation source code. Variations of these analytical approaches exist, for example, natural frequency and mode shape sensitivities, the semianalytical approach, and continuum sensitivity analysis, which may be used to more efficiently compute design sensitivities in other design problems (see e.g., Ref 1, 12, 13, 18). Automatic differentiation methods

have also been developed that simplify the design-sensitivity computations by differentiating Fortran programs used in the CAE analysis (Ref 19). M e a su r in g t h e Pe r for m a n ce of t h e Opt im iza t ion The numerical simulations that evaluate each design in a CAE-based optimization are often complex and computationally expensive. Because the correct optimal design needs to be obtained in a reasonable amount of time, the performance of the optimization process, which includes the algorithm itself and the simulation software, should be considered. The performance of the optimization process may be measured in terms of robustness, accuracy, and efficiency. The robustness of a CAE-based optimization can be defined as the ability of the code to satisfy the convergence criteria within a reasonable number of optimization iterations (Ref 20). To achieve robustness, the optimization problem must be well posed and must employ a robust optimization algorithm. The optimization is required not only to converge, but it must converge to the correct design. As discussed previously, the accuracy of the CAE simulation must ensure that the optimal simulation results are the optimal reality. However, an accurate CAE model alone does not guarantee that the desired design has been achieved. Incorrect gradients corrupt the design process and improper optimization problem definitions may miss important constraints. In the latter case, what is asked for is achieved, but it may not be what is wanted. The CAE optimization process should be tested on problems with known solutions, and for more complex problems sound engineering judgement should always be used when assessing an optimal design. One of the most important performance measures of a CAE optimization is the computational effort required to obtain the optimal design. The total number of function evaluations and the number of optimization iterations are both key indicators regarding the success of the optimization process. The final arbiter that often determines if the optimization is efficient enough, however, is the total amount of time required to obtain an optimal design. Schedules and computer resources may render a CAE-based optimization infeasible even though relatively few function evaluations are needed. Soft w a r e Pa ck a ge s for CAE Opt im a l D e sign Commercial programs exist, particularly in structural optimization, which integrate simulation, optimization, and designsensitivity analysis into a single design environment. It is beyond the scope of this article to discuss details of the optimization programs available today; however, Ref 1 discusses some optimization software, including structural optimization programs. Additionally, an extensive discussion of programs for structural optimization developed in Europe (Ref 21) and by North American government agencies and commercial suppliers (Ref 22) is available elsewhere. Outside of structural optimization, fully integrated optimization packages are rare. To optimize designs that are governed by other physical phenomena, the CAE designer must integrate the appropriate numerical analysis and optimization software. It is common practice to wrap an optimization algorithm around a numerical analysis package that solves the particular problem of interest. For these applications, it is often not fruitful to set out to develop an optimization algorithm or even to write a program that implements an existing algorithm because general computer codes are available that allow the user a variety of choices (see e.g., Ref 8, 23, 24, 25). Function evaluations must avoid user intervention so that the preprocessing, simulation, postprocessing, and design sensitivity analyses must be fully automated. When finite differencing is used for sensitivity evaluation, the integration of one's favorite analysis code with an existing optimization subroutine is straightforward. Alternatively, an extensive implementation may be needed if analytical sensitivities are required. Appr ox im a t e Opt im iza t ion Te ch n iqu e s When the number of design variables N is small (e.g., less than 10), approximate optimization techniques (also referred to as response surface methods) reduce the number of expensive CAE simulations when compared to direct optimization using finite difference gradients (Ref 2, 26). Approximate techniques use simple expressions such as (Ref 2):

F(b)

F(b0) +

F (b0) · b +

b · H(b0) b

(Eq 12)

to approximate the objective function and the constraints about b0 where F represents any performance measure in the optimization problem of Eq 1. In Eq 12, F is the gradient vector, H is the Hessian matrix, and b = b - b0. These

approximations give an overall view of the design space and can be used to smooth otherwise discontinuous performance measures. Additionally, response surface models simplify the process of integrating several design codes in multidisciplinary optimization (Ref 26, 27). The approximate optimization process starts by analyzing multiple designs using CAE simulations to generate design sets. Each design set consists of objective and constraint function values corresponding to a particular design b. Approximations such as in Eq 12 are then fit to the available design information, and an optimization is performed using these simple approximate functions rather than expensive CAE simulations. The optimal design for the approximate problem is then evaluated with a CAE simulation, and the approximation is updated using this new response data. The iterative process continues until convergence is achieved. The application of approximation methods varies based on the choice of optimization algorithm, the method for selecting designs for full CAE simulation, and the sequence of updating terms in Eq 12 (Ref 2, 8, 26, 28). For example, the number of design sets Nd that are required to define Eq 12 is L = 1 + N + N(N + 1)/2. For Nd < L, only a partial fit of Eq 12 is possible, whereas when Nd > L, a least-squares fit is commonly performed to determine the best approximate response surface for the data sets that are available. Weighting is often used to place more emphasis on designs nearest the one with the best overall performance. Designs for CAE simulation may be chosen near the nominal design b0 using finite difference perturbations that results in a second-order Taylor series expansion for Eq 12. This selection of designs may render an approximation that is only good near b0 and poorly represents the rest of the design space. Alternatively, designs may be randomly distributed throughout the design space, making Eq 12 merely a quadratic polynomial approximation to the design (Ref 2), which may be good at predicting overall trends but possibly miss local features. Furthermore, care must be taken when selecting candidate designs b for CAE simulation because linear independence between the design sets must be maintained.

Re fe r e n ce s cit e d in t h is se ct ion

1. R.T. Haftka and Z. Gürdal, Elements of Structural Optimization, 3rd ed., Kluwer Academic Publishers, 1992 2. G.N. Vanderplaats, Numerical Optimization Techniques for Engineering Design: with Applications, McGraw-Hill, 1984 8. DOT v4.20-DOC v1.30 User's Manuals, Vanderplaats Research and Development, Inc., Colorado Springs, CO, 1995 9. F.L. Stasa, Applied Finite Element Analysis for Engineers, CBS College Publishing, 1985 10. J.A. Bennett and M.E. Botkin, Ed., The Optimal Shape: Automated Structural Design, Plenum, 1986 11. K.H. Chang and K.K. Choi, A Geometric-Based Parameterization Method for Shape Design of Elastic Solids, Mech. Struc. Mach., Vol 20 (No. 2), 1992, p 215-252 12. N. Olhoff, E. Lund, and J. Rasmussen, Concurrent Engineering Design Optimization in a CAD Environment, Concurrent Engineering: Tools and Technologies for Mechanical System Design, E.J. Haug, Ed., Vol F108, NATO ASI Series, Springer-Verlag, 1993 13. E.J. Haug, K.K. Choi, and V. Komkov, Design Sensitivity Analysis of Structural Systems, Academic Press, 1986 14. A.D. Belegundu and S.D. Rajan, A Shape Optimization Approach Based on Natural Design Variables and Shape Functions, Comput. Meth. Appl. Mech. Eng., Vol 66, 1988, p 87-106 15. R.J. Yang, A. Lee, and D.T. McGeen, Application of Basis Function Concept to Practical Shape Optimization Problems, Struct. Optimiz., Vol 5, 1992, p 55-63 16. D.A. Tortorelli and P. Michaleris, Design Sensitivity Analysis: Overview and Review, Inverse Probl. Eng., Vol 1 (No. 1), 1993, p 71-105 17. A.D. Belegundu, Lagrangian Approach to Design Sensitivity Analysis, J. Eng. Mech., Vol 111 (No. 5), 1985, p 680-695 18. A. Chattopadhyay and N. Pagaldipti, A Multidisciplinary Optimization Using Semi-Analytical Sensitivity Analysis Procedure and Multilevel Decomposition, Comp. Math. Appl., Vol 29 (No. 7), 1995, p 55-66 19. C. Bischof and A. Griewank, ADIFOR: A Fortran System for Portable Automatic Differentiation, Fourth

AIAA/NASA/ISSMO Symposium on Multidisciplinary Analysis and Optimization, American Institute of Aeronautics and Astronautics, 1992, p 433-441 20. G. Subbarayan, D.L. Bartel, and D.L. Taylor, A Method for Comparative Performance Evaluation of Structural Optimization Codes: Parts I and II, Design Engineering Advances in Design Automation, Vol 14, American Society of Mechanical Engineers, 1988, p 221-232 21. P. Duysinx and C. Fleury, Optimization Software: View from Europe, Structural Optimization: Status and Promise, M.P. Kamat, Ed., American Institute of Aeronautics and Astronautics, 1993 22. E.H. Johnson, Tools for Structural Optimization, Structural Optimization: Status and Promise, M.P. Kamat, Ed., American Institute of Aeronautics and Astronautics, 1993 23. "Fortran Subroutines for Mathematical Applications," IMSL, Inc., Houston, TX, 1991 24. W.H. Press, S.A. Teukolsky, W.T. Vetterling, and B.P. Flannery, Numerical Recipes in Fortran, Cambridge University Press, 1992 25. J.J. Moré and S.J. Wright, Optimization Software Guide, Society for Industrial and Applied Mathematics, 1993 26. G. Venter, R.T. Haftka, and J.H. Starnes, Jr., Construction of Response Surfaces for Design Optimization Applications, Sixth AIAA/NASA/ISSMO Symposium on Multidisciplinary Analysis and Optimization, American Institute of Aeronautics and Astronautics, 1996, p 548-564 27. K.D. Longacre, J.M. Vance, and R.I. DeVries, A Computer Tool to Facilitate Cross-Attribute Optimization, Sixth AIAA/NASA/ISSMO Symposium on Multidisciplinary Analysis and Optimization, American Institute of Aeronautics and Astronautics, 1996, p 1275-1279 28. P. Kohnke, ANSYS User's Manual for Revision 5.1, Vol 4, Swanson Analysis Systems, Inc., 1994 D e sign Opt im iza t ion Douglas E. Sm it h, Ford Mot or Com pany

St r u ct u r a l Opt im iza t ion Structural optimization enjoys a rich history of advances dating back to the 18th century and possibly further if one considers the beam designs by Galileo Galilei (Ref 29). Early optimization techniques searched for design functions that described the properties of the structure much as the analysis methods of that time solved for displacements and stresses analytically. With the advent of high-speed computers in the late 1950s and early 1960s, numerical solution methods such as the finite element method and numerical optimization algorithms emerged. The analytical solutions and analytical optimizations were replaced by numerical discrete solutions and numerical optimization methods, opening the field of what is now considered structural optimization. The aircraft, aerospace, and automotive industries have been the primary drivers for structural optimization. Here, the principal focus has been on weight reduction because weight affects many attributes of the design including cost, performance, and fuel economy. Constraints are often imposed to maintain durability and vibration characteristics. Much of the developments in sizing and shape design, design sensitivity analysis (Ref 13), and more recently, topology design (Ref 30) have been pursued to support structural optimization. A structural optimization example is shown in Fig. 5 (Ref 12). A turbine wheel is designed for minimum mass moment of inertia while satisfying constraints on the maximum von Mises stress. Forces acting on the wheel include centrifugal loads from the turbine blades (not shown) and thermal loads from the hot gases that drive the wheel. By adjusting the shape of the wheel structure in the optimization, the mass moment of inertia and the maximum stress are reduced by 12.5% and 35.0%, respectively.

Fig. 5 St ruct ural opt im izat ion t hat m inim izes t he m ass m om ent of inert ia of a t urbine wheel design wit h const raint s on Von Mises st ress. ( a) Geom et ry of t urbine wheel ( axisym m et ric view) . ( b) Finit e elem ent m esh of original t urbine geom et ry. ( c) I nit ial geom et ry: Von Mises st ress dist ribut ion. ( d) Opt im al geom et ry: Von Mises st ress dist ribut ion. Source: Ref 12

Re fe r e n ce s cit e d in t h is se ct ion

12. N. Olhoff, E. Lund, and J. Rasmussen, Concurrent Engineering Design Optimization in a CAD Environment, Concurrent Engineering: Tools and Technologies for Mechanical System Design, E.J. Haug,

Ed., Vol F108, NATO ASI Series, Springer-Verlag, 1993 13. E.J. Haug, K.K. Choi, and V. Komkov, Design Sensitivity Analysis of Structural Systems, Academic Press, 1986 29. V.B. Venkayya, Introduction: Historical Perspective and Future Directions, Structural Optimization: Status and Promise, M.P. Kamat, Ed., American Institute of Aeronautics and Astronautics, 1993 30. M.P. Bendsøe, Optimization of Structural Topology, Shape, and Material, Springer-Verlag, 1995 D e sign Opt im iza t ion Douglas E. Sm it h, Ford Mot or Com pany

Em e r gin g Te ch n ologie s Computer-aided-engineering-based design optimization has evolved along the classical path of first being researched by universities and government agencies, then demonstrated with special-purpose programs and finally, to some extent, marketed by commercial software vendors. There are still, however, hurdles that must be overcome for widespread use of the technology, and numerous extensions and enhancements are still to be discovered. Below are a few emerging research areas in the optimization community. Topology Opt im iza t ion Topology optimization, a form of structural optimization, computes the best geometric configuration or layout of a structure (Ref 30, 31). It is most beneficial early in the design cycle when least is known about the design and when design changes are easily accommodated. Results from a topology optimization help determine the placement and number of holes and/or stiffening members, and therefore provide a good starting point for further structural refinement via sizing and shape optimization. The goal of topology optimization is to determine where to place material and where to leave the structure void of material. Two topology optimization approaches have emerged, one based on material homogenization and the other on material density. In the homogenization method (Ref 32), the dimensions and orientation of a void in the material of each element are adjusted as a function of the design variables. Effective material properties are then computed by smearing or homogenizing over each element so that its stiffness and density take on values between those of the void and the solid. The density method (Ref 33, 34) is often considered an engineering approach where the modulus and density of each element are parameterized as functions of the element's design parameter. The element's density is chosen to be a linear function of it's design parameter, and the relationship between it's elastic modulus and this parameter is typically of higher order. This implementation tends to drive the material to become either solid or void by penalizing intermediate designs. The homogenization method enjoys a rigorous mathematical derivation and has been applied to design composite materials. Homogenization requires three design variables per element for planar structures, which carries with it an undesirable computational burden for practical applications, especially if composites are not to be considered in the final design. The density method works well for isotropic materials, is easily implemented using commercial finite element programs, and accepts multiple objectives and constraints. It also requires only one design variable per element. Figure 6 (Ref 35) illustrates the use of the homogenization approach of topology design to optimize the material distribution in a frame structure. The first natural frequency is maximized subject to a constraint on the total mass of the structure. In this analysis, the first eigenvalue was increased by 910% with the addition of 66.6% of material distributed in an optimal manner within the frame structure.

Fig. 6 Topology opt im izat ion exam ples of a fram e st ruct ure. ( a) I nit ial fram e st ruct ure showing design dom ain. ( b) First t hree nat ural m ode shapes. ( c) Opt im al m at erial dist ribut ion from t opology opt im izat ion as com put ed and aft er filt ering t he t opology im age t o sim plify t he st ruct ural layout . Source: Ref 35

M a t e r ia ls Pr oce ssin g Opt im iza t ion Advances in numerical methods for materials processing analysis have recently made it possible to optimize both a structural component and its manufacturing process. Optimal design has been applied to metal forging (Ref 36), casting (Ref 37), and welding (Ref 38), and to polymer injection molding and sheet extrusion (Ref 39). Formulation of the optimization problem statement for these applications is critical because all key physical process attributes must be properly represented in the objective function and constraints. Design parameters and performance measures are often unique to the particular processing operation. Furthermore, additional complexity exists because the numerical simulations for these processes are typically nonlinear and transient and often require a coupled simulation to accurately model the interaction between different physical phenomena. Computations can be quite extensive and require accurate and efficient analytical design sensitivities so that the design problem is tractable. Morthland et al. (Ref 37) optimized the riser design for a hammer casting using design optimization and solidification simulations. Design variables parameterized the shape of the riser shown in Fig. 7, and design sensitivities were computed using a transient direct method. The riser volume was minimized to reduce manufacturing costs. In the same analysis, constraints on the freezing times of the elements labeled in Fig. 7(a) were defined to enforce directional solidification in the section of the hammer casting leading to the riser. The riser volume was decreased by 42% in the optimization, and the liquid region near the end of the solidification process was moved from the hammer to the riser (thus avoiding porosity in the hammer itself).

Fig. 7 Opt im al riser design for m et al cast ing. ( a) Com put ed solidus isochrones on t he sym m et ry plane for t he init ial infeasible design. Also shown are t he elem ent s specified t o enforce direct ional solidificat ion. ( b) Cast ing regions wit h liquid aft er 1565 s for t he original ( infeasible) and opt im al designs. Source: Ref 37

M u lt idisciplin a r y Opt im iza t ion Multidisciplinary optimization has recently received much attention in areas such as aerospace, aircraft, and automotive design. Various physics, each of which may require a unique analysis program and, most probably, analytical expertise, must be merged to compute the performance measures and complex couplings that are characteristic of these designs (Ref 40). Aircraft design, for example, must include the interactions between disciplines such as aerodynamics, dynamics, aerolastic stability, structures, controls, and acoustics (Ref 18). Key issues that must be addressed when performing multidisciplinary design are computational cost, convenience of implementation, data exchange, integration across various design and analysis methods and possibly across engineering organizations, and the use of black-box analysis tools. Several approaches have been proposed to solve multidisciplinary optimization problems (Ref 41). All-at-once procedures combine two or more disciplines by addressing each design criterion in a single optimization problem statement similar to that in Eq 1. This approach may be prohibitive for largescale applications and is difficult to integrate in moderate or large engineering organizations. Alternatively, multilevel decomposition methods have been developed that replace the large single optimization problem with several subproblems and a coordination problem that is used to maintain the couplings between the subproblems (Ref 42). These methods are designed to promote disciplinary autonomy while achieving interdisciplinary compatibility and are most useful when couplings between the various disciplines can easily be broken or neglected (Ref 41). One implementation of multidisciplinary optimization for automotive applications employs design sensitivity analysis information to approximate changes in attribute responses (Ref 27). The method considers design attributes such as noise, vibration, and harshness (NVH), durability, safety, vehicle dynamics, and manufacturing, which must all be satisfied in the design process. The method accepts data in the form of design sensitivities and function values from independent analyses. Thus, analysis results from different engineering organizations are easily merged in order to perform the multidiscipline optimization. Globa l Opt im iza t ion Usin g St och a st ic Se a r ch M e t h ods Stochastic search algorithms compute globally optimal designs in a manner that is quite different from the mathematical programming methods discussed previously. Two stochastic search methods, genetic algorithms and simulated annealing, mimic processes found in nature. Genetic algorithms (Ref 43) are based, in principle, on Darwin's theory of survival of the fittest and evolve generations of designs with bias given to the best members in a population. Simulated annealing techniques (Ref 44) are quantitatively based on the behavior of particles in thermal equilibrium where a gradual lowering of the temperature causes atoms to assume a lower, more orderly, energy state analogous to an optimal design.

One advantage of using stochastic search methods is that they are readily adapted to new problems because only function evaluations are required; that is, design sensitivities are not needed. These search algorithms often possess a mechanism for accepting less optimal designs during the search process, which provides a means to escape from a local optimum and find the global minimum. Furthermore, both continuous and discrete design variables can be used in the optimization. The computational requirements for stochastic searches is usually not as great as that for random (zeroth order) searches. However, they often require hundreds of function evaluations making them impractical for optimization problems that rely on computationally expensive CAE simulations. Examples of stochastic searches in structural optimization are given in Ref 45. Con clu sion s Over the past 30 years, numerical optimization and CAE have individually made significant advances and have together been developed to impact the way engineering components and systems are designed. This article has attempted to give a brief overview of current CAE-based optimal design and provide a starting point for further study and/or implementation of these methods. While issues still remain and advanced research and development continue, practical design applications indeed demonstrate that optimization is no longer a subject restricted to the researchers.

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18. A. Chattopadhyay and N. Pagaldipti, A Multidisciplinary Optimization Using Semi-Analytical Sensitivity Analysis Procedure and Multilevel Decomposition, Comp. Math. Appl., Vol 29 (No. 7), 1995, p 55-66 27. K.D. Longacre, J.M. Vance, and R.I. DeVries, A Computer Tool to Facilitate Cross-Attribute Optimization, Sixth AIAA/NASA/ISSMO Symposium on Multidisciplinary Analysis and Optimization, American Institute of Aeronautics and Astronautics, 1996, p 1275-1279 30. M.P. Bendsøe, Optimization of Structural Topology, Shape, and Material, Springer-Verlag, 1995 31. G.I.N. Rozvany, M.P. Bendsøe, and U. Kirsch, Layout Optimization of Structures, Appl. Mech. Rev., Vol 48 (No. 2), Feb 1995, p 41-119 32. M.P. Bendsøe, A. Díaz, and N. Kikuchi, Topology and Generalized Layout Optimization of Elastic Structures, Topology Design of Structures, M.P. Bensøe and C.A. Mota Soares, Ed., Vol 227, NATO ASI Series E: Applied Sciences, Kluwer Academic Publishers, 1993 33. G.I.N. Rozvany, M. Zhou, and T. Birker, Generalized Shape Optimization without Homogenization, Struct. Optimiz., Vol 4, 1992, p 250-252 34. R.J. Yang and C.H. Chuang, Optimal Topology Design Using Linear Programming, Comput. Struct., Vol 52 (No. 2), 1994, p 265-275 35. A. Díaz and N. Kikuchi, Solutions to Shape and Topology Eigenvalue Optimization Problems Using a Homogenization Method, Int. J. Numer. Methods Eng., Vol 35, 1992, p 1487-1502 36. H. Cheng, R.V. Grandhi, and J.C. Malas, Design of Optimal Process Parameters for Non-Isothermal Forging, Int. J. Numer. Methods Eng., Vol 37, 1994, p 155-177 37. T.D. Morthland, P.E. Byrne, D.A. Tortorelli, and J.A. Dantzig, Optimal Riser Design for Metal Castings, Metall. Mater. Trans., Vol 26B (No. 4), Aug 1995, p 871-885 38. P. Michaleris, D.A. Tortorelli, and C.A. Vidal, Analysis and Optimization of Weakly Coupled Thermoelastoplastic Systems with Applications to Weldment Design, Int. J. Numer. Methods Eng., Vol 38, 1995, p 1259-1285 39. D.E. Smith, D.A. Tortorelli, and C.L. Tucker, Optimal Design and Analysis for Polymer Extrusion and Molding, Sixth AIAA/NASA/ISSMO Symposium on Multidisciplinary Analysis and Optimization, American Institute of Aeronautics and Astronautics, 1996, p 1019-1024 40. R.J. Balling and J. Sobieszczanski-Sobieski, Optimization of Coupled Systems: A Critical Overview of Approaches, AIAA J., Vol 34 (No. 1), 1996, p 6-17 41. R.T. Haftka, J. Sobieszczanski-Sobieski, and S.L. Padula, On Options for Interdisciplinary Analysis and Design Optimization, Struct. Optimiz., Vol 4, 1992, p 65-74 42. J. Sobieszczanski-Sobieski, Structural Sizing by Generalized, Multilevel Optimization, AIAA J., Vol 25

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42. J. Sobieszczanski-Sobieski, Structural Sizing by Generalized, Multilevel Optimization, AIAA J., Vol 25 (No. 1), 1987, p 139-145 43. D.E. Goldberg, Genetic Algorithms in Search, Optimization and Machine Learning, Addison-Wesley, 1989 44. S. Kirkpatrick, C.D. Gelatt, and M.P. Vecchi, Optimization by Simulated Annealing, Science, Vol 220, 1983, p 671-680 45. P. Hajela, Stochastic Search in Structural Optimization: Genetic Algorithms and Simulated Annealing, Structural Optimization: Status and Promise, M.P. Kamat, Ed., American Institute of Aeronautics and Astronautics, 1993 D e sign Opt im iza t ion Douglas E. Sm it h, Ford Mot or Com pany

Se le ct e d Re fe r e n ce s • • • • • • • • • •

M.P. Bensøe and C.A. Mota Soares, Ed., Topology Design of Structures, Vol 227, NATO ASI Series E, Applied Sciences, Kluwer Academic Publishers, 1993 J. Cea and E.J. Haug, Ed., Optimization of Distributed Parameter Structures, Vol II, NATO ASI, Sijthoff and Noordhoff, 1981 R.T. Haftka and Z. Gurdal, Elements of Structural Optimization, 3rd ed., Kluwer Academic Publishers, 1992 E.J. Haug, K.K. Choi, and V. Komkov, Design Sensitivity Analysis of Structural Systems, Academic Press, 1986 E.J. Haug, Ed., Concurrent Engineering: Tools and Technologies for Mechanical System Design, Vol F108, NATO ASI Series, Springer-Verlag, 1993 M.P. Kamat, Ed., Structural Optimization: Status and Promise, American Institute of Aeronautics and Astronautics, 1993 C.A. Mota Soares, Ed., Computer Aided Optimal Design: Structural and Mechanical Systems, Vol F 27, NATO ASI Series, Springer-Verlag, 1987 G. Rozvany, Ed., Structural Optimization, Springer-Verlag, 1989-date G. Rozvany, Ed., Optimization of Large Structural Systems, Vol I, II, III, NATO/DFG ASI, 1991 G.N. Vanderplaats, Numerical Optimization Techniques for Engineering Design: with Applications, McGraw-Hill, 1984

D im e n sion a l M a n a ge m e n t Tole r a n ce An a lysis

and

Mark Craig, Variat ion Syst em s Analysis, I nc.

I n t r odu ct ion DIMENSIONAL MANAGEMENT is an engineering methodology combined with computer-simulation tools used to improve quality and reduce cost through controlled variation and robust design. The objective of dimensional management is to create a design and process that "absorbs" as much variation as possible without affecting the function

of the product. Dimensional management accomplishes this through optimal selection of datums, feature controls, assembly methods, and assembly sequence. Companies that design and produce multicomponent assemblies must effectively manage the cost, timing, and quality related to manufacturing and assembly variation if they are to survive in an increasingly competitive world market. Dimensional management differs from the traditional design practice of assigning tolerances to drawings prior to release. In traditional design practice, the design engineer assigns tolerances on component parts just before drawing release. The values of the tolerances might be based on past experience, best guess, or anticipated manufacturing capability. In some cases a one-dimensional tolerance stack-up analysis is performed to determine if an assembly limit would be exceeded when adding the tolerances in any given one-dimensional direction. This approach is still commonly used in many engineering organizations today. The potential limitations of this traditional approach include: • • •

The tolerances are assigned at the end of the design cycle where it is too late to make any changes in the design and/or assembly tooling to help desensitize the design and process to variation. One-dimensional tolerance analysis does not represent the three-dimensional geometries of the component parts and assemblies. The manufacturing, assembly, quality, and supplier team may not be involved during the initial design phase of the product.

The dimensional management process provides an advantage over this traditional approach by combining threedimensional tolerance analysis and measurement systems within an integrated computer-aided engineering (CAE) system. D im e n sion a l M a n a ge m e n t a n d Tole r a n ce An a lysis Mark Craig, Variat ion Syst em s Analysis, I nc.

D im e n sion a l M a n a ge m e n t Pr oce ss The dimensional management process follows six basic steps as described below. St e p 1 : D e fin e Pr odu ct D im e n sion a l Re qu ir e m e n t s. The first step in the process is to clearly define the

dimensional requirements of the product early in the concept-design phase. This step involves formally documenting the assembly variation targets for the entire product (i.e., assembly specifications). These targets can be identified based on product functional requirements (i.e., seal pressure, leaks, interference concerns, etc.), competitive benchmarks (i.e., fit and finish of competitive products), or quality improvement goals determined from known build problems of an existing, similar product. The product dimensional requirements must be "signed off" by all members of the product team including design, manufacturing, assembly, quality, and suppliers. This process ensures that all members of the product team have a consistent understanding of the product build requirements. St e p 2 : D e t e r m in e Pr oce ss a n d Pr odu ct Re qu ir e m e n t s. During the design phase of a product, there are only

three ways to determine if the product and process, as designed, meets the dimensional product requirements: (1) Make an educated guess. (2) Build many assemblies using production tools and measure the results. (3) Use a computer simulation model to simulate the design and build of the product including the three-dimensional geometry, geometric dimensioning and tolerancing schemes, assembly method variation, assembly sequence, and any known part deflection or distortion. As previously mentioned, traditional tolerance analysis relies on simple one-dimensional analysis and the "educated guess." Most variation problems are resolved during the prototype building cycle before committing to production tools. This approach lengthens development time. Simulation of the assembly process is another way to determine if the product and process, as designed, meets the dimensional product requirements. The simulation should predict the amount of assembly variation that is expected to occur and the major contributors to the variation.

St e p 3 : En su r e Accu r a t e D ocu m e n t a t ion . Dimensional management product documentation includes: geometric

dimensioning and tolerancing schemes, assembly methods, locating schemes, and statistical process control (SPC) checkpoints. The objective is to make sure that the product specifications used as input to the simulation in step 2 are the same specifications documented in step 3 and are fully understood and used by those individuals performing steps 4 to 6. St e p 4 : D e ve lop a M e a su r e m e n t Pla n t h a t Va lida t e s Pr odu ct Re qu ir e m e n t s. The simulation performed in step 2 proves that the design, manufacturing, and assembly process as specified meets all dimensional product requirements. The next step in the process is to develop a measurement plan that validates these requirements.

The measurement plan must directly reflect the documented tolerancing schemes and assembly methods represented in the simulation. The features identified as critical in the simulation need to be measured using the same datum reference and feature constraints as defined in the analysis. This approach determines if manufacturing capability achieves actual design intent. If there is a "disconnect" between the measurement plan and the analysis, the actual measurement data cannot be used to determine if the product variation is acceptable to meet final assembly product objectives. For example, if an organization specifies tolerances as three-dimensional zones, and the assembly is analyzed using one- or two-dimensional tolerance analysis, and then the component parts are checked according to three-dimensional zones, there is no indication if the tolerance zones specified are really required to meet overall product assembly requirements. At the completion of step 4 one should be confident that the product will build within the functional specifications identified in step 1 if: • • •

The simulation model was created correctly (i.e., no errors). The design and process as specified contains all identifiable sources of variation. The manufacturing capabilities achieve design intent.

In almost all cases the design and process as specified do not contain all sources of variation. Design and build process documentation typically provides a tolerance specification on component parts and a final build specification as the only sources of variation. Part deflection, weld distortion, gravity effects, fixture variation, and so forth are typically not included in the released design specifications, yet in actual production these variation contributors exist. The dimensional management process helps identify these additional sources of variation and provides a method to capture and quantify their effect on functional requirements. St e p 5 : Est a blish M a n u fa ct u r in g Ca pa bilit ie s ve r su s D e sign I n t e n t . The measurement plan is next

implemented, and capability studies are performed on component parts to ensure component variation meets design intent. Assembly tool validation and verification are also performed to determine if the assembly method variation (between-component variation) meets design intent. St e p 6 : Est a blish Pr odu ct ion - t o- D e sign Fe e dba ck Loop. In those areas where manufacturing or assembly capability does not meet design intent, the actual production variation data can be input into the simulation model to:

• • •

Determine if the "out-of-spec" conditions adversely affect the overall product function. Evaluate several designs or process changes to help reduce the effect that each of the "out-of-spec" conditions has on product function. Provide quantification of additional sources of variation that exist in the process that should be specified in the design and process intent documentation.

Since the simulation model comprehends the interactive effects of geometry, assembly methods, and measurement schemes, the model can provide a tool to help ensure that effort is put forth in those areas that will directly improve the overall product.

D im e n sion a l M a n a ge m e n t a n d Tole r a n ce An a lysis Mark Craig, Variat ion Syst em s Analysis, I nc.

Ge n e r a l Re qu ir e m e n t s a n d Sim u la t ion An organizational structure that supports concurrent engineering, computer-aided-engineering simulation tools, and a dimensional management process directly integrated with the existing design-and-build processes are all necessary ingredients. This activity cannot be a part-time job for the design engineer. It requires a dedicated resource to work with the entire product team from concept to production to ensure continuity. A three-dimensional simulation model is an important consideration in a dimensional management process. Without a simulation model, there seems to be no practical way to determine if the design and process meet the build objectives. Also, just by following the steps necessary to create a simulation model, the product team identifies potential problem areas in the assembly early in the design phase of the product. The creation of a simulation model also forces crossfunctional communication as described below. A fu n ct ion a l fe a t u r e pr odu ct m ode l contains the three-dimensional surface features on the component parts in an

assembly defined by the functional geometric dimensioning and tolerancing (GD&T) scheme (Fig. 1). Features are related to one another according to the GD&T datum references and feature control constraints (i.e., form, orientation, location, and size). These features are the same features that are important for assembly methods, manufacturing process, fixturing, and SPC checking. Identifying them up front in the design process is extremely valuable for the overall product team. (Additional information about GD&T, including a definition of symbols used, is provided in the article "Documenting and Communicating the Design" in this Volume.)

Fig. 1 Funct ional feat ure m odel

Com pon e n t pa r t va r ia t ion is simulated based on the three-dimensional features and constraints defined in a functional feature product model (Fig. 2). Each feature is allowed to vary, within its defined zone, according to the feature

control constraints established by GD&T. Simulating the variation of the component parts using the same threedimensional geometry and constraints defined by GD&T provides the link between the component part, downstream measurement scheme, and the assembled product dimensional requirements.

Fig. 2 Com ponent part variat ion

Asse m bly m e t h od va r ia t ion (or between-component variation) is defined according to how the component parts are assembled (Fig. 3). For example, fixtures, bolt-to-hole clearances, weld sequence, clamp sequence, and gravity effects all should be comprehended in the model and have a major influence on desensitizing the design to variation. The dimensional management process requires the manufacturing assembly engineers to work with the design team, early in the design phase, to determine optimal locating schemes for controlling variation and reducing the cost of manufacturing.

Fig. 3 Assem bly m et hod variat ion

M e a su r e m e n t Sch e m e s. Critical assembly measurements (product dimensional requirements) are defined during

concept design. This provides the product team with a well-defined variation goal and provides the quality group with an early indication of what will be required for prototype and production measurement activities. Asse m bly se qu e n ce s are simulated to take into account the effects of subassemblies, assembly method order, and

fixtures. Defining the assembly sequence basically defines the process flow through the plant. D im e n sion a l M a n a ge m e n t a n d Tole r a n ce An a lysis Mark Craig, Variat ion Syst em s Analysis, I nc.

Con clu sion s A three-dimensional simulation model is often key in dimensional management. Several tolerance analysis simulation packages are commercially available. These packages are integrated with existing CAE systems to provide a direct link between the three-dimensional product design model and the functional feature product model. Traditional tolerance analysis focuses on determining if the tolerances assigned on a completed design meets assembly objectives. The tolerances assigned did not relate to the actual manufacturing process, and the tolerance analysis did not reflect the assembly methods. Dimensional management focuses on creating a robust design that can absorb as much variation as possible without affecting product function. The dimensional management process ensures that the design and process, as specified, meets objectives and that there is a coordinated measurement plan to help resolve any manufacturing build problems during production. Dimensional management is required to achieve continuous improvement in product quality, cost, and designto-production cycle time. Real concurrent engineering cannot exist without this process. D im e n sion a l M a n a ge m e n t a n d Tole r a n ce An a lysis Mark Craig, Variat ion Syst em s Analysis, I nc.

Se le ct e d Re fe r e n ce s •

•

•

•

G.P. Dwyer, Applying the Principles of Dimensional Management to Instrument Panel Systems, International Body Engineering Conference, Interior and Safety Systems Proceedings, Vol 9, International Body Engineering Conference, Ltd., 1994, p 44-48 G.P. Dwyer, Driving Product Design Through Early Implementation of 3-D Tolerance Analysis, International Congress and Exposition, Instrument Panel Design Issues, SP-1068, 950858, Society of Automotive Engineers, Inc., 1995, p 51-102 J. Staif, Dimensional Management Process Applied to Body-to-Frame Marriage, International Body Engineering Conference, Body Design & Engineering Proceedings, Vol 20, International Body Engineering Conference, Ltd., 1996, p 39-43 T. Sweder, Driving for Quality, Assembly, Chilton Publications, Sept 1995, p 28-33

D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

I n t r odu ct ion REDUCING THE TIME TO MARKET for new products is increasingly important. The engineering process can be very complex, involve many people, and require spending large sums of money. Producing a high-quality product initially and maintaining that quality level is more important than ever. The purpose of this article is to describe how documentation supports the process of bringing a product to market, who uses the information, and how it serves as a key form of communication. Volumes have been published on basic drafting principles and techniques, and overall, industry standards have been very effective. Clear and complete documentation is imperative. Properly creating and organizing the necessary documents can greatly facilitate the product development process. Even the simplest part or product requires geometric definition in some form of drawing and documentation, to bring it from concept to production. However, the documentation needed goes well beyond a few drawings. A company's reputation for delivering a quality product depends on how well the design intent is communicated to the necessary people downstream in the process. It is very important to understand exactly what information is required for individual tasks such as fabrication, machining, or assembly. An important early step is to define who is involved in the product development effort. Often, the specific configuration of the product will dictate the kinds of disciplines that will be required. For a particular product, the parties involved might include manufacturing, finance, inspection, stamping, assembly, material control, casting, and machining. Each area has its own specific information needs.

Ack n ow le dge m e n t s The author thanks Sherry Lopez for providing many of the figures and Marshall Mahoney for his technical assistance in preparing this article. D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Ba ck gr ou n d Th e Tr a dit ion a l D e sign Pr oce ss. Product design and its accompanying documentation have been approached many

different ways through the years. Traditionally, the engineering process has been departmentalized and hierarchical (Fig. 1), with separate entities responsible for product-related engineering, drafting, process engineering, tool engineering, and tool design (Ref 1). A formal request process to initiate a new design or change existing drawings has been typically used to organize and track the work in larger organizations. Even though drafting standards have varied greatly among companies, standards are more important than ever and serve to pass on the experience gained from past projects (see the section "Standards" in this article and the article "Designing to Codes and Standards" in this Volume).

Fig. 1 Tradit ional organizat ion st ruct ure for product design and m anufact uring

The classic drafting room was usually quite large and full of drawing boards (Ref 2). It was the place where engineers and draftsmen congregated to develop a new product design. The drawings were created using an artistic approach, and the tools consisted of triangles, compasses, and, most important, pencils. The traditional design process is valid and can result in successful products. However, it has been documented that up to 50% of the drawings created using this approach were flawed (Ref 3). Competitive pressures made it necessary to improve the approach, and new technologies have made this possible. Team work, concurrent engineering philosophies, and communication of the overall scope help all involved ultimately achieve their goals. In industry, all must share the

same goals if successful products are to be achieved. The benefit of complete documentation is fewer errors at the hardware stage and less variation in interpretation of the design intent. Th e Com pu t e r - Aide d D e sign En vir on m e n t . There has been an evolution in the tools used by designers. The

advances in the tools have generated new potential in the way information is formatted and communicated to others. Electronic forms of documentation have become the primary media in recent years. However, changes in the process to maximize the benefits of this technology have not progressed as quickly as many believe they should. Computer-aided design (CAD) information can take a variety of forms. The key issue to address is what information is required by the various activities involved and how it can best be communicated to those requiring it. Too often, practitioners continue to adhere to the requirements of the historical design process: numerous drawings, prototypes, and physical tests. The acronym "CAD" too often stands for "computer-automated drafting" instead of "computer-aided design" (Ref 4). A CAD database can contain detailed information about surface topology, contour, size, and location; however, this information generally is not included in a formal drawing format (Ref 5). Generating useful information is a matter of putting oneself in the position of the person who is going to use it. One good example is a machining drawing. Envisioning the information needs of the machinist may help the designer decide how the part should be dimensioned. This outlook will help determine what data should be used and what machines are required to meet the stated tolerances, surface finishes, and so on. As we examine the documentation issue further, we will better understand the role and benefits of the CAD environment. The two-dimensional (electronic drawings) and three-dimensional (solid models) forms co-exist, with good reason. A mix of information such as wire frame geometry, surface details, solid models, numerical control tool path files, finite element models, and parametric or variational geometry is needed. Spreadsheets, database tools, and file management software also play key roles in the design process.

Re fe r e n ce s cit e d in t h is se ct ion

1. D.F. Eary and G.E. Johnson, Process Engineering for Manufacturing, Prentice-Hall, 1962 2. F.E. Giesecke, A. Mitchell, H.C. Spencer, I.L. Hill, and R.O. Loving, Engineering Graphics, 2nd ed., Macmillan, 1975 3. A. Krulikowski, GD&T Challenges the Fast Draw, Manuf. Eng., Feb 1994 4. A. Mikulec, J. McCallum, B.A. Shannon, and G.A. Vrsek, Powertrain Engineering Tool, FISITA 96 (Conference Proceedings), Fédération Internationale des Sociétés d'Ingénieurs des Techniques de l'Automobile, 1996 5. S. Kalpakjian, Manufacturing Engineering and Technology, 2nd ed., Addison-Wesley, 1992 D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Th e Ove r a ll D e sign Pr oce ss a n d Ge n e r a l D ocu m e n t a t ion Re qu ir e m e n t s The key to a successful design project is to follow a process such as that identified in Fig. 2 (see the article "Overview of the Design Process" in this Volume). Many companies have followed such processes and procedures over the years. While it may seem complex, furnishing complete documentation for such a process is not bureaucratic if the appropriate participants do their part.

Fig. 2 Overview of t he design process and relat ed docum ent at ion requirem ent s

Often, a product design program has several phases and involves designing, redesigning, and refining the product through the creation of several preliminary prototypes. Sound project management is important to ensure that each phase is started on time and that opportunities to overlap tasks are not missed. It can be argued that extensive documentation is not necessary and is just a sign of unneeded overhead. Also, early in a project, time and resources often are limited, and all aspects of the documentation may not be completed. However, failure to adequately capture a critical new product or technology through documentation can be devastating, and poor documentation can result in safety and liability risks. Following is a brief description of the major design phases and corresponding documentation requirements. Con ce pt D e sign . The initial phase of design should focus on the systems-level aspects of the project. The product-

related goals must be clearly understood, and a general feeling for the competitive position of the product is needed. Information on the environment is necessary, as well as the definition of key guidelines and performance specifications. Identification of the appropriate level of detail is needed to ensure that ideas can be communicated without spending too much time or effort on parameters that can wait until the detail design phase, such as general tolerances, machining specifications, and so on. The result of this initial phase is a clear idea of the design, components required, and, generally, the manufacturing process options. Drawings made at this point are the first communication tools used for the project. They must convey the design intent but also expose the design issues and challenges that need to be resolved. A first attempt at determining the cost and competitiveness of the design should also take place at this stage. Because the following phases require more time and labor, it is important to have high confidence in the success of the decisions made in order to continue. The design process tends to filter the various options and refine the chosen concept into a mature design (Ref 6). Additional information is provided in the articles "Conceptual and Configuration Design of Products and Assemblies" and "Conceptual and Configuration Design of Parts" in this Volume. D e t a il de sign focuses on the individual components. The goal of this phase, historically, has been to generate drawings

that can be sent to manufacturing. It is at this point that manufacturing tolerances and full part definition are determined. The document generated is the primary engineering drawing or database that manufacturing will be working from.

The CAD model is becoming the master for much of the component definition, reducing the amount of information historically found on the detail drawing. This is especially appropriate when dealing with complex surfaces and features that would be difficult to describe dimensionally. Typically, the "detailer" is a novice who is guided by a senior member of the design staff. Ch e ck in g is a critical review of the information and documentation generated during the detail design phase. This step ensures the fit and function of the design. Traditionally, checking has been performed by someone not initially involved in the project, who can offer a fresh and objective review of the work done, prior to releasing the job for fabrication. This step is too often passed over to expedite the job, resulting in high cost, last-minute corrections, and modifications to the parts to complete the job. When detailing is done by a less experienced person, checking is especially critical. D e sign Appr ova ls a n d Re le a se . Product design is an evolutionary process, so it is important to record the history of

the project and changes along the way. The title block and revision column on a drawing can detail the history of a component. To ensure that changes are properly implemented, they must be communicated to and agreed upon by everyone involved in the processing of the part. A formalized release process is the proven approach to accomplish these goals. It is often necessary to release information early, in order to obtain cost and delivery estimates. Tracking the document status is important. Some of the things to look for are: • • •

Key names and dates in steps such as release for quote, release for tooling, product engineering approvals, manufacturing approvals, and materials approval Identification of significant or critical characteristics Sourcing information (for heat treating, balancing, special tools, etc.)

Filin g a n d Ar ch ivin g. Ensuring that information is retrievable is extremely important. The issue concerns whether any

undocumented changes can be reproduced, or, if the changes did not perform as expected, whether the component can be returned to the original configuration. The process of storing and retrieving information is complicated today. We are faced with many different formats based on whether the data was created manually (on paper) or electronically. If the information is stored electronically, in what format? Can information stored in different electronic formats be communicated across different CAD platforms? In many cases, paper versions or two-dimensional raster images of computer-generated data are stored for easier access. A variety of coding schemes are used in the industry that typically distinguish the various types of information and where to find it. Database technology has enhanced this segment of the business significantly.

Re fe r e n ce cit e d in t h is se ct ion

6. D.G. Ullman, Issues Critical to the Development of Design History, Design Rationale, and Design Intent Systems, Design Theory and Methodology, ASME, 1994 D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Type s of D ocu m e n t a t ion Documentation must be focused toward explaining a specific task. The techniques presented in this article follow a general design process; differing situations will require adjusting the process accordingly. The following sections identify the key features that most documents must define and what users should be able to determine from these documents. Historically, the challenge in blueprint reading has been to visualize the part, having only two-dimensional views. Now, electronic tools can represent a three-dimensional image, thereby significantly improving that first step. In either case, drawings are typically done in orthographic projection, with additional views added as required to clearly define the part.

The drawing allows people from many different disciplines to understand and contribute to the ultimate goal of producing the part or product. The following sections describe the typical documents created to develop and produce a product. Pr odu ct Spe cifica t ion s. Concept design is the most unstructured point in the design process, and initial product

specification documentation can come in a wide variety of forms. The simplest documentation can be a typed page of the envisioned product objectives and a list of general parameters, such as cost, size, performance, and/or production volume. The addition of any historical and benchmark information can be helpful. Reinventing the wheel or falling short of the competition are real concerns. Becoming too specific at this stage and requiring too many or unrealistic constraints can cause problems for the project. One must define the project with sufficient detail to enable engineering and design efforts to move forward, but accommodate the project launch as quickly as possible. At this stage, there is often great pressure to cut corners. Examples of preliminary product specifications are provided in the article "Conceptual and Configuration Design of Products and Assemblies" in this Volume. En gin e e r in g sk e t ch e s are produced by the design engineer or a senior designer/draftsperson. The design will go

through several iterations, and the goal of these preliminary drawings is to narrow the options and communicate the objectives of the design (Fig. 3). Frequently, this stage of the design process is carried out in a team environment, depending on the magnitude of the project. The assembly or systems-level aspects are the primary concern of this stage. The engineering sketches serve as important tools for design and redesign.

Fig. 3 Exam ple of a drawing produced in t he prelim inary design phase

Pr odu ct e n gin e e r in g a ssu m pt ion s docu m e n t s provide a first look at the specifications for the individual

components that will be required in the design. These documents should be considered a systems-level communication

tool; spreadsheets are well suited for this type of communication (Fig. 4). A preferred format is a list of the basic assumptions and constraints for each component. This document can be used to define the general bounds of the design, and also to clarify peripheral issues such as the need for standard parts, bolts, pins, and other items that will not require redefinition. An assumptions sheet is an important tool for communicating across the organization the scope of the task and objectives for the final product. This document is usually controlled by the responsible engineer and should be considered a working document that will evolve with the design. Its real value comes as a means of sharing the overall design aspects among all of the engineers and designers, keeping them current on issues that might affect their own areas of concern.

Fig. 4 Exam ple of a proj ect assum pt ions dat a sheet

D e sign la you t s are produced by the designers assigned to the project; an example is shown in Fig. 5. Once the general

design direction is set, the specific aspects of the design and environment need to be defined. Design layouts are very important to design personnel and to other personnel involved with the project, such as manufacturing, finance, quality, and rough forming. They are also useful for designers working on systems or components that are either similar to, or interact with, the ones being designed for the current project. The design layout serves as the main document to keep all participants on the same track.

Fig. 5 Exam ple of a design layout

In the CAD environment, design layouts are critical for ensuring that components fit together properly. These layouts can be very effective with the use of solid models, in either a two-dimensional format for presentation and discussion, or a three-dimensional isometric shaded image that can help others not as closely related with the project to grasp the design fundamentals. Many CAD systems have powerful systems-level tools that allow the user to design and investigate clearances in the same environment. D e t a il dr a w in gs provide the information that is used to make the parts. All of the information required by a fabricator

should be documented in a manner that leaves very little room for misinterpretation. Using CAD, a wealth of information can be extracted from the model. It is important to consider what information might be redundant or counterproductive to add. On the other hand, it is extremely important to ensure that all involved with the detail information can access that data and use it. All of the different areas must be considered; for example, if the quality office needs locations of some critical holes but nothing else, they may want those identified on the drawing even though the machinist did not (Ref 7). A basic detail drawing includes: • • • •

Standard views (and layers in CAD)--plan, front, side, etc.--the objective is to use conventional views to allow familiarization with the part (Fig. 6) Auxiliary views, sections, enlarged views, and isometric views--to aid in the understanding of specific details and clarify the design--will usually have special designations Dimensions--for machining information Tolerances--dimensional limits--to ensure the appropriate part integration

Fig. 6 Exam ples of st andard views in det ail design drawings

The approach to the detail drawing can vary (Fig. 7). Some flexibility is necessary to accommodate the unique drawing types. Formats and sizes are typically established by company standards. Other approaches, such as charting dimensions, can benefit organization and consistency (see the section "General Dimensioning Guidelines" in this article). Charting the coordinates as well as the size and tolerance information cleans up the drawing significantly. Charting will probably become increasingly common, because this is an easy step to automate.

Fig. 7 Exam ples of det ail drawings

Bill of M a t e r ia ls. The entire team is responsible for keeping records that are accurate and current. An important step in the organization of the project is accomplished with a document usually called the "bill of materials" or "parts list" (Fig. 8). This document is used to track the parts in an assembly or project and plays a significant role in information retrieval long after the engineering phases are completed. In its most basic form, the bill of materials lists the part number, part name, and quantity for each part in the complete assembly. Its utility is often increased by adding procurement tracking and special assembly instructions. The generation of this document is an excellent application for spreadsheets; however,

for simple assemblies, the bill of materials can be part of the assembly drawing. New aids have been embedded into some CAD packages to allow assembly of the CAD models and to track the components of these assemblies in a bill of materials.

Fig. 8 Exam ple of a bill of m at erials

Spe cia lize d D r a w in gs. So far, this article has addressed the aspects of the design related to designing the product and machining the part. Other drawings or CAD models are often required to accomplish the task of fully defining the finished product. While it is important to ensure that there is no redundancy in the project, additional forms of information may be required to more clearly communicate the design intent.

A common situation occurs when a casting or forging is required. A "rough form" drawing is helpful for documenting the part prior to any final machining. While it requires additional time to create, it removes possible ambiguity on complex parts, where trying to distinguish between cast and machined features can be difficult. Ideally, a CAD solid model can more completely define the rough form, and computed-aided tools can then be used to finish machine the part. Assembly drawings are also common tools for clarifying the design intent. These drawings are especially important in cases where the design includes several components and the assembly sequence must be described. Also, where it is difficult to control tolerances, special instructions and part specifications can be identified on the assembly drawing. Examples are select fit parts (batches of like parts with slight size variations) or shims--the use of which is determined at the time of assembly. Additional documents used to clarify the design are worthwhile but will add to the maintenance tasks as the design matures. Re vision s, Re cor d Ch a n ge s, a n d En gin e e r in g Ch a n ge N ot ice s. Initiating, tracking, and transmitting changes to

the design accurately is very important and can be costly if not handled properly. A formal request system and related documentation is important to ensure that the project flows smoothly and that a change does not negatively affect some unexpected area of the product. Several issues should be considered when a change to a product is required. On a drawing it is relatively easy to make changes. However, the impact on manufacturing can be significant. Design changes can be categorized as record changes, in-process changes, and replacement or new designs. Re cor d ch a n ge s are those changes that have no manufacturing cost implications. Usually, they are required to correct a

mistake on a drawing that was discovered after the drawings were released, but before any parts were made. They are also additions or changes that clarify some aspect of the documented design.

I n - pr oce ss ch a n ge s are those changes required to solve a product- or manufacturing-related problem. These changes

do not affect part interchangeability. Expenses are incurred in the change. Re pla ce m e n t

and

new

de sign s

are major changes. They generally change product application and

interchangeability of parts. It is important to evaluate how the product will be affected by any changes required. It may be wise to consult manufacturing personnel, asking them to make an assessment and to forge an implementation plan.

Re fe r e n ce cit e d in t h is se ct ion

7. L.J. McBee, Creating Views, Sections, and Explosions with CAD/CAM, Computer-Aided Design, Engineering, and Drafting, R.M. Dunn and B. Herzog, Ed., Auerbach, 1986 D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Un de r st a n din g a n d Usin g D e sign D ocu m e n t a t ion Layout and assembly drawings promote understanding of the product function and its environment. The detail drawing focuses on construction and manufacturing. It must convey the needs of product engineering, materials engineering, and manufacturing (manufacturing encompasses rough forming, machining, and inspection). This section describes the detailed requirements of engineering and manufacturing and how drawings are used as a communication medium. Pr odu ct - Re la t e d I n for m a t ion . Product design and systems-level engineers typically focus on the issues that affect

the performance and function of the parts. The performance of the final product and aspects related to the assembly will be dictated by the design layouts and detail drawings. Design layouts are extremely important in tracking the environment for the subsystem or assembly. Particularly when dealing with subassemblies and other parts in the environment, issues of interaction are critical. Functional tolerances for fit, durability, cleanliness, and assembly sequence must be clearly conveyed. From the drawings and specifications generated, product engineers must be able to understand the following: • • • • • • •

Size Fit (relationships between mating components) Function and performance (acceptance test criteria) Cost and complexity Weight Product safety issues Inspection requirements

M a t e r ia l spe cifica t ion s affect product function, manufacturing feasibility, and planning. Key issues include basic

material properties and factors such as required heat treatment or surface finish. This information is usually contained in the title block or note column. It is important to examine the heat treatment specification, to determine if a specification such as case hardening results in the need for a special machining sequence. M a n u fa ct u r in g At t r ibu t e s. It is important for the designer to understand the manufacturing process and include

related information in the product definition. The specific information needed varies, depending on the operations used. Especially critical are rough forming operations such as casting, forging, or stamping--operations where the process requirements affect the shape of the part. The most common manufacturing-related features that appear on a drawing are draft and parting line definitions. The information required for all the operations specified will have a significant effect on the product definition. Minimum corners, fillets, and finish machine stock requirements are also specified on the detail drawing.

Ge n e r a l D im e n sion in g Gu ide lin e s. Reading a detail drawing can be overwhelming. Among the features found on a

drawing are references to milled faces, drilled holes, and threading operations. Viewing the part drawing from the perspective of someone who must perform finishing operations on the rough workpiece can be helpful. Several manufacturing handbooks give direction in terms of the tolerances to be shown on a drawing and possible manufacturing approaches. Additional features that are typically found on part drawings include special manufacturing locators to set up the part for clamping, manufacturing, and inspection. There are three primary approaches to dimensioning a component. The traditional approach (Fig. 9a) is to use linear dimensions, with arrowheads and leader lines (Ref 8). This is the preferred approach if manual manufacturing methods are being used, as in prototyping, where features are being addressed one at a time. The approaches shown in Fig. 9(b) and 9(c) are more appropriate for numerical programming processes. Zero line dimensioning (Fig. 9b), sometimes referred to as datum line dimensioning, has become very popular. This method has occasionally been the source of confusion in the interpretation of the tolerances. The common mistake is to assume that the part tolerances are related to these datum lines, but it is important to remember that zero lines are dimensioning aids only and that datum lines for feature tolerances could be different. The third approach (Fig. 9c) also can utilize the traditional linear dimensions, or zero lines, but it uses tables for the coordinate data and hole specifications (hole charts). Hole charts can be a good way to visually clean up a complex drawing. Reference dimensions, though considered redundant information, are often appropriate in clarifying particular features.

Fig. 9 Approaches t o dim ensioning on engineering drawings. ( a) Linear dim ensioning. ( b) Zero line dim ensioning. ( c) Zero line dim ensioning wit h coordinat e dat a and hole specificat ions

Tole r a n ce s a n d Tole r a n ce St a ck s. Tolerances are initially developed to ensure that the part will fit and function as

intended. Most often the initial tolerances are selected by referring to past projects of a similar nature, applying the bestknown information about that project to the job at hand. Manufacturing engineers use this tolerance information to decide how best to process the job. This includes what machines to use, how to set up and locate the workpiece in the machines, and what sequence of manufacturing operations to use. Tolerances for the part can be found in a variety of locations on the part drawing, including in a general note in the title block, in the notes column, and in the dimensions as a limit or using the ANSI geometric dimensioning and tolerancing (GD&T) notation (Fig. 10).

Fig. 1 0 Geom et ric dim ensioning and t olerancing sym bols and charact erist ics. Source: Ref 9

The variety of approaches to tolerance analysis are beyond the scope of this article (see the article "Dimensional Management and Tolerance Analysis" in this Volume). However, it is important to remember that the aim is to ensure functionality and manufacturability. The tolerance stacks (the cumulative effects of tolerances in an assembly) can

provide insight into the product performance and process capability, and all possible sources of variation (dimensional, tooling, heat treatment, surface quality, etc.) must be taken into account.

Re fe r e n ce s cit e d in t h is se ct ion

8. W. Hammer, Blueprint Reading Basics, 2nd ed., Industrial Press, 1996 9. P.F. Ostwald and J. Muñoz, Manufacturing Processes and Systems, 9th ed., John Wiley & Sons, 1997, p 574 D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

St a n da r ds Ge om e t r ic dim e n sion in g a n d t ole r a n cin g has evolved to become the most significant tool for designers to communicate uniformly with the manufacturing world. Throughout this article, the importance of uniformity has been stressed, but it is in the area of dimensioning and tolerancing that it is most difficult to achieve. The completeness of the ASME/ANSI standard has allowed many major companies to abandon the maintenance of separate internal standards, which has proven beneficial to external suppliers as well. Caution must be used to avoid building a specification too complex for the machinist or inspector to understand, too difficult to measure without expensive gaging, or, worse yet, not really applicable to the situation. A company's specific manufacturing practices must dictate the standards that are used by the design group (Ref 10). The GD&T standards define the following:

• • • •

Datum references: A primary surface or feature, used as a location reference for other features Basic dimensions: The exact theoretical location for a feature (the tolerance for such a feature is usually in the feature description) Positional tolerances: Feature tolerances pertaining to location Form tolerances: Feature tolerances related to the shape, runout, or size variation

The most widely used GD&T standard is ANSI Y14.5M. I SO 9 0 0 0 . With suppliers playing a key role in the product development and manufacturing processes, standards for

passing complete and consistent data is another step toward ensuring the highest possible levels of quality. ISO 9000 is a series of standards that define the criteria for a functional quality assurance system. Maintenance and control of documents is a key component of the ISO 9000 standards and other similar standards. Loca l or Cor por a t e St a n da r ds. An important goal in design should be to have consistent processes across the company. The ability to attain a level of familiarity with the documentation within the engineering community improves quality and efficiency. Local standards ensure a common language across the various departments in a company that work in related areas, such as powertrains or body structures in an automotive company. Furthermore, the ANSI GD&T specification sometimes allows two or three options in handling certain situations. Local standards can define which option is best suited for the company's manufacturing process.

Typically, key process engineering specifications are required for tests, heat treatment, and screw threads. Local standards for these items help reduce variation within a family of parts, and they also can reduce the amount of written information needed on the part drawing (Ref 1).

Re fe r e n ce s cit e d in t h is se ct ion

1. D.F. Eary and G.E. Johnson, Process Engineering for Manufacturing, Prentice-Hall, 1962

10. L.W. Foster, Geo-Metrics II, 2nd ed., Addison-Wesley, 1984 D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Con clu sion s The complexity of the various types of engineering documentation can be overwhelming. However, each of the many pieces of information is necessary and reveals its usefulness at some stage of the design process. By the time the detail drawings are prepared, the design has matured and parts are ready to be machined. Below is a step-by-step approach that should be helpful in understanding a design based on its detailed documentation:

1. Visualize the physical part, using the views provided on the detail drawing. 2. Review and understand the correlation between the detail drawings and the parts list. 3. Refer to assembly drawings to understand the intended function of the component and how parts are integrated into the system. 4. Observe the drawing scale used and take time to read the general and/or special notes, instructions, and specifications. 5. Review the material specification and determine the process route for the initial form (e.g., bar stock, casting, forging). 6. Look for the key locating features. 7. Examine dimensions and tolerances to understand the functional requirements and manufacturing strategy. 8. Look for the approvals and revision history.

The key to a successful product development project is communication. All of the parties involved in a project must understand how designs are evolving, and all must be able to make their contributions in a way that brings the product to market quickly. The new electronic environment is helping to generate information more efficiently and more completely. New tools will continue to help designers perform many of these functions concurrently and across greater geographic distances. D ocu m e n t in g a n d Com m u n ica t in g t h e D e sign Gary Vrsek, Ford Research Laborat ory

Re fe r e n ce s 1. 2. 3. 4.

5. 6.

D.F. Eary and G.E. Johnson, Process Engineering for Manufacturing, Prentice-Hall, 1962 F.E. Giesecke, A. Mitchell, H.C. Spencer, I.L. Hill, and R.O. Loving, Engineering Graphics, 2nd ed., Macmillan, 1975 A. Krulikowski, GD&T Challenges the Fast Draw, Manuf. Eng., Feb 1994 A. Mikulec, J. McCallum, B.A. Shannon, and G.A. Vrsek, Powertrain Engineering Tool, FISITA 96 (Conference Proceedings), Fédération Internationale des Sociétés d'Ingénieurs des Techniques de l'Automobile, 1996 S. Kalpakjian, Manufacturing Engineering and Technology, 2nd ed., Addison-Wesley, 1992 D.G. Ullman, Issues Critical to the Development of Design History, Design Rationale, and Design Intent Systems, Design Theory and Methodology, ASME, 1994

L.J. McBee, Creating Views, Sections, and Explosions with CAD/CAM, Computer-Aided Design, Engineering, and Drafting, R.M. Dunn and B. Herzog, Ed., Auerbach, 1986 8. W. Hammer, Blueprint Reading Basics, 2nd ed., Industrial Press, 1996 9. P.F. Ostwald and J. Muñoz, Manufacturing Processes and Systems, 9th ed., John Wiley & Sons, 1997, p 574 10. L.W. Foster, Geo-Metrics II, 2nd ed., Addison-Wesley, 1984 7.

Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

I n t r odu ct ion RAPID PROTOTYPING is a relatively new field in manufacturing that involves techniques/devices that produce prototype parts directly from computer-aided design (CAD) models in a fraction of the time required using traditional techniques. The prototypes are used as form models, to check the touch and feel of the part; as fit models, to verify geometry and alignment of the part in its intended application; and in some cases as function models assembled onto a working mechanism to test the ability of the part under design to perform its intended duty. The prototyped object can also be a mold or a pattern for secondary techniques that produce preproduction or production tooling. Rapid prototyping techniques generally produce prototypes by decomposing a three-dimensional CAD model into parallel cross sections. Typically, each cross section is constructed atop the previous cross section, building the part layer by layer from layers that are 0.1 to 0.2 mm (0.004 to 0.008 in.) thick. The layers are bonded together either before or after cutting or as a natural consequence of layer formation. The construction materials available for these techniques include photopolymerizable or thermoplastic resin, paper, wax, and metal or ceramic powder. Secondary operations expand the list of available materials to include castable metals and certain forms of composites.

Ack n ow le dge m e n t s Many of the figures were prepared by the students of the Manufacturing Processes Laboratory at the University of Utah: Don Brock, Jen-Ping Mu, Cheol Lee, Andrei Novac, Ravi Vellanki, and Zetian Wang. Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

Ge n e r a l D e scr ipt ion The traditional product realization process requires iteration to create a successful design for a manufactured product. Engineers use design and analysis skills to produce an initial design that is then prototyped and tested. If problems are identified during testing, the engineers return to the design and analysis stage. This iterative loop is at the core of successful engineering design. Using traditional techniques, prototyping and testing are usually expensive and time consuming. As a result, engineers have developed improved modeling and analysis techniques in an effort to catch errors before the physical testing begins. An extreme example of this is seen in the aerospace industry where designs are developed very carefully, using extensive simulation and analysis. The resulting design is often allowed one or no iterations before the design is frozen. When iteration is performed, the engineers often are not allowed to change anything that would require replacing the prototype tooling.

While the value of iteration in the design process is recognized, the cost of iteration (in both time and money) often restricts the number of iterations allowed. This is the impetus for the concept of rapid prototyping (RP). In concept, an RP device is a three-dimensional version of a printer. The designer sends an electronic representation of a three-dimensional object to the device, and an accurate physical representation of the object is created without requiring operator skill or interaction. Actual commercial RP devices typically produce parts with dimensional variations of at least ±0.13 mm (±0.005 in.) and generally require significant skill from the operator to produce prototypes with this accuracy. Rapid prototyping devices allow the designer to complete a design iteration loop significantly faster than was traditionally possible by reducing the time and cost required to produce a prototype. Pa r a digm s for Pa r t Cr e a t ion . Rapid prototyping goes by a variety of names, each preferred by different people with different goals for the process. The term rapid prototyping seems to include any method as long as it is fast. Some use the term solid freeform fabrication (SFF), which implies that the part is not necessarily a prototype and focuses on the ability of the device to build any desired shape. Numerical control (NC) machining techniques would not be considered SFF, because there are some restrictions on the shapes that can be produced using NC. The term auto fab seems to include any automated process, but would not include processes with significant manual components. Desktop manufacturing is usually used when referencing small, desktop numerically controlled devices that automate standard machining techniques. Layered manufacturing refers to the fact that most techniques discussed here build parts from thin parallel layers.

The search for and discussion of an appropriate term for these techniques is an effort to define a new paradigm for part creation. Although there are many ways to categorize manufacturing techniques, one way they can be discussed is in terms of the mechanics of the part formation process. In these terms, the manufacturing processes fall into four categories (Fig. 1): • • • •

Subtractive processes Forming processes Additive processes Hybrid processes

Most traditional manufacturing processes fall into one of the first two categories. Parts are produced by either removing excess material from a blank (milling, sawing, drilling, etc.), or by forcing raw material to take the shape of a mold (forging, injection molding, casting, etc.).

Fig. 1 Four m anufact uring paradigm s. ( a) Subt ract ive process. ( b) Form ing process. ( c) Addit ive process. ( d) Hybrid process

Most RP techniques fall into one of the last two categories. For additive processes, parts are produced by adding material to create a part. Some of the RP techniques are considered hybrid processes because they require an initial subtractive process to cut each layer from a sheet, but then additively bond the layers together to create the part. Rapid prototyping devices are generally relatively expensive (often in the range of $60,000 to $500,000). Typically only larger companies can justify the expense of purchasing an RP device. For this reason many prototypes are produced by service bureaus that receive part files by modem and send out the RP prototypes in a day or two. In either case, the time required to produce a prototype is reduced to less than a week. The example later in this section demonstrates the utility and savings that can be achieved through the use of RP. Typica l Ra pid Pr ot ot ypin g Pr oce ss ( St e r e olit h ogr a ph y) . The first commercial RP device was introduced in

1987 based on a patent by Charles Hull (Ref 1). The process, termed stereolithography, is described here to outline the general principles of RP. The process can be broken into three subphases:

• • •

Preprocessing Building the part Postprocessing

Preprocessing includes mathematical manipulation of the electronic model in preparation for the physical construction. Postprocessing covers operations required to produce the finished prototype after the basic shape has been created. Pr e pr oce ssin g. A designer first develops a three-dimensional solid model of an engineering part. This model may be

created in a variety of different CAD softwares (Fig. 2a). The solid model is converted to an industry standard file format called the stereolithography format (or a file extension, *.stl). This conversion is necessary so that the RP device can communicate with the various CAD packages. To convert to the *.stl format, the solid model is tessellated with triangular tiles as shown in Fig. 2(b). Conversion to *.stl format is performed by a module in the CAD software and is a standard function of nearly every CAD software capable of producing solid models. The *.stl file is created and delivered to the RP device. This delivery can be done physically on a disk, over a modem, or through the Internet. The computer controlling the RP device reads the *.stl file and slices the model into a series of parallel cross sections as shown in Fig. 2(c). The cross sections are spaced at a thickness equal to the dimension of the layers that will be created.

Fig. 2 Preprocessing for RP begins wit h t he creat ion of a solid m odel, which is convert ed t o st ereolit hography form at and t hen sliced int o parallel cross sect ions. Source: Ref 2

Bu ildin g t h e Pa r t . At this point the electronic cross-section data must be physically created. While the preprocessing is similar for all RP techniques, the part construction processes are quite varied (Fig. 3). A schematic of the stereolithography process is shown in Fig. 4. Using stereolithography, the part is constructed by curing liquid photopolymer resin in a vat. The photopolymer resin consists of plastic monomer and oligomer combined with a photoinitiator. When light of the appropriate wavelength exposes the liquid, it rapidly polymerizes into a solid. A movable platform immersed in the photopolymer vat is initially positioned just at the liquid surface and then indexed down into the polymer, incrementing after each layer is created. At each increment of depth a liquid layer of resin forms above the part under construction, and the laser scans the liquid surface tracing out the appropriate cross section of the

part to be built. Where the light exposes the photopolymer, it rapidly solidifies. In order to create the complete cross section, the laser must scan the periphery of the part and crosshatch the interior solid sections. Once a layer is formed, the build platform drops down and a wiper levels the surface of the liquid. This cycle is repeated for each cross section until the top layer of the part is formed. Finally the platform is raised, and the finished part is removed from the device.

Fig. 3 Part s m ade by various RP t echniques. ( a) Car m ade from layers of paper using a cut - t hen-st ack process. ( b) Car cured from liquid phot opolym er using st ereolit hography. ( c) Housing base m ade from t herm oplast ic polyolefin using FDM. ( d) Part invest m ent cast from carbon st eel using a foam plast ic m odel m ade using a cut t hen- st ack process

Fig. 4 Schem at ic of t he st ereolit hography process

Prototypes do not generally sit directly on the build platform during construction, but are supported by a structure that is built along with the prototype. This support is generated automatically by the preprocessing software that creates the support structure as a hollow rectangular grid. This grid provides an interface between the part and the build platform, it provides support for cantilever sections where there is a significant increase in cross section compared with the previous layer, and it prevents the layers from curling or warping during the building process. While other RP processes do not use these rectangular grids for supports, nearly all processes provide support structures that are automatically generated as the part is constructed. Figure 3(b) is an example of a part built using stereolithography. This model car body is a thin-shelled structure with stiffening ribs on the interior. The car was built upside down supported by a rectangular grid structure (see Fig. 5a).

Fig. 5 Model car creat ed using st ereolit hography. ( a) Support st ruct ures before rem oval. ( b) Surface finish result ing aft er rem oval of t he support s

Post pr oce ssin g. Once the part is removed, it is washed with a solvent to remove excess photopolymer from the

surface. The part is placed in a chamber and exposed to ultraviolet (UV) light to ensure that the cure is complete. Any support structures that may have been required are then removed. These operations are specific to stereolithography. Each different RP process has a series of postprocessing operations that are specific to that process. At this point the part has a stepped surface finish (Fig. 5b). This is not unique to stereolithography, but is a result of the layered construction technique, which makes the surface finish depend on the layer thickness. The part may also have surface imperfections caused by removal of the support structures. Parts are often sanded and/or painted to improve the surface appearance, depending on the wishes of the customer.

Ex a m ple : Ele ct r ic Cu r r e n t Se n sor D e sign . This case study, based on the experience of a company that designs and manufactures electric current sensors is given as an example to describe the utility and savings that can be achieved by RP technology. The company (F.W. Bell, a division of Bell Technologies Inc.) is involved in the development of a split core current sensor--a hybrid design using two existing products. The large investment required by such a project could not be justified based only on the twodimensional drawings supplied by the design team. Designers at F.W. Bell (with the help of a product engineering and prototyping services bureau) developed a threedimensional CAD model, taking the ambiguity and miscommunication of part detail typical of two-dimensional drafting out of the design process. In addition, physical models--using a Stratasys Fused Deposition Modeling process (Stratasys Inc., Eden Prairie, MN)--were produced for form, fit, and function evaluation. The models were fabricated using acrylonitrile-butadiene-styrene (ABS) plastic, a material that has properties similar to the polycarbonate considered for production. The design team used the models to identify high-stress areas, to get a concept of the real part, to debug the design, and to perform preliminary electrical tests. A prototype made using fused-deposition modeling (FDM) is shown in Fig. 6.

Fig. 6 Housing for a split core elect ric current sensor was prot ot yped using FDM. Part is hinged t o a m at ing piece, and t he snap fit connect or holds t he fit t ing closed.

The snap fits between the components of the split core sensor were an area of high "stress" for the designers. The highly accurate (±0.005 in. tolerances are typical for the FDM process) ABS parts were snapped in place hundreds of times by F.W. Bell's designers, engineers, sales persons, and potential customers. This allowed them to assess not only the design but also the manufacturing processes required to make the parts. Because the CAD models can be easily modified and the RP service bureau was able to produce the ABS parts literally overnight, several design iterations were produced in a short period of time. This allowed F.W. Bell to try out a multitude of "what-if" scenarios before freezing the design for the development of production tooling. By using ABS models to test design iterations, the company realized cost savings of 60% over the iterative modifications of a production mold, and the time needed to produce the final tooling design was reduced by 70%.

Re fe r e n ce s cit e d in t h is se ct ion

1. M. Burns, Automated Fabrication: Improving Productivity in Manufacturing, PTR Prentice Hall, 1993 2. C.L. Thomas, An Introduction to Rapid Prototyping, Schroff Development Corp., 1995 Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

M a j or Com m e r cia l Pr oce sse s There are a range of processes currently available commercially, either by purchasing a machine, or through service bureaus. Each process uses a distinctly different method for constructing the part layers and, as a result, each process has a unique set of advantages and disadvantages for producing parts. For discussion here, the various processes have been separated into three categories based on their layer creation method: • •

Selective Cure Layered Processes: These processes create layers by selectively solidifying portions of a layer of precursor material. Extrusion/Droplet Deposition Processes: These processes build each cross section by selectively depositing material to create the layer.

•

Sheet Form Fabricators: Layers are cut from sheet form construction material and laminated together.

Spe e d a n d Accu r a cy Rapid prototyping techniques in general build parts with an accuracy of approximately ±0.005 in. with closer tolerances possible on small local features. While specific machines may do better or worse than this, it is difficult to tag a machine with a specific number because the tolerance capability generally varies with part geometry, construction material, and operator skill. The build speed for a given machine is also difficult to specify as it is dependent on the part geometry and level of accuracy desired. In general terms, small parts 1 to 3 in.3 solid volume, can be built in 1 to 5 h. Larger parts, 60 in.3 or more may take several days to complete. In the discussion of the specific commercial machines below, speed and accuracy are not quantified; instead general classes of part geometry and material are discussed that represent the market niche for each device. Se le ct ive Cu r e La ye r e d Syst e m s St e r e olit h ogr a ph y ( SLA) was the first commercial system introduced. A basic description of the process is provided in the section "General Description" in this article. This process has the largest installed user base and the longest development history. Stereolithography builds a part by sequentially solidifying small bits of volume and, as a result, it is most efficient for producing thin-walled structures. Although any part can be built that fits within the 20 by 20 by 23 in. build volume (SLA-500), a large part that requires curing most of the polymer in the build volume would require several days to produce. Parts are produced from a rigid, epoxy-base resin that can be sanded and polished to produce a glossy, optically clear part.

The range of materials available for prototype parts can be increased by prototyping molds instead of parts or by producing patterns for subsequent molding operations. The epoxy-base construction material used in SLA is not directly amenable to investment casting because of thermal expansion of the polymer during the baking of the ceramic shell. To solve this problem, the pattern can be built as a thin-shelled honeycomb structure that will burn out without breaking the ceramic mold. This allows parts to be produced from any metal that can be investment cast. It is also possible to directly manufacture prototype cavity inserts for injection molding that can be used to produce multiple parts from a select group of injection-moldable polymers and wax (Ref 3). The injection-molded wax patterns can be used to produce multiple metal parts through investment casting. There are restrictions on the geometries that are available using this technique. The prototype part as mold or as pattern can also be used as the starting point for traditional prototyping techniques such as RTV molding. Solid Gr ou n d Cu r in g ( SGC) . This process involves the curing of each liquid photopolymer layer in a single step using

a two-dimensional photomask. The build process results in a polymer part embedded in a solid wax support structure. The surface of each layer is machined to a known thickness, increasing the accuracy of the process. The process steps can be described by the steps shown in Fig. 7.

Fig. 7 SGC process: ( 1) phot om ask exposure, ( 2) rem oval of uncured polym er, ( 3) coat ing wit h wax, ( 4) m illing a flat surface, ( 5) coat ing t he next polym er layer

First, a thin layer of liquid photopolymer is deposited on a flat substrate. A photomask is generated that matches the cross section of the bottom layer of the part, and the photopolymer is exposed through the mask. Uncured polymer is removed, and a layer of wax is deposited, filling in around the cured cross section. The wax is cooled to a solid, and the surface of the layer is machined flat. This process repeats until the complete prototype has been built. Because of the complexity of the process, SGC is one of the more expensive RP processes. Postprocessing for SGC involves dissolving away the wax supports and any sanding or polishing that might be desired. A postcuring step is not generally needed using SGC. Each layer is cured against a background of solid polymer and wax. Thus, there is no problem with overexposure curing deeper and increasing the layer thickness. Solid ground curing has several unique advantages. Because the part is completely supported in solid wax, it is not necessary for the software to design support structures. This also implies that there will be no blemishes to remove from the part surface during postfinishing. The solid wax support allows parts to be nested within the build volume, building parts within the hollow regions of other parts, parts on top of parts, and mechanisms consisting of multiple parts to be built as assembled units. While a single part is typically built more rapidly by SLA, SGC can often exceed SLA in total throughput by building many parts simultaneously. This feature is a distinct advantage to service bureaus that typically build multiple parts in a single run. The wax support and machined layers tend to result in accurate parts with little tendency to warp or deform. The wax can be identified as "part" instead of support structure and can be used for investment casting. Se le ct ive la se r sin t e r in g ( SLS) is similar in principle to SLA in that a laser is used to solidify sequential cross

sections from thin layers to create a prototype. In SLS the liquid photopolymer resin from SLA is replaced with a fine thermoplastic powder. Following the schematic shown in Fig. 8, the construction platform consists of three cylindrical tanks with pistons mounted to a planar surface. The two outside cylinders supply powder to the surface, and the central cylinder contains the build volume. The build volume piston translates downward a distance equal to one layer thickness, and pistons in the outside cylinders translate upward supplying powder to the construction plane. A roller spreads the powder into a flat layer covering the construction volume. A laser traces the periphery and crosshatches the solid area of a

part cross section on the powder layer sintering the powder into a solid layer. The process repeats until all layers have been created, then the build piston translates upward and the part is removed. To minimize warpage, the entire process is placed in a heated chamber and heated near the melting temperature of the powder. In order to keep the powder chemically stable at these temperatures, the chamber is purged with an inert gas.

Fig. 8 SLS process. A laser sint ers powdered m at erials, creat ing t he part from t hin layers.

Selective laser sintering parts have a surface texture that is somewhat coarse with the surface finish dependent on the particle size of the powder as well as the layer thickness. The parts tend to be somewhat porous. The most common construction materials are nylon and ABS powders; however, the process can theoretically be used with any powder material that can be sintered, which gives SLS a distinct advantage in the range of construction materials. A process has been recently developed that uses SLS as an initial process in the production of metal injection-molding inserts. This process begins with a steel powder that is coated with a layer of polymer. Using SLS, a "green" part is fabricated by melting the polymer coating on the powder. The green part is placed in an oven with a copper blank. When the temperature is elevated, the polymer burns out of the powder, and the copper melts and infiltrates the powder through capillary action. The result is a composite, steel/copper insert that can be used for low to medium production runs of injection-molded plastic parts. A similar process is under investigation that produces electrical discharge machining (EDM) dies from a composite of ceramic powder and copper (Ref 4). Ex t r u sion / D r ople t D e posit ion Pr oce sse s Fu se d D e posit ion M ode lin g ( FD M ) . This process uses an extruder head attached to a three-axis motion device to

generate the part from sequential two-dimensional cross sections (see Fig. 9). Polymer leaves the tip of the extruder at just above the melting temperature of the polymer and rapidly solidifies when it strikes the support substrate or the previous layer. The extruder head acts essentially as a plotter pen, drawing the outline of each cross section and then filling the solid interior. The temperature, plotting speed, and extrusion rate are controlled so that the extruded line bonds to the layer below and to some extent to adjacent lines. The direction of the hatching that fills the interior solid area of each layer is varied from layer to layer, which increases the rigidity of the part. The line of extruded polymer is approximately 0.002 to 0.030 in. thick and 0.010 to 0.125 in. wide allowing wall thickness as small as 0.01 in.

Fig. 9 The FDM process. An ext ruder head posit ioned by a t hree- axis m ot ion cont roller creat es a part from lines of m elt ed polym er.

The line of extruded polymer requires a base on which to rest, and thus support structures are necessary when cantilever features are created. The supports are created from the polymer construction material and separated from the part with a thin layer of a material with low mechanical properties. This allows the supports to be removed easily. A typical part produced using FDM is shown in Fig. 3(c). Figure 10 shows the surface texture produced using this process. The part is somewhat porous because the lines do not completely fuse to adjacent lines. This effect can be varied somewhat by varying the line spacing.

Fig. 1 0 Porous t ext ure of part s m ade using FDM caused by adj acent lines of polym er t hat do not fuse t oget her perfect ly

The FDM process requires very little postprocessing. It is clean, with no chemical fumes or solvents required. The device is relatively small and would be acceptable in an office environment. It is most efficient for thin-walled parts due to the voxel sequential construction process. It is relatively difficult to produce a smooth glossy surface finish even with postprocessing.

D r ople t D e posit ion Pr oce sse s. Several processes are available that create parts through the deposition of droplets.

Two of these processes utilize an inkjet printing head to generate part geometry: one by depositing a liquid binder to solidify a powder and a second that deposits polymer droplets that solidify to form the part. A third process uses a droplet deposition device attached to a five-axis motion controller that allows droplets to be deposited at angles other than vertical. Th e t h r e e - dim e n sion a l pr in t in g pr oce ss developed at the Massachusetts Institute of Technology deposits droplets of a liquid binder material onto thin layers of ceramic powder producing a green ceramic part that is later fired to full strength in a kiln (Fig. 11). The ceramic part is typically used as a casting mold to produce metal parts. Machines using this technique are not commercially available, but investment-cast parts in a variety of castable metals made by this process are available from a single-service bureau.

Fig. 1 1 Three- dim ensional print ing process solidifying cross sect ions in layers of powder by deposit ing a liquid binder

When the RP processes discussed in this article are used to produce models or molds that are traditionally produced by machining, the models produced must often be considered form prototypes because the material properties and tolerances achieved do not match the requirements for the manufactured parts. However, when using the three-dimensional printing process as a replacement for traditional investment casting, parts can be produced that meet or exceed the material properties and tolerances of the traditional process. Thus, this process is often used for functional prototypes or short-run manufacturing. I n k j e t D r ople t D e posit ion ( Polym e r ) . Another class of droplet deposition devices deposit droplets of molten polymer and/or wax. The liquid droplets solidify when they strike the substrate or the previous layer. Two commercial machines are available using this process. The first device uses a relatively large deposition head and creates parts as much as three to five times faster than many competing processes. The accuracy of these models is somewhat reduced.

The second device uses two inkjet heads to deposit droplets of polymer and wax to create a part (Fig. 12). Although it is usually used as support structure, the wax can be used for investment-casting patterns. The commercial device based on this process mills the surface of each layer after the layer is deposited, producing layers as thin as 0.0004 in. thick. Because of the extremely thin layers, parts can be produced with a surface finish that is an order of magnitude smoother than the competing processes. An undesirable result of the thin layers is that the machine is also quite slow. The most appropriate use for the machine is for small models that require excellent surface finish such as jewelry.

Fig. 1 2 The inkj et droplet deposit ion process.

Ba llist ic Pa r t icle M a n u fa ct u r in g ( BPM ) . This process is quite similar to polymer droplet deposition.The difference is that BPM allows five-axis control of the droplet deposition head, which allows certain cantilever features to be grown horizontally from the part (eliminating the need for support structures). The commercial BPM device is one of the lowest cost RP devices and uses inexpensive construction materials. It is considered an "office modeler" because the machine is relatively small, quiet, and odor free.

Sh e e t For m Fa br ica t or s These processes produce parts from thin layers of sheets of construction material. The cross sections are cut from the sheet, stacked, and bonded together to produce the prototypes. There is some variation in the methods used to cut the cross sections from the sheets and in the sequence of operations that gives each process unique advantages and disadvantages. St a ck - Th e n - Cu t ( La m in a t e d Obj e ct M a n u fa ct u r in g) . The laminated object manufacturing (LOM) process

follows the schematic shown in Fig. 13. The construction sheet is a roll of paper that has a polyethylene coating on one surface. The paper is unrolled across a flat support, and a heated roller rolls across the build volume, melting the polyethylene and bonding the sheet to the support or to the previous sheet. Next, a laser scans the periphery of the part. The power and speed are adjusted so that the laser burns through only the surface sheet. The laser also cuts a square that defines the edges of the build volume and cuts parting lines and crosshatches the waste material to form small removable cubes. This process is repeated until all layers have been completed, resulting in a rectangular block of construction material with the part hidden inside. Postprocessing consists of manually breaking away the waste material to reveal the part inside and sanding or coating if desired. The finished parts have a texture and consistency similar to wood.

Fig. 1 3 The lam inat ed obj ect m anufact uring process. Part s are built from layers of sheet m at erial ( usually paper) .

When using LOM, it is necessary to scan only the periphery instead of the entire solid area of each cross section. As a result, this process is most competitive for larger parts with large solid volumes. The build volume of the largest commercial LOM machine available in the United States is 32 by 22 by 20 in. Small features and thin-walled structures must be handled carefully during decubing to avoid breakage. Hollow structures are often built in two pieces so that the interior volume can be decubed and then manually joined during postprocessing. These parts have been used successfully as sand-casting patterns, vacuum-forming patterns, and investment-casting patterns (the paper burns out of the ceramic shell during firing). Cu t - Th e n - St a ck Pr oce ss. An alternative to the "stack-then-cut" process has been introduced in an inexpensive,

partially manual sheet-form prototyping process. The construction sheets consist of an adhesive-backed material attached to a backing sheet. Part cross sections are cut through the adhesive-backed materials--but not through the backing--using a plotter with a knife instead of a pen. Registration and bonding process proceeds manually with an operator registering the sheets on a build platform using registration holes cut through both layers of the construction sheets. The process uses a parallel decomposition technique that automatically slices small parts into subparts and positions the subparts to cover the entire construction sheet. This is shown in Fig. 14. Using this decomposition a 100-layer part can often be decomposed into ten subparts requiring ten sheets of construction material. The operator performs ten operations registering and bonding the ten sheets resulting in a backing sheet that contains ten, ten-layer thick subparts. The subparts are then stacked, requiring ten more operations.

Fig. 1 4 The t wo st ages of t he " cut - t hen- st ack" process. ( a) Four subpart s are built in parallel. ( b) Subpart s are st acked t o com plet e t he part .

Common construction materials are 0.1 mm (0.004 in.) thick paper and 1 mm (0.04 in.) thick polystyrene foam. An example paper part is shown in Fig. 3(a). This car, requiring more than 300 layers, was built in two pieces using 155 sheets of construction material. Parts constructed from the foam material can be used as patterns for investment casting. A typical cast part is shown in Fig. 3(d). The combination of manual registration and bonding, parallel decomposition, and "cut-then-stack" processing results in a unique combination of advantages and disadvantages: • • •

The machine is an order of magnitude less expensive than most commercial processes. The tolerance capability is operator dependent and generally an order of magnitude lower than competing processes. Parts that take advantage of the parallel decomposition can often be built four to five times faster than competing processes.

Re fe r e n ce s cit e d in t h is se ct ion

3. R. Ponder, personal communication, Department of Mechanical Engineering, Georgia Institute of Technology, Aug 1996 4. K. McAlea and U. Hejmadi, Selective Laser Sintering of Metal Molds: The RapidToolTM Process, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 97-104

Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

N u m e r ica l Con t r ol M a ch in in g for Pr ot ot ypin g As techniques for numerical control (NC) machining have improved, it has become possible to create complex parts quite rapidly by machining. Modern CAD tools can interpret the geometric features of a solid model and generate the tool paths necessary to machine the part on an NC machining center. The tool path generation process requires some assistance from a skilled machinist. The machinist must develop a manufacturing plan that may require manual repositioning of the part one or more times during the machining process and may require the use of more than one machine. The machinist is also required for the actual machining. Numerical control as a prototyping technique has its own advantages and disadvantages. A broad range of construction materials can be used. Once the manufacturing plan is completed and the first part is produced, multiple copies of the part can often be produced very rapidly. For example, the part shown in Fig. 15 was created on a five-axis machining center. The manufacturing plan and initial part required 16 h to develop. Production of subsequent parts required approximately 20 min per part. An added advantage of NC as a prototyping technique is that once the prototype is completed, the designer already has a manufacturing option in place. Numerical control machining techniques are capable of producing very tight tolerances.

Fig. 1 5 Sensor casing for a head posit ion t racking sensor m achined from alum inum using an NC m achining cent er. The first copy required 12 h t o produce. Duplicat es would require 15 m in each t o produce. Court esy of S. Drake, Universit y of Ut ah

Along with these advantages come disadvantages: The level of operator skill required is much higher than for the other techniques discussed here. The range of geometries that can be created using NC is more limited. The ability to create a wide variety of geometries requires a broad range of tools and several machines. Many parts require one or more fixtures to hold the part during machining. This fixture must be designed and built along with the part, requiring added costs and time delay.

D e sign in g w it h M a n u fa ct u r a ble Fe a t u r e s. It is interesting to note that the increased flexibility of RP processes

over NC machining can be considered both an advantage and a disadvantage. Rapid prototyping techniques put very few limits on the imagination of the part designer. Almost any geometry that can be modeled can be prototyped. However, the designer is generally developing a product that must be manufactured using traditional manufacturing techniques. Using NC as a prototyping tool forces the designer to produce prototypes made up of manufacturable features. Designing with prototypes built using RP techniques can cause the designer to produce a design that is impossible to manufacture with any technique except RP. Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

An a lyzin g Spe e d a n d Accu r a cy For each of the processes discussed in this article, the technique used for layer creation produces a definable relationship between part geometry and build speed. Three general classes that appear are voxel sequential volume addition, periphery cutting, and area sequential volume addition. Vox e l Se qu e n t ia l Volu m e Addit ion ( VSVA) . Where a pixel represents the smallest area unit in a two-dimensional

picture, the term voxel is used here to represent the smallest volume unit that can be created by an RP device. A voxel is a single droplet for a droplet deposition device or the volume extruded by an FDM device as the extruder head moves a single step of the motion controller. The build time for voxel sequential devices is directly proportional to the solid volume of the part. As a result, these processes create thin-walled structures relatively quickly and thick-bodied structures more slowly. Because they deposit (or cure) only the material needed for the part and required supports, there is little waste. Pe r iph e r y Cu t t in g ( PC) . The sheet-form processes discussed previously in this article create cross sections by cutting the periphery of the part and cutting parting lines to turn the waste material into cubes. In this case, the time required to cut a cross section is proportional to the periphery length. A solid object is constructed faster than if it were hollow because it is not necessary to cut the interior surface. Periphery cutting processes are therefore, optimal for larger, heavybodied parts with large volume-to-surface-area ratios. Because the material cut away from each cross section is waste, these processes are relatively wasteful and more so for thin-walled structures. Ar e a Se qu e n t ia l Volu m e Addit ion ( ASVA) . This class includes processes that create each cross section as a twodimensional area in a single step. The two-dimensional photomask curing used in the SGC process is an example. For these processes, the build time for the part is only a function of the number of layers in the part. The build times for thinwalled structures and heavy-bodied structures are identical if the vertical height is the same.

These concepts are demonstrated in Fig. 16, in which a generic part is represented by a cube whose wall thickness varies from very thin to a solid cube. The build times for each of the three classes are represented by the equation below:

(Eq 1)

where TB is the time required to build the part, TR is the time required to produce a new layer of liquid or powder or to apply a new sheet, and TLCi is the time required to create a specific cross section for a part consisting of n layers. For each process T is assumed constant. T for each process is shown below:

For VSVA: TLC For PC: TLC 4Lo + 4Li For ASVA: TLC = Constant

where Li and Lo are the inside and outside dimension, respectively, of the cube as shown in Fig. 16.

Fig. 1 6 Variat ion of build t im e wit h wall t hickness for t hree classes of RP processes: voxel sequent ial volum e addit ion ( VSVA) , area sequent ial volum e addit ion ( ASVA) , and periphery cut t ing ( PC)

As the wall thickness increases, the build time for a VSVA process increases while the time actually decreases for the PC process. The build time for the ASVA is unchanged because in this example, the vertical height of the part is unchanged. The exact shape of the curves in Fig. 16 result from the coefficients selected for the equations, the part shape, and the method chosen for varying the geometry. While different assumptions and conditions will change these shapes, the general trends should be preserved. Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

Cu r r e n t Re se a r ch Effor t s The discussion so far has been limited to techniques that are available commercially. There are numerous other techniques that are current topics for research. These topics fall into three general classes: • • •

Improving construction accuracy Developing new construction techniques Prototyping new materials and complex structures (composites, functionally gradient materials, creating microstructure, embedding components, etc.)

I m pr ovin g Con st r u ct ion Accu r a cy. Research in this area proceeds for each of the commercial devices. The work

generally revolves around characterizing the behavior of the construction materials during processing (Ref 5, 6), improving the operating characteristics of the machine (Ref 7), or reducing material shrinkage and warp during processing (Ref 8). D e ve lopin g N e w Con st r u ct ion Te ch n iqu e s. The research here is not on processes that would compete with

existing processes, but processes that will fill in areas that are not currently represented. A research tool developed for prototyping large objects builds parts from thick sheets of polystyrene foam. This sheet-form process cuts custom-ruled surfaces on the edges of the cross sections, allowing a reasonable representation of the object geometry to be produced from very thick layers. The technique has been used to create models up to 20 ft in length and to produce foam molds for the production of large composite structures (Ref 9). A new technique termed selective area laser deposition (SALD) uses laser energy to selectively induce chemical vapor deposition. This process is capable of creating three-dimensional geometric features on the micron scale (Ref 10, 11). An automated version of "cut-then-stack" sheet-form prototyping is under development that will allow layers of a part to be created simultaneously by many machines in parallel, then collated, stacked, and bonded. This has the potential to dramatically increase the speed of prototype production (Ref 12). Pr ot ot ypin g w it h N e w M a t e r ia ls a n d Com ple x St r u ct u r e s. Researchers are investigating techniques for directly

prototyping fiber-reinforced composites (Ref 13). The three-dimensional printing technique is being used to directly prototype materials with custom microstructures (Ref 14). This allows the potential for creating functionally gradient materials, with properties that vary with position in the prototype. Shape deposition manufacturing allows the construction of prototypes using multiple materials and embedded components (Ref 15). The manual "cut-then-stack" technique is being used to create prototypes that are operational devices by embedding functional components such as motors, switches, and wiring during the stacking process (Ref 12).

Re fe r e n ce s cit e d in t h is se ct ion

5. J.S. Ullett, S. Rodrigues, and R.P. Chartoff, Characterization of Shrinkage and Stress Build-up during Laser Photopolymerization, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 57-68 6. T.S. Guess, R.S. Chambers, T.D. Hinnerichs, G.D. McCarty, and R.N. Shagam, Epoxy and Acrylate Stereolithography Resins: In-situ Measurement of Cure Shrinkage and Stress Relaxation, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 69-80 7. D.C.H. Yang, Y. Juo, T. Kong, J.J. Chaung, and G. Nisnevich, Laser Beam Diameter Compensation for Helysis LOM Machine, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 171-178 8. J.S. Ullett, R.P. Chartoff, J.W. Schultz, J.C. Bhatt, M. Dotrong, and R.T. Pogue, Low Shrinkage, High Tg Liquid Crystal Resins for Stereolithography, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 471-480 9. C.L. Thomas, T. Gaffney, S. Kaza, and C. Lee, Rapid Prototyping of Large-Scale Aerospace Structures, Aerospace Applications Conf. Proc., Vol 4, Institute of Electronics and Electronics Engineering, 1996, p 219-230 10. J. Pegna and J.L. Maxwell, The Horton Project: Laser Induced Selective 3 Dimensional Material Deposition for Micromachining and RP of Functional Micro-systems, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 1-6 11. S. Harrison, J. Crocker, T. Manzur, and H. Marcus, Solid Free Form Fabrication at the University of Connecticut, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 345348 12. C.L. Thomas and K. Hayworth, Automating Sheet Based Fabrication, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 281-289 13. D. Klosterman, R. Chartoff, B. Priore, N. Osborne, G. Graves, A. Lightman, and S. Pak, Structural Composites Via Laminated Object Manufacturing, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 105-116 14. M.J. Cima, J. Yoo, W. Bae, K. Cho, S. Suresh, and E. Sachs, "Structural Ceramic Components with Computer Derived Microstructure by Three Dimensional Printing," Solid Free Form Fabrication Symposium (Austin, TX), University of Texas at Austin, 12-14 August 1996

15. L. Wiess, F. Prinz, G. Neplotnik, P. Padmanabhan, L. Schultz, and R. Merz, Shape Deposition Manufacturing of Wearable Computers, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 31-38 Ra pid Pr ot ot ypin g Charles L. Thom as, Universit y of Ut ah

Re fe r e n ce s 1. 2. 3. 4. 5. 6.

7. 8.

9.

10.

11.

12. 13.

14.

15.

M. Burns, Automated Fabrication: Improving Productivity in Manufacturing, PTR Prentice Hall, 1993 C.L. Thomas, An Introduction to Rapid Prototyping, Schroff Development Corp., 1995 R. Ponder, personal communication, Department of Mechanical Engineering, Georgia Institute of Technology, Aug 1996 K. McAlea and U. Hejmadi, Selective Laser Sintering of Metal Molds: The RapidToolTM Process, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 97-104 J.S. Ullett, S. Rodrigues, and R.P. Chartoff, Characterization of Shrinkage and Stress Build-up during Laser Photopolymerization, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 57-68 T.S. Guess, R.S. Chambers, T.D. Hinnerichs, G.D. McCarty, and R.N. Shagam, Epoxy and Acrylate Stereolithography Resins: In-situ Measurement of Cure Shrinkage and Stress Relaxation, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 69-80 D.C.H. Yang, Y. Juo, T. Kong, J.J. Chaung, and G. Nisnevich, Laser Beam Diameter Compensation for Helysis LOM Machine, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 171-178 J.S. Ullett, R.P. Chartoff, J.W. Schultz, J.C. Bhatt, M. Dotrong, and R.T. Pogue, Low Shrinkage, High Tg Liquid Crystal Resins for Stereolithography, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 471-480 C.L. Thomas, T. Gaffney, S. Kaza, and C. Lee, Rapid Prototyping of Large-Scale Aerospace Structures, Aerospace Applications Conf. Proc., Vol 4, Institute of Electronics and Electronics Engineering, 1996, p 219-230 J. Pegna and J.L. Maxwell, The Horton Project: Laser Induced Selective 3 Dimensional Material Deposition for Micromachining and RP of Functional Micro-systems, Sixth Int. Conf. Rapid Prototyping, University of Dayton, 1995, p 1-6 S. Harrison, J. Crocker, T. Manzur, and H. Marcus, Solid Free Form Fabrication at the University of Connecticut, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 345348 C.L. Thomas and K. Hayworth, Automating Sheet Based Fabrication, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 281-289 D. Klosterman, R. Chartoff, B. Priore, N. Osborne, G. Graves, A. Lightman, and S. Pak, Structural Composites Via Laminated Object Manufacturing, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 105-116 M.J. Cima, J. Yoo, W. Bae, K. Cho, S. Suresh, and E. Sachs, "Structural Ceramic Components with Computer Derived Microstructure by Three Dimensional Printing," Solid Free Form Fabrication Symposium (Austin, TX), University of Texas at Austin, 12-14 August 1996 L. Wiess, F. Prinz, G. Neplotnik, P. Padmanabhan, L. Schultz, and R. Merz, Shape Deposition Manufacturing of Wearable Computers, Proc. Solid Free Form Fabrication Symposium, University of Texas at Austin, 1996, p 31-38

Ove r vie w Pr oce ss

of

the

M a t e r ia ls

Se le ct ion

George E. Diet er, Universit y of Maryland

I n t r odu ct ion THE SELECTION OF THE CORRECT MATERIAL for a design is a key step in the process because it is the crucial decision that links computer calculations and lines on an engineering drawing with a working design. Materials and the manufacturing processes that convert the material into a useful part underpin all of engineering design. The enormity of the decision task in materials selection is given by the fact that there are well over 100,000 engineering materials from which to choose. On a more practical level, the typical design engineer should have ready access to information on 50 to 80 materials, depending on the range of applications. The importance of materials selection in design has increased in recent years. The adoption of concurrent engineering methods (see the article "Concurrent Engineering" in this Volume) has brought materials engineers into the design process at an earlier stage, and the importance given to manufacturing in present day product design has reinforced the fact that materials and manufacturing are closely linked in determining final properties. Moreover, world pressures of competitiveness have increased the general level of automation in manufacturing to the point where materials costs comprise 50% or more of the cost for most products. Finally, the great activity in materials science worldwide has created a variety of new materials and focused attention on the competition between six broad classes of materials: metals, polymers, elastomers, ceramics, glasses, and composites. Thus the range of materials available to the engineer is much larger than ever before. This presents the opportunity for innovation in design by utilizing these materials in products that provide greater performance at lower cost. To achieve this requires a more rational process for materials selection. Ove r vie w of t h e M a t e r ia ls Se le ct ion Pr oce ss George E. Diet er, Universit y of Maryland

Re la t ion of M a t e r ia ls Se le ct ion t o D e sign An incorrectly chosen material can lead not only to failure of the part but also to unnecessary cost. Selecting the best material for a part involves more than selecting a material that has the properties to provide the necessary performance in service; it is also intimately connected with the processing of the material into the finished part (Fig. 1). A poorly chosen material can add to manufacturing cost and unnecessarily increase the cost of the part. Also, the properties of the material can be changed by processing (beneficially or detrimentally), and that may affect the service performance of the part.

Fig. 1 I nt errelat ionship am ong design, m at erials, and processing

With the enormous combination of materials and processes to choose from, the task can be done only by introducing simplification and systemization. Design proceeds from concept design, to embodiment (configuration) design, to detail (parametric) design, and the material and process selection then becomes more detailed as the design progresses through this sequence. The steps in the design process are discussed in the Section "The Design Process" in this Volume. Figure 2 contrasts the design methods and tools used at each stage with the materials and processes selection.

Fig. 2 Schem at ic of t he design process wit h design t ools on t he left and m at erials and process select ion on t he right . At t he concept st age of design, t he em phasis is on breadt h; in t he lat er st ages, it is on precision. FEM, finit e elem ent m odeling; DFM, design for m anufact uring; DFA, design for assem bly. Source: Ref 1

At the concept level of design, essentially all materials and processes are considered rather broadly. The materials selection methodology and charts developed by Ashby (Ref 2) are highly appropriate at this stage (see the articles

"Material Property Charts" and "Performance Indices" in this Volume). The decision is to determine whether each design concept will be made from metal, plastics, ceramic, composite, or wood, and to narrow it to a group of materials. The precision of property data needed is rather low. If an innovative choice of material is to be made, it must be done at the conceptual design step because later in the design process too many decisions have been made to allow for a radical change. At the embodiment or configuration level of design, the emphasis is on determining the shape and approximate size of a part using engineering methods of analysis. Now the designer will have decided on a class of materials and processes, for example a range of aluminum alloys, wrought and cast. The material properties must be known to a greater level of precision. At the detail or parametric design level, the decision will have narrowed to a single material and only a few manufacturing processes. Here the emphasis will be on deciding on critical tolerances, optimizing for robust design (see the article "Robust Design" in this Volume), and selecting the best manufacturing process using quality engineering and cost modeling methodologies. Depending on the criticality of the part, materials properties may need to be known to a high level of precision. At the extreme, this requires the development of a detailed data base from an extensive materials testing program. In a more detailed approach to engineering design, Dixon and Poli (Ref 3) suggest a four-level approach to materials selection: • • •

•

Level I. Based on critical properties, determine whether the part will be made from metal, plastic, ceramic, or composite. Level II. Determine whether metal parts will be produced by a deformation process (wrought) or a casting process; for plastics, determine whether they will be thermoplastic or thermosetting polymers. Level III. Narrow options to a broad category of material. Metals can be subdivided into categories such as carbon steel, stainless steel, and copper alloys. Plastics can be subdivided into specific classes of thermoplastics and thermosets such as polycarbonates and polyesters. Level IV. Select a specific material according to a specific grade or specification.

Thus material and process selection is a progressive process of narrowing from a large universe of possibilities to a specific material and process selection; see the next section "The Process of Materials Selection" in this article. Levels I and II often may suffice for conceptual design. Level III is needed for embodiment (configuration) design and sometimes for conceptual design. Level IV usually can be postponed until detail (parametric) design.

Re fe r e n ce s cit e d in t h is se ct ion

1. M.F. Ashby, Materials, Bicycles, and Design, Metall. Mater. Trans. A, Vol 26, Dec 1995, p 3057-3064 2. M.F. Ashby, Materials Selection in Mechanical Design, Pergamon Press, 1992 3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995

Ove r vie w of t h e M a t e r ia ls Se le ct ion Pr oce ss George E. Diet er, Universit y of Maryland

Th e Pr oce ss of M a t e r ia ls Se le ct ion A materials selection problem usually involves one of two situations:

• •

Selection of the materials and the processes for a new product or design The evaluation of alternative materials or manufacturing routes for an existing product or design. Such a redesign effort usually is taken to reduce cost, increase reliability, or improve performance. It generally is not possible to realize the full potential of substituting one material for another without fully considering its manufacturing characteristics. In other words, simple substitution of a new material without changing the design rarely provides optimum utilization of the material.

M a t e r ia ls Se le ct ion for a N e w D e sign . In this situation, these steps must be followed:

1. Define the functions that the design must perform, and translate these into required materials properties such as stiffness, strength, and corrosion resistance, and such business factors as the cost and availability of the material. 2. Define the manufacturing requirements in terms of such parameters as the number of parts required, the size and complexity of the part, its required tolerance and surface finish, general quality level, and overall fabricability of the material. 3. Compare the needed properties and parameters with a large materials property data base (most likely computerized) to select a few materials that look promising for the application. In this initial screening process, it is helpful to establish several screening properties. A screening property is any material property for which an absolute lower (or upper) limit can be established. No trade-off beyond this limit is allowable. It is a go-no go situation. The idea of the screening phase in materials selection is to ask the question: "Should this material be evaluated further for this application?" 4. Investigate the candidate materials in more detail, particularly in terms of trade-offs in product performance, cost, fabricability, and availability in the grades and sizes needed for the application. Material property tests and other testing often is done at this stage. Methods for making this detailed evaluation are discussed in the articles "Performance Indices" and "Decision Matrices in Materials Selection" in this Volume. 5. Develop design data and/or a design specification. Step 4 results in the selection of a single material for the design and a suggested process for manufacturing the part. In most cases, this results in establishing the minimum properties through defining the material with a generic material standard such as those issued by the American Society for Testing and Materials (ASTM), the Society of Automotive Engineers (SAE), the American National Standards Institute (ANSI), and the United States military (MIL specs). For critical parts in sensitive applications, for example in aerospace and nuclear areas, it may be necessary to conduct an extensive testing program to develop design data that are statistically reliable (see the article "Statistical Aspects of Design" in this Volume).

M a t e r ia ls Su bst it u t ion for a n Ex ist in g D e sign . In this situation, the following steps pertain:

1. Characterize the currently used material in terms of performance, manufacturing requirements, and cost. 2. Determine which characteristics must be improved for enhanced product function. Often failure analysis reports play a critical role in this step (see the article "Use of Failure Analysis in Materials Selection" in this Volume). 3. Search for alternative materials and/or manufacturing routes. Use the idea of screening properties to good advantage. 4. Compile a short list of materials and processing routes, and use these to estimate the costs of manufactured parts. A method of engineering analysis called value engineering has proven useful for this purpose (see the article "Value Analysis in Materials Selection and Design" in this Volume). Value engineering is a problem-solving methodology that focuses on identifying the key function(s) of a design so that unnecessary costs can be removed without compromising the quality of the design. 5. Evaluate the results in step 4, and make a recommendation for a replacement material. Define the critical properties with specifications or testing as in step 5 of the previous section.

There are two approaches (Ref 3) to determining the material-process combination for a part. In the material first approach, the designer begins by selecting a material class and narrowing it down as described above. Then manufacturing processes consistent with the selected material are considered and evaluated. Chief among the factors to consider are production volume and information about the size, shape, and complexity of the part. With the process first approach, the designer begins by selecting the manufacturing process, guided by the same factors. Then materials consistent with the selected process are considered and evaluated, guided by the performance requirements of the part. Both approaches end up at the same decision point. Most design engineers and materials engineers instinctively use the materials first approach since it is the method taught in strength of materials and machine design courses. Manufacturing engineers and those heavily involved with process engineering gravitate toward the other approach. No studies have been done to determine which leads to the best results.

Re fe r e n ce cit e d in t h is se ct ion

3. J.R. Dixon and C. Poli, Engineering Design and Design for Manufacturing, Field Stone Publishers, 1995 Ove r vie w of t h e M a t e r ia ls Se le ct ion Pr oce ss George E. Diet er, Universit y of Maryland

Pe r for m a n ce Ch a r a ct e r ist ics of M a t e r ia ls The performance or functional characteristics of a material are expressed chiefly by physical, mechanical, thermal, electrical, magnetic, and optical properties. Material properties are the link between the basic structure and composition of the material and the service performance of the part (Fig. 3). The goal of materials science is to learn how to control the various levels of structure of a material (electronic structure, defect structure, microstructure, macrostructure) so as to predict and improve the properties of a material. Not too long ago metals dominated most of engineering design. Today the range of materials and properties available to the engineer is much larger and growing rapidly. This requires familiarity with a broader range of materials and properties, but it also introduces new opportunities for innovation in product development. Table 1 provides a general comparison of the properties of metals, ceramics, and polymers. A detailed review of fundamental structure-property relationships in engineering materials, and a consideration of the effects of composition, processing, and structure on the properties of steels, nonferrous metallic alloys, ceramics and glasses, engineering plastics, and composites is provided in the Section "Effects of Composition, Processing, and Structure on Materials Properties" in this Volume. Table 2 provides a listing of the broad spectrum of material properties that may be needed. Table 1 General comparison of properties of metals, ceramics, and polymers Property (approximate values)

Metals

Ceramics

Density, g/cm3

2 to 22 (average

Melting points

Low (Ga = 29.78 °C, or 85.6 °F) to high (W = 3410 °C, or 6170 °F)

High (up to 4000 °C, or 7230 °F)

Low

Hardness

Medium

High

Low

Machinability

Good

Poor

Good

8)

2 to 19 (average

Polymers

4)

1 to 2

Tensile strength, MPa (ksi)

Up to 2500 (360)

Up to 400 (58)

Up to 140 (20)

Compressive strength, MPa (ksi)

Up to 2500 (360)

Up to 5000 (725)

Up to 350 (50)

Young's modulus, GPa (106 psi)

15 to 400 (2 to 58)

150 to 450 (22 to 65)

0.001 to 10 (0.00015 to 1.45)

High-temperature creep resistance

Poor to medium

Excellent

...

Thermal expansion

Medium to high

Low to medium

Very high

Thermal conductivity

Medium to high

Medium, but often decreases rapidly with temperature

Very low

Thermal shock resistance

Good

Generally poor

...

Electrical characteristics

Conductors

Insulators

Insulators

Chemical resistance

Low to medium

Excellent

Good

Oxidation resistance

Generally poor

Oxides excellent; SiC and Si3N4 good

...

Source: Ref 4

Table 2 Material performance characteristics Physical properties Crystal structure Density Melting point Vapor pressure Viscosity Porosity Permeability Reflectivity Transparency Optical properties Dimensional stability

Electrical properties Conductivity Dielectric constant Coercive force Hysteresis

Nuclear properties

Half-life Cross section Stability

Mechanical properties Hardness Modulus of elasticity

Tension Compression

Poisson's ratio Stress-strain curve Yield strength

Tension Compression Shear

Ultimate strength

Tension Shear Bearing

Fatigue properties

Smooth Notched Corrosion fatigue Rolling contact Fretting

Charpy transition temperature Fracture toughness (KIc) High-temperature behavior

Creep Stress rupture

Damping properties Wear properties

Galling Abrasion Erosion

Cavitation Spalling Ballistic impact

Thermal properties Conductivity Specific heat Coefficient of thermal expansion Emissivity Absorptivity Ablation rate Fire resistance

Chemical properties Position in electromotive series Corrosion and degradation

Atmospheric Salt water Acids Hot gases Ultraviolet

Oxidation Thermal stability Biological stability Stress corrosion Hydrogen embrittlement Hydraulic permeability

Fabrication properties Castability Heat treatability Hardenability Formability Machinability Weldability

Fig. 3 The role played by m at erial propert ies in t he select ion of m at erials

An important role of the materials engineer is to assist the designer in making meaningful connections between materials properties and the performance of the part or system being designed. For most mechanical systems, performance is limited, not by a single property, but by a combination of them. For example, the materials with the best thermal shock resistance are those with the largest values of f/E , where f is the failure stress, E is Young's modulus, and is the

thermal coefficient of expansion. Ashby (Ref 2) showed how to derive these performance indices (groupings of material properties that, when maximized, maximize some aspect of performance) and how to use them in conjunction with his materials selection charts (see the article "Performance Indices" in this Volume). Table 3 shows the relationships between standard mechanical properties and the failure modes for materials (Ref 5). For most modes of failure, two or more material properties act to control the material behavior. Also, it must be kept in mind that the service conditions met by materials are in general more complex than the test conditions used to measure material properties. Usually simulated service tests must be devised to screen materials for critical complex service conditions. Finally, the chosen material, or a small group of candidate materials, must be evaluated in prototype tests or field tests to determine their performance under actual service conditions.

Table 3 Relationships between failure modes and material properties Failure mode

Material property

Ultimate tensile strength

Yield strength

Compressive yield strength

X

Gross yielding

Shear yield strength

Fatigue properties

Ductility

Impact energy

Transition temperature

KIc(a)

KIscc(b)

X

X

Brittle fracture

X

Fatigue, low cycle

X

X

X

X

X

Contact fatigue

X

Fretting

X

X

X

Corrosion

Stress-corrosion cracking

Galvanic corrosion

Electrochemical potential

X

Creep

Fatigue, high cycle

Creep rate

X

X

Buckling

Modulus of elasticity

X

X

X

X

Hardness

Coefficient of expansion

Hydrogen embrittlement

X

X

Wear

X

Thermal fatigue

Corrosion fatigue

X

An "X" at the intersection of material property and failure mode indicates that a particular material property is influential in controlling a particular failure mode. Source: Ref 5 (a) Plane-strain fracture toughness.

(b) Threshold stress intensity to produce stress-corrosion cracking.

X

X

Ex a m ple 1 : M a t e r ia ls Se le ct ion for a n Au t om ot ive Ex h a u st Syst e m ( Re f 6 ) . The product design specification for the exhaust system must provide for the following functions: • • • • • • • • •

Conducting engine exhaust gases away from the engine Preventing noxious fumes from entering the automobile Cooling the exhaust gases Reducing the engine noise Reducing the exposure of automobile body parts to exhaust gases Affecting engine performance as little as possible Helping control undesirable exhaust emissions Having a service life that is acceptably long Having a reasonable cost, both as original equipment and as a replacement part

In its basic form, the exhaust system consists of a series of tubes that collect the gases at the engine and convey them to the rear of the automobile. The size of the tube is determined by the volume of the exhaust gases to be carried away and the extent to which the exhaust system can be permitted to impede the flow of gases from the engine. An additional device, the muffler, is required for noise reduction, and a catalytic converter is required to convert polluting gases to lessharmful emissions. The basic lifetime requirement is that the system must resist the attack of hot, moist exhaust gases for some specified period. In addition, the system must resist attack by the atmosphere, water, mud, and road salt. The location of the exhaust system under the car requires that it be designed as a complex shape that will not interfere with the running gear of the car, road clearance, or the passenger compartment. The large number of automobiles produced each year requires that the material used in exhaust systems be readily available at minimum cost. This system requires numerous material property requirements. The mechanical property requirements are not overly severe: suitable rigidity to prevent excessive vibration and fatigue plus enough creep resistance to provide adequate service life. Corrosion is the limiting factor on life, especially in the cold end, which includes the resonator, muffler, and tail pipe. Several properties of unique interest, that is, where one or two properties dominate the selection of the material, are found in this system. These pertain to the platinum-base catalyst and the ceramic carrier that supports the catalyst. The majority of the tubes and containers that comprise the exhaust system were for years made of readily formed and welded low-carbon steel, with suitable coatings for corrosion resistance. With the advent of greater emphasis on automotive quality and longer life, the material selection has moved to specially developed stainless steels with improved corrosion and creep properties. Ferritic 11% Cr alloys are used in the cold end components, with 17 to 20% Cr ferritic alloys and austenitic Cr-Ni alloys in the hot end of the system. St a n da r ds a n d Spe cifica t ion s. Materials properties usually are formalized through standards and specifications. The

distinction between these entities is that a standard is intended for use by as large a body as possible, for example ASTM or ANSI standards, whereas a specification, though dealing with similar technical content, is intended for use by a more limited group, for example a company specification. There are two types of standards or specifications: performance standards and product standards. Performance standards delineate the basic functional requirements of a product and set out the basic parameters from which the design can be developed. Product standards define the conditions under which the components of a design are purchased and manufactured. Materials standards are invariably product standards. They stipulate performance characteristics, quality factors, methods of measurement, tolerances, and dimensions.

Re fe r e n ce s cit e d in t h is se ct ion

2. M.F. Ashby, Materials Selection in Mechanical Design, Pergamon Press, 1992 4. V. John, Introduction to Engineering Materials, 3rd ed., Industrial Press, 1992 5. C.O. Smith and B.E. Boardman, Concepts and Criteria in Materials Engineering, Metals Handbook, Vol 3, 9th ed., American Society for Metals, 1980, p 825-834 6. C.O. Smith and B.E. Boardman, Concepts and Criteria in Materials Engineering, Metals Handbook, Vol 3, 9th ed., American Society for Metals, 1980, p 826

Ove r vie w of t h e M a t e r ia ls Se le ct ion Pr oce ss George E. Diet er, Universit y of Maryland

Re la t ion of M a t e r ia ls Se le ct ion t o M a n u fa ct u r in g The selection of a material must be closely coupled with the selection of a manufacturing process. This is not an easy task for there are many processes that can produce the same part. The goal is to select the material and process that maximizes quality and minimizes the cost of the part. Figure 4 gives a breakdown of manufacturing processes into nine broad classes.

Fig. 4 The nine classes of m anufact uring processes. The first row cont ains t he prim ary form ing ( shaping) processes. The processes in t he vert ical colum n below are t he secondary form ing and finishing processes. Source: Ref 2

In a very general sense, the selection of the material determines a range of processes that can be used to process parts from the material. Table 4 shows the manufacturing methods used most frequently with different metals and plastics (Ref 7). The material melting point and general level of deformation resistance (hardness) and ductility determine these relationships. The next aspect to consider is the minimum and maximum overall size of the part, often expressed by volume, projected area, or weight. Maximum size often is controlled by equipment considerations. Shape is the next factor to consider. The overall guide should be to select a primary process that makes the part as near to final shape as possible (near-net shape forming) without requiring expensive secondary machining or grinding processes. Sometimes the

form of the starting material is important. For example, a hollow shaft can be made best by starting with a tube rather than a solid bar. Shape is often characterized by aspect ratio, the surface-to-volume ratio, or the web thickness-to-depth ratio. Closely related to shape is complexity. Complexity is correlated with lack of symmetry. It also can be measured by the information content of the part, that is, the number of independent dimensions that must be specified to describe the shape. Tolerance is the degree of deviation from ideal that is permitted in the dimensions of a part. Closely related to tolerance is surface finish. Surface finish is measured by the root-mean-square amplitude of the irregularities of the surface. Each manufacturing process has the capability of producing a part with a certain range of tolerance and surface finish (Fig. 5). Polymers are different from metals and ceramics in that they can be processed to a very high surface smoothness, but tight tolerances are seldom possible because of internal stresses left by molding and creep at service temperatures. Manufacturing cost increases exponentially with decreasing dimensional tolerance. Yet another process parameter is surface detail, the smallest radius of curvature at a corner that can be produced. An important practical consideration is the quantity of parts required. For each process, there is a minimum batch size below which it is not economical to go because of costs of tooling, fixtures, and equipment. Also related to part cost is the production rate or the cycle time, the time required to produce one part. The most commonly used manufacturing processes are evaluated with respect to these characteristics in Table 5 (Ref 9).

Table 4 Compatibility between materials and manufacturing processes Cast iron

Carbon steel

Alloy steel

Stainless steel

Aluminum and aluminum alloys

Copper and copper alloys

Zinc and zinc alloys

Magnesium and magnesium alloys

Titanium and titanium alloys

Nickel and nickel alloys

Refractory metals

Thermoplastics

Thermoset plastics

Sand casting

•

•

•

•

•

•

--

•

--

•

--

X

X

Investment casting

--

•

•

•

•

•

--

--

--

•

--

X

X

Die casting

X

X

X

X

•

--

•

•

X

X

X

X

X

Injection molding

X

X

X

X

X

X

X

X

X

X

X

•

--

Structural foam molding

X

X

X

X

X

X

X

X

X

X

X

•

X

Blow molding (extrusion)

X

X

X

X

X

X

X

X

X

X

X

•

X

Blow molding (injection)

X

X

X

X

X

X

X

X

X

X

X

•

X

Rotational molding

X

X

X

X

X

X

X

X

X

X

X

•

X

Impact extrusion

X

•

•

--

•

•

•

--

X

X

X

X

X

Cold heading

X

•

•

•

•

•

--

--

X

--

X

X

X

Process

Casting/molding

Forging/bulk forming

Closed die forging

X

•

•

•

•

•

X

•

•

--

--

X

X

Pressing and sintering (P/M)

X

•

•

•

•

•

X

•

--

•

•

X

X

Hot extrusion

X

•

--

--

•

•

X

•

--

--

--

X

X

Rotary swaging

X

•

•

•

•

--

--

•

X

•

•

X

X

Machining from stock

•

•

•

•

•

•

•

•

--

--

--

--

--

Electrochemical machining

•

•

•

•

--

--

--

--

•

•

--

X

X

Electrical discharge machining (EDM)

X

•

•

•

•

•

--

--

--

•

--

X

X

Wire EDM

X

•

•

•

•

•

--

--

--

•

--

•

X

Sheet metal forming

X

•

•

•

•

•

--

--

--

--

X

X

X

Thermoforming

X

X

X

X

X

X

X

X

X

X

X

•

X

Metal spinning

X

•

--

•

•

•

•

--

--

--

--

X

X

Machining

Forming

•, normal practice; --, less-common practice; X, not applicable. Source: Adapted from Ref 7

Table 5 Manufacturing processes and their attributes Process

Surface roughness

Dimensional accuracy

Complexity

Production rate

Production run

Relative cost

Size (projected area)

Pressure die casting

L

H

H

H/M

H

H

M/L

Centrifugal casting

M

M

M

L

M/L

H/M

H/M/L

Compression molding

L

H

M

H/M

H/M

H/M

H/M/L

Injection molding

L

H

H

H/M

H/M

H/M/L

M/L

Sand casting

H

M

M

L

H/M/L

H/M/L

H/M/L

Shell mold casting

L

H

H

H/M

H/M

H/M

M/L

Investment casting

L

H

H

L

H/M/L

H/M

M/L

Single point cutting

L

H

M

H/M/L

H/M/L

H/M/L

H/M/L

Milling

L

H

H

M/L

H/M/L

H/M/L

H/M/L

Grinding

L

H

M

L

M/L

H/M

M/L

L

H

H

L

L

H

M/L

Blow molding

M

M

M

H/M

H/M

H/M/L

M/L

Sheet metal working

L

H

H

H/M

H/M

H/M/L

L

Forging

M

M

M

H/M

H/M

H/M

H/M/L

Rolling

L

M

H

H

H

H/M

H/M

Extrusion

L

H

H

H/M

H/M

H/M

M/L

Powder metallurgy

L

H

H

H/M

H

H/M

L

Electrical machining

Key:

discharge

H

>250

M

>63 5000

Medium

>10 100% of finished component

Substantial machine and tooling costs

2

5 to 15 min

Average quality

Slow changeover

Waste 50 to 100%

Tooling and machines costly

3

1 to 5 min

Average to good quality

Average changeover and setup time

Waste 10 to 50%

Tooling and machines relatively inexpensive

4

20 s to 1 min

Good to excellent quality

Fast changeover

Waste < 10% finished part

Tooling costs low/little equipment

5

5) that may be prone to deflection or unstable vibration, specialized machine attachments such as right-angle drives, or excessive fixturings or pallet rotations. The machining cost is increased, and the achievable tolerance is often limited by these requirements. Pr ovide Ade qu a t e St r e n gt h a n d St iffn e ss. The cutting forces generated during machining act between the tool

and the part and can cause breakage, deflection, or unstable vibrations if the strength and stiffness of the system is inadequate. The part may be the weakest or most compliant element of the system, particularly if it is made of a material such as aluminum--which is relatively weak, a material with a high yield strength and comparatively low elastic modulus such as titanium, or if its geometry is structurally weak. Care should be taken to design the part so that it has adequate strength and stiffness in the expected directions of loading. This can be done by thickening sections over which heavy loading is expected or by adding ribs or other structurally stiffening features to support thin sections. Because cutting forces increase with the metal removal rate, particular attention should be paid to surfaces that will be subjected to roughing cuts. Thin wall sections and areas where large diameter holes are to be drilled should also be examined and stiffened with ribs or other structural features when possible. If it is not possible to stiffen the part significantly, cutting forces can be reduced by proper design of the tool and by removing large amounts of stock in multiple passes, although this increases cutting time. Inadequate part stiffness can also be compensated for by designing supporting elements into the fixture, although this significantly increases fixture costs and setup times and reduces the robustness of the process. In extreme cases, stress-sensitive parts may be impossible to machine using conventional operations and may have to be processed using a nontraditional operation such as EDM. Pr ovide Su r fa ce s for Cla m pin g a n d Fix t u r in g. Parts must be clamped to a chuck or fixtured securely before they

can be machined. In designing a part it is important to consider the possible ways it may be held and to determine if the most likely workholding methods present access problems or part deflection concerns.

Rotational parts are held in lathes between centers or in chucks or collets. Parts finished on both ends and held in chucks or collets must be reversed at some point to complete all required operations. In this case, a clear section of the part with a constant diameter and without a tight surface finish tolerance should be provided for clamping when possible. If this is not possible, an additional grinding operation may be required to produce the part. Prismatic parts with irregular or curved surfaces may present fixturing difficulties if clamps must be applied to curved surfaces. This can result in point loading and surface deformation or damage, particularly when fixturing for roughing cuts. When possible, clamping pads with flat surfaces should be designed into such parts. Clamping and fixturing concerns are particularly critical for structurally weak parts, especially when clamping stresses are transmitted through the part (e.g., when the part is held in a vise). In many applications clamping forces exceed machining forces and can contribute significantly to deflections and form errors. Once the principal clamping force directions are determined, the structural stiffness of the part in these directions should be examined, and--if necessary-ribs or other stiffening elements should be added when possible.

Re fe r e n ce s cit e d in t h is se ct ion

2. J.G. Bralla, Design for Excellence, McGraw Hill, 1996, p 46-47 4. R. Bakerjian, ed., Chapter 11, Tool and Manufacturing Engineer's Handbook, Vol VI, Design for Manufacturability, 4th ed., Society of Manufacturing Engineers, 1992 5. D.A. Stephenson and J.S. Agapiou, Chapters 2, 11, and 13, Metal Cutting Theory and Practice, Marcel Dekker, 1996 6. Machining, Vol 16, ASM Handbook, ASM International, 1989 7. Bar Products Group, American Iron and Steel Institute, Steel Bar Product Guidelines, Iron and Steel Society, Warrendale, PA, 1994, p 164-166 D e sign for M a ch in in g D.A. St ephenson, General Mot ors Powert rain Group

Spe cia l Con side r a t ion s Spe cia l Con side r a t ion s for Pr odu ct ion M a ch in in g Syst e m s ( Tr a n sfe r M a ch in e s) . The fixed cycle times and

specialized nature of individual mechanisms characteristic of production machining systems result in a number of special design rules for parts manufactured using such systems. In addition, some of the general design-for-machining rules, such as using open tolerances when possible, are more critical for parts made using transfer machines, while other rules, such as maintaining adequate accessibility, are less critical. Stations on transfer machines can be equipped with multiple spindles, so that patterns of holes can often be drilled simultaneously at a single station. To facilitate this, a minimum separation between holes should be maintained to leave room for distinct spindles. The magnitude of the separation required varies with the hole diameter and the particular type of equipment; for 12 mm (0.5 in.) holes, a minimum separation of 50 mm (2 in.) is typically adequate. Because a single feed slide is normally used on multispindle heads, it is also desirable to make all holes in a given pattern of roughly equal depth; a great variation in depth complicates tool setup and may require an excessive feed stroke length, which can increase cycle time. Features on parts designed for transfer machine manufacture should be grouped so that multiple features can be machined simultaneously at a single station. Features that require close dimensional tolerances relative to each other should be machined at a single station. When possible, flat surfaces on a given part face should be at equal depths so that all can be machined with a single milling cutter. The amount of stock removed at each station should also be balanced to the extent possible so that all tools wear out at roughly the same time. Light cuts at odd depths that would require additional unbalanced stations should be avoided.

It is more critical to avoid tight tolerances on transfer machine parts than on parts to be manufactured on CNC equipment. The use of tight tolerances that increase the frequency of required tool changes has an exaggerated impact on transfer machine operations, because all or part of a line may need to be shut down to perform a tool change on a single station. Ideally, tools on all stations should be changed on schedule between production shifts to maximize machine utilization. Tolerancing becomes a more critical issue as the machinability of the part material decreases; fairly tight tolerances can be consistently achieved on aluminum and magnesium parts because tool wear rates are low, but it is difficult to achieve dimensional tolerances less than 0.05 mm (0.002 in.) consistently when machining iron or steel parts in high volumes. Maintaining adequate access to features such as interior holes is not as critical for parts manufactured on transfer machines because special fixtures and jigs (fixtures incorporating guiding components such as bushings) can be more easily incorporated; the additional cost of such jigs and fixtures is more easily justified for the high production runs typical of transfer machines. Spe cia l Con side r a t ion s for CN C M a ch in in g Syst e m s. In operations on CNC machining and turning centers, tools

are typically cutting for a smaller fraction of the processing time than in production machining systems; more of the processing time is taken up by noncutting functions such as tool changes, pallet rotations, and axis moves. Most actions that consume noncutting time also have a negative impact on part quality because they introduce additional tolerance components due to the finite accuracy and repeatability of the system. In designing parts to be manufactured on CNC machinery, therefore, the primary concern from a machining viewpoint should be to minimize noncutting functions by appropriate standardization and grouping of features. Standardizing feature dimensions can reduce the number of required tool changes and thus the processing time. A minimum number of hole diameters should be used on a given part, and holes used for functions such as clearance or mounting should have the same diameter. Care should also be taken to avoid designing in pockets of widely varying dimensions, so that tool changes between end mills of different diameters can be avoided. Standardizing features to eliminate tool changes also simplifies tool magazine management as discussed below. Pallet rotations can be minimized by reducing the number of machining orientations as discussed in the section "General Design-for-Machining Rules" in this article. Standardizing features reduces axis motion time by eliminating excess tool changes; tool changes consume axis motion time because the spindle or table must generally be moved to a set position for a tool change. In addition to standardizing features, axis motion time can be reduced by reducing the distance between features that must be machined using the same tool. For example, when drilling a pattern of holes with equal diameter, the holes should be placed as close together as possible to minimize transit time between holes. (Note that in this respect hole patterns should be designed differently for parts to be manufactured on NC machines than for those manufactured on transfer machines.) To further minimize tool changes for medium to long production runs, multidiameter or stepped holes should be designed so that they can be machined using stepped or combination holemaking tools rather than discrete tools as discussed below. The added cost for these special tools is generally not justified for small batch production. Finally, tool magazine management can be of concern when producing complex parts on CNC machines. Generally, the tool magazine on a CNC machine has a finite capacity (i.e., can hold only a specified number of tools). Some magazine types, such as belt or chain magazines, have a minimum access time to position tools for tool change, and this time often depends on the number of slots between tools used in succeeding operations. Operations should be grouped so that each tool retrieved from the magazine is used for some minimum period greater than the tool access time, so that the machine does not have to wait during the tool access cycle. This becomes a more difficult constraint to satisfy as the access time increases. Parts should be designed so that the number of tools required for the operations scheduled for a given machine does not exceed the number of slots in the tool magazine; if this cannot be arranged, additional time will be required to reload the tool magazine. If the number of slots available exceeds the number of tools required, the surplus slots can be loaded with redundant tools of the type that wear most rapidly, and the NC program can be written to access these additional tools after a specified number of parts have been produced, reducing the number of magazine reloads required. Tool magazine management can be simplified through standardization of features to reduce the number of tools required and through the use of stepped or combination tools to produce multidiameter holes. Spe cia l Con side r a t ion s for H ole m a k in g Ope r a t ion s. Holemaking operations such as drilling, reaming, and tapping are time-consuming operations often used to produce critical features such as locating holes. As a result, quality issues and machining time constraints are often particularly critical, so that special care should be taken in the design phase to simplify required holemaking operations.

When possible, holes with increased internal diameters, interrupted holes, and holes intersecting inclined entry and exit surfaces should be avoided (Fig. 4a and 5). Holes with increased internal diameters require additional boring operations to produce and cannot be produced using step or compound tools. Holes drilled into inclined entry surfaces or at compound angles often represent unique machined orientations that may require additional fixturings or pallet rotations. It is also more difficult to maintain location accuracy and adequate tool life for these features; the drill has a tendency to "walk" at the entry of such holes, and unbalanced loading that may result in cutting-edge chipping or margin rubbing is also present. Interrupted or intersecting holes also generate unbalanced loads on the drill and may result in straightness errors, excessive vibration, or drill chipping, especially when drilling iron or steel with solid carbide drills. Burrs can also form at intersections, requiring an additional deburring operation. Intersecting holes are often used to produce lubrication passages; when they are unavoidable, an on-center rather than a scalloped design should be chosen (Fig. 6) (Ref 8) to minimize load unbalance, burr formation, and the likelihood that straightness errors will cause the drill to miss the target hole in deep-drilling applications. Drilling through inclined exit surfaces also results in unbalanced loading, which can cause excessive vibration, drill chipping, burr formation, and straightness errors. If such holes are unavoidable, it is advisable to drill them through relatively thick sections of the part (i.e., at depths greater than two drill diameters), so that the initial hole can act as a bushing and support the drill during exit.

Fig. 5 Exam ples of hole geom et ries t hat should be avoided when possible. ( a) A hole drilled int o an inclined ent ry surface. ( b) I nt ersect ing holes. ( c) A t hrough hole wit h an inclined exit surface

Fig. 6 On- cent er ( a) and scalloped ( b) int ersect ing holes. When int ersect ing holes are unavoidable, t he oncent er configurat ion should be used t o m inim ize drill chipping and burr form at ion.

For large batch or mass production, multidiameter holes should be designed to be manufactured with step or combination drills rather than discrete drills and counterbores. Specifically, the diameter of such holes should decrease in a stepwise fashion with hole depth, all steps in the hole should have a minimum axial length generally greater than the step diameter, and the difference in the diameters of adjacent steps should not exceed 50% of the larger diameter (Ref 5). As noted above, interior steps with increased diameter (Fig. 3a) require use of a boring bar after drilling and should be avoided, especially when they are greater than three times the drill diameter below the surface. Stepped and combination tools are particularly attractive for CNC equipment because they eliminate tool changes. Cost analyses can be used to determine the conditions under which the additional cost of a stepped or combination tool over discrete standard tools is justified (Ref 5). Lists of simple design rules often state that blind holes should be avoided (Ref 3). It is often difficult to remove chips from blind holes in parts manufactured on vertical spindle machines, and deep blind holes should be avoided when using such equipment. Blind holes should also be avoided when drilling magnesium parts, because fines that can result in a fire hazard may be generated during spindle reversal at the bottom of such holes. When drilling materials other than magnesium on horizontal spindle equipment, however, the preference for through versus blind holes is not as easily justified. In these applications, chip removal does not present as serious a problem, and the burr formation and additional tool wear generated by vibration and feed surging at exit make through hole drilling less attractive.

Re fe r e n ce s cit e d in t h is se ct ion

3. C.V. Starkey, Engineering Design Decisions, Edward Arnold, London, 1992, p 178-179 5. D.A. Stephenson and J.S. Agapiou, Chapters 2, 11, and 13, Metal Cutting Theory and Practice, Marcel Dekker, 1996 8. J.S. Agapiou, An Evaluation of Advanced Drill Body and Point Geometries in Drilling Cast Iron, Trans. NAMRI/SME, Vol 19, 1991, p 79-89

D e sign for M a ch in in g D.A. St ephenson, General Mot ors Powert rain Group

Applica t ion of D e sign - for - M a ch in in g Ru le s Application of the design-for-machining rules requires cooperation between part designers and manufacturing engineers. Ideally this cooperation should begin early in the design process, with the designer consulting with a manufacturing engineer from the intended manufacturing site periodically to develop an understanding of the type and capabilities of the equipment and tooling available at the site, similar information on proposed new equipment purchases, facilities issues, and operating policies that can influence production decisions. For simple parts, only one designer and a shop foreman or process engineer may be responsible for the part design and manufacturing plan, and communication issues generally do not arise. In large organizations or for complex parts, additional personnel may be involved on both sides. Complicated parts intended for high-volume production may be designed by a team of designers and engineers, and the manufacturing process, tooling, and materials-handling plans may be developed by different manufacturing engineers. In these cases, periodic DFM workshops may be useful in ensuring that input is received from all parties and that decisions are rapidly communicated. These workshops seldom focus on machining issues alone, but also cover manufacturability concerns in casting, assembly, and other operations. The rules themselves can be applied through various mechanisms (Ref 9). Commonly, they are applied as rules of thumb or incorporated into best practice or design-rule books tailored to the business needs and capabilities of a particular organization. When formal DFM workshops involving a number of participants are held, computer programs such as those described in the section "Computer Aids" in this article can also be used as a supplement to group discussion to help apply the rules in a structured fashion.

Re fe r e n ce cit e d in t h is se ct ion

9. H.W. Stoll, Tech Report: Design for Manufacture, Manuf. Eng., Vol 100 (No. 1), 1988, p 67-73 D e sign for M a ch in in g D.A. St ephenson, General Mot ors Powert rain Group

Com pu t e r Aids The design-for-machining rules discussed above can be incorporated, at least in simplified forms, into computer programs to aid in automating the design process. These programs may also include tool path generation, functional requirement evaluation, and economic analysis modules to help quantify some of the trade-offs often required to apply the rules, although some subjective input is required to adapt algorithms to the specific application, production volume, and type of equipment under consideration. Two basic types of programs can be used for this purpose: computer-aided process planning (CAPP) and design-for-manufacturing or -manufacturability (DFM) programs. A detailed review of the literature on such programs is beyond the scope of this article; this section briefly describes the structure and typical uses of such programs. Com pu t e r - a ide d pr oce ss pla n n in g pr ogr a m s (Ref 10, 11, 12, and 13) work with CAD systems to extract the

relevant geometric features of a part and produce a process sequence or set of tool paths that is optimal in some sense. Two steps are involved in this approach: feature extraction and optimization. In the feature-extraction stage, the CAD data for the part are analyzed to identify and classify the features that require machining. The extraction algorithm is specific to the CAD system used and particularly to how data are stored and whether the data are parameterized or not. Many systems can be used to classify features. Based on the extraction results, order and precedence constraints are established, and feasible tool paths are generated. The initial tool paths are then refined using an optimization algorithm until a

solution that is optimal according to some criterion is achieved. The simplest criterion is minimum processing or cutting time, although if tool life and economic analyses are performed, a minimum cost criterion can also be used. Design-for-machining rules and concepts can be applied in principle with CAPP programs as heuristics based on dataextraction results or as constraints based on identified features. Also, if a breakdown of processing time or cost is output as a function of individual features, those features that result in the maximum time or cost can be identified and considered for redesign. The second approach is more straightforward and easily applied. Computer-aided process planning programs are most easily applied to production with CNC equipment and medium to large production volumes. It is an optimization approach that is normally used at a relatively late stage of the design process when a complete initial design is available. D e sign - for - M a n u fa ct u r a bilit y pr ogr a m s (Ref 9, 14) are artificial intelligence programs written specifically to

apply DFM rules. General-purpose DFM programs include modules for assembly, stamping, and other processes as well as machining. Because desirable machining practices vary depending on the volume of production and the machine tools available, it is difficult to write a widely applicable general-purpose design-for-machining module. Some large companies have proprietary in-house codes used to apply design-for-machining rules in a manner tailored to their business operations. A DFM program typically has an input module and an analysis module. Data input is not as automated as in CAPP programs; rather than reading required geometric information from a CAD file, part features and dimensions must generally be input manually according to some format and classification scheme. This is partly because DFM programs are intended to be applied at an earlier stage of the design process (when no complete CAD model of the part may be available), and partly because additional subjective information, such as the perceived relative machinability of various materials or the relative penalty associated with given undesirable features, is often required. Once data are input, the analysis module is used to compute a relative machinability score for the design as entered. The algorithm used to compute the score varies from program to program, but in general the score depends on the complexity of the design and the penalties associated with difficult-to-machine materials or features. In DFM workshops, some rough estimate of the machining cost can also be computed (e.g., using a spreadsheet) for the given design. The output of the program is a detailed breakdown of components of the score due to individual features, which often clearly identifies the feature(s) most responsible for complexity or excessive cost. Unlike CAPP programs, DFM programs are used for comparison rather than formal optimization. Usually several design alternatives are compared to a benchmark design, and based on the DFM score the best design is chosen and refined. For complex parts, the process may be repeated at various stages of the design (e.g., at an early stage and before fabrication of the first prototype). Design for manufacturability programs can be used for parts manufactured on either CNC or dedicated production equipment. They are well suited for designing complex parts for mass production and are currently more widely used than CAPP programs in these applications. Related information is provided in the article "Design for Manufacture and Assembly" in this Volume.

Re fe r e n ce s cit e d in t h is se ct ion

9. H.W. Stoll, Tech Report: Design for Manufacture, Manuf. Eng., Vol 100 (No. 1), 1988, p 67-73 10. H.A. ElMaraghy, Evolution and Perspectives of CAPP, CIRP Ann., Vol 42 (No.2), 1993, p 1-13 11. L. Alting and H. Zhang, Computer Aided Process Planning: The State of the Art Survey, Int. J. Prod. Res., Vol 26, 1989, p 999-1014 12. S.K. Gupta and D.S. Nau, Systematic Approach to Analysing the Manufacturability of Machined Parts, Comput.-Aided Des., Vol 27 (No. 5), 1995, p 323-342 13. F.G. Mill, J.C. Naish, and C.J. Salmon, Design for Machining with a Simultaneous-Engineering Workstation, Comput.-Aided Des., Vol 26 (No. 7), 1994, p 521-527 14. G. Boothroyd, Product Design for Manufacture and Assembly, Comput.-Aided Des., Vol 26 (No. 7), 1994, p 505-520

D e sign for M a ch in in g D.A. St ephenson, General Mot ors Powert rain Group

D e sign - for - M a ch in in g Ex a m ple s Ex a m ple 1 : Re de sign of a Sh a ft Su ppor t Br a ck e t . Figure 7 shows an initial design of a shaft support bracket. This part was designed to be bolted to a mating housing wall to provide support and lubrication for a long shaft. The features to be machined include the shaft bore, an oil hole for lubrication, and mounting holes for dowel pins and bolts. To prevent binding of the shaft, the diameter of the bore must be machined accurately, and the location of the bore center with respect to the dowel pin hole centers must be held to a close tolerance.

Fig. 7 Side ( a) and end ( b) views of t he init ial design for a shaft support bracket

The part, made of nodular cast iron, was to be machined in high volumes on a horizontal spindle CNC machining center. The critical tolerances dictated that the dowel holes be machined first using short drills, and that the bore be produced by a single-point boring bar without refixturing the part. The initial design presented a number of difficulties from a machining viewpoint. Different diameters were used for the dowel and bolt holes, so that a tool change would be required to produce these features. This would increase processing time and reduce the location accuracy of the holes relative to one another. The bore was long (roughly 100 mm, or 4 in.) and would require a boring step of significant length. The oil hole was also long (roughly 50 mm, or 2 in.) relative to its diameter and would require a long processing step. Finally, there is no obvious way to fixture the part automatically; presumably, it would be held in a vise on the outer surfaces of the flange, which are contoured and would not present flat clamping surfaces. To prevent rotation of the part due to the torques involved in the boring operations, a high clamping pressure would be required; because the clamping stresses are transmitted through the part, this could result in distortion of the bore and an out-of-roundness error upon unclamping. The part was redesigned to address these difficulties as shown in Fig. 8. Three significant changes were made. First, the diameters of the dowel and bolt holes were standardized to eliminate the tool change. Second, the casting was changed so that the center of the bore had a larger diameter than the ends. This increased the mass of the part, but reduced the length of the bore, which would have to be machined to roughly 40 mm (1.6 in.). In addition, the depth of the oil hole was reduced by 5 mm (0.2 in.), and the hole no longer exited on a machined portion of the bore, eliminating a possible exit burr condition. Finally, flat surfaces were cast on three faces of the flange to provide clamping pads and to eliminate a contoured entry surface when drilling the oil hole. The revised part could easily be fixtured by clamping in a vise on the flat surfaces parallel to the oil hole; by mounting the vise on an angle plate on the machine table, the hole could be drilled horizontally from the side of the vise. A lower clamping pressure could be used because the flats provide a positive stop that would resist rotation. The flat surface provided for the oil hole entry also reduced the hole depth by an additional 5 mm (0.2 in.).

Fig. 8 Side ( a) and end ( b) views of a shaft support bracket redesigned t o sim plify m achining

With these changes, the processing time required to machine these features was reduced from 173 to 119 s, a reduction of more than 33%; in addition, the design changes should improve part quality by simplifying achievement of the critical tolerances and by permitting the use of reduced clamping pressures.

Ex a m ple 2 : Re de sign of a Rot or H ou sin g. Figure 9 shows a cross section of the initial design of a die-cast aluminum rotor housing to be machined in several steps on CNC turning centers. In the operation shown, internal surfaces are to be cut using boring and grooving tools. To minimize axial tolerances between normal surfaces, two long boring passes (labeled "first cut" and "second cut" in Fig. 9) are planned. In addition, two grooves for retaining rings are also required.

Fig. 9 Cross sect ion of t he init ial design for a rot or housing

The boring passes are difficult to plan for the initial design. There are several internal sharp corners; in addition, there is an internal angled cut at 45° to the part axis which cannot be accessed by a standard tool that will clear other internal surfaces. The grooves also have different axial widths. For the initial design, therefore, two grooving tools, two standard boring tools, and additional special tools to reach the internal sharp corners would be required to make the desired cuts. Figure 10(a) shows a revised design that simplifies the machining. Upon consultation, it was determined that the dimensions of the grooves could be standardized, eliminating the need for one of the grooving tools. The internal sharp corners were replaced by radiused corners to permit machining with a standard boring insert. Finally, the initial 45° angled cut was replaced with a 60° angled cut that could be produced with a standard 55° boring insert mounted in a standard -5° lead boring bar as shown in Fig. 10(b). In the revised design, the required cuts can be made with two standard boring tools and a single grooving tool, saving at least three tool changes. Because the special tools required to machine the sharp internal corners would wear rapidly, the revised design also results in increased tool life and improved part quality.

Fig. 1 0 ( a) Cross sect ion of a rot or housing redesigned t o sim plify m achining. ( b) Access t o int ernal feat ures using a boring bar wit h a st andard 55° boring inser t

D e sign for M a ch in in g D.A. St ephenson, General Mot ors Powert rain Group

Re fe r e n ce s

O.W. Boston, Metal Processing, 2nd ed., Wiley, 1951, p 1-8 J.G. Bralla, Design for Excellence, McGraw Hill, 1996, p 46-47 C.V. Starkey, Engineering Design Decisions, Edward Arnold, London, 1992, p 178-179 R. Bakerjian, ed., Chapter 11, Tool and Manufacturing Engineer's Handbook, Vol VI, Design for Manufacturability, 4th ed., Society of Manufacturing Engineers, 1992 5. D.A. Stephenson and J.S. Agapiou, Chapters 2, 11, and 13, Metal Cutting Theory and Practice, Marcel Dekker, 1996 6. Machining, Vol 16, ASM Handbook, ASM International, 1989 7. Bar Products Group, American Iron and Steel Institute, Steel Bar Product Guidelines, Iron and Steel Society, Warrendale, PA, 1994, p 164-166 8. J.S. Agapiou, An Evaluation of Advanced Drill Body and Point Geometries in Drilling Cast Iron, Trans. NAMRI/SME, Vol 19, 1991, p 79-89 9. H.W. Stoll, Tech Report: Design for Manufacture, Manuf. Eng., Vol 100 (No. 1), 1988, p 67-73 10. H.A. ElMaraghy, Evolution and Perspectives of CAPP, CIRP Ann., Vol 42 (No.2), 1993, p 1-13 11. L. Alting and H. Zhang, Computer Aided Process Planning: The State of the Art Survey, Int. J. Prod. Res., Vol 26, 1989, p 999-1014 12. S.K. Gupta and D.S. Nau, Systematic Approach to Analysing the Manufacturability of Machined Parts, Comput.-Aided Des., Vol 27 (No. 5), 1995, p 323-342 13. F.G. Mill, J.C. Naish, and C.J. Salmon, Design for Machining with a Simultaneous-Engineering Workstation, Comput.-Aided Des., Vol 26 (No. 7), 1994, p 521-527 14. G. Boothroyd, Product Design for Manufacture and Assembly, Comput.-Aided Des., Vol 26 (No. 7), 1994, p 505-520 1. 2. 3. 4.

D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

I n t r odu ct ion JOINING is an important manufacturing activity employed in assembling parts to make components. The individual parts of a component meet at joints. Joints primarily transmit or distribute forces generated during service from one part to the other parts of an assembly. A joint can be either temporary or permanent. Commonly, five joint types are used in the joining of parts: butt, tee, corner, lap, and edge (Fig. 1).

Fig. 1 Types of j oint s. Source: Ref 1

The selection of an appropriate design to join parts is based on a concurrent understanding of several considerations related to product and joining process. Product-related considerations include codes and standards, fitness for service, aesthetics, manufacturability, repairability, reliability, inspectability, safety, and unit cost of fabrication. Considerations related to joining process include material types and thicknesses, joint (part) geometry, joint location and accessibility, handling, jigging and fixturing, distortion control, productivity, and initial investment. Additional considerations include whether the joint is fabricated in a shop or at a remote site, possibilities for premature failure, and containment in case of a catastrophic failure (this is applicable, for example, to components subjected to nuclear radiation). The term joint design emphasizes designing of a joint based on product-related considerations for meeting structural design requirements. The design or selection of appropriate joint type is determined primarily from the type of service loading. For example, butt joints are preferred over tee, corner, lap, or edge joints in components subjected to fatigue loading. The specific joint design aspects, such as the size, length, and relative orientation of the joint, are based on stress calculations that are derived from an evaluation of service loads, properties of materials, properties of sections, and appropriate structural design requirements. An ideal joint is one that effectively transmits forces among the joint members and throughout the assembly, meets all structural design requirements, and can still be produced at minimal cost (Ref 1). Individual articles in various Sections of this Volume specifically address design of parts or components based on an understanding of several product-related considerations vis-à-vis appropriate structural design requirements. The term design for joining refers to creating a mechanism that allows the fabrication of a joint using a suitable joining process, at minimal cost. In this context, design for joining emphasizes how to design a joint or conduct a joining process so that components can be produced most efficiently and without defects. This involves selection and application of good design practices based on an understanding of process-related manufacturing aspects such as accessibility, quality, productivity, and overall manufacturing cost. This article provides a brief description of various joining processes, a summary of good design practices from a joining process standpoint, and several examples of selected parts and joining processes to illustrate or highlight the advantages of a specific design practice in improving manufacturability.

Ack n ow le dge m e n t s

The following sections in this article were adapted from handbooks published by ASM International (as cited in the list of References): "Mechanical Fastening" (Ref 2), "Adhesive Bonding" (Ref 3), "Brazing" (Ref 5, 6), and "Soldering" (Ref 7). The numbered examples were compiled from Welding, Brazing, and Soldering, Volume 6 of the 9th Edition Metals Handbook.

Re fe r e n ce s

1. O.W. Blodgett, Joint Design and Preparation, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 60-72 2. W.J. Jensen, Failures of Mechanical Fasteners, Failure Analysis and Prevention, Vol 11, ASM Handbook (formerly 9th ed. Metals Handbook), American Society for Metals, 1986, p 529-549 3. Adhesives, Engineered Materials Handbook Desk Edition, M. Gauthier, Ed., ASM International, 1995, p 633-671 5. M.M. Schwartz, Fundamentals of Brazing, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 114-125 6. M.M. Schwartz, Introduction to Brazing and Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 109-113 7. M.M. Schwartz, Fundamentals of Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 126-137 D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Join in g Pr oce sse s Joining processes include mechanical fastening, adhesive bonding, welding, brazing, and soldering. Mechanical fastening and adhesive bonding are often (but not always) used to produce temporary or semi-permanent joints, while welding, brazing, and soldering processes are used to provide permanent joints. Mechanical fastening and adhesive bonding usually do not cause metallurgical reactions. Consequently, these methods are preferred when joining dissimilar combinations of materials, and for joining metal-matrix, ceramic-matrix, and polymer-matrix composites that are sensitive to metallurgical phase changes or polymerization reactions. M e ch a n ica l Fa st e n in g (Ref 2). The selection and satisfactory use of a particular fastener are dictated by the design

requirements and conditions under which the fastener will be used. Consideration must be given to the purpose of the fastener, the type and thickness of materials to be joined, the configuration and total thickness of the joint to be fastened, the operating environment of the installed fastener, and the type of loading to which the fastener will be subjected in service. Th r e a de d fa st e n e r s are considered to be any threaded part that, after assembly of the joint, may be removed without damage to the fastener or to the members being joined. Rive t s are permanent one-piece fasteners that are installed by mechanically upsetting one end. Blin d fa st e n e r s are usually multiple-piece devices that can be installed in a joint that is accessible from only one side.

When a blind fastener is being installed, a self-contained mechanism, an explosive, or other device forms an upset on the inaccessible side. Pin fa st e n e r s are one-piece fasteners, either solid or tubular, that are used in assemblies in which the load is primarily

shear. A malleable collar is sometimes swaged or formed on the pin to secure the joint.

Spe cia l- pu r pose fa st e n e r s, many of which are proprietary, such as retaining rings, latches, slotted springs, and studs,

are designed to allow easy, quick removal and replacement and show little or no deterioration with repeated use. Adh e sive Bon din g (Ref 3). An adhesive is a substance (usually an organic or silicone polymer) capable of holding materials together in a functional manner by surface attachment. The capability of holding materials together is not an intrinsic property of a substance but, rather, depends on the context in which that substance is used. Two important, basic facts about adhesive materials are that a substance called an adhesive does not perform its function independent of a context of use and that an adhesive does not exist that will bond "anything to anything" with (implied) equal utility.

The major function of adhesives is for mechanical fastening. Because an adhesive can transmit loads from one member of a joint to another, it allows a more uniform stress distribution than is obtained using a mechanical fastener. Thus, adhesives often permit the fabrication of structures that are mechanically equivalent or superior to conventional assemblies and, furthermore, have cost and weight benefits. Although the major function of adhesives is to fasten, sometimes they are also required to seal and insulate. Formulations that are good electrical and/or thermal conductors are also available. Further, adhesives prevent electrochemical corrosion in joints between dissimilar metals and resist vibration and fatigue. In addition, unlike mechanical fasteners, adhesives do not generally change the contours of the parts that they join. Detailed information on adhesives and adhesive bonding is available in Adhesives and Sealants, Volume 3 of the Engineered Materials Handbook published by ASM International. W e ldin g includes both fusion welding and solid-state welding processes. Fu sion w e ldin g processes involve localized melting and solidification and are normally used when joining similar

material combinations or materials belonging to the same family (e.g., joining one type of stainless steel with another type). Figure 2 illustrates the type of welds commonly used with fusion welding processes such as arc welding (Ref 1).

Fig. 2 Types of welds. Source: Ref 1

Fusion welding processes also include electron beam welding and laser welding. These two welding processes require precise joint gap and positioning. Joint designs and clearances that overwhelmingly trap the beam energy within the joint cavity are preferred for increasing process efficiency. Figure 3 shows preferred and non-recommended joint designs for electron beam welding (Ref 4). When joining thick sections, the preferred joint designs allow the weld metal to freely shrink without causing cracking.

Fig. 3 Opt im um versus least desirable weld configurat ions. ( a) Not recom m ended- -m axim um confinem ent of m olt en m et al, m inim um j oining cross sect ion ( arrows) ; wast es beam energy for m elt ing, nonfunct ional m et al. ( b) Most favorable- - volum e of m elt not confined; m axim um j oining cross sect ion ( arrows) . ( c) Not recom m ended- - m axim um confinem ent of m elt ( unless gap is provided) ; j oining cross sect ion less t han plat e cross sect ion. ( d) Most favorable- - m inim um const raint and confinem ent of m elt ; m inim um int ernal st resses; warpage can be offset by bending prior t o welding; t ilt can be offset by locat ion of T-arm at less t han 90° t o

base prior t o welding. Fillet obt ained by placing wire in right corner and m elt ing it wit h t he beam . ( e) Not recom m ended- - t wo successive welds; second weld is fully const rained by t he first weld and shows st rong t endency t o crack. Source: Ref 4

Solid- st a t e w e ldin g processes preclude melting and solidification and therefore are suitable for joining dissimilar

materials. However, the process conditions may allow solid-state metallurgical reactions to occur in the weld zone. When metallurgical reactions occur, they can either benefit or adversely affect the properties of the joint. From a metallurgical perspective, the application of both fusion welding and solid-state welding processes must be evaluated using appropriate weldability testing methods for their ability to either recreate or retain base metal characteristics across the joint. These weldability evaluations combine material, process, and procedure aspects to identify combinations that would provide a weld joint with an acceptable set of properties. Solid-state welding processes also have special joint design or part cross-section requirements. For example, continuousdrive and inertia friction welding processes require that one of the parts exhibit a circular or near-circular cross section. Diffusion bonding is another solid-state welding process that allows joining of a variety of structural materials, both metals and nonmetals. However, diffusion bonding requires an extremely smooth surface finish (8 m) to provide intimate contact of parts, a high temperature, and a high pressure, first to allow intimate contact of the parts along the bond interface, followed by plastic deformation of the surface asperities (on a microscopic scale), and second to promote diffusion across the bond interface. The need to apply pressure while maintaining part alignment imposes a severe limitation on joint design. Alternatively, when exceptional surface finish is difficult to achieve, a metallurgically compatible, low-melting interlayer can be inserted between the parts to produce a transient liquid phase on heating. On subsequent cooling this liquid phase undergoes progressive solidification, aided by diffusion across the solid/liquid interfaces, and thereby joins the parts. This process has characteristics similar to those of the brazing process. Br a zin g (Ref 5, 6) is a process for joining solid metals in close proximity by introducing a liquid metal that melts above 450 °C (840 °F). A sound brazed joint generally results when an appropriate filler alloy is selected, the parent metal surfaces are clean and remain clean during heating to the flow temperature of the brazing alloy, and a suitable joint design that allows capillary action is used.

Strong, uniform, leakproof joints can be made rapidly, inexpensively, and even simultaneously. Joints that are inaccessible and parts that may not be joinable at all by other methods often can be joined by brazing. Complicated assemblies comprising thick and thin sections, odd shapes, and differing wrought and cast alloys can be turned into integral components by a single trip through a brazing furnace or a dip pot. Metal as thin as 0.01 mm (0.0004 in.) and as thick as 150 mm (6 in.) can be brazed. Brazed joint strength is high. The nature of the interatomic (metallic) bond is such that even a simple joint, when properly designed and made, will have strength equal to or greater than that of the as-brazed parent metal. The mere fact that brazing does not involve any substantial melting of the base metals offers several advantages over other welding processes. It is generally possible to maintain closer assembly tolerances and to produce a cosmetically neater joint without costly secondary operations. Even more important, however, is that brazing makes it possible to join dissimilar metals (or metals to ceramics) that, because of metallurgical incompatibilities, cannot be joined by traditional fusion welding processes. (If the base metals do not have to be melted to be joined, it does not matter that they have widely different melting points. Therefore, steel can be brazed to copper as easily as to another steel.) Brazing also generally produces less thermally induced distortion, or warping, than fusion welding. An entire part can be brought up to the same brazing temperature, thereby preventing the kind of localized heating that causes distortion in welding. Finally, and perhaps most important to the manufacturing engineer, brazing readily lends itself to mass production techniques. It is relatively easy to automate, because the application of heat does not have to be localized, as in fusion welding, and the application of filler metal is less critical. In fact, given the proper clearance conditions and heat, a brazed joint tends to "make itself" and is not dependent on operator skill, as are most fusion welding processes.

Automation is also simplified by the fact that there are many means of applying heat to the joint, including torches, furnaces, induction coils, electrical resistance, and dipping. Several joints in one assembly often can be produced in one multiple-braze operation during one heating cycle, further enhancing production automation. Solde r in g (Ref 7) is a joining process by which two substrates are bonded together using a filler metal (solder) with a

liquidus temperature that does not exceed 450 °C (840 °F). The substrate materials remain solid during the bonding process. The solder is usually distributed between the properly fitted surfaces of the joint by capillary action. The bond between solder and base metal is more than adhesion or mechanical attachment, although these do contribute to bond strength. Rather the essential feature of the soldered joint is that a metallurgical bond is produced at the fillermetal/base-metal interface. The solder reacts with the base metal surface and wets the metal by intermetallic compound formation. Upon solidification, the joint is held together by the same attraction, between adjacent atoms, that holds a piece of solid metal together. When the joint is completely solidified, diffusion between the base metal and soldered joint continues until the completed part is cooled to room temperature. Mechanical properties of soldered joints, therefore, are generally related to, but not equivalent to, the mechanical properties of the soldering alloy. Mass soldering by wave, drag, or dip machines has been a preferred method for making high-quality, reliable connections for many decades. Correctly controlled, soldering is one of the least expensive methods for fabricating electrical connections. Adva n t a ge s of br a zin g a n d solde r in g include the following:

• • • • • •

The joint forms itself by the nature of the flow, wetting, and subsequent crystallization process, even when the heat and the braze or solder are not directed precisely to the places to be joined. The process temperature is relatively low, so there is no need for the heat to be applied locally, as in welding. Brazing and soldering allow considerable freedom in the dimensioning of joints, so that it is possible to obtain good results even if a variety of components are used on the same product. The brazed or soldered connections can be disconnected if necessary, thus facilitating repair. The equipment for both manual and machine brazing/soldering is relatively simple. The processes can be easily automated, offering the possibility of in-line arrangements of brazing/soldering machines with other equipment.

Re fe r e n ce s cit e d in t h is se ct ion

1. O.W. Blodgett, Joint Design and Preparation, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 60-72 2. W.J. Jensen, Failures of Mechanical Fasteners, Failure Analysis and Prevention, Vol 11, ASM Handbook (formerly 9th ed. Metals Handbook), American Society for Metals, 1986, p 529-549 3. Adhesives, Engineered Materials Handbook Desk Edition, M. Gauthier, Ed., ASM International, 1995, p 633-671 4. Procedure Development and Practice Considerations for Electron-Beam Welding, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 851-873 5. M.M. Schwartz, Fundamentals of Brazing, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 114-125 6. M.M. Schwartz, Introduction to Brazing and Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 109-113 7. M.M. Schwartz, Fundamentals of Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 126-137

D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Ba sic D e sign Con side r a t ion s When designing a joint, one should initially consider manufacturability of the joint, whether at a shop or at a remote site. For example, consider the need for a high integrity, high-performance joint between two dissimilar materials such as a low-carbon steel and an aluminum alloy. If this joint has to be produced at a remote site, the available choice of joining processes is extremely limited. A viable alternative would be to produce at a shop a transition piece involving the two dissimilar materials. Using controlled process conditions at a shop, one could produce a high-integrity transition piece using one of the solid-state welding processes. The selection of the appropriate solid-state welding process would depend on joint (part) geometry. A transition joint between a plate and a pipe is best produced using a friction welding process, while a joint between two large plate surfaces is best produced using explosive bonding. Because these joining processes preclude melting and solidification, they provide high-integrity joints free from porosity or solidification-related defects. Transition pieces so produced could be used at a remote site to make similar metal joints between component parts with no undue quality assurance or quality control concerns. D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Good D e sign Pr a ct ice s A joint must be designed to benefit from the inherent advantages of the selected method of joining. For example, braze joints perform very well when subjected to shear loading, but not when subjected to pure tensile loading. When using a brazing process to join parts, it would be beneficial to employ innovative design features that would convert a joint subjected to tensile loading to shear loading. For example, use of butt-lap joints instead of butt joints can provide a beneficial effect in flat parts and tubular sections. Joints must be designed to reduce stress concentration. Sharp changes in part geometry near the joint tend to increase stress concentration or notch effects. Smooth contours and radiused corners tend to reduce stress concentration effects. Figure 4 shows a number of ways to redistribute stresses in a brazed joint (Ref 8).

Fig. 4 Design of a brazed j oint t o redist ribut e st ress. Source: Ref 8

When determining appropriate joint designs, one should initially consider standard or recommended joint designs. In practice, several standard joint designs may be suitable for producing a joint. Subtle or innovative features could be added to the recommended joint designs to improve productivity through mechanization or automation, to enhance joint performance, and to ensure safety. Or ie n t a t ion a n d Align m e n t . Design features that promote self-location and maintain the relative orientation and alignment of component parts save valuable time during fit-up and enhance the ability to produce a high-quality joint. For example, operations involving furnace brazing or diffusion bonding with interlayers benefit from such a type of joint design, because they also require pre-placement of the brazing filler or the interlayer in the joint.

The pin-socket type of temporary joints in modern electrical, telephone, and computer connectors allow temporary joining of cables in only one way. These joint designs strongly discourage any inadvertent misalignment or wrong orientation of the connectors and thereby eliminate a variety of hazards. The snap-on interlocking features in twisted, threaded, or nonthreaded adapter joint designs, commonly used in children's toys, often allow the snapping sound of a latch to indicate the satisfactory completion of the joint and its safety for the intended use. Jigging and fixturing can also be used to maintain relative orientation of parts. When necessary, the fixturing devices should be designed for the least possible thermal mass and pin-point or knife-line contact with the parts. Fixtures of low thermal mass and minimal contact with the parts reduce the overall thermal load during joining. Further, arc welding processes generally allow higher deposition rates when joining is performed in the downhand position, where gravity effects tend to support a large volume of molten weld metal at the joint region. When joining parts that exhibit a nonplanar joint contour, positioning equipment can be used to continuously manipulate the parts so that the welding is performed in the downhand position. In such cases, the design of the joint and fixtures should be complementary to the positioning equipment used, and it should not interfere with the functioning of the positioning equipment.

Join t Loca t ion a n d Acce ssibilit y. From a structural integrity standpoint, joint locations should be chosen such that

they are not in regions subjected to maximum stress. Concurrently, joints must be placed in locations that will allow operators to readily make the joints using the selected method of joining. Figure 5 illustrates the effect of location of a joint on accessibility (Ref 1). Limited accessibility can reduce the overall quality of the joint, decrease productivity, or both. Invariably, limited accessibility to produce joints also limits accessibility to perform nondestructive evaluation of joint quality, either during the time the joint is made or afterwards.

Fig. 5 Effect of j oint locat ion on accessibilit y. Source: Ref 1

Weld joint designs employ bevel angles and root openings to enhance accessibility to the welding torch (or electrode) and provide adequate weld penetration. The best bevel angles provide adequate accessibility while reducing the amount of weld metal required to complete the joint. Currently, computer-based software tools are available to facilitate the selection of a weld joint for minimizing the amount of weld metal. Use of such computer-based selection of joint designs increases welding productivity (joint completion rate), improves quality, and reduces overall fabrication cost, but such designs must be used only when they are consistent with structural design requirements. For this reason, codes such as the ASME Boiler and Pressure Vessel Code, Section IX: Welding Qualifications, and ANSI/AWS D1.1 Structural Welding Code provide flexibility to a welding manufacturer (fabricator) to select or change weld joint design for fabrication, but they require the manufacturer to qualify the welding procedure to meet design performance requirements whenever changes are made to a previously qualified, nonstandard weld joint design. In recent years, the use of narrow-gap gasmetal arc welding and submerged arc welding techniques in the place of conventional welding techniques for welding thick-section pressure vessel steels has contributed significantly to increased weld joint completion rates Un e qu a l Se ct ion Th ick n e ss. When constituent members of an assembly exhibit unequal section thicknesses,

modifications to the recommended joint designs will be necessary for a variety of technical reasons (Ref 9), but mainly to provide a smooth flow of stress patterns through the unequal sections. When making a fillet weld using an arc welding process, if thicknesses of the members are not greatly different, directing the arc toward the thicker member may produce acceptable penetration. However, special designs for joining will be required when the components to be welded exhibit a large heat sink differential (difference in heat-dissipating capacities). When a thick member is joined to a thin member, the welding heat input (mainly current) needed to obtain a good penetration into the thick member is sometimes too much for the thin member and results in undercutting of the thin member and a poor weld. Similarly, if the proper amount of current for the thin member is used, the heat is insufficient to provide adequate fusion in the thick member, and again a poor weld results. Too little heat input can also cause underbead cracking in certain structural materials. A widely applicable method of minimizing heat sink differential is to place a copper backing block (Fig. 6) against the thin member during fusion welding (Ref 9). The block serves as a chill, or heat sink, for the thin member. The block can be beveled along one edge so that it can be used when horizontal fillet welds are deposited on both sides of a thin member. Copper backing bars or strips are made in a variety of shapes and sizes to dissipate heat as needed. Often some experimentation and proof testing are required to obtain the optimum backing location and design. Another way to obtain equalized heating and smooth transfer of stress where unequal section thicknesses are being welded is to taper one or both members to obtain an equal width or thickness at the joint. Commonly, when two pipes of dissimilar internal diameter and wall thickness are to be joined, a convenient way is to introduce a "reducer" between the two pipes. One end of the reducer will have the same size and wall thickness as the larger pipe, while the other end of the reducer will have the same size and wall thickness as the smaller pipe.

Fig. 6 Use of copper backing bar as a chill t o m inim ize heat sink different ial. Source: Ref 9

D ist or t ion Con t r ol. Design of an appropriate weld joint can also help reduce welding-related distortion. Fusion welding processes employ localized melting and solidification to join component parts, which can result in excessive thermal strains. These thermal strains are dependent on the type of material, the welding process, and the welding procedure. Thermal strains produced by fusion welding processes can cause residual stresses and distortion, leading to

transverse and angular shrinkage. Reducing the overall length of the weld or the amount of weld metal that needs to be deposited to complete a joint reduces both residual stresses and distortion. For example, intermittent welding instead of continuous welding reduces the overall length of a weld. Similarly, the use of a double-V groove instead of a single-V groove results in the reduction of the amount of weld metal and minimizes transverse shrinkage (Ref 10). Further, the amount of angular shrinkage is strongly influenced by the ratio of the weld metal in the top and the bottom sides of the plate. To minimize the out-of-plane distortion in fillet welded joints, efforts should be directed to using the minimum size of the welds that is consistent with strength considerations.

Re fe r e n ce s cit e d in t h is se ct ion

1. O.W. Blodgett, Joint Design and Preparation, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 60-72 8. The Brazing Book, Handy & Harmon, 1983, p 10 9. G.L. Serangeli, et al., Shielded Metal Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 91 10. K. Masubuchi, Residual Stresses and Distortion, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 887 D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Ca se H ist or ie s The case histories in this section illustrate the selection of design for joining, based on one or more of the good design practices discussed above. The case histories were compiled from Welding, Brazing, and Soldering, Volume 6 of the 9th Edition of Metals Handbook. The examples highlight the application of industrial engineering principles to design practices pertaining to fusion welding, diffusion welding, and brazing as they are widely used in the manufacture of components. The basic principles of these design practices are also applicable to other methods of joining such as mechanical fastening, adhesive bonding, soldering, and so on.

Ex a m ple 1 : Pr oce ss Se le ct ion Obvia t e s t h e N e e d for Join t Pr e pa r a t ion . Bulldozer blades (Ref 11) were assembled from several low-carbon steel components that had relatively thick sections, generally 13 mm ( welds.

in.) or more (Fig. 7). Most welds were 6.4 to 13 mm (

to

in.) fillet welds. A few were groove

Auxiliary gas shielded FCAW Joint type Weld type Weld size

Corner Fillet; some groove 6.35 to 12.7 mm ( Flat; horizontal

Welding position Number of passes for fillet welds:

to

in.)

1 For 6.35 to 7.94 mm (

and

in.), flat position 2

For 2.03 mm (

in.), horizontal position 1

For 0.44 and 12.7 mm (

and

in.), flat position

For 0.44 and 12.7 mm ( Shielding gas Electrode

and

in.), horizontal position

3

Current Voltage Electrode feed

Carbon dioxide at 1 m3/h (35 ft3/h) 2.4 mm ( in.) diam flux cored wire 450 A 30-32 V 494 cm (206 in.) per min

Fig. 7 Bulldozer blade and com parison of j oint penet rat ion ( and act ual t hroat dept h) of fillet welds m ade by shielded m et al arc welding and by auxiliary gas shielded flux cored arc welding ( FCAW) . Low-carbon base m et al; low- carbon st eel filler m et al. Source: Ref 11

To produce fillet welds involving thicker plates, flux cored arc welding (FCAW) was selected in preference to shielded metal arc welding (SMAW), for three reasons: deeper joint penetration, permitting the use of smaller fillets without decreasing the strength of the joint; higher deposition rate; and greater visibility of the arc to the welder, resulting in a better weld. The difference in joint penetration for the two processes is shown in Fig. 7. Use of SMAW to achieve the same level of penetration as FCAW would have required beveling the edge of the vertical member, or an additional number of weld passes. Details for FCAW are given in the table accompanying Fig. 7.

Ex a m ple 2 : Tw o- Tie r W e ldin g. Electron beam welding provided a unique solution to the problem of designing and fabricating a component of an aircraft gas turbine engine (Ref 12). As indicated in Fig. 8, the component consisted of a cylinder with an external flange on one end, an internal flange on the other, and a tubular annulus between. The components were assembled by welding the trough shape ends of the two subcomponent cylinders by a single two-tier circumferential weld.

Joint type Weld type Machine capacity Gun type Maximum vacuum Fixtures Preheat Welding power Welding vacuum Working distance Beam focal point Welding speed (at 0.42 rpm): Upper tier Lower tier Beam oscillation Number of passes Postweld heat treatment

(a)

Circumferential, two-tier butt Square groove 150 kV at 40 mA Fixed 1.3 ×10-3 Pa (10-5 torr) Bolted end plates; rotating positioner None 125 kV at 9.3 mA 1.3 × 10-2 Pa (10-4 torr) minimum 31 cm (12 in.) Midway between tiers(a) 76 cm/min (30 in./min) 73 cm/min (28.7 in./min) None One, plus 30° downslope Aged 16 h at 760 °C (1400 °F)

Indicated machine setting. See text of example for explanation of beam focal point.

Fig. 8 Tiered welds m ade sim ult aneously using t he elect ron beam welding process. Source: Ref 12

The components were made of René 41, for service at elevated temperature. The chief welding objectives were to obtain sound welds and to avoid distortion of the part, especially the alignment of the 288 holes located in the annulus less than 13 mm ( in.) from the joints. The holes had to be drilled before welding because they could not be deburred if drilled after welding. Arc welding was rejected as a joining method because it would have been necessary to use internal chills with gas backing in the annulus to minimize distortion and avoid atmospheric contamination. Electron beam welding not only met the basic requirements but also made both joints simultaneously, even though the two joints were separated by approximately 13 mm (

in.), as shown in detail A of Fig. 8.

Fixturing was relatively simple. The joints were accurately machined square and the components were assembled between two aluminum plates fitted over the flanges. The plates were connected and forced together by bolts located inside the inner flange. This fixture was then mounted on the faceplate of a welding positioner in the vacuum chamber so that the part would rotate with its axis horizontal. The electron beam gun was in a fixed, overhead position. Success of the two-tier welding operation depended on careful control of part alignment, beam alignment, beam focal point, power adjustment, and travel speed. The joints for the upper-tier and the lower-tier welds had to rotate in the same vertical plane, although by direct viewing they could not be observed simultaneously. In addition, beam impingement on the joint of the lower-tier weld could be verified only by emergence of the weld bead from the underside, or by sectioning of the test pieces. Alignment of the part for true horizontal-axis rotation was done with the aid of a precision level (sensitivity of 0.0004 mm per centimeter, or 0.0005 in. per foot) and precision spacer blocks placed on the face of the flange (62 cm, or 24.5 in. OD). Beam alignment was done by centering the beam spot on the reticle of the scope and moving the joint to this position. Beam focal point, beam power, and travel speed were adjusted by trial and error on test components until a satisfactory welding procedure was established. The final settings are shown in the table with Fig. 8. By adjusting the beam focus for an indicated setting midway between the two tiers, the weld shapes of Fig. 8, details B and C, were obtained. The mushroom-head shape of the upper-tier weld was caused by the defocused condition of the beam at that point, while the somewhat oversize root reinforcement resulted from the excess of power needed to penetrate to and through the lower tier. The relatively narrow face of the lower-tier weld, as well as the narrowing of the weld in its progress through the joints, was explained as an effect of a charged plasma that surrounded and refocused the beam on its passage through the material. The plasma, having a net negative charge, repelled the beam electrons, causing the beam to constrict and to change its focal point. The net result on the lower tier was to produce a weld closely approaching the contour of a normal

single-thickness weld made with a tight, surface-focused beam. Thus, the indicated focal-point setting was more virtual than real. Both welds were satisfactory as to soundness and shape. Because of lack of access to the interior of the joint, weld spatter and undercutting were of concern, and the spatter associated with penetration of the upper tier was a problem. Most of the particles were loosened with pipe cleaners and were flushed out with solvent at high pressure. The few small particles that remained were judged to be acceptable after radiographic examination. Undercutting was not a problem. The René 41 material was capable of withstanding considerable excess beam power, which was especially important in making the upper-tier weld. Components produced using the two-tier welding procedure met all test requirements.

Ex a m ple 3 : D e sign for D iffu sion Bon din g. Design for diffusion bonding must facilitate intimate contact of parts and local (microscopic) plastic deformation to promote the formation of a joint. The following example illustrates the use of an innovative joint design that exploits the differences in thermal expansion between parts and tooling (the tooling material exhibits a higher strength than the part material at the bonding temperature) to promote intimate contact, incrementally increase pressure at the joint interface, cause localized plastic deformation, and thereby produce a diffusion bond. Figure 9 shows diffusion bonding of a titanium part using tooling blocks and spacers of 22-4-9 stainless steel (Ref 13). Initially, the parts and the tooling are fitted into a welded retort made of 1.6 mm (0.063 gage) muffler steel and conforming to the shape of the part. The retort contains an end rail of 22-4-9 spanning the entire width. This end rail contains machined grooves that allow the air to escape when a vacuum pump is turned on. Similar 7.6 cm (3 in.) thick, 22-4-9 plates line the bottom, walls, and opposite end of the retort, and one covers the filled retort before a lid is welded to the retort to seal the container and make it leakproof. To prevent sticking to titanium, all 22-4-9 tooling is surface oxidized by oven baking at 760 °C (1400 °F) for 4 h. During the loading of the retort, titanium slip shims are inserted to separate the tooling blocks slightly from the titanium parts. Later, these shims are removed to create a vacuum path for the air to escape during evacuation of the retort. A steel tube is used to connect the retort with a vacuum pump.

Fig. 9 Processing sequence during diffusion bonding of a t it anium part using st ainless st eel t ooling. Source: Ref 13

Initially, the container is evacuated to 0.13 Pa (10-3 torr) vacuum and checked for leaks. A higher vacuum, below 1.3 × 104 Pa (10-6 torr), is then obtained. The leakproof container is placed within reusable ceramic blocks, which in turn are covered by steel plates containing thermocouples. The entire assembly is placed in a bonding press. The ceramic blocks that press against the top and bottom of the retort contain heating coils that bring the entire assembly to about 927 °C (1700 °F). The ceramic blocks on the sides and ends of the retort transmit heat and pressure to the assembly during bonding. A press is used to apply about 13.8 MPa (2000 psi) pressure on the retort in all directions, and the retort is held at the bonding temperature and pressure for about 2 to 12 h. Thermal expansion of the titanium part against the relatively rigid stainless steel tooling allows intimate contact of the titanium parts across the joint line, and it facilitates localized plastic deformation and the formation of a diffusion bond. Following the bonding cycle, the entire assembly is cooled slowly and dismantled, and then the retort is cut open to retrieve the diffusion-bonded titanium part. Generally, the tooling is reused, while the retort (made from cheap muffler steel) is scrapped.

Ex a m ple 4 : Re vision of Join t D e sign t o Re du ce Cost . The longitudinal butt joints in 6.1 m (20 ft) long sections of SA-106, grade B carbon steel pipe (Ref 14) used for powerboiler headers were originally designed as shown at lower left in Fig. 10. With this design, the root pass and the second pass were made by SMAW using a backing bar, and then the weld was completed by submerged arc welding (SAW).

Welding conditions for improved design Welding process: GTAW Root pass SMAW Second pass

Remainder Power supply GTAW, SMAW SAW Edge preparation Preheat Filler metal (low-carbon steel) GTAW (argon shielding) SMAW SAW Power setting: GTAW SMAW SAW Interpass temperature Postheat

SAW 200 A transformer-rectifier(a) 600 A motor-generator(b) Machined 121 °C (250 °F) min ER70S-G consumable insert E7018 EL12 90 A (DCEN); 12 V 121 A (DCEP); 23 V 450 A (DCEP); 30 V 260 °C (500 °F) max Stress relieve at 621±25 °C (1150±25 °F)(c)

With the original joint design, the root and second passes were made by SMAW using a backing bar. Weld was then completed by SAW. With the improved joint design, the root pass was made by GTAW using a consumable insert (no backing), the second pass by SMAW, and the remainder by SAW.

(a) (b) (c)

With high-frequency start, and slope control. Weld head on boom-type manipulator, workpiece supported on power and idler rolls for turning. In furnace. 1 h per 25 mm (1 in.) of section

Fig. 1 0 Revision of j oint design. Use of a consum able insert perm it t ed change t o a lower- cost m et hod of welding boiler- header pipes. Carbon st eel ( SA- 106, grade B; 0.30 m ax C) base m et al; low-carbon st eel filler m et al. GTAW, gas- t ungst en arc welding; SMAW, shielded m et al arc welding; SAW, subm erged arc welding. Source: Ref 14

To reduce the cost, the joint design was revised to that shown at lower right in Fig. 10. This permitted making the root pass by gas-tungsten arc welding (GTAW), using a consumable insert, instead of by SMAW with a backing bar. Then, as with the original joint design, the second pass was made by SMAW, and the weld was completed by SAW. The SMAW process was used for the second pass to provide a deposit thick enough to ensure against melt-through by SAW. The improved joint design and change in welding procedure resulted in a 25% saving in cost (material, labor, and overhead) per foot of seam welded.

Ex a m ple 5 : Su bm e r ge d Ar c W e ldin g of a La r ge Pist on . The large hydraulic-jack piston shown in Fig. 11 was assembled by welding three low-carbon steel castings (head, piston body, and seat) at girth joints (Ref 15). When similar smaller pistons with wall thicknesses of 7.6 to 12.7 cm (3 to 5 in.) had been assembled by SMAW, about one welded joint in eight was found to be defective and had to be reworked.

Conditions for SAW Joint type Weld type Joint preparation Power supply Wire feed Welding head Fixture Auxiliary equipment Electrode wire Flux Welding position Number of passes Current and voltage: Passes 1 through 3 Remaining passes Preheat Postheat (stress relief)

Circumferential butt Single-U-groove, integral backing Machining 1000 A transformer Fully automatic, constant speed Machine held, air cooled 50 ton variable-speed roll Exhaust fan, vacuum flux remover, positioning arm 2.4 mm ( in.) diam EL12(a) (a) F71 Flat (horizontal-rolled pipe position) 380 700 A, ac; 38 V 750 A, ac; 40 V 204 °C (400 °F) (by torch) 7 h at 600 °C (1115 °F), furnace cool to 315 °C (600 °F)

Welding speed 24 cm (9

(a)

in.) per min

Electrode and flux yielded a weld deposit containing 0.12 C, 0.84 Mn, 0.72 Si, 0.018 S

Fig. 1 1 Large pist on assem bled by subm erged arc welding ( SAW) . Low- carbon st eel base m et al; low-carbon st eel filler m et al ( EL12) . Source: Ref 15

Because of the experience with the pistons with 7.6 to 12.7 cm (3 to 5 in.) wall, it was decided to use SAW to assemble four large pistons, in which a 19.2 cm (8 in.) wall was to be joined to a 16.8 cm (6 in.) wall, using the joint design shown in detail A. The outside surfaces of the three castings to be welded were rough machined and the joints were prepared by machining. The joints were of the interlocking type (see Fig. 11, detail A) and provided support for the unwelded components during positioning on variable-speed welding rolls. Joint areas were preheated to 204 °C (400 °F) with the gas torches as the piston was rotated. The welds were made in 380 passes and were produced oversize and machined to size after magnetic-particle inspection and stress-relief. The welded pistons were stress relieved at 600 °C (1115 °F) for 7 h and furnace cooled to 315 °C (600 °F). Each welded joint was ultrasonically inspected for a distance of 7.6 cm (3 in.) on each side of the weld. After inspection, the pistons were hydrostatically tested at 2 MPa (300 psi). There were no rejections. Production time for welding the large piston was 101 h, which was a considerable improvement over the production time of 212 h for the smaller pistons assembled by SMAW.

Ex a m ple 6 : Use of a n Offse t t o Elim in a t e Ba ck in g Rin gs. A component of a heat-exchanger shell assembly (Ref 15) was initially made by SAW: a medium-carbon steel pipe cap with a wall thickness of 6.4 mm ( in.) was attached to a low-carbon steel pipe of the same wall thickness by means of a circumferential butt joint, supported and aligned by a backing ring, as shown in the "original design" in Fig. 12.

Joint type Weld type, original design Weld type, improved design Joint preparation: Original design Improved design Electrode wire Flux Welding position Welding voltage Welding current Welding speed Number of passes, original design Number of passes, improved design Power supply Fixturing

Joggled lap Square-groove, with backing ring Modified single-V-groove, with integral backing Backing ring machined Cap end machined, pipe end reduced 3.2 mm ( in.) diam EL12 F62 Flat (horizontal-rolled pipe) 25 to 26 V 350 to 410 A (DCEN) 46 to 51 mm (18 to 20 in.) per min Three Two 40 V, 600 A transformer-rectifier (constant-voltage) Chuck-type turning rolls; alignment clamps for tack welding

Fig. 1 2 Cap- t o- pipe weldm ent . Low- carbon st eel welded t o m edium - carbon st eel; low- carbon st eel filler m et al

( EL12) . Source: Ref 15

When it became apparent that the wall thickness of the pipe cap could be less than that of the pipe without adversely affecting service performance, the joint was rede-signed as a joggled lap joint (see "improved design," Fig. 12). The offset incorporated in the pipe for the redesigned joint took the place of the backing ring previously used and furnished a locating surface for the cap. The redesigned joint was made by SAW under the same conditions as those for the original joint, except that only two passes were required, rather than three. Cost reduction was realized from eliminating the backing ring, from the savings in material resulting from the use of thinner pipe caps, and from eliminating one circumferential welding pass. The change in joint design led to a savings of approximately 35% in total factory cost. All joints were inspected visually and radiographically to check for full penetration and absence of slag inclusions. The rejection rate was less than 1%.

Ex a m ple 7 : Elim in a t ion of Ba ck in g Ba r s. A 3.7 m (12 ft) long header assembly for a large high-pressure heat exchanger (Ref 15) was manufactured to Section VIII, Division I, of the ASME Boiler and Pressure Vessel Code (Fig. 13).

Welding process

Original design Manual FCAW

Improved design Automatic SAW

Electrode Flux Welding position Root-pass welding conditions Welding current(a), A Number of passes per joint Welding speed, cm/min (in./min) Filler-pass welding conditions Welding current(a), A Deposition rate, kg/h (lb/h) Number of passes per joint Welding speed, cm/min (in./min)

(a) (b)

2.4 mm ( ... Flat

in.) diam flux cored wire

2.4 mm ( F72 Flat

375-425 1 15 (6)

460-480 1 20 (8)

375-425 2.7 (6) 7-8 25 (10)

400-600 8.2 (18) 5 56 (22)(b)

in.) diam solid wire

Power supply for welding of both designs was an 80 V (open-circuit) transformerrectifier. Welding speed for the first filler pass was 71 cm/min (28 in./min).

Fig. 1 3 Subm erged arc welding ( SAW) set up for heat - exchanger header. Carbon st eel, 0.35% m ax C ( ASTM A 515, grade 70) base m et al; carbon st eel filler m et als. FCAW, flux cored arc welding. Source: Ref 15

As originally designed (see upper left in Fig. 13), for manual FCAW from the outside, the assembly consisted of four steel components and was welded at corner joints that incorporated backing bars, as shown in Fig. 13, section A-A. It was difficult to ensure a uniformly tight fit of the backing in the joint. Under radiographic inspection, slag was revealed that ran between the backing bars and the adjacent 38 mm (1

in.) thick components.

The problem was eliminated by redesigning the header assembly for automatic SAW without backing bars. The redesigned assembly, shown in the upper right of Fig. 13, consisted of two 38 mm (1 in.) thick channels formed in a press brake. The two components were welded at two longitudinal butt joints of the double-V-groove design (Fig. 13, section B-B). For this improved design, the welding was done by the use of a boom-mounted automatic welding head. The formed channels were held stationary while the welding head was advanced along the joints. First, root passes were made along the inside grooves of the two joints, then filler passes were made along the outside grooves. After the root passes, the outside grooves were machined-out to sound metal before the filler passes were begun. A major benefit of the change to two-piece design was that only about one-third as many filler passes were required for the entire weldment (10 passes, as compared with 28 to 32 passes for the original four-piece design).

Ex a m ple 8 : Use of M odifie d Bu t t Join t t o Sa ve Toolin g a n d La bor Cost s. An offset lap joint (middle view in Fig. 14) is frequently used in welding the components of a variety of pressure cylinders and spheres. However, the use of this lap joint for welding the spherical refrigerant container shown in Fig. 14 would have resulted in high labor and tooling costs. The lip of the offset hemisphere would have caused interference in assembly, and additional tooling would have been needed to offset the lip.

Joint type Weld type Power supply Electrode wire(a) Welding gun Wire feed Current Voltage Shielding gas(b) Number of passes Wire-feed rate Electrode extension Welding speed Weld time per container

(a)

Circumferential modified butt Single-flare V-groove 300-A transformer-rectifier 0.162 mm (0.030 in.) diam ER70S-3 Mechanized, fixed, water cooled Push-type motor, on welding gun 170-190 A (DCEP) 22-23 V 98% argon-2% oxygen, 1 m3/h (35 ft3/h) 1 863 to 965 cm (340-380 in.) per min 6.35 to 9.5 mm ( - in.) 118 cm (46.6 in.) per min 42 s

Selection of wire wound to a large diameter

(b)

eliminated need for wire straighteners and reduced leakage rate. Argon of 99.999% purity from bulk-liquid holder

Fig. 1 4 Girt h welded refrigerant cont ainer. Labor and t ooling cost s were reduced by use of a m odified but t j oint inst ead of an offset lap j oint . Low- carbon st eel ( ASTM A 620) 0.045 in. base m et al; low- carbon st eel filler m et al ( ER70S- 3) . Source: Ref 16

The modified butt joint shown at the bottom in Fig. 14 allowed use of identical forming tools for both halves of the sphere and was the best compromise among weldability, tooling costs, and labor costs (Ref 16). To reduce labor costs still further, each welder operated two girth welding machines and thus was not able to observe the welding operation; therefore, automatic seam tracking was necessary. The automatic seam tracking system consisted of two recirculating ball-screw cross-slides mounted at right angles and driven by reversible alternating current motors. A probe, which was mounted to move with the welding gun (see view at upper left in Fig. 14), sensed the location of the joint in relation to the gun. A movement of the probe tip caused the appropriate slide to bring the probe and gun back to the neutral position. The probe was mounted on a small screwadjusted slide to provide quick and accurate adjustment of both the horizontal position of the welding gun and the distance between it and the work. At the end of the welding cycle, the probe and the welding gun were raised by the vertical slide. After the next assembly was in place, the probe and gun were lowered by the same means and welding was started automatically. The hemispheres were held in a special welding machine (lathe) consisting of one fixture rotated by a continuously variable drive and a second fixture mounted on the tailstock. Both fixtures were mounted on air-operated slides. Thus, the parts were held together and rotated under the welding gun. When the gun was retracted after completing the weld, the air cylinders separated, releasing the welded workpiece. The operator loaded the hemispheres in the machine and pushed a button to close the fixtures. The operator then had an option of using automatic start, whereby the weld started as soon as the welding gun was in position, or manual start, whereby the position of the gun could be observed, corrections could be made (if required), and the weld could be started by pushing a button. While one container was being welded, the operator loaded and started a second machine. After each container had been welded, the operator checked it for visible defects. The containers requiring repair welding were set aside, and those with no visible defects were transferred on a conveyor to a testing area. The workpiece was a disposable refrigerant container with a water capacity of 11.6 kg (25.5 lb), produced under a special permit that specified two types of pressure tests. Each welded container was tested by subjecting it to 2.1 MPa (300 psi) internal air pressure while within a heavy steel safety chamber. The pressure in the container was then reduced to 0.7 MPa (100 psi), the chamber was opened, and the sphere was forced under water to check for leaks. If repairs were required, the spheres were resettled after repair. A destructive test was required on one container out of each lot of 1000, with a minimum of one per day (although, in practice, at least one container was tested from each machine during each shift). This test consisted of filling the container with water, connecting it to a high-pressure pump, and increasing the pressure until the container burst. The minimum bursting strength was 5.5 MPa (800 psi). Fewer than 5% of the spheres required weld repairs. The guidance system caused some problems, primarily because of the maintenance required. Repair and adjustment of the probe switch were difficult, and improperly adjusted probes sometimes caused misplaced welds. Spare systems were available for replacement of defective probe units. Although the guidance system added to the machine cost and caused maintenance problems, these disadvantages were soon canceled out by decreased welding costs. Satisfactory welds were difficult to produce manually, because the horizontal variance of the welding gun position had to be held to 0.8 mm ( in.) to prevent melt-through. In addition, it would have been necessary for the manual operator to correct for differences in the heights of the weld seams, limiting the welder to operating one machine and thus doubling the labor cost. The hemispheres were press formed and vapor degreased. No edge preparation or postweld finishing was done. Welding conditions are given in the table with Fig. 14.

Ex a m ple 9 : Join in g Se ct ion s of Un e qu a l Th ick n e ss. An application involving components of unequal section thicknesses (Ref 9) is the welding of heat-exchanger tubes having 2.4 mm (0.093 in.) wall thickness to a tube sheet as thick as 25.4 cm (10 in.). The usual method of avoiding difficulty is to cut a circular groove, 6.4 mm ( in.) deep, in the upper surface of the tube (Fig. 15). By restricting heat transfer, this groove minimizes heat sink differential between the thin tube wall and thick tube sheet.

Fig. 1 5 Thick t ube sheet wit h m achined groove. Minim izes heat sink different ial during welding of t hin-walled heat - exchanger t ube t o t he t ube sheet . Low- carbon st eel base m et al; low- carbon st eel filler m et al. Source: Ref 9

Ex a m ple 1 0 : Re de sign of a Join t t o I m pr ove D im e n sion a l Con t r ol. The corner-welded channel sections shown in Fig. 16 were parts of rectangular frames for data-processing machines (Ref 17). Originally, 45° miter joints were used (Fig. 16a), but dimensions after welding were unsatisfactory because of joint location and weld restraint.

Joint type Weld type Power supply Electrode wire(a) Wire feed Current Voltage Shielding gas Wire-feed rate Welding speed

(a)

Corner Fillet and V 200 A, constant-voltage rectifier 0.76 mm (0.030 in.) diam ER70S-2 Constant feed 80-85 A (DCEN) 26 V 75% argon-25% carbon dioxide, at 1.1 m3/h (40 ft3/h) 76-254 cm (30-100 in.) per min 25 cm (10 in.) per min 0.04% C; triple deoxidized, with flash copper plating

Fig. 1 6 Corner sect ion of a rect angular fram e. A cope j oint was subst it ut ed for a m it er j oint t o im prove dim ensional cont rol. Low- carbon st eel base m et al; low- carbon st eel filler m et al ( ER70S- 2) . Source: Ref 17

To provide a more positive joint location with less weld restraint, cope joints (Fig. 16b) were substituted for the miter joints. Tolerances of ±0.25 mm (±0.010 in.) on length and width, and ±0.813 mm (±0.032 in.) on squareness, were met on channel sections welded with the improved joint design. The channel sections were contour roll formed from 3.05 mm (0.120 in.) thick low-carbon steel strip. Pieces were cut to length by a cutoff die in a press. The cut lengths were also coped by a die in a press, and all parts were inspected. Tolerances on individual pieces were held to ±0.127 mm (±0.005 in.).

Ex a m ple 1 1 : Ch a n ge in Join t D e sign t o Re du ce D ist or t ion a n d Cost . Figure 17 shows a 305 cm (120 in.) long steam-drum shell course, roll formed with a welded longitudinal seam (Ref 15). Originally, the butt joint for this seam was of single-V-groove design and was welded with the use of a backing strip (see "original design" in section A-A in Fig. 17). Fit-up and removal of the backing strips were time-consuming operations, and welding from one side distorted the weldment.

Welding conditions for both joint designs Weight of electrode and flux deposited per hour Weight of electrode and flux deposited per foot of weld: Original design (single-V-groove) Improved design (double-V-groove) Deposition efficiency Length of weld (including runoff tabs at ends) Time for installing and removing backing strip (original design) Joint type Weld types Welding position Arc starting Preheat Interpass temperature Postheat Root passes (SMAW): Power supply Electrode Current and voltage Intermediate passes (single-electrode SAW): Power supply Electrode wire Current and voltage Travel speed Final passes (tandem SAW)(c) Leading head: Power supply Electrode wire Current and voltage Trailing head: Power supply Electrode wire Current and voltage Travel speed

(a) (b) (c)

7.1 kg (15.6 lb) 11.8 kg (26 lb) 6.4 kg (14 lb) 98% 3.2 m (10 ft) 12 h Butt Single-V-groove (original); double-V-groove (improved) Flat(a) Touch and retract 79 °C (175 °F), then 121 °C (250 °F) (propane torch) 260 °C (500 °F) 621±25 °C (1150±25 °F) (furnace), 1 h/25 mm (1 in.) of section 300 A motor-generator 4.8 mm ( in.) E7018 250 A (DCEP); 24 V 900 A motor-generator in.) diam 0.5% Mo steel(b) 5.6 mm ( 700 A (DCEP); 30 V 48 cm (20 in.) per min

900 A motor-generator in.) diam 0.5% Mo steel(b) 5.6 mm ( 800 A; 30 V 1000 A transformer 2.4 mm ( in.) diam 0.5% Mo steel(b) 700 A, ac; 35 V 76 cm (30 in.) per min Workpiece supported on one power roll and one idler roll. Electrode wire contained 0.11% C, 0.50% Mo, 0.85% Mn, and was used at a 1-to-1 ratio of wire to flux. Tandem welding head was mounted on a boom-type manipulator.

Fig. 1 7 Subm erged arc welding set up for st eam - drum shell course. Based m et al: carbon st eel, 0.35% m ax C ( ASTM A 515, grade 70) , norm alized. Filler m et als: low- carbon st eel ( E7018) for root passes ( shielded m et al arc welding) ; 0.5% Mo st eel for rem aining passes ( subm erged arc welding) . Source: Ref 15

The joint was changed to a double-V-groove design (shown as "improved design" in section A-A of Fig. 17). This change resulted in the need for much less weld metal; the need for a backing strip was eliminated; and distortion was reduced by sequential deposition of weld beads on the inside and outside of the joint. The amount of back gouging needed was less than that required to remove the backing strip from the single-V-groove weld. As a result of these improvements, electrode, flux, and labor costs were reduced by 46%, and the total cost of welding was reduced by 62%. Welding procedures and post-weld operations for the two designs are described below. For both designs, the shell courses were hot roll formed into a cylinder and descaled, and the joint grooves were flame cut.

Originally, the single-V-groove joint was preheated to 79 °C (175 °F) with a propane torch, the backing strip was installed, and the temperature of the joint was raised to 121 °C (250 °F). At least two root passes were made, using SMAW. This operation was followed by depositing six single-pass layers, each 3.2 mm ( SAW. Tandem SAW was used to complete the weld, single-pass layers 3.2 mm (

in.) thick, by single-electrode

in.) thick being deposited to a weld

level of 38 mm (1 in.), followed by two-pass (split) layers 3.2 mm ( in.) thick. Then the backing strip was removed by air carbon arc gouging and grinding, and back welding was done, as required, to provide a flush joint. In the improved design, the double-V-groove joint was also preheated in two stages (79 and 121 °C, or 175 and 250 °F) with a propane torch, except that instead of a backing strip being installed between stages, a spacer rod of 6.4 mm ( in.) diameter 0.5% Mo steel electrode material was tacked in place and seal welded by SMAW. Shielded metal arc welding was used also for root passes. The first increment of single-electrode submerged arc welds consisted of eight 3.2 mm ( in.) thick single-pass welds on the outside of the weldment. The workpiece was rotated 180°, and the joint was back gouged and ground to a radius of 6.4 to 9.5 mm (

to

in.). The first increment of welding on the inside of the joint

consisted of 3.2 mm ( in.) thick single-pass welds to a 38 mm (1 in.) level, using single-electrode SAW. Then the workpiece was again rotated 180°, and the remainder of the outside welding was completed using tandem SAW to deposit two-pass (split) layers of 3.2 mm (

in.) thickness. After a final 180° rotation of the workpiece, the inside welding was

completed using the same sequence of two-pass tandem SAW of 3.2 mm (

in.) thickness.

Re fe r e n ce s cit e d in t h is se ct ion

9. G.L. Serangeli, et al., Shielded Metal Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 91 11. G.L. Serangeli, et al., Flux Cored Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 108 12. E.A. Metzbower, et al., Electron Beam Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 609-646 13. S. Bangs, Diffusion Bonding: No Longer a Mysterious Process, Source Book on Innovative Welding Processes, American Society for Metals, 1981, p 259-262 14. D. Hauser, et al., Gas Tungsten Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 202-203 15. D.L. Olson, et al., Submerged Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 114-152 16. D. Hauser, et al., Gas Metal Arc Welding (MIG Welding), Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 165 17. D. Hauser, et al., Gas Metal Arc Welding (MIG Welding), Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 166 D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Fu t u r e D ir e ct ion s The foregoing examples illustrate that value engineering, methods study, and time study principles can be applied to select the best design for joining of parts. Future efforts could be directed toward developing computer-based simulations with graphic user interfaces that would integrate appropriate part design and manufacturing databases. Such efforts would

allow one to effectively consolidate existing knowledge on basic design practices, design criteria for joining, and appropriate case examples involving parts and processes. These computer-based simulations can serve as powerful learning tools, and their effective use can be expected to eliminate or minimize trial-and-error methods of design for joining, and thereby facilitate agile manufacturing at minimal cost. D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Re fe r e n ce s 1. O.W. Blodgett, Joint Design and Preparation, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 60-72 2. W.J. Jensen, Failures of Mechanical Fasteners, Failure Analysis and Prevention, Vol 11, ASM Handbook (formerly 9th ed. Metals Handbook), American Society for Metals, 1986, p 529-549 3. Adhesives, Engineered Materials Handbook Desk Edition, M. Gauthier, Ed., ASM International, 1995, p 633-671 4. Procedure Development and Practice Considerations for Electron-Beam Welding, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 851-873 5. M.M. Schwartz, Fundamentals of Brazing, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 114-125 6. M.M. Schwartz, Introduction to Brazing and Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 109-113 7. M.M. Schwartz, Fundamentals of Soldering, Welding, Brazing, and Soldering, Vol 6, ASM Handbook, ASM International, 1993, p 126-137 8. The Brazing Book, Handy & Harmon, 1983, p 10 9. G.L. Serangeli, et al., Shielded Metal Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 91 10. K. Masubuchi, Residual Stresses and Distortion, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 887 11. G.L. Serangeli, et al., Flux Cored Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 108 12. E.A. Metzbower, et al., Electron Beam Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 609-646 13. S. Bangs, Diffusion Bonding: No Longer a Mysterious Process, Source Book on Innovative Welding Processes, American Society for Metals, 1981, p 259-262 14. D. Hauser, et al., Gas Tungsten Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 202-203 15. D.L. Olson, et al., Submerged Arc Welding, Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 114-152 16. D. Hauser, et al., Gas Metal Arc Welding (MIG Welding), Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 165 17. D. Hauser, et al., Gas Metal Arc Welding (MIG Welding), Welding, Brazing, and Soldering, Vol 6, 9th ed., Metals Handbook, American Society for Metals, 1983, p 166

D e sign for Join in g K. Sam pat h, Concurrent Technologies Corporat ion

Se le ct e d Re fe r e n ce s • • • • • • • • • •

Brazing Handbook, 4th ed., American Welding Society, 1991 P.W. Marshall, Design of Welded Tubular Connections: Basis and Use of AWS Code Provisions, Elsevier, 1992 R.C. Juvinall and K.M. Marshek, Rivets, Welding, and Bonding, Chapter 11, Fundamentals of Machine Component Design, 2nd ed., John Wiley & Sons, 1991 R.O. Parmley, Ed., Standard Handbook of Fastening & Joining, 3rd ed., McGraw-Hill, 1997 D. Radaj, Design and Analysis of Fatigue Resistant Welded Structures, Halsted Press/Woodhead Publishing, 1990 M.M. Schwartz, Brazing, ASM International, 1987 M.M. Schwartz, Ceramic Joining, ASM International, 1990 M.M. Schwartz, Joining of Composite Matrix Materials, ASM International, 1994 J.E. Shigley and C.R. Mischke, Welded, Brazed, and Bonded Joints, Chapter 9, Mechanical Engineering Design, 5th ed., McGraw-Hill, 1989 Weld Integrity and Performance, ASM International, 1997

D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

I n t r odu ct ion THE SELECTION OF MATERIALS and manufacturing processes for a component design is a complex process and often involves iterative decision making. The component is designed to provide a specific mechanical function, and its design is often limited by space and cost considerations. The component must be able to survive extreme external loading conditions from thermal and/or applied mechanical forces. Therefore, a high level of performance needs to be achieved at a minimum cost. Based on the design and loading conditions, a material and manufacturing process are selected to cost effectively provide adequate properties for the operating environment. Very often a low-cost material and processing combination requires heat treatment after component shaping to enable the part to meet its design criteria. The relationship between performance at minimum cost, design, material, and the manufacturing process is analogous to a three-legged stool with all legs having equal importance. In order for a component to fulfill its cost and performance criteria, its design should accommodate all the loading conditions of the component, its material properties should meet the expectations of the design, and its manufacturing processes should produce the component at a minimum cost. The mechanical design process has evolved from an experience-based process using design factors, such as stressconcentration factors, and design rules (based on experimental data) to the current reliance on analytical processes. The ability to analytically design components combined with the constant desire for system cost reduction while achieving greater performance has led to decreased design times and increased component complexity. The designer, when provided with accurate component loading information, can accurately assess part life with reliable input of experimentally determined material properties. These material property databases are continually growing, both in the open and in proprietary databases (see the article "Sources of Materials Properties Data and Information" in this Volume). In addition to these databases, the mechanical properties resulting from a broad range of heat treatment processes, for many classes of materials, are well documented. The ability to select materials and process parameters to achieve the desired property goals is becoming more automated as evidenced by the success of Jominy hardness and carburizing prediction programs

(Ref 1). The foundation of the currently used design practices requires a close relationship among analytical design procedures, material property databases, and the ability of the heat treat process to achieve desired mechanical properties. In addition to providing appropriate physical and mechanical properties to meet design requirements, heat treatment also produces dimensional changes and residual stress patterns that in some cases can lead to component cracking. The dimensional changes and residual stresses produced by heat treatment are very sensitive to geometric and processing specifics. Currently, the relationship between design, dimensional changes, residual stresses, and cracking is determined by experience and results in the development of general rules for design. Prototype component designs must be experimentally evaluated and iterated to bring the component within acceptable tolerances for dimensions and residual stresses. A clear need for reducing development costs has motivated significant corporate and academic research in the area of analytical prediction of the response of a component to heat treatment. This article presents an overview of techniques that are currently in use to design for heat treatment. The primary design criteria addressed in this article are the minimization of distortion and undesirable residual stresses. The article presents both theoretical and empirical guidelines to understand sources of common heat treat defects and how they can be controlled. A simple example is presented to demonstrate how thermal and phase-transformation-induced strains cause dimensional changes and residual stresses. This example also serves as a representation of a typical "process model." The final sections of the article describe the state-of-the-art in heat treatment process modeling technology.

Re fe r e n ce

1. M.A.H. Howes, Factors Affecting Distortion in Hardened Steel Components, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 251-258 D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

Ove r vie w of Com pon e n t H e a t Tr e a t m e n t Component heat treatment is often the most cost-effective method for a manufacturing process to produce the desired material properties. (Detailed information about heat treating processes is provided in Heat Treating, Volume 4 of ASM Handbook, Ref 2.) However, in addition to material strength, heat treatment can result in the development of residual stresses (both compressive and tensile), dimensional changes (with respect to size and shape), and, in an extreme situation, component cracking, often referred to as quench cracking. These factors (residual stresses and dimensional changes) have the greatest influence on the design process of a component. Often, the inability to produce components with acceptable dimensions and residual stress patterns will cause changes in design, materials, and process selection leading to additional cost and lower material strength. A typical component manufacturing process includes the following five steps, all of which can influence dimensional changes and residual stress patterns in heat-treated components:

1. Metalworking, machining, or other forming operations 2. Component heat-up 3. Hold at temperature for through-heating, solutionizing, or thermal chemical treatments such as carburizing or nitriding 4. Quenching from elevated temperature 5. Postquench tempering or aging treatment

Within these five process steps there are seven major factors that lead to size and shape changes and the development of residual stresses in heat treated components (Ref 3, 4):

• • • • • • •

Variation in structure and material composition throughout the component, leading to anisotropy in properties and transformation behavior Movement due to relief of residual stresses from prior machining and forming operations Creep of the part at elevated temperature under its own weight or as a result of fixturing Large differences in section size and asymmetric distribution of material causing differential heating and cooling during quenching Volume changes caused by phase transformation Nonuniform heat extraction from the part during quenching Thermal expansion

All of these factors, except relief of prior residual stresses (second item) and creep at elevated temperature (third item), can be directly related to thermal and transformation-induced strains in the component. Residual stresses from forming operations can be reduced by stress relief prior to final shaping operations. Creep at elevated temperature can be addressed by appropriate component loading in the furnace. Neither of these two factors are directly associated with the design of the component. The other five factors are directly related to component design, and more precisely, strains introduced by transformations and nonuniform temperature distributions in the component. The relationship among design, material properties (yield strength at temperature, coefficient of expansion, thermal conductivity, etc.), and heating and cooling processes determine the distortion and residual stress patterns in heat treated components.

Re fe r e n ce s cit e d in t h is se ct ion

2. Heat Treating, Vol 4, ASM Handbook, ASM International, 1991 3. J.S. Kirkaldi, Quantitative Prediction of Transformation Hardening in Steels, Heat Treating, Vol 4, ASM Handbook, ASM International, 1991, p 20-34 4. H. Walton, Dimensional Changes During Hardening and Tempering of Through-Hardened Bearing Steels, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 265-273 D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

Th e r m a l a n d Tr a n sfor m a t ion - I n du ce d St r a in s in H e a t Tr e a t e d Com pon e n t s Thermal strain is developed in a component when differential thermal expansion (or contraction) occurs. The magnitude of strain is directly proportional to the thermal expansion coefficient of the material ( ) and the temperature difference between two points ( T). This strain translates directly to a thermal stress th (Ref 5): th

=

TE

(Eq 1)

where E is the elastic modulus of the material. However, if the thermally induced stress is greater than the flow strength of either the cooler or hotter material, permanent (plastic) deformation occurs. This plastic flow causes permanent shape change (distortion) and impacts the magnitude and distribution of residual stresses. Without plastic deformation, the component would return to its original dimensions once the part has thermally equilibrated. In addition to thermal strains, many materials systems undergo phase transformations as a function of temperature. Often, the new phase(s) that form have different volumes and different coefficients of expansion as well as different mechanical behavior(s) than the parent phase(s). These differences increase the complexity of understanding the effect of thermal gradients on strains produced and the resulting plastic deformation.

Ex a m ple : Th e r m a l a n d Tr a n sfor m a t ion - I n du ce d St r a in s in a La r ge , Th ick Pla t e .

This simplified example demonstrates how thermal and transformation-induced strains can result in substantial plastic deformation and residual stresses. A large, thick plate (Fig. 1a) has a very thin layer uniformly heated from room temperature to 850 °C and then cooled. It is assumed that the bulk of the material is unheated and does not strain because of its much greater thickness. The heating and cooling processes can be broken down into 6 segments (shown schematically as A to F in Fig. 2; key process points are labeled 1 to 7). During the heating and cooling cycle, the thin layer of heated material will undergo a phase transformation from phase 1 to phase 2 upon heating and from phase 2 to phase 3 upon cooling. The thermal profiles through the sample for process point 4 is shown in Fig. 1(b) to illustrate that the heated layer is considered to be at the same temperature all the way through, with a thermal step change from the heated layer to the unheated bulk.

Fig. 1 Schem at ic ( a) of a large, t hick plat e and assum ed t em perat ure dist ribut ion ( b) at process point 4 ( Fig. 2)

Fig. 2 St rain hist ory during heat ing and cooling for a large, t hick plat e. See t ext for discussion of t he labeled process segm ent s.

The strain produced by thermal ( T = th) and transformation ( tr) strain is calculated for each segment identified in Fig. 2. The total induced strain must be accommodated in the thin layer through either elastic ( el) or plastic ( pl) strain, which sums to the total strain: t

=

th

+

tr

= -(

el

+

pl)

(Eq 2)

The induced strain and the accommodation strain must equalize in the thin layer because the assumption has been made that the bulk material will not accommodate any strain. The values for (thermal expansion coefficient) for phases 1, 2, and 3 are chosen to be 15, 21, and 13 × 10-6/°C, respectively, and are assumed to be independent of temperature for this example. The transformation strains chosen are tr 1-2 = 0.0025 for the transformation from phase 1 to phase 2 at 725 °C and tr 2-3 = 0.0075 for the transformation from phase 2 to phase 3 over the temperature range 300 to 150 °C. In order to determine the accommodation strain values, Young's modulus (E), and the yield strength ( ys) are required as a function of phase and temperature; the data for this example are shown in Fig. 3. For simplicity, the flow behavior is assumed to be elastic-plastic in nature with no work hardening. Thus, the yield strength is the flow stress at any plastic strain level.

Fig. 3 Young's m odulus ( a) and yield st rengt h ( b) as a funct ion of phase and t em perat ure for t he large, t hick plat e exam ple

The total strain and how it is accommodated is described below for each segment of the thermal cycle shown in Fig. 2. Se gm e n t A. The thin layer is heated from 25 to 725 °C without phase transformation. This heat-up induces a linear

T( th) that equals 0.0105. However, the thin layer is constrained by the bulk and is not allowed to thermal strain of expand. This constraint produces a compressive stress in the heated layer equal to the flow stress of the material. This compressive stress accommodates the elastic strain, with the remaining applied strain accommodated through plasticity in the heated layer. For cases in which the yield strength of the material is exceeded, the strain distributions follow the relationship: el

=(

ys

+

old)/E

or

el

=(

ys

-

old)/E

(Eq 3)

The stresses are additive if the stress from the prior history, old, is in the opposite direction of the new stress. The difference in the stresses must be taken if the prior history stress and the new stress are the same direction. The results are shown in Table 1.

Table 1 Material condition at each stage in the thermal cycle shown in Fig. 2 Process segment (Fig. 2) A B C D E

Temperature range, °C

Phase transformation

Total ( t)

25-725 725 725-850 850-300 300-150

No Yes No No Yes

0.0105 -0.0025 0.0026 -0.0116 0.0050

strain

Accommodation strain el

-0.0007 0.0017 -0.0017 0.0017 -0.0050

Phases

pl

-0.0098 0.0008 -0.0009 0.0099 None

Phase 1 Phase 2 Phase 2 Phase 2 Phase 2 phase 3

+

Remaining stress, MPa -100 100 -50 250 -775

Yield strength, MPa 100 100 50 250 1700

Se gm e n t B. The thin layer undergoes a complete phase transformation from phase 1 to phase 2 with no temperature

change, resulting in a transformation strain of -0.0025 and no thermal strain (Fig. 2). This results in a stress reversal, which causes the heated layer to be in tension. The magnitude of the transformation strain is sufficient to cause the yield strength of phase 2 to be exceeded and induce a plastic strain of 0.0008. Se gm e n t C. The layer is heated from 725 to 850 °C, causing a thermal strain of 0.0026. This again reverses the stress

back to compression in the thin layer and causes a compressive plastic strain of -0.0009.

Se gm e n t D . Heating is stopped and the layer uniformly cools from 850 to 300 °C. This causes contraction inducing a

thermal strain of -0.0116. This strain accommodation is broken down into 0.0017 elastic and 0.0099 plastic. The resulting deformation is predominantly plastic because of the low yield strength (250 MPa) of phase 2 at 300 °C and its high modulus (175 GPa). Se gm e n t E. The layer is cooled from 300 to 150 °C. During this period, a phase transformation occurs from phase 2 to

phase 3 that causes an expansion strain of 0.0075. In addition, a thermal contraction of -0.0025 occurs. The thermal strain was determined by averaging the expansion coefficients. The net total strain was 0.0050. However, phase 3 has a much higher yield strength than phase 2, and this strain is all accommodated elastically. The resultant residual stress at 150 °C is -775 MPa. Se gm e n t F. The final stage of the process is a cooling from 150 to 25 °C. This is all thermal contraction strain, which

reduces the compressive residual stress to -440 MPa. Con clu sion s. A summary of the results from this example is shown in Table 1. Most of the plastic deformation occurred

during the heat-up and cool-down stages of the process. This was largely the result of the low strength of the material at high temperature and the low strength of phase 2 at lower temperature (300 °C). A substantial residual stress was produced mainly from the expansion during the final phase transformation and the simultaneous change to a high-strength material. This example problem is a simplistic representation of surface hardening of steel, which usually produces a large compressive stress at the surface. From this example, it is readily seen that even for a simple problem, a substantial plastic deformation and a substantial residual stress can result from heat treat processes. During the actual quenching of a complex part, not only can similar transitions in phases and phase strengths happen, but the thermal distribution can vary greatly depending on the component geometry and the heat treating process.

Re fe r e n ce cit e d in t h is se ct ion

5. A. Kumar Sinha, Defects and Distortion in Heat-Treated Parts, Heat Treating, Vol 4, ASM Handbook, ASM International, 1991, p 601-619 D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

Com pon e n t D e sign for H e a t Tr e a t in g: Ex pe r ie n ce - Ba se d D e sign Ru le s Several general experience-based design guides have been developed (Ref 5, 6, 7, 8, 9). They are all based on the concept of minimizing nonuniform heating and cooling of components. Large thermal gradients and thermal asymmetry produce distortion and have the potential of causing tensile stresses and thus cracking of the component. The concept of reducing the opportunity for large thermal gradients to minimize distortion is counter to the need for rapid quenching in order to form martensite in steel or to prevent precipitation after solution treatment of age-hardenable materials. The preferred method is to quench the material only as rapidly as absolutely necessary to form the desired phase(s). Optimization of this manufacturing system is a combination of material selection, heat treatment process, and component design for heat treatment. This optimization necessitates that the heat treater work in conjunction with the designer to avoid geometric features that can be difficult to heat treat and aid in the selection of appropriate heat treat processes. Over the years, some basic rules have been developed for component design for heat treatment; these are summarized below. D e sign t h e Com pon e n t To Be As Sym m e t r ica l As Possible . Part asymmetry causes asymmetrical thermal and

transformation gradients, which often result in nonuniform plastic deformation and distortion. A classic example of this is shown in Fig. 4 for the carburizing and quenching of a gear (Ref 6). The thinner section in the web cools more rapidly than the gear section. As the web section contracts the gear section is in circumferential compression. Then, as the gear

section cools and contracts, the web restricts uniform contraction because it is not centered. This results in a tapered gear. The problem can be resolved by offsetting the hub, or ideally, by making the gear symmetrical.

Fig. 4 A t ypical problem caused by lack of sym m et ry in design, illust rat ed by a gear t hat warped during heat t reat ing. Design m odificat ions can solve t he problem . Source: Ref 6

M a in t a in Un ifor m Se ct ion Th ick n e sse s. Large changes in section thickness cause large thermal gradients during

both heating and cooling. If these section changes are abrupt they will act as strain concentrators causing distortion. Figure 5 shows the result of placing large holes in the web of a gear to reduce weight. If the holes are too large they cause flat spots on the gears. A general rule that has been developed is to keep the diameter of such holes to no more than onethird the web width.

Fig. 5 Problem caused by t he use of holes t o reduce weight of a gear. ( a) I f t he designer specifies large holes in t he web, heat t reat m ent m ay produce a flat spot for each hole. ( b) Keeping t he hole diam et er t o one-t hird of t he web widt h elim inat es t he problem . Source: Ref 6

M in im ize H ole s, D e e p Splin e s, a n d Ke yw a ys. These features often destroy the symmetry of the component and

act as strain and stress concentrators during heat treatment. In addition, these features can entrap vapor resulting in slower local cooling rates, making it difficult to effectively quench the component. If they must be used, small radii at the corners of keyways should be avoided and spline transition should be gradual. Avoid Sh a r p Cor n e r s. Corners should be designed with as large a radius as possible. If sharp corners cannot be

avoided, it is good practice to provide relief notches in place of sharp edges (Ref 5). Avoid Lon g, Th in Se ct ion s. The definition of "long, thin section" varies and depends greatly on quenching media;

however, any section length greater than 15 times the diameter is almost always characterized as such and the slightest nonuniformity in quench will cause it to distort. As the quenching medium becomes more severe (i.e., water, caustic quench), this criterion is reduced to as low as 5 times the diameter (Ref 7). For larger length-to-diameter ratios, consideration should be given to fixture quenching or induction hardening. Be w a r e of Pa r t Com ple x it y. The current trend leans toward placing more individual components together to make a

single part or toward adding many geometric features to a part in order for the component to serve several functions. This can often lead to improved package efficiency or reduced cost in other stages of the manufacturing process (see the article "Design for Manufacture and Assembly" in this Volume). However, the component may become more difficult to heat treat, especially if the design rules mentioned above concerning uniform section thickness, symmetry, and the avoidance of holes and keyways are violated. All these simple rules are intended to encourage designers to produce component designs that are readily heat treatable. However, components will continue to be designed that are asymmetrical, have nonuniform sections, and contain many features. When faced with such components, heat treaters must use their experience to find solutions to the problem. Analytical solutions to improve designing for heat treatment are on the horizon with the development of finite element approaches to simulation and with the vast improvements in computer power that are occurring every day.

Re fe r e n ce s cit e d in t h is se ct ion

5. A. Kumar Sinha, Defects and Distortion in Heat-Treated Parts, Heat Treating, Vol 4, ASM Handbook, ASM International, 1991, p 601-619 6. Materials and Processes, Vol I, Source Book on Heat Treating, American Society for Metals, 1975 7. R.F. Kern and M.E. Seuss, Steel Selection: A Guide for Improving Performance and Profits, John Wiley & Sons, 1979 8. T. Bell, Survey of the Heat Treatment of Engineering Components, The Iron & Steel Institute, London, 1973 9. K.E. Thelning, Steel and Its Heat Treatment, English ed., Butterworths, 1975 D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

Com pu t e r M ode lin g a s a D e sign Tool for H e a t Tr e a t e d Com pon e n t s A computer process simulation model allows a particular design to be tested under a specific set of process conditions. The computer software can graphically display not only the resulting residual stresses and distortions in the component, but also the associated transient evolution of temperature, metallurgical phases, volume changes, and stresses. These analytical models can be used for point-by-point comparison (with experiments) and to view distributions of quantities

such as residual stresses or phases throughout the part. Based on the transient response of the component design to the specified process, design parameters and processing conditions can be adjusted so as to minimize the undesirable outcomes that are predicted. Of course, like any analytical tool, accuracy and confidence in the modeling technique is of utmost importance. There are inherent inaccuracies in any computational technique, and the user of the process model must be aware of the limitations as well as the strengths of the model. Given the state-of-the art of these modeling techniques, qualitative results are probably the most valuable product of process modeling. The thermal and transformation strain example described in a previous section is in fact a process model that includes the various transformations that a point in the material undergoes during heat treatment and the associated changes in dimensions and stress patterns. The example illustrates how the various stages of transformation that a material experiences can be analytically described (or modeled!). It is important to realize that all the changes in the thin section of the plate are caused by the imposed thermal profile, which in turn results entirely from the "process" conditions that the plate experiences. The process conditions usually include the furnace atmosphere (for example, temperature and carbon potential), heating rates, and quench conditions. Modeling of heat treat processes, like other materials processes such as casting and welding, is quite complex due to the tight coupling of various metallurgical transformations and the associated changes in thermal and mechanical states. A process simulation model is usually exercised for a specific material and a specific process. Both the material and process characteristics are inputs to the model. The process specifics manifest themselves in "initial" conditions (e.g., temperature of the component at the start of heat treatment) and boundary conditions (e.g., the quench temperature and level of agitation in the bath) of the model. The material properties needed are the modulus, strength, coefficient of thermal expansion, yield strength, conductivity, specific heat, and density. Because the material undergoes drastic changes in temperature, these properties should be temperature and phase dependent. It is extremely important for the user to have accurate information relating to these data, thus generating this information often requires extensive characterization of the material and process under consideration. The thin section in the example experienced several different stress states primarily because the yield strength of the material changed depending on the temperature and phase. Also, for materials such as the one illustrated, accurate transformation kinetics are required to identify the phases present anywhere in the component at any time in the process. The solvers (using finite or boundary element or finite difference techniques; see the article "Finite Element Analysis" in this Volume) are used to solve thermal and structural governing equations subject to the specified boundary conditions and material characteristics. A comparison of typical experimental and simulation procedures is shown in Fig. 6. Typically, each of the five steps of the heat treat process (described in the section "Overview of Component Heat Treatment" in this article) represents a computer analysis. For example, carbon diffusion during a carburizing process requires a mass diffusion analysis, the heat-up in the furnace requires a thermal analysis, and the quenching requires a thermal and structural analysis. Some of these analyses depend on each other very closely, leading to "coupled" analyses.

Fig. 6 Com parison of experim ent al and sim ulat ion procedures for heat t reat design. Source: Ref 10

All seven of the factors that lead to size and shape changes and the development of residual stresses (listed in the section "Overview of Component Heat Treatment" in this article) can be input into (or output from) the model. The variation in structure and composition, the differential heating and cooling, and the quench agitation can be included in the model using "initial" and "boundary" conditions. The movement due to stress relief, the creep of the part under its own weight, the volume changes due to phase transformation, and thermal expansion can be output from the model based on the boundary conditions and material description. A typical process model, such as one for heat treatment, has several major aspects to it. A process model for a carburizing process is shown in Fig. 7. The flow chart shown in Fig. 7 represents the different pieces of a simulation tool that are used to analyze the carburizing process. The part geometry represents the initial design. If the solver is finite element based, the geometry has to be discretized into a finite element mesh (see the article "Finite Element Analysis" in this Volume). The various constituents in the model are described below.

Fig. 7 Process m odel for a carburizing problem . Source: Ref 11

Bou n da r y con dit ion s represent the process conditions under which the part is being heat treated. To simulate a carburizing process, the carburizing cycle parameters constitute the boundary conditions. These are expressed using a surface carbon potential as a function of time and temperature. To simulate a quenching process, convection boundary conditions are used to describe the part-quench interface. Heat transfer coefficients for a water quench and oil quench are shown schematically in Fig. 8. Some examples for salt quenches are given in Ref 12. These values of heat transfer coefficients are typical for small parts in a large quench tank. The boundary conditions are extremely important because they represent the uniqueness of a particular part (and quench). Extensive experiments are sometimes required to estimate these boundary conditions. Occasionally, the supplier of the quenchant can also provide information about the rate of heat removal from a part surface for a particular quench.

Fig. 8 Exam ple of heat t ransfer coefficient boundary condit ions for oil and wat er quenches. Source: Ref 10

Th e de for m a t ion m ode l (stress-strain relationships) used for computing distortion and residual stresses requires an accurate description of the phase transformation kinetics and the associated microstructure and volume changes. The deformation model uses the temperature- and phase-dependent mechanical properties to determine the deformation

changes, given the temperature changes. These volume changes (e.g., from austenite to martensite) typically lead to transformation-induced plasticity (TRIP). This is caused by a soft phase (such as austenite) being deformed by a harder phase (such as martensite) during the transformation. Several deformation models have been developed with reasonable success (Ref 13). Implementation of these models requires a good understanding of mechanics of the materials. The close interaction between various parameters in the deformation model is referred to as "metallo-thermo-mechanical" coupling. Figure 9 shows the various couplings considered in the modeling of phase transformations during the heat treatment of steels.

Fig. 9 Phenom enological coupling in heat t reat sim ulat ion. Source: Ref 14

An a lysis Soft w a r e . An analysis package capable of performing thermal and structural analyses is required to execute the process model. This analysis package should integrate not only the above-mentioned pieces, but also provide tools to graphically display the thermal and phase evolution, the final size and shape of the part, and the resulting residual stresses. This information can be used by the process engineer to make either a design or process change recommendation. From a practical standpoint, even if the computer model is not completely accurate, the analysis tool can be used to perform sensitivity studies to understand which process or material parameter has the greatest (or least) impact on the resulting part distortion or residual stress. Examples of commercial software systems capable of performing heat treatment analyses are HEARTS (Ref 14), TRAST, and MetalCore (Ref 15). TRAST is a deformation model written in the form of a FORTRAN user subroutine that has to be used with ABAQUS (Ref 18). TRAST is based on some original work carried out by Sjostrom at Linköping University in 1982 (Ref 17). Another software system will result from a collaborative effort under the auspices of the National Center of Manufacturing Sciences (Ref 18).

The examples presented in these references represent the state-of-the art in the area of modeling of heat treatment processes. Several open issues need to be resolved before computer modeling of heat treat processes becomes routine. Much needs to be done in the areas of numerical analysis, material characterization and modeling, quench tank characterization, and prediction of phase transformation behavior. However, successes demonstrated in recent literature show that heat treatment modeling is very much a viable technology.

Re fe r e n ce s cit e d in t h is se ct ion

10. J. Bodin and S. Segerberg, Benchmark Testing of Computer Programs for Determination of Hardening Performance, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 133-139 11. W. Dowling, T. Pattok, B.L. Ferguson, D. Shick, Y.-H. Gu, and M. Howes, Development of a Carburizing and Quenching Simulation Tool: Program Overview, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 349-355

12. D. Shick, D. Chenoweth, N. Palle, C. Mack, W. Copple, W.-T. Lee, W. Elliot, J. Park, G.M. Ludtka, R. Lenarduzzi, H. Walton, and M. Howes, Development of a Carburizing and Quenching Simulation Tool: Determination of Heat Transfer Boundary Conditions in Salt, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 357-366 13. D. Bamman, V. Prantil, A. Kumar, J. Lathrop, D. Mosher, M. Callabresi, H.-J. Lou, M. Lusk, G. Krauss, B. Elliot, Jr., G. Ludtka, T. Lowe, W. Dowling, D. Shick, and D. Nikkel, Development of a Carburizing and Quenching Tool: A Material Model for Carburizing Steels Undergoing Phase Transformations, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 367-375 14. T. Inoue and D.-Y. Ju, Metallo-Thermo-Mechanical Simulation of Quenching Process: Theory and Implementation of Computer Code "HEARTS," Quenching and Distortion Control: Proceedings of the First International Conference, ASM International, 1992 15. N.J. Marchand and E. Malenfant, Modeling of Microstructural Transformations Using Metal-Core, Heat Treating: Proceedings of the 16th Conference, ASM International, 1996, p 411-418 17. S. Sjostrom, "The Calculation of Quench Stresses in Steel," Ph.D. Thesis, Linköping University, Sweden, 1982 18. C. Anderson, P. Goldman, P. Rangaswamy, G. Petrus, B.L. Ferguson, J. Lathrop, and D. Nikkel, Jr., Development of a Carburizing and Quenching Simulation Tool: Numerical Simulations of Rings and Gears, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 377-383 D e sign for H e a t Tr e a t m e n t William E. Dowling, Jr. and Nagendra Palle, Ford Mot or Com pany

Re fe r e n ce s 1. M.A.H. Howes, Factors Affecting Distortion in Hardened Steel Components, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 251-258 2. Heat Treating, Vol 4, ASM Handbook, ASM International, 1991 3. J.S. Kirkaldi, Quantitative Prediction of Transformation Hardening in Steels, Heat Treating, Vol 4, ASM Handbook, ASM International, 1991, p 20-34 4. H. Walton, Dimensional Changes During Hardening and Tempering of Through-Hardened Bearing Steels, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 265-273 5. A. Kumar Sinha, Defects and Distortion in Heat-Treated Parts, Heat Treating, Vol 4, ASM Handbook, ASM International, 1991, p 601-619 6. Materials and Processes, Vol I, Source Book on Heat Treating, American Society for Metals, 1975 7. R.F. Kern and M.E. Seuss, Steel Selection: A Guide for Improving Performance and Profits, John Wiley & Sons, 1979 8. T. Bell, Survey of the Heat Treatment of Engineering Components, The Iron & Steel Institute, London, 1973 9. K.E. Thelning, Steel and Its Heat Treatment, English ed., Butterworths, 1975 10. J. Bodin and S. Segerberg, Benchmark Testing of Computer Programs for Determination of Hardening Performance, Quenching and Distortion Control: Proceedings of the First International Conference on Quenching and Control of Distortion, ASM International, 1992, p 133-139 11. W. Dowling, T. Pattok, B.L. Ferguson, D. Shick, Y.-H. Gu, and M. Howes, Development of a Carburizing and Quenching Simulation Tool: Program Overview, Quenching and the Control of Distortion:

Proceedings of the Second International Conference, ASM International, 1996, p 349-355 12. D. Shick, D. Chenoweth, N. Palle, C. Mack, W. Copple, W.-T. Lee, W. Elliot, J. Park, G.M. Ludtka, R. Lenarduzzi, H. Walton, and M. Howes, Development of a Carburizing and Quenching Simulation Tool: Determination of Heat Transfer Boundary Conditions in Salt, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 357-366 13. D. Bamman, V. Prantil, A. Kumar, J. Lathrop, D. Mosher, M. Callabresi, H.-J. Lou, M. Lusk, G. Krauss, B. Elliot, Jr., G. Ludtka, T. Lowe, W. Dowling, D. Shick, and D. Nikkel, Development of a Carburizing and Quenching Tool: A Material Model for Carburizing Steels Undergoing Phase Transformations, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 367-375 14. T. Inoue and D.-Y. Ju, Metallo-Thermo-Mechanical Simulation of Quenching Process: Theory and Implementation of Computer Code "HEARTS," Quenching and Distortion Control: Proceedings of the First International Conference, ASM International, 1992 15. N.J. Marchand and E. Malenfant, Modeling of Microstructural Transformations Using Metal-Core, Heat Treating: Proceedings of the 16th Conference, ASM International, 1996, p 411-418 16. ABAQUS Users Manual, HKS Inc. 17. S. Sjostrom, "The Calculation of Quench Stresses in Steel," Ph.D. Thesis, Linköping University, Sweden, 1982 18. C. Anderson, P. Goldman, P. Rangaswamy, G. Petrus, B.L. Ferguson, J. Lathrop, and D. Nikkel, Jr., Development of a Carburizing and Quenching Simulation Tool: Numerical Simulations of Rings and Gears, Quenching and the Control of Distortion: Proceedings of the Second International Conference, ASM International, 1996, p 377-383

D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

I n t r odu ct ion THE CERAMICS AND GLASSES INDUSTRY has estimated annual sales of between $100 and $200 billion worldwide. Ceramic production accounts for about 45% of the entire world market for manufactured ceramics and glasses, not including cements and ceramic powders. One estimate of ceramic sales in various categories and subcategories is provided in Fig. 1; Fig. 2 provides an alternative estimate. It may be noted that dollar values differ in several categories. This is for two reasons. First, the market is rather fragmented with production ranging from large corporations to individual artisans. Much production activity is conducted within the industry for internal consumption. Low estimates tend to count only larger-scale industrial activity, while higher values attempt to include the small-shop and internalcompany production. Second, there are significant overlaps between various categories--for example, electrical porcelains might be included with technical ceramics or whitewares. From the data of Fig. 1 and 2 it can be seen that the major fraction of ceramics produced include clay (as well as beneficiated and/or chemically derived materials) among their raw materials. For this reason, the discussions of materials and process design first concentrates on these materials.

Fig. 1 Est im at ed worldwide sales of ceram ics. Does not include sales of glass product s, which is est im at ed t o be approxim at ely $58 billion ( 1996) . ( a) Sales of t radit ional/ indust rial ceram ics ( 1996) . ( b) Dist ribut ion of whit eware sales ( 1992) . ( c) Dist ribut ion of porcelain enam el sales ( 1992) . ( d) Dist ribut ion of st ruct ural clay product s sales ( 1992) . Source: Ref 1, 2, 3

Fig. 2 Est im at ed worldwide sales of t radit ional/ indust rial ceram ics ( 1992) . Source: Ref 1, 2, 3

Many technical ceramics contain clay as part of their formulation, but tend to employ a higher proportion of high-purity, processed, or derived raw materials. Most refractory brick and parts are processed similarly to the clay-based systems. Technical ceramics include oxide and nonoxide materials used for a number of industrial applications such as electrical porcelains, electronic substrates, wear parts, and chemically resistant parts. It also includes advanced ceramics providing particularly demanding performance in engine parts, biomedical prostheses, high-temperature bearings, industrial cutting tools, and so forth. Such materials are estimated to account for as much as 5% of ceramic sales. Consideration in this article is given to some of the special issues in process design and materials selection for those technical ceramics that differ from clay-based systems. The article "Effects of Composition, Processing, and Structure on Properties of Ceramics and Glasses" in this Volume provides a brief discussion of many of the plastic cements (monolithics, gunning mixes, ramming compounds) that are applied and fired in situ. These materials are not discussed here. Neither are porcelain enamels, which are chiefly composed of glass frit (fine particulate) and combine glass technology with metal-coating methods. Detailed information about all major types of these materials can be found in Ceramics and Glasses, Volume 4 of the Engineered Materials Handbook. This article provides an overview of the processing steps used in ceramics processing and related mechanical design considerations. The breadth of the topics presented prevents a detailed discussion of each. A wide variety of products and ceramics compositions are represented. The references listed at the end of this article provide more detailed information about ceramics processing issues.

Ack n ow le dge m e n t The statistical information used in this article is taken primarily from Ref 1, 2, 3.

Re fe r e n ce s

1. Bulletin of the American Ceramic Society (monthly), American Ceramic Society

2. Ceramic Industry (monthly), Corcoran Publications 3. Ceramic Forum International, German Ceramic Society D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Cost s The production of ceramic products covers a broad spectrum of materials and applications manufactured by facilities that vary over a broad scale. Contrast the production of brick and tile at hundreds of tons per employee each year with the exclusive art of an artisan potter or the special-purpose advanced ceramic valves for a racing car. All ceramic production is capital intensive. The required equipment for materials handling, grinding, mixing, forming, drying, firing, and suitable packaging necessitates a relatively large investment in capital equipment and physical plant at any scale. Long-term investment strategies are necessary. Large-scale production is undergoing major change in terms of automation, controls, and continuous processing, which require flexible plant and equipment selection and design to anticipate future developments. In order to examine the various factors in production, the manufacture of tile will be used as a model. Tile is chosen both because it has a substantial level of production (see Fig. 1 and 2) and because the economics of tile manufacture has been examined over the past two decades as automated tile manufacture became a major industrial trend. This approach to continuous tile production initiated chiefly in Italy. Figure 3 shows the typical distribution of costs in 1971, before significant automation, and in 1989, when most of the Italian tile manufacturing was highly automated. The graph is for an indexed Lira (It). Figure 4 shows the relative change in costs per square meter of tile. The net result of automation was a 30% reduction in cost per square meter, a tripling of productivity per employee, and a 150% increase in production above the 1971 level. The sales price of tile decreased by about 15%, due in large part to an increase in the total market (competition with other surfacing materials) and capture of a greater international market share. It is clear that automation of tile manufacture has led to improved manufacturing practice at a reduced cost. The capital investment in an automated facility is similar to conventional operations. The technology has now been implemented worldwide in turnkey tile plants "exported" from Italy.

Fig. 3 Change in cost s of I t alian t ile product ion 1989 versus 1971 ( square m et er basis) . Source: Ref 1, 2, 3

Fig. 4 Relat ive change in t ile product ions cost fact ors ( 1989 relat ive t o 1971) . Source: Ref 1, 2, 3

It may be noted that the cost of labor is a major factor across the two-decade span, but with automation the productivity per employee nearly tripled and employee cost per square meter of tile decreased by about 35%. There was a shift to a more highly trained labor force providing greater turnover and product value. Table 1 shows that tile manufacture is intermediate among major ceramic products in terms of employee productivity and sales value. In general, products lower in value tend to be manufactured in highly automated plants. The use of high-volume, low-cost production is necessary for profitability in such markets except where specialty shapes or properties provide higher-than-usual value added. Significant advances are being made in the volume and yield of sanitaryware and tableware. Many process steps are becoming more automated; where batch manufacture is still employed concepts such as "just-in-time" manufacturing, inventory control, and plant flow of product are improving productivity and lowering rejects. Technical ceramics vary widely in labor (and other) costs depending on the level of value added in manufacture, applicability of mass production methods, need for high-cost raw materials, and special property or shape requirements. It is therefore virtually impossible to make generalizations about technical and advanced ceramics.

Table 1 Relative productivity and product value for ceramic product categories Product category Bricks Sewer pipe Roofing tile Tile Refractories Sanitaryware Tableware Technical ceramics

(a) (b)

Relative productivity(a) 1.05 1.00 0.91 0.79 0.80 0.81 0.41 0.31

Relative value(b) 0.15 1.00 1.05 1.40 1.50 8.90 20.00 10-10,000

Relative pounds per employee-year, indexed to sewer pipe. Relative price per pound

Costs of body (Fig. 3 and 4) and glaze materials were influenced by a short-term increase in manufacturing costs and the cost of shipping raw materials in the late 1980s. Assuming constant material costs, the body costs would decrease slightly (about 10%) with lowered plant losses offset partially by a small increase to provide the more consistent body formulation required for automation. The glazing cost decreased more substantially because automation replaced the considerable hand labor that is required for traditional decorating. Loss of glazing material and defect losses decreased substantially. Packaging costs (Fig. 4) were also lower because of the elimination of hand labor. The greater reliance on mechanical systems caused increases in both machine-power consumption and equipment maintenance costs, while automated packaging machines lowered that cost segment. The change in energy consumption is largely attributable to the incorporation of "fast-firing" technology. Historically, large volumes of material were loaded and heated simultaneously for both drying and firing steps. The newer approach employs a belt or roller mechanism in which a very thin support is used. This significantly reduces the thermal load--in particular the nonproductive heating of kiln furniture. The throughput speed is maximized, and residual heat from the firing cycle is used to dry the tile. A 40 to 60% productive usage of heat energy results as compared to an energy efficiency about half of this in conventional firing. This fast-firing paradigm is being applied increasingly to ceramic production. Even when a batch process cannot be converted to a continuous, automated one, considerable savings can be achieved by reducing the thermal load of support materials and firing as rapidly as possible in an energy-efficient furnace. Many plants established firing profiles designed for the largest ware to be fired. Separate firing of large pieces, which require a slower firing profile, can improve efficiency by permitting optimal firing profiles for each shape and size. It has been found to both decrease fuel costs and increase productivity. The latter factor is quite important in a capital-intensive industry in which the investment return of major production equipment is an important consideration. Shipping is also an important cost factor, although not included in Fig. 3 and 4. For lower-cost, lower-profit marginproducts such as construction materials, shipping costs of both finished product and raw materials can be a major factor. Shipping needs often dictate that the plant be placed close to sources or customers, or where lower-cost shipping methods are available.

Re fe r e n ce s cit e d in t h is se ct ion

1. Bulletin of the American Ceramic Society (monthly), American Ceramic Society 2. Ceramic Industry (monthly), Corcoran Publications 3. Ceramic Forum International, German Ceramic Society

D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

D e sign Appr oa ch e s Ceramics are frequently specified by design engineers because of their mechanical strength at high temperature, thermal stability, electrical and thermal insulating properties, hardness, and resistance to harsh chemical environments (durability). Special electrical, magnetic, and optical properties also dictate ceramics for various applications. Structural applications of ceramics that are particularly important are construction materials (brick, pipe, tile, etc.), applications where chemical inertness is required (labware, plant piping, tile, etc.), and structures for use at temperatures above about 500 °C (900 °F). Ceramics might be effective design choices for structures for which metals or plastics may be effective at lower temperatures or in less-aggressive environments. The specific material to be selected depends on its basic properties. Thus a material may be selected based on the chemistry required to achieve the overall behavior desired. Tables 2 and 3 provide key mechanical and other properties for many important whiteware and technical/advanced ceramics, respectively, employed in structural applications. These tables may form an initial guide to materials selection. The properties described refer to materials fired to near-full density. As fired density decreases (due to shorter firing time or lower soak temperature) a given ceramic will generally show poorer mechanical properties, although well-designed high-porosity materials may show adequate strength and are important for thermal insulation applications. As the amount of lower-softening-point glass increases for a whiteware or sintering additive increases for a particular ceramic, full firing can be accomplished more easily. However, hightemperature strength is usually proportionately lower because of a less thermally resistant glass for whitewares or an increase in the amount of grain-boundary phase (usually glassy material) for technical ceramics. Strength and chemical durability is also usually lowered at ambient temperatures as the additive content and consequent firing temperature are reduced.

Table 2 Properties of ceramics Material

Theoretic al density, g/cm3

Knoop or Vickers hardness GP 106 a psi

Transverse rupture strength MP ksi a

Variable

2.4-5.9

6-7

70350

Amorphous

2.52

5

0.9 1.0 0.7

Rutile tetragonal

4.25

711

3.84

Al2O3

Anatase tetragonal Brookite orthorhomb ic Hexagonal

Cr2O3 Mullite

Glassceramic s Pyrex glass TiO2

Partiall y stabilize

Crystal structure

Fracture toughness

Young's modulus

Poisson 's ratio

Thermal expansio n, 10-6/K

Thermal conductivi ty, W/m · K

MPa

ksi

GP a

106 psi

1051

2.4

2.2

83138

1220

0.24

5-17

2.0-5.4(a), 2.7-3.0(b)

69

10

0.75

0.7

70

10

0.2

4.6

69103

1015

2.5

2.3

283

41

0.28

9.4

...

1.0 1.6 ...

1.3 (a) 1.7(c) 8.8(a)

...

...

...

...

...

...

...

...

3.3(d)

4.17

...

...

...

...

...

...

...

...

...

...

...

3.97

1823

2.6 3.3

40150

2.7-4.2

2.5-3.8

380

55

0.26

7.2-8.6

27.2 (a), 5.8(d)

Hexagonal

5.21

29

4.2

3.5

10-33(e)

...

2.2

2.0

>1 5 21

7.5

...

>10 3 145

...

2.8

>3 8 27

3.9

Orthorhom bic Cubic monoclinic, tetragonal

276 103 4 >26 2 185

0.25

5.7

5.70-5.75

1011

1.5 1.6

600 700

(f)

(f)

205

30

0.23

8.9-10.6

5.2 (a), 3.3(d) 1.8-2.2

87102

d ZrO2 Fully stabilize d ZrO2 Plasmasprayed ZrO2 CeO2

Cubic

5.56-6.1

1015

Cubic, monoclinic, tetragonal Cubic

5.6-5.7

TiB2

245

36

2.8

2.5

97207

1430

0.230.32

13.5

1.7(a), 1.9(g)

...

1.5 2.2 ...

680

0.9 -12

1.3-3.2

1.2-2.9

48(h)

7

0.25

7.6-10.5

0.69-2.4

7.28

...

...

...

...

...

...

172

25

13

Hexagonal

4.5-4.54

1545

1.5 6.5

102 145

6-8

5.5-7.3

514 574

7583

8.1

9.6(a), 1.2(d) 65-120(i), 33-80(j), 54-122(k)

TiC

Cubic

4.92

2835

3540

...

...

430

62

0.19

7.4-8.6

33(a), 43(d)

TaC

Cubic

14.4-14.5

1624

1442

...

...

285

41

0.24

6.7

32(a), 40(d)

Cr3C2

Orthorhom bic

6.70

1018

49

7.1

...

...

373

54

...

9.8

19

Cement ed carbides

Variable

5.8-15.2

820

4.0 5.1 2.3 3.5 1.5 2.6 1.2 2.9

700 100 0 241 276 97290

0.270.31 0.090.13

758 327 5

110 475

5-18

4.6-16.4

396 654

5795

0.20.29

4.0-8.3

16.3-119

SiC

, hexagonal

3.21

2030

(l)

(l)

(m)

(m)

0.19

4.3-5.6

63-155(a), 21-33(d)

3.21

...

...

...

...

...

207 438 ...

3070

, cubic

2.9 4.4 ...

...

...

...

...

4.1 6.4 1.2 2.8 ...

(n)

(n)

5-7

4.6-6.4

(o)

(o)

(p)

(p)

...

...

...

2.3 2.9

...

...

...

SiC (CVD) Si3N4

TiN

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) (l) (m)

, cubic

3.21

2844

, hexagonal

3.18

819

, hexagonal Cubic

3.19

...

5.43-5.44

1620

415 441 304

6064

...

5.5

121(a), 34.6(g)

44

0.24

3.0

9-30(a)

...

...

...

...

...

...

...

251

36

...

8.0

24 (a), 67.8(q), 56.9(r)

At 400 K. At 1200 K. At 800 K. At 1400 K. At 350 K. 8-9 (7.3-8.2 at 293 K, 6-6.5 (5.5-5.9) at 723 K, and 5 (4.6 at 1073 K, in units of MPa (ksi ). At 1600 K. 21 (3) at 1373 K, GPa (106 psi). At 300 K. At 1100 K. At 2300 K. Sintered: 96-520 (14-75) at 300 K, and 250 (36) at 1273 K. Hot pressed: 230-825 (33-120) at 300 K, and 398-743 (58-108) at 1273 K, MPa (ksi). Sintered: 4.8 (4.4) at 300 K, and 2.6-5.0 (2.4-4.6) at 1273 K. Hot pressed: 4.8-6.1 (4.4-5.6) at 300 K, and 4.1-5.0 (3.7-4.6) at 1273 K, MPa

(ksi

).

(n) (o) (p) (q) (r)

1034-1380 (150-200) at 300 K, and 2060-2400 (300-350) at 1473 K, MPa (ksi). Sintered: 414-650 (60-94). Hot pressed: 700-1000 (100-145). Reaction bonded: 250-345 (36-50), MPa (ksi). Sintered: 5.3 (4.8). Hot pressed: 4.1-6.0 (3.7-5.5). Reaction bonded: 3.6 (3.3), MPa (ksi ). At 1773 K. At 2573 K

Table 3 Physical properties of whitewares Property

Earthenware

Hard porcelain

Bone china

Hotel china

Water absorption, % Specific gravity Bulk density, kg/m3 Compressive strength, MPa (ksi) Tensile strength, MPa (ksi) Modulus of rupture, MPa (ksi)

6-8 2.6 2200 ... ... 55-72 10) 55 (8)

0.0-0.5 ... 2400 400 (58) 23-34 (3-5) 39-69 (5.510) 69-79 (5.511.5)

0.0-1.0 2.75 2700 ... ... 97-111 (1416) 96 (13.9)

0.1-0.3 2.6 2600 ... ... 82-96 (1214) 82 (12)

7.3-8.3 ... 1.26

... 3.5-4.5 ...

8.4 ... 1.26

... ...

... ...

... ...

Modulus of elasticity, GPa (106 psi) Linear thermal expansion, m/m ·K 20-500 °C 20-1000 °C Thermal conductivity, W/m · K at 20-100 °C Dielectric constant at 1 megacycle Power factor at 1 megacycle

(8-

Normal electrical porcelain 0.0 2.4 2400 700 (102) 35 (5) 105 (15)

High-strength electrical porcelain 0.0 2.8 2770 700 (102) 56 (8) 175 (25)

...

...

7.3-8.3 ... ...

5.7 ... ...

6.7 ... ...

... ...

5.6 0.8

6.9 0.7

Oxide materials are usually somewhat less expensive than nonoxide ceramics, as their raw material and production costs are lower. Earthenwares and lower-quality whitewares, made from naturally occurring raw materials, generally have the lowest properties and cost with higher porosity (water absorption). The lowest strength is exhibited by many construction materials for which increased load-bearing mass in a structure compensates for lower relative strength. As the density, continuity, and softening point of the vitreous (glassy) phase increases in such materials, the strength, hot strength, and chemical durability usually increase--as does the cost. These property improvements often involve the use of chemically derived raw materials such as alumina. These materials--used as fine china, porcelain, and electrical porcelain--are at the upper end of whiteware properties. Oxide ceramics made chiefly from chemically derived components occupy the next level of resistance to mechanical, chemical, and thermal stresses. Generally, as the amount of second-phase additive and porosity decreases the properties improve. Nonoxide ceramics are usually even more costly and difficult to process, but provide superior mechanical properties and thermal stability, making them particularly applicable for elevatedtemperature mechanical applications. However, caution must be used as many nonoxide ceramics oxidize at sufficiently elevated temperatures in air unless a protective oxide "skin" forms. A useful approach to material selection in ceramic design is to consider a high-performance technical alumina (aluminum oxide), such as 96% alumina, as a starting material. This type of material usually consists of a high-quality alumina raw material into which is milled a 4% (by weight) additive usually containing oxide combinations of silicon, magnesium, and calcium; water and organics that "burn out" on firing are not considered in this formulation. (Caution must be taken in evaluating "96% alumina" or any other ceramic "designation." This is not a specific designation, and significant differences can exist in composition, microstructure, porosity, and consequent properties from manufacturer to manufacturer and with the particular production process selected. This situation holds for most ceramics, and understanding of or advisement in the basics of ceramic engineering can be vital for critical evaluation of materials selection and design.) This is a technical ceramic formulation with moderate cost used for applications such as electronic substrates, mechanical parts, and high-performance chemical ware. Such a material offers very good mechanical performance in terms of strength, toughness, hardness, and wear resistance as well as good chemical durability, hightemperature stability, and thermal shock resistance. If the properties are nearly satisfactory a higher grade of alumina can be used with lower additive content and a somewhat higher material cost.

For still higher performance at elevated temperature, the material selected would move toward silicon carbide or silicon nitride (hot pressed) at increased cost. Ceramic composite materials reinforced with particulate, fiber/whisker, or continuous fiber offer increased protection against catastrophic failure at elevated temperature, but with increased cost. If greater ambient temperature toughness or wear resistance is required, a transformation (zirconia) toughened alumina or zirconia might be employed, each with greater performance and greater accompanying cost. On the other hand, if 96% alumina exceeds requirements a higher glass content alumina can be used with some material economy. If a significantly lower set of mechanical (or other) properties will satisfy requirements, a clay-based whiteware formulation can be chosen. Technical whitewares such as electrical porcelains offer slightly lower performance, with porcelains, stoneware, earthenware, and structural clay ceramics yielding progressively lower mechanical properties at lower cost. A similar logic can be followed for thermal and durability properties with some consideration of specific behaviors of particular materials. Em pir ica l D e sign . Most ceramic design is performed empirically, that is by a trial-and-error approach based on past experience. Some consideration of the loads to be experienced and the properties of the ceramic may be included. If the material fails, a modification is made in material, part design, or the applied forces. This is done iteratively until satisfactory performance is achieved. Mechanics models of the stresses in the object and average of material strength or strength distribution may provide a guideline to material selection and design modification. If a part performs properly, it is often used although it may exceed design requirements. However, consideration should be given to whether a ceramic with reduced properties or a modified design might be more cost effective. This approach has been used quite successfully, particularly when failure of the ceramic device or component does not lead to a catastrophic failure hazard. Many specifications for construction materials rely on this empirical approach; experience shows that brick or tile will perform correctly if conventional formulations are used and a minimum test standard is met. A manufacturer of plates or crucibles will similarly use a new material or modify product shape using empirical testing methods. D e t e r m in ist ic de sign employs average properties of a material in a particular condition. This method is often applied

to metals because an alloy will show, for a particular heat and working treatment, a rather well-defined yield strength and/or ultimate strength with a standard deviation within a few percent of the mean value. The yield or ultimate strength is divided by a safety factor and is used to provide a satisfactory design in calculated continuum mechanics models such as those provided by finite element analysis (FEA) methods. An additional safety factor preventing catastrophic failure is provided by the ductility of the metal. Deterministic methods can be used for ceramics, but the typically brittle nature of ceramic materials can result in a wide variability in failure strength. The strength of a part is dictated by very small flaws manufactured in and induced during use on the object. A deterministic approach requires a very high safety factor because of the flaw sensitivity of ceramics. Much effort toward improving mechanical performance of ceramic materials centers on the elimination of intrinsic flaws produced in forming and firing and extrinsic (surface) flaws formed by postmachining, mechanical abrasion, or environmental attack. Pr oba bilist ic D e sign ( W e ibu ll An a lysis) . The most rapidly growing approach to ceramic design is the probabilistic

method (see the article "Design with Brittle Materials" in this Volume). It permits a fully quantitative approach, as does deterministic design, but deals with the wide variability of strengths dictated by the distribution of flaws in a brittle ceramic. The method accounts for the wide distribution of strengths in conducting the design protocol. It is often integrated with computer FEA models to allow the effect(s) of materials modification, change in flaw population, and part design to be iterated to a successful design in terms of the stresses calculated by finite element analysis. The finite element net is combined with the known statistical failure behavior (flaw distribution) of the ceramic. This protocol is most frequently based on Weibull statistics (Ref 4), which consider the cumulative probability of failure versus failure stress for each element (usually each sample or part). A typical Weibull plot constructed on a log-probability scale is shown in Fig. 5(a). This plot considers 20 reaction-bonded silicon nitride samples. (While 20 elements appear adequate for this plot, it would usually be considered a small base for design. A common rule of convenience is to test more than 50 samples.) The plot is constructed by ordering the n strength values and assigning each element a probability equal to its rank (from 1 to n) divided by [n + 1]. This approximation to true probability usually leads to less than 5% relative error and allows for simple treatment of a moderate number of failure samples. The slope of the line in the plot (two lines in Fig. 5a) is termed the "Weibull modulus," m. (This "modulus" should not be confused with other mechanical moduli such as the modulus of elasticity.) A higher slope indicates a narrower distribution of failure stresses, that is, a narrower distribution of flaws or a more fracture-tough (damage-tolerant) material. A mean stress for failure can also be determined from the plot. The desired failure probability, for example, one part per million, is used as a design criterion, and the Weibull probability with strength is used to design to this performance requirement. Changes in selected material (fracture toughness), fabrication (intrinsic flaw distribution), finishing (extrinsic flaw distribution), and part configuration or applied forces (stress distribution), can be treated iteratively to yield a final design in terms of material, production requirements, and part configuration for a

particular set of applied forces and environment. Weibull statistics are discussed in greater detail in the article "Design with Brittle Materials" in this Volume.

Fig. 5 St at ist ical aspect s of m at erial design. ( a) Weibull plot for react ion-bonded silicon nit ride. ( b) I m proved Weibull dist ribut ions. ( c) Modificat ion of norm al dist ribut ion by proof t est ing

The Weibull plot can also be used in several other approaches to improved material or part performance. In Fig. 5(a) two line segments are shown (solid and dashed). The high-strength failures (dashed line) have a higher Weibull modulus (slope) and mean strength than those elements on the solid line, which exhibit greater variability in strength and a lower mean strength. Usually the lower slope and mean indicates a different, more severe flaw for corresponding samples. The overall performance can be improved by examining these severe failure-inducing flaws and/or the specifics of production for the low m samples and correcting matters. There are two ways to improve performance by material improvements and/or flaw reduction, as shown in Fig. 5(b). The mean failure value can be increased to yield a higher overall strength, or the Weibull modulus can be increased, improving the reliability by decreasing the distribution of failure values. The improvement in modulus decreases the low-strength portion of the population and allows a higher-use stress at the same failure probability. Some caution should be taken as a high modulus is not necessarily good--severely abraded material may have very low strength but a high modulus because similar large flaws have been introduced throughout all parts. Naturally, a change in material or production method that increases both the slope and mean would be most desirable. It should be noted that the Weibull modulus approach provides useful tools for improved design of materials and processes. Nondestructive evaluation methods can be used to eliminate samples with large flaws and consequent low strength. If the flaws belong to a separable group of low strength values such that the solid line in Fig. 5(a) can be drawn, the Weibull model can be used unmodified. Another application of this concept is to mechanical proof testing. As diagrammed in Fig. 5(c), all produced parts are subjected to stress at a predetermined proof test level. Parts with large, effective flaws fail (shaded portion) and are eliminated from the population. A new, higher mean value of strength results. There are two cautions: • •

If the initial distribution is normal, as shown (one flaw type), normal statistics can no longer be applied. If flaws, particularly cracks, propagate during proof testing, the strength and/or Weibull modulus will deteriorate relative to application.

Fortunately, there is significant evidence that little or no deterioration need occur during proof tests if nonimpact types of proof testing in dry environments (prevents chemical attack of flaws) are employed.

Re fe r e n ce cit e d in t h is se ct ion

4. W. Weibull, A Statistical Theory of the Strength of Materials, Ing. Venterst. Akad., No. 151, 1939, p 1-45 D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Ge n e r a l Pr oce ss D e sign Figure 6 shows the overall scheme usually used in ceramic processing. It is a simplified rendering of the steps that are frequently developed by an iterative process involving design, materials, testing (often nondestructive evaluation), and process engineering. Each step and its interaction with others in the process flow stream need to be compatible and optimized to produce a sound, high-quality product. For example, the raw materials selected and their milled particle size strongly affects whether the rheology is appropriate for a plastic-forming process. This in turn dictates drying and firing conditions and the level of defects, density, homogeneity, and anisotropy of the final part. After the overall scheme is introduced, each process area is discussed in overview. An overview of relationships between structure, processing, and properties can be found in the article "Effects of Composition, Processing, and Structure on Properties of Ceramics and Glasses" in this Volume. Detailed presentations of design aspects of ceramic processing can be found in Ceramics and Glasses, Volume 4 of the Engineered Materials Handbook, and other selected references provided at the end of this article.

Fig. 6 General ceram ic processing flow chart

Figure 6 is divided into various stages. First, the starting materials need to be selected. Subtle, even trace, differences in starting chemistry or structure can alter the mechanical strength, chemical durability, thermal resistance, conductivity, and aesthetics of a ceramic part. For example, a fraction of a percent of additive can substantially alter the high-temperature

strength of a ceramic, decreasing the practical temperature limit of use by many hundreds of degrees. Starting materials are usually powders of natural or derived materials. The raw materials and appropriate additives are next blended, and particle size distribution adjusted in a milling and mixing step. In blenders, the particles are agitated by either motion of stirrers or of the container. Mills provide particle reduction and break-up of agglomerates by the inclusion of "media" or by other means of applying kinetic energy to the ceramic particles. Various types of mills are available, including ball mills, attrition mills, and jet mills. The powder can then be further prepared for forming by classifying particle sizes and eliminating large particles and agglomerates. The powder can be aggregated by methods such as granulation or spray drying for ease of handling or good forming properties. The material is then formed by one of three general approaches with decreasing liquid phase (water) content: wet (casting, tape casting), plastic (extrusion, plastic pressing, jiggering, injection molding), or dry (dry pressing, isostatic pressing). The shaped object is then dried. After forming and drying, the part must have sufficient green (unfired) strength for handling and to resist the formation of defects during further processing. The part can then be surface finished by green machining to near final shape (accounting for firing shrinkage), and surface finishes can be applied such as glazes. The part is then fired to the desired density and structure. Final machining to tolerance or postfiring coatings can then be applied. Often, the ceramic may go through a partial process and return to prior process steps. For example, powder can be formed to pellets, fired, and then be reground to become part of a ceramic formulation. Fired parts or partially (bisque) fired parts can be coated with raw glaze and refired. The chart given in Fig. 6 should be viewed as an introductory guide to design processing. It should be recognized that many variations are made in practice on the steps shown. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Ce r a m ic Ra w M a t e r ia ls a n d For m u la t ion Traditional ceramics are usually made from beneficiated raw materials extracted from the earth and partially purified. As the density, strength, chemical durability, and other properties improve, the raw materials are required to have more controlled composition, greater freedom from foreign matter, and consistent particle size. Traditional ceramics are usually formulated to yield a triaxial body based on the combination of silica, clay, and flux. For some applications, refractory minerals may also be included. A similar concept can be employed for technical oxide ceramics made from chemically derived materials. The term triaxial refers to triaxial phase diagrams based on common mineral raw materials such as those shown in Fig. 7. The corners of the diagram indicate either pure, single metal/oxide materials (Fig. 7a) or minerals (Fig. 7b). In Fig. 7(a) the various phases and stability fields are indicated. A particular composition can be determined by combining raw materials to yield a final result determined by the proportional distances from the "pure" phase vertices. The equilibrium phase diagram shown in Fig. 7(a) is usually used for technical ceramics and pure, chemically processed raw materials would be used. For example, alumina-based ceramics would be produced if the major constituent Al2O3, chemically derived from bauxite ore, were combined with minor additions of finely divided quartz (silica, SiO2) and magnesia (MgO). The complex composition plane of Fig. 7(b) is more useful for whiteware ceramics, which are derived from ceramic raw materials involving more than three oxides. Raw materials and pure minerals are indicated along the sides and vertices, for example, silica, metakaolin (kaolin with its structural water removed), mullite, and feldspar (as leucite or potash feldspar). Regions for various whiteware types are shown inside, for example, hard porcelain, sanitaryware, and electrical porcelain. As with Fig. 7(a), the regions of thermal phase stability are shown. Such diagrams are used to design final ceramic formulations.

Fig. 7 Ternary phase diagram s for ceram ic m at erials. ( a) Diagram of t he syst em MgO- Al2 O3 - SiO2 . Dashed lines show isot herm s in degrees cent igrade for t he presence of liquid phase. ( b) Areas of t riaxial whit eware com posit ions shown on t he silica- leucit e- m ullit e phase- equilibrium diagram

The starting materials may combine several raw materials; for example, alumina may be part of a clay, flux, and refractory oxide, which together supply the total amount of alumina supplied. The actual reaction behavior must be understood because some of the raw material may not react fully during firing. Techniques of batch formulation are used to arrive at the final composition required and involve considerations of organic and water loss as well as cost factors. Sophisticated computer programs have been developed, many company proprietary, to optimize formulation in terms of green forming, firing, final properties, and costs. Tr a dit ion a l Ce r a m ics. For traditional ceramics, the silica fraction of the triaxial body is usually obtained from rather pure deposits of quartz in the form of beach sand or crushed quartz rock, which is washed, ground, and classified (usually 200 to 400 mesh). A wide variety of clay and mineral materials and hydrated minerals can be used, with kaolin (Al2O3·2SiO2·2H2O) and talc (3MgO·3SiO2·2H2O) being the most common mineral forms. Clays usually provide the plastic fraction of a ceramic formulation when mixed with a small amount of water. China clays, such as kaolinite, are chiefly composed of kaolin and are a principle ingredient of most whiteware ceramics. Ball clays are composed of very fine clay particulate with significant quantities of quartz and organic material. They are particularly useful in traditional ceramic formulations because they provide excellent plasticity and green strength to the body, which are useful for working (shaping) the green ceramic. Fluxes contain alkali, which promotes the fusion of silica, alumina, and aluminosilicates thereby allowing firing at relatively low temperatures. Feldspars and nepheline syenite are common fluxing ingredients. Refractory minerals are usually added for elevated-temperature use when high-temperature strength and chemical resistance are required. A variety of oxides, carbides, and other materials are used. Adva n ce d ce r a m ics tend to use processed, high-purity, chemically derived powders such as alumina, zirconia, silicon

nitride, aluminum nitride, and silicon carbide. Technical ceramics use raw materials both chemically derived and of traditional formulation. As the performance requirements become more critical, chemical purity, controlled particle size (distribution), reactivity, and freedom from agglomeration become more important. The optimal particle size distribution is still a matter of disagreement. An extremely fine, uniform, submicrometer particle size can yield ordered packing, provide freedom from pore defects, provide high sintering or reaction rates, lower sintering time, and prevent exaggerated grain-growth defects. Achieving full density may be difficult because uniform spheres pack with about a third void space. Forming times are long, it is difficult to obtain good forming rheology, and prevention of agglomeration is critical. A broad distribution of particle sizes with many orders of magnitude of particle size down to extremely fine (nanometer) scale will provide denser green packing, and desirable forming rheology is far easier to achieve. Forming time is shortened, although defects (large pores and exaggerated grain growth) require careful control to prevent. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Pr e pa r a t ion of M a t e r ia ls The various raw materials are typically ground together to provide intimate mixing and particle size reduction. The configuration, speed, and time duration of milling can significantly alter the intimacy of mixing and ultimate particle size distribution. As milling time increases, the relative improvement in mixedness or particle size reduction decreases in a quasi-logarithmic fashion. Milling is usually done wet with the water or other liquid often being part of the final formulation. In some cases dry milling is done, although many materials are dried after milling. For slip casting, powders are usually dispersed in water or nonaqueous media resulting in a "slip," a fluid slurry with thixotropic rheology. It is desired to have a material that flows when stirred yet maintains its shape after discharge into a mold. A clear understanding of colloid chemistry and rheological control is vital to proper slip preparation (a similar understanding is important to plastic forming). Factors that affect slip (or plastic working) rheology include: solids fraction, liquid fraction, dispersant(s) type and quantity, particle size distribution, particle surface chemistry, pH, and order (timing) of additions. Both traditional clay ceramics and nonclay technical ceramics can be prepared as slips and plastic masses; however, nonclay materials require greater additive and time control because they have no "natural" plasticity. Ceramic powders used in plastic forming employ similar additives and liquids to those used in slip casting, but the fluid content is reduced and additive formulation adjusted. A stiff plastic body must be prepared suitable to the particular plastic process, applied stress, and forming rate. Preparation is usually performed in pug mills or sigma blade mixers that

provide high shear. The body must show a suitable yield point (stress at which flow begins) and maintain shape after forming. Bingham viscoelastic behavior (linear relation between shear stress and shear rate with a yield stress) is usually desired. Clay bodies usually can provide the required rheology with minor additives such as dispersants (deflocculants) and through control of clay fractions and particle size distribution. For technical and advanced ceramics that contain no clay fraction organic binders, plasticizers and lubricants are added to obtain appropriate plastic rheology. Dry pressed powders must usually be granulated or spray dried to provide free-flowing powders that will readily fill a mold. Spray drying usually provides spherical aggregates of powder particles ideal for flow and die filling. Spray drying also permits the uniform incorporation of multiphase materials, binders, lubricants, and other additives. Service firms will spray dry material for those who cannot justify the capital investment of a spray dryer. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

For m in g Pr oce sse s Many forming processes used in ceramics such as dry pressing, extrusion, plastic forming, and injection molding are similar in principle to processes used in the metals, plastics, and food industries. Experience in these areas can be used insofar as rheological behavior is similar. The abrasiveness of ceramics requires that production equipment otherwise similar to other industries be hardfaced to avoid wear and contamination. Slip casting, tape casting, and jiggering are forming methods more specifically developed for ceramic processing. Table 4 summarizes the suitability of various forming processes. The great variability of practices and methods for those described and the number of specialty processes used means that there is significant variation from Table 4, and the descriptions in both Table 4 and this section should be used as a preliminary guide only.

Table 4 Evaluation factors for different ceramic forming methods Forming methods Wet forming Slip casting Pressure casting Tape casting Plastic forming Extrusion Plastic pressing Jiggering Injection molding Dry forming Dry pressing Cold isostatic pressing

Large component sizes

Complex component shape

Independence of plasticity

Tolerance

Ceramic problems (defects)

Production volume

Production speed

Required plant space

Equipment cost

1 2

1 2

3 3

5 4

5 4

5 5

5 4

5 5

1 2

3

5(a)

4

1

2

1

1

2

4

2 3

3(b) 3

5 4

3 2

3 3

2 2

2 3

4 3

3 2

2 5

4(c) 5(d)

5 3

4 1

4 2

3 2

4 2

3 3

2 5

4 3(f)

5(e) 4

1 1

1 1

1 2

1 4

1 3

3 4

3 4

Note: Under usual circumstances 1 is best, and 5 is worst. Variability in processing methods may deviate from common factors indicated.

(a) (b) (c) (d) (e)

Thin sheets only. Uniform cross section. Axially symmetric shapes. Size limited by binder burnout. Small to medium size, short aspect ratio.

(f)

Some very large shapes made

W e t pr oce ssin g methods include slip casting, pressure casting, and tape casting. Slip ca st in g provides great flexibility of both part shape and size. The major incremental cost for a new shape is

development of a master mold. Multiple-use molds made of plaster and/or porous plastics (more recently) are produced from the master with controlled mold porosity--fine pores provide capillarity, coarse pores a larger liquid reservoir. Slip casting most commonly uses a low viscosity, clay-based ceramic slurry, but can also be used for nonclay ceramics with suitable additives for rheological control. Water is the common liquid vehicle. A layer of the slurry deposits on the mold surface as water is drawn off by the porous nature of the mold wall. Capillary suction continues to draw off water and deposit material from the slurry, building up the thickness of the cast structure. Fine fractions may migrate through the drying cake so that the surface microstructure may differ from the bulk. This difference may be desirable for surface finish or fired densification. However, inappropriate chemical segregation or drying/firing stresses can result if segregation is not controlled. Molds must be conditioned with slip before use and dried between casts to maintain casting behavior. After a number of casts either mold definition is lost or capillaries clog, preventing indefinite mold use. Vacuum suction can be applied to the outside of the mold to speed the capillary effect somewhat. Usually, many similar molds are used in sequence to maintain productivity. As a result, space usage is high, considerable labor is required and cycle times are long, although the molds are low-cost forming equipment with great shape and composition flexibility. Mold time depends on the liquid content of the slurry and thickness of the cross section cast. The ideal slip maximizes solids content so that there is as little water to draw off as possible. Thick cross sections can take a very long time to produce because a parabolic decrease in casting rate occurs with time. For solid casting, a liquid reservoir must be provided in the mold design to provide additional slurry as water is drawn off and shrinkage occurs. Drain casting is used to provide a hollow internal cavity for shapes such as a vase or bowl. After the cake has built up to a controlled thickness the residual slurry is poured off and reused. For all shapes, edges and mold seams are trimmed green (unfired) with a knife and smoothed with a wet sponge. Shapes such as handles can be attached by applying a small amount of slurry to cast pieces and pressing pieces together until attached. Pr e ssu r e ca st in g can be used to accelerate the casting speed of thick-walled or solid pieces. Gas pressure injects the

slurry into the mold and helps to force the liquid through the mold capillaries. The pressure also allows a slightly lower fluid content in the slip. The pressure also causes an intimate conformance with the mold wall to provide superior definition and surface quality. If yet greater precision and definition is desired, fine particulate can be sprayed on a solid mold made of wax or plastic. This is done in layers with alternate furnace bakeouts and eventual buildup with coarser particulate slurry. Finally the mold is dissolved or burned out. The final product is used as a refractory mold for precision metal casting (investment casting, lost-wax casting). Ta pe ca st in g is used to produce thin sheets about 0.1 to 2 mm (4 to 100 mils) thick of ceramic, particularly for

electronic substrates and multilayer capacitors. A volatile organic liquid is usually used with appropriate binders and plasticizers that provide rheological control, green strength, and flexibility to the tape produced. The material is drawn across a thin sheet of flexible, nonporous plastic using a doctor blade to control thickness. The continuous ribbon of slurry on plastic passes through a drying oven to evaporate the vehicle. The resulting green ceramic can be cut into pieces and fired after removal from the tape. It can also be metallized, stacked, and punched to produce multilayer capacitors and electronic substrates. Very fine particle sizes, usually of nonclay materials such as high alumina, titanates, and aluminum nitride are usual materials produced in this way. Fine particle size increases strength and permits a thinner tape to be produced. Pla st ic For m in g. The plastic nature of a clay-based composition makes possible the mechanical shaping of the mass by plastic forming. This has developed from the artisan's hand and potter's wheel shaping of moist clay into processes that allow the mass production of many identical objects. Nonclay ceramics are brought to a sufficiently plastic state by the addition of organic plasticizers. Jiggering represents an automated development of the potter's wheel. The plastic mass is pressed into a die (usually plaster to increase yield of the mass after forming) and formed on the reverse side with a jiggering tool that is a template of the shape desired. Only axially symmetric cross sections can be made, such as dinner plates or oval platters. In plastic pressing the material is pressed by dies in order to form the object. This can be automated to quite high speeds, especially for small, simple-shaped objects. The die can be made of metal or plaster. Plaster is used in order to partially dewater the plastic mass, thereby increasing its yield point (shape retention) at the expense of more rapid tool wear.

Ex t r u sion rapidly forms a uniform cross section, such as for circular or square pipe or thermocouple tubes, by forcing

the material out of a die aperture of appropriate shape using a ram or screw auger. The feed angles of the die must be appropriate to provide sound and efficient flow of the plastic mass, but this depends on the rheology of the ceramic at operating temperature and the extrusion rate. If the die angle is improper either inefficient production or defects such as central burst and surface cracks can occur. Aside from the use of abrasion-resistant linings, equipment is virtually identical to that used in plastic and food extrusion. A large cross section such as a large, high-tension insulator blank may be postmachined green to provide contours and varied external or internal diameters. I n j e ct ion M oldin g. Complex objects can be made to precise, near-net shape (accounting for firing shrinkage) using

injection molding. A ram or screw feed forces the plastic mass into a mold. The process is similar to that used to form high-volume parts of engineering plastics. This method is not much used for clay-based ceramics because of equipment cost, the need for very high volume production, and the existence of many cost-effective alternate methods. Injection molding has been used particularly for making precise, complex, advanced ceramic shapes, such as turbocharger rotors, by incorporating materials such as silicon nitride into an organic plastic and solvent. Subsequent to forming the binder, material must be burnt out before sintering. This limits the object size to relatively thin cross sections. Work has been done to minimize the amount of binder and to design binders that will burn out rapidly. New water-based systems are being developed that may lower production costs and decrease binder content, burnout cost, and environmental impact of nonaqueous solvents. D r y Pr oce ssin g. A nearly dry, free-flowing powder (usually spray dried) fills a metal mold and is compacted uniaxially

in the process of dry pressing. This method is most suitable for high-volume production of small, simple, low-aspect-ratio shapes with fairly uniform cross section. Die and interparticle friction preclude forming large, long, and complex objects. Internal (in the ceramic) and external (on the die) lubricants are used to decrease friction, thereby facilitating forming and reducing density variations. Multisegment dies, multidirectional pressing, floating die cavities, and high time/pressure cycles can reduce pressure gradients and increase the flexibility of size and shape with high capital costs and part cycle times. For minimization of density variations and production of more complex (or larger) shapes, isostatic pressing is used. This is often termed cold isostatic pressing (or CIPing) to distinguish it from hot isostatic pressing, a firing process. The nominally dry powder with internal lubricants is filled into a rubbery mold with the desired shape features. The mold is sealed and placed into a hydraulic fluid, which is then pressurized. A part is produced with very uniform density because of the multidirectional pressure and because significantly higher pressure can be achieved compared to that obtained by uniaxial pressing. M a ch in in g. Whenever possible, it is desirable to machine a ceramic while it is still green (unfired). Conventional

machining methods can be used and the piece may be machined either before or after drying depending on the strength, shape, and integrity of the part. In some cases, parts can be bisque (partially) fired to provide enough strength for the machining operation while avoiding firing a fully matured piece. Green and bisque firing may not provide critical tolerances, although careful control of both the machining and firing shrinkage may prove adequate. Machining after firing is quite costly (as much as 80% of total cost) and can introduce critical strength-limiting flaws in the material. Postfire machining usually requires diamond tools and slow material removal. New approaches are being developed to increase the machining speed and reduce the damage, thereby improving machining costs and productivity. One successful approach involves very stiff, very-high-speed, multiple-head, multiple-axis machines that are quite capital intensive. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

D r yin g Drying involves the removal of free, nonstructural water or other solvents from a formed ceramic. It is a two-step process controlled both by internal flow of liquid to the surface and surface evaporation of the liquid. The internal flow can be increased by increasing permeability with a coarser structure, decreasing the viscosity of the liquid or increasing the concentration gradient to the surface (more rapid removal of surface liquid). Evaporation can be hastened by air motion

(removal of saturated vapor), increased temperature, lower vapor pressure liquid, increased drying surface area, decreased air humidity, or reduced pressure. Drying occurs in three stages, as shown in Fig. 8. At high moisture content, liquid is the continuous phase both in bulk and on the surface and evaporates almost as if it were free, continuous liquid. This is the constant rate period, region A of Fig. 8. In this region, evaporation dominates the drying rate. Most drying shrinkage occurs during this stage. An excessive drying rate can cause differential shrinkage in thick cross sections. Warping or cracking may result, dependent on whether the body can accommodate the drying stresses or not. When the surface film of liquid becomes discontinuous, the first falling-rate period with a linear drying rate begins, region B. Liquid is still continuous in the ceramic as large pores are being drained. There is a small amount of shrinkage in this region, so that the transition from the constant rate to the first falling-rate period is often considered the critical liquid content for shrinkage damage. However, some care must also be taken not to dry too rapidly in the first falling-rate period. In the second falling-rate period, region C, the drying rate is nonlinear. Air is the continuous phase, and liquid pockets are removed by evaporation. If liquid is distributed uniformly in the body, there is no shrinkage in the second falling-rate period. Additional causes of damage due to differential shrinkage are: mechanical restraint of the body, preferred particle orientation, uneven drying, and varying cross sections of the body.

Fig. 8 Change in bulk volum e on drying a ceram ic body

Drying can be performed as a separate or integrated operation with firing. A drying oven or heat lamps can be used to remove liquid. There has been some success with industrial microwave drying, because of the ability to heat the object more uniformly in depth and thereby both speed up liquid removal and avoid drying stresses. Another trend is to reduce the mass or load and fast-dry parts, thereby increasing throughput and lowering fuel costs. The use of firing-waste heat for drying can also lead to cost reduction. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Fir in g When a dry, green ceramic is exposed to elevated temperature, chemical and physical changes occur that consolidate the material, cause an irreversible shrinkage and increase strength and other properties. Vitrification and sintering are the two processes that generally pertain to ceramic firing. Vit r ifica t ion . Traditional clay-containing ceramics and other systems that are based on triaxial body formulations most

commonly vitrify. Constituent materials react at elevated temperature to form a large amount of liquid phase. This liquid consolidates the body through capillary forces. Most of the liquid forms a continuous glassy phase upon cooling. Figure 9

shows a typical firing curve for a whiteware ceramic. The heating rates and temperature holds are dictated by the transformations that occur during heating and cooling. The correct amount and composition of viscous glass is needed to mature the part at an optimal rate and energy cost while preventing it from slumping and flowing. Usually, a support structure is used to prevent excessive deformation, and some slumping may be precalculated to bring the object to its desired final shape during firing.

Fig. 9 Typical firing curves wit h corresponding react ions obt ained for clay- bearing ceram ic com posit ions

Some of the glassy material may crystallize on cooling, forming microstructural constituents that depend on liquid chemistry and cooling rate. During cooling, crystal phase changes that will create internal cracks must be avoided. In addition to the dictates of material change that determine a complex firing profile, the shape of thick or large parts must be considered. The thermal profile of the object can introduce stresses on heating or cooling that will warp or fracture the part. Large, thick-walled, and complex shapes must be fired more slowly to prevent damage. Economies can be obtained by separating by size to optimize firing speed and minimize damage. Several manufacturers have developed computer algorithms to predict optimal firing curves for both traditional and advanced ceramics. Sin t e r in g. Ceramics that do not produce a great deal of glassy phase during firing mature by the process of sintering.

This is the densification by solid-state diffusion at elevated temperature driven by reduction of surface area. Several processes or stages can occur including evaporation-condensation and surface and bulk diffusion. Usually a small amount of sintering additive (sintering aid) is introduced to accelerate the sintering process by introducing liquid-phase sintering and/or accelerating diffusion rates. Other additives function as grain-growth inhibitors, preventing the competitive process of crystal growth (large crystals may deteriorate strength and other properties). The liquid phase usually forms a thin glassy layer on the grain (crystal) boundaries of the fired ceramic and has a substantial effect on mechanical, electrical, thermal, and magnetic properties. This grain-boundary film has been identified in virtually all manufactured ceramics-even those with trace amounts of additive or impurities. A careful balance must be struck between pore reduction by densification and grain growth. The sintering additives make ceramics prone to exaggerated grain growth, which may deteriorate properties. It is even possible for large, agglomeration pores to grow during firing. As with traditional ceramics, firing stresses must be controlled. The firing process must be understood and carefully optimized if a proper microstructure and properties are to result. Fir in g Pr oce ss Fa ct or s. Peak temperature during the soak period is usually considered the most important factor in

either vitrification or sintering because a critical temperature is needed to promote reactions between phases, production of glassy liquid, and activation of transport mechanisms. Time, the precise firing profile, atmosphere, and pressure are also important. All of these factors must be balanced in order to maximize productivity, minimize production costs, and optimize properties. Sufficient time must be provided for appropriate transport, reaction, and densification. Heating and cooling rates must not cause excessive body stresses. Oxidizing or reducing atmospheres may promote the formation of

specific phases, chemistries, or defect structures. For example, a fraction of a percent of oxygen deficiency will change titania and zirconia from white to black, and atmosphere has a critical effect on high-temperature superconductivity. While most ceramics are fired in conventional furnaces at near-atmospheric pressure, significant mechanical and other property improvement can be accomplished by firing under high pressure. This may be done with a unidirectional hot press in which rams apply pressure in a die or with a hot isostatic press (HIP) in which gas applies pressure to a sealed ceramic at elevated temperature. Most ceramics are fired in electric or gas kilns using programmable controllers or computers connected to calibrated thermocouples or pyrometers. Pyrometric cones are a convenient means of monitoring the thermal work input to the fired parts. They are tall, triangular pyramids of ceramic of varied composition that soften and slump at controlled combinations of temperature and time. A series of such cones can be used to verify that the correct firing conditions have been achieved. In addition to computer control of firing, efficient use of fuel, and use of waste heat for drying, several new trends in firing have improved economy and productivity. Fast firing of a small thermal mass in a continuous process is growing in application. Microwave firing and use of chemical reaction energy to augment other energy input are being used on a small scale and are actively being researched. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Con clu sion s Both traditional and technical ceramics are based on powder raw materials that are formed into green (unfired) ceramics, dried, and fired. All process steps are critical for producing a material with superior and reliable strength properties. Generally, the more highly fired material will have lower porosity and improved mechanical performance. The transition from traditional to advanced technical ceramics is a continuum; in general, technical ceramics are made from higher quality, more chemically derived raw materials processed with similar techniques as traditional ceramics, but with stricter control. D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Re fe r e n ce s 1. Bulletin of the American Ceramic Society (monthly), American Ceramic Society 2. Ceramic Industry (monthly), Corcoran Publications 3. Ceramic Forum International, German Ceramic Society 4. W. Weibull, A Statistical Theory of the Strength of Materials, Ing. Venterst. Akad., No. 151, 1939, p 1-45 D e sign for Ce r a m ic Pr oce ssin g Vict or A. Greenhut , Rut gers- - The St at e Universit y of New Jersey

Se le ct e d Re fe r e n ce s • •

Ceramic Data Book (annual), Corcoran Publications Ceramic Source (annual), American Ceramic Society

Engineered Materials Handbook, Vol 4, Ceramics and Glasses, S.J. Schneider, Ed., ASM International, 1991 Engineered Materials Handbook Desk Edition, ASM International, 1995 V.E. Henkes, G.Y. Onoda, and W.M. Carty, Science of Whitewares, American Ceramic Society, 1996 J.T. Jones and M.F. Berard, Ceramics--Industrial Processing and Testing, Iowa State University Press, 1972 W.D. Kingery, H.K. Bowen, and D.R. Uhlmann, Introduction to Ceramics, 2nd ed., John Wiley & Sons, 1976 J.S. Reed, Principles of Ceramic Processing, 2nd ed., John Wiley & Sons, 1995 D.W. Richerson, Modern Ceramic Engineering, 2nd ed., Marcel Dekker, 1992 Uhlmann's Encyclopedia of Industrial Chemistry, Vol A6, Verlag Chemie

• • • • • • • •

D e sign for Pla st ics Pr oce ssin g Edward A. Muccio, Ferris St at e Universit y

I n t r odu ct ion DESIGNING A PLASTIC PART that will meet customer application demands and be durable enough to survive years of use requires the product designer to consider several factors, such as: • • • •

Plastic material(s) to be used Product shape and features Production process End-use applications

The relationship among these and other factors that influence the production of quality plastic parts is represented in Fig. 1.

Fig. 1 Key fact ors in t he developm ent and product ion of qualit y plast ic part s

The product designer must also consider that the plastic molding or forming process influences the plastic part performance. The physical, mechanical, and chemical properties of the material can be affected by the molding/forming process. The part designer needs to understand the rudiments of plastic processing methods in order to select a plastic material, define the specific shape of the part, and define the process used to manufacture the plastic product. This article describes key processing methods and related design, manufacturing, and application considerations for plastic parts; it concludes with a discussion of a materials selection methodology for plastics. More detailed coverage of the processes discussed in this article, including process considerations for different types of plastics (that is, thermoplastics and thermosets) is provided in Engineering Plastics, Volume 2 of the Engineered Materials Handbook, and the Engineered Materials Handbook Desk Edition, both published by ASM International. Related coverage in this Volume is contained in the articles "Effects of Composition, Processing, and Structure on Properties of Engineering Plastics," "Design with Plastics," and "Design for Composite Manufacture." D e sign for Pla st ics Pr oce ssin g Edward A. Muccio, Ferris St at e Universit y

Pla st ics Pr oce ssin g M e t h ods The primary plastics processing methods are: • • • • • • • •

Injection molding Extrusion Thermoforming Blow molding Rotational molding Compression molding/transfer molding Composites processing Casting

Other plastics processing methods exist, but most are variants of these processes. Table 1 lists characteristics and capacities of processing methods used for thermoplastic and thermoset parts.

Table 1 Thermoplastics and thermoset processing comparison Process

MPa

ksi

Maximum equipment pressure MN tonf

1545 20 15 5 20 20 20 n/a 1 1 1 0.1 0 0.1

2-7

30

3370

0.75

8.0

y

y

y

y

n

n

y

y

y

y

2.9 2.2 0.7 2.9 2.9 2.9 n/a 0.15 0.15 0.15 0.015 0 0.015

30 30 15 30 30 30 n/a 10 10 30 n/a n/a n/a

3370 3370 1690 3370 3370 3370 n/a 1120 1120 3370 n/a n/a n/a

1.5 2.0 3.0 1.5 1.5 1.5 n/a 2.0 6.0 6.0 ... ... ...

16 20 30 16 16 16 n/a 20 65 65 ... ... ...

y y y y y y n/a n n n n n/a n

y y y y y n y n n n n y n

y y y y y n n n n n n n n

n y ... y y n n/a y y n y y y

n n n n n n n y y n n y y

n y y n n n y y y y n y n

y y y y y n n y n n y n n

y y y y y y y y y y y y y

y y y y y y y n n y n n n

y y y y y n y n n n n y n

60 6-20

8.7 0.85-3

30 30

3370 3370

0.5 4-5

y y

y y

y y

y y

n n

n n

y y

n n

y y

y y

Cold-press molding Hot-press molding High-strength sheet molding compound Prepreg

1 5 4-10

30 30 30

3370 3370 3370

... 6.0 3.0

n y y

n n y

y y y

y y y

n n n

n n n

n n n

n n n

y y y

y y y

30

3370

6.0

65

y

n

n

y

n

n

n

n

y

y

Vacuum bag Hand lay-up Injection Powder Bulk molding compound ZMC Stamping Reaction injection molding Resin transfer molding High-speed resin transfer molding or fast resinject

0.1 0

0.15 0.75 0.601.5 0.070.75 0.015 0

5 4555 ... 65 30

n/a n/a

n/a n/a

... ...

... ...

n n

n n

y y

y y

n n

y y

n n

n n

n n

y y

100 30 30 3 1 0.1 2

14.5 4.5 4.5 0.45 0.15 0.015 0.3

10 30 30 30 10 10 30

1120 3370 3370 3370 1120 1120 3370

0.1 1.0 1.0 6.0 ... ... ...

1.1 11 11 65 ... ... ...

y y y y y n n

y y y n y y y

y y y n y n n

y y y y n y y

n n n n n n n

n n n n y y y

y y y n n n n

n n n n y n n

y y y y y y y

y y y n ... y y

Thermoplastics Injection Injection compression Hollow injection Foam injection Sandwich molding Compression Stamping Extrusion Blow molding Twin-sheet forming Twin-sheet stamping Thermoforming Filament winding Rotational casting Thermoset plastics Compression Powder Sheet molding compound

Process pressure

0.5-5

Maximum size m2

ft2

Pressure limited

Ribs

Bosses

Vertical walls

Spherical shape

Box sections

Slides/ cores

Weldable

Good finish, both sides

Varying cross section

Foam polyurethane Reinforced foam Filament winding Pultrusion

0.5 1 n/a n/a

0.07 0.15 n/a n/a

n/a 30 n/a n/a

... 3370 n/a n/a

... 3.0 ... n/a

... 30 ... n/a

n y n/a n/a

y y y y

y y n n

y y y n/a

Note: y, yes; n, no; n/a, not applicable.

(a)

One side of filament-wound article will exhibit a strong fiber pattern.

y n y n

y y y y

n n n n

n n n n

y y (a)

y

y y y y

Plastics processing is a form conversion process. The material that enters the process as plastic pellets or powder is basically the same material that exits the process as a plastic part. The plastic process converts the shape of the plastic material. However, this simple explanation of plastic processing needs to be slightly modified. Although the plastic entering the process is the same plastic exiting the process, the properties of the plastic material may be affected by the rigorous activities that occur during the process. The resulting properties of the plastic part may be different from the properties of the plastic material as defined by the plastic material manufacturer. Each processing method can have a different effect on the final properties. Following is a brief description of the primary plastic processing methods and a summary of how each process influences part design and the properties of the plastic part. I n j e ct ion M oldin g Injection molding, and all its variants, is the most popular process for producing plastic products. Designers prefer the injection molding process because, in addition to being fast and cost effective, it allows the designer the opportunity to create true three-dimensional part shapes. (Many plastic processes, such as extrusion, blow molding, thermoforming, and rotational molding, do not allow the designer to control all surfaces of the plastic part being manufactured. One surface is a function of the process, not the product design; some examples include the inside of a hollow container produced by blow or rotational molding, the length of an extruded profile, and the outer surface of a thermoformed part produced on a female mold.) Product designers desire control over all aspects of the design of a product, and injection molding allows this to occur. Additionally, injection molding allows the designer to incorporate product design features such as holes, snaps, color, texture, and symbolization that might demand secondary operations if the design were manufactured using materials such as metal, wood, or ceramic. The injection molding process involves several steps: • • • • •

Feed and melting of the plastic pellets Metering of the plastic melt Injection of the plastic melt into the mold Cooling and solidifying of the plastic in the mold Ejection or removal of the molded part from the mold

The following description of these steps is based on the processing required to mold a simple part such as the polystyrene poker chip shown in Fig. 2.

Fig. 2 Polyst yrene poker chip. ( a) Side view. ( b) Bot t om view

Fe e d a n d M e lt in g of t h e Pla st ic Pe lle t s. The polystyrene, in the form of pellets, is fed into the throat of the injection molding machine (Fig. 3). Initially, the plastic pellets are heated by the electric heater bands; however, the shear and friction created by turning the injection molding machine screw will provide the majority of the energy required to melt the plastic.

Fig. 3 I nj ect ion m olding m achine

As the screw turns, the plastic pellets melt, and the melted material is conveyed toward the discharge end of the injection unit. M e t e r in g of t h e Pla st ic M e lt . As the plastic melt is conveyed forward through the barrel of the molding machine, it is

allowed to pass through a nonreturn valve that prevents the plastic melt from traveling rearward or back through the valve. The plastic melt that moves through the valve and in front of the screw will push the screw rearward. This rearward motion of the screw, while the screw is turning, creates more shear and facilitates the melting of the plastic pellets. The amount of plastic melt that is allowed to move through the valve and reside in front of the screw is defined by a limit switch or stopping point assigned by the molding technician. The plastic melt in front of the screw will be the material that is injected into the mold to produce the plastic parts. I n j e ct ion of t h e Pla st ic M e lt in t o t h e M old. Injecting the plastic melt into the closed mold requires high pressures (between 35 and 205 MPa, or 5 and 30 ksi, on the plastic material) and often high speeds. The specific values for injecting the plastic melt are a function of the melt viscosity of the plastic material, the mold design, and the plastic product design. To allow the injection of plastic into the mold, the part designer must consider design features such as the wall thickness and gate type and location. W a ll t h ick n e ss, the thickness of the major portion of the wall of the plastic part, depends on the melt characteristics

(melt viscosity) of the plastic. A plastic part with thin walls (6 mm, or 0.25 in., thick) may result in poor part quality and molding defects such as underfill or sink marks. Ga t e Type a n d Loca t ion . The gate (Fig. 4) is the point where the plastic melt is allowed to enter the cavity to form the

part. The gate is designed to cool or freeze after the cavity has been filled and packed with plastic. This cooling prevents any plastic melt from exiting the filled cavity.

Fig. 4 Types of inj ect ion m olding gat es. ( a) Tab gat e. ( b) Pinpoint gat e. ( c) Sub gat e. ( d) Fan gat e. PL, part ing

line

Coolin g a n d Solidifyin g of t h e Pla st ic in t h e M old. Plastic materials are thermal insulators; that is, they tend not

to absorb or release thermal energy at a rapid rate. The plastic part designer must avoid thick wall sections to avoid cooling problems in the mold. Specifically, parts with thicker wall sections require a longer cooling time within the mold; additionally, the thick sections may distort, have sink marks, or contain voids (Fig. 5).

Fig. 5 Problem s in cooling and solidificat ion caused by t he rib fill rat e for an inj ect ion- m olded part

To avoid these problems, the designer must strive for a nearly constant thickness of every section of the part. This nominal thickness must meet the application requirements of the part, ensure nearly uniform cooling, and be fillable by the plastic material selected. As an example, a plastic material manufacturer may suggest a nominal wall thickness of 4.5 mm (0.18 in.) for a specific plastic. The plastic part designer is not bound to make all the walls this thickness, but should design the wall to average this dimension. The wall thickness may vary, but only at a reasonable rate of change (Fig. 6).

Fig. 6 Wall t ransit ions in a plast ic part . ( a) Poor ( sharp) t ransit ion. ( b) Bet t er ( gradual) t ransit ion. ( c) Best ( sm oot h) t ransit ion

Ej e ct ion or Re m ova l of t h e M olde d Pa r t fr om t h e M old. To allow an injection-molded part to be removed from

the mold requires that the part designer consider ejection surfaces and draft. Ej e ct ion su r fa ce s on the part provide an allowance for ejector pins to push the part out of the mold (Fig. 2). The

ejector pins or other mold components such as inserts and slides will leave a witness mark on the plastic part, which the plastic part designer needs to respect. Often the part specification will include a note that states "knockout witness to be flush to or 0.125 mm (0.005 in.) below the molding surface." D r a ft is the angle in the wall design that facilitates ejection from the mold (Fig. 7).

Fig. 7 Types of draft in plast ic inj ect ion- m olded part s

D e t a ils a n d de sign con side r a t ion s for injection molding include shrinkage, postmold shrinkage, and size and

location of holes and other features. Sh r in k a ge occurs because the plastic melt volume is greater than the solid volume, and the plastic melt is packed into

the mold under high pressures. Shrinkage needs to be understood in order to produce plastic parts with a high degree of dimensional stability. Different plastics experience different amounts of shrinkage (Table 2). Additives affect the shrinkage rate. Rate and direction of flow of the melt into the mold can influence shrinkage and may cause the same material to exhibit two different types of shrinkage depending on the part geometry.

Table 2 Shrinkage of selected plastic materials Material Amorphous plastics Acrylic Polycarbonate Acrylonitrile-butadiene-styrene (ABS) Polycarbonate (40% glass filled) Semicrystalline plastics Polyethylene Polypropylene Nylon 6/6 Nylon (40% glass filled)

(a) (b)

Flow direction. Transverse direction

Shrinkage, % 0.6 0.6 0.6 0.3(a) 0.5(b) 2.0 2.0 1.5 0.8(a) 0.3(b)

Post m old Sh r in k a ge . It is best to have any shrinkage occur while the plastic part is constrained by the mold.

Shrinkage that occurs outside the confines of the mold after the part is ejected, known as postmold shrinkage, may be uncontrolled and/or unpredictable. The result could be a major dimensional problem for an injection-molded part. Postmold shrinkage is a function of both the plastic material and the process. Several semicrystalline plastics tend to exhibit a higher potential for postmold shrinkage. If the injection molding process is not optimized, it can contribute to postmold shrinkage. For example, consider an injection molding process that has the plastic melt in the barrel at 260 °C (500 °F) and a mold temperature of 82 °C (180 °F). The desire for productivity gains, that is, output of more parts per hour, leads to cooling the mold to 38 °C (100 °F) and speeding up the cycle. The result of this process change may not be immediately visible. While output gains may be achieved, the lower mold temperature may cause a higher degree of molded-in (residual) stress. This increased stress may be relieved after the part is removed from the mold. Over the next hours, days, or weeks, the relieving of the stress may manifest itself as postmold shrinkage. H ole s a n d Ot h e r Fe a t u r e s. Injection-molded part features can be expressed as a function of the nominal wall

thickness (T) as shown in Fig. 8 and 9.

Fig. 8 Good design pract ice for holes and proj ect ions in inj ect ion- m olded part s

Fig. 9 Boss configurat ions for inj ect ion- m olded plast ic part s

Ex t r u sion The extrusion of plastic material is, surprisingly, the process that utilizes the most plastic material, even more than injection molding. One reason for this great material consumption is that extrusion is one of the few continuous plastics processes. Other plastics processes are batch processes, relying upon repetition. Extrusion of plastic material is continuous, and the plastic product is cut and formed in a secondary process. Another reason is that extrusion is used to compound and produce the plastic pellets used in most other thermoplastic processing operations. For example, most plastic pellets used in the injection molding process are produced in an extruder at the plant of the material manufacturer. The extruded product is designed as a two-dimensional cross-section shape, which is extruded in the third dimension. The third dimension is usually controlled by a cut-off operation. As an example, polyvinyl chloride (PVC) pipe is designed as two simple concentric circles. A die is fabricated, and the plastic melt is extruded through the die on a continuous basis (Fig. 10a). The length of the pipe is defined and created by cutting the continuous extrudate to the desired length.

Fig. 1 0 Ext rusion processes. ( a) Profile/ sheet ext rusion. ( b) Blown film ext rusion. ( c) Const ruct ion arrangem ent of t he plast icat ion barrel of an ext ruder. 1, feed hopper; 2, barrel heat ing; 3, screw; 4, t herm ocouples; 5, back pressure regulat ing valve; 6, pressure- m easuring inst rum ent s; 7, breaker plat e and screen pack

Type s of e x t r u de d pa r t s can be categorized as follows:

• •

Sheet is a flat extruded profile greater than 0.0004 mm (0.010 in.) thick. Film is a flat extruded profile less than 0.0004 mm (0.010 in.) thick. Blown film (Fig. 10b) is a volume product used for trash bags, packaging, and wrappings. Cast film is a high-volume, high-tolerance product used for carrier material in the printing and audio/video recording industry.

• •

Profile is a shaped extruded profile. Fiber is a cylindrical or tubular profile less than 0.0004 mm (0.010 in.) thick.

D e t a ils a n d de sign con side r a t ion s for extruded parts include die swell and orientation. D ie sw e ll (Fig. 11) is the phenomenon where an extrudate swells to a size greater than the die from which it came. As

the plastic exits the die, it tends to swell. This is associated with the reduction in pressure as well as the nature of the polymer itself. Die swell has to be considered by the product designer as well as the die designer in order to produce extrusions that meet the customer requirements.

Fig. 1 1 Die swell in ext rusion. ( a) I ncorrect die design for int ended profile. ( b) Correct die design

Or ie n t a t ion is the phenomenon where the polymer molecules are aligned as a result of the high degree of laminar flow as well as the pulling of the extrusion take-off apparatus. Orientation is often desirable, if controlled, because it can improve the properties of the extruded product. Biaxial orientation is orientation in two directions and improves strength in film materials.

Orientation also allows an extruded product to shrink when exposed to heat. Shrink-wrap materials for packaging and dunnage have become very important products that incorporate this phenomenon of shrinking due to controlled orientation and heating. Th e r m ofor m in g Thermoforming, also referred to as vacuum forming, forms plastic sheet into shapes. The plastic sheet is placed into a clamp frame to hold it securely on all edges. The sheet material is placed into the clamp frame manually, robotically for high-volume processing, or continuously if the sheet material is produced by an in-line extruder. Thermal energy, usually in the form of convection and radiant heat from electrical heating elements, is applied for a sufficient amount of time to soften (not melt) the plastic sheet. Once the sheet is sufficiently softened, a mold is brought in contact with the sheet, and a vacuum is applied that draws the softened sheet onto the mold. After the sheet cools, it will retain the shape of the mold when the mold is removed. The thermoforming process sequence is shown in Fig. 12.

Fig. 1 2 Therm oform ing ( vacuum form ing)

Historically, thermoforming has been considered a one-sided process, that is, the softened sheet will either conform to a male mold with the inside becoming the critical surface and the outside the noncritical surface, or conform to a female mold with the outside becoming the critical surface and the inside the noncritical surface. This one-sided approach to thermoforming was satisfactory for decades when the process was used primarily for simple packaging parts. Today, process advancements have enabled the production of thermoformed parts that have two critical sides and sufficient dimensional accuracy to allow them to be used in key automotive, building, and construction applications. This dimensional control is accomplished by having two dies or molds, one forming either side of the sheet. Typica l Th e r m ofor m e d Pa r t s. The majority of thermoformed products are produced for the packaging market;

however, broader applications include: • • • • • • •

Blister packages Foam food containers Refrigerator and dishwasher door liners Auto interior panels Tub/shower shells, which are later fiber reinforced Pickup truck bed liners Internally lighted acrylic and cellulose acetate butyrate (CAB) signs

The thermoforming process offers some unique tooling advantages over other conventional plastic processes, primarily because the thermoform molds are relatively simple in design and construction as well as lower in cost. Prototypes produced using the thermoforming process can be made quickly by using simple molds made from inexpensive materials, such as wood, plaster, and epoxy. Many designers will insist upon a product design review that includes the development of one or more thermoformed prototype parts. Blow M oldin g

Blow molding has historically been associated with simple geometries such as bottles and containers. However, there have been significant developments in the blow molding process and its variants in the past two decades. These developments allow the blow molding of more complex shapes such as air ducts and automobile fuel tanks. Basic blow molding equipment (Fig. 13a) is essentially a profile extruder attached to a blowing station. The extruder produces a tube referred to as a parison. The parison can be controlled in both its size and shape. At the blowing station (Fig. 13b), the mold captures the parison and seals it by pinching either end. A blow pin is then inserted into the parison, and air is introduced at about 700 kPa (100 psi). The air causes the pinched parison to expand and take the shape of the mold.

Fig. 1 3 Blow m olding. ( a) Equipm ent configurat ion. ( b) Sequence at blowing st at ion for a bot t le m old

This basic process results in a product that is dimensionally defined on the exterior surfaces. The interior surfaces are not controlled as they do not contact a mold surface. As a result, the wall thickness of a conventionally blow molded part may vary. The nature of the conventional blow molding process also does not lend itself to incorporating design features such as holes, sharp corners, and narrow ribs. Rot a t ion a l M oldin g Like blow molding, rotational molding produces a hollow product. Unlike blow molding, however, rotational molding is a relatively slow process that begins with plastic in the form of a powder, not a parison. The advantage of rotational molding is that it can produce large objects, with capacities from 1 to more than 500 gal. Additionally, the wall thickness is a function of how much plastic powder is placed into the mold, and thick (2.5 to 12 mm, or 0.10 to 0.4 in.) wall sections can be formed. The rotational molding process uses a mold made of sheet metal or cast aluminum. Because rotational molding is a lowpressure process, tooling can be lower in strength than that used for the other molding processes. Another advantage of rotational molding over other plastic processes is that it results in a very low stressed product. Since the rotational process is low in pressure, and the plastic is not forced through narrow channels, it does not induce a significant amount of internal stress. The result is a high degree of dimensional stability in the final product. Pr oce ssin g Se qu e n ce . The plastic powder is placed directly into the mold by the operator. The mold is attached to the

rotational process equipment where it passes through three distinct process stages: loading, heating, and cooling. Loa din g is the stage of the process where the plastic powder is loaded into the mold and the mold is attached to the

process equipment. After loading is completed, the mold begins to rotate along three axes. Although the rotation speed is relatively slow (

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