Professional Documents
Culture Documents
Fundemantals of Manufacturing PDF
Fundemantals of Manufacturing PDF
of Manufacturing
Third Edition
987654321
All rights reserved, including those of translation. This book, or parts thereof, may
not be reproduced by any means, including photocopying, recording or microfilming,
or by any information storage and retrieval system, without permission in writing
of the copyright owners.
No liability is assumed by the publisher with respect to use of information contained
herein. While every precaution has been taken in the preparation of this book, the
publisher assumes no responsibility for errors or omissions. Publication of any data
in this book does not constitute a recommendation or endorsement of any patent,
proprietary right, or product that may be involved.
Online video
Visit www.sme.org/fom
SME staff who participated in producing this book and online video sampler:
Kris Nasiatka, Senior Manager-Certification, Book & Video
Rosemary Csizmadia, Senior Production Editor, Digital and Print Media
Janet Zasadny, Administrative Coordinator
Christine Verdone, Cover Designer
Jerome Cook, Video Producer
This book was designed to provide a struc- While the objective of this book is to help
tured review of the fundamentals of manufactur- prepare manufacturing managers, technolo-
ing for individuals planning to take the Certified gists, and engineers for the certification process,
Manufacturing Technologist or Certified it is also a primary source of information for
Manufacturing Engineering exams. The topics individuals interested in learning fundamental
covered are the result of a study of manufactur- manufacturing concepts and practices. This book
ing managers, manufacturing technologists and is a valuable resource for many individuals with
engineers, and manufacturing educators. Its limited manufacturing experience or training.
purpose: to identify fundamental competency
areas required by manufacturing technologists
and engineers in the field.
Acknowledgments ....................................................................................................................................................................................xvii
Preface ......................................................................................................................................................................................................xix
Introduction ..............................................................................................................................................................................................xxi
Fundamentals of Manufacturing v
vi
Fundamentals of Manufacturing Table of Contents
Chapter 5: Electricity/Electronics............................................................................................................................................................... 41
5.1 Circuits................................................................................................................. 41
5.2 Types of Circuit Connections .................................................................................. 43
5.3 Circuit Analysis Using Kirchoff’s Laws..................................................................... 44
Review Questions........................................................................................................ 46
Chapter 6: Statics...................................................................................................................................................................................... 49
6.1 Force ................................................................................................................... 49
6.2 Rectangular Components of a Force ...................................................................... 50
6.3 Moment of Force .................................................................................................. 51
6.4 Force Couples ...................................................................................................... 52
6.5 Newton’s First Law and Moments ........................................................................... 52
6.6 Free-body Diagrams ............................................................................................. 52
6.7 Friction ................................................................................................................. 53
6.8 Centroid and Center of Gravity ............................................................................ 54
Review Questions........................................................................................................ 58
Chapter 7: Dynamics ................................................................................................................................................................................ 61
7.1 Rectilinear Motion ................................................................................................. 61
7.2 Angular Motion .................................................................................................... 61
7.3 Newton’s Second Law ........................................................................................... 62
7.4 Energy Methods .................................................................................................... 63
Review Questions........................................................................................................ 65
Chapter 8: Strength of Materials .............................................................................................................................................................. 67
8.1 Stress and Strain ................................................................................................... 67
....................................................................................................... 68
8.3 Torsional Loading ................................................................................................. 70
Review Questions........................................................................................................ 71
Chapter 9: Thermodynamics and Heat Transfer ....................................................................................................................................... 73
9.1 Temperature Conversions ...................................................................................... 73
............................................................................................... 73
9.3 Heat Capacity ...................................................................................................... 74
9.4 Thermodynamics .................................................................................................. 75
9.5 Heat Transfer ........................................................................................................ 76
9.6 Thermocouples ..................................................................................................... 77
Review Questions........................................................................................................ 78
Chapter 10: Fluid Power........................................................................................................................................................................... 79
10.1 Fluid Properties ................................................................................................... 79
10.2 Fluid Statics ........................................................................................................ 79
10.3 Fluid Power......................................................................................................... 80
10.4 Fluid Dynamics ................................................................................................... 81
Review Questions........................................................................................................ 83
Chapter 11: Chemistry .............................................................................................................................................................................. 85
11.1 Structure of Matter .............................................................................................. 85
!"#" ................................................................... 86
11.3 Atomic Structure ................................................................................................. 86
11.4 Periodic Table ..................................................................................................... 88
11.5 Types of Compounds .......................................................................................... 88
11.6 Acids and Bases.................................................................................................. 88
11.7 Nanotechnology ................................................................................................. 89
Review Questions........................................................................................................ 90
vii
Fundamentals of Manufacturing Table of Contents
PART 3: MATERIALS
Chapter 12: Material Properties ............................................................................................................................................................... 93
12.1 Material Testing Agencies .................................................................................... 93
12.2 Physical Properties .............................................................................................. 93
12.3 Mechanical Properties ......................................................................................... 93
12.4 Mechanical Testing Methods ................................................................................ 93
Review Questions........................................................................................................ 98
Chapter 13: Metals ................................................................................................................................................................................. 101
13.1 Crystalline Structure .......................................................................................... 101
13.2 Phase Diagrams ............................................................................................... 102
13.3 Iron-Carbon Diagram ....................................................................................... 102
13.4 Microstructures of Steel ..................................................................................... 104
13.5 Heat-treatment Processes .................................................................................. 106
13.6 Alloy Steels ....................................................................................................... 111
13.7 Stainless Steels.................................................................................................. 112
13.8 Cast Iron .......................................................................................................... 113
13.9 Aluminum ........................................................................................................ 114
13.10 Corrosion ....................................................................................................... 115
Review Questions...................................................................................................... 116
Chapter 14: Plastics ................................................................................................................................................................................ 119
14.1 Plastics ............................................................................................................. 119
14.2 Polymer Structures............................................................................................. 120
14.3 Thermoplastics ................................................................................................. 121
14.4 Thermoset Plastics ............................................................................................. 124
14.5 Elastomers........................................................................................................ 125
Review Questions...................................................................................................... 125
Chapter 15: Composites.......................................................................................................................................................................... 127
15.1 Composite Materials ......................................................................................... 127
15.2 Composite Construction .................................................................................... 128
15.3 Composite Applications..................................................................................... 129
Review Questions...................................................................................................... 129
Chapter 16: Ceramics ............................................................................................................................................................................. 131
16.1 Ceramic Applications ........................................................................................ 131
16.2 Ceramic Structures ............................................................................................ 132
16.3 Glass ............................................................................................................... 132
16.4 Advanced Ceramics .......................................................................................... 132
Review Questions...................................................................................................... 133
PART 8: QUALITY
Chapter 46: Statistical Methods for Quality Control ............................................................................................................................... 461
46.1 Inspection......................................................................................................... 461
46.2 Statistical Methods ............................................................................................ 461
46.3 Control Charts.................................................................................................. 464
46.4 Process Capability Analysis ................................................................................ 468
46.5 Gage Capability ............................................................................................... 470
46.6 Attribute Control Charts .................................................................................... 471
46.7 Acceptance Sampling ........................................................................................ 474
Review Questions...................................................................................................... 474
Chapter 47: Continuous Improvement ................................................................................................................................................... 477
47.1 Introduction ...................................................................................................... 477
47.2 Cost of Quality ................................................................................................. 477
47.3 Reliability.......................................................................................................... 478
=$=/ @ ....................................................................................... 482
47.5 Taguchi Concepts ............................................................................................. 486
=$} ......................................................................................................... 488
xiii
Fundamentals of Manufacturing Table of Contents
APPENDICES
Appendix A: Mathematics....................................................................................................................................................................... 603
A.1 Circles, Ellipses, Parabolas, and Hyperbolas ........................................................ 603
A.2 Trigonometric Identities ....................................................................................... 604
A.3 Derivative and Integral Formulas ......................................................................... 605
=( '[ ............................................................................................... 605
Appendix B: Physics and Engineering Sciences ...................................................................................................................................... 607
B.1 Units of Measure ................................................................................................. 607
B.2 Curvilinear Motion .............................................................................................. 607
xv
Fundamentals of Manufacturing Table of Contents
Fundamentals of Manufacturing 3
4
Fundamentals of Manufacturing Chapter 1: Mathematics
The percentage of copper in the alloy is found as: Example 1.1.5. A bin of parts contains 20 brack-
ets and 40 screws. What is the ratio of screws
372 lb copper to brackets?
× 100 = 96% (by Eq. 1-2)
387.5 lb total Solution.
In some instances it may be more convenient 40 screws 2
to convert percentages to decimals as shown in = = 2:1
20 brackets 1
Equations 1-3 and 1-4 respectively.
percent A proportion is two ratios set equal to each
Decimal = Eq. 1-3 other. If the ratio of triangles to circles in Figure
100 1-2 is proportional, then having four triangles
Percent = decimal × 100 Eq. 1-4 would mean there were also twelve circles pres-
ent. As shown in Eq. 1-6, in a proportion, the
Example 1.1.4. The output capacity of a work- fractions are equal.
station is 200 parts per hour. However, the
workstation is operating at 60% of capacity. 1 triangle 4 triangles 1
= = Eq. 1-6
What is the output of the workstation per hour? 3 circles 12 circles 3
Solution. 60% of 200 is found as:
Example 1.1.6. 1 gal of paint is required for 300
60% ft2 of wall space. How much paint is needed for
= 0.60 (by Eq. 1-3)
100 1,500 ft2 of wall space?
parts Solution.
0.60 × 200 = 120 parts per hour
hour
1 gal x
A ratio is a comparison between two different 2
=
300 ft 1, 500 ft 2
quantities such as the ratio of apples to bananas
1 gal(1, 500 ft 2 ) = 300 ft 2 x
in a basket of fruit. In Figure 1-2, there are two
triangles and six circles. The ratio of triangles 300 ft 2 x = 1 gal(1, 500 ft 2 )
to circles is: 1 gal(1, 500 ft 2 )
x=
2 triangles 1 300 ft 2
= = 1:3 Eq. 1-5
x = 5 gal
6 circles 3
( x)
m m Table 1-1. Common rules governing
xn = n
xm = n Eq. 1-12
negative and positive numbers
Rule Example
−a 1
x = a Eq. 1-13 Multiplication
x
a b a+b (+)(+) = positive (4)(2) = 8
x x =x Eq. 1-14 (–)(–) = positive (–4)(–2) = 8
a a a
(xy) = x y Eq. 1-15 (–)(+) = negative (–4)(2) = –8
(+)(–) = negative (4)(–2) = –8
( )
b
x ab = x a Eq. 1-16 Division
(+ ) (4)
=2
Logarithms are closely related to exponents. = positive
(+ ) (2)
A logarithm is the exponent to which a base
(–) ( –4)
number is raised to give a particular value. If, = positive =2
(–) ( –2)
x = logb y Eq. 1-17 (–) ( –4)
= negative = –2
then x is the base b logarithm of y or, equiva- (+ ) (2)
lently, y is b to the xth power. (+ ) (4)
= –2
= negative
(–) ( –2)
x
y=b Eq. 1-18
6
Fundamentals of Manufacturing Chapter 1: Mathematics
−41 ± 412 − 4(17)( −93) Example 1.2.6. Solve the following system of
x1,2 = ≈ −3.84, 1.42 two linear simultaneous equations using sub-
(2)(17)
stitution.
Expanding on the concept of a linear equa-
2x + 3y = 1
tion with one variable or unknown, a linear
equation with two unknowns has the general 3x – 5y = –27
form given by: Solution. Solve the first equation for y in terms
of x.
ax + by = c Eq. 1-31
3 y = −2x + 1
Two independent linear equations are needed 2 1
to find a unique solution. A unique solution y=− x+
3 3
represents the point where the two lines inter-
sect. There will be no solution if the lines are Substituting, the second equation becomes:
parallel. Parallel lines have identical slopes.
⎛ 2 1⎞
If the lines coincide (represent the same line), 3x − 5 ⎜ − x + ⎟ = −27
⎝ 3 3⎠
then infinitely many solutions exist. Consider
the following case. 10 5
3x + x − = −27
3 3
a1x + b1 y = c1 Eq. 1-32
Multiplying through by 3 to clear the fractions
a2 x + b2y = c2 Eq. 1-33 and then rearranging terms results in the solu-
tion for x:
If a1b1 a2 b2, then a unique solution exists. If
a1b1 = a2 b2, then there are either no solutions or 9x + 10x – 5 = –81
infinitely many solutions. In this case, the lines 19x = –76
are either parallel or the equations are propor- x = –4
tional and represent the same line. There are The resulting value of x is substituted in either
three major approaches to solving these linear, equation to obtain the solution for y:
simultaneous systems of equations:
2x + 3y = 1
1. Substitution involves solving for one vari- 2(–4) + 3y = 1
able in terms of the other and substituting
–8 + 3y = 1
the result in the other equation.
3y = 9
2. Elimination can typically be used to solve
systems of linear simultaneous equations y = 3
with two equations and two unknowns by Example 1.2.7. Solve the system of equations
multiplying both equations by an appropri- in Example 1.2.6 by elimination.
ate constant such that one of the unknown Solution. Multiply the first equation by 5 and
terms cancels out when the two equations multiply the second equation by 3 to obtain y
are added together. terms that will cancel each other out:
3. Systems of linear equations larger than
two equations and two unknowns require 5(2 x + 3 y = 1) →10 x + 15 y = 5
a different technique called Gaussian 3(3 x − 5 y = −27) → 9 x − 15 y = − 81
elimination. Another technique called Cra- 19 x + 0 = − 76
mer’s Rule uses determinants to solve the
x = −4
system of linear equations. However, it is
generally difficult to remember and is im- The result is substituted into either equation
practical for larger systems of equations. to obtain a solution for y as in Example 1.2.6.
Gaussian elimination uses elementary row In Gaussian elimination, the equations must
operations to reduce an augmented matrix be set up in standard form, which requires that
into echelon form to solve the system of all the variables and their respective coefficients
linear equations. appear on the left side of the equation. The
8
Fundamentals of Manufacturing Chapter 1: Mathematics
equations in standard form are used to create an Multiply the first row by 2.
augmented matrix that must then be transformed
into echelon form to solve the system of linear ⎡30 −24 −2 ⎤ ⎡ 8 ⎤
equations as demonstrated in Example 1.2.8. In ⎢10 −6 −3 ⎥ ⎢11⎥
echelon form, the leading entry in a row does not ⎢ ⎥⎢ ⎥
⎢⎣ 0 −24 −7 ⎥⎦ ⎢⎣ 5 ⎥⎦
have to be one. The leading entry is the leftmost
nonzero element in each row. In each column that
contains a leading entry, all elements below the Replace the second row by the sum of –3 times
leading entry are zero. In any two rows with lead- itself and the first row.
ing entries, the leading entry of the higher row is
farther to the left. Any row that contains all zeros ⎡ 30 −24 −2 ⎤⎡ 8 ⎤
is below any row with some nonzero entries. For ⎢ −3(10) + 30 −3( −6) − 24 −3( −3) − 2⎥ ⎢ −3(11) + 8 ⎥
⎢ ⎥⎢ ⎥
example, the following matrix is in echelon form. ⎢⎣ 0 −24 −7 ⎥⎦ ⎢⎣ 5 ⎥⎦
2 1 –1
⎡30 −24 −2 ⎤ ⎡ 8 ⎤
0 –1 2 ⎢0 −6 7 ⎥⎥ ⎢⎢ −25⎥⎥
0 0 3 ⎢
⎢⎣ 0 −24 −7 ⎥⎦ ⎢⎣ 5 ⎥⎦
Elementary row operations include multiplying
or dividing individual rows by a nonzero con-
Replace the third row with the sum of itself and
stant and adding or subtracting rows together.
–4 times the second row.
The order of the rows also may be changed.
Example 1.2.8. Solve the following equations
⎡ 30 −24 −2 ⎤ ⎡ 8 ⎤
using Gaussian elimination. ⎢ 0 ⎥ ⎢ ⎥
⎢ −6 7 ⎥ ⎢ −25 ⎥
10x – 6y – 3z = 11 ⎢⎣0 − 4(0) −24 − 4( −6) −7 − 4(7) ⎥⎦ ⎢⎣5 − 4( −25) ⎥⎦
5x + 9y + 2z = 3
⎡30 −24 −2 ⎤ ⎡ 8 ⎤
15x – 12y – z = 4 ⎢0
⎢ −6 7 ⎥⎥ ⎢⎢ −25⎥⎥
Solution. Since the equations are in standard
form, the augmented matrix can be written as: ⎣⎢ 0 0 −35⎥⎦ ⎢⎣105 ⎥⎦
⎡10 −6 −3 ⎤ ⎡11⎤
⎢ 5 Convert the matrix back to equation form:
⎢ 9 2⎥⎥ ⎢⎢ 3 ⎥⎥
⎢⎣15 −12 −1 ⎥⎦ ⎢⎣ 4 ⎥⎦ 30x − 24 y − 2z = 8
−6 y + 7z = −25
First, arrange the rows so that the leading en-
tries are in decreasing order. −35z = 105
Δ y y2 − y1
m= = Eq. 1-35
Δ x x 2 − x1
If the line is vertical, the slope is not defined,
since the denominator (x2 – x1) would be zero.
Various other forms of the equation of a line
are also used. Each has a special relationship
with the graph of a line. The point-slope form
is given by:
y – y1 = m(x – x1) Eq. 1-36
where (x1, y1) is any point on the line and m is
the slope, as shown in Figure 1-5a. The slope-
intercept form is given by:
y = mx + b Eq. 1-37
where m is the slope and b is the y intercept, as
shown in Figure 1-5b. If the line is neither ver-
tical nor horizontal and does not pass through
the origin, the two-intercept form is given by:
x y
+ =1 Eq. 1-38
a b
where a is the x intercept and b is the y intercept,
as shown in Figure 1-5c.
Example 1.3.1. Find the equation describing
the line shown in Figure 1-6. Figure 1-5. Various forms of the equation of a line.
Solution. The slope of the line is found as:
(x1 , y1) = (1,1)
y − y1 = m( x − x1 )
(x2 , y2) = (4, 2.5)
1
y − y1 2.5 − 1 1.5 1 y −1 = ( x − 1)
m= 2 = = = (by Eq. 1-35) 2
x 2 − x1 4 −1 3 2 x 1 (by Eq. 1-36)
y −1 = −
Either given point can be used in the point-slope 2 2
form to give the equation of the line. x 1
y= +
Using the point (x1, y1) = (1,1) 2 2
12
Fundamentals of Manufacturing Chapter 1: Mathematics
1
sec θ = Eq. 1-44
cos θ
Figure 1-6. Line described by two known points.
1
cot θ = Eq. 1-45
tan θ
For reference, circles, ellipses, parabolas, and The angle between the adjacent side and hy-
hyperbolas are discussed in Appendix A. potenuse can be described in either radians or
degrees. Degrees can be converted to radians by
1.4 TRIGONOMETRY multiplying by
π
. Radians can be converted
The basic trigonometric functions of acute 180° 180°
to degrees by multiplying by . Another im-
!
π
ratios of the sides of a right triangle. Using the portant observation is that positive angles are
right triangle shown in Figure 1-7, the following measured counterclockwise with respect to the
functions can be defined: positive x axis.
a opposite side The tangent (tan) function asymptotically ap-
sin θ = = Eq. 1-39 π
c hypotenuse proaches infinity at odd multiples of . It has
2
" #'*XY ' '
['
b adjacent side # " #'*[ #\# '['
"Y
cosθ = = Eq. 1-40
π
c hypotenuse with each other by '#
2
There are two important formulas that apply
a opposite side
tan θ = = Eq. 1-41 to the general triangle shown in Figure 1-8. The
b adjacent side
law of sines describes the relationship of the
angles in a triangle to the sides opposite them:
sin A sin B sin C
= = Eq. 1-46
a b c
Figure 1-9. Equilateral triangle. Figure 1-11. Application of the law of sines.
14
Fundamentals of Manufacturing Chapter 1: Mathematics
For reference purposes, common trigonomet- The probability of A not occurring is given by:
ric identities are listed in Appendix A.
P(not A) = 1 – P(A) Eq. 1-56
1.5 PROBABILITY Example 1.5.1. There are seven ball bearings
A permutation of any number of items is packed in a tube. How many different ways can
a group of some or all of them arranged in a the seven bearings be arranged?
definite order. The number of permutations of Solution. Since a different order of ball bearings
n things taken r at a time is designated P(n,r) constitutes a different arrangement, order must
and can be determined by: be taken into account and permutations should
be used. This is determined by the number of per-
n!
P (n, r ) = Eq. 1-50 mutations of seven things taken seven at a time:
(n − r )!
n!
where the exclamation point designates a facto- P (n, r ) = (by Eq. 1-50)
rial (for example, 4! = 1 × 2 × 3 × 4 = 24). (n − r )!
A combination is a group of n objects taken where:
as any set of r objects without regard to their n = 7 balls total
order. The number of combinations of n things r = 7 balls per arrangement
taken r at a time is given by:
7!
P(7,7) = = 5, 040
n! (7 − 7)!
C(n, r ) = Eq. 1-51
r ! (n − r )!
Example 1.5.2. A three-member committee is
A probability P(A) refers to the likelihood of to be selected from a group of 10 people. How
an event A occurring. The probability is always many different committees are possible?
in the range of zero to one. Solution. The answer does not depend on order-
The probability of A or B occurring is: ing. It is a combination problem.
P(A or B) = P(A) +P(B) – P(A and B) Eq. 1-52 n!
C(n, r ) = (by Eq. 1-51)
If two events cannot occur simultaneously, r !(n − r )!
then they are mutually exclusive. For example, where:
in a coin tossing experiment, if a head occurs, n = 10 people total
then a tail cannot. Those two events are mutually r = 3 people per committee arrangement
exclusive. If A and B are mutually exclusive then:
10 !
P(A and B) = 0 Eq. 1-53 C(10, 3) = = 120
3 !(10 − 3)!
P(A or B) = P(A) + P(B) Eq. 1-54
Example 1.5.3. An ordinary die is tossed 100
If two events can occur in a single experimen- times. What is the expected number of times a
tal trial and one event does not affect the prob- four can be rolled?
ability of the occurrence of the other, the events
Solution. The probability of a four on any toss
are independent. For example, when tossing a 1 1
pair of dice, rolling a four on the first die and a is 6 . It is expected that a 4 will be rolled about 6
four on the second die are independent events. of the time. Therefore,
Rolling a four with the first die does not affect
1
the probability of rolling a four with the second 100 × ≈ 17
die. The events are not mutually exclusive 6
since both (two fours) can occur simultane- Approximately 17 fours would appear in 100 tosses.
ously. If A and B are independent, then the
probability of A and B occurring is the product Example 1.5.4. What is the probability of draw-
of the two probabilities: ing a king or a one-eyed jack (half of the jacks in
the deck are one-eyed) from an ordinary deck of
P(A and B) = P(A)P(B) Eq. 1-55 52 playing cards?
15
Fundamentals of Manufacturing Chapter 1: Mathematics
Solution. The events of drawing a king or are ordered in ascending or descending order
one-eyed jack are mutually exclusive. The prob- and counted. The median is halfway through
ability of selecting a king or a one-eyed jack is: this ordered list. If there is an even number of ob-
servations, the median is the average of the two
P(A or B) = P(A) + P(B) (by Eq. 1-54) observations in the middle of the ordered list.
where:
MODE
P ( A or B ) = P (king or one-eyed jack ) The mode is the value that occurs most fre-
quently.
4 possible kings 4
P ( A ) = P (king) = =
52 cards 52 VARIATION
P ( B ) = P ( one-eyed jack ) There are several ways to measure the variation
within a set of data such as the range, variance,
2 possible one-eyeed jacks 2 and standard deviation methods described here.
= =
52 cards 52
1
N
∑ (x − x )2 ∑x 2
− n( x )2
∑ xi
i i
μ= Eq. 1-57 s2 = i =1
= i =1 Eq. 1-60
N
i =1 n −1 n −1
where:
MEDIAN x = sample mean
The median is the middle observation in a xi = each individual data point
group of data ordered by magnitude. The data n = sample size
16
Fundamentals of Manufacturing Chapter 1: Mathematics
=
(x 1
2
+ x 22 + x32 + x 4 2 + x52 − n ( x ) ) 2
n −1
where:
x1 = 85
x2 = 70
x3 = 60
x4 = 90
x5 = 81
x = 77.2
n = 5 Figure 1-12. Normal distribution.
17
Fundamentals of Manufacturing Chapter 1: Mathematics
z 0.09 0.08 0.07 0.06 0.05 0.04 0.03 0.02 0.01 0.00
–3.5 0.00017 0.00017 0.00018 0.00019 0.00019 0.00020 0.00021 0.00022 0.00022 0.00023
–3.4 0.00024 0.00025 0.00026 0.00027 0.00028 0.00029 0.00030 0.00031 0.00033 0.00034
–3.3 0.00035 0.00036 0.00038 0.00039 0.00040 0.00042 0.00043 0.00045 0.00047 0.00048
–3.2 0.00050 0.00052 0.00054 0.00056 0.00058 0.00060 0.00062 0.00064 0.00066 0.00069
–3.1 0.00071 0.00074 0.00076 0.00079 0.00082 0.00085 0.00087 0.00090 0.00094 0.00097
–3.0 0.00100 0.00104 0.00107 0.00111 0.00114 0.00118 0.00122 0.00126 0.00131 0.00135
–2.9 0.0014 0.0014 0.0015 0.0015 0.0016 0.0016 0.0017 0.0017 0.0018 0.0019
–2.8 0.0019 0.0020 0.0021 0.0021 0.0022 0.0023 0.0023 0.0024 0.0025 0.0026
–2.7 0.0026 0.0027 0.0028 0.0029 0.0030 0.0031 0.0032 0.0033 0.0034 0.0035
–2.6 0.0036 0.0037 0.0038 0.0039 0.0040 0.0041 0.0043 0.0044 0.0045 0.0047
–2.5 0.0048 0.0049 0.0051 0.0052 0.0054 0.0055 0.0057 0.0059 0.0060 0.0062
–2.4 0.0064 0.0066 0.0068 0.0069 0.0071 0.0073 0.0075 0.0078 0.0080 0.0082
–2.3 0.0084 0.0087 0.0089 0.0091 0.0094 0.0096 0.0099 0.0102 0.0104 0.0107
–2.2 0.0110 0.0113 0.0116 0.0119 0.0122 0.0125 0.0129 0.0132 0.0136 0.0139
–2.1 0.0143 0.0146 0.0150 0.0154 0.0158 0.0162 0.0166 0.0170 0.0174 0.0179
–2.0 0.0183 0.0188 0.0192 0.0197 0.0202 0.0207 0.0212 0.0217 0.0222 0.0228
–1.9 0.0233 0.0239 0.0244 0.0250 0.0256 0.0262 0.0268 0.0274 0.0281 0.0287
–1.8 0.0294 0.0301 0.0307 0.0314 0.0322 0.0329 0.0336 0.0344 0.0351 0.0359
–1.7 0.0367 0.0375 0.0384 0.0392 0.0401 0.0409 0.0418 0.0427 0.0436 0.0446
–1.6 0.0455 0.0465 0.0475 0.0485 0.0495 0.0505 0.0516 0.0526 0.0537 0.0548
–1.5 0.0559 0.0571 0.0582 0.0594 0.0606 0.0618 0.0630 0.0643 0.0655 0.0668
–1.4 0.0681 0.0694 0.0708 0.0721 0.0735 0.0749 0.0764 0.0778 0.0793 0.0808
–1.3 0.0823 0.0838 0.0853 0.0869 0.0885 0.0901 0.0918 0.0934 0.0951 0.0968
–1.2 0.0895 0.1003 0.1020 0.1038 0.1057 0.1075 0.1093 0.1112 0.1131 0.1151
–1.1 0.1170 0.1190 0.1210 0.1230 0.1251 0.1271 0.1292 0.1314 0.1335 0.1357
–1.0 0.1379 0.1401 0.1423 0.1446 0.1469 0.1492 0.1515 0.1539 0.1562 0.1587
–0.9 0.1611 0.1635 0.1660 0.1685 0.1711 0.1736 0.1762 0.1788 0.1814 0.1841
–0.8 0.1867 0.1894 0.1922 0.1949 0.1977 0.2005 0.2033 0.2061 0.2090 0.2119
–0.7 0.2148 0.2177 0.2207 0.2236 0.2266 0.2297 0.2327 0.2358 0.2389 0.2420
–0.6 0.2451 0.2483 0.2514 0.2546 0.2578 0.2611 0.2643 0.2676 0.2709 0.2743
–0.5 0.2776 0.2810 0.2843 0.2877 0.2912 0.2946 0.2981 0.3015 0.3050 0.3085
–0.4 0.3121 0.3156 0.3192 0.3228 0.3264 0.3300 0.3336 0.3372 0.3409 0.3446
–0.3 0.3483 0.3520 0.3557 0.3594 0.3632 0.3669 0.3707 0.3745 0.3783 0.3821
–0.2 0.3859 0.3897 0.3936 0.3974 0.4013 0.4052 0.4090 0.4129 0.4168 0.4207
–0.1 0.4247 0.4286 0.4325 0.4364 0.4404 0.4443 0.4483 0.4522 0.4562 0.4602
–0.0 0.4641 0.4681 0.4721 0.4761 0.4801 0.4840 0.4880 0.4920 0.4960 0.5000
19
Fundamentals of Manufacturing Chapter 1: Mathematics
1.7 CALCULUS
The area between z1 = –1.67 and z2 = 0.83 on
the standard normal distribution curve corre- Knowledge of calculus is the cornerstone of
sponds to the area between 350 and 425 hours engineering education. Calculus is briefly re-
on a normal curve for light bulb lifetimes with viewed here in its most basic elements.
a mean of 400 hours and a standard deviation Differential calculus involves the examination
of 30 hours. of how something changes relative to something
else. For example, if the position of an object is
Area one (– to –1.67) = 0.0475 known as a function of time, then differentiation
Area two (– to 0.83) = 0.7967 of that function (or the derivative of the function)
will give the velocity. The slope of a function y
The probability of a randomly selected bulb = f (x) at a point (the slope of the tangent line at
burning out at between 350 and 425 hours is the point) is the first derivative of the function
equal to: written as:
Area two – Area one = 0.7967 – 0.0475 dy
= 0.7492 or 74.92% = Dy = y ′ Eq. 1-64
dx
Often it is impractical to find the mean or The slope of a function can be found at a point
standard deviation of a population and, there- if the derivative of the function can be evaluated
fore, inferring information about the population at that point.
from a sample is necessary. Describing a popula- The second derivative of a function is writ-
tion through sampling requires that the sample ten as:
be representative of the statistical universe it
purports to describe. A simple random sample d2 y
= D 2 y = y ′′ Eq. 1-65
must be arbitrarily taken from the lot it will dx 2
represent. This means that every element in the The second derivative at a point measures the
population has an equal chance of being chosen degree to which the function’s graph is bending
for the sample. around the point.
In addition to a simple random sample, ex- Some derivative equations are given next.
amples of other sampling methods include strati- The notation assumes that f and g are functions
fied sampling, cluster sampling, and systematic of x, and k is a constant. Additional derivative
sampling. Stratified sampling involves forming equations are in Appendix A if needed.
strata within a population and then randomly
picking a sample from each stratum. Strata could dk
=0 Eq. 1-66
be people who own cars valued from $10,000 to dx
$20,000 and people who own cars valued from
$20,001 to $30,000, for example. Cluster sampling d( kx n )
= nkx n −1 Eq. 1-67
involves grouping individuals into clusters and dx
21
Fundamentals of Manufacturing Chapter 1: Mathematics
df d kx
n
( ) f ′ (x ) =
d 3
dx
(x ) +
d
dx
(
−3x 2 +)d
dx
(3)
f′ = = = nkx n −1 (by Eq. 1-67)
dx dx
where: By Eq. 1-67,
f (x) = (3)x3 – 1 + 2(– 3)x2 – 1 + 0
k = 1, n = 3
f (x) = 3x 2 – 6x
df
=
( ) = (3)(1)x
d x3 3 −1
g′ =
dg d kx
=
n
( )
= nkx n−1
f (x) = 3x2 – 6x = 0
dx dx Solving for the values of x:
where: 3x(x – 2) = 0
k = – 4, n = 1 3x = 0 or x – 2 = 0
x = 0 or x = 2
dg d ( −4 x )
= = (1)( −4 )x1−1
dx dx The second derivative is used to test whether
dg these extreme points are relative maximum
= −4 or relative minimum. The second derivative
dx
is found by taking one more derivatives of the
These results are substituted back into Eq. 1-68 first derivative.
for the final result:
df ′
f ′′ ( x ) = =
d
(
3x 2 − 6 x )
d 3
dx
( )
x − 4 x = 3x 2 − 4 dx dx
By Eq. 1-68,
One of the most important applications for
d ( −6x )
derivatives is finding the maximum and mini-
mum points in a function f(x). The following
f ′′ ( x ) =
d
dx
( )
3x 2 +
dx
tests can be applied to determine the location
of a maximum or minimum point: By Eq. 1-67,
grating the velocity function will result in the ∫ cf ( x )dx = c∫ f ( x )dx Eq. 1-73
original position function. If the derivative of a
function is integrated, the original function plus x n +1
∫x dx = + C n ≠ −1
n
Eq. 1-74
a constant of integration is the result: n +1
Example 1.7.3. Find the area between the x axis
∫ f ′( x )dx = f ( x ) + C Eq. 1-69 and the function y = x2 from 1 to 7.
Solution. The area can be found by the applica-
This is referred to as an indefinite integral. A tion of a definite integral.
definite integral is one that is evaluated between b
two limits of integration. With definite integrals, A = ∫ f ( x )dx (Eq. 1-71)
a
the constant of integration cancels out and the
integral is evaluated by: where:
a = 1
b
b = 7
f ′ ( x ) dx = f ( x ) = f (b) − f (a )
b
∫a
a
Eq. 1-70
f(x) = x2
7
A = ∫ x 2 dx
1
x 2 +1 7 x3 7
= =
2 +1 1 3 1
=
(7)3 − (1)3
3 3
343 1 342
= − = = 114
3 3 3
REVIEW QUESTIONS
2.1) The quote for the redesigned part is 5% less
expensive than the original design. If the quote
for the original design is $20 per part, what is
the quote for the redesigned part?
2.2) How many pounds of aluminum are neces-
sary to produce 100 castings if 10 castings can
be made from 20 lb of aluminum?
2.3) Solve the following expression: 20 – 4 × 6
Figure 1-16. Plot of the function in Example 1.7.2. ÷ 2 – (3 – 6) × 2.
23
Fundamentals of Manufacturing Chapter 1: Mathematics
Frequency Score
1 35
3 45
6 55
8 65
10 75
4 85
2 95
BIBLIOGRAPHY
Oberg, Erik, Franklin Jones, Holbrook Horton, and
Henry Ryffell, eds. 2008. Machinery’s Handbook, 28th
Edition. New York: Industrial Press, Inc.
Doane, David and Lori Seward. 2009. Applied Statis-
tics in Business and Economics, Second Edition. New
York: McGraw-Hill.
Schmidt, Philip and Frank Ayres. 2010. Schaum’s
Easy Outline of College Mathematics, 4th ed. New
York: McGraw-Hill.
Part 2
Applied Engineering Science
2
UNITS OF MEASURE
The two most common measurement sys- The SI system is based on decimal arithmetic.
tems used in the United States are the U.S. Each physical quantity consists of units of differ-
Customary System and the International Sys- ent sizes, which are formed or created by multi-
tem of Units (SI system, or the metric system). plying or dividing a single base value by powers
While the United States uses both systems, of 10. Thus, changes can be made very simply by
many other countries have adopted the SI adding zeros or moving decimal points.
system exclusively.
The International System of Units (SI) was 2.1 SI BASE UNITS
first released by the Conference Generale des There are seven base units in the SI system.
Poids et Mesures (CGPM) in 1960 under the They represent the quantities of length, mass,
French title, Le Systeme International d’Unites. time, electric current, thermodynamic tem-
It has since been referred to in all languages as perature, amount of substance, and luminous
SI. The United States and approximately 36 intensity. Table 2-1 represents these units and
other countries participated in the international their respective base of definition. From these
conference. seven units all other quantities can be derived.
In 1975, Congress passed the Metric Conver-
sion Act to coordinate and plan for increased use
of the metric system in the United States. The Act LENGTH
defined the basis for the United States’ compli- The base unit of length in the SI system is the
ance with international SI standards. The U.S. 1
meter. The millimeter (mm) ( of a meter),
Metric Board was formed to carry out the intent 1, 000
of the Act. However, due to the ineffectiveness of
the Board, it was disbanded in 1982. Table 2-1. SI base units and their symbols
Still realizing the need for conformance with Quantity Unit Symbol
international standards for trade, Congress
Length meter m
passed the Omnibus Trade and Competitive-
ness Act of 1988. This Act designated the metric Mass kilogram kg
system as the preferred system of weights and Time second s
measures for the United States. Electric current ampere A
As with any system available throughout
Thermodynamic
the world, the metric system deals in base and Kelvin K
temperature
derived units. The following discussion defines
Amount of substance mole mol
the units of measurement and multiples or divi-
sions of the base units in the metric SI system. Luminous intensity candela cd
Fundamentals of Manufacturing 27
28
Fundamentals of Manufacturing Chapter 2: Units of Measure
is used as a standard unit of length for most water and 100° C (or 373.16 K) equals the boiling
drafting operations. One meter (m) is the length point of pure water at controlled atmospheric
pressure. (Note, when writing temperatures in
of the path traveled by light in a vacuum during
1 Kelvin, the degree symbol [°] is not used.)
a time interval of of a second. Zero on the Kelvin scale (0 K) represents
299,792, 458
absolute zero, the temperature at which there
TIME is absence of heat. Absolute zero on the Celsius
The base unit of time in the SI system is the scale, therefore, is –273.16° C. Since there is a
second (s). The second is defined as the duration correlation between Kelvin and Celsius, the use
of 9,192,631,770 cycles of the vibration of the of Celsius is preferred but it is not an SI accept-
isotope cesium 133. Minutes, hours, and days able unit.
are also acceptable forms in non-SI units. Table
2-2 shows the relationship of these units. ELECTRIC CURRENT
The base unit for electric current in the SI
MASS is the ampere (A). The ampere is defined as the
The SI unit for mass is the kilogram (kg). The amount of current between two straight parallel
term mass reflects the amount of matter an ob- wires placed one meter apart in a vacuum. The
ject contains. The standard unit is a cylinder of result is 2 × 10–7 Newton/meter (N/m) of force
platinum-iridium alloy. The kilogram only rep- between those two wires.
resents mass; weight and force are represented
by other SI units that are derived. LUMINOUS INTENSITY
In addition to objects having mass, liquids The SI unit for luminous intensity is the can-
also have a mass equivalency. In the metric dela (cd). The candela is defined as the luminous
system there is a direct relationship between vol- intensity, in a given direction, of a light source
ume and mass of water. It has been established producing single-frequency light at 540 × 1012
that one decimeter cubed (1 dm3) of water has a 1
mass of one kilogram (1 kg), and one centimeter hertz with power of watt per steradian.
683
cubed (1 cm3) of water has a mass of one gram
(1 g). The liter (L), an acceptable non-SI term, AMOUNT OF SUBSTANCE
is equal to one decimeter cubed (1 dm3). The mole (mol) is the base SI unit indicating
the amount of substance. A mole is defined as the
TEMPERATURE amount of substance of a system containing
the same amount of elementary entities as
The SI unit for temperature is the Kelvin (K).
1 there are atoms in carbon 12 having a mass of
It is defined as 273.16 of the thermodynamic tem- 0.012 kilogram, or 6.02 × 1023 entities. Hence,
perature of the triple point of water. The Kelvin one mole of water molecules would be 6.02 ×
scale is developed from the Celsius scale (° C); 1023 molecules, etc.
Kelvin temperatures are exactly 273.16° above
Celsius temperatures. In the Celsius scale, 0° C 2.2 SI PREFIXES
(or 273.16 K) equals the freezing point of pure One of the most beneficial aspects of the SI
system is the ability to multiply the base unit
by powers of 10 to express multiples or sub-
Table 2-2. Relationship of the various units multiples of the base unit. These units are ex-
of time pressed by adding a prefix to the name of the base
Units Symbol Equals unit. For example, one thousandth of a meter
1 minute min 60 seconds is expressed as a millimeter, and one thousand
meters is expressed as a kilometer. Table 2-3
1 hour hr 60 minutes or 3,600 seconds
represents the expression of metric values as
24 hours or 1,440 minutes or noted by the multiplication factors, the prefix
1 day d
86,400 seconds names, and the SI symbols.
29
Fundamentals of Manufacturing Chapter 2: Units of Measure
REFERENCE
International Bureau of Weights and Measures
(BIPM). 2006. The International System of Units, 8th
Edition. Sevres, France: BIPM, http://www.bipm.org/
en/si/si_brochure/chapter2/2-2/table3.html.
31
Fundamentals of Manufacturing Chapter 2: Units of Measure
Fundamentals of Manufacturing 33
34
Fundamentals of Manufacturing Chapter 3: Light
where:
1 = indice of air = 1.00
1 = angle of incidence = 45°
2 = indice of water = 1.33
2 = angle of refraction, °
REVIEW QUESTIONS
3.1) Is the frequency of visible light higher or Figure Q3-1. Question 3.4.
lower than FM radio?
3.2) A manufacturer’s specifications indicate
that a light-emitting diode (LED) is 880 nanome-
ters (880 × 10– 9 m). Is the emission of the LED
visible? What is the frequency of the emission?
3.3) A machine shop is repainting its tools.
Would blue or green be a better choice for safety?
Assume a safer color is one that is more visible
to the human eye.
3.4) A remote control uses an infrared light
beam to turn a TV set on and off. The user wants
to turn off a TV set by bouncing the beam off a
mirror as shown in Figure Q3-1. The remote con-
trol is positioned somewhere along the centerline
of the wall. How far from the edge of the wall Figure Q3-2. Question 3.5.
(distance x) can the remote control be located
and still turn off the set?
3.5) A spotlight is located at the bottom of a
decorative fountain as shown in Figure Q3-2.
How far from the surface of the water will the
spot be projected on the wall?
BIBLIOGRAPHY
Halliday, David, Robert Resnick, and Jearl Walker.
2010. Fundamentals of Physics, 9th Edition. New
York: John Wiley & Sons.
4
SOUND
Sound is the transmission of mechanical compressed bursts will alternate with rarified
waves in matter. It can only be transmitted bursts of air resulting from the retraction of the
through matter and cannot be transmitted in a piston. The bursts will be separated by a wave-
vacuum. The human ear is sensitive to certain length given by:
frequencies of sound waves, typically in the
range of 20–20,000 cycles/second or hertz (Hz). ] a t Eq. 4-1
The ear detects mechanical vibrations in the where:
air and the nervous system transmits them to ] |\ [Y{
the brain. a] #'
[Y #{
]
# !'
[Y '|\ {
4.1 WAVE NATURE OF SOUND t ] [
Sound is comprised of longitudinal mechani- Sound waves propagate through a gas at a
cal waves travelling through matter. Sound speed given by:
waves are generated by the successive com-
kP
pression and rarefaction of the media that is v= Eq. 4-2
transmitting it. The generation of sound in air ρ
can be visualized by the action of a piston in a where:
cylinder as illustrated in Figure 4-1. v ] velocity, ft/s (m/s)
Y ##'[[[# '{ k] "
Y [#['
'#[Y
a series of compressed bursts of air resulting P ] "# # {
[2 (Pa)
from the forward (left-to-right) motion of the ] [!'
[Y {
[3 (kg/m3)
piston will be emitted from the cylinder. These
The values of specific heat for various gases
are given in Table 4-1.
Fundamentals of Manufacturing 37
38
Fundamentals of Manufacturing Chapter 4: Sound
intensity before they are detected by the human ing all of the power is transferred to the sheet,
ear. Figure 4-2 illustrates the range of audibility how much power is transferred?
of the human ear. Sounds with intensities less 4.5) Wind blows through a wheel with five slots
than the lower limit cannot be detected by the spaced evenly around the edge. The wheel has
average human ear. If a sound has an intensity a diameter of 18 in. with the tire mounted. The
# [ #[Y¡{[ #!"#' " wheel is mounted on a vehicle moving at 60
rather than hearing. Ultrasonic sound is at a miles/hour. Find the pitch of the sound produced.
frequency above the range of human hearing.
Infrasonic sound has a frequency below the BIBLIOGRAPHY
range of human hearing.
Halliday, David, Robert Resnick, and Jearl Walker.
2010. Fundamentals of Physics, 9th Edition. New
REVIEW QUESTIONS York: John Wiley & Sons.
4.1) What is the lowest intensity of sound at
10,000 Hz that can be detected by the typical
human ear?
4.2) [Y [ [!'
^¡'2.
4.3) What is the relative intensity of sound with
an actual intensity of 4 × 10–6 W/m2 ?
4.4) A 2 × 4 m sheet of plastic is in front of a
" #[Y[ [['[¡-
Figure 4-2. Response of the average human ear to sound at different frequencies.
5
ELECTRICITY/ELECTRONICS
Fundamentals of Manufacturing 41
42
Fundamentals of Manufacturing Chapter 5: Electricity/Electronics
power supplied by a circuit component can be age drops. A resistor is symbolized in Figure
found as the product of the voltage rise across the ¢ [ # 'Y£XY
component and the current that flows through it: relationship between current and voltage in a
resistor is given by:
P = IV Eq. 5-1
V
where: I= Eq. 5-4
R
P = power, watts
I = current, amperes where:
V = voltage, volts I = current, amperes
V = voltage, volts
The power consumed by a component can be
R = resistance, ohms
found by the same equation (Eq. 5-1), where V
is the voltage drop across the component.
Alternately, the power consumed in a resis- INDUCTANCE, L
tive load can be found as the product of the Inductors are energy-storing components
resistance and the square of the current that wherein energy is stored in a magnetic field. An
flows through it: inductor is illustrated in Figure 5-1b. Inductance
is measured in henries. The relationship between
P = I 2R Eq. 5-2
current and voltage in an inductor is given by:
where:
1
L∫
R = resistive load, ohms I= Vdt
The power consumed in a resistive load also Eq. 5-5
volts × seconds
can be found by: or amperes =
henries
V2 where:
P= Eq. 5-3
R I = current, amperes
L = inductance, henries
There are many types of components that can be
V = voltage, volts
used to form an electrical circuit. Some examples of
dt = derivative of time function
sources that generate electrical energy are: batter-
ies, generators, and power supplies (devices that
convert one type of voltage/current combination CAPACITANCE, C
into another). Some of the passive components Capacitors are energy-storing components
used in circuits are resistors, inductors, and wherein energy is stored in an electric field. A
capacitors. These components are illustrated in capacitor is shown in Figure 5-1c. Capacitance
Figure 5-1 in the context of a DC circuit. is measured in farads. A typical capacitor used
in a circuit for consumer electronics has a value
RESISTANCE, R measured in microfarads. The relationship
Resistors are energy-absorbing components. between current and voltage in a capacitor is
As current flows through a resistor, the volt- given by:
dV
I =C
dt
Eq. 5-6
farads × volts
or amperes =
seconds
where:
I = current, amperes
C = capacitance, farads
dV
= derivative of voltage function with
Figure 5-1. Circuit components. dt respect to time
43
Fundamentals of Manufacturing Chapter 5: Electricity/Electronics
of the voltage changes in the left loop must be Solving for I1 in the first equation and replacing
found against the current flow. In this example, it into the third equation produces a value for I2:
the Loop Rule will be applied counter-clockwise
starting from point P. 0.5 A + I1 – I 2 = 0
I1 = I 2 – 0.5 A
¤¥V = V4£ + V12V + Vx + V2£ = 0
(Kirchoff’s Loop Rule) 8 V + I1(4£) + I 2(6£) = 0
where: 8 V + (I 2 – 0.5 A)(4£) + I 2(6£) = 0
V4£ = IR = I1(4£) (by Eq. 5-4) 8 V + I 2(4£) – 2 V + I 2(6£) = 0
Resistors decrease voltage in the direction of I 2(10£) = –6 V
current flow. But, since this loop is evaluated I 2 = –0.6 A
against the current, the sign is positive for V`£.
Now I 1 can be found from I 2:
V12V = +12 V
I1 = I 2 – 0.5 A
The loop is evaluated across the 12-volt battery I1 = –0.6 A – 0.5 A
in the negative-to-positive direction so the volt-
age is positive for V12V. Remember, the direction I1 = –1.1 A
in which a battery increases voltage does not And finally, replacing I1 into the second equa-
depend on the direction of the current. tion solves for X:
Vx = –X 11 V – X + I1(4£) = 0
V2£ = IR = –(0.5 A)(2£) = –1V (by Eq. 5-4)
11 V – X + (–1.1 A)(4£) = 0
XY £ # ['# \[ [Y # [' 11 V – 4.4 V = X
of the current flow, so it causes a decrease in
voltage and a negative sign for V£. X = 6.6 V
¤¥V = I1(4£) + 12 V – X – 1 V = 0 Note that the negative signs on the currents indi-
cate that the directions shown in Figure 5-6 are
11 V – X + I1(4£) = 0 opposite to the actual flow of current in each case.
Similarly, the Loop Rule is applied in the right
loop starting form point P. Since all currents in REVIEW QUESTIONS
the right loop flow counter-clockwise, it is easiest 5.1) An automotive electrical system operating
to evaluate this loop with the flow of current. at 12 volts contains a light bulb that draws 2
amperes. What is the power consumed by the
¤¥V = V6£ + V4V + V12V + V4£ = 0
light bulb?
where: 5.2) A resistor rated at 100 ohms is placed across
V~£ = IR = –I 2~£ the terminals of a 12-volt battery. How much
V4V = +4 V current does the resistor draw from the battery?
V12V = –12 V 5.3) A household electric heater operates at 110
V`£ = IR = –I1`£ volts. The unit is rated at 1,000 watts. What is
the resistance of the heater and the current that
¤¥V = –I 2~£`¦§¦§I1`£]
flows through it?
8 V + I 1`£I2~£]
5.4) Two 1.5-volt batteries are to be connected
Now there are three variables and three equa- to supply a total of 3.0 volts to an electrical load.
tions that can be solved simultaneously: Should the batteries be connected in series or
parallel?
0.5 A + I1 – I2 = 0
5.5) Find the total equivalent resistance be-
11 V – X + I 1(4£) = 0 tween points A and B in the circuit shown in
8 V + I 1(4£) + I 2 (6£) = 0 Figure Q5-1.
47
Fundamentals of Manufacturing Chapter 5: Electricity/Electronics
BIBLIOGRAPHY
Hayt, William H., Jack E. Kemmerly, and Steven M.
Durbin. 2007. Engineering Circuit Analysis, Seventh
Edition. New York: McGraw-Hill Book Company.
6.1 FORCE
Force is a vector quantity. It is specified by both
a magnitude and a direction. The study of force
depends on several basic principles: transmis-
sibility, parallelogram law, and Newton’s laws.
TRANSMISSIBILITY
Transmissibility is the principle that the equi-
librium of a rigid body will remain unchanged
if a force F on a rigid body is replaced by a force
F |[Y[Y [ {# ['{
of action acting at a different point. A force may
be transmitted along its line of action without
changing the effect it has on a body as seen in Figure 6-2. Resultant of two forces.
Figure 6-1.
PARALLELOGRAM LAW
NEWTON’S LAWS
Two forces acting on a particle can be replaced
by a single force known as the resultant. The resul- First Law
tant is obtained by vector addition of the two forces. A particle will remain at rest or will move
This can be visualized as drawing the diagonal of in a straight line at a constant speed when the
the parallelogram having sides given by the force resultant force, F, acting on the particle is zero.
vectors shown in Figure 6-2. This can be summarized as:
Fundamentals of Manufacturing 49
50
Fundamentals of Manufacturing Chapter 6: Statics
¤F = 0 Eq. 6-1
This equation can be read as “the summation of
all forces acting on a particle is equal to zero.”
Second Law
If the resultant force acting on a particle is
not equal to zero, the particle will have an ac-
celeration with a magnitude proportional to the
resultant force and a direction along the resultant
force. The constant of proportionality is the mass
of the particle, m. This law is summarized as:
Figure 6-4. Rectangular components of a force.
F = ma Eq. 6-2
where:
F = force, lb (N) Fy = F
~`
m = mass of particle, slug (kg)
This result is often useful in adding together the
a = acceleration, ft/s2 (m/s2)
forces acting on a particle. It is the analytical
This concept is described in greater detail in equivalent to the parallelogram law. The rect-
Chapter 7, Dynamics. angular components of the resultant force, R,
acting on a particle are given by:
Third Law Rx]¤Fx Eq. 6-5
The forces of action and reaction between bod-
ies in contact have the same magnitude, same line Ry]¤Fy Eq. 6-6
of action, and opposite sense. Figure 6-3 shows
Example 6.2.1. Three forces act on the eyebolt
a block being pushed against a wall with force F
as shown in Figure 6-5. Find the resultant
applied on the left side. The wall reacts against
force.
the right side of the block with an equal force,
Solution. Refer to Table 6-1. Each of the in-
with opposite sense along the same line of action.
dividual forces is broken down into its x and y
components and these components are summed
6.2 RECTANGULAR COMPONENTS OF A FORCE to find the resultant force.
It is often useful to resolve a force into com-
ponents that are along perpendicular coordinate Rx = 73 N Ry = 150 N
axes. In Figure 6-4, the force F has been resolved The magnitude of the resultant force can be
into two rectangular components. The magni- found by Pythagorean Theorem:
tudes of these components are given by:
R= Rx 2 + Ry 2
Fx = F'
~
R= (73 N)2 + (150 N)2
R = 167 N
And the angle can be found by trigonometry:
Ry 150
tan θ = =
Rx 73
150
θ = tan −1
73
Figure 6-3. Reaction to an applied force. θ = 64
51
Fundamentals of Manufacturing Chapter 6: Statics
MO = F d Eq. 6-7
where:
MO = magnitude of the moment about
point O, ft-lb (N-m)
F = magnitude of the force, lb (N)
d = perpendicular distance between the
line of action of the force and the point
of rotation, ft (m)
Note: The magnitude of the moment also can be
expressed in other units such as in.-lb, lb-ft, and
lb-in. It is immaterial which unit is stated first.
A moment that generates a tendency to rotate
clockwise is negative, and a moment that gener-
ates a tendency to rotate counterclockwise is
positive. The force in Figure 6-6 creates a ten-
dency for the rigid body to rotate counterclock-
wise with respect to point O. Therefore, the
moment created by force F with respect to point
O is positive.
6.7 FRICTION
The force required to overcome friction re-
sulting from bodies in contact is important in
many statics problems. In almost all cases, the
concept of dry or Coulomb friction is assumed
to apply. The force of friction, acts opposite to
Figure 6-9. Loaded structure and corresponding free- the direction of any impending motion (on the
body diagram.
verge of moving) that would result from an ap-
plied force, P, as shown in Figure 6-11. Hence,
an object moving or resting against a frictionless
¤Fx = Bx = 0 (Eq. 6-8) surface experiences no forces against its motion,
Bx = 0 only forces normal to it. The maximum possible
¤Fy = By – 10 kN = 0 (Eq. 6-9) force of friction is defined as:
By = 10 kN FF ] ¨N Eq. 6-12
All the moments with respect to the point of rota- where:
tion, O, also can be summed and set equal to zero. FF = frictional force, lb (N)
Bx and By do not create a moment since their ¨ ] '
['
#['
respective lines of action pass through point O. N = force that acts normal to the surfaces in
contact, lb (N)
It should be noted that this discussion applies
to static friction. A similar relationship exists
for dynamic friction between bodies in relative
motion. The coefficient of friction is a function
of the two surfaces in contact. To overcome fric-
tion and cause a body to move, a force must be
applied that is greater than the maximum fric-
tional force. Impending motion occurs when the
force is equal to the maximum frictional force.
Figure 6-10. Sign conventions. Figure 6-11. Conditions for frictional forces.
54
Fundamentals of Manufacturing Chapter 6: Statics
Example 6.7.1. The block shown in Figure 6-11 Figure 6-12 shows the location of the centroid
has a mass of 200 kg and the coefficient of friction of some common two-dimensional objects. For a
between the block and the floor is 0.3. How large composite shape, the centroid may be found by
must the force P be to start the block in motion? dividing the object into subcomponents where
Solution. In this case, the normal force acting the centroid is known, and identifying the loca-
on the frictional contact surfaces is equal to the tion of the centroid of each subcomponent rela-
weight of the block. Weight is a force that can tive to a datum (reference line). As shown in
be found by Newton’s Second Law: Figure 6-13, the location of the centroid in the
x direction, X , and y direction, Y , relative to a
F = ma (Eq. 6-2) datum can be found by:
Since the force is the weight of the block and
∑
N
acceleration is due to gravity, Equation 6-2 i =1
x i Ai
X = Eq. 6-14
∑
N
becomes, Ai
i =1
W = mg Eq. 6-13
∑
N
where: i =1
yi Ai
Y = Eq. 6-15
∑
N
m = mass of block = 200 kg A
i =1 i
g = gravitational acceleration = 9.81 m/s2
W = (200 kg)(9.81 m/s2) where:
W = 1,962 N xi and yi = location of the centroid of each
subcomponent relative to a datum
Since the block is not moving in the y direction
X and Y = location of the centroid for the com-
(vertical):
posite shape relative to a datum
¤Fy = 0 (Eq. 6-9) Ai = area of each component, in.2 (mm2)
N – 1,962 N = 0 N = number of subcomponents
N = 1,962 N Example 6.8.1. Find the location of the centroid
The maximum frictional force can then be found of the two-dimensional object shown in Figure
by Equation 6-12. 6-14 relative to the datums on the bottom and
left side of the object.
FF = ¨N Solution. The first step is to divide the object
into three basic shapes or subcomponents la-
where:
beled A1, A2, and A3 as shown in Figure 6-15.
¨ ] '
['
#[']
Next, label the x and y centroid coordinates for
N = normal force = 1,962 N
each of the three areas.
FF = (0.3)(1,962 N)
FF ] ^^~ª«^ª Table 6-2 defines the information required by
Equations 6-14 and 6-15.
The horizontal force, P, must be greater than the
maximum force of friction to cause motion.
∑
N
i =1
x i Ai 116.64 in.3
X = = = 3.24 in. ≈ 3.2 in.
P > 589 N
∑
N
Ai 36.00 in.2
i =1
(Eq. 6-14)
6.8 CENTROID AND CENTER OF GRAVITY
∑
N
A centroid is the geometric center of a line, area, yi Ai 90.64 in.3
i =1
or volume. When working with objects having a Y = = = 2.52 in. ≈ 2.5 in.
∑
N
Ai 36.00 in.2
uniformly distributed mass, also known as being i =1
homogeneous, the center of mass and center of
(Eq. 6-15)
gravity coincide with the centroid. The center
of gravity is the location where all the mass in Figure 6-16 illustrates the centroid coordi-
an object can be considered to be concentrated. nates of the composite shape.
55
Fundamentals of Manufacturing Chapter 6: Statics
BIBLIOGRAPHY
Hibbeler, R. C. 2007. Engineering Mechanics: Statics,
Eleventh Edition. Upper Saddle River, NJ: Prentice-
Hall, Inc.
Spiegel, Leonard and George Limbrunner. 2009. Ap-
plied Statics and Strength of Materials, Fifth Edition.
Upper Saddle River, NJ: Prentice-Hall, Inc.
7
DYNAMICS
W
m= Eq. 7-15
g
where:
W = weight, lb
g = gravitational acceleration, 32.2 ft/s2
Example 7.3.1. Find the acceleration of the
block shown in Figure 7-2. The coefficient of
#['¨]
Solution. The 200 N applied force can be sepa-
rated into horizontal and vertical components and
then the forces can be summed in each direction.
['
#[']
N = normal force = 558.9 N 1
KE = mv2 Eq. 7-17
FF = frictional force = (0.3)(558.9N) 2
FF = 167.7 N where:
Summing the horizontal forces produces the net KE = kinetic energy, ft-lb (J)
horizontal force causing the block to accelerate. m = mass, slug (kg)
v = velocity, ft/s (m/s)
¤Fx = Fx – FF
For a body in angular motion, kinetic energy
where: is given by:
Fx = horizontal component of applied force
= 187.9N 1 2
KE = Iω Eq. 7-18
FF = frictional force = 167.7N 2
64
Fundamentals of Manufacturing Chapter 7: Dynamics
REVIEW QUESTIONS
7.1) An object is moving with an initial velocity
of 30 m/s. If it is decelerating at 5 m/s2, how far
will it travel before it stops?
7.2) A particle is shot straight up with an initial
velocity of 50 m/s. After how many seconds will
it return if the drag is neglected?
7.3) A gear at rest is accelerated at 6 rad/s2.
How many times will the gear revolve in 10
seconds?
7.4) A 1.5-ft-long lever is hinged at one end
and is rotating at 0.5 rad/s. It is accelerating at
1 rad/s2. How many seconds will it take for the
free end to reach 10 ft/s?
7.5) What is the kinetic energy of an 8-lb bowl-
ing ball traveling at 300 ft/min?
7.6) A weight, W, will cause a spring to deflect 1
in. if it rests on top of it. If the weight is dropped
from a height of 10 in. above the free position
of the spring, how much will the spring deflect?
BIBLIOGRAPHY
Hibbeler, R. C. 2010. Engineering Mechanics: Dynamics,
12th Edition. Upper Saddle River, NJ: Prentice-Hall, Inc.
8
STRENGTH OF MATERIALS
Fundamentals of Manufacturing 67
68
Fundamentals of Manufacturing Chapter 8: Strength of Materials
where: where:
P = external load, lb (N) ] '#'# [# {2 (Pa)
A = cross-sectional area perpendicular to the E = material constant called Young’s modulus
load, in.2 (m2) or modulus of elasticity, lb/in.2 (Pa)
] '# '# '[ [#{
Stress has units of force per unit area. Com-
(m/m)
mon stress units are psi (an abbreviation for
pounds per square inch) and the Pascal or Pa The component will return to its original
(defined as one Newton per square meter). Since undeformed shape if the load is removed in the
the Pascal and the psi are relatively small, stress elastic range. Clearly, most mechanical design is
also can be expressed in thousands of psi (ksi) done within the elastic range of materials. As the
and megapascals (MPa). material continues to deform under increasing
applied load, the elastic behavior will cease and
the material will take on a permanent set if the
8.2 AXIAL LOADING load is released. This phenomenon is known as
If the specimen shown in Figure 8-1 is sub- plastic deformation. The stress corresponding
jected to a tensile test, an increasing axial force to the transition from the elastic region to the
will be applied and the resulting deformation plastic region is called the yield strengthy). For
recorded. This data is transformed into stress consistent test results, the yield point is defined
and strain and plotted to depict important as where a line drawn parallel to the elastic
material properties characterizing the strength region with a 0.2% strain offset intersects the
of the material. A typical stress/strain curve stress/strain curve. The transition point between
resulting from a tensile test of a ductile mate- the elastic and plastic regions is also called the
rial (capable of withstanding significant strain proportional limit.
prior to fracture) is shown in Figure 8-2. Steel, Table 8-1 shows a sample of material proper-
aluminum, and brass are some examples of ties that can be collected from a tensile test for
ductile materials. various materials.
As the force is initially applied, the stress The definitions of stress and strain can be
increases proportionally with strain. If the combined to derive a useful equation for the
material is a linear elastic material, stress and amount of elongation that occurs in a tensile
strain in the elastic range will be related by member when axially loaded in the elastic region:
Hooke’s Law: PL
ΔL = Eq. 8-4
] E Eq. 8-3 AE
where:
¥L = amount of elongation, in. (m)
P = external load, lb (N)
L = original length, in. (m)
A = original cross-sectional area, in.2 (m2)
E = Young’s modulus or modulus of elasticity,
lb/in.2 (Pa)
One form of factor of safety in the design of a
component is the ratio of the yield stress to the
allowable stress:
σy
FS = Eq. 8-5
σa
where:
FS = factor of safety
y = yield strength
Figure 8-2. Stress-strain diagram for a ductile material. a = allowable stress
69
Fundamentals of Manufacturing Chapter 8: Strength of Materials
lb 2, 000 lb 8, 000 lb
18, 000 = =
in.2 πd2 πd2
4
8, 000 lb
d =
2
⎛ lb ⎞
π ⎜18,000 2 ⎟
⎝ in. ⎠
8, 000 lb
d=
⎛ lb ⎞
π ⎜18,000 2 ⎟
⎝ in. ⎠
d = .376 in.
The elongation can be readily found since the fac-
tor of safety assures loading in the elastic range:
PL
ΔL = (Eq. 8-4)
AE Figure 8-4. Shaft loaded in torsion.
where:
¥L = elongation of wire
P = external load = tension in wire = T = ¯ ] G Eq. 8-6
2,000 lb
L = original length of wire where:
G = modulus of rigidity, lb/in.2 (Pa)
L cos 30 = 10 ft
12 in. The maximum shear stress in the shaft occurs
10 ft × at the surface and is given by:
10 ft ft = 138.6 in.
L= =
cos 30 cos 30 Tr
A = cross-sectional length of wire = τm = Eq. 8-7
J
π d 2 π(.376 in.)2 where:
= = .111 in.2
4 4 ¯m = maximum shear stress, lb/in.2 (Pa)
E = modulus of elasticity for steel = 30 T = applied torque, in-lb (N-m)
× 106 psi (from Table 8-1) r = radius of the shaft, in. (m)
(2, 000 lb)(138.6 in.)
J = polar moment of inertia, in.4 (m4)
ΔL = = .083 in.
⎛ lb ⎞ The polar moment of inertia for a circular
(.111 in.2 ) ⎜ 30 × 106 ⎟
⎝ in.2 ⎠ cross-section is given by:
TL
θ= Eq. 8-10
JG
where:
T = applied torque, in.-lb (N-m)
L = length of shaft, in. (m)
J = polar moment of inertia, in.4 (m4)
G = modulus of rigidity, lb/in.2 (Pa)
BIBLIOGRAPHY
Spiegel, Leonard and George Limbrunner. 2009. Ap-
plied Statics and Strength of Materials, Fifth Edition.
Upper Saddle River, NJ: Prentice-Hall, Inc.
9
THERMODYNAMICS AND HEAT TRANSFER
The thermal properties of matter are con- removing the kinetic energy necessary for a gas
trolled by temperature. Temperature is a mea- to create a pressure against a surface.
sure of the tendency of an object to absorb or The United States Customary System scale for
dissipate energy in the form of heat. It is also a absolute temperature is Rankine, TR, defined as:
measure of the kinetic energy of the atoms and
molecules that make up a solid, liquid, or gas. TR = TF + 460 Eq. 9-2
The metric scale for absolute temperature is
Kelvin, TK, which is defined as:
9.1 TEMPERATURE CONVERSIONS
There are several scales commonly used for TK = TC + 273 Eq. 9-3
measuring temperature. Temperature mea-
surements can be relative or absolute. Relative 9.2 THERMAL EXPANSION
measurements of temperature are referenced to The dimensions of most solid materials will ex-
a physical phenomenon, typically the freezing pand and contract with increasing and decreas-
point of water. Temperature in the Fahrenheit ing temperatures. Increasing the temperature of
scale, TF (one of the United States Customary an object increases the motion of the atoms in
System [USCS] units), is related to the Celsius
scale, TC (one of the metric or Systeme Interna-
tional [SI] units), by the equation:
5
TC = (T − 32) Eq. 9-1
9 F
Absolute temperatures are referenced to the
minimum achievable temperature, absolute
zero. The value of absolute zero can be found by
a simple experiment where a closed volume of
gas is reduced in temperature. The pressure in
the closed volume will drop with decreasing tem-
perature. Absolute zero is the temperature found
if the pressure-temperature curve is extrapolated
to a pressure of zero. This temperature is a single
value, independent of the gas used, as shown in
Figure 9-1. At this temperature (approximately
–460° F or –273° C) all atomic motion ceases, Figure 9-1. Determining the value of absolute zero.
Fundamentals of Manufacturing 73
74
Fundamentals of Manufacturing Chapter 9: Thermodynamics and Heat Transfer
the object, causing increased atomic separation Table 9-1. Coefficients of expansion
and object growth as depicted in Figure 9-2. Material ¬ (1/° C)
The change in a linear dimension, such as
Glass 9 × 10–6
length or diameter, is proportional to the change
[ " #[# '
[Y '³ [ ¥T, its original Concrete 10 × 10–6
length L{[Y '
['
"'{¬XY Iron 12 × 10–6
Y [Y¥L can be found as: Brass 19 × 10–6
Aluminum 25 × 10–6
¥L ] ¬L¥T Eq. 9-4
['
"']²–6 1/° C
are shown in Table 9-1. They are based on a
D = original diameter = 2.000 in.
particular temperature scale. Conversion of
¥T = change in temperature
temperatures into the appropriate scale is nec-
essary to apply them. To use the values in Table 9-1, the tempera-
The expansion and contraction of materials tures must be converted to Celsius.
with temperature is useful for making shrink
5
fits between parts. In addition, two strips of TF = (300 − 32) (by Eq. 9-1)
metal with dissimilar coefficients are bonded 9
together to create the bimetal strips widely used = 148.9° C
in thermostats. A bimetal strip will bend with
5
a large deflection under a relatively small tem- Ti = (70 − 32) (by Eq. 9-1)
perature change. 9
= 21.1° C
¥T = TF – Ti = 148.9° C – 21.1° C = 127.8° C
¥D ] ²–6/° C)(2.000 in.)(127.8° C)
¥D = .005 in.
Thus, the new diameter is 2.005 in.
Heat, Q, added into a system, IN, is positive. two quantities of heat can be captured as useful
Heat leaving a system, OUT, is negative. Work, work, WOUT, as illustrated in Figure 9-4a.
W, performed on a system, IN, is negative;
work performed by a system, OUT, is positive. WOUT = QH – QL Eq. 9-8
The consequences of the first law can be il- A quantity of heat, QL, can be extracted from
lustrated by a quantity of gas contained in a a cold object and through the action of the input
cylinder with a perfectly sealing piston as shown of work, a larger quantity of heat, QH, is dissi-
in Figure 9-3. In Figure 9-3a, work is done on pated to the surroundings. The quantity of work,
the system as the piston is being forced down. WIN, required to move the heat is given by:
This work input can result in an increase in the
[ # #! '
[Y { ¥U (as evidenced WIN = QH – QL Eq. 9-9
by an increase in temperature) and/or heat, Q, A refrigerator operates under these condi-
being transferred out of the cylinder. If the cyl- tions, requiring work input to move heat from
inder is insulated and no heat transfer occurs, the interior of the refrigerator to the surround-
all of the work input will result in raising the ings as shown in Figure 9-4b.
internal energy of the gas, causing a rise in its
temperature and pressure. A smaller change in 9.5 HEAT TRANSFER
internal energy will occur if heat exchange to
the surroundings occurs. In Figure 9-3b, heat is Heat can be transferred between two objects
added to the system from the surroundings. The in three modes: conduction, convection, and
heat will cause the gas to expand, doing work radiation. Heat will spontaneously flow from a
by raising the piston. If the piston is prevented hot object to a cold object through one or more
from being raised, all of the heat input will of these modes.
result in a change in the internal energy of the Heat conduction describes the transfer of
gas, causing a rise in temperature and pressure. energy from a high-temperature region to a
The second law of thermodynamics describes low-temperature region through a solid object as
the relationship of work and heat. One conse- shown in Figure 9-5, or a stationary fluid. The
quence of the second law is that heat flows spon- rate of energy transfer is dependent on the area
taneously from a hot object to a cold object and of conduction, A, the temperature difference be-
not vice versa. Work must be done to transfer [| [Y Y'['# '{¥T = T1 – T2, the
heat from a cold object to a hot object. A quan- [Y '
[Y [ #{´x, and the thermal
tity of heat, QH, may be extracted from a hot conductivity, k, of the material. Large values of
object at temperature TH, and a lesser quantity k indicate good heat conductors and conversely
of heat, QL, will be dissipated into a correspond- small values indicate poor heat conductors.
ing cold object at TL. The difference between the
Figure 9-3. The first law of thermodynamics. Figure 9-4. Thermodynamic cycles.
77
Fundamentals of Manufacturing Chapter 9: Thermodynamics and Heat Transfer
BIBLIOGRAPHY
Moran, Michael J., Howard N. Shapiro, Daisie D.
Boettner, and Margaret B. Bailey. 2011. Fundamen-
tals of Engineering Thermodynamics, 7th Edition.
New York: John Wiley & Sons, Inc.
1 where:
v= Eq. 10-2 Pabs = absolute pressure
ρ
Patm = atmospheric pressure, at sea level
Specific weight, , is the force of gravity on =14.7 psi (101.3 kPa). Atmospheric
a mass per unit volume. pressure also can be expressed in atmo-
spheres (atm), bars, millibars, inches
= Ug Eq. 10-3
of mercury, or millimeters of mercury.
Specific gravity, Sg, is the ratio of the den- Pgage = gage pressure
sity of a substance to the density of water.
ρ
Sg = Eq. 10-4
ρW
Specific gravity also can be defined as the
ratio of the specific weight of a substance
to the specific weight of water.
γ
Sg = Eq. 10-5
γW
Fundamentals of Manufacturing 79
80
Fundamentals of Manufacturing Chapter 10: Fluid Power
p2
81.55 m+ = 616.72 m
9, 810 N/m3
p2 = 9, 810 N/m3 (616.72 m − 81.55 m )
p2 = 5.3 × 106 Pa
REVIEW QUESTIONS
10.1) The ratio of the density of substance to
the density of water is known as ____________.
10.2) Atmospheric pressure at sea level is ap-
proximately 14.7 psi. A vacuum pump is rated at
drawing a 10-psi vacuum. What is the absolute
pressure created by the vacuum pump?
10.3) A cylinder with an area of 4 in.2 raises a
load of 1,000 lb using fluid supplied by a single-
acting hand pump with a cylinder area of .250
in.2. Find the force exerted on the pump by the
operator.
10.4) Water is flowing at a rate of 5 m/s through
a 500-mm-diameter pipe. The pipe reduces in
diameter to 400 mm. Find the velocity of the
water in the reduced section of the pipe.
10.5) What water pressure is needed to pump
water up to the top of a 100 m tall building?
Assume the water pressure at the top of the
building is zero.
11
CHEMISTRY
LIQUIDS
Liquids are substances that have no definite
shape, but do have a definite volume. In contrast
to a gas, the volume of a liquid does not change
much with changes in temperature and pressure.
In fact, many liquids are considered incompress-
ible, because even large changes in pressure cause
negligible changes in volume. When liquids mix
they may form a solution if they are miscible.
If the liquids are immiscible, such as oil and
Figure 11-1. Phase diagram. water, they will form a heterogeneous mixture.
Fundamentals of Manufacturing 85
86
Fundamentals of Manufacturing Chapter 11: Chemistry
Carbon-14 is used in a well-known process for with high melting temperatures due to strong
dating artifacts that were once living, such as ionic bonding. Ionic compounds are typically
bone. Based on measuring the radiation emitted hard and brittle, and form an electrolyte if dis-
from the artifact and knowing the half-life of car- solved in water. Examples of ionic compounds
bon-14, the age of an artifact can be determined include sodium chloride (NaCl), sodium hydrox-
by carbon dating. ide (NaOH), and iron sulfate (FeSO4).
When two elements need electrons to com-
11.4 PERIODIC TABLE plete their outer shells (8 electrons), they form
a covalent compound by sharing electrons.
The periodic table shown in Figure 11-2 con-
Covalent compounds, also known as molecular
tains all of the known elements as of the printing
compounds, are generally combinations of non-
of this book. As new elements are discovered or
metals. Due to the weaker interactions between
produced, the table is updated.
covalent compounds, these compounds are
Elements in each column are called a family
softer, have a lower melting temperature, and
or group. The rows are called periods. Similar
are less electrically conductive than ionic com-
physical and chemical properties typically char-
pounds. At room temperature and atmospheric
acterize elements in the same group. Elements
pressure they also could be a liquid or gas. Water
toward the left on the periodic table are metals,
(H2O) is one example of a molecular compound.
with the exception of hydrogen. Those toward
the right are nonmetals. Organic compounds are typically covalent
Noble or inert gases such as helium, neon, compounds comprised of carbon and other ele-
argon, krypton, xenon, and radon are in the last ments such as (but not limited to) hydrogen,
group of the periodic table. Inert gases have a nitrogen, and oxygen. Figure 11-4 illustrates
low likelihood of reacting with other elements. some common organic compounds. Other ex-
The elements in the periodic table can be amples of organic compounds include methane
grouped into three main categories: metals, non- (CH4), ethanol (C2H5OH), and propane (C3H8).
metals, and metalloids. Metals typically exhibit
luster, malleability, good electrical and thermal 11.6 ACIDS AND BASES
conductivity, and are solid at room tempera- Acids and bases are an integral part of life,
ture, with the exception of mercury. Nonmetals from food and household cleaning products to
generally have properties opposite to those of batteries and manufacturing processes. Ac-
metals. They are typically dull, brittle, have low cording to the Bronsted-Lowry definition, acids
electrical and thermal conductivity, and can be are substances containing hydrogen that can
gases or solids at room temperature. Metalloids, release H+ ions in solution. Bases or alkalis
also known as semi-metals, exhibit properties are substances that can accept H+ ions. Other
of both metals and nonmetals. Examples are definitions for acids, such as those by Arrhe-
boron, silicon, germanium, arsenic, antimony, nius and Lewis, can be found in most general
tin, tellurium, and polonium. chemistry books.
More detailed information regarding the
periodic table can be found in most general
chemistry textbooks.
The measure of the strength of an acid or base Table 11-1. Common acids
solution is known as its pH. The pH value is Acid Chemical Formula
essentially a measure of the concentration of H+
Hydrochloric HCl
ions. Ranging from 0 to 14, the scale is base-10
logarithmic: 0 represents the strongest acid, 7 Hydrofluoric HF
is neutral, and 14 represents the strongest base. Nitric HNO3
Figure 11-5 shows the approximate pH values Sulfuric H2SO4
of some common substances. It is important to
Citric C6H8O7
note that strong acids in the 0–2 range, such as
hydrochloric acid and battery acid, can be dan-
gerous when handled improperly. The same is
true for very strong alkaline solutions, such as tant is added to the solution in precise increments
bleach and lye, in the 12–14 range. Table 11-1 through a buret. As the second reactant is added
lists some common acids and their respective to the solution the pH is monitored with a test
chemical formulas. indicator. When the solution is neutralized, the
An analytical technique using acids and bases concentration of the first reactant can be deter-
is called titration. It is the process of determining mined by how much of the second reactant was
the concentration of a known reactant in a solu- added to neutralize the solution.
tion. To accomplish this, a second, known reac-
11.7 NANOTECHNOLOGY (NATIONAL NANOTECHNOLOGY
INITIATIVE 2010)
Nanotechnology is the study and application
of matter between the approximate size of 1 nm
to 100 nm. A nanometer (nm) is one-billionth of
a meter. For scale purposes, a sheet of paper is
approximately 100,000 nm thick.
Nanotechnology as we now know it began
about 20 years ago, when science and engineer-
ing extended into the nanoscale from both above
and below. Around the turn of the millennium,
research managers in the U.S. and other coun-
tries observed that physicists, biologists, chem-
ists, electrical engineers, optical engineers, and
materials scientists were working on interlocking
issues at the nanoscale. Realizing that these re-
searchers could benefit from each other’s insights,
they set up a coordinated program called the U.S.
National Nanotechnology Initiative (NNI).
NANOMATERIALS
In general, materials have different prop-
erties at the nanoscale. Some are better at
conducting electricity or heat; some are stron-
ger; some have different magnetic properties;
and some reflect light better or change colors
as their size is changed. Nanoscale materials
generally have larger surface areas than similar
volumes of larger-scale materials, meaning that
more surface is available for interactions with
Figure 11-5. The pH scale. other materials around them.
90
Fundamentals of Manufacturing Chapter 11: Chemistry
The term nanomaterials refers to all nanosized Nanoceramics are used in some dental im-
materials, including engineered nanoparticles, plants, or to fill holes in bones after remov-
incidental nanoparticles, and other nano-objects, ing a bone tumor, because their mechanical
like those that exist in nature. Engineered and chemical properties can be tuned to
nanoparticles are purposefully manufactured match those of the surrounding tissue.
with nanoscale dimensions. Incidental nanopar- Almost all electronic devices manufactured
ticles can occur as a byproduct of combustion, in the last decade use some nanomaterials.
industrial manufacturing, and other human Nanotechnology is used much more exten-
activities, or as the result of natural processes, sively to build new transistor structures
such as erosion. and interconnects for the fastest, most
Nanomaterials can be grouped based on their advanced computing chips.
individual shapes and dimensions. These are Nanotechnology is already being used in
particles, tubes, and films that have at least one new batteries, and nanostructured materi-
nanosized dimension. Nanoparticles are bits of als look to greatly improve hydrogen stor-
a material in which all three dimensions of the age materials and catalysts needed to real-
particle are within the nanoscale. Nanotubes, ize fuel cells for alternative transportation.
such as single-wall carbon nanotubes (SWNT)
or multi-wall carbon nanotubes (MWNT) have
a diameter that is nanosize, but can be several REVIEW QUESTIONS
hundred nanometers (nm) long. Nanofilms or 11.1) What are the three states of matter?
nanoplates have a thickness that is nanosize, 11.2) Define the term “liquid.”
but their other two dimensions can be quite 11.3) In what type of mixture are two fluids
large. miscible?
11.4) How many pure substances can an ele-
NANOTECHNOLOGY APPLICATIONS
ment be divided into?
Nanotechnology is used in many commercial
11.5) How many neutrons are in boron-11?
products and processes.
11.6) How many times more acidic is a solution
Nanomaterials add strength to composite with a pH of 5 as opposed to one with a pH of 6?
materials used to make lightweight tennis
11.7) What type of nanoparticles occur as by-
rackets, baseball bats, and bicycles.
products of a process or other activity?
Nanostructured catalysts are used to make
chemical manufacturing processes more ef-
ficient, saving energy and reducing waste REFERENCES
products. International Union of Pure and Applied Chemistry
A few pharmaceutical products have been (IUPAC). 2007. “Periodic Table of the Elements,”
reformulated with nanosized particles to Figure 11-2. Research Triangle Park, NC: IUPAC,
improve their absorption and make them http://www.iupac.org/reports/periodic_table.
easier to administer.
National Nanotechnology Initiative. 2010. http://
Different nanoscale materials can be used www.nano.gov/html/facts/faqs.html.
in thin films to make them water-repellent,
anti-reflective, self-cleaning, ultraviolet or National Nanotechnology Initiative. 2010. “Nano-
infrared resistant, antifog, anti-microbial, technology, Big Things from a Tiny World.” http://
stain resistant, scratch resistant, or electri- www.nano.gov/Nanotechnology_BigThingsfromaT-
inyWorld-print.pdf.
cally conductive.
Several companies make nanostructured
products using space-saving insulators BIBLIOGRAPHY
that are useful when size and weight is at Brown, Theodore E., H. Eugen, H. LeMay, Bruce E.
a premium—for example, when insulating Bursten, Catherine Murphy, and Patrick Woodward.
long pipelines in remote places or an old 2008. Chemistry, the Central Science, 11th Edition.
house to reduce heat loss. Upper Saddle River, NJ: Prentice-Hall, Inc.
Part 3
Materials
12
MATERIAL PROPERTIES
12.1 MATERIAL TESTING AGENCIES such as physical properties that are not directly
Any discussion of material properties relies on an ability to withstand a mechanical force, and
methods to determine these properties. Although mechanical properties. A list of physical proper-
numerous agencies create and publish standards ties is shown in Table 12-1.
for testing, two of the most important agencies are
the International Organization for Standardiza- 12.3 MECHANICAL PROPERTIES
tion (ISO) and the American Society for Testing In contrast to physical properties, mechanical
and Materials (ASTM). The ISO, which includes properties indicate the way a material reacts
standards organizations from over 90 countries, when acted upon by a mechanical force. Table
has as its goal to create a framework for the 12-2 defines a variety of mechanical properties.
international exchange of goods and services
through the development of standards. ASTM, 12.4 MECHANICAL TESTING METHODS
an international technical society, is focused on
There are many tests used to reveal the
facilitating trade and improving safety and qual-
mechanical properties defined in Table 12-2.
ity through the development of standards.
However, only a few will be selected for thorough
Although there are differences between the
discussion. They are tensile testing, hardness
ISO and ASTM methods, many manufacturing
testing, and fatigue testing.
companies need to utilize both. For example, com-
panies that produce plastics parts for automobiles
conduct tests on the tensile strength of materials Table 12-1. Physical properties
according to ASTM D638 and ISO R527. Both Color
methods specify the sample size, testing environ-
Density
ment, testing procedure, and report format.
Electrical conduction
12.2 PHYSICAL PROPERTIES Magnetism
A distinction between the physical and chemi- Melting temperature
cal properties of substances provides a starting Thermal conduction
point for a discussion of material properties. Thermal expansion
Chemical properties describe how a substance
Specific gravity (ratio of the density of a
forms other substances through a chemical
substance to the density of water)
change or reaction. In contrast, physical proper-
ties do not involve a change in composition. This Specific heat (amount of heat required
to change the temperature of a unit
definition of physical properties is so broad that mass of substance one degree)
it is frequently divided into narrower categories,
Fundamentals of Manufacturing 93
94
Fundamentals of Manufacturing Chapter 12: Material Properties
TENSILE TESTING
The tensile test as specified by the American
Society for Testing and Materials (ASTM) deter-
mines the mechanical properties of materials in
relation to stress and strain. A tensile test will
reveal several mechanical properties that play ma-
jor roles in engineering design: proportional limit,
elastic limit, yield point, yield strength, ultimate
strength, breaking (rupture) strength, modulus of
elasticity, ductility, and toughness.
Proportional Limit
The early part of the stress-strain graph may
be approximated by a straight line OP in both
Figures 12-1 and 12-2. In this range, the stress
and strain are proportional; thus any increase
in stress results in a proportionate increase in
strain. The stress at the limit of proportional- Figure 12-2. Stress-strain diagram for brittle material.
ity (point P) is known as the proportional limit.
to which a material can be subjected without
Elastic Limit permanent deformation is known as its elastic
If a small load is applied to a material and limit. For most materials, the numerical value
then removed, that material will indicate zero of the elastic limit and proportional limit are
deformation. This means the strain is elastic. nearly the same.
If the load is increased enough, a point will
be reached where the material experiences Yield Point
permanent deformation. The maximum stress Point Y in Figure 12-1 represents the yield
point of a ductile material. The yield point can be
defined as the point at which permanent defor-
mation continues without an increase in stress.
In some ductile materials, the stress (load) may
actually decrease momentarily, resulting in an
upper and lower yield point.
Yield Strength
Most nonferrous materials and high-strength
steels do not possess a well-defined yield point.
Therefore, the yield strength must be deter-
mined by the offset method. The yield strength
is the stress at which a material exhibits a speci-
fied amount of permanent deformation. Figure
12-2 illustrates the offset method. OX is laid off
along the strain axis; then a line, XW, is drawn
parallel to OP, thus locating Y (yield point). The
offset is generally 0.2% strain or 0.002 strain.
Modulus of Elasticity
The modulus of elasticity (E) is an indication
of the stiffness of a material. The equation for
computing E is:
Stress σ
E= = Eq. 12-1
Strain ε
It is important to remember that E represents
the slope of the curve only in the elastic region
of the stress-strain diagram.
specimen, the tougher it is. Figure 12-4 illustrates Brinell test, a .4 in. (10 mm) diameter steel or
the two types of impact tests, Charpy and Izod, carbide ball is pressed into a material under a
which are based on how the specimen is secured specified load for a specific amount of time. (For
during the test. The Charpy test secures the speci- nonferrous materials, the load is 1,100 lb [500
men as a simply supported beam whereas the Izod kg] for 10 seconds; ferrous materials require
test secures the sample as a cantilever beam. 6,600 lb [3,000 kg] for 10 seconds.) The diameter
of the impression is measured by means of a
HARDNESS TESTING microscope, called a Brinell scope, which con-
tains a scaled ocular. The Brinell scope permits
Brinell Hardness Test estimates to the nearest .0004 in. (0.01 mm).
The Brinell hardness number (BHN) is the ratio A chart, derived from the following equation,
of the load in pounds (kilograms) to the impressed is typically used to find the BHN based on the
area in square inches (square millimeters). In the impression diameter and load used.
L
BHN = Eq. 12-4
( π D 2)( D − D 2 − d 2 )
where:
L = test load, lb (kg)
D = diameter of ball, in. (mm)
d = diameter of impression, in. (mm)
microscope to determine the hardness number, which failure would occur under constant stress.
HV. However, the indenter is diamond shaped By subjecting test specimens to stress cycles
as shown in Figure 12-5a. The Vickers test is and, in turn, counting the number of cycles to
very accurate. It is able to accommodate a wide failure, fatigue properties may be determined.
variety of materials and surface modifications With a series of fatigue tests and when the
using only one indenter. maximum stress values are reduced in a progres-
The Knoop test is a true microhardness test sive manner, S-N diagrams can be plotted. The S
due to the extremely low loads used and be- (fully reversed cyclic stress) is on the vertical axis
cause it can be used on very small or hard and the N (number of cycles to failure) is on the
materials. It uses a diamond-shaped indenter, horizontal axis. A sample S-N diagram is shown
as seen in Figure 12-5b, and applies a load in Figure 12-6. At stress levels below the endur-
typically between .3 oz–2.2 lb (10 g–1 kg). A ance limit, the material, ideally, will not fail due
microscope is used to measure the indentation to fatigue regardless of the number of cycles.
and determine the hardness number, HK. For a material without an endurance limit,
The scleroscope test drops a diamond-tipped standard practice is to specify fatigue strength
hammer on the workpiece surface, and the at a stress value. The stress value corresponds
height of the rebound is measured on a graduat- to the number of stress reversals.
ed scale to determine the hardness number. The The S-N diagram provides an approximation
higher the rebound is, the harder the material. of fatigue resistance; however, it does not always
A durometer measures the hardness of rubber reflect actual service conditions. It assumes fully
and similar materials. It contains a spring-loaded reversed cyclic stress. But in service, load patterns
indenter, which is pressed against the surface of may vary in terms of magnitude and frequency.
the material being measured. The hardness is a Additionally, inherent material flaws and manu-
function of penetration. The model A durometer facturing defects play an important role in fatigue
is used for measuring softer materials and model resistance. As a result, predicting fatigue resis-
D, with a higher load and sharper indenter, is tance is an important but complicated issue.
used for measuring harder materials.
REVIEW QUESTIONS
FATIGUE RESISTANCE 12.1) What are the two most important agencies
If a material is subjected to fluctuation or to a that create and publish standards for material
number of cycles of stress reversal, failure may testing?
occur. This failure may occur even though maxi- 12.2) What properties of a material are revealed
mum stress at any cycle is less than the value at in a tensile test?
REFERENCE
Schrader, George F., and Ahmad K. Elshennawy.
2000. Manufacturing Processes and Materials, Fourth
Edition. Dearborn, MI: Society of Manufacturing
Engineers.
BIBLIOGRAPHY
Black, JT and Ronald A. Kohser. 2007. DeGarmo’s
Materials and Processes in Manufacturing, 10th Edi-
tion. New York: John Wiley and Sons.
Society of Manufacturing Engineers. 2007. “Mechani-
cal and Non-destructive Testing” DVD. Fundamental
Manufacturing Processes Video Series. Dearborn, MI:
Society of Manufacturing Engineers.
13
METALS
smaller grains provide higher strength and hard- the metals change, phase diagrams present the
ness and a better surface finish on formed products. results of many cooling curves at once.
An alloy or mixture of metals solidifies over a
13.2 PHASE DIAGRAMS range of temperatures based on its composition.
As an alloy is cooled, the mixture will begin to
The phase diagram is a tool for understanding
solidify at the liquidus temperature. It completes
the phase changes of a metal. Pure metals have
solidification at the solidus temperature as shown
a clearly defined melting point. Solidification or
in Figure 13-5. The mixtures will be in a slush
“freezing” occurs at a constant temperature. As
state when they are cooling from the liquidus to
a pure liquid metal is cooled, its temperature
solidus temperatures. The material illustrated in
drops to the solidification temperature and stays
Figure 13-5 is an example of a binary alloy (two
there until all of the liquid has solidified. Figure
components). This particular example is an alloy
13-3 is a cooling curve typical of a pure metal. If
made of components that exhibit complete solid
two miscible metals with differing melting points
solubility. Solid solubility refers to a condition in
are melted and mixed together, the resulting
cooling curve, as indicated in Figure 13-4, will which two metals are each completely soluble
show solidification beginning at one temperature in the other while in the solid state.
and ending at a differing temperature. Since the Other binary alloys can have different phase
cooling curves for mixtures of metals or alloys diagrams where single phases of solid solutions
often differ dramatically as the percentages of can occur. Solid solutions can be visualized as
a uniform distribution of two types of crystal-
line structures. A solid solution has all of the
macroscopic properties of a solid. However, it is
composed of two different internal arrangements
of atoms in the form of crystals. Figure 13-6
shows a phase diagram for an alloy that exhibits
a eutectic point. A eutectic alloy is a particular
ratio of the two components, which provides the
lowest melting temperature. Some solder alloys
make use of this characteristic.
Figure 13-4. Cooling curve of an alloy. Figure 13-5. Phase diagram of an alloy.
103
Fundamentals of Manufacturing Chapter 13: Metals
SOLID PHASES
Figure 13-6. Phase diagram of an alloy with a eutectic There are three solid phases of the iron-
point. carbon system important to understanding the
metallurgy of iron and steel. They are ferrite, ductile at elevated temperatures and exhibits
austenite, and cementite. good formability. Steel can be austenitized or
transformed into a homogeneous structure of
austenite by elevating its temperature accord-
Ferrite
ing to the iron-carbon phase diagram. This is
Ferrite{'#¬#'{'
[ [ '! the usual starting point for virtually all heat-
centered-cubic phase of iron. The solid solution treatment processes.
contains only about 0.008% carbon at room
temperature and a maximum of 0.022% carbon Cementite
at 1,341° F (727° C). It is the softest structure
Cementite is iron carbide (Fe3C) and contains
formed in the iron-carbon system. The typical
up to 6.67% carbon by weight. The structure of
hardness is approximately 80 BHN.
cementite is very hard and brittle and can have
a significant influence on the properties of steels.
Austenite
Austenite or Ǫ-iron is a solid solution contain- 13.4 MICROSTRUCTURES OF STEEL
ing up to 2.11% carbon at 2,098° F (1,148° C). The region of the iron-carbon diagram for steels
Austenite is a face-centered-cubic phase. It is is shown in Figure 13-8. Various microstructures
2. Air cooling—medium pearlite (pure form: steel with 0.4% carbon? Estimate the hardness
29 Rockwell C or 280 BHN). after austenitizing and oil quenching.
3. Oil quench—fine pearlite (pure form: 41 Solution. From Figure 13-8, the sample is
Rockwell C or 380 BHN). completely austenitized at approximately
1,480° F (800° C). The hardness can be found
Unless a steel is a eutectoid composition, the
using Equation 13-1:
pearlite is mixed with ferrite (pure form: 80
BHN) or cementite (pure form: 1,000 BHN). The ⎛ (0.77 − %C ) ⎞ ⎛ %C ⎞
H = HF ⎜ ⎟⎠ + H P ⎜⎝ 0.77 ⎟⎠
mix between ferrite/cementite and pearlite in a ⎝ 0.77
plain carbon steel can provide an estimate of the
steel’s hardness. The following equation can be where:
applied to estimate the hardness of a hypoeutec- H = Brinell hardness number (BHN)
toid plain carbon steel after heat treatment based HF = 80 BHN for ferrite
on carbon content and type of cooling process: HP = 380 BHN for oil quench (fine pearlite)
%C = 0.4
⎛ 0.77 − %C ⎞ ⎛ %C ⎞ ⎛ (0.77 − 0.4 ) ⎞ ⎛ 0 .4 ⎞
H = HF ⎜ + HP ⎜ Eq. 13-1
⎝ 0.77 ⎟⎠ ⎝ 0.77 ⎟⎠ H = 80 ⎜
⎝ 0.77 ⎟⎠ + 380 ⎜⎝ 0.77 ⎟⎠
where: H = 236 BHN
H = Brinell hardness number (BHN)
HF = BHN for ferrite Example 13.4.2. Estimate the tensile strength
HP = BHN for the particular type of pearlite of plain carbon steel with 0.2% carbon after
formed austenitizing and air cooling.
%C = percentage of carbon Solution. The tensile strength can be estimated
based on the BHN, which can be found from
The tensile strength of a plain carbon steel Equation 13-1:
can be estimated by:
⎛ (0.77 − %C ) ⎞ ⎛ %C ⎞
UT = 500 × BHN Eq. 13-2 H = HF ⎜ ⎟ + HP ⎜
⎝ 0.77 ⎠ ⎝ 0.77 ⎟⎠
where:
UT = ultimate tensile strength, psi where:
BHN = BHN of steel H = Brinell hardness number (BHN)
HF = 80 BHN for ferrite
Other microstructures include martensite, HP = 280 BHN for air cooling (medium pearlite)
spheroidite, and bainite. If a hypereutectoid or %C = 0.2
hypoeutectoid steel is rapidly quenched from the
austenite region below approximately 400° F ⎛ (0.77 − 0.2) ⎞ ⎛ 0 .2 ⎞
H = 80 ⎜ ⎟ + 280 ⎜
(204° C), the austenite will transform into a hard ⎝ 0.77 ⎠ ⎝ 0.77 ⎟⎠
needle-like structure called martensite, which H = 132 BHN
is harder than fine pearlite. If steel is cooled
slowly from the austenite region and then held The tensile strength is estimated by Equation 13-2:
for a period of time at around 1,300° F (704° C), UT = 500 × BHN
iron carbide will disperse in the ferrite as small = 500 × 132
spheres, known as spheroidite, as opposed to = 66,000 psi
lamellar plates. Steel that is not fully quenched
but cooled quickly and held at a temperature 13.5 HEAT-TREATMENT PROCESSES
just above 450° F (232° C) for a period of time
Heat treatment may be defined as any process
forms bainite. Bainite is an intermediate struc-
whereby metals are better adapted to desired con-
ture between martensite and fine pearlite and
ditions or properties, in predictably varying de-
contains fine particles of iron carbide mixed in
grees, by means of controlled heating and cooling
ferrite (Schrader and Elshennawy 2000).
in their solid state. Such treatment can be applied
Example 13.4.1. What temperature is needed to to a variety of metals: iron, steel, aluminum,
completely austenitize a sample of plain carbon copper, and numerous others. However, because
107
Fundamentals of Manufacturing Chapter 13: Metals
of the versatility and broad use of ferrous alloys The cooling rate also affects the resulting
in industry, the treatments applied to steel are hardness. Generally, the faster the cooling rate,
the most widely used. the higher the hardness. In practical terms, the
Temperatures for heat treatment usually range key to rapid cooling is the medium used for
from room temperature to 2,350° F (1,287° C) but quenching. The relative severity of quenching
can be as low as –324° F (–198° C). Heat treatment for different media is defined in Table 13-1.
may be employed to improve tensile strength, duc- From the table, agitated brine can cool a sample
tility, toughness, wear resistance, machinability, 250 times faster than still air. It is also possible
formability, bending quality, corrosion resistance, to cryogenically treat steel after quenching.
magnetic properties, and other properties. Placing the steel in temperatures around –100°
The major heat-treatment processes can be F (–73° C) and below can transform any
grouped into two categories, hardening and an- retained austenite into martensite. This
nealing (softening). process, in some cases, can increase the overall
wear resistance of the steel.
Hardenability, the degree and depth of
HARDENING hardness possible, depends on composition
If steel is heated to the 100% austenite range, and cooling rate. Hardenability data for alloys
then hardening generally requires two factors: the is determined by the Jominy end-quench test
appropriate metal composition and the cooling as shown in Figure 13-11. A round specimen is
rate of the heated pieces. In the composition, the heated uniformly into the austenite (Ǫ) range
percentage of carbon can determine the great- and then quenched from the bottom. After
est hardness achievable. The higher the carbon reaching room temperature, two opposing flats
content, the higher the achievable hardness. are ground along the length of the bar. Rockwell
Although hardening increases the natural attri- hardness readings are taken along the length of
butes of steel by forming various types of pearl- the bar at evenly spaced intervals and then plot-
ite, it can also create a structure of martensite, ted. A smaller rate of decline in hardness read-
a supersaturated solid solution of carbon and ings from the quenched end indicates higher
iron, which is much harder and more brittle. In hardenability (Schrader and Elshennawy 2000).
pure form, martensite has hardness values up The continuous-cooling-transformation curve
to approximately 62 Rockwell C or 700 BHN. (CCT curve), illustrated in Figure 13-12, shows
It is formed by heating to the austenite phase the relationship between cooling rates and re-
(Ǫ) and water quenching. The carbon atoms are sulting microstructure for 0.77% carbon steel.
trapped in a solid solution of iron before they The broken line labeled A1 at 1,341° F (727° C)
are able to diffuse out of solution. The resultant indicates the start of the austenitic range. Steels
structure is body-centered tetragonal, which is must be heated into this range to become fully
a highly stressed condition. austenite. If cooling occurs rapidly enough, the
A major cause of the stress is that the volume of sample will become martensite and remain mar-
parts increases as much as 4% during martensite tensite at room temperature. In Figure 13-12,
transformation. These expansions, coupled with the region for this is to the left of the line labeled
thermal gradients, result in internal stresses and “critical cooling rate.” If the cooling is less rapid,
can cause quench cracking. Consequently, it is the sample will end up at room temperature as
important that the surface of the material be clean
and completely free of nicks, pits, seams, or tool Table 13-1. Relative severity
marks, because these imperfections can become of quenching for different media
stress risers during the hardening process. In
Relative Severity Quenching Media
addition to cracking, decarburization, the
loss of carbon, can occur if the environment 5 Agitated brine
(such as oxygen) reacts with the steel during 1 Still water
heat treating. Decarburization, if significant, can 0.3 Still oil
noticeably lower the surface hardness and other
0.02 Still air
mechanical properties of steel.
108
Fundamentals of Manufacturing Chapter 13: Metals
Surface Hardening
Surface hardening treatments are used to add
carbon, nitrogen, or both to the surface of steel
parts to provide a hardened layer or case of a
definite depth called case depth. Sometimes called
case hardening, these treatments create a surface
with high wear resistance but maintain a ductile
inner core for impact strength or toughness. The
six principal methods of case hardening are car-
burizing, cyaniding, nitriding, flame hardening,
laser beam hardening, and induction hardening.
Carburizing. The oldest and one of the least
expensive methods of case hardening, carbu-
rizing consists of placing a low-carbon steel,
usually about 0.2% carbon or lower, in contact
with substantial amounts of carbon. The usual
carburizing temperature is 1,700° F (927° C).
At that temperature, carbon is completely dis-
Figure 13-11. Jominy end-quench test (Schrader and solved into the austenite. Next, the carburized
Elshennawy 2000). parts are typically quenched to produce a hard
and wear-resistant case.
a combination of martensite and pearlite or just Commercial carburizing may be accomplished
pearlite depending on the cooling rate. by pack carburizing, gas carburizing, or liquid
carburizing. In pack carburizing, the work is sur-
rounded by a carburizing compound (charcoal, for
Martempering
example) in a closed container. With gas carburiz-
Martempering or marquenching begins with ing, the work is placed in contact with gases rich
quenching an austenitized piece of steel in a in carbon monoxide and hydrocarbons, such as
molten salt bath just above the martensite start methane, butane, and propane. Liquid carburiz-
(MS) temperature until its temperature is uni- ing is performed in a bath of molten salt containing
form. Then the piece is cooled in air through the up to 20% sodium cyanide. The cyanide is a source
martensite formation zone as shown in Figure of carbon and nitrogen. The case obtained by this
13-13. Martempering forms martensite with method is composed largely of carbon with only a
less likelihood of cracking and distortion. Mar- small amount of nitrogen.
tempered parts typically require tempering to Cyaniding. Cyaniding consists of immersing
bring their hardness down to the desired level. the steel in a molten bath containing about 30%
sodium cyanide at temperatures between 1,450–
Austempering 1,600° F (788–871° C). It is usually followed by
In austempering, austenitized steel is water quenching. Cyaniding differs from liquid
quenched in a salt bath just above the martens- carburizing in the resulting composition and
ite start (MS) temperature and held there until character of the case. The process creates a high-
the austenite transforms into bainite, as shown nitrogen and low-carbon case, quite the reverse
in Figure 13-13. Austempering produces good of liquid carburizing. It is used mainly where a
hardness and wear resistance with high ductility light case is required.
and toughness without the distortion and risk Nitriding. In nitriding, the part is placed in
of cracking associated with directly quenching an airtight container through which ammonia is
below the MS temperature to form martensite. passed continuously at a temperature between
109
Fundamentals of Manufacturing Chapter 13: Metals
900–1,150° F (482–621° C). Under these condi- Flame hardening. Flame hardening involves
tions, the ammonia partially decomposes into rapidly heating a selected surface area of me-
nitrogen and hydrogen. The nitrogen penetrates dium or high-carbon steel by a gas flame and
the steel surface and combines with iron to form immediately quenching it in water or by air blast.
nitrides. Nitriding produces the hardest surface Laser beam hardening. Laser beam hard-
of the case-hardening processes. However, it is ening has the ability to reach areas not practical-
the most time-consuming process. ly accessible by other methods and can provide
110
Fundamentals of Manufacturing Chapter 13: Metals
There are standard designations for steel al- Due to machining and other manufacturing
loys. The most widely used system in the U.S. operations it is possible for the surface of the
is the AISI-SAE system (American Iron and stainless steel to be contaminated with elements
Steel Institute-Society of Automotive Engi- such as iron. If not removed, these contaminants
neers). The first two digits indicate the major can become sites for corrosion. Removal of the
alloying elements. The last two digits indicate contamination and restoration of the chromium
the percentage of carbon by weight. For example, oxide layer is done by another form of pas-
1020 steel is a plain carbon steel with 0.2% sivation, which uses acid. In this process, the
carbon by weight. The characteristics of the stainless steel is exposed to nitric or citric acid.
AISI-SAE steel series are given in Table 13-3. The acid removes the contaminants and allows a
new layer of protective chromium oxide to form.
13.7 STAINLESS STEELS It is important to remove oil and grease residue
prior to passivating with acid.
Stainless steels are used for applications
There are several types of stainless steels
where corrosion resistance, high strength, and
identified by the AISI three-digit numbering
heat resistance are important. These steels are
system. The significance of the last two digits
characterized by high chromium content. To
varies, but the first digit indicates the series.
impart corrosion resistance, stainless steels
The numbering system is shown in Table 13-4.
need approximately 12% chromium content
The characteristics of stainless steel’s metal-
or higher. They are called stainless because
lurgy are austenitic, ferritic, and martensitic.
a thin, airtight film of chromium oxide forms
on the surface to isolate the metal from cor-
rosion. Because chromium oxidizes rapidly, it AUSTENITIC STEEL
causes a protective film to reappear quickly if Austenitic stainless steels are typically nonmag-
the surface is scratched. This is one method of netic and do not harden by heat treatment. They
passivation, which is the formation of protec- have superior corrosion resistance, due in part to
tive film. their higher nickel content, and are hardened by
113
Fundamentals of Manufacturing Chapter 13: Metals
cold working. Austenitic stainless is the most duc- Table 13-4. Stainless steels
tile type of stainless steel. Typical applications are AISI Number Characteristics
kitchen utensils, fittings, and welded construction.
Chromium-nickel-manganese
2XX composition, non-hardenable,
FERRITIC STEEL austenitic, non-magnetic
The ferritic stainless steels are magnetic Chromium-nickel composition,
and have good corrosion resistance, but they 3XX non-hardenable, austenitic, non-
magnetic
are less ductile than austenitic stainless steels.
They cannot be hardened by heat treatment and Chromium composition,
may contain a small amount of nickel. Typical hardenable, martensitic and
4XX
magnetic or non-hardenable,
applications are nonstructural applications in ferritic and magnetic
corrosive environments.
Chromium composition, heat
5XX
resisting
MARTENSITIC STEEL
The martensitic stainless steels may contain
a small amount of nickel and have a relatively resistant surface with a softer gray iron core
high carbon content compared to the austenitic results from the localized rapid cooling. No free
and ferritic grades. These steels are hardenable graphite is formed upon rapid cooling. Instead,
by heat treatment. They are magnetic and ex- the carbon forms cementite. Limited depths of
hibit high strength, hardness, fatigue resistance, chill are possible due to the physical limitations
and ductility. However, they have only moderate in transferring heat away from the molten metal.
corrosion resistance. Typical applications are
valves, springs, and cutlery. MALLEABLE IRON
Malleable iron is made by heat treating white
13.8 CAST IRON iron. Free graphite is formed by holding the
Cast iron is basically an alloy of iron and car- white iron component at a high temperature.
bon. It contains 2.00–6.67% carbon. The high The resulting product has higher strength,
carbon content tends to make cast iron brittle. ductility, and machinability.
Cast iron cannot be rolled, drawn, or otherwise
worked unless it is done at an elevated tempera- DUCTILE IRON
ture. One important characteristic is its cast- Ductile iron or nodular iron contains carbon in
ability (ease of pouring into complicated shapes). the form of tiny nodules or spheres. The compo-
There are several basic types of cast iron. They sition is similar to gray iron except the addition
are gray, white, malleable, and nodular. The of magnesium or cerium causes the formation of
characteristics are determined by carbon content, spheres of graphite rather than flakes. The nodu-
form, alloy content, and heat treatment. lar structure gives ductile iron good ductility and
high tensile strength.
GRAY IRON
In gray iron, the carbon content is in a free COMPACTED GRAPHITE IRON
state (flakes of graphite). This is the most widely
Compacted graphite iron (CGI), also known
used cast iron due to its machinability and high
as vermicular graphite iron, bridges the gap
shear strength. The graphite is formed by the ad-
between gray iron and ductile iron. For example,
dition of silicon and phosphorus. The free graph-
the tensile strength of compacted graphite iron
ite acts as a lubricant in the machining process.
is higher than gray iron but less than ductile
iron. The damping capacity and thermal con-
WHITE IRON ductivity of compacted graphite iron are higher
White or chilled iron is made by casting gray than ductile iron but not as good as gray iron.
iron against a metal heat sink. A hard, abrasion- The shape of the graphite particles in compacted
114
Fundamentals of Manufacturing Chapter 13: Metals
graphite iron falls between that of the flakes of Table 13-5. Wrought aluminum
gray iron and the spheres of ductile iron. The alloy designations
graphite particles’ shape in CGI is primarily Number Alloy Properties
controlled by alloying elements and production
1XXX Commercially Corrosion resistant,
parameters. pure high electrical and
thermal conductivity,
13.9 ALUMINUM good workability, low
strength
Aluminum is an important engineering mate-
2XXX Copper High strength-to-
rial because of its high strength-to-weight ratio, weight ratio, low
resistance to corrosion, high thermal and electri- corrosion resistance
cal conductivity, appearance, machinability, and
3XXX Manganese Good workability,
formability. Aluminum is used for packaging, moderate strength
structures, and consumer goods.
4XXX Silicon Low melting point
Various types of aluminum are used in the form
of wrought products (made into various shapes 5XXX Magnesium Good corrosion
resistance, weldable,
by rolling, extrusion, drawing, and forging) and
high strength
cast alloys. Wrought aluminum alloys are iden-
tified by four digits and a temper designation 6XXX Magnesium and Good weldability,
silicon machinability, and
(indicating the processing of the material). The formability, corrosion
major alloying element determines the first resistant, medium
digit. The second digit refers to other alloying strength
elements, and the third and fourth digits indicate 7XXX Zinc High strength
a particular alloy within the series. In the 1XXX
series, the last two digits indicate the purity of
the aluminum. For example, 1070 contains Table 13-6. Aluminum casting alloys
99.70% aluminum and 1090 contains 99.90% Number Alloy Properties
aluminum. The various types of wrought alumi-
Commercially Corrosion resistant
num are shown in Table 13-5. 1XX.X
pure
The designations for cast aluminum alloys
also use four digits. A decimal point is added High strength and
2XX.X Copper
ductility
between the third and fourth digit. In the 1XX.X
series, the second and third digits indicate the Good machinability
3XX.X Silicon (with copper or
aluminum content. The fourth digit, which is to magnesium)
the right of the decimal, indicates the product
form: 1XX.0 indicates castings and 1XX.1 indi- Good castability,
4XX.X Silicon
corrosion resistant
cates ingot. In the other series, these digits vary
in usage. The cast aluminum alloy numbering 5XX.X Magnesium High strength
system is shown in Table 13-6. 6XX.X Unused
The temper designations used for aluminum High strength, excellent
7XX.X Zinc
apply to both wrought and cast alloys. Temper machinability
designations indicate the form of secondary pro- 8XX.X Tin Low friction
cessing done to the aluminum at the mill. The
following letter designations are used:
Heat-treating processes for aluminum include
F—as fabricated, strain hardening (cold working), annealing, solu-
O—annealed, tion heat treatment, and precipitation hardening.
H—strain hardened by cold work, and
T—heat treated. STRAIN HARDENING
Aluminum, like all nonferrous metals, does not Strain hardening caused by cold working oc-
harden by heat treating the same way steel does. curs in all metals to some degree. However, it
115
Fundamentals of Manufacturing Chapter 13: Metals
REFERENCES
Schrader, George F., and Ahmad K. Elshennawy.
2000. Manufacturing Processes and Materials, Fourth
Edition. Dearborn, MI: Society of Manufacturing
Engineers.
Society of Manufacturing Engineers. 2003. “Heat
Treating” DVD. Fundamental Manufacturing Pro-
cesses Video Series. Dearborn, MI: Society of Manu-
facturing Engineers.
Wick C. and R. Veilleux, eds. 1985. Tool and Manufac-
turing Engineers Handbook, Fourth Edition. Volume
3: Materials, Finishing, and Coating. Dearborn, MI:
Society of Manufacturing Engineers.
BIBLIOGRAPHY
Dalton, William K. 1994. The Technology of Metal-
lurgy. Upper Saddle River, NJ: Prentice-Hall, Inc.
14
PLASTICS
Nonmetallic materials cover three broad cat- stances, and plastics, which have to be solids.
egories, namely plastics, composites, and ceram- However, the definition does not address the
ics. In many applications, considerable overlap problem of elasticity.
occurs between plastics and composites, because In the past, the word “rubber” referred to
the composite matrix is a plastic material. The natural latex and products made of natural
overlap between composites and ceramics usu- latex. Natural rubber and other elastomers are
ally centers on the use of glass fibers. Compos- polymeric materials that can stretch to at least
ites and ceramics will be discussed in the next twice their original length and then snap back.
two chapters, respectively. In contrast, the word “plastics” referred to those
polymeric materials that were less elastic, hard-
14.1 PLASTICS er, and stiffer. This simple distinction between
plastics and rubber is now difficult to maintain.
The terms polymer, plastics, polymers,
A new family of materials, often called thermo-
resins, rubber, and elastomer are often con-
plastic elastomers, now fills the gap between
fused. Polymers are organic compounds that
traditional rubber and rigid plastics.
come from natural sources or are synthetic.
The word polymer means many (poly) mers. Although the difficulties with definitions
Mers are small units, generally simple organic persist, plastics fall into two major groups:
molecules. When only one type of molecule is thermoplastics and thermosets. Thermoplastics
present, mers are also called monomers. The di- are those plastics that are solid at room tem-
vision between simple organic molecules, such perature, but when heated they soften and can
as the automobile fuel octane, and polymers be reformed. These materials can be reused and
depends on the number of mers linked together. recycled easily. Thermosets are those plastics
A rule-of-thumb is that a polymer must contain that soften during original processing, but once
at least 100 mers. finished, they can not be easily reprocessed.
The word plastics is rather difficult to define.
The Greek word “plastikos” means moldable, POLYMERIZATION
but that meaning does not separate plastics Crude oil, natural gas, and some bio-based
from moldable materials such as clay. A tighter materials supply the chemicals required for the
definition used by the Society of the Plastics production of plastics. When crude oil is
Industry (SPI) describes plastics as basically “cracked” by fractional distillation, some frac-
organic materials that are solid in the finished tions, such as octane, kerosene, and oils, are
state, after forming with heat and pressure. immediately useful. The companies producing
This definition provides a distinction between plastics take the very small molecules, such as
resins, which are gum-like semisolid sub- methane and ethane, and chemically combine
Semicrystalline homopolymers include high- and phenolic representing the thermosets. In ad-
density polyethylene (HDPE), low-density dition, the thermoplastics are listed according to
polyethylene (LDPE), and polypropylene (PP). amorphous and crystalline structures. An alterna-
In crystalline regions, as shown in Figure 14-2, tive approach is to group the thermoplastics into
the molecular chains take on a highly ordered the categories of commodity thermoplastics and
structure. Generally, the way this occurs is that engineering thermoplastics.
the chains fold back and forth causing increased
density in the crystalline regions. These regions COMMODITY THERMOPLASTICS
have major effects on the properties of the plastic. Commodity thermoplastics are those materi-
The crystalline regions cause diffraction in light als that receive wide-scale use in expendable
transmission, so semicrystalline materials are products. Containers for foods, cosmetics, and
translucent or opaque, not transparent. Semi- beverages are usually made of commodity ther-
crystalline materials exhibit greater mold shrink- moplastics. The recycling codes provide a con-
age than amorphous materials. Mold shrinkage venient listing of the most common commodity
is the change in length, measured as in. per in. plastics. These codes are defined in Table 14-2.
or mm per mm. When semicrystalline materials The thermoplastics listed in Table 14-2 ac-
take on an orderly arrangement, the volume count for almost three-fourths of the total annual
required diminishes and shrinkage increases. plastics consumption in the USA. However, only a
small percentage of that volume returns through
COPOLYMERS the recycling stream to find reuse. The materials
Copolymers contain two chemically differ- that have the highest percentage of recycling are
ing mers. An example is the plastic known as those used for beverage containers.
styrene-acrylonitrile (SAN). It contains both The most widely used commodity thermo-
the styrene monomer and the acrylonitrile plastics are polyethylene (PE), polypropylene
monomer. Because there are two kinds of build- (PP), polyvinyl chloride (PVC), polystyrene (PS),
ing blocks, several possibilities arise. In alter- and polyethylene terephthalate (PETE).
nating copolymers, the structure is similar to
ABABABABABABAB. In block copolymers, the Polyethylene
structure reveals a group of one type, followed by Polyethylene has been the number-one- selling
the other type, such as AAAAABBBAAAAABB- plastics material since the 1950s. It is manu-
BAAAAA. In graft copolymers, the backbone factured in two major forms, low-density poly-
is usually one type, and the other becomes a ethylene (LDPE) and high-density polyethylene
short branch off the main chain. In random co- (HDPE). Both forms have high solvent resistance,
polymers, there is no apparent order of the two high flexibility, and good electrical insulation
types. As with homopolymers, copolymers can properties. However, they are both susceptible to
be either amorphous or semicrystalline. environmentally induced damage such as oxida-
tion and ultraviolet light (UV) degradation, have
TERPOLYMERS low softening points, and scratch easily.
About three-fourths of the annual produc-
In terpolymers, three basic mers combine to cre-
tion of low-density polyethylene becomes film.
ate a polymer. One example is ASA, which brings
It is flexible and tear resistant and, if thin, it
together acrylic, styrene, and acrylonitrile mono-
is rather clear. Dry-cleaner bags are usually
mers. The possible structures are more complex
LDPE. In contrast to HDPE, LDPE is more
than with copolymers. Terpolymers also can have
flexible and has lower crystallinity.
amorphous or semicrystalline arrangements.
HDPE finds use in both injection molding and
blow molding. Most milk containers and deter-
14.3 THERMOPLASTICS gent bottles are HDPE. The quart containers of
Table 14-1 lists properties of a number of motor oil are generally recycled HDPE bottles.
common plastics. Note that most of the plastics In contrast to LDPE, HDPE has greater crys-
in the table are thermoplastics, with only epoxy tallinity, higher strength, and greater rigidity.
Fundamentals of Manufacturing
122
Table 14-1. Properties of selected industrial plastics
Mechanical Properties (Room Temperature)
Type of ASTM D-638 ASTM D-695 ASTM D-256
Plastic Molecular Specific ASTM D-638
Tensile Strength, Compressive Impact Strength
Packing Gravity Elongation %
psi (MPa) Strength, psi (MPa) (Izod), ft-lb/in. (J/cm)
Polystyrene Amorphous 1.10 7,500 (51.7) 2 14,000 (96.5) 0.3 (0.2)
High-impact
Amorphous 1.15 5,000 (34.5) 10 7,500 (51.7) 0.6–10.0 (0.3–5.3)
polystyrene
Polycarbonate Amorphous 1.20 9,000 (62.1) 100 10,000 (69.0) 15.0 (8.0)
Acetal
Crystalline 1.40 10,000 (69.0) 40 18,000 (124.1) 1.8 (1.0)
(homopolymer)
Polypropylene Crystalline 0.91 4,500 (31.0) 500 7,000 (48.3) 1.0 (0.5)
Crystalline with
Polyethylene 8.0 (4.3)
amorphous 0.93 2,400 (16.5) 600 3,000 (20.7)
(medium density)
regions
Table 14-2. Recycling codes additives. If more rubber is added, the material
Number Abbreviation Name becomes high-impact polystyrene (HIPS).
PS is the base for a family of materials
1 PET Polyethylene
called styrenics. One of the most popular sty-
terephthalate
renics is acrylonitrile butadiene styrene (ABS),
2 HDPE High-density a material that contains rubber, acrylic, and
polyethylene
polystyrene. The advantages of polystyrene
3 V Vinyl (polyvinyl include translucency when thicker than film
chloride)
and its ability to be readily foamed, as in
4 LDPE Low-density the production of Styrofoam®. Its major dis-
polyethylene advantages are poor solvent resistance and
5 PP Polypropylene brittleness.
6 PS Polystyrene
7 Other Polyethylene Terephthalate
Polyethylene terephthalate (PET or PETE) is
also called thermoplastic polyester. PET is widely
Polypropylene used for carbonated beverage containers. A filled
Polypropylene (PP) is important in injection two-liter PET container is at least one-quarter
molding and blow molding. Many interior auto- lighter than a comparable glass bottle. This
mobile parts are PP. In addition, PP is signifi- property, in addition to its amenability to high-
cant in the fiber market. Post-industrial scrap speed manufacturing, makes PET dominant in
PP carpet material is frequently reprocessed beverage applications.
for automotive applications. In comparison to PET has excellent transparency, toughness,
HDPE, PP has a higher melting point and a and flexibility. It addition, it is stiff enough so
higher softening point. PP is tougher and more that pressure-tight closures can prevent the
rigid than HDPE, but it is susceptible to oxida- loss of carbonation. PET is recycled into other
tive degradation and damage from ultraviolet containers and into various fibers. Many sleep-
(UV) light. Additives can prevent these problems ing bags contain insulating bats made from
from occurring for extensive lengths of time. recycled beverage bottles. PET has good resis-
tance to many solvents. A major disadvantage
is its tendency to absorb moisture from the air.
Polyvinyl Chloride Consequently it must be thoroughly dried (to
Polyvinyl chloride (PVC) can be flexible for use less than 0.005% moisture) before processing.
as vinyl upholstery material or rigid as found in
PVC pipes and plumbing fittings. The difference
is that the flexible PVC has been plasticized.
ENGINEERING THERMOPLASTICS
The term plasticized means that various special Many materials have special characteristics
oils have been mixed into the PVC. These oils that make them appropriate to applications
cause the material to be almost rubbery. Wire with high demands. Thermoplastic engineering
insulation material is frequently flexible PVC. resins are characterized as those resins with the
The advantages of PVC are its excellent solvent following combination of properties:
resistance and resistance to burning. Flame- thermal, mechanical, chemical, and cor-
retardant PVC is used for computer housings. rosion resistance, and usability in such
environments;
Polystyrene ability to sustain high mechanical loads
Polystyrene (PS) is a glassy material. When in harsh environments for long periods of
no fillers or additives are present, polystyrene time; and
(called crystal PS) is transparent, stiff, and predictable, reliable performance.
brittle. To reduce the brittleness of crystal poly- The most common engineering thermoplastics
styrene, general-purpose PS contains rubber are nylon, acetal, and polycarbonate.
124
Fundamentals of Manufacturing Chapter 14: Plastics
braiding, stitching, binders, and partial curing. Glass-reinforced composites are used through-
In a woven fabric, as shown in Figure 15-1, the out the world as an inexpensive structural ma-
roving holds the fabric together by shear forces. terial for pipes, boat hulls, bridges, and other
Similar to weaving, the roving may be braided construction applications. Advanced composites
around a mandrel to create a net-shape fabric also are currently used mainly by the aerospace
held together by shear forces. Non-crimp fabric industry because of weight, stiffness, and tem-
(NCF) is a layer of straight and parallel roving, perature requirements. But due to a significant
stitched together with thin thread to make it decrease in the price of carbon fiber over the last
more robust. The unidirectional arrangement 50 years, the market has expanded to include
of the roving utilizes the fiber strength better various other commercial and industrial ap-
than a weave since the fibers are not bent at the plications. Current uses include wind turbine
crimp points. Binders (or tackifiers) are polymer blades, automobiles and trucks, rail cars, rocket
adhesives applied to the roving to either hold the nozzle throats, printed circuit boards, prosthetic
separate layers together or to hold the fabric in devices, and sports equipment.
the part’s intended shape. Finally, impregnating
and partially curing the resin will hold the fibers
REVIEW QUESTIONS
together during handling and processing.
A partially cured composite is known as a 15.1) A composite material is a combination of
prepreg (pre-impregnated with resin). a reinforcing element and ___________.
15.2) Advanced composites are distinguished
COMPOSITE CATEGORIES from other composites in that:
For production simplicity, a composite part (a.) They use fibers in a resin binder for
is usually built as a laminate, that is, many lay- strength.
ers bonded together. Sandwiches are multiple- (b.) Their polymer resin matrices are
layer structural materials containing a thermoset only.
low-density core between thin faces (skins) of (c.) Their fiber-to-resin ratio by volume is
composite laminates. Adding thickness to the greater than 50%.
part in this way increases its stiffness with (d.) They can be machined dry.
minimal increase in weight. Figure 15-2 shows
a sandwich with a cellular core and surface lay- 15.3) The fibers in advanced composites are
ers created by liquid composite molding (LCM). usually made of what materials?
15.4) What three functions does the matrix of a
15.3 COMPOSITE APPLICATIONS composite serve?
By tailoring the materials and fabrication 15.5) Under what conditions should carbon
methods, and by modifying structural designs to fibers versus glass fibers be used?
accommodate their unique properties, advanced 15.6) Why is a non-crimp carbon fabric often
composites can be used for applications requir- preferred over a woven carbon fabric?
ing high strength, high stiffness, or low thermal
conductivity.
REFERENCE
Mitchell, Philip, ed. 1996. Tool and Manufacturing
Engineers Handbook, 4th Edition. Volume 8: Plastic
Part Manufacturing. Dearborn, MI: Society of Manu-
facturing Engineers.
BIBLIOGRAPHY
Society of Manufacturing Engineers. 2005. “Com-
posite Materials” DVD. Composites Manufacturing
Video Series. Dearborn, MI: Society of Manufacturing
Figure 15-2. Sandwich construction (Mitchell 1996). Engineers.
130
Fundamentals of Manufacturing Chapter 15: Composites
16.2 CERAMIC STRUCTURES 14% soda, and 10% lime. The purpose of the soda
Frequently, ceramics exhibit ionic bonding at and lime are to reduce melting temperatures, to
the atomic level. The ionic bonds are extremely make the molten glass more fluid for easier pro-
strong and stable. This type of bonding partially cessing, and to retard crystallization. If the glass
explains the high melting temperature of many crystallizes, it will not be transparent.
ceramics. Glass fibers require a differing formula for
Ceramics are often crystalline in structure, but the glass. To make a glass appropriate for fi-
in contrast to metals, the crystalline structure is bers, less soda, more lime, and additional alu-
very complex. Cubic and hexagonal structures minum oxide are added to the formula. Various
describe a number of metals. However, with types of fibers are manufactured using altered
ceramics, the number of structures is much formulas. Glass fibers for reinforcing plastics
higher because the atoms in ceramics tend to be are mostly E-glass. It is called E-glass because
of greatly differing sizes. it has high electrical resistance. To make fibers
Some ceramics are amorphous in structure. with greater tensile strength, aluminum oxide
For example, when a glass windowpane breaks, and magnesium oxide are added to the silica.
the lines of fracture follow the path of least
resistance. Since the structure is amorphous, 16.4 ADVANCED CERAMICS
the fracture pattern is not straight, but often Advanced ceramics generally refer to ce-
wanders along gently curving lines. ramic materials that have been synthetically
created. Three categories of advanced ceramics
16.3 GLASS are oxides, carbides, and nitrides. Table 16-2
shows the physical properties of several ad-
Glass refers to an inorganic, generally nonme-
vanced ceramics.
tallic compound, which has been cooled without
crystallizing. The main raw material for glass is
silica. A rather pure form of silica is silica sand, OXIDES
commonly used in foundry sand. When silica is Aluminum oxide, or alumina, has been used
melted and then cooled, it forms a glass. The tem- for thousands of years. It is called an advanced
perature required to melt pure silica is very high, ceramic because it is currently produced syn-
so to reduce the temperature, other materials are thetically, which allows control of impurities,
added to the silica. For example, window glass, a particle sizes, and exact blending. As a result, the
type of soda-lime glass, contains about 75% silica, new alumina has improved physical properties.
CARBIDES
Carbides include silicon carbide, tungsten
carbide, titanium carbide, and tantalum car-
bide. These materials have extreme hardness
and wear resistance. Therefore, the major use of
these materials is for cutting tools and abrasives.
Tungsten carbide, the oldest of these materials,
was developed in Germany and the United States
in the 1920s. Cutting tools made of tungsten
carbide provided a huge improvement over the
high-speed steel tools available at the time.
Carbide cutters allowed machining at higher
speeds and greater depths of cut because the
carbide remained harder and sharper at higher
temperatures than steel cutters.
NITRIDES
Some examples of nitrides are boron nitride,
silicon nitride, and titanium nitride.
Boron nitride in cubic form, often called cubic
boron nitride (CBN), is used for cutting tools and
grinding wheels. Silicon nitride is also used for
cutting tools and applications such as ceramic
ball bearings and hot surface igniters. A popular
use for titanium nitride is as a surface coating
for cutting tools due to its low coefficient of fric-
tion against steel.
REVIEW QUESTIONS
16.1)What is the oldest carbide?
16.2) What does “refractory” mean?
16.3) What type of chemical bonding is typical
of many ceramics?
16.4) What is the purpose of adding soda and
lime during the manufacture of glass?
16.5) What does the acronym CBN represent?
REFERENCE
Bakerjian, Ramon and Philip Mitchell, eds. 1993. Tool
and Manufacturing Engineers Handbook. Volume 7:
Continuous Improvement. Dearborn, MI: Society of
Manufacturing Engineers.
BIBLIOGRAPHY
Jacobs, J. A. and Thomas F. Kilduff. 2005. Engineer-
ing Materials Technology, Structure, Processing,
Properties, and Selection, 5th Edition. Upper Saddle
River, NJ: Prentice-Hall, Inc.
Part 4
Product Design
17
ENGINEERING DRAWING
Engineering drawings are the graphical rep- language of engineering drawings. These prac-
resentations of ideas. Graphical representations tices and standards are facilitated and developed
are recognized as an efficient and nearly univer- by organizations such as the American Society
sal means of communicating designs, instruc- of Mechanical Engineers (ASME), the American
tions, and plans. These documents graphically National Standards Institute (ANSI), and the
describe the shapes, sizes, and materials used American Welding Society (AWS). Some com-
in a product. Drawings are the primary method mon standards are:
used to control production.
metric drawing sheet size and format—
In this chapter, all dimensions are in millime-
ASME Y14.1M-2005 (R2010);
ters unless otherwise stated. Following are general
line conventions and lettering—ASME
rules for specifying dimensions in metric units.
Y14.2-2008;
The decimal point and zero are omitted multi-view and sectional view drawings—
when the metric dimension is a whole num- ASME Y14.3-2003 (R2008);
ber. For example, a hole size of 30 mm is pictorial drawing—ASME Y14.4M-1989
dimensioned as 30 not 30.0. (R2009);
When a metric dimension is less than 1 surface texture symbols—ASME Y14.36M-
mm, a zero precedes the decimal point. 1996 (R2008);
For example, four-tenths of a millimeter is dimensioning and tolerancing—ASME
dimensioned as 0.4. (As a note: On a draw- Y14.5-2009; and
ing in the inch system, when a dimension welding—AWS A2.4-2007.
is less than 1 in., the preceding zero before
Engineering drawings make use of standard
the decimal point is omitted. For example,
lines to aid in showing the details associated with a
one-tenth of an inch is dimensioned as .100.)
part. The standard lines are shown in Figure 17-1
It is also important to note that on drawings, a and their application is described in Table 17-1.
note usually indicates if dimensions are written
in millimeters or inches. 17.2 PROJECTION SYSTEMS
There are two systems of projection recog-
17.1 DRAWING STANDARDS nized internationally for multi-view drawings.
Standard practices are used in engineering The American system places the front view
drawings to avoid confusion and improve the ef- under the top view. The European system places
fectiveness of communication. This chapter pro- the top view under the front view. The American
vides an overview of some of the recommended system is known as third-angle projection and the
practices and standards used in the graphical European system is known as first-angle projection.
17.4 DIMENSIONING
Dimensions describe the details of a part so it
can be constructed to the proper size. They show
the sizes and locations necessary to manufacture
and inspect the part. Dimensions are placed
between points that have a specific relationship
Figure 17-8. Basic dimension symbol.
to each other to ensure the function of the part.
More than one view may illustrate a feature.
The dimension of the feature should be placed
in the view that best describes the feature. Di-
mensions are not repeated in different views.
The international system of units (SI) is now
commonly used in the United States on engi-
neering drawings to conform to global trade
and multinational company affiliations. The SI
linear unit on engineering drawings is the mil-
limeter, abbreviated as mm. However, the U.S.
linear unit of decimal inches is still being used.
All drawings should clearly state by a note that,
unless otherwise specified, all dimensions are in
millimeters or inches. ASME Y14.5-2009 is the
current standard for dimensioning. Figure 17-9. Application of a reference dimension.
141
Fundamentals of Manufacturing Chapter 17: Engineering Drawing
reference plane. Direct dimensioning is applied The major terms used in tolerancing are de-
to control specific feature locations. These three fined as follows.
dimensioning methods are shown in Figure 17-10.
Nominal size is the stated designation used
A general tolerance is applied to all dimensions.
for the purpose of general identification. A
9/32 drill is an example of a nominal size.
17.5 TOLERANCING Basic size is that size from which limits of
Modern mass production calls for parts made size are derived by the application of allow-
at remote locations to be brought together for ances and tolerances. The basic size for a
assembly and to fit properly without modifica- 9/32 drill is .28125 in.
tion. Manufacturers depend on the capability of Limits are the extreme allowable sizes for
a part to be assembled with its intended mating a feature. In Figure 17-11, the limits for the
part. Assembly would be no problem if all parts shaft are 1.247 and 1.248 in.
could be made exactly to size. Some parts, such Tolerance is the permissible variation in a
as gage blocks, can be made close to a target dimension. It is the difference between the
dimension, but such accuracy is expensive. largest and smallest acceptable sizes for a
Exact sizes of parts are impossible to produce. feature. The difference in diameters, .001
For practical reasons, parts are made to varying in., is the tolerance on the shaft diameter in
degrees of accuracy depending on their functional Figure 17-11.
requirements. A tolerance refers to the degree Allowance is the minimum clearance be-
of accuracy required in a dimension. In general, tween mating parts. In the case of a shaft
the cost of manufacturing a component increases and mating hole, it is the difference between
with smaller tolerances on its dimensions. the diameters of the largest shaft and small-
est hole as shown in Figure 17-12.
Maximum material condition (MMC) is
the condition of a part when it contains the
most amount of material. The MMC of an
external feature of size, such as a shaft, is
the upper limit. The MMC of an internal
feature of size, such as a hole, is the lower
limit.
Least material condition (LMC) is the con-
dition of a part when it contains the least
amount of material possible. The LMC of
National Standard system classifies fits based Upper limit: 2.5000 – .0090 = 2.4910 in.
on the basic hole system, which is widely used Lower limit: 2.5000 – .0135 = 2.4865 in.
because drills and reamers are used to produce
standard-sized holes. The types of fit covered by The limits of clearance represent the largest and
this standard are: smallest clearances that can result in assembly.
They can be readily verified by calculating the
RC—running and sliding fits, extreme shaft and hole combinations:
LC—clearance locational fits,
LT—transition locational fits, LMC hole – LMC shaft = largest clearance
LN—interference locational fits, and (loosest fit)
FN—force and shrink fits. 2.5070 – 2.4865 = .0205 in.
Tables of standard sizes and tolerances are MMC hole – MMC shaft = smallest
needed to use this system. Since it is organized clearance (tightest fit or allowance)
on a hole basis, the basic hole size and the type 2.5000 – 2.4910 = .0090 in.
of fit are needed to determine the dimension and
tolerance for the mating parts. For example, an The metric system of fits is organized in a
RC 4 fit refers to a close running fit, whereas RC fashion similar to the American National Stan-
9 refers to a loose running fit. Tables will supply dard system. It can operate on a hole basis or
the tolerances (in number of thousandths) to add shaft basis. An International Tolerance (IT)
to the basic size to determine the upper limit grade is associated with a particular size and
on the hole and to subtract from the basic size level of accuracy. For example, the designation
to determine the upper and lower limits on the 40H8 refers to a 40 mm basic-size hole with an
shaft. The standard tables are too extensive to IT grade of 8. The designation 40f7 refers to a
be reprinted here, but should be available in any 40-mm basic-size shaft with an IT grade of 7.
text on engineering drawing or the Machinery’s The combination of 40H8/f7 refers to a particu-
Handbook. lar fit, in this case, a close running fit. Tables of
standard metric values are needed to determine
Example 17.6.1. Find the dimensions and tol- the appropriate tolerances.
erances for a 2.500-in. diameter hole and shaft
with an RC 9 fit.
Solution. Table 17-2 (based on American Na- 17.7 TOLERANCES FOR 100% INTERCHANGEABILITY
tional Standard fits—ASME B 4.1-1967(R2009) The most common requirement of a toler-
provides the following information (Oberg et ance on a dimension calls for parts to be 100%
al. 2008). interchangeable. Any random combination of
The lower limit of the hole has no tolerance since mating parts will be guaranteed to assemble.
it represents the basic size. The limit dimensions The extreme or most difficult conditions for as-
on the hole are found as: sembly are used to find the unknown tolerance.
In the extreme condition, internal dimensions
Upper limit: 2.5000 + .0070 = 2.5070 in. are taken at the minimum value and external
Lower limit: 2.5000 + .0000 = 2.5000 in. dimensions are taken at the maximum value. A
path equation is used to add signed dimensions
The limit dimensions on the shaft are found as:
to find the value of an unknown tolerance.
Figure 17-18. Application of surface texture symbols: average roughness is given in microinches. All other values are
given in inches.
REFERENCES
ASME. 1996. ASME Y14.36M-1996, Surface Texture Sym-
bols. Figures reprinted with permission of The American
Society of Mechanical Engineers, all rights reserved. No
further copies can be made without written permission.
New York: American Society of Mechanical Engineers.
Figure Q17-2. Question 17.3. Figure Q17-3. Question 17.9 (units are inches).
147
Fundamentals of Manufacturing Chapter 17: Engineering Drawing
BIBLIOGRAPHY
Giesecke, F. E., A. Mitchell, H. C. Spencer, I. L. Hill,
J. T. Dygdon, J. E. Novak, and R. O. Loving. 2004.
Engineering Graphics, 8th edition. Upper Saddle
River, NJ: Prentice-Hall, Inc.
18
GEOMETRIC DIMENSIONING AND TOLERANCING
Figure 18-1. Common GD&T symbols and applications (units are in inches).
Figure 18-2 illustrates all of the symbols used the datum reference frame and the geometric
in GD&T in accordance with the ASME Y14.5- tolerance features. It is symbolized by box-
2009 and ISO standards. ing the datum letter as shown in Figures
18-1 and 18-2. All datums identified with a
BASIC DIMENSION datum feature symbol are also referenced in
a feature control frame. Datums referenced
The basic dimension is a theoretical value
in a feature control frame define the features
used to describe the exact size, shape, or loca-
and the sequence used to establish the datum
tion of a feature. A basic dimension is consid-
reference frame from which the geometric tol-
ered perfect. Basic dimensions define the true
erance is derived (Nee 2010).
position or true profile of the feature. A geo-
Each feature requiring identification as the
metric tolerance is required to define the
datum uses a different letter(s). To eliminate
permissible variation from true position or
confusion, the letters I, O, and Q are not used
true profile. A basic dimension is symbolized
as reference letters. Where the alphabet is
by boxing the dimension such as (Nee
used up, double letters, such as AA, BB, ZZ,
2010).
etc., are used (Nee 2010).
Figure 18-2. Geometric characteristic symbols. (Reprinted from ASME Y14.5-2009 with permission of the American
Society of Mechanical Engineers. All rights reserved. No further copies can be made without written permission.)
152
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
Compensation may be made for measurements “c. There is no default requirement for a
made at other temperatures. boundary of perfect form at LMC. Thus, a regu-
“m. Unless otherwise specified, all dimensions lar feature of size produced at its LMC limit of
and tolerances apply in a free-state condition. size is permitted to vary from true form to the
“n. Unless otherwise specified, all tolerances maximum variation allowed by the boundary of
apply for the full depth, length, and width of the perfect form at MMC.
feature. “d. In cases where a geometric tolerance is
“o. Dimensions and tolerances apply only at specified to apply at LMC, perfect form at LMC
the drawing level where they are specified. A is required.
dimension specified for a given feature on one
level of drawing (for example, a detail drawing)
“Form Control Does Not Apply (Exceptions to Rule 1)
is not mandatory for that feature at any other
level (for example, an assembly drawing). “The control of geometric form prescribed by
“p. Where a coordinate system is shown on limits of size does not apply to the following:
the drawing, it shall be right-handed unless “a. stock, such as bars, sheets, tubing,
otherwise specified. Each axis shall be labeled structural shapes, and other items produced to
and the positive direction shall be shown. established industry or government standards
that prescribe limits for straightness, flatness,
and other geometric characteristics. Unless geo-
“Variations of Form (Rule 1: Envelope Principle)
metric tolerances are specified on the drawing of
“The form of an individual regular feature a part made from these items, standards for these
of size is controlled by its limits of size to the items govern the surfaces that remain in the as-
extent prescribed in the following paragraphs. furnished condition on the finished part.
“a. The surface or surfaces of a regular fea- “b. parts subject to free-state variation in the
ture of size shall not extend beyond a boundary unrestrained condition.”
(envelope) of perfect form at MMC. This bound-
ary is the true geometric form represented by
the drawing. No variation in form is permitted 18.3 FEATURE CONTROL FRAME
if the regular feature of size is produced at its The feature control frame, illustrated in Fig-
MMC limit of size unless a straightness or flat- ure 18-3, is probably the most important symbol
ness tolerance is associated with the size dimen- in the geometric tolerancing system. It states
sion or the Independency symbol is applied. the requirements or instructions for the features
“b. Where the actual local size of a regular to which it is attached.
feature of size has departed from MMC toward The first compartment of a feature control
LMC, a local variation in form is allowed equal frame will always contain one of the 14 geomet-
to the amount of such departure. ric characteristics symbols.
Figure 18-3. Feature control frame (units are in inches) (Nee 2010).
155
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
1. TOLERANCES OF FORM
Tolerances of form include controls for flat- straightness tolerance is represented by con-
ness, straightness, circularity (roundness), and necting the feature control frame to the surface
cylindricity. In all of these, the part geometry is with a leader or by connecting the feature control
compared to the true geometric counterpart speci- frame to an extension line in the view where the
fied and held to within limits of acceptable vari- controlled surface is shown as an edge.
ance specified by a statement of tolerance zone A surface is perfectly straight if all of its ele-
width. Form tolerances describe how an actual ments are collinear. Straightness is specified by
feature may vary from a geometric ideal feature. two parallel lines that contain all of the elements
of a surface. A straightness tolerance is typically
Flatness applied to cylindrical features. A 0.03 mm toler-
ance zone is described by the feature control
A surface is ideally flat if all of its elements
symbol in Figure 18-5. All elements on the surface
are coplanar. The flatness specification describes
the tolerance zone formed by two parallel planes
that contain all of the elements on a surface. No
datum is needed or proper with a flatness toler-
ance. When checking flatness, all elements of
the concerned surface also must be within the
specified size limits for the part to be acceptable
(Nee 2010). A 0.1-mm tolerance zone is described
by the feature control symbol in Figure 18-4.
The distance between the highest point on the
surface to the lowest point on the surface may
not be greater than 0.1 mm.
Straightness
A straightness control can be applied to a
surface or to a feature of size (FOS). The surface Figure 18-5. Surface straightness.
156
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
Circularity
Circularity or roundness compares a circular Figure 18-7. Axis straightness at MMC and LMC.
element to a perfect circle. The tolerance zone is
two perfect circles, concentric, and the tolerance
value apart. The tolerance is applied to only one circularity is having all points of the surface
sectional element at a time (see Figure 18-8). intersected by any plane passing through a com-
With respect to a cylinder or cone, circularity mon center, equal distances from that center
is having all points of the surface intersected by (Nee 2010).
any plane at right angles to an axis, equal dis-
tances from the axis. With respect to a sphere,
3. TOLERANCES OF RUNOUT
Runout is a tolerance used to express relation-
ships between surfaces of features in the many
applications in which acceptable part deviation
is best observed in terms of 360° rotation about
a datum axis. Thus, the runout tolerances, both
circular runout and total runout, are expressed in
terms of limits of full indicator movement (FIM).
Figure 18-11. Perpendicularity.
Runout is a combination of geometric tolerances
used to control the relationship of one or more
features to a datum axis. Runout tolerance is al-
Angularity
ways applied on a RFS basis and always requires
An angularity geometric tolerance zone is a datum also specified at RFS.
established by two parallel planes at a specified
basic angle other than 90° and always refer-
enced to a datum plane or axis. The desired
Circular Runout
angle is always shown as a basic angle. When Circular runout provides control of a single
circular element of a surface. It is shown as a
single arrow in the first compartment of the
feature control frame. It is similar to circular-
ity in that it only controls one circular element.
When applied to surfaces around a datum axis,
circular runout controls circularity and coaxial-
ity. Coaxiality is two or more features sharing a
common axis. In Figure 18-13, the control would
be measured plus or minus 0.05 mm FIM of a
dial indicator.
Total Runout
Total runout is a tolerance that blankets the
surface to be controlled. It is used to control
the combined variations of circularity, straight-
ness, and coaxiality when applied to surfaces
around a datum. Total runout is indicated by
two arrows in the feature control frame. It is
comparable to cylindricity in that it controls
an entire surface rather than a single element.
When checking total runout, all elements of the
concerned surface must be within the specified
size limits of the part to be accepted (Nee 2010).
Figure 18-12. Angularity. Figure 18-14 depicts a total runout control.
159
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
location of an axis or center plane of a part fea- Figure 18-16. Profile of a surface.
ture from a theoretically perfect location.
Concentricity Symmetry
Concentricity is another tolerance of location Symmetry is another tolerance of location.
used to maintain axis-to-axis control on an RFS It is a condition in which the median points
basis. It is a condition in which two or more fea- of all opposed or correspondingly located ele-
tures, in any combination, have a common axis. ments of two or more feature surfaces are
A concentricity tolerance specifies the condition congruent with the axis or center plane of a
in which the median points of all diametrically datum feature. When checking symmetry, all
opposed elements of a figure of revolution (or elements of the concerned feature also must
correspondingly located elements of two or more be within the specified limits of the part to be
radially disposed features) are congruent with acceptable (Nee 2010). In Figure 18-18, the
the axis (or center point) of a datum feature. parallel planes are ±0.2 mm from the true
When checking concentricity, all elements of axis of datum B.
the concerned surfaces also must be within the
specified size limits of the part to be acceptable Tolerance of Position
(Nee 2010). Tolerance of position is the single most
Figure 18-17 shows the larger-diameter valuable and versatile geometric control and,
cylinder as a datum. The axis of this tolerance therefore, it is the most used. Position toler-
zone coincides with the datum axis A. The axis ancing takes maximum advantage of using
of the smaller-diameter cylinder is permitted to MMC bonus tolerancing. The MMC applica-
vary within a cylindrical tolerance zone with a tion is most common. However, LMC or RFS
diameter of 0.1 mm. is also used.
161
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
REVIEW QUESTIONS
18.1) Which of the following is the MMC of a
hole with a dimension of .625 ±.005 in.?
(a.) .625 in.
(b.) .630 in.
(c.) .620 in.
(d.) .615 in.
18.2) The symbols used in GD&T to provide spe-
cific controls related to the form, orientation, or
outline of features; the relationship of features
to an axis; or the location of features are called
______________ symbols.
(a.) geometric characteristic
(b.) feature control frame
(c.) datum feature
Figure 18-17. Concentricity. (d.) material condition
18.3) The symbols used in the feature control
frame to modify the geometric tolerance other
In Figure 18-19, a positional tolerance sym- than the implied condition are ______________.
bol is placed in the first compartment of the
(a.) MMC and RFS
feature control frame. In the second compart-
(b.) LMC and RFS
ment is the size of the tolerance, its shape,
(c.) MMC and GDT
and appropriate modifier. In the remaining
(d.) MMC and LMC
compartments are the primary, secondary,
and tertiary datum references. Perpendicu- 18.4) A(n) _____________ dimension is a theoreti-
larity of the true position centerline is con- cally perfect dimension.
trolled relative to the primary datum with (a.) untoleranced
the secondary and tertiary datums used (b.) specified
as location datums for true position. These (c.) basic
location dimensions are always basic dimen- (d.) exact
sions. When position is applied at MMC, the
surface of the feature of size must not violate 18.5) With respect to surface straightness,
the virtual condition boundary located at true _______________ is required at MMC.
position (Nee 2010). (a.) perfect form
The lower half of Figure 18-19 depicts the two (b.) extreme form variation
extreme hole sizes and their effect on the (c.) perfect variation
positional tolerance zone. A positional toler- (d.) perfect size
162
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
18.6) What is the size of the tolerance zone for 18.7) ______________ is the condition of a surface
the shaft in Figure Q18-1 if produced at .630 where all of the elements are in one plane.
in.? (a.) flatness
(a.) .000 in. (b.) profile
(b.) .002 in. (c.) straightness
(c.) .005 in. (d.) perfect form
(d.) .010 in.
163
Fundamentals of Manufacturing Chapter 18: Geometric Dimensioning and Tolerancing
BIBLIOGRAPHY
18.8) ______________ is controlled by a single
Krulikowski, A. 2008. Geometric Dimensioning and
cross-sectional tolerance zone defined by two Tolerancing Workbook. Westland, MI: Effective
concentric circles. Training, Inc.
(a.) circularity
Madsen, D. A. and D. P. Madsen. 2011. Geometric
(b.) cylindricity Dimensioning and Tolerancing, 8th Edition. Tinley
(c.) profile all around Park, IL: Goodheart Wilcox.
(d.) profile of a line
18.9) The ______________ tolerance zone is two
parallel planes that are perfectly 90° to a datum.
(a.) angularity
(b.) perpendicularity
(c.) parallelism
(d.) runout
18.10) ______________ provides combined con-
trol of circularity, straightness, and coaxiality
when applied to surfaces around a datum axis.
(a.) circular runout
(b.) total runout
(c.) profile of a line
(d.) profile of a surface
18.11) What is the size of the geometric toler-
ance zone for the shaft in Figure Q18-1 if pro-
duced at .624 in.?
(a.) .002 in.
(b.) .006 in.
(c.) .008 in.
(d.) .010 in.
18.12) What is the virtual condition at MMC
for the shaft in Figure Q18-1?
(a.) .618 in.
(b.) .620 in.
(c.) .630 in.
(d.) .632 in.
REFERENCES
ASME. ASME Y14.5-2009. Dimensioning and Toler-
ancing: Engineering Drawing and Related Documen-
19
COMPUTER-AIDED DESIGN/ENGINEERING
Most of these computers functioned in the the finite element procedure for that par-
aeronautical, automotive, defense, and nuclear ticular problem.
industries. With modern computer technology, 2. Solution: Solutions are generated and
commercial FEA programs now run on desktop calculated. The FEA software derives the
computers or laptops making them affordable governing matrix equations from the model
solutions to many engineers. However, compo- and solves for the primary quantities, such
nents requiring more complicated analysis still as stresses and displacements in a struc-
require supercomputers to obtain a realistic tural analysis, for example.
solution within a reasonable timeframe. 3. Post-processing: Results are reviewed and
FEA has proven to be a useful tool in new interpreted. Figure 19-2 shows a part with
product design and in the refinement of existing higher stress levels/darker shading. It is
products. It can also provide valuable analysis an example of the graphical images that
for complex parts that may be expensive to pro- are prepared for visualization and inter-
totype and test. With verification of the strength pretation. The actual image would have
and the possibility of improving the design multiple colors representing the varying
during the initial design stage, FEA can reduce stress levels. As part of the final step, the
the cost of engineering changes, field failures, analyst will check the validity of the solu-
prototyping, and testing. However, most designs tion, examine the values of the primary
will always require some amount of prototyping quantities, such as stresses and displace-
and testing. ments, and derive and examine additional
quantities, such as specialized stresses and
MAJOR PHASES error indicators.
Finite element analysis is comprised of three
major phases. APPLICATIONS
The finite element method was initially used for
1. Pre-processing: An FEA model is prepared
structural analysis but has been adapted for many
for the solver. Starting with a solid model,
other applications in engineering such as fluid flow,
an analyst develops a finite element mesh,
heat transfer, etc. For example, FEA is used for:
which divides the original model into
smaller elements for mathematical analy- structure analysis,
sis. Figure 19-1 illustrates the finite ele- thermal analysis,
ment mesh. The analyst also applies mate- fluid flow analysis,
rial properties and boundary conditions. electromagnetic analysis,
Boundary conditions represent external acoustic analysis,
constraints, such as a bolted connection, biomechanics and bioengineering,
for example. To determine the number and soil mechanics,
the shape of elements required for the geo-mechanics,
analysis, the analyst should have a good mechanisms and linkages, and
understanding of the physical model and design optimization.
Figure 19-1. FEA mesh. Figure 19-2. FEA resulting stress distribution.
168
Fundamentals of Manufacturing Chapter 19: Computer-aided Design/Engineering
Finite element analysis has a number of ad- conductor routing and board layers;
vantages, including the ability to: frequency of the current in the different
circuits and the resulting inductance;
handle a wide variety of engineering prob-
heat dissipation; and
lems where the analytical solutions are not
the placement of similar types of components.
available with a classical approach.
improve an existing product by alternat- PCB-oriented CAD software can assist in
ing various design parameters easily and board layout and routing, and in accommodating
inexpensively. the preceding points. It is preferred over attempt-
verify a new design concept quickly to deter- ing PCB design manually or with non-PCB CAD
mine its real-world behavior under various software. Manual layout gives greater flexibility
working conditions. in component placement and in determining if
allow designers and engineers to quickly and conductor placement is an inductive or capaci-
accurately assess critical dimensions or fea- tive issue, but it requires electrical expertise.
tures when integrated with a CAD package. For an automatic system to be useful, the rules
be used on affordable computer worksta- constraining the layouts (for example, board size,
tions and personal computers. components, component placement, etc.) must
shorten the time to market, lower develop- be established. This may be time consuming.
ment costs, and improve product quality. However, the advantage is that once they are
developed, they are done for that type of board.
It is also important to recognize the limita-
tions of FEA, for example: 19.4 RAPID PROTOTYPING
it requires an investment in commercial Rapid prototyping uses modern technology
software packages and the required hard- to produce a physical prototype from a CAD file
ware to run them if more than a personal in a matter of hours instead of days or weeks.
computer or laptop is necessary. Due to the rapid evolution of rapid prototyping,
the analysis tool can reduce physical prod- this section provides only a survey of some of
uct testing, but does not totally replace it. the rapid prototyping technologies available.
the FEA analyst must be proficient not only It is not meant to be an all inclusive list or an
in engineering fundamentals but also in the authoritative reference on rapid prototyping.
finite element method itself.
an inexperienced user can unknowingly TECHNOLOGY SURVEY
deliver incorrect answers that can nega- The technologies discussed in this section are:
tively impact the design based on this false
information. stereolithography apparatus (SLA),
selective laser sintering (SLS),
direct metal laser sintering (DMLS),
19.3 CIRCUIT BOARD LAYOUT laminated object manufacturing (LOM),
CAD software designed for printed circuit fused deposition modeling (FDM);
boards (PCB) has features unique to that ap- 3D printing (3DP), and
plication. Current surface mount technology jetted photopolymer (JP).
(SMT) and the continued miniaturization of The advantages of rapid prototyping include
integrated-circuit products make the design the ability to:
of most PCBs complex. Contributing to the
produce three-dimensional parts within
design complexity are:
hours;
the number of layers in a final board as- create masters, patterns, and tooling;
sembly (single-sided, double-sided, and accelerate prototype production;
multi-layered); achieve major savings in production of soft
the miniaturization of components and the and hard tooling;
effect on pin spacing and the number of pins increase manufacturing capabilities with
in a conductor; low-volume production runs;
169
Fundamentals of Manufacturing Chapter 19: Computer-aided Design/Engineering
add impact to marketing concept presenta- workspace container and heated to just below
tions with hands-on models; and its melting point. An initial cross-section of the
improve the accuracy of vendor bid response. object under fabrication is traced on the layer
of powder by a laser. The temperature of the
Rapid prototyping also has some disadvantages:
powder impacted by the laser beam is raised to
Not all parts can be used for physical testing. the point of “sintering,” forming a solid mass.
Parts can have surface finish quality, As the process is repeated, each layer fuses to
strength, and tolerance limitations. the underlying layer, and successive layers of
Special techniques and materials are re- powder are deposited and sintered until the
quired on some systems. object is complete.
Equipment can be relatively expensive.
Regardless of the method used, rapid proto- Direct Metal Laser Sintering
typing begins with a solid model developed in a Direct metal laser sintering (DMLS) is similar
CAD package and saved in the stereolithogra- to selective laser sintering except it uses metal
phy (STL) or virtual reality modeling language powder as opposed to wax or plastic powder. The
(VRML) file format. The VRML format preserves process begins when an initial cross-section of
part colors as created in the CAD package. the object under fabrication is traced on a thin
Therefore, if the rapid prototyping process is layer of metal powder by a laser, thereby sintering
capable of color, the model will be printed in or fusing the powder into a solid. As the process is
color. If desired, color can usually be added to repeated, each layer fuses to the underlying layer,
an STL file through a secondary process. The and successive layers of powder are deposited and
software, which comes with the machine, will sintered until the object is complete.
slice the model into layers based on the user-
defined layer thickness. Depending on the rapid Laminated Object Modeling
prototyping technology used, layer thickness
generally ranges from .001 to .013 in. (25.4 μm Laminated object modeling (LOM) produces
to 330.2 μm). The software will also calculate 3D parts of various complexities directly from
where supports are needed, if necessary. After CAD data by successive deposition, bonding,
compiling the necessary information, the part and laser cutting of sheet or film materials. A
is sent to the modeler. laser is guided over an x-y axis table by the data
from CAD files and cuts a 2D cross-section in
the sheet material. A platform under the table
Stereolithography Apparatus drops an increment equal to the thickness of a
A stereolithography apparatus (SLA) creates single layer of the material. The material is then
three-dimensional plastic parts directly from advanced from a supply roller to a pickup roller
CAD data. It builds the physical models one over the top of the previously cut cross-section
layer at a time. An ultraviolet (UV) laser traces and a heated roller presses and bonds the mate-
a thin cross-section of the object onto a liquid rial against the previous layer. The next layer is
resin surface, selectively hardening the polymer. cut by the laser beam and the cycle is repeated
The layer is lowered into a polymer vat, and its until the 3D object is completed.
surface is recoated in preparation for building
the next cross-section. Successive layers are
Fused-deposition Modeling
built until the object is complete.
Fused-deposition modeling (FDM) involves
depositing thin layers of thermoplastic material
Selective Laser Sintering from an extruder head/nozzle onto a fixtureless
Selective laser sintering (SLS) is similar to base. The thermoplastic material is supplied in
SLA except the part is not created in a liquid the form of wire-like filaments from a spool. The
vat but from heat-fusible wax or plastic powder, plastic is fed into the extruder head/nozzle and
such as nylon. As the process begins, a very thin heated so that each layer fuses to the previously
layer of heat-fusible powder is deposited into a deposited one. The head/nozzle moves in an x-y
170
Fundamentals of Manufacturing Chapter 19: Computer-aided Design/Engineering
plane to build each layer. A water-soluble sup- as but not limited to, direct metal laser sintering,
port material is used when necessary. selective laser sintering, and fused deposition
modeling, are considered additive manufactur-
3D Printing ing since they are capable of producing tooling
for injection molding and casting, parts for func-
Unfortunately, there is no universal defini- tional testing, and/or end-use parts (Campbell
tion of 3D printing (3DP). However, 3D print- et al. 2011).
ers use rapid prototyping technology and are Additive manufacturing has a number of
generally smaller, less expensive, and more advantages such as the ability to produce parts
user-friendly than larger rapid prototyping directly from a digital file, to accommodate
machines. They are also designed to be used in part complexity that is difficult to produce with
an office environment. other methods, and waste reduction. However,
A powder-based build material and a com- additive manufacturing faces several challenges
patible binder are used in 3D printing. Powder such as non-uniform part strength due to the
types typically include plaster, metal, and sand. layer-by-layer building process and a slow pro-
A print head, which is similar if not identical duction rate as compared to processes such as
to an inkjet print head, sprays binder in select injection molding (Campbell et al. 2011).
locations as it passes over the powder in the x-y
plane. If using plaster powder, it is possible to
REVIEW QUESTIONS
use a second print head that can print multi-
color prototypes. After one layer is printed, a 19.1) What are the names of the exchange
roller distributes another layer of powder. The standards used to exchange CAD data between
print head then prints the next layer. After different CAD systems?
completion, the part is removed and excess 19.2) Which type of 3D CAD modeling is trans-
powder removed. parent in nature?
Finishing the parts, to increase strength, de- 19.3) Which type of solid modeling uses primi-
pends on the type of powder used. Plaster powder tives to create solid images?
parts can be sprayed with a solution of Epsom
19.4) What process must be done after collecting
salt and water, or dipped in isocyanate. Metal
a point cloud?
powder parts are sintered to impart strength.
19.5) Which stage of FEA produces a color image
showing stress distribution on the part?
Jetted Photopolymer
19.6) Which type of rapid prototyping uses a
In the jetted photopolymer process, a print
laser and an ultraviolet-light-sensitive polymer?
head containing multiple jets moves in the x-y
plane as it deposits a photocurable polymer 19.7) Can rapid prototyping create a part that
onto a build tray. After deposition of one layer, can be physically tested?
the polymer is immediately cured by ultraviolet
light. The build tray then lowers and the next REFERENCES
layer is deposited and cured. Similar to the FDM Bakerjian, Ramon and Philip Mitchell, eds. 1992.
process, jetted photopolymer also uses a support Tool and Manufacturing Engineers Handbook, Fourth
material that is generally water soluble. This Edition. Volume 6: Design for Manufacturability.
process can produce prototypes of varying stiff- Dearborn, MI: Society of Manufacturing Engineers.
ness depending on the polymer mixture used.
Campbell, T., C. Williams, O. Ivanova, and B. Garrett.
2011. “Strategic Foresight Report: Could 3D Print-
19.5 ADDITIVE MANUFACTURING ing Change the World?” Washington D.C.: Atlantic
Additive manufacturing (AM), an extension Council, October.
of rapid prototyping, produces parts by building Cook, Robert, David Malkus, Michael Plesha, and
one layer at a time as compared to subtractive Robert Witt. 2001. Concepts and Applications of
manufacturing that removes material to form a Finite Element Analysis, 4th Ed. New York: John
part. Several rapid prototyping processes, such Wiley & Sons.
171
Fundamentals of Manufacturing Chapter 19: Computer-aided Design/Engineering
BIBLIOGRAPHY
Rapid Technologies & Additive Manufacturing Com-
munity of SME. 2011. Glossary of Terms. Dearborn,
MI: Society of Manufacturing Engineers.
Society of Manufacturing Engineers. 2003. “Rapid
Prototyping” DVD. Fundamental Manufacturing
Processes Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
Society of Manufacturing Engineers. 2006. “Reverse
Engineering: 3D Capture” DVD. Manufacturing In-
sights Video Series. Dearborn, MI: Society of Manu-
facturing Engineers.
Society of Manufacturing Engineers. 2007. “Medical
Applications of Rapid Prototyping” DVD. Manufac-
turing Insights Video Series. Dearborn, MI: Society
of Manufacturing Engineers.
Society of Manufacturing Engineers. 2008. “Comput-
er-aided Design” DVD. Fundamentals of Tool Design
Video Series. Dearborn, MI: Society of Manufacturing
Engineers.
20
PRODUCT DEVELOPMENT AND DESIGN
Product development is the set of activities are assessed before moving on to the next stage.
that begins with identifying a problem or need For a product to reach the marketplace, it must
and ends with a solution to the problem or ful- pass through all of the stages and gates.
filling the need (product or service). Part of the
product development process, product design PRODUCT DEVELOPMENT PHASES
takes customer requirements and translates
There are a number of ways to group and label
them into technical and aesthetic specifications
the phases of new product development. In this
to generate a concept. Successful product devel-
chapter, they are defined as follows:
opment and design are extremely important to a
company’s ability to be competitive. Some factors Phase 0: Identify the problem or need,
affected by product design and development are Phase 1: Create a proposal,
time to market, quality, cost, product features, Phase 2: Develop concepts,
and manufacturability. Phase 3: Design and engineering,
Phase 4: Prototype and testing, and
20.1 NEW PRODUCT DEVELOPMENT Phase 5: Product launch.
New product development is a strategic
process. Compared to the total number of new Phase 0: Identify the Problem or Need
product ideas, very few make it into the mar- Many new and successful products start with
ketplace. In general, new products are allowed addressing a problem or filling a need in the
two or three generations to be accepted by the marketplace. Asking who, what, when, where,
market. In other words, a company has two to and how will aid in determining what is wrong.
three attempts to meet customer requirements This documentation will help describe the prob-
and gain market acceptance. Considering the lem or need in detail.
resources required for new product development For accurate problem identification, it is im-
and the losses incurred from a failed product portant to ensure the problem is real rather than
introduction, such as time, money, and reputa- perceived. For example, is the need to customize
tion, using a strategic methodology is crucial. a piece of software real or perceived? A software
One such methodology is the stage-gate devel- engineer may believe the need is real when,
opment process. This dynamic process incorpo- in fact, it is not. In reality, few people need to
rates a series of development activities (stages) customize software on their own. A particular
with corresponding decision points (gates). The modification might be a nice feature, but only
stages are where the actions of activities and de- for a limited number of users.
liverables occur. Gates are decision points where It is also important to avoid problems that
the business case, quality, and product systems do not need to be solved. For example, wireless
Collecting data from customers can be ac- reduction in the number of engineering
complished by: changes across the product’s life cycle.
Figure 20-2. The four stages of QFD (Wick and Veilleux 1987).
176
Fundamentals of Manufacturing Chapter 20: Product Development and Design
Figure 20-4 shows a simplified example of a be used more effectively to help ensure a com-
“house of quality” matrix. petitive product. Ranking can also help reduce
If questionnaires are used, the data col- the overall product cost. For example, using
lected can be reviewed to determine if the an expensive digital instrument cluster on a
customer comments need to be interpreted motorcycle may drive up the price. However,
into customer requirements. If a customer says a less expensive, standard analog instrument
“the battery dies too quickly on my cordless cluster might satisfy the needs of the customer
drill between charges.” The interpreted cus- and be good enough. It is important to spend
tomer requirement would be long battery life. money on features or functions the target cus-
Customer requirements also must be ranked. tomer values.
Not every requirement is of equal importance
to the target customer. For example, the weight
of a cordless drill may be more important to an Phase 2: Develop Concepts
older homeowner than the battery life. Weight- After the proposal has been created, it is time
ing helps the designer focus on those customer to develop concepts. The following are elements
requirements that are critical so resources can of Phase 2:
177
Fundamentals of Manufacturing Chapter 20: Product Development and Design
is based on identified criteria such as technical ate the CAD models and layout. In design, many
feasibility, financial feasibility, market oppor- issues need to be addressed such as geometry,
tunity, environmental concerns, etc. Sometimes tolerances, material, layout, required functions,
companies will select one concept and take it all features, product, size, shape, and color, etc.
the way through the entire stage-gate develop- Once the CAD models and layouts are com-
ment process. This approach works, provided plete, an array of activities can commence, such
the correct concept is initially selected. If a flaw as DFMEA, PFMEA, and control plan develop-
in the concept is detected during prototyping, it ment to ensure that products meet or exceed
might be cost prohibitive to pick a new concept customer requirements. (DFMEA and PFMEA
and start again. Consequently, the company are discussed later in this chapter.) CAD mod-
may not produce the most competitive product els can be sent to suppliers to be reviewed for
and will need to rely on incentives and design manufacturability and to request component
changes in future generations. Some companies pricing to determine if it makes fiscal sense to
will carry multiple concepts through prototyp- make or buy the components.
ing and then pick the best design. This is more The manufacturing process can require the
expensive in the early stages, but helps ensure design of production tooling, fixtures, and gages.
a competitive product. Obviously, nothing is Further examples of manufacturing issues that
guaranteed and there are risks either way. need to be addressed are the supply chain, target
production numbers, capacity, quality assurance
Phase 3: Design and Engineering plan, necessary tooling, capital equipment, etc.
After the concept is created, it is time to de-
sign and engineer the product or service. The Phase 4: Prototyping and Testing
following elements are part of Phase 3. Part of the product development process, pro-
totypes are used to communicate various aspects
Create a marketing plan.
of the product to a variety of people inside and
Create the product/service specification.
outside the organization. Some of the purposes
Create CAD models and layouts, including
of prototypes are to:
the design’s dimensions, defined tolerances,
and materials. help others in the organization, such as
Conduct the design failure mode and effects those in management and sales, under-
analysis (DFMEA). stand what the product will look like and
Create a control plan. how it will work;
Obtain quotes from suppliers. help suppliers more accurately quote their
Outline the manufacturing process and services;
expenses; include the plant layout and the help investors to understand the product;
process failure mode and effects analysis help identify subsystem integration
(PFMEA). problems;
Design the production tooling. help identify manufacturability issues; and
Design the checking fixtures and gages. help downstream manufacturers begin in-
corporating the product into their designs.
The design and engineering phase is a concur-
rent engineering activity. It includes activities There are two broad classes of prototypes,
in areas such as marketing, quality, design, physical and simulated or virtual. Physical
and manufacturing. After concepts have been prototypes are tangible—they can be held.
developed and presented, it is time to solidify the Simulated prototypes are computer-generated
market(s) the product will compete in and define simulations of the product or system. Physical
issues such as market size, target market pen- prototypes will be discussed here (simulation
etration, price point, product family, etc. Defining will be covered in a subsequent chapter).
which market the product/service will compete In general, physical prototypes are expen-
in aids in defining the product/service specifica- sive and thus need to be strategically devel-
tions, which will be used by the engineer to cre- oped. Because the process to create prototype
179
Fundamentals of Manufacturing Chapter 20: Product Development and Design
parts is less efficient than for production parts, planning, prototyping, and evaluation, issues
much more time and money are needed. The can arise during the pilot build. Solving them
per-part cost of prototypes can be many times at this stage is expensive but crucial.
the actual production part cost. Even though Also part of Phase 4, testing is performed
prototypes are expensive, when used effec- to verify the design and process that will be
tively, they can reduce the overall program used to manufacture the product. A design
expense. For example, if production tools were verification plan and report tracks and docu-
created first rather than prototype tools, and a ments testing throughout the life of the prod-
radical design change occurred, the entire tool uct, from design to process validation. It is a
could be scrapped. It is important to identify comprehensive, single document that outlines
the purpose and/or testing plan before a pro- all of the necessary tests, simulations, analysis,
totype is built. or inspections required for a single component,
Rapid prototyped parts can be difficult and subassembly, or full assembly.
expensive to produce in production. As an ex- During the verification process, components
ample, parts with negative draft and recessed are ordered and built up to validate the design
cavities are relatively easy to rapid prototype. and process intended for production. Compo-
But in production, such a part might need to be nents and assemblies are life-cycle tested and
injection molded in several pieces and assembled checked for reliability. For example, a new
or made in one piece by a complicated tool with recliner mechanism in a car seat is tested at
potentially low process capability. the component level. The mechanism also is
Physical prototypes can be grouped into two built into a complete seat assembly and tested.
large categories, visual and functional. As the Finally, the complete seat is installed into a car
name implies, visual prototypes are for visual- for complete vehicle testing. Among other tests,
ization purposes only. Functional prototypes, the mechanism is tested for strength, “Will it
usually more expensive, demonstrate how the be strong enough in a vehicle crash?” and func-
product will function. tionality, “Does the seat recline to the specified
There are many types of physical prototypes angle?” Depending on the results, engineering
generated during the stage-gate development changes may be required to meet the desired
process. For example, during concept develop- product/service specifications.
ment, concept prototypes can be built if sketches Process verification includes activities such as
do not convey enough information. Concept accessing the initial process capability, evaluat-
prototypes are fairly crude and nonfunctional. ing measurement methods and devices such as
Following the concept prototype are alpha gages, verifying that parts meet design specifi-
and beta prototypes. Alpha prototypes have cations, the production part approval process
some of the functionality of the final product; (PPAP), packaging evaluation, and updating the
however, they may not be made of the same ma- production control plan as necessary.
terial as the finished product and are typically
made by a process, such as rapid prototyping, Phase 5: Product Launch
rather than the final production process. Beta The final phase in new product development
prototypes are fully functional versions of the is the product launch. The product is built
final product. They are of the same size, shape, using the production tooling and production
and material as the final product but are not assembly process. It is ideal to start with low-
necessarily made by the final production pro- volume runs to allow for workforce training.
cess. Beta prototypes are used for final testing After careful planning and preparation, the
and evaluation. The final prototype, known as launch should go smoothly. However, issues
the pilot build or pre-production prototype, is may arise during a new product launch due
made in limited quantity by the final production to design or manufacturing problems not an-
process. The pilot build is used to determine and ticipated or discovered in the previous phases.
solve unexpected issues in the manufacturing While changes are expensive at this stage, they
process and product design. Despite all of the may be necessary.
180
Fundamentals of Manufacturing Chapter 20: Product Development and Design
In DfD, the product’s architecture and compo- phase. At various stages of the product design
nent design should support the breakdown of the and process development phases, the FMEA is
product into pure material streams. By selecting re-evaluated.
the same material for multiple components, the
designer can reduce the number of items that APPLICATIONS
have to be disassembled to get to a pure mate- Initiation, development, and re-evaluation of
rial stream. the FMEA process typically occur when:
When selecting a material, it is important to
understand its market demand and the value of New product designs, new technology, new
that material stream in the recycling market. It application of technology, development of a
is ideal to choose a material that has a valuable new process, or a new product/process are
material stream. This increases the likelihood introduced to an existing facility inexpe-
and ease of recycling. rienced in the proposed product/process.
When creating the product architecture and The focus is on overall risk minimization
component design, it is important to consider and problem identification for recently
how the assembly will be disassembled. The introduced items.
goal is to be able to disassemble the product for Revisions or changes to existing products
a cost that is less than the value of the material. and/or processes are required. Product and
Limiting the number of components that have process modifications may result from cus-
to be disassembled, the number of tools used, tomer feedback, manufacturability concerns,
and the number of times to rotate or move the reliability failure, warranty concerns, or con-
product in the disassembly process are just a tinual improvement of the product or process.
few of the items to consider. Focus is on the impact of changes and their
The number and types of fasteners should associated risks.
be limited. In some situations, fasteners can be There is transfer of technology, product, or
eliminated altogether by designing them into the process to an alternate environment. Focus
product, such as a snap-fit. Designing fasteners is on the effects, problems, and risks associ-
out of the same material as the components they ated within the new environment.
bind reduces the need for separation. If this is Periodic, continuing risk evaluation and
not feasible, using two dissimilar materials, such mitigation are part of continual improve-
as metal and plastic, will allow for magnetic ment efforts. The focus is on using the
separation. FMEA process as an improvement tool,
regardless of product and process maturity.
20.6 FAILURE MODE AND EFFECTS ANALYSIS Review of the FMEA can further reduce risk
and uncover potential problems.
Failure mode and effects analysis (FMEA) is a
systematic process to assure that potential prob-
lems are identified and risks mitigated through- TYPES OF FMEAS
out product design and development. All facets The design failure mode and effects analysis
of the product and the manufacturing processes (DFMEA) and process failure mode and effects
and systems to produce it are considered when analysis (PFMEA) are two basic types of FMEAs
developing the FMEA. In addition to managing that can be applied to most product, process, and
and identifying risk, the FMEA is a tool for the service applications.
facilitation of continual improvement. Further, The main focus of the design failure mode and
the FMEA serves as a structured method to effects analysis is to identify design constituents
capture and preserve historical information from that could lead to premature product failure,
preceding product designs and manufacturing overall product failure, product safety concerns,
processes. The FMEA is intended to be a proac- and product manufacturability problems.
tive, dynamic process taking place early in the Typical inputs into the DFMEA include items
product design phase and prior to the purchase such as customer and engineering specifications,
of equipment and tooling in the manufacturing warranty claims, manufacturability data, block
183
Fundamentals of Manufacturing Chapter 20: Product Development and Design
185
186
Fundamentals of Manufacturing Chapter 20: Product Development and Design
At one time, the preferred approach was to similarly designed parts. The ease with which
set an arbitrary RPN (for example, 50) thresh- parts can be designed using CAD systems ex-
old; any process with an RPN greater than the acerbates the problem. A GT database helps
threshold was required to have recommended reverse this tendency by enabling the quick
actions implemented. However, by assigning a and easy retrieval and review of existing parts
threshold value, high-severity failures may go similar to the new part being designed. With
unaddressed and teams may focus on arbitrarily GT, the design engineer only needs to identify
lowering detection or occurrence to keep below the code describing the desired part. A search
the threshold. Consequently, this is no longer the of the GT database reveals whether a similar
preferred method. Current practice is to evalu- part exists. If a similar part is found—and this
ate the top RPN values (often the top three or is most often the case—the designer can simply
five), and/or severity times occurrence values, modify the existing design to design the new
and develop recommended actions. After these part. In essence, GT enables the designer to
actions are complete and risk is reduced, the top start the design process with a nearly complete
RPNs are again identified, actions implemented, design. For example, a designer may find a
and risk reduced. This iterative procedure is gear identical to the one being designed but of
carried out for the life of the product or process, a different thickness. Simply copying the exist-
thereby driving continual risk evaluation, reduc- ing design and making minor changes saves
tion, and improvement. substantial design time and effort by helping
Development of an FMEA is a multidisci- to prevent “redesigning the wheel.”
plinary team effort. Leadership and support for Group technology also facilitates standardiza-
the FMEA process are necessary for success. It tion and rationalization (S&R), which helps con-
is management’s responsibility to provide the trol part proliferation and eliminates redundant
necessary resources to develop the FMEA, to part designs. It is common for a company to have
help prioritize actions, and assure that the rec- many similar versions of the same part, such
ommended actions are implemented as defined. as a gear. When the company implements GT,
similarities among gears can be identified, and
20.7 GROUP TECHNOLOGY it is possible to create standardized gears that
Group technology (GT) is an approach to re- are interchanged in a variety of applications and
duce manufacturing system information content products. S&R such as this pays big dividends
by identifying and exploiting the sameness or in that it simultaneously creates economies of
similarity of parts based on their geometrical scale by increasing part volume and economies
shape and/or similarities in their production of scope because the same gear can be used in a
processes. GT is implemented by using classifi- variety of applications.
cation and coding systems to identify and under- The grouping of related parts into part
stand part similarities and establish parameters families is the key to group technology imple-
for action. Group technology allows manufactur- mentation. The family of parts concept not only
ing engineers to determine more efficient ways provides the information necessary to design
to increase system flexibility by streamlining individual parts in an incremental or modular
information flow and reducing setup time and manner, but also provides information for ra-
floor space requirements. Design engineers can tionalizing process planning and forming ma-
focus on producibility and help eliminate tooling chine groups or cells to process the designated
duplication and redundancy. part family. A part family may be defined as a
GT can be applied in many ways to produce group of related parts possessing some specific
significant design efficiencies and product sameness and similarity. Design-oriented part
performance and quality improvements. One families have similar design features, such as
use is for facilitating significant reductions in geometric shape. Manufacturing-oriented part
design time and effort. In design, it is often families can be based on any number of different
erroneously deemed easier to design new considerations. Such considerations may include
parts, tooling, and jigs rather than try to locate parts manufactured by the same plant, parts
187
Fundamentals of Manufacturing Chapter 20: Product Development and Design
that serve similar functions, such as shafts or coding system. Though they are the most costly
gears, or parts fabricated from the same mate- to implement, classification and coding systems
rial. All these parts could conceivably be grouped are the most accurate.
into part families.
Three methods of grouping parts are com- CODING SYSTEMS
monly used: visual inspection, production flow The two main coding systems in use are at-
analysis (PFA), and classification and coding. tribute based (polycodes) and hierarchical based
Visual inspection of parts and their drawings is (monocodes).
quite simple but limited in effectiveness when In attribute coding, the simpler of the two, code
a large number of parts is involved. Production symbols are independent of each other. Codes of
flow analysis assesses the operation sequence fixed length span parts families and each position
and routing of the part through the machines in in the code corresponds to the same variable.
the plant. Using the data from operation sheets Because of this, each attribute to be coded must
or route cards instead of part drawings, part be represented by one digit, which can make the
families are formed. Part classification and cod- code quite long in some cases. Figure 20-9 illus-
ing is perhaps the most effective and widely used trates an attribute coding scheme.
method. In this approach, parts are examined A hierarchical code structure is designed so
abstractly to identify generic features that are that each digit in the sequence is dependent on
captured using an agreed-on classification and the information carried in the digit just preceding
it. Generally, the first digit holds the most basic 20.2) Which type of prototype is fully functional
information, and each succeeding digit contains but not necessarily made by the final production
more specific information. This makes it possible process?
to capture a great deal of information in a rela-
20.3) What has the biggest influence on product
tively short code. Figure 20-10 illustrates a hi-
cost?
erarchical-based coding scheme (Bakerjian and
Mitchell 1992). (a.) product design
(b.) material
REVIEW QUESTIONS (c.) labor
(d.) overhead
20.1) What does “gate” refer to in the stage-gate
development process? 20.4) What does the “X” in DFX stand for?
20.5) What three factors comprise the RPN Society of Manufacturing Engineers. 2005. “Design
value? for Manufacture and Assembly” (DFMA) DVD. Manu-
facturing Insights Video Series. Dearborn, MI: Society
20.6) Using the “house of quality” refers to
of Manufacturing Engineers.
which stage of the QFD process?
20.7) Which group technology method uses
operation and routing data for grouping parts
into families?
REFERENCES
Automotive Industry Action Group (AIAG). 2008.
Potential Failure Mode and Effects Analysis, 4th
Ed. Chrysler Group, Ford, and GM Supplier Quality
Requirements Task Force. Figures 20-7 and 20-8
reprinted with permission. Southfield, MI: AIAG.
Bakerjian, Ramon and Philip Mitchell, eds. 1992.
Tool and Manufacturing Engineers Handbook, Fourth
Edition. Volume 6, Design for Manufacturability.
Dearborn, MI: Society of Manufacturing Engineers.
Crow, Kenneth. 1996. Implementing Integrated Prod-
uct Development Practices: Lessons Learned. Table
20-1 reprinted with permission. Palos Verdes, CA:
DRM Associates.
Munro and Associates, Inc. 2008. Munro Report
Issue 002, http://www.leandesign.com/newsletters/
munroreport002.html. Figure 20-2, shadow diagram
is reproduced with permission. Troy, MI: Munro &
Associates, Inc.
Wick, Charles and Raymond Veilleux, eds. 1987. Tool
and Manufacturing Engineers Handbook, Fourth
Edition. Volume 4, Quality Control and Assembly.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Boothroyd, Geoffrey, Peter Dewhurst, and Winston
Knight. 2011. Product Design for Manufacture and
Assembly. Boca Raton, FL: CRC Press
Society of Automotive Engineers. 2009. “Potential
Failure Mode and Effects Analysis in Design (Design
FMEA), Potential Failure Mode and Effects Analysis
in Manufacturing and Assembly Processes (Process
FMEA),” standard J 1739. Warrendale, PA: SAE,
Automotive Quality and Process Improvement Com-
mittee, January.
Society of Manufacturing Engineers. 2004. “Failure
Mode Effects Analysis” (FMEA) DVD. Manufactur-
ing Insights Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
21
INTELLECTUAL PROPERTY
The purpose of this chapter is to provide an idea is so clearly defined in the inventor’s mind
overview of intellectual property. It does not that only ordinary skill would be necessary to
constitute legal advice. For legal advice, please reduce the invention to practice.
contact an attorney. Reduction to practice can be accomplished two
ways: actual and constructive. In actual reduction
21.1 PATENTS to practice, the invention must have been made
and sufficiently tested to demonstrate that it will
A United States patent for an invention is
work for its intended purpose, and that purpose
the grant of a property right to the inventor;
must have a known utility. The constructive
it is issued by the United States Patent and
reduction to practice can be obtained by filing a
Trademark Office (USPTO). The patent grants
patent application with the USPTO.
the right to “exclude others from making, using,
offering for sale, or selling” the invention in the Only the true inventors can be named in the
United States or importing the invention into patent application. A patent can be invalidated
the United States. The extent of that right is if all of the inventors have not been named in
limited by the invention specification and claims a patent application. Therefore, identifying
of the patent. What is granted is not the right to co-inventors is important. Simply reducing to
make, use, offer for sale, sell, or import, but the practice what has been conceived by others is
right to exclude others from making, using, offer- insufficient grounds for co-inventorship. To be
ing for sale, selling, or importing the invention. a co-inventor, a person must contribute to the
Once a patent is issued, the patent holder must conception of the claimed invention. However,
enforce the patent without aid of the USPTO. a co-inventor need not contribute to the concep-
tion of every claim of a patent; a single claim is
sufficient. In addition, a co-inventor need not
INVENTORSHIP “make the same type or amount of contribution”
Inventorship is the term applied to the person as the other co-inventors.
who initially conceives the invention. The courts As mentioned earlier, U.S. patents are issued
have ruled that, unless a person contributes to to the inventor. An inventor has an indivisible
the conception of the invention, that person is right to do what he wants to with the patent,
not an inventor. Under patent law, conception for example, to license, manufacture, or sell the
of the invention has been defined as, “the forma- patented product. However, the patent can be
tion in the mind of the inventor of a definite and owned by a legal entity through an assignment
permanent idea of the complete and operative of rights. Inventors generally assign their rights
invention as it is thereafter to be applied in to the corporation or employer that they work
practice.” Conception is complete only when the for as part of their employment agreement.
Assuming the entire right, title, and interest USC 102. The examiner will then look at the
has been assigned, the assignee has complete prior art and make a decision about the “ob-
ownership and control over the prosecution, viousness” of the invention claimed in the
maintenance, and enforcement of the patent application. More specifically, the examiner
application and any resulting patents. will consider whether the claimed inven-
tion would have been obvious to someone
PATENTABILITY having “ordinary skill in the art,” in light
The USPTO is governed by the laws in chap- of the prior art.
ter 35 of the United States Code, commonly de-
noted by 35 USC and the rules listed in chapter TYPES OF PATENTS
37 of the Code of Federal Regulations denoted Utility patents may be granted to anyone who
as 37 CFR. For an invention to be patentable it invents or discovers a new and useful process,
must be useful, novel, and non-obvious according machine, article of manufacture, composition
to 35 USC 101, 35 USC 102, and 35 USC 103, of matter, or any new and useful improvement
respectively. thereof. The term of a United States utility
35 USC 101 (utility) defines as patent- patent issuing from an application filed after
able subject matter any process, machine, June 8, 1995 is 20 years from the date on
manufacture, or composition of matter or which the application was filed in the United
any new, useful improvement thereof. This States. If the application claims priority to an
definition has been determined to include earlier-filed, non-provisional patent applica-
things such as software and business tion, the 20-year period is measured from the
methods. These items are relatively new filing date of that earlier application. Under
additions to the things that can be patented. certain circumstances, patent term extensions
Laws of nature and perpetual motion ma- or adjustments may be available.
chines are not patentable. Design patents may be granted to anyone who
invents a new, original, and ornamental design
35 USC 102 (novelty) defines what is for an article of manufacture. Design patents
considered novel and what qualifies as have a term of 14 years from the date granted.
prior art. For example, a patent cannot be Plant patents may be granted to anyone who
granted if “the claimed invention was pat- invents or discovers and asexually reproduces
ented, described in a printed publication, or any distinct and new variety of plants. Plant pat-
in public use, on sale, or otherwise available ents have a term of 20 years from the filing date.
to the public before the effective filing date
of the claimed invention.” There are several PROVISIONAL PATENT APPLICATIONS
exceptions. For example, “a disclosure made
Sometimes before filing a formal utility ap-
1 year or less before the effective filing date
plication, an inventor may choose to file a provi-
of a claimed invention shall not be prior art
sional patent application, which is an informal
to the claimed invention if the disclosure
patent application that establishes a filing date
was made by the inventor or joint inven-
for the subject matter disclosed in the applica-
tor or by another who obtained the subject
tion. The provisional patent application is not
matter disclosed directly or indirectly from
required to meet the requirements of a utility
the inventor or a joint inventor.”
patent application, and is not even required to
35 USC 103 (non-obviousness) defines include claims. A provisional patent application
what is considered obvious and the test expires 12 months after its filing date. During
for “obviousness.” During the examination the 12-month term, the owner of the provisional
process, the examiner will search for and patent application may mark as “Patent Pending”
review prior art related to the invention. any products described in the application. A pro-
“Prior art” refers to any publication, patent visional patent application is never examined or
application, sale, public use, or anything published. It can provide the basis and filing date
else that qualifies under any section of 35 benefit for a subsequent utility patent application,
193
Fundamentals of Manufacturing Chapter 21: Intellectual Property
provided that the subsequent application claims prior art, or present both amendments and ar-
priority to the provisional application, and is filed guments. To be considered fully responsive, the
within the 12-month term of the provisional pat- applicant must respond to every objection and
ent. Any claims in the utility patent application rejection in an office action. The examiner will
supported by disclosure of the provisional patent review the response and can allow all claims,
application will be awarded priority of the filing reject some claims and allow some, or reject all
date of the provisional patent application. the claims, among other actions.
Inventors will many times utilize a provi- The examination process continues until the
sional patent application if they are looking to examiner makes the office action “final.” Any
license their invention or test the market. This response to a final office action must place the
provides the security of establishing a priority claims in condition for allowance or the examiner
filing date in the U.S. Patent Office for the in- may refuse to enter the response into the record.
vention. It is also helpful to have a provisional Following a final office action, the applicant may
patent application on file prior to approaching a file a request for continued examination (RCE),
potential licensee because it defines the potential which requires the payment of a fee equal to the
scope of the invention being licensed. filing fee for a patent application. The filing of an
RCE resets prosecution such that the examiner
PATENT EXAMINATION PROCESS must enter and consider any amendments or
arguments presented by the applicant.
Once the inventor submits the application
Assuming some claims are allowed and the
and required fees, the application is assigned
applicant wants to accept the allowance, she
to a technology group in the patent office and
must pay the issue fee. Once the patent is issued,
ultimately to an examiner. The examiner will
the applicant can begin to enforce her patent
review the application, claims, drawings, and
rights. Maintenance fees must be paid in the
search for prior art.
fourth, eighth, and twelfth years after the patent
The examiner will compare the claims to what
issues. Prior to issuance, the applicant can file
is shown in the prior art and issue an action
a separate application called a continuation to
from the United States Patent Office (commonly
continue prosecuting the claims not allowed in
referred to as an “office action”). Office actions
the original application.
can be procedural or substantive. An example of
Sometimes during prosecution the inventor
a procedural office action is a restriction require-
ment, in which the examiner asserts that the will make improvements to the invention. Keep
in mind that no “new matter” can be added to an
applicant is claiming more than one invention.
application once it is submitted. In this case,
United States patent laws limit a patent to a
the application can be split to disclose and
single invention. Another example of a procedural
claim the new matter in a separate application
office action is one that “objects” to the claims,
called a continuation-in-part.
written description, or drawings in the patent
application because they fail to meet the technical
requirements of a rule. PATENT INFRINGEMENT
A substantive office action will typically reject A patent is infringed when each and every
one or more claims of the application as antici- element of one of the patent claims is present
pated (not novel) by a prior art reference, obvious in an accused product or process. The patent
in view of one or more prior art references, or owner may seek an injunction prohibiting fur-
both anticipated and obvious. The substantive ther infringement, or damages based on the
office action initiates the negotiation process unauthorized manufacture, use, sale, or import
with the United States Patent Office, referred of infringing goods or practice of an infringing
to as patent prosecution. process. The federal district courts have original
In response to a substantive office action, the subject matter jurisdiction over patent infringe-
applicant can amend the claims to define the in- ment lawsuits.
vention over the prior art, make arguments as to In deciding an infringement suit, the court may
why the claimed invention is patentable over the not only adjudicate the infringement question,
194
Fundamentals of Manufacturing Chapter 21: Intellectual Property
but also may reconsider the validity of the patent TREATIES AND FOREIGN PATENTS
itself. For example, if it was found that the United The rights granted by a U.S. patent extend
States Patent and Trademark Office was inten- only to the territory of the United States and
tionally misled, a federal court could invalidate have no effect in a foreign country. An inventor
the patent based on fraud. Proving a patent to be who wants patent protection in other countries
invalid is a common infringement defense. must apply for a patent in each of the other
A patent owner may mark products covered
countries or in regional patent offices. Almost
by a patent claim with the applicable patent
every country has its own patent law. A person
number. Marking a product in this manner gives
desiring a patent in a particular country must
rise to constructive notice to the public that
make an application in that country, in accor-
the product is covered by a patent. Damages
dance with its particular requirements. There
for infringement of a patent commence upon
are two treaties, the Paris Convention and the
constructive or actual notice of the patent to the
Patent Cooperation Treaty, which aid applicants
infringing party. A patent owner who does not
in foreign filing.
mark his products with the applicable patent
number must provide actual notice of the in-
fringement to the alleged infringer. Such notice Paris Convention Treaty
typically takes the form of a demand letter, and The Paris Convention is a treaty adhered to
damages accrue as of its date. by about 170 countries. It helps those who wish
Marking an article as patented when it is not to obtain patent protection in more than one
in fact patented is against the law and subjects country adhering to the treaty. Under the Paris
the offender to a penalty. Some persons mark ar- Convention, a patent applicant may file foreign
ticles sold with the terms “Patent Applied for” or patent applications within 12 months following
“Patent Pending.” These phrases have no legal the filing date of the original application, and
effect, but give information that an application such foreign patent applications will be awarded
for patent has been filed with the USPTO. False a priority date of the original application filing
use of these phrases or their equivalent is pro- date. An applicant must hire local counsel to
hibited. The protection afforded by a patent does prosecute the application in countries other than
not start until the actual grant of the patent. the United States.
Direct infringement occurs when someone
copies a patented invention. The copy need only
Patent Cooperation Treaty
infringe on one claim of the patent to be consid-
ered an infringing product. If the infringer did The Patent Cooperation Treaty (PCT), which
not know about the patent or did not intend to came into force on January 24, 1978, facilitates
infringe, he is still liable for infringement. the filing of applications for patent on the same
Induced infringement or indirect infringement invention in member countries. It provides,
occurs when someone induces another person to among other things, centralized filing proce-
infringe. For example, if someone sells a kit of dures and a standardized application format.
parts with assembly instructions knowing that The World Intellectual Property Organization
the assembled product is infringing, that person (WIPO) manages the PCT and the international
is an indirect infringer. filing process.
Contributory infringement occurs when The timely filing of an international applica-
someone provides components to another tion affords applicants an international filing
knowing that the components will be used in date in each country. It provides a search of the
an infringing product or process. To prove con- invention and an extended time period within
tributory infringement, the components must which the national applications for patent must
be claimed in the patent. They cannot be com- be filed (Department of Commerce 2005).
mon components, such as nuts and bolts, which The PCT procedure has two phases, inter-
can be used in multiple applications. The seller national and national. In the international
also must be aware that they will be going into phase, an international application is filed with
an infringing product or process. a central receiving office, either the USPTO,
195
Fundamentals of Manufacturing Chapter 21: Intellectual Property
EPO (European Patent Office), or one of several invention may not be compatible with existing
other designated receiving offices. When the product lines. If this is the case, several options
international application is filed, the applicant may be available to the organization to capitalize
must designate the countries in which he wishes on the invention. Two such options are: 1) manu-
to file national phase applications. A prior art facture the invention and license other organiza-
search is conducted by a searching authority tions to market it, or 2) license other organizations
selected by the applicant, and an international to manufacture, use, and market the invention.
search report is issued. A written opinion is then Either of these options may be chosen with the
forwarded by the PCT examining authority, and hope of realizing immediate gain, depending
the applicant has the option of prosecuting the on the licensee’s manufacturing and marketing
patent application at the international level with capabilities.
the examining authority. Generally, about 30 Licenses can come in different varieties such
months after filing, the applicant is required to as exclusive and nonexclusive. An exclusive
enter into the “national phase” in which an ap- license gives one licensee exclusive permission
plication must be filed in any of the individual to make, use, or sell products protected by the
countries designated. patented technology. Exclusive licenses typically
PCT applications have two primary advan- provide the licensor an annual royalty based on
tages. They delay the cost of foreign patent pros- net sales and minimum annual payments. In
ecution for 30 months while the applicant decides some cases, equity can be substituted for royalty
whether such costs are justified in view of the payments. A nonexclusive license gives two or
value of the claimed invention. They also permit more licensees permission to make, use, or sell
an applicant to negotiate potentially allowable products protected by the patented technology.
claim language at a single, central, international Nonexclusive licenses can be based on geography
office, in a language convenient to the applicant, or field of use (for example, industry sector).
such that when the applicant enters the national These types of licenses are also royalty bearing.
phase there is little to do but pay the patent grant
fees. Each of the national phase countries has its 21.2 COPYRIGHT
own procedures and methods. Generally, an ap-
A copyright is a form of protection provided
plicant must hire local counsel to prosecute each
under the laws of the United States to authors
of the applications in each of the countries chosen.
of “original works of authorship.” This includes
A good cost-benefit analysis is necessary in mak-
literary, dramatic, musical, artistic, software,
ing a decision to file in countries other than the
three-dimensional works such as lamps and stat-
United States because of the expense involved.
ues, and certain other intellectual works. Protec-
With the world becoming a global market, good
tion is provided for published and unpublished
decision-making becomes imperative.
works. The owner of a copyright has exclusive
rights to do (or authorize) reproduction, prepa-
PATENT LICENSING ration of derivative works, or distribution of the
A patent license is a waiver of patent infringe- copyrighted work for sale, lease, and rental, or to
ment granted by a patent owner to a licensee in transfer ownership. Copyright protects original
exchange for royalties or other consideration paid works of authorship that are fixed in a tangible
or provided by the licensee. Patent licenses are form of expression. The fixation need not be
often granted as part of a patent litigation settle- directly perceptible so long as it may be com-
ment in exchange for the accused infringer paying municated with the aid of a machine or device.
an agreed-upon amount in damages or royalties. Some works not protectable under the copy-
In many cases, an organization or individual right statutes include blank forms, names, titles,
that owns all rights and title to a patent may not short phrases, clauses, ideas, or principles.
be in a position to capitalize on it. An organiza- Works that are common property and contain
tion may not be in a position to manufacture and no original authorship such as standard calen-
sell the invention because of limited manufac- dars, height and weight charts, tape measures,
turing or marketing capabilities or because the schedules of sporting events, and lists or tables
196
Fundamentals of Manufacturing Chapter 21: Intellectual Property
DIGITAL MILLENNIUM COPYRIGHT ACT (DMCA) those of another. As defined in the Trademark
The Digital Millennium Copyright Act was Act of 1946, a trademark includes any word,
signed into law by President Clinton on Octo- name, symbol, device, or any combination
ber 28, 1998. The legislation implements two thereof, adopted and used by a manufacturer or
1996 World Intellectual Property Organization merchant to identify goods and distinguish them
(WIPO) treaties: the WIPO Copyright Treaty from those manufactured or sold by others. Its
and the WIPO Performances and Phonograms basic function is to identify the origin or source
Treaty, United States Copyright Act, Title 17 indicator of the product to which it is affixed.
USC, Section 1201. There are four types of marks:
The DMCA is the latest amendment to copy- 1. Trademark (TM)—used on goods.
right law as of this writing. It introduces a new 2. Service mark (SM)—used in the advertis-
category of copyright violation, the “circumven- ing of services.
tion” of technical locks and controls on digital 3. Certification mark—a graphical mark used
content and products. The producers of software by groups on a commercial product (for
and other copyright-protectable expressions example, UL, CE, and CPA).
have the right to put “locks” on their products 4. Collective mark—used by an organization
to prevent copying, and it is illegal to remove that owns the mark (for example, Shri-
or circumvent these locks or to produce devices ners®, Boy Scouts®, Eagles®, etc.).
that facilitate their circumvention.
As with patents and copyrights, trademarks
One of the other provisions of the DMCA is
enjoy legal protection. A trademark offers a
to limit the liability of online service providers
monopoly of sorts, because it provides the owner
for copyright infringement of materials placed
with the exclusive right to use the mark on the
on their websites by users. The service provid-
goods or services for which it is registered. Its
ers must have a designated agent to receive
value is derived from its function as a visual
notifications of these alleged infringement
assurance of the source or manufacturer of the
claims. This is done by providing the contact’s
product bearing the mark, thereby creating and
information to the U.S. Copyright Office and
maintaining demand for the product.
posting the same information to the online
Rights can be established for a mark based
service provider’s website.
on its legitimate common law use without a
registration. Common law trademark protection
COPYRIGHT INFRINGEMENT AND REMEDIES can accrue in any geographic region where the
Preregistration or registration of the copy- goods with the mark attached, in the case of a
right claim is necessary before a civil action for trademark, are sold, or wherever the services
infringement can be instituted (U.S. Copyright have been provided or advertised in the case of
Office 2010, 17 USC 411). Aside from registra- a service mark.
tion, proof of infringement of a protected work Any time common law rights are claimed
must show “access” and “striking/substantial in a mark, the “TM” (trademark) or “SM” (ser-
similarity.” If these elements are successfully vice mark) designation should be used to alert
proven, then a judgment for the actual damages the public to the claim, regardless of whether
and profits lost may be issued. there is an application with the USPTO. The
A plaintiff may alternatively choose to receive federal registration symbol “®” may be used
“statutory damages,” which are usually between only after the USPTO actually registers a mark,
$750 and $30,000 per work. However, if it can be and not while an application is pending. Also,
proven that the infringement was committed “will- the registration symbol may be used with the
fully,” these damages can be up to $150,000 per mark only on or in connection with the goods
work. Sometimes attorney fees may be awarded. and/or services listed in the federal trademark
registration.
21.3 TRADEMARKS Owning a federal trademark registration on
A trademark is a distinctive mark used to the principal register provides several advan-
distinguish the products of one producer from tages, such as:
198
Fundamentals of Manufacturing Chapter 21: Intellectual Property
constructive notice to the public of the reg- a designated country does not refuse protection
istrant’s claim of ownership to the mark; within a specified period, the protection of the
a legal presumption of the registrant’s mark is the same as if it had been registered
ownership of the mark and the regis- by that office. The Madrid system also greatly
trant’s exclusive right to use the mark simplifies management of the mark, since it is
nationwide (without regard to use in the possible to record subsequent changes or to renew
geographic region) on or in connection the registration through a single procedural step.
with the goods and/or services listed in the
registration; Trademark Strength
the ability to bring an action concerning the Generic marks are those marks used to de-
mark in federal court; scribe the goods themselves, such as “bread”
the use of the U.S registration as a basis to for bread, “car” for an automobile, etc. Policy
obtain registration in foreign countries; and prohibits registration of these generic marks
the ability to file the U.S. registration as others must be allowed to use the “mark” on
with the U.S. Customs Service to prevent goods. Generic marks are not protectable.
importation of infringing foreign goods. A descriptive mark directly describes, rather
Rights in a federally registered trademark than suggests, a characteristic or quality of the
can last indefinitely if the owner continues to use underlying product (for example, its color, odor,
the mark on or in connection with the goods and/ function, dimensions, or ingredients). Such marks
or services in the registration, and if all neces- say something about the product such as “Pizza
sary documentation is filed with the USPTO at Hut.” Unlike arbitrary or suggestive marks,
the appropriate times. descriptive marks are not inherently distinctive
and are protected only if they have acquired
TRADEMARK PROTECTION “secondary meaning.” Secondary meaning can be
obtained after five years of exclusive use of the
To obtain a trademark registration, first the
mark and submission of additional paperwork
appropriate mark must be used on goods (TM)
and fee to the U.S. Patent and Trademark Office.
or services (SM) sold or advertised across state
A suggestive mark evokes or suggests a
or federal lines. Then an application, filing fee,
characteristic of the underlying good or service.
description of goods/services, and copies of at
Some exercise of imagination is needed to asso-
least one specimen showing use of the mark on
ciate the word with the underlying product or
the packaging or goods in the case of a trade-
service. At the same time, however, the word is
mark, or copies of advertisements, in the case
not totally unrelated to the underlying product.
of a service mark, are submitted to the USPTO.
For example, “Greyhound” suggests quick bus
The trademark office will do a search in its da-
service. Like arbitrary or fanciful marks, sugges-
tabase for conflicting marks or those marks that
tive marks are inherently distinctive and given
could “likely cause consumer confusion” about
a high degree of protection.
the source of the goods or services. If any con-
An arbitrary or fanciful mark, such as “Apple”
flicting marks are found, the application would
for Apple Computers, is a mark that bears no
most likely be denied a registration.
logical relationship to the underlying product or
service. Arbitrary or fanciful marks are inher-
International Marks ently distinctive and capable of identifying an
The Madrid Protocol offers a trademark owner underlying product or service. Thus, they are
the possibility to have a mark protected in several given a high degree of protection.
countries by simply filing one application directly
with a national or regional trademark office. An Trademark Loss
international mark so registered is equivalent to Trademark rights can be lost through aban-
an application or a registration of the same mark donment, improper licensing or assignment, or
effected directly in each of the countries desig- by becoming generic. Several well-known marks
nated by the applicant. If the trademark office of have become generic through misuse, such as
199
Fundamentals of Manufacturing Chapter 21: Intellectual Property
thermos, aspirin, escalator, zipper, and yo-yo. compiled information, thus giving the organi-
All of these marks were registered but through zation an opportunity to obtain an advantage
misuse they have become genericized and any- over competitors who do not know or use the
one can now use them. Monitoring and checking secret.
the uses of marks is a good idea so that rights Not withstanding the legal aspects of trade
are not lost. secret law, trade secrets offer an attractive and
Dilution is the blurring or tarnishing of the practical alternative to patents as a means of
image or persona of a well-known mark by protecting proprietary information. In many
use of a similar mark typically on unrelated cases, an organization would rather avoid the
goods, or in a manner that tends to reduce its time, expense, and risk involved in the pat-
distinctiveness. Dilution causes of action are ent process. Thus it may choose to enshroud
normally brought when the defendant’s use of the project with secrecy and capitalize on it
the mark causes: immediately. Once a patent application is pub-
lished or patent has been issued, the invention
“Blurring,” which weakens the connection
becomes public information, making it easy for
in consumers’ minds between the plaintiff’s
competitors to analyze and improve the product
mark and the respective goods or services; or
or process, thereby weakening the advantages
“Tarnishment,” which means that the de-
the patent is supposed to provide.
fendant’s use is unsavory or unwholesome,
In the U.S., 46 states have adopted some form
or the mark is used in connection with
of the 1985 Uniform Trade Secrets Act (UTSA).
inferior products.
In those states in which the UTSA has been
adopted, the act replaces either old state trade
TRADE NAMES secret statutes or a long history of judge-made
A trade name indicates the business name state law, referred to as the “common law.”
of an entity. Each state has business license The definition of trade secret from the UTSA
requirements that involve registering trade is: “information, including a formula, pattern,
names with the city, county, or state offices. compilation, program, device, method, tech-
Corporations must usually register with their nique, or process, that: (i) derives independent
native Secretary of State office, but all states economic value, actual or potential, from not
are different. being generally known to, and not being read-
ily ascertainable by proper means by, other
TRADE DRESS persons who can obtain economic value from its
Trade dress is defined as a visual impression disclosure or use, and (ii) is the subject of efforts
that functions like a word trademark. Color that are reasonable under the circumstances to
schemes, textures, sizes, designs, shapes, and maintain its secrecy.”
placements of words, graphics, and decorations A person may violate the UTSA in several
on a product or its packaging are considered ways. He may willingly steal trade secret in-
trade dress. The doctrine for trade dress has formation or accept information known to be
expanded recently to include things such as a stolen. If a trade secret is stolen, and so proven
product’s “total image” or “overall appearance” under the UTSA, then persons benefiting from
and “may include features such as size, shape, the theft may be required to reimburse the
color or color combinations, texture, graphics, company that initially possessed and protected
or even certain sales techniques” (Department of the secret.
Commerce 2005).
REVIEW QUESTIONS
21.4 TRADE SECRETS 21.1) What property right does a U.S. patent
In industry, a trade secret offers a legiti- grant?
mate and effective means of market protection. 21.2) What type of patent is used to protect
A trade secret is simply a means of restricting the ornamental nature of an article of manu-
information on formulas, designs, systems, or facture?
200
Fundamentals of Manufacturing Chapter 21: Intellectual Property
REFERENCES
Department of Commerce. 2005. “General Informa-
tion Concerning Patents.” Washington, D.C.: United
States Patent and Trademark Office.
U.S. Copyright Office. 2010. “Title 17 United States
Code.” Washington, D.C.: U.S. Copyright Office.
BIBLIOGRAPHY
Gilbert, J. 2004. The Entrepeneur’s Guide to Patents,
Copyrights, Trademarks, Trade Secrets, and Licens-
ing. New York: Berkley Books.
22
PRODUCT LIABILITY
The law permeates all aspects of today’s so- ations where individuals were injured largely on
ciety and its professions. The engineering pro- account of technology.
fession is no exception. The interplay between Early in U.S. history, American law generally
the products that engineers design and the law adopted the tenets of English law, which gov-
governing these products is complex. Although erned transactions between a buyer and a seller
there is no national product liability law, certain of goods. The law was based on the principles of
general legal concepts are more often than not contract (some vestiges still remain today, primar-
used in any analysis of it. This chapter is in- ily regarding warranty claims). The overarching
tended to familiarize the manufacturing profes- rule governing transactions involving the sale
sional with some of these concepts and provide of goods was caveat emptor, or “let the buyer
an overview of basic legal terms encountered in beware.” In other words, the risk of defects in a
product liability law. The reader is advised that product, whether hidden or otherwise, was often
this chapter does not constitute legal advice. considered the buyer’s problem.
Toward the end of the 1880s, courts began to
hold sellers responsible for “hidden defects” in
22.1 PRODUCT LIABILITY LAW HISTORY a product. In granting some protection for the
Legal scholars define product liability as: purchaser in these transactions, courts reasoned
“A manufacturer’s or seller’s liability for any that if a buyer paid fair value for a product, the
damages or injuries suffered by a buyer, user, sale raised an implied warranty against hidden
or bystander as a result of a defective product” defects (Owen 2005).
(Garner 2009). In 1916, the law expanded even further be-
Over the years, product liability law has ex- cause of the outcome of the case of MacPherson
panded exponentially. One thrust behind this v. Buick Motor Co., 217 NY 382, 11 NE 1050
expansion is myriad products that have been (1916). A non-purchaser, injured in an acci-
designed and manufactured because of continu- dent caused by a defective car, was allowed to
ous scientific and technological advances since sue the manufacturer on a defective warranty
the Industrial Revolution. This list includes theory. With this case, courts began the process
products such as automobiles and trains to of sculpting and expanding the law of product
computers and cell phones, and expands to the liability. Rather than looking at the isolated
machinery and equipment that manufactures transaction between the immediate buyer and
them. As technology has advanced, the courts seller, courts began to assess responsibility in
have seen a progressive increase in injury cases some circumstances against those who manu-
due to the use of new products. Thus, the area of factured the product, notwithstanding the fact
product liability law has evolved to address situ- that the manufacturer may not have actually
sold the product to the buyer. The judge’s opinion Thus, an injured individual frequently files a
on MacPherson foreshadowed some underlying product liability lawsuit against another “per-
principles of product liability law: “If the nature son” in the form of a corporation.
of a thing is such that it is reasonably certain The legal term for a civil wrong not involving
to place life and limb in peril when negligently a breach of contract is called a tort. When an
made . . . The manufacturer of this thing of individual, called the plaintiff, believes that she
danger is under a duty to make it carefully.” has been injured by another’s civil wrongdoing,
Thus courts began to look beyond the transac- she can file a lawsuit (sue) against the alleged
tion between the immediate buyer and seller wrongdoer, the defendant, usually to seek money
and expanded notions of manufacturer respon- damages. The general legal premise behind
sibility to the ultimate consumer. By 1982, the civil lawsuits is to “make the plaintiff whole” or
MacPherson Rule was incorporated in some form “compensate the plaintiff for the injuries done”
into all states’ laws concerning product liability. by a defendant’s wrongdoing. By contrast, in the
In 1963, another court decision declared that criminal justice system, the state or federal pros-
manufacturers of defective products could be ecutor acts on behalf of the “people.” The goal of
found strictly liable in tort (a tort is a civil wrong, a criminal prosecution is to punish the defendant
which allows the injured person to sue for money for his or her wrongful act—not necessarily to
damages) to persons injured by such products. make the plaintiff whole.
Strict liability was a radical departure from the
rule of caveat emptor. Over the next 10–15 years, LAWSUITS
the doctrine of strict liability in tort, together
A civil product liability lawsuit begins by fil-
with a variety of secondary principles, spread
ing a legal document, called a complaint, in a
rapidly throughout the United States. This
court of law. In the complaint, the plaintiff states
marked the birth of modern product liability law.
how the product allegedly failed, and outlines
Having evolved over time from many thousands
one or more legal theories (discussed later) as to
of court cases and a proliferation of state reform
how the defendant’s product was defective. The
statutes, the prevailing law has grown to be
plaintiff also states how the defective product
quite complex (Owen 2005).
caused the injury and damages for which com-
pensation is sought. Products that carry exces-
22.2 LEGAL PROCESS AND PROCEDURE sive risks for harm are sometimes described as
Much of product liability law is the result of being defective, which is at the heart of product
court decisions. How a judge decides one case liability law and most product liability lawsuits.
may evolve into a legal rule or “precedent” for Virtually every product, when put to certain
future cases. A brief description of the U.S. le- uses, can become dangerous in some manner
gal system, and how product liability cases are and to some extent. Thus, the user or consumer,
litigated, is helpful. not the product manufacturer, is generally
The legal system has two divisions: the crimi- held to be responsible for the natural risks as-
nal law system and the civil law system. It is well sociated with product misuse (described later).
known that a criminal wrong is called a crime. However, some products do carry excessive risk.
One way to think of criminal law is as public In these situations, it is the manufacturer, not
law developed to regulate relationships between the consumer or user of the product, who is gen-
individuals and the government. By contrast, erally held responsible. Generally, the manu-
the civil law system has been described by some facturer is responsible for risks in the product
as private law because it often governs the rela- that either are expected (that is, foreseeable)
tionships between individuals (Enghagen 1992). or could have been reasonably avoided. When
Product liability can be thought of as an this occurs, the law says that the product can
example of a private law in the civil system be found to be defective. Before the law shifts
because it often controls relationships between a risk of loss to the manufacturer, however,
individuals. In the law, there is a legal fiction the type or level of danger in a product must
that considers a “corporation” as a “person.” be excessive (Owen 2005).
203
Fundamentals of Manufacturing Chapter 22: Product Liability
In civil proceedings, the plaintiff has “the The term negligence is defined as: “failure to
burden of proof.” In other words, the plaintiff exercise the standard of care that a reasonably
must present evidence about how the defendant’s prudent person would have exercised in a similar
product was defective and how that defect caused situation” (Garner 2009). Negligence theory has
the plaintiff’s injury. The plaintiff presents this deep historical roots in the overall history and
evidence through a variety of means including development of American tort law and, thus, in
documents, witnesses, and often product testing. product liability cases.
In most product liability lawsuits, engineers The primary purpose of negligence law is to
provide some of this evidence on behalf of both protect others from unreasonable risks of harm,
the plaintiff and defendant, as expert witnesses. which are foreseeable and, therefore, prevent-
The plaintiff’s expert witness explains how the able. Under negligence law, the failure to conform
product was defective and how the injury could a person’s conduct to that of the hypothetical
have been avoided. The defendant’s expert coun- “reasonable person” results in legal liability if
ters with an explanation of how the product was that failure results in injury to another person or
not defective, how the defendant’s conduct was property. If a person uses reasonable care, then
reasonable, and does not match any of the plain- the conduct is not negligent. The degree of care
tiff’s theories. Frequently, a product liability case required in a given situation involves balancing
boils down to a battle of the experts. the amount of care needed to avoid risk that is
If a product liability case goes all the way proportionate to the expected risk. This formula
to trial, all of this evidence is presented to a has been called the “calculus of risk” (Dobbs 2001).
jury. Depending upon the jurisdiction, a certain The reasonable person is a pivotal character
majority of jurors must agree on the decision or in any application and discussion of the law of
verdict after engaging in thoughtful delibera- negligence. The standard of care exhibited by
tions. (This is unlike the criminal jury whose a reasonable person is consistently analyzed
verdict must be unanimous.) by courts when deciding whether a defendant’s
After a trial, either the plaintiff or defendant conduct was or was not negligent.
has the right to appeal the jury’s verdict to an There are four key elements to any tort law-
appellate court. The job of the appellate court suit based on negligence:
is to review the case and determine whether 1. a legal duty owed to the plaintiff by the
the law was applied properly to the facts found
defendant;
during the trial. Appellate courts generally do
2. a breach of that duty;
not overturn facts found by a jury. Rather, the
3. causation of damages to the plaintiff by
appellate judges tend to focus on the questions
the breach; and
of law that arose during the trial. 4. actual damages suffered by the plaintiff.
22.3 LEGAL THEORIES OF RECOVERY If any of these elements is missing, the lawsuit
Product liability lawsuits can be brought will fail and a defendant will not be held liable
against any entity in the chain of the product’s for negligent conduct. In the specific context of
distribution—the manufacturer, seller, and/or a product liability suit, the elements of a neg-
supplier. These lawsuits are generally based on ligence cause of action often appear as follows:
three main theories: negligence, strict liability, the manufacturer (seller and/or supplier)
and/or breach of warranty (Owen 2005). A fourth owed a duty to the plaintiff to make, sell,
theory, misrepresentation, is also significant. or supply a product that was not defective;
Reference to specific state laws is an absolute the manufacturer (seller and/or supplier)
imperative because state laws differ and some breached this duty by manufacturing (selling/
states do not recognize all of these theories. supplying) a defective product;
the manufacturer’s breach was a cause of the
NEGLIGENCE THEORY plaintiff’s injury; and
Negligence is the principal cause of action the plaintiff suffered actual damages that are
in American product liability law (Owen 2005). recoverable as a result of the breach.
204
Fundamentals of Manufacturing Chapter 22: Product Liability
Ford’s engineers should have been to redesign the explosion and fire, caused the death of one
and retest it. Especially since the failure was plaintiff and severe injuries to another.
catastrophic, thereby posing a significant risk
to human health and safety. The vulnerability Damages
of the Pinto’s fuel tank at speeds of 20–30 miles
A plaintiff must also prove actual injury to
per hour could have been remedied by inexpen-
collect damages in a negligence case. If there are
sive modifications to the vehicle. Ford, however,
no damages, then the fourth element of the tort
produced and sold the Pinto to the public without
is missing and, by definition, the defendant will
doing anything to remedy these known defects,
not be held liable for negligence. For example,
largely because doing so would have increased
if a press malfunctions and no one is injured,
the cost of manufacturing the Pinto, thereby
no individual could prevail on a claim for neg-
cutting into company profits.
ligence because he could not prove damages.
In upholding $3.5 million in punitive dam-
The specific type and the amount of damages a
ages against Ford Motor Company (an enormous
plaintiff is entitled to collect is often subject to
award in the 1970s), the court said: “Viewing the
state-specific laws.
record thusly in the instant case, the conduct of
Generally, a plaintiff is entitled to collect the
Ford’s management was reprehensible in the
“out of pocket” damages suffered, for example,
extreme. It exhibited a conscious and callous
doctor and hospital bills, and lost wages. Plain-
disregard of public safety to maximize corporate
tiffs may also collect damages for what is called
profits…Ford’s tortuous conduct endangered
pain and suffering. How the pain and suffering
the lives of thousands of Pinto purchasers . . . .”
damages are proven to the jury is often left up
to the creativity of the plaintiff’s attorney. In ad-
Causation dition, a plaintiff may be able to collect punitive
damages. As the name implies, these damages,
After establishing duty and breach, the
sometimes called exemplary damages in certain
plaintiff must then prove that the defendant’s
jurisdictions, are designed to punish the defen-
negligence actually caused the injury. One way
dant or to deter future conduct.
to think of causation involves the use of a two-
pronged test. The plaintiff must show that a In negligence cases, a plaintiff can only
defect in a defendant’s product both factually collect punitive damages if he proves that the
and legally caused the injury. defendant’s conduct was outrageous, reckless,
The test for proving the “factual cause” is or malicious. One theory is that awarding
fairly simple. The plaintiff must prove that he punitive damages will act as a deterrent to
would not have been injured but for a defect in protect consumers from future harm. Punitive
the defendant’s product or the defendant’s neg- damage awards are frequently the subject of
ligence. “Legal cause” (also called “proximate appeals and recent United States Supreme
cause”) means that the plaintiff must prove Court decisions have made them vulnerable
that the defect that caused plaintiff’s injury was to reduction.
reasonably foreseeable by the defendant dur-
ing the design or manufacturing process. Thus, Negligence Theory Applications
even assuming that the defendant’s product In product liability cases, there are three
injured the plaintiff, the defendant will not be main applications of the negligence theory: neg-
held liable under a theory of negligence in most ligent design, negligent manufacture, and negli-
jurisdictions if the plaintiff’s injuries were not gent failure to warn. The plaintiff will typically
foreseeable (for further reading, see Owen 2005 attempt to prove that the product is defective
and American Law Institute 1998). due to one or more of these applications.
In the case of the Pinto, Ford knew through Negligent design. Recall that “reasonable
its own pre-production testing that the gas conduct” involves using due care in considering
tank could explode. Thus, the explosion was a alternative designs, methods, and materials
“foreseeable” event. Accordingly, the court found during the overall design, manufacture, and
Ford negligent because the foreseeable event, warning process (Owen 2005). Also recall that
206
Fundamentals of Manufacturing Chapter 22: Product Liability
“reasonable” does not mean perfect. Courts protect occupants from a “second collision”—the
analyze reasonable conduct by weighing the collision that occurs inside the vehicle after initial
risk of injury and the cost of safety to eliminate impact. Courts have held that second collisions
defects that will cause the harm. This means are clearly foreseeable and manufacturers have
applying the cost-benefit formula at each step an obligation to make vehicles reasonably safe
in the manufacturing process. Evidence of cost in the event of such collisions (Edwards and
analysis, expert testimony on design, reason- Edwards 2004).
able alternatives, and whether a product was Negligent manufacture. “A product con-
manufactured with a defect all comprise the tains a manufacturing defect when the product
proof often offered in product liability cases. departs from its intended design, even though
“The concept of design defectiveness is the all possible care was exercised in the preparation
heart of product liability law . . . finding an and marketing of the product” (American Law
acceptable definition for what constitutes ‘de- Institute 1998). In the manufacturing process,
fective’ design is a difficult task. The courts ac- the manufacturer is held to a duty of “reasonable
complish it on the facts of each individual case” care” to avoid mistakes that can cause harm to
(Owen 2005). When formulating the product the foreseeable consumer. This standard applies
concept, the manufacturer makes decisions that in all stages of the production process—from
will affect the safety of the entire product line. the selection and testing of raw materials and
These decisions include, for example: the types component parts—to construction, assembly,
and strengths of raw materials and component and preparation of the product for distribution.
parts, the manner in which they are combined Even when a manufacturer exercises the ut-
into the finished product, whether safety de- most care, it is possible that some products will
vices are included, the overall product concept, contain manufacturing flaws that are dangerous
and the type and extent of prototype testing to users or third parties. It is for this reason that
to ensure that the product works, and works manufacturers implement quality control and
safely, when put to use (Owen 2005). “The test is quality assurance systems, including sampling
whether a reasonable alternative design would, and testing of products off the assembly line, as
at reasonable cost, have reduced the foreseeable appropriate, to demonstrate that “reasonable
risks of harm posed by the product and, if so, care” was taken (Owen 2005).
whether the omission of the alternative design Negligent failure to warn. A manufacturer
rendered the product not reasonably safe” also has the duty to adequately warn consumers
(American Law Institute 1998). about foreseeable injuries that can occur when
Design defect allegations fall into one of three using the manufacturer’s products. The basic
categories: 1) structural defects; 2) absence philosophy behind this duty is that the manu-
of needed safety features; and 3) foreseeable facturer sits in a position of possessing greater
misuses of the product. Manufacturers are not knowledge about its product and any potential
obligated to provide the most durable design. for harm it may cause. Thus a manufacturer has
Their duty, however, is to make the product the legal duty to warn the purchaser/consumer
“reasonably safe.” A product will be deemed of known dangers in the product. If the proper
defective if it is not designed properly and does warning is not on a product, the manufacturer
not contain reasonable safety features. can be held liable for failure to warn.
A common argument/defense in design defect As a general rule, the duty to warn involves two
cases is that the product was misused and this parts: 1) a duty to warn the user against hidden
caused the danger. If the misuse is reasonably dangers; and 2) a duty to instruct users on how
foreseeable by the manufacturer, then the manu- to use the product to avoid these dangers (Owen
facturer must take reasonable design precautions 2005). Again, the reasonable person enters the
to protect the plaintiff against the danger of the equation: “Liability for warning defects is limited
misuse. A common example of foreseeable mis- to ‘foreseeable risks of harm.’ That is, the harm
use centers on the production of “crashworthy” could have been avoided by the consumer if the
vehicles. Plaintiffs argue that a vehicle should manufacturer provided “reasonable instructions
207
Fundamentals of Manufacturing Chapter 22: Product Liability
or warnings” (Owen 2005). For example, assume reasonably dangerous if it was designed and/or
that the manufacturer of a degreasing product made improperly, or bears insufficient warning
used by garage mechanics knew that permanent of its dangers, such that the product should not
eye damage could occur if any of the degreaser have been sold. Strict liability applies despite
got into the eye of a user. The law would likely the fact that “the seller has exercised all possible
determine that eye contact by the user was a care in the preparation and sale of his product”
reasonably foreseeable event. Therefore, the (Owen 2005).
manufacturer would be obligated to place an For strict liability to apply, the plaintiff must
appropriate warning on the degreaser to alert prove five things:
users about the product’s risk of permanent eye
1. that the product was in a defective condi-
damage.
tion when it left the possession or control
“It must be noted that warnings do not trump
of the seller;
design defects. A manufacturer can be held
2. that it was unreasonably dangerous to the
liable because of the absence of information
user or consumer;
needed by users to avoid product hazards . . . a
3. the defect was a cause of the plaintiff’s
manufacturer may not ‘merely slap a warning
injuries or damages;
onto its dangerous product and absolve itself of
4. that the seller engaged in the business of
any obligation to do more . . . [In other words],
selling such product; and
[a] warning is not a Band-Aid to cover a gaping
5. the product was one that the seller expect-
wound, and a product is not safe simply because
ed to and did reach the user or consumer
it carries a warning” (Owen 2005).
without substantial change in the condi-
tion it was in when he sold it.
STRICT LIABILITY THEORY
While negligence is grounded in fault, strict BREACH OF WARRANTY THEORY
liability means that a manufacturer can be held There are two types of warranties, express
responsible for the harm caused by a defective and implied. An express warranty is one “cre-
product, regardless of fault. Strict liability is ated by the overt words or actions of the seller”
defined as: “Liability that does not depend upon (Garner 2009). In an express warranty, the seller
negligence or intent to harm, but is based on the communicates that the product possesses cer-
breach of an absolute duty to make something tain qualities. The warranty exists after state-
safe” (Garner 2009). Strict liability is considered ments are made that would lead a reasonable
by some to be a severe rule of law. It developed buyer to believe that such statements had been
as the manufacture of new products boomed and made to induce the bargain. The word “war-
society and the courts began to focus on protect- ranty” does not have to be used by the seller. The
ing consumers from defects in products. Uniform Commercial Code (UCC), section 2-313,
Strict liability comes into play when there is defines how an express warranty can be created
the sale of a product that is deemed unreasonably and contains detailed warranty definitions.
dangerous. It is then, by definition, “defective.” An example of an express warranty would be
Courts reason that because the manufacturer is if a landscaper wants to buy a stone cutter to
in a better position than the consumer to know cut extremely large granite boulders. The seller
about potential defects in its own product, the knows what the landscaper needs and says
manufacturer should bear the full (strict) liabil- about a stone cutting saw in his store that, “This
ity for any injury that flows from its manufacture will work to cut granite boulders.” An express
of a product found to be unreasonably dangerous warranty attaches to these words. Similarly, if
(Owen 2005). a seller tells a purchaser that a canvas camping
While the precise scope of a strict liability tent is “waterproof,” the consumer would have a
cause of action is governed by state-specific laws, claim for breach of express warranty if the tent
most states have adopted the principles found was not waterproof.
in Section 402(A) of the Restatement of Torts, Implied warranties, however, are imposed
Second. Generally, a product is considered un- by law on a seller when a product is offered
208
Fundamentals of Manufacturing Chapter 22: Product Liability
for sale. They are divided into two categories: the defendant makes a misrepresentation
1) the warranty of merchantability; and 2) the for the purpose of inducing the plaintiff’s
warranty of fitness for a particular purpose. As dependence on the misrepresentation;
one court explained, “implied warranty claims the defendant understands that the repre-
do not require the plaintiff to specify the type of sentation is false;
defect alleged. The mere showing that something the plaintiff, with good reason, relies on the
went wrong consistent with the existence of a misrepresentation; and
defect is sufficient” (Owen 2005). the plaintiff suffers damages based on this
The warranty of merchantability is outlined in reliance.
the UCC. It means that a product is reasonably
suited for the general uses for which it will be
purchased and sold. The warranty of fitness for a 22.4 DEFENSES TO PRODUCT LIABILITY CLAIMS
particular purpose is also outlined in the UCC. It The best way to avoid liability in the products
means that the seller impliedly represents that context is for an organization to exercise appro-
its products are “fit” for the particular purpose priate care at all times during the design, manu-
for which the product is being purchased. For facture, and sale of products, ensuring that they
example, a standard ladder is considered mer- are safe for use by users and consumers. However,
chantable if it supports a normal user under beyond careful planning at all phases of these
normal conditions of use. If, however, the ladder processes, there are numerous legal defenses
is specifically designed to accommodate a par- to product liability lawsuits. A legal defense is
ticular industrial use, it is impliedly warranted presented by the defendant to refute a plaintiff’s
to be fit for that particular purpose when it is claims that the plaintiff’s injuries were the result
sold. It can be said that the warranty of fitness of anything the defendant did or failed to do.
for a particular purpose goes further than the These defenses generally include: comparative
implied warranted of merchantability, because it negligence, assumption of risk, the state-of-the-
is an implied promise by a seller that the product art defense, and the statute of limitations.
“will meet the buyer’s particular needs” for that
product (Owen 2005).
COMPARATIVE NEGLIGENCE
The defense of comparative negligence focuses
INTENTIONAL MISREPRESENTATION THEORY on whether the plaintiff’s conduct caused all
This section discusses intentional misrepre- or part of his or her injuries. Sometimes called
sentation theory; although the law also recog- comparative fault, this defense assesses the
nizes the theories of negligent misrepresentation negligence of each party involved in the lawsuit
and, in some jurisdictions, strict responsibility to determine if the plaintiff’s injuries were at-
misrepresentation in product liability lawsuits, tributable in whole or in part to his own conduct.
these theories will not be covered here. One legal scholar describes comparative neg-
Intentional misrepresentation in a product ligence as “the courts opting for the apparent
liability case means that a manufacturer/ justice of making each party to an accident bear
seller can be held liable for false statements it responsibility for the losses attributable to that
made about its product. Unlike the theories of party’s breach of good behavior” (Owen 2005).
negligence, strict liability, and warranty, the One theory of comparative negligence, some-
tort of intentional misrepresentation involves times described as pure comparative negligence,
intent on the part of the manufacturer or means that if a defendant was found by the court
seller. It also can be called “fraud” or “deceit.” to be 85% at fault and the plaintiff only 15%, the
Intentional misrepresentation can occur by a defendant would pay 85% of the total damages
positive action or statement or by knowingly awarded. Under another, sometimes termed
and intentionally concealing a material fact partial comparative negligence, the plaintiff re-
from a plaintiff. covers a percentage of the total damage award
To prove intentional misrepresentation, it must but only if the defendant is found to be more at
be shown that (Edwards and Edwards 2004): fault than the plaintiff. Thus, if the plaintiff is
209
Fundamentals of Manufacturing Chapter 22: Product Liability
found to be 51% or more at fault, she may not In negligent design cases, the state-of-the-
recover anything for her injuries, notwithstand- art defense raises the question of whether
ing the fact that the defendant was also found the manufacturer has a duty to design away
to be at fault. unknowable dangers. If the manufacturer had
no practical way to eliminate the danger, given
current technology, then the burden on the
ASSUMPTION OF RISK manufacturer to avoid injury outweighs any risk
If a plaintiff voluntarily decides to confront the of harm (Owen 2005).
harm created by defendant’s negligence, knowing The state-of-the-art defense is not available
the facts and understanding how the circum- in strict liability cases because strict liability
stances creates a risk, the plaintiff will be said to focuses on the nature of the product, rather than
have “assumed the risk” and the defendant will on the conduct of the manufacturer. State-of-
not be liable for negligence. The underlying idea the art defenses are used in negligent product
of this defense is that if a user has fully consented liability cases because negligence addresses the
to incur certain risks associated with the use of reasonableness of the defendant manufacturer’s
a product, the manufacturer should not be held conduct.
liable for the consequences of that decision.
As an example, an experienced butcher knows
that meat should be pushed into a grinder by a STATUTE OF LIMITATIONS
metal tool, known as a stomper. If the butcher Each state has laws that impose a time limit
decides to push the meat into the grinder with on when a product liability lawsuit can be filed.
his hands, instead of using the stomper, he has If the case is not filed within the time limits,
assumed the risk of his subsequent hand injury it is barred from ever being brought. In some
(Owen 2005). One who takes on the risk cannot cases, it is easy to determine when the statute
sue the party that causes the risk (Garner 2009). begins to run. If a person is injured by a defec-
Proving that a plaintiff assumed the risk of his tive chain saw, it is easy to determine the date
injuries requires a fact-intensive analysis and of the injury. However, if someone is exposed
differs from case to case. to a product, such as a chemical, over a period
of years before any injury manifests itself, it is
more difficult to determine when the statute of
STATE-OF-THE-ART DEFENSE limitations period is said to begin and end.
“Most judicial opinions define state-of-the-art
defense in terms of feasible safety. One state,
for example, defines the defense as ‘the best 22.5 SAFETY LAWS AND STANDARDS
technology reasonably available at the time’. In a product liability lawsuit, it is important
A state-of-the-art defense has the defendant to understand the role of existing federal (for ex-
manufacturer saying that it did the best that ample, Occupational Safety and Health Adminis-
it could given current technology and science. tration [OSHA], National Highway Traffic Safety
The defect that the plaintiff claims injured him Administration [NHTSA], Federal Aviation Ad-
could not have been designed or warned against. ministration [FAA]), state, and industry safety
The meaning of this defense continues to evolve laws and standards. Compliance with these laws
as science and technology evolve” (Owen 2005). and standards is usually not a complete defense,
The law is reluctant to hold producers re- that is, a defense that completely eliminates a
sponsible for risks that they cannot control. defendant’s liability. Instead, regulatory compli-
For example, in negligent failure to warn cases, ance becomes a matter of “evidence” that supports
state-of-the art issues raise the question of the reasonableness of the defendant’s conduct.
whether the manufacturer had a duty to warn Thus, “compliance with a relevant governmental
of dangers that were unforeseeable at the time. safety standard is some evidence of a product’s
If a risk is unknowable, it is unforeseeable, and non-defectiveness and a manufacturer’s non-
so lies outside of a manufacturer’s duty to avoid negligence, but it is not conclusive on those
it (Owen 2005). issues” (American Law Institute 1998).
210
Fundamentals of Manufacturing Chapter 22: Product Liability
In some states, the law is such that a “re- Krauss, Michael. 2010. Principles of Product Liability
buttable presumption” that a product is not (Concise Hornbook). St. Paul, MN: Thomson/West.
defective is created if a defendant complies with Owen, David G. 2008. Products Liability in a Nutshell,
the applicable governmental regulations and Eighth Edition. St. Paul, MN: Thomson/West.
industry standards. This means the defendant
will be presumed to have acted reasonably. It
also means the plaintiff then has the burden of
proving that, despite compliance, the defendant
is still liable for a defective product.
REVIEW QUESTIONS
22.1) What is the definition of “product liability?”
22.2) Name two theories of recovery in product
liability lawsuits.
22.3) In which theory of recovery is there the
discussion of “reasonable conduct” and the “rea-
sonable person?”
22.4) What are the four key elements of a law-
suit based on the negligence theory?
22.5) Name two defenses that a manufacturer
can present in a product liability lawsuit.
REFERENCES
American Law Institute. 1998. Restatement of the
Law Third, Torts: Products Liability. St. Paul, MN:
American Law Institute. Parts reproduced with per-
mission of the American Law Institute.
Dobbs, Dan B. 2001. The Law of Torts. St. Paul, MN:
The West Group. Parts reproduced with permission
of the West Group.
Edwards, Linda L. and J. Stanley Edwards. 2004.
Tort Law for Legal Assistants, Third Edition. Clifton
Park, NY: Delmar Learning.
Enghagen, Linda K. 1992. Fundamentals of Product
Liability Law for Engineers. New York: Industrial
Press, Inc.
Garner, Bryan A., ed. 2009. Black’s Law Dictionary,
Ninth Edition. St. Paul, MN: Thomson Reuters. Parts
reproduced with permission of Thomson Reuters.
Owen, David G. 2005. Products Liability Law Horn-
book. St. Paul, MN: Thomson/West. Parts reprinted
with permission of Thomson/West.
BIBLIOGRAPHY
Geistfeld, Mark. 2011. Principles of Product Liability
(Concepts and Insights), Second Edition. New York:
Foundation Press.
Part 5
Manufacturing Processes
23
CUTTING TOOL TECHNOLOGY
to the cutting edges, because these edges are the The relief angles consist of the side-relief
ones specified in grinding a single-point tool. angle and the end-relief angle. Relief angles
The face of the tool consists of a back-rake provide clearance between the cut surface of the
angle and a side-rake angle. The rake angles workpiece and the tool. The side-relief angle in-
determine how the chip will flow from the work- dicates the relief below the side-cutting edge and
piece and across the face or rake face. The back- the end-relief angle indicates the relief below the
rake angle, as illustrated in Figure 23-2, is end-cutting edge as illustrated in Figure 23-2.
positive if the face slopes downward from the The cutting-edge angles consist of the side-
point toward the shank. It is negative if the face cutting-edge angle and the end-cutting-edge
slopes upward toward the shank. In general, the angle. The side-cutting-edge angle is the angle
negative rake angle is more suited for brittle between the side-cutting edge and the side of
cutting-tool materials such as ceramic. However, the tool shank or holder. It influences tool entry
a negative rake angle requires more cutting force into the workpiece. The end-cutting-edge angle
and more power in a cutting process. The side- is the angle between the end-cutting edge of
rake angle is the inclination of the face with re- the tool and a line at right angles to the side
spect to the side-cutting-edge angle. If the face of the tool shank. It prevents the end-cutting
slopes down and away from the side-cutting-edge edge from rubbing the workpiece.
angle, as illustrated in Figure 23-2, the angle is
positive. If it slopes upward, the side-rake angle 23.3 TOOL FAILURE AND TOOL LIFE
is negative.
In metal cutting, tool failure can be catego-
rized as gradual tool wear or catastrophic fail-
ure. There are two basic areas on the tool where
gradual tool wear can occur: on the relief face of
the tool, referred to as flank wear, and on the
rake face of the tool, called crater wear, as il-
lustrated in Figure 23-3. Flank wear is caused
by abrasion, plastic deformation of the tool’s
cutting edge, adhesion, and excessive cutting
speed. Diffusion due to high cutting tempera-
tures on the rake face, chemical reaction, and
adhesion cause crater wear. Diffusion is the
Figure 23-2. Single-point-cutting-tool angles. Figure 23-3. Flank and crater wear on a cutting tool.
215
Fundamentals of Manufacturing Chapter 23: Cutting Tool Technology
transfer of atoms across the interface between Figure 23-4 illustrates an example log-log plot
the workpiece and the cutting tool. of tool life in relation to cutting speed for a given
Adhesion, also known as attrition, occurs workpiece material and cutting tool material.
when two surfaces are brought together under An estimation of tool life based on specific
high pressure and high temperature. At suf- conditions can be calculated using Taylor’s tool
ficiently higher temperatures and pressures, life equation.
welding occurs between the chip and the tool n
face; when these welds fracture, minute pieces VT = C Eq. 23-1
of tool material are carried away with the chip. where:
Chipping is considered to be a catastrophic V = cutting speed, ft/min (m/min)
failure that occurs when a small piece breaks T = tool life, min
away from the cutting edge of the tool. Mechani-
cal shock, vibration, and thermal fatigue are the n and C are parameters that depend on factors
major causes of tool chipping. such as feed rate, depth of cut, workpiece mate-
A built-up edge (BUE), consisting of material rial, and tooling material. C is the cutting speed-
from the workpiece, may collect on the cutting ing corresponding to a tool life of 1 minute. Based
edges of the tool. This process, known as adhe- primarily on tooling material, approximate n
sion, occurs when two surfaces are brought values are presented in Table 23-2.
together under high pressure and high tempera- Example 23.3.1. Using the Taylor equation
ture. It can be caused by low cutting speed, poor for tool wear, let n = .125, V = 100 ft/min and
shearing action of the workpiece material, incor- C = 200 ft/min (C is the cutting speed at T = 1
rect cutting insert geometry, or high affinity of min). Find the tool life.
the workpiece material to the cutting insert or
its coating (Rodak 2004). The BUE can form and
break free continuously during cutting. Thus, it
can have a large influence on the surface finish
of the workpiece. Attrition wear occurs when
particles of the cutting tool break away along
with the BUE.
Notching wear is a single groove formation
that occurs simultaneously on the face and flank
of the tool at the depth of cut. This notch will
cause poor micro-finish on the part and may
precede a fracture failure mode. It can be caused
by attrition or machining hard or oxidized work-
pieces (Rodak 2004).
Thermal cracking appears as hairline cracks
perpendicular to the cutting edge. This can be
caused by fluctuating heating and cooling cycles
or fluctuating mechanical loads related to exces-
Figure 23-4. Log-log plot of tool life vs. cutting speed
sive feed rates (Rodak 2004).
(Drozda and Wick 1983).
Plastic deformation typically forms a bulge in
the flank area of the tool. It is generally caused
by excessive temperatures in the insert due to Table 23-2. Approximate numerical values
high cutting forces, excessive speed, and exces- for tool life exponent n
sive feed rate (Rodak 2004).
Tool life is defined as the period of the cutting Cutting Tool Material n
time that the tool can be used. Among all the HSS 0.1–0.2
variables that affect tool life, such as depth of Carbide 0.2–0.4
cut, feed rate, workpiece material, and tool ma- Ceramic 0.5–0.7
terial, cutting speed is the most significant.
216
Fundamentals of Manufacturing Chapter 23: Cutting Tool Technology
217
218
Fundamentals of Manufacturing Chapter 23: Cutting Tool Technology
Table 23-3. Classification of tungsten carbide per U.S. C system (Drozda and Wick 1983)
Common ceramic cutting tools include: are prone to bulk breakage. Grades containing
molybdenum carbides operate better on inter-
silicon nitride (Si3N4);
rupted cuts, resisting plastic deformation and
aluminum oxide (Al2O3 ) mixed with ZrO2,
maintaining a sharper edge throughout the
TiC or TiCN;
wear cycle.
aluminum oxide (Al2O3 ) mixed with silicon
carbide (SiC) whiskers, which increase
insert toughness due to their high tensile POLYCRYSTALLINE CUBIC BORON NITRIDE (PCBN)
strength and the nature by which they lock Polycrystalline cubic boron nitride (PCBN)
into the ceramic matrix; and was developed in the 1960s and is one of the
SiAlON—solid solutions of Al2O3 in Si3N4. hardest materials available. It is manufactured
by using high temperature and pressure to
CERMETS bond the cubic boron crystals together with a
ceramic or metal binder. PCBN is chemically
Another important family of sintered cut-
inert to iron and nickel and has high resistance
ting tool materials is called cermets. These
to oxidation. It has good hot hardness, thermal
were originally developed in Germany during
shock resistance, and can be operated at high
WWII but were too brittle at that time to gain
cutting speeds. However, its fracture toughness
widespread commercial use. Cermets reached
is generally less than that of conventional tung-
commercial success in the 1960s. They bridge
sten carbide but greater than ceramics. PCBN
the gap between cemented carbides and ceram-
inserts are excellent for finishing and close
ics in composition and function.
tolerance work in hard ferrous metals. They
Original cermets were comprised of TiC and
have a limited depth of cut and are well suited
a nickel binder. Modern cermets are typically
for machining ferrous metals with hardnesses
comprised of hard particles, such as titanium
of 55 Rockwell C and higher.
carbonitride (TiCN), a second hard phase, and
a cobalt binder. Cermets have sharp cutting
edges, provide excellent surface finishes, and POLYCRYSTALLINE DIAMOND (PCD)
have wear resistance (crater and flank wear) Cutting tools made from industrial grade,
on the order of 20 times higher than uncoated mined single-crystal diamonds have been used
carbide. However, this is still less than the for many years. However, many applications
higher performing pure ceramic tools. Hardness use polycrystalline diamond tools. Polycrys-
characteristics of cermet tools, including hot talline diamond (PCD) tools consist of micro-
hardness, are similar to carbide. Unlike carbide, sized diamond crystals in a carbide substrate
the metal matrix of a cermet determines its hot compacted and bonded together under high
hardness level. A cermet’s strength, toughness, pressure and temperature (sintering). Natural
and thermal shock resistance is lower than a and synthetic diamond crystals can be sintered
carbide (Destefani 2002). this way.
Cermets work best with materials that pro- Increased use of polycrystalline diamond
duce a ductile chip, such as steels and ductile cutting tools is due primarily to the greater
irons. Their increased speed capability enables demand for increased precision and smoother
them to machine carbon, stainless steels, and finishes in modern manufacturing, the prolif-
ductile irons at high speeds while producing eration of lighter weight materials in products,
excellent surface finishes. They work best in and the need to reduce downtime for tool chang-
dry cutting applications; in fact, coolant tends ing and adjustments to increase productivity.
to increase the wear of this material. With While PCD tools can also approach the tough-
strong geometry, cermets are also acceptable ness of some carbide (WC) grades, they are only
for deeper and intermittent cuts. Corrosion suited for nonferrous and nonmetallic materi-
resistance is another positive characteristic als. In addition to sintered PCD tools, diamond
of the cermet materials as well as their good coatings deposited by various methods, such
abrasion and heat resistance. However, cermets as chemical vapor deposition, are available
are not recommended for rough machining and (Destefani 2002).
222
Fundamentals of Manufacturing Chapter 23: Cutting Tool Technology
23.5 INSERT GEOMETRY AND CLASSIFICATION eter. This is called the inscribed circle (IC). For
The use of inserts for cutting tools dominates rectangular and parallelogram inserts, the size
the tooling industry. The wide variety of tool is noted by the length and width dimensions.
geometries available requires careful consider- The IC dimension is illustrated in Figure 23-8.
ation of all tool materials, workpiece geometries, ISO and ANSI provide standard insert clas-
and machining conditions. The advantages of sifications, which allow suppliers to offer a
using inserts include the availability of multiple fairly standardized set of tool shapes. (The ISO
cutting edges on each insert and there is no need standard is 1832:2004 and the ANSI standard is
to resharpen them. The evolution to inserts has B212.4 2002.) The classification specifies:
led to the availability of a proliferation of sizes, insert shape,
shapes, and configurations. relief angles,
The selection of each parameter is critical to tolerances,
a successful machining process. Tool suppliers insert type,
furnish extremely good documentation on each size (IC),
parameter, allowing the best selection of tooling, thickness,
although some testing and development are cutting point geometry,
often necessary. One key parameter is the tool’s hand of insert (left or right),
shape. Typical shapes are shown in Figure 23-7. cutting edge preparation, and
While the shapes available vary greatly, special facet size (if used).
considerations about their actual application
must be taken into account. More information about the insert classifi-
Typically, the macro geometry determines cation system can be found in the literature
whether the insert is designed to produce light provided by most insert manufacturers and
or rough cuts. The geometry dictates the param- suppliers.
eters used for cutting, such as the use of higher
rake angles, which are good for rougher cuts. The 23.6 TOOL SELECTION
tool’s nose radius may be large for strength, or The tool selection process involves two key
sharp for fine radius turning. Since a sharp edge factors, cutting physics and economics. The qual-
is weak and fractures easily, an insert’s cutting ity of the cut is purely the result of the physics
edge is made in a particular shape to strengthen involved, which depend upon the cutting param-
it. Those shapes include a honed radius, a cham- eters selected. The goal is to choose a cutting tool
fer, a land, or a combination of the three. shape and material that minimizes cutting time,
The insert’s size is designated by the largest tool changes, tool cost, and setups, while maxi-
circle that can be inscribed within its perim- mizing tool life, accuracy, and surface finish.
Figure 23-7. Insert shapes. (Copyright Sandvik Coromant. Used with permission.)
223
Fundamentals of Manufacturing Chapter 23: Cutting Tool Technology
Bed
Main-drive
clutch lever
Cross-feed lever
Carriage rapid- Feed rod
traverse lever Apron
Lead screw
Carriage-
Lead-screw
feed lever
reverse lever
where: where:
N = spindle rpm U = unit power, hp/in.3/min
Vc = 30.5 m/min Ps = power at spindle, hp
D = 25.4 mm so:
so: Ps = Q × U
30.5 × 1,000 Ps = .52 in.3/min × 1 hp/in.3/min
N= = 382 rpm
π × 25.4 Ps = .52 hp
P
Example 24.1.2. Calculate the motor horse- Pm = s
power requirements for machining 2 in. round E (Eq. 24-5)
1020 steel with a depth of cut of .060 in., feed where:
rate of .0072 in./rev, 75% efficiency, 100 ft/min Pm = power at motor, hp
cutting speed, and unit horsepower of 1. E = efficiency of spindle drive
Solution.
so:
Q = 12 × d × fr × Vc (Eq. 24-3) .52 hp
Pm = = .7 hp
where: .75
Q = metal removal rate, in.3/min
d = depth of cut, in. 24.2 DRILLING
fr = feed, in./rev Drilling produces holes by the relative motion
Vc = cutting speed, ft/min of a rotating cutting tool and the workpiece.
so: Machine types used for drilling include vertical,
multiple spindle (gang), radial, and turret.
Q = 12 × .060 in. × .0072 in./rev × 100 ft/min
Twist drills are a common type of cutting tool
Q = .52 in.3/min used for drilling. Figure 24-2 illustrates the
Ps parts of a twist drill. The size of a drill designates
U= (Eq. 24-6)
Q the nominal diameter of its body and hole it is
Example 24.2.2. Calculate the motor horse- General milling methods consist of slab
power requirements for drilling a 1-in. hole in milling, face milling, and end milling as il-
low-carbon steel at 100-ft/min cutting speed, lustrated in Figure 24-5.
.00052-in./rev feed rate, 75% efficiency, and unit There are two possible styles of milling,
horsepower of 1 at 700 rpm. conventional or up milling and climb or down
Solution. milling as shown in Figure 24-6. In conventional
π or up milling, the cutter is opposed by the feed
Q = × D 2 × fr × N (Eq. 24-9) of the workpiece. Each tooth tends to rub the
4
workpiece upon entry and then produce a thick
where: chip when exiting the workpiece. This style of
Q = metal removal rate, in.3/min milling requires more feeding force, generates
D = drill diameter, in. higher cutting temperatures, produces a rougher
fr = feed, in./rev finish, and tends to lift the workpiece out of the
so: vise or fixture. Conversely, climb or down milling
π tends to pull the workpiece along, reducing the
Q = × (1 in.)2 × .00052 in./rev × 700 rpm feeding force. Each tooth enters the work with
4
a substantial bite resulting in a lower cutting
Q = .29 in.3/min temperature, longer tool life, and a smoother
Ps finish. Depending on the setup, the direction
U= (Eq. 24-11) of the cutter may tend to force the workpiece
Q
against the table or fixture creating a more rigid
where: setup. Figure 24-6 also shows an example of the
U = unit power, hp/in.3/min two milling styles combined. When the center of
Ps = power at spindle, hp the cutter overlaps the workpiece, the result is
so: combined conventional and climb milling.
Ps = Q × U
MILLING CALCULATIONS
Ps = .29 in.3/min × 1 hp/in.3/min
Ps = .29 hp Vc × 12
N= (English) Eq. 24-12
P π×D
Pm = s (Eq. 24-10)
E Vc × 1, 000
N= (Metric) Eq. 24-13
where: π×D
Pm = power at motor, hp F = ft × n × N Eq. 24-14
E = efficiency Q = w × d × ft × n × N Eq. 24-15
so: P
Pm = s Eq. 24-16
.29 hp E
Pm = = .4 hp
.75 P
U= s Eq. 24-17
Q
24.3 MILLING where:
Milling is a machining process for removing N = cutter rpm
material by relative motion between a workpiece Vc = cutting speed, ft/min (m/min)
and a rotating cutter having multiple cutting
D = cutter diameter, in. (mm)
edges. The types of milling machines consist
F = table feed rate, in./min (mm/min)
of standard vertical or horizontal knee-and-
column, computer numerical control (CNC), ft = feed per tooth, in./tooth (mm/tooth)
and machining centers. Figure 24-4 illustrates n = number of teeth
a typical vertical mill and a horizontal mill. A Q = metal removal rate, in.3/min (mm3/min)
horizontal mill with a table that pivots is called w = width of cut, in. (mm)
a universal mill. d = depth of cut, in. (mm)
232
Fundamentals of Manufacturing Chapter 24: Machining
Vertical Horizontal
N
A B P
O
C
D
D
L E
E
K
L
F M F
K G G
H H
J I
I
J
Figure 24-4. Vertical and horizontal milling machines (U.S Department of the Army 1996).
Figure 24-5. Milling cutters and operations (Schrader and Elshennawy 2000).
Figure 24-6. (a) Conventional or up milling, (b) climb or down milling, and (c) combination up milling and down milling
(Drozda and Wick 1983).
where: where:
Q = metal removal rate, in.3/min U = unit power, hp
w = width of cut, in. Ps = power at spindle, hp
d = depth of cut, in. so:
ft = feed, in./tooth
Ps = Q × U
n = number of teeth Ps = 12 in.3/min × 1 hp/in.3/min
so: Ps = 12 hp
Q = 1 in. × .250 in. × .050 in./tooth × 8 teeth
× 120 rpm 24.4 BANDSAWING
Q = 12 in.3/min
Power bandsawing uses a long endless band
P
U = s (Eq. 24-17) with many small teeth traveling over two or
Q more wheels (one is a driven wheel and the
234
Fundamentals of Manufacturing Chapter 24: Machining
others are idlers) in one direction. The cutting surface finish required are important to select-
action of bandsawing is continuous in a single- ing the optimum pitch for a band. Optimum
direction, and when combined with blade guid- pitch is ensured if at least six teeth are in contact
ing and tensioning, it has the ability to follow a with the workpiece at all times during sawing.
path that cannot be duplicated by either power Too few teeth can cause teeth to be stripped; too
hacksawing or circular sawing. Band teeth cut many may cause the gullets to clog and result
with a shearing action and tend to take a full, in rubbing rather than cutting. Variable-pitch
uniform chip. blades are also available that can reduce vibra-
Toothed bands with different tooth geome- tion and noise, and generate a smoother cut.
tries and harnesses for specific applications are Tooth set refers to the projection of the teeth
used for conventional bandsawing tasks. Termi- from the sides of the band to provide cutting
nology generally accepted for saw bands is clearance and prevent binding. Overall set is
presented in Figure 24-7. the total distance between the outer corners
Three major types of tooth geometries, gener- of oppositely set teeth, which determines the
ally classified as standard, skip, and hook teeth, kerf. The three most common types of set, as
are illustrated in Figure 24-8. illustrated in Figure 24-8, are: a) raker set; b)
Pitch, the number of teeth per inch, is primar- wave set; and c) straight (alternate) set.
ily determined by the thickness of the material. Blade materials consist of carbon steel, bimetal,
Other factors, such as workpiece material and and carbide. Carbon steel blades are typically
used for easy-to-cut materials or for cost savings
in situations where more expensive blades will not
last longer. Bimetal blades have a high-speed steel
strip welded to an alloy steel blade. The teeth are
cut in the high-speed steel strip. Bimetal blades
typically have better wear and heat resistance
than carbon steel blades. Carbide-tipped blades
have excellent wear resistance and are appropri-
ate for difficult to cut and abrasive materials.
24.5 GRINDING
Grinding is a process used when high sur-
face finish and high dimensional accuracy are
Figure 24-7. Bandsaw terminology (Drozda and Wick needed. It also can be used when standard
1983).
chip-type forming operations cannot cut harder
materials. Grinding is typically time consum-
ing and expensive compared to other methods
of machining, so all feasible options should be
given careful consideration. Tool selection and
grinding parameters tend to be sensitive thus
establishing the optimal process often requires
development time. As with most manufacturing
processes, the primary factors to consider for
the grinding process encompass the machine, the
tool (grinding medium), and the workpiece. To
develop the correct process, the following must
be known:
the amount of material to be removed,
the workpiece’s dimensions,
Figure 24-8. Three major types of tooth geometries (Drozda the material specifications, and
and Wick 1983). the surface texture required.
235
Fundamentals of Manufacturing Chapter 24: Machining
Aluminum oxide is the most popular abra- The typical bonding materials are vitrified,
sive. It is used to grind steel, malleable iron, resinoid, rubber, shellac, silicate, and metallic.
HSS, and high-tensile-strength materials.
Comprised mainly of clay and other ceram-
Zirconia alumina is a manufactured abra-
ics, a vitrified bond is the most common type
sive mineral that is tougher than aluminum
of bonding for grinding wheels. Vitrified
oxide. It is typically used to grind steel and
bonds are hard, have high temperature
malleable and ductile iron.
strength, and are generally unaffected by
Ceramic alumina is generally used for high-
oil- and water-based cutting fluids.
temperature alloys and hardened tool steel.
A resinoid bond, comprised of a thermoset
Silicon carbide is typically used to grind
resin, provides higher speeds, more shock re-
nonferrous metals, nonmetallic materials,
sistance, and is slightly more flexible than a
cast iron, carbide, and low-tensile-strength
vitrified bond. Typical uses for resinoid bonds
materials.
include rough grinding and cutoff operations.
CBN is typically used to grind difficult-to-
Relatively flexible, a rubber bond is typi-
grind steel such as certain hard tool steels
cally used for cutoff wheels and regulating
and other ferrous metals. The abrasion
wheels in centerless grinding.
resistance of CBN is on the order of four
A shellac bond is used to produce high fin-
times higher than aluminum oxide.
ishes on mill rolls and for cutlery grinding.
Manufactured diamonds are generally used
Although weaker than a vitrified bond, a
for grinding ceramics, carbides, and nonfer-
silicate bond minimizes heat generation
rous metals.
for temperature-sensitive processes such
as tool grinding.
Grain Size A metallic bond is generally used for dia-
Grain size is the particle size of the abrasive mond and CBN abrasives. Metallic bonds
grains, which influences the stock removal rate are also used to provide conductive wheels
and surface finish generated. Fine-grain sizes are for electrolytic grinding.
normally used for finishing and larger sizes for
faster stock removal. Generally, hard materials
require fine-grit sizes and soft materials require
Wheel Grade
coarse-grit sizes. A fine-grit size provides more The wheel grade refers to the strength of the
cutting points than a coarser grit. Coarser grit grinding wheel, which is usually controlled by
sizes provide adequate chip clearance to prevent varying the amount of bonding material. This
or minimize wheel loading, which occurs when is frequently referred to as the hardness of the
the pores of the grinding wheel become filled with wheel. Hard grades of wheels are used to remove
chips from the workpiece. large amounts of stock at rapid rates, grind
small areas of contact, and remove stock from
Bonding Material soft materials. Soft grades of wheels are used for
large areas of contact, light stock removal, and
The bond is the material that holds the abra-
to remove stock from hard materials.
sive grains together to form a grinding wheel.
Chemical composition affects strength, resil-
ience, and other physical properties of the wheel. Wheel Structure
Selecting the correct bonding material is just as The wheel structure refers to the relative
important as selecting the correct abrasive for spacing of abrasive grains in a given volume.
a grinding operation. Once the abrasive starts In an open-structure wheel there are fewer
to dull, which increases the forces on the grain, abrasive grains per unit volume than in a
the bond must allow the grain to break away closed-structure wheel. Structure is desig-
and expose the next layer of abrasive material. nated by numbers ranging from 0–16: the
Material removal from the workpiece and grind- lower the number, the denser the structure;
ing wheel must be taken into consideration when and the higher the number, the more open the
planning the process. structure. Open-structure wheels are used in
237
Fundamentals of Manufacturing Chapter 24: Machining
the removal of stock when chip clearance is cracked wheel will not produce a ring (Drozda
an issue. Closed-structure wheels are used for and Wick 1983).
holding form.
Regardless of the type of grinding operation GRINDING PROCESS ANALYSIS
used, the wheel identification system defined by
ANSI B74.13 R2007 is used by all grinding wheel Wheel Wear
manufacturers (ANSI 2007). This system uses Wheel wear can by broken down into three
letters and numbers as detailed in Figure 24-11. categories: a) attrition—dulling of sharp grains
Another ANSI standard covers the specifications from rubbing, b) grain fracture—primary cutting
of shapes and sizes of grinding wheels and wear, and c) gross pullout of grains—excessive
mounted wheels. force and weak bond.
In general, before mounting a grinding wheel, Grinding is a sensitive process. If the force
the ring test should be performed to check for is too light, the result is burnish and buildup,
cracks by tapping the wheel with a wooden resulting from rubbing instead of cutting, which
mallet, which should produce a clear ring. A can also burn the surface. If the force is too
Figure 24-11. Standard bonded-abrasive wheel marking system. (Copyright United Abrasives Manufacturers’ Associa-
tion. All rights reserved. No further copies can be made without written permission.)
238
Fundamentals of Manufacturing Chapter 24: Machining
high, damage can occur to the work surface, and speeds and feed rates but taking lighter cuts.
grains are pulled out from the grinding wheel. To do this requires better tools, better machine
Additionally, the pores of the grinding wheel can control, and better machines. There are two
become filled with chips from the workpiece. This main goals of high-speed machining: 1) speed
phenomenon, called wheel loading, decreases the and productivity; and 2) better surface finish
cutting ability of the wheel and increases the heat to eliminate or reduce the need for polishing,
generated during grinding. especially on molds and dies.
HSM is popular for milling aluminum at
Material Removal Rate spindle speeds over 12,000 rpm with feeds over
600 in./min (15 m/min) (Aronson 2001). This
The material removal rate is a function of approach provides a better finish, which has the
force intensity, amount of rough or finish re- potential of eliminating secondary operations
moval, effective diameter, and grinding ratio. such as grinding, hand rubbing, or electrical
Force intensity is the force across the width of discharge machining (EDM). It can also reduce
the grinding wheel measured in lb/in. (N/mm). the warping that occurs with deeper cuts, espe-
It is the best indication of wheel wear and cut- cially in aerospace work. The ability to machine
ting depth. complex parts by contour milling is another
Consideration must be given to the amount reason HSM has been popular in the aerospace
of rough material that can be removed prior to industry.
a final finishing operation to secure the correct Basic HSM parameters are spindle speeds
dimension and desired surface quality on the above 10,000 rpm, 400 in./min (10 m/min) or
workpiece. greater feed rates, and two- to five-axis machine
The grinding ratio is the volume of material control. By operating in multiple axes, the ma-
removed from the work per unit volume of wheel chine can keep the cutting tool at the optimal
wear. It is a useful measurement of the ease with cutting angles, thereby reducing deflection and
which a material can be ground. The higher the maintaining high feed rates. The complicated
ratio, the easier a workpiece material is to grind. control of such a system requires advanced
The grinding ratio for a particular material, computer control. Improved spindles, speed
however, varies with different types of grinding multipliers, toolholder damping, and machine
operations and their specific conditions (speed, controls have all advanced the state of HSM.
feed, grinding fluid, etc.). Not all machines are versatile enough to run
at the spindle speeds necessary for HSM. One
Truing and Dressing common approach is to add a geared spindle
Truing is the removal of abrasive material multiplier to speed up the cutting tool. Of course,
from the cutting face of the wheel so that the higher spindle speeds result in the risk of vibra-
outer diameter will run concentric with the inner tion and, therefore, chatter on the workpiece and
diameter. It also involves bringing the sides of increased risk of tool breakage. This has been
the wheel parallel to one other and perpendicu- addressed through the addition of vibration
lar to the spindle. damping systems in the toolholder.
Dressing removes the glaze from a dull Current high-speed spindles present a trade-off
wheel, including loaded material from the between cutting force and cutting speed. First, the
size of the motor is limited. High-speed spindles
face, restoring a wheel to its original geometry
generally have direct-drive motors, meaning the
and conditioning it to perform a specific job.
motor must fit inside the spindle housing. Bear-
Grinding wheels can be made to act harder and
ings are critical, and high-speed spindle bearings
finer, or softer and coarser, by means of wheel
trade stiffness for speed. This is one more reason
conditioning.
why high-speed machining generally employs
light depths of cut. As spindle speed increases,
24.6 HIGH-SPEED MACHINING (HSM) the choice of toolholders has more impact on
High-speed machining (HSM) achieves faster process effectiveness. HSK (German acronym for
metal removal rates by running higher spindle hollow taper shank) and collet-type holders are
239
Fundamentals of Manufacturing Chapter 24: Machining
used to improve concentricity. Hydraulic and tion. Fine-grade carbides and coated carbides
shrink-fit toolholders also may be used. Other are common choices for HSM applications.
controls include feedback systems for tool deflec- Because complex part geometry can sometimes
tion, tool breakage detection, and temperature result in interrupted cutting conditions, the
compensation. more brittle ceramic tools are not recommended.
Cermet materials can be used with the benefit of
MACHINE CONTROL being able to cut dry, therefore reducing thermal
shock to the tool and workpiece.
CAD/CAM and computer control of the
machine has been a critical enabler of HSM
technology. Programming for pocket milling, APPLICATIONS
for example, is a typical HSM routine. More HSM continues to grow and evolve and has
advanced controls include look-ahead software already replaced other more traditional machin-
routines to accelerate and decelerate the tool for ing methods, and even some newer technologies.
more effective cutting, and tool-path optimiza- It is faster than EDM; therefore many applica-
tion software, which can provide more effective tions involving complex detail are now done
setup and tool selection. with HSM. Even some superfinishing operations
Post-processors are an often overlooked piece have been eliminated since the finish of an HSM
of the process. The post-processor is software operation can eliminate polishing requirements.
that translates the output from the tool-path Because of the requirements for CAD/CAM
software into the specific machine’s code. and advanced machining center capability, HSM
The computer programmer and machine is best applied on complex contours for molds
operator’s expertise are the final enablers and and dies in batches of one. However, as part
probably the most critical to integrating all of geometries become simpler, higher volumes and
the pieces into a workable, competitive, and overall throughput must be considered. In many
productive process. The programmer and ma- cases, traditional machining methods may still
chine operator are responsible for establishing be advantageous.
the valid base parameters, selecting the tools,
and then running the programs and machines. 24.7 BORING
Boring is a precision machining process for
TOOLING generating internal cylindrical forms by remov-
Advances in cutting-tool materials and ing metal with single-point tools (see Figure
geometry are also enablers of HSM. Superior 24-12) or tools with multiple cutting edges. This
toughness is the key requirement for tool selec- process can be performed with the workpiece
held stationary and the cutting tool both rotat- nal damping fluids reduce boring bar vibrations
ing and advancing into the work, or with the and workpiece chatter in specialized applica-
workpiece rotating and the cutting tool station- tions where a long reach or a superior surface
ary and advancing into the work. finish is required. Internal cooling passages are
also designed into certain boring bars, which can
TOOLING AND MACHINES help in deep, horizontal applications.
When properly configured, a boring opera-
In boring, there are many variations of tools,
tion can yield a precisely sized, round hole with
spindles, and machines available. The process
a high-quality finish. Using the appropriate
can be performed with the workpiece stationary
spindle (as strong as possible) with the proper
as in a milling machine, or with the tool station-
damping characteristics is important. In deep
ary as in a lathe operation. Boring is generally
boring, it is strongly recommended that the
done with machines such as large horizontal and
product design allow access for a support and
vertical boring machines, vertical turret lathes,
clearance where possible for good chip removal.
and boring, drilling, and milling machines. Mo-
tors can be directly mounted on the spindle shaft
for higher-speed applications. APPLICATIONS
The key to a successful boring operation cen- Common applications for boring include
ters on the quality and selection of the spindle enlarging or finishing cored, pierced, or drilled
and boring bar. The selection of spindles is holes and contoured internal surfaces. In the
influenced by many considerations, including past, jig boring equipment was commonly used
(Drozda and Wick 1983): for high precision and specialized milling or
boring jobs. Except for situations where large
speed of rotation, equipment is required, these applications are
direction and magnitude of loads, well within the capabilities of today’s CNC mill-
accuracy, ing machines.
surface finish,
mounting requirements,
drive requirements, and 24.8 BROACHING
dimensional limitations, such as overhang Broaching is a traditional machining process
and center distance. used for special surface machining applications.
It is a specialized cutting operation where the
Boring operations are usually harder on cut-
cutting tool is either pushed or pulled across
ting tools than turning operations because of the
the workpiece surface being machined.
confined machining area, which can cause chip
Generally, any material that can be machined
removal problems, especially from deeper- and
by other cutting processes can be broached. The
smaller-diameter bores. As a result, the size,
ability of materials to be broached is essentially
strength, and stiffness of boring tools are often
the same as their machinability; however, be-
limited by hole size and length of cut. Because of
cause broaching is a high-force machining pro-
the special nature of boring operations, however,
cess, proper grain structure and hardness are of
some design considerations tend to be more criti-
utmost importance. Softer steels tend to tear, and
cal. Boring tools are available as solid tools, with
it is more difficult to produce smoother surface
tips brazed to holders, and as indexable inserts.
finishes when broaching them. Harder steels are
Boring bars are made in a wide variety of
more difficult to broach due to their hardness.
styles and standard sizes. They are typically
adjustable and allow for the use of adjustable
inserts. A fine adjustment is included in incre- TOOLING
ments up to .0001 in. (2.54 ¨m). Boring bar The tool used in broaching is called a broach,
stiffness is a critical issue and because of the and it can produce straight, circular, or complex
concern for tool deflection, it is essential to use profiles. The broach has a set of cutting teeth
a tool that provides a high natural frequency where each tooth is at a different height to pro-
for a stable cut. “Tuned” bars containing inter- gressively remove material from the surface
241
Fundamentals of Manufacturing Chapter 24: Machining
being machined as illustrated in Figure 24-13. broaching require rigid machines and workhold-
The shape and spacing of those teeth is critical ing devices. Additionally, internal broaching
to give the chips the appropriate space as the requires a starting hole in the workpiece.
next tooth makes its cut. While high-speed machining (HSM) and
There are two major groups of broaches: in- other new processes have replaced broaching in
ternal and external. Internal broaches can finish certain applications, it continues to be a viable
all or part of the internal surface. Keyways and method to produce specialized, highly accurate
splines are common applications for internal shapes.
broaches. Also, round broaches can provide a
finished size to a cast or rough-finished hole. 24.9 THREAD CUTTING
External broaches machine-in specialized
Screw threads may be cut with single-point
features or contours on the workpiece’s external
tools on a lathe or with multiple-tooth cutters
surface.
that include dies, taps, and milling cutters on
Tool selection is determined by the amount
various types of machines. Threads may be
of material to be removed and the tool’s abil-
formed on screws and bolts by rolling or press-
ity to handle the required forces. The tools are
ing on thread-rolling machines. They also may
made of typical materials such as high-speed
be ground or hobbed like gears and produced by
steel or carbide.
die casting and plastic molding. This section will
focus on thread cutting only.
APPLICATIONS Thread cutting on a lathe is called chasing.
There are numerous advantages to using The process is slow, requires skill, and is ex-
the broaching operation. The basic operation pensive. It is, however, versatile and does not
allows for unique and complex contours to be require special equipment. External and inter-
machined with a highly accurate finish. The nal, right- and left-handed, straight and tapered,
versatility of broaching allows for several parts and practically all sizes and pitches of threads
to be machined at the same time—even large can be chased on engine lathes.
or uniquely shaped workpieces—with relatively Threads also can be cut using a die for ex-
inexpensive tooling. ternal threads and a tap for internal threads.
Some limitations to broaching also exist. A threading die, as illustrated in Figure 24-14,
Unobstructed access is required for tool travel. has an internal thread like a nut. Lengthwise
The workpiece or feature to be broached must grooves in the center hole expose the cutting
be parallel to the direction of the tool. Complex edges of the die. The first few threads on a die
contoured surfaces with curves in two or more are tapered so the die can be started on a circular
planes cannot be formed in a single broaching workpiece. Dies can have a small slot extending
operation. The typically high forces used in from the outer body diameter into the thread
diameter. This permits the die to be adjusted a
small amount by means of a set screw to correct
for wear (Drozda 1983).
Holes are usually threaded by taps. A tap has
a shank and a round body with several radially
placed cutting teeth as shown in Figure 24-15.
Taps are made in many sizes and shapes to
satisfy a number of purposes. They may be oper-
ated by hand or machine. A tap has two or more
flutes that may be straight, helical or spiral, or
spiral pointed. Those used in production tapping
operations may be of carbide or high-speed steel,
and coated with abrasion-resistant materials
to permit higher cutting speeds and improve
Figure 24-13. Broaching tool (Drozda and Wick 1983). performance.
242
Fundamentals of Manufacturing Chapter 24: Machining
Thickness Diameter
Spot hole
Slot
Adjusting
screw
Land
Short
chamfer Long
chamfer Clearance
hole
Rear Front Spring hole
face face
Minor diameter
Pitch diameter
Major diameter
of thread that should be required. The minimum water-based fluid with additives. The fluid pres-
percentage should be adopted whenever possible. sure can range from 10,000–60,000 psi (69–414
Calculations to determine the depth of the MPa) and produce kerfs as fine as .004 in. (101.6
tapped hole should be based on the length of en- ¨XY "#' ['[[ Y
gagement, that is, the length of contact between as meat, fish, frozen food, and acoustical tile.
a screw and a tapped hole measured axially. The
length of engagement should equal the basic ma- ABRASIVE WATERJET MACHINING
jor diameter of the thread. It would be possible
In abrasive waterjet machining, the waterjet
to tap a greater percentage of thread if the depth
contains abrasive particles such as aluminum
of the tapped hole was less than its basic major
oxide or silicon carbide. The abrasive particles
diameter. Therefore, the percentage of thread
increase the material remove rate as compared
should be reduced whenever the tapped hole
to waterjet machining. The fluid pressure can
exceeds the basic major diameter. This is particu-
range from 30,000–50,000 psi (207–345 MPa)
larly true in tapping blind holes, especially with
"#' #
`¨
smaller taps and coarser pitches where there is
The process can be used to cut materials such as
difficulty in finding room for the chips.
aluminum, glass, and stainless steel.
With the proper percentage of thread, little
pressure is required to start a tap. When too
much pressure is applied in feeding or retract- ELECTROCHEMICAL MACHINING
ing, the tap cuts away each succeeding thread The term “electrochemical machining” (ECM)
as the tap revolves. is often used to describe a broad classification
A tap-drill chart with the most common sizes of nontraditional machining and finishing
of taps can be found in Machinery’s Handbook metal-removal processes that employ electrolytic
or a similar reference. For accurate tapped holes action. In this chapter, coverage is limited to
with the required percentage of thread, reaming “cavity-type” ECM operations. Electrochemi-
the hole before tapping is recommended. cal machining is a widely employed method of
removing metal without the use of mechanical
24.10 NONTRADITIONAL MACHINING or thermal energy. Electric energy is combined
The designation “nontraditional machining” with a chemical to form a reaction of reverse
is applied to many mechanical, electrical, ther- plating. Direct current at relatively high am-
mal, and chemical material-removal processes. perage and low voltage is continuously passed
Nontraditional machining processes are typi- between the anodic workpiece and cathodic tool
cally employed when conventional methods are (electrode) through a conductive electrolyte. At
incapable, impractical, or uneconomical because the anode surface, metal is removed from the
of special material properties, workpiece com- surface as metal ions, which are dissolved into
plexities, or lack of inherent rigidity. In general, the electrolyte. Dissolved material is removed
nontraditional machining processes are charac- from the gap between the work and tool by the
terized by higher power consumption as a func- flow of the electrolyte.
tion of material removal rate when compared
with traditional machining processes. Although ELECTRICAL DISCHARGE MACHINING
notable exceptions exist, the stock removal rate The removal of material in electrical discharge
of nontraditional machining processes is usu- machining (EDM) is based upon the erosion effect
ally less than that attainable with conventional of electric sparks occurring between two elec-
machining techniques. trodes. Electrical discharge machining, sometimes
referred to as spark machining, is a nontradi-
WATERJET MACHINING tional method of removing metal by a series of
Waterjet machining, also known as hydrody- rapidly recurring electrical discharges between an
namic machining, removes material and produces electrode (the cutting tool) and the workpiece in
a narrow kerf by the cutting action of a fine, the presence of a dielectric fluid. Minute particles
high-pressure, high-velocity stream of water or of metal or chips are melted and expelled where
244
Fundamentals of Manufacturing Chapter 24: Machining
REVIEW QUESTIONS
24.1) What rpm should be used for turning a
piece of low-carbon steel of 1 in. diameter with
a cutting speed of 100 ft/min?
24.2) Calculate the maximum depth of cut for
3-in.-round 1020 steel on a lathe with a 3 hp mo-
tor, feed rate of .0052 in./rev, 100 ft/min cutting
speed, 80% efficiency, and unit horsepower of 1.
24.3) Calculate the cutting speed of a material
if a .5 in. drill is rotating at 1,500 rpm.
24.4) What are the spindle horsepower require-
ments for drilling a 1 in. hole in aluminum with
300 ft/min cutting speed, .00078 in./rev feed rate,
75% efficiency, and unit horsepower of 1?
24.5) Determine the feed rate per tooth of a
4-in. diameter face mill with 20 teeth cutting
Figure 24-16. Components of an electrical discharge aluminum at 300 ft/min with a table feed rate
machine (Drozda and Wick 1983). of 4 in./min.
245
Fundamentals of Manufacturing Chapter 24: Machining
24.6) Calculate the motor horsepower if a 2 × 2 Society of Manufacturing Engineers. 2012. “Grind-
in. plain milling cutter with 15 teeth is making ing” DVD. Fundamental Manufacturing Processes
a .250-in.-deep cut, 2 in. wide at 120 rpm, with a Video Series. Dearborn, MI: Society of Manufacturing
feed rate of .00055 in./tooth, unit horsepower of Engineers.
1, and 75% efficiency. Society of Manufacturing Engineers. 2010. “Thread-
24.7) In broaching, can the feature to be ing” DVD. Fundamental Manufacturing Processes
broached be perpendicular to the direction of Video Series. Dearborn, MI: Society of Manufacturing
Engineers.
the tool?
24.8) What type of bond is used for electrically Society of Manufacturing Engineers. 2010. “Holemak-
conductive grinding wheels? ing” DVD. Fundamental Manufacturing Processes
Video Series. Dearborn, MI: Society of Manufacturing
24.9) What is a common measure of how easily Engineers.
a material can be ground?
Society of Manufacturing Engineers. 2009. “Mill-
24.10) How does the hardness of the workpiece ing and Machining Centers” DVD. Fundamental
influence the thread percentage required? Manufacturing Processes Video Series. Dearborn, MI:
Society of Manufacturing Engineers.
BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2007. DeGarmo’s Mate-
rials and Processes in Manufacturing, 10th Ed. New
York: Wiley.
Saint-Gobain Abrasives. 2009-2010. Carborundum
Abrasives for the Industrial Market Catalog. Stephen-
ville, TX: Saint-Gobain Abrasives, Inc.
Saint-Gobain Abrasives. 2011. Norton Full Line
of Abrasive Products. Worcester, MA: Saint-
Gobain Abrasives, Inc.
25
METAL FORMING
Figure 25-1. Rolled products. (Courtesy American Iron and Steel Institute)
249
Fundamentals of Manufacturing Chapter 25: Metal Forming
25.3 EXTRUSION
Extrusion is the plastic deformation process in
which material is forced under pressure through Figure 25-6. Example extruded shapes (Schrader and
Elshennawy 2000).
one or more die orifices. In hot extrusion, heated
billets are reduced in size and forced to flow
through dies to typically form products of uniform material composition—alloy type (ductility
cross-sections along their continuous lengths. and toughness are key properties);
There are several variations of the extrusion shape complexity/shape factor (typically a
process that allow for producing a variety of factor based on the surface area of the part);
ductile materials and shapes, as illustrated in material length-to-diameter ratio;
Figure 25-6. The three primary extrusion meth- press equipment condition;
ods are direct, indirect, and hydrostatic. ram pressure;
There are a number of key parameters to con- tool geometry;
sider in setting up an extrusion operation, such as: material lubrication;
DIRECT EXTRUSION
In a direct or forward extrusion process, the The direct method is by far the most common
material, in billet form, is loaded into a thick- method of extrusion, because the tooling is not
walled chamber (container) and then pushed complicated and the process, while not applied
through a stationary die to form the desired to high-precision applications, provides an ac-
shape as illustrated in Figure 25-7. Hollow ceptable product. There are, however, a few
extrusions also can be produced as shown in disadvantages mainly related to the friction
Figure 25-8. of moving the entire length of the billet along
252
Fundamentals of Manufacturing Chapter 25: Metal Forming
INDIRECT EXTRUSION
With indirect, or backward, extrusion, the
billet remains stationary relative to the con-
Figure 25-10. Alternative method of indirect (backward)
tainer wall while the die is pushed into the bil- extrusion.
let by a hollow ram as shown in Figure 25-9. The
extrusion exits through the hollow ram. This
method requires less force since the ram does ity. This allows extrusion of materials normally
not have to overcome the weight and friction of too difficult for other methods and the ability to
a moving billet. The lower force also results in extrude longer billets.
less chance of fracturing the billet, more overall Hydrostatic extrusion requires high-pressure
uniformity in the final product, and longer die seals and more accurate billets that seal at the die
life. However, the length and strength of the face at the start of the extrusion cycle. Figure 25-
hollow ram are limiting factors. 11 illustrates the hydrostatic extrusion process.
Figure 25-10 illustrates an alternate method
of indirect extrusion. As the ram forces the
punch into the billet, the metal extrudes back
around the punch. The length of the ram is a
limiting factor with this method.
HYDROSTATIC EXTRUSION
Hydrostatic extrusion reduces the friction ef-
fects even further. A hydraulic fluid is used in
the ram cavity and, when pressurized, force is
exerted not only to push the material through
the die, but also away from the walls of the cav-
Figure 25-9. Indirect (backward) extrusion (Schrader and Figure 25-11. Hydrostatic extrusion (Schrader and
Elshennawy 2000). Elshennawy 2000).
253
Fundamentals of Manufacturing Chapter 25: Metal Forming
25.4 FORGING
Forging is the controlled plastic deformation or
working of metals into predetermined shapes by
means of pressure or impact blows, or a combina-
tion of both. In forging, the grain of the material
is aligned to the contour of the part, thus increas-
ing its strength as illustrated in Figure 25-12.
There are several types of forging processes,
such as open-die forging used to make simple
shapes such as discs, rings, or shafts; impres-
sion-die forging; precision forging; and upset-
ting. Figure 25-13 illustrates the open-die
forging process.
IMPRESSION-DIE FORGING
With impression-die forging, also known as
closed-die forging, the workpiece is placed be-
tween two dies containing the impression of the
shape to be forged, as illustrated in Figure 25-14.
Excess metal called flash squeezes out between
the die halves. The flash forms the parting line
of the part.
PRECISION FORGING
Precision forging or flashless forging does not
depend on flash to achieve complete die filling.
The material is formed in a cavity that does not
allow material to flow outside. A specific type of
flashless forging called coining can provide fine
detail in both the top and bottom surfaces of the
part with a small amount of deformation. Coin-
ing is done cold and is typically used to provide
good surface finish and dimensional accuracy. It
also can be used to enhance localized features.
Figure 25-13. Open-die forging. Figure 25-15 depicts the coining process.
254
Fundamentals of Manufacturing Chapter 25: Metal Forming
There are also several process considerations. flow. The material selected and its alloying ele-
The workpiece temperature is critical to achiev- ments will of course dictate the temperatures.
ing the proper forces and the correct material However, a safe window of operation must allow
256
Fundamentals of Manufacturing Chapter 25: Metal Forming
as tight corners are now formed. This part of the usually placed at a standoff distance from the
process requires close control over the pressure workpiece as shown in Figure 25-19a and b and
cycle as the die cavity now remains stationary the shock wave is transmitted through water. In
and the material is locally displaced. that way, pressures on the order of 50,000 psi
The displacement phase follows as dictated by (345 MPa) and speeds of less than 1,000 ft/sec
the design of the workpiece. Any special protru- (305 m/s) are obtained. In forming, sheet metal
sions are now added by moving segments of the is blown into and takes the shape of a die. Elec-
die cavity and then re-pressurizing to complete trohydraulic and electromagnetic forming utilize
the part. This phase is particularly unique to hy- other energy methods to displace the workpiece.
droforming since it allows a new level of design
freedom. Features that previously required pins APPLICATIONS
and movable die sections in inaccessible areas Many metals can be worked more fully by
can now be formed. In some cases, the movement HERF than by other methods. Previously dif-
of the die can be coordinated with the pressur- ficult to form, space-age alloys can be success-
ization cycle to ensure uniform displacement of fully formed at high velocities. Energy can be
the material. Holes also can be made during the uniformly applied rather than at high spots as
process using punches built into the die. in punching, and the metal does not thin out and
fail locally. HERF can also form relative large
APPLICATIONS areas or thick pieces with relatively inexpensive
Specialized tubing products are a niche for equipment (no huge presses) and a low-cost
the hydroforming industry. Hydroformed parts energy source. However, HERF requires excep-
are worthy substitutes for weldments and cast- tional care, skill, isolation, and time; it cannot
ings. They offer product performance benefits compete with press forming for ordinary work.
over regular tubular products given that there
is almost unlimited capacity for shape varia- REVIEW QUESTIONS
tion. Other benefits include part consolidation, 25.1) Does cold forming produce any strain
reduced secondary operations, structural im- hardening?
provements, and weight reduction. 25.2) Does hot forming require more or less
The tooling costs for hydroforming can be forming force than warm forming?
higher than other processes, so production vol-
umes must justify it. Because of the complexity, 25.3) What is another name for direct extrusion?
cycle times can be rather long. However, this is 25.4) Define the extrusion ratio.
compensated for by the reduction in the need for 25.5) Which forging process creates fine detail
secondary operations. with only a small amount of deformation?
25.6) A round billet of copper is drawn from a
25.7 HIGH-ENERGY-RATE FORMING (SCHRADER AND 1 in. diameter to a .750 in. diameter. Calculate
ELSHENNAWY 2000) the percent reduction in area.
High-energy-rate forming (HERF), which
can yield exceptional forming results in some REFERENCES
cases, is comprised of a number of processes. American Iron and Steel Institute. Schematic Out-
The processes used mainly with sheet metal line of Various Flat- and Shape-rolling Processes.
are explosive forming, electrohydraulic forming, Washington, D.C.: American Iron and Steel Institute.
and electromagnetic forming. Examples of these Nee, John G., ed. 2010. Fundamentals of Tool De-
operations are shown in Figure 25-19 (Schrader sign, 6th ed. Dearborn, MI: Society of Manufacturing
and Elshennawy 2000). Engineers.
Schrader, George F., and Ahmad K. Elshennawy.
PROCESS 2000. Manufacturing Processes and Materials, Fourth
Explosive forming is done with low and high Edition. Dearborn, MI: Society of Manufacturing
explosives and gas mixtures. The charge is Engineers, p. 444.
258
Fundamentals of Manufacturing Chapter 25: Metal Forming
Figure 25-19. Some methods of high-energy rate forming: (a, b) explosive; (c) electrohydraulic; (d) electromagnetic
(Schrader and Elshennawy 2000).
Wick, Charles, John Benedict, and Raymond Veilleux, Society of Manufacturing Engineers. 2004. “Extru-
eds. 1984. Tool and Manufacturing Engineers Hand- sion Processes” DVD. Fundamental Manufacturing
book, Fourth Edition, Volume 2: Forming. Dearborn, Processes Video Series. Dearborn, MI: Society of
MI: Society of Manufacturing Engineers. Manufacturing Engineers.
Society of Manufacturing Engineers. 2003. “Forging”
BIBLIOGRAPHY DVD. Fundamental Manufacturing Processes Video Se-
Black, JT and R. A. Kohser. 2007. DeGarmo’s Mate- ries. Dearborn, MI: Society of Manufacturing Engineers.
rials and Processes in Manufacturing, 10th Ed. New
Society of Manufacturing Engineers. 2003. “Hy-
York: John Wiley & Sons.
droforming” DVD. Fundamental Manufacturing
Lange, Kurt. 1985. Handbook of Metal Forming. Processes Video Series. Dearborn, MI: Society of
Dearborn, MI: Society of Manufacturing Engineers. Manufacturing Engineers.
where:
F = punching force, lb
S = 40,000 psi
Figure 26-4. Lancing (Wick et al. 1984) D = 3 in.
261
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
Figure 26-6. Shearing: (a) end of the punch and top of the die lie in parallel planes, (b) end of punch is tapered with
respect to the die (Schrader and Elshennawy 2000).
26.2 BENDING
Bends are made in sheet metal to gain rigid- Figure 26-7. Terminology for a straight bend (Wick et
ity and produce a part of desired shape to per- al. 1984).
262
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
where there is neither tension nor compression. There are two types of press brake bending op-
For thin materials, the neutral axis is assumed to erations: air bending and bottom bending as
be in the middle of the bend; but for thicker ma- shown in Figure 26-10.
terials, it is located approximately 30% of the Air bending refers to bending operations
material thickness from the inside of the bend. performed in V-dies in which the punch does
not bottom, resulting in low force requirements.
OPERATIONS In bottom bending, the work is completely
pressed into the female die and the internal
Bending is primarily done on press brakes,
radius is accurately formed. Thus consistently
though stamping dies can be used. This equip-
accurate flange sizes are possible. Due to the
ment may be mechanically or hydraulically oper-
higher force required, bottom bending has
ated similarly to other metal-forming operations.
a limitation with respect to maximum work
thickness.
PROCESS PARAMETERS
Some common bending process parameters
include: the workpiece material and thickness,
bend radius, and springback.
The minimum bend radius is the smallest
radius that can be formed without part crack-
ing. It is a parameter that is specific to material
ductility and material thickness. In general, the
Figure 26-8. Various press-brake bending and forming minimum ratio of the bend radius to material
dies. (Courtesy Cincinnati, Inc.) thickness increases as ductility decreases.
r
Eq. 26-4
t
where:
r = bend radius, in. (mm)
t = material thickness, in. (mm)
Figure 26-9. Metal bending (Schrader and Elshennawy Figure 26-10. Basic methods of bending: (a) air bending
2000). and (b) bottom bending (Wick et al. 1984).
263
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
In other words, less ductile materials require sheet is bent down along a straight or curved line.
a larger bend radius or thinner material. An- A flange is used for appearance, rigidity, edge
other factor, stress concentrations, can be very strengthening, and removal of a sheared edge, as
sensitive in less ductile materials. Where such well as for an accurately positioned fastening
concerns exist, experiments and detailed stress surface. Figure 26-12 illustrates a common
analysis studies should be performed. straight flange.
In bending, springback relates to the elastic
behavior of the material. While the material is HEMMING
generally undergoing plastic deformation, this
A hem is a flange that has been bent 180° or
is not occurring throughout the entire bend.
more. Hems are primarily used for appearance
Therefore, the material will attempt to return
and for the attachment of one sheet metal part
or spring back to its original form. Springback
to another. They are not as rigid or accurate as
can be predicted to a limited extent, which in
a flange; but they effectively remove a dangerous
typical sheet materials is in the range of 1–4°.
sheared edge. Two common types of hems are
Springback can be compensated for by over-
illustrated in Figure 26-13.
bending or bottoming (setting). Over-bending
bends the material beyond the desired shape, al-
lowing it to spring back to the desired shape. ROLL BENDING
Bottoming or setting involves plastic deformation Roll bending or curving metal into cylinders or
at the root of the bend during the bending process cylindrical segments is carried out on machines
as shown in Figure 26-11. Plastic deformation at using two or more rolls that rotate and bend the
the root prevents springback. metal as it passes between them. Figure 26-14
illustrates a three-roll, roll-bending machine.
FLANGING
Flange bending or flanging is a forming op- 26.3 DRAWING
eration in which a narrow strip at the edge of a Sheet metal drawing is a process of cold form-
ing a flat, precut metal blank into a hollow vessel
Figure 26-11. Bottoming (setting). Figure 26-13. Common types of hems (Wick et al. 1984).
264
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
without the occurrence of excessive wrinkling, of the die; no deformation occurs over the nose of
thinning, or fracturing. The various forms the punch.
produced may be cylindrical or box shaped, In stretch forming, as opposed to drawing, a
with straight or tapered sides, or a combination blank of sheet metal is clamped firmly around
of straight, tapered, and curved sides. Exam- the periphery or flange to prevent the material
ples of drawn parts include transmission oil from moving into the die cavity as the punch
pans and cookware pots. Figure 26-15 illus- descends. In this case, all deformation occurs
trates the basic drawing process. over the punch, at which time the sheet deforms
In drawing, the punch draws the metal over by elongating and thinning. Both drawing and
the edge of the die opening and into the die. The stretch forming make up the broader process
blank holder prevents the blank from wrinkling known as stamping.
as it is pulled into the die. Deformation of the
sheet takes place in the flange and over the lip 26.4 PRESSES AND DIES
Presses are classified by one or a combina-
tion of characteristics that include their source
of power, number of slides, type of frame, and
construction.
A slide is the main reciprocating member of
a press, guided in the press frame, to which the
punch or upper die is fastened. The slide is also
sometimes called the ram.
POWER SOURCES
The most common sources of power for press
operation are manual, mechanical, and hydraulic.
Manual presses are either hand- or foot-
powered through levers, screws, or gears. The
Figure 26-14. Pyramid-type roll-bending machine (Wick
most common press of this type is the arbor press
et al. 1984).
used for various assembly operations.
Mechanical presses utilize flywheel energy,
which is transferred to the workpiece by gears,
cranks, eccentrics, or levers.
Hydraulic presses provide working force
through the application of fluid pressure on a
piston by means of pumps, valves, intensifiers,
and accumulators.
PRESS TOOLING
Press tooling consists of several components
as illustrated in Figure 26-16, and defined as
the following.
The punch holder is a fixture used for
mounting the punch.
The punch is the male member of the punch
and die set.
A stripper is a plate designed to surround
the punch. Its purpose is to strip the sheet
Figure 26-15. The way a cup is drawn (Schrader and metal stock from the punch during the
Elshennawy 2000). withdrawal cycle.
265
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
STAMPING ANALYSIS
Die making is as much of an art as it is a
science. Finite element analysis software pro-
Figure 26-16. Press tooling. grams can be used for die analysis. However,
when all the dynamics of stamping are taken
into account, the resulting part may not meet
all expectations. To help fine-tune the stamp-
The die is the female member of the punch
ing process and finalize die design, die makers
and die set.
use an analytical tool called circle grid analysis
The die shoe is a plate or block upon which
(CGA). The application of CGA involves the
the die is mounted, functioning primarily
etching of a pattern of small circles on the sur-
as a base for the complete die assembly. It
face of the blank. This pattern deforms along
is bolted or clamped to the bolster plate.
with the blank as it is formed, providing point-
The bolster is a plate attached to the top
to-point calculations of the deformation that
of the press bed, which contains numerous
occurred. Analyzing this stamped grid pattern
drilled holes and/or T-slots for attaching
suggests the location and type of rework that
the die shoe.
must be performed on the die to produce high
The guide pins connect the punch holder
quality and easily manufactured parts. The
and die shoe, and help align the punch
CGA process is repeated on the die until an
with the die.
acceptable part is produced.
The bushings are attached to the punch
holder and serve as an interface between
the punch holder and guide pins. 26.5 METAL SPINNING
The blank is the desired shape, which is cut Metal spinning is a specialized metal-forming
from the strip stock by the punch and die. process used for hollow products that can be
turned to produce the desired shape. Products
Multiple stamping operations may be per-
made by spinning include urns, orifices, nose
formed within a single die, or at a number of die
cones, dishes, and swaged tube. Metal spinning
stations within a die set and with a single stroke
can be used to form a part from a plain sheet or
of the press. Single-station dies can be either
tube, or to add a flange to a partially formed part.
compound dies or combination dies. A compound
Spinning is typically a cold forming process
die performs basic cutting operations, such as
and the basic physics are similar to sheet bend-
blanking and hole punching, to produce parts.
ing. The process also can provide additional
Combination dies combine shaping and forming
strength through work hardening as the part
with cutting to manufacture parts.
is formed. Metal spinning requires minimal
Multiple-station dies are arranged so a series
tooling so it is especially appropriate for small
of sequential operations are accomplished with
quantities of parts.
each press stroke. Two die types are used: pro-
gressive and transfer. With progressive dies, coil
stock is fed into the press. Individual stampings PARAMETERS AND METHODS
are connected with a carrier strip as they prog- The spinning process can be classified into
ress through the various die operations and are four basic types: manual (hand) spinning, power
266
Fundamentals of Manufacturing Chapter 26: Sheet Metalworking
BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2008. DeGarmo’s Mate-
rials and Processes in Manufacturing, 10th Ed. New
York: Wiley.
Society of Manufacturing Engineers. 2013. “Sheet
Metal Stamping Dies & Processes” DVD. Fundamen-
tal Manufacturing Processes Video Series. Dearborn,
MI: Society of Manufacturing Engineers.
Society of Manufacturing Engineers. 2013. “Sheet
Metal Stamping Presses” DVD. Fundamental Manu-
facturing Processes Video Series. Dearborn, MI: Soci-
ety of Manufacturing Engineers.
Society of Manufacturing Engineers. 2003. “Punch
Presses” DVD. Fundamental Manufacturing Pro-
cesses Video Series. Dearborn, MI: Society of Manu-
facturing Engineers.
Society of Manufacturing Engineers. 2003. “Sheet
Metal Shearing & Bending” DVD. Fundamental
Manufacturing Processes Video Series. Dearborn, MI:
Society of Manufacturing Engineers.
27
POWDERED METALS
BLENDING
In the blending step, oversize and fine par-
ticles are filtered out. The metal powder and
alloy powder (if desired) are mixed together with
lubricants and binders to produce a homoge-
neous mix of ingredients. Lubricants are added
to help the powder fill the die cavity without
any air pockets. Binders are added to increase
the strength of the green or unsintered part.
Alloy powders can be added to improve the final
properties of the PM part.
COMPACTING
During the compacting step, a controlled
amount of mixed powder is automatically fed
into a precision die. It is then compacted or
pressed, usually at room temperature, at pres-
sures as low as 20,000 psi (138 MPa) or as high Figure 27-2. Powdered metal tooling (Cubberly and
as 120,000 psi (827 MPa) or more. Compacting Bakerjian 1989).
consolidates and densifies the loose powder
into a shape called a green compact. With con-
ventional pressing techniques, the compact has some cases, one or more core rods to provide for
the size and shape of the finished product when holes parallel to the pressing direction. A typical
ejected from the die. It has sufficient strength set of tools for producing a straight cylindrical
for in-process handling and transport to the part, such as a sleeve bearing, is shown in Figure
sintering furnace. 27-2. The pressing cycle for this simple part is
Dies and tools, made of either hardened steel illustrated in Figure 27-3.
and/or carbides, consist of at least a die body or In general, the compacting cycle is essentially
mold, an upper punch, a lower punch and, in the same for all parts. However, when more
than one pressing level is needed, for example in
producing flanged shapes, multiple punches are
used with separate pressing actions (Cubberly
and Bakerjian 1989).
SINTERING
The fourth step, sintering, which is mainly a
solid-state process, develops metallurgical bonds
among the powder particles and thus imparts the
PM part’s mechanical and physical properties.
Sintering is performed in a three-stage con-
tinuous furnace, a temperature profile for which
is illustrated in Figure 27-4. The first stage burns
off the binders and lubricants at a low tempera-
ture, which is approximately 40% of the metal’s
melting temperature. During the second stage,
the green compact is heated to approximately 80%
Figure 27-1. Melt atomization. of the metal’s melting temperature, causing the
271
Fundamentals of Manufacturing Chapter 27: Powdered Metals
metal particles to fuse together. After this high- 27.3 SECONDARY OPERATIONS
temperature stage, the compact moves to the final For many applications, PM parts are ready
sintering stage where it is cooled to a low enough for use after sintering. However, any one of
temperature to prevent any significant surface several secondary operations can be performed
oxidation. All three stages are performed in an to provide specific or special properties. Parts
inert furnace atmosphere, usually argon. can be repressed, infiltrated, or impregnated.
The controlled porosity of PM parts makes it
possible to infiltrate them with another metal
or impregnate them with oil or a resin to either
improve mechanical properties or provide ad-
ditional performance characteristics such as
self-lubrication.
Parts can be further modified by coining,
sizing, machining, tumbling, plating, heat-
treating, and steam treating. Steam treating
forms a corrosion-resistant black oxide layer
and increases hardness, wear resistance, and
compressive strength.
Figure 27-4. Temperature profile in a continuous sintering furnace (Wick et al. 1984).
273
Fundamentals of Manufacturing Chapter 27: Powdered Metals
REFERENCES
Cubberly, William and Ramon Bakerjian, eds. 1989.
Tool and Manufacturing Engineers Handbook, Desk
Edition. Dearborn, MI: Society of Manufacturing
Engineers.
Wick, Charles, John Benedict, and Raymond Veilleux,
eds. 1984. Tool and Manufacturing Engineers Hand-
book, Fourth Edition. Volume 2: Forming. Dearborn,
MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2008. DeGarmo’s Mate-
rials and Processes in Manufacturing, 10th Ed. New
York: Wiley.
Society of Manufacturing Engineers. 2003. “Powder
Metallurgy” DVD. Fundamental Manufacturing
Processes Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
28
CASTING
depending on the casting process. The choice In most processes, the upper half of the mold
of mold material depends on the casting qual- is called the cope and the lower half is referred
ity and quantity, as well as the type of metal to as the drag. Cores, made of sand or metal,
to be used. depending on the process, are placed into the
Pouring cup
(basin) Vent
Core print
Cope
Flask Riser
Sprue
Core
Core Draft
Runner Gate
Core print
Parting line
Casting
Flask
Drag
Figure 28-1. Cross-section view of typical cored casting and the sand mold in which it is produced.
277
Fundamentals of Manufacturing Chapter 28: Casting
cavity to form the inner surfaces of the casting. slurry that hardens into a ceramic shell around
The mold requires a gating system to distribute the pattern. The pattern can then be coated a
metal in the mold, and risers (liquid reservoirs) second time with coarser dry refractory mate-
to feed the casting as it solidifies. The sprue is rial for strength. When the mold hardens, the
the channel through which the metal enters the wax pattern is melted out. The mold is typically
mold. A runner leads the metal through the mold. heated before pouring to avoid cracking the
Gates attach the runner(s) to the mold cavity. A shell. After pouring, and the molten metal has
riser is a reservoir connected to the mold cavity solidified, the ceramic shell is broken off. The in-
to feed liquid metal to the casting to prevent vestment casting steps are shown in Figure 28-4.
shrinkage voids in the casting as it solidifies. Investment casting typically produces po-
rosity-free castings with superior dimensional
28.2 MULTIPLE-USE PATTERN/SINGLE-USE MOLD accuracy and surface finish, however, with low
PROCESSES productivity. Investment castings typically are
made of high-temperature and/or corrosion-
Green-sand casting and shell molding are two
resistant alloys. Since the pattern is melted out
processes where patterns can be used repeatedly.
of the mold, the need for cores and core boxes
However, a new mold is required for each casting,
is eliminated.
since the molds are destroyed during the process.
Figure 28-2. Typical steps in making a casting from a green-sand mold. (Courtesy Steel Founders’ Society of America)
comparison to the sand-casting method. The molds or dies and a die-casting machine that
initial cost of permanent molds is higher than holds, opens, and closes the molds or dies. The
for sand casting. However, the lower cost of the process is economical for producing castings
casting results in net savings over other casting with complex contours, thin cross-sections,
methods for high-volume parts. and holes and contours that would be costly
to produce by machining operations. Holes
DIE CASTING can be cast to tolerances that compare with
In die casting, molten metal is forced under those produced by drilling or counter-boring.
pressure into metal molds or dies. Die casting Surfaces and dimensions of die castings usu-
is limited to use with low-melting-temperature ally require little or no machining or finishing.
alloys such as aluminum, zinc, and magne- However, thick sections may be porous upon
sium. Necessary equipment consists of the solidification.
279
Fundamentals of Manufacturing Chapter 28: Casting
Figure 28-3. Shell molding process sequence of steps: (a) the hot pattern is clamped to the dump box containing sand with
a resin binder; (b) the box is inverted, dumping sand onto the hot pattern and the heated sand partially cures around the
pattern; (c) excess sand falls to the bottom when the box is returned to its starting position; (d) the pattern and partially
cured shell are baked to fully cure the shell; (e) completed shells are stripped from the pattern, clamped, and placed in
a flask for pouring.
Two general types of metal injection mecha- metal into the die. This type of injection is gen-
nisms for die-casting machines are the hot- erally limited to pressures of 2,000–4,000 psi
chamber type and the cold-chamber type. (14–28 MPa) and cannot be used either with
an alloy having a solvent action on the melting
Hot-chamber Machines pot or pressure chamber, or with an alloy at a
temperature high enough to affect the fit of the
The submerged-plunger, hot-chamber ma- plunger and cylinder. The submerged-plunger
chine illustrated in Figure 28-6a is commonly machine is not suitable for use with aluminum
used to produce zinc and some magnesium cast- and copper alloys (Wick et al. 1984).
ings. While the die is open and the plunger is
retracted, the molten casting metal flows into
the pressure chamber through the filling inlet. Cold-chamber Machines
After the die closes, the hydraulic cylinder is In cold-chamber machines, the pressure
actuated and the plunger forces the casting chamber is separate from the melting pot and
280
Fundamentals of Manufacturing Chapter 28: Casting
Figure 28-4. Sequence of steps in the basic investment-casting process. (Courtesy Waukesha Foundry, Inc.)
is not heated. Therefore, the pressure chamber is machine is constructed and operated as shown in
not exposed directly to the erosive and thermal Figure 28-6b. Molten metal from a separate hold-
characteristics of molten metal. The cold-chamber ing furnace is ladled into the cold-chamber sleeve
281
Fundamentals of Manufacturing Chapter 28: Casting
REFERENCES
Schrader, George F. and Ahmad K. Elshennawy,
2000. Manufacturing Processes & Materials, Fourth
Edition. Dearborn, MI: Society of Manufacturing
Engineers.
Wick, Charles, John Benedict, and Raymond Veilleux,
eds. 1984. Tool and Manufacturing Engineers Hand-
book, Fourth Edition, Volume 2: Forming. Dearborn,
MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2008. DeGarmo’s Mate-
rials and Processes in Manufacturing, 10th Ed. New
York: John Wiley & Sons.
Society of Manufacturing Engineers. 2003. “Casting”
DVD. Fundamental Manufacturing Processes Video Se-
ries. Dearborn, MI: Society of Manufacturing Engineers.
Society of Manufacturing Engineers. 2003. “Die Cast-
ing” DVD. Fundamental Manufacturing Processes
Video Series. Dearborn, MI: Society of Manufacturing
Engineers.
Society of Manufacturing Engineers. 2009. “Rapid
Casting” DVD. Manufacturing Insights Video Series.
Dearborn, MI: Society of Manufacturing Engineers.
29
JOINING AND FASTENING
Inner cone
Outer envelope
Acetylene feather
Carburizing flame
Neutral flame
Shorter inner
cone Outer envelope
WELDING CURRENT
ELECTRODES
Shielded-metal-arc welding is done with ei-
Selecting the correct type and size of elec- ther alternating current (AC) or direct current
trode requires careful consideration of many (DC). AC offers the advantage of eliminating arc
factors, including the following: blow, thus permitting the use of larger electrodes
the type, position, and preparation of the and higher currents. Arc blow is the deflection
joint to be welded; of the arc due to magnetic forces created in the
the ability of the electrode to carry the re- workpiece by the electrical current. The power
quired welding current without damage to source for AC is also lower in cost than that for
the weld metal or loss of deposition efficiency; DC. However, direct current provides a steadier
the base metal type, mass, and its ability to arc and smoother metal transfer than AC. Most
maintain acceptable properties after welding; covered electrodes operate better on direct cur-
the characteristics of the assembly with refer- rent/reverse polarity (DCRP), which produces
ence to the effect of stresses set up by heating; deeper penetration. With DCRP, the electrode
specific weld quality requirements; and is positive and the workpiece is negative. Some
electrode cost. covered electrodes are designed for direct cur-
rent/straight polarity (DCSP), which produces
A standard for electrodes, known as the a higher electrode melting rate. With DCSP,
AWS-ASTM (American Welding Society-Amer- the electrode is negative and the workpiece is
ican Society for Testing and Materials) classi- positive. Direct current is generally preferred
fication, designates the characteristics of steel for welding thin sections, vertical and overhead
electrodes by a letter and series of numbers, such welding, and welding with a short arc. However,
as E6010 and E6013, for example. The prefix “E” arc blow may be a problem.
indicates the filler material is a conducting elec-
trode. The first two digits specify the minimum
tensile strength of the weld metal (times 1,000 ARC LENGTH
psi [6.9 MPa]) in the “as-welded” condition. For If the arc length is excessive (the arc volt-
example, a 6010 electrode would provide weld age drop is too high), filler metal melts from the
metal with 60,000 psi (414 MPa) tensile strength electrode in large globules that wobble from side
in the as-welded condition. The third digit speci- to side as the arc wavers. This results in a wide,
fies the welding position for which the electrode spattered, and irregular bead, with poor fusion
is suited: 1) for all positions, 2) horizontal and between the base metal and deposited metal. A
flat, and 3) flat positions only. The fourth digit long arc is also more susceptible to air entrap-
indicates the type of flux coating surrounding ment and possible porosity in the weld. If the
the electrode, and thereby the conditions for arc length is too short (the arc voltage drop is
287
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
too low), the heat is insufficient to melt the base or torch to which the electrode is fed automati-
metal properly and the electrode often sticks to cally. The process is used extensively for high-
the work. High, uneven beads with irregular production welding operations.
ripples and poor fusion are the result of a short The major features of gas-metal-arc weld-
arc length. Maintaining the proper arc length ing are:
concentrates the welding current in the joint
the capability of obtaining high-quality
and minimizes spatter.
welds in almost any metal,
all-position capability,
WELDING SPEED relatively high speed and economy, and
When the welding speed is too fast, the pool elimination of slag entrapment in the weld.
does not remain molten for a sufficiently long
Gas-metal-arc welding requires an exter-
time, the bead produced is narrow, penetration
nally supplied inert shielding gas or gas mixture,
is reduced, and impurities and gases may be
adding to welding costs. Flux-cored wire is an
locked into the weld. If the speed is too slow,
alternative to using a shielding gas. However,
excessive filler metal is added to the joint, and
the flux-cored wire is more expensive than plain
the resultant weld bead is high and wide.
wire. The welding gun must be kept close to the
work to ensure adequate shielding, making it
29.5 GAS-METAL-ARC WELDING difficult to use on hard-to-reach joints.
In gas-metal-arc welding (GMAW), coalescence
(joining) of metals is produced by heating with GAS
an arc between the work and a continuous, solid
The shielding gases used in the gas-metal-
(consumable) electrode as the filler metal. Shield-
arc process, helium, argon, carbon dioxide, or
ing is provided by an externally supplied gas or
mixtures thereof, protect the molten metal from
gas mixture. Gas-metal-arc welding is also known
reacting with the constituents of the atmosphere.
as metal inert gas (MIG), dip transfer, and wire
welding. Figure 29-6 illustrates the process. For example, carbon-dioxide-argon mixtures are
suitable when welding low-carbon and low-alloy
Gas-metal-arc welding is performed using ei-
steels. Pure inert gas (argon), however, may be
ther a handheld gun or mechanical welding head
essential when welding highly alloyed steels.
Although the gas shield is effective in shield-
ing the molten metal from the air, deoxidizers
are usually added as alloys in the solid electrode.
Sometimes light coatings are applied to the elec-
trode for arc stabilizing or other purposes. Lubri-
cating films also may be applied to increase the
electrode’s feeding efficiency in semi-automatic
welding equipment.
CURRENT
Gas-metal-arc welding is essentially a direct-
current process, with alternating current rarely
used. DCRP (electrode positive) is used most
extensively because it produces a stable arc,
smooth metal transfer, and deeper penetration
than DCSP (electrode negative). DCSP tends to
produce arc instability, poor transfer of molten
metal, and spatter, making it generally unde-
sirable. However, it is sometimes used when
Figure 29-6. Gas-metal-arc welding. (Courtesy Lincoln minimum penetration is desired. Amperage is
Electric Co.) determined by wire feed speed.
288
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
GAS
The shielding gas for gas-tungsten-arc weld-
ing may be argon, helium, or a mixture of both.
Figure 29-7. Gas-tungsten-arc welding. (Courtesy Lincoln Argon is used to provide better shielding at low
Electric Co.) flow rates.
289
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
Electricity
CURRENT
Gas-tungsten-arc welding is done with either Tungsten
direct or alternating current. However, pulsed electrode
current is used for some applications. DCSP
(electrode negative) is used most extensively
for the gas-tungsten-arc process. It is satisfac-
tory for welding most metals except aluminum
and magnesium, which typically require AC. Gas
The capability for removing surface oxides plus
deep penetration often makes AC preferable for
welding aluminum and magnesium. Outer shield Water-cooled
DCRP (electrode positive) is the least used cur- cup shielding
rent for the gas tungsten arc process. It produces a
wide bead with shallow penetration and requires Gas
the use of large-sized electrodes with compara- Plasma
tively low currents to dissipate the heat produced. arc
Pulsed current offers the advantages of mini-
Workpiece
mizing the heat-affected zone and increasing the
depth-to-width ratios of weld beads. It is used to
join precision parts and for the automatic weld- Figure 29-8. Plasma-arc welding (PAW) (Schrader and
Elshennawy 2000).
ing of pipe. The heat-affected zone is the portion
of the base metal that has not been melted, but
whose mechanical properties or microstructure ionized or high-energy plasma gas. The plasma
has been altered by the heat of welding (Wick stream is surrounded by an inert shielding gas
and Veilleux 1987). to protect the weld pool.
An additional supply of high-frequency cur- Compared to gas-tungsten-arc welding, the
rent is generally provided from a separate source intensity of the narrow plasma stream creates
for gas-tungsten-arc welding. When welding a greater depth-to-width ratio weld. PAW uses a
with DC, the high-frequency current is used pure-tungsten electrode and typically welds the
to initiate the arc (instead of touch or scratch same metals as those joined by gas-tungsten-arc
starting) and is generally turned off after igni-
welding. The process also can be used for cutting
tion. When welding with AC, the high-frequency
ferrous and nonferrous metals.
current is on continuously to initiate the arc and
ensure re-ignition at each half cycle (when the
voltage is 0) during welding. 29.8 ARC WELDING DEFECTS
Defects commonly occurring as the result of
29.7 PLASMA-ARC WELDING arc welding include spatter, undercut, incom-
Plasma-arc welding (PAW) is similar to gas- plete fusion, cracks, porosity, slag inclusions,
tungsten-arc welding in that both processes use overlap, and distortion.
a nonconsumable tungsten electrode. In gas-
tungsten-arc welding, the electrode extends
beyond the torch, whereas in plasma-arc weld- SPATTER
ing, the electrode is recessed in the torch as il- Weld spatter may be objectionable from an
lustrated in Figure 29-8. appearance standpoint, but is of no consequence
In plasma-arc welding, an electric arc is to the structural function of the weld; however,
formed between the tungsten electrode and the it may interfere with service if entrapped in
welding gun or workpiece, and it is contained or an inaccessible cavity. Excessive spatter is not
restricted in a small-diameter nozzle (orifice). necessary, and its appearance on a weldment
A gas, such as argon, is forced through the is an indication of improper welding. It may be
restricted arc, thereby forming a high-velocity caused by:
290
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
To reduce the likelihood of cracking, preheat- caused by improper welding technique, such as
ing and post-heating are typically required for slow travel speed, and poor joint preparation.
the following reasons.
Especially with highly restrained joints, pre- DISTORTION
heating and post-heating reduce shrinkage Residual stresses in a piece of steel resulting
stresses in the weld and adjacent base metal. from the heat cycle of the welding process can
Preheating and post-heating provide a slower cause distortion. The forces that cause distor-
rate of cooling through the critical tempera- tion are present in every weld made and, unless
ture range (about 1,600–1,330° F [870–720° proper techniques are used, the weldment may
C] for carbon steel). This reduces hardness distort enough so that considerable time and
or susceptibility to cracking of both the weld money must be spent to correct it.
and heat-affected area of the base plate. The following simple guidelines will aid mate-
Preheating and post-heating provide a rially in the prevention and control of distortion.
slower rate of cooling to the temperature of In many cases, the application of a single guide-
about 400° F (204° C) for carbon steel. This line will be sufficient; in others, a combination
allows more time for any hydrogen to dif- may be required.
fuse away from the weld and adjacent plate Change the workpiece design.
to avoid underbead cracking. In SMAW Use the most suitable welding process.
welding, low-hydrogen electrodes are also Reduce the effective shrinkage force.
used to prevent hydrogen embrittlement. Make shrinkage forces work to reduce
The electrodes also should be kept dry. distortion.
Balance shrinkage forces with other forces.
POROSITY
Porosity does not seriously affect weld 29.9 ELECTRIC RESISTANCE WELDING
strength unless the welds are extremely po- Resistance welding refers to a group of weld-
rous. Surface holes, commonly referred to as ing processes that produce a coalescence of
blowholes, in the weld bead are undesirable metals from the heat obtained by the resistance
from appearance and stress standpoints, and
can affect fatigue life. Gas pockets are another
common form of porosity. Some causes of poros-
ity include incomplete cleaning prior to welding,
long arc length, and moisture.
SLAG INCLUSION
Welding processes that use flux, such as
SMAW, can be subject to slag inclusions, which
occur when slag, a product of the flux, becomes
entrapped in the weld, resulting in weld failure.
Slag inclusions can occur in multi-pass welds
if the slag is not completely removed prior to
subsequent passes or if weld beads have crev-
ices that make them difficult to clean. Proper Weld
welding technique, electrode selection, and
machine settings can reduce the likelihood of
slag inclusions.
OVERLAP
Overlap
Overlap, as shown in Figure 29-11, can reduce
the strength of the welded joint. It is typically Figure 29-11. Overlap.
292
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
to electric current and by the application of rial, the process is considered to be solid-state
pressure. Coalescence is produced at the faying welding. Although there are many solid-state
surfaces in one spot. Faying surfaces are the con- welding processes, including forge welding and
tact surfaces of the two pieces being joined. No diffusion welding, this section will limit discus-
flux, filler metal, or shielding of any type is used. sion to ultrasonic welding and friction welding.
Although there are many resistance-welding
types, resistance spot-welding is perhaps most ULTRASONIC WELDING
common, and the same methodology applies to Ultrasonic welding (USW) is the joining of
all resistance-welding operations. materials by clamping the components together
The size and shape of the individually formed and applying high-frequency (10,000–100,000
welds (called nuggets) are influenced primarily Hz), oscillating shear stresses parallel to the part
by the size and contour of the electrodes. interface as illustrated in Figure 29-13. The
Most spot welding is done by clamping the combined static and vibratory forces cause bond-
workpieces between a pair of electrodes and ing of the component surfaces.
passing a low-voltage, high-amperage current Most metals can be welded ultrasonically, but
through the electrodes and workpieces for a aluminum and copper alloys are the easiest and
short cycle. Resistance heating at the joint con- most practical. Ultrasonic welding can join dis-
tacting surfaces forms a fused nugget of weld similar metals; however, they must be thin and
material as illustrated in Figure 29-12. The form a lap joint. Plastics also can be ultrasoni-
amount of heat generated in resistance welding cally welded; the more rigid the parent plastic
obeys the following equation: is, the better the weld.
H = I 2RT Eq. 29-1
where: FRICTION WELDING
H = heat, J Friction welding is a solid-state joining process
I = current, A that produces coalescence of metals or nonmetals
R ] # [ {½ using the heat developed between two surfaces by
T = time, seconds a combination of mechanically induced rubbing
motion and applied load. Mechanical energy is
The amount of electrical resistance is deter-
directly converted to thermal energy at the joint
mined by: a) resistance of the electrodes; b) resis-
interface. Under normal conditions, the faying
tance of the workpieces; and c) distance between
the faying surfaces.
surfaces do not melt. Filler metal, flux, and is welding aluminum alloys that may be difficult
shielding gas are not required, but shielding gas to weld with other processes. Generally, it is
is sometimes used for welding reactive metals. used to join similar aluminum alloys; however,
Typical friction welding applications include dissimilar aluminum alloys also can be joined.
engine valves, drive shafts, steering shafts, In friction stir welding, a tool consisting of a
transmission shafts, and hydraulic piston rods. rotating pin or probe is slowly forced into the
butt joint of two metal plates. The pin rotates
Inertia Welding at approximately 200 rpm and higher depending
Inertia welding is a type of friction welding on the pin’s material and shape, material being
where the rotating workpiece is attached to a welded, and travel speed. Friction from the ro-
flywheel. The flywheel is brought to a predeter- tating pin causes the metal to heat up and
mined speed and then disengaged from the driv- plasticize. Following insertion, the tool is moved
ing mechanism. The stationary workpiece and slowly along the joint line as shown in Figure
rotation workpiece are pressed together and the 29-15. As the tool moves forward, the plasticized
friction and heat produce the weld. When the weld metal left behind fuses together forming a
is complete, the flywheel stops. Inertia welding is strong, high-quality joint.
shown in Figure 29-14. The process is solid state and therefore no
melting occurs. Since there is no weld pool, there
Friction Stir Welding is no solidification shrinkage, little distortion,
and few if any defects as would be normally
Friction stir welding (FSW), a patented pro-
associated with fusion welding. Because of the
cess, was developed by The Welding Institute, a
low heat generated, the weld grain structure
British technology group. Its primary advantage
generally remains the same as the parent metal.
(b)
(c)
The unique processes discussed here include vacuum EBW, the distance that workpieces
laser-beam welding, electron-beam welding, can be placed from the electron gun is limited.
thermit welding, and weld bonding. Electron-beam welding also requires safety
precautions for protection from x-ray and other
LASER-BEAM WELDING radiation (Wick and Veilleux 1987).
Laser-beam welding (LBW) is a fusion joining
process that produces coalescence of metals with THERMIT WELDING
heat generated by the absorption of a concen- In thermit welding, coalescence (joining) of
trated, coherent light beam impinging on the metals is accomplished by heating with super-
components to be joined. In the LBW process, heated molten metal produced by a reaction
the laser beam is focused to a small spot at high between a metal oxide and aluminum. Although
power density. The beam is directed by optical termed a welding process, thermit welding actu-
elements such as mirrors and lenses in the case ally more closely resembles metal casting.
of CO2 lasers or fiber-optic cable in the case of Thermit welding offers advantages for certain
neodymium yttrium-aluminum-garnet (Nd-YAG) specialized applications, such as joining heavy
lasers, with no pressure applied. Inert gas shield- and/or complex cross-sections that often are
ing is generally employed to reduce oxidation. not weldable with conventional gas or electric
Filler metal is rarely used. The process creates arc processes. The most common application is
only a small heat-affected zone and does not emit welding rail sections into continuous lengths.
harmful radiation. Figure 29-16 illustrates a Other applications include welding and splic-
cross-section of a typical laser-beam weld. ing concrete-reinforcing steel bars together and
repairing large components.
ELECTRON-BEAM WELDING (EBW)
Electron-beam welding (EBW) is accom- WELD BONDING
plished by impinging a high-intensity beam of Weld bonding is a combination of resistance
electrons on the joint. This process results in pre- spot or seam welding and adhesive bonding.
cise melting and coalescence of the joint inter- The procedure used most commonly is to apply
face surfaces. EBW produces a weld with a high a structural adhesive to the area to be joined,
depth-to-width ratio and a small heat-affected followed by spot welding through the adhesive.
zone, thereby reducing workpiece distortion. Another method consists of applying tape or film
EBW is employed in a variety of precision adhesive, with holes cut in the adhesive where
and production applications. In the automotive welds are required.
industry, semi-automated and fully automated The advantages of weld bonding over spot
partial vacuum and non-vacuum systems have welding or adhesive bonding alone include im-
been used to weld transmission components of proved fatigue life and durability, and better
varying materials. Other products joined by elec- resistance to peeling and cleavage. Also, the
tron beam welding include solenoid valves, trans- adhesive acts as a seal in the joints to provide
ducers, sealed bearings, and medical implants. better corrosion protection and generally tighter
When using the vacuum mode of EBW, pro- construction.
duction rates are limited by the time required
to pump down the work chamber. With non-
29.12 BRAZING AND SOLDERING BRAZING
Brazing is a group of joining processes in
which a filler metal melts above 840° F (449° C)
and below the melting temperature of the metals
being joined. The filler metal is distributed
between closely fitted faying surfaces of the joint
by capillary action. In brazing, flux generally
prevents oxidation and promotes wetting, flow,
Figure 29-16. Cross-section of laser weld. and the formation of a soundly brazed joint.
295
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
Since the parent metal is not melted, brazing Bolts and Studs
can join dissimilar metals (Schrader and Bolts are externally threaded fasteners gener-
Elshennawy 2000). ally assembled with nuts. Bolts with hexagonal
heads, frequently called hex heads, are the
SOLDERING most commonly used. These heads have a flat
Soldering is a group of joining processes using or indented top surface, six flat sides, and a
a filler metal which melts below 840° F (449° C) flat bearing surface. Hex heads are often used
and below the melting temperature of the met- on high-strength bolts and are easier to tighten
als being joined. The filler metal is distributed than bolts with square heads. They are gener-
between the closely fitted surfaces by capillary ally available in standard and special strength
attraction. In soldering, flux promotes wet- grades (classified by the Society of Automotive
ting and the formation of a sound solder joint Engineers [SAE], American Society for Testing
(Schrader and Elshennawy 2000). and Materials [ASTM], and the International
Organization for Standardization [ISO]).
29.13 MECHANICAL FASTENERS Round-head bolts have thin circular heads
with rounded or flat top surfaces and flat bear-
Mechanical fasteners can be divided into
ing surfaces. When provided with an underhead
two categories, integral and discrete. Integral
configuration that locks into the joint material,
fasteners are formed areas of a component
round-head bolts resist rotation and are tight-
that function by interfering or interlocking
ened by turning their mating nuts.
with other areas of the assembly. This type
Studs are externally threaded fasteners
of fastening is commonly applied to formed
that do not have heads. They are available
sheet-metal products. It is also commonly
with threads on one or both ends, or with con-
used on plastic assemblies made from injection
tinuous threads. Heat-treated and/or plated
molded parts.
studs are available to suit specific requirements.
Discrete fasteners comprise threaded fas-
An advantage of studs for some applications,
teners such as bolts, nuts, screws, and other
such as the assembly of large and heavy compo-
fasteners such as rivets, pins, and retaining
nents, is their usefulness as pilots to facilitate
rings.
mating of the components, which expedites
automatic assembly. For many applications,
THREADED FASTENERS studs provide fixed external threads and nuts
A primary application of threaded fasteners are the only components that must be assembled
is joining and holding parts together for load- (Nee 2010).
carrying requirements, especially when disas-
sembly and reassembly may be required (Nee Nuts
2010). Various threaded fastener applications Nuts are internally threaded fasteners that
are shown in Figure 29-17. fit on bolts, studs, screws, or other externally
threaded fasteners for mechanically joining
Bolt Cap screw Stud parts. They also serve as an adjustment means
Nut
in some applications.
Square and hex nuts, sometimes referred to
as full nuts, are the most common. Hex nuts
are used for most general-purpose applications.
Nut Square machine screw nuts are usually limited
to use on light-duty and special assemblies.
(a) (b) (c) Regular and heavy square nuts are often used
for bolted flange connections.
Figure 29-17. Typical assemblies using threaded fasten- Single-thread nuts, sometimes called spring
ers: (a) bolt and nut; (b) cap screw; (c) stud (Wick and nuts, are formed by stamping a thread-engaging
Veilleux 1987). impression in a flat piece of metal as illustrated
296
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
in Figure 29-18. These nuts are generally made cap screws are generally not fully threaded to
from high-carbon spring steel but other metals their heads. They are produced with hex, socket,
can be used. or fillister-slotted heads as illustrated in Figure
29-19. Most cap screws are made from steel,
Screws stainless steel, brass, bronze, or aluminum alloy.
Screws are externally threaded fasteners Set screws are hardened fasteners gener-
capable of insertion into holes in assembled ally used to hold pulleys, gears, and other
parts, mating with internal preformed internal components on shafts. They are available in
threads, or cutting or forming their own threads. several styles with several point configurations
Because of their basic design, it is possible to use as shown in Figure 29-20. Holding power is
some screws, which are sometimes called bolts, provided by compressive forces, with some set
in combination with nuts (Nee 2010). screws providing additional holding resistance
Available in a wide variety of types and sizes to rotation by penetration of their points into
to suit specific requirements, the major types the shaft material (Nee 2010).
of screws include machine screws, cap screws, Sems (screw and washer assemblies) is a ge-
sems (screw and washer assemblies), and tap- neric term for pre-assembled screw and washer
ping screws. fasteners. The washer is placed on the screw
Machine screws are usually inserted into blank prior to roll threading and becomes a per-
tapped holes, but are sometimes used with manent part of the assembly after roll thread-
nuts. They are generally supplied with plain (as ing, but is free to rotate. Sems are available in
sheared) flat points, but other types of points various combinations of head styles and washer
are available for special applications. Machine types. These fasteners permit convenient and
screws are usually made from steel, stainless rapid assembly by eliminating the need for a
steel, brass, or aluminum, and have a variety separate washer assembly operation.
of head styles. Many machine screws are made Tapping screws will cut or form mating
from unhardened materials, but hardened threads when driven into holes. Self-drilling,
screws are also available (Nee 2010). self-piercing, and special tapping screws are also
Cap screws are manufactured to close dimen- available. They are made with slotted, recessed,
sional tolerances and designed for applications or wrenching heads in various head styles. Tap-
requiring high tensile strengths. The shanks of ping screws are generally used on thin materials.
Single-thread
nut
Bolt or
screw
Figure 29-19. Cap screws with various heads (Wick and
Figure 29-18. Single-thread nut (Wick and Veilleux 1987). Veilleux 1987).
297
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
Figure 29-20. Set screws with various points (Wick and Veilleux 1987).
They facilitate rapid installation because nuts number of turns required to advance the screw
are not needed and access is required from only axially a unit of length. Thus a drive screw that
one side. Mating threads fit the screw threads requires 20 turns to move forward 1 in. (25.4
closely with no clearance necessary. mm) has a lead of .050 in. (1.27 mm). A single-
thread screw has only one continuous thread on
29.14 SCREW THREAD TERMINOLOGY
The chief features of an external thread are Pitch line Pitch
illustrated in Figure 29-21. Internal threads Crest
have corresponding features. The features de-
termine the size and shape of a thread.
Pitch or effective
Major or crest
Minor or root
PITCH
diameter
diameter
diameter
its surface as found on most commercial screws, threads. For some applications, a nut may fit
bolts, and nuts. The lead of a single-thread loosely on a screw; in others, the two must
screw is equal to its pitch. fit together snuggly. The different fits are
obtained by assigning appropriate tolerances
DIAMETERS on the pitch, major and minor diameters, and
The major diameter of a straight thread is the allowances to the threads for each class.
diameter of a cylinder on which the crest of an The Unified Screw Thread Form standard
external thread or the root of an internal thread recognizes several classes of threads. Those
lies. The minor diameter applies to the root of an classified as “A” are for screws and “B” for
external thread or the crest of an internal thread. nuts. Classes 1A and 1B are for loose fit, where
The pitch diameter of a straight thread is the quick assembly and rapid production are im-
diameter of a cylinder that cuts the threads portant and shake or play is not objectionable.
where the width of the threads is equal to the Most commercial screws, bolts, and nuts are
width of the space between the threads (Schrader in Classes 2A and 2B. Closer fits and inter-
and Elshennawy 2000). ference fits are provided for by Classes 3–5.
Screws from one class may be used with nuts
STANDARDS from another class for more fits (Schrader and
At one time, screw threads lacked uniformity Elshennawy 2000).
in size and shape. Standardization of sizes, In addition to the Unified Screw Thread Stan-
shapes, and pitches was undertaken to create a dard, there exists the ISO metric thread standard.
condition of order. A number of standards have Figure 29-23 illustrates the standard used for
prevailed over the years. An accord of the United specifying a metric screw. The metric thread
States, Great Britain, and Canada in 1948 set up designation begins with “M,” indicating it is a
the Unified Screw Thread Form. The standard metric thread. Following the “M” is the nominal
has been revised periodically since then. The size in millimeters. After the times sign is the
purpose of the uniform thread system was to pitch. At the end of the designation is the toler-
promote the interchangeability of products. The ance class. The first digit and letter specify the
standard designates a coarse thread series by pitch diameter tolerance grade and position, re-
unified national coarse (UNC) and a fine thread spectively. The second digit and letter refer to the
series by unified national fine (UNF). There is major diameter tolerance grade and position,
a less often used extra-fine thread series called respectively. The digits refer to the grade, where
unified national extra-fine (UNEF), among oth- the lower the number assigned, the closer the fit.
ers such as the American National Standard Grade 6 is approximately equivalent to 2A or 2B
Taper Pipe Thread (NPT) for piping. in the Unified Screw Thread system. The letters
Each series specifies the threads per inch refer to the tolerance positions for the pitch di-
(tpi) and basic dimensions and tolerances for ameter and major diameter, respectively. The
certain nominal inch size diameters as illus- tolerance position specifies the allowable devia-
trated in Figure 29-22. tion between the location of the tolerance with
The last digit in the screw classification respect to the basic pitch and major diameter
shown in Figure 29-22 is the thread class. Screw sizes. Lower case “e,” “f,” and “g” refer to exter-
threads are divided into classes to designate nal threads. Upper case “G” and “H” refer to
the fit between internal and external mating internal threads. A large allowance is indicated
Figure 29-22. Unified Screw Thread Form designation. Figure 29-23. ISO thread designation.
299
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
by “e” and a small one by “g” or “G.” No allowance nesses. A possible limitation is that the impact
is indicated by “h” or “H.” required for clinching can deform thin sheets.
Rivets are usually less expensive than threaded
29.15 RIVETS fasteners, but their strength in shear or tension
may be lower, especially when compared with
A rivet is a one-piece, unthreaded, permanent
heat-treated bolts.
fastener consisting of a head and a body. It is
used for fastening two or more pieces together
by passing the body through a hole in each piece SELECTION AND APPLICATION
and then clinching or forming a second head on Rivets are made with various head styles. Se-
the body end as illustrated in Figure 29-24. Once lection of a specific type and head style depends
set in place, a rivet cannot be removed except primarily on the job to be done, joint location,
by chipping off the head or clinched end, or by strength requirements, and the appearance of
drilling it out. the joint. For example, when a flush surface
Any metal that can be cold worked is is desired, the countersunk-head rivet may
suitable for making rivets. The metals most be used.
commonly used include aluminum alloys; When selecting solid rivets, a variety of fac-
brass, bronze, and other copper alloys; low, tors should be considered. Use of the correct
medium, and high-carbon steels; alloy steels; length of rivet shank is important to form the
and corrosion-resistant steels. Rivets are often desired upset head. If too long a length is used,
supplied with a natural (as-processed) finish, buckling occurs; if too short a length is used, an
with no plating or other coating. However, they incomplete head will be formed. Hole diameter
can be provided with various plated finishes, also must be correct. Too large a hole can cause
including zinc, cadmium, nickel, tin, copper, buckling and/or underfilled holes, resulting in
and brass. loose joints. Punched holes generally improve
the quality of the joint because the holes are
ADVANTAGES AND LIMITATIONS perpendicular to the surface and have no heavy
Clinching, setting, or driving of rivets, com- burrs. Other factors that can result in poor
monly called riveting, is done in several ways clinching include improper hole diameters;
with a variety of equipment. Riveting can be inadequate rivet support; worn, misaligned, or
done hot and cold; however, cold riveting is the improperly designed tools; improper rivet mate-
most common process. Typical riveting is done rial or size; and flaws in the rivets.
by impact or squeezing. Blind rivets (pop rivets) are mechanical fas-
A major advantage of rivets is that they can teners with self-contained mechanical, chemical,
be installed economically and rapidly, so they or other features that form upsets on their blind
are suitable for automatic assembly operations. ends and expand their shanks to join parts of
Other advantages include their low cost and assemblies. This design permits the fasteners
the fact that they are good for joining dissimi- to be installed in the holes of joints that are ac-
lar materials of different hardnesses or thick- cessible from only one side.
29.16 PINS
Pins provide a simple and low-cost method
of mechanical fastening. They are available in
straight-cylindrical or tapered designs, with
or without heads, and generally rely on elastic
compression for their gripping power.
Most pins are hardened for maximum
strength and permanent assembly, but some are
used soft so they will shear before the assembly
Figure 29-24. Solid rivet (Wick and Veilleux 1987). or mechanism is damaged.
300
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
Silicones are known for their flexibility, It is commonly used to join materials such
sealing capability, and heat resistance. as wood and paper.
Compared to other adhesives, they have Acrylics are two-part and light-cure adhe-
relatively lower strength. sives with high strength, durability, and
Anaerobics are one-part adhesives that fast setting times. A variety of formulations
form a bond in the absence of oxygen and are available depending on the application
in the presence of metals. They are com- requirements.
monly used as a thread locker or thread
sealer for threaded fasteners. Many types REVIEW QUESTIONS
are available depending on the application 29.1) What type of oxyfuel flame contains excess
requirements. carbon?
Cyanoacrylates are one-part adhesives that 29.2) SMAW is commonly referred to as what
cure quickly by reacting with moisture and/ type of welding?
or light. They can bond many different ma-
29.3) Describe the functions of flux in SMAW.
terials such as metals, plastic, and rubber.
Many different cyanoacrylates are available 29.4) In GMAW, how is adjusting the amperage
to meet specific application requirements. accomplished?
Polyvinyl acetate is combined with water 29.5) In GTAW using DC, what is the function
and other ingredients to form an emulsion. of the high-frequency current?
303
Fundamentals of Manufacturing Chapter 29: Joining and Fastening
29.6) How can hydrogen embrittlement be re- The Welding Institute. 2010. Friction Stir Welding
duced or prevented? at TWI. Cambridge, United Kingdom: TWI, Nov. 1,
http://www.twi.co.uk/content/fswintro.html. Figure
29.7) Is brazing performed at a higher or lower 29-14 reproduced with permission.
temperature than soldering?
Wick, Charles and Raymond Veilleux, eds. 1987. Tool
29.8) What welding process discussed in this
and Manufacturing Engineers Handbook, Fourth
chapter relies on high-frequency vibrational Edition. Volume 4: Quality Control and Assembly.
energy? Dearborn, MI: Society of Manufacturing Engineers.
29.9) What type of rivet is used when access is
Wick, Charles, John Benedict, and Raymond Veilleux,
only from one side of the hole? eds. 1984. Tool and Manufacturing Engineers Hand-
29.10) Which adhesive requires both an ab- book, Fourth Edition, Volume 2: Forming. Dearborn,
sence of oxygen and the presence of a metal? MI: Society of Manufacturing Engineers.
REFERENCES BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2007. DeGarmo’s Mate- Society of Manufacturing Engineers. 2003. “Welding”
rials and Processes in Manufacturing, 10th Edition. DVD. Fundamental Manufacturing Processes Video Se-
New York: John Wiley, Inc. ries. Dearborn, MI: Society of Manufacturing Engineers.
Nee, John G., ed. 2010. Fundamentals of Tool Design, Society of Manufacturing Engineers. 2003. “Brazing
5th Ed. Dearborn, MI: Society of Manufacturing and Soldering” DVD. Fundamental Manufacturing
Engineers. Processes Video Series. Dearborn, MI: Society of
Schrader, George F., and Ahmad K. Elshennawy. Manufacturing Engineers.
2000. Manufacturing Processes and Materials, Fourth Society of Manufacturing Engineers. 2001. “Fasten-
Edition. Dearborn, MI: Society of Manufacturing ing and Assembly” DVD. Fundamental Manufactur-
Engineers. ing Processes Video Series. Dearborn, MI: Society of
Small, D. J. and P. J. Courtney. 2005. Fundamentals Manufacturing Engineers.
of Industrial Adhesives. Düsseldorf, Germany: Henkel
Corporation, February.
30
FINISHING
ELECTROCHEMICAL DEBURRING
In electrochemical deburring (ECD), burrs
Mass rolls are dissolved from metallic workpieces electro-
Rotation chemically and flushed away by pressurized
electrolyte (Wick and Veilleux 1985). With the
Tumbling barrel Vibratory tub ECD process, electrolyte flows through a gap be-
tween a tool (cathode) and the workpiece (anode),
Figure 30-1. Principles of tumbling and vibratory finishing thus completing the electrical circuit needed for
(Schrader and Elshennawy 2000). the DC power to dissolve the burrs. The tool
307
Fundamentals of Manufacturing Chapter 30: Finishing
and workpiece do not contact each other, and brushing to be used in numerous applications.
the workpiece is not exposed to any mechanical Standard brush shapes are wheel, cup, tube,
or thermal stresses. As a result, there are no wide face, and end as shown in Figure 30-2.
changes in the physical or chemical properties Wheel brushes are appropriate when higher,
of the metal. localized forces are required. Cup and wide-faced
Special workholding fixtures and tools are brushes are preferred in applications where a
used to ensure the conductive surfaces of the single plane or surface of the workpiece must be
tools conform to the areas or edges of the work- deburred or descaled. End and tube brush appli-
pieces to be deburred. Proper tool insulation and cations are more geometry specific; end brushes
protective shielding or workpiece masking are are good where there is limited access and tube
required to limit the electrochemical action to brushes are used for bores and internal geometry.
the desired surfaces. Considerations for selecting the correct fila-
Electrochemical deburring is ideal for selective ment for the brush are:
(controlled) deburring and the removal of burrs
material type—strength, elasticity, and
that are inaccessible with most other processes.
abrasiveness; typically steel filaments are
For parts with surfaces that cannot be altered or
used for material removal applications
scratched, ECD is often the only possible method
and nylon filaments are used to remove
of deburring. The absence of mechanical forces
burrs or improve surface finish.
permits the deburring of thin sections and fragile
length—shorter filaments are more rigid
parts without distortion or damage. One obvious
and can transmit higher forces.
limitation is that parts made from nonconductive
fill density—a more densely packed brush
materials cannot be deburred by ECD.
will be stronger and therefore transmit
higher forces.
WIRE BRUSHING filament configuration—straight, crimped,
Wire brushing is a prominent method used or braided; which respectively increase in
in industry for scale removal, deburring, and stiffness and strength.
deflashing. Hand-brushing tools and techniques
are well known and continue to be effectively
used. Power-driven, rotary industrial brushes
are widely used for deburring, edge blending,
cleaning, controlled surface roughening or re-
finement, and finishing because they result in
time and cost savings for many applications.
Stock removal with brushes varies from mini-
mum to substantial amounts.
Several workpiece parameters drive the
process of wire brush finishing. Key geometric
parameters such as part shape, size, access,
and criticality of neighboring surfaces must
be considered to select the proper brush size,
shape, and tool path. The workpiece material
type and the amount of material removal are
important in the selection of the brush mate-
rial and density. Depending upon the brush’s
filament size and speed, the brushing operation
can affect workpiece dimensions. However, due
to their flexibility, brushes are not suitable tools
for achieving final dimensional size.
The availability of a wide range of brush types Figure 30-2. Primary types of power brushes (Wick and
and the flexibility of the process allows wire Veilleux 1985).
308
Fundamentals of Manufacturing Chapter 30: Finishing
The power equipment used to drive wheel The honing process typically follows a rough
brushes includes bench-mounted motors, por- boring operation, which sets the feature location
table tools, and computer numerically controlled and initial rough size. Figure 30-3 illustrates
machine tools. Speeds, feed rates, and the depth common boring errors corrected by honing.
of interference between the brush and workpiece Honing is well suited for applications where
are critical process parameters. accurate fits are required, or where sliding fric-
Potential limitations to the use of power tion takes place and boundary lubrication is
brushing include the possibility of contaminat- desired, such as in automotive engine cylinders.
ing the workpieces, changing the color or surface A honed, cross-hatched surface finish works well
finish of the workpieces, the generation or turn- to retain oil.
ing over of burrs, and hardening of the workpiece There are several variations to honing. The
surfaces. When improperly used, wire brushing honing method and speed, in addition to the hon-
can displace material rather than remove it. ing stones, play a critical role. To control contours,
stones are long and the cutting action occurs by
30.2 HONING rotating and reciprocating the tool. Either the
Honing is an abrasive finishing process used workpiece or the tool location will float.
to achieve final sizing, correct contour errors, Bonded abrasive stones used for honing are
and provide desired surface finishes. Stock re- contoured to provide face contact with the work-
moval is usually .010 in. (0.25 mm) or less. The piece. High stone contact area and slow speeds
surface finish is typically 4–32 μin. (0.10–0.81 make honing quite different from a grinding
μm) Ra. The applications are typically internal operation where the grinding wheel geometry
bores that can range from diameters as small as provides linear contact with the workpiece to
.08 in. (2.0 mm) up to as large as 48 in. (1.2 m). enable high speed and high material removal
To a much lesser extent, honing also can be used rates. The abrasive material must be selected
for flat surfaces and other geometries. based on the material of the workpiece. General
Figure 30-3. Common boring errors that can be corrected by honing (Wick and Veilleux 1985).
309
Fundamentals of Manufacturing Chapter 30: Finishing
selections are shown in Table 30-1. The grit will to apply pressure to the work surface, which is
be selected based on the surface finish required. critical to ensuring proper results. Figure 30-4
The honing tool holds one to eight stones. Gen- illustrates a typical honing tool.
erally, the larger the bore the more stones recom- To keep honing stones cutting at all times and
mended. The tool also has guide surfaces that prevent glazing of their cutting surfaces, a
contact the workpiece. The stone expands outward steady, continuous, and consistent breakdown
of the stone must be ensured. The critical forces
come from three sources: 1) pressure against the
Table 30-1. Honing abrasive applications workpiece, 2) rotation, and 3) reciprocating ac-
Abrasive Application tion of the tool. Setting the contact pressures for
Silicon carbide Cast iron and nonferrous metals
the stones is critical for the material removal
rate, but workpiece structure is also important.
Aluminum oxide Steel
To ensure favorable geometry will result, it is
Steel, nickel, and cobalt-based recommended that the stone length be at least
Cubic boron
superalloys, stainless steel, 50% of the bore diameter. However, in most
nitride (CBN)
beryllium copper, and zirconium
cases, the length-to-diameter ratio should be
Carbides, ceramics, glass, brass, greater than one and set such that the stroke
Diamond
and bronze
for the tool is 1/3 the length of the stone.
A lubricant aids in maintaining consistent
pressure on the bore, functions as a coolant, and
Stones
carries the microchips away from the area being
honed. The fluid must be compatible with the
stones. Oil-based and water-soluble fluids are
used, depending on the conditions.
30.3 LAPPING
Lapping, like honing, is an abrasive ma-
chining process used for highly accurate stock
removal under .001 in. (0.025 mm) and in ap-
plications where finishes better than 2–16 μin.
(0.05–0.40 μm) Ra are required. A highly process-
sensitive manufacturing operation, lapping
can generate extremely precise geometries for
applications such as gaging, the microfinishing
of high-tolerance metering devices, and valves.
The process utilizes a lapping tool moving in
rotation and reciprocating at low pressure. The
abrasive material is a compound placed between
the tool, called a lap, and the workpiece. Lapping
is unique because it can be done by using a tool
or the mating workpiece. It is generally a final
finishing operation that results in four major
refinements to the workpiece:
extreme accuracy,
correction of minor imperfections of shape,
final surface finish, and
close fit between mating surfaces.
Figure 30-4. Sketch of a honing tool (Schrader and Given that lapping pressures are low, work-
Elshennawy 2000). holding issues such as clamping and chucking
310
Fundamentals of Manufacturing Chapter 30: Finishing
that cause distortion are minimized. Also, less sirable materials due to its strength, reasonable
heat is generated due to the low material re- hardness, long life, and ability to hold the abra-
moval rates so heat distortion is not a factor. sive compound. Other lapping tool materials used
A flat workpiece can be lapped on both sides include copper, brass, nylon, and other plastics.
simultaneously, improving the accuracy of flat- The lapping speed and pressure is dependent
ness and parallelism. Key factors impacting the on the workpiece material. When improving
lapping process are workpiece material, lap tool finish, high speeds and low pressures are used.
material, abrasive medium, speed and motion, For material removal, slower speeds and higher
and pressure applied. pressures will cut faster, but the technique must
Hand lapping operations are common, in be perfected to minimize heat build up and avoid
which the compound is brushed onto a lap. The breakdown of the lapping compound (Wick and
finish produced will vary according to the grit Veilleux 1985).
of the abrasive selected and the operator’s skill.
Power-driven equipment includes driven flat 30.4 SHOT PEENING
laps, cylindrical laps, and internal laps. Auto-
Shot peening is the cold working of a metal
mated lapping equipment allows the operator to
surface by a stream of spherical shot particles
fix the speed and motion of the lap while vary-
applied to the surface at high velocity under
ing the pressure applied to the workpiece. An
carefully controlled conditions.
automated feed system is used to continuously
Shot peening is most effective in reducing
apply the compound.
fatigue failures in parts subject to cyclic loading.
Abrasive compounds are classified by mate-
It prevents these failures by creating compres-
rial and grit size. Common lapping materials
sive stress layers in the surfaces of the parts.
include aluminum oxide, silicon carbide, boron
Additionally, as peening cold works the part
carbide, and diamond. Aluminum oxide is the
surface, it blends surface imperfections and ef-
softest material used. It is not suitable for
fectively eliminates them as stress concentration
material removal, but can be used to improve
points. These surface imperfections or flaws may
finishes on hardened steel. Silicon carbide is a
be localized areas of tensile stresses or phase
harder material with sharp grains that make it
transformations from machining or grinding, as
appropriate for fast material removal; however,
well as pits, scratches, and other surface defects
it will not generate a fine surface finish. Boron
(Wick and Veilleux 1985).
carbide can be used to lap hard workpiece ma-
terials, such as tool steel, carbides, and ceramic,
and to improve finish, but it lacks the necessary 30.5 ELECTROPOLISHING
properties for fast material removal. In most ap- Electropolishing is an electrochemical pro-
plications, diamond is becoming the dominant cess, originally developed for sample prepara-
lapping material due to its ability to cut many tion in metallography. It is used to enhance the
materials quickly. Diamonds can be furnished surface finish and appearance of a workpiece.
in a wide selection of grits. Whereas electroplating adds material to the
The lapping compound is formed by mixing workpiece, electropolishing removes it.
loose grains of the abrasive into an oil or water The process is best suited for applications
solution. The compounding agent holds the where the complete workpiece must be treated.
abrasive particles in suspension. It is typically In electropolishing, an electrical charge is
furnished in various viscosities. Compounds are passed through a chemical bath containing
commercially available in grits ranging from the workpiece. The current is applied to form a
90–600, where the higher number designates polarized film on the workpiece surface, which
the finest or smallest grit. causes a leveling or fine smearing action, as
Lapping tools are available in a wide range of shown in Figure 30-5. Projections, such as burrs,
materials. The lap material should be softer than detach themselves from the work surface.
the workpiece and slightly porous to retain the The electropolishing process can be used on
abrasive compound and ensure even distribution most metals, including aluminum, copper, steel,
on the workpiece. Cast iron is one of the most de- and stainless steels. The process not only improves
311
Fundamentals of Manufacturing Chapter 30: Finishing
Figure 30-5. (a) Unpolished surface and (b) surface after electropolishing.
surface finish, but can provide corrosion resis- ware, fountain pen caps, and some tubing. Its
tance and leaves surfaces clean for additional ability to improve surface quality and clean
coating processes. Since electropolishing in- parts has increased its use in the food and medi-
volves submerging the workpiece in a solution, cal industries.
it can be used for large parts and those that have
internal features and passages that require 30.6 ELECTROPLATING
cleaning and deburring.
In electroplating, the workpiece is made ca-
Mechanical preparation of the workpiece can
thodic in a solution containing the ions of the
depend on the workpiece material. In most cases,
metal being deposited. Direct current is passed
milled surfaces are acceptable. Solvent cleaning
between the anode and the workpiece (cathode).
or low-voltage electrolytic cleaning is necessary
The anode is usually constructed of the same
to remove grease and oil.
material as the metal being plated. As the cur-
The equipment used is relatively flexible and rent flows, the metal ions gain electrons at the
includes a plastic-lined tank, electrolyte, and rods cathodic workpiece and transform into a metal
to mount the parts and act as electrical conduc- coating. Figure 30-7 illustrates the electroplat-
tors. Parts are mounted on the anode rods; and ing process.
cathode rods are mounted parallel to the anode
rods as illustrated in Figure 30-6. The rods are
submerged in liquid electrolyte. Current flow into Power source
the workpiece is determined by the part’s mate-
rial composition, size and shape, and its proxim-
ity to the cathode rods. Electrolyte or polishing
solutions vary and, in many cases, they are
heated to just below their boiling points.
After electropolishing, several water-rinsing Anode
Cathode
steps are done with light agitation. The pre-
ferred solution is distilled water with a wetting Workpiece
agent. Upon rinsing, the parts can be plated,
anodized, or coated as necessary. Extremely Heater
large parts can be spray rinsed.
Electropolishing has been used for appear-
ance enhancing in applications such as cook- Figure 30-6. Electropolishing equipment.
312
Fundamentals of Manufacturing Chapter 30: Finishing
harder layer is done by changing the process The typical application process involves clean-
parameters such as temperature and current ing and preparing the surface, applying a primer
density (current per unit area). coat if necessary, curing that coat, applying one
Anodizing works best on external surfaces or more finish coatings (usually with pigment)
rather than internal features or complex ge- by spray or dip, and then either air drying, bak-
ometries. Another factor to consider is that the ing, or UV curing.
buildup of the coating will be perpendicular to The makeup of an organic coating includes a
the surface. As a result, sharp edges and corners polymer binder, pigments, solvents, and other
result in gaps in the coating, making these areas additives to enhance the processing. The binder
prone to chipping, especially with thicker coat- is primarily polymer based and critical to ad-
ing levels. Since anodizing creates a relatively hesion to the work surface. Most binders used
thin layer, it does not add to the bearing strength in manufacturing are thermoset types; before
of the underlying aluminum or fill in voids or curing they consist of one (or more) polymers
other defects in the surface of the workpiece. and one (or more) cross-linkers. The method of
curing depends on the chemistry. Curing meth-
30.8 POLYMER COATINGS ods include ambient or air cure, heat cure, and
Polymer surface coating is a cost effective and ultraviolet (UV) cure. The most common binders
easy method of providing corrosion protection used are ambient and low-heat cure. UV offers
and improved appearance in applications where rapid curing.
the duty cycle is not severe and there is accom- Options for the binder include:
modation for the coating thickness. Although
alkyds—ambient or heat curing resin, not
commonly available in traditional liquid form,
very hard but can be if a cross-linker is
polymer coatings also can be applied in powder
added;
form. The material selection and application
epoxy—two-part, ambient cure;
methods vary significantly between these two
silicone—high temperature, non-yellowing,
alternatives. Coatings are also available in
strong chemical resistance, moisture, heat,
thermoplastic and thermoset resin forms.
or ambient cure;
The subject of coatings may seem to be
novolac—phenol-formaldehyde—ambient
straightforward, but their selection and applica-
or heat cure with solubility limitations;
tion are actually complex. To achieve the best
acrylic—thermoset and thermoplastic for-
results, the correct coating must be selected
mulations, can be solvent-borne or water-
for the application, the work surface must be
borne; good weather resistance, heat or
properly prepared, and application and curing
ambient cure;
processes must all be precisely followed (Wick
polyester—thermoset; common in indus-
and Veilleux 1985). Equally as important is
trial finishing, usually heat cure;
designing the part to be coated. For example,
polyurethane and polyurea—usually ther-
in the case of dipping, the part must be able to
moset, one or two part; versatile technology
be hung while being coated and allow the coat-
gives excellent finishes, heat, UV, or ambi-
ing to drain.
ent cure; and
Coatings generally have difficulty adhering to
fluorocarbons—high chemical resistance,
sharp corners or edges. If UV curing is used, all
but lubricity and anti-stick properties re-
surfaces to be coated must be accessible to the
UV radiation source, preferably at right angles quire special techniques for application,
to the source. heat cure.
Coating appearance is a function of the entire
LIQUID ORGANIC COATINGS formulation, not just the pigment. The chem-
Liquid organic coatings are complex polymer istry behind the pigment materials and their
mixtures provided in several forms, such as water characteristics is extremely complex. Organic,
reducible, powder, and high-solid content. They colored pigments are used, as well as numerous
are typically applied by spraying or dipping. variations of metallic and inorganic types.
314
Fundamentals of Manufacturing Chapter 30: Finishing
Some of the key characteristics in pigment The air nozzles, referred to as air caps, direct
selection are tinting strength, light-fastness, the air to the material and cause atomization and
hiding power (opaqueness), and chemical and pattern development. The two basic types of air
thermal resistance. An important function of nozzles are external mixing and internal mixing.
pigments is to impart corrosion resistance to External-mixing systems mix the air and the
coatings for metals. The pigment’s concentra- fluid outside the air cap. This type of cap is used
tion level can affect the mechanical and optical on both bleeder and nonbleeder types of spray
properties of the coating, so this must be taken guns and can be either siphon or pressure fed.
into consideration when selecting the binder/ External-mixing systems are the most common
pigment combination. type used in production.
Other additives, such as solvents, stabiliz- Internal-mixing systems mix the air and the
ers, defoamers, and catalysts, are critical to the fluid inside the air cap before being released.
coating process and ensure satisfactory results. The air cap’s exit-hole shape controls the pattern
Solvent selection is critical due to environmen- of the material spray, which cannot be varied with
tal considerations. Coating formulations are the gun controls. Internal-mixing systems must be
classified by their content of volatile organic pressure fed and the air and fluid balance must
compounds (VOCs). Solvents, with a few excep- be closely maintained (Wick and Veilleux 1985).
tions, are all VOCs. In the electrostatic spraying finishing process,
Coatings are used in virtually all manufac- the application of electrostatic charges to the
turing industries for parts that are large, small, material particles causes them to act like small
weak, flexible, or rigid. The coating selection magnets when placed in the vicinity of a ground-
criteria must take into account the tempera- ed object. During the spraying process, the
ture and chemical exposure of the product to painted part is grounded. As the material is
be coated. sprayed toward the part, the magnetic action of
Traditional liquid-base coatings are typically the charged particles causes the particles, nor-
easy to apply and control. The equipment is mally lost due to bounce-back or blow-by, to be
flexible and can be adapted to many different attracted back to the part. The phenomenon is
product configurations. It is typically desirable known as “wrap.” By applying an electrostatic
to use a controlled environment since some charge to the material particles, transfer effi-
binders are more sensitive to environmental ciencies of 60–90% are possible. Electrostatic
conditions than others. spraying is illustrated in Figure 30-8 (Wick and
Veilleux 1985).
SPRAY APPLICATION ELECTRODEPOSITION COATING
In conventional air spraying, the material is Electrodeposition under such names as elec-
usually supplied from a container in one of two trocoating, electropainting, paint plating, and
ways. The container may be under pressure of up
to 100 psi (690 kPa) or the spraying device can
pull material from the container to the atomizing
area (suction feed).
Typically, an air-atomizing system consists
of: a) air pressure source; b) air regulator; c) air
line; d) material supply; and e) spray device.
A type of spray gun that controls only the
fluid flow is known as a bleeder type because
the air constantly bleeds from the gun as it is
being used. The other, known as the nonbleeder
type, controls the air and the fluid by the action
of the trigger. These guns ensure that the air
comes on before the fluid begins to flow, known Figure 30-8. Electrostatic spraying (Schrader and Elshen-
as lead-lag. nawy 2000).
315
Fundamentals of Manufacturing Chapter 30: Finishing
E-coat is done with a conductive workpiece at Orange peel is a term descriptive of a surface
one potential dipped into a tank of specially finish where the coating has not flowed out or
formulated liquid paint of opposite charge (nega- leveled to a perfectly smooth finish, leaving the
tive in some cases; positive in others). Colloidal coating with the pebbled appearance of the skin
particles of paint in solution in the tank are at- of an orange. Excessive orange peel is a defect,
tracted to the work, become soluble on contact, but some orange peel is usually desirable. It can
and adhere firmly to the surface. Resistance in- enhance appearance and hide defects. If refrig-
creases on areas as they are coated, and buildup erators, for example, were painted with glossy
continues on other areas to deposit a uniform paints and had no orange peel, the metal defects
but thin film. Because of resistance, only one would stand out.
coat is feasible, and the process is mostly lim- Runs and sags are apparent where excess
ited to priming. Every steel auto body has an coating has been applied too quickly and the
electrodeposited primer and there are many liquid has run down in sheets or drips.
other applications. Prime coats are normally Holidays are small bare spots.
not more than about .0008 in. (20 μm) thick and Fish eyes are small (under .10 in. [3.0 mm]
show the slightest surface defects. Equipment in diameter) raised or crater-like areas around
is costly, and the process is economical only a central thin spot caused by a tiny oil drop or
for large-quantity production (Schrader and
Elshennawy 2000).
COATING DEFECTS
Coating defects consist of several types such
as orange peel, runs and sags, holidays, and Figure 30-9. Roller coating: (a) direct roll coater and (b)
fish eyes. reverse roll coater.
316
Fundamentals of Manufacturing Chapter 30: Finishing
surface contamination from silicones or other needed. Common thermoplastic powders include
contaminants. nylon, polyvinyl chloride (PVC), polypropylene,
and polyethylene. Thermoset powders are based
POWDER COATINGS on lower-molecular-weight resins, which are
In powder-based coating, a finely pulverized cross-linked upon application, providing a dense,
polymer is applied to the work surface at ambi- heat-stable coating. Thermoset powders include
ent conditions and then cured at an elevated epoxy, acrylic, polyurethane, and polyester.
temperature. This technology uses similar The primary powder coating application
binders and pigments as in liquid processes, but methods are electrostatic spraying, the most
utilizes a much different carrier to distribute widely used method, and fluidized bed dipping.
and cure the coating material. A major advan- In electrostatic spraying, parts are cleaned and
tage of powder processes and a key reason for dried prior to spraying. The fluidized powder is
the minimal environmental effects is that the electrostatically charged and then sprayed onto
coating material can be reclaimed and reused, the grounded workpiece as illustrated in Figure
resulting in extremely low VOC levels. 30-10. After spraying, post-curing and cool-down
Powder coatings are available in thermoplas- are necessary. Electrostatic spraying allows for
tic and thermoset forms. However, the thermo- coverage of the total surface area of the work-
plastic materials are more difficult to pulverize piece, even areas on the opposite side from the
into a fine powder, so these are restricted to ap- spray gun. Reasonably uniform films of con-
plications where a thicker, more pliable coating is trolled thicknesses can be applied.
Air
mover
Bag
filter
Spray
enclosure
Cyclone
recovery
Powder
gun
Powder
supply
Air
High
Air voltage Reclaim
Figure 30-10. Typical components in a powder coating electrostatic spray system (Wick and Veilleux 1985).
317
Fundamentals of Manufacturing Chapter 30: Finishing
Fluidizing air
High voltage
Figure 30-11. Schematic of a typical electrostatic fluidized bed (Wick and Veilleux 1985).
318
Fundamentals of Manufacturing Chapter 30: Finishing
REFERENCES
Department of Defense. 1993. Military specification,
MIL-A-8625F. “Anodic Coatings for Aluminum and
Aluminum Alloys.” Washington, DC: Department of
Defense.
Schrader, George F., and Ahmad K. Elshennawy.
2000. Manufacturing Processes and Materials, Fourth
Edition. Dearborn, MI: Society of Manufacturing
Engineers.
Wick, Charles and Raymond Veilleux, eds. 1985. Tool
and Manufacturing Engineers Handbook, Fourth Edi-
tion. Volume 3: Materials, Finishing, and Coating.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Gillespie, LaRoux. 2006. Mass Finishing Handbook.
Dearborn, MI/NY: Society of Manufacturing Engi-
neers/Industrial Press.
Norman, R. 2005. Industrial Painting and Powder
Coating: Principles and Practice. Cincinnati, OH:
Hanser-Gardner Publications.
Society of Manufacturing Engineers. 2006. “Plating
and Surface Coatings” DVD. Fundamental Manufac-
turing Processes Video Series. Dearborn, MI: Society
of Manufacturing Engineers.
Society of Manufacturing Engineers. 2003. “Painting
and Powder Coating” DVD. Fundamental Manufac-
turing Processes Video Series. Dearborn, MI: Society
of Manufacturing Engineers.
Society of Manufacturing Engineers. 2002. “Plastics
Finishing” DVD. Fundamental Manufacturing Pro-
cesses Video Series. Dearborn, MI: Society of Manu-
facturing Engineers.
31
PLASTICS PROCESSES
Selecting a process appropriate for both the There are several categories of extruder
material and part geometry is complicated. screws. The most common type is the general-
Most manufacturing equipment can use many purpose screw, shown in Figure 31-2, which
types of material and some designs function well can handle a wide range of differing materials.
made of differing materials. Table 31-1 shows A general-purpose screw may have additional
some of these possibilities for thermoplastics. special mixing devices, which are usually at-
Table 31-2 indicates processes compatible with tached to the front end. The simplest are mixing
selected thermoset materials. pins, which are inserted into the screw. When
a process is dedicated to only one type of mate-
31.1 EXTRUSION rial, then a special-purpose screw may be more
The extrusion process is a continuous operation efficient. The special screw design includes
that forces hot plasticized material through a die various types of barrier screws. A barrier screw
opening to produce the desired shape. The mate- is a standard screw with an extra flight in the
rial coming out of an extruder is called the extru- transition (melting) zone that divides it into two
date. Extrusion processes consume more plastics channels, one for melt and one for pellets. The
materials than any other processes, since large, new flight is not full diameter, so there is a gap
high-speed extruders run continuously.
over which the melt can pass into its channel.
A typical extruder consists of a barrel, heat-
The pellets remain in the main channel where
ers, and coolers to control the temperature of the
they rub and melt more efficiently but are
barrel, screw, die, and drive motor. Temperature
drained of excess melt that might over-lubricate
is an important factor for maintaining the part’s
them. As the plastic moves down the screw, the
shape while cooling. Figure 31-1 shows the con-
figuration of an extruder. pellet channel gets smaller and the melt channel
Extruders are sized by the diameter of the screw gets bigger. At the end of this section the pellet
and the horsepower of the drive motor. The basic channel ends and a single flight continues into
screw description includes its length-to-diameter the mixing and metering zone (Mitchell 1996).
ratio. For example, a short screw might have a Extrusion processes are categorized by the
16:1 ratio; a long screw might be up to 40:1. general shape of the products they produce.
A small-diameter screw is .75 in. (19 mm) in di- These processes are profile extrusion, pipe extru-
ameter, and a large screw may be 12 in. (305 mm) sion, sheet extrusion, film extrusion, filament
in diameter. Because of these large variations in extrusion, and wire coating. In some cases, the
equipment size, the output of extruders also varies same basic extruder could serve for all these
from a low output of 5 lb (2.3 kg) per hour to a high processes, but the dies and secondary equipment
output of 12,000 lb (5,443 kg) per hour. would be unique.
Rotational Molding
Injection Molding
Vacuum Molding
Transfer Molding
Thermoforming
Foam Molding
Blow Molding
Calendering
Pultrusion
Extrusion
Forging
Casting
Thermoplastics
Acetal
Acrylonitrile-butadiene-styrene (ABS)
Acrylic
Cellulose acetate
Cellulose acetatebutyrate
Cellulose nitrate
Cellulose propionate
Ethyl cellulose
Chlorinated polyether
Chlorotrifluoroethylene (CTFE)
Tetra-fluoroethylene (TFE)
Fluorinated ethylene-propylene (FEP)
CTFE-VF2
Nylon
Phenoxy
Polyimide
Polycarbonate
Polyethylene
Polyphenylene oxide (PPO)
Polypropylene (PP)
Polystyrene
Polysulfone
Polyurethane
Styrene-acrylonitrile copolymer (SAN)
Polyvinyl chloride (PVC)
Polyvinyl acetate
Polyvinylidene chloride
The design of extrusion dies has to account for ene, and polyethylene. Nylon, polycarbonate,
shrinkage of the material as it cools. Extrusion polysulfone, acetal, and polyphenylene are
dies are not the same size or shape as the desired included among other plastics that can be
product. The difficulty of designing a die increases extruded.
as the product profile becomes more complex.
The most commonly extruded materials are 31.2 BLOW MOLDING
rigid and flexible vinyl, acrylonitrile-butadi- Blow molding is a process for shaping thermo-
ene-styrene (ABS), polystyrene, polypropyl- plastic materials into one-piece, hollow articles
321
Fundamentals of Manufacturing Chapter 31: Plastics Processes
Rotational Molding
Injection Molding
Transfer Molding
Thermoforming
Foam Molding
Laminating
Casting
Thermosetting
Plastics
Alkyd
Allyd
Epoxy
Melamine
Phenolic
Polyester (unsaturated)
Polyurethane
Silicone
Urea
by heat and air pressure. The two principal EXTRUSION BLOW MOLDING
methods are extrusion blow molding and injec- In extrusion blow molding, an extruder cre-
tion blow molding. ates a thick tube called a parison. A mold then
322
Fundamentals of Manufacturing Chapter 31: Plastics Processes
Figure 31-3. Steps in the basic extrusion blow-molding process (Mitchell 1996).
of polystyrene, but cannot deliver 12 oz (340 g) of Plastics such as polycarbonate and nylon require
polypropylene, because the polypropylene is con- much greater tonnage to mold. If the clamp force
siderably less dense than the polystyrene. is not great enough, the mold will open slightly
Clamp tonnage is the amount of force the ma- when the plastic is injected, creating flash around
chine can generate to squeeze a mold together. the parting line.
Small machines are capable of 100 tons (889 kN) The temperature of the melted plastics and
or less. Medium-sized machines are 100–2,000 tons the temperature of the mold are critical pro-
(889 kN–18 MN). Large clamp tonnage is 2,000 cess parameters in injection molding. Material
tons (18 MN) and up. Clamp size determines the manufacturing companies recommend melt and
size of parts that can be manufactured. Many eas- mold temperatures for their materials.
ily molded plastics require about 2.5 tons (22 kN)
of clamp force per square inch of projected part REACTION INJECTION MOLDING
area. To mold a flat plaque 8 × 10 in. (203 × 254 Reaction injection molding (RIM) is a form of
mm), a 200-ton (1.8 MN) clamp would be required. injection molding that brings temperature and
324
Fundamentals of Manufacturing Chapter 31: Plastics Processes
Figure 31-5. Single-stage, reciprocating-screw-type plastic injection molding machine (Schrader and Elshennawy 2000).
ratio-controlled, liquid reactant streams to- as they enter the mold. A chemical reaction
gether under high-pressure impingement mix- produces the plastic as it forms the part.
ing to form a polymer directly in the mold. Two When compared to other molding systems,
liquid reactants (monomers) are mixed together RIM offers more design flexibility, lower energy
325
Fundamentals of Manufacturing Chapter 31: Plastics Processes
for injection molds, which have to withstand steel) are first heated to plasticize the material
tremendous pressures. Figure 31-7 shows the and then placed under pressure to form the
configuration of a turret-type rotational mold- desired shape. The mold is held closed under
ing machine. pressure for a sufficiently long period to polym-
erize or cure the material into a hard mass. The
31.6 CASTING process uses flash-type molds, semi-positive
molds, and positive molds. The differences have
Casting processes are applicable to some ther-
to do with the provisions for letting excess mate-
moplastics and thermosets. These materials can
rial escape from the mold. Figure 31-8 shows a
be cast at atmospheric pressure in inexpensive
flash-type compression mold. When the mold
molds to form large parts with section thicknesses
closes, excess material (flash) is forced out
that would be impractical by other manufacturing
around the sides of the parts.
processes. Casting resins are molded on a produc-
Phenolic, urea, melamine, melamine-pheno-
tion basis in plaster, rubber, and glass molds.
lic, diallyl phthalate, alkyd, polyester, epoxy,
One of the common plastics materials in
and the silicones are thermoset materials
wide-scale use is transparent acrylic sheet. The
capable of being compression molded. Ther-
thick acrylic plates used for security in banks are
mosetting molding compounds processed from
cast. These sheets are called cell cast, because
the individual heat-reactive resin systems are
they are manufactured by pouring liquid plastic
available in a wide range of formulations to
resin into a mold made with thick glass plates.
satisfy specific end-use requirements. Depend-
After the polymerization is complete, the mold
ing upon the type of material, products may be
is removed and the edges of the thick acrylic
supplied in granular, nodular, flaked, diced, or
are cut and polished. The cost of these forms of
pelletized form. Polyester materials are supplied
plastics is high due to the long times required
in granular, bulk, log, rope, or sheet form, and
to complete the process.
polyurethanes are made in many forms, ranging
from flexible and rigid foams to rigid solids and
31.7 COMPRESSION AND TRANSFER MOLDING abrasion-resistant coatings.
In compression molding, thermoset molding
compounds placed in a mold (generally hardened
Figure 31-7. Turret-type rotational molding machine Figure 31-8. Flash-type compression mold (Schrader and
(Mitchell 1996). Elshennawy 2000).
327
Fundamentals of Manufacturing Chapter 31: Plastics Processes
Transfer molding is an extension of compres- Plastic Part Manufacturing. Dearborn, MI: Society
sion molding. Un-polymerized material is placed of Manufacturing Engineers.
in a transfer pot and melted. A plunger forces Schrader, George F. and Ahmad K. Elshennawy. 2000.
the molten plastic into a die cavity as shown in Manufacturing Processes & Materials, Fourth Edition.
Figure 31-9. Temperature and pressure are Dearborn, MI: Society of Manufacturing Engineers.
maintained until the resin has cured. This pro-
cess produces thin-walled, intricate shapes
similar to injection molding. Resins also can be BIBLIOGRAPHY
reinforced to improve electrical and mechanical Lokensgard, Erik. 2008. Industrial Plastics: Theory
properties (Schrader and Elshennawy 2000). and Applications, Fifth Edition. Albany, NY: Delmar
Cengage Learning.
REVIEW QUESTIONS Society of Manufacturing Engineers. 2006. “Plastic
31.1) How are extruders sized? Thermoforming” DVD. Fundamental Manufactur-
ing Processes Video Series. Dearborn, MI: Society of
31.2) What are the two major categories of blow Manufacturing Engineers.
molding?
Society of Manufacturing Engineers. 2004. “Plastic
31.3) Before it is inflated, what is the starting Injection Molds” DVD. Fundamental Manufactur-
blank for blow molding called? ing Processes Video Series. Dearborn, MI: Society of
31.4) What plastics material is the standard Manufacturing Engineers.
for measurement of the shot size of injection Society of Manufacturing Engineers. 2004. “Extru-
molding machines? sion Processes” DVD. Fundamental Manufacturing
31.5) What defect is caused by insufficient Processes Video Series. Dearborn, MI: Society of
clamping force in injection molding? Manufacturing Engineers.
31.6) What is the purpose of a plug assist in Society of Manufacturing Engineers. 2003. “Plastic
thermoforming? Blow Molding” DVD. Fundamental Manufacturing
Processes Video Series. Dearborn, MI: Society of
REFERENCES Manufacturing Engineers.
Mitchell, Philip, ed. 1996. Tool and Manufacturing Society of Manufacturing Engineers. 2003. “Plastic
Engineers Handbook, Fourth Edition. Volume 8: Injection Molding” DVD. Fundamental Manufacturing
There are many process options for composite The spray-up method uses a chopper to cut
fabrication. Some of the most important of these fibers into short lengths, and then blows them
are wet lay-up, autoclaving, liquid composite directly into a low-pressure stream of resin aimed
molding (LCM), compression molding, filament at the mold surface. Low fiber-to-resin ratios, low
winding, and pultrusion. dimensional tolerances, and low strength are char-
Composite processes can be divided into two acteristics of this process, but the open-mold tool
categories, high and low volume. The low-volume is inexpensive. Boat hulls, tub and shower stalls,
processes, such as wet lay-up or autoclaving, in- truck bed-liners, and many other large and simple
volve high manual labor costs, high cycle times, shapes are produced by the spray-up method.
and low-cost molds. High-volume processes, such For higher mechanical properties, wet lay-up
as compression molding, filament winding, or can be used to produce a laminate. Many layers
pultrusion, have an initial high cost for tooling are cut from a fabric in the pattern of the prod-
and equipment but the labor intensity is low and uct’s shape. Resin is applied to each individual
automation potential is high. LCM can fit in both layer as it is stacked on top of preceding layers to
the low-volume and high-volume categories. produce the final part geometry. Resin applica-
For example, LCM may involve a manual hand tion can be done with a roller, and consolidation
lay-up process of the fibers or it may rely upon can be improved by applying pressure with the
rapid, automated tape lay-up. roller or other means.
Shape complexity, size, strength, dimensional Environmental regulation has reduced the
precision, and the quantity to be manufactured use of wet lay-up in recent years. Open-mold
determine construction techniques. An increase processing with the usual composite resins,
in any of these factors implies higher processing especially when sprayed, produces volatile or-
costs (tooling, pressure, and/or heat). ganic compounds (VOCs). The most common of
these is styrene used as a solvent in polyester
32.1 WET LAY-UP and vinylester resins. Rather than deal with
containment complications, many manufactur-
Hand lay-up (manual placement of the
ers are switching to closed-mold LCM processes.
fibers) can be done with either dry fibers or
“wet” fibers. If dry, then LCM must be used
after fiber placement to impregnate the fibers 32.2 PREPREG CURING
with the resin. In wet lay-up, the resin is applied Advanced composites are typically laminates.
to the fibers as they are placed in the mold. This But manual application of the resin, as in wet
is the simplest and most inexpensive composite lay-up, results in relatively low fiber content
process. Wet lay-up can be used to produce either and low strength. Advanced composites require
a chopped (short) fiber spray-up, or a laminate. a more controlled method of resin application.
A prepreg material is a fabric with the fibers 32.3 LIQUID COMPOSITE MOLDING
aligned parallel to each other (unidirectional) Filling a niche between wet lay-up and auto-
and pre-impregnated with just enough resin to clave curing of parts is liquid composite mold-
completely wet the fibers. The resin is partially ing (LCM). This term encompasses a variety of
cured to maintain the integrity of the fabric. As composite processes, all consisting of a pressure
in wet lay-up, a pattern of the product’s shape is gradient driving a low-viscosity resin through
cut out, and the prepreg material is then stacked an initially dry fiber preform before curing. A
in layers to form the desired laminate geometry. preform is made by cutting and binding layers
In contrast to wet lay-up, however, the amount of reinforcement material together to build a
of resin in each layer of prepreg is already de- part’s desired shape in preparation for LCM
termined, minimized, and carefully controlled processing.
by the prepreg manufacturer. This results in A basic distinction in LCM methods is the
much higher fiber content, higher mechanical origin of the pressure gradient. In resin trans-
properties, and higher dimensional precision. fer molding (RTM), the resin is pushed by high
A final product is obtained by curing the pressure into the mold cavity and throughout
stacked plies under pressure and heat in an the fabric. In vacuum-assisted resin transfer
autoclave. As the prepreg is already partially molding (VARTM), a vacuum source pulls the
cured, the heat is needed for full curing of the resin through the preform.
resin. The pressure aids in part consolidation, In the conventional RTM process, two-piece,
as well as squeezing out any last amounts of matched-cavity molds are used with one or
excess resin. Cure conditions vary widely based multiple injection points and breather holes.
on factors such as resin type, the required glass The mold halves are clamped together, and a
transition temperature, and residual stress al- resin is pumped through an injection port in the
lowance. A typical carbon-epoxy aerospace pre- mold, and then cured. This permits a low cycle
preg is cured at approximately 350° F (177° C) at time, and the resultant mechanical properties
a pressure of 100 psi (690 kPa). High-temperature and repeatability lie in between those capable
composites, such as bismaleimides, are often with wet lay-up and autoclave curing.
cured at approximately 600° F (316° C). The use of VARTM has grown more than any
The tooling is essentially a mold that fol- other composites process over the last 20 years.
lows a part through the lay-up and curing VARTM uses a vacuum to draw resin through a
processes. The mold is usually single-sided conduit from an open resin pot and through the
and used in conjunction with a vacuum bag. laminate or preform as shown in Figure 32-1.
Tooling materials commonly used for manu- Applying vacuum instead of high pressure, as
facturing composite parts include aluminum, in RTM, allows the mold to be one-sided with a
steel, electroplated nickel, a high-temperature vacuum bag over the laminate. This significantly
epoxy-resin system casting, and composites reduces production costs for large parts.
(Mitchell 1996). The Seemann composites resin infusion mold-
Curing in an autoclave achieves the highest ing process (SCRIMPTM) is a variant of VARTM
properties and repeatability of composites pro- with further benefits for large parts. Resin is
cessing, but at a high cost in cycle time, mate- pulled first through a resin distribution medium
rial, energy (heat as well as freezer storage of layer, also known as a high-flow mesh, across
the prepreg), and equipment (the autoclave). the surface of the laminate as shown in Figure
Prepreg material is also stiff and difficult to form 32-2. The resin distribution medium helps spread
complex shapes with. Thus, use of an autoclave the resin across the laminate more effectively
is restricted to high-performance applications than VARTM.
with simple part geometries. The aerospace Another variant of RTM, the vacuum-assist-
industry has traditionally used prepreg for a ed process (VAP) capitalizes even further on
variety of parts, but is constantly developing the vacuum consolidation. As shown in Figure
“out-of-autoclave” processes in hopes of achiev- 32-3, a layer of a semi-permeable membrane,
ing the same quality at a lower cost. such as GORE-TEX®, is placed on top of the
331
Fundamentals of Manufacturing Chapter 32: Composite Processes
laminate to keep the resin in the mold but still tomobile industry has favored RTM processes
allows air to be pulled through the thickness more than VARTM. The part size of most au-
at any location in the part. Applying vacuum at tomotive applications is relatively small, so
every point along the length and width of the two-piece RTM tooling is relatively affordable.
part aids in filling as it ensures that no area The low-cost benefits of SCRIMP for large parts
becomes disconnected from the vent. It also aids has made it popular in wind energy and marine
degassing of voids as the path an air bubble applications. The latest variants of VARTM,
must travel to exit the mold is usually shorter such as VAP, have produced large parts with
in the thickness direction of the part rather quality and precision similar to those cured in an
than along the entire part length to the nearest autoclave. Thus, many large aircraft structural
vent as in traditional VARTM. parts, such as wing skins, pressure bulkheads,
Cycle times are shorter and surface quality and cargo doors, have recently changed from
is better in RTM than in VARTM, thus the au- prepreg-based processes to LCM.
332
Fundamentals of Manufacturing Chapter 32: Composite Processes
32.4 COMPRESSION MOLDING ings grouped into a wide and flat fiber bundle so
as to cover more surface area with each pass on
Similar to RTM, the compression molding
the mandrel. The tape’s width may vary from an
process applies pressure on the material inside
inch to a yard (several centimeters to a meter).
matched metal tooling. But it differs from RTM
Filament winding is a relatively slow process,
in that the resin and reinforcement are already
but the fiber direction can be partially controlled
mixed before molding. Compression molding
and the diameter varied along the length of the
uses sheet molding compound (SMC)—a sheet
piece. With both the roving and tape-winding
of high-viscosity resin filled with chopped (short)
processes, the finished part is cured in an oven or
fibers. To facilitate handling, SMC is partially
autoclave and later removed from the mandrel.
cured to the point that the material is “leathery.”
Figure 32-4 shows the filament winding process
It is then closed in a high-strength, tool-steel
(Mitchell 1996).
mold, and a high pressure (up to 2,500 psi [17.2
For strength-critical aerospace structures,
MPa]) is exerted to fill in all the corners of the
carbon fibers are usually wound with epoxy-
mold cavity.
based resin systems. The polyesters, phenolics,
Due to the high pressures involved in com-
and bismaleimides are limited to special applica-
pression molding, tooling costs are higher;
tions. Filament winding is used to produce round
however, cycle times are lower than with RTM.
or cylindrical objects such as pressure bottles,
Due to the use of short fibers, the mechanical
missile canisters, and industrial storage tanks.
properties are not as good as the continuous fiber
preforms available to LCM processes. The low
cycle times of compression molding have made it 32.6 PULTRUSION
appealing to the automotive industry, especially In composites technology, pultrusion is the
for body parts requiring good surface finishes. equivalent of metals extrusion. Pultrusion (also
called pultruding) consists of transporting con-
32.5 FILAMENT WINDING tinuous fiber bundles through a resin matrix
In the filament winding process, roving or bath and then pulling them through a heated
tape is drawn through a resin bath and wound die. Figure 32-5 illustrates the basic components
onto a rotating mandrel. Tape is a number of rov- of a pultrusion machine.
333
Fundamentals of Manufacturing Chapter 32: Composite Processes
The pultrusion process combines longitudi- acts as a glue connecting the various compo-
nal reinforcements (roving doffs) and trans- nents of the reinforcement.
verse reinforcements (mat creels). Roving Surfacing material is generally added to pul-
resembles a glass rope, while mat resembles a truded structural shapes after the impregnation
glass sheet. The reinforcements are pulled step. Curing of the product (changing from a wet,
through a guide plate that helps to orient the saturated reinforcement to a solid part) occurs
reinforcing materials correctly in the final pul- in a heated die. After exiting the die, the part
truded part. The aligned materials are then passes through a cut-off system. Unlike extru-
passed through a resin impregnation chamber, sion, which pushes the part from the entrance
which contains the polymer solution. The poly- end of the die, pultrusion pulls the part from the
mer solution impregnating the reinforcements exit end of the die.
334
Fundamentals of Manufacturing Chapter 32: Composite Processes
The process can be used to make complex Society of Manufacturing Engineers. 2005. “Manual
shapes; however, it typically is limited to items of Composite Lay-up & Spray-up” DVD. Composites
constant cross-section such as tubing, channels, Manufacturing Video Series. Dearborn, MI: Society
I-beams, Z-sections, and flat bars (Mitchell 1996). of Manufacturing Engineers.
Society of Manufacturing Engineers. 2005. “Automat-
REVIEW QUESTIONS ed Composite Lay-up & Spray-up” DVD. Composites
Manufacturing Video Series. Dearborn, MI: Society
32.1) In laminating of composites, what is a
of Manufacturing Engineers.
prepreg?
Society of Manufacturing Engineers. 2005. “Com-
32.2) Name a disadvantage of the spray-up
pression Molding” DVD. Composites Manufacturing
method for forming composite parts.
Video Series. Dearborn, MI: Society of Manufacturing
32.3) Which composite manufacturing process Engineers.
resembles metal extrusion?
32.4) Rank the following in order of increasing
tooling cost: RTM, compression molding, and
wet lay-up.
32.5) How is SCRIMPTM different than VARTM?
REFERENCES
Mitchell, Philip, ed. 1996. Tool and Manufacturing
Engineers Handbook, Fourth Edition. Volume 8:
Plastic Part Manufacturing. Dearborn, MI: Society
of Manufacturing Engineers.
Strong, A. B. 2008. Fundamentals of Composites
Manufacturing: Materials, Methods, and Applica-
tions, Second Edition. Dearborn, MI: Society of
Manufacturing Engineers.
BIBLIOGRAPHY
Advani, S. G. and M. Sozer. 2002. Process Modeling in
Composite Manufacturing. New York: Marcel Dekker.
Parnas, R. S. 2000. Liquid Composite Molding. Cin-
cinnati, OH: Hanser-Gardner Publications.
Society of Manufacturing Engineers. 2005. “Liquid
Molding” DVD. Composites Manufacturing Video
Series. Dearborn, MI: Society of Manufacturing
Engineers.
Society of Manufacturing Engineers. 2005. “Pultru-
sion” DVD. Composites Manufacturing Video Series.
Dearborn, MI: Society of Manufacturing Engineers.
Society of Manufacturing Engineers. 2005. “Compos-
ites Post-fabrication and Joining” DVD. Composites
Manufacturing Video Series. Dearborn, MI: Society
of Manufacturing Engineers.
Society of Manufacturing Engineers. 2005. “Fila-
ment Winding” DVD. Composites Manufacturing
Video Series. Dearborn, MI: Society of Manufacturing
Engineers.
33
CERAMIC PROCESSES
The processing techniques for ceramics Glass fibers, such as the fibers found in
greatly depend on the characteristics of the fiberglass insulation, are produced by forc-
raw materials. To organize a discussion of ing molten glass through tiny openings in a
techniques, three categories of materials will metal die.
be used: glasses, clays, and crystalline ceramic Conventional heat-treating processes increase
powders. the strength of glass. For example, to create
tempered glass, the surface of the glass is rapidly
33.1 GLASS PROCESSES cooled after it has been formed. After the surface
has cooled, the inside cools. As the inside cools,
Glass manufacturing begins with molten
it also contracts, which causes the surface to be
glass at approximately 2,200° F (1,204° C). Then,
compressed, as illustrated in Figure 33-1.
a variety of techniques can be used for shaping
Glass also can be annealed to remove un-
the viscous mass.
wanted residual stress, which may cause it to
A craft process, glass blowing produces
fail in service. This type of annealing is similar
unique and artistic works. The same process
to the stress relieving of metals.
has been thoroughly mechanized in the manu-
facture of light bulbs. The viscous blob of glass
is inflated with air. The final shape may be 33.2 CLAY PROCESSES
determined by a mold or shaped by hand with Manufacturing clay products involves pro-
various fixtures and tools. cesses such as casting, plastic forming, and dry
Pressing of viscous glass may involve mechan- powder pressing.
ical and centrifugal forces. Mechanical shaping
usually involves matching molds that press a CASTING
blob of viscous glass into a desired shape. If the
viscous glass is shaped by centrifugal forces, a Casting requires the clay to be prepared as
spinning mold forces the glass to conform to its slip, which is a suspension of clay in water.
shape.
Flat sheets of glass may be shaped using
water-cooled rollers. One problem associated
with rolling glass is that surface imperfec-
tions are difficult to eliminate. An extremely
smooth glass plate can be manufactured by
floating a sheet of viscous glass onto a bath
of liquid tin. This type of glass is frequently
called float glass. Figure 33-1. Tempered glass cross-section.
REVIEW QUESTIONS
33.1) Name two methods for producing glass
plate.
33.2) What type of glass contains residual com-
pressive surface stress?
33.3) Slip casting uses a suspension of clay in
______________.
33.4) What plastic forming process uses a metal
template and a rotating plaster mold?
33.5) What material or process is used to make
ceramic parts impermeable?
BIBLIOGRAPHY
Black, JT and R. A. Kohser. 2007. DeGarmo’s Mate-
rials and Processes in Manufacturing, 10th Edition.
New York: John Wiley, Inc.
34
PRINTED CIRCUIT BOARD
FABRICATION AND ASSEMBLY
34.1 PRINTED CIRCUIT BOARD FABRICATION The insertion of axial-lead components is also
Creation of a printed circuit board usu- called variable center distance (VCD) insertion.
ally begins with a schematic capture of an VCD refers to axial-lead components such as
electrical or electronic design that meets the resistors, capacitors, and diodes. Axial-lead com-
specifications of the original circuit design. ponents require their leads to be bent at right
The schematic with the component selection angles prior to insertion. The final distance be-
list is then transformed into a circuit layout, tween the leads after being bent to 90° is called
usually with the use of a computer-aided the center distance, which changes depending
design (CAD) program. The board layout in- on the size and type of component.
cludes component placements and conductor Prior to automatic insertion, a component
pathways or traces. sequencer automatically places the required
Printed circuit boards are usually made from components on a tape in the order that they are
copper that is laminated to a fiberglass sub- to be inserted. The automatic axial-lead insertion
strate. Circuit traces are typically produced by
selectively etching the copper. Printed circuit
boards can be fabricated in a single-sided,
double-sided, or multi-layer configuration. Fig-
ure 34-1 illustrates a multi-layer board where
a semi-cured glass/epoxy substrate joins the
copper laminated boards together permanently
after being fully cured.
For multi-layer configurations, some of the
inner layers serve as power, ground, or electrical
isolation planes. Inner layers are connected to
the outer layers with the use of plated through-
holes (PTH) as shown in Figure 34-2.
machine then cuts the component from the tape, line package (SIP) as compared to dual in-line
forms the leads at 90°, inserts the component package (DIP) insertion.
into its programmed location, and cuts and After component insertions are completed,
clinches the leads on the opposite side as illus- the component leads are soldered to the under-
trated in Figure 34-4. Sometimes the automatic side of the board using a process called wave
component sequencing and insertion steps can soldering. The circuit board assembly is placed
be combined on one large machine. on a conveyor using spring-tension fingers or a
Auto-insertion machines, whether for axial- pallet to hold the circuit assembly. Prior to wave
lead or DIP-type components, have an insertion soldering, the underside of the board is coated
head that grips the components and supports the with flux to help remove oxides and improve
component leads while a ram moves in the vertical wetting of the solder to ensure quality of the
direction to push down and insert the component. solder connection. The boards then continue
The circuit board is usually mounted on a tooling along the conveyor through pre-heaters and
plate, which can rotate in 90° increments and move finally over a cascading fountain of molten sol-
in the x and y directions according to the program. der. After taking the assembly from the con-
The leads are usually cut and clinched in a con- veyor or pallet, some solder removal may be
tinuous action at the time of component insertion. necessary to eliminate solder bridges or icicles.
The insertion method for radial-lead com- A solder bridge is excess solder that joins con-
ponents is similar to the method for axial-lead ductors causing a short circuit. An icicle is ex-
components, except for the head that grips cess solder extending down from a through-hole
the component. The same is true for single in- component lead. Removal may be accomplished
341
Fundamentals of Manufacturing Chapter 34: Printed Circuit Board Fabrication and Assembly
Figure 34-3. Sample through-hole electronic components: (a) axial lead resistor, (b) radial lead transistor, (c) dual in-
line package (DIP), and (d) DIP socket.
by using a hand-held soldering iron. The as- pads on the board are coated with solder paste
semblies are then cleaned and dried to remove using a stencil printing operation. The SMDs are
any flux residue. Additionally, dross, comprised positioned on the board usually by a pick-and-
of metallic oxides, forms on the surface of the place component placement machine. The sur-
molten solder in the wave soldering machine face tension of the solder paste temporarily
and must be periodically removed to avoid sol-
dering defects.
REVIEW QUESTIONS
34.1) Which type of printed circuit board con-
tains circuit pathways on both sides of the board?
34.2) What is the insertion of axial-lead compo-
nents referred to as?
34.3) What is a solder bridge?
34.4) What soldering process is used with sur-
face mount devices?
34.5) What process is used to apply the solder
paste to the circuit board when surface mount
assembly is used?
REFERENCE
Figure 34-5. Sample surface mount devices: (a) small outline
Wick, Charles and Raymond Veilleux, eds. 1987. Tool
transistor (SOT), (b) small outline integrated circuit (SOIC),
and Manufacturing Engineers Handbook, Fourth
and (c) quad flat pack (QFP) integrated circuit.
Edition. Volume 4: Quality Control and Assembly.
Dearborn, MI: Society of Manufacturing Engineers.
secures the component. After all of the SMD
components are placed for one side, they are BIBLIOGRAPHY
soldered using a process called reflow soldering. Boothroyd, Geoffrey, Peter Dewhurst, and Winston
Reflow soldering requires heating the surface Knight. 2011. Product Design for Manufacture and
and the components until the solder paste flows Assembly. Boca Raton, FL: CRC Press.
Part 6
Production Systems
35
TRADITIONAL PRODUCTION PLANNING
AND CONTROL
provide the direction and limitations for the (requirements planning) is done to determine
operators of the detailed processes. its feasibility and where bottlenecks will occur.
All manufacturing companies have a business Limitations in machine capacity, labor capacity,
plan projecting at least a year into the future. In and supplier capacity may require changes in
monetary terms, it projects what is expected to the master production schedule.
happen, specifying gross revenues, profits, and A much more detailed capacity plan can be
cash flows. From the approved business plan, generated using capacity requirements planning
budgets are developed for the individual depart- (CRP). CRP differs from rough-cut capacity plan-
ments. Generally, the business plan remains ning because it uses time-phased information
fixed for the fiscal year because it is used as a from the MRP system. It considers work-in-
benchmark for judging performance. process when calculating work-center capacities.
The sales and operations plan has many im- CRP also includes the demand not accounted for
portant differences from the business plan. The in the MPS, such as replacement parts.
planning horizon normally extends beyond The process of production planning involves
the fiscal year to provide guidance for activities tradeoffs between changes in production and
requiring long lead times, such as acquisition of inventory investment. Production plans must
capital equipment, negotiations with suppliers, consider the economics and feasibility of the
and finding new channels of distribution. Broad alternatives as they relate to inventory invest-
categories or “families” of products are reviewed ment, storage capacity, purchased component
in the planning process (Mitchell 1998). availability, personnel availability, and machine
capacity. The longer the total manufacturing
35.4 MASTER SCHEDULING process time and corresponding lead time is, the
more complex the problem. Production sched-
With the completion of the aggregate plan,
uling alternatives are always limited to some
top-level management authorizes the produc-
degree by the lead times required to obtain parts
tion-planning department to develop a master
and materials from suppliers. In some cases, the
production schedule (MPS). The MPS translates
final restriction comes from the possibility of ex-
the aggregate plan into a separate plan for in-
ceeding the capacity of a key material supplier.
dividual items and operates at a part-number
level. The schedule provides weekly require-
ments over a 6–12-month period. Figure 35-1 35.6 SCHEDULING AND PRODUCTION CONTROL
shows an example of a master production sched- Based on the master production schedule, the
ule. The MPS is an input into a material require- production scheduler and the production and in-
ments planning (MRP) system. ventory control department establish the “right”
sequence of jobs to be run in the shop. The require-
35.5 REQUIREMENTS AND CAPACITY PLANNING ments of a good priority system should:
After the master production schedule has specify the jobs to be done first, second,
been formulated, rough-cut capacity planning third, and so on;
allow for quick updating of the main con- job relative to the total time remaining to the
cerns as priorities and actual conditions due date of the order. The critical ratio can be
quickly change, and found by:
be objective—if jobs are overstated, an “in-
formal” system determines which jobs are Dd − Td
Cr = Eq. 35-1
really needed. Lt
Some of the commonly used priority schemes where:
are: first in/first out, start date, due date, and Cr = critical ratio
critical ratio. Other priority schemes exist, such Dd = due date
as slack time ratio and queue ratio, but are not Td = today’s date
discussed here (Veilleux and Petro 1988). Lt = lead time remaining
work centers can “push” material to a down- Enterprise resource planning (ERP) is a later
stream work center regardless of its status version of MRP II. The mission of ERP is to
(that is, off-line, operation below capacity, etc.) integrate all aspects of the organization. ERP
(Mitchell 1998). contains the same elements of MRP II but also
includes elements such as supply chain manage-
35.8 MANUFACTURING RESOURCE PLANNING ment, human resource management, product
For many manufacturing companies it is data management, accounting, etc.
mandatory to do aggregate planning, master
scheduling, material planning, capacity plan- REVIEW QUESTIONS
ning, shop scheduling, and supplier scheduling. 35.1) Which type of production environment
Manufacturing resource planning (MRP II) in- manufactures products in anticipation of cus-
tegrates all of those activities. It is an approach tomer orders?
for planning and scheduling all of the resources 35.2) Will the forecast for a longer period of time
that manufacturing companies need. be more accurate than the forecast for a shorter
A key feature of MRP II is that, given accu- period of time?
rate data, it plans in matched sets of resources.
35.3) The master production schedule converts
Only when labor, material, equipment, tooling,
the _____________ plan into a separate plan for
specifications, space, and money are available
individual parts.
at the right place and time can a company
quickly and economically convert raw materials 35.4) Which scheduling method or priority as-
to products and deliver them in a competitive sumes the first job to enter a work center is the
manner. Missing any resource stops the flow. first shop order to be worked on?
Until the missing resource is provided, having 35.5) Is MRP time-phased planning or rate-
all of the others waiting adds unnecessary costs. based planning?
MRP II is a top-down and bottom-up process. 35.6) What does MRP II stand for?
Unfortunately, some companies use MRP II only
in the top-down direction, communicating plans
REFERENCES
from the front office down to the factory floor.
Unavoidable problems will cause some schedules Mitchell, Philip, ed. 1998. Tool and Manufactur-
ing Engineers Handbook, Fourth Edition. Volume
to be unattainable. If the users cannot possibly
9: Material and Part Handling in Manufacturing.
execute the plans, they must come up with the Dearborn, MI: Society of Manufacturing Engineers.
best possible alternative and advise other us-
ers of the situation. Without an equally strong Veilleux, Raymond F. and Louis W. Petro, eds. 1988.
upward flow of information, valid plans cannot Tool and Manufacturing Engineers Handbook, Fourth
be maintained. For example, if a supplier can- Edition. Volume 5: Manufacturing Management.
Dearborn, MI: Society of Manufacturing Engineers.
not deliver on time, purchasing must swing into
“damage control”:
BIBLIOGRAPHY
Can the supplier deliver a partial shipment Jacobs, R. F., W. Berry, D. Whybark, and Thomas
on time? Vollman. 2006. Manufacturing Planning & Control
Should overtime and premium transporta- Systems for Supply Chain Management. New York:
tion be authorized? McGraw Hill.
Is there an alternative supplier who can
help?, etc.
If no practical alternative can be found, then
the factory schedulers must react:
Is there any safety stock that can be used?
Can lead times be compressed?
Are there any interchangeable parts that
could be used?, etc. (Mitchell 1998).
36
LEAN PRODUCTION
Project (IMVP). The term “lean production” was VALUE STREAM ANALYSIS
coined to describe the Toyota production system Value stream analysis analyzes all the spe-
(Womack 1990). cific actions required to bring a specific product
According to IMVP, lean (as opposed to mass) through the three critical management tasks.
production uses less of everything: half the
human effort in the factory, half the manufac- 1. Problem solving: running from concept
turing space, half the investment in tools, half through detailed design and engineering
the engineering hours to develop the product, to production.
and inventory levels far lower as well as low 2. Information management: running from
defect rates. Further, lean inventory levels are order taking through detailed scheduling
continually reduced to deliberately reveal flaws to delivery.
in the system. 3. Physical transformation: proceeding from
Lean production employs teams of multi- raw materials to a finished product in the
skilled workers at all levels of the organization hands of the customer.
and uses highly flexible machines to produce Value stream analysis will help to identify: a)
high volumes and high variety. In contrast, unambiguous value-adding steps; b) steps that
mass production uses narrowly skilled profes- do not add value but that are unavoidable; and c)
sionals to design products made by semiskilled steps that create no value and are immediately
workers tending expensive, single-purpose avoidable.
machines at high volumes. Changes are ex-
pensive and infrequent and production buf- TAKT TIME
fers are needed to smooth production. Mass Takt (meaning rhythm or beat in German)
production also yields low costs to consumers time is used to determine how often a product
for standard designs. It sets an “acceptable” should be produced based on the rate of sales
level for defects, while lean systems concen- to customers.
trate on perfection. Mass-production systems
are relatively static once launched, while lean At
Tt = Eq. 36-1
systems are dynamic and intent on continuous Dr
improvement. where:
Since the advantages of lean production Tt = takt time
systems were documented by the IMVP, many At = available work time per shift
U.S. mass-production systems (especially in Dr = customer demand rate per shift
the automotive industry) have been moving
in the lean direction. Lean implementations KANBAN
have been successful when: a) the whole lean
In a kanban (meaning sign or card in Japa-
system is embraced, not just a few elements,
nese) system, the type and quantity of units are
and b) everyone in the organization sees a
written on a tag-like card and sent from workers
clear-cut advantage to doing business the lean
of one process to workers of the preceding pro-
way. This usually means there is a high level
cess. When all the parts in a lot have been used,
of management commitment to job security for
the card becomes the mechanism for reorder.
the workforce.
The kanban system manages the just-in-time
(JIT) production method.
36.3 ESSENTIAL LEAN PRODUCTION COMPONENTS
Lean production uses many techniques for KAIZEN
successful implementation. They include value Kaizen (Japanese for improvement) refers to
stream analysis, takt time, kanban, kaizen, ongoing improvement involving everyone—man-
visual control, total productive maintenance, agers and workers. Driving aggressive, proactive
one-piece flow, error proofing, standardization, improvement activities, lean organizations value
autonomation, production leveling, problem- and support kaizen as having equal value to
solving circles, and 5S. production and maintenance activities.
353
Fundamentals of Manufacturing Chapter 36: Lean Production
So,
0.125 parts/min × 30,000 parts
PR = = 0.781
4, 800 min
and,
PN − DN
QR = (Eq. 36-5)
PN
PN = 30,000 parts
DN = 750 parts
So, Figure 36-2. One-piece flow layout.
30,000 parts − 750 parts
QR = = 0.975
30,000 parts
new job mandatory. One-piece flow and au-
and, tonomation in response to kanban pull require
OE = 0.762 × 0.781 × 0.975 = 0.580 or 58% that the system prevent errors. Error proof-
ing is the attempt to eliminate mistakes by
ONE-PIECE FLOW making it impossible to do a job incorrectly.
Mistake proofing is the attempt to ensure that
In one-piece flow systems, a worker completes
a mistake is caught before the next operation
a job within a specified cycle time. The introduc-
or shipment to the customer.
tion of one unit is balanced by the completion of
another unit of finished product. This flow re-
duces inventory, reduces lead time, and attunes STANDARDIZATION
production mix and volume to sales. Figure 36-1 The standard operation shows the sequen-
illustrates a typical plant layout. Figure 36-2 il- tial routine of various operations performed by
lustrates the one-piece flow arrangement. multi-functional workers who handle multiple
kinds of machines. Jobs are standardized
ERROR PROOFING (POKA-YOKE) across operators and shifts. Lean systems
Multifunctional workers move from job attempt to improve and then standardize the
to job, making quick acclimatization to a improvement.
Linked pull systems are typically utilized ¾ The total output for the operating time
when parts compete for the same resource and was 2,000 parts.
cannot be made on a one-for-one basis with ¾ The design cycle time was 1 min per part.
end-item demand, or when they have to travel ¾ There were 50 defective parts for the week.
significant distances between operations in a
lot (batch) mode. In these situations, it is typi-
cal to utilize a pull signal, or kanban, to trigger REFERENCES
the production of components from operation Veilleux, Raymond F. and Louis W. Petro. 1988. Tool
to previous operation. The kanban is the only and Manufacturing Engineers Handbook, Fourth
authorization for additional material to be Edition. Volume 5, Manufacturing Management.
Dearborn, MI: Society of Manufacturing Engineers.
produced at the previous operation. When no
kanban is issued, no additional components are Womack, James P. 1990. The Machine that Changed
made. Kanbans may be cards, colored golf balls, the World. New York: Rawson Associates.
or even empty containers. They may be moved by
hand, slotted slide, or pneumatic tube (Veilleux
and Petro 1988). BIBLIOGRAPHY
Society of Manufacturing Engineers. 2011. “Total
Productive Maintenance Blitz” DVD. Manufactur-
ing Insights Video Series. Dearborn, MI: Society of
REVIEW QUESTIONS Manufacturing Engineers.
36.1) The Toyota production system is also
Society of Manufacturing Engineers. 2007. “Value
known as _____________ production.
Stream Mapping” DVD. Manufacturing Insights
36.2) What Japanese term is used for ongoing Video Series. Dearborn, MI: Society of Manufactur-
improvement involving everyone—managers ing Engineers.
and workers? Society of Manufacturing Engineers. 2005. “Five S
36.3) What type of system is being used when Factory Makeover” DVD. Manufacturing Insights
the introduction of one unit is balanced by the Video Series. Dearborn, MI: Society of Manufactur-
completion of another unit of finished product? ing Engineers.
36.4) _____________ time is the available work Society of Manufacturing Engineers. 2004. “Kanban
time per shift divided by the customer demand Systems” DVD. Manufacturing Insights Video Series.
Dearborn, MI: Society of Manufacturing Engineers.
rate per shift.
36.5) What type of system (push or pull) does Society of Manufacturing Engineers. 2003. “Visual
Controls” DVD. Manufacturing Insights Video Series.
not allow parts to be produced until authoriza-
Dearborn, MI: Society of Manufacturing Engineers.
tion is received from the subsequent operation?
Society of Manufacturing Engineers. 2003. “Mapping
36.6) What is the Japanese term for the signal
Your Value Stream” DVD. Manufacturing Insights
used to trigger the production of components in Video Series. Dearborn, MI: Society of Manufactur-
JIT manufacturing? ing Engineers.
36.7) Calculate the overall equipment effective- Society of Manufacturing Engineers. 2003. “TPM:
ness for a machining center with the following Total Productive Maintenance” DVD. Manufactur-
information. ing Insights Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
¾ The machine was scheduled to operate five,
10-hr shifts per week. Society of Manufacturing Engineers. 2003. “Intro-
¾ Planned downtime for breaks, lunches, and duction to Lean Manufacturing” DVD. Manufactur-
meetings totaled 300 min. ing Insights Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
¾ The machine was down 160 min for repairs
for the week.
¾ The changeover time was 240 min for the
week.
37
PROCESS ENGINEERING
37.1 PROCESS PLANNING once the design was final. Fixed product design
Process planning is the methodology used to also left little flexibility for future process and
develop the manufacturing process for a given quality improvement initiatives.
product design. Key goals of the process plan Aggressive competition to be the first to mar-
are to produce a finished product that ensures ket with a new product drove a significant shift
design specifications are met, production re- in the process planning phase (spurred by in-
quirements are realized, quality targets are novations in automotive and aerospace design).
maintained, added value is maximized and, Inefficiency and higher costs of the traditional
most of all, the manufactured product is cost process planning model were other important
effective (Scallan 2003). Fundamentally, the contributing factors. As a result, manufacturing
best process is one that meets the requirements planning has progressively moved forward in the
with the least cost. In reality, however, many product realization timeline.
other constraints, such as capability, complex- Today, optimal process planning is devel-
ity, versatility, maintenance, etc., can easily oped in parallel, or concurrently, with the de-
confound the issue. sign phase. Commonly referred to as integrated
product design or concurrent engineering, the
merging of the two disciplines is known by
TRADITIONAL VS. MODERN APPROACHES other names such as: simultaneous engineering,
From the beginning of the Industrial Age, design for manufacture (DFM), lean manu-
a virtual separation existed between product facturing, advance product quality planning
design and process planning, as the two func- (APQP), product realization, and integrated
tions were treated sequentially in nature. In this product and process design and development
model, the product design underwent several it- (IP2D2).
erations, or modifications, from the design team, Concurrent engineering teams should in-
and focused specifically on product performance clude disciplines other than design and manu-
with less emphasis on manufacturability. Once facturing engineering, such as: customer(s),
the prototype performed to specification, the suppliers, equipment vendors, marketing,
design was passed to the manufacturing team purchasing, and quality functions, to name a
to develop the manufacturing and assembly few. The team approach to defining the design
processes. This scenario worked fine for many and manufacturing process in parallel enables
decades but presented many inefficiencies and early revisions and improvements in product
limitations to remaining competitive. With little and process development. This leads to consid-
initial interaction with the design group, manu- erable avoidance of costs associated with later
facturing engineers had limited process options revisions, when significant manufacturing
resources have already been committed. Differ- ance stacks do not occur. A tolerance stack oc-
ent sources vary on the exact amount, but most curs when acceptable tolerances on individual
estimates suggest that 80% of a product’s cost dimensions combine in such a way as to create
is fully committed after only 10% of the product an unacceptable part or assembly. It is an ac-
and process development phase is completed. cumulation of tolerances over several features
This illustrates the need to develop the most in the part or assembly.
cost-effective design and process combination Design tolerance stacks are created by the
early in the product realization cycle. designer and found on the part print. Process
tolerance stacks are the result of inadequate
STEPS processing (Eary and Johnson 1962).
During product and process development,
the production processes must be planned. In Equipment Selection
general, process planning requires: Equipment selection is another issue that
may affect process selection. The need to select
determining the best process to be used;
equipment can occur:
equipment selection and sequence;
development of operation/process flow for a part not previously produced;
charts; for a part previously made by hand;
production layouts; to replace old equipment;
routing and operation (process) sheets; to lower production costs; and/or
setup charts and machine tool layouts; to extend production.
tooling requirements;
material handling details; For most machining and assembly processes,
inspection plans for quality assurance and there are three basic systems to choose from:
quality control; and 1) manual (general purpose), 2) flexible, and 3)
much more. dedicated (special purpose).
Manual or general-purpose machines, such
as drill presses and milling machines, are
Process Selection less expensive, more flexible, and require less
Process selection is dependent on product- maintenance and debugging time than special-
design-related criteria such as wall thickness, purpose machines. Limitations in production
symmetry, draft, cavities, surface finish, toler- capacity typically confine manual operations to
ances, and material. Product life cycle, antici- lower production applications.
pated production volumes, and time-to-market Flexible manufacturing systems (FMS) have
objectives also play a critical role in the decision. been made possible due to advances in automa-
Depending on the criteria, some processes may tion and computer-aided manufacturing. These
be excluded. From the remaining process alter- include programmable manufacturing systems
natives, the best process is selected. and/or robotic material handling features for
In process planning, the general charac- increased flexibility in dealing with changes in
teristics of the part, such as the general part product configurations or product mix. Initial
configuration, material, surface finish, and tol- tooling costs are much higher than for general-
erances, must be determined first. The general purpose systems making them best suited to
characteristics will affect part handling, type of moderate- and high-volume applications. Quick
tooling and machines, sequence of operations, changeover features increase efficiency from
assembly, and rate of production. product to product, protect from equipment
Another step in process planning is toler- obsolescence at the end of a product’s life, and
ance analysis. Due to workpiece variation, are well suited to lean manufacturing concepts.
interchangeability requires that acceptable Dedicated or special-purpose manufacturing
workpiece variations (tolerances) be specified. equipment can offer several advantages when
Process planning ensures that tolerances are compared to general-purpose machines. While
neither too tight nor too loose and that toler- the initial capital investment is more expensive
359
Fundamentals of Manufacturing Chapter 37: Process Engineering
as compared to general-purpose machines, they tion or workstation listed on the routing sheet.
can create unique part geometries faster, are It provides detailed information required to
more repeatable, and deliver higher quality perform the given operation, such as tooling
levels (Eary and Johnson 1962). Traditional requirements, workholding devices, and setup
examples of special-purpose machines would parameters, such as speeds and feeds, or time,
include transfer-style machining or assembly temperature, and pressure. Figure 37-3 illus-
lines, dedicated to one, or few, specific product trates a sample operation sheet.
configurations. These systems typically have
little flexibility in part variety and run counter Tooling List/Setup Instructions
to most lean manufacturing models. Dedicated
Tooling lists and setup instructions are ad-
systems are recommended for high-volume,
ditional documents to supplement the operation
long-life production applications. Equipment
sheet where additional detail is required to error-
modifications for product changes are costly,
proof and correctly establish equipment operating
leading to high equipment obsolescence rates.
parameters. In many cases, they are only used
Selection of the most appropriate system
by workers trained and responsible for changing
is based on many factors, such as (Swift and
over equipment, performing tooling changes, or
Booker 2003):
performing the initial setup for a given product.
number of product variants (flexibility); Figure 37-4 illustrates a sample tooling list.
production rate (pieces per hour, day, etc.);
production volume per annum; Work Instructions
initial capital costs of the manufacturing
system; Work instructions, like setup instructions,
existing equipment; and provide additional detail not included on the
capital budget. operation or process sheets. However, work in-
structions are specific to the duties that affect
Process Flow Chart the equipment operator or persons assigned to a
particular operation. Instructions often include
The process flow chart consists of a high level, illustrations of product acceptance levels and ex-
graphical overview of the complete manufactur- amples of unacceptable quality or performance.
ing process for a given component or assembly. Another important part of work instruction is the
This chart utilizes five basic symbols to depict reaction plan, or specific steps an operator must
operations, transportation, inspection, delays, follow in the case of nonconforming products.
and storage stages within the process. Where
specific operation and routing sheets generally
show value-added activities, the process flow Inspection Sheets and Reports
chart also shows the non-value-added steps, such Inspection sheets could be separate or in-
as transportation and storage (inventory). Figure cluded in the setup and/or work instructions.
37-1 illustrates a sample process flow chart. These documents provide detailed instructions
and procedures for inspecting and measuring
Routing Sheet critical quality characteristics. An inspection
More specific than the flow chart, the routing report may be required if specific quality data
sheet, sometimes called a “traveler,” will outline needs to be collected and recorded for statistical
the route in which the raw material will travel process control (SPC) analysis, proof of safety
through the manufacturing process, from ma- conformance, or verification of government or
chine to machine. It lists the production equip- regulatory compliance.
ment and the sequence in which it is to be used.
Figure 37-2 illustrates a sample routing sheet. Document Control and Change Management
Document control and change management
Operation/Process Sheet are critical for successful process planning and
The operation or process sheet goes down implementation. It is important that all manu-
one more level of detail for a specific opera- facturing personnel access current versions of
360
Fundamentals of Manufacturing Chapter 37: Process Engineering
documents such as control plans, operation quired to alert everyone involved that a new
sheets, work instructions, drawings, etc. During version of a document has been published.
the planning process, there are many documents Documenting and tracking changes are equally
that will change and a defined process is re- important. Following is a list of attributes for a
361
Fundamentals of Manufacturing Chapter 37: Process Engineering
50 Inspect Finishing
document control and change management the machinery to be used for production, the
system. sequence of operations, tooling, required speeds
and feeds, and other necessary data.
document format(s) everyone can use;
With CAPP, the part is designed on a CAD/
indicate status of documents (draft, pending
CAM system. The part file is transferred into the
approval, complete);
CAPP system, and the part characteristics are
search capable;
matched to the machines and processes avail-
integrate with other systems within orga-
able on the shop floor. The CAPP system then
nization;
prints out the process and routing sheets that
accessible (web access);
make up the process plan.
track revision information and history;
The two main types of CAPP systems are
integrate with suppliers; and
variant and generative. A variant CAPP system
for electronic master documents, notations
modifies the process plan for a similar, previ-
on printed copies as to the location of the
ously produced part to produce a plan for the
master and a clear statement indicating
new part. The generative CAPP system starts
that they are uncontrolled and unofficial.
from scratch when developing a process plan;
therefore it requires a large database containing
37.2 COMPUTER-AIDED PROCESS PLANNING manufacturing logic, the capabilities of existing
Computer-aided process planning (CAPP) sys- machinery, standards, and specifications (Veil-
tems are expert computer systems that collect leux and Petro 1988).
and store the knowledge of a specific manufac-
turing situation, as well as general manufactur-
ing engineering principles. This information is 37.3 SIMULATION
used to create the optimum plan for manufac- Simulation is a broad term and is defined as
turing a new part. The CAPP system specifies the use of methods and applications to imitate
Fundamentals of Manufacturing
362
Operation Sheet
Part name: Spur gear Part number: 29-60359-08C Lot size: 25
Routing step number: 20 Material: Aluminum-bronze
Initial setup time: 18 min Workstation: 14 × 30 in. (356 × 762 mm) lathe (variable speed)
ft/min Non-
(m/min) rev/min Machine machine
20-05 Chuck casting on 1-3/8 Three-jaw 1.50 1.50
or 1.375 in. (34.93 mm) chuck
hub boss
20-10 Rough face rim and hub Three-jaw Carbide 400 (122) 305 .050 (1.3) .007 (0.18) 1.16 1.80 2.96
boss, side A chuck insert
20-15 Finish face rim and hub Three-jaw Carbide 500 (152) 382 .012 (0.3) .003 (0.08) 2.08 1.20 3.28
boss, side A chuck insert
20-20 Center drill hub boss Three-jaw HSS drill and 72 (22) 2,200* Manual 0.12 1.80 1.92
chuck countersink
20-25 Rough drill center hole Three-jaw 35/64 or 250 (76) 1,740 Manual 0.10 1.50 1.60
through hub chuck .5469 in.
(13.891 mm)
carbide drill
20-30 Ream center hole Three-jaw 9/16 or 294 (90) 2,000 Manual 0.10 1.50 1.60
chuck .5625 in.
(14.29 mm)
carbide
reamer
20-35 Chamfer center hole Three-jaw Carbide 294 (90) 2,000 Manual 0.06 0.50 0.56
1/32 or .0313 in. chuck insert
(0.795 mm) × 45°
Tooling List
Part: Spur gear
Material: Aluminum-bronze
Part number: 29-60359-08C
Operation Tool Tool Offset
Tool Number
Number Description Material Number
20-10 Rough turning tool Carbide insert T100
20-15 Finish Turning tool Carbide insert T102
20-20 Center drill HSS D100
20-25 35/64 twist drill HSS D102
20-30 9/16 reamer HSS R100
20-35 Chamfering tool Carbide insert T103
20-40 Chamfering tool Carbide insert T103
or mimic real-time systems. It is a descriptive and its boundaries. Using data from the situa-
technique in which a mathematical model of tion, assumptions are defined and performance
a real-world situation is developed and then measures are selected on the basis of how the
experiments are conducted on the model to situation will be evaluated. Problems are then
evaluate its behavior under various conditions. formulated and a problem statement is outlined
Simulation attempts to duplicate a system’s by defining system variables and constraints.
features and behaviors. A simulation model Based on the variables and constraints, a
thus helps in answering “what if” questions. It mathematical model is developed to simulate
enables decision makers to test their solutions the situation. A mathematical model is a set of
and, based on the simulation results, make ap- mathematical equations and/or logical relation-
propriate decisions. ships used to describe a system.
With regard to manufacturing, simulation There are two types of models, deterministic
can be used to model entire production process- and stochastic. A deterministic model assumes
es, including material handling, manufacturing, that all data is known with certainty and the
and inventory. Other applications include: outcome is known. The objective of determin-
istic models is to optimize the solutions. A sto-
bottleneck analysis,
chastic model, sometimes called a probabilistic
manufacturing system design,
model, defines the probabilistic occurrence of
facilities design,
random events. Stochastic models characterize
aggregate planning,
and estimate system performances for real-time
scheduling, and
situations. For example, in an assembly situa-
material requirements planning.
tion, it is unknown as to when a machine will
break or when there will be a labor shortage.
SYSTEM MODELS AND METHODOLOGY Using past data, however, the probability of
In systems theory, a system model is used to such random events can be predicted.
describe the nature of the system. Manipulating
this model promotes understanding and learn- TYPES OF SIMULATION
ing, more effective decision making, and fosters One type of simulation models a system based
improvements to the system. on a group of equations that determine the physi-
To develop a system model, the first step is cal state of the system. Typically, these equations
analyzing a situation by identifying the “system” are complex and interact with one another. Such
364
Fundamentals of Manufacturing Chapter 37: Process Engineering
simulations are used in predicting the outcomes events drawn from probability distributions.
of various manufacturing processes such as These events mimic the random nature of events
stamping, molding, etc. in the real world.
A second type of simulation models a system
based on probability distributions. The most
common, Monte Carlo simulations are useful to MODELING PROCESS
model large or complex manufacturing systems Regardless of the type of simulation, certain
where the physical equations are too complex or basic steps apply. Figure 37-5 graphically de-
unknown. A Monte Carlo simulation has random picts the process.
1. Identify the problem and set objectives. with parameters subject to random vari-
This step states the boundaries and scope ability, multiple runs will be needed to get
of the problem and results expected from a clear picture of the results. Probabilistic
the simulation. A clear statement of the simulation is essentially a form of random
objective can provide not only guidance sampling, with each run representing one
for model development but the basis for observation. Consequently, statistical
evaluation of the success or failure of the theory can be used to determine appropri-
simulation. The process also involves de- ate sample sizes. The larger the degree of
fining the goal, scope, and level of detail variability inherent in simulation results,
required in the simulation itself. the greater the number of simulation runs
2. Identify and define important system vari- needed to achieve a reasonable level of
ables and develop relationships between confidence in the results as true indicators
them to develop the mathematical model. of model behavior.
3. Construct the simulation model. This in- 7. Analyze simulation results. Interpretation
volves deciding on the structure of the model of the results depends to a large extent on
and using a computer to carry out the simu- the degree to which the simulation model
lations. It is in this process that data is approximates reality; the closer the ap-
gathered and stored, which is a significant proximation, the less need to “adjust” the
part of model development and evaluation. results. Moreover, the closer the approxi-
4. Validate the model. This step consists of mation of the model to reality, the less the
testing the model to be sure it accurately inherent risk in applying the results. Sta-
reflects the system being studied. The bet- tistical post-processing tools aid in detailed
ter the validation of the model, the higher interpretation of the results.
confidence in the results; thus a lower safety
factor can be assigned. An analyst usually ADVANTAGES AND LIMITATIONS
validates the model by comparing the re-
Simulation is the only means to obtain insight
sults of simulation runs with known system
into situations that do not currently exist. The
performance under the same circumstanc-
usefulness of simulation depends on the degree
es. In situations where the real-life data
to which decision makers are able to rely on the
is nonexistent or difficult to collect, a test
results to answer their “what if” questions.
of reasonableness is employed. The judg-
Flexible and relatively straightforward, simu-
ments and opinions of individuals familiar
lation can be used to analyze large and complex
with the system or similar systems are
real-world problems for which closed-form
relied on for confirmation that the results
analytical solutions are not possible. Simulation
are acceptable. Model development and
makes time compression possible, enabling ac-
model validation are tightly integrated.
celerated analysis of lengthy processes. Other
Model deficiencies uncovered during vali-
advantages of simulation include:
dation prompt model revisions, which lead
to further validation efforts and possible Simulation is often helpful for product
further revisions. design and testing, facilities layout, line
5. Develop one or more experiments. These balancing, job design, aggregate planning,
experiments are the essence of the simula- testing alternative inventory policies,
tion. They help answer the “what if” ques- scheduling, and project management.
tions posed by the simulation studies. By Many situations are too complex to permit
going through this process, the manager or development of a mathematical solution;
analyst learns about the system’s behavior. the degree of simplification needed would
6. Execute simulation of the model. If the seriously affect the results. In contrast,
model is deterministic and all parameters simulation models are often able to capture
are known and constant, only a single run the richness of a situation without sacri-
will be needed for each “what if” question. ficing simplicity, thereby enhancing the
Alternately, if the model is probabilistic, decision-making process.
366
Fundamentals of Manufacturing Chapter 37: Process Engineering
Simulation models can be fairly simple to part routings, etc.), and its operational policy (for
use and understand. example, “first come, first served,” etc.).
Simulation enables the decision maker to As shown in Figure 37-6, manufacturing
conduct experiments on a model that will simulation works in a simple way. The simula-
help in understanding process behavior tor assembles input data into the model of the
while avoiding the risks of conducting tests manufacturing system, which includes the rules
on the model’s real-life counterpart. on system component interaction. Starting with
Computer software packages make it easy a user-defined initial state, the simulator follows
to use fairly sophisticated models. the operation of the model over time, tracking
Simulation can be used for a wide range of events such as parts movement, machine break-
situations. downs, machine setups, etc. At the conclusion,
The primary limitation of simulation is that it the output provided by the simulator is a set of
can be expensive and time-consuming, depending statistical performance measures, such as the
on the complexity of the situation to be simulated. average number of parts in the system over time,
Without good managerial and expert inputs, simu- by which the manufacturing system may be
lation models yield poor results. Simulation does evaluated. Simulation model generation is the
not necessarily yield an optimal solution; it only most time-consuming part of the process.
provides “a solution.” Expertise is thus needed to Many simulation software packages gener-
interpret simulation results. In addition, simu- ate quick and reliable results with a moderate
lation results can not be generalized; they keep learning curve. In assembly processes, math-
changing from situation to situation and system ematical models are achieved by using as-
to system. Lastly, it is important that the simula- sembly algorithms and equations, probability,
tion tool fit the situation being studied rather than historical data, etc. In manufacturing process
altering the situation to fit the simulation tool. simulation, a wide array of mathematical tools
is applied to the physics to solve physical equa-
tions. Some of the commonly used mathemati-
MANUFACTURING SIMULATION cal tools are the finite element method, finite
Manufacturing simulation is the generic difference, finite volume, cellular automaton
name for computer software that simulates methods, phase field theory, and the cellular
the operation of a manufacturing system or automaton finite element method.
manufacturing process. The inputs are decision
variables that specify the design of the system
or process (for example, machine processing and Stamping Simulation
failure rates, machine layout, etc.), its workload Traditionally, sheet metal stamping opera-
(for example, arrivals of raw materials over time, tions have been treated as “black magic,” with
little or no science behind them. It was only pouring, filling, solidification, shrinkage, and
with input from knowledgeable and experienced surface roughness.
engineers and toolmakers, and many iterations There are a number of benefits that casting
of fine tuning, that acceptable dies were cre- simulation software offers, such as identifying
ated. While the fine-tuning process remains a possible problem areas, detecting defects that
critical part of making dies, stamping simulation might occur during the casting and core-making
software has shortened the development time. process, and minimizing lead time. However,
Over time, the mathematical models for depending on part complexity and the particular
sheet metal forming operations have greatly simulation software package, trained and dedi-
improved, and with the increase in computing cated simulation engineers may be necessary to
capabilities, various sheet metal simulation produce meaningful results.
packages have emerged. These software pack-
ages can now support the simulation of various Welding Simulation
material behaviors, lubrication scenarios, and
Finite element analysis (FEA) can be used as a
tooling combinations. Forming operations such
weld design and weld analysis tool. As an analy-
as stretch flanging, multi-gage tailor welded
sis tool, FEA simulation of a weld process helps
blanks, and electromagnetic forming, can now
in identifying and eliminating problems such
be simulated with high accuracy.
as stress corrosion cracking, hydrogen-induced
In general, simulation applications provide
cracking, and reduced fatigue strength related to
a complete analysis of the forming process us-
residual stresses introduced in welded regions.
ing product design geometry. The process is
Using finite element residual stress and de-
tested, material forming limit and material
formation results, welding simulation predicts
thinning information is collected, and anima-
the behavior of welded structures. Welding
tion of tooling and blank forming is generated.
simulations are useful for weldability and weld
Some software versions also provide optimized
strength evaluation, welding process parameter
tooling surface/die face data, developed blank
optimization, production line planning and
shape, springback analysis, forming force data,
launching, and maintenance planning.
and complete progression strip design. These
simulation packages help to decrease tool design
and blank development time, and provide qual- Rolling and Roll Forming Simulation
ity and tolerance control monitoring. The demand for high quality, modular,
high-value-added, and low-cost rolled products
Casting Simulation is high. Using classical theories in numerical
analysis, accurate simulation results were dif-
As in any other manufacturing process, found-
ficult to obtain. However, with the introduction
ries also must be concerned with productivity,
of the rigid plastic finite element method, roll-
reliability, and quality. Casting manufacturers
ing process simulation software can now math-
need to find ways to improve and maintain qual-
ematically predict deformation phenomenon,
ity, reduce lead time, and cut cost to survive in
particularly plastic deformation. Some software
the global competitive market. Simulation can
manufacturers also use practice databases com-
provide part of the solution.
prising the results of various historical problems
Designing and developing castings on com-
and their solutions. In general, rolling process
puters replaces the costly development time
simulation software can provide information
consumed by pattern and mold development
such as roll tool design, parts lists, and tool
in addition to scrap reduction. In most casting
production processes. Simulation packages are
simulation packages, computer-aided design
also available for tube, ring, and wire rolling.
(CAD) models are used to design and develop
the size, shape, and location of sprues, risers,
runners, and gates. Casting simulation pack- Forging Simulation
ages also help in visualizing development Forging simulation software optimizes indus-
of the complete casting process including trial forging processes by predicting material
368
Fundamentals of Manufacturing Chapter 37: Process Engineering
flow and die loads, while maximizing material 37.4 ASSEMBLY METHODS
usage and reducing forging defects. A realistic The five basic types of assembly systems
simulation of the forging process involves a are: 1) single-station assembly, 2) synchronous
large quantity of interacting factors such as, assembly, 3) non-synchronous assembly, 4)
but not limited to, how a temperature increase continuous-motion assembly, and 5) dial (rotary)
will introduce thermal stresses which, in turn, assembly.
affect the material’s structure and its physical
and mechanical properties. It is challenging
for forging simulation software packages to SINGLE-STATION ASSEMBLY
account for all interacting factors. Machines with a single workstation are used
when a specific operation is performed many
Injection Molding Simulation times on one or a few parts. These machines
Injection molding simulation can help optimize are incorporated into multi-station assembly
plastic part design, mold design, and the injection systems and may be used when different opera-
molding process. Allowing engineers and product tions are performed and if the required tooling
designers to vary part cross-section, ejector pin is not too complicated.
location, gate size and location, and material
through simulation saves time and money with SYNCHRONOUS ASSEMBLY
respect to costly design changes and high defect Synchronous (indexing) assembly systems
rates later on. Other applications for injection are available in dial, in-line, and carousel
molding simulation include identifying part de- varieties. With these systems, all pallets or
fects and testing solutions, optimizing the flow of workpieces are moved at the same time and
melted plastic into the cavity to eliminate short the same distance. Synchronous systems are
shots, minimizing weld lines, and predicting part used primarily for high-speed and high-volume
shrinkage, warpage, and cycle time. applications on small lightweight assemblies
Similar to casting simulation, injection mold- where the various operations have relatively
ing simulation typically begins with a CAD equal cycle times.
model. Based on the CAD model and a number of
part and process variables, simulation software
provides the results necessary for engineers and NON-SYNCHRONOUS ASSEMBLY
product designers to optimize the part, mold Non-synchronous transfer (accumulative or
design, and process. It is important to note power-and-free) assembly systems, with free
that some software packages may require user or floating pallets or workpieces and indepen-
training and experience to provide accurate dently operated individual stations, are widely
simulation results. used where the times required to perform differ-
ent operations vary greatly. They are also used
Assembly and Manufacturing Simulation for larger products with many components. One
major advantage of these so-called “power-and-
Various simulation software packages are
free systems” is increased versatility.
available to aid in designing, planning, and
verifying assembly processes. Most link with
product data from a CAD system and various CONTINUOUS-MOTION ASSEMBLY
manufacturing resources. The software can In continuous-motion systems, assembly op-
perform interference detection, tool acces- erations are performed while the workpieces or
sibility analysis, and detailed path planning. pallets move at a constant speed and the work-
Other applications include part assembly where heads reciprocate. High production rates are
stacking criteria is applied using Monte Carlo possible because indexing time is eliminated.
simulation to predict gaps, interferences, etc. However, the cost and complexity of these
Some assembly simulation software packages systems are high, because work-heads must
are used to design functional build assemblies synchronize and move with the product being
during die tryouts. assembled.
369
Fundamentals of Manufacturing Chapter 37: Process Engineering
PROCESS LAYOUT
The facility layout may be designed accord-
ing to function or process. This arrangement
groups together all similar functions such as
milling, turning, grinding, etc., resulting in an
arrangement that requires less capital,
achieves higher machine utilization, and is
easier to automate. However, the process layout
requires increased material handling. A typical
process facility layout is shown in Figure 37-7. Figure 37-8. Cellular layout.
370
Fundamentals of Manufacturing Chapter 37: Process Engineering
incident on a given surface. In standard prac- in decibels (dB). Noise has several undesirable
tice, it is the quantity of light that illuminates side effects. Continuous exposure to intense
a work surface. The measure of illuminance is noise can cause deafness. Noise also interferes
the footcandle or fc (1 fc = 1 lm/ft2 [10.76 lm/m2] with communication and prevents recognition
or 10.76 lux). of warning signals.
The recommended illumination level of a Measurements of sound intensity used in
workplace is determined by the type of task human factors engineering are typically made
performed. Inadequate illumination can result on the A-weighted scale (dBA). This scale de-
in poor efficiency, fatigue, or damage to eyesight. emphasizes low frequencies (the ear is less
Table 37-2 lists recommended levels of illumina- sensitive to these frequencies) and is more
tion for different workplaces and tasks. representative of how the human ear perceives
sound. Extremely intense noise for prolonged
periods or impulses of intense noise over 120
NOISE dBA can cause permanent damage to hearing.
Noise is frequently defined as “unwanted Industrial noise at levels of 90 dBA or above can
sound.” Noise or any sound is measured by fre- also cause permanent hearing loss if experienced
quency in Hertz (Hz) and its intensity is defined over a period of months.
Most industrialized countries have legally en- can have severe consequences. Repetitive-mo-
forceable maximum noise levels for workers. In tion disorders or cumulative trauma disorders
1971, OSHA developed maximum noise exposure (CTD) can result from the execution of a simple
standards for all employees. The noise exposures task, such as raising an arm overhead or us-
permitted under OSHA are given in Table 37-3. ing a screwdriver repeatedly. Typical motion
Personal protective equipment, such as ear- patterns that can cause risk are bending of the
plugs, earmuffs, and sound-deadening helmets, wrist, grasping or pinching objects, raising an
or a combination thereof, should be supplied to arm overhead, and applying a large amount of
employees in areas where noise abatement is force with the hand.
difficult or expensive. (Chapter 40 will provide Repetitive-motion injuries occur over months
more information on hearing protection.) of executing the same motion pattern without
an opportunity for the body to recover. Pain and
VIBRATION minimized movement can result from a variety
of repetitive-motion-related ailments. A repeated
Vibration is characterized in terms of its
motion in an awkward position or requiring a
frequency, amplitude, and direction. It can af-
high application of force coupled with a lack of
fect health in a variety of ways. One of the most
rest cause these types of injuries. Some common
important is the resonance frequency range of
forms of repetitive-motion problems include
the human body. Vibrations in the range of 4–8
tendinitis, carpal tunnel syndrome, rotary cuff
Hz can cause internal organs to resonate. Pro-
injury, and tenosynovitis. Tendinitis causes in-
longed exposure to vibrations of approximately
flamed and sore tendons, swelling, and weakness.
1-g (32.2 ft/s2 [9.81 m/s2]) acceleration in the
Carpal tunnel syndrome results from excessive
resonant range can cause abdominal pain, loss
pressure on the median nerve in the wrist causing
of equilibrium, nausea, and shortness of breath.
numbness, tingling, and pain. Rotator cuff injury
Sequential vibrations to the hands above 1-g
is inflamed tendons in the shoulder accompanied
with frequencies above 8 Hz are also of concern.
by pain and limited motion. Tenosynovitis is the
Tools may transmit such localized vibrations to
swelling of the tendon and the sheath that covers
the hands. Problems such as stiffness, numb-
it, causing tenderness and pain.
ness, pain, and loss of strength may result from
prolonged exposure. Proper tool selection, minimized force-appli-
cation requirements, and adding variety to the
tasks being performed (providing an opportunity
REPETITIVE MOTION for the body to recover) can prevent repetitive-
Repeated simple motions during the workday motion injuries.
can result in a variety of health problems that
REVIEW QUESTIONS
Table 37-3. Noise exposures permitted by 37.1) What category of machine produces unique
OSHA part geometries in high production quantities
but has little flexibility in terms of part variety?
Duration per Day (hours) Sound Level (dBA)
37.2) Which process document describes the
8 90
path in which raw material will travel within
6 92 the manufacturing process and includes trans-
4 95 portation and storage?
3 97 37.3) What type of assembly method performs
2 100 the assembly operations while the workpieces
are moving at a constant speed?
1.5 102
37.4) What type of facility layout produces one
1 105
product family in a given cell?
0.5 110
37.5) Which type of maintenance replaces ma-
0.25 or less 115 chine components at specified time intervals?
375
Fundamentals of Manufacturing Chapter 37: Process Engineering
REFERENCES
Eary, Donald F. and Gerald E. Johnson. 1962. Process
Engineering for Manufacturing. Englewood Cliffs, NJ:
Prentice-Hall, Inc.
Scallan, Peter. 2003. Process Planning: The Design/
Manufacture Interface. Oxford, UK: Butterworth
Heineman.
Swift, K. G. and J. D. Booker. 2003. Process Selection,
From Design to Manufacture. Oxford, UK: Butter-
worth Heineman.
Veilleux, Raymond F. and Louis W. Petro, eds. 1988.
Tool and Manufacturing Engineers Handbook, Fourth
Edition. Volume 5: Manufacturing Management.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Groover, Mikell P. 2007. Automation, Production
Systems, and Computer-integrated Manufacturing,
3rd ed. Upper Saddle River, NJ: Prentice Hall.
Kelton W. 2006. Simulation with Arena. New York:
McGraw Hill.
Lenard, John G., ed. 2002. Metal Forming Science
and Practice: A State of the Art Volume in Honor
of Professor J. A. Schey’s 80th Birthday. New York:
Elsevier Science.
Magrab, Edward B. 1997. Integrated Product and Pro-
cess Design and Development. New York: CRC Press.
Mori, Ken-ichiro, ed. 2001. Simulation of Material
Processing. New York: Taylor & Francis.
Ross, Sheldon M. 2006. Simulation, 4th ed. New York:
Elsevier Academic Press.
Stevenson, William J. 2008. Operations Management,
10th ed. New York: McGraw Hill.
38
FIXTURE AND JIG DESIGN
This chapter has been adapted from SME’s without deflection. Cutting forces and vibration
Fundamentals of Tool Design, 6th Edition (Nee imposed by machining operations vary in mag-
2010). nitude and direction, and may impart torque as
well as straight-line forces on the workpiece. The
38.1 WORKHOLDERS workholder must support the workpiece in oppo-
sition to the cutting forces. Usually, a workholder
The term workholder includes all devices that
will be designed for a specific operation. The
hold, grip, or chuck a workpiece to perform a
degree of precision required in the workholder
machining operation or other manufacturing
will usually exceed that of the workpiece, typi-
operation such as, but not limited to, assembly,
cally by a factor of two to five, but sometimes by
welding, and inspection. The holding force may
a factor of ten.
be applied mechanically, electrically, hydrauli-
A workholder should be designed to receive the
cally, or pneumatically. A workholder must
workpiece in only one position. If a workpiece with
position or locate a workpiece in definite rela-
some symmetric features can be clamped in more
tion to the cutting tool, and it must withstand
than one position, it is probable that a percentage
holding and cutting forces while maintaining a
of workpieces will be incorrectly clamped and
precise location. A good workholder maximizes
machined. To prevent incorrect placement
the number of operations performed.
and clamping, poka-yoke (error-proofing)
Workholders are commonly classified as fix-
techniques are used to design workholders.
tures or jigs. Fixtures are workholders designed
It is advisable to use standard workholders
to hold, locate, and support the workpiece during
and commercially available components when-
a machining cycle, joining, or assembly opera-
ever possible. These items can be purchased for
tion. A fixture does not guide the cutting tool,
less than the cost of making them. They speed
but rather provides a means to reference and
up implementation, generally have adequate
align the cutting tool to the workpiece. Jigs, like
strength and accuracy, and can be reused.
fixtures, hold, locate, and support the workpiece,
but also guide the cutting tool throughout its
cutting cycle. Drill jigs are the most common 38.2 LOCATING PRINCIPLES
type. They are used for drilling, tapping, ream- To ensure successful operation of a workhold-
ing, countersinking, counterboring, chamfering, ing device, the workpiece must be accurately
and spot-facing. located to establish a definite relationship be-
The design or selection of a workholder is gov- tween the cutting tool and some critical points
erned by many factors, the first being the physical or surfaces of the workpiece. This relationship
characteristics of the workpiece. The workholder is established by locators in the workholding
must be strong enough to support the workpiece device that position and restrict the workpiece
TYPES OF LOCATION
Basic workpiece location can be divided into
three fundamental categories: plane, concentric,
and radial. In many cases, more than one style of
location may be used to locate a particular work-
Figure 38-2. Concentric location (Nee 2010).
piece. Most workholders use a combination of lo-
cation methods to completely locate a workpiece.
However, for the purpose of identification and
explanation, each will be discussed individually.
Plane location is normally considered the act,
or process, of locating a flat surface. However,
irregular surfaces also may be located in this
manner. Plane location is simply locating a
workpiece with reference to a particular surface
or plane, as shown in Figure 38-1.
Concentric location is the process of locating
a workpiece from an internal or external diam-
eter as illustrated in Figure 38-2.
Radial location is normally a supplement to
concentric location. With radial location, shown
in Figure 38-3, the workpiece is first located Figure 38-3. Radial location (Nee 2010).
concentrically and then a specific point on the
workpiece is located to provide a specific fixed
relationship to the concentric locator. perpendicular planes, and may be said to have six
degrees of freedom. The six degrees of freedom as
DEGREES OF FREEDOM they apply to a rectangular prism are shown in
Figure 38-4. The prism is shown in orthographic
A workpiece in space, free to move in any
projection, with all twelve positive and negative
direction, is designed around three mutually
directions indicated in their respective positions.
To accurately locate a workpiece, it must be
confined to restrict it against movement in all of
the six degrees of freedom (12 directions), except
those called for by the operation. When this condi-
tion is satisfied, the workpiece is accurately and
positively confined in the workholding device.
they restrict the workpiece in nine directions. When possible, the workpiece surface should be
This is known as the 3-2-1 method of location. machined to ensure accurate location. Locating
Figure 38-5 shows the prism resting on six points should be chosen as far apart as possible
pins, A-F. Thus, by means of six locating points, on any one workpiece surface.
three in a base plane, two in a vertical plane, The number of locators used to reference a
and one in a plane perpendicular to the first part normally depends on the part. But no more
two, nine directional movements are restricted. points than necessary should be used to secure
Three directions remain unrestricted due location in any one plane. The 3-2-1 principle
to loading the workpiece into the workholding determines the minimum number required.
device. The remaining three directions may More can be used, but only if they serve a useful
be restricted with clamps. Any combination of purpose; care must be taken that the additional
three clamping devices and locating pins may points do not impair the locating function.
be used if this is more suitable to the design of Always avoid duplicate or redundant loca-
a particular workholding device. tors on any part. Redundant location occurs
when more than one locator is used to locate
BASIC LOCATING RULES a particular surface or plane of a workpiece.
The principle objection to using more than one
To function properly, locators must be
locator or series of locators to reference the
positioned correctly, properly designed, and
location is variance in part size. Any variation
accurately sized. To do all this, permit easy
in the part size, even within the tolerance, can
loading and unloading of the workpiece, and
cause the part to be improperly located or bind
clearance for access by the tool, requires
between the duplicate locators. Besides these
forethought when planning the locational
obvious problems, it is not cost effective to use
elements of the workholder. The following
more locators than necessary.
sections explain a few basic principles every
designer should keep in mind when planning
a part’s location. Locational Tolerances
Locational tolerance is one point that always
Position and Number of Locators must be considered when specifying locators for
Locators and part supports should always any workpiece. As a general rule, the locational
contact a workpiece on a solid, stable point. tolerance should be approximately 20% (typical)
380
Fundamentals of Manufacturing Chapter 38: Fixture and Jig Design
to 50% (roughing operations) of the part toler- while maintaining the fixed relative position of
ance, but may be as small as 10%. the part against the fixed locators.
An attempt to achieve excessively tight toler- Integral locators. Machined into the body
ances only increases costs. Likewise, overly large of the workholder, the integral locator, as illus-
tolerances can shorten the life of a workholder trated in Figure 38-6 is the least preferred. The
and risks unacceptable process capability. The principal objections to using integral locators
designer must balance the cost against the ex- are the added time required to machine the loca-
pected life of the tool and the required accuracy tor and the problem of replacing the locator if it
of the parts to determine a locational tolerance becomes worn or damaged. Another drawback
that will provide the required number of parts is the additional material required to allow for
without excessive tooling costs. machining the locator.
Assembled locators. Similar to integral
BASIC TYPES OF LOCATORS locators, assembled locators also must be ma-
Locators are made in a wide variety of shapes chined. However, these locators have the advan-
and sizes to accommodate the large range of tage of being replaceable as shown in Figure
workpiece configurations. In addition, commer- 38-7. Assembled locators may be used as locators
cial locators are available in many styles to suit for supports. Since they are not part of the ma-
their ever-increasing use. To properly design jor tool body, using assembled locators does not
and specify an appropriate locator, the designer require additional material for the tool body.
first must be familiar with the different types These locators are frequently made of tool steel
of locators commonly used in jig and fixture ap- and hardened to reduce wear.
plications. Fundamentally, there are two types Locating pins. The simplest and most basic
of locators: external and internal. External loca- form of locator, locating pins may be made in-
tors are those devices used to locate a part by house from steel drill rod or purchased commer-
its external surfaces, whereas internal locators cially. Commercial locating pins are available in
are used to locate a part by its internal surfaces, several styles and types as shown in Figure 38-8.
such as holes or bored diameters. Available commercially, standard hardened
dowel pins are frequently used as locating de-
vices due to their simplicity, easy application, and
External Locators
External locators are normally classified
as either locators or supports. Locators are
those elements that prevent movement in a
horizontal plane. Supports are locating devices
positioned beneath the workpiece to prevent
downward movement of the part as well as
rotation around the horizontal axis.
The two basic forms of external locators or
supports are fixed and adjustable.
Figure 38-6. Integral locators (Nee 2010).
Fixed locators are solid locators that establish
a fixed position for the workpiece. Typical ex-
amples of fixed locators include integral locators,
assembled locators, locating pins, V-locators, and
locating nests.
Adjustable locators are movable locators
frequently used for rough cast parts or similar
parts with surface irregularities. Examples of
adjustable locators are threaded locators, spring
pressure locators, and equalizing locators. Ad-
justable locators are used in conjunction with
fixed locators to permit variations in part sizes Figure 38-7. Assembled locators (Nee 2010).
381
Fundamentals of Manufacturing Chapter 38: Fixture and Jig Design
ability to be replaced. Round pins are the most into which the workpiece is placed and located. If
commonly used form of locating device. The loca- the cavity is the same size and shape as the work-
tion and number of locating pins is generally piece, this is an effective means of locating. Figure
determined by the size, shape, and configuration 38-10 illustrates a nest that encloses a workpiece
of the part. However, in most cases the 3-2-1 on its bottom surface and around its entire pe-
principle is applied. riphery. The only degree of freedom remaining is
V-locators. A cylinder, like the prism, also in an upward direction. A similar nest can be used
has six degrees of freedom. To accurately locate
a cylindrical workpiece, it must be confined to
restrict its motion in each direction. Figure 38-9
illustrates a V-type locator. Clamping restricts
the other directions of movement that the loca-
tor does not restrict.
Locating nests. The nesting method of locat-
ing features a cavity in the workholding device
Figure 38-9. V-locator (Nee 2010). Figure 38-10. Nest-type locator (Nee 2010).
382
Fundamentals of Manufacturing Chapter 38: Fixture and Jig Design
Once the designer of a workholder has iden- transmitting a multiplying force, such as the
tified the possible directions and magnitude of cam, lever, and wedge.
the forces, he or she has two ways to restrain the The clamping forces applied against the work-
workpiece to counteract these forces. One utilizes piece must be sufficient to hold the workpiece se-
the strength and rigidity of some part of the curely against the locators. Having accomplished
workholder against which the workpiece rests this, further force is unnecessary and may be
or is forced by a clamp, screw, or wedge. The detrimental. The physical characteristics of the
other utilizes friction between the workpiece’s workpiece greatly influence clamping pressure.
surface contacting, under pressure, a surface of Hard vise jaws can crush a soft, fragile work-
the workholder. piece. The clamping pressure must hold, but not
Figure 38-16 shows a workpiece held in a vise. damage, deform, or impose too great a load on
The horizontal component of the cutting force is the workpiece. It should never be great enough
absorbed by the solid jaw of the vise. The verti- to change any dimension of the workpiece.
cal component is resisted by friction between the The direction and magnitude of clamping
workpiece and the jaws. pressure must be consistent with the purpose
of the operation. An example is the boring of a
CLAMPING FORCES precise round hole with the workpiece clamped
Complete analysis of the tool forces in a pro- in a heavy vise. Excessive clamping pressure
posed operation will disclose which of the 12 di- can compress the workpiece. The bored hole
rectional movements must be restrained and to may be perfect in size and roundness while
what extent. Quite often, tool forces are of such the workpiece is compressed. The release of
magnitude and direction that a workpiece may clamping pressure might permit the workpiece
be dislodged or moved from its required location. to return to its normal rather than compressed
If the locating elements of a fixture cannot as- condition, and the hole might then be off-size
sure adequate restraint, it may be necessary to and elongated. Clamping pressure also should
clamp the workpiece against them. not be directed toward a cutting operation, but
Clamps hold a workpiece against a locator. should, wherever possible, be parallel to it.
The most common application is the bench
vise, where a movable jaw exerts pressure Positioning Clamps
on a workpiece, thereby holding it in a pre- Clamps must be positioned to contact a
cise location determined by a fixed jaw. The workpiece at its most rigid point. When pos-
bench vise uses a screw to convert actuating sible, they should be located over a locator
force into holding force. There are a number or support. In cases where a part cannot be
of commonly used mechanical methods for clamped over a locator, a secondary support
must be installed to counteract the clamping
forces and prevent damage to the part. As
shown in Figure 38-17, the flanged part is
located by its center. If the part was clamped
as shown in (a), the part would distort. There-
fore, a secondary support must be added (b).
This additional support provides the required
backing to prevent distorting the part. Remem-
ber, when adding a secondary support, allow
enough space between the support and the part
to prevent redundant locating.
Figure 38-18. Strap clamp (Nee 2010). Figure 38-19. Cam-action clamp (Nee 2010).
387
Fundamentals of Manufacturing Chapter 38: Fixture and Jig Design
and threaded insert in each hole, thereby allow- Guide the tool.
ing each hole to be used as an alignment hole, Position and/or fasten the jig on a machine.
mounting hole, or both.
Jigs are often divided into two broad cat-
Fixtures made from modular tooling kits can
egories, open and closed. Open jigs are gener-
be used on standard machines and computer
ally used when machining a single surface of a
numerical control (CNC) machining centers.
workpiece, whereas closed jigs are used when
Modular tooling systems are invaluable when
machining multiple surfaces. More often, jig
confronted with short lead time or small produc-
types are identified by the method used to con-
tion quantities that do not warrant the design
struct the jig (for example: template, plate, leaf,
and construction of a special fixture. They are
channel, etc.).
also useful for infrequent production runs, pro-
totype parts, and trial fixturing. Additionally,
modular fixtures are reusable. TEMPLATE DRILL JIGS
Template drill jigs are not actually true jigs
38.5 JIG DESIGN because they do not incorporate a clamping de-
Jigs, like fixtures, are designed to hold, lo- vice. However, they can be used on a wide vari-
cate, and support a workpiece. However, they ety of parts and are among the simplest and least
also guide the cutting tool into the workpiece expensive drill jigs to build. A template drill jig
throughout the cutting cycle, which is important, is simply a plate containing holes or bushings
for example, in small diameter and/or long drilling to guide a drill. It is usually placed directly on a
situations. Jigs can be divided into two general feature of a part to permit drilling holes at the
classifications: drill jigs and boring jigs. Of these, desired locations. When this is impractical, it
drill jigs are, by far, the most common. Drill is located on the part by measurement or sight
jigs are generally used for drilling, tapping, and lines scribed on the template.
reaming, but also may be used for countersink- A template drill jig is often used to drill holes
ing, counterboring, chamfering, and spot-facing. in one portion of a large workpiece where a
Boring jigs, on the other hand, are normally used conventional jig large enough to hold the entire
exclusively for boring holes to a precise, predeter- part would be impractical and costly. Template
mined size. The basic design of both classes of jigs jigs usually cost much less than conventional jigs.
is essentially the same. The only major difference Often making use of two or three template drill
is that boring jigs are normally fitted with a pilot jigs is more economical than using one large
bushing or bearing to support the outer end of conventional jig.
the boring bar during the machining operation. Template jigs, however, are not as foolproof as
Since all jigs have a similar construction, the most other types, which may result in inaccurate
points covered for one type of jig normally apply machining by a careless operator. Orientation
to the other types as well. This section focuses of the hole-pattern-to-workpiece datums may
on drill jig design. not be as accurate as with other types of jigs.
Jig selection and design begins with an However, accuracy of the hole pattern within
analysis of the workpiece and the manufacturing the template jig itself is comparable to that of
operation to be performed. The workpiece, pro- any conventional jig.
duction rates, and machine availability normally
determine the size, shape, and construction Plate Jigs
details of a jig. However, all jigs must conform
Plate jigs are basically template jigs equipped
to certain design principles. For efficient and
with a workpiece clamping system. Initial con-
productive manufacture of quality workpieces,
struction costs are greater for plate jigs than for
a jig must provide a method to:
template jigs, but plate jigs are generally more
Correctly locate the workpiece with respect accurate and last longer.
to the tool. A plate jig incorporates a plate, which is gen-
Securely clamp and rigidly support the erally the main structural member that carries
workpiece during the operation. the drill or liner bushings. Slip bushings of
390
Fundamentals of Manufacturing Chapter 38: Fixture and Jig Design
The leaf jig shown in Figure 38-23 was spe- 38.4) Modular tooling systems are best suited
cifically designed and built to drill two holes in for what types of production needs?
a small connecting rod. The hinged drill plate 38.5) How is a jig different than a fixture?
contains the drill bushings. It is precisely lo-
cated at both ends by the slots in the body of the
REFERENCE
jig. The workpiece is located and clamped be-
Nee, J., ed. 2010. Fundamentals of Tool Design, 6th
tween two V-blocks, one fixed and the other
Edition. Dearborn, MI: Society of Manufacturing
movable. The V-blocks are tapered to force the Engineers.
workpiece down against the base of the jig body.
Channel and tumble box jigs permit drilling
into more than one surface of a workpiece with- BIBLIOGRAPHY
out relocating the workpiece in the jig. This Society of Manufacturing Engineers. 2010. “Work-
results in greater accuracy with less handling holding” DVD. Fundamental Manufacturing Processes
Video Series. Dearborn, MI: Society of Manufacturing
than required when using several separate jigs.
Engineers.
These jigs can be complicated and more expen-
sive to build than several simpler types, but they Society of Manufacturing Engineers. 2007. “Fixture
can be cost-effective if properly designed. Figure Design” DVD. Fundamental Manufacturing Processes
38-24 illustrates a typical channel jig. Video Series. Dearborn, MI: Society of Manufacturing
Indexing jigs are used to drill holes in a pat- Engineers.
tern, usually radial. Location for the holes is
generally taken from the first hole drilled, a
datum hole in the part, or from registry with an
indexing device incorporated in the jig.
REVIEW QUESTIONS
38.1) What is the purpose of a workholder?
38.2) What is the advantage of using assembled
locators over integral locators?
38.3) What part of the fixture must the primary
tool forces be directed to as much as possible?
Figure 38-24. Cross-section of a typical channel jig
(clamping details not shown) (Nee 2010).
39.4 ABC ANALYSIS popular beliefs about the methods, the conditions
A popular technique that lends itself to good of its success, and the potential in American
management of the inventory asset dollar is manufacturing remain diverse. The most popular
classical “ABC” analysis, which results in the misconception is probably the one that says “. . . it
coding of items by categories called A, B, and is a method based on someone else holding inven-
C. This technique requires sorting items by the tory for you until you need it.”
amount of dollar demand (at cost) recorded over In a manufacturing environment, inventory
some past period, as illustrated in Table 39-1, or exists for two reasons:
from the output of an MRP system projected over 1. to compensate for the uncertainties asso-
some future period. Based on Pareto analysis, it ciated with material flow related to lead
is usually observed that only about 20% of the times; and
items in inventory will be involved in 80% of 2. to cover the risks associated with the fail-
the usage measured in dollars. If this top 20% is ure of prior processes to deliver quality
managed carefully, the lower-dollar items can be materials.
handled less often with little effect on the total
dollar investment. Therefore, it is appropriate Therefore, to eliminate inventories, the reasons
to set inventory policy based on ABC analysis for their existence must be eliminated too.
as a method of establishing an inventory plan. The first cause is approached through continu-
Thus items are given replenishment rules like ous reduction of lot-size requirements. Because
the following: of the impact of economic job sizing, the factors
contributing to order costs must be eliminated.
Review A items weekly and order one Even in the standard economic order quantity
week’s supply when less than a lead time (EOQ) equation (Eq. 39-2), it can be seen that as
plus one week’s supply remains. setup or order costs approach zero, the calculated
Review B items biweekly and order four economic lot size approaches the practical lowest
weeks’ supply when less than a lead time limit, one. This leads to setup reduction efforts—
plus two weeks’ supply remains. a part of the continuous improvement process.
Review C items monthly and order 12 The second cause is addressed by using
weeks’ supply when less than a lead time methods that allow the manufacturer to gain
plus three weeks’ supply remains. process control and make its output statistically
The result of such policies and procedures is predictable as “good” parts. This requires the use
that the high-dollar-volume items get the most of statistical process control (SPC) techniques
attention (Veilleux and Petro 1988). in the manufacturing workplace. It further re-
quires the involvement of all employees striving
for a common goal of production that is free of
39.5 JUST-IN-TIME (JIT) INVENTORY all defects and waste costs.
Just-in-time (JIT) inventory is usually referred To achieve near-zero inventories on pur-
to as zero inventory (ZI) by the American Produc- chased parts, suppliers must use the same sta-
tion and Inventory Control Society (APICS). The tistical quality management techniques in their
operations as does the manufacturer. Defects or
missed delivery dates on vendor-supplied parts
Table 39-1. ABC analysis of an annual and materials can quickly shut down a produc-
$1,000,000 inventory usage at cost tion activity not buffered by inventory.
Number Inventory There are several steps that can improve the
Cost Percent opportunity for near-zero inventories on pur-
of Parts Category
chased materials:
6 680,000 68 A
16 200,000 20 B reduce the overall quantity of suppliers;
design long-term partnership programs
80 120,000 12 C
to make both vendor and customer more
(Veilleux and Petro 1988) profitable;
396
Fundamentals of Manufacturing Chapter 39: Materials Management
devote human resources in the purchasing information about product requirements and
department to long-term cost and qual- specifications flows in the supply chain. Money
ity gains, not adversarial negotiating and in the form of payments flows from right to left.
expediting; However, money from rebates and returns flows
concentrate the supplier base near the from left to right.
manufacturing facility; and The emphasis or focus of the supply chain
order small lots, demand short lead times, varies between industries. For example, automo-
and accept no defects (Veilleux and Petro tive and aerospace companies place a premium
1988). on factory capacity and production scheduling.
Effective scheduling and execution are required
39.6 SUPPLY CHAIN MANAGEMENT to be responsive to customer orders.
The supply chain for consumer electronics,
Supply chain management extends the link-
semiconductors, and appliances is purchasing
age from the company upward to the customers’
oriented. Procurement costs are a significant
customers and downward to the suppliers’ sup-
component of product cost, in contrast to heavier
pliers. It coordinates and tunes the chain of
industry where manufacturing and labor con-
business entities to accept and fulfill customers’
tent is a more significant portion of product cost.
orders. As illustrated in Figure 39-2, informa-
The third type of focus is a distribution-
tion, money, and materials flow in the supply
oriented supply chain. Consumer non-durables
chain.
and some products, such as gas and oil, focus on
In general, physical material (product) flows
replenishment and transportation of finished
from left to right. In some cases, such as recycled
goods. Emphasis is on market share and shelf
packaging and damaged products, material
space in the retail stores.
flows from right to left. Information must flow
Better customer information helps suppliers
bi-directionally and be ready for all trading
improve their operations. The extension of this
partners. Client orders, for example, move from
in both directions constitutes a major competi-
right to left. Information about orders moves
tive advantage.
from left to right. In addition to transactions,
Before companies can build effective partner-
ships with customers and suppliers, they must
demonstrate the capability of controlling their
operations. Well-managed companies know the
consequences of a weak link in the chain. They
want partners that can convert better informa-
tion into significant benefits for them. In the
same manner, a company without control can-
not possibly provide valid plans to its suppliers,
even if it announces its intentions of being a good
partner (Rowen 1999).
REVIEW QUESTIONS
39.1) _____________ demands are derived from
the demand for other items.
39.2) The principal measure related to balanc-
ing the cost of carrying inventory with the ser-
vice level required is known as _____________.
39.3) Calculate the EOQ for a product that
has an annual usage of 100,000 units, setup
Figure 39-2. The flow of information, material, and money and order cost of $50, a unit cost of $10, and an
in the supply chain. interest and storage cost of 20%.
397
Fundamentals of Manufacturing Chapter 39: Materials Management
REFERENCES
Rowen, Robert B. 1999. A Manufacturing Engineer’s
Introduction to Supply Chain Management. CASA/
SME Blue Book Series, September. Dearborn, MI:
Society of Manufacturing Engineers.
Veilleux, Raymond F. and Louis W. Petro, eds. 1988.
Tool and Manufacturing Engineers Handbook, Fourth
Edition. Volume 5, Manufacturing Management.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Arnold, J. R. Tony, Stephen N. Chapman, and Lloyd
M. Clive. 2012. Introduction to Materials Manage-
ment, Seventh Edition. Upper Saddle River, NJ:
Prentice Hall.
Society of Manufacturing Engineers. 2004. “Supply
Chain Management” DVD. Manufacturing Insights
Video Series. Dearborn, MI: Society of Manufactur-
ing Engineers.
40
INDUSTRIAL SAFETY, HEALTH, AND
ENVIRONMENTAL MANAGEMENT
If it were possible to prevent the unsafe act the worker is contrary to safe work practice or
or remove the unsafe conditions, the chain of common-sense thinking, the result is typically a
events would be broken and the accident avoid- near-miss or, in some cases, an accident.
ed. Removing the key “domino”—the unsafe act Environmental conditions at the time or scene
that occurs in unsafe conditions—will prevent of the accident contribute to the unfortunate re-
the accident (Goetsch 2010). sult. Unsafe conditions that can cause accidents
include mechanical or electrical failure, poor
HUMAN FACTORS THEORY housekeeping, dim lighting, excessive noise,
Realizing that humans are error prone, inadequate safeguards, or improper personal
the human factors theory associates accident protective equipment (PPE) or apparel.
causation to a chain of events put in motion by The combination of unsafe behavior in an
human error. There are three factors that lead unsafe environment is the most frequent cause
to this error. of accidents. As a root cause or contributing
factor, human behavior in an otherwise stable
1. Overload—individuals have limitations as (safe) workplace environment causes changes
to the amount of stress they can handle. that result in accidents. The risk of having an
Job responsibilities, personal commit- accident is reduced when safe work practices
ments or problems, overall health and become routine and the work environment is
physical condition, and the work environ- continuously monitored for unsafe conditions,
ment (for example, lighting, temperature, unsafe behavior, and unsafe situations. How-
noise levels, and other workers) can all ever, as long as a worker’s attitudes, physical
cause stress. When a person reaches his and mental capabilities, or perspectives on risk
tolerance limit, errors can occur. are part of the workplace environment, the
2. Inappropriate response—experience, train- chance of an accident can never be completely
ing (or the lack of it), and demeanor deter- eliminated (Raouf 2002).
mine how a person responds to a situation. Safe work practices and adherence to work
An inappropriate response would be failure rules and applicable safety and health standards
to recognize a hazard, choosing to ignore can successfully reduce injury and illness in the
warnings or clues, or electing not to use workplace. Manufacturing managers and their
safety equipment or follow safe procedures. employees have a responsibility to promote and
The result is an accident. maintain a safe and healthy work environment.
3. Inappropriate activities—accidents can oc-
cur when people perform a task without the 40.2 OCCUPATIONAL SAFETY AND HEALTH
necessary training or misjudge the risks
ADMINISTRATION (OSHA)
and continue based on incorrect informa-
tion (Goetsch 2010). The Williams-Steiger Occupational Safety
and Health Act of 1970 (OSHAct) has had a
significant impact on workplace safety. Since
MULTIPLE CAUSATION THEORY its enactment, there has been a reduction in
The cause of an accident often has a variety the number of worker deaths, injuries, and ill-
of contributory factors that do not always fit nesses, and it has reduced employer liability. The
neatly into a unique theory or explanation. OSHAct created the Occupational Safety and
For this reason, the multiple causation theory Health Administration (OSHA), which enforces
is valuable in accident causation analysis. An standards to assure safe and healthful working
extension of the domino theory, multiple causa- conditions. The standards are organized by in-
tion groups the factors that lead to accidents as dustries—general industry, maritime, construc-
either behavioral or environmental. tion, and agriculture. Updates, amendments, and
Human behavioral elements, such as attitude, corrections are published in the Federal Register.
inadequate training or skill, inattentiveness, The OSHAct also created the National Institute
or physical limitations (for example, fatigue) for Occupational Safety and Health (NIOSH),
contribute to accidents. When the behavior of which is an agency that develops standards and
401
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
performs ongoing research, education, and train- It is important to note that self-employed in-
ing on occupational health and safety. dividuals (one-person shops) are not considered
The OSHAct established separate but depen- employers and thus are not subject to OSHA re-
dent responsibilities for employers and employ- quirements. Also, OSHA does not have jurisdic-
ees. The duties of the employer are explained tion over federal and state employees (although
in Section 5(a)(1) of the OSHAct in the general they must comply with the standards), certain
duty clause: types of family farming operations, and other
industries with their own separate safety and
“Each employer shall furnish to each of health compliance agency (for example, mining).
his or her employees employment and a To facilitate understanding of the rights and
place of employment free from recognized responsibilities of employees and employers,
hazards that are causing or are likely the OSHAct requires the employer to post the
to cause death or serious physical harm to OSHA notice or poster in a conspicuous place.
his employees and shall comply with oc- The poster, provided as a free download from
cupational safety and health standards www.osha.gov, informs employees of protections
promulgated under this Act.” and obligations covered in the OSHAct. It also
includes contact information for the nearest
Thus, the employer has the obligation to pro-
OSHA office as any employee has the right to
actively maintain a safe work environment,
contact OSHA confidentially. Failure to display
rather than reacting to situations as they
the poster has a minimum penalty of $250.
develop. To facilitate the employer’s charge,
the OSHAct states that employees have the
responsibility to “. . . comply with occupational GOVERNMENT AGENCIES AND REGULATIONS
safety and health standards and all rules, The Code of Federal Regulations (CFR) is
regulations, and orders issued pursuant to published every year by the U.S. government
this act that are applicable to his or her own and independent book publishers. It contains the
actions and conduct.” However, OSHA can not rules and regulations made by federal agencies
penalize employees who do not comply. Only and executive departments. For example, Title
employers (managers) can be cited for violat- 29 of the CFR contains standards put forth by
ing standards. the Department of Labor. Occupational Safety
It should be noted that, although the safety and Health “Standards for General Industry”
standards created by OSHA are fairly complete, are contained in 29 CFR Part 1910; Part 1926
there are instances where a regulation specific is construction; and Parts 1915 through 1918
to an issue may not exist. When this situation apply to shipbuilding, ship repair, long-shoring,
occurs and the employer fails to take corrective and ship-breaking. For most manufacturers,
action when the problem was recognized, and general industry standards (29 CFR 1910) apply
there was a feasible method to solve the problem, and should be reviewed on a regular basis. The
a citation under the “catch-all” general duty Department of Labor also maintains an exten-
clause may be issued. sive database of workplace-specific information
The OSHAct covers any person or entity and guides for employers and employees at the
engaged in business that affects commerce and OSHA website (http://www.osha.gov).
that has employees. It is important to note that The OSHAct allows individual states to es-
it applies to every employer, whether there is tablish their own safety and health programs.
one or more employees. The confusion on this The minimum requirement is that they must
point comes from the exception provided to em- have a standard that is identical to, or at least
ployers in recording and reporting guidelines: as effective as, the federal standard.
employers with fewer than 11 employees are OSHA has 10 regional offices that can provide
exempt from keeping a log and summary of off-site and on-site inspection and consultation
occupational illnesses and injuries. All other services. These are the offices of the area direc-
standards and rules apply regardless of the tors who are the direct supervisors of the field
number of employees. compliance officers. The offices also can provide
402
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
contact information for the states and territories in the inspection and also to make your own
with individual programs. notes about the situation. This does not imply
that the employer should take an aggressive or
INSPECTIONS, CITATIONS, AND PENALTIES disrespectful stance with the officer. Rather, the
OSHA inspections are, with few exceptions, employer should be inquisitive and assure that
conducted without prior notice (29 CFR 1903). she has good documentation of the conditions
Upon presenting appropriate credentials to the the OSHA officer observed.
owner, operator, or agent in charge, an OSHA
compliance officer may: Reasons for Inspections
enter without delay; The priority for workplace inspections and
inspect and investigate at reasonable investigations is as follows.
times all pertinent conditions, structures,
1. Imminent danger condition—this is a situ-
machines, apparatus, devices, equipment,
ation that requires immediate correction.
and materials;
It is a condition that will cause or is likely
question privately any employer, owner,
to cause death or serious physical harm
operator, agent, or employee; and
before standard enforcement procedures
review records required by the OSHAct
under the OSHAct can take effect. Health
and any other records directly related to
hazards, although not commonly consid-
the inspection.
ered imminent danger, can fall under this
This does not mean that OSHA’s right to inspect category if toxic chemicals are present or
is unlimited, rather the inspection must be rea- serious harm could be caused by improper
sonable and the agent should provide the cause use. An imminent danger condition or
for the inspection, enabling the employer to give allegation usually will provoke an inspec-
access to the particular area. The OSHA com- tion within 24 hours. Employees should
pliance safety and health officer (CSHO) must first inform the supervisor if they detect
sign a confidentiality agreement, if requested, to or suspect an imminent danger condition.
protect any trade secrets that might be revealed If corrective action is not taken, employ-
during an inspection. In addition, the officer ees have the right to contact OSHA, and
usually initiates opening and closing inspection the compliance office will determine if the
conferences. situation warrants immediate attention.
Employer and employee representatives may The employee may refuse to be exposed to
participate in the inspection and conferences, imminent danger by asking, “What would
but not in any way that hampers the process. a reasonable person do?”
It is highly recommended that an employee or 2. Fatalities/catastrophes—if there is a
representative of the employer walk along with fatality or serious accident that requires
the compliance officer during the workplace hospitalization of three or more employees,
inspection. The employer should use the same the incident must be reported to OSHA
media that the compliance officer is using to within 8 hours. If there is a death at the
document conditions in the facility. For example, workplace, even if it is not apparently
if the officer brings a camera or video recorder, related to work conditions (for example,
it is appropriate for the employer to also take a worker dies of heart attack), it is bet-
photos of or video the same area in the plant ter to report the incident to OSHA rather
from the best angle to portray the situation or than risk a citation and large penalty for
possible problem. Photos and/or videos docu- failure to report. Should the investigation
ment workplace conditions as they existed at that follows prove the death was not work
the time of the inspection and can serve as an related, the incident will not be recorded
objective observer of the situation. If the compli- as a workplace injury or illness.
ance officer takes written notes, it is acceptable 3. Employee complaints—these are charac-
to ask what he is writing down at that point terized as alleged standard violations—
403
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
unsafe or unhealthful working conditions. Table 40-1. OSHA penalty calculation for
They may be reported from other sources serious violation in the gravity-based penalty
such as a visitor to a facility, another gov- (GBP) structure
ernmental agency officer, or other person- Severity Probability GBP Gravity
nel. If the situation is an imminent danger
High Greater $7,000 High
complaint, an immediate investigation will
occur. Otherwise, the OSHA compliance of- Medium Greater $6,000 Moderate
fice makes a decision about the seriousness Low Greater $5,000 Moderate
of the complaint. High Lesser $5,000 Moderate
4. Programmed high-hazard inspections—
Medium Lesser $4,000 Moderate
some industries, such as construction or
foundry operations, have a high rate of Low Lesser $3,000 Low
incidents. These industries and those with
high injury and illness rates due to chemi-
cal or environmental conditions warrant a De minimus violations are violations of
higher priority level for inspection. standards that have no direct relationship
5. Follow-up inspections—inspections that to safety or health and are not included
resulted in an employer being cited in the in citations. These are usually deviations
previous year may require a follow-up in- from a standard that do not endanger the
spection to determine whether the problem employee. For example, 29CFR 1910.28
has been corrected. In some instances, a (b)(15) and (c)(14) require guarding on all
letter and/or photographs from the em- open sides of scaffolds more than 10 ft (0.3
ployer are acceptable to prove compliance. m) above the ground. Where employees are
tied off with safety belts in lieu of guarding,
Violations, Citations and Penalties the intent of the standard is met, and the
There are a variety of violations and re- absence of guarding may be de minimus.
sulting citations and penalties that an OSHA An other than serious violation is cited
compliance officer can levy against an employer, when the hazardous condition would not
depending on the seriousness of the situation, normally cause death or serious injury, but
the history of the problem, and the actions of the does have a direct relationship to employee
employer to correct the situation. When a viola- safety and health. This violation may be
tion is cited, the regional field office area director assessed a civil penalty of up to $7,000 for
has traditionally negotiated the penalty with the each violation. The penalty may be reduced
violator, often resulting in substantial reduc- if the employer’s good faith efforts, history
tions being granted. However, in recent years, of positive workplace safety and health, and
the OSHA found that the penalties were too low size of business warrant reconsideration
to have a significant impact on deterrence. So, in by OSHA.
2010, a gravity-based penalty (GBP) system was A serious violation is deemed to exist if there
implemented. This system categorizes the viola- is a substantial probability that death or
tion based on the severity of the injury/illness serious injury could result from a condition
that could occur and the probability the injury/ or from one or more practices, operations, or
illness will occur. High severity and high prob- processes adopted or in use unless the em-
ability indicate high gravity. The gravity-based ployer did not know and should not have
penalty, as shown in Table 40-1, is in addition known of the presence of the violation. A
to the base penalty. The final penalty can be penalty of up to $7,000 per violation plus
adjusted based on the history of violations at the $7,000 per day that the violation is not
facility, good faith efforts to implement a safety abated can be levied on the employer.
and health management system, how quickly The willful violation is cited where evi-
the problem was remedied, and the number of dence shows either an intentional viola-
employees affected. tion of the OSHAct or plain indifference
404
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
to its requirements. A repeated violation tance to the workplace under question, and to
results when reinspection finds the same or evaluate the possible alternatives. Employees
substantially similar violation. A repeated familiar with the operation may offer signifi-
violation must be based on a citation that cant insight into the details of the problem as
is not under appeal and has become final. well as possible solutions. If the OSHA agent
The penalty for repeated violation is the and/or the employer documented the site visit,
same as for willful violations. Each willful this evidence can be combined with other data,
or repeated violation may be assessed a charts, prints, or drawings and professional
civil penalty of up to $70,000, but not less photographs to build the defense case. Attor-
than $5,000. neys, consultants, and management must work
A criminal/willful violation of a standard together as a team to bring a well-prepared
causes the death of an employee and there case before the review commission, an inde-
is evidence the violation was the cause of pendent federal agency that decides contests
death. A fine of up to $250,000 for an indi- of citations.
vidual, $500,000 for a corporation, and/or
imprisonment for not more than six months RECORD-KEEPING AND REPORTING
may be ordered. An injury or illness is considered work-related
Failure to abate is cited when an employer if an event or exposure in the work environment
fails to correct a violation for which a cita- caused or contributed to the condition or sig-
tion has been issued within the period per- nificantly aggravated a pre-existing condition.
mitted for its correction. A civil penalty of Each employer is required to maintain at each
not more than $7,000 may be assessed for site a log (Form 300) and summary (Form 300A).
each day the violation continues. Exceptions to this rule are employers who had
The employer, employee, or representative no more than 10 employees at any time during
of employees may request an informal confer- the preceding calendar year.
ence with an OSHA assistant regional director Each recordable incident must be entered
for the purpose of discussing issues raised into the log and summary within seven cal-
by an inspection, citation, notice of proposed endar days after receiving information that
penalty, or notice of intention to contest. If the an incident has occurred. The summary of the
employer receives a citation, an unedited copy Form 300 log from the previous year must be
must be posted at or near the place where the posted for employees no later than February 1
violation occurred. The citation must remain and remain posted until April 30 of the same
posted until the violation has been abated, or year. In addition to the log and summary, an
for 3 working days, whichever is longer. The illness and incident report, such as Form 301,
employer may also post a notice in the same lo- workman’s’ compensation, insurance, or other
cation indicating the citation is being contested reports are kept for each recordable incident.
and the reasons for such contest. The notice of All these forms can be downloaded from www.
intention to contest must be postmarked within osha.gov.
15 working days of the receipt of the notice of
proposed penalty. LOST-TIME ACCIDENTS
In many cases, the site or employer’s safety A lost-time accident is one that causes a
officer is key to successful preparation of an worker to lose time from the job. Typically, any
OSHA case should the employer choose to injury requires some time lost for treatment,
contest a proposed penalty or alleged serious so an injury is usually considered lost time if a
violation. Many cases are based on the ques- worker fails to return the day after the accident.
tion of feasibility—how the workplace should Records of lost-time injuries also carry some
be made safer, how much safer, at what cost, determination of injury severity. Non-lost-time
and by what timetable. Usually, the safety accidents may be designated minor injuries and
professional has the training and experience compensable injuries. By documenting lost-time
to identify the relevant facts and their impor- incidents, a safety record is created.
405
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
(0.8–0.9 m) high, including a smooth top rail There shall be an adequate number, loca-
and intermediate rail located halfway between tion, and kinds of exits to allow everyone to
the top rail and the step. Standard railings on escape. There are documented cases where
overhead walkways, protecting platforms, or people have been trampled during a panic
floor openings must be 42 in. (1.1 m) high with because the exits were too few or too narrow
top and intermediate rails, and a toeboard to to allow orderly evacuation during a fire.
prevent material from falling on people or equip- No lock or device to prevent emergency
ment below. egress is allowed (exceptions are mental,
Subpart D also extensively covers portable penal, or corrective institutions where su-
and fixed ladders. The general precautions for pervisors are continually on duty). Doors
portable ladders is that they are kept in good that automatically close and lock from the
working order, inspected regularly, have secure outside must have a release and swing to
footing, and are free of grease and oil. Extension the outside easily. Allowing boxes, barrels,
ladders must have positive stops, which ensure or other objects to be stacked against an
overlap between sections is adequate. Fixed outside exit door is a disaster waiting to
ladders, such as the kind that provide access happen. Workplace rules that forbid such
to subterranean workspaces or up the side of practice are one method of prevention. The
chutes or silos, must have a fall protection cage implementation of 5S visual workplace
if they are more than 20 ft (6.1 m) to a maximum rules (sort, straighten, shine, standardize,
unbroken length of 30 ft (9.1 m). In addition, and sustain) complement means of egress and
fixed ladders must be designed for live loads of walking-working surfaces standards.
200 lb (90.7 kg) minimum. Every exit shall be clearly visible or the
route to reach it shall be conspicuously
marked so that every occupant who is
MEANS OF EGRESS (29 CFR 1910 SUBPART E) capable will readily know the direction of
A means of egress is a continuous and un- escape. Any passageway or door not lead-
obstructed way of exit travel from any point ing to an exit but that could be mistaken
in a building or structure to a public way. It for an exit must be marked or arranged
consists of three separate and distinct parts: to minimize its possible confusion with an
the way of exit access, the exit, and the way of exit. It is best to label doors or passages
exit discharge. Essentially, an egress is a path as “Not an Exit” or “Storeroom” or “To
or way out of a building. Basement.” Every exit sign must have
“CFR for General Industry, Subpart E— the word “Exit” in plainly visible letters,
Means of Egress” has the following main re- not less than 6 in. (152 mm) high with the
quirements for any establishment. principal strokes of the letters not less
than three-fourths of an inch (19 mm)
The exits will be designed for prompt escape
wide. Signs also must be illuminated by
of occupants in an emergency and shall be
a reliable light source. Self-luminous or
such that there is more than one safeguard
electroluminescent signs with the required
in case of human or mechanical failure. In
luminance are permitted.
each case, you must have a backup safe-
guard (for example, an additional exit or
override for automatic doors) for employees EMERGENCY ACTION AND FIRE PREVENTION PLANS
to escape, especially if the building has
more than one floor. Emergency Action Plan
Building structures will be constructed, One of the most common violations cited is
maintained, and operated to avoid danger failure to plan for, document, and implement
to occupants from fire, smoke, fumes, or an employee emergency action plan and fire
resulting panic during the period of time prevention plan. The OSHA standard requires
reasonably necessary to escape from the the following minimum elements to be included
building during an emergency. in any emergency action plan:
407
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
emergency escape procedures and route Fire Safety (29 CFR 1910 Subpart L)
assignments, Most small- to medium-sized manufacturers
procedures for employees who must remain do not have the resources to support a company
to operate critical equipment prior to evacu- fire brigade. The OSHA standards applying
ation, to industrial fire departments or fire brigades
a way to account for all employees after the require extensive documentation, training,
evacuation has been completed, and equipment. For those companies without
rescue and medical duty assignments for internal fire-fighting crews, most must rely on
those employees who are to perform them, portable fire extinguishers, standpipe and hose
a preferred means to report fires and other systems, automated sprinkler systems, and/or
emergencies, and fixed extinguishing systems.
names or job titles of responsible persons Portable fire extinguishers are the most com-
or departments. mon equipment available for fire protection.
An employee alarm system must be provided The placement, use, maintenance, and testing
and be distinctly different for each type of situ- of portable extinguishers must follow specific
ation (for example, fire, tornado, end of shift, or guidelines and requirements, depending on
call for fire brigade). Employees must be trained the situation and the fire protection plan. It is
on the meaning of each alarm, how to report important to note that where an employer has
emergencies, where emergency phone numbers established and implemented a written fire
are posted, and special provisions for visual or safety policy requiring the immediate and total
hearing-impaired employees. For employers evacuation of employees from the workplace
with 10 or fewer employees, direct voice com- upon the sounding of a fire alarm signal, and
munication is acceptable if all employees can where an employer has an emergency action
hear or see the alarm. plan and a fire prevention plan that meet OSHA
requirements, portable fire extinguishers are
not required unless a specific situation covered
Fire Prevention Plan by a standard requires them. An example would
A written fire prevention plan must be devel- be a fire watch when cutting or welding on
oped. All employees should be trained on the fire equipment that could catch fire. Most establish-
hazards of the materials and processes to which ments have fire extinguishers installed at the
they are exposed as well as the correct proce- insistence of insurance companies to mitigate
dures in the event of a fire. Good housekeeping property damage.
can prevent many fires. The employer must When portable fire extinguishers are re-
control accumulations of flammable and combus- quired, they must be located, identified, and
tible waste materials so they do not contribute made readily accessible to employees. The
to a fire emergency. No place in the standard extinguishers must be maintained in a fully
requires employees to fight fires or otherwise charged and operable condition and kept in their
endanger themselves in the event of a fire. designated place at all times, except during use.
The minimum requirements for a written fire One of the most common violations of this part
prevention plan are a list of the major workplace of the standard is when fire extinguishers are
fire hazards and their proper handling and blocked by stacked boxes, pallets, or other mis-
storage procedures, the names of those persons placed materials. It is easy to forget where the
responsible for maintenance of equipment and fire extinguisher is located when its location is
the systems in place to prevent or control fires, not well marked, access is not kept clear, or it
and the names of persons responsible for con- is moved without replacement.
trol of fuel source hazards. Plant equipment or Fire extinguishers must be selected according
heat-producing equipment must be properly to the hazards present in the workplace. Figure
maintained to prevent accidental ignition of 40-1 illustrates identifiers for the different types
combustible materials. Maintenance procedures of fire extinguishers and the types of fires on
must be included in the fire prevention plan. which they should be used.
408
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
Figure 40-1. Portable fire extinguisher classes (Drozda and Wick 1983).
welding or brazing equipment operators must OXYGEN FUEL WELDING AND CUTTING SAFETY
use face shields or goggles, depending on the Mixtures of fuel gases and air or oxygen may
particular job, to protect their faces and eyes. be explosive and must be guarded against com-
Goggles or other suitable eye protection shall bustion. Acetylene fuel gas should not be gener-
be used for all gas/oxygen welding and cutting ated, piped, or utilized at a pressure in excess
operations. Safety glasses without side shields of 15 psi (103 kPa). When using acetylene cyl-
may be used if the user has suitable filter lenses inders, the cylinder valve should not be opened
for performing gas welding on light work, torch more than one and one-half turns of the spindle,
brazing, or inspection. and preferably no more than three-fourths of a
The specifications for helmets and hand turn, thereby allowing quick shutdown in an
shields are stringent, requiring them to be emergency.
made of material that insulates against heat Compressed gas cylinders must be legibly
and electricity, and protects the face, neck, and marked with either the chemical or trade name
ears from direct radiant energy from the arc. of the gas. Cylinders must be kept away from
Helmets, shields, and goggles must not be read- radiators and other sources of heat. Inside of
ily flammable and must be able to be sterilized. buildings, cylinders must be stored in a well-
Goggles should be ventilated to prevent fogging protected, well-ventilated, dry location, at least
as much as possible. 20 ft (6.1 m) from highly combustible materials.
Welding operations have the capability to Cylinders should be stored in assigned places
damage an employee’s eyesight. Table 40-2 is a away from elevators, stairs, or gangways and
guide for the selection of proper shade numbers. where they will not be knocked over or dam-
Where work permits, the welder should be aged by passing or falling objects, or subjected
located in an individual booth painted with a to tampering by unauthorized persons. Further,
low-reflectivity finish such as zinc oxide and cylinders must not be kept in unventilated en-
lamp black (to absorb ultraviolet radiation). If closures such as lockers and cupboards.
this is not possible, portable noncombustible Valve protection caps must always be in place
screens can be used. It is important to allow air and hand-tight, except when cylinders are in use
circulation at floor level to prevent the buildup or connected for use. Oxygen cylinders in storage
of noxious fumes. Workers in nearby areas must should be separated from fuel-gas cylinders or
be protected from the welding rays by screens combustible materials (especially oil or grease)
or shields, or be required to wear appropriate by a minimum distance of 20 ft (6.1 m) or by a
eye protection. noncombustible barrier at least 5 ft (1.5 m) high
with a fire-resistance rating of at least 30 min.
Empty cylinders must have their valves closed.
Table 40-2. Welding shade selection guide
Unless cylinders are secured on a special
(29CFR 1910.252)
truck, regulators shall be removed and valve-
Welding Operation Shade Number protection caps put in place before cylinders are
Shielded metal-arc welding: 10 moved. Before a regulator is removed from a
1/16, 3/32, 1/8, 5/32 in. cylinder valve, the cylinder valve shall be closed
electrodes and the gas released from the regulator.
Shielded metal-arc welding: 12
3/16, 7/32, 1/4 in. electrodes
Shielded metal-arc welding: 14
WELDING OR BRAZING IN CONFINED SPACES
5/16, 3/8 in. electrodes (29 CFR 1910 SUBPART J)
Torch brazing 3 or 4 Confined space refers to:
Cutting, up to 1 in. 3 or 4 a space large enough and so configured that
Cutting, 1–6 in. 4 or 5 an employee can bodily enter and perform
Gas welding, up to 1/8 in. 4 or 5 assigned work,
a space that has limited or restricted means
Gas welding, 1/8–1/2 in. 5 or 6
for entry or exit (for example, tanks, vessels,
410
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
silos, storage bins, hoppers, vaults, and When welding is to be suspended for any sub-
pits), and/or stantial period of time (such as during a break),
a space not designed for continuous em- the electrode must be removed from the holder
ployee occupancy. and the holder positioned so that accidental
contact cannot occur; when practical, gas weld-
A non-permit confined space (NPCS) is a con- ing or cutting torches should be removed from
fined space that does not contain or, with respect the space during breaks.
to atmospheric hazards, have the potential to
contain, any hazard capable of causing death 40.5 PERSONAL PROTECTIVE EQUIPMENT (29 CFR 1910
or serious physical harm. A permit-required SUBPART I)
confined space (PRCS) is a confined space that
contains or has a potential to contain a hazard- Personal protective equipment (PPE), when
carefully selected and consistently used in the
ous atmosphere, or contains a material that
workplace, has been able to prevent many
has the potential for engulfing an entrant, or has
lost workdays and fatalities. The American
an internal configuration such that an entrant
National Standards Institute (ANSI) has
could be trapped or asphyxiated by inwardly
provided codes, standards, and recommended
converging walls or by a floor that slopes down-
practices that have been adopted by OSHA,
ward and tapers to a smaller cross-section, or
particularly in the area of PPE. In recent
contains any other recognized serious safety
years, updates to OSHA’s general require-
or health hazard.
ments for PPE have evolved to incorporate
When welding or brazing is to be done in a
the most recent ANSI standards. They provide
confined space, there are a series of safeguards
guidance for selection and use of PPE based on
for personnel that must be obeyed, as the con-
performance-oriented requirements.
sequences can be tragic if ignored. Subpart J
1910.146 covers the requirements for a confined In general, the employer is required to assess
space program and the permit system. the workplace to determine if there are hazards
or conditions present, or likely to be present,
Ventilation is key to protecting welders and
which warrant the use of personal protective
helpers from accumulation of toxic gases and fumes
equipment. Training of employees who are re-
or oxygen deficiency. Air-replacing equipment
quired to use PPE must include at minimum:
that provides air exchange for the space or
airline respirators/hoods are solutions for areas when PPE is necessary;
not immediately hazardous to life. In the case which PPE is necessary;
where the area is immediately hazardous to how to properly put on, take off, adjust, and
life, a full-face pressure demand, self-contained wear PPE;
breathing apparatus or a combination approved limitations of the PPE; and
by the National Institute for Occupational proper care, maintenance, useful life, and
Safety and Health (NIOSH) under 42 CFR Part disposal of PPE.
84 must be used. Regardless of the situation,
an attendant must be stationed outside of the HEARING PROTECTION
confined space to ensure the safety of those Hearing loss from overexposure to noise
persons working inside. should be considered a chronic rather than a crit-
Other regulations for confined space welding ical problem for managers. Workers can incur
operations include leaving the gas cylinders and significant hearing loss from the gradual effects
welding machines outside and, if they are on of exposure to excessive noise levels over time
wheels, they must be securely blocked to prevent at work or at home, rather than as the result of
accidental movement. Further, a retrieval line a single catastrophic incident. The technology
must be used if the welder descends over 5 ft to measure workplace sound levels via a sound
(1.5 m) vertically to remove the worker in case level meter and test worker hearing function
of emergency. An attendant outside the space by audiometric devices has been available for
must be able to perform a preplanned non-entry decades; thus hearing conservation programs
rescue procedure and summon the rescue team. have had a long history of success.
411
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
When employees are subjected to sound levels Table 40-3. Reference durations for
exceeding those listed in Table 37-3, engineer- TWA calculation of sound level
ing controls such as sound-dampening devices, (29 CFR 1910.95 App. A)
design and use of quieter equipment, and A-weighted Sound Reference Duration,
changes in the workplace environment should Level, dB T, hr
be considered first. Administrative controls
such as limiting worker exposure by workplace 80 32
rules, scheduling or rotation of workers, or other 81 27.9
management initiatives are the second line of 82 24.3
defense against excessive noise.
83 21.1
It should be noted that people must be ex-
posed to noise before the regulations are ap- 84 18.4
plicable. A machine producing 130 dBA (130 85 16
decibels on the “A” scale of a sound meter at
90 8
slow response) is not in violation of the OSHA
standard if no one is exposed to it. Sounds pro- 95 4
duced by equipment (noise emissions) should 100 2
not be confused with sounds received by workers 105 1
(noise exposure). Figure 40-2 illustrates typical
sound levels encountered by machine operators. 110 0.5
In most industrial settings, noise levels 115 0.25
vary during the course of the average work- 120 0.125
day. Machines may operate at different loads,
employees may move between departments, 125 0.063
and some equipment may be used irregularly; 130 0.031
all generate what is called a “noise dose.” The
eight-hour time-weighted-average sound level
(TWA), composed of noise exposures at varying exposed to 8 hours TWA of 85 dB or greater.
levels, is calculated by: Regardless of the type used, if the noise level is
above 90 dB TWA, the hearing protection must
⎛ D ⎞ be able to attenuate (reduce) noise levels back
TWA = 16.61 log10 ⎜ ⎟ + 90 Eq. 40-1
⎝ 100 ⎠ to the TWA of 90 dB at minimum. Proper fit-
ting and requiring employees to wear hearing
⎛ C C C C C ⎞
D = 100 ⎜ ∑ n = 1 + 2 + 3 + … n ⎟ protection are elements of a successful hearing
⎝ Tn T1 T2 T3 Tn ⎠ conservation program. Offering employees a va-
riety of hearing protection devices will improve
Eq. 40-2
compliance.
where:
In addition to a documented and implement-
TWA = eight-hour time-weighted-average
ed hearing conservation program, the company
sound level, dBA
must perform baseline and annual audiograms
D = noise dose, %
on all employees exposed to elevated noise
Cn = total time of exposure at a specific
doses. The baseline measurement is important
noise level, hrs
as it establishes the employee’s capacity to hear
Tn = reference duration as given in Table
at the start of employment. Annual audiograms
40-3 for the specific noise level, hrs
track changes in hearing capacity. The em-
If the noise levels rise above the established ployer must maintain these records for the dura-
criteria, the employer must use suitable engi- tion of the employee’s employment. It is
neering and administrative controls to reduce recommended also that they be held for several
noise levels. Employers must implement a hear- years after the employee leaves the company
ing conservation program and make hearing should there be a question later about the nature
protectors available at no cost to all employees or cause of an employee’s hearing loss. In addi-
412
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
Figure 40-2. Typical sound levels at operator’s position (Drozda and Wick 1983).
tion to these records, employers are required to ten metal burns, contacts with liquid chemical
maintain noise exposure measurement records spills, inhalation of chemical gases or vapors,
for at least two years. and exposure to light radiation from welding
or cutting operations. Eye and face protection
EYE AND FACE PROTECTION must be in accordance with ANSI Z87.1-2010.
Some of the associated eye and face hazards Most eyewear manufacturers stamp Z87.1 on
in manufacturing include flying particles, mol- their safety glasses to denote compliance. Side
413
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
protectors (permanent, slide-on, or clip-on) are of static electricity and are necessary in explo-
required when there is a possibility employees sive atmospheres. Nonconductive shoes protect
will be exposed to flying objects. Depending on workers from electrical hazards.
the particulate matter and its hazard, full-face The choices for foot and leg PPE include:
shields may be needed in grinding operations.
leggings that protect the lower legs and
Chemical splash goggles, rather than safety
feet from heat hazards like molten metal
glasses, should be used when working with
or welding sparks;
liquids.
metatarsal guards that can be strapped
to the shoe to protect the instep area from
HEAD, HAND, LEG, AND FOOT PROTECTION impact or crushing;
When there is potential for injury to employ- toe guards that fit over the toes of regular
ees’ heads from falling objects or bumping their shoes; or
heads on overhead structures such as pipes or safety shoes.
beams, employees are required to wear protective
When employees are exposed to hazards such
helmets. OSHA also requires workers to cover
as skin absorption of chemicals, severe cuts or
and protect long hair to keep it from getting
lacerations, severe abrasions, chemical or ther-
caught in equipment. In operations where materi-
mal burns, or harmful temperature extremes, the
als are stored on tall racks or where equipment
employer must require employees to use hand
is running overhead, hardhats are required. All
and arm protection. Employees also must be
hardhats must comply with ANSI Z89.1-2009 and
able to quickly remove contaminated or compro-
resist penetration by objects, absorb the shock of
mised PPE to reduce the time of exposure when
a blow, be water-resistant and slow burning, and
contact involving chemicals or other hazardous
come with instructions for proper adjustment of
substances occurs. Dexterity, comfort, frequency
the shell suspensions and headbands.
and degree of exposure, and physical stresses
Another hazard in the workplace is expo-
that will be applied should be considered when
sure to energized electrical conductors. The
selecting hand and arm PPE. This will help
standard requires headgear that can protect
assure employees are more likely to use their
the head from accidental contact. Electricians
equipment.
and other maintenance workers should be fitted
with class A or B helmets that offer protection
from low-voltage conductors (tested to 2,000 V) RESPIRATORY PROTECTION
or high-voltage conductors (tested to 20,000 V), Breathing harmful dust, fumes, mists,
respectively. Class C helmets only provide im- gases, smoke, sprays, or vapors can cause occu-
pact and penetration resistance and should not pational diseases and injuries. Very hazardous
be used around electrical hazards. atmospheres can be classified as “immediately
When the workplace presents the danger dangerous to life or health (IDLH)”—where
of foot and leg injuries due to falling or rolling there is a direct threat to life, irreversible
objects, objects piercing the sole of a boot, hot or health effects from exposure, or impairment of
wet surfaces, or where feet are exposed to elec- a person attempting to escape from a danger-
trical hazards, protective footwear is required. ous situation.
Safety shoes or boots must comply with ASTM In general, it is more common to find con-
F2412-05 and F2413-059, thus providing impact taminants that fall within permissible exposure
and compression protection. In certain hazard- limits (PEL) as determined by 1910.1000 Table
ous environments, safety shoes with puncture Z-1 in the general industry standard. It should
protection, metatarsal protection, heat-resistant be noted that as research and testing of new
soles, or those that are electrically conductive or chemical compounds and air contaminants pro-
insulated must be worn. Metal insoles protect gresses, new limits are established. It is best to
against puncture, and shoes can have metatar- resolve exposure issues by applying engineering
sal guards built into the tops. Shoes designed to controls, since a respirator program requires
be electrically conductive prevent the buildup extensive documentation, administration, and
414
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
all fastenings and attachments shall be that low amperage or voltage is not harmful.
inspected for damage or defects by a com- However, contact with current as low as 20 mA
petent person designated by the employer. can be fatal if the current flows through vital
Additional inspections shall be performed organs, causing paralysis of respiratory muscles
during sling use where service conditions and subsequent death.
warrant.
ELECTRICAL STANDARDS
Wire Rope Slings OSHA Subpart S addresses electrical safety
For general-purpose lifting, wire rope slings requirements for protection of employees in the
are commonly used in manufacturing settings. workplace. The requirements fall under two
Other types such as chains, metal mesh, natu- main categories: design of electrical systems
ral/synthetic rope, and synthetic web slings are and safety-related work practices. Much of the
also used. content of the standard is based on the National
Wire rope is often used in slings because of Electric Code and ANSI safety standards for
its strength, durability, abrasion resistance, and equipment.
ability to conform to the shape of the loads on One of the main provisions of the electrical
which it is used. In addition, wire rope slings standard is the general requirement: “Electri-
are able to lift hot materials. cal equipment shall be free from recognized
The wire rope used in slings has either an hazards that are causing or are likely to cause
independent wire rope core or a fiber core. It death or serious physical harm to employees”
should be noted that a sling manufactured with (1910.303 [b] [1]). The standard also requires
a fiber core is usually more flexible but is less all listed or labeled equipment to be used or
resistant to environmental damage. Conversely, installed in accordance with the instructions in
a core made of a wire rope strand tends to have the listing.
greater strength and is more resistant to heat Misuse or misapplication of electrical equip-
damage. New slings are marked by the manu- ment can be a serious hazard, particularly
facturer to show the rated load for the types when the problem is not evident through visual
of hitches and the angle upon which they are inspection. An example of this would be a situ-
based, their diameter or size, and the name or ation where the grounded or neutral conductor
trademark of their manufacturer. End configu- is incorrectly connected to the ungrounded or
rations such as hooks, clips, or sleeves must be “hot” terminal of a plug, receptacle, or other con-
proof-tested by the manufacturer or a qualified ductor. This potentially dangerous situation is
person. A certificate of proof test should be called reverse polarity. Many pieces of equipment
retained and made available for examination. will operate properly even when the conductors
are reversed. However, the equipment may not
40.7 ELECTRICAL SAFETY (29 CFR 1910 SUBPART S) stop when the switch is released or could start
Electricity is the key energy source in unexpectedly when the unit is plugged in. This
manufacturing for machine tools and related problem is more commonly encountered with
equipment, communication and informa- standard 120-V outlets, lights, and cord and
tion systems, illumination, ventilation, and plug-connected equipment, as these circuits
security systems. The effects of uncontrolled and equipment are more likely to be wired or
electrical energy can threaten workers’ lives modified by unqualified persons.
and health. Industrial injuries that result from The path to ground from circuits, equipment,
contact with electrical sources are of four pri- panels, and enclosures must be permanent and
mary types: electrocution, electric shock, burns, continuous. Ground-fault-circuit interrupters
and falls from elevated places caused when a (GFCIs) are used to protect people where the
person contacts a live circuit (Casini 1998). path to ground could be bypassed, particularly
One of the most serious myths about electric- in damp or wet conditions. The GFCI contains a
ity is that ordinary 110-V circuits can not hurt sensor that monitors current flow in wiring and,
people. This fallacy is based on the assumption when an imbalance as little as 5 mA is detected,
416
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
the circuit is rapidly opened, interrupting the able to determine the nominal voltage of
flow of current. live parts, and
Other requirements of the electrical standard having knowledge of the clearance dis-
include: tances required for the voltages to which
they will be exposed (1910.332 [b]).
electrical equipment must be durably
identified with the manufacturer’s name
or trademark, and voltage, current, and
40.8 MACHINE GUARDING (29 CFR 1910 SUBPART O)
wattage capacities; Much of the OSHA standard on machine
circuits for motors, appliances, tools, and guarding focuses on the mechanical hazards at
branches must have the disconnecting the point of operation. Hazards include persons
means clearly identified or located and making contact with the drive system of the
arranged so its purpose is evident to any machine, parts or objects flying from the ma-
person; and chine, and machine malfunction. Guards, safety
circuit breakers must indicate the on devices, or feeders/ejectors can be effective in
(closed) and off (open) position on the box, protecting employees from these hazards.
panel, or breaker. A basic rule is any machine part, function,
or process that may cause injury must be safe-
Live parts of electrical equipment of 50 V or guarded. When the operation of a machine or
more must be guarded against accidental contact accidental contact with it can injure the opera-
by approved enclosures or cabinets. Electrical tor or others in the vicinity, the hazard must
panels must be accessible and free from obstruc- be either controlled or eliminated. To protect
tions within a 3 ft (0.9 m) radius. workers against mechanical hazards, safeguards
Plug- and cord-connected equipment must be must meet the following minimum general re-
grounded if operated in damp or wet conditions, quirements.
used outdoors (for example, hedge clippers or
snow blowers), or if it may come in contact with The guard must prevent hands, arms, or
water (for example, washers/dryers or sump any other part of the worker’s body from
pumps). Equipment need not be grounded if it making contact with dangerous moving
is double-insulated or supplied by a secondary parts. Figure 40-3 shows a guard opening
transformer of not over 50 V. Refrigerators, scale used to measure the opening size
freezers, and air conditioners must be grounded. relative to the distance to the moving part.
Another important aspect of the standard re- As the opening gets larger, the distance to
lates to work on energized electrical equipment. the point of contact with the moving part
Only qualified persons are allowed to work on gets longer; thus, a small opening (.375 in.
or in the vicinity of energized parts, overhead [9.5 mm]), only requires 1.5-2.5 in. (38-64
lines, or live circuits. The standard defines a mm) offset spacing for the guard, while an
qualified person as: opening of 1.5 in.(38 mm) requires a 12.5–
15.5 in. (318–394 mm) protective offset from
trained in safety-related work practices for the operating hazard.
electrical systems, Workers should not be able to easily remove
having the skill to distinguish exposed live or tamper with the safeguards. Guards and
parts from other pieces of equipment, safety devices should be made of durable
Figure 40-3. Guard opening measurement scale. (Courtesy Rockford Systems, Inc.)
417
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
material that withstands conditions of worked on, the need for the operator to hold the
normal use. Safeguards must be firmly se- opposite end while the work is being performed
cured to the machine or, in some instances, may provide built-in protection. However, de-
to the tooling. pending upon the machine, protection might still
The guard must ensure that no objects be required for other personnel. Positioning of
can fall into moving parts. A small tool or the operator’s control station provides another
loose machine part dropped into a cycling potential approach to safeguarding by location.
machine could become a projectile that may Operator controls may be located a safe distance
strike and injure someone. from the machine interface if there is no reason for
A safeguard defeats its purpose if it creates the operator to be in the vicinity of working parts.
a hazard of its own, such as a shear point, a The method of loading or unloading a ma-
jagged edge, or an unfinished surface that chine should be carefully evaluated, and train-
can cause a laceration. The edges of guards, ing should be provided when necessary. Often
for instance, should be rolled or deburred there is more than one way to manually load
and smoothed to eliminate sharp edges and a part into a machine. By loading in the incor-
pinch points. rect manner, the operator’s hand is subjected
Safeguards should not interfere with work. to a hazard; by loading in the proper way, no
Any safeguard that impedes a worker from hazard exists or the hazard is greatly reduced.
performing the job quickly and comfortably When the point of operation cannot in any way
might soon be overridden or disregarded. be guarded, adequate well-placed lighting is an
Employees should be able to lubricate the important contribution to safe operation.
machine without removing the safeguards. For safety reasons, many automated feeding
Locating oil reservoirs outside the guard, and ejection methods do not require an operator
with a line leading to the lubrication point, to place his hands in the danger area. Operator
reduces the need for the operator or mainte- training can aid in avoiding a hazard. In some
nance worker to enter the hazardous area. cases, no operator involvement is necessary
after the machine is set up. In other situations,
METHODS OF SAFEGUARDING operators can manually feed the stock with
the assistance of a feed mechanism. Properly
A thorough hazard analysis of each machine
designed ejection processes do not require op-
and particular situation is essential before the
erator involvement after the machine starts to
principle of safeguarding by location/distance
function.
can be applied. To safeguard a machine by loca-
Some feeding and ejection methods may cre-
tion, a machine or its dangerous moving parts
ate hazards. For instance, a robot may eliminate
must be so positioned that hazardous areas are
the need for an operator to be near the machine,
not accessible and do not present a hazard to a
but may create a new hazard by the movement
worker during normal operation or during other
of its arm. Using robots does not eliminate the
interactions with the machine such as walking
need for guards and safety devices.
past it. This may be accomplished by locating the
machine so that a plant design feature, such as
a wall, protects the worker and other personnel. Machine Guards
Additionally, enclosure walls or fences can restrict Several types of machine guards exist.
access to machines. Another possible solution is Fixed guards. Guards may be fixed as a per-
to locate dangerous parts high enough to be out manent part of the machine and not dependent
of the normal reach of any worker. on moving parts to perform their safety func-
A feeding process can be safeguarded by tions. Fixed guards can be constructed of any
location if a safe distance can be maintained to material substantial enough to withstand long
protect the worker’s hands. The dimensions of use or abuse. A fixed guard is usually preferred
the stock being worked on may provide adequate because of its permanence and simplicity.
safety. For instance, if the stock is several feet Interlocking guards. When opened or re-
long and only one end of the stock is being moved, an interlocking guard trips a mechanism
418
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
that automatically shuts off or disengages the Shields. Shields are barriers used to provide
power and the machine cannot cycle or be start- protection from flying particles and splashing
ed until the guard is back in place. Replacing cutting oils or coolants. Figure 40-4 shows two
the guard, however, should not automatically applications.
start the machine. Signs. Signs notify employees of certain types
Adjustable guards. Adjustable guards of hazards. Warning signs are placed on tanks
accommodate for different material being pro- containing various chemical solutions and on
cessed or for varying stock sizes. potentially hazardous machines.
Self-adjusting guards. The movement of Signals. Audio or visual signals are used to
stock determines the openings of self-adjusting warn of potential hazards. For example, sound
guards. As the operator moves the stock into and flashing light alarms may be used prior to
the danger area, the guard is pushed away, starting a long conveyor. Employees are able
providing an opening just large enough for the to avoid injury because they are aware it will
workpiece. After removal of the work, the guard soon be moving. Visual and audio signals also
returns to its rest position. are used to warn of an approaching overhead
crane or powered industrial truck.
Safety Devices Color. Color is used as notification of a
A safety device may perform one of several hazard. For instance, orange paint on the side
functions. It may:
stop the machine if a hand or any part of
the body is inadvertently placed in the
danger area;
restrain or withdraw the operator’s hands
from the danger area during operation;
require the operator to use both hands on
machine controls, thus keeping hands and
body out of danger; or
provide a barrier synchronized with the
operating cycle of the machine, thereby
preventing entry into the danger area dur-
ing a hazardous part of the cycle.
Safety Aids
Consideration may be given to a number
of miscellaneous safety aids. While these aids
do not give complete protection from machine
hazards, they may provide the operator with
an extra margin of safety. Sound judgment is
needed in their application.
Awareness barriers. The awareness barrier
does not provide physical protection, but serves
to remind a person that he is approaching the
danger area. Generally, awareness barriers are
not considered adequate when continual expo-
sure to the hazard exists. A rope may be used as
an awareness barrier on the rear of a machine.
Although the barrier does not physically prevent
a person from entering the danger area, it calls Figure 40-4. Transparent shields protect against flying
attention to the potential danger. particles (Drozda and Wick 1983).
419
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
of guards, tools, or other areas may indicate a tive, integral to the operation, and if alternate
mechanical hazard exists. protection (for example, interlocks) is provided.
Personal protection. Personal protective It also does not apply to plug- and cord-operated
equipment must be depended upon to protect equipment where unplugging it will eliminate
employees. For example, safety glasses or face hazardous energy, or to special circumstances
shields are worn to protect the eyes and face from regarding distribution systems for gas, water,
flying objects. or steam.
Expendable tools. Expendable tools are The difference between locking out and tag-
frequently used to avoid a point-of-operation ging out a piece of equipment lies in whether or
hazard. A typical use is for reaching into the not a padlock versus a tag, respectively, is used
danger area of a machine to place or remove on the energy-isolating device. Lockout is the
stock or workpieces. An expendable tool may preferred method, as the lockout device cannot
be a rod, pliers, tongs, magnet, suction cup, or be removed by anyone other than the person who
other item that serves as an extension of an applied it. A tag fastened to the energy-isolating
employee’s hands. Such tools should not be used device (for example, an electrical panel) warns
instead of other machine safeguards; they are that the equipment may not be operated until
merely a supplement to the protection that other it is removed by the worker who placed it. The
guards provide. tag is not completely foolproof as it can be pur-
posely or accidentally removed. An employer can
40.9 EQUIPMENT LOCK OUT AND TAG OUT (29 CFR 1910 use a tagout system if certain conditions can be
SUBPART J) met, but again, lockout systems are preferred.
All machines purchased, renovated, or having
Maintenance workers and production employ-
undergone major repairs since 1990 must allow
ees required to adjust or service machines must
a lock(s) to be applied to the energy-isolation
be able to lock the machines out in a zero energy
device(s).
state. This condition means a machine has been
isolated from all sources of hazardous energy
(for example, electrical, hydraulic, or pneumatic LOCKOUT/TAGOUT (LOTO) PROGRAM
energy). Also, all stored energy, which could cause The LOTO program must have established
the machine to start up or move without warning, procedures for energy isolation. In addition,
has been restrained or dissipated (for example, training on how to verify that the zero energy
the pressure in a hydraulic accumulator). Tragic state has been reached and how to properly
accidents in the workplace have resulted from a apply lockouts/tagouts must be provided for
machine automatically cycling or another worker employees. Employers must perform periodic
starting it unaware that someone is performing inspections to assure employees are following
maintenance without a lock or tag applied. the program. The hardware used for LOTO
The lockout/tagout (LOTO) section of the purposes must be supplied by the employer. It
standard is 1910 Subpart J—“General Environ- also must meet the following criteria.
mental Controls.” It covers:
Singularly identifiable: the tags, locks, and
servicing and/or maintenance of machines other equipment will not be used for any other
and equipment; purpose. They should be easily recognized
any time a production worker must bypass as LOTO devices.
a guard or other safety device; and Durable: the devices must hold up under ad-
any time an employee is required to place verse conditions such as wetness, exposure
any part of their body into a danger zone or to caustic chemicals, or against becoming
too near the point of operation during the unidentifiable after prolonged exposure.
machine cycle. Standardized: all devices used in the plant
The standard does not apply to minor tool must be the same shape, color, or size, and
changes and adjustments that take place during the print and format on tagout devices must
normal production if they are routine, repeti- be standardized.
420
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
Substantial: lockout devices must prevent 40.10 TOXIC AND HAZARDOUS SUBSTANCES (29 CFR
removal by anything except bolt cutters or 1910 SUBPART Z)
other metal-cutting tools. Tagout devices
must withstand accidental or inadvertent On November 25, 1985, the OSHA Hazard
removal. The tagout attachment must be Communication (HazCom) standard (29 CFR
non-reusable and self-locking such as a 1910, 1200) took effect. This standard is also
nylon cable tie. known as the employee “Right to Know” stan-
Identifiable: the LOTO device must identify dard. It covers all hazardous chemicals in the
the employee who applied the device. The workplace. The standard requires chemical
tag must contain a warning, such as “Do manufacturers and importers to assess the
Not Start” or “Do Not Operate,” or other hazards of chemicals they sell and affix warning
warnings that indicate a hazardous condi- labels to containers they ship. They must also
tion is present. provide material safety data sheets (MSDS) to
their clients in the manufacturing sector. The
purpose of the standard is to facilitate the flow
LOCKOUT/TAGOUT PROCEDURE of information from chemical manufacturers
Locking out equipment in a prescribed, logi- and importers to distributors, to industrial
cal, and safe fashion serves to protect employees firms that use the chemicals and, ultimately,
from the hazards of unexpected machine move- on to the employee exposed to the chemical in
ment or released energy. The procedure for the workplace.
lockout/tagout of equipment is as follows. There are many misconceptions about the
HazCom standard. Because of this, HazCom vio-
1. P r e p a r e f o r s h u t d o w n — a u t h o r i z e d lations are the most frequently cited by OSHA.
employee(s) need knowledge of the energy to The standard dictates stringent requirements
be controlled and the means for controlling it. for documentation of the chemicals used in the
2. Machine or equipment shutdown—ma- workplace and training of employees. Many
chine or equipment should be shut down firms make mistakes involving the HazCom
according to the manufacturer’s recom- standard for a variety of reasons. These range
mended procedure. from the belief that they are too small to require
3. Machine or equipment isolation—isolate compliance, to poor documentation practices, to
the machine or equipment from the energy failure to provide access for employees to mate-
source(s). rial safety data sheets at all times. Errors in
4. Application of lockout or tagout device— judgment can be expensive if an exposure inci-
lockout or tagout devices should be applied dent occurs and the firm is found not to be in com-
to each energy-isolating device. Lockout pliance. It is important to note that the standard
devices should be applied so they will hold does not cover non-chemical hazards, hazardous
the energy-isolating device in the “off” or waste, tobacco, wood, personal articles, labeling
safe position. on pesticides, drugs, or liquor. Also, common
5. Release stored energy—all potentially chemicals, such as window cleaner or whiteout
hazardous stored or remaining energy correction fluid, do not require material safety
should be released. data sheets when the duration and frequency of
6. Verify isolation—before starting to exposure is no greater than the typical consumer
work, each authorized employee should would experience.
verify the isolation and de-energization of The manufacturing manager who wants to
the machine or equipment. know how best to comply with the standard
7. Release from lockout or tagout—the work- should read it in its entirety—the preamble, the
place should be inspected to ensure all per- summary, and the guidelines prepared for com-
sons are safely out of the way and all non- pliance officers or consultants in the field. OSHA
essential items have been removed. Each also defines key terms within the standard.
lockout or tagout device must be removed To comply with the standard, manufacturers
by the employee who applied the device. must compile a list of hazardous chemicals in
421
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
the workplace and cross-reference each to its discriminated against for exercising their rights,
individual MSDS. The MSDS must include: including the request for information on hazardous
materials. Employees must be notified and given
the identity used on the label, including the direction for locating material safety data sheets
chemical and its common name(s); and the receipts of new or revised ones.
the physical and chemical characteristics All hazardous materials must be labeled in
of the hazardous chemical such as vapor accordance with federal laws. The U.S. Environ-
pressure or flash point; mental Protection Agency (EPA) has oversight
the physical hazards of the chemical in- of hazardous materials with regard to use and
cluding potential for fire, explosion, and human exposure, labeling, containment, and dis-
reactivity; posal. Increasingly, the design-for-manufacture
the health hazards of the chemical includ- (DFM) process attempts to engineer hazardous
ing signs and symptoms of exposure, and materials out of the product and process. While
any medical conditions generally recognized many efforts such as DFM have been under-
as being aggravated by exposure; taken to reduce and/or eliminate these materials
the primary routes of entry into the hu- from the manufacturing environment, many are
man body; still present. Since each plant is responsible
OSHA’s permissible exposure limit, the for the management of hazardous materials,
American Conference of Governmental a broad-based hazardous materials committee
Industrial Hygienists’ (ACGIH) threshold will meet frequently to establish procedures
limit value, and/or any other exposure limit consistent with EPA regulations, state-level
used or recommended by the manufacturer; regulations, and company policies. Common pro-
whether the chemical is listed in the “Na- cedures include: a) control of exposure, includ-
tional Toxicology Program (NTP) Annual ing operator protection such as mist collection
Report on Carcinogens,” the International systems, gloves, and guards; b) rules for storage,
Agency for Research on Cancer (IARC), or handling, and disposal; and c) contingency plans
has been found to be a potential carcinogen and training for accidental spills and exposure.
by OSHA or others; Another element of the HazCom standard
any generally applicable precautions for specifies training for employees on how to read
safe handling and use known to the chemi- container labels and material safety data sheets.
cal manufacturer, importer, or employer New employees should be trained initially and
preparing the MSDS; all employees trained on any new chemicals
emergency and first-aid procedures; brought into the workplace. Minimum training
the date of preparation of the MSDS or last includes:
change to it; and
the name, address, and telephone number methods to detect the presence or release
of the chemical manufacturer, importer, of a hazardous chemical;
employer, or other responsible party pre- physical or health hazards of chemicals in
paring or distributing the MSDS. the work area; and
protective measures.
A material safety data sheet must be kept for
each chemical. Generally, the MSDS is sent with
the first shipment of any chemical to the facility. It BLOOD-BORNE PATHOGENS
must be available at all times to employees in their With the spread of human immunodeficiency
work areas. There can be no barriers to immediate virus (HIV), hepatitis, and other viruses, pro-
access. For example, a MSDS should not be kept in tecting employees from exposure to potentially
a supervisor’s office if there is a night shift opera- infectious diseases has become critical for health
tion and the office is locked during this time. It is and safety. Although much press has been
best to have a folder or binder kept in a prominent duly generated about HIV and its ultimate
place in the department so it can be accessed at result, AIDS, there is also great risk from the
any time. Employees cannot be discharged or hepatitis B virus (HBV) for several reasons.
422
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
First, hepatitis B is quite hardy; it is able to nary garbage. Industrial and manufacturing
live on surfaces for up to a week. Second, HBV processes create solid and hazardous waste.
is much more concentrated than HIV, thus To manage wastes more effectively, Congress
exposure to small quantities of bodily fluid can passed the Resource Conservation and Re-
be contagious. Third, it is widespread in the covery Act (RCRA) in 1976. Although it actu-
population, causing nearly 300,000 new cases ally amends the Solid Waste Disposal Act, the
in the United States each year. The symptoms legislation is so comprehensive it is generally
are varied ranging from no effects to jaundice, referred to simply as “RCRA,” without reference
joint pain, internal bleeding, and liver cancer to the original act. The RCRA legislation can be
(Goetsch 2002). found in Chapter 82 of Title 42 of the United
The good news is there is a hepatitis B vac- States Code (42 USC 82). RCRA regulations
cine that can be administered over the course can be found in Title 40 of the Code of Federal
of several months. OSHA requires employers to Regulations (40 CFR).
offer HBV vaccinations free to employees who are RCRA’s goals are to classify and ensure
exposed to blood or other potentially infectious proper identification, management, treatment,
materials as part of their regular job duties. In accumulation, storage, transportation and dis-
the manufacturing setting, this may include posal of hazardous and other regulated wastes.
persons who administer first-aid or medical
care in the plant, supervisors who may need to IDENTIFYING HAZARDOUS WASTE
treat minor injuries such as abrasions or cuts A hazardous waste has properties that make
on employees, janitorial or housekeeping staff, it dangerous or capable of having a harmful
or emergency responders employed within the effect on human health or the environment.
facility. In general, it is best to err on the side of It is generated from many sources, and may
caution and avoid all contact with bodily fluids come in many forms, including liquids, solids,
by maintaining distance, using protective cloth- gases, and sludges, although all are classified
ing, or allowing only persons who have been as solid waste. Hazardous wastes include used
adequately trained in universal precautions to fluorescent and high-intensity discharge (HID)
administer aid or follow-up after an incident. bulbs, batteries, cathode ray tubes (CRTs),
Subpart Z 1910.1030 covers the methods solvents, fuels, and certain metals, although
of compliance, including exposure control and some of them fall into a category called “uni-
personal protective equipment use when employ- versal wastes.”
ees may have risk of occupational exposure. A Answers to the following questions can help
written exposure control plan is needed if there a facility determine if it is producing hazard-
is anticipated contact with infectious materials ous waste:
during the course of an employee’s duties. Job
classifications that may encounter blood-borne 1. Is the material in question a solid waste?
pathogens or other infectious materials such The statutory definition points out that
as nursing, housekeeping, or laboratory work whether or not a material is a solid waste
must be identified and exposure determina- is not based on the physical form of the
tion made without regard to the use of PPE. In material (that is, whether or not it is a solid
the development of the exposure control plan, opposed to a liquid or gas), but rather that
engineering and work practices used to reduce it is a waste. The regulations further define
or mitigate exposure must be solicited from af- solid waste as any material discarded by
fected employees. When there is occupational being either abandoned, recycled, or that
exposure, the employer must provide PPE at no is inherently waste-like.
cost to the employee. 2. Is the waste a characteristic waste? A
characteristic waste exhibits measurable
properties that indicate it poses enough of a
40.11 HAZARDOUS WASTE MANAGEMENT (TITLE 40 CFR) threat to deserve regulation as a hazardous
Nearly everything people do leaves behind waste. The characteristics are applicable
some kind of waste. Households create ordi- to any solid waste from any industry. The
423
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
EPA has established the following hazard- identify their wastes and determine if they are
ous waste characteristics: hazardous. They are responsible for the waste
in perpetuity, and they must ensure that it is
¾ Ignitability: the material has a flash
correctly labeled, accumulated, managed, trans-
point below 140° F (60° C), is an ignit-
ported, and disposed of properly. RCRA (40 CFR
able compressed gas, an oxidizer, or an
262) requires generators to ensure and fully
explosive (40 CFR 261.21).
document that the hazardous waste produced
¾ Corrosivity: the material has a pH of less
is properly identified, managed, and treated
than 2.0 or greater than 12.5 (40 CFR
prior to recycling or disposal. It also identifies
261.22).
the hazardous waste permitting requirements.
¾ Reactivity: the material is normally un-
The degree of regulation to which each
stable, and reacts violently or adversely
generator is subject depends to a large extent
with water (40 CFR 261.23).
on how much waste is produced in a calendar
¾ Toxicity: using the Toxicity Character-
month. The term “generator” includes any
istic Leaching Procedure (TCLP) test
entity, by site, that first creates or produces
method, the waste is determined to con-
a hazardous waste or first brings a hazardous
tain quantities of compounds or elements
waste into the country. Generators are classi-
on the “D List” (40 CFR 261.24).
fied as one of the following (EPA 2008):
3. Is the material excluded from the defini-
Large quantity generators (LQGs)—fa-
tion of solid waste or hazardous waste by
cilities that generate 2,200 lb (1,000 kg)
40 CFR 261.4(a) and 261.4(b)?
or more of hazardous waste per calendar
4. Is the material a listed waste? There are
month or greater than 2.2 lb (1 kg) of acute-
four separate lists of hazardous wastes in
ly hazardous waste per calendar month.
the RCRA regulations:
Small quantity generators (SQGs)—facili-
¾ the F list—hazardous wastes from non- ties that generate between 220 lb (100 kg)
specific sources—a confusing list that and 2,200 lb (1,000 kg) of hazardous waste
must be read carefully and literally; per calendar month and accumulate less
¾ the K list—hazardous wastes from spe- than 13,200 lb (6,000 kg) of hazardous
cific sources; waste at any time.
¾ the P list—acutely hazardous wastes; Conditionally exempt small quantity gen-
and erators (CESQGs)—facilities that generate
¾ the U list—toxic and other wastes. 220 lb (100 kg) or less of hazardous waste
per calendar month or 2.2 lb (1 kg) or less
The P list and U list include pure or commer-
of acutely hazardous waste per calendar
cial grade formulations of specific unused chemi-
month. CESQG requirements additionally
cals (those spilled, no longer needed for their
limit a facility’s total waste accumulation
intended purpose, etc.). A chemical is acutely
quantities to 2,200 lb (1,000 kg) of hazard-
hazardous if it is fatal to humans in low doses,
ous waste, 2.2 lb (1 kg) of acute hazardous
if scientific studies have shown that it has lethal
waste, or 220 lb (100 kg) of any residue from
effects on experimental organisms, or if it causes
the cleanup of a spill of acute hazardous
serious irreversible or incapacitating illness.
waste at any time.
The U list is generally comprised of chemicals
that are toxic, but also includes chemicals that LQGs and SQGs are subject to regulations
display other characteristics, such as ignitability that require each to:
or reactivity.
identify and count waste;
obtain an EPA identification number;
HAZARDOUS WASTE GENERATORS comply with accumulation and storage
Under RCRA, hazardous waste generators requirements (including requirements for
are the first link in the cradle-to-grave waste training, contingency planning, and emer-
management system. All generators must gency arrangements);
424
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
prepare the waste for transportation; This information must be readily accessible
track the shipment and receipt of waste; and to those who may be the first to observe
meet recordkeeping and reporting re- a release. Details on emergency response
quirements. and the plan for handling emergencies are
governed by the USEPA, Department of
To determine which standards a facility must
Transportation, Department of Labor, De-
comply with, generators are required to identify
partment of Interior, and Various State and
each waste and determine all applicable listings
Local ordinances.
and characteristics. After determining which
Personnel training—there must be an
wastes are hazardous each month, generators
established training program to instruct
are responsible for totaling the weight of each
facility personnel on the proper handling
waste to determine if they will be regulated as
of hazardous waste.
a LQG, SQG, or CESQG.
SQGs must comply with the following re-
Waste Management quirements.
A generator of hazardous waste may not Hazardous waste can be accumulated on
treat, store, dispose of, transport, or offer for site for 180 days or less. It may be accu-
transportation any hazardous waste without mulated for up to 270 days if it must be
having obtained an EPA identification number. transported off-site for treatment, storage,
The generator is forbidden from transferring or disposal over distances greater than 200
hazardous waste to any transporter, treatment miles (322 km).
plant, or storage facility that does not also have Proper management—the waste must be
an EPA identification number. properly accumulated in appropriate con-
LQGs must comply with the following re- tainers or tanks, in a controlled satellite
quirements. storage area or a separate containment
building/area.
Generally, a LQG may accumulate hazard-
Containers must be kept tightly closed and
ous waste on site for 90 days or less. Under
marked with the date on which waste accu-
temporary, unforeseen, and uncontrollable
mulation began, the material identification,
circumstances, this 90-day period may be
and with the words “Hazardous Waste.”
extended for up to 30 days by the state or
Emergency plan—emergency response
EPA on a case-by-case basis.
procedures must be specified. However,
Proper management—the waste must
written contingency plans are not required.
be properly accumulated in appropriate
An emergency coordinator is required to be
containers or tanks located in a controlled
on the premises or on-call at all times. Basic
satellite storage area or a separate contain-
facility safety information must be readily
ment building/area.
accessible.
Containers must be kept tightly closed and
Personnel training—a training program is
marked with the date on which waste accu-
not required, but the generator must ensure
mulation began, the material identification,
that employees handling hazardous waste
and with the words “Hazardous Waste.”
are familiar with proper handling and
The generator must ensure and document
emergency procedures.
that the waste is shipped off site within the
allowable 90-day period.
Emergency plan—formal written contin- INDIVIDUAL STATE REQUIREMENTS
gency plans and emergency procedures are A particular state’s classification of genera-
required to prepare for the event of a spill tors may be different from those outlined in the
or release. Hazmat spill and remediation Federal regulations. Some states regulate all
plans should be up to date and include the generators of hazardous waste (that is, there
contact information for trained personnel is no exempt category), while others classify
(contractors or employees) available 24/7. generators by waste type rather than by gen-
425
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
erated volume. Many states have additional EPA hazardous waste code(s); and
layers of requirements that must be followed quantities of the wastes transported and
for the generation, accumulation, treatment, the container type.
transportation, and disposal of wastes, and the
Each time a waste is transferred (for example,
associated recordkeeping and reporting. It is
from a transporter to the designated facility
prudent to check the rules and laws of the state
or from a transporter to another transporter)
in which an operation is located.
the manifest must be signed to acknowledge
receipt of the waste. The final recipient must
Preparation for Transport send a signed, dated copy of the manifest to the
Pre-transport regulations are designed to generator.
ensure safe transportation of hazardous waste
from its point of origin to the ultimate disposal RECORD-KEEPING
site. In developing hazardous waste pre-trans-
The record-keeping and reporting requirements
port regulations, the EPA adopted the Depart-
for LQGs and SQGs provide the EPA and states
ment of Transportation’s (DOT’s) regulations for
with methods to track the quantities of hazard-
packaging, labeling, marking, and placarding.
ous waste generated and transported. Generators
DOT regulations require:
must keep a copy of all manifests, generation
proper packaging to prevent leakage of reports, analysis records, shipment records, and
hazardous waste during normal transport disposal records for at least three years from the
conditions and potentially dangerous situ- date the waste was sent to an on-site or off-site
ations (for example, if a drum falls off of a treatment, storage, or disposal facility. All records
truck); are subject to inspection by state or federal officials
labeling, marking, and placarding of the at any time, without a warrant.
packaged waste and transport vehicle to
identify the characteristics and dangers REVIEW QUESTIONS
associated with its transport; and
40.1) OSHA standards apply to employers with
inspection of the transportation vehicle to
how many employees?
ensure homeland security compliance and
proper vehicle placarding. 40.2) What are the minimum size requirements
for the design of an exit sign?
Pre-transport regulations only apply to gen-
40.3) A Type D fire extinguisher is capable of
erators who ship waste off site for treatment,
putting out what kind of fire?
storage, or disposal. On-site movement and
transportation is not subject to these regulations. 40.4) Based on an eight-hour exposure, what
is the minimum time-weighted-average decibel
level for which employers are required to provide
Uniform Hazardous Waste Manifest hearing protection?
The Uniform Hazardous Waste Manifest
40.5) Why are awareness barriers not consid-
(Form 8700-22), or manifest, is intended to allow
ered a suitable method of machine guarding?
all parties involved to track hazardous waste
movement from the point of generation, through 40.6) Where should material safety data sheets
its transportation to the point of ultimate treat- (MSDS) be stored?
ment, storage, or disposal. A RCRA manifest 40.7) In the multiple causation accident theory,
contains the following federally required infor- what two key groups of factors cause most ac-
mation in a mandated order of phrasing: cidents?
name, address, and EPA identification 40.8) To qualify as a large-quantity generator,
number of the hazardous waste generator, a generator must produce how much non-acute
transporter(s), and designated facility; hazardous waste per calendar month?
DOT shipping name including hazard class 40.9) What is the purpose of the Uniform Haz-
and identification number; ardous Waste Manifest?
426
Fundamentals of Manufacturing Chapter 40: Industrial Safety, Health, and Environmental Management
REFERENCES
Casini, V. 1998. “Overview of Electrical Hazards.” At-
lanta, GA: National Institute for Occupational Safety
and Health/Centers for Disease Control & Prevention.
Available at http://www.cdc.gov/hiosh/elecovrv.html.
Drozda, T. and C. Wick, eds. 1983. Tool and Manufac-
turing Engineers Handbook, Fourth Edition. Volume
1: Machining. Dearborn, MI: Society of Manufactur-
ing Engineers.
Goetsch, D. L. 2010. The Basics of Occupational
Safety. Upper Saddle River, NJ: Prentice-Hall.
Raouf, A. 2010. “Theory of Accident Causes.” Ge-
neva, Switzerland: International Labour Organiza-
tion/Tampere University of Technology (Finland).
Available at http://www.ilo.org/safework_bookshelf/
english?content&nd=857170642.
U.S. Department of Labor, Occupational Safety &
Health Administration. 2010. 29 CFR.1910. Wash-
ington, DC: OSHA, www.osha.gov.
U.S. Environmental Protection Agency, Office of Solid
Waste/Communications, Information and Resources
Management Division. 2008. RCRA Orientation
Manual. Washington, DC: U.S. Environmental Pro-
tection Agency.
BIBLIOGRAPHY
American National Standards Institute. 2010. ANSI
Z87.1-2010. “American National Standard for Oc-
cupational and Educational Personal Eye and Face
Protection Devices.” Washington, DC: American
National Standards Institute.
American National Standards Institute. 2009. ANSI
Z89.1-2009. “American National Standard for Indus-
trial Head Protection.” Washington, DC: American
National Standards Institute.
ASTM International. 2005. ASTM Standard F2412,
2005. “Standard Test Methods for Foot Protection.”
West Conshohocken, PA: ASTM International, DOI:
10.1520/F2412-05, www.astm.org.
ASTM International. 2005. ASTM Standard F2413,
2005. “Standard Specification for Performance Re-
quirements for Foot Protection.” West Conshohocken,
PA: ASTM International, DOI: 10.1520/F2413-05,
www.astm.org.
Part 7
Automated Systems and Control
41
MANUFACTURING NETWORKS
41.1 NETWORK APPLICATIONS on both the Internet and intranets allow groups
Manufacturing networks provide the in- of people to work together.
frastructure to transmit manufacturing and Computer networks are specified by band-
management data used to define and control width, architecture, access protocol, cable,
computer-integrated manufacturing (CIM) distance, and cost. As computer network tech-
systems or components of computer-aided de- nology changes, the specifications for these
sign (CAD) and computer-aided manufactur- terms will change; however, the information
ing (CAM) systems. These data consist of CAD technology industry will continue to use them
drawings, production schedules, inventory in- to describe the various networks for the foresee-
formation, production information, production able future. As an example, the term bandwidth
programs (for example, computer-numerical has become the focus with intranets and the
control [CNC] and programmable logic control Internet becoming common information sources
[PLC] programs), production order releases, for manufacturing and corporations. Bandwidth
operation sheets, routing sheets, inventory lev- refers to the amount of data a cable or transmis-
els, and maintenance information. All of these sion medium can carry.
forms of data need to be transmitted to and from
the production floor and within the corporate 41.2 NETWORK COMPONENTS
enterprise. The four components of a network are:
The computer network consists primarily
1. servers (file, client, communications, print,
of local area networks (LANs). Ethernet is the
and web);
primary network architecture for both office and
2. transmission medium (cable or wireless);
the plant floor. Architecture refers to an orga-
3. network interface card (NIC); and
nized combination of protocols and standards.
4. network operating system.
LANs can be joined to form a wide area net-
work (WAN) or corporate intranet. An intranet is Application constraints, changes in network-
similar to the Internet, except it can only be ac- ing technology, and costs affect the choice from
cessed by people within a company or organiza- the various products available. Use of different
tion. The advantage of using an intranet instead types of components has specific advantages and
of a LAN is that it provides multiple-user, real- disadvantages in manufacturing environments.
time access to multimedia, personal appoint- Migration from LANs to intranets will change the
ment data, e-mail, enterprise-wide information, types and numbers of servers and the network op-
access from the Internet, and video conferencing. erating systems required. Connectivity (cabling
Intranets help share corporate information in or wireless) technology is in most cases a signifi-
formats similar to the Web. Groupware software cant issue because manufacturing facilities are
often much larger than office complexes. These as thick coaxial cable, thin coaxial cable, un-
longer distances require more careful planning. shielded twisted pair (UTP) cable, and shielded
In addition, the higher levels of electromagnetic twisted pair (STP) cable. Fiber-optic cable and
interference (EMI) need to be considered when wireless systems have replaced some of the
planning the layout and choosing the type of copper conductors. Least susceptible to electro-
conductor. magnetic interference (EMI), fiber-optic is the
most secure medium, since the light does not
SERVERS have the electromagnetic fields inherent with
Important components of LANs and in- wire or wireless communications. UTP is the
tranets, the file, client, and web servers are the common media for local area networks in envi-
most common types of servers. With the growth ronments that are relatively free of EMI com-
and implementation of technology that support ing from motors, transformers, and fluorescent
the Internet and intranets, Web and commu- lights. Fiber-optic or shielded cables are better
nications servers will become more prevalent. for areas with high EMI.
Conversely, print servers are becoming less When describing the cabling for a network,
common due to the availability of network boxes the transmission rate is listed first as 10 or
that interface printers to the network, and the 100 baseband. For example, 10BaseT indicates
lower cost of high-quality printers that connect a 10 megabit per second transmission rate, a
directly to local computer ports. twisted pair, and baseband transmission. Some
The file server, the centerpiece of networks, devices may be used with dual transmission
stores program or data files for shared use. rates and are listed as 10/100BaseT. Baseband
It also stores the network operating system, transmission sends signals whereby each signal
controls user access and security, provides consumes the entire bandwidth of the cable.
redundancy in file or directory tables or regis- Broadband sends signals at various frequencies
tries, and performs periodic backup of data and within the bandwidth of the cable.
program files. Twisted-pair cable capability is specified by
The client server, also called a database server, the category of the cable. This determines the
is important for real-time access by multiple us- bandwidth and distance the cable is capable of
ers to any file, but most commonly databases or transmitting through, in addition to the number
CAD documents. The major difference between of twists per foot, capacitance, frequency, at-
file servers and client servers is in the way a user tenuation, and pair-to-pair, near-end cross-talk.
accesses a file. When a user requests a file from Cross talk occurs when the signal from one wire
a file server, the entire file is downloaded to the in the twisted pair cable induces a random signal
user’s workstation and only he has access to it in an adjacent wire.
at that time.
In contrast, client servers retain the files and NETWORK INTERFACE CARD
allow multiple users to access portions of the file The network interface card (NIC) connects the
simultaneously. Enterprise resource planning computer motherboard to the cabling. Internal
(ERP) databases and CAD files are two exam- network interface cards are used with desktop
ples of manufacturing files that engineers and computers while most laptops use an NIC built
production operations managers need to have into the motherboard. Also available are adapt-
access to in real time. Web servers, required for ers that work on the universal serial bus (USB),
intranet or Internet posting of an organization’s parallel, or serial ports.
Web files, are a specific type of client server.
DATA TRANSMISSION
TRANSMISSION MEDIUM When a corporation wants remote access to
The most common transmission medium is its network or to be connected to the Internet,
cabling, but wireless technology is available and the local area networks need the ability to
appropriate for specific applications. Cabling is communicate beyond the network. At the least
made from a variety of copper conductors such expensive and lowest performance level, plain
431
Fundamentals of Manufacturing Chapter 41: Manufacturing Networks
old telephone system (POTS) lines and modems Cable modems are primarily, but not limited
are used. This is still a prevalent technology for to, residential applications. They transmit data
individual users contacting a network. While via the same cabling used for television. Cable
POTS lines may be used between networks or modems provide speeds up to 10 Mbps and higher.
with the Internet, the bandwidth is low. However, speed decreases depending on how
Companies that use a wide area network or many users are concurrently accessing the sys-
intranet often rely on T1 lines for data trans- tem. Additionally, cable lines need to be installed
mission. A T1 line, consisting of 24 channels, if not already in place.
can transmit data at 1.544 Mbps (1.544 × 106
bits per sec). While these lines are leased and WIRELESS ACCESS
costly, they provide the opportunity for greater
exchanges of data, voice, and video conferenc- In general, wireless networks are less expen-
ing. As corporations increase in size, have sive than wired networks since a large amount
multiple geographical locations, and central- of cabling is not necessary. Additionally, wire-
ize their data processing, they tend to lease less networks offer users mobility. In terms of
multiple T1 lines. T3 lines consist of multiple disadvantages, wireless networks are typically
T1 lines and can support a transmission rate slower than wired connections. They may be
of 44.736 Mbps. T1 and T3 lines are expensive subject to electromagnetic interference and
because of cabling installation cost charged present additional security risks as compared
to the corporation by the telephone company to wired networks.
and leasing 24-hour access. The European As of this writing, the current standard for
based standard E1 and E3 lines are capable of wireless networking is IEEE 802.11n, which
sending data at 2.048 Mbps and 34.368 Mbps, provides speeds of 100 Mbps and higher. Other
respectively. wireless data transfer technologies include sat-
Integrated services digital network (ISDN) ellite, Bluetooth®, and 3G and 4G. Bluetooth is
lines were developed to provide an intermediate a short-range wireless standard with relatively
solution to the high performance and high cost of slow data transmission speeds compared to the
the T1 line and low performance of the modem 3G (faster) and 4G (currently fastest) speeds on
on a POTS line. Divisions within the ISDN stan- many mobile phones and other mobile devices.
dard are basic rate interface (BRI) at 144 Kbps, As data technology changes, the central issues
primary rate interface (PRI) at 1.536 Mbps, and of transmitting data reliably over a distance at
broadband ISDN (B-ISDN), which is intended to the highest speed and at an economical cost,
allow simultaneous transmission of voice, video, and communicating remotely with networks,
and data over fiber-optic lines at155 Mbps and between networks, and with the Internet will
higher. The line and supporting equipment costs remain important.
and the lower transmission rates of BRI and PRI
are disadvantages of ISDN. NETWORK OPERATING SYSTEM
Digital subscriber lines (DSL) use conven- An operating system is the software that
tional four-wire telephone lines in a digital interfaces the user with the network and its
mode. Since it is digital, a modem is not neces- components. Common operating systems that
sary. DSLs are intended to transmit data at support ethernet architecture include Novell
high speed over low-cost telephone lines. It is Netware®, Windows NT®, and Unix®. Since each
important to note that speeds decrease as the has different characteristics and applications, it
distance between the user and the provider is common to find at least two of them used in
increases. Asymmetric DSL (ADSL) has faster the same manufacturing facility.
download speeds than upload. It can download
up to 6 Mbps and higher. Symmetric DSL
(SDSL) has equal upload and download speeds, 41.3 OPEN-SYSTEMS INTERCONNECT MODEL
which are typically less than 2 Mbps. Very high The open-systems interconnect (OSI) seven-
digital subscriber lines (VDSL) are intended to layer computer network model provides a logical
download at rates over 12 Mbps. description of the various functions in computer
432
Fundamentals of Manufacturing Chapter 41: Manufacturing Networks
networking. For any user, the layers should be may be routed over different paths when being
transparent. However, a fundamental knowl- transmitted across two or more networks. A
edge is helpful. The OSI model is illustrated in portion of a message can arrive at a destina-
Figure 41-1. tion after a later portion arrives. The transport
The physical layer processes digital informa- layer reads the code inserted on the frame by the
tion into a form transmitted by the physical data-link layer and reassembles the message in
medium (wires, radio waves, or fibers). Cable the correct order.
standards, such as RS-232C, operate at the The session layer determines how two net-
physical layer as does the network interface card works communicate, establishes communica-
when it generates the voltages and sends them tion, and monitors that communication.
over the transmission medium. Ethernet uses The presentation layer is the interface be-
baseband with the digital signal transmitted tween the application layer and the session
one signal at a time over the conductors. A sec- layer. This layer has the capability to translate
ond method, broadband, modulates the signal between different formats or codes. An example
into a radio frequency and can handle multi- is sending a message from an IBM mainframe
plexed signals. and receiving it on a PC over ethernet.
The data-link layer arranges the raw data The applications layer, the level seen by
bits of the physical layer into frames. These users, exchanges information between the pro-
discrete frames are coded and form the building grams and the user interface.
blocks for sending large volumes of data over the
network. This layer includes the access protocol 41.4 REPEATERS, BRIDGES, ROUTERS, AND GATEWAYS
such as token passing, polling, and carrier-sense
Adding capability to local area networks, re-
multiple access with collision detection (CSMA/
peaters, bridges, routers, and gateways all work
CD). The data-link layer provides error detec-
at different levels of the OSI model.
tion, transmits its frames to the physical layer,
Repeaters operate at level 1, the physical
and receives data from the physical layer.
level, by receiving a signal and transmitting the
The network layer identifies the destination
same signal (repeating it). They are used to in-
address of the frames and requests network fa-
crease the overall transmission distance for the
cilities and priorities. This layer provides switch-
different conductors in a given network. Repeat-
ing and routing. Addressing is of importance for
ers typically do not do error control, flow control,
computers on a network and for communication
or address correction; thus they are reasonably
between multiple networks.
fast because they do not process signals. Bridges
The transport layer verifies that data are sent
and repeaters are similar because they cannot
and received correctly and in order. A message
change data or the form of the data.
Bridges enable computers on two similar but
different networks to communicate with each
other. Transmitting similar data from one net-
work to another, bridges filter out information
that is not addressed for the other network. They
are used to link identical LANs to add users and
increase the range of user access to file servers
and application software, e-mail, and printing
resources. Bridges store and forward frames at
the data-link level (layer 2) of the OSI model.
Routers are protocol-sensitive units that sup-
port communication between dissimilar LANs
(architectures) using the same protocol. Commu-
nicating in packets, routers operate at the third
Figure 41-1. Open-systems interconnect (OSI), seven- level of the OSI model (network layer). Routers
layer model. are capable of modifying the network-specific
433
Fundamentals of Manufacturing Chapter 41: Manufacturing Networks
41.5 TOPOLOGIES
As part of the network’s architecture, LANs illustrates two different hybrid topologies. Other
have both physical and logical topologies. The topologies such as ring-star or bus-ring are also
physical topology is the method of attaching PCs possible. Ease of network modification, cable in-
to a LAN. The three fundamental LAN physical stallation, and cable troubleshooting makes either
topologies are star, ring, and bus as illustrated star-star or bus-star the common configuration.
in Figure 41-2. The star layout is often preferred A fundamental constraint of network cabling is
because it is often the easiest to troubleshoot if that each type of cable has a maximum length for
there is a failure in a cable. a given network system. While unshielded twist-
Most networks are a hybrid of at least two of ed pair may be used to connect hubs or hubs and
the three fundamental topologies. Figure 41-3 a bus, greater distances can be gained by using
fiber-optic cable. Since manufacturing facilities (DNS) permits names to be coupled to the IP
are often large, the design of the hybrid topology address. For example, www.sme.org may be
is important for a cost-efficient installation. used instead of 216.182.216.102 to locate the
Web page for the Society of Manufacturing
41.6 PROTOCOLS Engineers. Since the Internet has grown so
rapidly, static IP addresses for specific com-
A protocol is the predefined manner or set puters are becoming a luxury. Managed by a
of rules governing how a function or service is dynamic host configuration protocol (DHCP)
provided. Protocols regulate the data format as server, dynamic IP addresses are assigned to
data moves between layers of the open-systems a user at login to the network or Internet to
interconnect (OSI) model. Common protocols reduce the total number of addresses required
include carrier-sense multiple access/collision at a specific time. If the user wishes to upload
detection, token passing, token-ring passing, or download a specific file to or from a server,
and polling. Carrier-sense multiple access/col- file transfer protocol (FTP) is used. Hypertext
lision detection (CSMA/CD) is used by ethernet. transfer protocol (HTTP) is used to transfer
The CSMA/CD protocol requires each user to information from Web servers to Web browsers.
wait until the line or channel is clear (idle) before Hypertext transfer protocol secure (HTTPS)
he or she begins transmitting. If a data collision encrypts data sent over the Internet between
from two users is detected, the protocol requires a user and a Web server. It helps ensure that
that each user cease transmitting and wait data sent over the Internet remains secure.
a randomly determined period of time before Common e-mail protocols include simple
checking for a clear line and transmitting again. mail transfer protocol (SMTP), post office proto-
Token passing allows a workstation to trans- col (POP), and Internet message access protocol
mit data (for example, save a file on the server) (IMAP). The lightweight directory access pro-
when the workstation holds the token. The tocol (LDAP) allows users to access corporate
token can be directed to the specific addresses directory information such as, but not limited
of specific workstations more frequently than to, names and e-mail addresses.
others. Token-ring messages pass through MTConnect is a set of open-source standards
multiple workstations, being received and re- that allows manufacturing equipment, controls,
transmitted, until the message or data arrives software, and systems to communicate with
at the designated workstation. each other using HTTP and extensible markup
Polling is the least common protocol. In poll- language (XML). Unlike HTML, which defines
ing, a central computer or host polls each specific how words appear (font size, color, etc.), XML
workstation in some predetermined manner. provides information about what words on the
Polling is most frequently used with host or page are, such as a name, advertisement, etc.
mainframe-based systems. The goal of MTConnect is to create seamless and
The Internet and intranet both require the extensible, communication-enabling, plug-and-
transmission-control protocol/Internet protocol play type connectivity for manufacturing equip-
(TCP/IP) suite. TCP/IP was originally developed ment and systems (AMT 2011).
by the Department of Defense (DoD) to allow Intranet software is required to operate an
different computing hardware and software to intranet. The advantage of using an intranet
communicate with each other and the DoD. Used instead of a LAN is multiple-user, real-time ac-
to transfer data between two Internet devices, cess to multimedia, personal appointment data,
TCP uses virtual ports to make a connection and e-mail, enterprise-wide computing information
monitor the flow of data. The Internet protocol that is both text and graphic, access from the
(IP) addresses the data and directs it to the ap- Internet, and video conferencing. Intranets
propriate destination. help share the corporate information in formats
Each Internet device has an IP number similar to the web; however, access is generally
composed of four segments of one to three dig- limited to corporate employees.
its separated by decimal points (for example, The Internet and intranets are key components
216.182.216.102). The domain name system in the manufacturing enterprise integration
435
Fundamentals of Manufacturing Chapter 41: Manufacturing Networks
wheel level 3, “shared knowledge systems,” as 41.5) What type of fundamental LAN topology
illustrated in Figure 41-4 (Ayers 2002). Each is uses a central hub that each computer is con-
instrumental in joining the customer (level 1) to nected to?
the organization, to the people of the organiza- 41.6) What protocol is used to transfer informa-
tion, and to enhance the teamwork within an tion from a Web server to a Web browser?
organization (level 2). They are also significant
in providing design and manufacturing informa-
tion to level 4 for product design, manufacturing,
REFERENCES
and customer support.
Association for Manufacturing Technology (AMT).
2011. “Getting Started with MTConnect, Connectiv-
REVIEW QUESTIONS ity Guide,” October 1. McLean, VA: The Association
41.1) What term is used to describe the amount for Manufacturing Technology (AMT).
of data that a cable or other transmission me- Ayers, J. B., ed. 2002. Blue Book Series. Supply
dium can carry? Chain Management (SCM), the Wheel, and the
41.2) Which network component provides real- Manufacturing Engineer. Dearborn, MI: Society of
time access to database and CAD files? Manufacturing Engineers.
41.3) Which type of cabling is least sensitive to
electromagnetic interference? BIBLIOGRAPHY
41.4) What piece of network hardware allows Harwood, M. 2009. CompTIA Network+ N10-004
two similar but different networks to commu- Exam Prep, 3rd ed. Upper Saddle River: NJ: Pear-
nicate with each other? son Education.
42.1 MACHINE COORDINATE AXES for a two-axis lathe. Other types of CNC ma-
A computer numerical control (CNC) ma- chines include, but are not limited to, routers,
chine processes parts by moving a tool along a wire electrical discharge machines, grinders,
predetermined or programmed path based on vertical and horizontal machining centers, and
the workpiece geometry. Defining the tool path lathe turning centers with the option of “live
and part geometry requires a coordinate and tooling” for offset concentricity in milling and
axis identification system. drilling.
The CNC machine tool’s linear axes are X, Y, The Right-hand Rule, illustrated in Figure
and Z (if it is a three-axis machine). The X axis 42-3, is helpful for keeping the axes in the cor-
is the major axis of movement perpendicular to rect orientation. The thumb points toward +X,
the spindle. The Y axis is mutually perpendicu- the index finger is perpendicular to the thumb
lar to the X axis and the spindle. However, it and points toward +Y, and the second finger is
has a shorter range of travel than the X axis. perpendicular to both the thumb and the index
The Z axis generally coincides with the spindle finger and points toward the +Z axis.
and is perpendicular to the X and Y axes. Figure If a CNC machine has additional linear axes
42-1 illustrates the axes for a three-axis vertical of movement, such as the turret on a turret
milling machine. Figure 42-2 illustrates the axes lathe, the axes need a separate identification
system. The axes U, V, and W are parallel to the
X, Y, and Z axes, respectively. When a machine
has rotation of the workpiece or tool about the
X, Y, and Z axes, the rotation is designated by
A, B, and C, respectively.
% Program begin
N05 O0002 Program number 0002
N10 G28 Return to machine home
N20 T1 M06 Load tool 1
N30 G50 S2000 Set maximum spindle speed to 2000 rpm
Set constant surface speed to 550 surface feet per minute
N40 G96 S550 M03
Start spindle CW
Work offset
N50 G54 G00 X1.0 Z.25
Rapid traverse to X1.0 Z.25
Begin cutting, feed to Z-.75
N60 G01 Z-.75 F.008
Feed rate at .008 inch per revolution
N70 G01 X2.0 Z-1.25 Feed to X2.0 Z-1.25
N80 G01 Z-1.75 Feed to Z-1.75
N90 G02 X2.25 Z-2.0 R.25 CW circular interpolation with radius .25 in.
N100 G01 Z-3.0 Feed to Z-3.0
Return to machine home
N110 G28 M05
Spindle off
N120 M30 Stop program and reset to the beginning of the program
% Program end
model data.) An application protocol, STEP-NC The interpolator may be considered a small,
connects product design data directly with fixed macro. It receives from active storage the
computer-aided manufacturing. Conceptually, axis direction and measurement calculations
a CNC machine could start making a part as that dictate how fast the cut of the path is to
soon as it receives the STEP-NC file. Machine be made. Then the interpolator calculates the
instructions are automatically generated, with- data and directs the movement of each axis at
out a post-processor, from the file. the correct time/distance constants.
Linear interpolations can achieve interpo-
42.3 CNC OPERATIONS lations in increments as small as .0001 in.
All early NC machines are point-to-point (0.00254 mm). A linear interpolation can be
units that move either the tool (lathe/turning programmed as short as the tolerances the
center) or table/workpiece (milling) to a given machine will allow. With CAM software, com-
location. The control unit in these machines plex and free-form curves can be accurately
attempts to move each axis independently estimated by the computer, generating a large
of the other and the tool path can only ap- number of circular interpolated points to esti-
proximate a straight line or arc. The current mate the curve.
control system technology for turning and Circular interpolation is the most common
machining centers has both linear and circu- higher-order interpolation. It is used to ap-
lar interpolation. proximate circles in the principal plane (2D) of
Standard features on most CNC machines, the machine.
linear and circular interpolations require the Parabolic interpolation is a second-higher-
capability of simultaneous control of multiple order interpolation. Though it is not as effective
axes to generate a two- or three-dimensional (2 with circles as circular interpolation, it is gener-
or 3D) line or a 2D circle (in a principal plane). ally more efficient with other curves.
440
Fundamentals of Manufacturing Chapter 42: Computer Numerical Control Machining
% Program begin
N05 O0001 Program number 0001
Return to machine home
N10 G28 T4 M06
Load tool 4
Select XY plane
Cancel tool diameter compensation
N20 G17 G40 G49 G80 G90 Cancel tool length compensation
Cancel fixed cycle
Set to absolute value
Set spindle speed to 2000 rpm
N30 S2000 M03 M08 Start spindle CW
Coolant on
N40 G00 X-1.755 Y-1.062 Z.1 Rapid traverse to X-1.755 Y-1.062 Z.1
Begin cutting, feed to Z -.188
N50 G01 Z-.188 F6.42
Feed rate is 6.42 inches per minute
Feed to X1.755
N60 G01 X1.755 F20.0
Feed rate is 20 inches per minute
CCW arc interpolation with a radius of .182 in. centered on the
N70 G03 X1.937 Y-.88 I0.0 J.182
I and J coordinates
N80 G01 Y.88 Feed to Y.88
CCW arc interpolation with a radius of .182 in. centered on the
N90 G03 X1.755 Y1.062 I-.182 J0.0
I and J coordinates
N100 G01 X-1.755 Feed to X-1.755
CCW arc interpolation with a radius of .182 in. centered on the
N110 G03 X-1.937 Y.88 I0.0 J-.182
I and J coordinates
N120 G01 Y-.88 Feed to Y-.88
CCW arc interpolation with a radius of .182 in. centered on the
N130 G03 X-1.755 Y-1.062 I.182 J0.0
I and J coordinates
Rapid traverse to Z2.0
N140 G00 Z2.0 M05 M09 Stop spindle
Coolant off
Set to incremental value
N150 G91 G28 Z0.0
Return to machine home Z
N160 G28 X0.0 Y0.0 Return to machine home X and Y
N170 M30 Stop program and reset to the beginning of the program
% Program end
CNC controllers have buffer storage that for the next block in the buffer, while active
permits the controller to read the next block(s) storage in the control unit executes the current
and store the new data in the buffer. When the interpolation. These data transfers require
machine has reached the coordinates specified only microseconds, and the inertia of the me-
in the current block, the active storage data is chanical system is sufficient to continue at the
dumped, the buffer downloads its data to active same velocity for the transfer time. For high-
storage, and the machine continues its inter- speed machining, the controller reads many
polated motion at the specified feed. The con- blocks in advance since the feed rates are much
troller reads in a new block(s) and stores data higher.
441
Fundamentals of Manufacturing Chapter 42: Computer Numerical Control Machining
REFERENCES
Chalmers, R. E. 2001. “Open-architecture CNC Con-
tinues Advancing.” Manufacturing Engineering, July,
V. 127 No. 1. Dearborn, MI: Society of Manufacturing
Engineers.
Morey, B. 2009. “Feeding the Loop.” Manufacturing
Engineering, May, V. 142 No. 5. Dearborn, MI: Society
of Manufacturing Engineers.
BIBLIOGRAPHY
Society of Manufacturing Engineers. 2003. “Computer
Numerical Control” DVD. Fundamental Manufactur-
ing Processes Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
43
PROGRAMMABLE LOGIC CONTROLLERS
Closed-loop systems include feedback that a Cell control can be accomplished by a com-
command has been executed, and may be non- puter-based cell controller but PLCs are more
servo as well as servo. For example, non-servo common for this function. Even when a piece
systems may include limit switches that must be of automated equipment has the capability of
activated by a closed safety gate before a press performing cell control (for example, a robot
will operate or a lathe will turn. All practical controller), engineers should consider using
servo-driven automated equipment has closed- PLCs to interface with the robot to:
loop feedback. Many PLC systems use closed-loop
increase control capability and flexibility
feedback to ensure that specific motions have been
(approximating co-processing);
accomplished prior to energizing the next output
get faster processing of the robotic program
in a sequential or combinational logic program.
without the additional cell control state-
ments; and
43.2 APPLICATIONS develop simpler robotic programs.
The original PLCs were designed in 1968
If the robot system is not functioning, the ma-
as programmable replacements for hard-wired
terial handling or process functions of the robot
relays. Development of the PLC was one of the
may be performed in some other manner and the
earlier applications of computers to the factory
cell will still be controlled by the PLC. Likewise,
floor. The PLC of today can perform relay re-
if the PLC has a failure, the diagnosis is easier
placement, Boolean algebra functions of logical
and the time to repair is reduced.
AND, OR, and NOT, count programmed ac-
tions, execute the various types of time delays,
and perform sequence operations. It can also 43.3 COMPONENTS
manipulate data, do arithmetic functions, and Regardless of size, speed, and memory, the
communicate with other PLCs or computers via PLC has components similar to any computer:
networks. The primary application of program- input modules, central processing unit (CPU),
mable logic controllers is still discrete (on-off) memory, and output modules. The CPU is com-
control. However, PLCs are also used to control posed of a processor, memory, and power supply.
servo operations, proportional-integral-deriva- I/O modules are the interface between the physi-
tive (PID) systems, and drive-stepper motors, cal inputs and outputs and the CPU. The operat-
besides providing automatic data collection. ing system for the PLC is designed to permit the
Some higher-level PLCs are even capable of programmer to easily access the input/output
fuzzy logic control. units in a timely manner. Operations are con-
The PLC and its primary language excel at trolled by the PLC in real-time; it scans or reads
discrete control, whether it is combinational the input module, executes the program, and sets
logic to ensure all logical conditions have been or writes the outputs in the output memory to the
met before a machine executes a cycle or se- appropriate states. The input and output cards
quential control that executes a specific set identify terminals so they have the same state
of operations in a given pattern, cycle after as the binary input or output memory table (ON,
cycle. The most complex control can integrate 1, or TRUE; OFF, 0, or FALSE).
multiple discrete functions with computer nu- While PLCs have the same systems as per-
merical control systems, robot systems, or PID sonal computers, they are designed to operate
control systems and report data via a network in a harsh electrical environment and execute
to an enterprise control system. PLCs used for a single program. The single-purpose operating
cell control are an efficient application that system has in the past provided the speed and
frees the CNC or robot controller to execute its dedication needed for real-time control. Personal
servo control functions while the PLC moves computers have been used to program and com-
parts, controls the other activities in the cell, municate with PLCs.
and communicates manufacturing and statisti- PLCs are sized according to the number of
cal process control data to the enterprise-wide inputs and outputs. Nano-PLCs, the smallest,
computing system. typically have up to 16 inputs and outputs;
445
Fundamentals of Manufacturing Chapter 43: Programmable Logic Controllers
43.4 PROGRAMMING
Historically, the programming language com-
mon to PLCs has been relay ladder logic (RLL),
the language used with relay control systems.
The basic elements in a relay ladder logic pro-
gram are:
RAILS
RUNGS
BRANCHES
INPUTS EXAMINE ON --| |--
EXAMINE OFF --| / |--
TIMERS --[T]--
OUTPUTS --( )--
COUNTERS --[CNT]-- Figure 43-2. Basic relay ladder logic: (a) AND; (b) OR;
and (c) NOT.
Rails are vertical lines serving as the voltage
source for relay circuits and logic for the PLC.
Rungs are horizontal lines and contain the
branches, inputs, and outputs. A branch starts start switch completes the circuit and activates
and ends an OR function. The input, EXAMINE output C1. Output C1 can be thought of as a
ON, is true only when the input is high or on. relay with two contacts, C1-1 and C1-2. When
EXAMINE OFF performs a NOT logic function. C1 is energized, C1-2 is on (contacts closed),
The input, EXAMINE OFF, is true only when the thus activating the motor starter M1 in rung
input is low or off. The output, a logic bit in two. When the start switch is released, the
memory as well as on the output card, is some- motor remains on because output C1 remains
times called a “coil” reference to its predecessor energized. C1 remains energized because C1-1
the “relay coil.” It is generally on the right-hand is on (closed contact). C1-1 is sometimes referred
side of the rung. Figure 43-2 illustrates the AND, to as a “holding contact.” The only way to stop
OR, and NOT functions in PLC programming. the motor (M1) is to de-energize C1 by depress-
A common hard-wired magnetic motor ing the hard-wired stop switch. Since the stop
starter has a relay ladder logic control circuit switch is normally closed, depressing it will open
as shown in Figure 43-3. When the start switch the circuit between the rails, thus de-energizing
is depressed, the first rung is true. Closing the C1 and then M1.
446
Fundamentals of Manufacturing Chapter 43: Programmable Logic Controllers
BIBLIOGRAPHY
Bryan, L. A. and E. A. Bryan. 1995. Programmable
Controllers: Theory and Applications, Second Edition.
Atlanta, GA: Industrial Text Company.
Kandray, D. (2010). Programmable Automation Tech-
nologies: In Introduction to CNC, Robotics and PLCs.
New York: Industrial Press.
44
ROBOTICS
Robots are programmable multifunctional resolution and accuracy, and the communications
tools. A robot has four subsystems consisting of capability. As with computer numerical control
the power system, the control system, the mechan- (CNC) systems, robot control systems can incorpo-
ical system, and the mechanical-world interface rate network interfaces in their controllers.
system. The power system drives the robot arm Programmable controllers are commonly used
(mechanical system), the control system directs as control systems for non-servo robot systems.
the power system to move the robot arm or end-of- Servo controllers may be point to point, controlled
arm tooling, and the end-of-arm tooling interfaces path, continuous path, or adaptive. Most robots
the mechanical system (robot arm) with the world give the programmer the choice of several con-
(the parts to be manipulated or processed). trolled path movements such as joint interpolated,
linear interpolated, and circular interpolated type
motion. Non-servo controllers may have the same
44.1 POWER SYSTEMS number of degrees of freedom (joints of motion) as
The power system for robot arms may be a servo robot but will have only a limited number
electrical, hydraulic, or pneumatic. Electricity of programmable positions. Velocities of the vari-
is the power system of choice for robots with ous links are also limited to a small finite number.
closed-loop servo control and it is more robust Many small non-servo controlled robots use a
than hydraulic power. Electrical servo control pneumatic power system for the movement of
delivers high accuracy, repeatability, and speed. parts. While they meet the technical definition
Hydraulic power is used for robots that work of a robot, these devices are often called pick-
with large heavy loads. For small, fast, non- and-place machines.
servo-controlled robot arms, pneumatic power is Servo control offers the programmer as many
used. Positive pressurized electric servomotors positions as the controller will accept in memory.
permit robot arms to be used in a flammable The finite limit is the minimum movement of the
environment. In the earlier years of robotics, robot arm in any one of the degrees of freedom.
flammable environments required hydraulic Point-to-point control is programmed by iden-
or pneumatic power systems. Today, sales of tifying and storing specific points that the arm
electric robots generally exceed the sales of hy- will either “pass through” or “stop at.” The path
draulic and pneumatic robots combined. between those points is determined by the control-
ler, not the programmer.
44.2 CONTROL SYSTEMS
Robot control systems may be categorized ac- INTERPOLATION
cording to the type of control (non-servo and servo), More sophisticated controllers are capable of
the type of feedback (open loop or closed loop), the joint, linear, and circular interpolation. In joint
interpolation only the joints with different values an automated welding process is one form of
for point A and point B move. All the joints begin adaptive control. As the position of the seam
motion at the same time and arrive at their des- varies, machine vision identifies new coordi-
tination at the same time. In linear interpolation nates for a tool path and downloads the new
all the joints begin motion at the same time and coordinates to the robot controller. The control-
arrive at their destination at the same time. ler then executes the appropriate changes in
However, all the joints, including those with the program coordinates.
same value for points A and B, may travel in one
direction and then reverse in order to achieve COORDINATE SYSTEMS
straight-line motion. For robots with all linear
Three common coordinate systems used with
actuators, such as the Cartesian arm in Figure
robotics are the world, tool, and part coordinate
44-1, there is no difference between joint and
systems. The ability to do linear interpolation is
linear interpolation. For robots with rotary axes,
a fundamental requirement for a controller to
joint interpolation causes curved motion.
move the robot arm in the world, tool, or part
The number of axes a controller can control coordinate systems.
simultaneously determines if the controller can Similar to the system for CNC machine tools,
cause a robot arm to do joint, linear, or circular the world coordinate system uses an X, Y, Z co-
interpolation or continuous path control. A true ordinate system with 0,0,0 located at the center
continuous path allows the programmer to define
of the base of the robot. X is the primary axis; Y is
irregular or regular paths, often by lead-through
perpendicular to X and is the minor axis; and
programming, which requires the programmer to
the Z axis is perpendicular to X and Y and is
physically move the end-of-arm tooling through
concentric with the rotation of the first joint
the desired path. The robot controller records all
above the robot base or the extension from
of the points during the lead-through.
the base. This coordinate system is used for
programming in either the on-line mode with
ADAPTIVE CONTROL a teach pendant or the off-line mode with a
Adaptive control requires outside sensing to computer.
modify the robot program. Seam tracking for The tool coordinate system has its center on the
tool flange. X and Y axes are parallel to the tool
flange surface and Z is perpendicular to the flange.
This coordinate system is used in programming a
robot arm to approach parts or pick parts out of
fixtures. The advantage to this system is that the
tool flange can be oriented parallel to an oblique
surface and easily moved parallel or perpendicular
to that surface.
The part coordinate system has the coordi-
nate center oriented according to the dimen-
sions of the part. This system permits the robot
tool, a metal inert gas (MIG) welding gun for
example, to move according to the geometry of
the part.
Robot safety begins with robotic cell design as opposed to wired to an input on the con-
and involves the planning and implementation troller. How and when a controller will fail
of safety devices and procedures. The first step cannot be predicted. Therefore, it is not safe
is identifying safety hazards. One of the biggest to rely exclusively on the controller when an
hazards is operators or maintenance people emergency stop is activated by personnel.
working in the robot’s restricted work envelope. Soft stops are software-set limits on robot
Equipment that interacts with the cell, such as arm travel.
material handling equipment, is also a hazard. Hard stops can be used to physically limit
Finally, the actual process the robot is perform- the robot arm travel in the event of a pro-
ing may present hazards. gram or controller failure.
Despite the best design, planning, and
(For a complete list of robot safety devices,
implementation, safety devices and procedures
please refer to the robotic safety standards.)
will fail if disabled or circumvented by plant
As in any repair situation, lockout/tagout
personnel. Therefore, it is important to design
devices and procedures must be used to verify
the safety system for maximum operator pro-
that the power is off, any potential energy is
ductivity and safety. Additionally, appropriate
released, and unintended startups are pre-
safety procedures and work instructions must
vented.
be developed and followed with training.
Following are examples of robotic safety
devices. REVIEW QUESTIONS
44.1) What robotic power system is typically
Perimeter guarding can prevent access to used for heavy loads?
the robot’s restricted area. Physical barri-
ers, such as fences, or optical guards, such 44.2) The robot’s joints provide _____________
as light curtains, are types of perimeter of freedom.
guarding. A physical barrier with a gate 44.3) _____________ control requires outside
for access to the restricted area must have sensing to modify the robot program.
an interlocking device to disable the robot 44.4) What coordinate system has its center on
when a worker enters the restricted area. the tool flange?
Reactivating the robot requires closing the 44.5) What is the shape of the work envelope
gate and activating a restart switch outside created by a polar-arm robot?
the barrier. There also should be a proce-
dure or other safety device to ensure no one
else is in the restricted area during restart. REFERENCE
Software-based systems can slow the robot Cubberly, William and Ramon Bakerjian, eds. 1989.
or move it to a safe position or state, which Tool and Manufacturing Engineers Handbook, Desk
allows operators to be in the restricted area Edition. Dearborn, MI: Society of Manufacturing
with much less risk. The technology keeps Engineers.
the robot in a safe position or state until the
operator leaves.
Presence-sensing devices inside the re- BIBLIOGRAPHY
stricted area, such as safety mats that ANSI/RIA 15.06-1999 (R2009). “Industrial Robots and
contain pressure-sensitive switches, can Robot Systems—Safety Requirements.” Washington,
DC: American National Standards Institute.
stop the robot if someone enters. Cameras
also can be used to detect presence in the ISO 10218. 2006. “Robots for Industrial En-
restricted area. Upon detection, the system vironments—Safety Requirements.” Geneva,
emits a visual and/or audible warning. The Switzerland: International Organization for Stan-
system can also instruct the robot to slow dardization.
down or stop. Kandray, D. 2010. Programmable Automation Tech-
Emergency stop switches should be located nologies: An Introduction to CNC, Robotics and PLCs.
where needed. They should be hard-wired New York: Industrial Press.
454
Fundamentals of Manufacturing Chapter 44: Robotics
Material handling equipment can move ei- the-floor systems are not easy to reconfigure and
ther unit loads or bulk loads. Unit loads are are costly to modify.
either large single pieces or parts or products Orders to move material are transmitted to
that may be grouped onto a pallet or into a automated guided vehicles by radio control.
tote. Bulk loads are liquids or semi-solids (for The control system tracks the movement of the
example, granulated solids that take the shape vehicle and knows when the assignment is com-
of their container) often moved by conveyor or pleted. The controller can also provide data on
pipeline and stored in bins or silos. This chapter the location, movement, and quantity of parts
will focus on the unit load. being moved. These data can be transmitted to
the manufacturing management system via the
manufacturing network for inventory control.
45.1 AUTOMATED MATERIAL HANDLING SYSTEMS Each of the different configurations of AGVs
Two common forms of automated mate- has a primary application. The AGV train is
rial handling systems are automated guided used to move carts of parts, often from storage to
vehicle systems and automated storage and manufacturing. The forklift and unit load AGVs
retrieval systems. Both are capable of moving are appropriate for moving pallets and totes on
the material required for push or pull manu- the manufacturing floor, respectively. The as-
facturing, and providing the data needed for sembly AGV moves a part being assembled or
manufacturing management. a part to the assembly process.
Automated guided vehicle (AGV) systems Automated storage and retrieval systems
are divided into four different configurations: (AS/RS) have evolved from their initial appli-
train, forklift, unit load, and assembly. Until the cation of warehousing raw materials to storing
1990s, many AGVs used a wire in the floor with work-in-process or assemble-to-order inventory,
electromagnetic signals or a painted stripe. One finished product inventory, and tool and fixture
newer guidance system includes fixed bar codes inventory. An AS/RS is classified by the unit
mounted at a specific height throughout the load size it can handle: micro load, mini load,
AGV area. The bar codes are read by a rotating or unit load. The mini and micro loads typically
laser mounted on the AGV. Another guidance use totes, while the larger systems use pallets
system uses radio frequency to read fixed trans- or are unit loads. Since AS/RS systems provide
mitters. Both of these systems use triangulation high-bay storage with a smaller footprint than
to determine the location of the AGV. The type conventional storage, they can improve the
of guidance system chosen should be appropriate manufacturing productivity of an enterprise
for the application, and the required reliability, as well as move parts efficiently through the
flexibility, and cost effectiveness. Most wire-in- manufacturing process.
45.2 AUTOMATIC IDENTIFICATION SYSTEMS segment start and a nine-segment stop bit on
Automatic identification improves the accu- each end of the code. A plain (quiet) zone must
racy (quality) and speed (production efficiency) also appear on each end.
of data entry for inventory, work-in-process, and A two-dimensional code stores more data than
final products. Bar code, radio-frequency data a linear code in a given space. However, due to
transmission, radio-frequency identification, their relative complexity, readers for two-dimen-
magnetic stripe, voice recognition, and machine sional codes require better optics than linear bar
vision are the common forms of automatic iden- code readers. Common two-dimensional bar codes
tification used on the manufacturing floor. include Maxi Code, PDF417, QR Code, and Data
Matrix. An example of the Data Matrix code is
illustrated in Figure 45-2.
BAR CODES A bar code can be read in various orientations
Bar coding is one of the most robust and reli- and the software adjusts accordingly. Depending
able forms of automatic identification. Accommo- on the type of code, a contact wand, noncontact
dating multiple symbols and densities, bar codes portable scanner, or noncontact fixed scanner is
are also available in linear, two-dimensional, used for reading. Contact scanners can be slow
and three-dimensional formats. and require some operator experience. Noncon-
Common linear bar codes include Universal tact scanners are common and generally more
Product Code (UPC), Code 39, Interleaved 2 of productive. They are typically based on laser
5, and Code 128. The different linear bar codes and charged couple device (CCD) technologies.
offer different numeric or alphanumeric schemes. Rotating scanners are capable of making many
UPC is strictly numeric, while Code 39 is alpha- scans per second.
numeric. Density of a linear bar code is the Bar codes are used in shipping and receiving
amount of data it can store per unit length. It is to identify the contents of pallets, boxes, or stock
defined by the width of the narrowest element items entering or leaving a warehouse. Within
(bar or space) and can be high, medium, or low. manufacturing operations, bar codes are used on
In general, low-density bar codes can be read pallets, carriers, or parts to track the work-in-
from greater distances as compared to high- progress. When manufacturing operations are
density codes. Figure 45-1 illustrates bar codes completed, resulting in a final product, a bar
with lower and higher density. code is placed on the product, container, wrap, or
Regardless of the density and the wide/nar-
row ratio of elements, widths must be uniform
throughout the code. In addition, there is a nine-
pallet. The bar code data from receiving, manu- or parts. They are more expensive than bar
facturing, and shipping can be transmitted to the codes, cannot be read remotely, and are not as
various computer systems for enterprise resource resistant to mechanical damage as other types
planning, shipping, accounts payable, etc. of identification. Thus magnetic stripes are not
Data from the bar code can be transmitted as popular on the factory floor as bar code or
by radio-frequency terminals to a host com- radio-frequency identification.
puter system. The radio-frequency transmitter
provides mobile real-time input of bar code
VOICE RECOGNITION
data to the host computer and is under control
of the computer. Mobile transmission is valu- Voice recognition systems operate by either
able around shipping/receiving docks, AGVs, dictation or command and control. Dictation
warehouses, work-in-process storage, and AS/ is used to enter data via voice rather than
RS. Advantages of this type of system include keyboard or other type of data entry. Dictation
direct, real-time transmission of data; broad ac- software is used by people with limited typing
cess to information on any products in the host ability, repetitive strain injury (for example,
computer; and labor savings stemming from carpal tunnel syndrome), or those who believe
real-time access to data. The range of about a it improves their productivity.
mile is the major limitation of radio-frequency Computer voice recognition software is ca-
transmission. pable of continuous speech versus speaking
discrete words. This is a result of the increased
memory and faster processing time of current
RADIO-FREQUENCY IDENTIFICATION computers.
Radio-frequency identification (RFI) utilizes Command-and-control software allows the
an electronic, battery-powered unit called a user to control a computer or a computer-based
“transponder” (tag) attached to a pallet or part. system via voice commands. Users of dictation
The tag transmits information about the pallet and command-and-control software require
number, parts, and status of the manufacturing training. However, the limited vocabulary of
operations performed. When one part or pallet a command-and-control system requires less
has completed operations and is unloaded, the training than dictation software that may be
tag is reprogrammed for its next trip through searching for 50,000–100,000 words. Command-
the manufacturing processes on a new part or and-control or voice-command software that can
pallet. The responder (antenna) receives the data navigate operating system software, productiv-
and communicates it to the computer system and ity software, and the Internet is commercially
the software. The data contained on the tag are available. Justification of voice recognition for
hardened to withstand vibration, liquids common command and control of factory automation is a
in manufacturing, and temperature extremes of function of demand and cost benefits to the user.
–40° to 400° F (–40° C to 204° C). The electronic As control systems move to PCs or workstations,
power of a tag ranges from milliwatts to 10 watts. voice recognition hardware and software will be
As with all electronics, the tags are becoming more easily and economically integrated into
smaller, more economical, and capable of trans- programmable automation.
mitting and receiving more data. Since RFI is
more costly than bar codes, its application must
justify the additional cost. RFI is typically used MACHINE VISION
in applications where a variety of parts travel Typical industrial applications of machine
through different manufacturing routings or vision include inspection, identification, and
processes that may cover or destroy a bar code machine guidance. Machine vision systems must
(for example, painting). be capable of:
forming an image and converting the image
MAGNETIC STRIPE into appropriate electrical signals;
Magnetic stripes, similar to those on bank organizing the signals into a form that may
and credit cards, may be attached to pallets be processed by a computer;
458
analyzing and measuring various features coupled device (CCD). Resolution of the CCD
or characteristics of the signals generated camera is determined by the size of the array of
by the image; and photosensitive elements. An image is scanned
interpreting the data so that useful deci- 30 or 60 times a second in the U.S. (25 times a
sions can be made about the image. second in Europe). Each set of pixels is a frame
and may be stored in the frame buffer as part
A complete machine vision system is com-
of preprocessing that also includes analog-to-
posed of machine vision hardware and software,
digital conversion. Processing results in output
the lighting system, and the optical system. A
of an image that is then interpreted for decision
basic machine vision system has one or more
analysis. The software processes the image from
cameras, a camera controller, a camera vi-
the cameras and performs image recognition
sion processing unit interface, a vision system
by template matching or feature weighing. The
central-processing unit (CPU), and a display
higher the resolution, the longer time a given
unit. In a manufacturing setting, a machine vi-
processor requires to process the image.
sion system requires an interface between the
output of its CPU and manufacturing hardware,
such as robots and programmable logic control- REVIEW QUESTIONS
lers (PLCs). The integration of machine vision 45.1) What method is used to determine the
with robot systems can improve the positional exact location of an AGV?
accuracy of robot arms. 45.2) Is the footprint of an AS/RS system larger
The basic unit of machine vision display is or smaller than that of conventional storage?
the pixel. Less expensive systems have 256 ×
45.3) How is the density of a bar code defined?
256 picture elements (pixels) on the display.
Higher-quality systems at greater cost and re- 45.4) Which automatic identification system
quiring greater computing power for the same uses a transponder attached to a pallet or part?
speed of data image processing have more pixels. 45.5) Which automatic identification system
Machine vision may be monochrome or gray forms an image of the part?
scale, and gray scale systems may be either two
dimensional or three dimensional (2D or 3D). BIBLIOGRAPHY
Monochrome systems are less expensive, faster Society of Manufacturing Engineers. 2008. “RFID:
with comparable hardware, and simpler than Tool Tracking Solutions” DVD. Manufacturing In-
gray scale systems. sights Video Series. Dearborn, MI: Society of Manu-
Lighting is a significant component of ma- facturing Engineers.
chine vision systems. If appropriate lighting Society of Manufacturing Engineers. 2008. “Lean Au-
techniques are not used, the image formation tomation” DVD. Manufacturing Insights Video Series.
subsystem may not be able to see the parts or it Dearborn, MI: Society of Manufacturing Engineers.
may present an incorrect image to the system.
Three types of common lighting techniques are Society of Manufacturing Engineers. 2006. “Machine
Vision and Error Proofing” DVD. Manufacturing
front lighting, back lighting, and structured
Insights Video Series. Dearborn, MI: Society of Manu-
lighting. Front lighting has the camera and facturing Engineers.
the light source on the same side of the part.
Back lighting has the light source and camera Society of Manufacturing Engineers. 2003. “Flexible
on opposite sides of the part, and generates a Material Handling” DVD. Manufacturing Insights
silhouette. Similar to front lighting, structured Video Series. Dearborn, MI: Society of Manufactur-
ing Engineers.
lighting uses a light beam controlled with lenses,
apertures, coherent light sources, or lasers.
Structured light is used to identify specific fea-
tures of a part or specific parts.
Optics determine the area that the camera can
see and, for a given camera, the resolution of the
display. The most common camera is the charge-
Part 8
Quality
46
STATISTICAL METHODS FOR QUALITY CONTROL
Quality is defined as those product and/or characteristic with a device such as a go/no-go
service features that meet or exceed customer gage. Attribute inspection offers the direct com-
expectations. Reactive in nature, quality con- parison of a dimension to a specification. The
trol (QC) primarily identifies and responds to presence or absence of a flaw, such as a visible
nonconformities, such as defects. In contrast, scratch in a painted panel, is another direct
quality assurance (QA) is proactive in its ap- observation of a quality characteristic.
proach to quality planning, instituting system Modern approaches to quality assurance
improvements, such as defect prevention and place emphasis on preventing rather than de-
reliability, while maintaining the after-the-fact tecting defects. Inspection may be necessary, but
QC and audit functions. it is a non-value-added activity, which draws
resources from the enterprise that could be more
46.1 INSPECTION profitably employed elsewhere. Many current
practices diminish reliance on inspection to sort
Inspection is the process of checking the con-
good product from bad. These include:
formance of a final product to its specifications.
In most cases, 100% inspection of a process reducing the impact of variation through
is too costly. Therefore, there are established robust design;
methods of sampling a product or process to anticipating problems through design for
characterize its conformance to specifications. manufacturability and assembly;
Inspection must be a continuous activity because the use of mistake and error proofing, and
raw material, machines, and operators are all attacking common-cause variation to push
subject to variability. process-capability indices high enough to
Two types of inspection are typically em- eliminate the need for inspection.
ployed in a quality assurance activity. Inspection
While some inspection is unavoidable, every
of variables requires the quantitative measure-
effort should be exercised upstream from the
ment of characteristics such as dimensions,
inspection process to reduce it to a minimum.
surface finish, and other physical or mechanical
properties. Such measurements are made with
instruments that produce a variable result. A 46.2 STATISTICAL METHODS
micrometer and a thermometer are typical tools Statistical methods are used to extract the
used for inspection of variables. The resulting significant information from large amounts of
measurements are compared against specifica- numerical information. These approaches are
tions and conformance assessments are made. important in quality control since large quan-
The other type is attribute inspection. This tities of material or product may be involved.
approach involves the observation of a quality Statistical methods are also employed when
dealing with variable data, such as that from on the vertical axis, a distribution of the shaft
manufacturing processes. No two products are diameters would be revealed as shown in Fig-
ever manufactured exactly alike. There are al- ure 46-1. The distribution describes how often
ways variations in the dimensions or properties a particular diameter occurs.
of raw materials, and in the operation of ma- If a large number of measurements are
chines and operator performance. Statistics are made and the width of the bars in the graph
important tools for quality control and assur- are made thin, the frequency of occurrence of
ance because they offer a way of characterizing a a diameter would follow a characteristic “bell-
population (all of the individual parts) by means shaped” distribution as shown in Figure 46-2.
of a sample (a small group of parts studied). Data from many manufacturing processes
(and a large number of other naturally occur-
STATISTICAL QUALITY CONTROL ring processes) has this characteristic distribu-
tion, which corresponds well to a theoretical
One of the most important uses of statistical
distribution known as the normal distribution
quality control (SQC) is to detect variation in the
(also called Gaussian distribution). The shape
process. There are two types of variation occurring
of this distribution is repeatable; there are
in a process: natural and assignable. Natural vari-
only two parameters needed to completely
ability in a manufacturing process is the inherent,
characterize it. The two parameters are the
uncontrolled changes that occur in the composi-
mean (average value) and the dispersion
tion of material, the performance of the operator,
(spread of the distribution).
and the operation of machines. These variations
occur randomly with no particular pattern or
trend. In contrast, assignable variability can
be traced to a specific, controllable cause. SQC
methods are intended to distinguish between
natural and assignable variability. Ideally, if the
assignable causes of variability can be identified,
the process can be better controlled and defects
can be prevented.
Figure 46-3 shows several different normal Another measure of dispersion is the sample
distributions with different means and disper- standard deviation, s, which is given by:
sions. The distributions show the significance of
( x1 − x )2 + ( x2 − x )2 + ( x3 − x )2 + … + ( xn − x )2
the mean and dispersion. Distribution 1 has the s=
same dispersion as Distribution 2. However, n −1
their measurements are clustered around dif- Eq. 46-3
ferent mean values. Distribution 2 has the same where:
mean as Distribution 3, but the dispersion of s = sample standard deviation
Distribution 3 is much greater, indicating that x = average value
the measurements tended to vary more from the xi = measurements
mean value. n = number of measurements
The mean shows the value that the mea- The units used to find the standard devia-
surements tend to cluster around. The arith- tion are the same as the units of the original
metic mean of a sample is called the average measurements. Sample standard deviation can
value x (called “x-bar”) and can be calculated be time consuming to calculate manually us-
using the following familiar equation: ing Eq. 46-3. Many calculators, in addition to
x1 + x2 + x3 … + xn spreadsheet software, are capable of performing
x= Eq. 46-1
n the calculation more quickly.
Since it is rarely possible or practical to count
where: or measure all items in a population, the sample
x = average value average, x , and sample standard deviation,
xi = measurements s, can be used as estimates of the population
n = number of measurements mean, μ, and the population standard deviation,
The dispersion is the width of the normal { # " [\ ! XY #! '
[Y [[
curve and indicates how much variability is depends on various factors such as sample size
present in a set of measurements. Many dif- and sampling method.
ferent measures of dispersion can be used. One Example 46.2.1. Calculate the mean and
of the simplest is the range, R, which is the sample standard deviation of the group of shaft
difference between the largest and smallest diameters shown in Table 46-1.
measured value: Solution. The mean is found by summing the
measurements and dividing by the number
R = xmax – xmin Eq. 46-2
of measurements:
where: 1.05 + 0.96 + 0.99 + 1.04 + 1.03 + 1.02 + 0.99 + 1.01
R = range x= = 1.01
8
xmax = largest measured value (Eq. 46-1)
xmin = smallest measured value
Table 46-1. Observed shaft diameters
(Example 46.2.1)
Observation Diameter, mm
1 1.05
2 0.96
3 0.99
4 1.04
5 1.03
6 1.02
7 0.99
Figure 46-3. Normal distributions with different means
8 1.01
and dispersions.
464
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
Table 46-2. Commonly used variable averaged to obtain the x characteristic for that
control charts hour and the difference between the largest
Chart Name Value Charted and smallest diameter is used to obtain the R
characteristic.
Sample averages and
x and R chart ranges In general terms, x characterizes the typical
measurement and R characterizes the variabil-
Sample averages and
x and s chart standard deviations ity of the measurement. If the process is in
statistical control, the typical measurement and
Individual observations
X and moving R chart
and moving ranges
the variability of the measurement will change
somewhat over time, but these changes should
Sample medians and be random and limited in their magnitude. If
Median and R chart ranges
the changes in x and R occur in a pattern or have
excessive magnitude, it is assumed to be due to
an assignable cause. Such pronounced changes
are not typically part of inherent variability in
the process. Figure 46-7 shows an x chart that
exhibits control for the first 10 samples, but then
shows a marked shift in magnitude. This type
of change is almost always assigned to a cause
such as changing a tool, adjusting a machine,
etc. Such assignable causes can be controlled,
thus the performance of a process can be im-
proved by some type of intervention.
A control chart needs some limits that define
the maximum acceptable deviations of the qual-
ity characteristic for a process in statistical
control. These control limits are established
when the process is under close observation and
known to be operating properly. Control limits
are used as a standard to compare future per-
formance. Both x and R have average values that
normal variances in the process fluctuate about.
Figure 46-6. Control charts for average dimension and Figure 46-8a shows a horizontal line labeled x .
range. This is the average of averages or grand average.
It represents the average of the typical values
The concept of sampling is used to efficiently
represent the overall performance of the process
with a limited number of observations. A sample
size of four or five is typically used for x and
R-charts. It is important to note that a sample
is also referred to as a subgroup. Subgroup size
and sample size refer to the same quantity. For
example, if a subgroup contains five observa-
tions, the subgroup or sample size would be five.
This means that a fixed quantity of randomly
selected parts is used to estimate the quality
characteristics corresponding to a particular
period of time. For example, five shafts might
be selected every hour for generating the control Figure 46-7. Deviation of the average dimension in a
chart data. The diameters of the five shafts are control chart.
466
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
for a measurement and the population mean. between the largest and smallest measurement
Figure 46-8b shows a horizontal line labeled R. in each subgroup. The sum of each x is used to
This represents the typical variance in the pro- compute x :
cess. These two parameters provide the basis for
25.004
determining the control limits on a control chart. x= = 5.0008 ≈ 5.001
5
Example 46.3.1. A shaft diameter is measured The sum of each R is used to compute R:
as part of an SPC plan. Four observations of the
0.043
diameter are recorded in each subgroup (labeled R= = 0.0086 ≈ 0.009
5
x1 to x4, as shown in Table 46-3). Calculate x Quality characteristics x and R tend to be
and R. normally distributed (for reasons related to an
Solution. The quantity x is found by averag- idea from statistics known as the Central Limit
ing the four measurements in each subgroup. Theorem). Consequently, most of the variation
Quantity R is found by computing the difference in x and R can be characterized by three stan-
dard deviations of the quality characteristic from
the average quality characteristic. The upper
control limit on the x chart, UCL x , is given by:
UCL x = x + 3σ x Eq. 46-4
where:
x = average of the subgroup averages
σ x = standard deviation of the subgroup
averages
Note that the standard deviation used is for x ,
not simply for x. The control limit characterizes
the variability of the typical performance of the
process, not the variability in the population.
Similarly, the lower control limit is given by:
LCL x = x − 3σ x Eq. 46-5
where:
R = average of the subgroup ranges
d2 = constant based on subgroup size
Clearly, Cp should be greater than or equal to
one or else a significant percentage of defective
parts will be produced. If Cp is less than one, as
shown in Figure 46-12, the process is generally
considered incapable of producing good parts.
A larger value of Cp is preferable. Ratios above
1.33 are considered acceptable. The ratio can be
Figure 46-9. Dividing control regions into zones (Wick used to quantify and compare process capabil-
and Veilleux 1987). ity. Most major manufacturers insist that their
469
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
Figure 46-10. Pattern analysis of x-bar charts (Wick and Veilleux 1987).
470
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
Eq. 46-14
Eq. 46-17
REPEATABILITY AND REPRODUCIBILITY—GAGE R&R the number of defects per part for a varying
Gage variance—or measurement error—is subgroup (sample) size.
composed of two parts: one is intrinsic instru-
ment error, the other differences between FRACTION DEFECTIVE (P-CHART)
operators. The study of both is termed gage A p-chart is used to determine the fraction of
R&R analysis. In gage R&R, repeatability is defective or nonconforming parts in a subgroup.
the variance due to intrinsic instrument error; It is governed by the normal distribution ap-
reproducibility is defined as the variance due to proximation to the binomial distribution. The
different operators. Because variance is additive, average fraction defective is:
the following relationship is true:
p=
∑ np Eq. 46-19
σ2 gage = σ2repeatability + σ2reproducibility Eq. 46-18
∑n
Gage R&R studies are conducted because where:
when any product is made—assuming that p = average fraction defective
SPC methods are employed—there is always np = number defective
interest in the sources of product variation. n = subgroup size
As shown, the total variance is parsed into its
separate components: a fraction due to operator The control limits for the p-chart are:
differences, another due to instrument error,
p (1 − p)
and the remainder due to undefined product er- p±3 Eq. 46-20
ror. If operator variance is the largest fraction, n
more operator training should be conducted; if The control limits must be recalculated as the
instrument error is greatest, better instruments subgroup size, n, changes. As a consequence,
should be used; and finally, if product variance stair-cased control limits are expected if the
is too large, the manufacturing process should actual value of n is used for each sample. One
be changed to increase process capability. common practice—particularly when p-charts
are made by hand—is to use the average value
of n (Eq. 46-21), except when data is near the
46.6 ATTRIBUTE CONTROL CHARTS
control limits. For these points, the control lim-
Many quality attributes of manufactured its are recomputed using the actual value of n.
goods are measured. Examples include surface Although this creates stair-cased control limits,
flaws on a sheet-metal panel, cracks in drawn it is the only 100% accurate method, and only
wire, color inconsistencies on a painted surface, one set of computations is required. The use of
voids, flash or spray on an injection-molded part, SPC software eliminates such problems.
wrinkles on a sheet of vinyl, or go/no-go gages.
These defects or nonconformities are often sim-
n=
∑n Eq. 46-21
ply observed visually or by some sensory device, g
which causes a part to be classified as defective.
where:
Products that fail an attribute test are labeled
“defective” or “nonconforming.” Such data may n = average subgroup size
be initially studied according to attributes to n = number inspected
determine the presence of certain key factors, g = number of subgroups
which can be analyzed using x-bar and R-charts.
There are four basic attribute control charts Example 46.6.1. Table 46-5 shows the results
commonly employed: p-charts for determining of 14 runs (subgroups) involving the number of
the fraction defective using a constant or varying defects in a manufacturing process with variable
subgroup (sample) size; np-charts for determin- subgroup size, n. Calculate the control limits for a
ing the number defective using a fixed subgroup p-chart using the average subgroup size method.
(sample) size; c-charts for the count of defects Solution. The average number of defects, p, is
with subjects of the same size; and u-charts for given by:
472
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
n=
∑ n = 343 + 392 + .... + 446 = 5,674 observations = 405.3 ≈ 405 p=
∑ defective parts Eq. 46-22
g 14 14 subgroups
∑n
(Eq. 46-21) where:
The control limits using the average subgroup p = average fraction defective
size are given by: n = subgroup size
Figure 46-13. A p-chart for Example 46.6.1 using actual sample size (subgroup 9 is out of control).
473
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
The control limits for the np-chart are given as: Table 46-6. Data for c-chart (Example 46.6.2)
n p ± 3 n p (1 − p) Eq. 46-23 Part Defects Part Defects
1 4 11 3
2 5 12 8
COUNT OF DEFECTS WITH FIXED
SUBGROUP SIZE (C-CHART) 3 1 13 16
Previous cases were concerned with whether 4 3 14 8
a part was defective. No attention was given 5 4 15 8
as to how many, or what, defects were present. 6 8 16 9
Now, consider situations where the defects
or nonconformities per part are counted. This 7 6 17 10
makes a difference in the control limits, namely, 8 8 18 8
the number of defects per part is tabulated 9 6 19 12
instead of the number of defective parts. For
10 6 20 14
example, a car part painting operation is con-
cerned with the following defects: fisheyes, runs,
and orange peel. The sum of these defects per
part is calculated when making a control chart. UCLc = c + 3 c = 7.35 + 3 7.35 = 15.483 ≈ 15.48
In general, no consideration is given as to where
LCLc = c − 3 c = 7.35 − 3 7.35 = −0.783 ≈ 0
on the part these defects occurred.
The c-chart is employed when a fixed sub- (Eq. 46-25)
group or sample size is used, such as when where:
considering the sum of voids in injection-molded UCLc = upper control limit
parts. In the case of the c-chart, each plastic part LCLc = lower control limit
inspected is of the same size.
As shown in Figure 46-14, subgroup 13 is out
The average number of defects, c, is given as:
of control.
c=
∑c Eq. 46-24
g
DEFECTS PER UNIT WITH VARIABLE
where:
SUBGROUP SIZE (U-CHART)
c = average number of defects
Similar to p- versus np-charts, compensation
c = number of defects per subgroup
must be made if the part size changes. For ex-
g = number of subgroups ample, if the car part operation paints different
The control limits for the c-chart are given as: size parts, for example, hoods, doors, and rear
quarter panels, the area of each part is mea-
c±3 c Eq. 46-25 sured and the number of defects per unit area
Example 46.6.2. Table 46-6 presents the is reported. In this case, a u-chart is employed.
number of defects from 20 samples in a paint- c
u= Eq. 46-26
ing operation using parts of a fixed size (sur- n
face area). Calculate the control limits for a where:
c-chart. u = number of defects per unit
Solution. The average number of defects, c, is c = number of defects per subgroup
given by: n = subgroup size
c=
∑ c = 4 + 5 + .... + 14 = 147 defects
= 7.35
The average defects per unit, u, is given by:
g 20 20 subgroups
u=
∑c Eq. 46-27
(Eq. 46-24) ∑n
The control limits are: The control limits for the u-chart are:
474
Fundamentals of Manufacturing Chapter 46: Statistical Methods for Quality Control
be constant, increasing, or decreasing. A con- 1. a constant failure rate, which usually oc-
stant hazard rate is usually caused by exceeding curs due to external causes, for example,
load ratings. Moreover, this normally occurs in rust, evaporation of lubricating oils, etc.;
random fashion. Examples are over-voltage on 2. an increasing failure rate, which is most
electronic items and tire overloading. An in- often due to simple wear-out of components
creasing failure rate is exemplified by material in the latter life stages, for example, those
fatigue due to cyclic loading. In this failure mode, that are not part of scheduled repair/re-
there is usually an initial period without failures, placement maintenance; or
that is, a latent period after which the failure 3. a decreasing failure rate, which can occur
rate increases. Decreasing failure rates are often if the reliability of repair parts increases
exhibited by electronic items that have high over time.
failure rates in the beginning (for example, “in-
fant mortality” during a burn-in period) with PROBABILITY DISTRIBUTIONS
decreasing failure rates thereafter.
The overall goal in reliability studies is to
mathematically model the reliability of products.
FAILURE OF REPAIRABLE ITEMS Modeling is an empirical art in that various models
The conventional definition of reliability (statistical distributions) are tested to determine
for repairable items is, “The probability that the one that best fits the problem at hand. The
product/system failure will not occur in a given exception to this rule would be when the best
time period when more than one item can fail.” model for a particular product is already known.
A common way to express the failure rate for a Although no ideal model is guaranteed for each
repairable item is its mean time between failure situation, certain models seem to work best for
(MTBF). A repairable item’s life is ultimately certain products. The best model for each problem
dependent on maintenance schedules. As with is usually determined by a combination of plot-
non-repairable items, repairable items can dis- ting, linear regression, and maximum likelihood
play three failure rate trends. These are: fitting of lifetime reliability data.
Once the best-fit model has been obtained, B jointly occurring, represented by the area AB,
predictions can be made about how long a is subtracted to prevent double counting.
product will last under various conditions. The If two events, A and B, are independent,
average life, standard deviation, and other con- meaning the occurrence of one event is not influ-
ventional life statistics also can be determined. enced by occurrence of the other, the probability
Reliability distribution fitting needs to be as of both occurring obeys the multiplication rule:
accurate as possible because manufacturers
often predict (extrapolate) product life behavior P(A and B) = P ( A ∩ B ) = P(AB) = P(A) × P(B)
beyond the range where data was collected. Eq. 47-3
Example 47.3.1. Consider the system shown in
MODELING RELIABILITY DATA Figure 47-5 as a block diagram. It is composed
Simple probability relationships are employed of two sections, I and II. Section I has a single
to model reliability data. Probability concepts were component, A, with reliability = 0.99. Section
introduced in Chapter 1 and are reviewed here. II, on the other hand, has three components,
If two events, A and B, are mutually exclusive, B, C, and D, with reliabilities of 0.98, 0.97,
meaning two failure modes cannot occur at the and 0.95, respectively. Compute the system’s
same time, the probability of either event occur- reliability: P(system works) = P(I and II). Note
ring obeys the addition or union rule: that both sections must operate if the system is
to work. The arrows illustrate the flow path for
P(A or B) = P ( A ∪ B ) = P(A) + P(B) Eq. 47-1
the system.
If two events, A and B, are not mutually Solution. Obviously, A must be operable for a
exclusive (that is, two events or failure modes workable system. However, section II is operable
can occur simultaneously), the general addition if either components B and C are operable, or D
or union rule is employed: alone. Assuming the events are independent and
not mutually exclusive, the probability relation-
P(A or B) = P ( A ∪ B ) =P(A) + P(B) – P(A and B)
ships for the system are:
Eq. 47-2
P(system works) = P(I and II)
As an aid to understanding, consider the Venn
P(I) = 0.99
diagram in Figure 47-4. The area of the rect-
angle represents the total system probability, P(II) = P(B and C) or P(D)
P. Events A and B are not mutually exclusive. P(B and C) = 0.98 × 0.97 = 0.9506 (Eq. 47-3)
The probability of A or B occurring would seem
to be A + B. However, the probability of A and P(II) = P(B and C) + P(D)
= P(B and C) + P(D) – P(B and C and D)
P(II) = 0.9506 + 0.95 – (0.98 × 0.97 × 0.95)
= 0.99753 (Eq. 47-2)
P(system works) = P(I and II) = 0.99 × 0.99753
= 0.9876 (Eq. 47-3)
P(system works) = 98.76%
tistically based method that allows a researcher Make certain the quality characteristics
to better understand a process and determine encompass the important aspects of the
how the inputs affect the outputs. product/process with respect to customer
Traditionally, process variables are changed needs and expectations.
one at a time and then their respective effects Use all pertinent resources, for example,
are compared to a standard. Each variable is common sense, engineering knowledge,
changed one at a time to see which has the great- statistical methods, customer require-
est impact on the process. However, this does not ments, historical data, and product speci-
identify the interaction of variables or their cur- fications.
vilinear effects. Many experiments or statistical For complex systems, select responses at
trials (also called Monte Carlo simulations) are the subsystem levels and run experiments
needed and random errors can be compounded at these levels before trying to optimize the
or not considered. Experimental design allows overall system.
multiple variables to be studied simultaneously,
thereby shortening the experimental process
and determining the interaction effects between CONDUCTING AN EXPERIMENT
variables. Discipline is required when conducting a
designed experiment. During brainstorming,
SELECTING QUALITY CHARACTERISTICS (RESPONSES) when all possible experimental factors are con-
sidered, creativity—including “wild” ideas, is
Guidelines for selecting quality characteris-
highly recommended. The results of brainstorm-
tics are as follows.
ing are often summarized in a cause-and-effect
The characteristic(s) should be related as fishbone diagram such as the one illustrated in
closely as possible to the basic engineering Figure 47-6.
mechanism. Conducting an experiment imposes a disci-
Use continuous responses (variable data) pline that may be unfamiliar to many experi-
when possible. menters. Lack of discipline is often the cause of
Use stable quality characteristics that can a failed experiment and/or ambiguous results.
be measured precisely and accurately. To those persons who are new to experimental
484
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
Figure 47-6. Cause-and-effect fishbone diagram of gas mileage.
485
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
EXPERIMENTAL DESIGNS
Conventional DOEs fall into two classes: two- than the exception—in many real-world experi-
level designs and three-level designs. In two-level ments. If fewer than 2n runs are used, such as
designs, the experimental factors are studied at in a fractional factorial experiment, some or all
two levels—low and high. In three-level designs, factor interactions may not be detected. Table
the factors are studied at three levels—low, 47-1 shows a standard order L-8 design matrix
middle, and high. The majority of DOEs are for three factors, A, B, and C, as well as all pos-
conducted at two levels. sible interactions between these factors.
Designed experiments are performed accord- The most important aspect of the matrix is
ing to a predefined matrix or template that has the ordered array of numbers (–1 and +1). These
several important properties. First, the factor represent the low (–1) and high (+1) factor levels
space in a DOE is symmetrical. Second, the used in the experiment. In run 1, for example,
factors are orthogonal to each other. Orthogo- factors A, B, and C are used at their low levels.
nality is a mathematical term that can be The remaining runs are interpreted similarly.
thought of as perpendicularity. Experiments
comprised of orthogonal factors are called facto- ANALYSIS OF DESIGNED EXPERIMENTS
rial designs. The use of orthogonal experiments Typically, DOE analysis is performed with
allows simple pencil and paper analysis of data. DOE software or other statistics-based soft-
Various symmetries are available depending on ware. A detailed description of the analysis
the goal of the experiment—screening design, tools available is beyond the scope of this book;
testing for nonlinear (for example, quadratic)
behavior, etc. The use of the proper symmetry
gives the maximum amount of information for Table 47-1. Standard order L-8 design matrix
the least number of experiments. Figure 47-7 for three factors, including interactions
is an illustration of a symmetrical experiment Factors
for variables (factors) A and B. Each factor is
used at two levels, 1 and 2. One run, for ex- Run A B C AB AC BC ABC
ample, is conducted with A = 1 and B = 1; an- 1 –1 –1 –1 1 1 1 –1
other run uses A = 2 and B = 2, etc. 2 1 –1 –1 –1 –1 1 1
The number of runs in the common two-level 3 – 11 – 1– 11 – 11
n
designs can be expressed as 2 , where n = the
4 1 1 –1 1 –1 –1 –1
number of factors to be studied. For example,
L-8 = 23 runs, L-16 = 24 runs, and so on. 5 –1 –1 1 1 –1 –1 1
When a DOE matrix of size 2n is used to study 6 1 – 11 – 11 – 1– 1
n or fewer factors, it is possible to detect factor 7 – 11 1 – 1– 11 – 1
interactions, for example, A × B, B × C, etc. In-
8 1 1 1 1 1 1 1
deed, factor interactions are the rule—rather
486
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
however, a brief description of each is presented. 1. Quality should be designed into the prod-
DOEs are analyzed by several methods: uct and not inspected into it.
contrast sums, 2. Quality is best achieved by minimizing
t-test, the deviation from a target. The product
F-test, should be so designed that it is immune
analysis of variance (ANOVA), and to uncontrollable environmental factors.
linear regression. 3. The cost of quality should be measured
as a function of deviation from the stan-
Contrast sums are used to determine if there dard, and the losses should be measured
is a significant difference in the change of the system-wide.
quality characteristic when one factor is high
versus low. The major goals of Taguchi methods are:
The t-test is used to compare two means to higher quality with a minimum (or no) cost
determine if they are significantly different at increase;
some confidence level, for example, the 95% more consistent product (less “noise”);
level. The t-test refers to the t-distribution, minimization of conditions that cause re-
which is similar to the normal distribution but work;
slightly wider. shortening the product development cycle;
The F-test is used to compare two variances. identifying the critical variables in product
It is named for Ronald Fisher who developed design/production; and
experimental design, hypothesis testing, and minimizing the effect of noise factors (for
ANOVA in the 1930s. The F-test is also used example, humidity or temperature).
in ANOVA.
ANOVA is a general statistical technique for
detecting and quantifying the sources of variation PRODUCT/PROCESS DEVELOPMENT
in any test or experiment. The interest is in varia- Taguchi suggests dividing product/process
tion about the mean. In other words, the mean development into three stages with the majority
response is calculated first. Then it is determined of the effort spent on the first two stages.
if the leftover variance can be explained by one or 1. System design.
more factors. After accounting for factor effects, Use ideas and innovations based on engi-
the residual (error) remains. Problems analyzed neering and scientific knowledge.
by ANOVA may involve quantitative and/or Base nominal parameter settings on
qualitative variables, that is, attribute variables. engineering judgment.
Following are various types of ANOVA:
2. Parameter design.
no-way ANOVA—repeat tests yielding the Determine the settings for the critical
simple average and standard deviation; parameters to optimize product/process
one-way ANOVA—a series of tests involv- performance.
ing one factor at multiple levels; Minimize the effects of noise factors (min-
two-way ANOVA—a series of tests involv- imize system performance variation).
ing two factors at multiple levels; and
n-way ANOVA—the general technique for n 3. Tolerance design.
factors at m levels. Higher tolerances are required only if
performance is unacceptable after pa-
Finally, linear regression determines the spe- rameter design.
cific settings for each variable to maximize the Tolerances of factors with significant in-
predetermined quality characteristic. fluence on the product may be tightened.
“the total loss imparted to society from the time the goalpost method. Figure 47-9 is an illustra-
a product is shipped to the customer” (Roy 2010). tion of the loss function when a nominal value
The loss is measured in monetary terms less the is desired.
cost to the manufacturer to prevent the loss.
Losses are typically incurred through: ROBUST PRODUCT DESIGN
time and money spent to repair/replace Robustness means relative immunity to either
defective products, manufacturing or use conditions by the cus-
warranties, tomer. Immunity implies that product charac-
recalls, teristics are unchanged, or minimally changed,
customer dissatisfaction, by one or more internal or external noise factors,
lost market share, and which either can not be controlled or control is
accidents and pollution. not warranted due to costs. Examples of internal
noise factors include deterioration of machines
Quality is often evaluated by the “goalpost” and parts (Roy 2010). Examples of external
method shown in Figure 47-8. An example is the noise factors include humidity, temperature,
go/no-go gage. In this method, product quality is and operators (Roy 2010). In a manufacturing
considered to be good if the measured character- example, the effect of relative humidity in a
istic is between the lower specified limit (LSL) and production environment is an indicator of prod-
the upper specified limit (USL). Quality is consid- uct robustness. The product is said to be robust
ered to be poor only if the characteristic measures against relative humidity if product variation
less than the LSL or greater than the USL.
does not change when the humidity varies. In
Taguchi, on the other hand, uses the loss an end user example, an automobile is robust
function to evaluate quality. When a nominal against temperature if it starts and runs well
(target) value is required, Taguchi evaluates regardless of the outside temperature. Note that
loss as (Mitchell 1996): robustness can be detected only in three-level
L(y) = k(y – m)2 Eq. 47-4 designs such as Taguchi’s L-9.
where:
SIGNAL-TO-NOISE RATIO (ROY 2010)
L(y) = loss function (loss due to variation of
the specified quality characteristic With regard to engineering experiments, the
from the nominal or target value) change in the quality characteristic of a product
k = constant under investigation in response to a factor intro-
y = value of the specified quality charac- duced in the experimental design is the “signal”
teristic of the desired effect. The effect of internal and
m = nominal (target) value of the specified external noise factors on the outcome of the
quality characteristic quality characteristic under investigation is
termed noise.
When y = m, the loss is 0. However, the more y
deviates from m, the greater the loss. When qual-
ity is evaluated in this way, it means that quality
or loss is continuous rather than all or none as in
The signal-to-noise ratio (S/N ratio), originally 1. Align—link customer requirements to core
an electrical engineering concept, is a measure business processes and create appropriate
of the sensitivity of the quality characteristic goals and measures.
being investigated in a controlled manner to 2. Mobilize—train and empower teams so
those influencing factors (noise factors) not un- they can execute improvement projects.
der control. A high value of S/N implies that the 3. Accelerate—employ a learn-by-doing
signal is much higher than the random effects model to facilitate simultaneous education
of the noise factors. Product design or process and execution.
operation with the highest S/N yields optimum 4. Govern—maintain a regimen of structured
quality, minimum variance, and high robustness. reviews and in-depth investigations of
results.
47.6 SIX SIGMA Further, six sigma has been refined to focus
Motorola won the Malcolm Baldrige National on rapid dissemination of knowledge and putting
Quality Award in 1988 by using a strategy called improvement tools in the hands of all employees
six sigma. Since then, countless organizations within an organization as opposed to a separate
have decided to incorporate six sigma. Gener- quality department (Maguire 1999).
ally speaking, six sigma is a highly structured Every six sigma project to improve a process
methodology that incorporates techniques and or service must go through the five phases of the
tools for eliminating defects and variability from define, measure, analyze, improve, and control
any process. (DMAIC) model in the following, specified se-
[[[ ' "[{ Â# quence (The Black Belt Memory Jogger 2002):
letter used to represent standard deviation. The
1. Define, based on customer requirements,
term “six sigma” is a measure of high quality,
the process or service to be improved.
or, in other words, extremely low variability.
Select problem areas within that process
It means the engineering tolerances must be
or service.
at least plus or minus six standard deviations
Identify the key customer-preferred at-
from the process mean. At six sigma, only 3.4
tributes of the process or service (define
non-conformances per million opportunities will
the specification).
occur. As a comparison, many organizations use
Describe the performance criteria for the
three sigma (66,810 non-conformances per mil-
process or service.
lion) or four sigma (6,210 non-conformances per
million) as an acceptable level of quality. 2. Measure the process or service to obtain a
The methodology of six sigma originated in performance baseline.
1985 with Bill Smith, quality engineer for Motor- Prescribe the measurable parameters for
ola, as part of a program that defined the steps the process or service.
to achieve six-sigma performance. Motorola also Determine the extent to which the
originated the functions and standards for Black process or service is capable of meeting
Belts—trained and experienced six-sigma prac- customer requirements (gage R&R and
titioners who lead project improvement teams capability studies).
(Barney and McCarty 2003). Establish an improvement target.
Different organizations and people use dif- 3. Analyze the data to determine where errors
fering adaptations of Motorola’s six-sigma pro- are occurring.
gram. The reference and bibliography sections Identify the sources of variation in the
of this chapter list several recent books, each process or service (graphical analysis,
taking a different approach to six sigma. fishbone diagram, and FMEA).
Six sigma has evolved to encompass more Test for corrective action on plausible
than just defect and variability reduction. Now causes (hypothesis testing).
presenting more of a business improvement 4. Improve the process.
methodology, six sigma is organized around four Experiment to determine cause-and-
leadership principles: effect relationships (DOE).
489
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
Institute acceptable variation from Management must also assess the impact of
customer-defined targets (tolerances to final results on cost, quality, productivity, and
the specifications). customer satisfaction.
Substantiate improvements to the pro- With regard to company involvement, the
cess or service. CEO is responsible for creating a vision and
Recalculate process or service capabilities. mission for any improvement effort and provid-
5. Control the process to ensure the errors ing the time and resources for project comple-
do not return. tion. A project champion is responsible for the
Establish techniques to monitor and logistical issues relative to making a project
control the process or service. happen. Master Black Belts coach the Black
Record and archive all project data. Belts and work with the company’s champion to
facilitate, mentor, and lead the problem-solving
The discipline instituted by using this frame- efforts. Black Belts are responsible for leading
work is unparalleled with other systems. project improvement teams. Green Belts work
Specifically, any six sigma improvement within their respective company areas to assist
project requires the direct participation of up- in project completion (Brue 2002). In addition
per management, the on-sight support of an to these particular individuals, there are many
experienced consultant (a master Black Belt), other employees who serve in supportive and
the seasoned guidance of in-house six sigma data-gathering functions.
practitioners (Black Belts), and the participation The bottom line for the efficacy of a six-sigma
of lesser trained and experienced practitioners improvement project is the extent to which it
(Green Belts) as they interact with employees results in increasing productivity, eliminating
involved in the process or service targeted for waste, improving quality, and exceeding cus-
improvement. tomer expectations. Consequently, the magnitude
Some improvement tools and techniques of of these improvements is a required component of
six sigma include the following: six-sigma project justification.
process mapping, Like other business improvement meth-
process capability, odologies such as total quality management
design of experiments, (TQM), TS16949, and the Baldrige criteria
reliability analysis, for performance excellence, the success of six
control charts, sigma requires an organization’s total com-
flow charts, mitment of time, effort, and resources. This
cause-and-effect (fishbone) diagrams, requires extensive training, shared vision,
histograms, designated responsibilities, and continuous
Pareto charts, active participation.
scatter diagrams,
run charts, 47.7 PROBLEM-SOLVING TOOLS
affinity diagrams, Effective problem-solving techniques allow
gap analysis, a manufacturer to get more outputs using the
gage R&R, and same or fewer inputs. Productivity improve-
hypothesis testing. ment, quality, and lower costs can be achieved by
Obviously, these tools are not new; some have harnessing the thinking skills of managers and
been used since the days of Walter Shewhart workers. Improving the quality and precision of
in 1926. What is unique about six sigma is that problem solving in an organization releases a
these tools, and others, have been incorporated productive force far greater than that of equip-
into an organized structure that is applicable to ment, tools, software, and more worker effort.
any improvement project. The general steps for problem-solving are:
In a business context, the extensive use of recognize that there is a problem;
statistical methods requires the direct involve- define the problem;
ment of management in their application. determine the most probable cause;
490
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
select and verify the best solution; The brainstorming session begins with an
update documentation; and explanation of the rules given by the group
train personnel. facilitator or leader. The facilitator or leader
focuses on the processes of the group, remains
Many techniques are used, almost always
neutral, and helps the group operate smoothly.
in a group setting. Common problem-solving
To promote a successful brainstorming process,
tools include Ishikawa or fishbone diagrams,
there is no criticism of ideas during the idea
Pareto analysis, brainstorming, nominal group
generation phase. After all the ideas are gen-
technique, delphi technique, affinity diagram,
erated, defined, and printed on a board or flip
8D, DMAIC, 5-Why analysis, plan-do-check-act
chart, the leader eliminates repetitive ones. The
(PDCA), and statistical tools such as histograms
group then eliminates those that are impracti-
and control charts.
cal and decides on the best idea(s) from those
remaining.
ISHIKAWA DIAGRAM
The Ishikawa diagram or fishbone diagram, NOMINAL GROUP TECHNIQUE
illustrated in Figure 47-6 is a common tech-
nique used for cause-and-effect analysis. This The nominal group technique is appropriate
diagram analyzes the causes of an effect or for problems that are difficult to quantify and for
problem by considering the many diverse and groups whose members do not know each other.
complex relationships that exist. The process Each person in the group is given an equal voice
is driven by the influences of man, machine, in making decisions. Group members silently
method, material, measurement, and environ- generate solutions to a given problem after
ment. By identifying the sources of a problem, which the group facilitator records the ideas on a
corrective action can be taken to create an im- board or flip chart. The group discusses the ideas
provement. The weakness of this approach, as and makes clarifications where necessary, after
well as other approaches, is that root causes are which the group votes on the ideas and ranks
not distinguishable among all the causes identi- them. The idea ranking is open for discussion.
fied (Bakerjian 1993). After ranking, the group typically formulates
one solution.
PARETO ANALYSIS
Pareto analysis involves identifying the trivial DELPHI GROUP TECHNIQUE
many and the vital few. Also known as the The delphi group technique begins with group
80/20 rule, approximately 80% of problems are members silently writing possible solutions to
caused by approximately 20% of the causes. In the problem in question. The group facilitator
other words, there are usually many identifiable collects the anonymous suggestions and distrib-
causes. However, of the causes identified, only utes them to everyone in the group for another
a few will cause most of the problems. Pareto round of suggestions. After several iterations, a
analysis helps engineers focus their efforts on common suggestion will emerge. This technique
the few causes that are generating the majority allows group members to express their ideas
of problems. without intimidation or the fear of rejection.
Group members can be separated geographically
BRAINSTORMING and communicate via mail or e-mail.
Brainstorming is a group discussion process
that emphasizes creativity and free thinking. It FOCUS GROUP
is a technique used for generating a broad range A focus group generally consists of a group of
of ideas and solutions. Given the non-critical participants and a moderator. The participants
environment brainstorming provides, partici- can be selected randomly from the general
pants’ creativity is increased and inhibitions public or they may be familiar with the topic
about participating in a group environment are in question. The participants, however, do
decreased. not know each other. A session begins with
491
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
where problem-solving work teams use simple responsibilities, and take on leadership
statistical and data-gathering tools to attack tac- for change.
tical level production problems. This approach 3. Cease dependence on inspection to achieve
also has been adapted for processes outside the quality. Eliminate the need for inspection
production area, such as paperwork flow, com- on a mass basis by building quality into
puter networking of data, and delivery service. the product in the first place.
In the “plan” stage of the process, potential 4. End the practice of awarding business on
areas for improvement are identified and evalu- the basis of price tag. Instead, minimize
ated. Typically, management provides guide- total cost. Move toward a single supplier
lines as to the types of problems to be addressed, for any one item, building a long-term re-
usually restricting team members to working lationship of loyalty and trust.
on those processes for which they have direct 5. Improve constantly and forever the
responsibility. The result of the “plan” phase is system of production and service, improve
a list of potential problems and possible correc- quality and productivity, and thus con-
tive actions. stantly decrease costs.
During the “do” phase, the team tries each 6. Institute training on the job.
corrective action. As each corrective action is 7. Institute leadership. The aim of supervi-
implemented, it is up to the team to constantly sion should be to help people and machines
monitor process performance and other baseline and gadgets to do a better job. Supervision
measures. of management is in need of overhaul, as
The “check” phase involves an evaluation of well as supervision of production workers.
the effect of each corrective action on the perfor- 8. Drive out fear so that everyone may
mance measure being tracked. The team looks work effectively for the company.
for significant improvements in quality, time, 9. Break down barriers between departments.
costs, or other selected responses. 10. Eliminate slogans, exhortations, and
Then “action” is taken to put effective counter- targets for the work force asking for zero
measures into the process as permanent changes defects and new levels of productivity.
of procedure or design. The potential benefits of 11. Eliminate work standards (quotas) on the
the change are then estimated and reported to factory floor. Eliminate management by
management for further action, if necessary. The objective, management by numbers, and
team then returns to the list of potential areas numerical goals—substitute leadership.
for improvement and selects the next problem 12. Remove barriers that rob the hourly
to address. Thus, the PDCA cycle repeats and worker, and people in management and
improvement is seen as a slow spiral of increased engineering of their right to pride of work-
performance with each cycling of the model. manship.
13. Institute a vigorous program of education
47.8 DEMING’S 14 POINTS and self-improvement.
14. Put everybody in the company to work
Dr. W. Edwards Deming is known for the
to accomplish the transformation. It is
transformation of management through his “14
everybody’s job.
points for management.” These 14 points are
criteria for a company to become successful with
management as the primary agent and focus of 47.9 MALCOLM BALDRIGE AWARD
change (Bakerjian 1993).
Congress passed Public Law 100-107 in 1987
1. Create constancy of purpose toward im- creating the Malcolm Baldrige National Quality
provement of product and service, with Award (MBNQA) to encourage improved
the aim to become competitive, stay in quality and competitiveness from American
business, and provide jobs. companies. The National Institute of Standards
2. Adopt the new philosophy. We are in a and Technology (NIST), part of the Department
new economic age. Western management of Commerce, manages the award and is assisted
must awaken to the challenge, learn their by the American Society for Quality (ASQ)
493
Fundamentals of Manufacturing Chapter 47: Continuous Improvement
Brue, G. 2002. Six Sigma for Managers. New York: Society of Manufacturing Engineers. 2003. “Cost of
McGraw-Hill. Poor Quality” DVD. Manufacturing Insights Video
Series. Dearborn, MI: Society of Manufacturing En-
Goldratt, E. M. 2004. The Goal. Great Barrington, gineers.
MA: North River Press.
Goldratt, E. M. 2004. Theory of Constraints. Croton-
on-Hudson, NY: North River Press.
Harry, Mikel and Richard Schroeder. 2000. Six
Sigma: The Breakthrough Management Strategy
Revolutionizing the World’s Top Corporations. New
York: Currency.
Maguire, Miles. 1999. “Cowboy Quality.” Quality
Progress 32, 10: 27-34.
Mitchell, Philip, ed. 1996. Tool and Manufacturing
Engineers Handbook, Fourth Edition. Volume 8:
Plastic Part Manufacturing. Dearborn, MI: Society
of Manufacturing Engineers.
National Institute of Standards and Technology.
“2011-2012 Criteria for Performance Excellence.”
Gaithersburg, MD: The Baldrige National Qual-
48
QUALITY STANDARDS
48.1 ISO 9000 publication of the standard. ISO 9000 was first
The International Organization for Standard- revised in 1994 and then subsequently in 2000
ization (ISO) has produced technical standards and 2005. The current edition of ISO 9001 was
since 1947. These standards, documented vol- published in 2008. The current edition of ISO
untarily, are regulatory specifications for such 9004 was published in 2009.
things as mechanical fasteners, springs, and According to the International Forum for
drafting procedures. In 1987, “ISO 9000—Quality Management Systems, ISO 9000 is important
Management Systems” was published and distrib- for four major reasons:
uted worldwide. This standard was different from 1. Product quality and business efficiency—the
previous standards in that it was designed to be standards are designed to help an organi-
more generally applied, whereas earlier standards zation review its production processes and
were specific in application. In particular, ISO establish systems to improve and maintain
9000 gives any organization, regardless of type the quality of its products and/or services.
or size, guidelines for establishing and improving By documenting processes and production
quality management systems. systems while implementing a quality man-
ISO 9000 is a family of standards containing agement system, ISO 9000 provides a manu-
three separate documents: “ISO 9000, Qual- facturer with a methodical means of review-
ity Management Systems—Fundamentals and ing operations, identifying inefficiencies and
Vocabulary,” defining the terms used in the gaps in systems, and implementing actions
standard; “ISO 9001, Quality Management Sys- to eliminate the inefficiencies and gaps.
tems—Requirements,” describing the regulatory 2. Competition—in certain industries, ISO
requirements that a company is audited to; and 9001 registration is widespread and is all
“ISO 9004, Managing for the Sustained Success but required to remain competitive against
of an Organization—A Quality Management companies who are already registered. In
Approach,” providing guidance on continually fields where ISO 9001 is recognized as an
improving a company’s performance and achiev- effective management tool, registration
ing long-term success. The U.S. has adopted the offers a significant business advantage to
ISO 9000 family of standards as the American a company over its competitors.
National Standards Institute/American Society 3. Customer requirements—more companies,
for Quality (ANSI/ASQ) Q9000 series. and certain industries, are requiring sup-
Continuous improvement is an evolutionary pliers to become ISO 9001 registered to
process and ISO 9000 requires continual review meet contract specifications for quality
to keep the standards up to date. Currently, this management. In certain countries, includ-
review must be initiated within 3 years of the ing members of the European Union (EU),
servicing processes that directly impact the only document that third-party auditors use
quality. to assess and register organizations.
10. Inspection and testing: Organizations must Third-party auditors conduct on-site visits
establish procedures for inspecting and to compare a company’s operations relative to
testing processes, products, and services the requirements of ISO 9001. When selecting a
to ensure conformance to requirements. third-party auditor, organizations should make
11. Control of inspection, measuring, and test certain the entity is duly accredited. The Regis-
equipment: Organizations are required to trar Accreditation Board (RAB) was established
establish a system to control, calibrate, in 1989. It is a nonprofit organization that pro-
and maintain inspection, measuring, and vides assessment services to organizations seek-
test equipment. ing to conform to regulatory standards such as
12. Inspection and test status: Suppliers must ISO 9001. RAB is financially self-supported and
identify the product’s inspection and test governed by a joint (American National Stan-
status. dards Institute [ANSI]-RAB) oversight board of
13. Control of nonconforming product: Suppli- directors that includes technical experts, busi-
ers are required to ensure that product not ness executives, industry representatives, and
conforming to specifications is not inadver- employees of registrar organizations. In 1996,
tently shipped to customers. the ANSI-RAB National Accreditation Program
14. Corrective and preventive action: Organi- (NAP) was formed. The NAP provides accredi-
zations must describe how they will correct tation of ISO 9001 registrars. As of January 1,
problems and prevent them from recurring. 2005, the ANSI-ASQ National Board (ANAB)
15. Handling, storage, packaging, preservation, replaced the ANSI-RAB NAP, which now forms
and delivery: Suppliers must document pro- the new American National Accreditation Body.
cedures to ensure product integrity. The registration process begins with the
16. Control of quality records: Organizations third-party auditor reviewing the company’s
are required to have a documented system
quality management system (QMS). The auditor
to identify, collect, access, store, and main-
then undertakes a non-mandatory pre-assess-
tain records.
ment in an attempt to identify any noncompli-
17. Internal quality audits: Organizations
ance between the company’s QMS and ISO
must have a plan in place to schedule and
9001 requirements. This step is followed by an
conduct internal audits, which are per-
auditor team assessment of the QMS and its
formed by an internal auditor.
documentation.
18. Training: Organizations are required to
The size of the audit team is based on several
train personnel to perform value-added,
factors such as the size of the organization and
qualified functions.
the product produced. If the company passes
19. Servicing: Organizations must provide
evidence that servicing, including repairs this assessment, it is awarded an ISO 9001
and maintenance, is carried out. certificate of registration.
20. Statistical techniques: Organizations are The last phase of the process involves periodic
required to determine the need for statistical reviews to verify that the company remains
analysis to ensure sound decision-making. compliant to the standard. Usually, every year
a third-party auditor conducts a surveillance
audit. The auditor randomly selects several ele-
48.3 ISO 9001 CERTIFICATION PROCESS ments to review the extent to which the company
An organization seeking certification should has remained in compliance. At the end of the
refer to the ISO 9000 family of standards for three-year period following initial certification
further information. However, “ISO 9001, Qual- to the standard, the organization will undergo
ity Management Systems—Requirements” is the a full recertification audit. This audit is as ex-
document any organization must follow to evalu- tensive as the original audit conducted when the
ate its ability to meet customer and applicable company was first registered to be in compliance
statutory specifications. Further, ISO 9001 is with ISO 9001.
500
Fundamentals of Manufacturing Chapter 48: Quality Standards
was also involved in the development, opening the company’s business plan, quality policy, and
the way for Japanese vehicle manufacturers to quality objectives and measures. The standard
join IATF in the future. specifies how objectives can be met and deployed
There are also customer-specific require- throughout the organization.
ments required by the individual subscribing Eight clauses comprise the standard: 1)
vehicle manufacturers. The sector-specific Scope, 2) Normative reference, 3) Terms and
standard was originally based upon four estab- definitions, 4) Quality management system,
lished automotive standards: ISO 9001, QS 9000 5) Management responsibility, 6) Resource
(U.S), AVSQ (Italy), EAQF (France), and VDA management, 7) Product realization, and 8)
6.1 (Germany). Measurement, analysis, and improvement. ISO/
Suppliers can improve products and pro- TS 16949:2002 also requires:
cesses, and provide additional confidence for
focus on the involvement of top manage-
global sourcing by obtaining certification to ISO/
ment and linking the business plan to
TS 16949. It is accepted by IATF participating
clearly defined and measurable quality
members as the international equivalent of QS
objectives;
9000, AVSQ, EAQF, or VDA 6.1 certifications.
focus on human resource management,
including processes for defining compe-
ISO/TS 16949:1999 tency requirements, providing training, and
In collaboration with the ISO, the IATF de- verifying the effectiveness of actions taken;
veloped and published the first edition of ISO/TS processes to motivate employees to reach
16949:1999, “Quality Systems—Automotive Sup- quality objectives, attain continual im-
pliers—Particular Requirements for the Applica- provement, and create an environment to
tion of ISO 9001:1994.” To emphasize continuous promote innovation;
improvement in the supplier base, the IATF later a process to measure the extent to which
revised the ISO/TS 16949:1999 requirements to personnel are aware of the relevance and
align with the ISO 9001 (2000) framework. importance of their activities and how they
contribute to the achievement of quality
ISO/TS 16949:2002 objectives;
focus on product and process design;
ISO/TS 16949:2002 successfully integrated
development of suppliers using ISO/TS
the supplier quality system requirements of the
16949:2002;
automakers from U.S., Germany, Italy, France,
ensuring effective control of internal and
Japan, Korea, and Malaysia, with the purpose
external laboratories;
of having a single standard and registration
conducting an internal audit program to
scheme. It details the fundamental, sector-spe-
ensure that management’s planned results
cific quality system requirements that sustain
and customer satisfaction requirements are
continuous improvement and emphasizes defect
being met;
prevention, while simultaneously reducing the
a process approach that requires a systems’
magnitude of variation and waste in the supply
review, not from the departments or func-
chain and encouraging improvement in custom-
tions as required by QS 9000 or ISO/TS
er satisfaction. These requirements also refer
16949:1999, from the standpoint of process
to automotive core tools in relation to APQP,
effectiveness with particular regard to in-
PPAP, MSA, FMEA, and SPC. Customer-specific
puts and outputs;
requirements are outlined by individual sub-
a process for the measurement of customer
scribing customers and are provided separately.
satisfaction via conducting effective pro-
The second edition, ISO/TS 16949:2002
cess, system, and product audits; and
focuses on an organization’s ability to realize
effective analysis of data to drive continual
its stated goals as well as achieve customer
improvement.
satisfaction by delivering conforming parts on
time to customer specification at acceptable The benefits associated with ISO/TS
cost. It focuses on effective linkages between 16949:2002 include:
502
Fundamentals of Manufacturing Chapter 48: Quality Standards
improved product and process quality; 48.4) Which standard does ISO/TS 16949 re-
additional confidence in global sourcing; place?
reassignment of supplier resources for qual- 48.5) Which ISO standard is ISO/TS 16949:2009
ity improvement; based on?
ensures a global quality system approach in
the supply chain for supplier/subcontractor
REFERENCE
development;
International Organization for Standardization. 2009.
reduction in variation;
“ISO/TS 16949:2009.” Geneva, Switzerland: Interna-
warranty cost savings; tional Organization for Standardization.
common language to improve understand-
ing of quality requirements;
continuous improvement of business perfor- BIBLIOGRAPHY
mance through ongoing certification audits; International Organization for Standardization. 2009.
improved staff morale through increased “ISO 9004:2009.” Geneva, Switzerland: International
management efficiencies; Organization for Standardization.
bottom-line benefits through increased ef-
International Organization for Standardization. 2008.
ficiency and effectiveness, reduced waste, “ISO 9001:2008.” Geneva, Switzerland: International
avoidance of premium freight costs, and Organization for Standardization.
better utilization of resources;
single quality system registration to meet International Organization for Standardization. 2005.
multiple customer quality requirements; “ISO 9000:2005.” Geneva, Switzerland: International
Organization for Standardization.
incorporates the best lessons learned from
the global automotive segment;
integrated and aligned processes;
foundation for implementation of business
excellence models and best practices;
foundation for implementation of continu-
ous improvement programs such as lean
and six sigma.
ISO/TS 16949:2009
Although the latest version is based on ISO
9001 (2008), the emphasis on using a process ap-
proach is stronger. ISO/TS 16949:2009 contains
the full text of ISO 9001 (2008) and automotive
industry-specific requirements. Updated refer-
ences, deletion of obsolete references, word-
smithing, and more stringent specifications lend
to amplifying the intent of the ISO/TS 16949
(2009) standard.
REVIEW QUESTIONS
48.1) What is the primary difference between
ISO 9000 and QS 9000?
48.2) Which ISO standard is used by auditors
to compare companies against during the certi-
fication process?
48.3) How long does ISO 9001 certification last
before a full recertification audit is required?
49
DIMENSIONAL METROLOGY
company. The chain of standards ends at the and a rule is the unit of length. Because rules
shop floor. are so frequently used on a variety of work, a
Using a micrometer, a lathe operator checks wide selection exists. Rules are graduated in
the diameter of the shaft being turned. The mi- the U.S. customary or metric system units and
crometer has a precision thread on the spindle sometimes graduations for both systems are
and a scale engraved on the barrel or a digital provided on a single rule. The graduations can
readout. These combine to form the standard be on each edge of both sides and sometimes on
by which the diameter of the shaft is measured. the ends. U.S. customary graduations are com-
But how accurate is this standard? When the monly as fine as .01 in. (in decimals) or 1/64 in.
micrometer indicates a value of .750 in. (19.05 (in fractions). Metric graduations are usually as
mm), does it really mean that the dimension it is fine as 0.5 mm.
measuring is actually .750 in. (19.05 mm)? The Rules can be used in combination with some
accuracy of the micrometer is checked by using refinements, such as a combination square, to in-
it to measure a known dimension, normally the crease their applications. Combination squares
length of a gage block. The value of the gage combine the rule with a specific head, which may
block is determined in turn by comparing it with be a square, protractor, or center head.
a master block of higher accuracy, and so on,
until the basic standard is reached. The process Slide Calipers
of comparing one standard or measuring device
against a higher-order standard of greater ac- Slide calipers are a refinement of the steel
curacy is known as calibration. Through the rule and are capable of more accurate measure-
process of calibration, all measurements are ments. With these tools, a head or pair of jaws
related back to the primary standard. In other is added to the rule; one jaw is fixed at the end
words, traceability is maintained to ensure that and the other movable along the scale. The mov-
all measurements are consistent. The require- able jaw may be clamped to lock the setting and
ments for traceability go together with the the slide is graduated to read inside or outside
requirements for interchangeability. measurements. The scale is graduated in incre-
Two basic types of measurement exist: ab- ments of either 1/32 in. or 1/64 in. for the U.S.
solute or direct measurement, and comparative customary system and in increments of 0.5 mm
measurement. Although all measurements are for the metric system.
comparative in nature, the term is normally
reserved for situations where like or essen- Vernier Calipers
tially like items are compared. For example, if A typical vernier caliper has a stationary bar
the length of a gage block is measured with a and a movable vernier slide assembly. More pre-
micrometer, the measurement is classified as cise than a typical slide caliper, the stationary
direct. If the length of the gage block is com- rule is a hardened, graduated bar with a fixed
pared to the length of a known gage block with measuring jaw. The stationary rule frequently
a dial indicator, the measurement is classified is graduated in increments of .025 in. in the
as comparative. U.S. customary system and 1 mm in the metric
system. A movable jaw, vernier plate, clamp
ABSOLUTE OR DIRECT MEASUREMENT screws, and adjusting nut comprise the vernier
Examples of absolute or direct measurement slide assembly, which moves as a unit along the
instruments include rules, calipers, height graduations of the bar to bring both jaws in con-
gages, and micrometers. tact with the work.The vernier plate is graduated
in increments of .001 in. in the U.S. customary
Rules system and 0.02 mm in the metric system.
The rule is a basic measuring tool from
which many other tools have been developed. Caliper Height Gages
Rules are different than scales because a scale Like the vernier caliper, the caliper height
is graduated in proportion to a unit of length gage consists of a stationary bar or beam and
505
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
a movable slide. The graduated, hardened, turn. Micrometers graduated in the inch system
and ground beam is combined with a hard- advance .025 in. for each turn; those graduated in
ened, ground, and lapped base. The vernier slide the metric system advance 0.5 mm for each turn.
assembly can be raised or lowered to any posi- Micrometers have both a linear and cir-
tion along the bar. It can be adjusted in thou- cumferential scale. The linear scale measures
sandths of an inch (U.S. customary system) or the axial advance of the spindle. It is usually
hundredths of a millimeter (metric system) by graduated in increments identical to the pitch
means of the vernier slide fine-adjusting knob. of the micrometer screw. The circumferential
Caliper height gages are primarily used for ei- scale indicates the amount of partial rotation
ther layout or measurement. Marking off verti- that has occurred since the last complete revolu-
cal distances and measuring height differences tion. For inch-based micrometers, this scale is
between steps at various levels are common ap- divided into 25 equal parts, with each division
plications. When marking off distances, scribers representing .001 in. For metric-based microm-
are attached to the contact jaw. A dial indicator eters, the circumferential scale is divided into
is typically attached to the height gage for mak- 50 equal parts, with each division representing
ing comparison measurements. However, height 0.01 mm. Some micrometers also have a third
gages are notorious for inaccuracy due to their scale that permits the fractional evaluation of
large height-to-base length ratio. circumferential graduations.
Example 49.2.1. What is the shaft diameter
Dial Calipers measured by the 1-in. micrometer in Figure 49-2?
Similar to vernier calipers, dial calipers have Solution. Each graduation on the barrel of the
a stationary bar and a movable slide assembly. micrometer is .025 in. Therefore, the shaft di-
The bar is graduated in increments of .1 in. (2 ameter is at least .150 in. but less than .175 in.
mm) and is available in sizes ranging from 4–12 To determine the diameter, the thimble value is
in. (100–300 mm). The vernier plate is replaced added to the barrel value. The thimble is gradu-
by a caliper dial graduated in increments of ated from 0 to .025. Therefore, the shaft diam-
.001 in. (0.02 mm). A pinion gear actuates the eter is .150 in. + .017 in., which equals .167 in.
dial hand as it moves along a rack located in
the stationary bar. Because the dial caliper is
direct reading, there is no need to determine the COMPARATIVE MEASUREMENT
coincident line on a vernier scale. This feature Comparative measurements have the advan-
facilitates the reading of these instruments. Dial tage of being considerably more accurate than
heads are also incorporated on caliper height direct measurements. The relative size of two
gages and depth gages. similar gage blocks is known with much greater
accuracy than the absolute size of either. The
Digital Calipers
Digital calipers incorporate a liquid crystal
display (LCD) and are capable of interfacing
with a data collection device. Both inch and
metric units are incorporated in one tool. The
electronic feature is available on calipers, height
gages, depth gages, and micrometers.
Micrometers
Many micrometers are available for different
applications. The three major types are: outside,
inside, and depth micrometers. All work on the
principle that an accurately made screw will
advance a specified distance with each complete Figure 49-2. One-inch micrometer.
506
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
Dial Indicators
The magnification of a dial-type indicator is
obtained by means of a gear train. This type of
indicator is most commonly used because its
magnification accuracy meets the large major-
ity of requirements. A typical dial indicator is
shown in Figure 49-3.
The amplification of dial indicators ranges
from approximately 40:1 to about 1,500:1. On
long-range indicators, revolution counters track
the revolutions of the main hand.
The readings on dial indicators may be con-
tinuous or balanced as illustrated in Figure
49-4. For continuous dials, the graduations
are normally numbered clockwise from 0 to
the range included in one complete revolution
of the pointer. This arrangement is best for
measuring linear displacements. Balanced
Figure 49-3. Dial indicator (Wick and Veilleux 1987).
dials have the graduations numbered system-
atically in both directions from the starting
0. This arrangement is best for comparative as the amplification increases (Busch, Harlow,
measurements. and Thompson 1998).
When selecting a dial indicator, generally
the highest precision for the range required is Test Indicators
chosen. The part feature tolerance should be Test indicators sense and measure displace-
spread over 10 dial divisions. In other words, ments that occur in a direction perpendicular to
the indicator discrimination should be 10% the shaft of the contact point as shown in Figure
of the part feature tolerance. The tolerance 49-5. Magnification is obtained by gears and
should only consume 10–25% of the indica- levers. Because they are small, test indicators
tor’s dial. Dial indicators lose accuracy as their are particularly useful in setup inspection and
range increases, and their sensitivity decreases toolroom work.
507
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
Figure 49-5. Typical test indicator (Wick and Veilleux Gage Blocks
1987). Linear measurement and size agreement of
parts, tools, and gages manufactured by vari-
ous companies in different locations is essential
Optical Comparators to interchangeability. Gage blocks are master
An optical comparator (sometimes called an gages that provide the reference standard for
optical or profile projector) is a measuring micro- comparison in linear measurement. They are
scope for small parts. It has a stage for mounting made of high-grade steel or other wear-resistant
parts to be measured and/or inspected, stage materials such as carbide and ceramic. Gage
transport mechanisms, stage lighting, an optical blocks are available individually or in sets,
path that is usually folded by mirrors within the both in the U.S customary and metric systems
machine itself, and a viewing and control area of measurement.
where the operator/inspector works. The image The current gage block standard, ASME
appears on the screen as either an inverted (re- Standard B89.1.9-2002 (R2007), specifies five
versed) or erect image; the part is seen exactly grades of gage blocks, 00, 0, AS-1, AS-2, and a
as it is staged. Optical comparators are available calibration grade K. An earlier standard, Federal
with magnifications ranging from 5–500×. Figure Specification GGG-G-15C, specified four grades
49-6 illustrates a typical horizontal optical com- of gage blocks, 0.5 (master grade for reference), 1
parator (Wick and Veilleux 1987). (laboratory grade for reference and calibration),
Both translational measurement and direct 2 (precision or inspection grade for tool room/
measurement can be used with an optical com- inspection), and 3 (working grade for shop stan-
parator. Translational measurement involves dards, fixtures, and gaging).
using the micrometer barrels to move the In addition to the different grade names,
stage. Accuracy using this method depends under B89.1.9-2002, the size tolerance applies
on the accuracy built into the stage movement to all points on the gaging surface. Under
508
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
GGG-G-15C, the size tolerance only applied to Table 49-3. Potential gage block
the reference point. equivalencies (ASME B89.1.9-2002)
Table 49-1 illustrates size tolerances for Standard Grade
select sizes under the current standard,
B89.1.9-2002 00 0 AS-1 AS-2
B89.1.9-2002. Size tolerances for select sizes
under Federal Specification GGG-G-15C are GGG-G-15C 1 2 3 none
outlined in Table 49-2. Table 49-3 defines po-
tential replacement grades for the GGG-G-15C
specification.
When individual gage blocks are combined
to provide a specific measurement, they are
assembled together using a technique known as
“wringing.” Wringing is achieved by sliding the
mating gaging surfaces on each other until they
adhere to such a degree that considerable force
must be exerted to break the wring.
Table 49-1. ASME B89.1.9-2002 size tolerances for select gage block sizes, μin. (μm)
Nominal Size Grade 00 Grade 0 Grade AS-1 Grade AS-2
Thru .05 in. (0.5 mm) ±4 (±0.10) ±6 (±0.14) ±12 (±0.30) ±24 (±0.60)
Thru .4 in. (10 mm) ±3 (±0.07) ±5 (± 0.12) ±8 (± 0.20) ±18 (±0.45)
Thru 1.0 in. (25 mm) ±3 (±0.07) ±6 (±0.14) ±12 (±0.30) ±24 (±0.60)
Table 49-2. Federal specification GGG-G-15C size tolerances for select gage block sizes, μin. (μm)
Nominal Size Grade 0.5 Grade 1 Grade 2 Grade 3
Thru .4 in. (10 mm) ±1 (±0.03) ±2 (±0.05) +4, –2 (+0.10, –0.05) +8, –4 (+0.20, –0.10)
Thru 1.0 in. (25 mm) ±1 (±0.04) ±2 (±0.08) +4, –2 (+0.15, –0.08) +8, –4 (+0.30, –0.15)
509
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
probe. The probe is then moved, manually or by tor using the instrument. Realizing and quan-
machine control, until contact is made with de- tifying the amount of error in a measurement
sired part features. Reader heads, traveling on permits the results to be used more appropri-
each axis along built-in axis measuring scales, ately. Focusing on minimizing the magnitude
transfer the instantaneous machine position to of measurement error will result in accurate
the computer interface. The dimensional and and repeatable measurements. Minimizing
geometric elements may then be calculated, measurement error requires using the correct
compared, and evaluated, or stored or printed instrument, correct measuring technique, and
out as required. Direct computer controlled consistent conditions.
(DCC) CMMs are equipped with axis drive Types of measurement errors include the fol-
motors, which are program controlled to au- lowing: instrument, parallax, bias, technique,
tomatically move the sensor element (probe) and condition (Busch, Harlow, and Thompson
through the sequence of positions (Schrader 1998).
and Elshennawy 2000).
Several types of probes are available such as INSTRUMENT ERROR
the hard probe, touch trigger probe, and noncon-
Because of inherent accuracy limitations due
tact sensor. Hard probes are relatively durable;
to the instrument’s construction in addition to
however, they can lead to measurement errors
calibration issues, instrument errors will occur.
depending on the contact pressure applied. Touch
trigger probes operate as extremely sensitive
electrical switches that can detect surface contact. PARALLAX ERROR
Noncontact sensors, as their name implies, collect Parallax error refers to a measurement error
geometry data using devices such as a charged due to the position of the operator with respect
couple device (CCD) camera or laser. Noncontact to the instrument. For example, depending
sensors can collect a large amount of data more on the position of an observer relative to the
quickly than touch probes, which can be advanta- face of a dial indicator, different values will be
geous for measuring complex geometries. obtained.
One key factor when using a CMM is determin-
ing the number of points necessary to accurately
BIAS ERROR
define geometric features. CMM software uses
algorithms to create shapes such as planes, Bias indicates that an operator will uncon-
cylinders, etc., from the measured points. Based sciously influence a measurement. For example,
purely on geometry, two points are needed to if a measurement falls between 4.11 and 4.12,
define a line, three for a circle or plane, four for the operator may record 4.12 if he or she is bi-
a sphere, and five for a cylinder (Busch, Harlow, ased toward even numbers.
and Thompson 1998). Because most parts are
not comprised of perfect geometric shapes, more TECHNIQUE ERROR
points must be measured to accurately define the Technique error, sometimes called manipula-
various shapes and inspect geometric tolerances tive error, is due to using the instrument incor-
such as form, orientation, location, etc. Measuring rectly. For example, when using a rule, its axis
more points requires more time and thus higher must lie along the line of measurement, not on
costs. However, the increase in accuracy begins an angle to it.
to diminish as the number of points measured
increases. Therefore, based on cost and accuracy,
there is a practical limit on the number of points
CONDITION ERROR
that need to be measured for a given application. Condition error refers to the conditions
under which the measurement instrument
is used. Temperature fluctuations can cause
49.4 MEASUREMENT ERROR inaccurate measurements. Most materials
Measurement errors exist regardless of the expand and contract to some extent when
instrument’s precision or the skill of the opera- heated and cooled.
510
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
49.5 QUALIFYING TOLERANCES WITH GAGES Gage tolerance states the permissible
Quality control of manufactured components variation in the manufacture of the gage.
often calls for determining if a dimension is It is typically 10% or less of the working
within the limits specified by the tolerance. tolerance.
This type of inspection is performed with gages, Wear allowance compensates for the wear
which are special tools designed to determine if of the gage surface as a result of repeated
a fixed dimension lies within the proper limits. use. The allowance for wear is only applied
A gage is dedicated to a particular dimension to the nominal size of the “go” side of the
and specific tolerances. If a dimension or the gage since the “no-go” side should seldom
associated tolerances are changed, a new gage see contact with a part’s surface. Wear
must be made. allowance is typically 5% of the working
Two types of gages are commonly used for tolerance.
qualifying parts: snap gages and plug gages. A Example 49.5.1. Design a plug gage to qualify
snap gage, as shown in Figure 49-8a, is used for the internal diameter shown in Figure 49-9. Use
external dimensions such as the diameter of a a 10% gage tolerance and a 5% wear allowance.
shaft. A plug gage, as shown in Figure 49-8b, is Solution. The gage and wear tolerances are
used to qualify an internal dimension, typically determined first. The total gage tolerance will
an internal diameter. Both of these gages have be 10% of the total tolerance of the dimension.
a go and a no-go feature on them. In the case of a The gage tolerance is:
plug gage, one side must be able to “go into”
a hole being gaged, while the other side must .1 × .002 in. = .0002 in.
“not go into” the same hole for the diameter to
The wear allowance is:
be within the specified limits.
In the design of any gage, a key principle .05 × .002 in. = .0001 in.
is that it is better to reject a good part than to
declare a bad part to be within specifications. The gage tolerance is applied on both the
All gage design decisions are made with this go and no-go sides of the gage. Each side has a
principle in mind. Gages must have tolerances .0002-in. gage tolerance applied unilaterally. A
like other manufactured components: wear allowance is only applied to the nominal
size of the go side, which is typically the only side
of the gage subject to wear. The go side has a
.0001-in. wear allowance applied to the diameter
of the “plug” or the diameter used for gaging.
Figure 49-8. (a) Snap and (b) plug gage. Figure 49-9. Internal diameter to be qualified.
511
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
Next, the go and no-go sides’ plug dimensions .1 × .004 in. = .0004 in.
are determined. The go side must be inserted The wear allowance is:
into the smallest hole that meets specifications
(.502 in.). The gage dimension is based on this .05 × .004 in. = .0002 in.
diameter and is increased by the wear allowance Each side of the gage has a .0004-in. gage
so the gage diameter approaches the smallest tolerance applied unilaterally to the distance
specified diameter as the gage wears. Some parts between the gage surfaces. Since the go side is
within specification will be rejected, but this subject to the most wear, a .0002-in. wear allow-
is consistent with the principle of gage design. ance is applied to the gap distance on the go side.
Similarly, the .0002-in. gage tolerance is applied The go side must be able to fit over the larg-
unilaterally on the positive side. This permits est shaft within specifications (3.500 in.). This
a gage to be fabricated that will reject a small diameter is decreased by the wear allowance so
number of good parts, but this condition is also that the gage approaches the largest specified
consistent with the design principle. diameter as it wears. The .0004-in. gage toler-
The no-go side must not be able to be inserted ance is applied unilaterally on the negative side.
in any hole within specifications. The nominal The no-go side should not be able to fit over
diameter of this side is equal to the upper limit any shaft within specifications. The nominal
on the gaged dimension or .504 in. The .0002- diameter of this side is equal to the lower limit
in. gage tolerance is applied unilaterally on the on the gaged dimension or 3.496 in. Gage toler-
negative side. Consequently, it is possible that ance of .0004 in. is applied unilaterally on the
the no-go side can be inserted into a small num- positive side.
ber of holes that are within specification, but The resulting gage design is shown in Fig-
this too is consistent with the design principle. ure 49-12.
The resulting gage design is shown in Fig- Another method for determining gage tolerance
ure 49-10. is by specifying the class of gage to be used. Table
49-4 outlines four common classes of gagemak-
ers’ tolerances. Class XX gages are used primar-
ily as master gages and for final close tolerance
inspection. Gages in Class X are used for some
types of master gage work, and as close tolerance
inspection and working gages. Those in Class Y
are used as inspection and working gages. Gages
Figure 49-10. Plug gage design. in Class Z are used as working gages where part
tolerances are large and the number of pieces to
be gaged is small. Going from Class XX to Class
Example 49.5.2. Design a snap gage to qualify
Z, tolerances become increasingly greater and the
the external diameter on the shaft shown in
gages are used for inspecting parts having increas-
Figure 49-11. Use a 10% gage tolerance and a
ingly larger working tolerances. The smaller the
5% wear allowance.
gage tolerance is, the more expensive the gage
Solution.
(Nee 2010).
The gage tolerance is:
Figure 49-11. External diameter to be qualified. Figure 49-12. Snap gage design.
512
Fundamentals of Manufacturing Chapter 49: Dimensional Metrology
Example 49.5.3. Design a Class Z go/no-go gage 49.4) What is the diameter of the shaft mea-
to qualify an internal diameter with the follow- sured with the 1-in. micrometer in Figure Q49-1?
ing dimension (in inches). Do not include a wear
allowance.
+.002
.250
−.002
+.0001 +.0000
Go: .2480 No go: .2520
−.0000 −.0001
Figure Q49-1. Question 49.4—1-in. micrometer.
+.000
2.150
−.002
49.8) Design a Class Z go/no-go gage capable of
qualifying the following internal diameter (in
inches). Do not include a wear allowance.
+.004
3.000
−.000
REFERENCES
American Society of Mechanical Engineers. 2002.
ASME B89.1.9-2002, “Gage Blocks.” New York:
American Society of Mechanical Engineers.
Busch, Ted, Roger Harlow, and Richard Thompson.
1998. Fundamentals of Dimensional Metrology, Third
Edition. Albany, NY: Delmar Publishers.
Nee, John G., ed. 2010. Fundamentals of Tool Design,
Sixth Edition. Dearborn, MI: Society of Manufactur-
ing Engineers.
U.S. Government Printing Office. 1975. Federal Speci-
fication GGG-G-15C. “Gage Blocks and Accessories.”
Washington, DC: U.S. Government Printing Office.
Wick, Charles and Raymond Veilleux, eds. 1987. Tool
and Manufacturing Engineers Handbook, Fourth
Edition. Volume 4: Quality Control and Assembly.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Society of Manufacturing Engineers. 2007. “Gaging
and Inspection Tool Design.” Fundamentals of Tool
Design Series. Dearborn, MI: Society of Manufactur-
ing Engineers.
Society of Manufacturing Engineers. 2003. “Measure-
ment and Gaging” DVD. Fundamental Manufacturing
Processing Series. Dearborn, MI: Society of Manufac-
turing Engineers.
50
NONDESTRUCTIVE TESTING
Nondestructive testing (NDT) is a comprehen- There has been much interest and develop-
sive term that refers to tests performed on parts ment in NDT because of increased requirements
for the following purposes: for product reliability and safety. In addition,
intensified government regulations and global
to verify physical attributes such as size,
competition are driving research and continuous
shape, weight, color, or composition, and/or
improvement in NDT. Manufacturing engineers
to identify defects.
and technicians are familiar with many of the
As the term implies, NDT allows manufactur- more common NDT methods. These include vi-
ing inspectors to verify discrete parts without sual inspection, direct measuring instruments,
rendering them unusable. The primary function and coordinate measuring machines. Other
of nondestructive testing is to identify product methods include:
nonconformities that violate customer expecta-
liquid penetrant testing,
tions. The purpose of the nondestructive aspect
magnetic particle testing,
of NDT is to increase throughput. Specifically,
ultrasonic testing,
NDT permits tested parts to be salable. It is also
radiographic testing,
used to identify those parts that are minimally
eddy current testing,
compromised, yet acceptable in certain situ-
leak testing, and
ations. Inspectors experienced with NDT are
acoustic emission testing.
capable of testing and measuring products to
determine the extent that flaws may jeopardize 50.1 LIQUID PENETRANT TESTING
part reliability and maintainability.
In liquid penetrant testing, a test piece is
NDT techniques are extremely versatile. For
coated with a solution that contains a visible or
example, NDT is regularly used to check bond-
fluorescent dye. Excess solution is removed from
ing, brazing, and welding integrity, in addition
the surface of the object and a developer is ap-
to castings, laminates, and fluids. Different NDT
plied to draw the penetrant out of any cracks or
methods are capable of a variety of inspection
discontinuities. With fluorescent dyes, ultravio-
tasks. Some of these include the identification or
let light is used to make the imperfections show
measurement of:
up in a bright color, thus allowing any flaws to
interior cracks, porosity, holes, and ruptures; be readily seen as illustrated in Figure 50-1.
material thickness; All types of surface cracks, porosity, and other
conductivity; defects that reach the surface can be detected by
metallurgical properties; liquid penetrant testing. It works on most non-
weld integrity; and porous materials and can be used to efficiently
surface flaws and texture. inspect relatively large areas.
Fundamentals of Manufacturing 515
516
Fundamentals of Manufacturing Chapter 50: Nondestructive Testing
REFERENCE
Wick, Charles, and Raymond Veilleux, eds. 1987. Tool
and Manufacturing Engineers Handbook, Fourth
Edition. Volume 4, Quality Control and Assembly.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Society of Mechanical Engineers. 2007. “Mechanical
and Nondestructive Testing” DVD. Fundamental
Manufacturing Processes Series. Dearborn MI: Society
Figure 50-5. Eddy-current testing. of Mechanical Engineers.
Part 9
Manufacturing Management
51
MANAGEMENT INTRODUCTION
51.1 MANUFACTURING MANAGEMENT HISTORY various components from various factories and
Various facets of manufacturing management businesses, he had an opportunity to witness
can be traced back to the Egyptians. However, manufacturing environments. Like Smith, he
believed in division of labor. However, Babbage
the origin of “modern” manufacturing manage-
went further by suggesting that wages be com-
ment dates back to the Industrial Revolution.
mensurate with specific skills. He was also an
Prior to the Industrial Revolution, society was
advocate for profit sharing and is credited with
primarily agricultural and craft based. People
being one of the pioneers of operations research.
generally used and consumed what they created
Frederick Taylor, sometimes referred to as
or goods were created locally. The Industrial
the “father of scientific management,” suggested
Revolution marked the beginning of modern
management assume new duties such as:
industry and the necessity for an evolution in
manufacturing management theories and prac- Develop a science for each element of work
tices. Many people such as Adam Smith, Charles as opposed to using the rule-of-thumb
Babbage, Frederick Taylor, Henry Gantt, and method.
Frank and Lillian Gilbreth, among others, con- Scientifically select and train each worker
tributed to this evolution. Many contemporary to do a specific job.
manufacturing management styles and prac- Cooperate with all workers to ensure that
tices find their roots in the developmental work work being done is in accordance with the
of these individuals. principles of science and developed processes.
Adam Smith was a famous economist and Take over all work for which they are better
well known for his work, Wealth of Nations. suited than the workers.
With regard to manufacturing management, Henry Gantt worked with Frederick Taylor
Smith believed that a division of labor would and is well known for his development of the
lead to increased productivity. He proposed that Gantt chart. A Gantt chart is a graphical tool
if an individual specialized in one task or job, for showing task start and end times and tasks
he would be more productive. The end result completed versus tasks that need to be com-
would be an overall increase in productivity. pleted. Gantt, unlike Taylor, showed interest in
Smith also believed wages only should be high the human aspect of the job as opposed to the job
enough for people to survive. He believed excess itself. He believed this would lead to achieving
wages would detract from a company’s ability organizational goals. The ideas of both Taylor
to reinvest into machinery and further growth. and Gantt are found in management styles
Charles Babbage is well known for his de- used today.
velopment work on the analytical engine, a Frank and Lillian Gilbreth are pioneers of
precursor to the computer. While acquiring the methods engineering and work measurement.
Fundamentals of Manufacturing 521
522
Fundamentals of Manufacturing Chapter 51: Management Introduction
Frank Gilbreth originally worked as a brick layer ted to the receiver. These might include body
and noticed a variety of methods for performing movement and facial expression, vocal charac-
the same job. From that point, he and his wife teristics, physical distance between sender and
developed many tools such as charts and motion receiver, and time orientation. Other significant
studies to help evaluate and improve a variety of barriers include role perception in the company,
jobs. Some of the tools included micromotion and hierarchy between sender and receiver, selective
memomotion, which are motion picture record- listening, use of jargon, perceived credibility of
ings of work that can be replayed and analyzed. the source, and filtering based on personal agen-
The remaining parts of the chapter will pro- das and other factors (Veilleux and Petro 1988).
vide an introduction to various components of Graphic communication is an important
modern manufacturing management. complement to other techniques such as
face-to-face, oral, or written communication,
51.2 COMMUNICATION such as newsletters, e-mail, etc. A person re-
members about 10% of what is read, 20% of
The communication model, shown in Figure
what is heard, 30% of what is seen, and 50%
51-1, indicates a fairly simple process. The com-
of what is seen and heard (Veilleux and Petro
municator and receiver are individuals in the
1988). Charts, slides, cartoons, transparen-
organization at any level. Encoding is simply
cies, posters, and videotaped presentations
the means for translating the idea into some
are significant means of conveying information
symbolic form, a language. The result of this
to employees. On the manufacturing floor, vi-
encoding is the message. Included in the mes-
sual cues for operators, trouble light (andon)
sage is the purpose. A message may take verbal
boards, and graphically based job aids or op-
and nonverbal form. In addition, however, there
erator instructions are all quick and effective
may be unintended messages, perhaps uncon-
means of communication.
scious ones sent by the communicator. The
medium is the carrier of the message whether
it be written, oral, face-to-face, or in the form of 51.3 ENGINEERING ETHICS
memos, announcements, schedules, forecasts, Ethics refers to the system of moral principles
evaluations, and so on. Decoding is essentially and values established and/or demonstrated by
the thought process of the receiver, which inter- individuals. The subject of ethics is neither pre-
prets the message and depends in part on the role cise nor organized in business, despite the entire
of the individual in the organization. The effec- field of business law and a large amount of busi-
tiveness of the communication can be evaluated ness literature written on relevant moral issues.
by how well the receiver obtains the message A high standard of human behavior and the good
as it was intended to be understood by the principles guiding it are the core of civilized life.
sender (Veilleux and Petro 1988). In many cases, those ethical people who follow
There are many barriers to communication. good principles are trusted, respected, honored,
People may say one thing and appear to mean and favorably viewed by other people, and espe-
another because of nonverbal cues transmit- cially by business associates.
Because so much is contractual and prom- thority. This is similar to dealing with different
issory in nature, the ethical qualities of par- unions in which every employee involved is not
ticipants are critically important. A business a member of the contract authoring body. Fur-
must operate through agents and get its job ther, international firms can experience greater
done through people, so this concern extends complications as slightly different ideologies try
from the top of the organization, which sets to merge into one. Other complicating factors
overall policies, to the bottom, which follows come into play, such as the various cultures,
the example set by management. Therefore, values, and ethical perspectives of countries
management should: a) demonstrate and de- other than the U.S.
mand ethical behavior; b) take clear and swift Approximately 75% of U.S. firms have a
action to correct inappropriate conduct; and c) written code of ethics. It should be recognized
place value on the use of ethics in training and that differing conditions in separate firms make
performance evaluations. it unrealistic to standardize a detailed code of
A person who is unethical should not be toler- ethics for all organizations. A code of ethics
ated by a business organization. There are many should be specific to an organization, as it aids
unethical opportunities in commerce tempting in defining and guiding real-life practices. The
those with weak principles. Therefore, good code of ethics for the Society of Manufacturing
conduct must be immediate and instinctive. Engineers (SME), as shown in Figure 51-2, is
For example, suppose a flaw exists in a minor a good example of a professional code of ethics.
part used in a jetliner. This flaw, and its use in
the airplane, can result in an extremely costly 51.4 MANUFACTURING SUPERVISION AND MANAGEMENT
loss to the fleet, and in human lives and prop-
erty, if a crash results. Insurance rates would This section will explain the difference be-
tween supervision and management, as well as
climb, lawsuits mount, and the airline and
describe the important elements of management
airframe manufacturer may experience such a
activities.
crushing loss in reputation that their futures
may be in jeopardy. Of course, they go on to sue
the parts manufacturer, which would probably SUPERVISION
have to close its doors. And all of this can occur Supervision is the motivation and guidance
if a single worker chooses to act unethically and of subordinates toward goals established by
knowingly uses a bad part rather than to delay the enterprise. Historically, this role has been
his or her production activity. The possibility of taken by the first level of management with
this happening can be reduced if management direct oversight of production workers. While
expects a high standard and demonstration of the traditional “command-and-control” supervi-
ethical behavior. sor still abounds, manufacturing organizations
An ethical problem in business is often a gray are moving to supplant this role by employing
area beyond the reach of existing laws. One tool hourly team leaders and supervisors who act as
for dealing with gray area matters is for each coaches and facilitators rather than autocrats.
company, industry, and profession to develop a The supervision of technical employees is
code of ethical work behavior. Of course, where distinct from that of production employees. With
employees must abide by both professional and technical employees, such as engineering techni-
company codes, there can be an overlap so long cians or manufacturing engineers, supervision
as they do not conflict. is much less direct. These employees exercise
Professional codes may serve two purposes. much more autonomy and need less direction,
They can recommend appropriate rulings to the relying on management for support and to act
firm as well as help shield the professional from as a liaison to higher levels of management.
having to carry out inadvisable actions. A single However, the supervisor is still responsible for
firm might have to deal with codes of varying the work being done and has additional work
content and strength from many outside societ- not required of first-line supervision such as
ies that can be local, regional, or national in au- budgets and personnel evaluations.
524
Fundamentals of Manufacturing Chapter 51: Management Introduction
Figure 51-2. Professional code of ethics adopted by the Society of Manufacturing Engineers.
525
Fundamentals of Manufacturing Chapter 51: Management Introduction
There are two traditional theories of supervi- level, a leader uses interpersonal influence in
sion known as Theory X and Theory Y. Supervi- dealings with subordinates, superiors, peers,
sors typically utilize both theories but have and others to accomplish goals of the organi-
overriding tendencies toward one or the other. zation. Measures of leadership must assess
Theory X assumes the average worker dislikes both how a job gets done and the effects of that
work and avoids it whenever possible. To induce chosen method on others and the organization.
adequate effort, the supervisor must threaten Leadership theories will be presented in the
punishment and exercise careful supervision. It next chapter.
is assumed that the average worker avoids in-
creased responsibility and seeks to be directed. Planning
Theory X managers normally exercise authori-
Planning has been considered a key respon-
tarian-type control and allow little participation
sibility of management for most of the last cen-
in decision-making.
tury, but has taken on more importance in the
Theory Y assumes the average worker wants
recent period of rapid change. Manufacturing
to be active and finds the physical and mental
managers today must:
effort on the job satisfying. The greatest results
come from willing participation, which tends prepare for problems that develop from
to produce self-direction toward goals without bad management decisions or unexpected
coercion and control. The average worker seeks changes;
opportunity for personal improvement. Theory Y promote flexibility and adapt to market and
managers normally advocate participation and manufacturing changes;
the management-employee relationship. identify new business opportunities;
In addition to the traditional theories, there identify key problem areas and foster mo-
is Theory Z, which is a combination of Japanese tivation to resolve problems;
and American management styles. It empha- enhance the generation of new ideas;
sizes long-term employment and concern for communicate top management’s expecta-
employees themselves, not just for their work tions down the line;
performance. Decision-making is done collec- foster employee self-control;
tively based on input from all functional areas. promote organizational learning;
Employees may not agree with every decision, communicate line managers’ concerns to
but their viewpoint is always heard and consid- top management;
ered. Theory Z encourages the bottom-up process integrate diverse functions and opera-
wherein initiative, change, and problem-solving tions; and
are accomplished best by those who are closest to enhance innovation.
the problems. Middle managers act as initiators
In a given organizational context, generic
and coordinate with other managers to present
planning and control systems consist of several
solutions to senior management who facilitate
key elements: a) a plan or desired state; b) ac-
the process.
tual performance; and c) controls that compare
the plan with actual performance and suggest
MANAGEMENT changes to promote the desired state. Such a
Management can be defined as the activity “plan, do, review” sequence is typical in many
that allocates and utilizes resources to achieve manufacturing organizations.
organizational goals. Some common components
of management include leadership, planning, Budgeting
budgeting, and control.
A budget is a financial plan for an organi-
zational unit. The budget should permit plan-
Leadership ning, coordination, and control of the flow of
A leader, as viewed from the “big” picture, is capital for a given unit in conjunction with
an individual who has brilliant ideas and the divisional or company budgets. In manufactur-
capacity to inspire others. On a more pragmatic ing, the budgeting process involves planning
526
Fundamentals of Manufacturing Chapter 51: Management Introduction
for costs such as indirect labor, overhead, and Accountability is the state of being totally
general/administration into the future. answerable for the satisfactory completion
of a specific assignment.
Control The following sections discuss the various or-
Management control is the process by which ganizational structures: line-and-staff, product,
managers ensure that resources are obtained and matrix.
and used effectively and efficiently in achieving
the organization’s objectives. Reaching organi-
zational goals is facilitated by implementing
LINE-AND-STAFF STRUCTURE
strategies identified in the planning process. The traditional line-and-staff structure di-
The control process must be accomplishable vides the organization into functional groups or
through the use of technology and people. departments based on job similarity. Each group
While manufacturing converts raw materials or department has a supervisor or department
and adds value to them through processes and head who, in turn, reports to another supervisor
people, the controlling subsystem ensures that as illustrated in Figure 51-3.
the intermediate and end product meet quality Line-and-staff refers to relationships within
standards and schedules. Through the use of an organization. Line relationships are those
predefined goals, objectives, and quality stan- established by the flow of authority. Staff rela-
dards, the management control system records, tionships are advisory. The staff departments
measures, and minimizes variability in the in a manufacturing plant are those units that
business processes. contribute financial, legal, or engineering ad-
vice. Line departments are those performing
activities critical to the smooth operation of the
51.5 ORGANIZATIONAL STRUCTURES AND STRATEGIES organization. In a production facility, common
Organizing is the process of grouping jobs to- line positions are plant manager, area manag-
gether based on certain criteria such as job simi- ers, superintendents, and first-line supervisors
larity or product family. The criteria used for (Veilleux and Petro 1988).
organizing dictates the organizational structure, The line-and-staff structure offers several ad-
which provides a framework for information flow vantages, such as easier budgeting and control,
within the organization. Some structures may and well-established communication channels.
enhance information flow while others inhibit The disadvantages, however, are that decisions
it. Information flow is one factor that can deter- favor the strongest functional group and coor-
mine a company’s success or failure. Organiza- dination can become complex. The strongest
tions with an appropriate structure run smoothly; functional group in terms of number of people or
those without a proper structure struggle in most budget size will probably have the largest influ-
aspects of company business. Organizations must ence on company decisions since that group has
be dynamic in nature to enable restructuring the most people or the most money or influence
should environmental conditions dictate. on money. With the departmentalized structure
In an organization, employees generally have it is also difficult for functional groups or depart-
a combination of authority, responsibility, and ments to communicate since the information
accountability. Many employees often have a flows vertically within the group as opposed to
large amount of responsibility and accountabil- horizontally across departments. Thus the line-
ity without much authority. and-staff structure has a single communication
channel and a single reporting system.
Authority is power granted to individuals
so they can make final decisions for others
to follow. PRODUCT STRUCTURE
Responsibility is the obligation incurred A product structure groups functions by
by individuals to effectively perform as- product, such that each product line has its own
signments in their roles in the formal unique support staff dedicated to that product
organization. only, as illustrated in Figure 51-4.
527
Fundamentals of Manufacturing Chapter 51: Management Introduction
Each product line performs its own research, the same group. It also enables faster market
product development, engineering, and product and customer response. The managers who
planning. The product structure provides easier coordinate multifunctional subordinates have
interaction between functions since they are in broader skills as opposed to most line-and-staff
528
Fundamentals of Manufacturing Chapter 51: Management Introduction
managers. The product structure provides quality, sales and marketing, human resources,
strong communication channels and complete purchasing, and accounting.
line authority over the project participants who The primary disadvantages of the matrix
work directly for the project manager. Thus, the structure are its multidimensional information
product structure has a single communication flow and dual reporting requirements. Although
channel and a single reporting system. multidimensional information flow can be an
There are drawbacks to the product structure, advantage, being able to achieve effective and
however. They include the cost of duplicate ef- efficient communication in many directions can
forts since each product has its own engineering be difficult. Also, reporting to two managers or
and manufacturing functions. Personnel are team leaders can become cumbersome in some
retained on projects long after they are needed. organizations.
Also, there is lack of opportunity for technical
interchange between departments or groups. CENTRALIZATION-DECENTRALIZATION
Centralization-decentralization has to do with
MATRIX STRUCTURE where real authority resides. That is, if author-
The matrix organizational structure is a ity is not delegated but rather resides in one
combination of the line-and-staff structure and person, then the organization can be regarded
the product structure, as illustrated in Figure as centralized. Decentralization is the extent to
51-5. It recognizes and capitalizes on the cross- which authority is delegated. Measurements of
functionality of an organization. In most orga- centralization-decentralization are qualitative
nizations, product managers need to interact rather than quantitative and can be made by
with various functions, such as engineering, assessing decision-making. The more decisions
made at the lower levels, the more decentral- its outcomes. The sponsor can provide guidance,
ized the organization. The more important and resources, and assistance in communicating
broader the decisions made at lower ranks, the with other parts of the organization.
more decentralized. The responsibilities of the team leader,
members, and sponsor change as the project
SPAN OF MANAGEMENT evolves. For example, prior to the team start-
ing its work, the team leader and sponsor
Span of management, also known as span of will discuss the project, direction, constraints,
control, refers to the number of subordinates for time line, and other issues. During the project,
which a manager is responsible. The higher a the team leader will update the sponsor and
manager goes in a line-and-staff organization, stakeholders periodically, organize meetings,
the larger his or her span of control becomes. facilitate discussions, manage conflict, and per-
form administrative duties. Team members will
51.6 TEAMWORK actively participate in meetings, complete their
Teams are groups of individuals who syner- assigned work, and assist with the operational
gistically work together toward a common goal. or administrative aspects of the team (Scholtes,
Team members share responsibility for out- Joiner, and Streibel 2003).
comes and are committed to working together. After the project is completed, it is important
As opposed to teams, a group is a collection of for the team to celebrate the work done by every-
individuals chosen to work together based on one involved in the project. It is also important to
criteria such as job function or location. Teams document the process and outcomes of the team
are useful in many situations, such as, but not for the organization’s knowledge base. People
limited to, solving complex problems, finding change jobs frequently and it is important that
creative solutions, and working on cross-func- the team’s recommendations are not lost if those
tional problems or projects (Scholtes, Joiner, individuals leave the organization.
and Streibel 2003).
Leading Change
Team Components As an outcome, typically the team will recom-
There are different types of teams; however, mend a change that will affect the stakeholders
for the purpose of this section, only project teams in some manner. For example, the change might
will be discussed. be a new procedure for ordering material or a
The components of most teams include a change to a particular process or sequence of
team leader, team members, and team sponsor processes. Regardless of the type or magnitude
(Scholtes, Joiner, and Streibel 2003). The team of the change, it will most likely be met with
leader is responsible for many items, such as, but resistance by those affected by it. A part of hu-
not limited to, focusing the team on the project, man nature, fear or stress may stem from the
facilitating discussions, facilitating information unknown. For example, “Will I…
flow, communicating with the sponsor and stake-
lose my job?
holders, and managing conflict within the team.
be able to adapt to the change and be
Stakeholders are people or groups impacted by
successful?
the team’s outcomes and recommendations.
have to work with new colleagues as op-
Team members should have knowledge and/or
posed to old friends?”
skills related to the team’s project. For example,
if there is a quality issue, it may be good to as- To help implement change, it is important to un-
semble the team from each area affected: qual- derstand these and other reasons for resistance.
ity, manufacturing, engineering, and customer It is also important to share the vision and ra-
service. It is possible for the team to seek help tionale for the change, answer questions, secure
from others if it is missing certain skills or infor- buy-in from an initial group of key individuals,
mation. Finally, the team sponsor is the person and use that momentum to facilitate acceptance
who is ultimately responsible for the team and from the remaining individuals affected by the
530
Fundamentals of Manufacturing Chapter 51: Management Introduction
change (Scholtes, Joiner, and Streibel 2003). A second tool for analyzing the environment
In addition, it is helpful to develop a plan for is the Five Forces Model developed by Michael
bringing about the change, ensuring that the Porter. The five environmental forces influenc-
necessary skills and resources are available to ing business success are as follows (Harrison
successfully implement it. and St. John 2010):
1. Potential entrants—new entrants are typi-
51.7 STRATEGIC PLANNING cally a threat to existing businesses.
2. Suppliers—in an ever-increasing supplier-
Strategic planning is a methodology that
dependent manufacturing environment,
defines the mission and objectives of an orga-
they can have a significant effect on the
nization in the long term. It identifies the core
success or failure of a business.
business and customer base of the organization,
3. Customers—all customers are important
along with the business or businesses that it
to a business; however, customers who
plans to pursue in the future. Strategic planning
purchase in large volumes can have a sig-
provides a framework within which an organiza-
nificant impact.
tion can make appropriate decisions that will
4. Substitutes—other businesses may provide
fulfill its objectives. Decisions regarding capital
a substitute product. For example, a money
investments and project proposals, for example,
market fund is a substitute for a bank sav-
will be based on the strategic plan.
ings account.
Several components, such as the organiza-
5. Existing competition—these are the direct
tion’s vision, mission, values, objectives, goals,
competitors currently in the marketplace.
environmental scan, and programs are included
in the strategic plan. Another common tool for evaluating the en-
An organization’s vision indicates the desired vironment is benchmarking, which compares
future state of the organization. Items such as the operations and performance of an organi-
the anticipated size of the organization and the zation or business with those of an apparently
type of business it expects to participate in are better or more successful organization or busi-
included. In effect, the vision is an idealistic ness. The businesses used for benchmarking
representation of the organization’s future state. purposes do not have to be similar depending
The mission of an organization or business on the criteria being used. For example, the
is its purpose. For example, in higher educa- best method of soliciting customer input is not
tion, the mission of a university is to provide necessarily dependent on the type of business.
educational opportunities for students seeking After the vision, mission, objectives, goals,
to further their education. and environmental scan are complete, strate-
Following the mission statement, objectives, gic programs can be developed. If, for example,
goals, and values are defined. Objectives and goals customer satisfaction is valued, and one of the
further define the vision and mission of the orga- organization’s objectives is to increase customer
nization; objectives are fairly broad and goals are satisfaction to 100%, what is the plan or program
more specific. Values define what is important to for achieving that? Other programs would be
the organization or business. For example, a busi- developed in a similar fashion.
ness may value its employees and their respective Although strategic planning can be beneficial,
job satisfaction. Hopefully, all businesses value there are hurdles or limitations to overcome. It
their customers. requires the commitment of top level managers
Next, a scan of the organization’s external and and executives. As with any organizational initia-
internal operating environment is performed. tive, strategic planning will fail if not supported
Economics, in addition to social, political, and at the top of the organization. Second, everyone
technological factors are examined. A common in the organization must “buy-in” to the strategic
method of evaluating the environment is through planning process and the eventual plan. Without
strengths, weaknesses, opportunities, and threats organizational buy-in, the plan will be unsuc-
(SWOT) analysis. Addressing these factors can cessful. Third, an organization must be disci-
help an organization develop a strategic plan. plined to complete the strategic plan. Often,
531
Fundamentals of Manufacturing Chapter 51: Management Introduction
the planning process is lengthy and it is easy for of Examiners consisting of over 250 lean
people to lose interest. Further, the organization leaders throughout the world and represent-
needs discipline to adhere to the strategic plan ing primarily former Shingo Prize recipient
after it is developed. It can be easy to forget about companies, carry out the rigorous process of
the plan a year later. Finally, managers can get evaluating applicants’ 100-page Achievement
trapped in a “plan for the sake of planning” cycle. Reports and conducting the 2–3 day company
Planning is part of a manager’s duties; however, site evaluation visits.
the plan must lead to a desired outcome or busi- “The Shingo Prize is administered by the
ness measurable. Office of Business Relations in the Jon M.
Huntsman School of Business at Utah State
University, which is designated as a Carnegie
51.8 THE SHINGO PRIZE (UTAH STATE UNIVERSITY 2010A,
Foundation Research I University.
2010B) “The assessment criteria for the Shingo Prize
This section is reprinted from the Shingo include:
Prize Fact Sheet and Shingo Prize Guidelines
Dimension 1—Cultural Enablers (150
with permission from the Shingo Prize for Op-
points total)
erational Excellence (Utah State University
2010a, 2010b). ¾ People Development—education, train-
“In 1988, the Shingo Prize was established to ing, and coaching
educate, assess, and recognize world-class or- ¾ People Development—empowerment and
ganizations for creating a culture of continuous involvement
improvement through employee empowerment ¾ People Development—environment and
and effective leadership. The philosophy of The safety systems
Shingo Prize is that a culture of continuous
Dimension 2—Continuous Process Im-
improvement is achieved by focusing on the
provement (400 points total)
principles of operational excellence, aligning
Dimension 3—Enterprise Alignment (200
management systems, and implementing im-
points total)
provement techniques throughout an entire
Dimension 4—Results (250 points total)
organization.
“The Shingo Prize is named in honor of the ¾ Quality
late Dr. Shigeo Shingo. He has been described ¾ Cost/Productivity
as an “engineering genius” who helped create, ¾ Delivery
train, and write about many aspects of the re- ¾ Customer Satisfaction
nowned Toyota production system and related ¾ Morale
production systems. Many of his improvement
“The Shingo Prize application and assessment
principles, such as single-minute exchange of
process includes the following six steps:
dies (quick changeover), poka-yoke (mistake
proofing) and non-stock production (minimum 1. An application form and profile sheet
inventory) are described in his books. should be sent to The Shingo Prize office as
“Evaluation criteria for the Shingo Prize soon as an applicant has decided to pursue
are based on an overall lean business systems The Shingo Prize.
model. The Shingo Prize is the only global award 2. Achievement reports addressing the
program focused on cultural behavior, lean assessment criteria are submitted and
manufacturing, and the elimination of muda or reviewed.
waste. The model demands system integration 3. Achievement reports with appropriate rec-
based on proven lean manufacturing and busi- ommendations from examiners will receive
ness practices. a site visit assessment.
“The Shingo criteria focus on customer 4. Based on the site visit assessment results,
satisfaction and profitability; quality, cost, the Board of Examiners will recommend the
and delivery; lean core operations; and lead- applicant to the Executive Committee for: no
ership and empowerment enablers. A Board award level, the Shingo Bronze Medallion,
532
Fundamentals of Manufacturing Chapter 51: Management Introduction
A job-centered leader practices close super- the degree of job or task structure; and
vision so that subordinates may know spe- the interpersonal and psychological re-
cifically what is expected of them. The leader lationship between the leader and other
organizes the work, defines the relationships employees or subordinates.
between group members, and tends to establish
The power variable is defined as the degree of
well-defined communication patterns. The job-
influence the leader possesses over such things
oriented approach leads to higher productivity
as hiring, firing, discipline, pay, and promotions.
for the group and high ratings from superiors.
The leadership position’s power is expressed as
The human element is not viewed in a negative
weak or strong. The second variable, referred
light by the job-oriented leader, but rather is
to as task structure, defines how routine and
seen as a luxury.
well defined the duties of an individual are in a
The employee-centered set of behaviors in-
specific job. Task structure is expressed as high
cludes delegating decision making, thereby cre-
or low. The third variable is leader-member re-
ating a supportive environment that will permit
lations, which is concerned with the degrees of
subordinates to achieve and grow. Employee-
trust, confidence, and respect that subordinates
centered behavior encourages the development
have for their leader. This also is expressed as
of mutual trust and respect between the leader
a two-sided item, either good or poor. If leader-
and his subordinates. These people-oriented ap-
member relations are good, the job is highly
proaches lead to more cohesive groups, greater
structured, and the leader possesses great
job satisfaction, lower absenteeism, and higher
position power, the situation is said to be very
group productivity. Productivity is not ignored
favorable. If the three variables are opposite,
by the leader, but rather is treated as an aspect
then the situation is very unfavorable. With
that will take care of itself after the people con-
other combinations of the variables, the situ-
cerns are addressed.
ations fall somewhere between most favorable
Both orientations are essential for good lead-
and least favorable. Figure 52-1 illustrates the
ership; however, the leader must determine
combinations of variables and situations.
the appropriate ratio for specific situations.
Given only the choice of either the job-orient-
For example, if a business requires jobs that
ed or employee-oriented style, which is appro-
are unpleasant, a good leader may increase her
priate in each situation? In a very favorable or
employee-centered orientation and focus less on
very unfavorable situation, a job-oriented leader
the job, thereby increasing employee satisfac-
is most effective. In the moderate situation, an
tion. Conversely, if a business lacks good house-
employee-oriented style of leadership is likely
keeping and standard work practices, employee
to be more effective.
satisfaction may increase if the leader is more
Since altering leadership styles is difficult, a
job oriented rather than employee oriented. As
good match can be obtained by altering the situa-
situations change, the leader must adjust his
tion. Although not always possible, the situation
orientation as well (Veilleux and Petro 1988).
can be modified by instituting changes in the
three variables: position power, task structure,
CONTINGENCY THEORY and leader-member relations. In general, it may
The contingency theory suggests that effec- be more practical to match a leader to a specific
tive leadership occurs when there is a good situation than to try to change the situation to
match between the leader’s style of interacting match the leader (Veilleux and Petro 1988).
with subordinates and the degree to which the
situation provides influence and control for NORMATIVE OR DECISION-MAKING THEORY
the leader. Either job orientation or employee
If leaders can be presumed to be flexible in their
orientation can be appropriate for the leader
general style, a more useful situational theory is
given the situation. The situational circum-
one that gives leaders a set of rules (norms) to
stances are defined by the following variables:
guide their behaviors. The norms are simply
the extent of the power the leader possesses questions with yes-no alternatives. By answering
due to the role assigned by the organization; the questions in sequence, a decision tree is
535
Fundamentals of Manufacturing Chapter 52: Leadership ad Motivation
Figure 52-1. Contingency theory variables versus situational favorability (Veilleux and Petro 1988).
formed, which indicates the most appropriate may provide suggestions or ideas. Subor-
style (Veilleux and Petro 1988). This decision- dinates do not function as a group. The
making theory uses two criteria for measuring leader’s decision may reflect the subordi-
the effectiveness of a decision: 1) quality and 2) nates’ influence.
acceptance. C2—The problem or decision is shared with
Decision quality refers to the effect a decision the subordinates as a group. Ideas and sug-
may have on job performance. The quality of gestions are obtained, but the leader makes
some decisions will result in variable degrees the decisions.
of job effectiveness. Decision acceptance refers G1—Problems are shared with the subordi-
to the need for followers to commit to or accept nates as a group. Information, alternatives,
a decision. Some leader decisions can be imple- and consequences are analyzed. The group
mented without group acceptance, while oth- reaches consensus on a solution. The leader’s
ers would be unsuccessful unless the followers primary role is facilitator of the group pro-
clearly commit to it. cess. The decision made or solution chosen
Leaders can choose from among a set of is one supported by the leader and her sub-
decision-making styles that range from a clearly ordinates.
autocratic style to an almost entirely group deci-
sion process, with varying degrees in between PATH-GOAL THEORY
the spectrums. The definitions are listed as fol- In the path-goal theory, the leader emphasizes
lows (A = autocratic, C = combined, G = group): the relationship between the employee’s goals
A1—The leader makes the decision alone and the organization’s goals and identifies paths
using the information available at the time. that will allow employees to reach their personal
A2—Subordinates provide information re- goals while achieving organizational goals at the
quested by the leader. They may or may not same time. The leader can utilize an appropriate
be aware of the nature of the problem or set of behaviors based on consideration of the
decision. The leader solves the problem personal characteristics of each subordinate,
or makes the decision. especially each person’s perception of their own
C1—The problem is shared by the leader abilities and experience in a given situation, and
with the subordinates individually. Each analysis of environmental demands, such as the
536
Fundamentals of Manufacturing Chapter 52: Leadership ad Motivation
organization’s authority system, the tasks, and work. By studying the process that individuals
the nature of the work group. go through in coming to a decision about whether
The path-goal theory is similar to the expec- they wish to behave in a certain way, organiza-
tancy theory of motivation (discussed later), tions can find ways to assist them in behaving
whereby employees are motivated if the expec- in productive ways. The two most complete and
tancy of a desired outcome is high. The choice practical process theories of motivation are the
of the leader’s behavior style is similar to those equity theory and expectancy theory.
outlined in other theories:
directive—the leader lets subordinates MASLOW’S APPROACH
know what is expected of them; Abraham Maslow clustered motivating fac-
supportive—the leader treats subordinates tors into five now well-known groups he believed
as equals while providing encouragement; had a rank ordering for most people. As illus-
participative—the leader consults with trated in Figure 52-2, at the base level is a set
subordinates and uses their suggestions of physiological needs that drive people to act,
and ideas; or such as food and water. As this group of needs
achievement oriented—the leader sets is generally satisfied, individuals next seek a
challenging goals, expects subordinates to level of safety, such as personal safety or eco-
perform at a high level, and seeks continu- nomic security. After safety, people seek to
ous improvement (Veilleux and Petro 1988). fulfill social needs, such as group affiliation.
Next he suggests that individuals have a need
52.2 MOTIVATION for self-esteem, such as building a reputation
and self-confidence. Finally, the last need is
An essential element of leadership is determi-
self-actualization whereby a person realizes her
nation of the forces that cause people to act in the
own potential. Unless lower-order needs are
ways they do. If what causes action is known, then
fulfilled first, people do not seek out the next
perhaps the leader can utilize these forces for the
level, and once a need is satisfied it no longer
benefit of the organization.
remains a motivator.
Defined simply, motivation is the force, the
To be effective, the leader identifies the level
cause, the internal reason why people act in a
of need of the follower. Then by providing an op-
certain way. A person decides to eat, sleep, talk,
portunity to fulfill that need, the leader obtains
work, or play based on certain causes—including
work output from the follower.
some not so easily rejected ones, such as when
Maslow’s idea appears to be intuitive. How-
a person feels hungry.
ever, the magnitude and duration of individuals’
Motivation also can be the result of a learning
experience. Certain connections are made in a
person’s mind between pleasant or unpleasant re-
sults of actions that have been committed. Based
on these chains of actions and results, a person
can choose to behave similarly again or not.
For convenience, most of the theories of mo-
tivation are divided into two broad categories:
content theories and process theories.
Content theories focus on the immediate trig-
gers for the way a person behaves. For example,
hunger causes eating and, in the context of man-
ufacturing, individuals work because they wish
to earn a living. Content theories include those
proposed by Maslow, McClelland, and Herzberg.
Process theories focus on the things leaders
provide to followers and the learning and in-
terpreting that individuals do in the context of Figure 52-2. Maslow’s hierarchy of needs.
537
Fundamentals of Manufacturing Chapter 52: Leadership ad Motivation
respective needs change continually, making In other words, motivators create job satisfac-
his theory difficult to implement. Motivation is tion; however, their absence does not create job
usually determined by a combination of needs dissatisfaction. Hygiene factors prevent job dis-
rather than one at a time (Veilleux and Petro satisfaction; however, they do not create job satis-
1988). Effective leaders should, however, under- faction. Therefore, motivation factors are needed
stand that these needs exist (hierarchically or to create job satisfaction and better performance
not) and consider how Maslow’s theory might while hygiene factors are needed to prevent job
help to synthesize employee motivation and dissatisfaction.
consequent behavior. In Herzberg’s view, many intangible items
provide sources of motivation. These include an
MCCLELLAND’S APPROACH individual’s autonomy, job responsibility, and
the work itself. The organization has a normal
Another content approach to motivation was
duty to prevent dissatisfaction by providing
developed by David McClelland. He suggested
hygiene factors such as a quality work environ-
a model that considers the needs of leaders and
ment, reasonable supervision, and adequate
followers in relation to power, achievement,
pay and rewards. Without these motivators,
and affiliation. Each individual may have a
individuals will become dissatisfied and less
need to give or receive each of these factors to
productive (Veilleux and Petro 1988).
some degree. Again, by recognizing the extent
Herzberg suggests that traditional needs as
of these needs in each individual, organizations
typically provided by leaders will only serve
can provide satisfaction and, consequently,
to make individuals unhappy when they are
increased productivity.
not provided. These motivating forces, usually
McClelland’s theory suggests that candidates
thought of as necessary, are also those that are
for leadership roles be knowledgeable of the moti-
easily recognized and must be weighed from a
vational forces to assist the organization in more
financial point of view. Intangible items may
effective selection of employees. If an individual
cost less, but are more difficult to understand,
possesses a high need for power, he may be suited
define, and provide (Veilleux and Petro 1988).
for a leadership role. Of course, the individual
must have a need for power and control that is
not strictly a personal need, but rather an orga- EQUITY THEORY
nizational one. An individual with a high need for The equity theory looks at how individuals
achievement could be provided with opportunities weigh the relationship between their input, such
to be successful in a job, and the individual with as effort, experience, and education, against the
a high need for affiliation could be given chances output received, such as various rewards and
to work with others to accomplish goals. returns from the organization, both tangible
It should be recognized that almost everyone and intangible.
in the organization is to some extent a follower In addition to the ratio of output received to
regardless of needs or formal position (Veilleux input given, the individual compares her own
and Petro 1988). ratio to that of others. Others may be fellow
workers in the same organization, those in
HERZBERG’S APPROACH other related organizations, or persons totally
unrelated to the organization’s immediate envi-
The last of the content theories of motivation
ronment. The theory is expressed as:
is that of Frederick Herzberg, who suggests
in more practical ways how a leader (and the Outcome (individual) Outcome (other)
organization) can provide for fulfillment of mo- =
Input (individual) Input (other)
tivational forces. Herzberg suggests a two-factor
Eq. 52-1
approach with one set of factors called motiva-
tors or satisfiers and the other called hygiene The thrust of equity theory is that each
factors or dissatisfiers. person is motivated to maintain a balanced
In his theory, the opposite of satisfaction is equation. The organization, through its leaders,
no satisfaction as opposed to dissatisfaction. provides some of the rewards (outcome) for the
538
Fundamentals of Manufacturing Chapter 52: Leadership ad Motivation
individual, some sense of the required demands becomes a CMfgE. Finally, the raise is personally
on the individual (input), and information used valuable because it will help pay for his daughter’s
by the individual to fill in the “other” side of the college tuition. If any of the three conditions were
equation (Veilleux and Petro 1988). not true, there would be no motivation to put forth
In the most direct example, consider the indi- effort to become a CMfgE. If he thought prepar-
vidual who perceives that his outcome to input ing for the exam was futile or passing it would do
ratio is less than that of another person. The nothing for him at work, or the reward would only
equity theory suggests that to rebalance the equa- be a pat on the back, then it is unlikely he would
tion, he would seek additional rewards or reduce ever begin the process of becoming certified.
his efforts. Either of these would tend to raise the The organization has many opportunities to
“individual” side of the equation and therefore motivate. Naturally, the organization usually pro-
achieve balance. vides the reward or outcomes. It sets the standard
An alternative in this same setting is for the for performance or success. By providing informa-
individual to work harder in the hope that the or- tion, tools, and training, it increases the probabil-
ganization will respond with more than sufficient ity of success after effort. In the administration
reward, thereby reducing the inequity. If the indi- of the reward system, the organization develops
vidual, however, sees that he is over-rewarded or a strong link between success and receipt of the
under-worked, the reverse imbalance can cause reward. Only with regard to the value of given re-
an increase in efforts to deserve the outcome wards to the individual does the organization have
(Veilleux and Petro 1988). Leaders must then limited influence. However, the organization may
provide equitable rewards, an adequate definition establish a culture wherein certain rewards are
of what is expected of the worker, and facts in seen to be more valuable (Veilleux and Petro 1988).
regard to the outcome to input ratio of others. If Overall, the expectancy theory includes many
all of these elements are provided, the individual of the concepts contained in other motivation
will maintain a balanced outcome to input ratio. theories. It provides the mechanisms for man-
Problems arise with the equity theory because agement intervention and allows for the inter-
the leader cannot be sure which intangibles exist pretation of changes in either the individual’s
in the individual’s outcome to input ratio, or which or the organization’s approach to motivation
“other” is the individual’s reference, or indeed how (Veilleux and Petro 1988).
the individual will adjust. The theory is based on
individual perceptions that cannot always be well 52.3 JOB DESIGN
understood by the leader. The perspective is the
individual’s, which could cause the organization INTERDEPENDENCE
to always be making estimations of the various Jobs are more motivating if they require
inputs and outcomes (Veilleux and Petro 1988). workers to interact with others. People are mo-
tivated when they know how what they do fits in
EXPECTANCY THEORY with what other people do. Most people want to
spend at least part of their work time interacting
The expectancy theory of motivation is based
with others about work-related matters. Those
on these factors:
jobs that require people to work in isolation with
Effort will lead to success. little social interaction are less motivating than
Success will be rewarded. those that require interdependence on others.
The reward is of personal value to the
employee. JOB ENLARGEMENT
For example, suppose a person studies to take There are three variables that can increase
the Certified Manufacturing Engineer (CMfgE) the meaningfulness of work: 1) skill variety, 2)
exam. The person believes that if he studies hard, task identity, and 3) task significance. Jobs can
there is a high probability of passing the exam. be more motivating if a person has responsibil-
Secondly, there is a good chance of receiving a ity for doing a larger portion of the work. This
better job assignment at work and a raise if he is what is meant by job enlargement.
539
Fundamentals of Manufacturing Chapter 52: Leadership ad Motivation
Skill variety refers to the degree to which the Is withholding punishment an incentive?
job includes a number of different activities that Is praise an incentive?
require the individual to use a range of talents Is job enlargement an incentive?
and abilities. When a job includes skill variety, Is money or a gift certificate an incentive?
the person is likely to experience it as challeng-
ing and, therefore, personally meaningful. REVIEW QUESTIONS
Task identity refers to the employee doing
52.1) Which leadership theory suggests that
something that is an identifiable piece of work.
leaders should choose from a set of decision
A job that requires an employee to create a
styles according to a set of rules?
product from start to finish would be a job with
high task identity. Low task identity refers to a 52.2) Which type of leader views the concern for
job requiring moderate effort and minimal work the human element of work as a luxury?
structuring. 52.3) Using the equity theory of motivation,
The third variable, task significance, refers to how can an individual restore equity if she per-
the degree that employees perceive the job as hav- ceives an imbalance when compared to another
ing an important effect on their lives or work, or employee?
on other people. When people feel their product 52.4) According to Maslow, if someone has just
or service is important to others, they tend to be eaten, will offering that person more food be a
more motivated to do the best they can (Veilleux motivator?
and Petro 1988).
52.5) A job requiring moderate effort and mini-
mal work structuring has ___________________
JOB ENRICHMENT identity.
Autonomy is the extent to which people have 52.6) What is the difference between motivators
authority to make decisions about the work and hygiene factors?
they do. Building autonomy into a job is what
is meant by job enrichment, where the person’s
decision-making authority is increased. Theo-
REFERENCE
retically, as autonomy increases, so does motiva- Veilleux, R. and L. Petro, eds. 1988. Tool and Manu-
facturing Engineers Handbook, Fourth Edition. Vol-
tion (Veilleux and Petro 1988).
ume 5: Manufacturing Management. Dearborn, MI:
Society of Manufacturing Engineers.
FEEDBACK
Jobs that give people immediate feedback on BIBLIOGRAPHY
results are more motivating than jobs that do Robins, Stephen P. and Timothy A. Judge. 2011. Or-
not supply such information. ganizational Behavior, 14th Edition. Upper Saddle
River, NJ: Prentice Hall.
INCENTIVE PLANS Bowditch, James L. and Anthony F. Buono. 2008.
Manufacturing engineers use the term “low A Primer on Organizational Behavior, 7th Edition.
task” to refer to the basic state of moderate effort New York: Wiley.
and minimal structuring of work. Effort can be
improved by methods analysis and standardiza-
tion to attain the level of “medium task.” Then
it can be increased by appropriate incentives to
attain “high task” output.
One of the biggest reasons incentive plans fail
is the mismatch between the incentive and the
employees’ value system. Motivating employees
is more complicated than an incentive of money,
gift certificates, etc. What motivates one person
may not work for others. For example:
53
PROJECT MANAGEMENT
include creating a website, building a new home, a project to a successful conclusion, the project
developing a new product, and relocating a plant. manager must manage scope, costs, schedule, and
Operations work, such as ordering materials, quality. He works closely with the project team,
paying invoices, and daily production, differs from project sponsor, and stakeholders. Selection of
projects in several ways. This type of work is a project manager has a strong influence on the
ongoing (not temporary) and repetitive (not project’s outcome. Businesses now operate in a
unique). Operations work is continual with re- global economy and the project manager works
freshed objectives compared to project work that with teams located in various sites throughout
ends when the project objective(s) is accomplished. the world. Successful project managers are per-
Project management encompasses all activities sons who have distinguished themselves as good
affiliated with meeting the requirements specified managers of time, assets, and people, and who
for a project. It includes identifying requirements, have highly developed communication skills. The
establishing clear and measurable objectives, and intangible, but all-important quality of leadership
controlling the costs, scope, and schedule for a is also vital to the project management function.
project. Requisites for successful projects include Ultimately, the project manager has one respon-
detailed planning, team input, meticulous plan sibility—to get the job done successfully.
execution, change management, and liberal com- The sponsor is usually someone in upper man-
munication with team members and stakeholders. agement who is capable of providing financial
Project scope is the range of work or activities backing for the project. Functions of a project
that need to occur to bring about a specific proj- sponsor include making resources (people, money)
ect result. A project’s scope must be understood available, advocating and supporting the project,
and managed. and influencing management’s support of the proj-
The project manager is the person responsible ect. The project sponsor is an invaluable resource
for achieving the objectives of the project. To bring in resolving larger issues if the project manager
543
Fundamentals of Manufacturing Chapter 53: Project Management
does not have the authority. Before changes When a company has a number of ongoing
that affect the schedule, budget, or scope of the and related projects, the projects can be man-
project are implemented, the project sponsor aged more effectively if grouped into a program.
should be involved and provide approval. He An example of a program is the installation of a
may provide guidance to the project manager business system to manage all aspects of a com-
for crucial or significant decisions. pany in the industrial sector. Individual projects
Milestones are events of significant accom- under the program umbrella may include those
plishment such as the start or completion of that affect human resources, finance, manufac-
tasks and jobs, achievement of objectives and turing, sales, and engineering. Project managers
goals, completion of customer reviews and ap- would manage the individual projects and report
provals, or demonstration of prototype perfor- to a program manager who would manage the
mance. They are convenient points at which to overall program.
report status or measure and evaluate progress. A group of projects or programs, which may
Milestones have no duration and require no or may not be distinctly related, can be managed
resources. A project with objectives of creating under one umbrella, known as a portfolio, to
a manufacturing engineering certification train- more effectively meet strategic goals. A company
ing course and training company employees with a strategy to increase penetration into new
may have a “Training course development is markets may assemble a portfolio of new product
completed” milestone and a “Training of com- development programs.
pany employees completed” milestone. These
milestones are significant events but do not take 53.3 PROJECT MANAGEMENT PHASES
any resources or calendar time. Development
There are five phases of project management:
of the training course consumed resources and
1) project initiation, 2) plan formulation, 3) plan
time as did the employee training.
execution, 4) project control, and 5) project closure.
A deliverable is the output resulting from the
Figure 53-2 shows the relationship of these phases.
project’s execution and is agreed to in the begin-
Control is exercised throughout the project. Plan
ning of the project. The training course itself
formulation and plan execution are iterative.
would be a deliverable of the training course
project discussed above. A deliverable is what is
handed over at conclusion of the project. 1. PROJECT INITIATION
Stakeholders include persons or groups Project initiation begins once a determina-
who may be positively or negatively impacted tion is made that a need exists. It is important
by the project. The stakeholders may exert to understand this need and determine project
influence over a project or its deliverables. If objectives. The statement of objectives is the
a stakeholder sees a benefit from the project, foundation on which all project planning and
she will want to see the project succeed. On execution is built. Objectives must be agreed to
the other hand, if a stakeholder sees negative mutually by upper management (or the client)
consequences resulting from the project, she will and the project manager. They should define the
lay obstacles in the path of successful comple- desired outcome of the project. Each objective
tion. Stakeholders come from many areas both should be written with understanding and ap-
inside and outside the organization. Possible preciation for its feasibility. If consideration is
stakeholders to consider include the govern- not given, the objective may prove to be unachiev-
ment, co-workers, family, vendors, sponsors, able with the resources available to the project.
team members, and customers. For example, The objectives themselves may or may not be
a project to build a power plant could have both a quantifiable, but they should be supported by
negative and a positive impact on the surround- measurable goals. Goals are specific statements
ing community. It is important, at the start of intended to quantify the project’s objectives.
the project, for the project manager to consider They should be as precise as possible.
possible stakeholders and determine the best As part of project initiation, a preliminary
way to address their concerns. To do otherwise benefit/cost analysis may be performed. Histori-
will result in an increased risk of project failure. cal information for similar projects is reviewed
544
Fundamentals of Manufacturing Chapter 53: Project Management
and reused if appropriate. If possible, con- standing exactly what needs to be accomplished,
straints and assumptions are identified. the steps required, communication and how it
Constraints limit the options of the project will be delivered, project costs, risks, and how
team and should be discussed and documented. changes will be handled. It facilitates discussion
A limited budget and/or pre-established project between team members, customers, and other
completion date are constraints. Assumptions, stakeholders. It is a document that should be
considered to be true for planning purposes, also reviewed and approved before proceeding to the
should be documented. Assumptions may include plan execution phase. Figure 53-3 illustrates a
skill levels, or quantities and availability of re- sample project plan template.
sources. A preliminary scope statement may be Numerous items must be considered and
prepared to assist in understanding the reason addressed as the project plan is developed.
for the project as well as its objectives, risks, Project objectives, listed in the preliminary
constraints, assumptions, and milestones. scope statement, are refined to reflect current
A project charter is developed and distributed. requirements. Greater detail will allow for better
It grants authority to the project manager to control of the overall scope. More importantly,
utilize the needed resources for project activi- the project objectives are the basis for the work
ties. The project charter includes items such as breakdown structure (WBS).
the name of the project manager with relevant Creating the work breakdown structure is a
responsibilities and authority, elaboration task for the project team, not just the project
on the project’s scope, and the name of the manager. The WBS organizes and defines the
authorizing sponsor or executive. Details of total scope of the project and identifies the work
the project’s scope may come from a statement required to meet the deliverables. Several steps
of work (SOW) or a business case. The SOW are taken as the WBS is created.
should include what the initiator will supply, First, the WBS is started with the end in mind;
the specific standards or work instructions to what are the project deliverables and what high-
follow, deliverables, and expected completion level tasks are required to achieve them? Second,
a structure or organization method is chosen for
date. Once the charter is approved, the project
the WBS; major deliverables and subprojects,
manager will start the plan formulation phase
phases, or a mixed combination of the deliverables
of the project.
and phases are outlined. Third, the high-level
items are decomposed. This will provide manage-
2. PLAN FORMULATION able components of the deliverables and allow
Plan formulation is extremely important to the assigning and monitoring of work. The WBS, once
success of the project. If you dive into a project created, also allows for scheduling, executing,
and have not determined the objectives and tasks budgeting, and controlling the project. It is im-
required to be successful, your stakeholders will perative to list a responsible person or function
be disappointed in the project outcome. Creating for each component of the WBS. Figure 53-4
a project management plan will aid in under- shows an example WBS.
545
Fundamentals of Manufacturing Chapter 53: Project Management
The project manager and the project team that may have an environmental impact, and
must be wise architects of the project during the other support needs such as specially trained or
planning phase. All of the resources required for dedicated operators and software development.
accomplishing the project work must be deter- The activity costs and duration are estimated
mined. The two main items of concern are hu- using the WBS as a foundation. Duration of
man resource requirements and capital each activity is estimated based on the avail-
investment. Detailed, realistic plans for project able resources and their skill levels. Several
staffing are developed. Typically, workers are methods may be used to develop the estimates:
not all under the line control of the project man- analogous estimating (reviewing prior similar
ager. Therefore, human resources must be projects and using this information), para-
drawn out from other units of the firm to staff metric estimating, expert judgment, or more
the project. In addition, there may be a need for formal methods such as three-point estimating,
outside subcontractors, consultants, or special- which considers the most likely duration, opti-
ized services. mistic duration, and pessimistic duration. The
If the project requires either the acquisition resulting expected duration uses a weighted
or delivery of equipment, plans must be made average of the three estimates as defined by
to accommodate this need. A detailed set of the program evaluation and review technique
equipment performance specifications should (PERT) equation that follows. From a historical
be drawn up. These specifications should be perspective, PERT was first applied in 1958 to
rigorous enough so conforming equipment will manage the Navy’s Polaris submarine program
perform adequately. Another important factor to (Veilleux and Petro 1988).
evaluate is the setting in which the equipment
is to operate. Consideration should be given to O + 4M + P
Et = Eq. 53-1
space and special power needs, contaminants 6
547
Fundamentals of Manufacturing Chapter 53: Project Management
predicted should be budgeted at expected levels, Pitfalls of risk management include assum-
with contingency amounts posted in the budget ing that risk mitigation activities automatically
to provide for costs that may exceed expected achieve results, attempting to track status of
values. Such an approach to budgeting builds risk items mentally, trying to control all risks
integrity into the project and makes it defensible identified, spending disproportionate effort
to management. It also provides a means to quantifying small risks, and expecting manage-
manage excessive costs through effective project ment to recognize all potential problems.
control measures. The outcome of the plan formulation phase
Many approaches exist for constructing the is the project plan as seen in Figure 53-3. It is a
project budget. The project budgeting process roadmap from where you are to where you are
described here represents the “bottom-up” ap- going. Serving as a communication tool among
proach. Using a fine structure of tasks, each one project members and stakeholders, it should in-
is broken out into all the cost elements involved, clude project objectives, costs, deliverables, and
and the total project cost is the sum of all the risks. Methods for handling communication
cost components. All project budgets must ac- and scope changes also should be documented
count for the same elements of cost, one way or in the project plan. The project plan is pre-
another. The five main elements are: 1) labor, sented to and discussed with the appropriate
2) expense, 3) capital, 4) overhead, and 5) profit. personnel and approval is sought to proceed to
The project manager must evaluate the cost project execution. Once agreement is reached,
estimate. Does it appear realistic? Does it seem the plan execution phase can begin.
too high or too low? Often, “top-down” budget
pressures will suggest revisions to bring the
costs in line with available resources or with 3. PLAN EXECUTION
what is regarded as fair and reasonable. The Once the project team is assembled, develop-
challenge, of course, in such budget tuning is not ment of the team may be required to enhance
to cut the cost estimate without reducing the cost competencies and performance.
elements commensurately, that is, by adjusting The responsibility of the project manager
the task descriptions (Veilleux and Petro 1988). and project team members is to carry out the
During the plan formulation phase, it is project plan using the WBS, which includes
imperative that other arenas be addressed. all the activities required to complete the
One such area is quality. What are the quality deliverables. Risks, approved scope changes,
standards for the project? Larger projects may communications, vendors, and personnel will
have a separate quality management plan. An- require managing.
other area to address is communication. What Complete and timely project communications
information is needed by stakeholders and team may be accomplished through regular status
members? Who will communicate with them? reports scheduled in the project plan. These can
How much and how often will formal as well as be formal or informal, internal or external, and
informal communication take place? vertical or horizontal. Information discussed
Project risk and the management of risk also may include the health of the project (is it on
should be considered. Risk comes from an uncer- schedule and within budget?), major issues/
tain event and may have a positive or a negative threats, and comparison of costs, scope, deliver-
effect on the project. There are several methods ables, and milestones against the baseline. Plan
used to identify risks, such as but not limited to, and scope changes must be managed to avoid
brainstorming; interviewing; strengths, weak- scope creep—expansion of the project’s scope
ness, opportunities, threat (SWOT) analysis; over time. Any change that affects the schedule,
and previous lessons learned. It is necessary to budget, or resources should be scrutinized and
create a list of the major risks including their the impact determined before implementation. A
impact on the project, probability of occurrence, predetermined method of approving changes is
appropriate responses, and assignment of a followed. Flexibility is crucial to acceptance and
person responsible for mitigation. Risk manage- management of change; change is not always
ment is ongoing throughout the life of a project. detrimental to the project.
549
Fundamentals of Manufacturing Chapter 53: Project Management
BIBLIOGRAPHY
Project Management Institute, Inc. 2008. A Guide to
the Project Management Body of Knowledge (PMBOK®
Guide), 4th Edition. Newtown Square, PA: Project
Management Institute, Inc.
54
LABOR RELATIONS
54.1 HISTORY OF U.S. LABOR RELATIONS The rights specifically provided in the Labor
The Industrial Revolution has altered the Management Relations Act, as amended, do
way the modern world thinks and works. In not apply to certain categories of workers such
the United States, the full flow of commerce as independent contractors, supervisors, and
and full production of the economy is deemed public employees. An individual is an employee
essential to national interest. To prevent or if under the direct control of the employer,
minimize interference with the normal flow while an independent contractor, although
of commerce and production of articles and physically working for the employer, is called
commodities, the U.S. Congress enacted the on to produce a result without the employer
National Labor Relations Act (Wagner Act) controlling or directing the means or methods
in 1935. In 1947, this was amended by the used to accomplish it. A worker is deemed a
Taft-Hartley Act, also known as the Labor supervisor if she has the authority to recommend
Management Relations Act (LMRA). The law and/or cause another employee to be hired, pro-
was further amended in 1959, in part by the moted, discharged, rewarded, or disciplined.
Landrum-Griffin Act, also known as the Labor- Additional characteristics of supervisory
Management Reporting and Disclosure Act status include the authority to direct the job
(Veilleux and Petro 1988). For the purpose of this duties of rank-and-file employees, authorize
chapter, these assorted acts and amendments overtime, authorize use of sick leave, and
will be referred to as the Labor Management schedule work.
Relations Act, the Labor Act, or simply the The basic rights of employees are defined
Act. These laws cover private sector employ- in Section 7 of the Labor Management Rela-
ees, employers and, when applicable, labor tions Act: “Employees shall have the right to
organizations. self-organization to form, join, or assist labor
The laws were enacted to define the legiti- organizations, to bargain collectively through
mate rights of both employers and employees representatives of their own choosing, and to
in their relations affecting interstate com- engage in other concerted activities for the
merce, to encourage collective bargaining, and purpose of collective bargaining or other mutual
to eliminate certain practices of management aid or protection; and shall also have the right
and labor that are detrimental to the general to refrain from any or all such activities except to
welfare. While the Labor Act primarily focuses the extent that such right may be affected by
on union-management relations, it does have an an agreement requiring membership in a labor
effect on employee-employer relations whether organization as a condition of employment.”
the work environment is union, non-union, blue Under Section 7, employees cannot be pre-
collar, or white collar. vented from:
forming or attempting to form a union industries. The union negotiates a contract with
among employees of a company; the local contractors’ association, which then
assisting a union in organizing; covers all union members on any union job they
striking to secure better working condi- work. A variety of other union security clauses
tions; or have been bargained that deal with specific in-
refraining from organizing should they so dustry conditions or legal considerations.
choose.
It is important to recognize that the rights 54.3 COLLECTIVE BARGAINING
specified in Section 7 are rights granted to At the time of passage of the major U.S. la-
individuals who choose to act collectively (Veil- bor laws during the 1930s and 1940s, Congress
leux and Petro 1988). Additionally, an employer believed that if workers had the right to associ-
cannot discriminate against employees in hiring, ate and organize for the purpose of negotiating
work assignment, or other terms and condi- the terms and conditions of their employment,
tions of employment based upon their union industrial strife would be minimized.
membership. The process of collective bargaining as man-
Employer violations of Section 7 rights are dated by law requires an employer and the
referred to as unfair labor practices (ULPs) employee’s representative to meet at reason-
and are listed in Section 8 of the Act, which able times to confer in good faith with respect
also includes unfair union labor practices, and to wages, hours, and other terms or conditions
prohibitions against actions that would violate of employment. This is referred to as the duty
union member rights or the rights of employers. to bargain or good faith bargaining. Under
the Labor Management Relations Act, neither
54.2 TYPES OF UNION MEMBERSHIP management nor labor may refuse to bargain
Although Section 7 of the Labor Management collectively with the other. However, it should be
Relations Act grants to employees the right to noted that the obligation to bargain collectively
refrain from activity on behalf of a union, this does not require either party to concede or agree
right is limited. Under certain conditions, an to a proposal by the other.
employer and union can make an agreement Where a valid, enforceable, collective bargain-
(called a union security clause, contained in the ing agreement exists, certain steps must be taken
union-management contract) that would require before the contract can be terminated or modified.
all employees to join the union to retain their First, a party seeking modification or termination
jobs. A union security agreement cannot require of the contract must provide the other party with
union membership as a condition of hire, but can written notification in the form of a proposal for
require that employees become union members termination or modification 60 days prior to the
after a certain period. This grace period cannot expiration of the agreement. Second, the party
be less than 30 days, except in the building and must offer to meet and confer with the other
construction industry where employees may be party to negotiate a new collective bargaining
required to join the union after 7 full days. This contract. Third, after notice to the other party,
type of arrangement is known as a union shop the Federal Mediation and Conciliation Service
(Veilleux and Petro 1988). must be notified of the party’s intention to begin
An agency shop refers to a union security negotiations. Finally, neither party can resort
agreement requiring that all employees either to a strike or lockout until 60 days after notice to
join the union or pay an agency fee and refrain the other party (Veilleux and Petro 1988).
from membership. Contract negotiations are a challenging
A union hiring hall provision acts as a union process for both union and management. The
security agreement, in that it gives the union the agreement will govern their behavior for a de-
ability to set up a facility (a hiring hall usually in fined time period; therefore, it is critical to their
the union local office) through which employers constituencies as well as to their relationship
hire their employees. These agreements are pri- with each other. Preparation is a key step in the
marily found in the construction and maritime negotiation process. The union must determine
555
Fundamentals of Manufacturing Chapter 54: Labor Relations
what issues are of significant interest to its employees to engage in concerted activities for
members, and what improvements in the con- the purpose of collective bargaining. Section
tract are needed to keep the wage and benefit 13 of the Act ensures that, except in a few cir-
package competitive. Management is generally cumstances such as health care institutions, an
concerned about those areas that affect com- employee’s right to strike may not be impeded
pany costs, flexibility, and that may constrain or diminished. An employee’s right to strike as-
management decision-making. Each party then sumes the strike is lawful, which will depend
must set objectives and gather supporting data. on the purpose of the strike, its timing, and the
There are differing approaches to bargaining conduct of the strikers. A strike that has a lawful
that may be used by the parties involved. purpose, such as higher wages or better work-
Distributive bargaining takes place when the ing conditions, may become unlawful because of
parties disagree on an issue and the resolution the conduct of the strikers, such as blocking the
results in a loss to one of the parties and a gain to
entrance or exit of a plant, threatening violence
the other. Most clearly put, distributive bargain-
against non-striking employees, or attacking
ing occurs when there is a fixed resource that
management representatives. Employees who
must be divided between the parties. Power is
participate in an unlawful strike or unlawful
often exerted during distributive bargaining as
each side attempts to better its position. strike activities may be discharged and are not
Integrative or mutual gain bargaining is quite entitled to reinstatement when the strike ends.
different in that it occurs when the parties per- Employees striking for economic concessions,
ceive a shared problem. In this case, both parties such as higher wages or improved working con-
may be willing to cooperate in a problem-solving ditions, are called economic strikers. Although
mode of interaction to find the best solution to they cannot be discharged, they can be replaced
the shared problem. Instead of a power battle, during the strike. They are not entitled to im-
both parties seek to resolve the negotiations in mediate reinstatement if the employer has hired
a way that benefits both sides. permanent replacements. However, they may be
In many contract negotiations, both distribu- entitled to recall when an opening occurs. The
tive and integrative bargaining processes are exact terms will usually be the subject of collec-
used, but for different issues. Economic issues tive bargaining between the employer and the
tend to be dealt with through distributive bargain- union as part of the strike settlement.
ing, while work rule issues, turnover, and safety Certain practices of an employer are consid-
are more frequently dealt with using integrative ered unfair as defined by the Labor Management
bargaining. If the parties begin negotiations Relations Act. Employees who strike to protest
with strong commitments to specific positions, a company’s unfair labor practice (ULP) cannot
however, it may be difficult for them to make be discharged or permanently replaced. When
concessions. For mutual gain negotiations, it is the strike ends, the strikers are entitled to im-
recommended that the parties prepare through mediate reinstatement even if replacements
the development of issues, not positions. When hired during the strike have to be discharged
positions become entrenched on one or both sides (Veilleux and Petro 1988). It is also important
of a negotiation, a bargaining impasse may be
to note that if an employer commits an unfair
reached. This means that the parties have come
labor practice during an economic strike, this
to a point where they see no reason for continu-
action converts the strike to an ULP strike, and
ing to meet, as they perceive no room to negotiate
strikers become eligible for reinstatement. It is
toward resolution. At this point, a strike may be
therefore important that managers and super-
called by the union or the parties may agree to use
a dispute resolution technique called mediation. visors are appropriately trained to avoid unfair
labor practices.
While a strike is used to put economic pres-
54.4 STRIKES AND DISPUTE RESOLUTION sure on an employer to resolve a labor dispute,
As noted earlier, Section 7 of the Labor Man- another frequently used dispute resolution
agement Relations Act permits private-sector technique is mediation. If a bargaining impasse
556
Fundamentals of Manufacturing Chapter 54: Labor Relations
is reached during negotiations, then a mediator be used by the union in future grievances to
may be called in if both parties agree. During establish an interpretation of the contract. It is
mediation, a neutral third party (often a fed- for this reason that grievances may be denied
eral mediator from the Federal Mediation and at the first step so that a higher-level manager
Conciliation Service of the U.S. Department of becomes involved in the actual settlement.
Labor) tries to aid the parties in reaching agree- Typically, step two takes place between a
ment. Mediators begin by talking with each union representative and a management official
party separately and discovering the source of from the grievant’s department or unit as they
the bargaining impasse. They then restart ne- attempt to resolve the issue. Again, if resolu-
gotiations, getting the parties to begin meeting tion is not reached, the union may appeal the
again to pursue a settlement. Mediators succeed grievance a second time. The grievance then
by opening communications and moving the par- proceeds to step three in which higher-level
ties closer together on the issues on which they union and management officials are involved.
disagree. At some points, the mediator may have Finally, the union has the option of appealing
to invent new options to jumpstart negotiations. the step three decision to a fourth step—that of
As the strike deadline approaches, the mediator binding arbitration, where an outside neutral
may focus the parties’ attention on the costs of party agreed upon by the union and manage-
striking versus the potential terms of the settle- ment hears the case. A hearing is held by the
ment agreement. arbitrator, at which both sides present their
evidence. The arbitrator then provides a binding
54.5 CONTRACT ADMINISTRATION decision to the parties. The U.S. Supreme Court
has upheld management’s legal responsibility to
The primary outcome of union-management
adhere to the agreement to use the arbitration
negotiations in the United States is a contract
process, and has also ruled that it is not the
that specifies wages, work rules, benefits, hours,
role of the courts to second-guess arbitrators’
and other terms and conditions of the employment
decisions. These Supreme Court rulings have
relationship. Additionally, virtually all union-
resulted in little court intervention in the arbi-
management contracts contain a series of clauses
tration process.
that outline the process through which disputes
Different unions and managements may
(grievances) over contract clause interpretation
negotiate variations in the typical grievance
are resolved. In spite of the parties’ best efforts,
process just described. For example, some
negotiated language is rarely completely clear
grievance procedures begin with an informal
or without ambiguity; therefore, the grievance
discussion, while others require a formal writ-
process is central to interpretation and implemen-
ten grievance. There may be fewer or more
tation of the contract. Contract administration
steps in the process. Time limits for both filing
refers to the interpretation and application of the
and appealing various steps in the process may
collective bargaining agreement, or contract, as
vary. However, the primary goals of grievance
well as the conflict resolution process. It entails
procedures are the same—to allow grievants to
managing the disciplinary process as well.
have their complaints heard, and to provide a
A typical unionized grievance process has four
systematic, just process for resolving disputes
steps. First, a discussion between the employee
over contract language and workplace employ-
with a grievance (the grievant) and his super-
ment decisions. The threat of binding arbitration
visor takes place. At this step, the employee is
as the final step provides an incentive for both
allowed by law to have a union representative
the union and management to resolve their dif-
present. If the grievant is not satisfied with the
ferences in a fair way that provides due process
outcome of this discussion, then the grievance
to the individual grievant.
can be appealed to step two. It is important to
note that in a number of companies, first-line
supervisors may not be allowed to settle griev- 54.6 THE PROGRESSIVE DISCIPLINE PROCESS
ances out of a concern for company precedent. Most union contracts outline some form of
A grievance settlement by one supervisor may a progressive discipline system that is to be
557
Fundamentals of Manufacturing Chapter 54: Labor Relations
administered by the supervisor. The primary Additionally, grievances may arise for reasons
goal of progressive discipline is for the supervi- not at all related to the supervisor. For example,
sor to have a set system in place to communicate the grievance rate generally rises in the period
behavior or performance issues to an employee just before negotiations begin as the union at-
in a clear and timely manner. This provides both tempts to strengthen its position on certain
parties the opportunity to correct problems and contract issues.
improve performance. Over time, it is not uncommon for union
The first step in the process is for the super- representatives and supervisors to develop re-
visor to determine whether or not an employee lationships as they build mutual respect and
action requires a disciplinary action. If it is the understanding for each other’s role. In fact, they
first time the employee has erred and if the ac- may actually work together to help resolve prob-
tion was not more than a minor violation (for lems. However, the union representative is an
example, arriving 5 minutes late to a shift), elected official and, therefore, must be seen by
then an oral warning may be given. Sequential his members as standing up for their rights. The
violations result in increasingly severe penal- supervisor who understands this may be willing
ties, such as a written warning, a suspension, to hear out an argument for the grievant, even
or even termination, if the behavior continues. when both the supervisor and the union repre-
Union contracts often provide guidelines for sentative know that the grievant does not have a
disciplinary action, outlining the appropriate case. The supervisor, however, needs the respect
supervisory actions in response to employee of his employees if he is to maintain credibility
violations. Often, serious offenses such as theft, and the ability to manage. The union representa-
fighting on the job, and insubordination may tive may find ways to represent the rights of his
result in suspension or termination as the first employees without undermining the supervisor’s
step. The union may file a grievance when an authority, for example, by carefully explaining to
employee claims she has been falsely accused, an employee why the facts do not support his case.
or because the supervisor responded to an em- Attaining such balance allows both the supervisor
ployee action with a more severe penalty than and union representative to succeed in their roles.
that provided for in the contract. Supervisors
should be knowledgeable about the disciplinary 54.8 TRENDS IN UNION-MANAGEMENT COOPERATION
system so that it is consistently applied.
Trends in contract administration in manu-
facturing operations have moved beyond the tra-
54.7 ROLE OF THE SUPERVISOR IN CONTRACT ditional processes described here. Over the last
ADMINISTRATION 40 years, numerous companies and individual
The supervisor’s role in the contract adminis- plants have bargained more flexible contracts
tration process is crucial. Supervisors are on the that have included the union in various types
front lines of the employment relationship, and of joint decision-making, whether it was on the
are responsible in large part for implementing joint quality-of-work-life committees at General
the collective bargaining contract accurately Motors and the UAW beginning in the 1980s,
and fairly. This requires that supervisors and or the self-directed work teams at Saturn in its
managers be trained on the contract language. early days. Rather than an emphasis on lengthy,
Additionally, the type of relationship between detailed contracts with narrow job descriptions
the supervisor and his employees will in part and long lists of work rules, these more flexible
be responsible for the number and type of contracts define worker responsibility for deci-
grievances filed. Where the parties respect sion-making. This reduces the need for highly
each other, problem-solving may be utilized in structured work rules and strict hierarchies
ways that reduce the likelihood of formal griev- of management control balanced with strong
ances arising. However, research has shown union advocacy (Budd 2010). Participation in
that grievances are more likely to be filed when decision-making also has allowed some workers
a supervisor is aggressive (and/or when a union to find greater satisfaction in their work lives.
representative is aggressive) (Bemmels 1994). Whichever form of union-management relations
558
Fundamentals of Manufacturing Chapter 54: Labor Relations
REVIEW QUESTIONS
54.1) Which approach to bargaining results in a
loss to one of the parties and a gain to the other?
54.2) Name the issues for which mutual gains
bargaining is likely to be used.
54.3) Under what condition may an employee
who participates in a union-organized strike be
discharged and not entitled to reinstatement
when the strike ends?
54.4) What are the two primary goals of a griev-
ance procedure?
54.5) What is the last step in the grievance
procedure (if necessary)?
54.6) What trends have occurred in the area of
union-management cooperation?
REFERENCES
Bemmels, Brian. 1994. “The Determinants of Griev-
ance Initiation.” Industrial and Labor Relations
Review, V. 47, No. 2, January, pp. 285–301.
Budd, John W. 2010. Labor Relations—Striking a
Balance, Third Edition. New York: McGraw-Hill-
Irwin, pp. 328–330.
Veilleux, Raymond F. and Louis Petro, eds. 1988.
Tool and Manufacturing Engineers Handbook, Fourth
edition. Volume 5: Manufacturing Management.
Dearborn, MI: Society of Manufacturing Engineers.
BIBLIOGRAPHY
Carrell, Michael R. and Christina Heavrin. 2010.
Labor Relations and Collective Bargaining, Ninth
Edition. Upper Saddle River, NJ: Prentice Hall.
Sloane, Author A. and Fred Witney. 2010. Labor
Relations, 13th Edition. Upper Saddle River, NJ:
Prentice Hall.
55
ENGINEERING ECONOMICS
amount that must be deposited now to yield a Alternatively, the proportionality factor,
desired amount in the future, the proportionality (P/A,5%,50), can be found directly from Table
factor is written (P/F,i,n). The factor is applied E-11 in Appendix E.
as follows:
P = 1,000(18.2559) = $18,256
P = F(P/F,i,n) Eq. 55-1
Example 55.2.2. A truck is to be purchased
This indicates that a present amount of P is for $78,000. The truck dealer offers terms of
required at an interest rate of i for n periods a $5,000 down payment with 12 monthly pay-
given a desired future amount of F. Table 55-1 ments at an annual interest rate of 12%. What
illustrates some constants of proportionality and is the monthly payment?
the equations used to find them. The resulting Solution. The problem requires finding the “an-
factors can be found in Appendix E. nual amount” A (although in this case the pay-
Example 55.2.1. What amount must be depos- ments are monthly) based on the present amount
ited in a bank at 5% annual interest to provide P of $73,000 (the principal of the loan). The num-
$1,000 per year for the next 50 years? ber of periods is 12 with a periodic interest rate
Solution. The problem requires finding the of 12% /12, which equals 1%. The problem can be
present amount based on a known annual represented by:
amount. A = P(A/P,i,n)
P = A(P/A,i,n) P = (78,000 – 5,000) = $73,000
A = $1,000 I = 1%
i = 5% n = 12
n = 50 (A/P,1%,12) = 0.0888 (From Table E-4)
(1 + i )n − 1 A = 73,000(0.0888) = $6,482
(P /A,5%,50) =
i(1 + i )n Example 55.2.3. The goal of a savings plan is
(1 + .05) − 150
to accumulate $10,000 at the end of 10 years.
= How much money must be invested now if the
.05(1 + .05)50
savings account offers 4% annual interest com-
= 18.2559
pounded quarterly?
Solution. The problem requires finding the
Table 55-1. Proportionality factor equations present amount based on a given future amount.
for compound interest The periodic interest rate is 4%/4, which equals
1%. The number of periods is equal to 4 quarters
Proportionality
Symbol To Find Given per year for 10 years which yields 40 periods.
Factor
n
This can be expressed as:
(F/P,i,n) F P (1 + i)
P = F(P/F,i,n)
1 F = $10,000
(P/F,i,n) P F
(1 + i)n i = 1%
n = 40
i(1 + i)n (P/F,1%,40) = 0.6717 (From Table E-4)
(A/P,i,n) A P
(1 + i)n − 1 P = 10,000(0.6717) = $6,717
decide between two alternative investments in EUAC for 30-year service = EUAC for 20-year
equipment, property, or some other resource, service
known as an asset. There are several assump- 500,000(A/P,12%,30) + Em = 500,000(A/P,12%,20)
tions made in applying this approach:
500,000(0.1241) + Em = 500,000(0.1339)
There is a uniform time value or interest Em = $4,900
rate on all money involved in the problem,
whether it is borrowed or not. Money that
is not invested represents an opportunity
55.4 COST ESTIMATING
cost of lost interest. Manufacturing cost estimating is defined as
The annual cost of an asset is reduced by the the process of forecasting the “bottom line” cost
money made from the sale or salvage of an totals associated with the completion of a set of
asset at the end of its useful life. manufacturing tasks. This forecast is normally
If two alternatives have different useful made prior to the time the sequence of tasks
service lives, it is assumed the asset with actually begins. In contrast, cost control is de-
the shorter life will be replaced with an scribed as the process of updating or refining
identical item and identical costs. prior initial cost estimates for a sequence of
manufacturing tasks currently in process. Cost
The solution to these types of problems requires control is a function related to project perfor-
identifying all the components of the annual mance. It is related to the problem of “living
cost, including the opportunity cost of not invest- within the budget.”
ing the present value of the asset, the operating Costs generally fall into the categories of
cost, and the cost reduction associated with the fixed, variable, or semi-fixed. Among the manu-
salvage of the asset. facturing costs are direct labor, direct material,
Example 55.3.1. A company is considering indirect labor, indirect manufacturing costs,
purchasing a machine for $10,000. After 12 general and administrative costs, and tooling
years of use, there is a projected salvage value costs (Veilleux and Petro 1988).
of $3,000. The machine will require $150 per
year in maintenance. Determine the EUAC if FIXED COSTS
the annual interest rate is 10%. Fixed costs are those that are generally inde-
Solution. The EUAC has three components: 1) pendent of the production quantity being built.
the annual opportunity cost of the purchase price, Indirect labor and indirect manufacturing costs
2) the maintenance cost, and 3) the equivalent an- are generally fixed. Setup costs for machine
nual benefit of the salvage value of the machine. tools are also fixed costs.
EUAC = 10,000 (A/P,10%,12) + 150
– 3,000 (A/F,10%,12) VARIABLE COSTS
Variable costs are those incurred on a per-unit
EUAC = 10,000 (0.1468) + 150 basis of the quantity being produced. These costs
– 3,000 (0.0468) = $1,478 increase with each additional unit produced.
Per-piece direct labor and direct material costs
Example 55.3.2. A specialized machine tool
for assembled or machined parts are examples
costs $500,000. It has an estimated life of 20
of variable costs.
years with no salvage value. What amount
should the company be willing to spend on extra
maintenance if it would extend the service life SEMI-FIXED COSTS
to 30 years? Assume a 12% annual interest rate. Semi-fixed costs are sometimes known as
Solution. The company should only invest in step-variable costs. These costs are somewhat
extra annual maintenance, Em, until the EUAC independent of quantity and vary with the
of the 30-year service life program is equal to specific groups of units produced. The costs
the EUAC of the 20-year service life program. to change cutting tools and the completion
Therefore, the problem can be expressed as: of scheduled maintenance operations after a
562
Fundamentals of Manufacturing Chapter 55: Engineering Economics
specified number of production units are ex- tion costs, and technical library facilities. G&A
amples of semi-fixed costs. costs are generally fixed.
All learning curves may be described by: tween 0 and –1 that must be derived for spe-
n cific percentage reduction rates. Exponent
Y = KX Eq. 55-2 values for typical learning curve percentages
where: are listed in Table 55-2.
Y = production time expressed in either Two types of learning curves exist. The first
hours per unit or the cumulative average is called a unit curve. With unit curves, the Y
hours per unit required to build a total value represents the time in hours per unit re-
of X units quired to build the Xth unit. The second type is
K = number of hours required to build the called a cumulative average curve where the Y
first unit value represents the cumulative average time
X = cumulative number of units built in hours per unit to fabricate a total of X units.
n = a negative exponent that specifies the
percent by which Y decreases each time Table 55-2. Exponent values for typical
X is doubled learning curve percentages (Veilleux and
Petro 1988)
Learning curves usually have a percentage
associated with them. The percentage specifies Curve % n
the amount by which the term Y is reduced each 65 –0.624
time the quantity X is doubled. For example, a 70 –0.515
60% learning curve means Y will be 60% of the
75 –0.415
previous value after the quantity X is doubled.
Learning curves with a common starting point 80 –0.322
and both 60% and 80% rates of reduction are 85 –0.234
illustrated in Figure 55-1. 90 –0.152
The exponent, n, is not the improvement 95 –0.074
curve percentage. It is a fractional value be-
Figure 55-1. Learning curves (80% and 60%) with a common starting value (Veilleux and Petro 1988).
564
Fundamentals of Manufacturing Chapter 55: Engineering Economics
Both curve types are described by Equation 55-2. system. The ratio of performance to cost of each
The cumulative average curve is recommended component indicates the relative value of indi-
for general use in manufacturing because of its vidual components. Obtaining the maximum
wider utilization and acceptance in practice, performance per unit cost is the basic objective
and the comparative ease with which historical of value engineering.
time calculations can be made (Veilleux and For any expenditure or cost, two kinds of value
Petro 1988). For a cumulative average curve, are received, functional (use) value and esteem
the cumulative average time per unit (Y ) to (prestige) value. Functional value reflects the
produce X units can be found by Equation 55-2. properties or qualities of a product or system
The cumulative time (T ) to produce X units can that accomplish the intended work or service.
be found by: To achieve maximum functional value is to
achieve the lowest possible cost in providing the
T = KX (1 + n) Eq. 55-3 performance function. Esteem value is composed
Example 55.4.1. Using an 85% learning curve, of the properties, features, or attractiveness that
calculate the total time to assemble 500 units if make ownership of the product desirable. To
the time to assemble the first unit is 1.5 hours. achieve maximum esteem value is to achieve the
Solution. lowest possible cost in providing the necessary
appearance and attractiveness the customer
T = KX (1 + n) (Eq. 55-3) wants. For example, wrenches are primarily
where: functional items with a small amount of esteem
value. Automobiles provide a mixture of function
K = 1.5 hours
and esteem. Esteem value can come from fin-
X = 500 units ish, streamlining, and decorative trim. Jewelry
n = –0.234 (from Table 55-2) primarily exhibits esteem value.
T = 1.5 × 5001 – 0.234 Outside of the two kinds of value a customer
T = 175 hours receives, additional costs come from unnecessary
aspects of the design. Waste describes features or
properties that provide neither functional value
55.5 VALUE ENGINEERING
nor esteem value.
Value engineering provides a systematic
approach to evaluating design alternatives.
It is often useful and may even point the way 55.6 DEPRECIATION
to innovative new design approaches or ideas. Depreciation is a decline in the value of prop-
Also called value analysis, value control, and erty over the time it is used. Events that can
value management, value engineering uses a cause property to depreciate include wear and
multi-disciplinary team to analyze the functions tear, age, deterioration, and obsolescence. The
provided by the product and the cost of each cost of certain property, such as equipment used
function. Based on the analysis results, creative in a business or property used for the produc-
ways are sought to eliminate unnecessary fea- tion of income, can be recovered by taking a tax
tures and functions, and to achieve required deduction for depreciation.
functions at the lowest cost while optimizing Most types of tangible property (except land),
manufacturability, quality, and delivery. such as buildings, machinery, vehicles, furniture,
In value engineering, “value” is defined as computers, and equipment, can be depreciated.
a numerical ratio of function (or performance) Further, it may be possible to amortize or de-
to cost. Because cost is a measure of effort, the preciate certain intangible property (items that
value of a product using this definition is simply cannot be seen or touched), such as patents, copy-
the ratio of output (function or performance) rights, and computer software, over time. Table
to input (cost) commonly used in engineering 55-3 defines some common depreciation terms.
studies. In a complicated product design or To be depreciable, the property must meet all
system, every component contributes both to of the following requirements (Internal Revenue
the cost and to the performance of the entire Service 2009).
565
Fundamentals of Manufacturing Chapter 55: Engineering Economics
Table 55-3. Depreciation terminology make financial statements free from bias and
(Internal Revenue Service 2009) the information consistent and comparable
Term Definition from organization to organization. In the future,
GAAP will be integrated into the International
Initial cost including purchase
Cost basis price, delivery, sales tax, and
Financial Reporting Standards (IFRS) managed
installation by the International Accounting Standards
Board. As a result, there will be one accounting
An estimate of how long an item
of property can be expected to be set of rules used worldwide.
Useful life For tax reporting, most businesses utilize ac-
usable in trade or business, or to
produce income celerated depreciation methods permitted under
Estimated value of property at the tax law. In effect, the larger the depreciation
Salvage value number reported, the lower the taxable income
end of its useful life
Difference between the cost basis and the lower the tax bill to the company. This
Book value (initial cost) and the amount of allows a company to have higher cash flow from
depreciation charged to date operations, resulting in more investments. Ac-
Property that can be seen or celerating depreciation also takes into account
Tangible touched, such as buildings, that money has a time value.
property machinery, vehicles, furniture, and The reason accelerated methods of depre-
equipment ciation were and are enacted into law by the
Property that has value but cannot government is to help spur economic recover-
Intangible be seen or touched, such as good ies. Accelerated deduction can help businesses
property will, patents, copyrights, and grow, promote capital investment, and increase
computer software
employment. However, it can also work the op-
The number of years over which the posite way. If government feels the economy
cost basis of an item of property is is growing too quickly, these policies can be
Recovery period
recovered (not necessarily the same
as the useful life) repealed to slow growth.
There are various depreciation methods:
straight-line depreciation, sum-of-the-years’
digits depreciation, declining-balance depre-
It must be property you own.
ciation, the accelerated cost-recovery system
It must be used in your business or income-
(ACRS), the modified accelerated cost-recovery
producing activity.
system (MACRS), Section 179, and bonus
It must have a determinable useful life.
depreciation. The method used by a given
It must be expected to last more than one
organization depends on a number of factors,
year.
including its business entity status, income,
It must not be property that falls under an
profit, the tax environment (law), and the year
exception in the IRS code.
the property or asset was placed in service, as
defined in Table 55-4. This gives companies
METHODS flexibility in their tax planning. For example,
In general, most companies prepare two sets in an environment where a company is aware
of financial statements—one for book report- that tax rates will increase in future years, it
ing purposes to shareholders and one for tax may wish to utilize the straight-line method
purposes to the IRS. Straight-line depreciation to capture the depreciation deduction in those
is generally used for book reporting purposes higher tax rate years, rather than utilize the
as it is accepted under the Generally Accepted accelerated deduction in years with lower tax
Accounting Principles (GAAP). GAAP is a rates. In years a company buys assets, has
widely accepted set of rules and standards for strong profits, and is growing, accelerating
reporting financial information, as established the tax depreciation is more beneficial as it
by the Financial Accounting Standards Board. will result in higher deductions and less tax.
Companies utilize these rules when reporting The cash outlay is recovered quicker for more
financial information to their shareholders to investment purposes.
566
Fundamentals of Manufacturing Chapter 55: Engineering Economics
Table 55-4. Depreciation methods The machine has a $10,000 salvage value and
Year Property was Allowable Depreciation a 5-year useful life. Calculate the annual depre-
Placed in Service Method ciation expense using the straight-line method.
Straight line Solution. The solution requires using Equa-
Prior to 1981 Declining balance tion 55-4.
Sum-of-the-years’ digits
P − SV
After 1980 and before Accelerated cost-recovery Dt = (Eq. 55-4)
1987 system (ACRS) n
After 1986 (or after where:
Modified accelerated cost-
July 31, 1986 if Dt = depreciation expense for year t
recovery system (MACRS)
MACRS was elected)
P = cost basis = $40,000
SV = salvage value = $10,000
n = expected depreciable life = 5 years
Straight-line Depreciation
So,
Straight-line depreciation is one of the sim-
plest methods to apply. It assumes the decline 40, 000 − 10, 000
Dt = = $6, 000
in value is directly proportional to the age of the 5
asset as illustrated in Figure 55-2. The annual
Table 55-5 lists the annual depreciation ex-
depreciation expense, Dt, is a constant value
penses and the end-of-year book values.
determined by dividing the depreciable cost by
the depreciable life of the asset. Example 55.6.2. Using Example 55.6.1, what is
the book value of the asset after the third year
P − SV
Dt = Eq. 55-4 of depreciation?
n
Solution. The solution requires using Equation
where:
55-5 and can be verified by Table 55-5.
Dt = annual depreciation expense for year t
P = cost basis BVt = P – t × Dt (Eq. 55-5)
SV = salvage value
n = expected depreciable life or recovery where:
period BVt = book value in year 3 = BV3
If the book value of only one specific year, BVt , P = cost basis = $40,000
is of concern, it can be calculated directly by: t = year = 3
Dt = depreciation expense for year 3 = $6,000
BVt = P – t × Dt Eq. 55-5
So,
Example 55.6.1. The initial cost of a machine
including shipping and installation is $40,000. BV3 = 40,000 – 3 × 6,000 = $22,000
Book value at the end of year three: Table 55-8. ACRS classes for property placed
in service after 1980 and before 1987
BV3 = BV2 – D3 = 14,400 – 4,400 = $10,000 (Internal Revenue Service 1995)
Depreciation expense for years four and Personal Property Class
five is 0.
Autos and light trucks, tractor units for
Table 55-7 summarizes the results.
over-the-road use, equipment used for
3 years
research and development, and special
Accelerated Cost-recovery System (ACRS) tools with a life <4 years
The Economic Recovery Tax Act of 1981 initi-
Most other machinery and equipment,
ated the accelerated cost-recovery system (ACRS)
office furniture and equipment, heavy- 5 years
depreciation method. This method includes a duty trucks, computers, and copiers
recovery period that is shorter than the useful
life of the investment. The shorter period for Certain public utility property, railroad
10 years
write-off was intended to stimulate the economy tank cars, and manufactured homes
by encouraging capital investment.
ACRS applies to most depreciable tangible
property placed in service after 1980 and be-
fore 1987. It includes new or used and real or Table 55-9. ACRS depreciation rates for
personal property. The property must be used property placed in service after 1980 and
in a trade or business or for the production of before 1987 (Internal Revenue Service 1995)
income. With ACRS, a salvage value is ignored Recovery 3-year 5-year 10-year
by ACRS rules, therefore the property or asset Year Property Property Property
can be depreciated down to zero.
1 25% 15% 8%
With ACRS all assets are grouped into 3-, 5-,
10-, 15-, 18-, and 19-year classes. The 15-, 18-, 2 38% 22% 14%
and 19-year classes include real property, such 3 37% 21% 12%
as buildings. The 3-, 5-, and 10-year classes 4 21% 10%
include personal property such as vehicles,
5 21% 10%
computers, equipment, etc., as illustrated in
Table 55-8. Table 55-9 defines the depreciation 6 10%
rates for various property classes. 7 9%
Book value at the end of year one: 1986. The primary differences between ACRS
and MACRS are the asset class lives and the
BV1 = P – D1 = 10,000 – 1,500 = $8,500 depreciation rates.
Depreciation expense for year two: Under the MACRS method, property is
grouped into 3-, 5-, 7-, 10-, 15-, 20-, 25-, 27.5-
D2 = 0.22 × 10,000 = $2,200 and 39-year classes. The 27.5-year class in-
Book value at the end of year two: cludes residential property; the 39-year class
includes commercial property. The remaining
BV2 = BV1 – D2 = 8,500 – 2,200 = $6,300 classes cover personal property. The 3-, 5-, 7-,
Depreciation expense for year three: 10-, and 15-year property classes are defined
in Table 55-11. Table 55-12 defines the depre-
D3 = 0.21 × 10,000 = $2,100 ciation rates for various property classes. It is
based on the half-year convention, which
Book value at the end of year three:
treats all property placed in service or disposed
BV3 = BV2 – D3 = 6,300 – 2,100 = $4,200 of during a tax year as placed in service or
Depreciation expense for year four:
Table 55-11. MACRS property classes
D4 = 0.21 × 10,000 = $2,100 for property placed in service after 1986
Book value at the end of year four: (Internal Revenue Service 2009)
Personal Property Class
BV4 = BV3 – D4 = 4,200 – 2,100 = $2,100
Tractor units for over-the-road use;
Depreciation expense for year five: special tools used in the manufacture
of rubber, glass, metals, motor vehicles, 3 years
D5 = 0.21 × 10,000 = $2,100 and food and beverage products (jigs,
dies, fixtures, etc.)
Book value at the end of year five:
Computers and peripheral equipment;
BV5 = BV4 – D5 = 2,100 – 2,100 = 0 data handling equipment; computer-
based central office switching
Table 55-10 summarizes the results. equipment; automobiles; buses; light-
and heavy-duty trucks; construction
5 years
assets; equipment for manufacture of
Modified Accelerated Cost-recovery System (MACRS) knitted goods and carpet, chemicals,
The modified accelerated cost-recovery system metals, electronic components, and
semiconductors; property used in
(MACRS) depreciation method was created by
research and experimentation
the Tax Reform Act of 1986. It is the manda-
tory method of depreciation used for tangible Office furniture and equipment; railroad
cars and locomotives; agricultural
property placed in service after December 31, machinery; mining equipment; equipment
for manufacture of tobacco products,
wood and printing products, rubber,
Table 55-10. Example 55.6.6 plastic and glass products, stone and
7 years
clay products, leather products, foundry
End-of-year and steel mill products, metal products,
Depreciation
Year, t Book Value, electrical and non-electrical machinery,
Charge, Dt
BVt motor vehicle and aerospace products,
0 $0 $10,000 and railroad equipment; includes property
not assigned to a class life
1 $1,500 $8,500
Vessels; barges and tugs; electrical
2 $2,200 $6,300 power distribution systems; equipment
10 years
for manufacture of grain, sugar, and
3 $2,100 $4,200
vegetable-oil products
4 $2,100 $2,100 Municipal wastewater treatment plant,
15 years
5 $2,100 $0 telephone distribution plant
571
Fundamentals of Manufacturing Chapter 55: Engineering Economics
disposed of at the midpoint of the year. So, for From Table 55-12, the depreciation rate for
the year the property is placed in service or a 7-year class property in year three is 17.49%.
disposed of, one-half year of depreciation is Therefore,
allowed. For example, under MACRS the re-
covery period for a 5-year property is 5 years. D3 = 0.1749 × 50,000 = $8,745
However, the depreciation deductions are The book value at the end of year three is
spread over six tax years (Internal Revenue equal to the cumulative depreciation up to and
Service 2009). including year three.
Example 55.6.7. A plastic injection molder is From Table 55-12,
purchased and installed for $50,000 and placed D1–3 = (0.1429 + 0.2449 + 0.1749) × 50,000
in service in 2005. What is the depreciation ex- = $28,135
pense in year three and the asset’s end-of-year
book value at the end of the third year using the BV3 = 50,000 – 28,135 = 21,865
MACRS method?
Solution. Referencing Table 55-11, the machine Section 179
is categorized in the 7-year class. The depreca- Internal Revenue Code Section 179 (U.S.C.
tion rates are found in Table 55-12 and the Title 26) provides another method to deduct the
amount to be depreciated is $50,000. cost of machinery, equipment, vehicles, furniture,
and other qualifying property. It is not termed bonus depreciation that may be claimed on the
depreciation; it is an election to expense, instead qualifying property. To be a qualifying property,
of depreciate. Section 179 allows qualifying the asset must be newly (originally) purchased
property to be deducted for the taxable year in by the taxpayer and depreciable under MACRS
which the property was placed in service. If the with a recovery period of up to 20 years.
property were elected to be treated as a capital
expenditure or “capitalized,” then appropriate 55.7 INVESTMENT ANALYSIS
depreciation methods would be used.
Section 179 carries limits on both the total cost PAYBACK PERIOD
of investment outlay in a year (that is, total assets Determining the payback period on an invest-
you can consider for this expense), and a limit on ment involves finding the number of periods
the amount that actually can be expensed. Every (weeks, months, or years) required to recover the
year Congress reviews this section to determine cost of capital, ignoring the time value of money.
if the limits should be changed. For 2012, Section The payback period is among the simplest mea-
179 allows businesses to deduct up to $139,000 sures that can be used to evaluate the merit of
for qualifying property. This amount is reduced investment projects. It can be calculated by:
if the property placed in service that tax year
exceeds $560,000. For example, if a company Σ R = ΣC Eq. 55-10
buys $600,000 in assets, it would have to subtract where:
$40,000 from the $139,000 expense limit. How- R = revenues
ever, the total cost that can be deducted is limited C = costs
to the taxable income generated by the trade or
business for the year. In other words, a business Revenue can be generated from a number of
cannot use the Section 179 expense provision to sources such as product or unit sales and salvage
create a loss on its books. If a business does elect values. That generated by product or unit sales
Section 179 and the amount is over its taxable is defined by:
income earned for the year, the excess can be
R = r×Q×n Eq. 55-11
carried over to the next year and utilized.
where:
Bonus Depreciation R = sales revenue
r = revenue per unit
Bonus depreciation is relatively new. The con- Q = units sold per period
cept originated with the Job Creation and Worker n = number of periods (weeks, months, or
Assistance Act of 2002 (JCWAA) and allowed an years)
additional first-year depreciation deduction equal
to 30% of the adjusted basis of qualified property Cost is comprised of several components such
placed in service on or after September 11, 2001 as initial cost, fixed cost, and variable cost. First
and before January 1, 2005. The idea was that the costs typically consist of equipment purchases
increased first-year depreciation would acceler- and installation. Fixed costs, such as setup costs,
ate purchases of equipment, promoting capital are independent of the quantity produced. Vari-
investment, modernization, and growth. able costs, such as direct labor and material,
For qualifying property acquired after Decem- depend upon the quantity produced. The total
ber 31, 2007 and placed in service before Janu- variable cost can be determined by:
ary 1, 2010 (Code section 168[k]) a 50% bonus
V = v×Q×n Eq. 55-12
depreciation deduction is allowed as amended
by the Economic Stimulus Act of 2008 and the where:
American Recovery and Reinvestment Act of V = total variable cost
2009. This is subject to change in future years. v = unit variable cost
Unlike Section 179 expensing, there is no Q = units produced per period
taxable income or investment limitation on the n = number of periods (weeks, months,
bonus allowance, nor on the overall amount of years)
573
Fundamentals of Manufacturing Chapter 55: Engineering Economics
projects and can be useful to startup companies least expensive on an annual basis assuming a
trying to recoup an investment quickly. 10% interest rate?
55.4) Using an 80% cumulative average learn-
MINIMUM ATTRACTIVE RATE OF RETURN (MARR) ing curve, calculate the time to assemble the
Another technique for evaluating investment 500th unit if the time to assemble the first unit
alternatives is the minimum attractive rate of is 15 hours.
return (MARR), also known as the hurdle rate. 55.5) A company purchases a new $100,000
When evaluating an investment, most compa- die-casting machine to produce aluminum hous-
nies want to recover more than just the capital ings. It will have a salvage value of $20,000 in
invested. They desire a minimum rate of return, 10 years. Calculate the book value at the end
referred to as MARR. of the fourth year using the following methods:
(a.) straight-line depreciation,
INTERNAL AND EXTERNAL RATE OF RETURN (b.) sum-of-the-years’ digits depreciation,
The internal rate of return (IRR) method de- (c.) double-declining depreciation, and the
termines the interest rate that will equate (d.) modified accelerated cost-recovery
the present worth of a project’s revenues system (MACRS).
with the present worth of the project’s costs.
IRR also can be described as the interest rate 55.6) A gear manufacturer can produce 2,000
that makes the net present worth of a project gears per month at full capacity. The material
zero. If a project’s IRR is less than the MARR, cost is $10 per gear; overhead cost is $21,000 per
a company may decline investing in the project. month; and labor cost is $5 per gear. If the gears
The internal rate of return method may not sell for $30 each, what is the minimum percent
accurately reflect a project’s true rate of return. utilization the plant must use to break even?
It assumes that cash proceeds from a project
can be reinvested at the IRR. If the IRR is high, REFERENCES
such as 40%, it is unrealistic to expect proceeds
Internal Revenue Service. 2009. “Publication 946.”
will be reinvested at that rate. In response to Washington, DC: U.S. Government Printing Office.
this situation, the external rate of return (ERR)
method can be used. The ERR method uses a Internal Revenue Service. 2003. “Publication 936.”
reasonable interest rate at which a project’s Washington, DC: U.S. Government Printing Office.
proceeds or revenue can be reinvested. Internal Revenue Service. 2002. “Publication 551.”
Washington, DC: U.S. Government Printing Office.
and so on), such as Energy StarSM appli- energy use specifically. It is currently being
ances and fuel-efficient vehicles. implemented in companies worldwide.
Reduce resource usage by specifying and
producing reusable or recyclable products
ENVIRONMENTALLY PREFERABLE
and components. In Europe, laws require
car and consumer electronics manufactur- PURCHASING PROGRAM
ers to take back their products at the end In the United States, the Environmental Pro-
of life. tection Agency’s (EPA’s) Environmentally Prefer-
able Purchasing (EPP) Program helps agencies
across the federal government comply with green
56.2 SUSTAINABILITY STANDARDS AND GUIDELINES purchasing requirements and, in doing so, uses
Many standards and guidelines related to the federal government’s enormous buying power
sustainability exist throughout the world. This to stimulate market demand for green products
section discusses only a few of them. and services. Federal agencies are directed by
federal laws, regulations, and executive orders
INTERNATIONAL ORGANIZATION FOR to make purchasing decisions with the environ-
ment in mind. The Environmentally Preferable
STANDARDIZATION Purchasing Program was created in 1993 to
The International Organization for Stan- help federal officials meet these requirements.
dardization (ISO) has developed the ISO 14000 Most recently, these requirements have included
family of standards to help organizations Executive Order 13514—“Federal Leadership
manage environmental issues. The standards in Environmental, Energy, and Economic Per-
provide guidance on issues such as greenhouse formance,” which orders federal agencies to use
gas accounting, incorporating environmental sustainable practices when buying products and
issues into product design, and sampling and services (EPA 2012). As an example, federal agen-
test methods for a variety of applications. Below cies are required to give preference to bio-based
are examples of standards from the ISO 14000 products in the USDA designated item categories.
family (ISO 2012). Specifications for procurement must require the
“ISO 14001 Environmental Management use of bio-based products in these designated
Systems: Requirements with Guidance for item categories.
Use”—provides basic requirements for an
environmental management system. ENERGY STARSM
“ISO 14004 Environmental Management
Created by the EPA, the Energy Star (www.
Systems: General Guidelines on Princi-
energystar.gov) is the trusted, government-
ples, Systems, and Support Techniques”—
backed symbol used on products to indicate
provides guidelines on the basic elements
their energy efficiency. Consumers can depend
of an environmental management system
on these products to help save money and pro-
and its execution.
tect the environment.
“ISO 14040 Environmental Management:
The Energy Star label was established to:
Life-cycle Assessment, Principles, and
Framework”—provides an overview of reduce greenhouse gas emissions and other
life-cycle assessment across a wide range pollutants caused by the inefficient use of
of applications and users. energy, and
“ISO 14044 Environmental Management: make it easy for consumers to identify and
Life-cycle Assessment, Requirements, purchase energy-efficient products that
and Guidelines”—guides the preparation, offer savings on energy bills without sacri-
execution, and review of the life-cycle as- ficing performance, features, and comfort.
sessment phases.
Products can earn the Energy Star label by
Additionally, a new ISO 50001 standard meeting the energy efficiency requirements set
was issued in 2011 to help companies manage forth in the Energy Star product specifications.
577
Fundamentals of Manufacturing Chapter 56: Sustainable Manufacturing
The EPA establishes these specifications based As mentioned earlier, the International Stan-
on the following set of key guiding principles: dards Organization has developed standards
Product categories must contribute signifi- for life-cycle assessment that can be found in
cant energy savings nationwide. ISO 14040-14043. According to ISO 14040, life-
Qualified products must deliver the features cycle assessment is comprised of four sequential
and performance demanded by consumers, phases defined as (Hauschild et al. 2006):
in addition to increased energy efficiency. 1. Goal and scope definition—defines what
If the qualified product costs more than a the LCA results will be used for and the
conventional, less-efficient counterpart, the assessment framework.
purchaser will recover his investment in in- 2. Life-cycle inventory—collects data on the
creased energy efficiency through utility bill interactions between the product and the
savings within a reasonable period of time. environment.
Energy efficiency can be achieved through 3. Life-cycle impact assessment—analyzes
broadly available, non-proprietary tech- the life-cycle inventory data and deter-
nologies offered by more than one manu- mines the impact on health, environment,
facturer. and natural resources.
Product energy consumption and perfor- 4. Life-cycle interpretation—analyses of the
mance can be measured and verified with life-cycle inventory data and the impact
testing. assessment data with regard to the goals
Labeling effectively differentiates Energy and scope of the study.
Star products and is visible for purchasers.
In response to life-cycle assessment results,
KYOTO PROTOCOL companies can employ strategies such as life-cy-
cle engineering and design for the environment
In 1992, many countries joined an inter-
(DfE). Life-cycle engineering is a set of engineer-
national treaty called the United Nations
ing activities for the design and manufacture of
Framework Convention on Climate Change. An
products with the goal of:
international agreement linked to this treaty,
the Kyoto Protocol sets binding targets for 37 guarding the environment,
industrialized countries and the European maintaining resources,
community for reducing greenhouse gas (GHG) reducing pollution and waste, and
emissions (UNFCC 2012). maximizing the product life cycle.
Adopted in 1997, the Kyoto Protocol requires
that participating countries meet specified DfE is one tool used in life-cycle engineering.
emission targets from 2008 to 2012. However, During the product design phase, it simultane-
participation is voluntary and therefore not ously considers all issues related to the environ-
all countries are participating. Discussion of ment. Goals of designing for the environment
extending the commitment period is ongoing include:
(UNFCC 2012). Reduce or eliminate toxic materials used
in the product.
56.3 LIFE-CYCLE ASSESSMENT Reduce or eliminate hazardous wastes and
Life-cycle assessment (LCA) began in the 1960s emissions produced during manufacturing.
and 1970s. The focus at that time was the im- Reduce the energy needed to make the
pact products had on resource consumption, i.e. product and use it.
materials and energy (Hauschild et al. 2006). Reduce the amount of materials, including
Consideration of the environmental impact of scrap, needed to make the product.
products came later. One modern definition Develop and use materials that have a
of life-cycle assessment is the assessment of a smaller environmental impact and higher
product’s environmental impact during its life end-of-life value.
from producing the required raw materials to Maximize use of recycled materials.
product disposal (Hauschild et al. 2006). Design for disassembly and recyclability.
578
Fundamentals of Manufacturing Chapter 56: Sustainable Manufacturing
While life-cycle assessment focuses on eco- during the dive, the root cause of individual
nomics and the environment, sustainability has waste streams can be identified and projects to
one more dimension, society. Often referred to apply the 4Rs (refuse, reduce, reuse, recycle)
as the triple bottom line, it is where economics, to the source of the waste can be developed.
the environment, and society intersect. One Dumpster diving can dramatically reduce solid
measure of manufacturing sustainability is how waste disposal fees, create new revenue streams,
successful a company is at minimizing cost and and lower the expense of purchasing new raw
environmental impact while maximizing the materials that were previously being turned
benefit to society. into solid waste.
inexpensive but inefficient since much of the sure sodium bulbs tend to decrease in intensity
energy is given off as heat. Most are scheduled more quickly than fluorescent lamps as they
to be phased out by 2014. move through their life cycles. This phenomenon
Halogen bulbs also use a tungsten filament. is called lumen depreciation.
However, the bulb enclosing the filament is Induction bulbs are similar to fluorescent
smaller, made of quartz, and is filled with a lamps; however, an induction bulb uses a high-
halogen gas. Halogen bulbs use less energy and frequency magnetic field rather than an internal
last longer than incandescent bulbs. However, electrode to excite the gas-filled tube. Without
some of the energy also is given off as heat. a sacrificial electrode, an induction bulb lasts
Fluorescent bulbs come in two major vari- much longer and reduces maintenance costs.
eties, linear and compact fluorescent (CFL). Light-emitting diodes (LED) are semiconduc-
Fluorescent bulbs consist of a glass tube filled tor devices that give off energy in the form of
with an inert gas such as argon, mercury, and visible light. The advantages of LEDs include
a powdered phosphor coating. There are elec- reduced energy consumption, exceptionally long
trodes inside the bulb at each end. When current life, lower maintenance costs, and instant start
flows to the electrodes, some of the mercury and dimming capability as compared to HIDs.
is converted to a gas. As electrons and atoms LEDs are also available in a variety of colors.
move through the tube, they collide and bump The disadvantage is significantly higher initial
the electrons up in their energy level. As they cost as compared to standard HID or fluorescent
fall back, they give off photons, which cause the fixtures.
phosphor coating to give off light. A ballast is
used to supply the initial electricity to start the 56.6 RENEWABLE ENERGY
light and then controls the amount of electricity
Renewable sources of energy should be con-
flowing through the bulb and thus the amount sidered when possible and practical. However,
of light it gives off. Fluorescent bulbs generate availability, distribution, cost, and storage can
less heat and are therefore generally more ef- be significant issues. One advantage of re-
ficient than incandescent bulbs. However, due newable energy is that it decentralizes power
to their mercury content, fluorescent bulbs production by producing power at or near the
need to be managed as a universal waste and point of consumption; this is called distributed
disposed of properly. Ballast maintenance also generation. This makes economic sense in some
can be an issue. cases because it is expensive to build transmis-
Linear fluorescent bulbs are generally speci- sion infrastructure over long distances.
fied by their diameter and length. The diameter One of the disadvantages of renewable energy
designation is based on 1/8s of an inch. For is that it is a variable source and cannot be cre-
example, a T12 is 12/8 or 1.5 inches in diam- ated “on-demand”; it is only created when the
eter and a T8 is 8/8 or 1 inch in diameter. A sun is shining or the wind is blowing. It is also
modification, T5HO is a high-output 5/8-inch difficult and expensive to store energy. While
diameter bulb. batteries can store energy, the initial cost and
High-intensity discharge (HID) bulbs come replacement costs are very high. Alternately,
in two major varieties, metal halide and high- pumped hydro power is another form of energy
pressure sodium. These bulbs are generally storage. During nonpeak times, water is pumped
used in high bay applications. They take up to into a reservoir at a higher elevation. During
15 minutes to reach full intensity when started peak times, the water is released through tur-
and require a similar “restrike” time to cool down bines to generate electricity. However, due to
before restarting. Both T8 and T5 fluorescent inefficiencies in the system, some energy is lost.
bulbs as well as LEDs are alternatives in high One type of solar energy called concentrated
bay applications. High-pressure sodium bulbs solar power (CSP) does effectively store energy
have a high efficacy (efficiency) but provide an in the form of heated fluid, thereby improving
aesthetically unpleasant orange/yellow color. the reliability and predictability of electricity
Additionally, both metal halide and high-pres- generation from this source.
580
Fundamentals of Manufacturing Chapter 56: Sustainable Manufacturing
While there are several types of renewable solar power generally “base loads,” that is, it
energy, only solar and wind will be discussed provides power when power is most needed,
in detail as they are probably the two most particularly in areas of the world with high
practical renewable energy sources for manu- electrical usage for air conditioning. However,
facturing. However, geothermal heating and the primary disadvantage is the high capital
cooling systems also should be considered when cost as compared to conventional forms of elec-
a large portion of the energy consumption of a tricity. The return on investment (ROI) needs
manufacturing facility is for heating, ventila- to be carefully considered. Also, conventional
tion, and air conditioning (HVAC). Geothermal solar panels are only about 20% efficient. They
systems require a large capital investment and typically use only certain wavelengths of so-
a high water table or large pond or lake as a lar energy. Current research is investigating
heat sink but are very cost effective. Many com- solar panels that can efficiently use a broader
mercial, institutional, and small manufacturing range of wavelengths. Costs have come down
facilities are adding geothermal systems when significantly over the last several years and
remodeling existing or building new facilities. efforts to achieve grid parity, or the point at
The reader is encouraged to investigate addi- which solar power is cost competitive with
tional forms of renewable energy as necessary. conventional sources, are currently underway.
with height, taller, larger turbines are generally Carbon dioxide is both created and consumed
better investments. in what is called the carbon cycle. As part of the
While wind energy is clean and renewable, carbon cycle, natural and man-made carbon
there are some disadvantages to consider. In dioxide is emitted into the atmosphere. Living
addition to the initial cost and maintenance, plants exchange carbon dioxide for oxygen. This
wind turbines generate noise, which can be is partly why deforestation is a large issue. Some
objectionable to residents and in some areas municipalities, for example, strategically plan
residents object to their appearance. Addition- the planting of plants and trees to increase the
ally, because wind is a variable resource, it exchange of carbon dioxide and lower the tem-
complicates management of the electrical grid perature, thereby decreasing cooling costs. In
and cannot be depended upon as a “base load- addition to plants, oceans, also known as sinks,
able” source of electrical energy. are a larger source for absorbing carbon dioxide.
Regardless of the type of renewable energy
being considered for installation, a specific CARBON FOOTPRINT
application must be identified. For example,
The carbon footprint is a measure of green-
installing a wind turbine without considering
house gases a home or corporation produces. The
the load it is going to drive risks the success
footprint is typically measured in metric tons of
of the project. However, with a specific load
carbon dioxide produced, or in metric tons of car-
identified, the right size wind turbine or solar
bon dioxide equivalents, which include the impact
panel size can be selected and installed.
of methane, nitrous oxide, hydrofluorocarbons,
and other GHGs. Carbon dioxide emissions are
56.7 GREENHOUSE GASES comprised of direct and indirect emissions. Direct
Carbon dioxide (CO2) is the primary gas of emissions result from manufacturing processes
several that are considered to be greenhouse and other activities directly associated with manu-
gases. These gases allow the energy from sun- facturing products. For example, burning a fossil
light to enter the atmosphere, but hinder or fuel such as coal or natural gas to produce steam
reflect the infrared energy (heat) from the earth, for a manufacturing operation is a direct carbon
which leads to a gradual increase in global tem- dioxide emission. However, using electricity on-
perature. Other contributing greenhouse gases site would produce an indirect emission that would
(GHGs) are methane (CH4), nitrous oxide (N2O), have a carbon footprint based on the fuel mix
hydrofluorocarbons (HFCs), and water vapor. used to generate that electricity. Other indirect
While there is some debate about the existence emissions are those that result from the mining
or cause of global warming, it is not considered process used to generate the raw materials used to
credible due to the overwhelming body of scien- manufacture products. Therefore, reducing scrap
tific evidence that shows both that global warm- material, such as from a stamping operation, will
ing is occurring and that it is anthropogenic indirectly reduce the carbon footprint.
(caused by man and not attributable to natural Some countries have instituted formal poli-
variation). The composition of CO2 in the atmo- cies to reduce greenhouse gas emissions. One
sphere is at its highest level in the last 800,000 such policy is a carbon tax whereby producers
years. Since 1950, it has increased from 315 are taxed per ton of carbon dioxide produced.
ppm to 396 ppm as of September, 2012. Levels Another policy is the carbon credit or “cap and
are currently increasing by roughly 2 ppm/year. trade” system. Under this policy, companies
CO2 comes from both natural and man-made that produce carbon dioxide below their allotted
sources. Naturally, carbon dioxide comes from amount receive a “credit.” Those credits can be
decaying plants and animals. Artificially, the sold to companies that exceed their allowance of
burning of fossil fuels is the largest source of carbon dioxide emissions. The “cap and trade”
man-made carbon dioxide. Of that, industry, system is currently in use and has successfully
energy production, and transportation gener- been used to limit the amount of sulfur dioxide
ate the majority of man-made carbon dioxide (SO2) pollution emitted from burning coal and
(EPA 2012). other fossil fuels.
582
Fundamentals of Manufacturing Chapter 56: Sustainable Manufacturing
New products can be developed by incorpo- 56.4) Is the relationship between wind speed
rating scrap materials from current produc- and the energy in the wind linear?
tion operations. 56.5) Producing power at the point of consump-
The value of recycled materials can be tion is known as what type of generation?
maximized by sorting, chopping, or melting.
56.6) For fluorescent light bulbs, what is used
Products can be designed to be easily sepa-
to control the current flow?
rated at their “end of life” into recyclable
value streams such as copper, tin, cadmium,
and gold. REFERENCES
Reusable packaging. American Society of Civil Engineers. “Code of Eth-
Reduce excess metal around stampings, ics.” 2006. Reston, VA: American Society of Civil
castings, etc. Engineers.
Reduce lubrication by using minimum Brundtland, Gro Harlem. 1987. Our Common Future.
quantity lubrication (MQL). Oxford, U.K.: Oxford University Press.
Reclaim heat from combustion exhaust.
Shift high power consumption operations Environmental Protection Agency (EPA). The Clean
Air Act. http://www.epa.gov/air/caa/index.html
to nonpeak hours.
Reduce or eliminate volatile organic com- —. 2012. “Environmentally Preferable Purchasing
pounds (VOC) by using water-based or (EPP).” http://www.epa.gov/opptintr/epp/pubs/about/
low-VOC coatings. about.htm#d
Substitute less toxic or hazardous substances. —. 2012. “How a Product Earns the Energy Star Label.”
Fine-tune combustion processes to reduce http://www.energystar.gov/index.cfm?c=products.
emissions. pr_how_earn
Fix compressed air leaks.
—. 2012. “Sources of Greenhouse Gas Emissions.”
Reduce or eliminate “throw-away” consum- http://www.epa.gov/climatechange/ghgemissions/
able containers or cartridges in the product sources.html
design.
Incorporate recycled materials or materials Hauschild, M., J. Jeswiet, and L. Alting. 2005. “From
made from renewable feedstock for produc- Life-cycle Assessment to Sustainable Production:
Status and Perspectives.” CIRP Annals—Manufactur-
ing products.
ing Technology, Volume 54, Issue 2 (2005), pp. 1–21.
Utilize vapor recovery systems. Paris, France: CIRP.
Filter coolant mist at the machining center
so warm air can be circulated rather than Haynam, T. 2012. “Energy-efficient and EPA-compli-
warming 100% new air. ant Air Pollution Control Fume Extraction Equipment
Improve inventory control to reduce out- Supplants HVAC Control.” Green Manufacturer,
May/June. Rockford, IL: FMA Communications, Inc.
dated or spoiled materials.
Fix HVAC system inefficiencies. International Organization for Standardization. 2012.
Increase efficiency of pumping systems, Environmental Management: The ISO 14000 Family
i.e. variable speed drive (VSD), flow con- of International Standards. Geneva, Switzerland:
trol, etc. International Organization for Standardization.
Use returnable containers. Langenwalter, G. “Sustainability: The Next Competi-
tive Edge.” Manufacturing Engineering, SME Speaks,
REVIEW QUESTIONS October 2007, Vol. 139, No. 4. Dearborn, MI: Society
of Manufacturing Engineers.
56.1) Name the factors that comprise the triple
bottom line. Murata, S. 2010. “How to Measure the ROI of
Your Sustainability, CSR Efforts.” Environmental
56.2) The system whereby carbon dioxide cred-
Leader/Environmental and Energy Management
its are bought and sold is known as __________. News. March 11. http://www.environmentalleader.
56.3) Which one of the four “Rs” is missing from com/2010/03/11/how-to-measure-the-roi-of-your-
this list: reduce, refuse, reuse, and __________? sustainability-csr-efforts/
584
Fundamentals of Manufacturing Chapter 56: Sustainable Manufacturing
BIBLIOGRAPHY
Langenwalter, G. 2007. The Squeeze: A Novel Ap-
proach to Business Sustainability. Dearborn, MI:
Society of Manufacturing Engineers.
Society of Manufacturing Engineers. 2008. “Green
Lean: Achieving Outstanding Environmental
Performance with Lean” Video. Manufacturing
Insights Video Series. Dearborn, MI: Society of
Manufacturing Engineers.
Part 10
Personal Effectiveness
57
PERSONAL EFFECTIVENESS
One of the largest competency gaps for engi- munication. Written communication can express
neers and managers is interpersonal skills. Col- highly detailed and complicated messages. It
lege graduates typically are proficient in areas also is a form of communication that can be
such as mathematical reasoning, engineering saved and/or stored. For example, meeting
mechanics, materials, quality, processes, etc. minutes often are stored for later reference if
However, they generally lack proficiency in needed. Oral communication is sometimes more
skills such as: convenient than writing an e-mail or report.
Nonverbal communication also can be combined
written and oral communication,
with oral communication to increase the mes-
listening,
sage’s meaning.
negotiating,
confrontation and conflict management,
meeting management, and LISTENING SKILLS
creativity and innovation. Listening is one of the most important com-
munication skills for personal and organiza-
tional success. It accounts for a major part of
57.1 COMMUNICATION the time spent communicating. Poor listening
Communication is the process of sending skills can result in miscommunications and
and receiving messages. It is the exchange of costly errors in terms of lost time and money.
information and ideas. Effective communication The attributes of being a good listener are part
occurs when the receiver receives and interprets of being an active listener. Active listening re-
the message as intended by the sender. quires the listener to take an active role in the
There are two basic forms of communication: listening process to ensure the correct message
nonverbal and verbal. Examples of nonverbal is being received. Just being “attentive” does not
communication include facial expressions, ges- ensure accurate and effective communication.
tures, posture, clothes, grooming, and punctual- To be a good listener, a person must first be mo-
ity. Nonverbal communication is usually more tivated to listen. People are generally motivated
spontaneous than verbal communication. People if the communication is job related and/or if there
typically do not formulate their facial expres- is some interest in the communication. Generally,
sions, whereas they would give more thought to higher motivation results in better listening.
formulating a sentence or paragraph to express Being a good listener requires a person to
an idea. focus on the content as opposed to the delivery
Verbal communication, such as written and style. This is referred to as content listening (Bo-
oral communication, conveys more complicated vee 2000). Regardless of whether the presenter’s
and structured messages than nonverbal com- communication style is entertaining or dry, it is
the content of the message that counts. For ex- topic and what will their probable reaction be?
ample, a person with poor communication skills It is generally advisable to anticipate the audi-
may convey an important message, whereas a ence’s questions and provide enough information
person who is entertaining may be easy to listen as practical. Third, the appropriate communica-
to but has nothing important to say. tion medium is selected based on the purpose
Another important part of being a good listener and audience.
is not jumping to conclusions, thereby deferring The most common forms of written commu-
evaluation to the end. Often, a speaker may arouse nication are memos, e-mails, letters, reports,
emotions within the listener. This may cause the and proposals. Memos are typically internal
listener to stop listening and start formulating a documents that communicate a brief message.
response before the entire message is absorbed. They are typically one-page documents, which
Premature evaluation can seriously inhibit the are normally directed to many people; however,
listener’s ability to understand the true meaning the audience could be a single person. Figure
of the message. 57-1 illustrates a generic memo. While e-mails
A good listener gives nonverbal or verbal feed- now serve many of the same functions as mem-
back to the speaker. For example, making eye os, e-mails lack the structure and formality re-
contact with the speaker can mean the listener quired for some situations. Memos typically
acknowledges the message. No eye contact can accompany hard copies of documents sent inter-
mean the listener has lost interest or disagrees nally and also can be used for posting informa-
with the message. Verbal feedback can express tion on bulletin boards, etc.
recognition, agreement, and disagreement. A E-mail is a widely used communication tool
listener may verbally indicate receipt of the generally used for informal communication. Just
message with agreement or disagreement. as with any tool, proper use is essential for its
In general, feedback should be constructive, effectiveness. Following are some general e-mail
timely, coherent, and impersonal (Bovee 2000). guidelines.
Feedback needs to be helpful rather than harm-
ful, and practical. It has to relate to something
within the speaker’s realm of control. Feedback
needs to occur soon after the message is sent or Southern Community Center
it is not very effective. Also, feedback loses its Interoffice Memo
meaning if it is viewed as personal. If a speaker
views feedback as personal, he or she may ignore Date: 6/10/12
it completely.
A good listener is sensitive to how the speaker To: Center Employees
feels about the message he is sending. Also From: Bob Wikert, Human Resources
known as empathetic listening, this technique cc: Jim Layhan, President and CEO
requires the receiver to understand and ap-
preciate the speaker’s feelings and emotions in RE: Parking
addition to the content of his message. This can
help the receiver correctly interpret the message On July 15 the employee parking lot
and respond appropriately. on the east side of the building will be re-
paired. Repairs will be completed by July
17. During this time please park in the
57.2 WRITTEN COMMUNICATION guest parking lot located on the west side
There are many forms of written business of the building. If you have any questions,
communication. The writing process gener- please contact me at extension 204.
ally follows a series of steps. First, what is the
purpose of the message? Is it informative or Thank you.
persuasive? Second, who is the audience? Is the
audience comprised of coworkers or strangers,
for example? Is the audience familiar with the Figure 57-1. Example memo.
589
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
Be clear and concise. Letters are more formal documents that are
Use correct spelling and grammar. typically sent to people outside the company or
Read the e-mail before sending and edit as organization. They are generally one to two
necessary. pages in length and printed on company letter-
Be clear about the response, if any, expected head. Figure 57-2 illustrates a generic letter.
from the recipients. Reports are a form of written communica-
Be sensitive to how the recipient may mis- tion conveying facts, data, and other technical
interpret the message and tone. information. They can be written for readers
internal or external to a company. Reports can
Minimize the use of cc and reply all.
communicate the results of a project or experi-
Be cautious about forwarding messages ment. In the case of mutual funds, a report may
without the sender’s approval. disclose the yearly earnings and stock holdings
Be cautious about sending confidential to fund shareholders.
information. Proposals are similar to reports. However,
Minimize the number and size of attach- they are generally persuasive in nature as
ments. opposed to objectively communicating factual
August 1, 2012
The Community Center’s administration greatly appreciates your willingness to participate in our career fair.
We would sincerely appreciate your attendance at our annual career fair on October 26, 2012 from 12:00–
3:00 p.m. in the main lounge of the Community Center. Parking will be provided in the guest parking lot,
which is located on the west side of the building. Please bring your parking ticket to the meeting for validation.
Enclosed are an agenda and other related material. We are looking forward to your critical analysis, sound
input, and insightful decisions. As a college professional, your participation is essential for the success of the
career fair.
Sincerely,
William Owens
Southern Community Center
734-478-2141
wowens@scc.org
/wo
Enclosures
information. Proposals can be a few pages to typically a group of sentences that all relate
several hundred pages in length. A proposal to one main idea. It contains a topic sentence,
typically asks for approval or support of an idea which is supported by the remaining sentences
or project. The proposal’s audience is typically in the paragraph. The topic sentence, which
internal to a company or organization; however, can be a question, provides a summary of what
the audience also can be external. the paragraph will discuss. For fluid commu-
After the communication medium has been se- nication, paragraphs must be arranged coher-
lected, the author needs to organize and compose ently to prevent confusion. There also must be
the message. In the organization process, the smooth transition from one paragraph to the
author identifies the main points of the message next. A transition can be a word, sentence, or
to be communicated—the information she wants paragraph.
the audience to receive and remember. It is The final step in the writing process is edit-
generally advisable for the author to develop an ing, which consists of rewriting, grammar and
outline starting with a main idea and supporting spell checking, and proofreading. The key to
ideas. A coherent outline forms the framework good writing is rewriting. Depending on the type
for a coherent message. A well-organized and of writing, a few revisions may be adequate or
crafted message will be easier and shorter to 10–20 revisions may be necessary. The commu-
read, thereby making the audience more likely nication’s quality increases with the number of
to accept it as opposed to dismissing it. revisions. Good writers are not always naturally
It is important for the author to remember gifted. They rewrite several times to perfect
that the audience will infer her tone and mood their message. Good writers are also typically
from the message. The author does not have the good readers. In other words, people who read
luxury of reading the message and using non- frequently usually are better writers than people
verbal communication. Due to an author’s poor who do not.
choice of words or writing style, readers often Word processing and e-mail software pack-
infer the wrong impression from a message. ages can check for spelling mistakes. However,
This happens frequently with e-mails, which are there are situations where software will not
generally drafted quickly, and little attention catch a mistake such as “to or too.” Checking
is given to how the reader interprets the words grammar can be more difficult, but many word
and writing style. For example, the reader may processing software packages come with some
think the author is angry when he is not. form of grammar checking. Some common
An author should choose the level of words grammar errors to be aware of are subject-verb
and style appropriate for the audience and mes- agreement, voice, and tense. A singular subject,
sage. Avoid clichés, such as “time is money,” for for example, requires a singular verb, such as
example. Words should be chosen carefully and “the car travels fast” not “the car travel fast.”
composed in a sentence structure that creates The two types of voice, referring to verbs, are
the desired tone. There are three basic sentence active and passive. For example, in the active
structures: simple, compound, and complex. A voice, “teenagers like to drive fast cars.” In the
simple sentence has one subject and one predi- passive voice, “fast cars are typically driven by
cate, such as “Car prices have risen in the past teenagers.” The voice needs to be consistent
year.” A compound sentence consists of at least throughout the message. Tense refers to past,
two main ideas or clauses. For example, “Car present, and future. Examples of present and
prices have risen in the past year and mortgage past tenses are respectively: “I am watching the
interest rates have fallen.” A complex sentence game” and “I watched the game.”
has one main idea or clause and subordinate
ideas or clauses. For example, “As a result of VISUAL AIDS
falling interest rates, more homeowners have Visual aids can express some messages
refinanced their homes.” more simply and clearly than words. They can
Coherent and fluid paragraphs increase the highlight specific points and, if appealing to the
communication’s effectiveness. A paragraph is eye, can be persuasive. Visual aids generally
591
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
consist of tables, charts, pictures, and maps. stock market results. These charts also can be
They provide another avenue for communicat- used to compare two or more variables over time.
ing a message. Figure 57-3 illustrates an example line chart.
Tables are generally applicable for displaying Bar charts, also called histograms, can illustrate
tabular data, particularly numerical data. It is a set of data without respect to time as seen in
cumbersome to read such data in paragraph Figure 57-4.
form. Data formatted in a table is much easier When comparing subsets of data relative to
to read as illustrated in Table 57-1. the complete set, a pie chart is typically used as
Line charts and bar charts are typically used illustrated in Figure 57-5.
to illustrate data with respect to time such as Flow charts typically illustrate a sequence
of steps or processes. Figure 57-6 illustrates
Table 57-1. Example table (Rockwell the required program courses and, based on
hardness results for heat treating exercise) prerequisites, the sequence in which they
should be taken.
Air Oil Water Radar charts, as illustrated in Figure 57-7,
Reading Quenched Quenched Quenched are used to graphically illustrate the value of
(HRC) (HRC) (HRC) each variable or indicator with respect to a
1 8 35 56 maximum value such as 10. The chart allows the
2 10 38 60 reader to quickly see the overall performance of
3 6 35 52
a project or team, for example.
Regardless of the type of table or chart in-
Average 8 36 56
cluded in the communication, there are several
Similar to written communication, presenta- probable reaction to the presentation? If the pre-
tions require careful planning and preparation. sentation is about company downsizing, then the
Planning a speech or presentation encompasses probable audience reaction will be fear and anger.
several steps, including determining the goal Addressing the probable reaction in the plan-
and topic, analyzing the audience, developing ning stages increases the chances of a successful
the main statement, organizing the flow of top- presentation. What is the level of knowledge of
ics and support material, and determining the the audience? The level of detail and complexity
length and style. given in the presentation should correlate to the
Presentations generally have two main goals: audience’s level of interest and motivation. If
to inform and/or persuade. In most situations, the audience is attending the presentation for a
the presentation’s goal and topic are already project summary, a detailed analysis is not nec-
established by the need for the presentation. essary even though the audience may have the
For example, a project leader may need to give appropriate technical background. Finally, what
an informative report to his superiors. In this is the relationship between the audience and the
case, the presentation is informative and the speaker? The presentation tone will be different if
topic is the project summary. the audience is comprised of immediate coworkers
The next planning step is to evaluate the au- and friends versus supervisors and/or strangers.
dience by addressing the following criteria. How The main statement should inform the audi-
big is the audience? Large audiences generally ence of the presentation’s topic and scope. In
require a more formal presentation without much the beginning, the speaker needs to identify the
opportunity for audience interaction. Smaller presentation’s goal. In other words, where is
audiences can be less formal and more interac- the speaker taking the audience and why?
tive. What is the audience’s composition, such as To guide the audience, the presentation topics
gender, age, and ethnicity, for example? What is should be sequenced logically and interesting to
the audience’s motivation for attending? Is atten- hold the audience’s attention. This can be ac-
dance required or optional? What is the audience’s complished by explaining why the presentation
594
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
topic is important and how it personally affects the speech or presentation must be designed ac-
the audience. cordingly. However, being allotted 30 minutes,
Finally, the presentation should close with a for example, does not mean the presentation or
brief summary of the main points and a restate- speech must necessarily consume the entire time.
ment of the purpose. If the audience is expected An audience is likely to react negatively if a speech
to formulate a decision or incorporate the presen- or presentation that lasts 30 minutes could have
tation material into future actions, the speaker been done adequately in 20 minutes.
should provide the audience with some guidance Which presentation style should be employed?
as to what to do next. The style is dependent on the purpose and en-
Prior to the speech or presentation, support- vironmental setting for the presentation. If the
ing material or data pertinent to the purpose of purpose, for example, is to present a technical
the speech or presentation should be compiled. paper at a national conference, then a formal
Convincing or supporting information is helpful style is appropriate. In general, a formal style is
in communicating the message. used to address larger audiences and/or when the
How long should the speech or presentation audience is comprised of superiors or strangers.
be? If there is a predetermined time limit, then In a formal presentation, the speaker may stand
595
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
behind a podium and possibly on a stage. If the all. Theoretically, 10 cents is better than noth-
audience is small and/or comprised of coworkers, ing. However, the employees may view the raise
an informal presentation style is appropriate. An as unfair and insulting, thereby rejecting the
informal style also is suitable if the presentation offer. Building a healthy relationship between
involves audience interaction with the presenter. the negotiating parties is also important and,
The speaker in an informal presentation may sim- in some countries, more so than the deal negoti-
ply stand in front of or mingle with the audience. ated. The lesson is to not ignore the negotiating
process itself, which must be viewed as personal,
57.4 NEGOTIATION respectful, and fair.
Negotiating is the process of working with In negotiations there are issues, positions,
others to determine a mutually acceptable and interests (Sebenius 2001). For example, if
solution. An integral part of any organization, employees are asking for a raise because child-
negotiations of all types and sizes take place care costs are rising, the issue is a pay raise. The
every day. They can be on a small scale, such as employees’ position is that a pay raise is man-
between coworkers, or on a much larger scale, datory and management’s position is strictly no
such as between management and labor unions, pay raise. Alternately, if the opposing positions
for example. For every successful negotiation converge, then there is an agreeable solution. If
that occurs, there is one that is unsuccessful, not, then there will be a stalemate. What about
generally resulting in one party conceding more the interests of both sides? Employees are inter-
than it needs to or, in the case of labor unions, a ested in quality childcare and management is
strike. Strikes may be considered by some people interested in maintaining profits and satisfying
to be a necessary or acceptable part of negotiat- shareholders. Is there a deal that can satisfy
ing. However, strikes can be detrimental to indi- the interests of both sides? Company-sponsored,
viduals, families, and the economy. The damage in-plant childcare may be less expensive than
caused by a strike or unsuccessful negotiation, providing a raise and it would satisfy the em-
in terms of poor attitudes and hurt feelings, for ployees’ interest. There are obviously other
example, can require a long time to repair. issues with in-plant childcare. However, the
In negotiating, one party tries to advance example illustrates how satisfying interests is
its own interests as much as possible and per- an alternative. Conventionally, negotiating seeks
suades the other side to agree. From that point, to provide a win-win solution based on common
compromises and concessions begin. The best- ground between two parties. Common ground is
case scenario in any negotiating situation is to always helpful; however it is not the only source
persuade the other side to agree because it is in for solutions (Sebenius 2001). In the previous
their own best interest (Sebenius 2001). example, the agreeable solution was not based
It is important to understand the other on common interests.
party’s personal interests and limitations or The best alternative to a negotiated agreement
no-deal options. However, it is equally impor- (BATNA) can be a powerful negotiating tool (Se-
tant to understand the other side’s limitations benius 2001). The threat of walking away from a
and perspectives and not dismiss them. For tentative negotiated agreement provides leverage.
example, asking for a substantial raise in the If management offers an employee a 5% raise but
next contract may seem reasonable. However, a competitor is willing to hire the same employee
from management’s perspective, the company at 10% higher salary, then the employee has some
may be on the verge of bankruptcy. A raise would leverage to improve the deal. Both sides need to
ensure the company’s demise. fully understand and appreciate their respective
Negotiated agreements are seldom based BATNAs.
strictly on price. Most people will not accept a Finally, for successful negotiations, each side
deal if it is not equitable and fair. In other words, must keep an open mind and not demonize the
something is not always better than nothing. other side. It is easy to view one’s own side as bet-
For example, an employer may offer employees ter, smarter, and more honest. It is also easy to
a choice between a 10-cent raise or nothing at view the other side as less moral and dishonest.
596
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
The perceptions of the other side may become Prior to a confrontation, thought should be
self-fulfilling prophecies. Contending that the given to the approach, words, and language to use.
other side is dishonest, for example, may actu- Certain approaches and language may make the
ally cause the other side to be dishonest. other person defensive. It is important to be polite,
The negotiating concepts discussed in this not accusatory or judgmental. Do not make the is-
section do not constitute an all-inclusive list. sue personal; focus only on the problem (Craumer
There are other issues to be considered such as 2002). Another advisable technique is to discuss
communication, timing, personalities, etc. joint responsibility and solutions while confront-
ing the other person. In other words, indicate that
57.5 CONFRONTATION AND CONFLICT you may be part of the problem by the way you
are interpreting the other person’s actions. Think
In the workplace, a variety of situations and
about how you can be part of the solution. What
personal habits can annoy others. In many
can you do together to solve the problem?
circumstances annoying habits or actions are
Choose the best place and time for the con-
not intentional but rather unintentional. Often
frontation. Normally, a confrontation is a private
people are unaware that their actions are being
matter. However, if unsure how the other person
construed as irritating. The following section
will react, having a third person in the vicinity
describes how some of these irritating issues
or doing it in a public area may be a good idea.
and people can be confronted constructively
Make sure the setting is conducive; confronting
without conflict.
someone in their office or your office may make
Definitively, confrontation and conflict are
him or her defensive, whereas doing so in a pub-
not the same thing (Craumer 2002). Confron-
lic area or away from the workplace may make
tation implies addressing or bringing issues to
the other person less defensive. It is important
another person’s attention. Conflict implies dis-
to remember, however, that confronting a person
agreement, arguing, and hurt feelings. It is pos-
with his coworkers or supervisor nearby could
sible to confront someone without making them
add unwanted emotional energy to the situation.
defensive. Not all issues require confrontation.
Finally, it is critical to remain objective and
However, the absence of confrontation can result
emotionally detached from the situation (Crau-
in stress, resentment, and lower productivity.
mer 2002). When emotions are involved, people
can make inappropriate comments or body ges-
CONFRONTATION tures, resulting in defensiveness and conflict.
Before confronting someone, make sure you
have enough information and are objective
(Craumer 2002). In some cases what you find CONFLICT
annoying is unique to your personal biases and Conflict within an organization or team is
others may not find it annoying. For example, normal and unavoidable. In a team or workplace,
the wording and punctuation of e-mails may be conflict typically involves:
misinterpreted by the reader. One person may
manpower resources,
view an exclamation point as humorous and
capital expenditures,
another may find it offensive; the interpretation
technical opinions and trade-offs,
is entirely subjective.
priorities,
It is important to weigh the expected outcome
scheduling,
and its reasonability before confronting some-
personality clashes, and/or
one. If a person uses a body gesture you find ir-
administrative procedures.
ritating, what do you expect him to do about it?
It is not fair to confront someone unless there is Without conflict, or without enough conflict, a
a reasonable solution. Additionally, if you do not phenomenon called group think can result. This
work with this person daily, it may be awkward occurs when group members do not express their
to confront him and the situation could become personal opinions but rather willingly submit to
defensive. In this instance, you may have to what the group as a whole thinks. Group think can
foster a relationship prior to confrontation. lead to bad decisions and inappropriate actions.
597
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
Too much conflict, however, can have negative ideas, and develop collective decisions. Some-
effects. When an excessive amount of conflict times a contentious issue among employees, it is
exists, teams cannot cooperative effectively and not uncommon to hear people say they could get
making decisions or taking action is difficult. their work done if it were not for all the meetings
There are five basic methods of managing they attend. However, meetings with appropri-
conflict: ate objectives and planning can be very useful.
The following section discusses how to plan and
1. Withdrawal—some people tend to with-
execute good meetings, and the common pitfalls
draw from conflict rather than participate
of poor meetings.
in it, thereby reducing the tension.
2. Smoothing results from de-emphasizing or
avoiding areas of difference and emphasiz- MEETING PREPARATION
ing areas of agreement. For example, if Prior to a meeting, the person facilitating it
someone is upset about a decision, the con- must determine the objectives and if the poten-
flict can be reduced by discussing the many tial outcome will be worth the time and money
areas of agreement that outweigh the one invested in meeting. Typical meeting objectives
area of conflict. include information sharing, idea generation,
3. Compromising involves bargaining for and assigning responsibilities (Jay 1976).
solutions that bring some satisfaction to Information sharing is an important meet-
all parties involved. This works if the par- ing objective, but there are other mediums for
ties are willing to give in for something sharing such as e-mails and memos. A meeting
in return. If only one party gives in, they is not advisable if the information could be
feel like the losers. Even if all parties give communicated effectively through an e-mail or
in, they may feel like losers if they are not memo. If the information needs to be dissemi-
completely getting what they want. nated by a particular person or it is complicated
4. Forcing is exerting one’s viewpoint at the and requires further explanation, a meeting
potential expense of another’s (win/lose is usually necessary. Similarly, if a particular
situation). This means one person argues problem within the group needs to be solved
her viewpoint until the other person gives or a new policy generated, a meeting is more
in and abandons his viewpoint. Forcing productive. Some idea-generating techniques
can result in a poor decision or action. The such as brainstorming require live interaction as
viewpoint that is forced may not result opposed to e-mails or memos. Group discussion
in the best decision or action to solve the allows collective decision making on problem
particular problem. solutions and policies.
5. Confrontation involves facing the conflict Finally, a meeting is a forum for assigning
directly. It is a problem-solving approach responsibility for implementing ideas or poli-
whereby affected parties work through cies. In other words, “who is going to do what?”
their disagreements to create a mutually Individual roles and responsibilities should be
acceptable solution. clear to everyone in the group.
The best method to apply depends on the situa- Meetings are not free and therefore should
tion. In general, compromising and confrontation have a good return on their investment. The cost
are usually the best methods of conflict manage- of a meeting includes wages or salaries and time.
ment because each party’s viewpoint formulates The meeting outcome (return) needs to be of
the final decision or idea. Withdrawal, smoothing, some value since the participants are being paid
and forcing eliminate one party’s viewpoint and for their contributions to the meeting and not
rely exclusively on the other’s viewpoint. performing their individual duties. The value
of the outcome is sometimes hard to quantify.
Certainly, cost-cutting ideas generated by the
57.6 MEETING MANAGEMENT group, for example, can be quantified. However,
Meetings consist of a number of people gath- outcomes such as policy changes that affect
ered together to exchange information, generate employee morale are more difficult to measure.
598
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
time the meeting was adjourned; and How can people become creative or more
if appropriate and available, the time, date creative? To start with, a person should become
and location of the next meeting. more open-minded, less complacent, and more
willing to take risks or risk being wrong and/or
criticized. Look for the unexpected, which usu-
57.7 CREATIVITY AND INNOVATION
ally is found in failures (Drucker 1998).
The drive for creativity and innovation is Innovations arise from the process of imple-
important for competing in the global economy. menting creative ideas. Following industry and
Creativity and innovation also help individuals market changes can be helpful in creatively
become personally successful. So, how does a thinking about good ideas for the future. Also,
person become creative and innovative? Does demographic changes can influence creative
everyone have the power to generate original thinking. Take advantage of the perception of
thoughts and ideas? To begin, creativity is not others. For example, if the public perceives fuel
limited to people with creative talents. A person economy to be important, focus creative energy
must decide to be creative and then emulate the on fuel economy related ideas such as hybrid
acts of creative people (Zelinski 1998). In other automobiles.
words, do not give up on being creative because Finally, creativity and innovation involv-
you do not have any creative talent. Also, intelli- ing completely new knowledge and technology
gence is not a strong indicator of creative ability can have a fairly long implementation period.
(Gary 1999). If people have enough intelligence Creativity and innovation can, however, origi-
to understand the field they are working in, then nate from existing knowledge and technology.
their intelligence will not limit their creativity. For example, it is common for individuals and
Young people are generally thought to be companies to improve upon patented products
creative. The psychology of a “creative” person is and technology.
similar to that of a three-year old or preschool-
age child. They are frequently inquisitive and
REVIEW QUESTIONS
ask the question, “Why?” With age, people tend
to become more accepting, less inquisitive, and 57.1) Describe content listening.
more conforming. Though subject to more para- 57.2) How are proposals different than reports?
digms, older, more experienced people can rely on 57.3) Name the two types of charts typically
their experiences to be creative and innovative. used to illustrate data with respect to time.
Being creative and innovative involves risk 57.4) What does BATNA refer to?
taking. With the development of anything new
there is always the risk of failure and criticism. 57.5) How is confrontation different than
It is safer not to have an original thought or idea. conflict?
However, the benefits of great ideas and innova- 57.6) What mode of conflict management is be-
tions can be enormous in terms of professional ing used when someone refuses to participate
and economic success. Without sharing creative in a conflict?
ideas, the physical transformation into innovation
is impossible. In fact, the merits of creative think- REFERENCES
ing can only be proven through implementation. Bovee, C. L. and Thill, J. V. 2000. Business Commu-
Creativity and innovation is hard work. Suc- nication Today, Sixth Edition. Upper Saddle River,
cessful ideas and corresponding innovations NJ: Prentice Hall.
occur after long periods of experimentation, Conner, Gary. 2008. Lean Manufacturing for the
testing, and failures. In the case of patents, Small Shop, Second Edition. Dearborn, MI: Society
invention is defined as the combination of con- of Manufacturing Engineers.
ception and reduction into practice. Conception
is the “Eureka, I’ve got it!” moment and reduc- Craumer, M. 2002. “Confrontation Without Conflict.”
Harvard Management Communication Letter, June.
tion into practice is the process of making the
concept functional, which could take hours, days, Drucker, P. F. 1998. “The Discipline of Innovation.”
or even years. Harvard Business Review. November-December.
600
Fundamentals of Manufacturing Chapter 57: Personal Effectiveness
BIBLIOGRAPHY
Scholtes, Peter R., Brian L. Joiner, and Barbara J.
Streibel. 2003. The Team Handbook, Third Edition.
Madison, WI: Oriel, Inc.
INTRODUCTION
manufacturing management, and personal ef- a few or all the classes, students can pace
fectiveness. Sample problems and questions their study for added results.
are included at the conclusion of each chapter
CMfgT and CMfgE certification programs
for practice. Answers are included for all ques-
self-assessments—practice exams com-
tions but it is recommended that questions be
prised of new and retired exam items. These
attempted before reading the answers. Addition-
programs provide candidates an opportu-
ally, a separate workbook is available for those
nity to evaluate their level of competency
interested in additional sample questions and
prior to taking the exam. Students have
problems to aid their preparation for certifica-
access to multiple practice tests where they
tion examination.
can get a feel for the exam and the style of
questions. Following each practice exam,
EXAMINATION SPECIFICS candidates will receive a score report based
The Certified Manufacturing Technologist on their performance, correlating to the
Examination is a three-hour open-book exam body of knowledge, to aid in focusing study
consisting of approximately 130 multiple-choice efforts for exam preparation.
questions. The Certified Manufacturing Engi-
Fundamentals of Manufacturing Workbook,
neering Examination is a four-hour open-book
Second Edition includes over 200 questions
exam consisting of approximately180 multiple-
and solutions weighted to the Manufactur-
choice questions.
ing Technologist and Manufacturing Engi-
Each major area and its relative exam weight-
neer Bodies of Knowledge.
ing are listed as follows:
A selection of over 40 SME video
CMfgT CMfgE clips, excerpted from the video
Mathematics/Applied 12% 10%
programs referenced in the bib-
Engineering Science/ liographies within the chapters,
Materials is available online to complement study.
Product Design 12% 10% Visit www.sme.org/fom.
Manufacturing Processes 14% 15% SME members enjoy access to the Manufac-
Production Systems 21% 20% turing Knowledge Base in a wiki environ-
ment. This online, peer-reviewed resource
Automated Systems and 9% 7%
Control is based on the former 9-volume, Tool
and Manufacturing Engineers Handbook,
Quality 10% 13%
Fourth Edition. Visit www.sme.org/Mfg-
Manufacturing Management 14% 15% KnowledgeBase.
Personal Effectiveness 8% 10%
For more information on SME’s certification
program, please contact the Society of Manufac-
ADDITIONAL STUDY AIDS turing Engineers: 313-425-3000, certification@
sme.org, or www.sme.org/certification.
The bibliography at the end of each chapter
Any questions or comments regarding this
contains appropriate resources for more detailed
book are welcome and appreciated. Please direct
information on the topics covered. Additional
them to publications@sme.org.
study resources for the certification exams
include:
CMfgT Online Review Program is comprised
of 62 courses mapped to the Manufacturing
Technologist Body of Knowledge, on which
the exams are based. Candidates can dig
deep and focus on any area where they feel
more knowledge is needed. Whether taking
Appendices
Appendix A
MATHEMATICS
A.1 CIRCLES, ELLIPSES, PARABOLAS, AND HYPERBOLAS Figure A-1b. The general equation for an ellipse
Lines are first-degree equations because the centered at the origin is:
power of x in the equation is one. Circles, el- x 2 y2
lipses, parabolas, and hyperbolas are described + =1 (Eq. A-3)
a 2 b2
by second-degree equations. The general form of
a second-degree equation is given by: where:
a and b are half the major and minor axis
Ax2 + Bxy + Cy2 + Dx + Ey + F = 0 (Eq. A-1) lengths and a > b
This equation describes a set of geometric shapes
The foci are located at (±c,0) where:
called conic sections. There are various forms of
conic sections that can be categorized according c2 = a2 – b2
to the magnitude of the coefficients A, B, C, D,
E, and F (see Table A-1). as shown in Figure A-1b. The ellipse also could be:
A circle is the locus or collection of points x 2 y2 (Eq. A-4)
equidistant from a given point in a plane. The + = 1, a > b
equation for a circle can be expressed in a gen- b2 a 2
eral form as: In this case, the foci are located at (0, ±c), indi-
cating that the y axis is the major axis.
( x − h) + ( y − k) = r
2 2 2
(Eq. A-2)
A parabola is the locus of points in a plane
with center at (h,k) and radius r as shown in equidistant from a fixed focal point and a line
Figure A-1a. known as the directrix as shown in Figure
An ellipse is the locus of points in a plane, the A-1c. With the vertex at (h,k), the general
sum of whose distances from two fixed points equation for a parabola in standard position
(focal points or foci) is constant as shown in is given by:
cos 2u = cos2 u – sin2 u = 1 – 2 sin2 u directed along the positive x, y, and z axes of a
= 2 cos2 u – 1 (Eq. A-13) Cartesian coordinate system. This is shown in
Figure A-2. A vector, A, can be resolved into
2 tan u
tan 2u = (Eq. A-14) rectangular components where Ax, Ay, and Az
1 − tan2 u are the scalar components along each coordinate
Half-angle formulas: axis. The components along the x and y coordi-
u 1 − cos u nate axes are shown in Figure A-3. The vector
sin2 = (Eq. A-15) A can be written as:
2 2
u 1 + cos u A = Axi + Ay j + Azk (Eq. A-28)
cos2 = (Eq. A-16)
2 2
u 1 − cos u sin u VECTOR ADDITION
tan = = (Eq. A-17) If the rectangular components are given by:
2 sin u 1 + cos u
A = Axi + Ay j (Eq. A-29)
A.3 DERIVATIVE AND INTEGRAL FORMULAS
Following are additional derivative and inte-
gral formulas to those described in Chapter 1.
The notation assumes that f and g are functions
of x, and k is a constant.
df n
= nf n −1 f ′ (Eq. A-18)
dx
d 1
(ln x ) = (Eq. A-19)
dx x
d kx
( e ) = ke kx (Eq. A-20)
dx
d
(sin x ) = cos x (Eq. A-21)
dx
d
(cos x ) = − sin x (Eq. A-22)
dx Figure A-2. Unit vectors.
∫x
−1
dx = ln x + C (Eq. A-23)
∫e dx = 1a e ax + C
ax
(Eq. A-24)
∫ [ f ( x ) ± g( x )] dx = ∫ f ( x ) dx ± ∫ g( x ) dx
(Eq. A-27)
B = Bxi + By j (Eq. A-30) two original vectors. The magnitude of the cross
product is equal to the product of the magnitude
then the vector C that is the sum of the two
of the two vectors multiplied by the sine of the
vectors is given by:
angle between them:
C = Cxi + Cy j
A × B = A B sin θ (Eq. A-38)
= (Ax + Bx )i + (Ay + By ) j (Eq. A-31)
Cross products are distributive, but they are
MAGNITUDE OF A VECTOR not commutative. Instead, if the components of
the cross product are commuted, the negative of
A vector, A, can be defined as a unit vector Â
the original result is obtained:
directed in the same direction as A multiplied
by a scalar A that indicates the magnitude of A × B = –(B × A) (Eq. A-39)
the vector. The magnitude of a vector can be
The cross product can be evaluated by resolv-
found as:
ing A and B into their rectangular components
A = Ax2 + Ay2 + Az2 (Eq. A-32) and performing a set of algebraic operations on
them. These operations can be summarized by
the determinant:
UNIT VECTOR
The unit vector (designated by the caret ˆ) is i j k
oriented in the same direction as A and can be C = A × B = Ax Ay Az
found as: Bx By Bz
∧
A (Eq. A-33)
A= The components of the cross product C can
A be evaluated as:
Cx = AyBz – AzBy (Eq. A-40)
PRODUCT OF A SCALAR AND A VECTOR
The product of a scalar k and a vector P is Cy = AzBx – AxBz (Eq. A-41)
denoted as kP. It is defined as a vector having
Cy = AxBy – AyBx (Eq. A-42)
the same orientation as P and a magnitude
equal to the magnitude of P multiplied by k. The
multiplication of a vector and a negative scalar
results in a vector having the opposite sense.
p = mv (B-3) where:
v = Poisson’s ratio
Angular momentum, H, is the product of the
] [#
mass moment of inertia, I, and angular veloc-
x, y, z = direction or axis
[!{
H = I (B-4) B.5 BEAM LOADING
Relationships between force or moment and Figure B-3 illustrates common beam loading
changing momentum are: conditions.
Fundamentals of Manufacturing 607
608
Fundamentals of Manufacturing Appendix B: Physics and Engineering Sciences
Table B-2. Important beam equations Table B-3 defines the maximum deflection for
the various beam loading conditions illustrated
Maximum Maximum
Loading in Figure B-3.
Shear Bending
Condition
Force, V Moment, M
a P PL B.6 FLUID CONSERVATION OF MOMENTUM
Conservation of momentum is described by
wL 2
b wL the momentum equation:
2
¤F]Q(v2 – v1) (B-13)
5wL wL 2
c
8 8 where:
¤F = summation of forces acting on the system
P PL
d ] [!'
[Y
2 4
Q = volumetric flow rate (Q = Av)
wL wL 2 A = cross-sectional area of the pipe
e
2 8 v = fluid velocity
611
Fundamentals of Manufacturing Appendix B: Physics and Engineering Sciences
wL 4
b
8EI
wL 4
c
185EI
PL 3
d
48EI
5wL 4
e
384EI
B.7 BUOYANCY
The weight of fluid, W, displaced by an object
of volume, V, is given by:
W = JV (B-14)
where:
J = specific weight of the fluid
Appendix C
GEOMETRIC TOLERANCING REFERENCE CHARTS
REFERENCE
Effective Training, Inc. 2009. Geometric Dimension-
ing and Tolerancing Reference Charts. Westland, MI:
Effective Training, Inc. For full 11 × 17 inch charts,
contact Effective Training, Inc. at: etinews.com
Computer numerical control (CNC) program- Table D-1. G-codes used in turning*
ming preparatory functions, also called G-codes, G-code Function
prepare the control system for implementing G00 Positioning (rapid traverses)
the information in the next block of instructions G01 Linear interpolation (feed)
and specify the control mode of the various CNC
G02 Circular interpolation clockwise (CW)
machining operations. Miscellaneous functions,
Circular interpolation counterclockwise
called M-functions, control the auxiliary func- G03
(CCW)
tions, such as coolant on/off and spindle on/off.
G04 Dwell
Tables D-1 and D-2 define G-codes for turning
G20 Inch data input
and milling, respectively. G-codes for turning
and milling are generally standardized but can G21 Metric data input
vary from controller to controller. G28 Return to machine home
Table D-3 defines general M-functions for G32 Threading
turning and milling. M-functions are also gener- G36 Automatic tool Compensation X
ally standardized but can vary from controller G37 Automatic tool compensation Z
to controller. G40 Tool nose radius compensation cancel
G41 Tool nose radius compensation left
G42 Tool nose radius compensation right
G50 Maximum speed setting of spindle
G54-59 Work coordinate system offset
G70 Finish cycle
G71 Rough cutting cycle of outer diameter
G72 Rough cutting cycle end face
G90 Outer/inner cutting cycle
G91 Incremental positioning
G92 Threading cycle
G94 End face cutting cycle
G96 Constant surface speed control
G97 Constant surface speed control cancel
G98 Feed per minute
G99 Feed per revolution
*G-codes may differ slightly between CNC controllers
Table D-2. G-codes used for milling* Table D-3. General M-functions used in
G-code Function milling and turning*
G00 Position (rapid traverse) M-function Function
G01 Linear cutting/linear interpolation M00 Program stop
G02 Arc interpolation CW M01 Optional stop
G03 Arc interpolation CCW M02 End of program
G04 Dwell
M03 Spindle start CW
Program tool compensation input
G10 M04 Spindle start CCW
(compensation amount setting)
Program tool compensation input M05 Spindle stop
G11
(compensation amount transfer) M06 Tool change
G12 Arc cutting CW M08 Coolant on
G13 Arc cutting CCW
M09 Coolant off
G14 Coordinate reading function
End of program and reset to the
G17 XY plane selection M30
beginning of the program
G18 ZX plane selection M41 Low range
G19 YZ plane selection
M42 High range
G28 Return to machine home
M48 Override cancel off
G31 Skip function
M49 Override cancel on
G40 Tool diameter compensation cancel
G41 Tool diameter compensation (left) *M-functions are standardized but may vary from
CNC to CNC machine.
G42 Tool diameter compensation (right)
G43 Tool length compensation +
G44 Tool length compensation –
G49 Tool length compensation cancel
G52 Local coordinate system
Work coordinate system offset (selection
G53
of the basic machine coordinate system)
Work coordinate system offset (selection
G54–59
of the work coordinate system 1–5)
G70 Inch commands
G71 Metric commands
G80 Fixed cycle cancel
G81 Fixed cycle (drilling, spot drilling)
G82 Fixed cycle (drilling, counterboring)
G83 Fixed cycle (deep-hole drilling cycle)
G84 Fixed cycle (tapping cycle)
G85–89 Fixed cycle (boring)
G90 Absolute value command
G91 Incremental value command
G92 Coordinate system setting
Asynchronous feed command (feed per
G94
minute)
Synchronous feed command (feed per
G95
revolution)
*G-codes may differ slightly between CNC
controllers
Appendix E
CALCULATING THE TIME VALUE OF MONEY
12.2) Proportional limit, elastic limit, yield 15.3) Carbon, aramid, or boron fibers
point, yield strength, ultimate strength, 15.4) 1) holds the fibers in place, 2) protects
breaking (rupture) strength, modulus of the fibers, and 3) under an applied force,
elasticity, ductility, and toughness deforms and distributes the stress to the
12.3) The elastic limit is the maximum stress high-modulus fibrous constituent
to which a material can be subjected 15.5) When higher mechanical and thermal
without permanent deformation. properties are needed or weight is an
12.4) It is the ratio of tensile stress to the strain issue
it causes, within that range of elasticity 15.6) Non-crimp fabric utilizes the fiber
where there is a straight-line relationship strength better than a weave since the
between stress and strain. fibers are not bent at the crimp points.
12.5) Brinell
12.6) An approximation of fatigue resistance Chapter 16: Ceramics
12.7) Harder materials are generally less ductile. 16.1) Tungsten carbide
16.2) It describes a material that can resist
Chapter 13: Metals high temperatures
13.1) During crystallization, grain boundaries 16.3) Ionic bonding
form where the edge of one crystal meets 16.4) It reduces the melting temperature,
another. making the glass more fluid, and retards
13.2) 0.008–1.0% carbon crystallization
13.3) 1,341° F (727° C) 16.5) Cubic boron nitride
13.4) Oil quenching forms fine pearlite, which
is softer than martensite. PART 4: PRODUCT DESIGN
13.5) 210 BHN Chapter 17: Engineering Drawing
13.6) ~1,575° F (857° C) 17.1) Auxiliary view
13.7) Lead
17.2)
13.8) d
13.9) d
13.10) d
17.3) Baseline
Chapter 14: Plastics
17.4) .1 in.
14.1) Addition polymerization and condensation
17.5) Holes
polymerization
17.6) 50 mm-basic shaft size, IT grade of 6
14.2) Alternating, block, graft, and random
14.3) High-density polyethylene +.004 +.002
17.7) .505 .507
14.4) When they contain at least 100 mers −.000 −.002
14.5) Semicrystalline
+.001
14.6) Polyamide 17.8) Piston 1.000
−.001
14.7) Below
14.8) Crosslinking +.001
Cylinder 1.003
−.001
Chapter 15: Composites 17.9) .0025 in.
15.1) Resin binder (matrix) 17.10) The symbol indicates that material re-
15.2) c moval by machining is required.
658
Fundamentals of Manufacturing Appendix F: Review Question Answers
Chapter 18: Geometric Dimensioning and Tolerancing 21.4) Fair use doctrine
18.1) c 21.5) Prohibits the “circumvention” of technical
18.2) a locks and controls on digital content and
products
18.3) d
21.6) Abandonment, improper licensing or as-
18.4) c signment, or by becoming generic
18.5) a 21.7) Descriptive trademark
18.6) b
18.7) a Chapter 22: Product Liability
18.8) a 22.1) A manufacturer’s or seller’s liability for any
18.9) b damages or injuries suffered by a buyer,
user, or bystander as a result of a defective
18.10) b product
18.11) c 22.2) Negligence, strict liability, breach of war-
18.12) d ranty, misrepresentation
22.3) Negligence theory
Chapter 19: Computer-aided Design/Engineering 22.4) Duty, breach, causation, and damages
19.1) IGES, STEP
22.5) Comparative negligence, assumption of
19.2) Wireframe risk, state-of-the-art defense, and statute
19.3) CSG of limitations
19.4) Convert the data into a mesh, surface,
or solid PART 5: MANUFACTURING PROCESSES
19.5) Post-processing Chapter 23: Cutting Tool Technology
19.6) Stereolithography (SLA) 23.1) Negative rake
19.7) Sometimes 23.2) 8.1 minutes
23.3) Crater wear
Chapter 20: Product Development and design 23.4) b
20.1) Decision points 23.5) Emulsifiable oil and semi-synthetic fluid
20.2) Beta prototype 23.6) Minimum quantity lubrication (MQL)
20.3) a 23.7) Cemented carbide and ceramic
20.4) testability, quality, reliability, service- 23.8) Inscribed circle (IC)
ability, style, appearance, shipping,
environment, coating, etc. Chapter 24: Machining
20.5) 1) Severity of the effect, 2) Probability of 24.1) 382 rpm
occurrence, 3) Chance of failure detection 24.2) .385 in.
20.6) Product planning 24.3) 196 fpm
20.7) Production flow analysis 24.4) .7 hp
24.5) .0007 in. per tooth
Chapter 21: Intellectual Property
24.6) .7 hp
21.1) The right to exclude others from making,
using, offering for sale, or selling the in- 24.7) No
vention in the United States or importing 24.8) Metallic bond
the invention into the United States 24.9) Grinding ratio
21.2) Design patent 24.10) The harder the material, the lower the per-
21.3) Provisional patent application centage of thread that should be required
659
Fundamentals of Manufacturing Appendix F: Review Question Answers
Chapter 25: Metal Forming ing the weld pool, forms a protective
25.1) Yes slag layer on the weld surface, and adds
scavengers, deoxidizers, and alloying ele-
25.2) Less ments to the weld metal.
25.3) Forward extrusion 29.4) By changing the wire feed speed
25.4) It is the ratio of the billet’s cross-sectional 29.5) It initiates the arc.
area to the cross-sectional area of the
final extrusion 29.6) By preheating, post-heating, using low-
hydrogen electrodes, and keeping the
25.5) Coining electrodes dry
25.6) 43.8% 29.7) Higher
Chapter 26: Sheet Metalworking 29.8) Ultrasonic welding
26.1) .455 in. 29.9) Blind or pop rivet
26.2) .050 in. 29.10) Anaerobic
26.3) Nibbling
Chapter 30: Finishing
26.4) Flanging
30.1) Abrasive-flow machining
26.5) Stripper
30.2) Honing
26.6) It is the location inside the bend where
there is neither tension nor compression. 30.3) Cathode
26.7) Over-bending or bottoming (setting) 30.4) Hard anodizing provides a thicker,
harder, more wear-resistant layer, and
26.8) Circle grid analysis (CGA)
a lower coefficient of friction.
26.9) Combination die
30.5) Polymer binder, pigments, solvents, and
additives
Chapter 27: Powdered Metals
30.6) External mixing
27.1) Higher density generally indicates higher
mechanical properties 30.7) Paint
27.2) To help the powder fill the die cavity 30.8) Orange peel
without air pockets 30.9) Volatile organic compound
27.3) Green 30.10) Electrostatic spraying, fluidized bed dip-
27.4) Sintering ping, and flame spraying
27.5) Oil impregnation
Chapter 31: Plastics Processes
27.6) Compaction and sintering
31.1) They are sized by screw diameter and
motor horsepower.
Chapter 28: Casting
31.2) Extrusion blow molding and injection
28.1) Shrinkage voids
blow molding
28.2) Cores
31.3) Parison
28.3) Investment casting
31.4) Polystyrene
28.4) No
31.5) Flash
28.5) Die casting
31.6) To reduce thinning of the sheet
56.5) Distributive
56.6) Ballast
The efforts of the many people responsible for Chapter 48-Quality Standards: Bob Freedman,
past editions of this book and the Fundamentals IH, Certified Lead Auditor (ISO 9001, TS16949,
of Manufacturing Supplement are greatly ap- ISO14001)
preciated. Their expertise built the foundation Chapter 53-Project Management: Linda
for this combined third edition. Wheeler, CMfgE, PMP
The following authors and reviewers are
Chapter 54-Labor Relations: Denise Tanguay,
acknowledged for their contributions to this
Ph.D., SPHR
revised third edition.
Chapter 55-Engineering Economics: Laura
Contributing authors: Powers, CPA
Chapter 15-Composites, Chapter 32-Compos- Chapter 56-Sustainable Manufacturing: Jon
ite Processes: Andy George, Ph.D. Guenin, PE, CEM; Philip Rufe, CMfgE
Chapter 11-Chemistry, Chapter 47-Continu-
ous Improvement: Philip Rufe, CMfgE Technical reviewers:
Chapter 18-GD&T: John Nee, Ed.D., CMfgE Paul Benson, J.D.
Daniel Jones, J.D.
Chapter 19-Computer-Aided Design/Engi-
Mary Brake, Ph.D.
neering: Tony Shay, Ph.D.
Robert Butts, CMfgE, CEM, CQE
Chapter 20-Product Design and Development: Kathryn Daniels, Ph.D., CMfgE
Philip Rufe, CMfgE; Aaron Stachewicz Ph.D., Drake Drobnick, CSP
PMP; Chris Kluse Cory Emal, Ph.D.
Chapter 21-Intellectual Property: Ronald Amelia Finan, Ph.D.
Kilponen, J.D. Bob Freedman, IH, Certified Lead Auditor
Chapter 22-Product Liability: Nancy Harbour, (ISO9001, TS16949, ISO14001)
J.D. Andy George, Ph.D.
Jon Guenin, PE, CEM
Chapter 23-Cutting Tool Technology: Gary
Teresa Hall, Ph.D., CMfgE
Rodak, CMfgE, CMFS; Bill Tisdall
Dirk Heider, Ph.D.
Chapter 37-Process Engineering: Mohammad Frank Jones, Ph.D.
Ahmed, Ph.D.; Robert Butts, CMfgE, CEM, Chris Kluse
CQE Bob Leonard, CMfgE
Chapter 40-Industrial Safety, Health, and Erik Lokensgard, Ph.D.
Waste Management, Teresa Hall, Ph.D., Sandi Lopez, J.D. CHMM
CMfgE Harvey Lyons, Ph.D.
Tim Mackey
Richard Magyar
John Nee, Ed.D., CMfgE
Mark Phillips, Ph.D.
Laura Powers, CPA
Gary Rodak, CMfgE, CMFS
Sherri Schoenemann
Gary Schultz
Michael Smigel
Aaron Stachewicz, Ph.D., PMP
Denise Tanguay, Ph.D. SPHR
Bill Tisdall
Walter Tucker, Ph.D.
Gary Vrsek, CMfgE
Bette Warren, Ph.D.
Linda Wheeler, CMfgE, PMP
Tim Weilbaker, CMfgE
INDEX
aluminum 114–115
casting alloys 114 (Table 13-6)
oxide 132–133
oxide abrasive 236
American Iron and Steel Institute 112
American National Standard for Taper Pipe Thread
(NPT) 298
American National Standards Institute (ANSI) 137 142–143
218–219 (Figure 23-3)
American National Standards Institute/American Society
for Quality (ANSI/ASQ) Q9000 series 497
American Society for Quality (ASQ) 492
American Society for Testing and Materials 93
American Society of Civil Engineers 575
American Society of Mechanical Engineers (ASME) 137 149
American Welding Society (AWS) 137
amorphous (solids) 85
amorphous plastics 120
amount of substance 28
ampere 28 41
anaerobic adhesives 302
analysis of variance (ANOVA) 486
andon lights 353
angle of twist 70–71
angle-plate fixtures 388
angle-plate jigs 390 (Figure 38-22)
angular momentum 607
angular motion 61–62 (Figure 7-1)
angularity 158 (Figure 18-12)
anions 88
anisotropic 275
annealing 110–111 115
annual cost comparisons 560–561
anodizing 312–313
ANOVA 486
ANSI RC9 fits 143 (Table 17-2)
appraisal costs 478
arbitrary mark 198
arc,
blow 286
length 286–287
welding defects 289–291
areas of two-dimensional shapes 9 (Figure 1-3)
areas under the normal curve 18–19 (Table 1-2)
articulated arm (robot) 452 (Figure 44-5)
ASME Y14.5-2009 149–150 153–154
assembled locators 380 (Figure 38-7)
assemble-to-order environment 345
assembly and manufacturing simulation 368
assembly methods 368–369
assignable variability 462
associative laws 4
assumptions (project) 544
asymmetric DSL 431
atomic number 86
atomic structure 86 (Figure 11-3)
attribute,
coding (group technology) 187 (Figure 20-9)
control charts 471–474
inspection 461
attrition (tool) 215
austempering 108 110 (Figure 13-13)
austenite 104–105
austenitic stainless steels 112–113
automated,
guided vehicle systems (AGV) 455
material handling 455–456
storage and retrieval systems (AS/RS) 455
automatic identification systems 456–458
Automotive Industry Action Group (AIAG) 183 500
autonomation 355
auxiliary view (drawings) 139 (Figure 17-5)
average roughness 144 146 (Figure 17-18)
Avogadro’s number 86
awareness barrier (machine) 418
axial loading 68–70
axis of rotation 51
axis straightness 156 (Figure 18-6, Figure 18-7)
computer,
-aided design (CAD) 165–168
-aided process planning (CAPP) 361
numerical control (CNC) programming 438–439
numerical control machining 437–440
voice recognition 457
concentrated solar power (CSP) 579–580
concentric location 378
concentricity 160–161 (Figure 18-17)
concept prototypes 179
conception of the invention (patent) 191
concurrent engineering 180
condensate 120
condensation polymerization 120
condition error (measurement) 509
conduction 76
Conference Generale des Poids et Mesures (CGPM) 27
confrontation and conflict 596–597
conic sections 603–604 (Table A-1, Figure A-1)
conical locators 383
conservation of,
energy 63 75 82
mass 82
momentum 610–611
constant hazard rate 481
constant needs (new products) 174
constants for control charts 467 (Table 46-4)
constraints (project) 544
constructive reduction to practice (patent) 191
constructive solid geometry (CSG) 166
content theories of motivation 536
contingency theory 534–535 (Figure 52-1)
continuity equation 82
continuous,
cooling transformation curve 109 (Figure 13-12)
improvement (CI) 477–495
mode (CNC programming) 438
motion assembly 368
Courant, R. 166
covalent compound 88
cracks (welding) 290–291 (Figure 29-10)
Cramer’s Rule 7
crashing a project 547
crater wear (tool) 214 (figure 23-3)
creativity 599
criminal law 202
critical path method (projects) 547 (Figure 53-5)
critical ratio 348
cross,
links 124
product 606
talk 430
crystalline,
ceramic powder processing 336
lattice 101
solids 85
structure (metals) 101–102 (Figure 13-1, Figure 13-2)
cubic boron nitride (CBN) 133
cubic born nitride (CBN) abrasive 236
cumulative average learning curve 563
cumulative trauma disorders 374
cup drawing 264 (Figure 26-15)
curing (adhesives) 301
current (welding) 286–287 289
curvilinear motion 607
cutoff 144
cutter location file 438
cutting,
fluids 223–225
tool materials 216–221 (Figure 23-5)
tool technology 213–226 (Figure 23-5)
cyaniding 108
cyanoacrylate adhesives 302
cylindrical arm (robotic) 451 (Figure 44-3)
cylindrical grinders 235
cylindricity 157 (Figure 18-9)
design, (Cont.)
for disassembly (DfD) 181–181
for manufacture (DFM) 180–181 (Figure 20-6)
for the environment (DfE) 577
of experiments (DOE) 482–486
oriented part families 186
patents 192
deterministic system model 363
dial,
assembly (rotary) 369
calipers 505
indicators 506 (Figure 49-3)
diameter symbol 149
diamond pin locators 383 (Figure 38-14)
dictation software 457
die 264–265
and press 265
casting 278–279 281 (Figure 28-6)
clearance 261
shoe 265
differential calculus 20
differentiation, slope of a curve 22
diffusion (tool) 214–215
digital calipers 505
Digital Millennium Copyright Act (DMCA) 197
digital subscriber lines (DSL) 431
dilution of trademark 199
dimensional metrology 503–513
dimensioning 140–141 (Figure 17-8)
dinking 260 (Figure 26-5)
dip transfer welding 287 (Figure 29-6)
direct,
costs 562
dimension 141–141 (Figure 17-10)
emissions (carbon footprint) 581
extrusion 251–252 (Figure 25-7)
infringement (patent) 194
measurement 504–505
direct, (Cont.)
metal laser sintering 169
modeling 165
directrix 603
discrete fasteners 295
discriminant 6
discrimination of measuring device 503
dispersion (normal curve) 463
dispute resolution 555–556
distortion (welding) 291
distributed generation (renewable energy) 579
distributive,
bargaining (labor relations) 555
law 4
numerical control (DNC) 441
division 5
Doctrine of Fair Use 196
Doctrine of Independent Creation 196
document control 359–360
domain name system (DNS) 434
domino theory (accidents) 399–400
dot product 606
double-angle formulas (trigonometry) 604–605
double declining balance depreciation 568–569
dowel pins 300 380–381
down milling 231 233 (Figure 24-6)
drag 276
drawing 256 (Figure 25-18) 263–264
lines 138 (Figure 17-1, Table 17-1) 140 (Figure 17-7)
standards 137–138 (Figure 17-2)
symbols (projection) 139 (Figure 17-3)
drawn cup 264 (Figure 26-15)
dressing and truing (grinding wheel) 238
drill jigs 389
drilling 229–231
dross 341
dry friction 53
dry powder pressing (ceramics) 336
f-test 486
face milling 231 233 (Figure 24-5)
face protection 412–413
facility layout 369–370
factor interactions 485
factorial designs 485
factual cause (lawsuit) 205
Fahrenheit scale 73
failure mode and effects analysis (FMEA) 182–186
fair use of copyrighted material 196
fanciful mark 198
farads 42
fast tracking a project 547
fastening 283–303
fatigue resistance 98
faying surfaces (welding) 292
feature,
control frame 154–155 (Figure 18-3)
of size 152
symbols 150–151 (Figure 18-2)
federal trademark registration 197–199
feedback (CNC) 441
ferrite 104
ferritic steel 113
fiber fabrics 128
fiberglass 127 (Figure 15-1)
fiberglass reinforced plastic (FRP) 127
filament winding 332–333 (Figure 32-4)
file server 430
final project report 550 (Figure 53-7)
fine blanking 259
fine pearlite 105
finishing 305–318
finishing ceramics 336–337
finite element analysis (FEA) 166–168 (Figure 19-1, Figure 19-2) 367
gage (Cont.)
tolerance 510 512 (Table 49-4)
variance 471
galvanic corrosion 115–116
galvanic metal series 116 (Figure 13-16)
Gantt chart 549 (Figure 53-6)
Gantt, Henry 521
gas-metal-arc welding 287 (Figure 29-6)
gas-tungsten-arc welding (GTAW) 288–289 (Figure 29-7)
gaseous fluids 224
gases 85
gates 277
gateways 433
Gaussian elimination 7
GD&T rules 153–154
GD&T symbols 150 (Figure 18-1) 613–619
general addition rule 482 (Figure 47-4)
general and administrative (G&A) costs 562
General Motors 351 500
general needs (new products) 174
Generally Accepted Accounting Principles (GAPP) 565
generic marks 198
geometric,
characteristic symbols 151 (Figure 18-2)
dimensioning and tolerancing (GD&T) 149–164
tolerancing charts 613–619
geometry 9–12
Gilbreth, Frank and Lillian 521
glass 132
glass processes 335 (Figure 33-1)
glass transition point (thermoset) 124
glazing ceramics 337
global warming 581
goalpost quality evaluation method 487 (Figure 47-8)
goals 530
good faith bargaining (labor relations) 554
grain boundary 101
grain size (abrasive) 236
hot, (Cont.)
isostatic pressing (HIP) 271
rolling 248
house of quality matrix 175–177 (Figure 20-3, Figure 20-4)
human,
factors 372–374
factors theory (accidents) 400
response to sound 39 (Figure 4-2)
sensitivity to light 34 (Figure 3-2)
hurdle rate 574
hydraulic presses 264
hydrodynamic machining 243
hydrofluorocarbons (greenhouse gas) 581
hydroforming 256–257
hydrogen embrittlement 290
hydrostatic extrusion 252 (Figure 25-11)
hyperbolas 603–604
hypereutectoid steel 105 (Figure 13-10)
hypertext transfer protocol (HTTP) 434
hypoeutectoid steel 105 (Figure 13-9)
icicle 340
illumination ranges 373 (Table 37-2)
impact testing 96 (Figure 12-3)
implied warranties 207–208
impression-die forging 253 (Figure 25-14)
incandescent light bulbs 578–579
incentive plans 539
incidental nanoparticles 90
incomplete fusion (welding) 290
increasing failure rate 481
indefinite integral 22
independent contractor (defined) 553
independent demand 393
indexing fixtures 388
indexing jigs 391
indirect,
costs 562
emissions (carbon footprint) 581
extrusion 252 (Figure 25-9, Figure 25-10)
infringement (patent) 194
induced infringement (patent) 194
inductance 42
induction hardening 110 (Figure 13-14)
induction light bulbs 579
inductors 42 (Figure 5-1)
industrial plastics 122 (Table 14-1)
industrial safety 399–426
inertia welding 293 (Figure 29-14)
inferential statistics 15
infrasonic sound 39
Initial Graphics Exchange Specification (IGES) 165
injection blow molding 322 324 (Figure 31-4)
injection molding 320–325 (Table 31-1, Figure 31-5) 368
injury (lawsuit damages) 205
innovation 599
inscribed circle 222–223 (Figure 23-8)
insert classifications 222
insert geometry 222 (Figure 23-7)
inspection,
of variables 461
reports 359
sheets 359
instrument error (measurement) 509
integral,
fasteners 295
formulas 605
locators 380
integrated product development (IPD) 180 (Table 20-1)
integrated services digital network (ISDN) lines 431
integration, area under a curve 22
integrative gain (labor relations) 555
intellectual property 191–200
intensity of sound 38
ISO
14000 family of standards 576–577
50001 energy standard 576
9000 497–498
9001 498–499
carbide grade classifications 218–219 (Figure 23-4)
Technical Committee TC176 500
thread designation 298 (Figure 29-23)
/TS 16949 500–502
isostatic compaction (metal powder) 271–272 (Figure 27-5)
isostatic pressing (ceramics) 336
isotope 86
Izod test 97
kaizen 352
kaizen event (energy efficiency) 578
kanban 352 356
Kano model 174 (Figure 20-1)
Kano, Noriaki 174
Kelvin 28 73
kerf 284
®
Kevlar 127
kilowatt-hour 41
kinematics 61
kinetics 61
Kirchoff’s rule 44
Knoop test 98 (Figure 12-5)
Kyoto Protocol 577
Labor 553
Management Relations Act (LMRA) 553
Management Reporting and Disclosure Act 553
relations 553–556
laminate 329
laminate composites 129
laminated object modeling (LOM) 169
lancing 259–260 (Figure 26-4)
Landrum-Griffin Act 553
lapping 309–310
laser 244
beam hardening 109
beam machining 244
beam welding (LBW) 294 (Figure 29-16)
latent needs (new products) 174
lathe components 227–228 (Figure 24-1)
lathe coordinate system 437 (Figure 42-2)
law of cosines 13 (Figure 1-10)
law of sines 12–13 (Figure 1-11)
law of thermodynamics 76 (Figure 9-3)
lay 144
lay designations 145 (Figure 17-16)
layout optimization 370
lead time 348
leader behavior theory 533–534
leader-member relations 534
leadership 525 533–536
leading change 529–530
leaf jig 390–391 (Figure 38-23)
leak testing 518
lean production 351–356
learning curves 562–563 (Figure 55-1, Table 55-2)
least material boundary (LMB) 152
material, (Cont.)
management 393–397
planning 348–350
properties 69 (Table 8-1)
removal rate (grinding) 238
requirements planning (MRP) 349–350
safety data sheet (MSDS) 420–421
strength 67–72
testing agencies 93
mating parts’ tolerance 141 (Figure 17-11)
matrix (composites) 127–128
matrix structure 528 (Figure 51-5)
matter 85
maximum material boundary (MMB) 152
maximum material condition (MMC) 141 152
McClelland, David 537
McClelland’s theory of motivation 537
mean (statistics) 15 463
mean life 480
mean time between failure (MTBF) 481
mean time to failure (MTTF) 480
means of egress 406
measurement 503
accuracy 503 (Figure 49-1)
conversion 31 (Table 2-6)
error 509
units 27–31
mechanical,
fasteners 295–297
links and joints (robotics) 451 (Figure 44-2)
presses 264
properties (material) 93–94 (Table 12-2)
systems (robots) 450–451
testing 93–99
median 15
mediation 555–556
meeting management 597–599
meeting minutes 598–599
mole 28
molecular compound 88
molecular mass (plastic) 120 (Figure 14-1)
moment of force 51 (Figure 6-6)
momentum 607–608 (Figure B-1)
monomers 119
Monte Carlo simulations 483
motivation 536–537
Motorola 488
motor-starter ladder diagram 446 (Figure 43-3)
moving-bridge coordinate measuring machine 508 (Figure 49-7)
MTConnect 434
muda 531
multi-part fixtures 388
multiple causation theory (accidents) 400
multiplication 5
multi-station fixtures 388
mutual gain (labor relations) 555
nanofilms 90
nanomaterials 89–90
nanometer 89
nanoplates 90
nanotechnology 89–90
nanotubes 90
National,
Emission Standards for Hazardous Air Pollutants
(NESHAPs) 582
Fire Protection Association (NFPA) standards 408
Institute for Occupational Safety and Health (NIOSH) 400–401
Institute of Standards and Technology 492
Labor Management Relations Act 553
Technology Initiative 89
natural variability 462
near net-shape forming 269
needs identification 173–174
negative and positive numbers 5 (Table 1-1)
objectives 530
Occupational Safety and Health Administration (OSHA) 399–405
ohms 42
Omnibus Trade and Competitiveness Act of 1988 27
one-piece flow 354 (Figure 36-2)
open,
-die forging 253 (Figure 25-13)
jigs 389
-plate jig 390 (Figure 38-21)
-systems interconnect (OSI) model 431–432 (Figure 41-1)
operating system 431
operation sheet 359 362 (Figure 37-3)
optical comparators 507 (Figure 49-6)
optical projector 507
oral presentations 592–595
orange peel 315
order of operations 5
organic compound 88 (Figure 11-4)
organizational strategies 526–527
organizational structures 526–527
organizing 526
orientation tolerances 157–158
OSHA,
Hazard Communication (HazCom) standard 420
inspections, citations, penalties, and violation 402–404 (Table 40-1)
record-keeping and reporting 404
overall equipment effectiveness (OEE) 353
overhead costs 562
overlap (welds) 291 (Figure 29-11)
overlapped pull systems 355
oxidation (metal) 115
oxides (ceramics) 132–133
oxyacetylene flames 285 (Figure 29-3)
oxyacetylene welding 284 (Figure 29-2)
oxyfuel gas cutting 284–285 (Figure 29-4)
oxyfuel gas welding 284
oxygen fuel welding and cutting safety standards 409
p-charts 471
pain and suffering (lawsuit damages) 205
parabolas 603–604
parabolic interpolation 439
parallax error (measurement) 509
parallel circuit connection 43 (Figure 5-2, Figure 5-3)
parallelism 157 (Figure 18-10)
parallelogram law 49
parameter design (Taguchi) 486
parametric modeling 165
Pareto analysis 490
Paris Convention (treaty) 194
parison 321
part coordinate system 450
part family 186
partial comparative negligence 208
particle precipitation 115
Pascal’s Law 80 (Figure 10-2)
passivation 112
polymerization 119–120
polyoxymethylene (POM) 124
polypropylene (PP) 121 123
polystyrene (PS) 123
polyurethane adhesives 301
polyvinyl acetate adhesives 302
polyvinyl chloride (PVC) 123
pop rivets 299
porosity (welds) 291
portable fire extinguishers 408 (Figure 40-1)
portable power tool safety standards 405
Porter, Michael 530
portfolio (projects) 543
position tolerance 160–161 163 (Figure 18-19)
positive and negative numbers 5 (Table 1-1)
post office protocol (POP) 434
potential energy 64
pound 29
powder,
coating 316–317 (Figure 30-10)
injection molding (PIM) 272
manufacturing 269–271
metallurgy (PM) 269
powdered metals 269–273 (Figure 27-2)
power,
brushes 307 (Figure 30-2)
spinning 266
variable (leadership) 534
precipitation hardening 115
precision,
casting 277
forging 253–254
of measurement 503 (Figure 49-1)
predictive maintenance 371–372
preform composites 330
prepreg 129
curing 329–330
material 330
production,
control 345–350
environments 345–346
flow analysis 187
leveling 355
planning 345–350
scheduling 347–348
sales, and inventory (PSI) planning 346–347
profile,
of a line 159–160 (Figure 18-15)
of a surface 159–160 (Figure 18-15)
projector 507
tolerances 159
program evaluation and review technique (PERT) 546–547
program manager 543
programmable automation controllers 446
programmable logic controllers 443–447
progressive dies 265
progressive discipline process 556–557
project 541–542
budget 548
charter 544
closure 549
complexity 542 (Figure 53-1)
control 549 (Figure 53-6)
initiation 543–544
management 541–551 (Figure 53-2)
manager 542
plan 544–546 (Figure 53-3)
report (final) 550 (Figure 53-7)
risk 548
scope 542
sponsor 542
projected tolerance zone 152
projection systems (drawings) 137–139
properties of ceramics 132 (Table 16-2)
proportion 4
proportional limit 68 95
QS 9000 500
quadratic equations 6
qualifying tolerances 510–512
quality 461
assurance 461
characteristics (responses) 483
control (QC) 461–475
definition (loss function) 486–487
function deployment (QFD) 175 (Figure 20-2)
of life 56
standards 497–502
quenching 107 (Table 13-1)
quick-change gearbox 227
Solid(s) 85
die 242 (Figure 24-14)
modeling 166
phases (metal) 103–104
solubility (metal) 102
-state welding 283 292–293
tap 242 (Figure 24-15)
waste 422
waste audit 578
Waste Disposal Act 422
solidus temperature (metal) 102
soluble oils 224
solution heat treatment (aluminum) 115
solutions 85–86
Sonny Bono Copyright Term Extension Act (CTEA) 196
sound 37–39 (Table 4-2, Figure 4-1)
span of control 529
span of management 529
spark machining 243–244 (Figure 24-16)
special purpose fixtures 388
specific,
gravity 79
heat 75 (Table 9-2)
heat ratios of gases 37 (Table 4-1)
volume 79
weight 79
speeches 592–595
speed of light 33
spheroidite 106
spheroidize annealing 111
split collet 388
spot face symbol 149
spray,
application (coatings) 314 (Figure 30-8)
guns 314
-up composites 329
spring pins 300 (Figure 29-26)
spring supports 382
springback 263
sprue 277
square features symbol 149
squareness 157 (Figure 18-10)
staff relationships 526
stage-gate (product) development process 173
stainless steels 112–113 (Table 13-4)
stakeholders 529 543
stamping 264–265 366–367
standard,
deviation 16
for the Exchange of Product (STEP) model data 165
form of an equation 7
hole system 142
normal distribution 17 (Figure 1-14)
shaft system 142
standardization 354
star network topology 433 (Figure 41-2, Figure 41-3)
start date priority for material 348
statement of work (SOW) 544
state-of-the-art defense (lawsuit) 209
statics 49–59
statistical,
methods for quality control 461–475
process control (SPC) 462
quality control (SQC) 462
statistics 15–20
statute of limitations (lawsuit) 209
steel alloying elements 112 (Table 13-2)
steel microstructure 104–106
stellite tools 216
step drilling 230 (Figure 24-3)
step-variable costs 561
stepwise growth 120
stereolithography apparatus 169
stick welding 284
stochastic system model 363
straight cutting oils 223–224
sustainability 575–584
SWOT analysis 530
symmetry 160 162 (Figure 18-18)
synchronous assembly 368
synthetic fluids 224
system design (Taguchi) 486
system model 363
systematic sampling 20
T1 line 431
T3 line 431
t-test 486
table of elements 87–88 (Figure 11-2)
tackifiers 129
Taguchi concepts 486–488
tailstock (lathe) 227
takt time 352
tangent 12
tap 241–242 (Figure 24-15)
tape (composites) 332
taper pins 300
tapping screws 296
tarnishment of trademark 199
task 534 539
Taylor, Frederick 521
Taylor’s tool life equation 215
teams 529–530
technique error (measurement) 509
temperature 28 73
tempering 111
template drill jigs 389
tensile strength 95–96
tensile testing 95–97
tension set (elastomers) 125
terpolymers 121
test equipment costs 562
test indicators 506–507 (Figure 49-5)
tolerance,
classifications 155–161
design (Taguchi) 486
dimension 140
of position 160–161 163 (Figure 18-19)
stack 358
tolerancing 141–144 (Figure 17-11, Figure 17-13)
tool,
angles 213–214
coordinate system 450
failure 214–216
forces 384–385 (Figure 38-15, Figure 38-16)
life 214–216 (Figure 23-4, Table 23-2)
materials (cutting) 216–221
nomenclature 213 (Figure 23-1, Table 23-1)
selection 222–223
tooling costs 562
tooling list 359 363 (Figure 37-4)
tooth set 234
torsional loading 70–71 (Figure 8-5)
tort 202
total,
productive maintenance 353
quality management 489
runout 158–159 (Figure 18-13)
toughness (material) 96
tow 128
toxic substances safety standards 420–422
Toyota production system 351–352 531
traceability of measurement 503–508
trade dress 199
trade secrets 199
trademark 197–199
Trademark Act of 1946 197
traditional functional layout 354 (Figure 36-1)
trait theory 533
transfer die 265
transfer molding 320–321 (Table 31-1) 327 (Figure 31-9)
u-chart 473–474
U.S. Copyright Office 196
U.S. Customary System of measure 27 29
31 (Table 2-5, Table 2-6)
ultimate strength 95–96
ultrasonic,
sound 39
testing 516–517 (Figure 50-3)
welding (USW) 292
uncoated carbides (cutting tools) 216–218
undercut (welds) 290
vapors 85
variable,
control charts 465 (Table 46-2)
costs 561
needs (new products) 174
variance 15
variations of form 154
vector operations 605–606
verdict 203
vernier calipers 504
vertical milling machine 232 (Figure 24-4) 437 (Figure 42-1)
vibration 374
vibratory finishing 306 (Figure 30-1)
Vickers hardness test 97–98 (Figure 12-5)
virtual condition 152
virtual reality modeling language 169
vises 389
vision (strategy) 530
visual aids to written communication 590–592 (Table 57-1, Figure 57-3, Figure 57-4
Figure 57-5, Figure 57-6, Figure57-7)
visual control 353
vitrified bond (abrasives) 236
voice recognition 457
volt 41
voltage 41
volumes of three-dimensional shapes 10 (Figure 1-4)
vulcanization 125
workholders 377
world coordinate system 450
World Intellectual Property Organization 194 197
written communication 588–590 (Figure 57-1, Figure 57-2)
wrought aluminum alloys 114 (Table 13-5)
x-bar 463
x-bar chart 464–469 (Figure 46-10)
yarn 128
yield point 68 95
yield strength 68 95