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Shigley’ s
Mechanical
Engineering
Design Eleventh Edition

Richard G.
Budynas

J. Keith
Nisbett
Shigley’s
Mechanical
Engineering
Design
E D
O C

2
2 A
xy

Shigley’s Mechanical
Engineering Design
Eleventh Edition

Richard G. Budynas
Professor Emeritus, Kate Gleason College of Engineering,
Rochester Institute of Technology

J. Keith Nisbett
Associate Professor of Mechanical Engineering,
Missouri University of Science and Technology
SHIGLEY’S MECHANICAL ENGINEERING DESIGN, ELEVENTH EDITION
Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY 10121. Copyright © 2020 by McGraw-Hill Education. All
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Library of Congress Cataloging-in-Publication Data
Names: Budynas, Richard G. (Richard Gordon), author. | Nisbett, J. Keith,
author. | Shigley, Joseph Edward. Mechanical engineering design.
Title: Shigley’s mechanical engineering design / Richard G. Budynas,
 Professor Emeritus, Kate Gleason College of Engineering, Rochester
Institute of Technology, J. Keith Nisbett, Associate Professor of
Mechanical Engineering, Missouri University of Science and Technology.
Other titles: Mechanical engineering design
Description: Eleventh edition. ∣ New York, NY : McGraw-Hill Education, [2020]
∣ Includes index.
Identifiers: LCCN 2018023098 ∣ ISBN 9780073398211 (alk. paper) ∣ ISBN
0073398217 (alk. paper)
Subjects: LCSH: Machine design.
Classification: LCC TJ230 .S5 2020 | DDC 621.8/15--dc23 LC record available at
https://lccn.loc.gov/2018023098
The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website does not indicate
an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education does not guarantee the accuracy of the
information presented at these sites.

mheducation.com/highered
Dedication
To my wife, Joanne. I could not have accomplished what I have without
your love and support.
 Richard G. Budynas

To my colleague and friend, Dr. Terry Lehnhoff, who encouraged me


early in my teaching career to pursue opportunities to improve the
presentation of machine design topics.
 J. Keith Nisbett
Dedication to Joseph Edward Shigley

Joseph Edward Shigley (1909–1994) is undoubtedly one of the most well-known


and respected contributors in machine design education. He authored or coauthored
eight books, including Theory of Machines and Mechanisms (with John J. Uicker, Jr.),
and Applied Mechanics of Materials. He was coeditor-in-chief of the well-known
Standard Handbook of Machine Design. He began Machine Design as sole author in
1956, and it evolved into Mechanical Engineering Design, setting the model for such
textbooks. He contributed to the first five editions of this text, along with coauthors
Larry Mitchell and Charles Mischke. Uncounted numbers of students across the world
got their first taste of machine design with Shigley’s textbook, which has literally
become a classic. Nearly every mechanical engineer for the past half century has
referenced terminology, equations, or procedures as being from “Shigley.” McGraw-Hill
is honored to have worked with Professor Shigley for more than 40 years, and as a
tribute to his lasting contribution to this textbook, its title officially reflects what many
have already come to call it—Shigley’s Mechanical Engineering Design.
Having received a bachelor’s degree in Electrical and Mechanical Engineering
from Purdue University and a master of science in Engineering Mechanics from the
University of Michigan, Professor Shigley pursued an academic career at Clemson
College from 1936 through 1954. This led to his position as professor and head of
Mechanical Design and Drawing at Clemson College. He joined the faculty of the
Department of Mechanical Engineering of the University of Michigan in 1956, where
he remained for 22 years until his retirement in 1978.
Professor Shigley was granted the rank of Fellow of the American Society of
Mechanical Engineers in 1968. He received the ASME Mechanisms Committee
Award in 1974, the Worcester Reed Warner Medal for outstanding contribution to
the permanent literature of engineering in 1977, and the ASME Machine Design
Award in 1985.
Joseph Edward Shigley indeed made a difference. His legacy shall continue.

vi
About the Authors

Richard G. Budynas is Professor Emeritus of the Kate Gleason College of


Engineering at Rochester Institute of Technology. He has more than 50 years experi-
ence in teaching and practicing mechanical engineering design. He is the author of a
McGraw-Hill textbook, Advanced Strength and Applied Stress Analysis, Second
Edition; and coauthor of a McGraw-Hill reference book, Roark’s Formulas for Stress
and Strain, Eighth Edition. He was awarded the BME of Union College, MSME of
the University of Rochester, and the PhD of the University of Massachusetts. He is a
licensed Professional Engineer in the state of New York.

J. Keith Nisbett is an Associate Professor and Associate Chair of Mechanical


Engineering at the Missouri University of Science and Technology. He has more than
30 years of experience with using and teaching from this classic textbook. As dem-
onstrated by a steady stream of teaching awards, including the Governor’s Award for
Teaching Excellence, he is devoted to finding ways of communicating concepts to the
students. He was awarded the BS, MS, and PhD of the University of Texas at Arlington.

vii
Brief Contents

Preface xv

Part 1
Basics 2
1 Introduction to Mechanical Engineering Design 3
2 Materials 41
3 Load and Stress Analysis 93
4 Deflection and Stiffness 173

Part 2
Failure Prevention 240
5 Failures Resulting from Static Loading 241
6 Fatigue Failure Resulting from Variable Loading 285

Part 3
Design of Mechanical Elements 372
7 Shafts and Shaft Components 373
8 Screws, Fasteners, and the Design of Nonpermanent Joints 421
9 Welding, Bonding, and the Design of Permanent Joints 485
10 Mechanical Springs 525
11 Rolling-Contact Bearings 575
12 Lubrication and Journal Bearings 623
13 Gears—General 681
14 Spur and Helical Gears 739
15 Bevel and Worm Gears 791
16 Clutches, Brakes, Couplings, and Flywheels 829
17 Flexible Mechanical Elements 881
18 Power Transmission Case Study 935

viii
Brief Contents     ix

Part 4
Special Topics 954
19 Finite-Element Analysis 955
20 Geometric Dimensioning and Tolerancing 977

Appendixes
A Useful Tables 1019
B Answers to Selected Problems 1075
Index 1081
Contents

Preface  xv 2–3 Plastic Deformation and Cold Work 50


2–4 Cyclic Stress-Strain Properties 57
2–5 Hardness 61
Part 1 2–6 Impact Properties 62
Basics 2 2–7 Temperature Effects 63
2–8 Numbering Systems 64
Chapter 1 2–9 Sand Casting 66
Introduction to Mechanical 2–10 Shell Molding 66
2–11 Investment Casting 67
Engineering Design 3
2–12 Powder-Metallurgy Process 67
Design 4
1–1
Mechanical Engineering Design 5
1–2 2–13 Hot-Working Processes 67
Phases and Interactions of the Design
1–3 2–14 Cold-Working Processes 68
Process 5 2–15 The Heat Treatment of Steel 69
1–4 Design Tools and Resources 8 2–16 Alloy Steels 72
1–5 The Design Engineer’s Professional 2–17 Corrosion-Resistant Steels 73
Responsibilities 10 2–18 Casting Materials 73
1–6 Standards and Codes 12 2–19 Nonferrous Metals 75
1–7 Economics 13
2–20 Plastics 78
1–8 Safety and Product Liability 15
2–21 Composite Materials 80
1–9 Stress and Strength 16
2–22 Materials Selection 81
1–10 Uncertainty 16
Problems 87
1–11 Design Factor and Factor of Safety 18
1–12 Reliability and Probability of Failure 20
1–13 Relating Design Factor to Reliability 24
Chapter 3
1–14 Dimensions and Tolerances 27 Load and Stress Analysis 93
1–15 Units 31
3–1 Equilibrium and Free-Body Diagrams 94
1–16 Calculations and Significant Figures 32
3–2 Shear Force and Bending Moments in
1–17 Design Topic Interdependencies 33
Beams 97
1–18 Power Transmission Case Study
3–3 Singularity Functions 98
Specifications 34
3–4 Stress 101
Problems 36
3–5 Cartesian Stress Components 101
3–6 Mohr’s Circle for Plane Stress 102
Chapter 2
3–7 General Three-Dimensional Stress 108
Materials 41 3–8 Elastic Strain 109
2–1 Material Strength and Stiffness 42 3–9 Uniformly Distributed Stresses 110
2–2 The Statistical Significance of Material 3–10 Normal Stresses for Beams in
Properties 48 Bending 111
x
Contents     xi

3–11 Shear Stresses for Beams in Bending 116 5–4 Maximum-Shear-Stress Theory for Ductile
3–12 Torsion 123 Materials 247
3–13 Stress Concentration 132 5–5 Distortion-Energy Theory for Ductile
3–14 Stresses in Pressurized Cylinders 135 Materials 249
3–15 Stresses in Rotating Rings 137 5–6 Coulomb-Mohr Theory for Ductile
Materials 255
3–16 Press and Shrink Fits 139
5–7 Failure of Ductile Materials Summary 258
3–17 Temperature Effects 140
5–8 Maximum-Normal-Stress Theory for Brittle
3–18 Curved Beams in Bending 141
Materials 262
3–19 Contact Stresses 145
5–9 Modifications of the Mohr Theory for Brittle
3–20 Summary 149 Materials 263
Problems 150 5–10 Failure of Brittle Materials Summary 265
5–11 Selection of Failure Criteria 266
Chapter 4 5–12 Introduction to Fracture Mechanics 266
Deflection and Stiffness 173 5–13 Important Design Equations 275
4–1 Spring Rates 174 Problems 276
4–2 Tension, Compression, and Torsion 175
4–3 Deflection Due to Bending 176 Chapter 6
4–4 Beam Deflection Methods 179
Fatigue Failure Resulting from
4–5 Beam Deflections by Superposition 180
Variable Loading 285
4–6 Beam Deflections by Singularity Functions 182
6–1 Introduction to Fatigue 286
4–7 Strain Energy 188
6–2 Chapter Overview 287
4–8 Castigliano’s Theorem 190
6–3 Crack Nucleation and Propagation 288
4–9 Deflection of Curved Members 195
6–4 Fatigue-Life Methods 294
4–10 Statically Indeterminate Problems 201
6–5 The Linear-Elastic Fracture Mechanics
4–11 Compression Members—General 207
Method 295
4–12 Long Columns with Central Loading 207
6–6 The Strain-Life Method 299
4–13 Intermediate-Length Columns with Central 6–7 The Stress-Life Method and the
Loading 210 S-N Diagram 302
4–14 Columns with Eccentric Loading 212 6–8 The Idealized S-N Diagram for Steels 304
4–15 Struts or Short Compression Members 215 6–9 Endurance Limit Modifying Factors 309
4–16 Elastic Stability 217 6–10 Stress Concentration and Notch Sensitivity 320
4–17 Shock and Impact 218 6–11 Characterizing Fluctuating Stresses 325
Problems 220 6–12 The Fluctuating-Stress Diagram 327
6–13 Fatigue Failure Criteria 333
Part 2 6–14 Constant-Life Curves 342
6–15 Fatigue Failure Criterion for Brittle
Failure Prevention 240 Materials 345
Chapter 5 6–16 Combinations of Loading Modes 347
6–17 Cumulative Fatigue Damage 351
Failures Resulting from Static Loading 241 6–18 Surface Fatigue Strength 356
5–1 Static Strength 244 6–19 Road Maps and Important Design Equations
5–2 Stress Concentration 245 for the Stress-Life Method 359
5–3 Failure Theories 247 Problems 363
xii      Mechanical Engineering Design

Part 3 9–6 Static Loading 502


9–7 Fatigue Loading 505
Design of Mechanical Elements 372 9–8 Resistance Welding 507
Chapter 7 9–9 Adhesive Bonding 508

Problems 516
Shafts and Shaft Components 373
7–1 Introduction 374 Chapter 10
7–2 Shaft Materials 374
Mechanical Springs 525
7–3 Shaft Layout 375
10–1 Stresses in Helical Springs 526
7–4 Shaft Design for Stress 380
10–2 The Curvature Effect 527
7–5 Deflection Considerations 391
10–3 Deflection of Helical Springs 528
7–6 Critical Speeds for Shafts 395
10–4 Compression Springs 528
7–7 Miscellaneous Shaft Components 400
10–5 Stability 529
7–8 Limits and Fits 406
10–6 Spring Materials 531
Problems 411
10–7 Helical Compression Spring Design for Static
Service 535
Chapter 8
10–8 Critical Frequency of Helical Springs 542
Screws, Fasteners, and the Design 10–9 Fatigue Loading of Helical Compression
Springs 543
of Nonpermanent Joints 421
8–1 Thread Standards and Definitions 422
10–10 Helical Compression Spring Design for
Fatigue Loading 547
8–2 The Mechanics of Power Screws 426
10–11 Extension Springs 550
8–3 Threaded Fasteners 434
10–12 Helical Coil Torsion Springs 557
8–4 Joints—Fastener Stiffness 436
10–13 Belleville Springs 564
8–5 Joints—Member Stiffness 437
10–14 Miscellaneous Springs 565
8–6 Bolt Strength 443
10–15 Summary 567
8–7 Tension Joints—The External Load 446
Problems 567
8–8 Relating Bolt Torque to Bolt Tension 448
8–9 Statically Loaded Tension Joint with Chapter 11
Preload 452
8–10 Gasketed Joints 456 Rolling-Contact Bearings 575
8–11 Fatigue Loading of Tension Joints 456 11–1 Bearing Types 576
8–12 Bolted and Riveted Joints Loaded in Shear 463 11–2 Bearing Life 579
Problems 471 11–3 Bearing Load Life at Rated Reliability 580
11–4 Reliability versus Life—The Weibull
Chapter 9 Distribution 582
11–5 Relating Load, Life, and Reliability 583
Welding, Bonding, and the Design of 11–6 Combined Radial and Thrust Loading 585
Permanent Joints 485 11–7 Variable Loading 590
9–1 Welding Symbols 486 11–8 Selection of Ball and Cylindrical Roller
9–2 Butt and Fillet Welds 488 Bearings 593
9–3 Stresses in Welded Joints in Torsion 492 11–9 Selection of Tapered Roller Bearings 596
9–4 Stresses in Welded Joints in Bending 497 11–10 Design Assessment for Selected
9–5 The Strength of Welded Joints 499 Rolling-Contact Bearings 604
Contents     xiii

11–11 Lubrication 608 13–16 Force Analysis—Helical Gearing 716


11–12 Mounting and Enclosure 609 13–17 Force Analysis—Worm Gearing 719
Problems 613 Problems 724

Chapter 12 Chapter 14
Lubrication and Journal Bearings 623
Spur and Helical Gears 739
12–1 Types of Lubrication 624
14–1 The Lewis Bending Equation 740
12–2 Viscosity 625
14–2 Surface Durability 749
12–3 Petroff’s Equation 627
14–3 AGMA Stress Equations 751
12–4 Stable Lubrication 632
14–4 AGMA Strength Equations 752
12–5 Thick-Film Lubrication 633
14–5 Geometry Factors I and J
12–6 Hydrodynamic Theory 634
(ZI and YJ) 757
12–7 Design Variables 639
14–6 The Elastic Coefficient Cp (ZE) 761
12–8 The Relations of the Variables 640
14–7 Dynamic Factor Kv 763
12–9 Steady-State Conditions in Self-Contained
14–8 Overload Factor Ko 764
Bearings 649
14–9 Surface Condition Factor Cf (ZR) 764
12–10 Clearance 653
14–10 Size Factor Ks 765
12–11 Pressure-Fed Bearings 655
14–11 Load-Distribution Factor Km (KH) 765
12–12 Loads and Materials 661
14–12 Hardness-Ratio Factor CH (ZW) 767
12–13 Bearing Types 662
14–13 Stress-Cycle Factors YN and ZN 768
12–14 Dynamically Loaded Journal
14–14 Reliability Factor KR (YZ) 769
Bearings 663
14–15 Temperature Factor KT (Yθ) 770
12–15 Boundary-Lubricated Bearings 670
14–16 Rim-Thickness Factor KB 770
Problems 677
14–17 Safety Factors SF and SH 771
14–18 Analysis 771
Chapter 13
14–19 Design of a Gear Mesh 781
Gears—General 681 Problems 786
13–1 Types of Gears 682
13–2 Nomenclature 683
Chapter 15
13–3 Conjugate Action 684
13–4 Involute Properties 685 Bevel and Worm Gears 791
13–5 Fundamentals 686 15–1 Bevel Gearing—General 792
13–6 Contact Ratio 689 15–2 Bevel-Gear Stresses and Strengths 794
13–7 Interference 690 15–3 AGMA Equation Factors 797
13–8 The Forming of Gear Teeth 693 15–4 Straight-Bevel Gear Analysis 808
13–9 Straight Bevel Gears 695 15–5 Design of a Straight-Bevel Gear
13–10 Parallel Helical Gears 696 Mesh 811
13–11 Worm Gears 700 15–6 Worm Gearing—AGMA Equation 814
13–12 Tooth Systems 701 15–7 Worm-Gear Analysis 818
13–13 Gear Trains 703 15–8 Designing a Worm-Gear Mesh 822
13–14 Force Analysis—Spur Gearing 710 15–9 Buckingham Wear Load 825
13–15 Force Analysis—Bevel Gearing 713 Problems 826
xiv      Mechanical Engineering Design

Chapter 16 18–10 Key and Retaining Ring Selection 950


18–11 Final Analysis 953
Clutches, Brakes, Couplings, and Problems 953
Flywheels 829
16–1 Static Analysis of Clutches and Brakes 831 Part 4
16–2 Internal Expanding Rim Clutches and
Brakes 836 Special Topics 954
16–3 External Contracting Rim Clutches and
Chapter 19
Brakes 844
16–4 Band-Type Clutches and Brakes 847 Finite-Element Analysis 955
16–5 Frictional-Contact Axial Clutches 849 19–1 The Finite-Element Method 957
16–6 Disk Brakes 852 19–2 Element Geometries 959
16–7 Cone Clutches and Brakes 856 19–3 The Finite-Element Solution Process 961
16–8 Energy Considerations 858 19–4 Mesh Generation 964
16–9 Temperature Rise 860 19–5 Load Application 966
16–10 Friction Materials 863 19–6 Boundary Conditions 967
16–11 Miscellaneous Clutches and Couplings 866 19–7 Modeling Techniques 967
16–12 Flywheels 868 19–8 Thermal Stresses 970
Problems 873 19–9 Critical Buckling Load 972
19–10 Vibration Analysis 973
Chapter 17 19–11 Summary 974
Problems 975
Flexible Mechanical Elements 881
17–1 Belts 882
17–2 Flat- and Round-Belt Drives 885
Chapter 20
17–3 V Belts 900 Geometric Dimensioning and
17–4 Timing Belts 908 Tolerancing 977
17–5 Roller Chain 909 20–1 Dimensioning and Tolerancing Systems 978
17–6 Wire Rope 917 20–2 Definition of Geometric Dimensioning and
17–7 Flexible Shafts 926 Tolerancing 979
Problems 927 20–3 Datums 983
20–4 Controlling Geometric Tolerances 989
Chapter 18 20–5 Geometric Characteristic Definitions 992
20–6 Material Condition Modifiers 1002
Power Transmission Case Study 935
20–7 Practical Implementation 1004
18–1 Design Sequence for Power
20–8 GD&T in CAD Models 1009
Transmission 937
20–9 Glossary of GD&T Terms 1010
18–2 Power and Torque Requirements 938
Problems 1012
18–3 Gear Specification 938
18–4 Shaft Layout 945
18–5 Force Analysis 947 Appendixes
18–6 Shaft Material Selection 947 A Useful Tables  1019
18–7 Shaft Design for Stress 948
B Answers to Selected P
­ roblems  1075
18–8 Shaft Design for Deflection 948
18–9 Bearing Selection 949 Index  1081
Preface

Objectives
This text is intended for students beginning the study of mechanical engineering design.
The focus is on blending fundamental development of concepts with practical specifi-
cation of components. Students of this text should find that it inherently directs them
into familiarity with both the basis for decisions and the standards of industrial com-
ponents. For this reason, as students transition to practicing engineers, they will find
that this text is indispensable as a reference text. The objectives of the text are to:
∙ Cover the basics of machine design, including the design process, engineering
mechanics and materials, failure prevention under static and variable loading, and
characteristics of the principal types of mechanical elements.
∙ Offer a practical approach to the subject through a wide range of real-world appli-
cations and examples.
∙ Encourage readers to link design and analysis.
∙ Encourage readers to link fundamental concepts with practical component
­specification.

New to This Edition


Enhancements and modifications to the eleventh edition are described in the following
summaries:
∙ Chapter 6, Fatigue Failure Resulting from Variable Loading, has received a com-
plete update of its presentation. The goals include clearer explanations of underlying
mechanics, streamlined approach to the stress-life method, and updates consistent
with recent research. The introductory material provides a greater appreciation
of the processes involved in crack nucleation and propagation. This allows the
strain-life method and the linear-elastic fracture mechanics method to be given
proper context within the coverage, as well as to add to the understanding of the
factors driving the data used in the stress-life method. The overall methodology of
the stress-life approach remains the same, though with expanded explanations and
improvements in the presentation.
∙ Chapter 2, Materials, includes expanded coverage of plastic deformation, strain-
hardening, true stress and true strain, and cyclic stress-strain properties. This infor-
mation provides a stronger background for the expanded discussion in Chapter 6
of the mechanism of crack nucleation and propagation.
∙ Chapter 12, Lubrication and Journal Bearings, is improved and updated. The chapter
contains a new section on dynamically loaded journal bearings, including the mobil-
ity method of solution for the journal dynamic orbit. This includes new examples and
end-of-chapter problems. The design of big-end connecting rod bearings, used in
automotive applications, is also introduced. xv
xvi      Mechanical Engineering Design

∙ Approximately 100 new end-of-chapter problems are implemented. These are


focused on providing more variety in the fundamental problems for first-time expo-
sure to the topics. In conjunction with the web-based parameterized problems avail-
able through McGraw-Hill Connect Engineering, the ability to assign new problems
each semester is ever stronger.
The following sections received minor but notable improvements in presentation:
Section 3–8 Elastic Strain Section 7–4 Shaft Design for Stress
Section 3–11 Shear Stresses for Beams in Bending Section 8–2 The Mechanics of Power Screws
Section 3–14 Stresses in Pressurized Cylinders Section 8–7 Tension Joints—The External Load
Section 3–15 Stresses in Rotating Rings Section 13–5 Fundamentals
Section 4–12 Long Columns with Central Loading Section 16–4 Band-Type Clutches and Brakes
Section 4–13 Intermediate-Length Columns with Section 16–8 Energy Considerations
Central Loading Section 17–2 Flat- and Round-Belt Drives
Section 4–14 Columns with Eccentric Loading Section 17–3 V Belts

In keeping with the well-recognized accuracy and consistency within this text, minor
improvements and corrections are made throughout with each new edition. Many of
these are in response to the diligent feedback from the community of users.

Instructor Supplements
Additional media offerings available at www.mhhe.com/shigley include:
∙ Solutions manual. The instructor’s manual contains solutions to most end-of-chapter
nondesign problems.
∙ PowerPoint® slides. Slides outlining the content of the text are provided in PowerPoint
format for instructors to use as a starting point for developing lecture presentation
materials. The slides include all figures, tables, and equations from the text.
∙ C.O.S.M.O.S. A complete online solutions manual organization system that allows
instructors to create custom homework, quizzes, and tests using end-of-chapter
problems from the text.

Acknowledgments
The authors would like to acknowledge those who have contributed to this text for
over 50 years and eleven editions. We are especially grateful to those who provided
input to this eleventh edition:
Steve Boedo, Rochester Institute of Technology: Review and update of Chapter 12,
Lubrication and Journal Bearings.
Lokesh Dharani, Missouri University of Science and Technology: Review and
advice regarding the coverage of fracture mechanics and fatigue.
Reviewers of This and Past Editions
Kenneth Huebner, Arizona State Om Agrawal, Southern Illinois University
Gloria Starns, Iowa State Arun Srinivasa, Texas A&M
Tim Lee, McGill University Jason Carey, University of Alberta
Robert Rizza, MSOE Patrick Smolinski, University of Pittsburgh
Richard Patton, Mississippi State University Dennis Hong, Virginia Tech
Stephen Boedo, Rochester Institute of Technology
List of Symbols
This is a list of common symbols used in machine design and in this book. Specialized
use in a subject-matter area often attracts fore and post subscripts and superscripts.
To make the table brief enough to be useful, the symbol kernels are listed. See
Table 14–1 for spur and helical gearing symbols, and Table 15–1 for bevel-gear
symbols.

A Area, coefficient
a Distance
B Coefficient, bearing length
Bhn Brinell hardness
b Distance, fatigue strength exponent, Weibull shape parameter, width
C Basic load rating, bolted-joint constant, center distance, coefficient of
variation, column end condition, correction factor, specific heat capac-
ity, spring index, radial clearance
c Distance, fatigue ductility exponent, radial clearance
COV Coefficient of variation
D Diameter, helix diameter
d Diameter, distance
E Modulus of elasticity, energy, error
e Distance, eccentricity, efficiency, Naperian logarithmic base
F Force, fundamental dimension force
f Coefficient of friction, frequency, function
fom Figure of merit
G Torsional modulus of elasticity
g Acceleration due to gravity, function
H Heat, power
HB Brinell hardness
HRC Rockwell C-scale hardness
h Distance, film thickness
hCR Combined overall coefficient of convection and radiation heat transfer
I Integral, linear impulse, mass moment of inertia, second moment of area
i Index
i Unit vector in x-direction
J Mechanical equivalent of heat, polar second moment of area, geometry
factor
j Unit vector in the y-direction
K Service factor, stress-concentration factor, stress-augmentation factor,
torque coefficient
k Marin endurance limit modifying factor, spring rate
k Unit vector in the z-direction
L Length, life, fundamental dimension length
ℒ Life in hours
xvii
xviii      Mechanical Engineering Design

l Length
M Fundamental dimension mass, moment
M Moment vector, mobility vector
m Mass, slope, strain-strengthening exponent
N Normal force, number, rotational speed, number of cycles
n Load factor, rotational speed, factor of safety
nd Design factor
P Force, pressure, diametral pitch
PDF Probability density function
p Pitch, pressure, probability
Q First moment of area, imaginary force, volume
q Distributed load, notch sensitivity
R Radius, reaction force, reliability, Rockwell hardness, stress ratio,
reduction in area
R Vector reaction force
r Radius
r Distance vector
S Sommerfeld number, strength
s Distance, sample standard deviation, stress
T Temperature, tolerance, torque, fundamental dimension time
T Torque vector
t Distance, time, tolerance
U Strain energy
u Strain energy per unit volume
V Linear velocity, shear force
v Linear velocity
W Cold-work factor, load, weight
w Distance, gap, load intensity
X Coordinate, truncated number
x Coordinate, true value of a number, Weibull parameter
Y Coordinate
y Coordinate, deflection
Z Coordinate, section modulus, viscosity
z Coordinate, dimensionless transform variable for normal distributions
α Coefficient, coefficient of linear thermal expansion, end-condition for
springs, thread angle
β Bearing angle, coefficient
Δ Change, deflection
δ Deviation, elongation
ϵ Eccentricity ratio
ε Engineering strain
ε̃ True or logarithmic strain
ε̃ f True fracture strain
ε′f Fatigue ductility coefficient
Γ Gamma function, pitch angle
γ Pitch angle, shear strain, specific weight
λ Slenderness ratio for springs
μ Absolute viscosity, population mean
ν Poisson ratio
ω Angular velocity, circular frequency
List of Symbols     xix

ϕ Angle, wave length


ψ Slope integral
ρ Radius of curvature, mass density
σ Normal stress
σa Alternating stress, stress amplitude
σar Completely reversed alternating stress
σm Mean stress
σ0 Nominal stress, strength coefficient or strain-strengthening coefficient
σ′f Fatigue strength coefficient
σ̃ True stress
σ̃f True fracture strength
σ′ Von Mises stress
σ̂ Standard deviation
τ Shear stress
θ Angle, Weibull characteristic parameter
¢ Cost per unit weight
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Shigley’s
Mechanical
Engineering
Design
E D
O C

1
2
2 A
xy

G
part

Courtesy of Dee Dehokenanan

Basics
Chapter 1 Introduction to Mechanical Engineering
Design 3
Chapter 2 Materials 41
Chapter 3 Load and Stress Analysis 93
Chapter 4 Deflection and Stiffness 173
1 Introduction to Mechanical
Engineering Design

©Monty Rakusen/Getty Images

Chapter Outline
1–1 Design  4 1–10 Uncertainty  16
1–2 Mechanical Engineering Design   5 1–11 Design Factor and Factor of Safety   18
1–3 
Phases and Interactions of the Design 1–12 Reliability and Probability of Failure   20
Process  5 1–13 Relating Design Factor to Reliability   24
1–4 Design Tools and Resources   8 1–14 Dimensions and Tolerances   27
1–5 
The Design Engineer’s Professional 1–15 Units  31
Responsibilities  10
1–16 Calculations and Significant Figures   32
1–6 Standards and Codes   12
1–17 Design Topic Interdependencies   33
1–7 Economics  13
1–18 
Power Transmission Case Study
1–8 Safety and Product Liability   15 Specifications  34
1–9 Stress and Strength   16 3
4      Mechanical Engineering Design

Mechanical design is a complex process, requiring many skills. Extensive relationships


need to be subdivided into a series of simple tasks. The complexity of the process
requires a sequence in which ideas are introduced and iterated.
We first address the nature of design in general, and then mechanical engineering
design in particular. Design is an iterative process with many interactive phases. Many
resources exist to support the designer, including many sources of information and an
abundance of computational design tools. Design engineers need not only develop
competence in their field but they must also cultivate a strong sense of responsibility
and professional work ethic.
There are roles to be played by codes and standards, ever-present economics,
safety, and considerations of product liability. The survival of a mechanical component
is often related through stress and strength. Matters of uncertainty are ever-present in
engineering design and are typically addressed by the design factor and factor of
safety, either in the form of a deterministic (absolute) or statistical sense. The latter,
statistical approach, deals with a design’s reliability and requires good statistical data.
In mechanical design, other considerations include dimensions and tolerances,
units, and calculations.
This book consists of four parts. Part 1, Basics, begins by explaining some dif-
ferences between design and analysis and introducing some fundamental notions and
approaches to design. It continues with three chapters reviewing material properties,
stress analysis, and stiffness and deflection analysis, which are the principles neces-
sary for the remainder of the book.
Part 2, Failure Prevention, consists of two chapters on the prevention of failure
of mechanical parts. Why machine parts fail and how they can be designed to prevent
failure are difficult questions, and so we take two chapters to answer them, one on
preventing failure due to static loads, and the other on preventing fatigue failure due
to time-varying, cyclic loads.
In Part 3, Design of Mechanical Elements, the concepts of Parts 1 and 2 are
applied to the analysis, selection, and design of specific mechanical elements such as
shafts, fasteners, weldments, springs, rolling contact bearings, film bearings, gears,
belts, chains, and wire ropes.
Part 4, Special Topics, provides introductions to two important methods used in
mechanical design, finite element analysis and geometric dimensioning and toleranc-
ing. This is optional study material, but some sections and examples in Parts 1 to 3
demonstrate the use of these tools.
There are two appendixes at the end of the book. Appendix A contains many
useful tables referenced throughout the book. Appendix B contains answers to selected
end-of-chapter problems.

1–1 Design
To design is either to formulate a plan for the satisfaction of a specified need or to
solve a specific problem. If the plan results in the creation of something having a
physical reality, then the product must be functional, safe, reliable, competitive, usable,
manufacturable, and marketable.
Design is an innovative and highly iterative process. It is also a decision-making
process. Decisions sometimes have to be made with too little information, occasionally
with just the right amount of information, or with an excess of partially contradictory
information. Decisions are sometimes made tentatively, with the right reserved to
Introduction to Mechanical Engineering Design     5

adjust as more becomes known. The point is that the engineering designer has to be
personally comfortable with a decision-making, problem-solving role.
Design is a communication-intensive activity in which both words and pictures
are used, and written and oral forms are employed. Engineers have to communicate
effectively and work with people of many disciplines. These are important skills, and
an engineer’s success depends on them.
A designer’s personal resources of creativeness, communicative ability, and problem-
solving skill are intertwined with the knowledge of technology and first principles.
Engineering tools (such as mathematics, statistics, computers, graphics, and languages)
are combined to produce a plan that, when carried out, produces a product that is
functional, safe, reliable, competitive, usable, manufacturable, and marketable, regard-
less of who builds it or who uses it.

1–2 Mechanical Engineering Design


Mechanical engineers are associated with the production and processing of energy
and with providing the means of production, the tools of transportation, and the
­techniques of automation. The skill and knowledge base are extensive. Among the
disciplinary bases are mechanics of solids and fluids, mass and momentum transport,
manufacturing processes, and electrical and information theory. Mechanical engineering
design involves all the disciplines of mechanical engineering.
Real problems resist compartmentalization. A simple journal bearing involves
fluid flow, heat transfer, friction, energy transport, material selection, thermomechan-
ical treatments, statistical descriptions, and so on. A building is environmentally con-
trolled. The heating, ventilation, and air-conditioning considerations are sufficiently
specialized that some speak of heating, ventilating, and air-conditioning design as if
it is separate and distinct from mechanical engineering design. Similarly, internal-
combustion engine design, turbomachinery design, and jet-engine design are some-
times considered discrete entities. Here, the leading string of words preceding the
word design is merely a product descriptor. Similarly, there are phrases such as
machine design, machine-element design, machine-component design, systems design,
and fluid-power design. All of these phrases are somewhat more focused examples of
mechanical engineering design. They all draw on the same bodies of knowledge, are
similarly organized, and require similar skills.

1–3 Phases and Interactions of the Design Process


What is the design process? How does it begin? Does the engineer simply sit down
at a desk with a blank sheet of paper and jot down some ideas? What happens next?
What factors influence or control the decisions that have to be made? Finally, how
does the design process end?
The complete design process, from start to finish, is often outlined as in Figure 1–1.
The process begins with an identification of a need and a decision to do something
about it. After many iterations, the process ends with the presentation of the plans
for satisfying the need. Depending on the nature of the design task, several design
phases may be repeated throughout the life of the product, from inception to termi-
nation. In the next several subsections, we shall examine these steps in the design
process in detail.
Identification of need generally starts the design process. Recognition of the need
and phrasing the need often constitute a highly creative act, because the need may be
6      Mechanical Engineering Design

Figure 1–1 Identification of need


The phases in design,
acknowledging the many
feedbacks and iterations. Definition of problem

Synthesis

Analysis and optimization

Evaluation
Iteration

Presentation

only a vague discontent, a feeling of uneasiness, or a sensing that something is not


right. The need is often not evident at all; recognition can be triggered by a particular
adverse circumstance or a set of random circumstances that arises almost simultane-
ously. For example, the need to do something about a food-packaging machine may
be indicated by the noise level, by a variation in package weight, and by slight but
perceptible variations in the quality of the packaging or wrap.
There is a distinct difference between the statement of the need and the definition
of the problem. The definition of problem is more specific and must include all the
specifications for the object that is to be designed. The specifications are the input
and output quantities, the characteristics and dimensions of the space the object must
occupy, and all the limitations on these quantities. We can regard the object to be
designed as something in a black box. In this case we must specify the inputs and
outputs of the box, together with their characteristics and limitations. The specifications
define the cost, the number to be manufactured, the expected life, the range, the oper-
ating temperature, and the reliability. Specified characteristics can include the speeds,
feeds, temperature limitations, maximum range, expected variations in the variables,
dimensional and weight limitations, and more.
There are many implied specifications that result either from the designer’s par-
ticular environment or from the nature of the problem itself. The manufacturing pro-
cesses that are available, together with the facilities of a certain plant, constitute
restrictions on a designer’s freedom, and hence are a part of the implied specifications.
It may be that a small plant, for instance, does not own cold-working machinery.
Knowing this, the designer might select other metal-processing methods that can be
performed in the plant. The labor skills available and the competitive situation also
constitute implied constraints. Anything that limits the designer’s freedom of choice is
a constraint. Many materials and sizes are listed in supplier’s catalogs, for instance,
but these are not all easily available and shortages frequently occur. Furthermore,
inventory economics requires that a manufacturer stock a minimum number of materi-
als and sizes. An example of a specification is given in Section 1–18. This example is
for a case study of a power transmission that is presented throughout this text.
The synthesis of a scheme connecting possible system elements is sometimes
called the invention of the concept or concept design. This is the first and most important
Introduction to Mechanical Engineering Design     7

step in the synthesis task. Various schemes must be proposed, investigated, and quan-
tified in terms of established metrics.1 As the fleshing out of the scheme progresses,
analyses must be performed to assess whether the system performance is satisfactory
or better, and, if satisfactory, just how well it will perform. System schemes that do
not survive analysis are revised, improved, or discarded. Those with potential are
optimized to determine the best performance of which the scheme is capable.
Competing schemes are compared so that the path leading to the most competitive
product can be chosen. Figure 1–1 shows that synthesis and analysis and optimization
are intimately and iteratively related.
We have noted, and we emphasize, that design is an iterative process in which
we proceed through several steps, evaluate the results, and then return to an earlier
phase of the procedure. Thus, we may synthesize several components of a system,
analyze and optimize them, and return to synthesis to see what effect this has on the
remaining parts of the system. For example, the design of a system to transmit power
requires attention to the design and selection of individual components (e.g., gears,
bearings, shaft). However, as is often the case in design, these components are not
independent. In order to design the shaft for stress and deflection, it is necessary to
know the applied forces. If the forces are transmitted through gears, it is necessary
to know the gear specifications in order to determine the forces that will be transmit-
ted to the shaft. But stock gears come with certain bore sizes, requiring knowledge
of the necessary shaft diameter. Clearly, rough estimates will need to be made in order
to proceed through the process, refining and iterating until a final design is obtained
that is satisfactory for each individual component as well as for the overall design
specifications. Throughout the text we will elaborate on this process for the case study
of a power transmission design.
Both analysis and optimization require that we construct or devise abstract mod-
els of the system that will admit some form of mathematical analysis. We call these
models mathematical models. In creating them it is our hope that we can find one
that will simulate the real physical system very well. As indicated in Figure 1–1,
evaluation is a significant phase of the total design process. Evaluation is the final
proof of a successful design and usually involves the testing of a prototype in the
laboratory. Here we wish to discover if the design really satisfies the needs. Is it reli-
able? Will it compete successfully with similar products? Is it economical to manufac-
ture and to use? Is it easily maintained and adjusted? Can a profit be made from its
sale or use? How likely is it to result in product-liability lawsuits? And is insurance
easily and cheaply obtained? Is it likely that recalls will be needed to replace defective
parts or systems? The project designer or design team will need to address a myriad
of engineering and non-engineering questions.
Communicating the design to others is the final, vital presentation step in the
design process. Undoubtedly, many great designs, inventions, and creative works have
been lost to posterity simply because the originators were unable or unwilling to
properly explain their accomplishments to others. Presentation is a selling job. The
engineer, when presenting a new solution to administrative, management, or supervi-
sory persons, is attempting to sell or to prove to them that their solution is a better
one. Unless this can be done successfully, the time and effort spent on obtaining the

1
An excellent reference for this topic is presented by Stuart Pugh, Total Design—Integrated Methods for
Successful Product Engineering, Addison-Wesley, 1991. A description of the Pugh method is also provided
in Chapter 8, David G. Ullman, The Mechanical Design Process, 3rd ed., McGraw-Hill, New York, 2003.
8      Mechanical Engineering Design

solution have been largely wasted. When designers sell a new idea, they also sell
themselves. If they are repeatedly successful in selling ideas, designs, and new solu-
tions to management, they begin to receive salary increases and promotions; in fact,
this is how anyone succeeds in his or her profession.
Design Considerations
Sometimes the strength required of an element in a system is an important factor in
the determination of the geometry and the dimensions of the element. In such a situ-
ation we say that strength is an important design consideration. When we use the
expression design consideration, we are referring to some characteristic that influences
the design of the element or, perhaps, the entire system. Usually quite a number of
such characteristics must be considered and prioritized in a given design situation.
Many of the important ones are as follows (not necessarily in order of importance):
1 Functionality 14 Noise
2 Strength/stress 15 Styling
3 Distortion/deflection/stiffness 16 Shape
4 Wear 17 Size
5 Corrosion 18 Control
6 Safety 19 Thermal properties
7 Reliability 20 Surface
8 Manufacturability 21 Lubrication
9 Utility 22 Marketability
10 Cost 23 Maintenance
11 Friction 24 Volume
12 Weight 25 Liability
13 Life 26 Remanufacturing/resource recovery
Some of these characteristics have to do directly with the dimensions, the material,
the processing, and the joining of the elements of the system. Several characteristics
may be interrelated, which affects the configuration of the total system.

1–4 Design Tools and Resources


Today, the engineer has a great variety of tools and resources available to assist in
the solution of design problems. Inexpensive microcomputers and robust computer
software packages provide tools of immense capability for the design, analysis, and
simulation of mechanical components. In addition to these tools, the engineer always
needs technical information, either in the form of basic science/engineering behavior
or the characteristics of specific off-the-shelf components. Here, the resources can
range from science/engineering textbooks to manufacturers’ brochures or catalogs.
Here too, the computer can play a major role in gathering information.2
Computational Tools
Computer-aided design (CAD) software allows the development of three-dimensional
(3-D) designs from which conventional two-dimensional orthographic views with
automatic dimensioning can be produced. Manufacturing tool paths can be generated

2
An excellent and comprehensive discussion of the process of “gathering information” can be found in
Chapter 4, George E. Dieter, Engineering Design, A Materials and Processing Approach, 3rd ed.,
McGraw-Hill, New York, 2000.
Introduction to Mechanical Engineering Design     9

from the computer 3-D models, and in many cases, parts can be created directly from
the 3-D database using rapid prototyping additive methods referred to as 3-D printing
or STL (stereolithography). Another advantage of a 3-D database is that it allows
rapid and accurate calculation of mass properties such as mass, location of the center
of gravity, and mass moments of inertia. Other geometric properties such as areas and
distances between points are likewise easily obtained. There are a great many CAD
software packages available such as CATIA, AutoCAD, NX, MicroStation, SolidWorks,
and Creo, to name only a few.3
The term computer-aided engineering (CAE) generally applies to all computer-
related engineering applications. With this definition, CAD can be considered as a
subset of CAE. Some computer software packages perform specific engineering anal-
ysis and/or simulation tasks that assist the designer, but they are not considered a tool
for the creation of the design that CAD is. Such software fits into two categories:
engineering-based and non-engineering-specific. Some examples of engineering-based
software for mechanical engineering applications—software that might also be inte-
grated within a CAD system—include finite-element analysis (FEA) programs for
analysis of stress and deflection (see Chapter 19), vibration, and heat transfer (e.g.,
ALGOR, ANSYS, MSC/NASTRAN, etc.); computational fluid dynamics (CFD) pro-
grams for fluid-flow analysis and simulation (e.g., CFD++, Star-CCM+, Fluent, etc.);
and programs for simulation of dynamic force and motion in mechanisms (e.g.,
ADAMS, LMS Virtual.Lab Motion, Working Model, etc.).
Examples of non-engineering-specific computer-aided applications include soft-
ware for word processing, spreadsheet software (e.g., Excel, Quattro-Pro, Google
Sheets, etc.), and mathematical solvers (e.g., Maple, MathCad, MATLAB, Mathematica,
TKsolver, etc.).
Your instructor is the best source of information about programs that may be
available to you and can recommend those that are useful for specific tasks. One cau-
tion, however: Computer software is no substitute for the human thought process. You
are the driver here; the computer is the vehicle to assist you on your journey to a
solution. Numbers generated by a computer can be far from the truth if you entered
incorrect input, if you misinterpreted the application or the output of the program, if
the program contained bugs, etc. It is your responsibility to assure the validity of the
results, so be careful to check the application and results carefully, perform benchmark
testing by submitting problems with known solutions, and monitor the software com-
pany and user-group newsletters.

Acquiring Technical Information


We currently live in what is referred to as the information age, where information is
generated at an astounding pace. It is difficult, but extremely important, to keep
abreast of past and current developments in one’s field of study and occupation. The
reference in footnote 2 provides an excellent description of the informational resources
available and is highly recommended reading for the serious design engineer. Some
sources of information are:
∙ Libraries (community, university, and private). Engineering dictionaries and ency-
clopedias, textbooks, monographs, handbooks, indexing and abstract services, jour-
nals, translations, technical reports, patents, and business sources/brochures/catalogs.

3
The commercial softwares mentioned in this section are but a few of the many that are available and
are by no means meant to be endorsements by the authors.
10      Mechanical Engineering Design

∙ Government sources. Departments of Defense, Commerce, Energy, and


Transportation; NASA; Government Printing Office; U.S. Patent and Trademark
Office; National Technical Information Service; and National Institute for Standards
and Technology.
∙ Professional societies. American Society of Mechanical Engineers, Society of
Manufacturing Engineers, Society of Automotive Engineers, American Society for
Testing and Materials, and American Welding Society.
∙ Commercial vendors. Catalogs, technical literature, test data, samples, and cost
information.
∙ Internet. The computer network gateway to websites associated with most of the
categories previously listed.4
This list is not complete. The reader is urged to explore the various sources of
information on a regular basis and keep records of the knowledge gained.

1–5 The Design Engineer’s Professional Responsibilities


In general, the design engineer is required to satisfy the needs of customers (manage-
ment, clients, consumers, etc.) and is expected to do so in a competent, responsible,
ethical, and professional manner. Much of engineering course work and practical
experience focuses on competence, but when does one begin to develop engineering
responsibility and professionalism? To start on the road to success, you should start
to develop these characteristics early in your educational program. You need to cul-
tivate your professional work ethic and process skills before graduation, so that when
you begin your formal engineering career, you will be prepared to meet the challenges.
It is not obvious to some students, but communication skills play a large role
here, and it is the wise student who continuously works to improve these skills—even
if it is not a direct requirement of a course assignment! Success in engineering
(achievements, promotions, raises, etc.) may in large part be due to competence but
if you cannot communicate your ideas clearly and concisely, your technical profi-
ciency may be compromised.
You can start to develop your communication skills by keeping a neat and clear
journal/logbook of your activities, entering dated entries frequently. (Many compa-
nies require their engineers to keep a journal for patent and liability concerns.)
Separate journals should be used for each design project (or course subject). When
starting a project or problem, in the definition stage, make journal entries quite
frequently. Others, as well as yourself, may later question why you made certain
decisions. Good chronological records will make it easier to explain your decisions
at a later date.
Many engineering students see themselves after graduation as practicing engi-
neers designing, developing, and analyzing products and processes and consider the
need of good communication skills, either oral or writing, as secondary. This is far
from the truth. Most practicing engineers spend a good deal of time communicating
with others, writing proposals and technical reports, and giving presentations and
interacting with engineering and non-engineering support personnel. You have the time
now to sharpen your communication skills. When given an assignment to write or

4
Some helpful Web resources, to name a few, include www.globalspec.com, www.engnetglobal.com,
www.efunda.com, www.thomasnet.com, and www.uspto.gov.
Introduction to Mechanical Engineering Design     11

make any presentation, technical or nontechnical, accept it enthusiastically, and work


on improving your communication skills. It will be time well spent to learn the skills
now rather than on the job.
When you are working on a design problem, it is important that you develop a
systematic approach. Careful attention to the following action steps will help you to
organize your solution processing technique.

∙ Understand the problem. Problem definition is probably the most significant step
in the engineering design process. Carefully read, understand, and refine the prob-
lem statement.
∙ Identify the knowns. From the refined problem statement, describe concisely what
information is known and relevant.
∙ Identify the unknowns and formulate the solution strategy. State what must be
determined, in what order, so as to arrive at a solution to the problem. Sketch the
component or system under investigation, identifying known and unknown param-
eters. Create a flowchart of the steps necessary to reach the final solution. The steps
may require the use of free-body diagrams; material properties from tables; equa-
tions from first principles, textbooks, or handbooks relating the known and unknown
parameters; experimentally or numerically based charts; specific computational
tools as discussed in Section 1–4; etc.
∙ State all assumptions and decisions. Real design problems generally do not have
unique, ideal, closed-form solutions. Selections, such as the choice of materials,
and heat treatments, require decisions. Analyses require assumptions related to the
modeling of the real components or system. All assumptions and decisions should
be identified and recorded.
∙ Analyze the problem. Using your solution strategy in conjunction with your deci-
sions and assumptions, execute the analysis of the problem. Reference the sources
of all equations, tables, charts, software results, etc. Check the credibility of your
results. Check the order of magnitude, dimensionality, trends, signs, etc.
∙ Evaluate your solution. Evaluate each step in the solution, noting how changes in
strategy, decisions, assumptions, and execution might change the results, in positive
or negative ways. Whenever possible, incorporate the positive changes in your final
solution.
∙ Present your solution. Here is where your communication skills are important. At
this point, you are selling yourself and your technical abilities. If you cannot skill-
fully explain what you have done, some or all of your work may be misunderstood
and unaccepted. Know your audience.

As stated earlier, all design processes are interactive and iterative. Thus, it may be
necessary to repeat some or all of the aforementioned steps more than once if less
than satisfactory results are obtained.
In order to be effective, all professionals must keep current in their fields of
endeavor. The design engineer can satisfy this in a number of ways by: being an active
member of a professional society such as the American Society of Mechanical
Engineers (ASME), the Society of Automotive Engineers (SAE), and the Society of
Manufacturing Engineers (SME); attending meetings, conferences, and seminars of
societies, manufacturers, universities, etc.; taking specific graduate courses or pro-
grams at universities; regularly reading technical and professional journals; etc. An
engineer’s education does not end at graduation.
12      Mechanical Engineering Design

The design engineer’s professional obligations include conducting activities in an


ethical manner. Reproduced here is the Engineers’ Creed from the National Society
of Professional Engineers (NSPE):5
As a Professional Engineer I dedicate my professional knowledge and skill to the
advancement and betterment of human welfare.
I pledge:
To give the utmost of performance;
To participate in none but honest enterprise;
To live and work according to the laws of man and the highest standards of
professional conduct;
To place service before profit, the honor and standing of the profession before
personal advantage, and the public welfare above all other considerations.
In humility and with need for Divine Guidance, I make this pledge.

1–6 Standards and Codes


A standard is a set of specifications for parts, materials, or processes intended to
achieve uniformity, efficiency, and a specified quality. One of the important purposes
of a standard is to limit the multitude of variations that can arise from the arbitrary
creation of a part, material, or process.
A code is a set of specifications for the analysis, design, manufacture, and con-
struction of something. The purpose of a code is to achieve a specified degree of
safety, efficiency, and performance or quality. It is important to observe that safety
codes do not imply absolute safety. In fact, absolute safety is impossible to obtain.
Sometimes the unexpected event really does happen. Designing a building to with-
stand a 120 mi/h wind does not mean that the designers think a 140 mi/h wind is
impossible; it simply means that they think it is highly improbable.
All of the organizations and societies listed here have established specifications
for standards and safety or design codes. The name of the organization provides a
clue to the nature of the standard or code. Some of the standards and codes, as well
as addresses, can be obtained in most technical libraries or on the Internet. The orga-
nizations of interest to mechanical engineers are:
Aluminum Association (AA)
American Bearing Manufacturers Association (ABMA)
American Gear Manufacturers Association (AGMA)
American Institute of Steel Construction (AISC)
American Iron and Steel Institute (AISI)
American National Standards Institute (ANSI)
American Society of Heating, Refrigerating and Air-Conditioning Engineers
(ASHRAE)
American Society of Mechanical Engineers (ASME)
American Society of Testing and Materials (ASTM)
American Welding Society (AWS)

5
Adopted by the National Society of Professional Engineers, June 1954. “The Engineer’s Creed.” Reprinted
by permission of the National Society of Professional Engineers. NSPE also publishes a much more extensive
Code of Ethics for Engineers with rules of practice and professional obligations. For the current revision,
July 2007 (at the time of this book’s printing), see the website www.nspe.org/Ethics/CodeofEthics/index.html.
Introduction to Mechanical Engineering Design     13

ASM International
British Standards Institution (BSI)
Industrial Fasteners Institute (IFI)
Institute of Transportation Engineers (ITE)
Institution of Mechanical Engineers (IMechE)
International Bureau of Weights and Measures (BIPM)
International Federation of Robotics (IFR)
International Standards Organization (ISO)
National Association of Power Engineers (NAPE)
National Institute for Standards and Technology (NIST)
Society of Automotive Engineers (SAE)

1–7 Economics
The consideration of cost plays such an important role in the design decision process
that we could easily spend as much time in studying the cost factor as in the study
of the entire subject of design. Here we introduce only a few general concepts and
simple rules.
First, observe that nothing can be said in an absolute sense concerning costs.
Materials and labor usually show an increasing cost from year to year. But the costs
of processing the materials can be expected to exhibit a decreasing trend because
of the use of automated machine tools and robots. The cost of manufacturing a
single product will vary from city to city and from one plant to another because of
overhead, labor, taxes, and freight differentials and the inevitable slight manufactur-
ing variations.

Standard Sizes
The use of standard or stock sizes is a first principle of cost reduction. An engineer
who specifies an AISI 1020 bar of hot-rolled steel 53 mm square has added cost to
the product, provided that a bar 50 or 60 mm square, both of which are preferred
sizes, would do equally well. The 53-mm size can be obtained by special order or by
rolling or machining a 60-mm square, but these approaches add cost to the product.
To ensure that standard or preferred sizes are specified, designers must have access
to stock lists of the materials they employ.
A further word of caution regarding the selection of preferred sizes is necessary.
Although a great many sizes are usually listed in catalogs, they are not all readily
available. Some sizes are used so infrequently that they are not stocked. A rush order
for such sizes may add to the expense and delay. Thus you should also have access
to a list such as those in Table A–17 for preferred inch and millimeter sizes.
There are many purchased parts, such as motors, pumps, bearings, and fasteners,
that are specified by designers. In the case of these, too, you should make a special
effort to specify parts that are readily available. Parts that are made and sold in large
quantities usually cost somewhat less than the odd sizes. The cost of rolling bearings,
for example, depends more on the quantity of production by the bearing manufacturer
than on the size of the bearing.

Large Tolerances
Among the effects of design specifications on costs, tolerances are perhaps most
significant. Tolerances, manufacturing processes, and surface finish are interrelated
and influence the producibility of the end product in many ways. Close tolerances
14      Mechanical Engineering Design

Figure 1–2 400


380
Cost versus tolerance/machining
360
process. (Source: From Ullman,
340
David G., The Mechanical 320
Design Process, 3rd ed., 300
McGraw-Hill, New York, 2003.) 280 Material: steel
260
240

Costs, %
220
200
180
160
140
120
100
80
60
40
20

± 0.030 ± 0.015 ± 0.010 ± 0.005 ± 0.003 ± 0.001 ± 0.0005 ± 0.00025

Nominal tolerances (inches)


± 0.75 ± 0.50 ± 0.50 ± 0.125 ± 0.063 ± 0.025 ± 0.012 ± 0.006

Nominal tolerance (mm)


Semi- Finish
Rough turn finish turn Grind Hone
turn

Machining operations

may necessitate additional steps in processing and inspection or even render a part
completely impractical to produce economically. Tolerances cover dimensional varia-
tion and surface-roughness range and also the variation in mechanical properties
resulting from heat treatment and other processing operations.
Because parts having large tolerances can often be produced by machines with
higher production rates, costs will be significantly smaller. Also, fewer such parts will
be rejected in the inspection process, and they are usually easier to assemble. A plot
of cost versus tolerance/machining process is shown in Figure 1–2, and illustrates the
drastic increase in manufacturing cost as tolerance diminishes with finer machining
processing.

Breakeven Points
Sometimes it happens that, when two or more design approaches are compared for
cost, the choice between the two depends on a set of conditions such as the quantity
of production, the speed of the assembly lines, or some other condition. There then
occurs a point corresponding to equal cost, which is called the breakeven point.
As an example, consider a situation in which a certain part can be manufactured
at the rate of 25 parts per hour on an automatic screw machine or 10 parts per hour
on a hand screw machine. Let us suppose, too, that the setup time for the automatic
is 3 h and that the labor cost for either machine is $20 per hour, including overhead.
Figure 1–3 is a graph of cost versus production by the two methods. The breakeven
point for this example corresponds to 50 parts. If the desired production is greater
than 50 parts, the automatic machine should be used.
Introduction to Mechanical Engineering Design     15

140
Figure 1–3
A breakeven point.
120 Breakeven point

100 Automatic screw


machine
80

Cost, $
60
Hand screw machine
40

20

0
0 20 40 60 80 100
Production

Cost Estimates
There are many ways of obtaining relative cost figures so that two or more designs
can be roughly compared. A certain amount of judgment may be required in some
instances. For example, we can compare the relative value of two automobiles by
comparing the dollar cost per pound of weight. Another way to compare the cost of
one design with another is simply to count the number of parts. The design having
the smaller number of parts is likely to cost less. Many other cost estimators can be
used, depending upon the application, such as area, volume, horsepower, torque,
capacity, speed, and various performance ratios.6

1–8 Safety and Product Liability


The strict liability concept of product liability generally prevails in the United States.
This concept states that the manufacturer of an article is liable for any damage or
harm that results because of a defect. And it doesn’t matter whether the manufacturer
knew about the defect, or even could have known about it. For example, suppose an
article was manufactured, say, 10 years ago. And suppose at that time the article could
not have been considered defective on the basis of all technological knowledge then
available. Ten years later, according to the concept of strict liability, the manufacturer
is still liable. Thus, under this concept, the plaintiff needs only to prove that the
article was defective and that the defect caused some damage or harm. Negligence of
the manufacturer need not be proved.
The best approaches to the prevention of product liability are good engineering
in analysis and design, quality control, and comprehensive testing procedures.
Advertising managers often make glowing promises in the warranties and sales lit-
erature for a product. These statements should be reviewed carefully by the engineer-
ing staff to eliminate excessive promises and to insert adequate warnings and
instructions for use.

6
For an overview of estimating manufacturing costs, see Chapter 11, Karl T. Ulrich and Steven D. Eppinger,
Product Design and Development, 3rd ed., McGraw-Hill, New York, 2004.
16      Mechanical Engineering Design

1–9 Stress and Strength


The survival of many products depends on how the designer adjusts the maximum
stresses in a component to be less than the component’s strength at critical locations.
The designer must allow the maximum stress to be less than the strength by a suf-
ficient margin so that despite the uncertainties, failure is rare.
In focusing on the stress-strength comparison at a critical (controlling) location,
we often look for “strength in the geometry and condition of use.” Strengths are the
magnitudes of stresses at which something of interest occurs, such as the proportional
limit, 0.2 percent-offset yielding, or fracture (see Section 2–1). In many cases, such
events represent the stress level at which loss of function occurs.
Strength is a property of a material or of a mechanical element. The strength of
an element depends on the choice, the treatment, and the processing of the material.
Consider, for example, a shipment of springs. We can associate a strength with a
specific spring. When this spring is incorporated into a machine, external forces are
applied that result in load-induced stresses in the spring, the magnitudes of which
depend on its geometry and are independent of the material and its processing. If the
spring is removed from the machine undamaged, the stress due to the external forces
will return to zero. But the strength remains as one of the properties of the spring.
Remember, then, that strength is an inherent property of a part, a property built into
the part because of the use of a particular material and process.
Various metalworking and heat-treating processes, such as forging, rolling, and
cold forming, cause variations in the strength from point to point throughout a part.
The spring cited previously is quite likely to have a strength on the outside of the
coils different from its strength on the inside because the spring has been formed by
a cold winding process, and the two sides may not have been deformed by the same
amount. Remember, too, therefore, that a strength value given for a part may apply
to only a particular point or set of points on the part.
In this book we shall use the capital letter S to denote strength, with appropriate
subscripts to denote the type of strength. Thus, Sy is a yield strength, Su an ultimate
strength, Ssy a shear yield strength, and Se an endurance strength.
In accordance with accepted engineering practice, we shall employ the Greek
letters σ (sigma) and τ (tau) to designate normal and shear stresses, respectively. Again,
various subscripts will indicate some special characteristic. For example, σ1 is a prin-
cipal normal stress, σy a normal stress component in the y direction, and σr a normal
stress component in the radial direction.
Stress is a state property at a specific point within a body, which is a function
of load, geometry, temperature, and manufacturing processing. In an elementary
course in mechanics of materials, stress related to load and geometry is emphasized
with some discussion of thermal stresses. However, stresses due to heat treatments,
molding, assembly, etc. are also important and are sometimes neglected. A review of
stress analysis for basic load states and geometry is given in Chapter 3.

1–10 Uncertainty
Uncertainties in machinery design abound. Examples of uncertainties concerning
stress and strength include
∙ Composition of material and the effect of variation on properties.
∙ Variations in properties from place to place within a bar of stock.
∙ Effect of processing locally, or nearby, on properties.
Introduction to Mechanical Engineering Design     17

∙ Effect of nearby assemblies such as weldments and shrink fits on stress conditions.
∙ Effect of thermomechanical treatment on properties.
∙ Intensity and distribution of loading.
∙ Validity of mathematical models used to represent reality.
∙ Intensity of stress concentrations.
∙ Influence of time on strength and geometry.
∙ Effect of corrosion.
∙ Effect of wear.
∙ Uncertainty as to the length of any list of uncertainties.
Engineers must accommodate uncertainty. Uncertainty always accompanies change.
Material properties, load variability, fabrication fidelity, and validity of mathematical
models are among concerns to designers.
There are mathematical methods to address uncertainties. The primary techniques
are the deterministic and stochastic methods. The deterministic method establishes a
design factor based on the absolute uncertainties of a loss-of-function parameter and
a maximum allowable parameter. Here the parameter can be load, stress, deflection,
etc. Thus, the design factor nd is defined as
loss-of-function parameter
nd = (1–1)
maximum allowable parameter
If the parameter is load (as would be the case for column buckling), then the maximum
allowable load can be found from
loss-of-function load
Maximum allowable load = (1–2)
nd

EXAMPLE 1–1

Consider that the maximum load on a structure is known with an uncertainty of ±20 percent, and the load
causing failure is known within ±15 percent. If the load causing failure is nominally 2000 lbf, determine the
design factor and the maximum allowable load that will offset the absolute uncertainties.
Solution
To account for its uncertainty, the loss-of-function load must increase to 1∕0.85, whereas the maximum
allowable load must decrease to 1∕1.2. Thus to offset the absolute uncertainties the design factor, from
Equation (1–1), should be
1∕0.85
Answer nd = = 1.4
1∕1.2
From Equation (1–2), the maximum allowable load is found to be
2000
Answer Maximum allowable load = = 1400 lbf
1.4

Stochastic methods are based on the statistical nature of the design parameters
and focus on the probability of survival of the design’s function (that is, on reliability).
This is discussed further in Sections 1–12 and 1–13.
18      Mechanical Engineering Design

1–11 Design Factor and Factor of Safety


A general approach to the allowable load versus loss-of-function load problem is the
deterministic design factor method, and sometimes called the classical method of design.
The fundamental equation is Equation (1–1) where nd is called the design factor. All
loss-of-function modes must be analyzed, and the mode leading to the smallest design
factor governs. After the design is completed, the actual design factor may change as a
result of changes such as rounding up to a standard size for a cross section or using off-
the-shelf components with higher ratings instead of employing what is calculated by using
the design factor. The factor is then referred to as the factor of safety, n. The factor of
safety has the same definition as the design factor, but it generally differs numerically.
Because stress may not vary linearly with load (see Section 3–19), using load
as the loss-of-function parameter may not be acceptable. It is more common then to
express the design factor in terms of a stress and a relevant strength. Thus Equation (1–1)
can be rewritten as
loss-of-function strength S
nd = = (1–3)
allowable stress σ(or τ)
The stress and strength terms in Equation (1–3) must be of the same type and units.
Also, the stress and strength must apply to the same critical location in the part.

EXAMPLE 1–2

A rod with a cross-sectional area of A and loaded in tension with an axial force of P = 2000 lbf undergoes a
stress of σ = P∕A. Using a material strength of 24 kpsi and a design factor of 3.0, determine the minimum
diameter of a solid circular rod. Using Table A–17, select a preferred fractional diameter and determine the
rod’s factor of safety.
Solution
Since A = πd 2∕4, σ = P∕A, and from Equation (1–3), σ = S∕nd, then
P P S
σ= = 2 =
A πd ∕4 nd
Solving for d yields

d=(
πS ) ( π(24 000) ) = 0.564 in
4Pnd 1∕2 4(2000)3 1∕2
Answer =

5
From Table A–17, the next higher preferred size is 8 in = 0.625 in. Thus, when nd is replaced with n in the
equation developed above, the factor of safety n is
πSd 2 π(24 000)0.6252
Answer n= = = 3.68
4P 4(2000)
Thus, rounding the diameter has increased the actual design factor.

It is tempting to offer some recommendations concerning the assignment of the


design factor for a given application.7 The problem in doing so is with the evaluation

7
If the reader desires some examples of assigning design factor values see David G. Ullman, The
Mechanical Design Process, 4th ed., McGraw-Hill, New York, 2010, Appendix C.
Introduction to Mechanical Engineering Design     19

of the many uncertainties associated with the loss-of-function modes. The reality is,
the designer must attempt to account for the variance of all the factors that will affect
the results. Then, the designer must rely on experience, company policies, and the
many codes that may pertain to the application (e.g., the ASME Boiler and Pressure
Vessel Code) to arrive at an appropriate design factor. An example might help clarify
the intricacy of assigning a design factor.

EXAMPLE 1–3

A vertical round rod is to be used to support a hanging weight. A person will place the weight on the end
without dropping it. The diameter of the rod can be manufactured within ±1 percent of its nominal dimension.
The support ends can be centered within ±1.5 percent of the nominal diameter dimension. The weight is known
within ±2 percent of the nominal weight. The strength of the material is known within ±3.5 percent of the
nominal strength value. If the designer is using nominal values and the nominal stress equation, σnom = P∕A
(as in the previous example), determine what design factor should be used so that the stress does not exceed
the strength.
Solution
There are two hidden factors to consider here. The first, due to the possibility of eccentric loading, the maxi-
mum stress is not σ = P∕A (review Chapter 3). Second, the person may not be placing the weight onto the
rod support end gradually, and the load application would then be considered dynamic.
Consider the eccentricity first. With eccentricity, a bending moment will exist giving an additional stress
of σ = 32M∕(πd 3) (see Section 3–10). The bending moment is given by M = Pe, where e is the eccentricity.
Thus, the maximum stress in the rod is given by
P 32Pe P 32Pe
σ= + = 2 + (1)
A πd 3 πd ∕4 πd 3
Since the eccentricity tolerance is expressed as a function of the diameter, we will write the eccentricity as a
percentage of d. Let e = ked, where ke is a constant. Thus, Equation (1) is rewritten as
4P 32Pked 4P
σ= 2
+ 3
= 2 (1 + 8ke ) (2)
πd πd πd
Applying the tolerances to achieve the maximum the stress can reach gives

[1 + 8(0.015) ] = 1.166 (
πd 2 )
4P(1 + 0.02) 4P
σmax = 2
(3)
π[d(1 − 0.01)]
= 1.166σnom
Suddenly applied loading is covered in Section 4–17. If a weight is dropped from a height, h, from the support
end, the maximum load in the rod is given by Equation (4–59) which is

F = W + W (1 + )
hk 1∕2
W
where F is the force in the rod, W is the weight, and k is the rod’s spring constant. Since the person is not
dropping the weight, h = 0, and with W = P, then F = 2P. This assumes the person is not gradually placing
the weight on, and there is no damping in the rod. Thus, Equation (3) is modified by substituting 2P for P
and the maximum stress is
σmax = 2(1.166) σnom = 2.332 σnom
20      Mechanical Engineering Design

The minimum strength is


Smin = (1 − 0.035) Snom = 0.965 Snom
Equating the maximum stress to the minimum strength gives
2.332 σnom = 0.965 Snom
From Equation (1–3), the design factor using nominal values should be

Snom 2.332
Answer nd = = = 2.42
σnom 0.965
Obviously, if the designer takes into account all of the uncertainties in this example and accounts for all of
the tolerances in the stress and strength in the calculations, a design factor of one would suffice. However, in
practice, the designer would probably use the nominal geometric and strength values with the simple σ = P∕A
calculation. The designer would probably not go through the calculations given in the example and would
assign a design factor. This is where the experience factor comes in. The designer should make a list of the
loss-of-function modes and estimate a factor, ni, for each. For this example, the list would be

Loss-of-Function Estimated Accuracy ni


Geometry dimensions Good tolerances 1.05
Stress calculation
Dynamic load Not gradual loading 2.0*
Bending Slight possibility 1.1
Strength data Well known 1.05
*Minimum

Each term directly affects the results. Therefore, for an estimate, we evaluate the product of each term
nd = ∏ ni = 1.05(2.0) (1.1)(1.05) = 2.43

1–12 Reliability and Probability of Failure


In these days of greatly increasing numbers of liability lawsuits and the need to con-
form to regulations issued by governmental agencies such as EPA and OSHA, it is
very important for the designer and the manufacturer to know the reliability of their
product. The reliability method of design is one in which we obtain the distribution
of stresses and the distribution of strengths and then relate these two in order to
achieve an acceptable success rate. The statistical measure of the probability that a
mechanical element will not fail in use is called the reliability of that element and as
we will see, is related to the probability of failure, pf.

Probability of Failure
The probability of failure, pf, is obtained from the probability density function (PDF),
which represents the distribution of events within a given range of values. A number
of standard discrete and continuous probability distributions are commonly applicable
to engineering problems. The two most important continuous probability distributions
Introduction to Mechanical Engineering Design     21

f (x) f(x) Figure 1–4


The shape of the normal
distribution curve: (a) small σ̂;
(b) large σ̂.

x x
μ μ

(a) (b)

Figure 1–5
Transformed normal distribution
f(z) function of Table A–10.
Φ(zα)

α
z
0 zα

for our use in this text are the Gaussian (normal) distribution and the Weibull distri-
bution. We will describe the normal distribution in this section and in Section 2–2.
The Weibull distribution is widely used in rolling-contact bearing design and will be
described in Chapter 11.
The continuous Gaussian (normal) distribution is an important one whose prob-
ability density function (PDF) is expressed in terms of its mean, μx, and its standard
deviation8 σ̂x as

exp[ − (
σ̂x ) ]
1 1 x − μx 2
f(x) = (1–4)
σ̂x √2π 2
Plots of Equation (1–4) are shown in Figure 1–4 for small and large standard devia-
tions. The bell-shaped curve is taller and narrower for small values of σ̂ and shorter
and broader for large values of σ̂. Note that the area under each curve is unity. That
is, the probability of all events occurring is one (100 percent).
To obtain values of pf , integration of Equation (1–4) is necessary. This can come
easily from a table if the variable x is placed in dimensionless form. This is done
using the transform
x − μx
z= (1–5)
σ̂x
The integral of the transformed normal distribution is tabulated in Table A–10, where
α is defined, and is shown in Figure 1–5. The value of the normal density function
is used so often, and manipulated in so many equations, that it has its own particular
symbol, Φ(z). The transform variant z has a mean value of zero and a standard devi-
ation of unity. In Table A–10, the probability of an observation less than z is Φ(z) for
negative values of z and 1 − Φ(z) for positive values of z.

8
The symbol σ is normally used for the standard deviation. However, in this text σ is used for stress.
Consequently, we will use σ̂ for the standard deviation.
22      Mechanical Engineering Design

EXAMPLE 1–4

In a shipment of 250 connecting rods, the mean tensile strength is found to be S = 45 kpsi and has a standard
deviation of σ̂S = 5 kpsi.
(a) Assuming a normal distribution, how many rods can be expected to have a strength less than S = 39.5 kpsi?
(b) How many are expected to have a strength between 39.5 and 59.5 kpsi?

Solution
(a) Substituting in Equation (1–5) gives the transform z variable as
x − μx S − S 39.5 − 45
z39.5 = = = = −1.10
σ̂x σ̂S 5
The probability that the strength is less than 39.5 kpsi can be designated as F(z) = Φ(z39.5) = Φ(−1.10). Using
Table A–10, and referring to Figure 1–6, we find Φ(z39.5) = 0.1357. So the number of rods having a strength
less than 39.5 kpsi is,

Answer NΦ(z39.5 ) = 250(0.1357) = 33.9 ≈ 34 rods


because Φ(z39.5) represents the proportion of the population N having a strength less than 39.5 kpsi.

Figure 1–6

f (z)

z
– –1.1 0 +2.9
z39.5 z59.5

(b) Corresponding to S = 59.5 kpsi, we have


59.5 − 45
z59.5 = = 2.90
5
Referring again to Figure 1–6, we see that the probability that the strength is less than 59.5 kpsi is F(z) =
Φ(z59.5) = Φ(2.90). Because the z variable is positive, we need to find the value complementary to unity.
Thus, from Table A–10
Φ(2.90) = 1 − Φ(−2.90) = 1 − 0.001 87 = 0.998 13
The probability that the strength lies between 39.5 and 59.5 kpsi is the area between the ordinates at z39.5 and
z59.5 in Figure 1–6. This probability is found to be
p = Φ(z59.5 ) − Φ(z39.5 ) = Φ(2.90) − Φ(−1.10)
= 0.998 13 − 0.1357 = 0.862 43
Therefore the number of rods expected to have strengths between 39.5 and 59.5 kpsi is

Answer Np = 250(0.862) = 215.5 ≈ 216 rods


Introduction to Mechanical Engineering Design     23

Events typically arise as discrete distributions, which can be approximated by con-


tinuous distributions. Consider N samples of events. Let xi be the value of an event
(i = 1, 2, . . . k) and fi is the class frequency or number of times the event xi occurs
within the class frequency range. The discrete mean, x, and standard deviation, defined
as sx, are given by
1 k
x= ∑ fi xi (1–6)
N i=1
k
∑ fi x 2i − N x 2
i=1
sx = (1–7)
N−1

EXAMPLE 1–5

Five tons of 2-in round rods of 1030 hot-rolled steel have been received for workpiece stock. Nine standard-
geometry tensile test specimens have been machined from random locations in various rods. In the test report,
the ultimate tensile strength was given in kpsi. The data in the ranges 62–65, 65–68, 68–71, and 71–74 kpsi
is given in histographic form as follows:
Sut (kpsi) 63.5 66.5 69.5 72.5

f 2 2 3 2

where the values of Sut are the midpoints of each range. Find the mean and standard deviation of the data.
Solution
Table 1–1 provides a tabulation of the calculations for the solution.

Table 1–1
Class Class
Extension
Midpoint Frequency
x, kpsi f fx f x2
63.5 2 127 8 064.50
66.5 2 133 8 844.50
69.5 3 208.5 14 480.75
72.5 2 145 10 513.50
Σ  9 613.5 41 912.25

From Equation (1–6),

1 k 1
Answer x= ∑ fi xi = (613.5) = 68.16667 = 68.2 kpsi
N i=1 9
From Equation (1–7),
k
∑ fi x2i − N x2
41 912.25 − 9(68.166672 )
=√
i=1
Answer sx =
N−1 9−1
= 3.39 kpsi
24      Mechanical Engineering Design

Reliability
The reliability R can be expressed by
R = 1 − pf (1–8)

where pf is the probability of failure, given by the number of instances of failures


per total number of possible instances. The value of R falls in the range 0 ≤ R ≤ 1.
A reliability of R = 0.90 means there is a 90 percent chance that the part will
perform its proper function without failure. The failure of 6 parts out of every 1000
manufactured, pf = 6∕1000, might be considered an acceptable failure rate for a
certain class of products. This represents a reliability of R = 1 − 6∕1000 = 0.994
or 99.4 percent.
In the reliability method of design, the designer’s task is to make a judicious
selection of materials, processes, and geometry (size) so as to achieve a specific reli-
ability goal. Thus, if the objective reliability is to be 99.4 percent, as shown, what
combination of materials, processing, and dimensions is needed to meet this goal?
If a mechanical system fails when any one component fails, the system is said to
be a series system. If the reliability of component i is Ri in a series system of n com-
ponents, then the reliability of the system is given by
n
R = ∏ Ri (1–9)
i=1

For example, consider a shaft with two bearings having reliabilities of 95 percent and
98 percent. From Equation (1–9), the overall reliability of the shaft system is then
R = R1R2 = 0.95(0.98) = 0.93
or 93 percent.
Analyses that lead to an assessment of reliability address uncertainties, or their
estimates, in parameters that describe the situation. Stochastic variables such as stress,
strength, load, or size are described in terms of their means, standard deviations, and
distributions. If bearing balls are produced by a manufacturing process in which a
diameter distribution is created, we can say upon choosing a ball that there is uncer-
tainty as to size. If we wish to consider weight or moment of inertia in rolling, this
size uncertainty can be considered to be propagated to our knowledge of weight or
inertia. There are ways of estimating the statistical parameters describing weight and
inertia from those describing size and density. These methods are variously called
propagation of error, propagation of uncertainty, or propagation of dispersion. These
methods are integral parts of analysis or synthesis tasks when probability of failure
is involved.
It is important to note that good statistical data and estimates are essential to
perform an acceptable reliability analysis. This requires a good deal of testing and
validation of the data. In many cases, this is not practical and a deterministic approach
to the design must be undertaken.

1–13 Relating Design Factor to Reliability


Reliability is the statistical probability that machine systems and components will
perform their intended function satisfactorily without failure. Stress and strength are
statistical in nature and very much tied to the reliability of the stressed component.
Consider the probability density functions for stress and strength, σ and S, shown in
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auf ein Mittelrund, in dem das Gorgonenhaupt erscheint, gefirnißt.
Wahre Prachtstücke aus der Blütezeit der Schalenmalerei sind im
vierten freistehenden Schranke Nr. 323, 324 und 3235, eine von
Hieron, zwei von Duris bemalt; namentlich muß Nr. 325 mit Szenen
aus dem troischen Sagenkreis als eine typische Musterleistung des
letztgenannten Malers bezeichnet werden.
Die Krone der ganzen Sammlung ist aber das im
danebenstehenden Schranke befindliche große napfförmige
Mischgefäß Nr. 328 mit Szenen aus der Ilias. Ihre Ergänzung finden
diese Stücke zum Teil in der darunter befindlichen Reihe. Hier ist die
Schale Nr. 321 „Hermes als Schelm“ besonders interessant. Auch
die Vasen der unteren Reihe in dem vor dem Fenster stehenden
Schranke Nr. 340 ff. gehören hierher.
Wurden im strengen Stile die für das Symposion bestimmten
Vasenformen von den Malern bevorzugt, so begünstigt der schöne
Stil die Gefäße für den Putztisch der Frauen. Als Beispiel hierfür
mögen die kleinen Salbgefäße, Fensterschrank obere Reihe, Nr. 354
ff., dienen, Stücke, bei welchen überdies in der Anwendung
aufgehöhten Goldes und polychromer Malerei eine weitere
technische Wandlung zu verzeichnen ist.
Eine eigenartige Gruppe attischer Keramik bilden die Salbgefäße
für den Totenkult, die Grab-Lekythoi. Bei der feierlichen Aufbahrung
des Leichnams wurden sie, mit Wohlgerüchen gefüllt, neben
demselben aufgestellt, bei seiner Bestattung folgten sie ihm als
Liebesgabe in das Grab. Diese Gefäße sind häufig mit einer weißen
Engobe versehen, und die Konturen der Figuren sind mit Deckfarben
ausgefüllt. Die Darstellungen stehen in naher Beziehung zu ihrer
Bestimmung. Unter den Lekythen unserer Sammlung ist Nr. 351 mit
der Darstellung einer Totenklage ein Stück von seltener Schönheit.
In demselben Schranke verdienen ferner zwei Becher, ein
„Kantharos“ in Form eines Mohrenkopfes, untere Reihe, Nr. 347,
eine treffliche, sorgfältige Arbeit, und ein „Rhyton“ (Trinkbecher) in
Form eines Fuchskopfes, Nr. 380 (obere Reihe), besonders
hervorgehoben zu werden.
Attische Gefäße aus der Zeit des rotfigurigen Stiles ohne
Bemalung finden wir im folgenden Wandschrank, obere Reihe, Nr.
401 ff. Hierher gehört auch der einzeln aufgestellte große prächtige
Krater (Mischgefäß) mit vergoldeten Weinranken aus Capua.
Im vorher beschriebenen Wandschrank sowie in dem
zweitfolgenden befinden sich hauptsächlich etruskische, zum Teil
unter attischem Einflusse entstandene, ferner apulische und
unteritalische Arbeiten. Unter den erstgenannten ragt die Kanne in
der obersten Reihe links, Nr. 452, durch reiche sorgfältige Bemalung
mit dionysischer Szene besonders hervor. Ferner verdienen die
einer späteren Periode angehörenden apulischen Kopfvasen, Nr.
489 bis 491, und die mit weißer, gelber und roter Farbe bemalten
sogenannten Vasi di Gnathia, Nr. 508 ff., hervorgehoben zu werden.
Zwischen diesen beiden Vitrinen befindet sich die mit der
Sammlung griechischer Terrakotten aus Lokris, Cypern, Kleinasien,
Syrakus, Tarent und aus unbestimmten griechischen und italischen
Fundorten. Unter diesen Arbeiten sind einige Tanagrafiguren von
hervorragender Schönheit besonders bemerkenswert. So die
weibliche Figur, Reihe 3, Nr. 794, eine der besten Schöpfungen der
tanagräischen Tonplastik, und Nr. 795, eine sorgfältige, schöne
Arbeit von unzweifelhafter Echtheit, der Hermaphrodit aus Myrina
der alexandrinischen Zeit angehörend, die Appliken mit Spuren von
Vergoldung aus Tarent und die drei Puppen mit beweglichen
Gliedern Nr. 891 ff. Überdies ist hier die große Anzahl von Repliken
aus der Niobidengruppe (Reihe 1 und 2, Nr. 860 ff.) hervorzuheben.
Im letzten Schranke dieser Reihe sind verschiedene Typen
italischer Lampen ausgestellt: Nr. 638 und 639 in Figurenform, 641
und 642 maskenförmig, 673 bis 696 mit figuraler Reliefpressung
usw. Überdies sind hier die Calener Schale, Nr. 573, die
Stempelform zu einer solchen Schale, Nr. 574, die sogenannten
megarischen oder samischen Reliefschalen, Nr. 580 und 581, ein in
der Masse krebsrot gefärbtes sogenanntes Terrasigillata-Gefäß, Nr.
587, und der römische Trinkbecher mit Reliefs und grüngelber
Bleiglasur hervorzuheben.
In dem Schranke an der Eingangsseite rechts befindet sich die
Sammlung Blum-Blankenegg. Hier sind in der untersten Reihe
besonders bemerkenswert die zu den ältesten Vasengattungen
gehörende ringförmige böotische Kanne Nr. 36, die Amphora späten
korinthischen Stiles mit dem laufenden geflügelten Gorgonen Nr.
136, der altattische Teller mit Herakles, den kretischen Stier
einfangend, Mitte Nr. 240, und der Aryballos mit dem Brustbilde der
Artemis Nr. 363.
Frei aufgestellt finden wir ferner kolossale rottonige Vasen und
große Schüsseln mit Reliefs sogenannte „Rotware“, in prächtigen
Exemplaren. Die Dekoration ist mit Stempeln hergestellt, statt der
Malerei sehen wir fries- oder streifenartig angeordnete
Reliefverzierungen. Die Vorratsgefäße (Pithoi) zeigen überdies
Riefelungen, die zugleich als Verstärkungsrippen dienen, und
aufgelegte einfache Dekorationsmotive, wie Bogen, Zickzacklinien,
Augen u. dgl.
Sodann haben, ebenfalls in freier Aufstellung, große spätantike
Spitzamphoren, provinzielle Erzeugnisse aus Tharros in Sardinien,
Platz gefunden. Überdies befinden sich an der Wand oberhalb der
Schränke griechische und italische Architekturdetails dekorativer Art,
zum Teil Spuren von Bemalung aufweisend.
Auf dem Eckschranke, frei aufgestellt, befindet sich eine
Frauengestalt, eine Klagefrau mit erhobenen Händen und mit
Spuren von Bemalung. Daneben eine große Grabvase, mit
Gorgonenrelief und frei abstehenden Figuren, beide Stücke aus
Apulien.
Unterhalb des Schrankes mit den römischen Lampen haben,
obwohl sie das Gebiet der Keramik nicht berühren, Mumienmasken
und Büsten der griechisch-römischen Periode aus Oberägypten
Aufstellung gefunden.

Die Sammlung keramischer Objekte vom Ausgange der Antike


bis in die Gegenwart umfaßt über 6000 Objekte, von welchen jedoch
wegen Raummangels ein Teil in der ostasiatischen Sammlung im
zweiten Stock und ein anderer ausgeschieden und im Depot
untergebracht ist. Die Objekte sind nach historisch-topographischen
Gesichtspunkten in der Weise systematisch aufgestellt, daß man an
der Eingangsseite zunächst die orientalischen Erzeugnisse vor sich
hat.

PERSISCHE UND TÜRKISCHE FLIESEN,


WANDBEKLEIDUNGSPLATTEN AUS MOSCHEEN,
GRABBAUTEN ETC.

Die echte Fayence, das heißt die keramischen Erzeugnisse mit


undurchsichtiger Zinnglasur, reicht im Orient in sehr frühe Zeit
zurück. Die ältesten auf uns gekommenen Stücke, in den Trümmern
von Susa entdeckte, in Relief geformte Wandbekleidungsziegel mit
bunten Zinnglasuren, stammen vom Palaste Darius I. (um 500
v. Chr.), sind aber ohne Zweifel späte Produkte einer aus älteren
Kulturen Babylons oder Ninivehs stammenden Technik. Neben der
Anwendung von Zinnglasuren ging unausgesetzt die Erzeugung von
Fliesen mit durchsichtigen Bleiglasuren einher. Die einen wie die
andern bestehen aus einer sandigen mit wenig Ton gemengten
Masse, die mittels einer alkalischen Fritte zusammengebacken ist.
Die ältesten Stücke unserer Sammlung reichen in das XIII.
Jahrhundert zurück, das ist die Zeit, aus welcher die ältesten Fliesen
mit Metallüster bekannt sind. Hierher gehören die mit braunrotem
Kupferlüster verzierten Stern- und Kreuzfliesen aus der Imamzade
Jahya (Heiligengrab des Johannes) zu Veramim bei Teheran. Zu
dieser Gattung zählen auch die kleinen lüstrierten Sternfliesen mit
Tierfiguren und blauen Rändern, deren Erzeugung vom XIII. bis zum
XV. Jahrhundert reicht. Aus dem XIV. Jahrhundert stammen die in
Relief geformten Fliesen mit blauen Koraninschriften auf
ornamentiertem Lüstergrunde. Ebenfalls noch dem Mittelalter
gehören die lasurblauen und türkisblauen Fliesen mit Vergoldung in
Blattgold an. Die dunkelblauen Stücke zeigen überdies eine
ungemein zarte Musterung mit kleinen weiß aufgemalten
Ornamenten. In der Art der berühmten Fliesen von den Bauten des
Osmanensultans Muhamed I. in Brussa (XV. Jahrhundert) sind die
Stücke mit weiß ausgesparten Inschriften oder Ornamenten auf
kobaltblauem Grunde, wobei in die weißen Ornamente bunte
Pflanzenmotive hineingemalt sind. Derselben Periode gehören die
geschnittenen Mosaikfliesen mit Inschriften und Ornamenten an. Ihre
Entstehung ist auf das Einlassen von Koransprüchen u. dgl., die aus
glasierten Fliesen geschnitten waren, in die Rohziegelwand
hervorragender Gebäude zurückzuführen. Im weiteren Verlauf
entwickelte sich aus dieser Bauverzierung eine der schwierigsten
keramischen Techniken, die des vollständigen, ganze Flächen mit
Ornamenten und Inschriften überziehenden Fliesenmosaiks aus
eigens geschnittenen farbigen Platten verschiedenster Form. Zu
höchster Prachtentfaltung hat sich diese Technik in der gegenwärtig
dem Verfall entgegengehenden sogenannten Blauen Moschee in
Täbris aufgeschwungen. Eine Gattung, die namentlich im XVI. und
XVII. Jahrhundert zur Zeit der Sefevidendynastie eifrig gepflegt
wurde, repräsentieren die Fliesen mit prächtigen Blumen und
Rankenverzierungen in Dunkel- oder Türkisblau, Grün und
Manganviolett auf weißem Grunde. In der neupersischen Kunst, das
heißt seit dem XVI. Jahrhundert, nähern sich diese Pflanzenformen
immer mehr der natürlichen Erscheinung der Pflanze. Ein besonders
prächtiges Beispiel ist die in der Mitte der Wand angebrachte und
über diese emporragende Kielbogenfüllung, aus 16 Fliesen
bestehend, mit persischem Rankenwerk, von großem, rotem
chinesischen Wolkenband durchzogen, ein Wandschmuck aus der
Moschee Piali Pascha in Konstantinopel, 1565 bis 1570.
Eine Ergänzung findet diese Fliesenkeramik in den Gefäßen und
Moscheekugeln, welche in den beiden Schränken an den
gegenüberliegenden Wandpfeilern ausgestellt sind. Besonders
bemerkenswert ein dunkelblaues vasenartiges Gießgefäß des XIII.
Jahrhunderts aus Rhages, mit Überglasurdekor in Weiß, Rot und
Gold, eine hellgrüne Flasche mit weißen Blumenstauden (Untersatz
einer Wasserpfeife), XVII. Jahrhundert, eine ebensolche
Moscheekugel und eine besonders große derartige Kugel des XVI.
Jahrhunderts, im Rhodos-Stil verziert. Überdies zahlreiche
sogenannte Rhodos-Teller und persische Nachahmungen des
chinesischen Porzellans. Die sogenannten Rhodos-Fayencen sind
keramische Arbeiten, die an den Ufern des Bosporus, in Kleinasien,
Syrien und Ägypten angefertigt wurden. Die Masse ist ähnlich der
der persischen Fayencen. Der vorwiegend weiß gelassene Grund ist
auf eine Angusschicht zurückzuführen, über welcher die farblose
Glasur liegt. Die zur Bemalung verwendeten Farben sind dieselben
wie in Persien, bereichert durch ein feuriges Rot, eine Farbe, die aus
verriebenem Bolus besteht, der dick aufliegend, eine etwas erhöhte
Schichte bildet und unter dem Schutze der Glasur vor dem Abreiben
bewahrt wird. Die Ornamentik setzt sich der Hauptsache nach aus
Blumen (Tulpe, Nelke, Rose, Hyazinthe), aus den federartigen
Blättern und blütenartigen Palmetten des persischen Rankenwerkes
und sonstigen Elementen, wie Zypresse, Wolkenband etc.,
zusammen. Einige vorzügliche Schüsseln mit dem
charakteristischen schwarzen Schnörkelwerk aus kleinen Spiralen,
ein Blumentopf mit eckigem Henkel und Spuren von Vergoldung,
Krüge und sonstige Gefäße veranschaulichen diese eigenartige und
zu den mustergültigsten Schöpfungen der Keramik gehörende
Gruppe in mannigfacher Art. Eine Zuweisung der einzelnen Objekte
an bestimmte Fabrikationsorte ist der Forschung bisher nicht
gelungen, nur eine Gruppe von Erzeugnissen, für welche der Krug
mit Zinndeckel (Reihe 3) charakteristisch ist, wird als damaszenisch
angesehen.
An der über Eck gestellten Wand, anschließend an die
persischen Fliesen, sind spanische Azulejos ausgestellt. An Stelle
der ursprünglichen kleinen Mosaikfliesen in geometrischen Formen
hat man im XV. Jahrhundert auf orientalische Anregung hin der
einfacheren Herstellung wegen größere quadratische
Wandverkleidungsplatten angefertigt, auf welchen die Umrisse des
Musters durch Formpressung in erhabenen Linien erscheinen,
zwischen denen die farbigen Glasuren eingebettet waren, wodurch
man eine mosaikartige Wirkung erreichte. Im XV. Jahrhundert trat an
Stelle des alten geometrischen Musters und der geradlinigen
Bandverschlingungen das Renaissanceornament. Hauptort dieser
Industrie war Sevilla.

SPANISCH-MAURISCHE FAYENCEN.

Im ersten Schranke des auf die antiken Vasen folgenden


Kompartiments sind die spanisch-maurischen Fayencen mit
Lüsterdekor ausgestellt, Arbeiten, die den Übergang von den
orientalischen Fayencen zu den italienischen Majoliken bilden. Die
ältesten Nachrichten über diese Fabrikation reichen bis ins XII.
Jahrhundert zurück. Mittelalterliche Stücke aus sarazenischer Zeit
sind aber äußerst selten. Von der berühmten Alhambra-Vase aus
dem XIV. Jahrhundert in Goldlüster und Blau gibt eine Kopie von Th.
Deck in der Ecke links neben dem Eingange ungefähr eine
Vorstellung. Die Mehrzahl der auf uns gekommenen spanisch-
maurischen Fayencen besteht aus Schüsseln, Becken und Töpfen.
Sie sind innen und außen mit gelblich getönter Zinnglasur überzogen
und auf der Rückseite wie auf der Schauseite mit einer Verzierung in
Goldlüster versehen. Manchmal tritt stellenweise Bemalung in
Kobaltblau hinzu, auch Buckelungen nach Art getriebener
Metallgefäße sind beliebt. Im XV. und XVI. Jahrhundert werden die
Flächen durch Verteilung der Muster in Felder und Bordüren noch
scharf gegliedert, Blattwerk erscheint hierbei gotisch stilisiert, die
maurischen Schriftzeichen werden verständnislos ornamental
verwendet, wovon die große Schüssel mit Kupferlüster, Reihe 3
rechts, ein Beispiel gibt. In späterer Zeit erscheinen an Stelle des
prächtigen Goldlüsters dunklere Töne und vom XVIII. Jahrhundert an
beginnt der Lüster eine grelle kupferrote Färbung anzunehmen. In
der untersten Reihe sind Schüsseln, ebenfalls mit Metallreflex aus
Diruta unweit Perugia ausgestellt.

ITALIENISCHE FAYENCEN (MAJOLIKEN).

Die italienischen Fayencen sind Töpfererzeugnisse mit


deckender Zinnglasur, welche noch vor dem Brande mit
Scharffeuerfarben bemalt wurden. Im Brande verschmolzen die
Farben mit der Glasur und erhielten dadurch Glanz und Leuchtkraft.
Um die Mitte des XV. Jahrhunderts erreichte die italienische
Majolikamalerei eine künstlerische Höhe, von der sie gegen Ende
des XVI. Jahrhunderts durch das erwachende Interesse für
chinesisches Porzellan allmählich herabsank. Nur in Castelli, wo
man sich zu Beginn des XVIII. Jahrhunderts dem
Porzellangeschmacke anzunähern suchte, trat eine kurze Nachblüte
ein.
In der ersten Blüteperiode (1490-1530) dominiert Faenza (daher
Fayencen), in der zweiten (1530-1560) Urbino. Wegen der
Ähnlichkeit der älteren Fayencen mit Produkten, die von der im
Mittelalter Majolika benannten balearischen Insel Majorca kamen,
nannten die Italiener diese Stücke Majolika. Unsere Zeit übertrug
diese Bezeichnung auf die italienischen Fayencen der Renaissance
überhaupt.
Zwischen dem vorher beschriebenen und dem folgenden
Schranke befindet sich eine von milchweißer Zinnglasur in dünner
Schicht überzogene Reliefplastik, Madonna mit dem Kinde, eine
Arbeit aus den Werkstätten der Della Robia. Luca della Robia, der
berühmte Florentiner Bildhauer (1399-1482), gilt nach Vasari
fälschlich für den Erfinder der Zinnglasur in Italien. Der übliche blaue
Hintergrund und die bunten Fruchtkränze der Umrahmung sind bei
diesem Werke weggeblieben, dagegen finden sich Spuren von
Goldornamenten am Saume des Kleides der Madonna. Modellierung
der Arme und Hände, Ausdruck und Gesamthaltung verweisen das
Werk in die Zeit um 1450.
Im folgenden Schranke sind Erzeugnisse verschiedener
italienischer Fabriken des XVI. Jahrhunderts ausgestellt. In der
obersten Reihe besonders bemerkenswert die Schüsseln aus
Caffagiolo, Gubbio (mit Rubinlüster), Pavia (mit Sgraffitodekoration),
Castel Durante und Urbino, dem Hauptorte der italienischen
Fayenceindustrie, von dem zwischen 1530 und 1620 jene
ungeheure Menge von Majoliken ausgegangen ist, die den Weltruhm
dieser Industrie begründet hat. Bildmäßige Darstellungen pflegen
hier ohne Rücksicht auf die Form die ganze Fläche des Gefäßes zu
bedecken. Szenen aus dem Alten Testamente, geschichtliche oder
der Sage angehörende Vorgänge nach Livius oder Virgil und die
Liebschaften der olympischen Götter nach Ovids Metamorphosen
bilden die Hauptgegenstände der Darstellung. In der nächsten Reihe
finden wir nebst Stücken aus Ravenna und Castelli in der Mitte eine
hervorragend schöne Schüssel aus Siena mit dem Violine
spielenden Apollo in der Mitte. Die unterste Reihe enthält durchwegs
Arbeiten aus Castelli. Ebenso der folgende Schrank. In dieser zum
Königreich Neapel gehörenden Stadt der Abruzzen und in
zahlreichen Ortschaften ihrer Umgebung erfuhr die Fayenceindustrie
im XVII. Jahrhundert eine späte Nachblüte. Ein Streben, dem
Porzellan nahezukommen, ist dabei unverkennbar und kommt in der
feinen Masse der gleichmäßigen Glasur sowie in den kalten,
zarteren, nur in gebrochenen Tönen zur Verwendung kommenden
Farben zum Ausdruck.
Zur duftigen Malweise gesellt sich bei feineren Stücken reichlich
verwendete Aufhöhung mit Gold. Die Motive sind der
bolognesischen Schule entlehnt, Tierstück, Landschaft, bäuerliches
Genre, Bilder religiösen Inhalts, später auch Blumen. Die Ränder der
Teller erhalten einen von der Fläche getrennten, oft äußerst reizvoll
komponierten Dekor mit Putten und Blumengewinden. An Stelle der
Schüsseln treten häufig viereckige oder kreisrunde ebene Platten,
manche mit Malersignaturen von Mitgliedern der mit der
neapolitanischen Fayencemalerei durch anderthalb Jahrhunderte
eng verknüpften Familie Grue. Der hier vorkommende Dr. F. A. Grue
lebte von 1686 bis 1746.
Zwischen beiden Schränken: Bacchusknabe der Fabrik Talavera
in Spanien (XVIII. Jahrhundert). Im großen Mittelschranke sind
besonders die prächtigen Urbino-Fayencen hervorzuheben, an der
Stirnseite eine große Schüssel mit dem Sturze der Giganten und
darüber eine kleinere mit Venus in der Schmiede des Vulkan, die in
Gubbio, wo sich die durch ihren Lüsterdekor berühmte Werkstätte
des Maestro Gurgio Andreoli befand, mit Rubinlüster versehen
wurde. Zu beiden Seiten und auf der obersten Stufe schöne
sogenannte Pilgerflaschen. Die beiden Deckelvasen zu Seiten der
Gigantenschüssel sind charakteristische Stücke aus Castel Durante.
An beiden Langseiten sind hauptsächlich Venedig, ferner Urbino
und Castel Durante in Schüsseln, verschiedenen Apothekergefäßen
und Vasen vertreten, unter welchen zwei muschelförmige Becken
mit Schlangengewinden besonders hervorragen. An der Schmalseite
am Fenster eine vorzügliche Faentiner Schüssel mit der Anbetung
der drei Könige.
Die meisten dieser Majoliken sind Eigentum des Stiftes
Neukloster in Wiener-Neustadt.
Im folgenden Schranke an der Fensterseite sind in der obersten
Reihe die durch ihr geringes Gewicht auffallenden venezianischen
Relieffayencen des XVIII. Jahrhunderts aus der Fabrik Bertolini
aufgestellt, dann folgen venezianische Fayencen mit bläulich
getönten Glasuren (a berettino), in der dritten Reihe in der Mitte zwei
blaue Schüsseln mit Golddekor, eine davon mit dem Wappen des
Kardinals Ghislieri (Pius V.), links eine graublau bemalte Schüssel
aus Castel Durante, im Fond Herkules im Kampfe mit der
lernäischen Schlange, auf dem Rande von Hunden gehetzte Stiere,
in der untersten Reihe oberitalienische Fayencen des XVIII.
Jahrhunderts, hauptsächlich aus Nove.
Im links folgenden Schranke finden wir in den oberen Reihen
Majoliken minderer Qualität aus bereits genannten Fabriken, in der
unteren Reihe dagegen prächtige Sieneser Fußbodenfliesen aus
dem Palazzo del Magnifico (Pandulfo Petrucci), um 1513, und
solche aus dem Hause der heil. Katharina, um 1520. An der
Pfeilerwand zwei Schüsseln aus Candiana bei Padua,
Nachahmungen der sogenannten Rhodos-Schüsseln, mit
Hinweglassung des charakteristischen Rot.
Am Pfeiler gegenüber dem großen Schweizer Ofen sind noch
mehrere toskanische Majoliken des XVII. Jahrhunderts aus
Montelupo ausgestellt.

FRANZÖSISCHE FAYENCEN.

An der Spitze der Fayenceproduktion der französischen


Renaissance stehen die eigenartigen Erzeugnisse des als
Autodidakt und ruheloser Erfinder berühmten Bernard Palissy (1506
bis 1590). Seine buntfarbig glasierten und mit plastischen
Verzierungen geschmückten Gefäße bilden eine Gruppe von
Arbeiten, die eine Zeitlang von andern Werkstätten nachgeahmt und
weiter ausgebildet wurde, so daß eine zweifellose Zuweisung
derartiger Arbeiten an den Meister vielfach unmöglich ist. Es sind
meist große Zierschüsseln mit Schlangen, Eidechsen, Muscheln,
allerlei Kräutern und sonstigen Formen, die ihm die Natur seines
Aufenthaltsortes in der Saintonge, dem Mündungsgebiete der
Charente, darbot. Diese Objekte befestigte Palissy mittels Fäden
durch Löcher auf Zinnschüsseln, nahm danach eine Gipshohlform
und benutzte diese als Matrizze für seine Tongefäße. In späterer Zeit
dienten ihm auch die Metallarbeiten seines Zeitgenossen François
Briot als Modelle. Vier Beispiele im ersten Schrank, Reihe 2, der
folgenden Abteilung repräsentieren beide Gattungen.
Die Fayenceindustrie von Nevers wurde durch italienische
Arbeiter begründet, die Louis von Gonzaga, der Gemahl der
Herzogin von Nevers, gegen Ende des XVI. Jahrhunderts dahin
berufen hatte. Sie sind in unserer Sammlung durch zwei Objekte,
eine Vase und einen Teller in jener schönen blauen Glasur mit
Malerei in Weiß und in Gelb und Weiß, vertreten, die für die Arbeiten
von Nevers um die Mitte des XVII. Jahrhunderts charakteristisch
war, Reihe 2 links. Im XVIII. Jahrhundert wurde in Nevers roh
bemalte weiße Fayence erzeugt, wofür die in Reihe 1 an zweiter
Stelle befindliche Flasche mit St. Nikolaus ein für die in Nevers
beliebte volkstümliche „faience parlante“ mit figürlichen
Darstellungen und Inschriften bezeichnendes Stück ist. Die
Fayenceindustrie von Rouen in ihren zwei berühmten
Verzierungsweisen, dem „style rayonnant“, und dem „décor à la
corne“ ist durch eine Reihe guter Beispiele vertreten. Der „style
rayonnant“, vom Ende des XVII. Jahrhunderts bis etwa 1740
herrschend und so benannt wegen seines strahlenförmig von der
Mitte ausgehenden Dekors mit Ornamentreserven, wird durch drei
große Schüsseln und eine Kanne repräsentiert, Reihe 1, weitere
Varianten in der Reihe 3 und 4. Den „décor à la corne“ mit dem
Füllhorn, den bunten Schmetterlingen und Blumen finden wir in einer
Schüssel mit dazugehörender Terrine und in zwei achteckigen
kleinen Schalen vertreten (Reihe 3). Im Stile der beiden Bérain,
leicht, lose und luftig, nicht strahlig angeordnet, sondern
symmetrisch aufsteigend ist das Ornamentierungssystem, das in der
ersten Hälfte des XVIII. Jahrhunderts für Moustiers charakteristisch
geworden ist, und das die keramische Produktion dieses kleinen
Städtchens der Provence zu ähnlich hervorragendem Rang erhoben
hat wie die von Nevers und Rouen. Die Muster erscheinen in zarter
Blaumalerei auf weißem Grunde, wie es die vier Beispiele der
untersten Reihe zeigen. Gegen die Mitte des Jahrhunderts waren
neben der berühmten, von Paul Clerissy begründeten Fabrik noch
mehrere andere entstanden, die neben Blau auch andere Farben in
zarten duftigen Tönen verwendeten, wofür das fünfte Stück dieser
Gruppe, der Teller mit Landschaft, Reihe 3, links, ein Beispiel bietet.
Die nächste größere Gruppe bilden die Straßburger Fayencen der
beiden Hannong, des Paul, 1730 bis 1755, und seines Sohnes
Josef. Reinheit der Zinnglasur und ein prachtvolles Karminrot
zeichnen diese Fayencen aus, zu deren Charakteristik überdies die
spärliche und nur in Muffelfarben vorkommende Verwendung von
Blau und die schwungvolle Zeichnung der in einem konventionellen
Naturalismus durchgeführten Blumen gehören. Beispiele sind im
folgenden Schranke am Fenster in kleinen Gruppen vereinigt.
Außerdem befinden sich hier noch einige Fayencen aus Marseille,
wo gegen Ende des XVII. Jahrhunderts eine Fayenceindustrie
emporblühte, aber kein Genre von stark ausgesprochener Eigenart
entstand. Die Formen ahmen vielfach die Muster der Silberschmiede
mit ihren aus Fischen, Früchten und Gemüsen gebildeten
Deckelknäufen nach, der malerische Dekor folgte dem Beispiele
Straßburgs. In dem einen Punkte weicht er aber davon ab, daß an
Stelle konventioneller Zeichnung häufig direktes Naturstudium tritt,
wie dies namentlich an den in Reihe 1 und 2 ausgestellten Tellern
und Schüsseln ersichtlich ist. Wie bei Straßburg das Karminrot,
bildet hier das „vert de Savy“, ein besonders leuchtendes Grün, eine
Spezialität. Überdies sind die Fabriken von Luxemburg und Creil in
der Sammlung durch Einzelstücke vertreten. Ein zierlicher Korb aus
dem Ende des vorigen Jahrhunderts und einige Teller bilden zwei
frühe Beispiele für Kupferdruck auf Fayence.

DEUTSCHES STEINZEUG.

An Härte dem Porzellan nahekommend, aber weder dessen feine


durchscheinende Masse noch dessen Widerstandsfähigkeit gegen
raschen Temperaturwechsel aufweisend, bildete das Steinzeug in
Deutschland bereits im Mittelalter ein beliebtes Material für Trink-
und Schenkkrüge. Die Gegend von Koblenz bis Köln, wo sich die
geeignetsten Tonlager für diese Ware befinden, war mit ihren
Hauptorten Höhr, Grenzhausen, Siegburg, Köln, Frechen und
Raeren im XVI. und XVII. Jahrhundert der Mittelpunkt ihrer
Fabrikation. Die Masse brannte sich weiß, grau oder braun und
erhielt eine einfache Salzglasur, das heißt in einem bestimmten
Stadium des Brandes wurde Kochsalz in den Ofen geworfen, das
Chlor entwich als Chlorwasserstoff, und das Natrium verband sich
mit der Kieselsäure des Tones und bildete eine dünne Glasur.
Aufgelegte Reliefverzierung, den Vorbildern deutscher und
französischer Kleinmeister folgend, und mit eingepreßten Zierformen
abwechselnd, bildeten das Charakteristische dieser Arbeiten. Sie
sind in den folgenden beiden Schränken ausgestellt. In der obersten
Reihe des nächst dem Pfeiler befindlichen Schrankes finden wir
Westerwälder und Raerener Krüge darunter einen Schnabelkrug
nach einem Modell von Hans Hilgers, einen Musketierkrug, einen
besonders großen Steinkrug, in der Mitte, und einen Raerener Krug
mit Bauerntanz. Die darunter befindliche Reihe besteht aus weißen
Siegburger Krügen vom Anfang bis über die Mitte des XVI.
Jahrhunderts, beginnend mit den frühen Trichterbechern. In der Mitte
zwei prächtige Schnellen mit figuralem Reliefschmuck, am Schluß
der Reihe ein Birnkrug des Meisters Anno Knütgen mit dem
kursächsischen Wappen, datiert 1574. In der folgenden Reihe
spätere niederrheinische Krüge, in der Mitte ein Westerwälder
Sternkrug. Zu unterst Steinzeuggefäße des XVII. und XVIII.
Jahrhunderts, darunter zwei Perlenkrüge aus Sachsen-Altenburg.
Im folgenden Schranke in der obersten Reihe zwei sogenannte
Trauerkrüge mit Kerbschnitt aus Freiberg in Sachsen. Anschließend
oben und an der einen Langseite die dunkelbraunen Krüge aus
Kreußen bei Bayreuth. Darunter zwei Apostelkrüge, ein Jagdkrug
und einer mit den vier Kirchenvätern. Charakteristisch ist ihre
niedere Form und der mit Emailfarben und Gold bemalte
Reliefdekor. An der andern Langseite besonders hübsche braune
Steinzeugkrüge aus Raeren und Köln: Sündenfall-Schnelle, Krug mit
Bauerntanz, Schnelle mit den drei göttlichen Tugenden aus der
Eigelstein-Werkstatt und andere. In der folgenden Reihe ein
Meckenheimer Maßkrug und andere größtenteils niederrheinische
Trinkkrüge des XVII. und XVIII. Jahrhunderts, die in der untersten
Reihe, wo auch das Steinzeug aus Marburg in Hessen und aus
Bunzlau in Preußisch-Schlesien vertreten ist, ihre Fortsetzung
finden.
ÖSTERREICHISCHE UND DEUTSCHE
HAFNERWARE ETC.

Im folgenden Schrank an der Pfeilerseite ist hauptsächlich die


österreichische und deutsche Hafnerware mit Bleiglasur ausgestellt.
In der obersten Reihe Ofenmodelle des XVI. bis XVIII. Jahrhunderts
und eine Schüssel mit eingeritztem, buntem Flachmuster aus Stadt
Steyr. In der folgenden Reihe namentlich bunte Keramiken aus
Gmunden: Wöchnerinnenschalen, Weihbrunnkessel, die
Henkelschale des Peter Graf, 1627, mit doppelter, durchbrochener
Wandung, ein Vogelfutterhäuschen von Ende des XVI. Jahrhunderts
ferner Nürnberger Krüge mit bunten Relieffiguren, der eine mit
Sandanwurf und Reliefauflagen, polnische Adelige, der andere mit
Beerennuppen und der Verkündigung, eine alte deutsche Palissy-
Nachahmung mit der Taufe Christi u. a. In der dritten und vierten
Reihe einfachere Gmundener Erzeugnisse und Salzburger
Keramiken des XVII. bis XVIII. Jahrhunderts. In der Mitte der dritten
Reihe Krug mit geflammter Manganglasur und Reliefauflagen aus
Brieg in Preußisch-Schlesien. In der letzten Reihe schöne
Winterthurer Schüssel von 1691.
Der entsprechende Schrank an der Fensterseite enthält
Fayencen und Steingutarbeiten. In der obersten Reihe schwedische
Fayencen des XVIII. Jahrhunderts, in den zwei folgenden Trinkkrüge
u. dgl. aus Potsdam, Kelsterbach, Nürnberg, Ansbach, Magdeburg,
Rheinsberg, Göggingen und Künersberg. An österreichischen
Fabriken sind Holitsch, Prag, Teinitz und Frain vertreten.

ÖFEN UND OFENKACHELN.

Neben diesem Schrank befindet sich ein großer achtseitiger bunt


bemalter Ofen aus dem Zimmer der Weggenzunft in Zürich, ein
Werk des Meisters Ottmar Vogler in Elgg vom Jahre 1725, dekoriert
von David Sulzer aus Winterthur. Weitere Öfen sind an den
Außenseiten der Pfeiler aufgestellt; beim Eingange ein Schweizer
Ofen aus dem Ende des XVII. Jahrhunderts mit bunten, reliefierten
Kacheln, die vier Tageszeiten in biblischen Allegorien darstellend,
die drei folgenden deutsche Erzeugnisse des XVIII. Jahrhunderts,
der letzte in der Ecke, mit vergoldeten Ornamenten, eine Grazer
Arbeit der Rokokozeit.

Ofen der Weggenzunft in Zürich, bemalt von David


Sulzer aus Winterthur, 1725.

An der Wand gegenüber den Öfen bemerken wir zunächst frei


ausgestellt ein großes Weingefäß, eine in Sgraffitotechnik
ausgeführte Arbeit des XVII. Jahrhunderts aus Montelupo. Im
Anschlusse ist die große Sammlung von Ofenkacheln ausgestellt.
Die Reihe beginnt beim Eingang mit einigen zum Teil noch
mittelalterlichen Topfkacheln. Es folgen sodann fünf Kacheln des
gotischen Ofens aus der Sakristei von St. Stephan in Wien. Nach
dem Prinzip der ältesten Ofenkacheln, die napfförmig vertieft waren,
um die Ausstrahlungsfläche zu vergrößern, bilden diese Kacheln
tiefe Nischen, aus denen die figuralen Darstellungen auf weißem
Tongrunde, mit bunten Bleiglasuren bemalt, im Relief hervortreten.
Die Eckkachel in der Mitte stellt beiderseitig den Kampf Simsons mit
dem Löwen dar und zeigt über Eck gestellt eine frei modellierte
weibliche Figur im Kostüm des XVI. Jahrhunderts, ein Wappenschild
mit dem Doppeladler, der den österreichischen Bindenschild als
Brustschild trägt, haltend. Unterhalb dieser Kacheln befinden sich
mit Graphit geschwärzte Reliefkacheln mit Einzelfiguren aus der
Folge der drei guten Heiden, Juden und Christen nach Virgil Solis.
Eine schöne Salzburger Kachel aus dem Anfange des XVI.
Jahrhunderts ist ferner die bunte Kachel links unten in der Ecke mit
der Figur eines der heiligen drei Könige. In der folgenden Gruppe
sind hauptsächlich Nürnberger Kacheln des XVI. Jahrhunderts
zusammengestellt, darunter Kacheln mit perspektivisch dargestellten
Renaissancehallen, grün mit stellenweiser Vergoldung und zwischen
ihnen die Kachel mit der Venus, eine der besten Arbeiten der
deutschen Renaissance auf diesem Gebiete, ferner ornamental
verzierte Kacheln von besonderer Schönheit. In der folgenden
Abteilung bildet die bunte Bekrönungskachel in der obersten Reihe
mit dem Stadtwappen von Vöcklabruck, zwei Schriftbändern und an
den Seiten Schutzengel und Bergknappe, ein besonders
hervorragendes Stück. Anschließend auf einem Sockel großer
Salzburger Weinkrug mit aufgelegten Medaillons, Löwenköpfen und
sonstigen Verzierungen, um 1600. Ein zweites, ähnliches Stück auf
dem folgenden Sockel, darüber ein Schneideraushängeschild,
doppelseitig mit Kostümfiguren und der Datierung 1605. Nach dem
ersten der Salzburger Weinkrüge prächtige bunte Ofenkacheln mit
allegorischen Figuren aus der Werkstätte des Salzburger Hafners H
R um 1570, eine große figurenreiche Kachel mit der Kreuzigung und
Teile eines Ofens mit Band- und Rankenmuster. Es folgt sodann eine
Abteilung mit modernen Ausformungen aus alten, im Besitze des
Museums befindlichen Originalmodeln des XVI. und XVII.
Jahrhunderts. Daran schließen sich bunte Ofenkacheln mit den vier
Jahreszeiten und schwarz glasierte Reliefkacheln, süddeutsche
Arbeiten des XVII. Jahrhunderts, darunter eine ehemals kalt bemalte
Kachel mit dem Wappen des Bischofs Julius von Würzburg. An die
folgenden zwei Kachelreihen, siebenbürgische Arbeiten des XVIII.
Jahrhunderts, schließt sich eine Gruppe bunt oder einfarbig bemalter
Kacheln, die hauptsächlich Schweizer- und deutsche Arbeiten des
XVII. und XVIII. Jahrhunderts sind. An der Ecke befindet sich ein
Riesenkrug oberösterreichischer Herkunft mit der Inschrift Christoph
Gschir 1741.
Über Eck gestellt finden wir eine kleine Sammlung von Delfter
und hessischen Wandfliesen und zu unterst mittelalterliche
Fußbodenfliesen mit Gravierungen aus der Kirche zu Heiligenkreuz.
Von hier in den Hauptraum zurückkehrend, haben wir in dem am
Pfeiler stehenden Schrank zahlreiche Holitscher Fayencen. Die im
XVIII. Jahrhundert gegründete Fabrik ging nach 1740 in kaiserlichen
Besitz über, erlangte bald einen bedeutenden Ruf und wurde erst um
die Mitte des XIX. Jahrhunderts aufgelassen. Es wurden daselbst
zuerst Erzeugnisse in der Art von Castelli, dann solche nach
chinesischen Vorbildern, darunter viele Figuren angefertigt.
Einfacheres Geschirr war mit Blaumalerei sowie mit manganbrauner
und grüner Malerei ornamentalen Charakters versehen. Weitere
Gattungen waren die meist mit Obst, seltener mit Blumen bunt
bemalten Service, die Stücke mit Rot-, Gold- und Buntmalerei,
ähnlich wie die beiden hier ausgestellten Krüge, mit Susanna im
Bade und der satirischen Darstellung eines handeltreibenden
Bettelmönches. Häufig waren auch Gefäße mit plastischen bunten
Blumen, solche in Form von Tieren, wie Papageien, Hühnern,
Gänsen usw., reichgebildete Tafelaufsätze und von 1786 an, als die
Fabrik auch Steingut erzeugte, die Imitationen von Wiener Porzellan
und ein mittels Druckverfahrens erzeugter Dekor. Fast alle diese
Gattungen sind in den oberen drei Reihen des Schrankes vertreten.
In der untersten Reihe Salzburger und Gmundener Fayencen
des XVIII. und beginnenden XIX. Jahrhunderts. Im folgenden
Schrank an der Fensterseite ist die deutsche Fayence in
Blaumalerei, wie sie namentlich in Braunschweig, Hanau, Nürnberg,
Ansbach, Bayreuth, Künersberg, Straßburg, Hamburg usw. nach
holländischer Art schon im XVII., besonders aber im XVIII.
Jahrhundert erzeugt wurde, ausgestellt. Sie hatte die Aufgabe, der
holländischen über Frankfurt auch nach dem deutschen Süden
eindringenden Ware durch möglichst gleichwertige heimische
Erzeugnisse entgegenzuwirken.
Die Ähnlichkeit mit Delft erreichte namentlich Hanau in einem
hohen Grade. In unserer Sammlung ist besonders Bayreuth, 1720
gegründet und von 1735 bis 1763 in vollster Blüte, gut vertreten. Die
Bayreuther Arbeiten zeichnen sich gewöhnlich durch lichtes, durch
weiße Pünktchen getrübtes Blau aus. Besonders hervorzuhebende
Stücke sind: in der obersten Reihe zwei Vasen mit
Rokokoornamenten aus Braunschweig, in der zweiten Reihe die
Nürnberger Deckelkrüge, der erste mit Stadtansichten, der folgende
mit der Darstellung einer Wochenstube und ein dritter mit der einer
Straßenpflasterung sowie die Ansbacher Sternschüssel. In der
folgenden Reihe die achteckige Künersberger Servierplatte, die drei
Straßburger Fayencen von K. Hannong im „Style rayonnant“ von
Rouen und die figurenreiche sechseckige fränkische
Schraubenflasche mit Hirschjagd und Mahlzeit im Freien; in der
untersten Reihe die ovale Platte auf vier Füßen von Knöller in
Bayreuth. Außen am Schrank ist eine Schweizer Fayenceplatte mit
reicher Renaissancearchitektur, den Hof des Königspalastes zu
Jerusalem mit David und Bathseba darstellend und mit der frühen
Datierung „1533“ angebracht.
In derselben Abteilung befinden sich zwei Schränke mit Delfter
Fayencen des XVII. und XVIII. Jahrhunderts. Die Fayenceindustrie
der Stadt Delft beginnt in den letzten Dezennien des XVI.
Jahrhunderts und gewinnt um die Mitte des XVII. Jahrhunderts,
unterstützt durch eine ununterbrochene Einfuhr als Muster dienender
ostasiatischer Porzellane, sowie durch einen tüchtig organisierten
Handel einen Weltmarkt, dessen Bedeutung erst durch die
allmähliche Entwicklung des europäischen Porzellans im Laufe des
XVIII. Jahrhunderts nach und nach schwindet. Von den
verschiedenen Dekorationstypen, die während dieser Periode üblich
waren, sind eine ziemliche Anzahl in der Sammlung vertreten. Wir
finden chinesische Genreszenen, Stücke mit Inschriften,
Übertragungen des „style rayonnant“ von Rouen, ferner Schüsseln
mit Wappen, Tieren, Landschaften, Seebildern, Emblemen, Heiligen-
und biblischen Figuren und ein Beispiel von Porträtmalerei. Was
jedoch vorherrscht, das sind die ostasiatischen Motive. Die Objekte
in Blaumalerei zeichnen sich durch besonderen Glanz der
Zinnglasur aus, den sie durch Bestäuben mit fein zerriebenem
Bleiglaspulver erlangt haben, der im Brande schmelzend die bemalte
Oberfläche überzieht. Die vielfarbige Malerei entwickelte sich erst
gegen Ende des XVII. Jahrhunderts und beruht hauptsächlich auf
dem Dreiklang von Rot, Blau Grün. (Das Rot aus mehrfach
gebranntem feinsten Bolus.) Eine andere Gattung, bei der
gewöhnlich auch Gold zur Verwendung kam, imitiert die
Farbenwirkung der japanischen Hizen-Ware und umfaßt
Prachtstücke ersten Ranges, die an Schönheit die japanischen
Vorbilder weit übertreffen. Dieser blau-rot-goldene Dekor (das Rot
ein auf die fertiggebrannte Glasur aufgemaltes Eisenrot) ist durch
vier Teller, wovon einer das Brustbild Karls VI. zeigt, und durch einen
Krug mit vergoldetem Deckel charakterisiert. Die in der Sammlung
vertretenen Meister sind in der Reihe, wie sie in den beiden
Schränken aufeinander folgen: Adrian Pynaker, Lambert van
Eenhorn, Huibrecht Brouwer, Cornelis van der Hoeve, Cornelis de
Keizer, Jan Pieters, Geertruy Verstelle, Joost Brouwer und im
Schranke nächst dem Fenster C. J. Messchert und A. C. van
Noorden, Aebreyt de Keiser, J. G. van der Hoeven, Augestijn
Reygens, J. G. L. Kruyk und J. Verburg.

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