CHAPTER

1
THE
DESIGN
PROCESS

1-1 INTRODUcnON
What is design? U you search the literature for an answer to that question, you
will find about as many definitions as there are designs. Perhaps the reason is
th nt the process of design is such a common human experience. Webster's
~I ktionary says that to design is "to fashion after a plan ," but that leaves out
the essential fact that to design is to create something that has never been.
Certainly an engineering designer practices design by that definition , but so
Iloes an artist, a sculptor, a composer, a playwright , or many another creative
member of our society.
Thus, although engineers are not the only people who design things , it is
Illle that the professional practice of engineering is largely concerned with
tl'!llgn; it is frequently said that design is the essence of engineering. To design
1_ to pull together something new o r arrange existing things in a new way to
•• I'I ~ ry n recognized need of society. An elegant word for "pulling together" is
''I'",IIt~sis. We shall adopt the following fonnal definition of design:! "Design
rlilitblishes and define s solutions to and pertinent structures for problems not
JIItlvcd before, o r new solutions to problems which have previously been solved
I I " , ..... INtI III \I(j",
In II different way." The abili ty to design is both a science and an a rt . The
!;Clence can be learned through techniques and procedures to be cove red in this
course, but the art can be learned only by doing design. It is for this reason
that your design education must involve some realistic experience.
The emphasis that we have given to the creation of new things in our
discussion of design sho uld not und uly alarm you. To become proficient in
design is a perfectly attai nable goal for an engineering student , but its
attainment requires the guided expe rience that we intend this course to
provide. Design should not be confused with discovery. Discovery is getting
the fi rst sight of, o r the first knowledge of some thing, as when Colu mbus
discove red A merica. We can discover what has already existed but has not
been known before. But a design is the product of planning and work . A
design is produced to satisfy a need that someone has . It is something that has
not always existed; instead , il is created expressly to satisfy a need.
We should no te that a design may or may not involve inventiOfl . To
obtain a legal patent o n an invention requires that the design be a step beyond
the limits o f the existing knowledge (beyond the state of the art) . Some designs
are truly inventive, but most are not.
Good design requires both analysis and synthesis. In order to design
something we must be able to calculate as much about the thing's behavior as
possible by using th e appropriate disciplines of science or engineering science
and the necessary computational tools. A nalysis usually involves the simplifi ca-
tion of the real world through models. It is concerned with the separa tio n of
the problem into manageable parts, whereas synthesis is concerned with
assembling the eleme nts into a workable who le.
At your current stage in your engineering education you are much
mo re fa miliar and comfortab le with analysis. You have dealt with courses that
were essentially disciplinary. For example, you were not expected to use
thermodynamics and fl uid mechanics in a course in mechanics of materials.
The pro ble ms you worked in the course were selected to illustrate and
reinforce the principles. If you could co nstruct the appropriate model, you
usually could solve the proble m. Most of the input data and properties we re
given, and there usually was a correct answer to the problem. H owever,
real-world problems rarely are that neat and circumscribed. The real problem
that your design is expected to solve may not be readily apparent . Yo u may
need 10 draw o n many technical disciplines (solid mechanics, fluid mechanics,
electromagnetic theory , etc.) for the solution and usually on nonengineering
disciplines as well (econo mics, fin ance, law, etc.) . The input data may be
fragmentary at best, and the scope of the project may be so huge that no
individual can follow it all . If that is not difficult enough, usually the design
must proceed under severe constraints of time and /or money. There may be
major societal constraints imposed by environme ntal or energy regulatio ns.
Finally, in the typical design you rarely have a way of knowing the correct
answer. Hopefully, your design works, but is it the best , most effi cient design
that could have been achieved under the conditions? On ly lime will te ll.
THE DESIO,.. PROCI'.SS J
Specific L.--l
information r Onign operation
L -_ _- '
GO TO
NO -,-
, ,,ES,--_ THE
Feedback loop
Ellalultion > NEXT
STEP
FIG URE t_1
Basic module in the design pr()(:e!lS. (Aftt r Asimow.)
We hope by now you have some idea of the design environment and
the design process. One thing that sho uld be clear is how engineering extends
well beyond the boundaries of science. If perhaps you have become a bit
desponde nt over the complexity described above, cheer up. The increased
boundaries and responsibilities of engineering create almost limitless oppor-
tunities for you. In your professional career you will have the opportunity to
create dozens of original designs and have the satisfaction of seeing them
become working realities. "A scientist will be lucky if he makes o ne creative
additio n to human knowledge in his who le life, and many never do so. A
scientist can discover a new star but he cannol make one. He would have to
ask an engineer to do it for him . " I
1·2 THE DESIGN PROCESS-A
SIMPLIFIED APPROACH
We frequently talk about " designing a syste m." By a syste m we mean the
&-lIlire combination of hardware, info rmation, and people necessary to accom-
plish some specified mission. A system may be an electric power d istribution
network fo r a region of the nation, a procedure fo r detecting flaws in welded
pressure vessels, or a combination of production steps to produce auto mobile
PIIrIS. A large system usually is divided into SUbsYl·tems , which in turn are
lIlode up of components.
There is no single universally accl aimed sequence of steps that leads to a
workable design. Diffe rent writers o r d esigners have o utlined the design
Ilrocess in as few as 5 steps or as many as 25. One of the first to write
introspectively about design was Mo rris A simow.2 He vie wed the heart of the
de"ign process as consisting of the eleme nts shown in Fig. I-I . As portrayed
I (I L. Gku. '1"lIc Ocsian of Desian," Cambridge University PrCS$, New York. 1969.
'M AS'IOOW, " tntroductlOn to [)csIgn," I' ren hce- H alt, loc. , Engkwood Oilf$, N.J . , 1962.
6 ENGINEERING OESIOI'! mE DESIGN PROCESS 7

As mentioned earlier, others writers o n design may choose to expand upon

these steps. The design process generall y proceeds from top to bottom in the
Existing
knowledge
list just given , but it must be understood that in practice some of the steps will
be carried out in parallel and that feedback leading to iteration is a common
fact of design .

.~
Scientific
curiosity .. """
16entification

Recognition of a Need
.t<,i
E
Hypothesis •"~
<
Conceptualization Needs are identified at many points in a business or agency. Most organiza-
tions have research or development components whose job it is to create ideas
E ~
8 logiell Fusibility
that are relevant to the needs of the organization. Needs may come from
analysi1; analysis inputs of operating o r service personnel o r from custo me rs through sales o r
marketing representatives. Other needs arc ge ne rated by outside consultants.
purchasing agents, government agencies, or trade associations or by the
Proof attitudes or decisio ns of the general public.
FIGURE I-Z Needs usually arise from dissatisfaction with the ex isting situation . They
Comparison between the sci· may be to reduce cost, increase reliability or performance, or just change
entific method and the design because the public has become bored with the product .
Scientific method Design method method. (ltflU Pucy Hill. )

knowledge of the state of the art. That includes scientific knowledge, but it
also includes devices, components, materials , manufacturing methods , and
market and economic conditions. Rather than scientific curiosity, it is really
the needs of society (usually expressed through economic factors) that provide
the impetus. When a need is identified , it must be conceptualized as some kind
of model. The design concept must be subjected to a feas ibility analysis,
almost always with iteration, until an acceptable product is produced or the
project is abandoned. When the design enters the production phase, it begins
to compete in the world of technology . The design loop is closed when the
product is accepted as part of the current technology and thereby advances the
state of the art of the particular field .
1·3 THE DESIGN PROCESS STEPS
To further illustrate the design process, we consider the process to consist of
the following steps:
Recognition of a need
Definitio n of a problem
Gathering of information
Conceptualization
Evaluation
Communication of the design
Definition of a Problem
Probably the most critical step in the design process is the definiti on of the
problem. The true problem is no t always what it see ms to be at first glance.
Because this step requ ires such a small part of the lotal time to crea te the fi nal
design, its importance is often overlooked. Figure 1-3 illustrates how the fi nal
design can differ greatly depending upon how the problem is defined.
It is advantageous to define the problem as broadly as possible . If the
definition is broad , you will be less like ly to ove rlook unusual o r unconven-
tional solutions. Broad treatment of problems that previously were attacked in
piecemeal fashio n can have a big payoff. However, you should realize that the
degree to which you can pursue a broad problem form ulation toward a fina l
design will depend o n factors often outside your contro\. Pursuit of a broad
formulation may bri ng you into direct conflict with decisions already made by
your employer o r client , o r it may lead you into areas of reslxmsibility of other
persons in the organization. In most cases the ex tent to which you are able to
follow a broad problem formulation will depend on the importance of the
problem, the limits on time and money that have been placed on the problem,
and your own position in the organization .
One approach that you should not take is to consider the existi ng solution
to the problem to be the problem itself. That approach immediately submerges
you in the trees of the forest, and you will find yourself genera ting sol utions to
a problem that you have failed to define.
The definition of a problem should include writing down a forma l
I)rob/em stalement. which should express as specifically as possible what the
destgn is intended to accomplish. It shou ld include objectives and goals.
 I

8 ENGINEERING DESIGN THE DESIGN PROCESS !}

~~r
Gathering of [nfonnafion
Perhaps the greatest frustration you will e ncounter when you embark on your
first design problem will be due to the dearth or plethora of information. No
longer will your responsibility stop with the knowledge contained in a few

.---..\--..
As proposed by the project sp!)nsor
As produced by maflufa(;turing
FIGURE 1-3
Note how the design depends o n the viewpoint or the individ ual who defines the problem .
-J~~l
chapters of a text. Your assigned problem may be in a technical area in which
you have no previous background, and you may not have even a single basic
~ s..:: refere nce on the subject. At the other extreme you may be presented with a
mountain of reports of previous work and your task will be keep from
As specified in the project request As designed by the senior designer drowning in paper. Whatever the situation , the immediate task is to identify
the needed pieces of information and find or develop that information.
An important point to realize is that the information needed in design is
different from that usually associated with an academic course. Textbooks and
articles published in the scho larly technical journals usually are of lesser
importance. The need often is for more specific and current information than is
provided by those sources. Technical reports published as a result of
government,sponsored R&D , company reports , trade journals, patents, cata'
logs, a nd handbooks and literature published by vendors and suppliers of
material and equipment are important sources of information. Often the
missing piece of information can be supplied by a telephone call to a key
supplier. Discussions with in,house expe rts (often in the corporate R&D
As installed at the user's site What the user wanted
center) and outside consultants may prove helpful.
The following are some of the problems connected with obtaining
Information :

Where can I find it?

definitions of any special technical terms, the constraints placed on the design ,
and the eriter::: that will be used to evaluate the design.
Perhaps the best way to proceed is to develop a problem state ment at the
initial problem definition step and then , in the second iteration after much
information has been gathered , develop a much morc detailed proble m
statement that is usually called the problem anaiysjj.
Setting down the objectives and goals often raises questions of what to
include and what to exclude. One way to approach those questions was
suggested by Ira and Marthann Wilson . I They suggest four categories of
objectives and goals:
1. Musts. The set of requirements that must be mel
2. Must nots. A set of constraints stating what the system must not be or do
3. Wants. The requirements that are worth stating but are not hard and fast
4. Don 't wants.
1 I.G. Wilson and M.E. Wilson, "From Idea to Working Model:' Wiley.lnterscierw;e. New York.
1970.
How can I get it?
How credible and accu rate is the informatio n?
How should the information be interpreted for my specific need?
When do I have enough information?
What decisions result from the information?
( 'On4!eptualizafion
I he conceptualization step is to determine the elements, mechanisms, pro-
I ~·~Sts. or configurations that in some combination or other result in a design
Ihlll satisfies the need. It is the key step for employing inventiveness and
u ftlivity. Some ideas for stimulating creativity are given in Chap. 3 .
Very often the conceptualization step involves the formulation of a model
which may be either of the two general types: analytical and experimental. In
1II() ~1 of your engineering courses the emphasis has been o n the development of
,,"ulydenl models based o n physical principles, but experimental models are no
h '~~ Important. Modeli ng is considered in greater detail in Chap. 4.
A villli aspect of the conceptualization step is synthesis. Synthesis is the
10 ENOINEEJtII'!O DESIOI'!
process of taking the elements of the concept and arranging them in the proper
order, sized and dimensioned in the proper way . Synthesis is a creative process
and is present in every design.
Design is very individualized. There are no ironclad rules for teaching
successful design, and unfortunately very little has been written about the
conceptualization step that is at the heart of tbe design process. Gordon L.
Glegg, in his delightful little book on design , does list some guidelines that
have served him well through a productive engineering design career. I They
are worth passing on to the novice designer.
1. Don' t follow traditional design procedures unless you have examined other
approaches and found them to be wanting.
2. Oft'en one must complicate the design of some component to simplify the
design of the overall system .
3. Make allies of the materials from which you construct the design .
4. When faced with an overwhelmingly complex design task , subdivide the
problem into a number of smaller problems.
s. Keep abreast of developments in the physical sciences and feed them back
into your practical design solutions.
6. Remember that invention is the most fickle of a designer's muses, so do not
look down at inventions which are unsupported by science or analysis.
Evaluation
The evaluation step involves a thorough analysis of the design. The term
evaluation is used more in the sense of we ighing and judging than in the sense
of grading. Typically the evaluation step may involve deta.iled ca\cu~ati on,
often computer calculatio n, of the performance of the deSign by uSing an
analytical model. I n other cases the evaluation may involve extensive
simulated service testing of an experimental model o r perhaps a full·sized
prototype.
An important consideration at every step in the design, but especially as
the design nears completion, is checking. In general. there are two types of
checks that can be made: mathematical checks and engineeri ng-sense checks.
Mathematical checks are concerned with checking the arithmetic and the
equations used in the analytical model. Incidentally , the freq~ency of c~re less
math errors is a good reason why you shou ld adopt the practice of makmg all
your design calculations in a bou nd notebook. In that way you won't be
missing a vital calculation when you are fo rced by an error to go back and
check: things out. Just draw a line through the part in error and co nti nu~. It is
of special importance to ensure that every equation is dimensionally consistent.
'0 . L. OleA. op. al.
Engineering-sense checks have to do with whether the answers "feel
right." Even though the reliability of your feeling of rightness increases with
experience, you can now develop the habit of staring at your answer for a full
minute . rather than rushing on to do the next calculation. If the calculated
stress is Hrpsi , you know something went wrong! (Incidentally, fear of lOSing
their feel for the magnitude of the results is one reason why American
engineers are resisting the change to SI units.) Limit checks are a good form of
engineering-sense check. Let a critical parameter in your design approach
some limit (zero , infinity , etc.), and observe whether the equation behaves
properly.
We have stressed the iterative nature of design . Optimization techn iques
(see Chap. 5) most likely will be employed during the evaluation step to select
the best values of key design parameters. The management decision as to when
to stop the optimization process and "freeze the design" will be dictated chicHy
by considerations of time and money . An important question during the
evaluation is whether results of the design can be generalized to a class of
design rather than simply be a solut ion to a specific problem.
Communication of the Design
It must always be kept in mind that the purpose of the design is to satisfy the
needs of a customer or client. Therefore , the finalized design must be properly
communicated , or it may lose much of its impact or significance. The
communication is usually by oral presentation to the sponsor as well as by a
written design report. A recent survey showed that design engineers spend
60% of their time in discussing designs and preparing written documentation of
designs , while only 40% of the time is spent in analyzing designs and doing the
designing. Detailed engineering drawings, computer programs, and working
models are frequently part of the " deliverables" to the customer. It hardly
l1eeds to be emphasized that communication is not a o ne·time thing to be
curried out at the end of the project. In a well·run design project there is
(:onlinual oral and wrilten dialog between the project manager and the
lustomer. This extremely important subject is considered in greater depth in
('hap. 15.
1-4 A DETAILED MORPHOLOGY OF
I)ESIGN
rhe typical design project will break itself down into a number of time phases.
III accordance with Asimow's morphology of design , I we can consider the
rollowing phases .
'M Alill'lOW, op. eh.
12 ENGINEERING DESIGN
Phase I. Feasibility Study
The purpose of the feasibility study is to initiate the design and establish the
line of thinking. The goal in this phase is to validate the need, produce a
number of possible solutions, and evaluate the solutions on the basis of
physical realizability, economic worthwhileness, and financial feasibility. This
stage sometimes is called conceputal design.
Phase II. Preliminary Design
This phase lays the basis for good detail design by means of a structured
development of the design concept. The preliminary embodiment of aU the
main functions that must be performed by the product must be undertaken.
This involves the clear determination of the physical processes which govern
the main flows and conversions of material, energy, and information. This
design stage is often called embodiment design. It may also be called the
experimental stage, since it involves building and testing experimental models.
The importance of this stage of the design process is not always
appreciated. Once a concept has been formulated there is a tendency to rush
into detailed design before the concept has been carefully developed and its
full implications understood . An important task in preliminary design is to
quantify the parameters so as to establish the optimal solution. Thus , it is often
necessary to produce several layouts to scale to obtain information about the
advantages and disadvantages of different design variants. It is also at this
stage that a final check is made on function , strength, spatial compatibility,
design aesthetics, and on the financial viability of the project. Once beyond
this design phase major changes become very expensive.
Phase III. Detail Design
tn this phase the design is brought to the stage of a complete engineering
description of a tested and producible product. The arrangement , form ,
dimensions, tolerances, and surface properties of all individual parts are
determined and the materials and manufacturing processes are specified.
This is a challenging and time-consuming task because of the many
complex interrelationships involved. The quality and cost advantage of a
product are determined by the level of excellence of detail design . Also, it is at
this stage that manufacturing specialists should work closely with engineering
designers to assure that the product can be produced at acceptable cost and
quality.
Phases I, II , and 1lI carry the design from the realm of possibility to
probability to the real world of practicability; they constitute the primary
design . However, the design process is not fin ished with the delivery o f a set of
detailed engineering working drawings. Many other technical and business
decisions must be made and are really part of the design process . A great dC1i1
nlE DESIGN PROCESS 13
of thought and planning must go into how the design will be manufactured,
how it will be marketed , and finally, how it will be retired from service and
replaced by a new, improved design. Generally , these phases of the design
process are carried out elsewhere in the organization than in the engineering
department, which created the primary design. As the project proceeds into
the new phases, the expenditure of money and personnel time increases very
greatly .
Phase IV. Planning for ManuCacture
A great deal of detailed planning must be done to provide for the production
of the design. A method of manufacture must be established for each
component in the system. As a usual first step, a process sheet is established; it
contains a sequential list of manufacturing operations that must be performed
on the component. Also, it specifies the form and condition of the material and
th e tooling and production machines that will be used. The information on the
process sheet makes possible the estimation of the production cost of the
component. High costs may indicate the need for a change in material or a
hasic change in the design. Close interaction with manufacturing, industrial,
Ill Aterials , and mechanical engineers is important at this step. This topic IS
~Iiscussed more fully in Chap. 7.
The other important tasks performed in phase IV are the following:
I. Designing specialized tools and fixtures
a. Specifying the production plant that will be used (or designing a new plant)
And laying out the production lines
Pl an ning the work schedules and inventory controls (production control)
4, Planning the quality-control system
~. establishing the standard time and labor costs fo r each operation
•• establishing the system of information How necessary to control the
manufacturing operation
A II of these tasks are generally considered to fall within industrial or
1I11111ufttcturing engineering.
Ph.'if: V. Planning for Distribution
hlljl()ft Ant technical and business decisions must be made to provide for the
IIII'l.:twc distribution to the consumer of the systems that have been produced.
In jhc strict rea lm of design , the shipping package may be critical. Concepts
' Ill h "s shelf life may also be critical and may need to be addressed in the
I ,uller swgcs of the design process. A system of warehouses for distributing
1111' product may have to be designed if none exists.
nUl economic success of the design of len depends on the sk ill exercised
14 ENGINEERIHG DESIGN TME DESIGN PROCESS IS

in marketing the product. If the product is of the consumer type, the I Product Specification I
marketing effort is concentrated on advertising and news media techniques,
but highly technical products may require that the marketing step be a I
I
Develop Design Concept
technical activity supported by specialized sales brochures and performance
test data.
Analyze Cnllcal
I
DeslQn Features Historical and
Current Test Data
I
Phase VI. Planning for Use
I
I Create Detail Design I
Modify
The use of the design by the consumer is all-important, and considerations of
how the consumer will react to the product pervade all steps of the design
I Design
L Analyze Detail Design
process. The following specific topics can be identified as being important
j
user-oriented concerns in the design process: ease of maintenance, reliability,
product safety, convenience in use ( human factors engineering), aesthetic
I Generate Detailed Orawlngs

appeal, economy of operation, and duration of service. I

Obviously, these consumer-oriented issues must be introduced into the Build Prototype

design process at the very beginning. Phase VI of design is less well defined
than the others, but it is becoming increasingly important with the advent of DeSign ' \ Test Prototype
Databa5~ ~
consumer protection and product safety legislation. More strict interpretation
r.pc,CogO,C.=mCNl""CCM~"=h"iOO'~TOOO::::"~" I
l
of product liability laws is having a major impact on design.
An important phase VI activity is the acquisition of reliable data on and Automated Mfg. Equip
failures , service lives, and consumer complai nts and attitudes to provide a basis
for product improvement in the next design. Manufacture Product I
I
Phase VII. Planning for Retirement of the I Test FiOlshed Product
Product j
The final step in the design process is the disposal of the product when it has Ship Product . I
reached the end of its useful life. Useful life may be determined by actual I
deterioration and wear to the poi nt at which the design can no longer function , I Monitor Field Performance
or it may be determined by technological obsolescence, in which a competing ...CURE 1-4
design performs the function eithe r bette r or cheaper. In consumer products, it t ypic:al steps in the design of a new product.
may come about through changes in fashion or taste.
In the past , little attention has been given in the design process to
product retirement. In some areas, such as abandoned junk automobi les and Jlnnlysis, prototype testing, and product performance in the field can be used to
roadside litter of ca ns and bOllles, legislation has forced design changes {limed "np~ove the product. In modern design practice many of the de!Oign sleps are
at changing the product retirement phase. More importan t, we are facing an lud lltatcd by the use of computers (computer-aided design-CAD) and there
era of decreasing raw materials, just as we are now in an era of decreasing I!II u growing use of compute r-cont ro lled machine tools (computer-aided
energy supplies. This will necessitate the major changes in design philosophy manufacturing-CAM). The link between these two functions is the design
with respect to phase VII. Products will be designed with ease of scrap dlllilbase in digital form.
recovery as one of the major considerations. More emphasis will be given to
designing for several levels of use, so that when the service life at a higher level 1·5 t"URTHER CONSIDERATIONS IN
is terminated , the product will be adaptable to further use at a less-demanding UESIGN
level.
To conclude this section, look al Fig. 1-4 showing the Iypical steps in Ihe rhe preceding description of the design process has followed tbe time
evolution of a new product. The reader should be able to recognize the steps in IIcqucnce o f events in the usual project. However. design is so multifaceted
the design process in this diagram . Note how info rmation f10w from design Ilnd conce rned with trade-offs among so many factof!l that it is not possible to