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Machine Design with CAD and Optimization
Machine Design with CAD and Optimization
Sayed M. Metwalli
Faculty of Engineering, Cairo University
Egypt
This edition first published 2021
© 2021 Sayed M. Metwalli. Published 2021 by John Wiley and Sons Ltd
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any
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The right of Sayed M. Metwalli to be identified as the author of this work has been asserted in accordance with law.
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Names: Metwalli, Sayed, author. | John Wiley & Sons, Ltd., publisher.
Title: Machine design with CAD & optimization / Sayed Metwalli.
Description: First edition. | Hoboken, NJ : Wiley, 2021. | Includes index.
Identifiers: LCCN 2020025973 (print) | LCCN 2020025974 (ebook) | ISBN
9781119156642 (cloth) | ISBN 9781119156659 (adobe pdf) | ISBN
9781119156666 (epub)
Subjects: LCSH: Machine design–Computer-aided design. | Computer-aided
design.
Classification: LCC TJ233 .M48 2021 (print) | LCC TJ233 (ebook) | DDC
621.8/150285–dc23
LC record available at https://lccn.loc.gov/2020025973
LC ebook record available at https://lccn.loc.gov/2020025974
10 9 8 7 6 5 4 3 2 1
To all members of my family for their understanding, patience, and endless support.
To all my teachers and colleagues for their nourishing knowledge, inspiration, and backing.
To all my students for their perseverance, tolerance, efforts, and dedication.
vii
Contents
Preface xxiii
Acknowledgments xxvii
About the Companion Website xxix
1 Introduction to Design 3
1.1 Introduction 6
1.2 Phases of Design 8
1.3 Basic Mechanical Functions 9
1.4 Design Factors 11
1.5 Synthesis Approach to Design 12
1.6 Product Life Cycle 13
1.7 Business Measures 14
1.8 Research and Development Process in Product Cycle 15
1.9 Teamwork for Product or System Design 16
1.10 Design and Development Case Study 16
1.11 Units and Fundamentals 16
1.11.1 Units 17
1.11.1.1 Force and Mass 18
1.11.1.2 Pressure 19
1.11.1.3 Velocity, Acceleration, and Rotational Speed 19
1.11.1.4 Moments, Work, and Power 19
1.11.1.5 Weight 21
1.11.1.6 Prefixes 21
1.11.2 Unit Conversion 21
1.11.3 Vectors and Matrices 24
1.12 Summary 26
Problems 27
References 29
Internet Sites 30
viii Contents
2 Design Considerations 31
2.1 Mathematical Modeling 34
2.1.1 Mathematical Model Initiation and Adoption 35
2.1.2 Generalized System Modeling 40
2.1.3 Modeling of Loads and Material Variations 56
2.2 Calculation Tools 57
2.2.1 Excel© 57
2.2.2 MATLAB© 58
2.2.3 Computer-Aided Design (CAD) 59
2.2.4 Finite Element (FE) 60
2.3 Design Procedure 60
2.4 Manufacturing Processes 62
2.4.1 Casting or Molding 62
2.4.2 Deformation 63
2.4.3 Machining 64
2.4.4 Joining 65
2.4.5 Surface and Heat Treatment 65
2.4.6 3D Printing or Additive Manufacturing 66
2.4.7 Tolerances, Surface Finish, and Fits 67
2.4.7.1 Tolerances 67
2.4.7.2 Surface Finish 68
2.4.7.3 Fits 69
2.4.7.4 Fundamental Deviations 70
2.5 Standard Sets and Components 72
2.6 Codes and Standards 72
2.7 Summary 73
Problems 74
References 78
Internet Links (Selected) 78
Problems 89
References 90
Internet Links 90
4 Computer-Aided Design 91
4.1 3D Geometric Modeling and Viewing Transformation 95
4.1.1 3D Geometric Modeling 95
4.1.1.1 Geometric Computations 99
4.1.1.2 Topological Operations and the Euler Formula 99
4.1.1.3 Geometric and Global Operations 100
4.1.1.4 Procedures for Constructing a Single or a Compound Solid 100
4.1.2 Homogeneous Coordinates Versus Cartesian Coordinates 101
4.1.2.1 Point in Space 102
4.1.2.2 Vectors 102
4.1.2.3 Lines 102
4.1.2.4 Body Geometry and Vertices 103
4.1.3 Body Transformation 103
4.1.3.1 Translation 104
4.1.3.2 Rotation 104
4.1.3.3 Scaling 105
4.1.3.4 Zooming 105
4.1.3.5 Skewing 105
4.1.3.6 Perspective 105
4.1.3.7 Orthographic Projection 105
4.1.3.8 Body Transformation Systems 105
4.1.4 Stereo Viewing 109
4.1.5 3D Graphics 110
4.2 Parametric Modeling 111
4.2.1 Parametric Lines 111
4.2.1.1 Alternative Parametric Form 111
4.2.2 Parametric Planes 112
4.2.3 Parametric Bilinear Surfaces 115
4.2.4 Parametric Curves and Surfaces 117
4.2.5 Free-Form Parametric Curves and Surfaces 118
4.2.5.1 Surface Patches and Curves 118
4.2.5.2 Bezier Curves 120
4.2.5.3 Bezier Surfaces or Patches 122
4.2.5.4 B-Spline Curves 124
4.2.5.5 B-Spline Surfaces 128
4.2.5.6 NURBS 130
4.2.6 Intersections 131
4.2.6.1 Intersection of Two Lines 131
4.2.6.2 Intersection of a Line with a Plane 133
4.2.6.3 Intersection of Two Planes 133
4.2.6.4 Intersection of Three Planes 135
4.3 CAD Hardware and Software 135
x Contents
5 Optimization 155
5.1 Introduction 158
5.1.1 Formulation of Optimization Problem 160
5.1.1.1 Design Vector D 161
5.1.1.2 Objective Function f 161
5.1.1.3 Constraints 161
5.1.1.4 Problem Statement 161
5.1.1.5 Dimensional Considerations in Analytical Design “Nondimensionalization” 162
5.1.2 Classification of Optimization 165
5.1.2.1 Problem Classification 165
5.1.2.2 Methods of Optimization 165
5.1.2.3 Optimization Fields 166
5.2 Searches in One Direction 167
5.2.1 Quadratic Interpolation 167
5.2.2 Golden Section (Euclid) 169
5.2.3 Newton–Raphson 171
5.2.4 Other Methods 172
5.3 Multidimensional: Classical Indirect Approach 173
5.3.1 Unconstrained Problem 173
5.3.2 Equality Constrained Problem 176
5.3.2.1 Lagrange Multipliers 176
5.3.3 Inequality Constraints Problem 178
Contents xi
10 Springs 539
10.1 Types of Springs 542
10.2 Helical Springs 542
10.2.1 Geometry, Definitions, and Configurations 542
10.2.2 Stresses and Deflections 546
10.2.2.1 Static Loading 548
10.2.2.2 Dynamic Loading 548
10.2.3 Buckling 549
10.2.4 Resonance 550
10.2.5 Design Procedure 551
10.2.5.1 Initial Synthesis 551
10.2.5.2 Detailed Design 557
10.2.6 Extension Springs 563
10.2.7 Torsion Springs 565
10.3 Leaf Springs 567
10.3.1 Stresses and Deflections 567
10.3.2 Design Procedure 569
10.3.2.1 Initial Synthesis 569
10.3.2.2 Detailed Design 572
10.4 Belleville Springs 574
10.5 Elastomeric and Other Springs 576
10.6 Computer-Aided Design and Optimization 576
10.7 Summary 579
Problems 580
References 582
Internet: Information and Some Manufacturer 583
Internet: Images 583
17 Shafts 857
17.1 Types of Shafts and Axles 859
17.2 Mathematical Model 860
17.3 Initial Design Estimate 865
17.4 Detailed Design 867
17.5 Design for Rigidity 871
17.6 Critical Speed 872
17.7 Computer-Aided Design and Optimization 873
17.7.1 Shaft Materials 873
17.7.2 Computer-Aided Design of Shafts 873
17.7.3 Optimum Design of Shafts 877
17.8 Constructional Details 879
17.9 Summary 880
Problems 881
References 885
Internet Links 885
Index 949
xxiii
Preface
This book intends to provide the tools to “really design” or “synthesize” machine elements and assembly of
prospective machine elements in systems or products. It employs knowledge base, computer-aided design (CAD),
and optimization tools to directly define appropriate geometry and material selection of machine elements. The
treatment is set in both US and international (SI) units.
For each machine element, there is a chart, a simple Excel sheet or a Tablet, a MATLAB program, or an interac-
tive program to calculate the element geometry and to help in selecting suitable material.
The book is divided into three main parts:
1. Introduction and Design Considerations.
2. Knowledge-Based Design: Introduction to the new machine element synthesis for a real design intent, which
includes bases for computer-aided techniques. Overviews are dedicated for CAD and optimization fields.
Bases for stresses, deformations, and deflections in addition to materials static and dynamic strength are given
as cornerstones to synthesis of machine elements. These knowledge-based tools are utilized in the initial syn-
thesis of machine elements and system.
3. Detailed Design of Machine Elements: Rigorous traditional detailed design requirements are given for basic joints
and machine elements such as screws fasteners and permanent joins, springs, rolling bearings, and journal
bearings. This part of the text also covers power transmission elements such as spur gears; helical, bevel, and
worm gears; flexible elements; shafts; and clutches, breaks, and flywheel.
These parts include the following outline of chapters and enlightening pivotal details:
● The first part covers a basic introduction to machine design and presents several design factors to consider. It
introduces an overview of the design process and the necessary background knowledge and information that is
needed to make sound judgments in decision making.
The introduction discusses the main goal of the text and argues that it is intended to generate or create designs
directly through synthesis rather than designs by repeated analysis. This process is implemented in designing
machine elements. For system or product design, conceptual considerations and innovations are cited to gener-
ate better products or systems that include assembly of some of those machine elements. It necessitates exposure
to the necessary phases of design, basic mechanical functions, codes and standards, design factors, and proper
design approach to end up with a sound design assembly. It is also important to realize that for any product there
is a product life cycle. The design should consider important business measures, economics of scale, technol-
ogy adoption, and the research and development process in the product cycle. Teamwork for complex product
or large system design is indispensable to get the job done in an effective way and on schedule. Design and
development case studies are used to demonstrate the concepts covered in this introduction.
The designer will need to use mathematical modeling tools. Appropriate calculation resources must be at hand
to accomplish a good design. Manufacturing means and needed tolerance limits and surface quality must be
matched to effectively produce the intended design and guarantee its performance. The designer should be aware
xxiv Preface
of available standards, sets of original equipment manufacturer (OEM), and standard components to effectively
use them in the total construction of the design. The design procedure should also account for possible uses
of reverse engineering tools as exemplar knowledge so as not to reinvent the wheel particularly for starters or
design modifications of products or systems. The designer should also be aware of units, codes, and standards
particularly if the design is intended for a foreign client or a certain field with specific operating codes to abide by.
● In the knowledge-based design part of the text, certain introduction to CAD and optimization is presented. It is
necessary to have a thorough overview of these indispensable fields since they are utilized throughout the book
and for being common practice to design engineers nowadays. A thorough understanding of the subject and
techniques provides a solid foundation to use the tools efficiently and without ambiguity or pitfalls.
The ability of using CAD software is very essential to completing the design process of products or systems. It
increases the usage proficiency, allows the assembly of elements in 3D, avoiding interference of geometry, and
allows the utility of exporting elements for finite element (FE) analysis, 3D printing, and CNC code generation.
CAD is used effectively in photo realistic design viewing and presentation. The applications of virtual reality
render even more help in that regard particularly if more complex geometry variations exist. A demonstration
to this effect is also presented.
Optimization understanding is an important factor in the last stage of redesign. It allows the best design to be
implemented rather than the last iteration without a specific objective. The application of optimization tools
provides a strong performance of the iteration process without reaching unrealistic solutions. The proper use of
optimization successfully allows the optimum design of numerous machine elements for some specific objective
or multiple objectives. These optimum elements are offered as a better datum, initial design synthesis, and
further reference to other objectives.
Detailed coverage in those fields with sufficient mathematical treatments is provided in the defined chapters.
Please refer to the table of contents for characterization of these details.
● The real design synthesis approach is introduced in the Knowledge-Based Design part of the book. The neces-
sary knowledge in design foundation is presented. Knowledge about induced stresses and material failure due
to applied loading during intended performance is of a paramount importance. This knowledge is used to syn-
thesize the element geometry and select its material. These are the necessary characteristics of element design
synthesis.
Stress, deformation, and deflection knowledge are essential for full understanding of machine element with-
standing of real loading conditions and defining geometry to do that. Different means of loading calculations and
estimations are introduced including random load variations to appropriately find representative internal shear
and moments inside elements. Stress and deflection considerations are then accounted for and properly evalu-
ated. Simple and combined stresses are considered in evaluating the right state of stress in the element. Simple
straight members representing elements or more complex curved members are considered to evaluate stresses
and deflections in some machine elements. Strain energy means are also used to find deflections in more com-
plex elements. Some special loading considerations are covered in elements such as columns, variable section
members, and thermal effects due to temperature variations. Stress concentration ensued by existing holes,
notches, fillets, shoulders, and grooves must be considered in effectively evaluating the rise of internal stresses
inside the machine elements. The ability of using FE programs is then very essential in evaluating internal
stresses and different deformations due to complex geometry variations and complex loading conditions. Effec-
tive coverage of the finite element technique guarantees the suitable evaluation of machine element responses
to loading conditions. A demonstration to this effect is also provided. The finite element process can be used
effectively after defining both the geometry and the material that are explained in the subsequent chapters for
different machine elements.
Knowledge of material properties facilitates the appropriate selection of the material, which is a significant char-
acteristic of element design synthesis. Materials are defined by specific designation depending on established
Preface xxv
standards. Knowledge of designation allows the identification of material properties that are presented includ-
ing structure and failure modes. A large scope of material variations is provided to allow the consideration of
a wide variety of applications. Special groups of materials that are more suitable for specific machine elements
are predetermined in categories. With this knowledge, the selection of the material for that element is then
focused and narrowed down to a few possible choices. Hardness and strength relations provide support to an
even narrower selection of the material. Distinction between static and fatigue failure theories allows the dis-
tinct definition of the course of action to home in more on the most suitable material to be used. If the case
requires contemplation for toughness due to inevitable notch existence, a fracture mechanics approach is pro-
vided to account for appropriate safety. Cases of safety consideration and strength variations are examined for
failure prevention.
With the knowledge of generated stress and the material selection process, the initial design synthesis approach
of major machine elements is introduced. The intended initial design encompasses the definition of geometry
and the appropriate material of the machine element. CAD and optimization means are employed with this
focused knowledge to directly generate tools (charts, codes, and programs) to define the necessary geometry
(dimensions) of the element. This is the first significant identified characteristic of the initial design synthesis of
the element. The initial design synthesis family of elements covers most machine components such as beams,
columns, fasteners, springs, shafts, gears, bearings, belts, chains, ropes, clutches, etc. The appropriate selection
of material for each of these elements provides the second significant identified characteristic of the initial
design synthesis of the element. For product and system design, reverse engineering tools may provide insight
for proper design innovation particularly for inception or design modifications. Components in these products
or systems are handled specifically as previously synthesized.
● The traditional rigorous detailed design of machine elements can then be enacted after the initial design is syn-
thesized. This process strengthens the concept of the appropriateness of the initial design synthesis. It further
defines the more specific external and internal loading conditions and allows the definite evaluation of safety
and reliability if needed. The process is straightforward since the geometry and material have been decided upon
earlier in the initial synthesis of the element. The treatment is divided into two sections: (A) basic Joints and
Machine Elements and (B) Power Transmitting and Controlling Elements. The first section covers screws, fas-
teners, and permanent joints, springs, rolling bearings, and journal bearings. The second section covers spur,
helical, bevel, and worm gears, flexible elements, shafts, clutches, breaks, couplings, and flywheels.
Detailed coverage of particulars of those elements with extensive mathematical derivations and calculation treat-
ments are provided in the subsequent chapters. Please refer to the table of contents for details.
It should be noted that the coverage includes CAD and optimization of the incorporated machine elements. This
is also provided through numerous computer tools in the form of Excel© Synthesis Tablets and MATLAB© CAD
or CAD codes. Available also is a specialized interactive software (PanDesign) that implements the rigorous
procedures for some basic elements, applying detailed design iterations and further recursion for optimization
in addition to providing assembly of the elements for mostly SI units. This software has been used extensively
by students and by few industries in the past.
The approach and means presented in the book intend to accomplish the following:
● Provides the tools to perform a new direct design synthesis rather than design by a process of repeated analysis.
● Knowledge-based design utilization of CAD tools, software, and optimum component design for the new direct
design synthesis of machine elements.
● Allows initial suitable design synthesis in a very short time (five minutes for a machine element).
● Utility of CAD and optimization to attain better designs.
The synthesis approach has evolved through its implementation in my machine design courses at Cairo Uni-
versity ever since 1988. It has also been implemented for a short time at The American University in Cairo. Other
xxvi Preface
traditional machine design courses have also been taught at several other universities and organizations during
the span of my career.
It is expected that if other fields are treated with the same provided concepts and practices, much better designs
would materialize.
This text is intended for a wide scope of courses. It can be used at the introductory as well as at the advance
level machine design. The book reviews several bases and prerequisites of machine design courses. Prerequisite
knowledge is of most regular capstone machine design courses in most engineering schools around the world.
The book can also cover more than one semester course. The selection of topics for each course depends on the
prerequisite coverage, scope, and objectives of each course. Advanced sections and adequately covered prerequisite
materials can be skipped.
Machine design has been my great interest, hobby, profession, research, and educational field since even before
my graduation with an engineering degree from Cairo University, Egypt in 1965. Since my graduation, it has con-
tinued to be my passion in teaching, consultation, design of mechanical products, developing CAD tools, and in
design optimization applications. During that time, the concept of real design synthesis has evolved and imple-
mented in the machine design courses taught since the 1980s.
Undergraduate engineering major students and junior graduate engineers have limited to little design experi-
ence. That is why they needed a simple tool to generate reasonable designs in a short time with no or very little
iteration. The design should provide synthesis to geometry as well as suitable material selection. The design has
thus far been obtained by utilizing previous knowledge, developed selection charts, CAD, and optimization pro-
cedures. Through this process, the participants have been able to generate component design in a short time.
Almost all machine elements have been designed directly by this knowledge-based concept. Very rigorous checks
are performed afterwards (detailed calculations) to guarantee the suitability and robustness of the original initially
synthesized design. CAD software has also been developed to implement the new concept to several machine ele-
ments and system assembly. It also allowed the users to export the 3D geometry and details to other geometric
modeling (CAD) software.
It is envisioned that the book can provide students and engineers with the new CAD and optimization tools and
skills to generate real design synthesis of machine elements and systems on solid ground for better development of
products and systems. Many of the engineering graduates had this experience and grasped the introduced concepts
and tools. Their feedbacks indicate that they still use their lecture notes as an indispensable reference in their
careers.
Acknowledgments
This text has been the culmination of nourishing knowledge, efforts, responses, and support of my teachers,
colleagues, and students. It is difficult to name all, but one has at least to remember some and most probably
inadvertently miss to mention others. I am indebted to my late teachers H. Fahmy, G. Shawki, S Bayoumi, and
others of Cairo University. In my graduate work, it is my pleasure to have had Roger Mayne as my PhD advisor
and friend at the University at Buffalo. During my professional career, I would like to acknowledge Douglas Wild of
Stanford University, Salah Elmaghraby of NC State, Glen Johnson of Tennessee Tech, Steve Velinsky of UC Davis,
Daniel Inman of the University of Michigan, Panos Papalambros of the University of Michigan, Yasser Hosni of
UCF, Ahmed Shabana of UIC, Judy Vance of Iowa State, Waguih and Hoda El Maraghy of Windsor University,
Mohamed Trabia of UNLV, Georges Fadel of Clemson University, Amr Baz of the University of Maryland, Elsayed
Elsayed of Rutgers University, Ashwani Gupta of the University of Maryland, H Ezzat Khalifa of Syracuse Univer-
sity, Shaker Meguid of the University of Toronto, Farrokh Mistree of the University of Oklahoma, Singiresu Rao
of the University of Miami, David Rosen of Georgia Tech, Jami Shah of Ohio State, Osman Shinaishin of NSF,
Mohamed Zikry of NC State, Mahmoud El Sherif of Drexel University, and many others for inspiring my research
and endeavors. Of my colleagues, I would like to cite M. Younan of AUC and I. Fawzi, M. Elaraby, A. Mostafa,
H. Arafa, A. Ragab, A. Radwan, M. Mokhtar, M. Said, A. Wifi, and the rest of the department faculty members
at Cairo University and so many others for being there. Of my former students and present colleagues, I would
like to mention and thank H. Ghoneim of RIT, S. Megahed of Cairo University, A. Elzoghby of Cairo University,
M. Sharobeam of Stockton University, A. Nassef of AUC, A. Bastawros of Iowa State, A. El Danaf of Cairo Uni-
versity, H. Hegazi of Cairo University, M. Shalaby of GE, and so many others of my graduate students for their
perseverance, tolerance, efforts, and dedication.
I would like to thank Cairo University for providing means and tools to complete the endeavors of this job.
Thanks are also due for the Mechanical Design and Production Engineering Department and its members for the
understanding of the undertaking efforts needed to complete this work. Thanks are also due for the John Wiley &
Sons staff for their patience, tolerance, and dedication in support of producing a proper, consistent, and clear text.
xxix
https://www.wiley.com/go/metwalli/machine
● Solutions Manual
1
Part I
1
Introduction to Design
A design is understood to be an object that fulfils a function or performs a job. Different designs can be of objects
other than machines. In engineering, design can be associated with different fields of engineering such as bridges
and highways in civil engineering; ship design in marine engineering; electric motors, computers, and communi-
cation equipment in electrical and electronic engineering; and so on. In mechanical engineering, machine design,
engines, turbines, pumps, and heating or cooling systems are some of the main areas of mechanical design.
Machine design, however, can be defined as the process of getting the design of a machine and its components.
The design of a machine can be understood as the machine form and construction as an object that is made to
perform the function of the machine. The machine is generally a device composed of moving parts to perform
a function that consumes or transforms power or energy. A motorcycle or a vehicle is a machine that transforms
energy into moving a person or persons from one point to the other and consumes energy generated by the engine
or the motor to do so. The consumed energy is spent mainly in overcoming air and ground resistances, accelera-
tion and deceleration, and potential energy for different elevations up or down if no regenerative mean is present.
Figure 1.1 shows an example of a trans-mixer design that transports concrete from a mixing station to a construc-
tion site. The truck carrying the mixer consumes power in continuous rotation and in transporting the concrete
charge over the roads to the construction site. A separate power is usually used to keep the mixer drum continu-
ously rotating during transit, accelerations and decelerations, and pouring the concrete into the desired location
(Badawy et al. 1994). The machine tool is another design of a complex device consuming energy in producing
components by machining or other manufacturing processes. A mechanism is also a machine that is used in many
equipment and other contraptions.
Machine design in this text is considered as the design process of the machine or the design. It involves the
process of assembly of mechanical components to form a design of the machine. In this text the process to get
the component design is done mainly by synthesis rather than repeated analysis. The resulting component is the
design of the component. The process of getting the design is the synthesis of the component. The adopted synthe-
sis process is simple, but it is so sophisticated in the sense of using the maximum utilization of knowledge-base and
previous results of optimization. The handling of different machine elements will demonstrate such a paradigm
throughout the text. Assembly of synthesized optimum components into machine systems should evidently pro-
duce better machines. This is the obvious expected strategy of a better machine design. In general, this chapter
gives an overview of the design process with relations to general machine design and its larger associated fields. It
also covers the standard units used throughout the text and the fundamentals necessarily needed for the successful
understanding through the course of study.
Machine Design with CAD and Optimization, First Edition. Sayed M. Metwalli.
© 2021 Sayed M. Metwalli. Published 2021 by John Wiley and Sons Ltd.
Companion website: www.wiley.com/go/metwalli/machine
4 1 Introduction to Design
Figure 1.1 A trans-mixer design that transports concrete from a mixing station to a construction site. Source: Sayed
Metwalli.
$ US dollar
∘C Temperature in Celsius, [∘ C]
∘F Temperature in Fahrenheit, [∘ F]
∘K Temperature in Kelvin, [∘ K]
3D Three-dimensional
a Acceleration, [m/s2 ] or [in/s2 ]
A Area, [m2 ] or [in2 ]
A Electric current in ampere [A]
AC Alternating electric current
CAD Computer-aided design
CAD Computer aided drafting
CAE Computer-aided engineering
CAM Computer-aided manufacturing
CAS Computer-aided synthesis
cd Luminous intensity in candela [cd]
Cell Cellular phone
CIP Concurrent idea to product
CNC Computerized numerical control machine
1 Introduction to Design 5
RE Reverse engineering
rad Radian angle (2𝜋 rad = 360∘ ) [rad]
s Time (US or SI), second [s]
SAE Society of Automotive Engineers
SI International System of Units, [m, kg, s]
slug A mass in US set of units, [lb s2 /ft]
STL Stereolithography or standard tessellation language
t Time in seconds, [s]
T Torque, [in lb] or [m N], ([lb in] or [N m])
US United States (customary US units), [in lb s]
v Velocity, [in/s] or [m/s]
wkg Weight of a [kg] mass in Newton
wlbm Weight of a [lbm ] mass in pound [lb]
wslug Weight of a [slug] mass in pound [lb]
W Work or energy E, [lb in] or joule [J] ≡ [N m]
Wi-Fi Wireless fidelity communication network
𝛿 Displacement, [m] or [mm]
𝜃 Angle of rotation in radians, [rad]
𝜔 Angular velocity, [rad/s]
𝜔H Frequency [rev/s] or [s−1 ], hertz [Hz] or [s−1 ]
1.1 Introduction
Machine design is an eventual termination field of mechanical engineering. It should utilize all previous knowl-
edge and innovations in mechanical engineering and other related fields. Some contraptions and inventions,
however, might result from clever minds without significant knowledge of mechanical engineering subjects. These
cases are the exceptions and not the overwhelming rule. The generation of new designs is usually stemming from
individuals with ample knowledge of mechanical engineering, in addition to some capacity for inventiveness and
critical mind for upgrading existing designs. The main constructing blocks of machine design are the machine
components or machine elements. These are covered herein and in most of general machine design textbooks and
references. The thorough analysis of these machine elements is the foundation for their proper utilization in a
whole machine, a product, or a mechanical system. The machine, or the design, or the system is an assembly
of some machine elements to perform certain function or task. The assembly of these elements is created from
scratch or from an imitation to some comparable assemblies that would perform the same function or task. This
conceptual and cognitive process would require experience and knowledge-based methodology. The intention of
this text is not focused on generating products, systems, or machines as such. It focuses on the thorough consid-
eration of the appropriate design or synthesis of the basic machine elements comprising those machines. Better
design of machine elements should normally produce better assembly of components in machines. These are also
provided in some useful applications in here. The goal of this book is to synthesize and employ optimization in a
1.1 Introduction 7
new procedure of a real computer-aided design (CAD). This generates methods that exploit knowledge-base and
optimization for a computer-aided synthesis (CAS) of machine elements. This would almost surely produce better
assembly of mechanical systems or designs.
The traditional design process usually employs repeated analysis to home into the geometry of the element
and the material selection of that element. The repeated analysis is found necessary since most representative
analytical models generate expressions that are implicit and not usually explicit in form. The implicit mathematical
models do not allow the design parameters to be explicitly defined in terms of the other input data or parameters.
As an example for designing a shaft connecting an engine or a motor to an impeller or a fan, the shaft diameter
is not mathematically defined explicitly in terms of all other complex input loads and other essential parameters.
This indicates that it is not simple or possible to have the diameter in an equation as equal to a complex expression
in all other inputs and parameters. Some of these parameters are usually function of the diameter and cannot
be explicitly separated or extracted. Without any previous knowledge of the appropriate solution, iterations are
necessary to reach the proper diameter. Our approach resolves this dilemma by employing preliminary synthesis
that converges close to the proper diameter by employing knowledge-based expectation and simple or formalized
optimization. The process is dubbed here as an initial synthesis. Refinements of results may need a minimum of
further iterations.
Machines, mechanical systems, or products are usually assemblies of some basic machine elements. Standard
machine components are some of these machine elements such as bolts and rivets, standard beams or plates, and
keys, pins, and retaining rings. Some combinations of other basic components form standard machine elements
such as seals, ball screws, couplings, rolling bearings, and chains. Other machine components are mass produced in
specific dimensions to help designer use such elements economically such as springs, linings of journal bearings,
some gears, wires, and ropes. In a mechanical system or product design, one can use already available subsystems in
a total design configuration such as engines, motors, valves, actuators, and even a full transmission or a differential of
a vehicle. Specialized manufacturers provide such subsystems as components of “original equipment manufacturer
(OEM)” to be assembled in other complex products. Inventions are new systems or components that have patents
protections. The use of these inventions should be done with the approval of the inventor or as a whole, which is
produced under the inventor’s consent.
Design of machines or machine components requires ample knowledge and experience. To offset that demand-
ing prerequisites, knowledge-base, CAD, expert systems, and optimum design are utilized to ease the design process.
Few prerequisites are necessary to have sufficient background and some creativity to attain good designs. All
previous studies of subjects and courses in engineering, mechanical, and related fields are indispensable back-
ground knowledge that is very beneficially employed in the design process. Traditionally mechanical engineering
curriculum including mathematics, physics, statics, dynamics, graphics, mechanism’s kinematics, material sci-
ence, strength of materials, and others are basics for machine design. Thermodynamics, heat transfer, and fluid
mechanics are also needed for the design of such interacting systems and designs for these fields. The underlying
tools in these fields are applied mathematics and physics. The need for modeling, calculating, and simulating and
other tools are essential to guarantee, verify, and validate such tools and their results. CAD packages are needed to
accomplish some of such tasks. Several programs are available to perform some of these needs such as 3D geomet-
ric modeling, finite elements (FEs), flexible body dynamics, and other packages. Most of these are, however, analysis
rather than design tools. The design is usually attained by repeated analysis then the result is delivered to the 3D
geometric modeling programs for further processing such as adjusting or checking by some connected finite ele-
ment program. If one starts with a guess of the 3D model, it will take several finite element reruns to iterate or reach
an optimum solution. It would be better to start synthesizing the components and use these as optimum designs
before the 3D modeling and finite element verifications. It is the intention of this text to adopt this approach and
deliver sufficient tools and definite procedures to achieve a significant fraction of this task. Reruns are therefore
minimized to only adjust and fine-tune the design to accommodate other special secondary requirements.
8 1 Introduction to Design
Design concepts
and
system identification
Physical analysis
Economics and
financial analysis
Mathematical model
and synthesis
Sensitivity,
compatibility,
and stability
analysis
Optimization
Projection, prediction,
and testing
perform analysis of compatibility, sensitivity, and stability of design parameters. This is to define the proper fit
between components and find sensitive and stable parameters for more appropriately adjusted design. Further-
more, math and computers are also needed to optimize the design for some other objectives in cost or performance.
Applying mathematical trend analysis and conducting tests in labs can provide projection, prediction, and assess-
ment of the design performance into the future. If not so satisfactory, one would feedback to reiterate from the
beginning of the synthesis. With that, a better performance and expectations are attained for the accepted design
proposals.
Detailed design is the last phase of the process to develop improved optimum design that can be produced and
introduced into the market as shown in Figure 1.4. Preparations for such a design necessitate experience and pro-
duce the necessary budget and organization. By means of that and technical knowledge, subsystems, components,
and parts descriptions are realized to guarantee a good fit. Specifications, 3D models, or drawings are subsequently
the outcome. The 3D models or the assembly drawings are defined by utilizing technical experience and software.
These create complete engineering description of the design that fits the requirements. The construction of the
design and its testing should then need workshops and labs to produce a prototype. Redesign and optimization are
further required to generate a better and improved optimum design by employing more mathematical and techni-
cal knowledge. If outcome is not satisfactory, one would feedback to reiterate from the beginning of the detailed
design process. Some aspects of redesign might also require going back to the initial phase of synthesis if some
new features have not been already accounted for or covered in that phase.
Subsystems,
components and
parts description
3D model
or assembly
drawings
Construction
and test
Redesign and
optimization
Table 1.1 Basic mechanical functions and some of their detailed elemental functions for a complex machine.
Supporting Attaching, motion constraining, pivoting, removable fastening, limiting, continuous rolling, latching,
fastening, load distributing, force limiting, flexible supporting, and sliding
Power Force or torque or motion transmitting, friction reduction, energy transforming or absorbing, linking,
transmitting coupling, clutching, liquid or gas transferring, pumping, deflecting, lighting, and electrical or signal
conducting
Enclosing Protective covering, shielding, pressure supporting, covering, flexible spacing, and shape constraining
Sealing Sealing, liquid constraining, contaminant constraining, gas constraining, filtering, variable position
maintenance, and vibrations or sound and thermal insulation
Sensing Force sensing and indicating, displacement or position sensing and indicating, pressure and
temperature sensing and indicating, information indicating, and viewing
Controlling Guiding, stabilizing, pressure increasing or limiting, motion reduction or damping or limiting,
partitioning, position restoring, disconnecting, gas switching, power absorbing, sound absorbing,
damping, gas guiding, force or position maintaining, energy storing, liquid or gas storing, torque
limiting, electric switching, electrical amplifying or limiting, and electrical reducing or insulating
Form Appearance, streamlining, artistic shape and color, viewing, and spacing
aesthetics
mechanical functions and other few related non-mechanical functions can be observed as shown in Table 1.1 as
one example of a complex mechanical system such as a helicopter, an airplane, or a vehicle. Categorizing these
elemental functions into basic functions simplifies tackling of complex machines and gives insight into the basic
treatments of these functions. The basic mechanical functions that are of concern in this text are the supporting,
power transmission, enclosing, and sealing functions. The machine components that are considered herein serve
1.4 Design Factors 11
these functions. Beams, columns, plates, rolling and journal bearings, and even shafts are used as supporting
elements. Screws; bolts, rivets, keys, splines, pins, retaining rings, permanent welded or bonded joints, and springs
are also types of supporting elements. They join other elements and cause one to be supported by the other and
carry loads. Springs, in addition, can also be used as part of sensing and controlling elements. Power transmission
components that are the major thrust of this text are elements such as power and ball screws, couplings, gears, belts
and chains, wires and ropes, shafts, flywheels, clutches, and breaks. Flywheels, clutches, and breaks, however, are
also considered as power controlling elements. Enclosing and sealing is extremely important in machine design.
Most of power transmission elements and other machines require housing on frames or in some enclosure. With
components connected to these housings or enclosures, one usually need sealing to prevent fluids or unwanted
particles or materials to be exchanged with either internal or external environment. Even though sensing and other
controlling elements would have mechanical functions, they are usually treated in the measurements and control
courses. Few of our basic machine elements are used extensively in the design of these systems. The treatment
presented herein can be very useful in that regard. Form, texture, and color aesthetics are very essential in so
many designs of products or machines that are used by regular consumers. In designing teams of these products,
there should be some artistic talents to satisfy the aesthetics requirements.
other interacting elements. The surface finish and tolerance would necessitate the selection of the suit-
able production process and the proper machine tool. Details of fits, tolerance assignment, surface finish,
and related manufacturing processes and methods such as casting, sheet metal work, machining, etc. are
covered in Section 2.4.
iv. Assemblies of components or subsystems to complete the design require the considerations of proper fits
between components and needed fittings to assemble. Assembly procedure and disassembly for mainte-
nance should be carefully accounted for during the design process. Most geometric modeling software has
this check as available options; See Section 2.2.
C. Safety and Reliability:
The design should perform the intended function safely and reliably. The safety implies that the maximum
conditions of loading are within the allowable limits. The adoption of an appropriate safety factor guarantees
that all possible loading conditions are accounted for. All loads can be tolerated and should be within the
allowable boundaries. The safety factor is the ratio of the design failure limit and the allowable loading the
design is exposed to. For multiple components, it is expected that the optimum safety factor should be about
the same for all components.
Reliability is a measure that has a value related to the randomness of both loading conditions and properties
of selected materials. It is the higher probability percentage of design survival relative to a lower probability of
failure occurrence. To quantify the reliability, probabilistic design procedure is applied. A limited treatment in
that field is presented later on. Usually a higher safety factor increases the reliability. An extensive treatment
of probabilistic design is beyond the scope of this text; see also Metwalli et al. (1983, 1989).
D. Cost and Economy:
The total cost of the product or the machine including running cost is an important factor for the successful
entrenchment in the market. Reliability can reduce the need for maintenance. Friction, wear, and corrosion
affect running and maintenance cost with the need for lubrication replacement, scheduling, or concern. These
affect product economy and the perception of quality.
of the design has a priority during the synthesis process to guarantee that the design is producible and maintain-
able. Computer-aided manufacturing (CAM) and computer numerical control (CNC) machine codes or standard
tessellation language (STL) code for 3D printing of components can generate prototypes to check on those and
other concerns of design form and performance.
1.0
Returns Product cycle
Development
0.8
wins market
share
0.6 Sales
0.4 Innovative
designs
0.2 create new
markets
0
0 2 4 6 8 10 12
Relative time
Figure 1.5 Sketch of the usual product life cycle indicating stages of innovative introduction, growth due to developments,
maturity, and decline.
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