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Quality Management
in the Automobile Industry

4
Quality Assurance in the
Process Landscape
– General, risk analyses, methods, process models –
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4
Verband der
Automobilindustrie
Quality Management
Process Landscape
- General, risk analyses, methods, process models -
DFMA
st
1 edition 2008
English version published in 2009


Foreword to first edition
This description of the DFMA approach was drawn up as a part of the work
of the DFMA Automotive Forum and is made available to the VDA for pub-
lication in Volume 4 "Quality Assurance in the Process Landscape –
General, risk analyses, methods, process models".
We thank the participating companies and their staff members for the work
put into preparing this chapter. The following companies collaborated in its
preparation:
Adam Opel AG
Audi AG
BMW Group
Daimler AG
Fachhochschule Rosenheim, University of Applied Science
MAGNA STEYR Fahrzeugtechnik AG & CO KG
Volkswagen AG
Thanks also go to all who gave us their suggestions for its preparation and
improvement.
Oberursel, August 2008
Verband der Automobilindustrie e.V. (VDA)

VDA-Volume 4: DFMA
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Contents Page
Foreword to first edition 1

1 Introduction 3
2 Approach 4
3 Principles 5
3.1 Principle of Design for Manufacture (DFM) 5
3.2 Principle of Design For Assembly (DFA) 5
3.3 Principle of Design for Service (DFS) 6
3.4 Principal of Design for Environment (DFE) 7
4 Objectives, point of application, pre-requisites, approach 7

4.1 Objectives 7
4.2 Point of application 8
4.3 Pre-requisites 8
4.4 Approach -workflow and process steps 9
4.4.1 Selection of the system to be considered 10
4.4.2 Analysis of the current situation 10
4.4.3 Development, evaluation and selection of ideas 11
4.4.4 Checking proposed solutions 11
4.4.5 Decision making 11
4.4.6 Monitoring implementation, effectiveness of the approach 11
5 Duties and requirements, DFA Moderator 12
6 Possible support with aids /tools 12
7 Example 13
8 Literature 16

2 VDA-Volume 4: DFMA

1 Introduction
It is a fact that, in the product development process, the product costs are
defined at a very early phase while the actual costs do not arise until much
later. Product refinement is thereby often neglected in the early phases,
since the concrete design for manufacturing and assembly is still very diffi-
cult at this stage. The more concretely the product is defined as the devel-
opment process continues, the harder it becomes to take account of the
concerns of manufacturing and assembly and the higher the costs in time
and money of any product changes required (the "rule of ten").
The objective is, in the early phase of the product development process, to
reach agreement with all departments involved in the product (i.e. the re-
quired technical changes should be made at this stage so that no further
changes are needed at the start of series production) so that the require-
ments of all involved in the product can be taken into account in the product
design.
In practice, however, during the early phases of the product development
process, there are often insufficient resources available for intensive design
of the product for manufacture and assembly, as work is needed on earlier
products (shortly before start of production) and the necessary changes
can only be implemented in part and at high cost due to pressure of time.
An attempt will then be made, shortly before start of production, to fit the
changes in "artificially" (e.g. with a "design stop"), which is, however, not
possible as the product would not work like that. As a result, very time and
cost-intensive product adjustments will be needed after production start.
This vicious circle is represented in fig. 1.
Number of technical
changes „Practice“
„Objective“
- Time
Start of production
Fig. 1: Number of technical changes during product development: desired curve and
curve often encountered in practice

VDA-Volume 4: DFMA

In Simultaneous Engineering Teams (Simultaneous Engineering SE, is
represented in fig. 2) and with suitable methodological support, this vicious
circle can be broken. An effective methodology can be the "Design for Ma-
nufacture and Assembly (DFMA)" approach.
Simultaneous Engineering
Design & development
Entwicklung / Konstruktion Sequential workflow
sequentieller Ablauf
Production planning
Procurement
Tool design‘ & manufacture
-
Q-manag.
Fertigung
Production
Time saving
Zeitersparnis
Design & development
Production planning Parallel workflow
paralleler Ablauf
Procurement
Einkauf
Tool design
Wzg & man.
‘konstr
./--bau Production
Fertigung
Quality management
TimeZeit
Fig. 2: Principle of Simultaneous Engineering (SE) /2/
2 Approach
DFMA embodies a number of approaches, often described as Design for X.

The best know "Design for X" approaches are (with reference to BDI /3, 4/):
a. Design for Manufacture (DFM)

The product design is optimised for manufacturability. The parts manufac-
turing cost and manufacturing process and tooling costs are optimised by
design.
b. Design for Assembly (DFA)

The product design is optimised for assembly. This means that, even in the
early phases of the product development process, the assembly costs are
minimised while keeping manufacturing costs to a minimum. The assembly
requirements are given special consideration in the design of the finished
product.


c. Design for Service (DFS)
This approach considers the customer's demand for repair, service, spare
parts etc. to be kept as low as possible or avoided altogether. At the same
time, the manufacturer's guarantee costs are reduced.
d. Design for Environment (DFE)

DFE considers environmental compatibility and, in particular, product recy-
cling. The product is so designed that, at the end of its life, its disposal
costs are minimised. In the German automotive industry, product design for
recycling has been raised to a high level of importance with the product
take-back order.
3 Principles
3.1 Principle of Design for Manufacture (DFM)
Design for Manufacture is based on a few underlying principles:
a) determination of the tooling costs,

b) determination of the manufacturing costs,
c) conclusions/opinions on design alternatives,
d) determination of the theoretically possible minimum tooling and manu-
facturing costs through benchmark comparisons with similar products,
e) determination of an indicator number for the manufacturability by set-
ting the actually required tooling and manufacturing costs for a product
against those for an ideally designed product.
Manufacturing Index = (actual tooling costs / ideal tooling costs) + (actual

manufacturing costs / ideal manufacturing costs).
3.2 Principle of Design For Assembly (DFA)
Design for Assembly is based on a few underlying principles:
a) determination of the assembly time from the time for handling and the
time for jointing,
b) determination that an ideally designed part can be assembled in three
seconds (insertion of an appropriately dimensioned ball in a hole with
guide countersink),
d) determination of the theoretically possible minimum number of parts,

VDA-Volume 4: DFMA

e) determination of an indicator number for the ease of assembly by set-
ting the time actually required to assemble a product against that for an
ideally designed product.
Further parameters can be determined according to the various methods

and levels of detail (e.g. assembly costs, product design proposals, state-
ments about tool and equipment etc.).
Fig. 3 shows a representation of this approach. 3.
Parts handling (Th)
Assembly time (Ta)
Jointing (Tj)
Design Index
3 x Mq min Assembly time 3 s Time to assemble

DI = x 100
Ta an ideally designed part
• Movement relative to other parts required?

estimated min num-
ber of parts (Mq) • Different material or separation required?
• Separation required on assembly/disassembly grounds?
Fig. 3: The principal of Design for Assembly (manual assembly), with re-
ference to BDI /3/
3.3 Principle of Design for Service (DFS)

Design for Service is based on a few underlying principles:
a) determination of service/repair time,

b) determination of materials / spare parts costs,
d) determination of the theoretically possible minimum service time
and materials / spare parts costs through benchmark comparisons
with similar products,
e) determination of an indicator number for the serviceability by set-
ting the actually required and actual materials / spare parts costs
for the service/repair of a product against the time and costs for an
ideally designed product.
Service index = (actual time required / ideal time required) + (actual materi-
als / spare parts costs / ideal costs).


3.4 Principle of Design for Environment (DFE)
Design for Environment is based on a few underlying principles:
a) determination of the disposal costs,

b) conclusions/opinions on design alternatives,
c) determination of the theoretically possible minimum disposal costs
through benchmark comparisons with similar products.
d) determination of an indicator number for the recyclability by setting
the actually required disposal costs for a product against those for
an ideally designed product.
Environment Index = (actual disposal costs / ideal disposal costs)
4 Objectives, point of application, pre-requisites, approach
4.1 Objectives
Experience shows that products optimised for costs, materials and

parts have smoother running production and higher reliability in use.
The DFMA approach, through the involvement of specialists from develop-
ment, planning, production, quality management, marketing, purchasing
and other departments affected, uses the whole knowledge base. This
avoids misunderstandings and ensures that information is transferred in
good time, specifications are met, product adjustment costs are reduced,
development time is shortened and that valuable development and plan-
ning capacities are thereby used correctly.
In the concept phase, decision-making is supported and accelerated

through the systematic development and evaluation alternatives and the
speedy and objective assessment of their costs.
In the development phase, reduction of the number of parts, the simplifica-
tion of their design and product design for manufacture lead to optimised
production costs (consisting of parts costs, production costs, tool and
equipment investments) for the quantities in question. In addition, assembly
costs are reduced and the demands of ergonomics and workplace organi-
sation are taken into account.
Through uniform and comprehensible documentation of the use of the ap-
proach, information exchange is improved in the SE process and adjust-
ment costs are reduced.
The overall result is an improvement of quality and a reduction of complex-
ity and failure possibilities.

VDA-Volume 4: DFMA

4.2 Point of application
From the objectives of the DFMA approach, its use for the design or opti-
misation of products and processes is possible at all stages of the product
life cycle.
The DfX group of approaches makes it possible to design or optimise a
product for manufacture, assembly, service and recycling at all stages of
the product life cycle.
Reasons for its use are, for example
• the concept decision must be confirmed by systematically pro-
duced and evaluated alternatives
• the weight must be reduced
• there is a target cost conflict
• we have been found to be behind the competition
• the product cannot be produced as thought, e.g. feedback from
suppliers, simulation or FMEA etc.
• high repair cost
• ergonomic problems
• reduction of rework
• design does not meet assembly targets
It is most effective/beneficial, however, in the early phase of the product

development process (concept phase).
4.3 Pre-requisites
For effective and reasonable use of the DfX group of approaches some
pre-requisites of a system technical or organisational nature must be ful-
filled.
On the system side, a description of the product concept, product or proc-

ess must be available in as much detail as possible (quantities, variants,
boundary conditions and so on). Cost information (investments, product
and assembly costs), so far as available, or costs of earlier or similar sys-
tems must be brought into the discussion.
From the objectives and reasons for use set out above, concrete and
measurable objectives of the use of the approach must be derived and a
task to be performed must be agreed.


On the organisational side, an interdisciplinary team, with its members
drawn from the departments involved (e.g. development, planning, produc-
tion, purchasing, quality assurance, controlling, customer service, supplier),
is to be formed and its capacities planned for the work on the design ap-
proach. For a systematic and methodical workflow, a trained moderator, in-
ternal or external, is required. Support from "lateral thinkers" from outside
the project raises the chances of success.
4.4 Approach -workflow and process steps
The approach involves the following essential steps:
4.4.1 Selection of the system to be considered

4.4.2 Analysis of the current situation
4.4.3 Development, evaluation and selection of ideas
4.4.4 Checking proposed solutions
4.4.5 Decision making
4.4.6 Monitoring implementation, effectiveness of the approach

VDA-Volume 4: DFMA

DFM/A TI-410,
Naujocks
26/03/03 page
DFM/A in the automotive industry
10
Workflow according to BMW
Preparation Workshop Rework
Decision
Definition Formulation Analysis Solution
Measures,
Formulating Check definition Collect, list and Collect, complete and
those responsible,
the problem in the group weigh information evaluate proposals
deadlines
Identify and define scope Explain procedure Collect first ideas on Classify ideas (A/B/C) Work out one final team
of investigation working through proposal
Set out targets; if possible solutions (A/B)
Work out target contact appropriate, define team Identify potential fields Agree next steps, those
(clear objectives!) target from software work out responsible and
(candidates) evaluate deadlines
Define team Work through DFA agree
baseline with the team Brainstorming Draw up and distribute
Build up DFA baseline and complete if Different solutions workshop report
necessary
Monitor implementation
Answer open DFA
questions
Fig. 4: DFMA process
4.4.1 Selection of the system to be considered
In a preparatory phase, the system to be considered is defined with regard

to its scope, interfaces and depth of consideration and available docu-
ments (sketches, descriptions, drawings, cost information etc.) are col-
lected.
Objectives and the scope of work are agreed, team members selected,
deadlines are set and other organisational aspects are clarified.
4.4.2 Analysis of the current situation
Depiction of the system to be worked on (concept, design progress, manu-

facturing process and the like) in a structural diagram. Determination of
functions and allocation of individual costs and investments to the elements
of the structural diagram (parts and process steps).
Note: can be prepared with a reduced team.

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4.4.3 Development, evaluation and selection of ideas
Systematic discussion of the structure depicted and scrutiny of function, in-

dividual parts and process steps with a catalogue of questions targeting the
desired direction of optimisation. In the process, new ideas, proposed solu-
tions and alternative solutions should be developed using creative tech-
niques.
The ideas or proposed/alternative solutions are sorted, prioritised and

passed to those responsible with requests for testing and deadlines.
Note: takes place with whole team
4.4.4 Checking proposed solutions
A detailed investigation of the selected ideas, proposed solutions and alter-

native solutions in respect of the functions, manufacturability, costs, dead-
lines, weight, service and other boundary conditions (safety, laws etc.) by
the appropriate departments leads to new, realisable solutions (with possi-
ble modifications of the proposed solutions).
Note: by the appropriate specialist experts
4.4.5 Decision making
Joint discussion of the possible alternatives from 4.4.3, their depiction in

the structural diagram and comparison with the starting situation show the
potential for improvement or savings. Recommendations to implement, not
implement or to test further facilitate the selection of optimised systems for
the decision-maker.
4.4.6 Monitoring implementation
After costing and identification of the improvements, the measures found

and agreed upon are to be implemented. Their realisation is to be moni-
tored and the success evaluated.
The last step is to put together all the documents (e.g. final report) in order
to document the effectiveness and benefit of the use of the approach and
provide arguments for further DfX projects.

VDA-Volume 4: DFMA

5 Duties and requirements, DFA Moderator
To guarantee effective and methodical application of the DfX approaches,

the use of a moderator is recommended. His duties are the preparation of
the use of the approach, the selection of the team in discussion with the
project leader, the organisation and conduct of the team meetings and to
ensure that approach is applied systematically and documented (including
final report).
To be able to carry out these duties, a moderator needs sound knowledge
and experience of the approach. He must have command of the aids (soft-
ware) to be used. In addition to the training as moderator, a basic technical
and commercial understanding is required.
6 Possible support with aid /tools
Additional aids for successful use of the approach are:
- visualisation tool for product structure, including associated costs and in

vestments
- system for determination of production times
- system for identification of potentials for optimisation of parts and process
steps
- system for identification of parts and process steps to be saved
- CAD simulation of assembly
- method for the evaluation and prioritisation of ideas
- documentation tools
- database for standard parts, materials, operations, tools and machines
- good/bad example of product design for manufacture
- teaching program for DFMA workshop participants.


7 Example:
Taking a ballpoint pen as an example, the principle and procedure of DFA

can be explained. Here, only the basic and, in part, further simplified, prin-
ciples of DFA were used, without going further into the individual methods.
An exploded drawing of a ballpoint pen is shown in fig. 5. Its individual

parts can be seen.
Example ballpoint pen with 10 parts
Tip
Ink tube
Rubber grip
Spring 1 Spring 2
Upper body
Lower click part Button
Upper click part
Clip
Fig. 5: Exploded drawing of the ballpoint pen to be analysed, as made available by

Volkswagen Coaching GmbH
The ballpoint pen is first dismantled to identify and number the separate
parts. The separate parts are then analysed in the order of assembly with
regard to:
• assembly time,
• theoretical minimum number of parts.
The result for this ballpoint pen is shown in the following table1. An assem-
bly time of about one minute is determined and the information is obtained
that this design, with its ten separate parts, could, in theory, be realised
with only four parts. The parts marked with "=" in the Qpm column must
now be checked to see whether their function could be incorporated in
other parts.In addition, the indicator "DI" gives an indication of the fitness
for assembly of the design carried out in comparison with the design im-
provements that now become necessary.

VDA-Volume 4: DFMA

Analysis ballpoint pen with 10 parts
Time calculation N N Th Tj Ta Mq
Parts Assemblies t (handling) t (jointing) Assembly time min.Parts
Parts [Quantity] [Quantity] [s] [s] [s] [Quantity]
4.4. Upper body 1 1,2 1,5 2,7 1
4.3 Clip 1 2,3 5,0 7,3 0
4.2.3 upper click part 1 1,2 1,5 2,7 1

4.2.2 Spring 2 1 2,0 3,5 5,5 0
4.2.1 lower click part 1 1,2 2,5 3, 7 0
4.2 Click mechanism 1 1,2 3,5 4,7
1.2 Tip 1 1,2 1,5 2,7 0

1.1 Rubber grip 1 1,1 5,0 6,1 0
3 Spring 1 1 2,0 3,5 5,5 1

2 Ink tube 1 1,2 1,5 2,7 1
1 Ink tip 1 1,2 8,5 9,7
4.1 Button 1 1,2 2,1 3,3 0
Button 10 17,0 39,6 56,6 4
Design Index: 21
Legend: Th Time for handling Mq min number of parts

Ta Assembly time N Number of parts/assemblies
Tj Time for jointing
Tab. 1: Analysis of a ballpoint pen with regard to fitness for assembly according to DFA
After carrying out DFA, there is a proposed solution with only 4 parts, as
shown in fig. 6.
Example ballpoint pen with 4 parts
Integral part
Ink tube
Body
Spring
Fig. 6: Design implemented after DFA of a ballpoint pen with 4 parts (Study, FH Rosenheim)

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Analysis of ballpoint pen with 4 parts
Time calculation N N Th Tj Ta Mq
Parts Assemblies t (handling) t (jointing) Assembly time min parts
Parts [Quantity] [Quantity] [s] [s] [s] [Quantity]
Ink tube 1 1,2 1,5 2,7 1
Spring 1 2,0 3,5 5,5 1
Body 1 1,5 1,5 3,0 1
Integral part 1 1,7 2,5 4,2 0
Total 4 6,4 9,0 15,4 3
Design Index: 58
Legend: Th Time for handling Mq min number of parts

Ta Assembly time N Number of parts/assemblies
Tj Time for jointing
Tab. 2: Analysis of the new ballpoint pen with regard to fitness for assembly according
to DFA
The analysis shows a reduction of the number of parts from 10 to 4 and a

reduction of the assembly time from 56.5 s to 15.5 s, however, it should be
noted that one part (integral part) is rather more complicated. In all, how-
ever, not only does the reduction in the number of parts save assembly
time, it also reduces the potentially possible failure modes and thus im-
proves quality.

VDA-Volume 4: DFMA

8 Literature:
/1/ Bäßler, R. Integration der montagegerechten Produktgestal-

tung in den Konstruktionsprozess [Incorporation of
product design for assembly in the design process].
Berlin, Heidelberg, New York, London, Paris, Tokyo:
Springer, 1988.
/2/ Andreasen,M.; Design for Assembly. Berlin, Heidelberg, New York,
Tokyo:
Kähler, S.; Springer, 1983.
Lund, T.:
/3/ Boothroyd, G.: Design for Assembly. Amherst, University of
Michigan, Department of Mechanical Engineering,
1983.
/4/ Boothroyd, G.; DFA – Design for Assembly; Handbook for Users
Dewhurst, P.: Analysis and Optimization of Manually Assembled
Products and Circuit Boards. University of Rhode
Island, Kingston, Department of Industrial and Ma-
nufacturing Engineering, 1993.


4
Verband der
Automobilindustrie
Quality Management
Process Landscape
DMU (Digital Mock-Up)
st
1 edition 2008


We are grateful to the participating companies and their employees for their
commitment in writing this chapter. The following companies participated in
the drafting:
BMW Group
Daimler AG
Siemens VDO
Volkswagen AG
Karmann GmbH
ZF Sachs AG
Bosch GmbH
automotive.business.support, H.Füller
We also wish to thank everyone who made suggestions for improvements.
Verband der Automobilindustrie e. V.

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1 DMU (Digital Mock-Up)
DMU is the full structural and spatial description of a vehicle in a CAD sys-
tem. DMU permits the virtual assembly of components with the correspond-
ing assembly structures and can be used for analysis and safeguarding of
the completed vehicle with regard to freedom from collisions, minimum
clearances and fitness for assembly.
The purpose of DMU is to reach cross-boundary agreement between the

departments and development partners by means of structural space man-
agement. This guarantees short information paths and rapid reactions in the
development phases.
The objective is to fully secure the development process through the virtual
construction and simulation of all 3-D geometric data.
Through the parameterised administration of all 3-D geometric data in VPM

(Virtual Product Management), specific structural spaces or vehicles can be
viewed on the computer with the aid of CAD systems.
Complete Vehicle
Gesamtfahrzeug Structure
Struktur
doors / lids
Tür / Deckel functional parts
Funktionsteile
seats
Sitze / belts
/Gurte
roof system
Dachsystem
cockpit
Cockpit
motor
Motor // underbody
Fahrwerk
interior
Interieur Rohbau
body in white
Elektrik
electricity
Fig. 1: Division of a car into work packets

2 VDA-Volume 4: DMU (Digital Mock-Up)

In VPM, all information about the components is administered, such as 3-D
data, structural information, kinematic mechanisms, materials information,
administrative attributes (e.g. development status, entitlements) etc. In
combination with the VPM Configuration Management and the Product
Structure Navigator (PSN), configured vehicles, for example, different
equipment variant or national types, can be accessed at any development
status and shown on the computer with the latest CA technologies.
In the Product Structure Navigator (PSN), the data for a configured vehicle
are selected and uploaded to a CAD system.
Extensive structural space investigations, simulations and collision checks

can then be carried out for virtual safeguarding.
Display of the
possible
configurations Selection of the desired
configuration
e.g. Coupe, Standard, PSN of the desired
USA, LL, Auto., Cd configuration
Fig. 2: Collision analysis that, after appropriate evaluation, will be

documented and communicated in VPM.

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Fig. 3: Areas with interferences or collisions are shown with red lines
(see arrow).
This leads to high quality and a high level of maturity of the components.
Development times become shorter and costs are reduced. The objective is
to build trial vehicles that are close to production-ready.
Advantages of DMU
• Visualization of structural spaces for all departments and develop-
ment partners in the structural space management.
• Early detection and solution of problems.
• Shortened development times.
• High quality of the products developed.
• Early consideration of production and customer service requirements.
• Cost reduction.

4 VDA-Volume 4: DMU (Digital Mock-Up)

4
Verband der
Automobilindustrie
Quality Management
Process Landscape
Design of Experiments (DoE)
nd.
2 revised edition 2008


the drafting:
AUDI AG
BMW AG
Robert Bosch GmbH
Continental AG
DGQ (Deutsche Gesellschaft für Qualität)
Fichtel & Sachs AG
Ford-Werke AG
GETRAG Getriebe- und Zahnradfabrik Hermann Hagenmeyer GmbH & Cie
Kolbenschmidt AG
Mercedes Benz AG
Adam Opel AG
Dr. Ing. h. c. F. Porsche AG
Siemens AG
Steyer-Daimler-Puch AG
ITT Automotive Europe GmbH
VDO Adolf Schindling AG
Wabco Fahrzeugbremsen
Volkswagen AG
ZF Friedrichshafen AG
Frankfurt/Main, May 1996
The chapter has been editorially revised.

Verband der Automobilindustrie e.V. (VDA)

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Contents Page
1 Design of Experiments (DoE) 3

1.1 Introduction 3
1.2 Problem description and problem analysis 3
1.2.1 Problem Formulation and Defined Goals and Objectives 4
1.2.2 Survey 4
1.2.3 Target quantity 4
1.2.4 Input Variables and Data Collection and Preparation 4
1.2.5 Recording, evaluation and selection of input variables 5
1.2.6 Interactions 5
1.2.7 Example 6
1.3 Reducing the Number of Input Variables,
Selecting Test Factors 8
1.3.1 Reproducibility and Independence 9
1.3.2 Evaluation Criteria and Evaluation Scale 9
1.3.3 Input Variable Weighting 9
1.3.4 Impact Matrix (after Scheffler) 10
1.3.5 Interactions 10
1.3.6 Factor levels 10
1.3.7 Factor selection summary in a flow chart 11
1.3.8 Example 12
1.4 Selection of an Experiment Strategy 13
1.4.1 Single-Factor Experiment 13
1.4.2 Full Factorial Experiment 14
1.4.3 Fractional Factorial Experiment 15
1.4.4 Factor Search after D. Shainin 17
1.4.5 Design of Experiments according to G. Taguchi 19
1.4.5.1 Development of Robust Products and Processes 19
1.4.5.2 Development of Robust and Sensitive Products
and Processes 21
1.4.6 Example 22
1.5 Evaluation of the Experiment Results 23
1.5.1 Representation of the Measurement Results 23
1.5.2 Calculating the Effects 26
1.5.3 Statistical Analysis Method 28
1.5.4 Example 29
1.6 Computer Support 32
1.7 Bibliography 33

2 VDA-Volume 4: Design of Experiments (DoE)

1 Design of Experiments (DoE)
1.1 Introduction
With the objective of ensuring that the products entering into production are
reliable and already correctly manufactured and ready for market, right from
the start of the series, it is crucial for design and product alternatives to be
tested even before series production is launched. This involves conducting
practical experiments or theoretical calculations (simulations) to examine
the effects that changes in parameters bring about and to evaluate these
effects.
Statistical experiment design is an effective method for examining the

effects that modified input variables (factors) have on the characteristics of
the target quantities. This is a process for examining alternative designs or
products with regard to interactions and the influence exerted on the target
quantities. It is advantageous that the scope of the experiment and depth of
information are precisely defined before starting the experiment, and the
result is statistically substantiated.
The following sections present possibilities for designing and conducting

experiments that can be used in each phase of production planning,
production preparation, development and manufacturing. Just as for
practical trials, theoretical calculations and simulations can be carried out
with the methods proposed, in order to obtain systematic findings about the
target quantities and cut costs.
1.2 Problem description and problem analysis
It is necessary to work meticulously in problem description and problem

analysis. Initially, this is time-consuming. However, that time can made up
easily because it means that only the experiments that are actually
necessary have to be carried out. It is often the case that the desired result
in terms of task formulation has already been obtained after the problem
analysis.

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1.2.1 Problem Formulation and Defined Goals and Objectives
The problem formulation and the defined goals and objectives must indicate
what the objective is: an improvement, attainment of one relative optimum
or the absolute optimum, or another objective. For this purpose, it is
necessary to define quality characteristics and evaluation criteria, by means
of which the degree to which the defined goals and objectives are attained
can be assessed.
1.2.2 Survey
Product:
In addition to a drawing or sketch, complete details on the functions that are
to be fulfilled are also required for a precise product description. These can
be prepared with the help of forms, similar to those used in the FMEA.
Process:
A process is deemed to include a manufacturing sequence and a functional
technical sequence. The process can be represented using a flow chart |1|
or flow schedule. If hierarchies or procedures with common dependencies
are to be shown, block diagrams |1| are also suitable.
Environment:
When describing the environment, important boundary or peripheral
conditions for the problem solution and noise variables that are already
known or assumed must be given for the problem solution. In practice,
these are usually system influences that cannot be controlled.
1.2.3 Target quantity
A fundamental step in problem analysis is the definition of the target

quantity or quantities. Target quantities are directly or indirectly measurable
physical quantities that are suitable for evaluating the achievement of the
objectives in the experiment.
1.2.4 Input Variables and Data Collection and Preparation
This step requires data acquisition that extends across the general field.
This includes data and facts from current production as well as results of
previous analyses.


The information about the ACTUAL situation is structured, for which a
whole range of simple and proven tools are available:
- Error check sheet, error location diagram |1|
- Pareto analysis (also known as ABC analysis) |1|
- Graphic representation (line or column graph, pie chart) |1|
- Stratification, histogram, correlation diagram, box plots z |1|,
Probability network |2|.
For new developments, theoretical findings or findings derived from

simulation results should be taken into account.
1.2.5 Recording, evaluation and selection of input variables
Brainstorming sessions are held to derive and define the possible input
variables. The following aids for collecting and structuring assumed input
variables are employed:
- Metaplan technique |3|
- Cause and effect diagram (also known as a herringbone or Ishikawa
diagram) |1|
- fault tree diagram |4|.
The input variables are then classified and grouped into a list. A distinction
is made between
- individually adjustable and influenceable input variables, e.g.
technical or physical variables, such as size, pressure, rotational
speed,
- input variables that can hardly be influenced, or not at all, e.g.
ambient temperature, air humidity, customer behaviour, usage
profile.
1.2.6 Interactions
It is necessary to consider any interactions. An interaction between input

variables is present when the effect of one input variable is dependent on
the level to which the other input variables(s) is/are set.

am 01.04.2015 um 10:54 5

1.2.7 Example
A demonstration experiment |5| is discussed as an example for explaining

and illustrating the procedure in the framework of the design of
experiments. This concerns the driveshaft thrust bearing of an automatic
gearbox as shown in Figure .
Figure 1: Driveshaft thrust bearing of an automatic gearbox, ∅ 31 mm
The survey and discussion of the initial situation determined that the
objective of the examination was improvement of the thrust bearing surface
quality. The target quantities for evaluating this process were set as follows:
1. Surface roughness Rz,
2. Chip form.
The surface roughness Rz with a diameter of 31 mm was measured in

accordance with DIN 4768, see. The evaluation of the chip form was carried
out according to the modified standard series INFOS (after W. König and
W. Eversheim 1977).


Figure 2: Determining the Surface Roughness RZ according to DIN
4768
After leaving out the start-up length and the trailing length, the
measurement length is divided into five equal lengths for separate
measurement. The averaged surface roughness RZ is determined as the
arithmetic mean of the surface roughness values for the five consecutive
separate measurement lengths. The surface roughness Rmax is the largest
surface roughness of the five measured values.
The result of a detailed survey in the form of brainstorming for the input
variables that possibly determine the surface quality is shown in the cause-
effect diagram in

am 01.04.2015 um 10:54 7

1.3 Reducing the Number of Input Variables,
Selecting Test Factors
For expediency, the workgroup that performed the problem analysis also
carries out the planning step to reduce the possible input variables
determined during the problem analysis, so that the number of input
variables is at a level that is manageable with respect to the experiment.
This ensures that all existing practical and technical expertise can be
utilized in selecting the factors. Particular reference to Scheffler |6| is made
with regard to the procedure treated here.
Tool Material/workpiece
Cutting
edge E Carbon content
F Hardness (HRC)
angle positive/negative
cutting geometry
Primary structure
Chip form Alloying elements
G cutting
groove H
radius Pretreartment.g
Ceramic workpiece
Gripping
HSS
Tool PCD workpiece
material Lot size
CBN Hard Hard metal
metal
coated Rz (µm)
Z
untrained Chip form

Positioning Feed rate D Employee
Tool/workpiece Time
trained Time of day
Feed device
Shift
Cutting Attention
C Cutting depth speed
B
Lightning
with w/o Composition Ground floor Temperature

Installation
A Lubricant
Floor Human/environment
small Impurity
large
Machine
Figure 3: Cause-Effect Diagram for the Target Quantities Surface

Roughness and Chip Form of the Driveshaft Thrust Bearing for
an Automatic Gearbox


1.3.1 Reproducibility and Independence
It must be possible to set the selected input variables at defined levels with
known repeating accuracy. A change in the setting of one input variable is
not permitted to have any effect on the setting of other input variables.
1.3.2 Evaluation Criteria and Evaluation Scale
Depending on the exact situation, evaluation criteria are defined for

selecting the input variables, and a suitable, multiple level scale is devised
for these criteria. Each favourable case is rated with a high value; the more
unfavourable the assignment to the evaluation criterion, the lower the
ranking.
For example:
Effort for setting the input variable

1 large ... 10 small
Assumed factor influence

1 small ... 10 large
Costs for changing the setting of the input variable

1 high ... 10 low
The multiplication of the means determined for each evaluation criterion

yields a statistical parameter for the priority of an input variable. The input
variables are ordered according to their priority.
1.3.3 Input Variable Weighting
All team members work together to evaluate and weight the input variables.
The initial result is an average ranking for each of an input variable's
evaluation criterion. Subsequently, all of an input variable's average
rankings are multiplied together. The result is a statistical parameter for this
input variable's priority. Finally, the input variables are ordered according to
their priority and thereby yield the weighting.

am 01.04.2015 um 10:54 9

1.3.4 Impact Matrix (after Scheffler)
An impact matrix is a tabular presentation of the changes in a target

quantity or target quantities when input variables are varied. The wave form
and symbols characterize the assumed or known change.
Effect known
Effect known
and non-linear
Effect
Effect
unknown
X1 – Xn = input variables
Y1….yn = target quantities
Figure 4: Impact Matrix after Scheffler
1.3.5 Interactions
In selecting a suitable and economical experiment design, it is particularly

important to acquire preliminary information on possible interactions
between the input variables. If interactions that actually exist are
unintentionally not taken into account when the experiment design is
defined, the experiment results may lead to incorrect statements.
1.3.6 Factor levels
Those input variables that are considered in the experiment design are
called factors. In the simplest case, two factor levels are assumed. The two
levels of the separate factors are selected with "suitable" separation from
each other, on the basis of technical considerations, boundary conditions
and experimental feasibility. For qualitative factors, the imprecision of the
setting must be negligibly small compared to the difference between the
intervals.


1.3.7 Factor selection summary in a flow chart
Input variable no Unsuitable for

1 reproducible experiment
design
independent
?
yes
Input variable evaluation

2 evaluation criteria and
evaluation scale
Input variable weighting

3 mathematic combinations from 2
Set up factor impact

4 matrix to target quantities
Obtain preliminary information

5 on possible interactions among
the factors
Define factor levels

6
check compatibility
Figure 5: Flow Chart for Factor Selection and Factor Levels

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1.3.8 Example
There is sufficient basic knowledge about the principle effects of the diverse
input variables for the machining process. With the help of this existing
knowledge, the following eight significant input variables are taken from
Figure 3 and defined as factors for the examination:
A = Cooling lubricant
S = Cutting speed
C = Cut depth
D = Feed rate
E = Material
F = Cutting edge angle
G = Chip format
H = Cutting radius
To obtain the simplest possible experiment plan, each of these factors was
examined at two levels. With the help of existing experience with the
process, the team defines the following factor levels:
Factor levels
Factor - +
A no yes
B 100 m/min 150 m/min
C 1 mm 2 mm
D 0.2 mm/h 0.3 mm/h
E Material 2 Material 1
F 45° 75°
G small large
H 0.8 mm 1.2 mm
Figure 6: Factors and Factor Levels in the Machining Process
To the extent that knowledge or assumptions are available regarding the

effects of these input variables on the target quantities, they are shown in
the impact matrix shown in Figure 7.


Influencing A B C D E F G H
factors Cooling Cutting Cutting Feed rate Material Cutting Chip Cutting
lubricant speed depth workpiece edge form radius
Target
angle groove
quantity
- + - + - + - + - + - + - + - +
large
Surface roughness
small
unfavorable
Chip form
favorable
Figure 7: Impact Matrix for Known and Assumed Effects of the Eight
Selected Factors for the Target Quantity
1.4 Selection of an Experiment Strategy
Several especially frequently applied experiment designs will be described

in brief. They represent only a small extract from the known experiment
strategies. More comprehensive information is given by Juran |7|, for
example.
1.4.1 Single-Factor Experiment
A single-factor experiment is an examination of the effect that one

quantitative or qualitative factor has on one or more target quantities. The
factor is set to two or more levels. The examination is carried out on all
levels equally often (n > 1).
The effects of input variables that are not included in the experiment plan
must be eliminated. This is done either by keeping them constant during the
experiment or by randomly assigning the experiment units to the levels.

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The single-factor experiment supplies statements on the effect this factor
has on one or more target quantities under fixed, defined conditions.
Furthermore, the residual or experimental variance can be estimated.
Typical application: Examination of one factor's effect.
1.4.2 Full Factorial Experiment
Examination of the effects that multiple quantitative or qualitative factors

have on one or more target quantities. Each factor is set to two or more
levels. All possible factor level combinations are examined equally often (n
> 1 if possible)
must be eliminated. This is done either by keeping them constant or by
randomly assigning the experiment units to the factor level combinations.
The full factorial experiment supplies statements on the effects the

examined factors have on the target quantity or quantities, and on the
interactions among the factors examined. Furthermore, the residual or
experimental variance can be estimated.
Typical application:
Examination of the effects of a small number of factors, if interactions are
expected among them or if interactions cannot be ruled out.


Example:
Examination of the effects that four factors (A, B, C and D) have on one
target quantity when each factor is set to two levels, ' - ' and ' + '. Term for
4
this experiment design: 2 .
No. A B C D
1 - - - -
2 + - - -
3 - + - -
4 + + - -
5 - - + -
6 + - + -
7 - + + -
8 + + + -
9 - - - +
10 + - - +
11 - + - +
12 + + - +
13 - - + +
14 + - + +
15 - + + +
16 + + + +
This experiment supplies statements on:

- the main effects: A, B, C and D
- the two-factor interactions AB, AC, AD, BC, BD and CD
- the three-factor interactions ABC, ABD, ACD and BCD and
- the four-factor interaction ABCD.
Further literature: E. Scheffler |6|.
1.4.3 Fractional Factorial Experiment
Examination of the effects that multiple quantitative or qualitative factors

have on one or more target quantities. Each factor is set to two or more
levels. The examination is carried out equally often with a selected portion
of the possible factor level combinations.

am 01.04.2015 um 10:54 15

must be eliminated. This is done either by keeping them constant or by
randomly assigning the experiment units to the selected factor level
combinations.
The fractional factorial experiment supplies statements on the effects that

the examined factors have on the target quantity or quantities, and on the
interactions among the examined factors. Depending on the selection of the
factor level combinations, however, mixing can occur. Interaction effects are
mixed among each another and also with main effects. The level of mixing
depends particularly on the experiment plan that is selected.
Examination of the effects of a larger number of factors, if at least a portion
of the possible interactions can be shown to be nonexistent or can be
justifiably ruled out. Often it is assumed that higher level interactions,
meaning interactions among more than two factors, are negligible.
Example:
Examination of the effects of four factors (A, B, C and D) on one target
quantity when the factors are each set to two levels, ' - ' and ' + '.
Performance of the examination with half of the possible factor level
combinations of the full factorial experiment.
Term for this experiment design: (1/2 . 24 =) 24-1.
No. A B C D
1 - - - -
2 + + - -
3 + - + -
4 - + + -
5 + - - +
6 - + - +
7 - - + +
8 + + + +


This experiment provides statements on the following effects, which are
mixed:
A + BCD,
B + ACD,
C + ABD,
D + ABC,
AB + CD,
AC + BD,
AD + BC.
This experiment plan is therefore expedient if at least one of the four factors
does not have any interactions with the remaining factors and, in addition, if
higher level interactions can justifiably be shown to be negligible.
Further literature: E. Scheffler |6|.
1.4.4 Factor Search after D. Shainin
Refers to finding those factors that exercise the strongest effect on the
target quantity or quantities.
The most important input variables are selected for the examination and
sorted according to their assumed significance from the technological point
of view:
A, B, C, D, E, ... . . . .
Then two levels are assigned to each of these factors, a level ' + ', from
which the better effect would be expected for the target quantity from a
technological point of view, and a level ' - ', from which the poorer effect
would be expected on the target quantity from a technological point of view.
In the first experiment phase, two experiments are performed with equal
frequency (at least twice). In the first experiment, all factors are set to the ' +
' level, and in the second experiment, all factors are set to the ' - ' level. If
the difference between the two settings is significant, the second
experiment phase can be started.

am 01.04.2015 um 10:54 17

If the difference between the two settings is not significant, the cause for
this must be determined. Either important input variables were overlooked
and not included in the examination as factors, or the levels "+" and "-" were
incorrectly assigned to some extent. In a further brainstorming session by
the experts, the input variables are discussed again and the definition of the
levels is verified with the help of single-factor experiments.
In the second experiment phase, the following four experiment results are
compared to one another:
A - B -, C -, D -, E -, ...
A + B -, C -, D -, E -, ...
A - B +, C +, D +, E +, ...
A + B +, C +, D +, E +, ...
Depending on how strong the effect of A is in comparison to the effect of

the remaining factors, A can be classified as the single significant factor, as
one of several significant factors, or as a non-significant factor. The
analogous examination is then carried out on the other factors B, C, etc.,
until all significant factors have been found.
Working with a large number of factors, this method selects those factors
that exercise the strongest influence on the target quantity or quantities.
Furthermore, the residual or experimental variance can be estimated.
As a preliminary examination, if it is expected that very few factors exercise
a strong effect on the target quantity or quantities, while the majority of the
remaining factors show only a small effect on the target quantities (Pareto
principle). Subsequently, the full factorial experiment can be conducted on
the factors that have been identified as significant.
Further literature: K. Bhote |8|.


1.4.5 Design of Experiments according to G. Taguchi
Development of products and processes, that are robust over a wide range
of use profile quantities. This is a development tool for achieving the
following objectives:
- Development and improvement of products and processes that

should be robust over a wide range of use profile quantities (robust
design).
- Development and improvement of products and processes that
should be robust over a wide range of use profile quantities and
simultaneously react sensitively to one or more selected input
variables (dynamic characteristics).
Taguchi employs traditional experiment plans for his procedure. In two-

level experiment plans, however, he uses the numbers '1' and '2' to identify
the levels, instead of ' - ' and ' + '.
1.4.5.1 Development of Robust Products and Processes
If there is a use profile with a temperature range from -10°C to +40°C, as

shown in Figure and if constant product characteristics are demanded in
this range, material A2 would be preferred to Material A1. When developing
robust products and processes, both factors specific to the product,
meaning factors that determine the product characteristics and factors
specific to the process and use profile must be considered. The former are
sometimes called control or design factors, and the latter are referred to as
noise factors.

am 01.04.2015 um 10:54 19

Tensile strenght
A1
A2
-10 °C Temperatur 40 °C
Figure 8: Tensile strength of two materials in a temperature range
Product-specific factors and noise factors are assigned to different, mutually

independent experiment plans see
Figure Each factor level combination of the product-specific factors is
examined with all factor level combinations of the noise factors.
Noise parameter matrix

111
122
212
221
xyz
Factor A B C D E F G
1 1 1 1 1 1 1 1
2 1 1 1 2 2 2 2
3 1 2 2 1 1 2 2
4 1 2 2 2 2 1 1
Results
5 2 1 2 1 2 1 2
6 2 1 2 2 1 2 1
7 2 2 1 1 2 2 1
8 2 2 1 2 1 1 2
Figure 9: Schematic Experiment Arrangement for Product-Specific

Factors and Noise Factors for Developing Robust Products
and Processes


1.4.5.2 Development of Robust and Sensitive Products and
Processes
A vehicle's steering should be designed in such a way that it:
- responds to changes the driver makes in the steering angle (signal

factors) over a wide range as well and uniformly as possible;
- reacts as independently as possible of outside conditions (noise
variables), meaning that it ensures constant steering conditions
under the widest range of road conditions.
Measurement procedures should be designed in such a way that they:
- react sensitively to changes in the quantity that is to be measured

(signal factor); and
- supply reproducible results independently of outside conditions
(noise factors).
The development objective is therefore a product or measurement method

that, on the one hand, reacts sensitively to an input quantity, a so-called
manipulated factor (such as steering angle) but, on the other hand, that
does not react to the use profile quantities (such as road conditions). As
can be seen in Figure, it is possible to expand the types of factors by an
additional group, namely the manipulated factors.

S1 S2
122
212
122
212
111
221
111
221
Noise parameter matrix xyz
Factor A B C D E F G
1 1 1 1 1 1 1 1
2 1 1 1 2 2 2 2
3 1 2 2 1 1 2 2
4 1 2 2 2 2 1 1
Results Results
5 2 1 2 1 2 1 2
6 2 1 2 2 1 2 1
7 2 2 1 1 2 2 1
8 2 2 1 2 1 1 2
Figure 10: Schematic Experiment Arrangement for the Development of

Robust and Sensitive Products and Processes
Further literature: M. Phadke |9|.

am 01.04.2015 um 10:54 21

1.4.6 Example
In the example for the "Examination of the Thrust Bearing Surface Quality",
eight factors, each at two levels, are to be included in the experiment plan
(see Section 1.3.8). Consequently, this case involves factorial
examinations, each with two levels for each factor. In order to minimize the
experiment effort (number of sub-experiments to be carried out differently),
a fractional factorial experiment was selected, in which the main effects (A,
B, C, etc.) are not mixed with two-factor interactions (AB, AC, BC, etc.), but
instead only with higher interactions, while the two-factor interactions are
mixed together with each other and with higher interactions. This is called
an experiment of resolution IV. Such experiments are characterized by the
fact that it is possible to obtain a good approximation for the main effects in
connection with low experimenting cost. On the other hand, the price that
must be paid for low experimenting cost is the fact that it is not possible to
determine interactions1.
Because the experiment includes a total of 16 sub-experiments, which

cannot be conducted in one stage with different settings with unchanged
boundary conditions, an experiment in four blocks was planned, with each
of these blocks being conducted on four different days:
1 For this reason, these experiment plans are also often used as a starting point for an
examination. Initially, those factors causing significant main effects are determined.
Subsequently – if necessary - experiments that also allow interactions to be determined can
be conducted with these (normally few) factors.


Sub- Setting of factors
Block experim
ent
A B C D E F G H
2 + - - - - - + +
I 3 - + - - + + - +
14 + - + + - - + -
15 - + + + - + - -
5 - - + - + + + - Matrix
II 8 + + + - + - - -
9 - - - + - + + +
12 + + - + - - - + (5)
6 + - + - - + - +
III 7 - + + - - - + +
10 + - - + + + - -
11 - + - + + - + -
1 - - - - - - - -
IV 4 + + - - - + + -
13 - - + + + - - +
16 + + + + + + + +
Sample size for each sub-experiment n = 10
1.5 Evaluation of the Experiment Results
The evaluation of the experiments is explained by way of example, using

k
factorial experiment plans with k factors, each at two levels (2 ).
1.5.1 Representation of the Measurement Results
The simplest, trivial case k = 1 corresponds to a single-factor experiment, in

which the dependency of a target quantity y is examined by only one
influencing factor A. The dependency is shown in Figure .
The change in the target quantity y when changing from A- to A+ is called

the effect of factor A. The size of the effect depends on the selection of the
A- and A+ settings.
The above fundamental observations can be transferred to full and

fractional experiments with two or more input variables.

am 01.04.2015 um 10:54 23

y-
y-
2
Effect (A)
-
y
1
A- A+ A
Figure 11: Graphical Representation of one Effect in a Single-Factor

Experiment
In the two-factor experiment, factors A and B are changed to two levels

according to the following plan matrix at two levels:
No. A B y
1 - - y1 Matrix
2 + - y2 (6)
3 - + y3
4 + + y4
Column y holds the means y1, ..., y4 of the results of the four experiment
rows. They can be represented in the following form:


B
B+ y- y-
3 4
B- y- y-
1 2
A- A+ A
Figure 12: Graphical Representation of the Results of a Two-Factor

Experiment
y-
-
y
4
y-
3 B+
y-
2
y-
1
B-
A- A+ A
Figure 13: Graphical Representation of a Two-Factor Experiment with the

Factors A and B

am 01.04.2015 um 10:54 25

This form of representation can also be used if one (or more) of the factors
being examined is not a quantitative, adjustable variable, but instead a
qualitative variable with fixed levels (such as Material 1 - Material 2).
Naturally, interpolation of intermediary values is not meaningful in this case.
1.5.2 Calculating the Effects
A factor's effect yields the change in the target quantity y when there is a
change in the setting from level - to level +, averaged over the settings of all
remaining factors. Of course, the effect depends on the explicit choice of
levels.
The graphical determination of the effects for the two-factor experiment

example is shown in Figures 14 to 16.
If the factors behave additively, the result is two straight lines running
parallel, as shown in Figure In contrast, if the effect of one factor depends
on the setting (level) of another, these two factors interact, and they do not
behave additively.
In addition to the columns for the factors A and B, the analysis matrix for the
two-factor experiment contains a column AB for the interaction of these
factors.
No. A B AB y
1 - - + y1
2 + - - y2 (7)
3 - + - y3
4 + + + y4


y-
y- 4
- B+
y
3 Effect (A)
-y
2
y-1 B-
A- A+ A
y-
y-4
y-2 B
+ Effect (B)
-
y3
y- B-
1
B- B+ B
y-
y-4
Effect (A)
B
+ with B+
y-3
-
y2 B- Effec t (A)
-y with B-
1
A- A+ A
Effect(AB) = (Effect(A) with B+ - Effect(A) with B-)/2
Figures 14, 15, 16: Graphical Representation of the Main Effects

A and B and the Interaction Effect AB

am 01.04.2015 um 10:54 27

The effect of factor X is calculated as the difference between the mean of
all results y in which X has the level + and the mean of all events in which X
has the level -. This computation rule similarly applies to interactions and
can be applied in general to orthogonal experiment plans with k factors.
Consequently, the following applies to the example being considered:
y2 + y4
Effect (A) =
2
Matrix
y3 + y4 y1 + y 2
Effect (B) =
2
- 2
(8)
y1 + y 4 y2 + y3
Effect (Ab) =
2
- 2
In fractional factorial experiment plans a mixing of factors may occur,

resulting in interactions. The effects of the mixed quantities can then no
longer be considered separately. The effects of the combined variables can
then no longer be calculated separately.
1.5.3 Statistical Analysis Method
Based on the experiment repetitions, it is expedient to add corresponding

columns to the right of the experiment plan analysis matrix.
No. A B AB Results y si
1 - - + y11, ...,y1m y1 s1 Matrix
2 + - - y21, ...,y2m y2 s2 (9)
3 - + - y31, ...,y3m y3 s3
4 + + + y41, ...,y4m y4 s4


The determined statistical parameters make it possible to assess the
significance of the calculated effects by a comparison with the experimental
variance.
Further considerations or experiments are limited to those factors that

demonstrate significant effects and/or interaction effects.
The significance test is expediently conducted with the help of computer

support.
1.5.4 Example
The experiment was conducted as defined in matrix (5). The following

describes only the results for the surface roughness in detail. For each of
these sub-experiments, the mean x and standard deviation s were
calculated for the 10 measured values. We dispense with a tabular
representation of these results here. The graphical representation in Figure
17 is clearer.
25
20
=
x = 14.36 µm
15
x-
in µm
10
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Sub-experiment No.
Figure 17: Mean x of the 16 Sub-Experiments

am 01.04.2015 um 10:54 29

In the figure, it is already possible to see clear differences between the
results of the different sub-experiments, which are caused by the factor
settings.
The required information about the impacts of the different factors is

obtained by determining the associated effects, see Sections 1.5.2 and
1.5.3. The calculation of the separate effects and their significance is
dispensed with in this context.
The results are summarized in Figure18 . In this figure, the effect D = 4.5
µm means that the surface roughness increases by 4.5 µm when the feed
rate is increased from the lower level = 0.2 mm/h to the upper level = 0.3
mm/h.
6
Feed rate
4 D
Surface Significant
roughness
effect 2
in µm
Cutting ed ge angle Not
0
B F Cu tting d epth C significant
Cutting speed
-2
H G A
-4 Cooling lubricant Significant
E Chip format
-6 Material Cutting radius
Figure 18: Effects of all Factors, Ordered by Absolute Value, and Their
Significance
At this point, we would like to point out again that this experiment plan only
allows the analysis of the main effects; statements about interactions are
not possible.
The chip form was analyzed in a manner similar to the surface roughness.
The result is represented in Figure19 . The smaller the chip characteristic
number is, the better the chip form evaluation.


2,0
Chip form groove
1,5 G Significant
Chip Cut depth

1,0
charac- Cutting radius
C Cooling lubricant
teristic- Not
0,5 H significant
number A Material
effect
0,0 E
E
D B
F Feed rate Cutting speed Significant
-0,5
Cutting edge angle
Figure 19: Effects of all Factors, Ordered by Absolute Value, and Their
Significance
The best possible settings from the point of view of the two target
quantities, surface roughness and chip form, can be read off of Figures 18
and 19 as follows:
Factor
A B C D E F G H
Surface + (+) (-) - + (+) + +

roughness
Chip form - (+) - (+) (-) + - -
The statements in parentheses are based on effects that are not significant.
The primary objective here is low surface roughness with a chip form that is
acceptable for manufacturing. At the same time, it is evident that the input
variables act on these two target quantities differently, and therefore a
compromise must be sought.

am 01.04.2015 um 10:54 31

A follow-up experiment with the optimal setting with respect to the surface
roughness
A B C D E F G H
+ + - - + + + +
resulted in excellent (slight) roughness, but a chip form that was not
acceptable for manufacturing. As a result, it was necessary to search for a
modified setting that both favoured a better chip form and interfered with the
roughness as little as possible. This is apparently possible with the help of
the factor G, which has a relatively small effect on the surface roughness,
but, on the other hand, the largest influence on the chip form. As a result,
the following was tried as the modified setting:
A B C D E F G H
+ + - - + + - +
The experiment result supplied approximately the same roughness, with a

chip form that was considerably improved and acceptable for
manufacturing.
1.6 Computer Support
There is a wide range of software available for supporting users in statistical

experiment design. This includes both stand-alone, closed programs and
programs that are an integral part of modularly constructed, comprehensive
statistical software. The range of submenus offered by these programs,
either as standard or optional features, is correspondingly diverse. The
majority of these programs support statistical and graphical experiment
analysis, but not the planning phase.


1.7 Bibliography
|1| Juran Institute: Quality Improvement Tools

|2| DGQ Document 18-19: Formblätter mit Wahrscheinlichkeitsnetz
|3| K. Nagel: Erfolg, Oldenbourg-Verlag
|4| DIN 25 424: Fehlerbaumanalyse
|5| S. Häffner: Statistische Versuchsplanung in der betrieblichen Praxis,
Betriebsversuch Drehen, FHT Esslingen, Fachbereich
Feinwerktechnik, 1992
|6| E. Scheffler: Einführung in die Praxis der statistischen
Versuchsplanung, 2.Auflage VEB Deutscher Verlag für
Grundstoffindustrie, 1984
|7| J. Juran: Quality Control Handbook, McGraw Hill Book Company,
New York, 1988
|8| K. R. Bhote: Der Weg zur Weltspitze, Institut für
Qualitätsmanagement, Großbottwar, 1990 (Translation of World
Class Quality, American Management Association)
|9| M. S. Phadke: Quality Engineering Using Robust Design (in German
translation), Gfmt
|10| G. Box, W. Hunter, J. Hunter: Statistics for Experimenters, Wiley &
Sons, New York, 1978
|11| Retzlaff, Rust, Waibel: Statistische Versuchsplanung, Verlag Chemie,
Weinheim, 1978
|12| D. Wheeler: Understanding Industrial Experimentation, Statistical
Process Controls, Inc., Knoxville, 1988
|13| E. Spenhoff: Prozesssicherheit durch statistische Versuchsplanung in
Forschung, Entwicklung und Produktion, gfmt-Verlags KG, 1991
|14| B. Gimpel: Qualitätsgerechte Optimierung von Fertigungsprozessen,
VDI-Verlag Düsseldorf, 1991

am 01.04.2015 um 10:54 33

4
Verband der
Automobilindustrie
Quality Management
Process Landscape
Manufacturing feasibility analysis
st
1 edition 2009


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4
Verband der
Automobilindustrie
Quality Management
Process Landscape
Poka Yoke
st
1 edition 2009


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4
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Quality Function Deployment (QFD)
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2 Edition 2003


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4
Verband der
Automobilindustrie
Quality Management
Process Landscape
QFD Supplement
st
1 edition 2009


"Copy the Spirit, not the Form" (AKAO)
The QFD model (often referred to as "ASI model") used in the previous
sections, with the "House of Quality" and the 4 phases of application, is
particularly suitable for illustrating the QFD method. However, the method
and its elements provide a wide spectrum of possible applications.
In accordance with VDA 6.1, Question 02.4 a project-specific application of

the method and its elements is recommended : "Quality techniques (such
as QFD, System FMEAs, DOE,...) must be applied on a project-specific
basis". As examples, a number of other QFD approaches are explained.
Different QFD approaches
The Akao approach

Professor Yoji Akao, the spiritual creator of QFD, is in favour of a company-
wide approach.
The Akao approach is based on the concepts of determining the needs of

the market and the customer and using these to generate the technical
requirements for products and processes. However, Akao does not deal
merely with the development of new products and their quality assurance; it
also covers the planning of technology, costs and reliability, as well as the
coordination of other methods such as FMEA, FTA and value analysis.
The Akao approach offers the user a wide range of tables and matrices
which can be assembled in a flexible manner.
The Bob King approach

Bob King places the emphasis on the development of matrices and the
planning activities which can be implemented with their use. The concept is
based on a matrix of matrices, in which various sample matrices are
available for use as required. The King approach also integrates further
methods such as FMEAs and FTA.
The Zultner approach

This approach is also referred to as "lightning QFD".
Zultner sets out a clearly structured procedure and places the emphasis on
the implementation of information from the customer in determining the
most important customer requirements regarding the product and its
creation. The customer's requirements are derived from the customer's

VDA-Volume 4: QFD Supplement

comments with the aid of a "Customer Voice Table". A "Maximum Value
Table" is drawn up to establish the correlations between the customer's
requirements and the advantages for the customer. The relationships
between the most important customer requirements and the technical
features are determined.
The Saatweber approach

Saatweber expands the 4-phase model (the ASI model) to include phases 0
and 5. Phase 0 covers the use of methods for the analysis and structuring
of customer requirements while in phase 5 a check is made to determine
whether the objectives defined for customer satisfaction have also been
achieved.

2 VDA-Volume 4: QFD Supplement

4
Verband der
Automobilindustrie
Quality Management
Process Landscape
TRIZ
st
1 edition 2008


Foreword to the first edition
This description of the TRIZ method has been produced as part of the work
of VDA Working Group 4 “Quality Assurance in the Process Landscape–
General, risk analyses, methods and procedure models”.
the drafting:
Audi AG
automotive.business.support, Mr Füller
BMW AG
Daimler AG
Karmann GmbH
Horst Ried Methodenberatung
Robert Bosch GmbH
Siemens VDO
Trisolver GmbH & Co. KG
Volkswagen AG
ZF Sachs AG
Verband der Automobilindustrie e. V. (VDA)

VDA-Volume 4: TRIZ

Contents Page
Foreword to the first edition 1
1 General information about TRIZ 4

1.1 Background and definitions 4
1.2 Technical contradiction 5
2 Principles 5
2.1 40 basic innovation principles for overcoming technical
contradictions 7
2.2 76 standard solutions for inventive problems 8
2.2.1 TRIZ standards 8
2.3 TRIZ for innovative inventions (ARIZ) 9
2.3.1 ARIZ 9
2.3.2 Database of technological effects
- a link to physics 10
2.3.3 Solving a problem with ARIZ 11
2.4 TRIZ for problem solving 13
2.4.1 Analysis 14
2.4.2 Abstraction 15
2.4.3 Guided problem solving 17
2.4.4 Prioritising and fleshing out the solution ideas 18
3 TRIZ tools 20
3.1 Technical contradiction 21
3.2 Contradiction table (39 parameters) 21
3.3 Substance-field analysis 23
3.4 Object modelling 26
3.5 Function modelling 27
3.6 Separation principles 28
3.7 Bionics 29
3.8 Material, cost, time (MCT) operators 30
3.9 Innovation situation questionnaire 31
3.10 Resources checklist 31

2 VDA-Volume 4: TRIZ

3.11 Anticipatory error detection 32
3.12 Eight evolutionary principles 33
3.13 Trimming 38
4 Implementation 41
4.1 TRIZ software 41
4.2 Using software successfully 41
4.3 Success potential of TRIZ & CAI 42
5 Implementation of TRIZ and CAI in your company 43

5.1 Overcoming hurdles 43
5.2 Platform for innovation and quality management 45
6 Annex - tables 46
6.1 39 technical parameters which describe a contradiction 46
6.2 40 innovation principles 47
6.3 TRIZ – the 76 standard solutions for substance-field analysis 48
6.4 Contradiction matrix 58
7 Bibliography 59

VDA-Volume 4: TRIZ

1 General information about TRIZ
1.1 Background and definitions
TRIZ is the internationally used Russian acronym for the Theory of inven-
tive problem solving (Russian: Algoritm Rešenija Isobretatelskih Zadač; it is
pronounced “trees”), and is also known in the USA using the abbreviation
TIPS (Theory of Inventive Problems Solving).
TRIZ was developed between the sixties and the eighties by the Russian
scientist, Genrich Altschuller (1926-1998), and his staff (his first publication
was in 1956). In contrast to the normal practice of “trial and error” problem
solving methods such as brainstorming, synectics, morphological analysis,
etc. TRIZ uses the objective development laws of technical systems and
therefore makes it possible to complete a much more focused search for
solutions. These laws and other components of TRIZ were discovered and
made into a systematic approach by many years of analysis and evaluation
in Russia in the form of patent information. During his work he found that
the origin of a patent was always a technical or physical contradiction.
On this basis he developed 39 technical parameters with which the con-

flicts of contradictions can be described and the 40 innovative solution
principles which contribute to their solution.
After the introduction of TRIZ in the USA at the beginning of the nineties,
TRIZ techniques and databases were used to provide the basis for inven-
tion software and modified for computer-based applications. This resulted in
a new type of technological engineering work – CAI (computer-aided inno-
vation) which is already used widely and successfully by a large number of
well-known companies around the world.


1.2 Technical contradiction
The main feature of problem solving with TRIZ is the identification, rein-
forcement and elimination of technical and physical contradictions in techni-
cal systems instead of the search for compromises, in other words the mid-
dle ground. The term “technical contradiction” plays one of the key roles in
the TRIZ concept. A technical contradiction represents two controversial
properties of a technical system: If a part or a property of a machine (for
example the power output of an engine) is improved, another property (for
example its weight or fuel consumption) is worsened. A problem is deemed
to have been solved by TRIZ when a technical contradiction has been de-
tected and eliminated. So-called operational blindness, psychological inertia
and various uncertainties are consistently overcome with TRIZ. This also
means that even in very difficult cases the search area is considerably ex-
tended and people think “outside the box”.
2 Principles
Innovations are a major key element for the long term success of a com-
pany. TRIZ is a pendant for the more or less chance-controlled creation of
ideas, an empirical and highly systemic innovative approach.
The TRIZ method provides procedures which enable invention to take place
on a systematic basis. In contrast to normal problem solving methods such
as trial and error or brainstorming, TRIZ uses empirical first principle laws of
technological evolution and provides a wide range of tools for systematic
problem solving (see Gimpel, Herb, Herb 2000, pg. 1).
In the past the TRIZ method was used exclusively in technical fields and to
find product innovations. In addition TRIZ also constitutes an important tool
for innovative problem solving.

VDA-Volume 4: TRIZ

The components of the theory for innovative problem solving are set out in
Table 1. Simple applications such as the principles for solving technical
contradictions can be made into active tools more quickly but are limited in
their effectiveness for tackling difficult problems. However, an experienced
TRIZ user will use various tools to suit his needs - there is equally little point
in shooting a canon at sparrows as there is in hunting elephant with a club.
No. TRIZ component, tool Application
1 Contradiction analysis, 39 technical pa- Inventive problems which

rameters and 40 innovation principles range from simple to me-
for overcoming technical contradictions; dium difficult, recom-
application system in the form of the so- mended for TRIZ begin-
called contradictions table. ners.
2 System of abstractive standard solu- Simple to difficult inven-
tions for inventive problems: tive problems.
Five classes / 76 standards; method for
using the standards.
3 Algorithm or step-by-step process to Particularly difficult inven-
solve the inventive problems (acronym: tive problems.
ARIZ). Universal tool for solving all
problems.
Application of TRIZ for solving innova- Solving problems (with
tive problems which are either derived the aid of abstraction) – in
from other method applications or are practice this is the most
related to existing systems. common application.
Table 1: Possible procedures for using TRIZ [1]


2.1 40 basic innovation principles for overcoming technical con-
tradictions
An evaluation of several hundred thousand patents shows that the inventive

work and technical contradictions from various fields of industry can be
solved by a limited number of elementary principles (methods). Modern
TRIZ contains 40 basic innovation principles (there are over 100 if we in-
clude sub-methods). Here are a few examples:
3. Principle of local quality.

10. Principle of prioritised action.
11. Principle of “placing a cushion underneath first” (preventive action).
18. Principle of using mechanical oscillations.
22. Principle of converting harmful things into useful things.
28. Substitution of the mechanical system.
35. Changing physical and chemical properties
40. Principle of using composite materials.
1 Segmentation and dismantling 14 Curving 27 Cheap short life

2 Separation 15 Dynamisation 28 Replace mechanism
3 Local quality 16 Partial or surplus effect 29 Pneumatics and hydraulics
4 Asymmetry 17 Higher dimension 30 Flexible sheathing and films
5 Joining 18 Mechanical oscillations 31 Porous materials
6 Universality 19 Periodic effect 32 Colour changes
7 Nesting 20 Continuity 33 Homogeneity
8 Counterweight 21 Hurry through and omit 34 Elimination and regeneration
9 Preferred opposite action 22 Convert harmful into useful 35 Change of properties
10 Preferred action 23 Recoupling 36 Phase transition
11 Preventive action 24 Mediator, broker 37 Heat expansion
12 Equipotent 25 Self-supply, self-service 38 Strong oxidising agent
13 Reversal 26 Copy 39 Inert medium
40 Composite material
Table 2: 40 basic innovation principles

VDA-Volume 4: TRIZ

2.2 76 standard solutions for inventive problems
The principles and the table (see annex) of their application are among the
simplest TRIZ tools. The analysis of complicated problems showed, how-
ever, that they can only be solved by the simultaneous use of several ele-
mentary principles using physical effects. These particularly strong and sta-
ble combinations of the principles and effects for the system for the stan-
dard solution of inventive problems.
2.2.1 TRIZ standards
TRIZ standards are general rules for the synthesis and conversion of tech-
nical systems. They are based on the development laws of technical sys-
tems. Several standard solutions directly represent the practical application
of these laws. The modern system of standard solutions involves a struc-
tured and highly systematic procedure and can also be used to forecast
technical product development. It consists of five groups of a total of 76
standards:
• Group 1: Building and destruction of complete substance-field

models
• Group 2: Improving substance-field models
• Group 3: Transition into super and sub systems
(Macro and micro levels)
• Group 4: Detection and measurement
• Group 5: Auxiliary methods for using standards


2.3 TRIZ for innovative inventions (ARIZ)
2.3.1 ARIZ
Algorithm or step-by-step process to solve the inventive problems (Russian:

Algoritm Rešenija Isobretatelskih Zadač, abbreviated to ARIZ) is a TRIZ
tool for solving all problems, from the analysis of the problem situation and
system resources to the evaluation of potential solutions. It is generally
used if the 40 innovation principles or standards do not provide a satisfac-
tory result.
ARIZ will only help an experienced user to solve a problem, detect the
technical contradiction, formulate the objective of the solution search (so-
called idea end result) and then to summarise and overcome the basic
physical contradiction. These main ARIZ steps (Figure 1) are explained be-
low in more detail using an example. A complete ARIZ contains nine parts
with approx. 70 steps.
Solution
Physical con-
tradiction
- Database of
Ideal final re- effects
sult - Class 5
Problem standards
Technical
- Separation
contradiction
Model of the principles
- Matrix of
problem contradic-
tions
- Standards
Figure 1: Main stages of the ARIZ method [1].

VDA-Volume 4: TRIZ

2.3.2 Database of technological effects
- a link to physics
Many highly technical solutions are based on the physical, chemical, geo-
metric and other phenomena and effects. However, engineers frequently do
not have a reliable link between a problem and physics. This deficiency is
eliminated in TRIZ by the database of effects. This database contains a
range of effects which depend on the effect or property required by the
physical contradiction with examples of their applications, as the examples
in Table 3 show. Almost every effect is described in the database with its
input and output fields, for example thermo-mechanical effect or mechano-
electrical effect. This permits a range of effects to be coupled in new com-
binations so that they can be used to solve more complex problems.
Required effect Physical effects, methods
Increase in Electromagnetic induction, eddy currents, skin

temperature effect, dielectric heating, thermo-electric phe-
nomena, radiation absorption, exothermic reac-
tions, etc.
Mixing substances; Ultrasonics, cavitation, diffusion, electrolysis,
formation of solutions electrophoresis, magnetic field relating to a fer-
romagnetic substance, electric fields, geometric
effects, etc.
Changing the dimen- Thermo-mechanical effects (heat expansion,
sions of an object metal memory effect, etc.), deformation, mag-
neto-electric striction, piezo-electric effect, phase
transitions, chemical reactions, etc.
Table 3: Fragment from the database of physical effects and phe-

nomena [1].


2.3.3 Solving a problem with ARIZ
The ARIZ method can best be explained using an example
Blank
Tool
Figure 2: Illustration of the system for an ARIZ example [1].
Level 1: Formulation of the problem model.
A heated cylindrical blank (cylinder) with is penetrated by a pointed forming

tool (needle) to produce seamless pipes. For this purpose the blank is held
from the outside in rollers and turned (Figure 2). After the needle tool has
been inserted into the hot blank, the needle often starts to run off centre in
the cylinder. The problem becomes all the more pronounced as the length
of the pipe or cylinder increases, with lengths of up to 6 metres being pos-
sible. How can the undesirable movement of the tool be eliminated?
Level 2: Formulation of the technical contradiction.
As the length of the cylinder increases, the support for the needle falls and
this reduces the dimension and production accuracy of the pipe. (At this
stage it is also possible to attempt to overcome the technical contradiction
with the help of simple tools such as the contradiction table or the system of
standard solutions.)

VDA-Volume 4: TRIZ

Level 3: Formulation of the ideal end result (IER) for the problem.
The infinitely long cylinder provides its own support for itself and guides the
needle precisely along its centre. The technical contradiction is thrown into
even greater focus by this formulation. The IER in this case acts as a
pointer towards a perfect solution. Every technical contradiction has con-
crete physical causes which must be clarified in the next stage.
Level 4: Formulation of the physical contradiction.
To achieve the IER the cylinder must have two mutually exclusive physical
states: The cylinder must be rigid so that it can support both itself and the
needle and it must also be soft so that the needle can pass through its cen-
tre. This is a physical contradiction. To overcome it, ARIZ has the separa-
tion principles for overcoming physical contradictions, class 5 standards
and a database of more than 1000 physical, chemical and geometric ef-
fects.
One of the simplest methods of solving a physical contradiction is to sepa-

rate the controversial properties in time or space. In fact: The cylinder must
be hard, above all on its outside and softer towards its centre. The aim now
is to find a physical effect in the database which can influence the material
hardness.
But before any “external” effects are used, the existing internal resources
(substances, fields, time, space, information and functions) should be stud-
ied thoroughly and mobilised to find the solution. This type of analysis is
one of the main stages of ARIZ.
Overcome physical contradiction
The cylinder is heated anyway so that the needle can penetrate it more
easily. Material hardness is a function of various variables, including tem-
perature. All the system is missing is the required distribution of the heat
field: Colder on the outside and hotter towards the centre. This condition
can be satisfied without any great effort by simply spraying the cylinder with
cold water. The needle will then find the easiest route – the hottest or soft-
est part in the cylinder, which will be precisely at the centre.


2.4 TRIZ for problem solving
The four stages and the innovative problem solving tools using TRIZ can be
shown in the logic chain:
Concrete problem – abstraction – standard problem – TRIZ tool – standard

solution – application/implementation – innovative solution.
Principles of the TRIZ method
The systematic analysis of

a problem
Standard Standard
The contradiction is the problem TRIZ tool solution
central, innovation-
provoking element of tech-
nical problems
Many problems have al-

ready been solved in other Abstrac- Applica-
fields and sectors under dif- tion tion
ferent names, but compa-
rable in principle.
The advanced develop-

ment of technical systems Concrete Innovative
to form an ideal product fol- problem solution
lows certain (evolutionary)
laws.
Figure 3: Procedure for using TRIZ for problem solving

VDA-Volume 4: TRIZ

2.4.1 Analysis
The project history and the current condition are described, information is
collated, marginal conditions (environment and resources) are recorded and
the technical conflict is detected.
The TRIZ tools which can be used are as follows:
Innovation situation questionnaire
The system being considered is described in the form of a questionnaire.

The current system structure is recorded in its environment (higher level
system, lower level system and parallel systems). The functions of the sys-
tem are described and the primary benefits for the customer are set out.
The function of the system is queried. In addition the system environment
(type and form, resources) is recorded. In many cases the history of the
current system structure and the desired ideal end result are queried.
Resource checklist
This checklist is used to record the available resources in the system and
its environment (material resources, field-type resources, information re-
sources, time resources, space resources and functional resources) and
their usage defined. Topics to solve the problem are found by querying the
usage of the resources to solve the problem so as to prevent harmful func-
tions or to fulfil useful functions so as to allow a clear problem formulation to
be achieved.
Anticipatory error detection
Information about the technical conflict is obtained from the following ques-
tions:
− What do I have to do to make the product, process or system fail?

− What activities during the development, production or transport, at the
customer’s premises or by the customer result in the failure of the sys-
tem?


Object modelling
Presentation of the positive and negative dependents (network structure)

between the objects involved (system elements) and highlighting the focal
points of particularly good or poor elements. One side-effect is to make the
technical and/or physical contradictions visible.
Additional tools
− ABC analyses (cost structures, weight structures)

− 6W questions
− Obtaining knowledge from documents, literature, patents, internet,
etc.
− Cause-effect diagram (Ishikawa diagram)
− FMEA structure
− Error tree analysis
− Mind mapping
− Black box.
Results of the analysis phase
− General understanding of the function and problem (cause of the

problem)
− The same knowledge is held by all team members
− Technical conflict and physical contradiction detected
− Previous activities and history
− Identification of the obstacles.
2.4.2 Abstraction
Describe the problem in general terms and thus make is comprehensible

regardless of expert knowledge. The problem is viewed from various angles
and understood better.

VDA-Volume 4: TRIZ

Contradiction analysis
By listing contradictions it is possible to formulate a problem in precise

terms. The contradictions tool is used to analyse a technical system with its
functions. The contradiction analysis is based on the knowledge that inno-
vative solutions are generally only created if two situations obviously con-
tradict each other.
39 technical parameters (see annex)
The principles can be used in the form of a matrix, known as a contradiction

table, with 39 lines and 39 column entries. These 39 entries are the most
important characteristics of technical systems:
Weight, length, volume, speed, temperature, material losses, dimension ac-

curacy, production quality, ease of operation, etc.
They help to describe a technical system using standardised terms and ap-
pear in the boxes in the table in the form of controversial properties of a
technical contradiction: For example weight-strength or temperature-
dimension accuracy, etc.
Substance-field model
Every technical system can be presented in the terms of the existing sub-
stances, fields and their interaction. “Substances” is the term used to desig-
nate objects or parts of the system regardless of their level of complexity.
The term “field” not only includes the four classic physical fields such as
electromagnetic field, gravitational field and fields of strong and weak inter-
action. In TRIZ, the term “field” also includes all the possible “technical”
fields such as the temperature field (heat field), centrifugal forces field,
pressure field, acoustic field, etc. Once a substance-field model has been
formulated for a system, a suitable standard solution can quickly be pro-
posed.
MCT operators
The theory of MCT (material-cost-time) operators confronts the problem

solver with the hypothetical situation of having an “arbitrary quantity or ab-
solutely no” materials, money and time available. This extreme type of
thought can result in revolutionary ideas and solutions.


Additional tools
− Stimulus word analysis

− Anticipatory error detection
− Bionics
− Mathematical model (simulation calculations).
Results of the abstraction phase
− Possible solutions are found

− Further steps are specified.
2.4.3 Guided problem solving
The use of specific TRIZ tools and therefore using knowledge from other
areas.
40 basic innovation principles for overcoming technical contradic-

tions
Inventive problems and technical contradictions from various sectors can be

solved by a limited number of elementary principles (methods).
76 standard solutions for inventive problems (see annex)
The principles and the table of their application are among the simplest
TRIZ tools. The analysis of complicated problems showed, however, that
they can only be solved by the simultaneous use of several elementary
principles using physical effects. These particularly strong and stable com-
binations of the principles and effects for the system for the standard solu-
tion of inventive problems.

VDA-Volume 4: TRIZ

Separation principles
Contradictions can be solved by separating the requirements. TRIZ pro-

vides four separation principles for this purpose:
− Separation in space
− Separation in time
− Separation within an object or its parts
− Separation by changing conditions.
Additional tools
− Creativity methods (635 method, brainstorming, bionics, etc.)

− Mind mapping
− Morphological box.
Results of the solution finding phase
− Collation of non-evaluated solutions.
2.4.4 Prioritising and fleshing out the solution ideas
Systematically evaluate the solutions that have been found and select the
most suitable solution.
Evolution principles and evolution laws
The development patterns of technical systems can be described with the

so-called S curve according to Altschuller. This represents the level of ma-
turity over the life cycle (childhood, adult, mature, old).
Level of achievement of the ideal solution
All systems develop towards increasing idealness. Idealness means the

reduction of the use of substance, energy, space, time and costs whilst also
improving the desired function. The basic idea behind this is that a technical
system is not the objective of a development, but the fulfilment of the func-
tion. An ideal system fulfils its function without actually being there.


Additional tools
− Individual evaluation matrices

− Portfolio
− Benefit analysis
− Target costing
− Customer benefit analysis QFD
Results of the prioritisation phase
− Possible solutions are evaluated

− The solution has been selected for implementation.

VDA-Volume 4: TRIZ

3 TRIZ tools
The components of the theory for innovative problem solving are set out in
Table 4. Simple applications such as the principles for solving technical
contradictions can be made into active tools more quickly but are limited in
their effectiveness for tackling difficult problems. However, an experienced
TRIZ user will use various tools to suit his needs - there is equally little point
in shooting a canon at sparrows as there is in hunting elephant with a club.
No. TRIZ tool Application for

1 Technical contradiction Listing contradictions
2 Contradiction table Overcoming technical contradictions
3 Substance-field analysis Abstract models of systems consisting of substances
and fields
4 Object modelling Positive and negative dependents of the objects in the
network structure of the system, highlighting technical
and physical contradictions
5 Function modelling Linking the individual functions in the complete system
6 Separation principles Solution of contradictions by separating the require-
(physical contradiction) ments
7 Bionics Transferring biological principles to engineering
8 MKZ operators Viewing hypothetical situations relating to material,
costs and time
9 Innovation situation ques- Analysis of the current situation, the creation history
tionnaire and the ideal condition
10 Resource checklist Recording the available resources
11 Anticipatory error detection Theoretical considerations for causing the problem
(the disaster) intentionally
12 8 evolution principles Derivation of principles from the development patterns
of technical systems
13 Ideal system Use of development trends to achieve the ideal condi-
tion
14 Trimming Value analysis consideration of object models
Table 4: List of the main TRIZ tools [1]


3.1 Technical contradiction
By listing contradictions it is possible to formulate a problem in precise

terms. The contradictions tool is used to analyse a technical system with its
functions. The contradiction analysis is based on the knowledge that inno-
vative solutions are generally only created if two situations obviously con-
tradict each other.
A technical system can provide both useful effects (so-called desirable

functions) and also detrimental effects (so-called harmful factors). If a de-
sirable function is provided in a conventional manner and a harmful factor
also takes effect, a contradiction in the sense of methodical invention exists.
The contradictions can be distinguished in two ways:
- Technical contradiction: The desirable function has an effect on another

parameter of the system in the form of the harmful factor. In general two
parameters of a technical system are involved in a technical contradic-
tion.
- Physical contradiction: The desirable function and the harmful function

affect the same parameter of the system, in other words the parameter
should exist in two contradictory states. An object should be hot and
cold or soft and hard or large and small.
The following contradiction is an example from the automotive industry. The

customer wants a safe vehicle (thick metal, strong frame high weight)
which has low fuel consumption (low weight thin metal, lightweight
frame).
3.2 Contradiction table (39 parameters)
The use of the 40 innovative principles can also be used in the form of a
matrix, known as a contradiction table, with 39 lines and 39 column entries.
These 39 entries are the most important characteristics of technical sys-
tems:
Weight, length, volume, speed, temperature, material losses, dimension ac-

curacy, production quality, ease of operation, etc.
They help to describe a technical system using standardised terms and ap-
pear in the boxes in the table in the form of controversial properties of a

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technical contradiction: For example weight-strength or temperature-
dimension accuracy, etc.
With the figures in the fields at the point of intersection of two controversial
properties the table shows which principles offer particularly good prospects
of success for overcoming technical contradictions. Although not all of the
fields in the contradiction table are completed, it offers solution principles for
more than 1200 types of technical contradictions and can also considerably
reduce the search for suitable solution ideas in some cases.
The contradiction table is now part of TRIZ history. Generally the 40 innova-
tion principles are very well suited for solving problems of a simple to me-
dium difficulty level. For more complex problems it is recommended that the
system of 76 standard solutions or the ARIZ invention algorithm be used.
1 ... 27 28 ... 39
What deteriorates
this point?
Weight of Moving
Productivity
Measuring
Reliability
... ...
precision
objects
What is changed
in ´the system?
Weight of the moving 3, 11 28, 27 35, 3

1 1, 27 35, 26 24, 37
objects
... ...
2, 28 11, 35 28, 32
9 Speed 13, 38 27, 28 1, 24
8, 1 3, 35 35,10 3, 28
10 Force 37,18 13, 21 23,2 35, 37
4
... ...
35, 26 1, 35 1, 10
39 Productivity 24, 37 10, 38 34, 28
Figure 4: Search for the solution principles using the contradiction

table [1]
(As a result of the size of the complete contradiction matrix,
it has not been printed in full and instead we refer you to
various internet sites, for example
http://www.trizonline.de/triz_tools/analogien/widerspruchsmatrix.htm)

22 VDA-QMC Internetportal am 01.04.2015 um 10:54 VDA-Volume 4: TRIZ

Example
As a vehicle’s speed increases over 100 km/h, the risk of a serious accident
if a tyre bursts rises sharply. A technical contradiction is already formulated
in this and the contradiction table can be used. The increase in the speed of
a vehicle (line 9) has a negative effect on the reliability of its chassis (col-
umn 27). Table field 9/27 contains the following methods in the recom-
mended order: 11, 35, 27, 28 (Figure 4). According to principle No. 11 the
inadequate reliability should be compensated by the means of damage pre-
vention provided previously. One possible solution is as follows: A fixed disc
is fitted behind each wheel. After the tyre bursts this keeps the vehicle hori-
zontal and therefore reduces the risk of a serious accident (US Pat.
2879821).
Example
Another example of the principle of “placing a cushion underneath first” (No.

11) comes from the pharmaceuticals industry. A sleeping tablet is covered
by a thin film of an emetic substance. If a patient swallows several pills at
once, the volume of this substance reaches the critical mass and the dan-
gerous tablets will be vomited out of the stomach.
In practice, however, it is often very difficult to formulate a technical contra-

diction for a concrete problem using the contradiction table. Therefore the
direct use of innovation principles is recommended.
3.3 Substance-field analysis
The standard solutions operate with the abstracted models of technical sys-
tems which are easy to produce with the aid of the so-called substance-field
analysis. Every technical system can be presented in the terms of the exist-
ing substances, fields and their interaction. “Substances” is the term used to
designate objects or parts of the system regardless of their level of com-
plexity. The term “field” not only includes the four classic physical fields
such as electromagnetic field, gravitational field and fields of strong and
weak interaction. In TRIZ, the term “field” also includes all the possible
“technical” fields such as the temperature field (heat field), centrifugal forces
field, pressure field, acoustic field, etc. Once a substance-field model has
been formulated for a system, a suitable standard solution can quickly be
proposed. To demonstrate this let us consider one standard from the total
of 76.

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Example
Small metal balls are transported through a pipeline containing a large

number of bends by means of a current of air (Figure 5). As a result of the
surge effect of the balls the pipe walls wear very quickly at the curves. Al-
though additional protective coatings (typical compromise solution) would
produce a longer service life, they still suffer wear. What can be done?
There is an undesirable interaction between two substances (balls and
pipe) in a technical system. Class 1 standard solutions deal with such prob-
lems. One of these standard solutions is as follows:
“If contact between two substances/objects which move relative to each
other results in a negative effect, a third substance, which represents a
modification of one or both of the existing substances, should be introduced
between these substances/objects.”
Figure 5: Graphic illustration of the example [1].
Figure 5 shows the result. A layer of the same balls is placed between the
pipe wall and the stream of balls. The balls are either in a pocket of the
pipeline or are in another versions are held by a permanent magnet. The
moving balls no longer strike the wall but instead strike other balls. If one of
the fixed balls is displaced, its place is taken by another one. The technical
contradiction has been solved. There is no more wear in the pipe bends. A
problem from another sector can be solved using the same standard.


Example
The wings of high speed boats are often exposed to the cavitation effect
(hydro-dynamic erosion) of the water current. Small imploding air bubbles
gradually destroy even high strength underwater wings. There is obviously
a harmful interaction between two substances: Water and metal which, ac-
cording to the above standard, can be eliminated by modifying one of the
existing substances. First of all we look at “modified water” (for example ice
or steam) and immediately find the solution. Part of the underwater wing is
cooled and a thin but constantly renewable layer of ice is formed on it.
These examples also show clearly why a modification of one of the existing
substances should be used as the third substance to be introduced. A “for-
eign” substance will not generally fit into what for it is a “foreign” technical
system without complications.

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3.4 Object modelling
Presentation of the positive and negative dependents (network structure)

between the objects involved (system elements) and highlighting the focal
points of particularly good or poor elements.
Illustration of positive and negative dependences

between the objects involved
There is a negative de-

Activity 1 pendence between object
Object 2 1 and object 2
Object 1
There is a positive de-

Object 3 pendence between object
Activity 2 1 and object 2
Example: fans
Forest fire
Wind
Sailing ship
accelerates
Figure 6: Object modelling [3].


3.5 Function modelling
Function modelling breaks down the whole system or whole problem into its
individual functions (function network)) and describes the links between
these functions by standardised means. A function in the sense of TRIZ is
characterised by an active verb and a noun.
Illustration of system links with function modelling
Function 1 Function 3 Function 5

(Active verb + (Active verb + (Active verb +
noun) noun) noun)
Function 2 Function 6
(Active verb + (Active verb +
noun)
Function 4 noun)
(Active verb +
noun)
results in eliminates causes prevents
Errors are Use Q meth- Costs

created ods incurred
Improve Update VDA

quality Volume 4
Improve customer
satisfaction
Figure 7: Function modelling [2].

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3.6 Separation principles
Contradictions can be solved by separating the requirements. TRIZ pro-

vides four separation principles for this purpose:
− Separation in space
The basic concept behind this principle is to separate contradictory
requirements spatially. Split the system spatially into part systems or
sub-systems and assign the contradictory functions to different parts.
− Separation in time
If a system or a process has to satisfy contradictory requirements,
fulfil opposed functions or work under contrary conditions, an attempt
should be made to ensure that the contradictory requirement, func-
tions or conditions are required or take place at different times.
− Separation within an object or its parts

If a system has to fulfil contradictory functions or has to work in con-
tradictory conditions, an attempt may be made to split the system into
sub-systems, assign one of the contradictory functions to one or
more sub-systems and to leave the other functions to the system as
a whole as before.
− Separation by changing conditions

The basic concept in this case is the separation of contradictory re-
quirements by modifying the conditions in which a useful and an un-
necessary or harmful process occur at the same time. The system or
environment can be modified in such a way that only the useful proc-
ess can occur.
Example
Contradiction: A chair lift should move quickly so that the travel time is
show, but it should move slowly so that the passengers can climb in and out
safely and in comfort.
Solution by separation in time: Transfer of the chair from the transport cable
(high speed) to a loading cable (low speed).


Example
Contradiction: The hull of a boat should be narrow so that its water resis-
tance is low, but it should be wide so that it is stable and offers lots of
space.
Solution by the separation of an object: By the combination of two narrow
hulls to form a catamaran it is possible to satisfy both requirements.
3.7 Bionics
The bionics method is particularly suitable for finding ideas when faced with
technical problems. It checks how nature has solved material or construc-
tion problems. Bionics is designed to transfer structures, mechanisms of
systems taken from nature specifically on to technical solutions.
Example
Problem: Pneumatic cylinders for short, finely metered translatory

movements are very heavy, move in a jerky fashion (stick-slip
effect) and often leak (piston rod/cylinder)
Question: How does nature perform translatory movements?
Solution: Muscles.
Implementation: Production of the muscle principle by using a diamond-

shaped, woven, flexible pressure hose.
Pneumatic muscle from Festo

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3.8 Material, cost, time (MCT) operators
The theory of MCT operators confronts the problem solver with the hypo-
thetical situation of having “an arbitrary quantity or absolutely none” of the
following:
− Available materials, such as raw materials, working materials, com-

ponents, energy, etc.
− Costs relating to money for materials, technologies, systems, hu-
mans, etc.
− Available time to fulfil the function, for activities, for thinking, etc.
This extreme type of thought can result in revolutionary ideas and solutions.
I m a g i n e yo u h a ve
all the mone y in the world
all the experts in the world
all the time in the world
t o s o l ve yo u r p r o b l e m
D e s c r i b e yo u r i d e a s / s o l u t i o n s
I m a g i n e yo u h a ve n o t h i n g
no money
no experts / no help from others
no time
t o s o l ve yo u r p r o b l e m
D e s c r i b e yo u r i d e a s / s o l u t i o n s
Figure 8: MCT operators [3].


3.9 Innovation situation questionnaire
The innovation checklist (IC) or innovative situation questionnaire (ISQ) is a

type of questionnaire which, if completed systematically, provides an exten-
sive analysis of the current situation and may create original ideas even for
this analytical descriptive process.
The basic structure (headings on a checklist) for formulating a problem may

be as follows:
− System structure
− Primary useful functions of the system
− How the system works
− Available resources
− Problem situation, primary harmful functions
− Mechanism or effect of the error
− History of the problem
− Limits of the system change
− Selection criteria for solution concepts
− Spontaneous ideas
− Analogous problems and ideas
− Ideal current situation.
3.10 Resources checklist
This checklist is used to record the available resources in the system and
its environment (material resources, field-type resources, information re-
sources, time resources, space resources and functional resources) and
their usage defined. Topics to solve the problem are found by querying the
usage of the resources to solve the problem so as to prevent harmful func-
tions or to fulfil useful functions.

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Example
a) Material resources d) Time resources

Waste Work in advance
Raw materials and products Cycle work
System components Parallel work
Low cost substance Rework
Substance flow
Substance properties e) Information resources
Information provided by the
b) Field-type resources substance itself
Energy in the system Information is an inherent prop-
Energy from the environment erty
Build on possible energy Mobile information
sources Temporary, volatile information
System waste becomes a Information about a change of
source of energy state
c) Spatial resources f) Functional resources

Empty space Primary function provides re-
Different dimension sources
Vertical layout Use harmful function
Nesting Use secondary and auxiliary
functions
Figure 9: Resources checklist [2].
3.11 Anticipatory error detection
From the questions
- What do I have to do to make the product, process or system fail?

- What activities during the development, production or transport, at the
customer’s premises or by the customer result in the failure of the sys-
tem?
it is possible to acquire information on the technical conflict.


What do I have to do to make the following fail:
The product
The process
The system properties
List of activities
during development
during production
during transport
at the customer’s premises
by the customer
which result in a failure of the system
Description Activity
Get the pizza to the customer whilst Transport the pizza to the customer
it is still warm and crispy without a box
Transport pizza in a cool box
Figure 10: Anticipatory error detection [3].
3.12 Eight evolutionary principles
The development patterns of technical systems can be described with the

so-called S curve according to Altschuller. This represents the level of ma-
turity over the life cycle (childhood, adult, mature, old).
The innovations (inventions) which take place as part of the S curve can
occur on five levels
Level 1: Conventional solutions which use existing technologies, for

example improve stability – increase wall thickness
Level 2: Improve existing systems by minor improvements, for example
protect from dirt – cover cap.
Level 3: Major improvement using existing technology, for example mo-
torcycle chain – shaft drive.

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Level 4: Use of new technologies which have previously been used in
other sectors, for example the Lotus effect for ceramic parts –
use for car paints.
Level 5: Completely new technology invention, for example the techni-
cal use of the Lotus effect.
The TRIZ methods are essentially aimed at levels 3-4 (in some cases
level 5).
The basis for inventions and improvements is provided by the two basic
laws of development:
Law 1: Increase the level of idealness of a system
All systems develop towards increasing idealness. Idealness
means the reduction of the use of substance, energy, space,
time and costs whilst also improving the desired function. The
basic idea behind this is that a technical system is not the ob-
jective of a development, but the fulfilment of the function. An
ideal system fulfils its function without actually being there.
Law 2: Inexhaustibility of technical development
Every system can be improved. It is always worthwhile thinking
about improvements.
TRIZ provides two main tools for making inventions on the basis of these
two laws:
I. Eight development patterns of technical evolution
If we study the development of systems on the basis of the S curves it is

possible to observe eight patterns of development:
1. Non-standard development of the system parts

Technical systems generally consist of sub-systems which are devel-
oped individually. Different sub-systems therefore reach their limit at
different times. The components which reach the maturity phase last
therefore slow down the system as a whole and therefore become
the weakest link. If, for example, the engine in the automobile system
is already very quiet but the gearbox is not, sound insulation must be
concentrated on the gearbox.


2. Evolution to higher dynamic, controllability and regulation capacity
The basic system is improved, weaknesses are detected and elimi-
nated. The level of the dynamic of the system is increased (example
of the steering wheel – see Figure 11)
Field-based
Fluid- system
actuated
Efficiency / Level of maturity of
system
the system
Elastic
system
System with Simple adjustment
joints in any position
Rigid (electric)
system
Adjustment in
any position
(hydraulic)
Height
adjustable
Limited
No possible possible
adjustments adjustments Time axis / Level of segmentation
Youth Mature Old

age
Figure 11: Development towards greater dynamic and control

lability [2].
3. The course of evolution using initially complicated and then superbly

simple systems
This course of development can be explained using the example of
the instrument panel in a car (previously there were lots of individual
instruments and now the displays are projected on to the wind-
screen).
4. Increasing integration
The systems are given more and more properties which are inte-
grated into the system. One example from the automotive industry is
the integration of a child seat in the rear seat which grows with the
child.

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5. Evolution using suitable and specifically unsuitable components
Expansion of the properties of the system by extending the core func-
tionality or by properties which have nothing to do with the original
function of the system. An example of this is the expansion of filling
stations supplying fuel to now also selling accessories and items for
travellers.
6. Miniaturisation and the increased use of fields
Systems become smaller and smaller, a point which can by illus-

trated very well by mobile phones. Fields are used to fulfil functions
(see Figure 12).
Efficiency / Level of maturity of the Field-type system

system
Elastic
system
System with
joints
Rigid system
without ground
Voice-controlled
Rigid system station system
with ground
station Extending touch-
sensitive keypad
(Sony)
1 joint
(Motorola) Time axis / Level of
More than one joint segmentation
(Nokia)
Youth Mature Old age
Figure 12: Development towards miniaturisation and the increased

use of fields [2].


7. Increasing segmentation and separation
Construction of module systems which can be specifically combined.
This can be illustrated very well by notebooks whose hard disc drives
are external to save space and weight.
8. Evolution towards reduced human interaction

Operation by humans is no longer required since the system controls
itself. One example is the rain sensor which controls the wipers if it
starts to rain.
II. Seven development trends en route to the ideal system
An ideal system is a system which performs its function without actually be-
ing there. In TRIZ there are seven development trends en route to this ideal
state. The seven trends are as follows (see Figure 13):
− Dimension – from the rectangular fuel tank to the tank which fits into the
vehicle’s contours.
− Components - from producing text with a pen to the multi-colour printer
cartridge.
− Segmentation – from ball bearings to magnetic field bearings.
− Dynamic – from the single leaf door to the air curtain.
− Frequency – from the vacuum cleaner which sucks constantly to the
resonance beater.
− Function – from the chocolate bar to the Kinder Surprise egg.
− “Voidness” – from aluminium cast to magnesium foam.

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1. Dimension
Point
7. “Voidness”
Line
Monolith system
Surface
A large void
Lots of voids
3-D 2. Components
Mono-system
Porous system
Bi-system
Dynamic voids
Poly-system
6. Function system 3. Segmentation

properties Solid
Bi/Poly-system Ideal Pseudo-solid
Mono-function system Liquid
Gaseous
Mono-function with influ-
encing properties
Poly-function
4. Dynamic
Poly-system with contra- Rigid
dictory properties 1 node/joint
5. Frequency Lots of nodes/joints
Continuous
Elastic
Vibrations
Field-based
Resonance
Immobile shaft
Figure 13: Development trends en route to the ideal system [2].
3.13 Trimming
The object modelling process is followed by so-calling trimming, in other

words improving by routing out potential improvements in the existing
model by means of a value analysis consideration. The aim of this is to ex-
pand/improve the useful functions by removing or modifying problematic
components (objects) and to avoid/bypass/eliminate the harmful functions
and therefore to significantly and verifiably improve the system.


Three core values describe this improvement process:
Function ranking – specifies how close an object is to the useful product:

Objects which are directly connected to the product have a higher function
ranking than objectives which are only indirectly linked to the product (via
several intermediate stages).
Problem ranking – represents the number of harmful interactions which

are linked to an object.
Cost ranking – documents how expensive an object is.
This is used to determine the trimming factory, in other words the priority
with which a component should be trimmed, or in other words improved,
modified or eliminated:
Function ranking x Function ranking

Trimming factor =
Problem ranking + Cost ranking
The trimming factor states for which object trimming is most required (high-
est ranking = 1).
The considered ranking values (function ranking, problem ranking and cost
ranking) are normalised on a relative scale from 1 to 10 so that they can be
compared to each other and are summarised in Table 5.
The second step for the trimming procedure is based on the following four
standard questions:
1. Can a different object (1) take over the function/task? Which?

2. Can the object (2) in the function on which the function/task acts carry
out the function/task itself?
3. Can the object (2) in the function be eliminated?
4. Can the function/task be eliminated?
These questions are designed to encourage problem solvers or inventors to

think systematically about eliminating elements of the system and thus to
find new, improved solutions.

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Evalua- Harmful influence
tion Functionality Problem Costs
(ranking) F P K
1 Extremely useful, absolutely Absolutely harmful / absolutely Unaffordable
essential undesirable (PSF)
2 Very very useful Very very harmful / very very Extremely ex-
undesirable pensive
3 Very useful Very very harmful / very very Very very ex-
undesirable pensive
4 Useful Very harmful / very undesirable Very expensive
5 Somewhat useful / useable Harmful / undesirable Rather expen-

sive
6 Moderately useful Slightly harmful / somewhat Expensive
undesirable
7 Slightly useful Hardly harmful / very unwel- Not very ex-
come pensive
8 Hardly useful Detrimental, nega- Cheap, low
tive/unwelcome cost
9 Very little use Not significantly harmful / al- Very cheap
most no effect
10 Absolutely not useful, indif- Non-harmful, indifferent / no ef- Extremely
ferent fect, indifferent cheap
Table 5: Ranking evaluation catalogue for the trimming process
An example of a trimming process is the development of displays on an in-

strument panel in a vehicle. Starting from lots of individual instruments, a
few combination instruments were then used. The next step was a single,
multi-function display which also only requires one screen. The last step is
the projection of the information on the windscreen directly in the driver’s
line of vision (head-up display).


4 Implementation
4.1 TRIZ software
The contradiction “strong TRIZ tools are more complicated in theory and
application” can be solved in the TRIZ manner by using modern computer
programs. Although there is still not an invention at the touch of a button, a
TRIZ software package can considerably accelerate the innovation process
and considerably improve the quality of possible solutions. It demands at
least minimal TRIZ knowledge from the user and helps him to analyse and
solve his problem with various TRIZ tools and examples.
One example of this is the German software for innovations, “Tri-Solver”,

which uses the full potential of TRIZ and also proves to be a convenient tool
for idea and knowledge management. The software supports both a simple
idea search for the solution of every day problems and also a systematic
and complete idea identification process.
4.2 Using software successfully
Different TRIZ components must be used sensibly to suit the level of diffi-
culty of the problem. Practice has also shown that the verifiable results can
only be achieved if the users master at least 10% - 15% of the total TRIZ
potential without having to turn to a textbook or an electronic thesaurus.
Qualified use of contradiction-based thought methods and various TRIZ

tools with software support make it possible to solve problems quickly and
develop pioneering products.
There is also no doubt that computer-aided innovation (CAI) will be a stan-

dard engineering activity in the future, similar to CAD and CAM.

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4.3 Success potential of TRIZ & CAI
The benefits and future potential of TRIZ and CAI have technical and psy-
chological aspects.
Technical aspects
• Faster and more effective problem solving and innovation by consis-
tently ignoring the trial and error method, reducing the development
risk and lowering development costs.
• Forecasting the development direction of technical systems, creating
patent shields, discovering product niches which have not yet been
filled.
• Quality assurance and product improvement by the targeted search for
outstanding alternative solutions and the use of anticipatory error de-
tection.
• Generating ideas in almost hopeless situations where practically every
conceivable method appears to have been covered by patents held by
competitors.
• The perfect use of system resources: For example eliminating a nega-
tive effect in a finished machine yet only making minimal changes to a
technical system.
• Possible integration with DFMA (design for manufacturer and assem-
bly), FMEA (failure mode and effect analysis), QFD (quality function
deployment), DoE (design of experiments), Taguchi (robust design)
and other methods.
Psychological aspects
• Encourages the creativity and innovative spirit of engineers and project
teams.
• Suppresses slowness of thought and so-called operational blindness.
• Supports systematic thinking and the will to search for non-trivial solu-
tions outside one’s own area of expertise.
• Improves team work; invention becomes a controllable process and is
not just an act of pure inspiration.
TRIZ is not a magic wand and we are a long way from creating inventions
at the touch of a button. Furthermore, not every “hard nut” can definitely be
cracked by TRIZ tools on the spot. However, it gives invention technology a
solid, convincing procedure for getting as close as possible to the core of
the problem and provides all types of engineering expertise from almost
every field of technology and science. For this reason at least it is worth-
while using TRIZ.


5. Implementation of TRIZ and CAI in your company
5.1 Overcoming hurdles
From a practical point of view TRIZ and CAI beginners have two hurdles to
overcome - one technical and one psychological. The well-known parallels
with the relatively recent introduction of CAD into every day design practice
appear to be particularly helpful in this respect.
Firstly: A modern CAD workstation will hardly be of any use if its users are
not familiar with design theory. Exactly the same is true for computer-aided
innovation which should not begin at the PC but with studying the TRIZ
principles and practising new working methods.
Secondly: TRIZ requires unconventional, contradiction-based thought

processes from its users and the consistent rejection of the trial and error
method for solving technical problems. Changing thought processes which
have been engrained over a period of years is no easier for many designers
and developers than, for example, moving from the drawing board to the
CAD device.
• Industrial experience
The experience of a large number of TRIZ users confirms that TRIZ (which
is not known as the “theory of invention” for nothing) is much too extensive
to be introduced successfully whilst continuing day to day business at the
same time.
Systematic support by method experts allows TRIZ working techniques with

their PC-based idea databases to be integrated in the company processes
successfully and with good results. Depending on the needs of the com-
pany, TRIZ expertise is provided by practical training courses or by the
moderation of pilot projects which involve the solution of current problems.

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• Internal training
The wish to equip management staff and development teams with the tech-
niques of systematic, inventive problem solving often conflicts with high
workloads and a general lack of time for day to day business. A multi-level
internal training programme will help to overcome this contradiction. This
enables companies to do the following:
• Train its own TRIZ experts by having them attend all the levels
• Qualify a large number of staff in different levels using the rotation prin-
ciple.
The contents, number and duration of the levels can be tailored to the com-
pany’s specific needs. The entire training cycle can therefore be completed
within two to 12 months depending on the available time resources.
• Building TRIZ expertise
The acquisition of TRIZ expertise and experience is certainly not a matter of

a few hours. Figure 14 shows the recommended structure of a TRIZ exper-
tise pyramid within the company. The bottom levels such as “Contradiction-
based thought” and “Innovation principles” should become as widespread
as possible at all levels of the company. The use of special TRIZ tools, on
the other hand, should be reserved for internal method specialists. The
route offered by simple to more complex tools and methods should also be
chosen since this is definitely worthwhile and will not create disappoint-
ments.


Standards
Technological effects
Development patterns of technical

systems, principles, standards, etc.
TRIZ innovation principles
Contradiction-based technical thought
Figure 14: Structure of TRIZ expertise within the company
5.2 Platform for innovation and quality management
TRIZ is made up of several methods and tools and therefore occupies a

much higher level than conventional methods of quality management and
product development, such as QFD, FMEA, DFMA, DoE and Taguchi, etc.
It will prove to be a platform of internal innovation and quality management
which can be developed and extended. In the face of dynamically growing
global competition, the fast adoption of TRIZ in every company cannot only
be refreshing and encouraging but may even prove vital for survival.

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6 Annex - tables
6.1 39 technical parameters which describe a contradiction
1 Weight of a moving object 20

2 Weight of a stationary object
21 Power
3 Length of a moving object
22 Waste of energy
4 Length of a stationary object
23 Waste of material
5 Length of a moving object
24 Loss of information
6 Surface area of a moving object 25 Wasted time
7 Volume of a moving object 26 Material quantity
8 Volume of a stationary object 27 Reliability
9 Speed 28 Measuring precision
10 Force 29 Production precision
11 Pressure or tension 30 External negative influences on the
object
12 Form
31 Negative side-effects of the object
13 Stability of an object
32 Ease of production
14 Strength 33 Ease of use
15 Durability of a moving object 34 Ease of repair
16 Durability of a stationary object 35 Ability to adapt
36 Complexity in structure
17 Temperature
37 Complexity in control or controller
18 Brightness
19 Energy consumption of a moving 38 Level of automation
object 39 Productivity
Table A: 39 technical parameters which describe the contradiction in

patents [1]


6.2 40 innovation principles
1 Segmentation and dismantling 14 Curving 27 Cheap short life

2 Separation 15 Dynamisation 28 Replace mechanism
3 Local quality 16 Partial or surplus effect 29 Pneumatics and hydraulics
4 Asymmetry 17 Higher dimension 30 Flexible sheathing and films
5 Joining 18 Mechanical oscillations 31 Porous materials
6 Universality 19 Periodic effect 32 Colour changes
7 Nesting 20 Continuity 33 Homogeneity
8 Counterweight 21 Hurry through and omit 34 Elimination and regeneration
9 Preferred opposite action 22 Convert harmful into useful 35 Change of properties
10 Preferred action 23 Recoupling 36 Phase transition
11 Preventive action 24 Mediator, broker 37 Heat expansion
12 Equipotent 25 Self-supply, self-service 38 Strong oxidising agent
13 Reversal 26 Copy 39 Inert medium
40 Composite material
Table B: 40 innovation principles [3].

VDA-Volume 4: TRIZ

6.3 TRIZ – the 76 standard solutions for substance-field analysis
From Prof. Dr. A. Mack “TRIZ – the 76 standard solutions for substance-
field analysis according to Altschuller”.
(Nomenclature: SFA = substance-field analysis; SFM = substance-field

model)
1 Building and destruction of complete substance-field models
1.1 Structure of SFMs
1.1.1 Complete an incomplete SFM
Centrifugation (F, centrifugal force) is used to separate air or water

(S1) from solid particles (S2).
1.1.2 If additives can be added internally, complete with them
Small drops of fluid can be detected easily by adding a fluorescent

dyestuff.
1.1.3 If additives can be added externally, complete with them
Gas leak detection using soap spray from the outside on a pipe.
1.1.4 Use resources for completion
1.1.5 Create additional resources by changing the system environment
1.1.6 Use surplus actions for completion and eliminate the surplus
1.1.7 If the surplus action is harmful, try to guide it at a different compo-

nent in the system


1.1.8 Insert locally protective substances to compensate
Glass ampoules are cooled from below whilst they melt in a water
bath to prevent overheating the thermally sensitive content.
1.2 Destruction of SFMs
1.2.1 Eliminate harmful interactions by introducing a third substance S3
1.2.2 Eliminate harmful interactions by introducing a third substance S3

where S3 may be a modification of the two substances S1 and/or S2.
The superficial destruction of the hulls of high speed boats due to

cavitation caused by water can be prevented by cooling the hull and
forming a layer of ice.
1.2.3 Direct the harmful effect to a less important substance S3
Walls of containers (S1) in which water (S2) freezes are clad with
elastic material (S3) to compensate for thermal expansion (F, force)
and prevent the container wall being damaged.
1.2.4 Introduce a new field to compensate the harmful effects
A stream of air is used to atomise flowers, but this also unfortu-

nately results in the blossom closing. This negative effect can be
eliminated by given the blossom an electrostatic charge which
keeps them open.
1.2.5 Use the possibility of being able to switch magnetic fields on and off

VDA-Volume 4: TRIZ

2 Improvement of SFMs
2.1 Transition to more complex SFMs
2.1.1 Link several SFMs
Hilti principle, drive unit strikes heavy intermediate chisel which

strikes the actual chisel which strikes the object to be smashed
(pulse transfer and strengthening over several stages)
2.1.2 Couple an SFM
2.2 Advanced development of SFMs
2.2.1 Use fields which can be better controlled
2.2.2 Fragment S2
Knife Knife with serration Microwave-sharpened Specifically

roughened blade
2.2.3 Use capillary or porous substances
Several small nozzles emit adhesive more precisely than on large

aperture.
2.2.4 Increase the level of dynamic
Split a door leaf into several segments, roller doors, shutters con-
nected flexibly.
2.2.5 Structure fields
2.2.6 Structure substances


2.3 Rhythm coordination
2.3.1 Bring the rhythm (the frequency) of the acting field into harmony (or
specific non-harmony) with one of the two substances
In a massage one attempts to bring the rhythm of the external effect

into harmony with the pulse of the patient. Specific asymmetry in
gearboxes prevents loud noise and inherent resonance.
2.3.2 Synchronise the rhythm or the frequency of fields
2.3.3 Bring independent actions into rhythmic harmony
Use breaks in the completion of a useful function to complete an-

other function.
2.4 Complexly improved SFMs
2.4.1 Use ferromagnetic substances and magnetic fields
2.4.2 Use ferromagnetic particles, granulates and powders
Magnet and reed contact
2.4.3 Use ferromagnetic fluids
2.4.4 Use capillary structures in conjunction with ferromagnetism

VDA-Volume 4: TRIZ

2.4.5 Use complex ferromagnetic SFMs, for example external magnetic
fields, ferromagnetic additives, etc.
2.4.6 Improve the controllability of ferromagnetic systems by using the ef-

fects database
2.4.7 Increase the level of dynamic in a complex SFM
2.4.8 Structure and split fields and substances into complex SFMs
2.4.9 Improve the controllability of ferromagnetic systems by using the ef-

fects database
3 Transition to super and sub-system (macro and micro level)
3.1 Transition to bi and poly systems
3.1.1 Combine systems to form bi and poly systems
Several panels are combined to form a stable stack so as to ma-

chine the edges of thin glass panels
3.1.2 Create or intensify the connection between the individual elements

in bi or poly systems
3.1.3 Improve the efficiency of bi or poly systems by increasing the differ-

ences of individual components
Apply coloured marking to similar parts during assembly to prevent

confusion
3.1.4 Simplify bi or poly systems by eliminating superfluous, redundant or

similar functions
An LED which can light up in two or three colours


3.1.5 Improve the efficiency of bi or poly systems by spreading mutually
hindering or harmful effects among various components
3.2 Transition to micro systems
3.2.1 Miniaturise components or entire systems
4 Detection and measurement
4.1 Indirect methods
4.1.1 Bypass detection and measurement
A temperature sensor must measure the temperature and initiate

actions to protect an electric motor from overheating. If the poles of
the motor are made from an alloy with a Curie point at precisely the
temperature where the overheating starts, the motor will cut out by
itself.
4.1.2 Carry out detection and measurement on a copy
Measuring the length of snakes is dangerous. It is better to meas-

ure a scale photograph of the snake.
4.1.3 Replace measurement by two consecutive detection processes
Thermo-chromium substances which change colour depending on

temperature can be used to measure temperature.

VDA-Volume 4: TRIZ

4.2 Structure of measurement SFMs
4.2.1 Detect or measure using an additional field
An electric current is fed through water to detect that it is boiling.

When it starts to boil the electrical resistance rises sharply due to
the formation of steam bubbles.
4.2.2 Add additives or substances which are easy to detect or measure
Luminescent dyestuff is added to the refrigerant to detect a leak in

the cooling system of a refrigerator.
4.3 Improvement of measuring systems
4.3.1 Use the effects database to improve measuring systems
4.3.2 Use resonance phenomena for measuring purposes
Mechanical oscillations whose frequency depends on mass are

generated to find the mass of a body in a closed container (Coriolis
effect).
4.3.3 Use the resonance phenomena of linked objects for indirect meas-
urement
4.4 Transition to ferromagnetic systems
4.4.1 Use ferromagnetic substances and magnetic fields
4.4.2 Replace substances with ferromagnetic substances and detect or

measure using the magnetic field
4.4.3 Create complex, linked SFMs with ferromagnetic components
4.4.4 Introduce ferromagnetic substances to the system environment


4.4.5 Use the effects database (Curie point, Hopkins and Barkhausen ef-
fect, magneto elastic effects, etc.)
4.5 Evolution of detect and measure
4.5.1 Create bi and poly systems
4.5.2 Detect and measure the (mathematical) derivation or the integral

instead of the original function
5 Auxiliary methods for using standards
5.1 Introduction of substances
5.1.1 Indirect methods
Introduce voids or cavities as a substance, use highly active addi-

tives in small quantities or just locally, create the required sub-
stance only when required (in situ, for example by electrolysis, ca-
talysis, etc.).
5.1.2 Distribute substances, use fragments
5.1.3 Use the self-limitation of substances
The temporarily introduced substance decomposes after the suc-

cessful action or is chemically destroyed.
5.1.4 Use substances in surplus
The use of foams can be used to take account of both requirements

for low mass and high substance quantity (volume) (cavity in sur-
plus).
5.2 Introduction of fields
5.2.1 Use all the existing fields in the sense of resources

VDA-Volume 4: TRIZ

5.2.2 Use fields from the system environment
5.2.3 Use field-generated substances
Magnetic substances
5.3 Phase transitions
5.3.1 Change the aggregate state or the phase of substances
5.3.2 Use two aggregate states or phases of a substance
Water and ice together fix the temperature at 0°C
5.3.3 Use the physical effects which accompany a phase transition
Use the low temperature during evaporation for cooling.
5.3.4 Use effects which result from the simultaneous presence of two
phases
5.3.5 Improve the interaction between two phases
5.4 Use the effects database
5.4.1 Use inherently controlled reversible physical transformations
Phase transitions, dissociation – association, ionisation and recom-

bination.
5.4.2 Use accumulation and reinforcement effects.
Catalysts, enzymes
5.5 Substance particles
5.5.1 Create substance particles (for example ions) by destroying a

higher level organised substance


Molecules
5.5.2 Create substance particles (for example ions) by combining lower

level organised substances
Elementary particles
5.5.3 Use a substance with a similar level of classification to destroy or

combine substance particles (take small steps)
Powder instead of solids

VDA-Volume 4: TRIZ

6.4 Contradiction matrix


Deteriorating parameters
1 2 3 35 36 37 38 39
ture
ationarry
structu
ol
contro
mation
oving
oving
Example /
acity
xity of s
n capac
xity in c
Contradiction matrix
o a mo
of a mo
o a sta
autom
Cut-out
vity
vel of a
oductiv
eight of
eight of
daption
ngth o
omplex
omplex
objject
objject
objject
Com
Com
Ada
Len
Lev
Pro
We
We
1
ved
Weight
g of a moving
g object
j 15,, 8,29,34
, , 29,5,15,8
, , , 26,30,36,34
, , , 28,29,26,32
, , , 26,35,18,19
, , , 35,3,24,37
, , ,
mprove
2 Weight of a stationary object 19,15,29 1,10,26,39 25,28,17,15 2,26,35 1,28,15,35

3 Length of a moving object 8,15,29,34 14,15,1,16 1,19,26,24 35,1,26,24 17,24,26,16 14,4,28,29
eters to be im
4 Length of a stationary object 35,28,40,29 1,35 1,26 26 30,14,7,26

5 Area of a moving object 2 17 29 4
2,17,29,4 14 15 18 4
14,15,18,4 15 30
15,30 14 1 13
14,1,13 2 36 26 18
2,36,26,18 14 30 28 23
14,30,28,23 10 26 34 2
10,26,34,2
6 Area of a stationary object 30,2,14,18 15,16 1,18,36 2,35,30,18 23 7,10,15,17
7 Vol me of a mo
Volume moving
ing object 2
2,26,29,40
26 29 40 1
1,7,4,35
7 4 35 15,29
15 29 1,26
1 26 4,26,29
4 26 29 16,24,34,35
16 24 34 35 2,6,10,34
2 6 10 34
Parame
8 Volume of a stationary object 10,14,19,35 14,19 1,31 2,17,26 2,10,35,37

9
P
Speed 2,13,28,38 8,13,14 10,15,26 4,10,28,34 3,16,27,34 10,18

10 Force 1,8,18,37 1,13,18,28 9,17,19,36 15,17,18,20 10,18,26,35 10,19,36,37 2,35 3,28,35,37
11 Pressure or tension 10,36,37,40 10,13,18,29 10,35,36 35 1,19,35 2,36,37 24,35 10,14,35,37
12 Form 8,10,29,40 3,10,15,26 5,4,29,34 1,15,29 1,16,28,29 13,15,39 1,15,32 10,17,26,34
13 Stability of an object 2,21,35,39 1,26,39,40 1,13,15,28 2,34,35,30 2,22,26,35 22,23,35,39 1,8,35 3,23,35,40
14 Strength 1,8,15,40 1,26,27,40 1,8,15,35 3,15,32 2,13,28 3,15,27,40 15 10,14,29,35
15 Endurance of a moving object 5,19,31,34 2,9,19 1,13,35 4,10,15,29 19,29,35,39 6,10 14,17,19,35
16 Endurance of a stationary object 6 16 19 27
6,16,19,27 2 6 25 34 35
6,25,34,35 1 10 16 20 38
10,16,20,38
17 Temperature 6,22,36,38 22,32,35 9,15,19 2,18,27 2,16,17 3,27,31,35 2,16,19,26 15,28,35
18 Brightness
B i ht 1,19,32
1 19 32 2
2,32,35
32 35 16
16,19,32
19 32 1,15,19
1 15 19 6
6,13,32
13 32 15
15,32
32 2
2,10,26
10 26 2
2,16,25
16 25
19 Energy consumption of a moving object 12,18,31,28 12,28 13,15,16,17 2,27,28,29 35,38 2,32 12,28,35
20 Energy consumption of a stationary object 6,9,19,27 Request the complete matrix 16,19,25,35 1,6
21 Power , , ,
8,31,36,38 , , ,
17,19,26,27 , , ,
1,10,35,37 free of charge from: , ,
17,19,34 , , ,
19,20,30,34 , ,
16,19,35 , ,
2,17,28 , ,
28,34,35
22 Wasted energy 6,15,19,28 6,9,18,19 2,6,7,13 7,23 3,15,23,35 2 10,28,29,35
23 Wasted material 6,23,35,40 6,22,32,35 14,10,29,39 [email protected] 2,10,15 10,24,28,35 10,13,18,35 10,18,35 10,23,28,35
24 Loss of information 10,24,35 5,10,35 1,26
Ke ord TRIZ / Contradiction matri
Keyword: matrix 33,35 35 13,15,23
25 Wasted time 10 20 35 37
10,20,35,37 5 10 20 26
5,10,20,26 2 15 29
2,15,29 28 35
28,35 6 29
6,29 10 18 28 32
10,18,28,32 24 28 30 35
24,28,30,35
26 Material volume 6,18,31,35 18,26,27,35 14,18,29,35 3,15,29 3,10,13,27 3,18,27,29 8,35 3,13,27,29
27 Reliabilit
Reliability 3
3,8,10,40
8 10 40 3
3,8,10,28
8 10 28 4
4,9,14,15
9 14 15 8
8,13,24,35
13 24 35 1,13,35
1 13 35 27,28,40
27 28 40 11,13,27
11 13 27 1,29,35,38
1 29 35 38
28 Measuring accuracy 26,28,32,35 25,26,28,35 5,16,26,28 2,13,35 10,27,34,35 24,26,28,32 2,10,28,34 10,28,32,34
29 Production accuracy 13,18,28,32 9,27,28,35 10,28,29,37 2,18,26 18,23,26,28 10,18,32,39
30 External negative influences on the object 21,.22,27,39 2,13,22,24 1,4,17,39 11,22,31,35 19,22,29,40 19,22,29,40 3,33,34 13,22,24,35
31 Negative side-effects of the object 15,19,22,39 1,22,35,39 15,16,17,22 1,19,31 1,2,21,27 2 18,22,35,39
32 Ease of production 15,16,28,29 1,13,27,36 1,13,17,29 2,13,15 1,26,27 1,6,11,28 1,8,28 1,10,28,35
33 Ease of use 2,13,15,25 1,6,13,25 1,12,13,17 1,15,16,34 12,17,26,32 1,3,12,34 1,15,28
34 Ease of repair 2,11,27,35 2,11,27,35 1,10,25,28 1,4,7,16 1,11,13,35 7,13,34,35 1,10,32
35 Adaption capacity 1,6,15,8 19,15,29,16 35,1,29,2 15,29,37,28 1 27,34,35 35,28,6,37
36 Complexity of structure 26 30 34 37
26,30,34,37 2 36 35 39
2,36,35,39 1 19 26 24
1,19,26,24 29 15 28 37
29,15,28,37 15 10 37 28
15,10,37,28 15 1 24
15,1,24 12 17 28
12,17,28
37 Complexity in control 27,26,28,13 6,13,28,1 16,17,26,24 1,15 15,10,37,28 34,21 35,18
38 Level
L l off automation
t ti 28
28,26,18,35
26 18 35 28,26,35,10
28 26 35 10 14,13,17,29
14 13 17 29 27,4,1,35
27 4 1 35 15,24,10
15 24 10 34,27,25
34 27 25 5,12,35,26
5 12 35 26
39 Productivity 35,26,24,37 28,27,15,3 18,4,28,38 1,35,28,37 12,17,28,24 35,18,27,2 5,12,35,26


7 Bibliography
(1) Livotov, Pavel, Dr.-Ing.; “Innovationstechnologie TRIZ”; paper from

TriSolver GmbH & Co. KG for VDA.
(2) Bernd Gimbel, Rolf Herb, Thilo Herb: Ideen finden, Produkte entwickeln mit
TRIZ. Textbook, Munich: Hanser Verlag
(3) Ried, Horst; “TRIZ Problemlösungsmethode, kreativ Probleme lösen”

training document; http://www.horstried.de/.

VDA-Volume 4: TRIZ

4
Verband der
Automobilindustrie
Quality Management
Process Landscape
Economical Process Design and Process Control
st
1 edition 2005


We would like to thank all the companies and their staff who have
contributed to this workgroup:
BMW AG, Steyr

Robert Bosch GmbH, Stuttgart
Continental AG, Hannover
DaimlerChrysler, Stuttgart
GFQ Akademie, Bad Kreuznach
Ford-Werke AG, Cologne
Dr. Ing. h. c. F. Porsche AG, Stuttgart
Siemens VDO AG, Babenhausen
Volkswagen AG, Wolfsburg
Our thanks also go out to all our readers who have submitted improvement
suggestions.
Oberursel, January 2005
VERBAND DER AUTOMOBILINDUSTRIE E.V. (VDA)
VDA-Volume 4: Economical Process Design and Process Control 1


Contents Page
1 Economical Process Design und Process Safety 4

1.1 Introduction 4
2 Processes 5
2.1 Process Variables 5
2.2 Definitions 6
2.2.1 Process 6
2.2.2 Capable Process 7
2.2.3 Stable Process 7
3 Process Design 7
3.1 Consideration of new Knowledge in Quality Planning 7
3.2 Communication Basis 9
3.3 Tolerance Specifications and Process Dispersion 10
3.4 Converting Product Requirements into Process
Characteristics 11
3.5 Inspection Planning 12
4 Process Qualification 13
4.1 Measurement Equipment Capability and Measurement
Uncertainty 13
4.2 Machine Capability 13
4.3 Preliminary Process Capability 15
4.4 Process Capability 15
5 Process Analysis 16
5.1 Distribution Time Models
(corresponding to DIN 55319 and DIN ISO 21747) 16
5.2 Process Improvement 20
2 VDA-Volume 4: Economical Process Design and Process Control


6 Process Control 21
6.1 Quality Control Chart (QCC) 21
6.1.1 Quality Control Chart for Controlling
the Process Location 22
6.1.2 Quality Control Charts for Controlling the Process
Dispersion 25
6.2 Recording a QCC 26
6.3 Evaluating a QCC 26
6.4 Use of QCC Before the Series Start 27
6.5 Response Characteristic of a QCC 27
7 Process Assessment 27
7.1 Quantile Method 28
7.2 Effective Parameters
(Minimum Process Capability/Process Performance) 29
7.3 Process Capability und Tolerances 30
8 Appendix 32
8.1 Formulas for Calculating Control Limits 32
8.2 Formula Symbols 33
8.3 Examples 35
8.3.1 Quality Control Chart for Moving Averages 35
8.3.2 Operation Characteristic for a Shewhart Chart
With Extended Limits 38
8.3.3 Example for Process Analysis and Evaluation
of the Long-Term (Process) Capability 40
8.4 Operative Range for Statistical Parameters,
Procedures and Aids 46
8.5 Bibliography 48


1 Economical Process Design und Process Safety
1.1 Introduction
The application of statistical methods is an essential aspect in an overall

quality management system. For example, this can also be seen in relevant
sections in national and international rules and regulations for QM - such as
ISO/TS 16949:2002 for example - which have the monitoring and measuring
of production processes as their subject. The significance of Statistical
Process Control (SPC) is one issue that is always emphasized.
This document describes several procedures for process qualification,

process control and process evaluation that correspond with current, state-
of-the art technology. Only processes with measurable (quantitative),
continuous characteristics are considered.
The quality characteristics that are to be assessed here are seen as

inherent characteristics of a product, process or system. As a rule, quality
characteristics are also inspection characteristics.
Due to rising cost pressures, it is becoming increasingly important to plan

processes according to economic considerations. Of particular significance
to process planning are small tolerances, a design necessity which often
arises due to the product's function. Furthermore, however, it can also be
necessary to consider aspects such as
− Reliability/safety
− Exchangeability
− Service life
− Appearance
− Verifiability
when defining tolerances.

− To achieve a product's optimal economic viability, the requirements
placed on the product and the manufacturing costs must be reconciled.
For production planning and execution, the emphasis is naturally on
feasibility and verifiability of the product components' characteristics. As
a rule, the smaller the tolerance, the more costly the associated
processing and inspection processes.


Processes should be effective and efficient. This means that the processes
produce products that fulfill the stipulated requirements while achieving the
greatest possible economic viability, meaning the least possible consumption
of resources.
These guidelines do not make any claims to completeness. The procedures
described here are based on knowledge gained in an empirical investi-
gation of the automotive industry (QZ, year 44, pages 761 to 765), in which
previous procedures were critically analyzed in conjunction with the
evaluation of manufacturing processes.
In particular, these guidelines take into account current developments in
national and international standardization (see Section 8.4).
2 Processes
2.1 Process Variables
A number of input variables affect each process; when these effects are
added together, they cause dispersion in the respective product charac-
teristic. Here, a distinction is made between random variables and system
variables.
Examples of random variables:
− Temperature fluctuations in a casting mold when at the working tempe-
rature
− Positioning accuracy of a machining tool when positioned repeatedly
Examples of system variables:

− Temperature changes during the heating phase of a casting mold
− Machining tool wear and tear
− Replacement of a tool that cannot be adjusted.
− Cooling failure during a casting process
− Tool breakage in a machining device.
As a part of a study at DaimlerChrysler (QZ, Year 44, pages 761 to 765), it

was found that only roughly 5 % of all examined processes are subject to
random variables only. This means that as a rule, manufacturing processes
are afflicted with system variables, and consequently that no normal distri-
bution can be assigned to them as a distribution time model.


With only a few exceptions, the examined processes are to be assigned to
the distribution time model (see Section 5), regardless of how the corres-
ponding mixed distributions arose. Calculation of the quality capability sta-
tistics according to the "classic" formulas for normally-distributed processes,
using the mean and the standard deviation, cannot take into account the
special features of such a characteristic distribution and could lead to
incorrect conclusions.
An alternative calculation method that is universally applicable to any distri-

bution time model is the quantile method, which is explained in Section 7.1.
For information on the quality capability parameters calculated with this
method from the examination mentioned above, see Section 7.3.
System process variables often attract attention by the characteristic pattern

presented in the time history of a quality characteristic's values. Often these
changes are caused by physical regularities or manufacturing conditions
(for example, start-up behavior after standstills).
Typical, for example, are trends when there is tool wear and jumps in the
value development caused by readjustments, lot changes or different
recesses in a die-casting mold. If the pattern is known as there has been
sufficient observation, the corresponding process performance can be
included in the evaluation and taken into account when calculating a quality
capability parameter. The causal process characteristics then require
special monitoring, for example, in the case of tool wear, by determining a
maximum number of pieces that may be manufactured until the next truing
or tool change.
In these cases, a Shewhart chart with extended limits is used for continuous
process control (see 6.2.2.).
2.2 Definitions
2.2.1 Process
A process is a "set of interrelated or interacting activities that transforms

inputs into outputs." (DIN EN ISO 9000:2000).


2.2.2 Capable Process
Quality capability means the suitability of a unit for producing a product in

such a way that the quality requirements expected of the product are met.
Process capability is therefore a process's quality capability. A process is
considered to be capable when the process capability index reaches or
exceeds a prescribed limit value.
2.2.3 Stable Process
A process is considered to be stable if it is only subject to random variables.
In Section 3.2.2.7 of the standard ISO 3534 Part 2, there is a description of

a stable process as a process under statistical control. Accordingly, only the
distribution time models A1 and A2 in Section 5.1 are stable.
3 Process Design
3.1 Consideration of new Knowledge in Quality Planning
Quality planning is a part of quality management that is aimed at defining

the quality objectives, the necessary execution processes and the associa-
ted resources for fulfilling the quality objectives.
This involves the selection and weighting of quality characteristics for a pro-
duct or a service, as well as the translation of these characteristics into
requirements and specifications.
In summary, quality planning means developing products and processes in

such a way that they meet the customers' needs. Consequently, quality
planning includes the following fundamental activities:
− Identify the customers and their needs

− Develop a product that meets these needs
− Develop a process that is capable of generating this product


The objective of quality planning is the conversion of the functions that
external and internal customers require into internal company processes, so
that the customers’ needs are met, depending on the superordinate
corporate objectives and the competitive and environmental conditions, with
a large degree of ruggedness and accuracy in the internal processes. The
quality planning tasks can be derived from this objective.
Existing product
Existing process Customer‘s needs
(quantified)
Identify the customer
Develop the product
List of customers
Product characteristics
Identify the customer‘s needs
Optimize the product definitions
Customer‘s needs Quality objectives

(in customer‘s language) (as related to production)
Translate the customer‘s needs Develop the process
Customer‘s needs Process definition

(in our language)
Optimize the process and
Establish units of measure for Ensure process capability
quality assessment
Optimized process
Quality units of measure
Ready to hand over
Introduce suitable measurement
methods Hand over the process to the
Responsible line departments
Customer‘s needs
(quantified) Process ready for production
© Hagen Consulting & Training GmbH
Fig.3.1: "Roadmap" for Quality Planning According to Juran


The following statements apply to each of these steps:
1) The linear sequence - the result of one step is always the basis for the
next step
2) The three-way role for each step - as customer, processor and

supplier
3) The agreement on generally applicable units of measure for assessing

the quality
4) The installation of a measurement system (sensors) for the quality

assessment using the units of measure agreed upon.
3.2 Communication Basis
Only when the areas responsible for planning and executing work together
will it be possible to manufacture a product economically that takes both the
customer’s requirements and the manufacturing costs into consideration.
An integrated view of the customers' requirements and the tolerances

called for by the design is the basis for creating an economical process.
In the context of "simultaneous engineering", the organizational unit respon-

sible for the planning and the one responsible for production must start
communicating with one another at an early stage. Today this is frequently
implemented by modern project management.
A very good communication platform is formed by regularly occurring coor-

dination meetings held with the design and production departments, in
which the economical implementation of the requirements is discussed. In
such a discussion, both partners must have the same rights when it comes
to the optimal product design. At the same time, it is necessary to find a
compromise between the customer requirements and economical imple-
mentation.


3.3 Tolerance Specifications and Process Dispersion
The tolerance specifications are based on the requirements for the quality
characteristics, and are derived from the customer's requirements for the
functionality. Often a product characteristic's production dispersion is the
determining quantity for defining the tolerance. Every concession that
entails the target value is not being met exactly and that tolerates deviations
from this value conflicts with complete fulfillment of the functions. This
correlation is shown in Taguchi's loss function.
0,5
0,45
0,4
0,35
0,3
0,25
0,2
0,15
0,1
0,05
0
-6 -4 -2 0 2 4 6
Process Loss function Loss
Fig.3.2: Loss Function According to Taguchi
Consideration of the process dispersions when designing the tolerances is

necessary for an economical manufacturing process. As a rule, the scale of
the process variation is not yet known in the development phase, and there-
fore can only be estimated on the basis of experience with existing pro-
cesses that are similar.


Approaches for defining tolerances in line with the process, such as
− Statistical tolerancing
− Stepped limit values and grades
− Function-oriented tolerancing
− Tolerance design taking into account the effect when values are exceeded
(quality characteristic curve)
are described in VDA Volume 4, "Tolerancing Methods".
3.4 Converting Product Requirements into Process

Characteristics
Comprehensive understanding of the correlation between product charac-

teristics and process characteristics is a prerequisite for economical pro-
cess control.
Process or input-
Maßnahmen am Prozess
related actions
oder bei den Eingaben Q-Information
Process
Prozessmerkmale Product
Produktmerkmale
characteristics characteristics
Process Result (Product)

Ergebnis (Produkt)
Inputs
Eingaben
Prozess
e
e
rial
sch
chin
elt
ho d
Mitw
Mate
Men
5’M’
M as
Met
Fig. 3.3: Process Control Plan


Processes are controlled and guided by changing the process character-
istics. For this purpose, the product limit values must be transferred into
process limit values as far as possible. For process control, the correlation
between the product characteristic and the process characteristic must be
known.
For example, this correlation can be determined with the help of statistical
experiment design (see VDA Volume 4 "Design of Experiments").
3.5 Inspection Planning
One of the tasks of inspection planning is to define inspection methods and

measuring and test equipment (measurement processes), the inspection
intervals and number of parts to be inspected that are suitable for the
respective process. The objective is to achieve an effective and efficient
inspection strategy throughout the entire process chain.
At the same time, the costs from
− Production processes
− Inspection processes
− Reworking processes
should be reduced to a minimum.
Criteria for defining the inspection intervals:
− Disturbance frequency determined ahead of time or known from similar

processes
− Control frequency (relating to time or number of pieces, for example, 5 -
7 samples between two controls)
− New manufacturing technology
− Tool life and intervals between tool exchange or readjustment
− Inspection effort
− Cycle time, lot size
− Sorting effort
− Process capability (quality capability parameter)
− ...


The inspection frequency should be chosen to ensure that it is still possible
to access parts manufactured between two samples, in order to prevent
passing on faulty parts to the assembly area or delivering them to the end
customer.
The inspection interval can be dynamically adjusted, based on the

experience with the process (inspection dynamization).
4 Process Qualification
4.1 Measurement Equipment Capability and Measurement

Uncertainty
The measurement processes and measurement equipment used during the

capability examinations must be able to meet the required precision of the
measurement result, which results from the respective application purpose.
Terms and processes for determining precision, linearity, stability, repeating
accuracy and reproducibility are described in DIN 55350, Part 13, and
methods for determining the measurement uncertainty are described in
VDA Volume 5.
4.2 Machine Capability
As a part of the acceptance of manufacturing equipment, a machine capa-

bility study is usually performed by the machine manufacturer. The
objective of this examination is to reduce the variables producing effects to
only those caused by the manufacturing equipment itself. This is
accomplished by keeping the basic parameters as constant as possible, so
that possible influences from man, material and environment are minimized
or avoided.
The result of the machine capability study is a preliminary statement on the
suitability of the manufacturing equipment for fulfilling the specified
requirements.
As a rule, at least 50 parts are manufactured in an uninterrupted sequence.
The relevant quality characteristics are measured and the measurement
results are recorded and statistically evaluated according to the order in
which they were manufactured, for example, with regard to stability and the
distribution time model. Finally, a machine capability index Cmk is
calculated, which must reach or exceed a prescribed minimum value.


In special cases, the production or measurement of 50 parts can mean an
unjustifiably high expenditure (for example, when the inspection involves
the destruction of the part) and can make it necessary to manage with
fewer parts. This, however, leads to a reduction in the reliability of the
statement, which means that the confidence interval of the capability
parameter is enlarged. To compensate for this effect, the minimum value for
Cm or Cmk (see note) can be correspondingly increased. This is shown in
Table 4.1 by way of example. For example, the requirement of 1.67 in
connection with 50 values may increase to 1.9 if only 20 parts can be
evaluated. The numerical values are calculated in such a way that the lower
95 % or 99 % confidence limit of Cm has the same value when the sample
size n is smaller as it does when n = 50.
Cm / Cmk Recommendation
Number of pieces PA = 95 % PA = 99 %
50 1.67 1.67
40 1.72 1.74
30 1.78 1.84
20 1.91 2.03
15 2.03 2.23
Table 4.1: Recommendation for Cm and Cmk for 50 and less than 50
values is derived from the confidence interval of the quality
capability parameter for stable processes
Note: According to DIN ISO 21747 and DIN ISO 3534-2, the terms Cp/Cpk
are used for stable processes, instead of Cm/Cmk. The German standard
DIN 55319 "Qualitätsfähigkeitskenngrößen" (Quality Capability Statistics)
which was still valid at the time this document went to press will be replaced
by DIN ISO 21747.
Due to the fact that only 50 consecutively manufactured parts do not allow
the actual working spread to be registered completely, this machine
capability study allows only preliminary statements to be made about
process performance.


Alternatively, the following procedure can be selected: withdrawal of at least
50 parts from a close-to-series production (preliminary run, for example,
3 shifts or days) in the form of random samples (for example, m = 10; n = 5).
Under some circumstances, this procedure may replace the preliminary
process capability study.
4.3 Preliminary Process Capability
When performing this study, at least 125 units to be examined are with-
drawn from the process. The distribution of these 125 parts among the
individual samples and also the intervals between withdrawn samples must
be defined for the specific process and cannot be specified categorically. A
sample size of 3-5 parts is customary practice.
An assessment of the process stability can take place with the help of a
quality control chart (original value sequence), a probability network or by
analyzing the variance.
In addition, it should be attempted to assign a distribution time model to the

data record that best describes it (see (see Section 5.1).
The preliminary process capability study should take place under series
conditions, so that all unavoidable dispersion influences can have an effect.
4.4 Process Capability
Statistical evaluation of the control charts is used to assess process capa-

bility.
In this connection, for example, control frequency, stability and value distri-
bution are examined and quality capability indices (Cp/Cpk, Pp/Ppk) are
calculated.
The process owner defines the observation time frame necessary for this
specific process (for example, depending on the cycle time). A time frame
of 20 production days should normally be taken as the basis.


5 Process Analysis
5.1 Distribution Time Models (corresponding to DIN 55319

and DIN ISO 21747)
A distribution time model is a mathematical description of real process

performance using a moment distribution with parameters that are constant
or changing in time. The resulting distribution should correspond to the real
process performance, meaning that the image of the density function of the
resulting theoretical distribution should fit very closely to a histogram
acquired from the measured data.
Depending on the moment distribution and its behavior in time, there are
eight different types of distribution time models, which are described in
DIN 55319 and DIN ISO 21747 (marked A to D, as in the figures on the
following pages).
Often it is possible to infer the resulting distribution time model from the
nature of the process and the tolerance statements (for example, charac-
teristic bounded on one end). The following are examples of practically
unavoidable influences:
− Systematic wear and tear of a part during the processing,

− Use of a new tool with a different nominal size,
− Fluctuations when lots are changed.
Note: The assignment of a distribution time model to an examined process

has nothing to do with the quality capability of this process, as this assign-
ment does not produce any reference to the tolerance range.
The figures on the following pages show a few examples for the processes
addressed above, and for the associated distribution time models; the
following diagrams are represented:
− Schematic depiction of the distribution time model,

− Time history of the separate values (single-value diagram)
− Histogram
− Representation of the single values in the normal distribution probability
network
− x − s quality control chart
− Box plot


USG OSG USG OSG USG OSG
A1 A2
Normal distr.
Normalvert. Varied distr.
Log. NV Mischvert .
x = 130,0392 x = − 0,0025
x = 0,50
s = 0,032599 s = 0,88206
s = 0,36074
C p = 1,79 Pp = 1,29
Cp = − − −
C pk = 1,42 Ppk = 1,27
C pk = 1,93
Fig. 5.1: Distribution Time Models and Examples - Part 1


USG OSG USG OSG USG OSG
Mixed
Variedvalue
distr. Varied distr.
Mischvert .
Normalvert
Normal distr.. Mischvert .
x = 0,9842 x = 19,9973
x = 0,0885
s = 1,65321 s = 0,06374
s = 1,55818
Pp = 0,84 Pp = 1,87
Pp = 2,14
Ppk = 1,69
Ppk = 2,12 Ppk = 0,61
Fig. 5.1: Distribution Time Models and Examples -Part 2


USG OSG
Varied distr. Varied distr.

Mischvert .
Mischvert.
x = 30,0067 x = 20,0045
s = 0,03970 s = 0,01255
Pp = 1,58 Pp = 0,81
Ppk = 1,48 Ppk = 0,71
Fig.5.1: Distribution Time Models and Examples - Part 3


5.2 Process Improvement
Processes never improve on their own. Process analysis is necessary for

determining starting points for possible process improvements. Some
examples of aids for process analysis are graphical representations, such
as in the preceding sections, and statistical tests (see the table in the
appendix, for example). Furthermore, it is helpful if there is access to docu-
mentation of the basic parameters and process characteristics, such as lot
change, tool change and changes in the process environment, for example,
as these often correlate directly with significant changes in the measured
data. Let us take a closer look at a few figures in Section 5.1 by way of
example:
B: The process mean location is stable in time, but the dispersion changes
over time. The latter is particularly clearly shown in the single-value diagram
and in the s-line of the quality control chart.
C2: In the last third of the single-value diagram and the mean chart, a jump
to larger measured values can be seen. Several single values are outside
the tolerance range. As a result, the histogram is asymmetrical.
C3: Single-value diagram and mean chart reflect a typical process that
follows a trend. The characteristic here is the inside diameter, which
decreases as the tool wear increases.
C4: The progressions that can be seen in the single-value diagram and
mean chart are characteristic for a process with jumps when the lot is
changed.
D: Both the process location and the process dispersion are unstable.
To determine possible causes of the observed process performance, use of

a structured procedure has proven helpful; this so-called "Six Sigma"
method is gaining increasing significance. With this method, the problem
solution process is divided into the phases:
− Define
− Measure
− Analyze
− Improve
− Control


Based on the first letters in each of the terms, Define, Measure, Analyze,
Improve, Control, this is also called the "DMAIC" phase model in this
context. With this model, suitable individual methods are assigned to each
phase to support this particular section. This includes methods of
descriptive and inferential statistics, as well as non-statistical problem
solving methods. The improvement team is not bound to any prescribed
procedure in this processing, but instead chooses the method to be applied
on the basis of the problem situation. A significant element in this procedure
is rigorous and complete processing of each partial step.
6 Process Control
6.1 Quality Control Chart (QCC)
Quality control charts are graphical aids for collecting and representing
measured values (sample results) or statistical parameters (or numerical
results) and for comparing them with previously defined control limits.
Forms, either filled in by hand or, increasingly, supported by software are
used to implement this quality assurance tool.
The control limits, which are usually marked as LCL and UCL for lower and
upper control limits, should not be confused with the specification limits
(LSL and USL, for upper and lower specification (or engineering) limits)
defined in the drawing by the engineer. The control limits are chance
dispersion limits of the statistical parameters (for example, of a mean),
which are tracked with the control chart.
If control limits are exceeded, it is assumed that this was caused by "non-
random variables", and measures are taken to confirm the disturbance in
the process.
The control limits are calculated using the characteristic distribution that is
determined as a part of the preliminary phase.


27,58
27,56
27,54
27,52 Mean
Mean /mm
LCL
27,50
Center line
27,48 UCL
27,46
27,44
27,42
5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Time of day
Fig.6.1: Example of a Mean Chart (Schematic)
6.1.1 Quality Control Chart for Controlling the Process

Location
There are chiefly three types of control charts used for controlling the
process location.
− Shewhart QCC or Shewhart QCC with extended limits
− Pearson chart for characteristics bounded on one end
− Acceptance QCC
An additional chart line may serve to control the process dispersion; this
line, for example, could represent the standard deviation or range of the
sample (see Section 6.3).
Shewhart QCC
This type of control chart goes back to A. W. Shewhart, who developed the
control chart method in the 1920's.
The control limits are determined for the specific process, i.e., symmetrically
to the process mean location, using only the natural process dispersion.
They can, however, also be defined symmetrically to the corresponding
characteristic target value. An approximation for the process dispersion is
the standard deviation σ̂ , which is calculated from the sample results
observed in the preliminary phase.


Shewhart QCC with extended limits
If the process being examined has systematic changes in the mean

(unstable process), the additional systematic dispersion portion µ̂ add must
be taken into account when calculating the control limits.
There are several possibilities for determining the additional dispersion
portion, for example,
− Calculation with the help of the dispersion or the sample means s x :
µ̂ add = 1.5 · s x
The factor 1.5 is an empirically determined extension factor.
− Determination as a part of an analysis of variance (ANOVA)
USL USL
Distribution of the
separate values UCL
UCL
permissible
system
µ̂add variable
LCL
distribution of
the means LCL
LSL LSL
Fig.6.2: Location of the Control Limits With Normal Distribution and

Extended Normal Distribution
If necessary, the control limits determined in this way can be extended in

the interest of economical considerations, as long as the requirements
placed on the quality capability (or performance) allow this.


Acceptance chart
In the case of acceptance charts, control limits are used that are defined
working from the limits of the tolerance range. For example, this can be
useful if the process shows unavoidable mean changes because of tool
wear:
LCL = LSL + k ⋅ σˆ UCL = USL − k ⋅ σˆ
In this case, σ̂ indicates the "inner process dispersion" (the moment
dispersion determined earlier) and k is a limiting factor (e.g., k = 3). The
safety margin between UCL and USL and between LCL and LSL is
adjusted with k. This safety margin increases as k increases, so that the
risk of non-conforming product characteristics becomes less. At the same
time, however, the difference UCL - LCL between the control limits also
becomes less, and consequently the leeway available to the process
decreases.
As a result, when defining the limiting factor k, the process safety and
economic viability aspects must always be balanced.
K can be calculated on a statistical basis using the desired combination of
"non-control probability” and the momentary excess portion as the basis.
This means that a "permissible" excess portion must be specified. However,
this is incompatible with a modern zero-error strategy and represents a
serious disadvantage with this type of chart.
Pearson chart
In the case of the Shewhart chart, the control limits correspond to the error
band of the normally distributed means. For a characteristic that is bounded
on one end (or with a generally skewed distribution) and a small sample
size, the sample means are no longer necessarily normally distributed. In
this instance, the use of a Pearson chart may be expedient. Compared to
the corresponding Shewhart chart, this type of chart has the advantage that
the control limits are somewhat farther apart. The disadvantage, however,
is that the control limit calculation is more complicated and is, for all intents
and purposes, only possible with computer assistance.


Quality control chart with moving average
As a rule, a sample size of n = 5 is recommended when control charts are

used to control the process location. Depending on the circumstances, this
sample size can cause problems, for example, in case of
− Inspections with a high expenditure (destructive inspection),

− Processes in which the product is a homogenous medium (chemical
process)
− Processes with a large cycle time
− Processes with small short-term dispersion
In such cases, use of a moving average can be considered for the standard
size. This involves summarizing the results of several separate samples
(e.g., 5 pieces) For each measured value that is added in a new separate
sample, the measured value of the "oldest" part of the last group of 5 is
dropped, and then the new average is calculated (see example in 8.3).
The control limits are calculated in the same way as for the "normal" mean
chart.
6.1.2 Quality Control Charts for Controlling the Process

Dispersion
With regard to the process capability, the process dispersion is just as

important as the process mean location. As a rule, the standard deviation s
is used as the parameter for the dispersion. We leave out a depiction of the
range chart here.
It is possible to depict the s chart as a second diagram in combination with

the mean chart, instead of keeping it as a separate chart. This is called the
combination x s chart (cf. examples in 5.1 and 8.3).
Both the mean x i and the standard deviation s i of each sample are
entered.
The size of the current value of this standard deviation s i depends on the
average process dispersion estimated from σ$ and can be randomly
somewhat larger or smaller from sample to sample than a long-term
average value s .


If the standard deviation s i of a current sample lies outside the control
limits UCLS and LCLS, however, this is interpreted as a sign of a significant
change in the process dispersion.
UCLS and LCLS are limits of the error band around s. They can be
2
calculated with the help of the χ distribution (pronounced as chi-squared
distribution) (cf. formulas in 8.1). For simplicity's sake, the corresponding
constants for n are given in a table.
Example for n = 5: UCLS = 1.927 σˆ

LCLS = 0.227 · σˆ
6.2 Recording a QCC
After a sample's mean and standard deviation are entered in the control
chart, a check is made as to whether these are within the associated control
limits or not. Values above the UCL or below the LCL indicate a significant
process change, which requires a reaction using suitable measures (control
intervention). An intervention is naturally also necessary if separate values
of the characteristic lie outside the tolerance range.
As a part of this short-term evaluation, causes must be determined and

corrective measures taken and documented, and a decision must be made
on the treatment of the parts that were manufactured since the last sample
(e.g., sorting).
6.3 Evaluating a QCC
Control charts are evaluated at defined intervals. This is done by calculating

statistical parameters that are suitable for assessing the long-term process
performance. A process can naturally only be improved if the appropriate
measures are taken. In the broadest sense, SPC includes all measures that
are suitable for correcting or stabilizing the process in the required way or
for improving the knowledge about the process and the process perfor-
mance itself.


6.4 Use of QCC Before the Series Start
Even before the series start (e.g., as a part of the machine capability study),
the QCC can be used as a simple graphical aid, in order to gather infor-
mation on the process performance and record and assess measurement
results.
6.5 Response Characteristic of a QCC
Entering a sample result in a control chart with subsequent assessment of

the location of the observed parameter (e.g., the mean) with regard to the
control limits, corresponds to a statistical test that only reacts to a significant
process change with a certain probability. This control chart responsiveness
particularly depends on the sample size; it can be shown as a function of
the shifting of the process mean location. This representation is called the
control characteristic or operation characteristic (see example in 8.3).
7 Process Assessment
Depending on the length of the study and the process performance,

different parameters are used for the process assessment. A distinction is
made here between a short-term (machine) and long-term (process) study
on the one hand, and between stable/unstable process performance on the
other. The parameters can be classified as follows:
Standard
Term Meaning Distinction criterion
requirement
Short-term (machine)
Cm, Cmk * ≥ 1,67 Machine capability index
study
Long-term (process)
Cp, Cpk ≥ 1.33 Process capability index
study, stable process
Long-term (process)
Pp, Ppk ≥ 1.33 Process performance index
study, unstable process
Table 7.1: Quality Capability Statistics
*Note: According to DIN ISO 21747 and DIN ISO 3534-2, the terms Cp/Cpk
are used for stable processes, instead of Cm/Cmk. The German standard
DIN 55319 "Qualitätsfähigkeitskenngrößen" (Quality Capability Statistics)
which was still valid at the time this document went to press will be replaced
by DIN ISO 21747.


Processes that do not correspond to the distribution time models A1 or A2
are instable, according to the definition and classification by DIN 55319 and
DIN ISO 21747. In this case, only the process performance indices Pp und
Ppk may be specified. Due to the instability, it may be useful to agree upon
a higher minimum value for Pp and Ppk.
7.1 Quantile Method
A distribution time model must first be assigned to the observed (empirical)

characteristic distribution, as described in Section 5. Then the quantile
method (percentile method) can be used to help calculate the associated
quality capability parameter.
This is done by determining the 0.135 % quantile (Lp) and the 99.865 %
quantile (Up) of the distribution. These values can be determined with
software support or with the help of a probability network. The quantiles
consequently include just 99.73 % of the characteristic distribution and
therefore define the process spread. In the case of normal distribution, this
corresponds to the range ± 3 s. Using the quantile method, the procedure
originally developed in connection with the normal distribution is analogously
transferred to any distributions. The universal applicability to any distribution
time model represents a significant advantage of this method. Alternative
calculation methods are shown in DIN 55319 and DIN ISO 21747.
The quantities Cm, Cp and Pp consequently put the spread calculated in this
way in proportion to the tolerance. The location of the characteristic
distribution relative to the limiting values LSL and USL is not taken into
consideration in this view.
LSL
USG USL
OSG
Mean
Mittelwert
Lp Up
Up Op
0,135% 99,865%
99,73%
Fig.7.1: Quantile Method Diagram


Note: In machine capability studies, the assignment of a distribution time
model is problematic, as most of the available samples are small. In parti-
cular, it is not expedient to distinguish between capability and performance.
Calculation of the quality capability statistics related to the dispersion:
Terms Formula
Cm, Cp or Pp USL − LSL
Depending on distribution time model Op −U p
Special case: It is only possible to estimate the dispersion range using the
dispersion parameter σ̂ for normally distributed collectives.
7.2 Effective Parameters (Minimum Process Capability/Pro-

cess Performance)
The quantities Cmk, Cpk and Ppk include the location of the quantiles relative
to the limit values:
USG Mean OSG

USG Mean
Mittelwert
OSG Mittelwert
Up Op Up Op
0,135% 99,865% 0,135% 99,865%
Fig.7.2: Diagram for Illustrating the Effective Parameters
Terms Formula
Cmk, Cpk or Ppk USL − µˆ µˆ − LSL 
Depending on distribution time model min  ; 
 O p − µˆ µˆ − U p 
µ̂ is an estimated value for the mean position. This can be the total mean
or the median (50 % quantile) of the distribution.


Note: The values Up and Op and therefore also Ppk depend on the
concrete statistical distribution model. For an automated distribution assign-
ment, the evaluation program must contain a type of filter, in the form of a
statistical test. The selected distribution can differ, depending on the evalu-
ation strategy. For example, for the evaluation as found in 8.3.3, the assign-
ment of an extended normal distribution would also be possible, so that the
result would be somewhat different quantiles and therefore a different Ppk
value.
To avoid discrepancies in the results of independent evaluations, it is

recommended that the following information be taken into account when
calculating the capability parameters, and that these be agreed upon ahead
of time, if possible.
Example for information required for comparing the quality capability

parameters (to DIN 55319)
Capability parameter Cpk 1.5

Selected distribution time model D
Calculation method according to table 5 M4
Number of values for the calculation 2000
Quantile used for M4, if different from 7.4
Other information
7.3 Process Capability und Tolerances
If the quantile method for calculating the quality capability parameters is

applied to the 850 processes examined by DaimlerChrylser (see
Section 2.1), the resulting distribution of these quantities approximates a
lognormal distribution (cf. Fig. 7.3).
Accordingly, approximately 70 % of the examined processes have a capa-

bility index that is less than 1.33, or below the common minimum value for
capable processes (cf. Section 7).
For approximately 50 % of the assessed processes, this value is even less

than the critical value of 1.0.


Such a process produces a certain portion of parts whose characteristic
values lie outside the tolerance range.
If these formally faulty parts are supplied to the assembly area by special
releases, and the "tolerance violations" remain harmless for the operability
of the end product, one can conclude that larger tolerances, at least in
these cases, could have been selected right from the start.
Fig.7.3: Distribution of the Capability Parameters of 850 Examined

Processes


8 Appendix
8.1 Formulas for Calculating Control Limits
x − s quality control chart (Shewhart chart; stable process)
Control limits for the process location (mean x ):
σˆ σˆ
UCL = µ + u1−α / 2 ∗ LCL = µ − u1−α / 2 ∗
n n
Control limits for the process dispersion (standard deviation s):
χ 2 f ;1 − α / 2 χ 2 f ;α /2
UCL = ∗ σˆ LCL = ∗ σˆ
f f
x acceptance chart
Control limits for the process location (mean x ):
 u 1 − Pa 
UCL = USL −  u1− p +  ∗ σ̂
 n 
 u 1 − Pa 
UCL = LSL +  u1− p +  ∗ σˆ
 n 
Calculation of the control limits for the process dispersion is the same as
in the Shewhart chart.
Additional formulas for calculations can be found in publications in this field.


8.2 Formula Symbols
Cm, Cmk Machine capability index
Cp, Cpk Process capability index
χ2f; 1-α/2 Quantile of the chi-squared distribution with f degrees of

freedom at the value 1-α/2
χ2f; α/2 Quantile of the chi-squared distribution with f degrees of

freedom at the value α/2
m Number of separate samples
µ̂ Estimated value for the mean of a population
µ̂add Extension of the control limits

(system mean change)
k Limiting factor in an acceptance chart
LCL Lower control limit
LLV Lower limit value
LSL Minimum value (lower specification limit)
n Number of values in a separate sample
PA Confidence factor;
Pp, Ppk Process performance index
LP Estimated value for the 0.135 % quantile of a characteristic

distribution
UP Estimated value for the 99.865 % quantile of a

characteristic distribution


s Empirical standard deviation
si Standard deviation of sample number i
s2 Average variance; mean of the squared standard deviations
sx
Standard deviation of the means
σ̂ Estimated value for the standard deviation of a population
T Tolerance of a characteristic
u1-α/2 Quantile of the standard normal distribution at the value 1 -

α/2
u1-p Quantile or the standard normal distribution at the value 1 -

p
UCL Upper control limit
USL Maximum value (upper specification limit)
ULV Upper limit value
x Arithmetic mean
xi
Mean of the sample number i
x Mean of the means
~
x Median;


8.3 Examples
8.3.1 Quality Control Chart for Moving Averages
64.5 63.3 5.1 64.7 5.4 65.1 65.9 66.1 62.8 63.3
64.1 65.8 65.9 66.9 64.2 63.7 62.8 65.2 64.4 63.3
65.6 66.1 64.0 63.3 65.1 63.6 64.5 64.5 65.5 65.8
66.0 65.4 64.6 64.9 66.5 66.2 65.5 64.6 65.7
63.0 66.5 65.2 64.9 63.4 65.1 62.8 65.1 63.4
65.5 66.4 63.2 65.7 64.3 65.8 66.3 64.6 65.2
65.0 63.6 65.0 64.1 65.3 64.5 65.5 66.8 63.8
65.9 63.3 65.3 65.4 64.6 62.0 64.6 64.7 66.1
65.7 66.8 65.8 65.2 64.0 65.3 64.6 64.9 65.4
65.8 65.5 63.6 67.9 66.4 64.3 65.2 65.2 65.1
64.4 63.8 64.4 65.5 64.9 65.7 62.6 64.5 67.1
Table 8.1: Case Example
By combining 3 separate values at a time, "pseudo samples" with a size

n=3 result.
st 64,5 + 64,1 + 65,6
1 sample: (64.5; 64.1; 65.6) x1 = = 64,7
3
nd 64,1 + 65,6 + 66,0

2 sample: (64.1; 65.6; 66.0) x2 = = 65,2
3
65,6 + 66,0 + 63,0

rd
3 sample: (65.6; 66.0; 63.0) x3 = = 64,9
3
etc.
The following result from the data record (Table 8.1)
µˆ = x = 64.916 and σˆ = stotal = 1.109

Note: µˆ = x is the mean of all separate values. It is not permissible to
calculate a total mean x from the moving averages x i , because then each
separate value would be included more than once. Correspondingly, σ̂
may also not be calculated from the separate standard deviations s i .


The control limits for moving averages are calculated like those for "normal"
averages (cf. formulas in Section 8.1):
σˆ 1.109
Location chart: UCL x = µˆ + 2.578 ⋅ = 64.916 + 2.578 ⋅ = 66.567
3 3
σˆ 1.109
LCL x = µˆ − 2.578 ⋅ = 64.916 − 2.578 ⋅ = 63.265
3 3
Dispersion chart: UCLs = 2.302 ⋅ σˆ = 2.302 ⋅ 1.109 = 2.55
LCL s = 0.071 ⋅ σˆ = 0.071 ⋅ 1.109 = 0.08
Fig.8.1: x -s Shewhart Chart With Moving Characteristic Values for

the Data From Table 8.1


The following figure shows only the first 10 samples (separate values and
sample characteristic values). Because the first mean and the first standard
deviation cannot be calculated until after the third separate sample, the
associated curves start with a corresponding delay.
Separate values Means
Fig. 8.2: x -s Shewhart Chart with Moving Characteristic Values for

the First 10 Separate Samples


8.3.2 Operation Characteristic for a Shewhart Chart With
Extended Limits
Fig. 8.3: Value Progression
Fig. 8.4: Quality Control Chart


Note:
Several samples in the s chart fall below the lower control limit (standard
deviation s = 0). With a sample size of n = 5, such an event is very
improbable. Possibly this is the result of incorrect measurements (e.g.,
faulty sensor).
to LSL
to USL
Fig. 8.5: Operation Characteristic
The operation characteristic (OC) indicates the probability that the control
chart will react to changes in the mean. In Fig. 8.5, this confidence factor is
applied via the faulty portion (theoretical portion exceeding the limit).
In this example, the process mean location is not identical to the center
value of the tolerance range and the natural control limits are asymmetric to
this center value (cf. Figures 8.3 and 8.4). As a result, different OC curves
arise with regard to the maximum value and the minimum value. The
control probabilities for a given error portion p are read from the y-axis, and
correspond to the probability with which this (one-sided) error portion is
detected by this quality control chart.


The larger the sample size n, the steeper the operation characteristic is and
the more sensitively the control chart addresses process shifts.
In Figure 8.5, it can be seen that with reference to the USL, for example, an
error portion of 0.3 % will be detected with a probability of P = 0.5.
8.3.3 Example for Process Analysis and Evaluation of the

Long-Term (Process) Capability
Characteristic:
"Fat little eye“ (linear measure), LSL = 18.94 mm, USL = 19.00 mm
The representation of the separate

values corresponding to the order
in which the parts were produced
gives an impression of the pro-
cess fluctuations in time.
Fig. 8.6: Separate Value Repre-

sentation
With the help of statistical tests,

appropriately configured computer
programs can select the distribu-
tion model (from specified possi-
bilities) that best fits the data
record, and then display the
histogram graphically as an over-
lay. In this case, this is a mixed
distribution.
Fig. 8.7: Histogram


The goodness of fit for the model
can be assessed with the help of
the probability network. Mixed
distribution data does not reveal
a linear point sequence in the
normal distribution probability
network. The goodness of the fit
is shown in the correspondence
of the measured data with the
theoretical curve shape.
Fig. 8.8: Probability Network
The frequency of the separate

values is shown in the actual
value plot by means of stacked
arrows. Unlike the histogram, the
appearance of the value
distribution consequently does
not depend on the class
organization. In particular, the
resolution of the measurement
system can be seen. In this
case, it is 1 µm, or less than 2 %
of the tolerance, and
consequently is sufficient.
Fig. 8.9: actual value plot


An overview of significant characteristics of the data record and its
statistical parameters complete the process analysis.
In the above example, the quality capability statistics Pp and Ppk are also
given.
The corresponding requirements are met.
Fig. 8.10: Evaluation Results
The evaluation of the 2160 separate values shows that the process location
and distribution are not stable. The result is a mixed distribution with:
UP = 18.954 mm µˆ = x = 18.969 mm O p = 18.981 mm


Calculation of the process performance using the quantile method:
USL − LSL 19.00 − 18.94

Pp = = = 2.22
O p −U p 18.981 − 18.954
USL − µˆ 19.00 − 18.969 µˆ − LSL 18.969 − 18.94

= = 2.58 = = 1.93
O p − µˆ 18.981 − 18.969 µˆ − U p 18.969 − 18.954
USL − µˆ µˆ − LSL 
P pk = min  ;  = 1.93
 O p − µˆ µˆ − U p 
Due to the calculation with rounded values, the results differ slightly from
the results established with software.
The figure to the left demon-

strates the effect of an unsuitable
control limit calculation. This
x − s control chart (with n=5)
shows numerous violations of
the control limits in both chart
tracks, because normal distribu-
tion was assumed for their calcu-
lation.
Fig. 8.11: Inappropriate Control

Limits
If the control limits are calculated

with the additional mean disper-
sion taken into account, the
mean track reacts considerably
less often.
Fig. 8.12: Control Limits Correctly

Calculated for the Spe-
cific Process


In the case of unstable pro-
cesses, an acceptance chart as
described in Section 6.2.3 can
also be used. In such a case, the
control limits are more widely
spaced than in Figure 8.12; there
is consequently more "leeway"
allowed the process. This does,
however, reduce Pp and Ppk.
Fig. 8.13: Acceptance Chart
To communicate the process analysis results, it is expedient to provide a

clear compilation of the significant diagrams and evaluation results on one
page (see the example in Fig. 8.14).


Fig. 8.14: Compilation of the Study Results


8.4 Operative Range for Statistical Parameters, Procedures
and Aids
Procedures Operative range

Characteristic values
Mean, median Estimated values for the process location
Standard deviation, range Estimated values for the process dispersion
Skewness, kurtosis, excess Assessment of the distribution shape
Regression coefficient Statement on the goodness of fit for a model
Capability indices, excess portion Performance and capability of a process
Track of the original values Detection of special features, such as: outliers,
trends, periodicities, fluctuations in the mean,
values outside the tolerance range
Actual value plot Estimating the distribution shape, resolution of

the mean, number of values outside the
tolerance range
Histogram Estimating the distribution shape, estimating the

capability indices
Probability network Model distribution accurate, estimating excess

Diagrams
(Separate values//by class) portions?
Total lines Model distribution accurate
Quality Control Chart Assessment of the process stability with regard

to location and dispersion: detection of run,
trend, middle third and control limit violations
Operation characteristic Sensitivity of the quality control chart
Probability network Detection of process disturbances with regard to

(means) the location
CHI² network Detection of process disturbances with regard to

the dispersion


xy plot Representation of position tolerances; Detection
of dependencies between two characteristics
Box plot Quick overview using statistical parameters
Randomness Detection of non-random value sequences of

Swed Eisenhart separate values and means; Detection of special
Trend features, such as trends
Goodness-of-fit test Evaluation criteria whether there are deviations

Shapiro – Wilk from the model distribution
CHI²
d’Agostino
Kolmogoroff – Smirnoff
Extended Shapiro – Wilk

Kurtosis
Asymmetry
Test procedures
Correlation matrix Determine whether dependencies exist between

characteristics and parameters or between
characteristics
Autocorrelation Determine whether there is a system influence

on the following attributes of this characteristic
within a measurement series.
Outliers Determine whether there are outliers

David, Hartley, Pearson
Grubbs
Variance analysis Determine whether there is a dispersion among

F-test the samples; estimate their magnitude
Equality of variances Determine changes in variances

Bartlett


8.5 Bibliography
DIN – Deutsches Institut für Normung (German Institute for Standar-

dization):
ISO 3534-1 Statistik, Begriffe und Formelzeichen Teil 1

Wahrscheinlichkeitsverteilungen and allgemeine Statistik
(Statistics - Vocabulary and Symbols Part 1: Probability and general
statistical terms) Beuth-Verlag
ISO 3534-2 Statistik, Begriffe und Formelzeichen Teil 2:

Statistische Prozesslenkung
(Statistics - Vocabulary and Symbols Part 2: Statistical quality control),
Beuth-Verlag
ISO 3534-3 Statistik, Begriffe und Formelzeichen Teil 3

Versuchsplanung
(Statistics - Vocabulary and symbols Part 3: Design of Experiments), Beuth-
Verlag
DIN ISO 21747: Process Performance and Capability Indices
DIN 55319, Qualitätsfähigkeitskenngrößen, Teil 1
DGQ (German Association of Quality) (publisher): DGQ Volume 11-04

Managementsysteme–Begriffe, Beuth-Verlag, 2002
VDA - Verband der Automobilindustrie (publisher), VDA Volume 5 Prüfpro-

zesseignung
Dietrich/Schulze: Statistische Verfahren zur Maschinen- und Prozess-

qualifikation (Statistical Procedures for Machine and Process Qualification)
Carl Hanser Verlag, 2003


W. Geiger, Qualitätslehre, Verlag Vieweg, 1998
W. Masing: Handbuch Qualitätsmanagement, Carl Hanser Verlag
Timischl: Statistische Verfahren, Carl Hanser Verlag
Kjell Magnusson et alia: Implementing Six Sigma, John Wiley & Sons, INC
Forrest W. Breyfogle III: Implementing Six Sigma, Carl Hanser-Verlag


4
Verband der
Automobilindustrie
Quality Management
Process Landscape
8D Method
st
1 edition 2010


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Quality Management

in the Automobile Industry

– General, risk analyses, methods, process models –

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- General, risk analyses, methods, process models -

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Oberursel, August 2008

Verband der Automobilindustrie e.V. (VDA)

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Foreword to first edition 1

4 Objectives, point of application, pre-requisites, approach 7

5 Duties and requirements, DFA Moderator 12

6 Possible support with aids /tools 12

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Fig. 2: Principle of Simultaneous Engineering (SE) /2/

DFMA embodies a number of approaches, often described as Design for X.

a. Design for Manufacture (DFM)

b. Design for Assembly (DFA)

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d. Design for Environment (DFE)

3.1 Principle of Design for Manufacture (DFM)

Design for Manufacture is based on a few underlying principles:

a) determination of the tooling costs,

Manufacturing Index = (actual tooling costs / ideal tooling costs) + (actual

3.2 Principle of Design For Assembly (DFA)

Design for Assembly is based on a few underlying principles:

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Further parameters can be determined according to the various methods

3 x Mq min Assembly time 3 s Time to assemble

• Movement relative to other parts required?

3.3 Principle of Design for Service (DFS)

a) determination of service/repair time,

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Design for Environment is based on a few underlying principles:

a) determination of the disposal costs,

4 Objectives, point of application, pre-requisites, approach

Experience shows that products optimised for costs, materials and

In the concept phase, decision-making is supported and accelerated

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It is most effective/beneficial, however, in the early phase of the product

On the system side, a description of the product concept, product or proc-

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4.4 Approach -workflow and process steps

The approach involves the following essential steps:

4.4.1 Selection of the system to be considered

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Preparation Workshop Rework