CHAPTER – 1: MODELING AND SIMULATION

Engineering modeling and simulation

The difference between modeling and simulation are:
Modeling S.N. Simulation
Modeling is creating a ‘model’ 1. Simulation is the process of using a
which represents an object or system model to study the behavior and
with its all or subset of properties. performance of an actual or theoretical
system.
It can be considered as a static. 2. It can be considered as dynamic as the
variables of a simulation get always
changed.

Mathematical modeling
Mathematical modeling is the art of translating problems from an application area into
tractable mathematical formulations whose theoretical and numerical analysis provides
insight, answers, and guidance useful for the originating application. The process to
build mathematical model in machine design are:
1. Problem statement:
2. Select the engineering design decision space: In this step we need to move from
general, fuzzy ideas like “will it work or will it deflect too much?” to specific
questions that can be answered by engineering analysis. For example, having found
the best wire size and spring length in the given problems, we need to determine
whether this spring design will buckle under a compressive load or not.
3. Define the boundaries of the model: The boundary of the design system determines
what part of the model is and what is not.
4. Find available information to support building the model
5. Determine what physical laws are pertinent to the problem
6. Assumptions:
7. Construct the model and verify the model.
8. Analysis:
9. Validate the model:
Model and prototype
The model is the replica of the actual structure or machine. It is not necessary that
models should be smaller to the prototypes, they may be larger than the prototypes. The
study of models of actual machines is called model analysis.
The actual structure or machine is called prototype.
The advantages of model analysis
 The merits of alternative designs can be predicted with the help of model testing.
The most economical and safe design may be, finally, adopted.
 It is used to simulate real world behavior.
 It is used to convey design information.
 The performance can be accurately calculated.
 Mathematical models are created to explore a design space by solving the equations
for a variety of input variables to obtain a set of outputs.
 It helps us to visualize a system.
 It gives us a template that guides us in constructing a system. (MSCPMVT)
Types of model
The different types of model are:
1. Static model and dynamic model
Static model are one which describes the relationship that do not change with
respect to time. For example: An architectural model is static physical model
Dynamic model are one which describes the relationship that change with respect to
time. For example: A wind tunnel is dynamic physical model.
2. Stable model and unstable model
Stable model are one which tends to return to its initial condition after being
disturbed. For example: Simple pendulum
Unstable model are one which may or may not return to its initial condition after
being disturbed.
3. Mathematical model and physical model
Mathematical model is one in which symbol and logic constitute the model.
Physical model is smaller or larger physical copy of an object. For example: A
model of car, globe, etc.
4. Distorted model and undistorted model
Distorted model are those models which are not geometrically similar to their
prototype.
Undistorted model are those models which are geometrically similar to their
prototype.
5. Descriptive model and prescriptive model
A descriptive model describes what has happened in a model development. For
examples: Simulation models, F = m * a
A prescriptive model describes what should be done during model development,
including responses to error situations. For examples: Decision analysis model
6. Linear and non-linear model
Linear model is one which describes the relationship in linear form. For example:
the equation 3x +4z +0 is a linear model.
Non-linear model is one which describes the relationship in non-linear form. For
example: the equation 3x3 +4z2 +0 is a non-linear model.

Similitude
Similitude is the similarities between model and prototype in every respect. Three types
of similarities must exists between the model and prototype. They are:
1. Geometric similarity
It is the similarity of shape. It is said to exist between the model and the prototype, if
the ratio of all corresponding linear dimension in the model and prototype are equal.
For geometric similarity between model and prototype we must have the relation.
LP b P DP
= = = Lr
LM b M D M
AP
For area ratio, = L2r
AM
VP
For volume ratio, = L3r
VM
2. Kinematic similarity
Kinematic similarity is said to exist between the model and the prototype, if the
ratios of the velocity and acceleration at the corresponding points in the model and
prototype are same. Also the directions of the velocities & acceleration at the
corresponding points in model & prototype should also be parallel. For kinematic
similarity between model and prototype we must have the relation.
V P1 V P2
For velocity, = = Vr
VM1 VM2
aP1 aP2
For acceleration, = = ar
aM 1 aM 2
3. Dynamic similarity
Dynamic similarity is said to exist between the model and the prototype, if the ratios
of the forces acting at the corresponding points in the model and prototype are
equal. Also the directions of forces at the corresponding points in model &
prototype should also be parallel. For dynamic similarity between model and
prototype we must have the relation.
FP1 FP2
= = Fr
FM1 FM2

Finite Element Method

The finite element method (FEM), sometimes referred to as finite element analysis
(FEA), is a computational technique used to obtain approximate solutions of boundary
value problems in engineering. The general procedures for the Finite Element Method
are:
1. Discretization of real continuum or structure
The domain of the problem is divided into number of small sub-domains known as
elements of some finite length. This process is known as discretization.
2. Derive the element stiffness matrix
For bar element
 Element stiffness matrix, [ k ]i=k [−11 −11 ] where , k = AEL
For plane truss

[ ]
l 2 lm −l 2 −lm
AE lm m2 −lm −m2
Element stiffness matrix, [ k ]i=
L −l 2 −lm l 2 lm
2 2
−lm −m lm m

( X 2− X 1 ) ( Y 2−Y 1 )
where , l= ∧m=
L L
3. Derive global stiffness matrix
[ K ] =[ k ]1 + [ k ]2 + [ k ] 3 +…
4. Derive the resultant global matrix equation
The global matrix equation is:
[K] {U} = {F} where, {U} = Global displacement vector
{F} = Global force vector
5. Apply the boundary conditions & solve the equation using the following methods
 Inverse matrix method
 Gaussian elimination method
6. Display and Interpretation of Results
There are 2 methods to display the results
 Tabular data
 Graphic display
Advantages
 Boundaries: With FEM, designers can use boundary conditions to define to which
conditions the model needs to respond.
 Visualization: Engineers can easily spot any vulnerability in design with the detailed
visualizations
 Accuracy: While modeling a complex physical deformity by hand can be
impractical, a computer using FEM can solve the problem with a high degree of
accuracy.
 Time-dependent simulation: FEM is highly useful for certain time-dependent
simulations, such as crash simulations, in which deformations in one area depend on
deformation in another area.
 Modeling: FEM allows for easier modeling of complex geometrical and irregular
shapes.
 Adaptability: FEM can be adapted to meet certain specifications for accuracy in
order to decrease the need for physical prototypes in the design process.
Applications
 Mechanical engineering: In mechanical engineering, FEM application includes,
steady and transient thermal analysis in solids and fluids, stress analysis in solid,
automotive design and analysis and manufacturing process simulation.
 Geotechnical engineering: FEM applications include stress analysis, slope stability
analysis, soil structure interactions, seepage of fluids in soils and rocks, analysis of
dams, tunnels, bore holes, propagation of stress waves and dynamic soil structure
interaction.
CHAPTER – 2: OPTIMIZATION TECHNIQUES

Optimization
Optimization means the best possible solution for the given problem under defined
constraint set and existing resources. Some of the methods of optimization are
1. Optimization by differential calculus
2. Search method
3. Linear programming optimization technique
4. Geometrical programming optimization technique
5. Multifactor objective functions
Optimization by differential calculus
It is an optimization technique to achieve the best outcome (such as maximum value or
minimum value). The steps of the algorithm are:
Step 1: Write the objective function which is to be maximize or minimize
Step 2: Write the constraint
Step 3: Find f”(x) and f””(x)
Step 4: Find critical point (stationary point).
For critical point, f’(x) = 0
Step 5: Decision
If f””(x) > 0, x gives minimum value
If f””(x) < 0, x gives maximum value
Step 6: Calculate final answer (maxima & minima)

Both point B and point E are mathematical maxima. Point B, which is the smaller of the
two maxima, is called a local maximum. Point E is the global maximum. Point D is a
point of inflection (the slope is zero and the curve is horizontal).
Search methods
It is a technique for finding an extremum (minimum or maximum) of a function inside a
specified interval. The steps of the algorithm of golden search method are:
Linear programming optimization technique
It is an optimization technique to achieve the best outcome (such as maximum profit or
lowest cost) in a mathematical model whose requirements are represented by linear
relationships. For a problem to be a linear programming problem, the decision variables,
objective function and constraints all have to be linear functions. It has 4 parts
1. Objective function: It is defined as the objective of making decisions. If the
company wishes to increase the total profit. So, profit is the objective function.
2. Constraints: The constraints are the restrictions or limitations on the decision
variables. They usually limit the value of the decision variables.
3. Decision variables: The decision variables are the variables which will decide the
output.
4. Non-negative restrictions: For all linear programs, the decision variables should
always take non-negative values. This means the values for decision variables
should be greater than or equal to 0.
The steps of the algorithm are:
Step 1: Formulate the LP (Linear programming) problem
Step 2: Construct a graph and plot the constraint lines
Step 3: Determine the valid side of each constraint line: A simple method is to put the
coordinates of the origin (0, 0) in the problem and determine whether the objective
function takes on a physical solution or not. If yes, then the side of the constraint lines
on which the origin lies is the valid side. Otherwise it lies on the opposite one.
Step 4: Identify the feasible solution region: The feasible solution region on the graph is
the one which is satisfied by all the constraints. It could be viewed as the intersection of
the valid regions of each constraint line as well.
Step 5: Find the optimum point: An optimum point always lies on one of the corners of
the feasible region.
Step 6: Calculate the coordinates of the optimum point.
Step 7: Calculate final answer
Example: Consider a chocolate manufacturing company which produces only two
types of chocolate – A and B. Both the chocolates require Milk and Choco only. To
manufacture each unit of A and B, following quantities are required:
 Each unit of A requires 1 unit of Milk and 3 units of Choco
 Each unit of B requires 1 unit of Milk and 2 units of Choco
The company kitchen has a total of 5 units of Milk and 12 units of Choco. On each sale,
the company makes a profit of
 Rs 6 per unit A sold
 Rs 5 per unit B sold.
Now, the company wishes to maximize its profit. How many units of A and B should it
produce respectively?
Solution: The first thing I’m going to do is represent the problem in a tabular form for
better understanding.
 Milk Choco Profit per unit
A 1 3 Rs. 6
B 1 2 Rs. 5
Total 5 12
Let the total number of units produced of A be = X
Let the total number of units produced of B be = Y
Now, the total profit is represented by Z
Since, the company wants to maximize profit so, profit is the objective function.
Mathematically it is represented as
Profit: Max Z = 6X+5Y
The company will try to produce as many units of A and B to maximize the profit. But
the resources Milk and Choco are available in limited amount.
As per the above table, each unit of A and B requires 1 unit of Milk. The total amount
of Milk available is 5 units. To represent this mathematically,
X+Y ≤ 5
Also, each unit of A and B requires 3 units & 2 units of Choco respectively. The total
amount of Choco available is 12 units. To represent this mathematically,
3X+2Y ≤ 12
Also, the values for units of A & B can only be integers.
So we have two more constraints, X ≥ 0 & Y ≥ 0
For the company to make maximum profit, the above inequalities have to be satisfied.
This is called formulating a real-world problem into a mathematical model.
Now, this linear program can be solved by following methods
1. Graphical method
2. Simplex method
3. Northwest corner method and least cost method
4. Using software open solver
5. Using open source tool R
Application
 It could be applied to manufacturing, to calculate how to assign labor and machinery
to minimize cost of operations.
 It could be applied in high-level business operations, to decide which products to
sell and in what quantity in order to maximize profit.
 It could also be applied in logistics, to decide how to apply resources to get a job
done in the minimum amount of time.

6.1 Geometrical programming

6.2 Multifactor objective function
6.3 Single variable optimization
Single variable optimization problem is one in which the value of x = x * is to be found
in the interval [a, b] such that x * minimize f(x). It helps to determine the local maxima
& minima, relative maxima & minima. The basic steps to find local maxima and local
minima are as following:
Step 1: Verify that the function is continuous on the interval [a, b].
Step 2: Find f”(x) and f””(x)
Step 2: Find all critical points of f(x) that are in the interval [a, b].
For critical point, f’(x) = 0
Step 3: Draw the line graph & find the +ve region and –ve region.
If critical point lies in between +ve to –ve region, then it is the point of local minima.
If critical point lies in between -ve to +ve region, then it is the point of local maxima.
If the critical point lies where sign does not change, then it is the point of inflection.
Step 4: Calculate local maximum and local minimum value
CHAPTER – 3: Interaction of Materials, Processing & Design

Classification of manufacturing process

Manufacturing process are the steps through which raw materials are transformed into a
final product. It can be classified as:

Casting

Forming
Manufacturing
Process
Machining

Joining

Factors Affecting Design Process

The factors that affect the design process are:
a) Material
b) Reliability
c) Type of stress
d) Load (Mortal)
Casting Design Guidelines
Casting is a manufacturing process in which a liquid material is usually poured into
a mold, which contains a hollow cavity of the desired shape, and then allowed to
solidify. The solidified part is now ejected or broken out of the mold to complete the
process. Some of the design guidelines for casting process are:
1) Fillet Radius: Sharp corners, edges and rapid changes in cross section should be
avoided in cast parts. Fillets should be added to sharp corners and edges because
 It increases the endurance limit
 Reduces the stress concentration
Depending on the casting process, minimum fillet radii should be provided on inside
and outside corners of the components. For example, in die casting, a minimum
radius of 1.5 times the wall thickness should be provided.
2) Uniform Wall Thickness: Wall thickness should be kept uniform throughout the
surface. The recommended range of wall thickness is two times the thinnest wall
section. The transition from thick to thin walls should also be as gradual as possible.

3) Avoid very thin section: Minimum permissible thickness is 7 mm.

4) Draft Angles: The draft angle of the casting component should be designed in such a
way that easy removal of the pattern will be possible without disturbing the sand
mold cavity. The draft angle will depend upon the type of material and varies
inversely with height of the wall. Giving 1 to 2 degrees of draft angle is standard
practice for sand casting.

5) Always keep stressed area of the parts in compression: Casting should be placed in
such a way that they are subjected to compressive stress and not tensile stress. When
the tensile stress are unavoidable, clamping device such as tie rod or bearing cap
should be provided. Clamping devices relieves casting from tensile stress.

Forging Design Guidelines

Some of the design guidelines for forging process are:
1) Fillet Radius: Sharp corners, edges and rapid changes in cross section should be
avoided. Fillets should be added to sharp corners and edges because
 It increases the endurance limit
 Reduces the stress concentration
Depending on the forging process, minimum fillet radii should be provided on
inside and outside corners of the components.
2) Uniform Wall Thickness: Wall thickness should be kept uniform throughout the
surface. The transition from thick to thin walls should also be as gradual as possible.
3) Avoid very thin section: Minimum permissible thickness is 3 mm.
4) Draft Angles: The draft angle will depend upon the type of material and varies
inversely with height of the wall.
For external surface: 5 - 7
For internal surface: 7 - 10
5) Keep fiber lines parallel to the tensile or compressible force & perpendicular to the
shear forces
Machining Design Guidelines
Some of the design guidelines for machining process are:
1) Fillet Radius: Sharp corners, edges and rapid changes in cross section should be
avoided. Fillets should be added to sharp corners and edges because
 It increases the endurance limit
 Reduces the stress concentration
Depending on the machining process, minimum fillet radii should be provided on
inside and outside corners of the components.
2) Avoid deflection of tools
3) Avoid hard materials: Hard materials are difficult to machined

Sheet-metal Design Guidelines

Sheet metal is the thin, flat piece of metal of size 0.15 – 6.35 mm. Some of the design
guidelines for sheet metal are:
1) Uniform Wall Thickness: Wall thickness should be kept uniform throughout the
body. Geometry with more than one wall thickness requires sheets of different
thicknesses, which requires reorientation and alignment of parts that consume time.
2) Bend Radius: Sharp corners, edges and rapid changes in cross section should be
avoided. Fillets should be added to sharp corners and edges. The inside bend radius
should be equal to the sheet thickness. But for harder material, inside bend radius of
0.65 of material thickness is also enough.
3) Bend length: It shall be equal to 3 times the sheet thickness plus bend radius.

4) Hole diameter: The recommended minimum hole diameter is equal to the sheet
thickness. For harder material, the recommended minimum hole diameter is equal to
twice the sheet thickness.

5) Center to center distance between two holes: The minimum distance between 2
holes center in sheet metal should be equal to sum of hole radius plus 2 times the
sheet thickness
Center distance = R1 + R2 + 2d

Welding Design Guidelines

Welding is a material joining process which produces coalescence of materials by
heating them to suitable temperatures with or without the application of pressure and
with or without the use of filler material. Some of the design guidelines for welding are:
 i. Weld strength: A weld can never be stronger than the base metal. For welded butt
joints, strength is usually equal to that of the base metal.
ii. Finish and spatter: If a perfectly smooth surface is required, MIG welding is not the
method of choice because it generates spatter. Designers should be careful to specify
when weld spatter is not allowed.
iii. Weldable materials: MIG and TIG processes can weld practically all ferrous and
nonferrous materials to themselves or to very similar alloy compositions. For welding
dissimilar metals, TIG is the process of choice
iv. Weld distortion: Distortion can be a major factor in sheet metal welding. Whenever
sheet metal is heated, some distortion will occur. Distortion can be controlled to
varying degrees by clamping or fixturing & use of heat sinks.
v. Weld location & accessibility: Welds must be located with operator accessibility in
mind. Most welding processes are limited by the torch size and the angle at which the
electrode is applied to the work. In practice, MIG torches take up more space than
TIG torches, but in either case, the operator needs room to access the joint. If
accessibility is doubtful, check clearances with the metal forming supplier before the
design is finalized.
vi. The cleaner, the better: To achieve optimum quality welds, work pieces should be free
of foreign contaminants, oil, grease, etc.
CHAPTER – 4: RISK AND RELIABILITY OF DESIGN
Risk
The difference between risk and hazard are as following:
Risk S.N. Hazard
Risk refers to a situation which is 1. A hazard is something that can cause
susceptible to harm, danger or loss. harm, danger or loss.
It can be expressed in degrees. 2. It cannot be expressed in degrees.
Risk has both positive and negative 3. Hazard only results in adverse
consequences, i.e. it may or may not effects.
result in a loss, because risk might turn
out as gain.
Risk indicates an anticipation of harm. 4. Hazard denotes the anticipated cause
of harm.
4.

Reliability
Reliability is a measure of the capability of a part or a system to operate without failure
in the service environment. It is always expressed as a probability. For e.g., a reliability
of 0.999 implies that there is probability of failure of 1 part in every 1000.
Let, R (t) = reliability w.r.t time t
F (t) = unreliability w.r.t time t (probability of failure)
⸪ Failure & non-failure are mutually exclusive events
R (t) + F (t) = 1
If N0 = total components put on test
NS (t) = No. of surviving in time t
NF (t) = No. of failure in time t
From the definition of reliability,
N s (t) N F (t)
R (t) = =1-
N0 N0
The reliability theories are:
1) System reliability: Most mechanical and electronic systems comprise a collection of
components. The overall reliability of the system depends on how the individual
components with their individual failure rates are arranged. It is of 2 types
 Series reliability: In series reliability, the components are so arranged that the
failure of any component causes the system to fail. The total system reliability
is given by
R System = R1 * R2 * R3 * R4 ……..* Rn
 The problem with this approach is that even if the components are good, we
can’t get high reliability from probability point of view. For e.g. Consider 3
components that are 90% reliable then
R System = R1 * R2 * R3 = 0.9 * 0.9 * 0.9 = 0.73 (Reliability decreases)
 Parallel reliability: In parallel reliability, the components are so arranged that it
requires all components to fail in order to fail the system. The total system
reliability is given by
R System = 1 – (1 - R1) (1 - R2) …….. (1- Rn)
For e.g. Consider 3 components that are 90% reliable then
R System = 1- (1 - 0.9) (1 - 0.9) (1 - 0.9) = 0.999 (Reliability increases)
2) Failure rates
3) Maintenance and repair
Maintainability
Maintainability is the probability that a component or system that has failed will be
restored to service within a given time. It is denoted by M (t) and given by
M (t) = 1 – e-r t
Where, r = repair rate = 1/MTTR
t = permissible time to carry out the required repair
MTTR = Mean time to repair = Average time to fix the component
Availability
Availability is the percentage of time that the system is available under normal
circumstances in order to serve its intended purposes. It is the ratio of time the system is
working to the total time required. It is given by
MTBF
Availability =
MTBF+ MTTR
AT ST −DT
MTBF = Mean time between failure = =
Nf Nf
DT
MTTR = Mean time to repair =
Nf
AT = Available time (Total operational/working time)
DT = Down time (Total time to repair)
ST = Schedule time or Planned time
Nf = No. of failure
Causes of unreliability
The causes of unreliability are:
1. Design mistake: Design mistake includes
 Erroneous calculation
 Poor selection of materials
 Failure to include all important operating factor
 Incomplete information on loads and environmental conditions
2. Exceeding design limits: If the operator exceeds the design limit like temperature,
pressure, speed, etc. for which it was designed, the equipment is likely to fail.
3. Environmental factors: Subjecting equipment to environmental conditions for which
it was not designed, such as rain, high humidity, and ice, greatly shortens its service
life.
4. Manufacturing defects: Manufacturing defects include:
 Poor surface finish
 Cracks
 Erroneously assembling materials and parts
 Installing improper or outdated components of an item
5. Maintenance: Most engineering systems are designed on the assumptions they will
receive adequate maintenance at specified period. When maintenance is neglected or
is improperly performed, service life will suffer.
Methods of minimizing failures in engineering design practice
The methods of minimizing failures in engineering design practice are as following:
1. Margin of safety
2. Ease of inspection
3. Redundancy: In series reliability, the components are so arranged that the failure of
any component causes the system to fail. The total system reliability is given by
R System = R1 * R2 * R3 * R4 ……..* Rn
The problem with this approach is that even if the components are good, we can’t
get high reliability from probability point of view. For e.g. Consider 3 components
that are 90% reliable then
R System = R1 * R2 * R3 = 0.9 * 0.9 * 0.9 = 0.73 (Reliability decreases)
The solution to this problem is using parallel reliability. The idea is to use redundant
components to improve reliability by arranging things in such a way that it requires
all components to fail in order to fail the system. The total system reliability is given
by
R System = 1 – (1 – R1) (1 – R2) …….. (1- Rn)
For e.g. Consider 3 components that are 90% reliable then
R System = 1- (1 - 0.9) (1 - 0.9) (1 - 0.9) = 0.999 (Reliability increases)
4. Damage tolerance: Damage tolerance is the load-carrying capability of a structure
once it has been damaged by service loads.
5. Durability: Reliability of equipment can be increased by using durable materials.
The material selection should be performed with the objective of producing a
system that is resistant to degradation from such factors such as corrosion, erosion,
foreign object damage, fatigue, and wear.
6. Derating: The reliability of equipment is increased if the maximum operating
conditions (power, temperature, etc.) are derated below their nameplate values. As
the load factor of equipment is reduced, so is the failure rate. Conversely, when
equipment is operated in excess of rated conditions, failure will ensue rapidly.
7. Simplicity: Simplification of components and assemblies reduces the chance for
error and increases the reliability. The simpler the equipment needed to meet the
performance requirements, the better the design.
8. Specificity: The greater the degree of specificity, the greater the inherent reliability
of design. Whenever possible, be specific with regard to
 Material characteristics
 Sources of supply
 Tolerances
 Characteristics of the manufacturing process
 Tests required for qualification of materials and components
 Procedures for installation, maintenance, and use.
Specifying standard items increases reliability. It usually means that the materials
and components have a history of use so that their reliability is known. Also,
replacement items will be readily available.
Risk assessment
Risk assessment is a term used to describe the overall process
 Hazard identification
 Risk analysis, and risk evaluation
 Risk control
Step 1: Hazard identification
Hazard identification is the process of identifying all hazards in the workplace. It lists
all the potential project risk and their characteristics. It is like a risk register. This
information will then be used for the risk analysis. Though this process starts at the
beginning of the project, it’s an iterative process and continues throughout the project
life cycle. The hazard may be identified by
 Observation
 Material Safety Data Sheets
 Accident/incident investigation
 Safety audit
 Record analysis
 Hazard and risk surveys
Step 2: Risk analysis
Risk analysis is the process that figures out how likely that a risk will arise in a project.
There are 2 ways to analyze risk. They are
1) Qualitative risk analysis: It assesses the importance of the identified risks and
develops prioritized lists of these risks for further analysis or direct mitigation. The
team assess each identified risk for its probability of occurring and its impact on
project objectives. Team members sort the identified risks into high, moderate and
low risk categories for each project objective (Time, cost, scope). The qualitative
assessment method are:
 Probability and impact assessment
 Probability and impact matrix
 Risk data quality assessment
  Risk categorization
2) Quantitative risk analysis: Quantitative risk analysis is a process of identifying risk
numerically. It is based on a simultaneous evaluation of the impact of all identified
and quantified risks. Quantitative Analysis Methods are:
 Probability analysis
 Sensitivity analysis
 Decision tree
 Simulations and modelling
Step 3: Assign an owner to the risk
All your hard work identifying and evaluating risk is for naught if you don’t assign
someone to oversee the risk. There might be a team member who is more skilled or
experienced in the risk. Then that person should lead the charge to resolve it.
Step 4: Respond to the risk

For each maor risk identified

Create a plan to mitigate it

Develop a strategy , some

preventative or contingency plan

Act on the risk

Communicate with the risk owner

and decide on which of the plan is
good to resolve the risk

Fig: Respond to the risk

Step 5: Monitor & control the risk
Risk monitoring and control keeps track of the identified risks, residual risks and new
risks. It also ensures the execution of risk response plans and evaluates its effectiveness.
Risk monitoring and control continues for the life of the project. The list of project risks
changes as the project matures, new risk develop or anticipated risks disappear.
Hazard analysis
Hazard analysis is the systematic process of identifying hazards and recommending
correction action. The process of conducting a hazard analysis involves 4 stages. These
are
Stage 1: Hazard Identification
Hazard identification is the process of identifying all hazards in the workplace. It lists
all the potential project risk and their characteristics. It is like a risk register. This
information will then be used for the risk analysis. Though this process starts at the
beginning of the project, it’s an iterative process and continues throughout the project
life cycle. The hazard may be identified by
 Observation
 Material Safety Data Sheets
 Accident/incident investigation
 Safety audit
 Record analysis
 Hazard and risk surveys
Stage 2: Determination of Acceptable Levels
Once a hazard has been identified, the likelihood and possible severity of injury or harm
will need to be assessed before determining how best to minimize the risk. High risk
hazards will need to be addressed more urgently than low risk situations. For each
hazard, record the highest priority and acceptable level.

Stage 3: Make a change

Consider the following control measures:
 Remove the hazard at the source
 Substitute it with something less hazardous.
 Isolate the hazardous process, item or substance from people.
 Add engineering controls, such as safety barriers or exhaust ventilation.
 Adopt safe work procedures, training and supervision to minimize the risk.
 Where other means are not sufficient or practicable, provide personal protective
equipment.
 Implement and monitor the controls you decide upon.
Stage 4: Checking the change
Check the change, if necessary set the new safe work procedure.
Fault Tree Analysis (FTA)
FTA is top down approach that was originally developed in 1962 at Bell Laboratories
by H.A. Watson. FTA is used
 In an accident investigation and a detailed hazard assessment
 To determine the cause of failure
 Test the reliability of a system
A fault tree diagram is used to conduct FTA. It consists of 2 elements:
1. Events: Generally, the events are of 4 types:
i. Top undesired event: It is the topmost event that can be further developed. It is
represented by rectangular sign.

ii. Intermediate event: It is the events which occur between top undesired event &
basic events. It is also represented by rectangular sign.

iii. Undeveloped event: It is the event where there is no scope of developing it

further. It is represented by diagonal sign.

iv. Basic event: It is the lowermost event. It is represented by circular sign.

2. Logic gates: They act as a connection between two or more events. Two types of
logic gates ‘AND’ and ‘OR’ gate are mostly used in FTA. ‘AND’ and ‘OR’ gate are
represented as

AND gate OR gate

The basic process to create a fault tree follows a basic pattern.
 Define the system

Define top undesirable

event

Identify causes for top

undesirable event

Identify next level of

events

Identify root causes

Add probabilities to
events

Analysis the fault tree

Document the FTA

Let’s understand FTA with a simple example of workplace getting fire. For fire to
occur, there needs to be
 Fuel
 Oxygen
 Ignition

But fuel can be either solid, liquid or gases. Also ignition could be done either with a
spark or flames.
Therefore, we use AND gate for fire to occur and OR gate for fuel & ignition. Oxygen
doesn’t have any alternative. Fault tree for fire is
CHAPTER – 5: SYSTEM DESIGN
Design sequence for transmission system

The design sequence for transmission system are:

1. Power and torque requirements.
The first step of design sequence for transmission system is to determine the required
power and torque. Power is typically specified by a power capacity. For example: 40
HP gearbox
Power = Torque * Angular velocity
Power is constant throughout the system
i.e. Power in = power out
Torque on other hand, is typically not constant throughout the transmission system
i.e. T i i = T o o
 Ti/To = o/i
2. Gear specification
With the power and torque value known, the next step is to determine appropriate gear
ratio. The gear ratio can be determined by using formula
RPM∗Tire diameter
Gear ratio =
Power∗336
After knowing the gear ratio, now specify the types of gear and gear train. The different
types of gear are:
 Spur gear
 Helical gear
 Bevel gear
 Worm gear
There are 4 types of gear train
 Simple gear train
 Compounded gear train
 Reverted gear train
 Epicycle gear train
For reverse & first speed gear – spur gear is suitable
For 2nd, 3rd and so on – helical gear is suitable
3. Shaft layout
A shaft is a rotating member, usually of circular cross section, used to transmit power or
motion in and out of the machine. The general layout of shaft is to accommodate shaft
elements like gear, bearings, etc. The following guidelines may be helpful for
specifying the shaft layout
 Shafts should be kept short to minimize bending moments and deflections.
 Some axial space between components is desirable to allow for lubricant flow and to
provide access space for disassembly of components
 The components must be accurately located on the shaft to line up with other mating
components
 Load bearing components should be placed near the bearings to minimize the
bending moment the deflection.
 The gears & bearings must be positioned against shoulders with retaining rings to
hold them in position.
 It is generally best to have only one bearing carry the axial load, to allow greater
tolerances on shaft length dimensions, and to prevent binding if the shaft expands
due to temperature changes. This is particularly important for long shafts.
4. Force analysis
Once the gear/pulley diameters are known, and the axial locations of the gears and
bearings are known, the free-body, shear force, and bending moment diagrams for the
shafts can be produced. Follow the following steps for force analysis
Step 1: With the known transmitted loads, determine the radial & axial loads
transmitted through gears & bearing
Step 2: Draw free body diagrams
Step 3: Draw shear force & bending moment diagrams
The force & moments usually have components in two planes along the shaft. Hence,
shear force & bending moments are obtained in two planes. For rotating shaft, only the
resultant magnitude is needed, so force components at point of interest are summed as
vectors.
5. Shaft material selection
A shaft material must be selected before the stress design of shaft so that it can be
modified if necessary during the stress design process. The selection of shaft material
depends on the application, their strength, hardness properties, etc. A small comparison
is shown below
Tensile
Brinell Density, Thermal
Material strength, 3 M.P.
Hardness Kg/m conductivity
MPa
Aluminum
310 100 2700 16.6 650
alloy
Stainless
505 120 7780 16.2 1450
steel
Carbon 1150-
345-525 269 7820 46.6
steel 1500

6. Shaft design for stress

The critical shaft diameter are to be determined by stress analysis at critical location.
7. Shaft design for deflection
8. Bearing selection
Since, the bearing force and appropriate bore diameter are known, the bearing may
be selected as
Step 1: Find C10 value
Step 2: With the help of C10 value, select the appropriate bearing
9. Key & retaining ring selection
10. Final analysis
CHAPTER – 6: SPRING DESIGN

6.1 Definition

Spring is an elastic objects that deflects under load, absorb & store energy & release the
energy when load is removed. It can be classified as:

Spring

Disc (Belleville
Helical (Coil) Leaf (Flat)
or Conical)
Spring Spring
Spring

Tension Cantilever
(Extension) Spring
Spring

Compression Simply
Spring Supported Spring

Torsion Spring

Spiral Spring

6.2 Compression Springs Nomenclature

1. Pitch (p): The distance between the spring’s coils.
2. Active coils (Na): The active amount of coils including only open coils with pitch in
between them.
3. Total coils (Nt): The total amount of coils including open and closed coils.
4. Free length: The free length of a spring is defined as the length of a compression
spring without any force or load applied to it. It is denoted by Lo and given by
Lo = Deflection (y) + Solid length (LS)
5. Spring rate: The spring rate is a measurement of the amount of force needed to
compress a spring a particular distance. It is also called scale of the spring. It is
denoted by k and given by
Spring rate, k = F/y
6.3 Commonly used spring materials
The commonly used spring materials are:
i. Music wire

ii. Hard-drawn wire

 It is cheapest spring steel.
 Normally, it is used for low stress and static load.
 It is not suitable at sub-zero temperature or at temperature above 120°C
iii. Oil-temperature wire
 It is cold-drawn, quenched, tempered and general purpose spring steel.
 It is not suitable for fatigue or sudden load, at sub-zero temperature or at
temperature above 180°C
iv. Chrome vanadium
 This alloy spring is used for high stress conditions at high temperature up to
220°C
 It is good for fatigue resistance, long endurance and for shock & impact loads.
v. Chrome silicon
vi. Phosphor bronze (spring brass)
Stresses in helical springs
6.4 Deflection of helical springs

6.5 Curvature effect

Let us look at a small section of a circular spring, as shown in the figure. Suppose we
hold the section b-c fixed and give a rotation to the section a-d in the anti-clockwise
direction as indicated in the figure, then it is observed that line a-d rotates and it takes
up another position, say a'-d'.

The inner length a-b being smaller compared to the outer length c-d, the shear strain y i
at the inside of the spring will be more than the shear strain y o at the outside of the
spring.
Hence, for a given wire diameter, a spring with smaller diameter will
experience more difference of shear strain between outside surface and inside surface
compared to its larger counterpart. This phenomenon is termed as curvature effect. So
more is the spring index (C = D /d) the lesser will be the curvature effect.
Set removal
Set removal is a process where the spring is pressed to its solid height. This procedure is
not necessary for every spring. It is used mostly on springs that are overstressed at solid
or at a required deflection.
Buckling in spring
Buckling means the bending of the spring. It is due to high slenderness ratio.
6.6 Energy stored in spring

Surge in spring
When the natural frequency of vibrations of the spring coincides with the frequency of
external periodic force, which acts on it, resonance occurs. In this state, the spring is
subjected to a wave of successive compressions of coils that travels from one end to the
other and back. This type of vibratory motion is called ‘surge’ of spring.
The surge in spring can be avoid by
 The spring is designed in such a way that the natural frequency of the spring is 15 to
20 times the frequency of excitation of the external force. This prevents the
resonance condition to occur.
 The spring is provided with friction dampers on central coils. This prevents
propagation of surge wave.
 A spring made of stranded wire reduces the surge. In this case, the wire of the spring
is made of three strands. The direction of winding of strands is opposite to the
direction of winding of the coils while forming the spring. In case of compression of
the coils, the spring tends to wind the individual wires closer together, which
introduces friction. This frictional damping reduces the possibility of surge.
Belleville spring
The Belleville spring is a conical-shaped metal disk designed to support high loads with
small deflections compared to conventional helical springs. It is also called coned-disk
spring or Belleville washer.

Advantages
 The Belleville springs of particular size and thickness can be stacked in series,
parallel or series & parallel. Hence, they can provide the different value of spring
rate (K), which is not possible in other spring.
 When two Belleville spring are arranged in series, double deflection is obtained
from same force.
 When two Belleville spring are arranged in parallel, double force is obtained
from same deflection.
 As compared to a helical spring washer, it takes less space for installation.
 It is especially used where large force is desired for small deflection of spring.
Application
Belleville washers are used just like conventional washers by featuring a center hole
through which a fastener, such as a bolt, is placed. But their unique canonical shape
makes them particularly effective at handling heavy loads. They are used in
 Plate clutches
 Brake gun recoil mechanism
 Relief valve
 Bolted connections
6.4 Numerical Problems
Q.No.1: A helical compression spring is wound using 2.5-mm-diameter music wire.
The spring has an outside diameter of 31 mm with plain ground ends, and 14 total coils.
Estimate
a) What should the free length be to ensure that when the spring is compressed solid
the torsional stress does not exceed the yield strength?
b) What force is needed to compress this spring to closure?
c) Spring rate
d) Is there a possibility that the spring might buckle in service?
Solution:
Q.No.2: A helical compression spring is made with oil-tempered wire with wire
diameter of 5 mm, mean coil diameter of 50 mm, a total of 12 coils, a free length of 125
mm, with squared ends.
a) Find the solid length.
b) Find the force necessary to deflect the spring to its solid length.
c) Find the factor of safety guarding against yielding when the spring is compressed to
its solid length.
Q.No.3: A helical compression spring is made of no. 16 music wire. The outside coil
diameter of the spring is 11 mm. The ends are squared and there are 12.5 total turns.
a) Estimate the torsional yield strength of the wire.
b) Estimate the static load corresponding to the yield strength.
c) Estimate the scale of the spring.
d) Estimate the deflection that would be caused by the load in part (b).
e) Estimate the solid length of the spring.
f) What length should the spring be to ensure that when it is compressed solid and then
released, there will be no permanent change in the free length?
g) Given the length found in part (f), is buckling a possibility?
h) What is the pitch of the body coil?
Solution:
Q.No.4: An as-wound helical compression spring, made of music wire, has a wire size
of 2.3 mm, an outside coil diameter of 14 mm, a free length of 98 mm, 21 active coils,
and both ends squared and ground. The spring is unpeened. This spring is to be
assembled with a preload of 22 N and will operate with a maximum load of 156 N
during use.
a) Estimate the factor of safety guarding against fatigue-failure using a torsional
Gerber fatigue-failure criterion with Zimmerli data.
b) Repeat using the Sines torsional fatigue criterion (steady stress component has no
effect), with Zimmerli data.
c) Repeat using a torsional Goodman failure criterion with Zimmerli data.
d) Estimate the critical frequency of the spring.
Solution:
Q.No.5: A helical compression spring is to be made of oil-tempered wire of 4-mm
diameter with a spring index of C = 10. The spring is to operate inside a hole, so
buckling is not a problem and the ends can be left plain. The free length of the spring
should be 80 mm. A force of 50 N should deflect the spring 15 mm.
a) Determine the spring rate, hole diameter of spring
b) Determine the total number of coils needed and solid length.
c) Determine a static factor of safety based on the yielding of the spring if it is
compressed to its solid length.
Solution:
Q.No.6: A helical compression spring is made of hard-drawn spring steel wire 2 mm in
diameter and has an outside diameter of 22 mm. The ends are plain and ground, and
there are 8.5 total coils.
a) The spring is wound to a free length, which is the largest possible with a solid-safe
property. Find this free length.
b) What is the pitch of this spring?
c) What force is needed to compress the spring to its solid length?
d) Estimate the spring rate.
e) Will the spring buckle in service?
Solution:
Q.No.7: A compression spring is needed to fit over a 12 mm diameter rod. To allow for
some clearance, the inside diameter of the spring is to be 15 mm. To ensure a
reasonable coil, use a spring index of 10. The spring is to be used in a machine by
compressing it from a free length of 125 mm through a stroke of 75 mm to its solid
length. The spring should have squared and ground ends, unpeened, and is to be made
from cold-drawn wire.
a) Determine a suitable wire diameter.
b) Determine a suitable total number of coils.
c) Determine the spring constant.
d) Determine the static factor of safety when compressed to solid length.
e) Determine the fatigue factor of safety when repeatedly cycled from free length to
solid length. Use the Gerber-Zimmerli fatigue-failure criterion.
Solution:
Q.No.8: Consider the steel spring in the illustration.
a) Find the pitch, solid height, and number of active turns.
b) Find the spring rate. Assume the material is A227 HD steel.
c) Find the force Fs required to close the spring solid.
d) Find the shear stress in the spring due to the force Fs.
Solution:
CHAPTER – 7: BRAKE AND CLAUTCH

5.1 Numerical problems

Q.No.1: The figure shows an internal rim-type brake having an inside rim diameter of
300 mm and a dimension R 5 125 mm. The shoes have a face width of 40 mm and are
both actuated by a force of 2.2 kN. The drum rotates clockwise. The mean coefficient of
friction is 0.28.
a) Find the maximum pressure and indicate the shoe on which it occurs.
b) Estimate the braking torque effected by each shoe, and find the total braking torque.
c) Estimate the resulting hinge-pin reactions
Solution:
Properties of clutch materials
The properties of clutch materials are:
 High coefficient of friction
 Coefficient of friction should remain constant over entire range of temperature
 Good thermal conductivity
 Remain unaffected by moisture, dirt etc.
 High resistance to abrasive and corrosive wear.
 It should distribute the pressure evenly at contact surface. (CTMRP)

Q.No.2: The block-type hand brake shown in the figure has a face width of 30 mm and
a mean coefficient of friction of 0.25. For an estimated actuating force of 40 N, find the
maximum pressure on the shoe and find the braking torque.
Solution:
Given data:
Type: Block type hand brake
Radius of rim, r = 150 mm = 0.15 m
Distance between hinge pin and center, a = √ 1502 +2002 = 250 mm = 0.25 m
Face width, b = 30 mm = 0.03 m
Distance between hinge pin & actuating force, c = 200 + 300 = 500 mm = 0.5 m
−1 150
Angle between hinge pin & beginning of frictional material, 1 = 45−tan = 8.13
200
Angle between hinge pin & ending of frictional material, 2 = 8.13 + 90 = 98.13
Since, 2 > 90, so it is long shoe. For long shoe, P = 90
Actuating force, F = 40 N
Coefficient of friction, f = 0.25
Now,
θ2

A = ∫ sin θ ¿ ¿
1

θ2

B = ∫ sin θ dθ
2

θ1

θ2

C= ∫ sin θ cos θ dθ
1
f Pa br
Moment of frictional force, Mf = ×A
sin θa
P a bra
Moment of normal force, MN = ×A
sin θa
M N −M f
Actuating force, F=
c
2
f Pa b r ( cos θ1−cos θ2 )
Torque, T =
sin θ a
Q.No.2: The maximum band interface pressure on the brake shown in the figure is 620
kPa. Use a 350 mm diameter drum, a band width of 25 mm, a coefficient of friction of
0.30, and an angle-of-wrap of 270. Find the band tensions and the torque capacity.

Solution:
Diameter of drum, D = 350 mm = 0.35 m
Band width, b = 25 mm = 0.025 m
Angle of wrap,  = 270 = 4.712 rad
Coefficient of friction, f = 0.3
Maximum band interface pressure, Pa = 620 kPa
We know,
2 P1
Maximum pressure, Pa =
bD
P a bD 620∗1000∗0.025∗0.35
 P1 = = = 2712.5 N
2 2
Now,
P1 f ∅
=e
P2
P1 2712.5
 P2= f ∅ = 0.3∗4.712 = 659.86 N
e e
( P1−P2 ) D ( 2712.5−659.86 ) 0.35
Torque, T = = = 359.22 N. m
2 2
Q.No.2: The drum for the band brake shown in figure is 300 mm in diameter. The band
selected has a mean coefficient of friction of 0.28 and a width of 80 mm. It can safely

support a tension of 7.6 kN. If the angle of wrap is 270, find the lining pressure and the
torque capacity.
Solution:
Diameter of drum, D = 300 mm = 0.3 m
Band width, b = 80 mm = 0.08 m
Angle of wrap,  = 270 = 4.712 rad
Coefficient of friction, f = 0.28
Pin reaction, P1 = 7.6 kN = 7600 N
We know,
P1 f ∅
=e
P2
P1 7600
 P2= f ∅ = 0.28∗4.712 = 2031.67 N
e e
Now,

( P1−P2 ) D ( 7600−2712.5 ) 0.3

Torque, T = = = 835.1 Nm
2 2
Q.No.2: The brake shown in the figure has a coefficient of friction of 0.30 and is to
operate using a maximum force F of 400 N. If the band width is 50 mm, find the band
tensions and the braking torque.
Solution:
Diameter of drum, D = 200 mm = 0.2 m

Band width, b = 50 mm = 0.05 m

Coefficient of friction, f = 0.3
Maximum force, F = 400 N
From figure,
−1 100
Angle of wrap,  = 270 - cos = 218.68 = 3.817 rad
160
Taking moment at O we get,
F × 325 - P2 × 100 = 0
Or, 400 × 325 - P2 × 100 = 0
 P2 = 1300 N
We know,
P1 f ∅
=e
P2
 P1 = P2 × ef = 1300 × e0.3 * 3.817 = 4085.58 N

( P1−P2 ) D ( 4085.58−1300 ) 0.2

Torque, T = = = 278.558 N. m
2 2
Q.No.3: The figure shows a 400-mm-diameter brake drum with four internally
expanding shoes. Each of the hinge pins A and B supports a pair of shoes. The actuating
mechanism is to be arranged to produce the same force F on each shoe. The face width
of the shoes is 75 mm. The material used permits a coefficient of friction of 0.24 and a
maximum pressure of 1000 kPa. . Estimate the maximum
a) Actuating force F.
b) Braking capacity.
c) Hinge-pin reactions.

Q.No.4: The brake shown in Fig. is 300 mm in diameter and is actuated by a

mechanism that exerts the same force F on each shoe. The shoes are identical and have
a face width of 32 mm. The lining is a molded asbestos having a coefficient of friction
of 0.32 and a pressure limitation of 1000 kPa. Estimate the maximum
d) Actuating force F.
e) Braking capacity.
f) Hinge-pin reactions.
Solution:
CHAPTER – 8: POWER SCREW

8.1 Numerical problems

Q.No.1: A power screw is 25 mm in diameter and has a thread pitch of 5 mm.
a) Find the thread depth, the thread width, the mean and root diameters, and the lead,
provided square threads are used.
b) Repeat part (a) for Acme threads.
Solution:

Q.No.2: A single-threaded power screw is 25 mm in diameter with a pitch of 5 mm. A

vertical load on the screw reaches a maximum of 5 kN. The coefficients of friction are
0.06 for the collar and 0.09 for the threads. The frictional diameter of the collar is 45
mm. Find the overall efficiency and the torque to “raise” and “lower” the load.
Solution:
Q.No.3: Find the power required to drive a 40 mm power screw having double square
threads with a pitch of 6 mm. The nut is to move at a velocity of 48 mm/s and move a
load of F = 10 kN. The frictional coefficients are 0.10 for the threads and 0.15 for the
collar. The frictional diameter of the collar is 60 mm.
Solution:
Q.No.4: A single square-thread power screw has an input power of 3 kW at a speed of
1 rev/s. The screw has a diameter of 40 mm and a pitch of 8 mm. The frictional
coefficients are 0.14 for the threads and 0.09 for the collar, with a collar friction radius
of 50 mm. Find the axial resisting load F and the combined efficiency of the screw and
collar.
Solution:
Q.No.5: A square-thread power screw has a major diameter of 32 mm and a pitch of 4
mm with double threads. The given data include f = f c = 0.08, dc = 40 mm, and F = 6.4
kN per screw.
a) Find the thread depth, thread width, pitch diameter, minor diameter, and lead.
b) Find the torque required to raise and lower the load.
c) Find the efficiency during lifting the load.
d) Find the body stresses, torsional and compressive.
e) Find the bearing stress.
f) Find the thread bending stress at the root of the thread.
g) Determine the von Mises stress at the root of the thread.
h) Determine the maximum shear stress at the root of the thread.
Solution: