GEOE 491 – GEOLOGICAL ENGINEERING DESIGN I

CHAPTER ONE
BASIC CONCEPTS IN ENGINEERING AND DESIGN

Prof. Dr. Haluk AKGÜN, PE ©

1.1. DEFINITION OF ENGINEERING, ENGINEERING DESIGN AND GOOD

DESIGN
Engineering is the profession in which knowledge of the mathematical and natural
sciences gained by study, experience and practice is applied with judgment to develop
ways to utilize economically, the materials and forces for the benefit of mankind
(Accreditation Board for Engineering and Technology, 1987).

Engineering design is the process of devising a system, component, or process to meet

desired needs. It is a decision-making process (often iterative), in which the basic
sciences, mathematics and engineering sciences are applied to convert resources
optimally to meet a stated objective. Among the fundamental elements of the design
process are the establishment of objectives and criteria, synthesis, analysis, construction,
testing and evaluation. Central to the process are the essential and complementary roles
of synthesis and analysis. In addition, sociological, economic, aesthetic, legal and ethical
considerations need to be included in the design process (Accreditation Board for
Engineering and Technology, 1987).

If engineering was an occupation where the unknown and the unpredictable had been
eliminated, then a “good design” would provide a foolproof solution to a problem,
obtained at an economic cost and comprising the minimum amount of parts or
components. However, in the real world, these aims must be modified and a “good
design” probably has the following features:
a) It fulfills its functional purpose,
b) It is economic with respect to resources, for both the producer and the user,
c) It embodies satisfactory properties, i.e., strength, durability, size, etc.,
d) It has lasting aesthetic qualities, appropriate to the users and other observers (Ray,
1985).

1.2. ENGINEERING DESIGN PROCESS

The design process should be seen as a process by which creativity is turned into
innovation. Creativity is defined as conceiving novel concepts or original ideas, while
innovation is implementing these concepts and ideas into new and improved products and
systems. The design process transforms creativity into innovation. People may be
creative and knowledgeable but unless their original concepts are turned into an
innovation, these concepts will remain stillborn or somebody else will make use of them.
As a result, engineering design is currently receiving much attention throughout the
world and a new discipline has emerged: design theory and methodology. Bieniawski
(1993) believes that for a successfully designed product, three major ingredients are
 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

necessary: (i) problem definition - a coherent statement of the design objectives based on
a creative concept and fulfilling a need; (ii) competent technical knowledge necessary to
devise an effective solution; and (iii) design methodology - a process to analyze,
synthesize and evaluate alternative solutions leading to an optimum choice. Engineering
design involves the concepts of design theory and methodology. Design theory refers to
systematic statements of principles and experimentally verified relationships that explain
the design process and provide the fundamental understanding necessary to create a
useful methodology for design. Design methodology is the collection of procedures, tools
and techniques that the designer can use in applying design theory to design (Bieniawski,
1993).

The following are the main distinguishable stages of the engineering design process
(Bieniawski, 1988 as quoted by Bieniawski, 1993).

Stage 1 - recognition of a need or a problem,

Stage 2 - statement of the problem, including identification of performance objectives
and design issues,
Stage 3 - collection of information,
Stage 4 - concept formulation,
Stage 5 - analysis of solution components,
Stage 6 - synthesis to create alternative solutions,
Stage 7 - evaluation and testing of the solution,
Stage 8 – optimization,
Stage 9 - recommendation and communication,
Stage 10 – implementation.

Stage 1 - Recognition of a need or a problem

The existence of a problem must be recognized before any attempt can be made to solve
it. It requires the rather rare ability of asking the right kind of question and calls for a
clear recognition of the problem to be solved. In design-type situations, it involves the
recognition of a genuine social need, a need or an opportunity.

Stage 2 - Statement of the problem

Having established that a problem exists, it is then necessary to define it. The ability to
define the problem is a most important difficult task. A poorly formulated problem
cannot be expected to produce a good solution. It is at this stage that the design principles
discussed later are applied, and it is here that independent functional requirements are
identified.

Stage 3 - Collection of information

This phase involves the gathering, investigation, processing and screening of information
to determine the specific characteristics of the problem and to provide the input data for
subsequent design analyses. For example, in engineering geology, collection of
information includes site exploration, featuring geological and geophysical
investigations, laboratory and field testing to establish the characteristics of the rock
masses, and evaluation of field stresses and the applied loads.

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

Stage 4 - Concept formulation

Depending on the nature of the problem, either a search is conducted for the most
promising method of solution or a hypothesis is selected or invented. Imagination and
innovation should be utilized in a manner not unlike that of a creative artist. It is here that
each functional requirement from Stage 2 is met by a corresponding design component
representing a design solution.

Stage 5 - Analysis of solution components

Design of individual elements is performed, as a large design problem is divided into
smaller, more manageable components. Design approaches to be used at this stage may
involve mathematical and numerical analysis, physical model studies, experiments, and
empirical analyses.

Stage 6 - Synthesis to create alternative solutions

All the options having been considered and, with the analysis of the individual
components completed, the design is directed to creating detailed alternative solutions.
This stage should comprise any or all of the following: design specifications,
performance predictions, cost estimates, scheduling procedures, and the like.

Stage 7 - Evaluation and testing of the solutions

The solutions proposed must now be interpreted and compared with the original
functional requirements, design issues, specifications, assumptions or constraints. This
calls for a clear understanding of all the pertinent interacting factors; that is, for the
exercise of engineering judgment. The duty of the design engineer is to produce a
balanced design involving all factors which interact.

If, as is frequently the case, such an evaluation shows up deficiencies or suggests more
promising alternatives, some or all of the foregoing stages must be repeated. The number
of iterations carried out once again calls for judgment, depending on the quality required
and the time and money available.

Stage 8 - Optimization
Most engineering problems do not have a unique solution. Reconsideration of the
solution may thus be necessary in an attempt to approach a feasible compromise between
the often conflicting requirements and resources. The effectiveness of any optimization
process depends directly on the clarity with which functional requirements are stated.

Stage 9 - Recommendation and communication

Conclusions and recommendations are the outcome of the entire design process. They
provide a concise statement of the answer to the problem, point out limitations or
restrictions and indicate the direction to be followed in implementing the solution.

The ultimate purpose of the design is the production or construction of a product or

project. Achievement of this objective requires the engineer to communicate effectively.
Unless the designer can persuade the client or society of the merit of the design it will be
stillborn. Effective communication requires that all pertinent facts be properly presented.

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

Hence, the ability to convey thoughts concisely and clearly and to transmit technical
knowledge effectively must be acquired by design engineers.

Stage 10 - Implementation
This entails putting the plan into action, and generally involves a high level of
organizational skill as well as knowledge and experience of costs, labor, law and
equipment. This is the phase which occupies most of the time and energy of construction
or manufacturing engineers.

1.3. THE MORPHOLOGY OF DESIGN

Once the need for a project is established, the project goes through a series of major
phases. Generally, a new phase is not begun until the preceding one has been completed,
although sometimes final details have to be attended to while the next phase is in
progress. The morphology of design refers to the study of the chronological structure of
design projects. It is defined by the phases (Fig. 1.1) and their constituent steps. The steps
of the design phases, having been put into perspective, will be enlarged in the following
section below (Asimow, 1962).

Fig. 1.1 The phases of a complete project (Asimow, 1962).

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

Feasibility study – Phase I

A design project begins with a feasibility study with the purpose of achieving a set of
useful solutions to the design problem. The first step in the study is to demonstrate
whether the original need, which was presumed to be valid, does indeed have current
existence, or strong evidence of latent existence. The next step is to identify the design
elements such as parameters, constraints and major design criteria. Finally, the potentially
useful solutions are sorted out in three steps on the bases of physical realizability,
economic worthwhileness and financial feasibility. In conclusion, the completed study
indicates whether a current or a potential need exists, what the design problem is, and
whether useful solutions can be found; that is, it investigates the feasibility of the
proposed project.

Preliminary design – Phase II

The preliminary design phase starts with the set of useful solutions which were developed
in the feasibility study. The purpose of preliminary design is to establish which of the
alternatives is the best design concept. Each of the alternative solutions is subjected to
order of magnitude analyses until the evidence suggests either that the particular solution
is inferior to some of the others, or that it is superior to all of the others. The extent to
which perturbations of environmental or internal forces will affect the stability of the
system are examined.

Detailed design – Phase III

The detailed design phase begins with the concept evolved in the preliminary design. Its
purpose is to furnish the engineering description of a tested and producible design.

Planning the production process – Phase IV

Whereas the preceding three phases were peculiarly in the province of the engineering
designer, much of the responsibility for Phase IV will be shared with other segments of
management. Skills involving tool design and production engineering come into play; the
original project group, however, may continue in its role of leadership.

Planning for distribution – Phase V

Production is the first process in the production-consumption cycle of the socio-
ecological system. The second is distribution. Although the engineering designer may not
be directly involved in planning for distribution, he/she will often find that the problems
of distribution have an important impact on the original design of the product.

Planning for consumption – Phase VI

Consumption is the third process in the production-consumption cycle. Its influence on
design is profound, for it covers all phases. As a process it occurs naturally after
distribution.

Planning for retirement of the product – Phase VII

The forth process in the production-consumption cycle is the disposal of the retired
product. For large and semi-permanent installations, the mere removal may pose difficult
engineering problems, as, for example, the demolition of a tall building closely confined

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

by a building on either side. Sometimes the impact of a new design is more immediate as
when an old structure or system must be replaced by a new one with minimum disruption
of normal operations. It is a peculiar mark of our times that goods in use are retired more
frequently because of technical ageing than for physical deterioration.

1.4. GEOLOGICAL ENGINEERING DESIGN EXAMPLES

Two geological engineering design examples are given by Figs. 2 and 3. The first
example in Fig. 1.2 gives a detailed design procedure (methodology) for rock slope
stability (Hoek and Bray, 1981). The second example in Fig. 1.3 gives a detailed design
procedure (methodology) for tunneling in rock (Hoek and Brown, 1980).

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

Fig. 1.2 Detailed design procedure for rock slope stability (Hoek and Bray, 1981).

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

Fig. 1.3 Detailed design procedure for tunneling in rock (Hoek and Brown, 1980).

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 GEOE 491-Geological Engineering Design I Lecture Notes (Ch. 1) by H. Akgün

REFERENCES
Accreditation Board for Engineering and Technology, 1987, Fifth Annual Report, ABET,
Washington, DC.
Asimow, M, 1962, Introduction to Design, Prentice-Hall, Inc., Englewood Cliffs, New
Jersey.
Bieniawski, Z. T., 1988, Towards a Creative Design Process in Mining, Min. Eng. Vol.
40, pp. 1040-1044.
Bieniawski, Z.T., 1993, Design Methodology for Rock Engineering: Principles and
Practice, In: Comprehensive Rock Engineering, Principles, Practice & Projects, Vol.
2, Analysis and Design Methods, C. Fairhurst (Ed.), Pergamon Press Ltd.,
Headington Hill Hall, Oxford, pp. 779-793.
Hoek, E. and Bray, J.W., 1981, Rock Slope Engineering, Revised Third Edition, The
Institution of Mining and Metallurgy, London.
Hoek, E. and Brown, E.T., 1980, Underground Excavations in Rock, The Institution of
Mining and Metallurgy, London.
Ray, M.S., 1985, Elements of Engineering Design, Prentice-Hall International, London.