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McGraw-Hill, Inc.
New York San Fraoc:hK:o Washington, D.C. Auckland Bogota
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Overview of the Reverse Engineering Process Montreal New Delhi San Juan Singapore
Sydney Tokyo Toronto
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Ubrary of Congress Cataloging-ill-Publication Data
Ingle, Kathryn A.
Reverse engineering I Kathryn A. Ingle.
p. em.
Includes bibliographical references and index.
ISBN 0-07-031693-7
1. Reverse engineering. I. Title.
TAl68.5.I64 1994 ...
658.5-dc20 94-18447
CIP
Copyright © 1994 by McGraw-Hill, Inc. AIl rights reserved. Printed in the

Contents
United States ofAmerica. Except as permitted under the United States Copy
right Act of 1976, no part of this publication may be reproduced or distrib
uted in any form or by any means, or stored in a data base or retrieval system,
without the prior written permission of the publisher.
1 2 3 4 5 6 7 8 9 0 DOC/DOC 9 0 9 8 7 6 5 4 Preface ix
Acknowledgments xlii
Ust of Abbreviations xv
ISBN 0-07-031693-7
Introduction 1
The sjxmsuring editorfur lh'ifW wasRoberl w. Hauserman, the editing
superoisur was Caroline Levine, and the production superoisur was Donald F. 1. Basic Concepts in Reverse Engineering 7
Schmidt. It was set in Baskerville by Carol Wooromon Studio, Lexingron,
Massachusetts, in association with Wamn Publishing Services, Bid4efurd, Maine. The Problem 7
What Is Reverse Engineering? 9
Printed and bound by R R Donnelley & Sons Campany, The Reverse Engineering Process 10
Technical Data Development 11
Definitions 11
The Benefits of Reverse Engineering 15
Reverse Engineering as a Quality FWlction 15
Uses of Reverse Engineering 16
Extending Reverse Engineering to Value Engineering 17
Information contained in this work has been obtained by McGraw Value Analysis 19
Hill. Inc., from sources be\j.eved to be reliable, However, neither

McGraw-Hili nor its authors guarantee"'!fie~ ot cortifiH!ieness
'.~ 1'> ~ Value Engineering Practices in the U.S. Government 20
The Risk of Failure 21
of any information published herein. and neither McGraw-Hill nor its

authors shall be responsible for any errors, omissions, or damages The Risk of Success 22
arising out of use of this information. This work is published with the
understanding that McGraw-Hili and its authors are SUpplying infor 25
mation but are not attempting to render engineering Or other profes
2. History of Reverse Engineering
sional services. If such services are required, the assistance of an The Origins of Reverse Engineering 25
appropriate professional should be sought.

Government Efforts in Reverse Engineering 27
v
vi Contents Contents vii
What Reverse Engineering Is Not 29 5. Stage 2: Technical Data Generation 85

Reverse Engineering Versus Concurrent Engineering 30
Reverse Engineering Versus Re-engineering 31 The Importance of Developing Unrestricted Technical Data 88
Difference between Hardware and Software Reverse

Technical Data Generation 90
Engineering 32
Developing Engineering Drawings 92
Legal Issues 33
Dimensional Accuracy 93
Patent Infringement and Theft 33

Engineering Drawing Types and Applications 94
Proprietary and Restricted Data 34

Tolerance Determination 99
Substandard Parts 34
The Substitution Factor 101
Restrictive Contractual Clauses 34

Special Tooling 104
Completion of a Preliminary Technical Data Package 105
• 107
3. Prescreening and Preparation for the Four 6. Stage 3: Design Verification
Stage Process 37 Preliminary Technical Data Package Approval 107
Reverse Engineering Teams 37

Prototype Determination 109
Engineering and Technical Team Requirements 39

Prototype Testing Requirements 112
Communication with System Users 39

Operational Verification to Original Parameters 112
Project Tracking 40
System Testing 113
The Reverse Engineering Database 42

Prototype Re-evaluation 113
Candidate Prescreening 43
Prototype Failure Analysis and RedeSign 113
The Qualities of a Good Candidate 44

Inspection Criteria 114
Data Collection 46 Quality Assurance Criteria 114
Data Evaluation 48
Determination of Samples Necessary 57 The Complete Technical Data Package Review 115
Project Prioritization 58
On to Stage 1 58 7. Stage 4: Project Implementation 117
The Addition of Procurement Requirements to the crop 118
The Delivery of Prototypes 119
4. Stage 1: Evaluation and Verification 59 The Engineering and Economic Report 121
Background Information 122
Reverse Engineering Team Meeting 61 Configuration Control 122
Visual and Dimensional Inspection 63

Summary of Technical Data Development 123
Comparison to Available Data 64

Summary of Major Difficulties Overcome 123
Disassembly and Assembly Procedures 65 Summary of Testing 123
Material Analysis 66 The Economics of Reverse Engineering 124
Operational Testing 67 Final Technical Data Package Approval 127
Discrepancy Review Versus Available Data 67 The Approval Body 127
Available Data Adequacy 67

Why Final Approval Is Necessary 127
Major Discrepancies 68
Final Implementation 128
Failure Analysis 69
Example of Severe Component Failure 69
Failure analysis in Stage 1 Versus Failure Analysis in Stage 3 72

8. Summary of Reverse Engineering 129
Quality Evaluation Report Generation 72
Reverse Engineering Summarized in a Special Project 129
Stage 1 Report Generation 75

Review of the Project as a Successful Reverse Engineering Model 137
Production Cost Estimates 78
Reverse Engineering Project Cost Estimates 80
Risk Assessment 82 9. Future Applications 139
Overall Recommendation 82 A Systems Approach 142
The Go/No-Go Decision 83

Concluding Remarks 143
viii Contents
Appendixes 145
Appendix A. ASME Y14.24M-89, Types and

Applications of Engineering Drawings 147
Appendix B. ASME Y14.34M-89, Parts Usts, Data

Usts, and Index Usts 163
Appendix C. ASME Y14.26M-89, Digital

Representation for Communication of Product
Definition Data . 203
Appendix D. ASME Y14.SM-82, Dimensioning and

Tolerancing 211
Preface
Index 235
I do not believe that reverse engineering is truly anything new although its
origins are vague. In all the research I have done on the subject since 1985
I have found no definitive discussion of where it came from or how it is
conducted. In late 1984-early 1985 there was a single line in the U.S. Gov
ernment Federal Acquisition Regulation that stated reverse· engineering
was to be considered only when it was economically feasible and all other
options had been exhausted as a way to develop technical data. At that time
the objective was to acquire competitively as many hardware parts as possi
ble to combat the embarrassing $400 hammers that had gotten the atten
tion of the public and which, of course, riled Congress. The drive to
develop technical data fueled the need for reverse engineering.
Of the thousands of mechanical and electrical parts to review for poten
tial acquisition through competitive procurement, relatively few were con
sidered candidates for reverse engineering at first. The relative few became
a few hundred-and later a few thousand. This potential pool of projects
drove the need for a reliable method which could determine where to in
vest the economic resources available for this task. The program as origi
nally envisioned had to provide three crucial components: (1) a reliable
screening procedure, (2) accountability of funds, and (3) a return on in
vestment. What follows is a distillation of what was learned in 5 years.
Over 2000 candidates were screened.

Approximately 200 parts passed the screening and were evaluated, and
about 150 projects were inducted.
Ix
x Preface Preface xi
The overall return on investment was 23.8 to 1 for a program budget of to design the perfect widget than to make it an integral part of a system
over $2 million. which functions perfectly day in and day out. There is very little glory to
building a part perfectly, because once it does its job no one pays attention
Since the inception of this limited effort I have found that 90-95 percent to it until it fails. Who cares that the coffee pot worked for 5 years without a
of the literature in circulation today about reverse engineering is aimed to problem? We only notice it the day it does not work. And so it goes with
ward software reverse engineering with the remaining 5 or 10 percent project implementation; for reverse engineering to be successful, a part has
aimed at hardware systems. Much of this 5 to 10 percent is directed at to be implemented in the system it came from to complete the circle. There
pieces of the process, such as dimensional inspection techniques or digitiz will be resistance to putting the reverse engineered part back in the old
ing the data. At most, only stages 2 and 3, technical data generation and system, and many of the topics covered in Chap. 7 will help with this final
design verification, are discussed. Few, if any, documents give guidelines for implementation.
the selection of candidates, data collection, or the economic justification Chapter 8 summarizes the complete process by highlighting a special
for reverse engineering. The purpose of this book, then, is to pull all the project which required much effort in every stage. Chapter g, Future Appli
pieces together. • cations, is ajumping off point for you, the readers, to further what is pre
Chapter 1 introduces the basic concepts including the risk involved sented in this text. The appendixes contain portions of very important
both the risk of failure and the risks inherent in success. Chapter 2 is a drawing specifications. If technical data development is the heart of reverse
short history on the subject based on a very limited amount of available engineering, consistent application of drawing practices and interpretation
information. Hopefully, there will be some readers who can provide more of data are necessary components of success. I cannot stress enough that we
background on reverse engineering. I welcome additional information on all need to be reading from the same sheet of music whether we are collect
the history of the subject, especially the period preceding 1950. The latter ing digitized data, generating the CAD drawing, or machining the actual
part of Chap. 2 deals with legal issues one may encounter in reverse engi part. As we move toward global standards it is particularly important that we
neering; anyone with serious questions should consult a legal professional. find practices that will be interpreted the same whether a part is built in
Chapters 3 and 4 cover the prescreening and stage 1 evaluation and veri Korea, India, or Macon County, Georgia.
fication phases, probably the most intensive and demanding parts of re This text is a guidebook, a reverse engineering how-to guide in specific.
verse engineering, as well as those with the least amount of information It is designed to be straightforward with simple examples. It is meant to be
available about how this part of the process is done. Skipping these steps the basis for delineating an entire process, not just the easy engineering
are the first risks one takes in reverse engineering, and I believe the risk piece of technical data generation. It is meant to be shared, and hopefully
and cost grow exponentially if these stages are not conducted thoroughly. it will get dirty in a shop. We welcome any information which could expand
In any multiorganization reverse engineering program these two areas will our collective knowledge of the subject.
cause the most friction among team members because these stages are so I issue one challenge to the reader. Those with enough technical knowl
time intensive and they require someone to take personal responsibility to edge to upgrade the systems they work on and with are being given a tool in
research an item's design past. This person would likely need to act as a this text which can empower them to improve these systems. If anyone who
resource later in the program should there be any questions about the reads this book can improve one piece of their system (and our work almost
functionality of a part, for example, as in a case when the need for specific always binds us to a system of some sort) with the tools of this book and
design requirements are questioned. chooses not to, they become part of the problem instead of part of the solu
Chapters 5 and 6 discuss technical data generation and design verifica tion. I challenge you to become part of the solution. This work offers to all
tion, which are the heart of reverse engineering. These are also the areas Who read and act on its ideas, part of the solution to staying competitive in
where there is more information than any of the others, most likely because the challenging times we face today and those we are soon to face.
they are the most engineering intensive and thus are the processes most
engineers like best. Data collection and the economic aspects are often not Kathryn A. Ingle
as interesting to design engineers.
Chapter 7 involves project implementation, a much-neglected step in the
overall process. To get a part from the design phase into the operational
system is an aspect of engineering that is often overlooked. It is much easier
....
Acknowledglllents
There are many whom I wish to thank for their support over the years that
this work has evolved.
To Bill Dugan, who as my first supervisor gave me the opportunity to de
velop a program that could accomplish all its aims with a minimum of red
tape.
To the many people at the Oak Ridge facilities of the Department of En
ergy who participated in our early attempts, but especially to John W.
Smith, Joe Arnold, Russ Bragg, and Les Johnson, who forever questioned
every piece of equipment I brought them and every direction I gave them.
This furthered the methods which serve as the rudimentary beginnings of
this book.
To Tony Moore, to whom lowe all my real knowledge (or lack thereof) in
electronics. For many years this man bore with me when I could not tell
alternating from direct current, though I still fear electrocution when plug
ging in appliances.
To the late Tom Wheeler who encouraged my first thoughts on writing
this text and who introduced me to Bob Hauserman, senior editor,
McGraw-Hill, and coached me in my first feeble attempts to complete the
forms McGraw-Hill needed. You were always an inspiration, Tom, and still
are.
To Bob Hauserman who believed in the idea and wonied enough for all
of us. Without your support and understanding this would never have hap
pened; your staffwas tenific even when I was not.
.-----~~--,--,~.
..
xiv Acknowledgments
To the inimitable Rosie Mincey, my graphics designer and friend, without

whose work this book would not appear dearly.
To my mother, who taught me how to write, and my father, whose genes
turned me into an engineer-blessing or curse, you decide.
To my many friends who supported me through the development stages
and listened through the days this book just would not write itself. You are
gold to me.
To my many pets, any typing errors were their doing, but I know they
were only trying to be helpful and loving.
To John, who pushed me in ways I would never have trod otherwise and
whose support helped finish this work. Many thanks and che bella cosa.
And with all my heart to my beloved daughter, Abigael, who listened to
it all and who always wanted me to do whatever I was capable of-and I
always wish the same for her. Thanks for all your love, encouragement, and
sacrifice.
List of Abbreviations
BPR business process re-engineering

CAD/CAM computer-aided design and computer-aided manufacturing
CASE computer-aided software engineering
elM computer-integrated manufacturing
eOTS* complete off-the-shelf (item)
eTOP complete technical data package
00* data development
OE* data enhancement
EMI electromagnetic interference
FAST function analysis system technique
FY fiscal year
Ie in tegrated circuit
Lee life-cycIe cost
Les Iife-cycIe savings
MTBF mean time between failures
POP preliminary data package
POS preliminary drawing set
PTOp preliminary technical data package
"Used in diagra.tllJJ or equations only.
-
xvi Ust of Abbreviations
PV* project verification

QER quality evaluation report
RAM reliability, availability, and maintainability
RE* reverse engineer
ROI return on investment
SIE special inspection equipment
TDP technical data package
TQM total quality management
VE* value engineer
Introduction
In recent times there have been events on a global scale which have
changed forever the way in which companies do business. The markets
companies must compete in have become international. The sources of
supply for manufacturing components have become multinational. Com
puters and networking have added to the ease of communicating with each
other and with the outside world for the exchange of information. Because
of these technological, economic, and political changes in the world at
large, not only have many companies altered their way of doing business
but their organizational infrastructure has changed as well. The organiza
tions we work for no longer have simple (self-contained) departments to
handle single (self-limited) issues but are matrices of skilled workers. No
individual worker, department, or organization exists alone or in a vacuum.
For many companies, what wa'i once a stable production system has been
interrupted. Some of the economic downturns and belt-tightening meas
ures have forced companies to lower their level of capital investment in
equipment to produce goods. Over time, the production equipment in
stalled often differs from the original production-line design. This type of
equipment diversity has more recently led to chaos in the production sys
tems, and this chaos represents the natural progression of entropy in the
universe. Those familiar with the laws of thermodynamics will recall the
theory that the sum total of entropy in the universe is constant and that
systems in order tend toward disorder and vice versa, that systems in disor
der will tend toward order, after a certain point of chaos. So the decline in
a working production system will continue unless intervention in the form
of preventive or corrective measures is taken.
No "for profit" manufacturer can afford to let a production system com
pletely decay and will intermittently intervene to maintain the system at
"Used in diagrams or equations only. SOme fairly efficient and profitable level of production. In some cases this
1
2 Introduction Introduction 3
will require preventive maintenance, which may escalate to troubleshooting trial base of any organization or nation often rests on that organization's or
and corrective maintenance, then to overhaul, and then on to system mod nation's possession of technical information, depth of manufacturing base,
ernization before the thought of replacing the system becomes an eco and gross national product and trade balance. So there exists a need to
nomic necessity. All-out replacement of equipment is a last resort, to be protect the technical data which are already in one's possession and to ex
used only when there is a return on the capital investment. The bottom line pand on the available data required for operation at a maximum level of
for any manufacturer remains return on investment. (A resultant signifi efficiency and productivity.
cant increase in productivity ultimately means there is some long-term eco Now that we have identified a very real need to develop and maintain
nomic gain for the manufacturer.) technical data, how can it be filled? By teaching those who need to know a
With the chances of significant capital investment in new equipment method or technique that can be easily followed to produce a net positive
being placed into further outyears, more systems need to be maintained result for both themselves and their companies. Reverse engineering is one
in their present condition for longer periods of time. There are often gaps such niche technology that can be accessed to fill this need.
in the technical support information needed to maintain a system built The aim of this book is to provide the guidance needed to steer a team of
from older designs using outmoded or outdated techniques or materials, technical professionals through the relatively uncharted waters of reverse
whether in a small company or a large multinational corporation. These engineering. Many decisions will be left up to you, the reader. You are ex
gaps may be effectively filled by reverse engineering, which is one of many so pected to know your equipment better than I do. You will be expected to
lutions to maintaining a system for a longer period of time. While not many extrapolate on the methods suggested to suit your own needs. You will need
manufacturers have considered using reverse engineering in the past, since to tailor the information presented so that it fits the equipment and systems
it was perceived as a form of patent or design infringement, many are now with which you are working.
being forced to look anew at this technique. There are many individual rea This book is intended as a how-to guide to lead you through some exam
sons for this change of heart, but by far the vast majority find that when ples of what to do and, in some cases, what not to do. It will point out some
they have lost suppliers for critical spare parts, reverse engineering may be of the pitfalls which may be overlooked early in the processes and stages. It
the only alternative. The loss of a supply source leaves few choices when a will urge you to think through many aspects of the design process that you
replacement part is not immediately identifiable. If a part has a simple previously had relegated to a back burner in your desire to complete a pro
substitute, then there is no real long-term problem. It is often when a ject. With any luck you will never be able to look at even the simplest pieces
manufacturer is faced with long-term issues that reverse engineering be of equipment, such as the humble telephone, in the same way again. For
comes a viable alternative to having no future parts to maintain a produc every time you have a better idea you will consider all the positive design
tion capability. aspects before condemning an entire product. And for every time you have
Reverse engineering may also surface when a company lacks adequate had a bitter experience with a real lemon you will also roar. The roaring will
technical data to repair its own equipment. Many systems in use today are die down when you realize that you have the power and skill to change this
30 years old or, as is often the case with older pumping or power equip ugly duckling of a design into a graceful swan. This also places you in a
ment, some systems are potentially 50 years old----or even older still. Devel responsible position to enlist the assistance of, request the participation of,
oping and emerging nations are faced with similar problems of design and and empower those who have the capability to change the old into the new.
technical support. Even developed nations sometimes find themselves with With so much change in the winds of our time, if we are not moving for
out the material needed to technically support the equipment; for exam ward, we most surely will be held back.
ple, during the Gulf War in 1990 Kuwait suffered difficulties after bombing Before learning how to implement reverse engineering, one must under
destroyed many technical data storage facilities. Natural disasters, such as stand what it is. A detailed definition can be found in Chap. 1. Generally
earthquakes, fires, and floods, can also cause the loss of critical, irreplace speaking, reverse engineering is a series of four interdependent stages,
able technical data anywhere in the world at any given time. each stage building on the findings of the previous stage preceded by a pre
Today the economic viability of reverse engineering is being reconsid screening process. The whole process progresses linearly with time. It is
ered. The focus on short-term, easily achievable bottom lines as opposed to charted on the flow diagrams which visually illustrate each step of each
long-term investnlents, positive returns on investment over time, and dwin stage.
dling research and development efforts have together formed a continuing Websters Tenth New Collegiate Dictionary defines methodology as a particular
trend which jeopardizes the industrial base of many countries. The indus- procedure for consistent inquiry in a particular field or discipline; thus re
4 Introduction Introduction 5
verse engineering is a methodology. If a technique is a method to accomplish standards [DoD, MILSPEC (U.S. Department of Defense, Military Specifi
a desired aim, then reverse engineering is a technique. If a technolof!J is a cations), etc.] because they are cited so frequently in our everyday work.
scientific method of achieving a practical purpose, then it is also a technol Overall, the use of acronyms has become widespread to those immersed in
ogy. Technique and methodolof!J can be used fairly interchangeably and still be many types of systems. The extensive usage of acronyms can become con
an accurate reflection of the subject matter, but technolof!J is a better de fusing, especially to those not directly involved in work on the system. Al
scription of the prescreen and four-stage processes. though many people use acronyms as a verbal technical shorthand or to
It is a technology in and of itself. There is no other form of data develop demonstrate a technical linguistics fluency, acronyms are often used as a
ment like it. Reverse engineering requires a synthesis of hardware and soft way to exclude those unfamiliar with the system. Engineering and technol
ware, electrical and mechanical, metals and ceramics, and design and ogy, per se, are not just for the privileged few with the "technically correct"
integration of such a variety of subjects that there is nothing else like it. education but must be accessible to all who have inquiring minds. The ac
Value engineering is a special subset ofreverse engineering closer to design tual practice of design engineering is, however, best left in the hands of
upgrade. The differentiation between reverse engineering and its similar those with the requisite background. This statement is not meant to ex
counterparts of re-engineering, concurrent engineering, and software re clude the inventor but to enlist the practitioner of engineering in the proc
verse engineering will be discussed in detail in Chap. 2. ess to ensure the safety of the public, which is the highest objective of
So why is reverse engineering important? It is a form of technology trans engineering.
fer. Technology transfer is a win-win proposition for the possessor of the There are examples to guide you through calculations and real-life exam
technological knowledge and the receiver of the knowledge gained. Shar ples which serve to illustrate; however, there are no exercise problems at
ing technological knowledge is good for the progress of the entire human the conclusion of each chapter. This is because each real-life situation is
race. Information hoarding no longer makes one a leader or expert. In unique and not all factors can be known or extrapolated to other situations.
these days of intense technological development, the cutting edge can be Reality does not match the book in this regard. The book will assume that
maintained for only a short while until a newer development ousts the there is more information available; ideally, all information is available.
leader for attention, importance, and funding. Meanwhile, the company In this regard, students can rejoice; there will be less need for homework.
that can make the best use of the newest developments can maintain the The flip side or tradeoff is that you will have to think harder when ap
industry lead far longer in a practical sense. In my personal opinion, there proaching a sample problem because only certain quantities will be known;
fore, it is more important to share knowledge and develop better methods thus, the answers to the problems will be more complicated. Because there
of utilizing the knowledge than to hoard knowledge for one particular are no answers at the end of this text, you will have to use your best judg
application. ment-kind of like real life, where there are no certainties that your
Whom is this book for? After researching all the areas I was not familiar choices are right. Note, however, that if you begin to get comfortable with
with, I felt that I had read as much "technobabble" as I could stand. 1 am the unknowns and assumptions of daily life, you will probably be well suited
not out to win literary praise for this work. I am attempting to write a how-to to the world of real machines with contrary personalities and many inter
manual which can be used by anyone with the necessary resources, from relationships.
undergraduate engineering students and garage inventors, to line opera Students can use this process after taking a design course or two to un
tors and plant managers, as well as farsighted captains of industry. It is writ derstand what not to do when designing their own universe. Reverse engi
ten by a person with an engineering background for others with similar neering can be used as a design analysis tool by students. A potential
engineering or technical backgrounds. Presumably, it is in a language we all semester assignment to choose a simple gadget with few moving parts and
can understand. reverse engineer it would teach the student to define an assembly/ disas
As few acronyms and abbreviations are used in this text as possible. Mi sembly procedure, and to measure and develop engineering drawings com
nor exceptions are made for the sake of brevity to eliminate the redundant plete with basic test procedures. A final comparison of good and bad design
use of long phrases. Some examples are RE for reverse engineering and ROl features as well as suggestions for value engineering the part would make a
for return on investment, used primarily in diagrams and equations for brev great design project.
ity, and some localized usage of chapter-specific acronyms. Abbreviations The line operators and technicians probably possess more direct and in
are used for industry [ASME, ASNL (American Society of Mechanical Engi timate knowledge about a particular manufacturing line than many of the
neers and American National Standards Institute), etc.] and government Original design engineers. These operators and technicians know exactly
6 Introduction
what it takes to make this baby hum. Given half the chance, they would just
as soon set things right once rather than repair it 100 times. The garage
inventor is the type of person who cannot resist the temptation to tinker
with the equipment already on hand. The inventor is also the kind of per
son who always wants to make whatever it is work better.
The plant manager would prefer some of the discussion sections of the
book to the step-by-step methodology of such topics as selecting candidates,
measuring surfaces. and testing prototypes. The discussions give an over
view of the processes involved and the resources needed to accomplish re
verse engineering projects. This knowledge is critical to making the
1
necessary resources available to the practitioners of reverse engineering.
The plant manager may initiate a reverse engineering program within a
Basic Concepts in
manufacturing plant and may need to be familiar with an overview of all
stages and procedures.
The farsighted captains of industry will need to read both the discussions
Reverse Engineering
and the methodology to apply this technology. These individuals not only
can bring this technology into their own industry but also have the power to
bring their own industry to other parts of their country or to other coun
tries. Their unique overview of an industry can be especially advantageous
for targeting pilot efforts. All truly effective programs must have the The Problem
blessings of the top of the corporate "food chain" but will ultimately be
fully implemented from the lower echelons of the traditional corporate Reverse engineering is essentially the development of the technical data neces
structures. sary for the support of an existing production item developed in retrospect
The focus of this book is on reverse engineering as it applies to manufac as applied to hardware systems. Technical data is critical to the smooth
turing and hardware systems. This is partly because that is the origin of this and continuous operation of any production or manufacturing facility.
author's knowledge of reverse engineering and partly because it applies to Why would technical data development. via reverse engineering, be con
such a variety of mechanical and electrical production systems. The same ducted after products have been produced by existing production lines?
principles can be applied to the service industries and probably to human In many cases sufficient or current technical data is missing, inaccurate,
or outdated. Often unavailable technical data needed to maintain and
services. although this should be done with great care when applied to the
processing of people and not paperwork or blueprints. Extrapolation is a repair equipment was never furnished or purchased. This lack of adequate
measure of your imagination and creative powers. To enable you to adapt design information is a global problem that plagues companies of all
sizes in all countries. It is neither nation-specific nor product-specific. The
the basic processes presented in this work to your own needs is the goal of
this work. aim of reverse engineering is to increase productivity through improved
documentation.
In summary, remember a key concept: Reverse engineering is not a reac
tive tool to use on an old problem but a proactive methodology to a present The follOwing examples illustrate the need for reverse engineering.
challenge. This challenge is to maintain and/or improve today's manufac Example. Forty years ago a production plant purchased Widget 100 as original
turing capabilities efficiently and effectively using yesterday'S machines be equipment from Acme Suppliers and installed it with a lifetime service contract. The
fore tomorrow comes. Original manufacturer of this equipment was Alpha Company, who selected Acme
Suppliers to distribute its wares. Alpha Company has been out of business for the last
20 years. During the first 10 years of this period the Bob Corporation, which bought
out Alpha Company, repaired and maintained former Alpha Company equipment. In
the turbulent 1980s the Bob Corporation was part of not one, but two, leveraged buy
outs, and the present owner of the original equipment design, Capital Crooks Inc.
(CC Inc.), saw this lifetime service agreement as a lOSing proposition.
8 Chapter One Basic Reverse Engineering Concepts 9
You, the production plant manager, still operate the Widget 100 machinery fairly ef
ted, or even necessary before today. "Compliance" and registration issues
fectively; however, now you have neither the technical data to repair it yourself, the
trained technicians who could jury-rig a solution, nor the capital to purchase the new have also generated an increased need to document any methods or equip
Zinger 1000 that CC Inc. is trying to force you to purchase to replace that old Widget ment not examined in detail previously.
100. Both the lack of maintenance data and the pending obsolescence of the existing
equipment illustrate the potential advantage of reverse engineering as a welcome eco
nomic and manufacturing proposition in such a situation. What Is Reverse Engineering?
Example. The Wondrous Doodad Corporation (WOC) has appointed you to lead a Reverse engineering is a four-stage process in the development of technical
team of multidisciplinary engineers to revitalize a doodad manufacturing plant as a data to support the efficient use of capital resources and to increase pro
joint business venture with a leading, newly privatized, Eastern Bloc doodad manufac
turer. Upon initial inspection in the home office, it was quite obvious that this doodad ductivity. The stages, all of which are conducted after a rigorous prescreen
could use some quality improvements. You have 15 years of development experience ing of potential candidates, consist of data evaluation, data generation,
in doodad manufacture, and actually hold an early doodad patent. You lead a crack design verification, and design implementation. This process is typicallyap
team of indusu'ial experts in advanced doodad production. WOC has invested heavily plied for the improvement of production lines or manufacturing capabili
in the "mother of doodad" manufacturing capability for 15 Eastern Bloc countries, ties. Ideally, groupings of parts by system or subsystem produce the best
and their top management wants you to help them revitalize not only their doodad
manufacturing capabilities but also the entire doodad market in these 15 countries so
pool of candidates for reverse engineering.
that the Eastern Bloc version of doodads may become the de facto standard through Accurate data development for long-term maintenance and support of a
out Europe. This is a golden opportunity and all is gleaming, awaiting your magic technical capability is the cornerstone of reverse engineering. This process
touch until ... you learn the depths of corruption propagated by the previous regime provides a level of technical support. Since reverse engineering requires
and the total lack of technical information to either manufacture or repair the exist the investment of capital, reverse engineering projects are carefully pre
ing equipment bought from the Chinese 25 years ago. Your technical staff cannot read
Mandarin Chinese repair manuals. The one old man who kept all the technical secrets
screened to ensure a high probability of success. Those projects which do
for this equipment died last spring. The ISO 9000 registrar is due to visit in 2 months. not meet prescreening criteria are typically not considered, because success
What's one to do? in reverse engineering is generally measured by return on investment. Suc
cess in reverse engineering is also measured by overall effectiveness to both
Example. Here is another scenario that bears mention. In this case the original
"modern" equipment dov.'l1time is excessive in the eyes of the current users or owners.
The existing repair contract works, but the cost to maintain the system is skyrocketing,
and you are now constantly being overcharged for seemingly all too often "faulty"
equipment. You suspect that substandard parts are being substituted during the serv
ice calls but the repair person on site probably knows nothing about the quality of
replacement parts. Maintenance costs are being monitored by headquarters. Profits IradltlQnal Design process Reverse Engineering Design Process
are down for the sixth quarter, and the pricey models coming from this once touted
and honored production facility are now causing heads to roll. You must cut equip Need Product
ment downtime to keep your product viable and profitable, or it's your turn on the
unemployment line.
•
Design Idea
•
Disassembly
These realistic yet exaggerated hypothetical cases exemplify some of sce •

Prototype & Test
•
Measure & Test
narios that can lead to the development of a structured reverse engineering
methodology to develop technical data for manufacturing and/or mainte •
Product
•
Design Recovery
nance purposes. Success in reverse engineering can be achieved in situ
ations where data was never developed previously, such as with many
•
Prototype & Test
obsolete components, or wherever there is the need to maintain costly, la
bor-intensive, or outdated equipment. Increasingly, companies find them
selves with much outdated equipment in inventory (witness the electronics
and computer fields) and with requirements for technical documentation
•
RE Product
from customers or regulating agencies that was never developed, submit- Figure 1-1. Traditional versus reverse engineering design process.
10 Chapter One BasiC Reverse Engineering Concepts 11
long- and short-term objectives, not merely a singular bottom line. Figure Technical Data Development
1.1 illustrates the difference between the traditional design process and the Accurate technical data development is the essence of reverse engineering
reverse engineering process. with accurate data development as the cornerstone. This data can be in the
If forward eng;ineering is the traditional process of moving from high-level form of engineering drawings, equipment specifications, performance
concepts and abstractions to the logical, implementation-independent de characteristics, special tooling, or any other information critical to the on
sign needed in a physical system, then reverse engineering is the design going performance of the manufacturing capability. Background informa
analysis of the system components and their interrelationships within the tion can be found in technical manuals, repair data records, performance
higher-level discrete system. The goal of reverse engineering, then, is in criteria, and other vital information which can augment the engineering
crease manufacturability and improve documentation by uncovering the drawings. Candidate screening requires a thorough investigation of all
underlying design. This design maximization process is a form of value eng;i available information. Since the four reverse engineering stages are inter
neering, which is a subset or by-product of which is component duplication dependent, the accuracy and completeness of data at all stages is crucial, as
with the added value of documentation and ease of future fabrication and decisions based on incomplete or inaccurate data at anyone stage can be
manufacture. Reverse engineering thus is useful in that can be substituted disastrous at any of the subsequent stages. In an era of resource conserva
prior to an expensive overhaul or system modernization and does not have tion it is unconscionable to conduct partial research in any phase of data
the corresponding price tag. development or improvement. One does not develop data which already
How can reverse engineering really help? What are the advantages of us exist.
ing reverse engineering? How does it differ from the tools in my present
engineering tool kit? Do I have to get rid of what I already know? Is this
another management fad? What is reverse engineering?
Definitions
Although reverse engineering ideology and theory have not been exam
ined in detail yet, some specific process elements are introduced and de
fined at this point. Most of these topics will be addressed specifically in later
The Reverse Engineering Process chapters.
According to Websters Tenth Colleg;iate Dictionary, a process is a series of actions Reverse engineering begins with components which have been pre
or gradual progressions conducted to achieve an end. In reverse engineer screened against specific criteria. Components are singular parts, such as a
ing, critical analyses are required at each stage of the process since each bushing or circuit card, or the smallest complete units of systems, such as
stage builds on the results of the previous stages. The desired goal is always valve assemblies or electronic modules. Prescreening takes place prior to
a product or component of higher efficiency or quality for a lower cost. the four-stage process on a "candidate" or potential reverse engineering
The reverse engineering process identifies and strengthens the weak project. Mter receiving a positive prescreen and stage 1 report, a candidate
links in any system. The identification of potential candidates involves tech becomes a reverse engineering project. The induction of many projects
nical research as well as critical analysis. The study of repair data history becomes a reverse engineering program. Figure 1.2 illustrates this linear
and technical drawings must be as thorough as possible to avoid poor can progression.
didate choices and wasted resources, both human and monetary. Improve The reverse engineering project manager or team has on hand all avail
ments to an entire system are reached incrementally starting with the able prescreened technical information in the form of detailed drawings or
poorest performers moving upward to any potential special projects. Suc specifications and failure data and, having reviewed the economics, logis
cess for an entire reverse engineering program is achieved one project at a tics, and technical complexity in stage 1, is now ready to determine the prtr
time through clear thinking, good judgment, and hard work, i.e., sweating ject type. The three project types are
the details. One major project failure can negate the effects of 10 successful
efforts. New documentation support for equipment and improved system • Product verification
maintenance are important by-products of the reverse engineering process.
• Data enhancement
These are not explicit benefits but become a subset of the technical data
package development. • Data development
12 Chapter One BasiC Reverse Engineering Concepts 13
Component cr*"-o
~ Presereen system
Candidate
~ Stage 1 Approved
Project
\ ~I Many Pr~ec~
Stage 1
Evaluation &
VerifICation
Program
Stage 2
Figure 1-2. How parts develop into programs.
Product verification is the simplest form of reverse engineering; data devel

opment is the most engineering-intensive. Sample parts are procured or Stage 3
borrowed from the supply system. Once the samples arrive, the four-stage
Design
process begins: Verification
• Stage 1: evaluation and verification

• Stage 2: technical data generation
• Stage 3: design verification
Design
• Stage 4: project implementation Implementation
Project success, as discussed earlier, will typically be measured by return

on investment. Figure 1.3 provides an overview of the reverse engineering
process.
Figure 1.4 shows an example of a typical reverse engineered circuit-card
assembly.
The original equipment manufacturer model on the upper left of Fig.
1.4 costs $625, while the reverse engineered model on the lower right costs Figure 1-3. Overview of the reverse engineering process.
only $450, representing a unit cost savings of 28 percent. This item cost
approximately $12,000 to reverse engineer and is expected to save almost
$50,000 over a 14-year period. Figure 1.5 illustrates an example of a typical
mechanical reverse engineering project. The tube bundle shown in Fig. 1.5
is the reverse engineered model. While the original part cost $2922. the
Basic Reverse Engineering Concepts 15
reverse engineered part cost $2500, representing a 14 percent unit cost sav
ings. The entire project, including the expense to build and hydrostatically
test the prototype, cost $6556. A calculated life-cycle savings of $52,750 rep
resented a return on investment of 7:1 after the reverse engineering cost
was deducted from the life-cycle savings.
The Benefits of Reverse

Engineering
With a structured methodology in place to develop technical data to support
hardware equipment systems, some tangible and intangible benefits may be
derived from the reverse engineering process. First is the increased ability to
maintain a manufacturing capability at its peak performance rate. This is
due to the improved documentation, developed in stage 2 of the reverse en
gineering process, for logistically unsupported equipment and systems.
Once a system is maintainable, the manufacturability of the end product,
which is the output of the improved system, can be enhanced and improved
on through future value engineering efforts. Overall, these two factors of
Figure 1·4. Example of reverse engin€l!~ng project: circuit-card assembly.
maintainability and improved manufacturability tend to drive the potential
to realize actuallife-cycle savings through the use of the improved product
documentation. Any real (as opposed to estimated or projected) savings can
then be used to increase the profitability of the system, and the potential
profits can be pumped back into system upgrades as newer technology be
comes both available and affordable. In situations where system modern
ization is too costly or capital-intensive, reverse engineering can function as
a stopgap measure to increase system productivity until enough savings
and/or profit become available to conduct full system modernization.
Reverse engineering should not be confused with system modernization,
which involves the technological upgrade of an entire system to eliminate
many portions of a current manufacturing or fabrication capability and re
place these with more sophisticated equipment. System modernization en
compasses many cost-prohibitive choices which capital-poor companies
cannot afford. Reverse engineering can, however, buy enough time in the
market cycle to pool the necessary resources to complete a system overhaul
Or modernization later in the future. Reverse engineering is above all tar
geted at modernizing singular components of a system, not the system as a
Whole, to maintain or increase system productivity.
Reverse Engineering as a
Quality Function
Figure 1-5. Example of reverse enginaring project: tube bundle. Quality in manufacturing is achieved by painstaking attention to detail at
every step of design, preproduction, production, and postproduction. in
14
eluding product enhancements. Because quality is achieved in the reverse manufacturing, can use the reverse engineering process to increase effi
engineering process by enlisting every employee from machine operators ciency and productivity in a postproduction situation with existing systems.
to the highest-ranking corporate officers, all employees can achieve quality
through proficiency in their respective roles in this process.
Reverse engineering employs total quality management (TQM). The princi
ples of TQM are embedded in reverse engineering practice. TQM is an Extending Reverse Engineering
approach to managing work based on the analytical evaluation of work to Value Engineering
processes, and the development of a corporate culture which can support

employees empowered to impact the final quality of a product. As a re Value engineering is an enhancement of the basic reverse engineering
quirement, every component which is reverse engineered will conform to process. Both processes are identical to a point, except that the goal of
current quality assurance procedures for both the drawings and the final value engineering is to build the elusive better mousetrap. The value engi
technical data package, which includes procurement information that has neered product has the original functionality but is either smaller, faster,
quality assurance requirements. Quality is built into a reverse engineered cheaper, easier to use, more effective in operations, or on some level a bet
component, not inspected in at the completion of the final stages. Quality ter component than the original. The new part has added value. This is
assurance requirements range from ISO (International Standards Organi conceivably the desired end result of every reverse engineering project;
zation) 9000 for international corporations to MIL-Q9858 for certain however, this text is designed to delineate the basics of a general reverse
United States military components. Still the ultimate goal in the reverse en engineering process, not the nuances of the value engineering process.
gineering process is continuous product and service improvement. The degree of project variation is so high that it would be almost impossible
Reverse engineering is not done in quality circles but by knowledgeable to write a definitive text for all types and cases of value engineering, and it
teams of competent experts from the shipping department to the sophisti is often difficult to determine exactly when a reverse engineering process
cated polymer coating chemical engineers and by other specialists as yet becomes a value engineering process.
unknown. It requires systems thinking because each component is merely Value engineering is an added value, a significant improvement, a new
one piece of a larger system. Human factors cannot be overlooked. Just-in look. Value engineering can be accomplished by applying newer technolo
time procedures can still be implemented. Concurrent engineering prac gies, materials, or techniques to improve the quality of the part or to cut the
tices can be used throughout the process and embedded into the technical costs of production. Simple design substitutions during reverse engineer
data package. Excellence is still a goal, as reverse engineering involves criti ing do not always constitute value engineering. An example of simple de
cal resource allocation in today's highly competitive marketplace. sign substitution which does not qualifY for value engineering would be to
replace an older type of resistor with a newer one that is listed in electronics
supply catalogs as a valid replacement part for the older resistor. The case
of substituting commonly available punched sheet metal on a strainer for
Uses of Reverse Engineering the older hand-drilled sheet may, on the other hand, constitute a signifi
How will this information be of use to you, the reader? It will lead you on cant cost savings and therefore may qualifY as a value engineering solution.
the step-by-step use of a process that can be tailored to the individual users' Customer feedback has been in vogue for only a decade or so, and many
needs in production-line efficiency, customer service improvement, and older designs have remained unobtrusively in the background of a system,
other areas. It can help the manager allow system users to identifY and im without being questioned or tested for efficiency, while newer technologies
prove system weaknesses. (Those interested in the mechanics of the reverse have surfaced. In value engineering, it is important that the design func
engineering process are referred to Chap. 3.) tionality and capabilities be questioned. This questioning, particularly if
Most of this book is directed toward manufacturing applications. The Customer or user feedback is available, creates lateral and vertical room for
original applications of reverse engineering were oriented to production design improvement, and true value engineering can begin.
systems and will be continued in this vein. Hypothetical manufacturing ex It may be known from the start that the original component must be im
amples will be used because it is easier to visualize the transformation of proved on because duplication of the original design would mean duplicat
raw materials into finished products-particularly the mechanical or elec Ing the unwelcome design flaws as well. Value engineering may not become
trical parts of a whole system-than the service industry process of cus an appropriate or apparent goal until stage 1,2, or 3 or even in some cases
tomer need to customer fulfillment. Most systems, whether human or until stage 4. It is necessary to always be alert to situations where there is no
room for improvement, where the original design will not tolerate even mi
nor changes, as well as areas of potential improvement.
Value engineering, as another methodology, often focuses on improve
ments through cost reduction. Other areas such as customer-perceived
quality and/or performance requirements or increased functionality also
add to the value of the end product. Improvements can also be obtained
through new manufacturing processes and procedures. Value engineering
can be applied not only to hardware systems but also to software, processes,
procedures, organizations, and computer systems. Value engineering is
often applied to substandard products to improve the quality or lower the
cost as added value.
Reverse engineering and value engineering are very similar in nature
and in application to systems; their main distinction lies in the end product.
The goal of reverse engineering is to create a duplicate component, as an
exact one-for-one match, while the value engineering process is taken a
step further. In value engineering the goal is to improve the end product
while duplicating the functionality. The value engineered component may
cost less, weigh less, be smaller in size, and still perform the same function
within the system. It is also possible to value engineer a whole system, but
only specific components would be useful to reverse engineer. Reverse en
gineering a whole system would be uneconomical. In theory, applying value
engineering to a whole system would be most used prior to, and during, the Figure 1-6. Examples of value engineering (top) and reverse engineering (bottom) projects:
ultraviolet test unit.
system design stage, not during postproduction. If an improvement tech
nique were to be applied to an existing postproduction system as a whole, it
would seem expedient to use system modernization, not value or reverse
this value engineered model worked better for testing these sensors than
engineering. (Note: This is confusing only because of the similarities and
the original unit, which had only a pinpoint window of coherent light with
subtleties. We modernize systems; we reverse and value engineer com
which to hit the target sensor at exactly the right spot to accurately test the
ponents.)
sensors, while the handheld model had to be pointed only toward the tar
Figure 1.6 shows an example of a value engineering project. The ultravio
get area.
let test unit as supplied by the original manufacturer was used to test sen
The original unit cost was $558, not including the charger, while the
sors in a gas turbine. This original unit was explosion proof and had a
value engineered unit cost $30, with the ultraviolet lightbulb and all design
magnetic trigger assembly. It had a recharging unit and weighed about 10
changes (including batteries). This produced a 95 percent unit-cost sav
lb. After discussions with the users it was determined that this piece of
ings. The project was estimated at $5000 and actually cost $6880. Still a life
equipment was used only while the gas turbine was shut down to determine
cycle savings of $765,600 was achieved and the return on investment was
whether sensors were operationaL The recharging unit was heavy, costly,
1I0.3:]!
and required constant maintenance as it had to be returned frequently to
the manufacturer for overhauL The unit was replaced with a lighter-weight
handheld flashlight assembly that required AA batteries and less frequent
maintenance. The overall unit weight decreased also. In the replacement
. Value Analysis
unit, the originallightbulb was changed from a fluorescent bulb to a readily Value engineering is often equated with value analysis. Although the meth
available ultraviolet bulb and a I-in section of the protective cover was cut ods vary, the objectives of value engineering and value analysis are similar:
out, permitting the ultraviolet light source to emit lightwaves strong to find the optimal design approach. With value engineering there are usu
enough to trigger the sensors for testing. After system testing, the user felt ally more severe restraints on the variations because the part has to fit back
into the original design, whereas in value analysis the optimum design does receives a percentage of the net life-cycle cost savings. In this manner de
not have to be system-specific. The improvement of a screw thread design sign improvement is encouraged in the supply of goods and services to
does not have to be application-specific in value analysis, whereas in value fixed-price contracts which benefit the contractor, the government, and the
engineering the improved thread design must fit the higher assembly of taxpayers, making it a net benefit for all.
the specific mechanical component
Value engineering evolved from value analysis as an implementation of
value management. Some consider this to be the true predecessor to TQM
and other management optimization techniques. Value analysis is a system
The Risk of Failure
atic method for evaluating several proposed design options. Value analysis Reverse engineering, like any engineering process, is not without risk. It
may suggest new and infinitely better designs. Value in manufacturing is de would be a breach of good practice to not recognize up front that not all
scribed as the ratio of performance or function to cost. With multiple candidates will become projects and not all projects will realize success.
choices for one application there is usually a breakeven point when all fac Since fiscal resources must be allocated for this process to begin, continue,
tors are equalized and one design demonstrates a significant advantage be and succeed, the risk of failure should be addressed. It is perhaps apparent
yond this point. Again, value analysis need not be application-specific and by now that the entire process is fraught with danger and risk. As some cul
therefore is less restrictive in tenns of the design options which can be stud tures are aware, every incidence of danger has corresponding charac
ied. teristics of opportunity. Tremendous success can be snatched from the jaws
The roots of modem value analysis begin with the design optimization of apparent failure.
trends of the 1950s and 1960s. In the 1940s, Larry Miles created a dramatic If 1 in 10 potential system components becomes a prescreened candidate
new problem-solving system called value analysis to optimize the cost and entering the four-stage reverse engineering process, 90 percent of all
efficiency of a product or process. This was improved on by the develop system components remain unchanged after prescreening. Of the pre
ment of the FAST (function analysis system technique) diagram by Charles screened candidates that become reverse engineering projects, over the
Bytheway in 1963 which graphically show the relationships and interrela long tenn these may only realize a 65 to 75 percent overall success rate.
tion of identified functions within a system. Efficient and effective design Perhaps still only 90 percent of these successes will truly become fully inte
production techniques and optimization schemes have been in existence grated into the original manufacturing process. Prescreened candidates
for quite some time. should not be entered into the four stages without a 25:1 projected return
on investment, and special projects with high risks can succeed with returns
of over 200:1. For everyone dollar of U.S. currency (although the peso, the
Value Engineering Practices in the yen, or the mark could be substituted) invested, very real return can be
U.S. Government realized.
The U.S. government often uses value engineering to describe an organ Using an example system oflOO parts, this translates to only 10 parts pass
ized effort to analyze the function of systems, equipment, facilities, and sup ing through the prescreening. Of the 10, only 7 will be inducted into the
plies to achieve the essential functions at the lowest life-cycle cost consistent four-stage reverse engineering process. The three parts not inducted will
with required performance, reliability, quality, and safety, although this either have no real return on investment or a low priority. One, possibly
concept applies equally to commercial organizations. two, will have to be eliminated from the four-stage process for a vdriety of
Value engineering in a government contract is used to upgrade equip reasons explained more fully in Chaps. 3 and 4. Only six part" will actually
ment and systems within certain limits. The Federal Acquisition Regulation be reverse engineered. An average reverse engineered project will cost
(FAR) Part 48 describes the scope of a value engineering change proposal $10,000 to $25,000. If the cost to reverse engineer is assumed to average
as a way to reduce the cost of equipment/systems supplied to the govern $20,000, the six part'> will cost $120,000 to reverse engineer. With an aver
ment, along with the necessary policies and procedures, and contract age return on investment of 25:1 (taken from a study of over 120 parts re
clauses. Solicitation provisions and contract clauses are specified in FAR verse engineered by the U.S. Navy), which for this example will be lowered
Part 52.248-1 and provide the incentive for government contractors to pro to a 20: 1 return on investment, this will equate to a system savings of
vide value engineering services. FAR 52.2448-1 provides a fonnula to calcu $2,400,000 for the $120,000 invested.
late the instant, concurrent, and future contract savings; the contractor This proves the economic viability of reverse engineering when done in
accordance with the guidelines of this text. These possibilities can lead one program can become self-sufficient. Commitment from top management is
back to the question "What is the catch?" The catch is the risk. There is risk necessary because reverse engineering is not about short-term improve
if the data collection is incomplete. There is a catch if the data is not evalu ment, although short-term returns can be used to continue a long-term re
ated with intelligence and technical expertise. There is risk associated with verse engineering program.
poor execution of the four-stage process. There is risk for every deviation It may be worth mentioning now that there is an elite class of reverse
from standard engineering practice, technique, and factors of safety. There engineering project called the "special project" which is a high-dollar, long
is risk that no return will be achieved if the project becomes "un-reverse term project of a series of related items. By grouping these items together,
engineerable" in the middle of stage 3. There is risk that the part will never one can lower much of the costs of data evaluation and development, along
be brought to the new reverse engineered design. There are unforeseen with some of the risk by developing interrelated parts at the same time.
liabilities and legalities with present legal practices which could change to These can achieve returns on investment of 100:1,200:1, or higher. These
morrow given today's dynamic economic and legal climate (particularly in substantial projects cannot form the meat of any reverse engineering pro
economically or politically unstable countries). In many cases there will be gram but can substantially boost the return of the entire effort.
no more risk than continuing to use outmoded technical components or The world we live in is a complicated mix of technology, production,
not meeting production quotas. In short, there is risk in every step of the marketing, and economics. Companies and products no longer can exist in
four-stage process. Lowering the risk of failure means increasing the risk of a vacuum. This has led to global competition for markets and resources.
success. 0tality, efficiency, producibility, and jlffeign competition are terms that evoke a
strong reaction in every manufacturing interest in the world. There are
multitudes of solutions to the myriad of operational problems for every pro
ducer of goods. From corporate philosophies which create the culture of
The Risk of Success the organization to the humblest employee, tools are used to produce por
Often it is wise to invest moderately in a budding reverse engineering pro tions of the finished product. Reverse engineering is a tooL It is not the sole
gram by choosing only the candidates that have the highest possibility of domain of the engineer. It can be used to improve any product line, service,
succeeding for the smallest investment. A minimum goal of a 25 percent or capability within an organization. It is a good business practice. It can be
reduction in the unit cost of the item due to reverse engineering is antici an act of technology transfer, national goodwill, and a simple investment in
pated. This is evidenced in the projected return on investment, which is the future.
carefully monitored from prescreen through stage 4. The return on invest
ment is the ratio of the net savings to the cost to reverse engineer. The net
savings are achieved primarily by decreasing the unit cost. If reverse engi
neering does not decrease the unit cost, then there is nothing to be gained.
If. on the other hand, there is something to be gained. then this fact must
be established. Since most good ideas need to be sold to those who would
fund such ventures, it is helpful to have solid economic data which support
the conclusion that reverse engineering is a valid approach to a systemic
problem. .
Since return on investment may take some time to realize in even the
shortest-term projects, it is wise to allocate enough financial resources to
continue a reverse engineering program before expecting returns to be
available for reinvestment. Reverse engineering projects typically require a
time investment of 1 to 3 years before returns are realized. It takes fiscal
year (FY) X dollars to begin reverse engineering. The project may require 2
FYs to be reviewed, designed, tested, and implemented. This means the
time investment is l<"'Y X + 2, or perhaps +3, for the return on investment. In
a period of 2 to 5 years it is conceivable that a good reverse enI{1]lle4~nnl{
2
History of
Reverse Engineering
The Origins of Reverse

Engineering
It is difficult to pinpoint a specific moment in time when reverse engineer-
ing came into being. It seems more an evolution of ideas. One of the oldest
ideas in engineering is building a better mousetrap, which probably fol-
lowed close on the heels of design in its original state. For every design,
there is a critic, and for every ambitious critic there is, presumably, a better
design. Better designs are due partly to expansion of our collective techno-
logical knowledge and the continuous pursuit of a longer-lasting product.
In all the time I have personally spent doing reverse engineering projects
I have never learned the origins of the term. I suspect that it was around a
long time until it gained credibility as a method to redevelop technical
data. Perhaps it has been around since the dawn of the industrial revolu-
tion, and hopefully it will be around long after the computer revolution
and the ever-increasing pace of technological advances have become a sta-
ple for those who pursue any type of improved design.
As long as people have wanted to understand what makes things work,
there have been those curious enough to tear apart that which is a mystery
to them. To fully understand a design it is important to disassemble the
Original item and then try to put the puzzle back together. During the disas-
sembly stage one hopes to discover the hidden secrets by finding the
mechanism, or mechanisms, that make it work. Whatever it is that makes it
valuable stirs the human imagination which desires to possess its secrets by
seeking and finding the keys to unlock its magic.
25
26 Chapter Two History of Reverse Engineering 27
Preindustrial scientists developed a method to consistently investigate the patented item. The person granted the right of patent has a monopoly
the nature of things. This is now known as the scientific method. Without this over the specific subject matter of the grant for a specified period of time.
scientific method many conclusions to individual investigations were inac- Patents for inventions were first granted in some Italian states in the fif-
curate descriptions of the truth. One such example is the erroneous con- teenth century, and the concept spread through the European states
clusion that the earth was the center of the universe, or that the world throughout the next two centuries. A set of formal and comprehensive pat-
revolves around us. As most 2-year-olds learn, their world enlarges and they ent statutes appeared in the United States in 1790 and in France in 1791.
soon discover that they are not the center of the household. It is a shocking The French statute is important because it explicitly declared that the in-
yet necessary developmental stage in the growth of any human being. Mter ventor had a natural and exclusive right to the invention. The oqjective of
the discovery that the self is not the center, then self-mastery can begin. So the exclusive right was to reward the inventor and thereby stimulate in-
it was with the earliest scientists, who needed to master certain secrets or ventive activities, encourage the disclosure of the subject matter for pub-
unknowns before making things work better. Some time in fairly recent his- lic knowledge, and encourage the production of the item. The inventor
tory reverse engineering became a form of design mastery. Before we can would then be free to manufacture without competition for a certain speci-
improve the designs of the present, we must discover their secrets. fied period of time, thus encouraging others to invest in the enterprise
It seems that industry has been conducting some form of reverse engi- of manufacturing the item. This exclusionary right also served to limit
neering for a long time. If necessity is truly the mother of invention, then competition.
initially this crude form of reverse engineering took the form of necessity as The documentation of a design is critical to the granting of exclusive
people ventured far from the shop of the tradesperson who produced some rights. If a design is documented, it can be protected. This documentation
piece of equipment, and had their equipment fail. If the individual whose has become a form of design control, and wherever there are controls,
equipment failed could not understand the design, it could not be fixed. If there are those who wish to make a profit by controlling the design, to be-
it could not be fixed, it had to be either handed off to someone who could come the sole manufacturer. In essence this is a positive thing. With the
fix it or brought back to a similar craftsperson who could handle the repair. advent of so many new technologies, this has become a barrier in many
In this manner, the possessor of the design knowledge became an impor- cases. When I can purchase a product from only one manufacturer, I am
tant figure. Eventually some of these people had insights into a better way held captive. As long as the price is reasonable and the supply accessible,
to make this equipment. This better way became the standard until some- this is a fair situation. When the price is artificially inflated to produce
one else came along to improve it further. And so designs improved in itera- higher profit than the value of the product plus a percentage of its value,
tions until the art of practical design became a craft in and of itself. the manuiacturer-customer relationship is abused. From the manufac-
Those engaged in design continued to improve their skills by backfitting turer's standpoint it becomes a powerplay, and the customer is at the mercy
older equipment, and after much trial and error the jack of all trades be- of the profiteer. When the source of supply goes out of business, or other-
came an important type of support person to have when adventuring into wise no longer manufactures the product, those who have come to depend
any type of wilderness. Eventually skills crossed over artificial boundaries on this product are left stranded.
(of the kind built into apprenticeship programs) and one design idea could The pace of technological change has increased so rapidly in recent
be implemented in other applications. With the outgrowth of as many tech- years that the manutacturing base of the world is in a state of flux. This flux
nologies as we have today, we now have to study broader subjects to make has put many production facilities out of business, leaving many without
better designs. alternate sources of supply. If the technical data necessary to bridge the gap
What became necessary in the wilderness, or any place where the original left by a needed product from a defunct producer is not filled by the trans-
designer was unavailable, later evolved into forms of copying designs and in fer of the data needed to continue manufacturing the original design or
some cases design theft or patent infringement. With design theft came the replaced quickly by another ingenious design, then a method to regenerate
need to protect original designs which is today the patent. A patent is a the design must be found. Reverse engineering is such a method.
registered, documented, and approved original idea or design. A patent in
general refers to the granting of certain rights by the government of a par-
Government Efforts in Reverse
ticular country. The granting of specified rights is given for the patent ofan Engineering
invention. These rights generally consist in the uexclusive" right to make or
manufacture a patent item for a limited period of time. These rights can be The U.s. government became involved in reverse engineering in the mid-
made for the positive manufacture, or the exclusion ofothers from making, 1980s when the public became aware of cases involving the procurement of
i.
a $400 hammer, a $600 toilet seat, and a $1100 coffee pot. At the same time data was clearly specified in the 6-step process in DAR Supplement 6, but
many pieces of equipment were without a source of supply due to obsoles- the guidance for reverse engineering was lacking. Mter 1985, government
cence. These two problems were highlighted during a review of the federal organizations and contractors were conducting reverse engineering, but
procurement practices for spare parts. The overpricing of spare parts was to there was no clearly defined process to handle a large set of candidates.
be addressed by completing the future purchases of these and other parts From this information vacuum emerged a U.S. Navy activity which en-
through competition. This was mandated by the Defense Acquisition Regu- listed help from a Department of Energy (DoE) national laboratory for
lation (DAR) Supplement 6, dated 1 June 1983, which provided uniform technical assistance. The U.S. Navy and DoE together launched a successful
policies and procedures for the reprocurement ofspare parts. DAR Supple- program which processed over 150 candidates that had an average return
ment 6 was further reinforced by the Competition in Contracting Act on investment of over 25:1, with some special projects that achieved a
(ClCA) of 1984. The Competition in Contracting Act of 1984 stressed the greater than 300: 1 return. Much of this book is based on the experience
importance of competition in the procurement of all goods and services for gained in the time this work was conducted. Because of a severe lack of
government use. DAR Supplement 6 delineated the guidelines for the serv- reference material on the process, there was a great deal of room for crea-
ices to reduce the cost of replenishment parts by evaluating the feasibility of tivity to build a process that did work for all candidates reviewed. Techno-
acquiring part'> by competitive procedures or by removing the constraints logical improvements and unending design questions have driven many of
or barriers to competition. This represented a change from sole-source pro- the improvements of that process to the development of the methodology
curement of spare parts to competitive acquisition. One way to compete the described in this book. There is still room for improvement, and anyone
purchase of spare parts was to share the design information and technical who can further the art of reverse engineering is encouraged to do so.
data needed to manufacture the part in a procurement data package with There are, however, many methodologies which are easily confused with
multiple manufacturers of like capability. The typical procurement data reverse engineering, and there are also some subtle differences which
package contains six parts: should be clarified.
1. Scope
2. Referenced documents What Reverse Engineering
3. Requirements Is Not
4. Quality assurance provisions There are many things that reverse engineering is not. It is not all things to
5. Packaging all people. It is not the manufacturing equivalent to the cure for cancer. It
is not even an overlying process. It is a singular methodology useful to solv-
6. Notes
ing system-specific needs that cannot be fulfilled by ordinary means. If
The current guidance to the defense community is governed by Defense simple component substitutions with alternative commercial off-the-shelf
Federal Acquisition Regulation Sec. 217.720-2, whereby a variety of acquisi- equipment can be utilized, it would be foolish to pursue a reverse engineer-
tion methods are used to achieve competition in the procurement of spare ing solution. Rhetorically speaking, one should ask "Why use Waterford
parts. In referring to reverse engineering, only one notation is found. crystal when Flint'>tones jelly glasses will do?" Reverse engineering does not
have global applications evt;n when applied to an entire system. Only cer-
A'l a last alternative, a design specification may be developed by the Gov- tain qualified, prescreened items will be targeted for reverse engineering. If
ernment through inspection and analysis of the product (Le., reverse the reverse engineering methOdology is applied properly, the entire system
engineering) and used for competitive acquisition. Reverse engineering within which the components operate will benefit.
shall not be used unless significant cost savings can be reasonably dem- There are many fashionable and similar new methodologies such as con-
onstrated and the action is authorized by the Head of the Contracting
Activity. current engineering, re-engineering, or software reverse engineering in use
tOday. To differentiate these other similar processes from hardware reverse
From this need to competitively acquire spare parts and the directives listed engineering, they must first be defined. Value engineering and value analy-
above, the government's role in reverse engineering was developed. The sis are described in the Chap. 1 section on extending reverse engineering
guidance for the process of gathering, reviewing, and obtaining technical to value engineering and will not be reiterated here.
Reverse Engineering Versus 1"tsponse to customer expectations

Concurrent Engineering and embodies
Concurrent engineering includes the successful use of cross-functional teams, team values of cooperation, trust and sharing
in such a manner that
particularly by building a working relationship between design and manu-
decision making proceeds
facturing which can significantly shorten development cycles to produce
with large intervals of parallel working by alllife-cycle perspectives early
higher-quality products with lower manufacturing costs. The emphasis in in the process,
concurrent engineering lies in shortening the time it takes to get from the synchronized by comparatively brief exchanges
design to the production cycle. to produce consensus. 1
Concurrent engineering can be conducted on a reverse engineering pro-
ject by focusing on the manufacturability of the component. This would Many engineers who do reverse engineering do not need to specialize in
essentially produce a component of higher value with lowered manufactur- concurrent engineering, but it would be advantageous, even visionary, if
ing costs and would constitute a form of value engineering. The ease of components considered for reverse engineering were always viewed within
manufacturability is not the direct goal of reverse engineering, but it is a the system in which they operate. Using the principles of concurrent en-
goal in concurrent engineering. ManufacturabiIity could, however, easily be gineering, wherever applicable, would be using sound engineering judg-
embedded in the reverse engineering process. ment, particularly if more than one component of a system were being
To clarify the value and importance of concurrent engineering, a brief evaluated for its potential as a reverse engineering candidate. If an entire
history of concurrent engineering is included. Beginning in the late system or production line were being evaluated for potential reverse engi-
1940s, appropriate analysis methods were needed to improve production neering candidates, it would make even more sense to take the integrated
techniques. Today the focus is toward computerized methods for manufac- approach of concurrent engineering to improve not only the production ca-
turing control, especially automation, robotic interfaces, and computer- pabilities but also the producibility characteristics of the candidate. More in-
integrated manufacturing (CIM). Concurrent engineering applies a sys- formation about the current state of the art in concurrent engineering can
tematic approach to manufacturing along with the future role of people in be found through the Concurrent Engineering Research Center (CERC) at
manufacturing processes. The goal is to develop useful, reliable, and eco- the West Virginia University in Morgantown for readers in the United States
nomical products using a centralized approach reliant on a broad range of or the Concurrent Engineering CIRP in France.
expertise in lieu of the common distributed method wherein an isolated
group of design engineers develops the product design, which is then
Reverse Engineering Versus
handed off to another isolated group of manufacturing engineers left to
Re-engineering
implement manufacturing processes necessary to produce this part. Often
the two groups of engineers are separated by time, function, and geogra- Re-engineering was once basically associated with software and computer
phy. Concurrent engineering sounds reasonable and simple until a large code. Currently it applies to the global view of process redesign and is being
complex system requiring engineering expertise across a broad range of used everywhere from corporate structures and cultures to software. When
specialties is needed to produce a complicated design-say, for example, a applied to infonnation engineering software, it is the process of restructur-
satellite launch system. ing existing code, with no functional changes to the System. Generally a
The classical definition of concurrent engineering is "a systematic ap- software system is converted into another (better) software system ofsimilar
proach to the integrated, concurrent design of products and their related functionality by re-enginec:!ring. Re-engineering is typically considered to
processes, including manufacture and support. This approach is intended be a subset or by-product of software reverse engineering. In infonnation
to cause the developers, from the outset, to consider all elements of the engineering, reverse engineering is applied to enhance the maintainability
product life cycle from conception through disposal, including quality, of a system without the need to redevelop functionality. A task involving
cost, schedule, and user requirements." the restructuring of a system so that changes are transparent to the end
The latest definition places value on the team concept empowered by top user, particularly one which involves no design analysis and optimization
management and follows the format of the poetry of e e cummings. (quite unlike value engineering), would be an example of software re-
engineering.
Concurrent engineering is a systematic approach A new strain of re-engineering called business process re-tmgineering (BPR) ,
to integrated product development that emphasizes although not simple in nature, involves simply the redesign of business
32 Chapter Two Histol)l of Reverse Engineering 33
\...~,-,
processes to achieve improvement'> by the removal or considerable upgrad- reverse engineering concentrates on computer code, hardware reverse en-
of processes, especially prior to automation. It involves taking a long, gineering is concerned with the parts of a manufacturing or production-
hard look at how one does what one does to see if there are redundant or level system. Many good texts detail the steps involved in software reverse
unnecessary (non-value-added) steps, as well as steps which could be com- engineering, but this text will not overlap those topics.
bined. By interacting with associated departments to review a business proc- Mter some investigation it appears that software reverse engineering is a
ess, one can achieve substantial gains in productivity and efficiency by more mature art form than hardware reverse engineering. This can be ac-
taking a systems view of the process. BPR is an admirable application of counted for by the higher rate of change in computer systems, languages,
re-engineering to processes in lieu of the classic software application. It is and applications. Besides the faster growth rate, software systems have had
hoped that the use of reverse engineering can have additional applications much less tradition to contend with than have hardware systems. This faster
by extrapolation to newer uses as re-engineering recently experienced. growth rate has, in turn, spurred the need to redesign existing software sys-
tems.
It is important to note that the line of distinction between hardware and
Difference between Hardware and software has begun to blur. In today's environment many hardware systems
Software Reverse Engineering are controlled by software, and much software is embedded in hardware.
Hardware reverse engineering differs from computer software reverse engi- The two commodities appear to be merging into integrated systems that
neering in many ways. The primary target in software reverse engineering is will become inseparable in the future. This will hopefully increase the use
the computer code, or software, of a computer program or system. Software of reverse engineering as a tool of improvement without renovating the sys-
reoerse engineering concerns the extraction (recovery) of higher-level design tems entirely.
or specitication information from the computer software. The constmction
of software for computers is in many ways similar to the constmction of
hardware, but the design processing hardware has to account for the mate- Legal Issues
rials used, the limitations of these same materials, the conditions under
which the component must operate, the mean time between failure, and Certain legal issues are of concern in reverse engineering pr~jects. Few of
the cost or size restrictions imposed by external factors. In software con- these issues have been fully challenged in either domestic or international
struction, where the material is the language used, the types of applications courts oflaw, and there are some areas in which the laws are changing. This
for which the language is most useful and the operating conditions impose section is not intended as a full discourse on these issues, but only to men-
limitations on the code, the reliability requirement,> may be as stringent as tion that it could be costly to ignore the legal issues that might arise during
the mean time between failure, and the time to complete an operation may a reverse engineering project.
be as restrictive as any cost constraint.
Among the most common reasons for software reverse engineering are
the needs to Patent Infringement and Theft
Patent infringement and design theft are the primary legal concerns in re-
L Understand design more easily. verse engineering. Reverse engineering, in and of itself, is not patent theft.
2. Transform old systems into a current computer-aided software engineer- If a system component pro~osed for reverse engineering is patented in any
ing (CASE) environment. country, then all reverse engineering efforts for that component must be
3. Allow for the management and reuse of existing process and data discontinued. If a portion of a component is patented, its use within the
assembly should continue. Continued use of a patented part is virtually in-
models.
violable. Any illegal infringement on a patent is a criminal offense and is in
4. Change technology and vendor requirement". no way advocated as responsible reverse engineering. A discussion of the
5: Understand the current design sufficiently to allow its redesign. restrictions on a patent can be obtained by contacting the patenting body
in the county where the patent is registered. The rights and restrictions vary
The obvious difference between hardware and software reverse engineer- from country to country, so do not assume that familiarity with general
ing is simply the object~ of the process, not the objectives. While software guidelines is sufficient in all cases.
Reverse engineering is a legal practice in most instances and is not a Foreign licensing agreements may also be involved. There are sometimes
form of design infringement or theft. Any unpatented design can be re- potential health and safety hazards. There are legal statutes involved or
verse engineered, although guidelines for trademarks, tradenames, and other factors which would be unwise to ignore. There are patent and licens-
copyrights are less clear. In many cases unless it is economical to complete ing right~ to observe, also. Reverse engineering is not advocated in cases
the reverse engineering process and then remanufacture a part which is where another's rights or laws are being violated. Your rights stop where
significantly less costly, reverse engineering is impractical and unjustifiable. another's begin. All unethical practices are to be avoided along with explic-
To do a full-scale reverse engineering project is often an expensive proposi- itly illegal actions.
tion. To do reverse engineering in order to steal another's design is neither
ethical nor professional. (Note: Gross overcharging by someone who has
managed to comer the market on the supply of a particular good or service
References
is equally unethical.) Design infringement is not the intent of reverse engi-
neering. Technical design documentation for maintenance and supply sup- 1. K Joseph Cleetus, CERC-TR-RN-92..Q03, Concurrent Engineering Research Cen-
port is the desired end. Reverse engineering is most useful when design ter, West Virginia University, Morgantown, West Virgina.
information is critical to the continuing and efficient operation of equip-
ment or production facilities.
Since much of international law regarding technical design and owner-
ship issues is changing, it is best to consult a corporate attorney specializing
in patent and/or international law if any questions arise during the design
evaluation phase. This is not a small matter which can be postponed until
too many hours of labor have been invested.
Proprietary and Restricted Data

Another potential legal issue can be the use of proprietary or restricted
technical information. Usually restricted data means that you, the reverse
engineer, cannot access or in any way use this information in the reverse
engineering or value engineering process. Again, when these types of infor-
mation arise during the reverse engineering process, they should be ad-
dressed on a case-by-case basis and may require the need for legal counsel.
Substandard Parts
There is another danger in reverse engineering: a substandard part such as
a bolt or fastener made below required quality standards. To reverse engi-
neer, not value engineer, and promulgate the replication of a substandard
part could be disastrous in systems which cannot withstand the large toler-
ances and lack of safety factors common in substandard parts.
Restrictive Contractual Clauses

There may also be restrictive contractual clauses in the procurement ofspe-
cial items which pr~hibit any practices such as reverse engineering. Warran-
ties can be voided by the use of reverse engineered parts in some cases.
3
Prescreening
and Preparation
for the Four-Stage
Process
Reverse Engineering Teams

Reverse engineering is a multidisciplinary collaboration which requires the
talents of many types of engineers, technicians, draftspeople, and shop per-
sonnel. There is the need for estimators and production-manufacturing
workers as well as a wide variety of experts in metallurgy, circuit design, vi-
bration analysis, ceramics, or any other specialty the inducted candidates
require throughout the process.
This multitude of personnel will be needed to form the entire reverse
engineering team; howev~r, only a fraction of these people will form the
Core team. The core team will not change from project to project to main-
tain a consistency in the application of the reverse engineering principles
governing the way projects are handled and will learn with each project,
and this accumulated knowledge will not be lost from project to project.
Multitalented individuals offer a particular advantage in their ability to syn-
thesize the variety of elements needed for the range of reverse engineering
projects that a mature program will review over a period of time. On aver-
age, components of an adequate system should be 80 percent reliable. Of
the remaining 20 percent of components a maximum of half will probably
37
- --_.. _--- ~----~.-~.
Chapter Three Prescreening and Preparation for the Four-Stage Process 39
38
be considered for reverse engineering. Of the 10 percent ineligible for con-

Engineering and Technical Team
Requirements
sideration, most will be rejected for economic reasons. A system with less
than 80 percent reliable components is actually an ideal place to find re- The formation of a small, yet eminently qualified, core reverse engineering
verse engineering candidates. The core team will need to be dedicated to team is best accomplished with a pool of experienced talent drawn from
the tasks that are offered for reverse engineering, while other personnel engineers, draftspeople, metallurgists, and material identification special-
are matrixed to or on loan from their specialty areas. ists as well as lead shop personnel. A lead program engineer typicallyover-
A fairly complex project will require the skills of upwards of 20 people sees the prescreening and also the four stages of the reverse engineering
from across a facility. This team may consist of one or two people involved process. The best-qualified individual to lead the core team is most often a
in prescreening with two others assisting in data collection, a lead engineer, generalist with some background in mechanical, electrical, industrial, proc-
one or two design engineers to define the project and set the direction ess, and/or manufacturing engineering. This person will be the interface
for the project, a financial expert and an assistant to handle database re- between management, approval agents, and the core team, will access shop
quirements such as tracking, a project estimator, a dimensional inspector, a personnel and work with users when additional input is needed, and thus
metallurgist or material identification specialist, a welding engineer, a drafts- should also have excellent communication skills. Specialty engineers are re-
person, a drawing checker, a person who can approve the expenditure of quired on a case-by-case basis depending on the types of components se-
funds to do the prescreening and reverse engineering, shop personnel to lected for reverse engineering. The lead engineer is required to integrate
build and test prototypes, and inspection personnel. With so many skills the information these various contributors produce.
being required it is easy to understand the financial risk of expending Experienced draftspeople are indispensable. Assumptions about toler-
funds if no return on this investment can be identified. By reviewing this list ances, interference fits, performance requirements, or the finer points of
it is also easy to understand why the multitalented individual is such an as- design must be questioned as early into the process as possible. An experi-
set. Note that each person is required to assist for only a percentage of the enced draftsperson can raise these serious questions early in the design re-
project. For example, the lead engineer will be dedicated to the project but view and technical data generation phases. The metallurgists and other
only to oversee the work, not actually do the inspection portion. The finan- specialists with expertise in surface coatings, vibration analysis, welding
cial expert will need to review the charges to this account only on a weekly techniques, and similar areas are invaluable to the projects that require
basis to guarantee the accuracy of the total project cost. The drawings will these skills. Shop personnel are never to be overlooked in this process. Un-
need to be checked only a few times before admission to the next stage less the lead engineer can operate a coordinate measuring machine or nu-
where others take over the project responsibilities. merically controlled tooling single-handedly, it is best to enlist shop support
Members of the prescreen team may, from time to time, cross over to early on. The lead engineer should also be the liaison to the shops to pro-
serve on reverse engineering projects. The prescreen members should not vide a direct interface with these critical support personnel. No reverse en-
also form the core team. This practice is recommended because there is an gineering project can be completed without some shop support. Shop
obligation to review all available technical data during the prescreen. Often support is needed in the disassembly, measurement, test, and inspection
there is technical information with restrictions or limited rights for use. portions of stage 1 and is critical to the prototype testing in stage 3; there-
While this information can be reviewed in the prescreen, it cannot be for- fore, good rapport is essential and early team involvement can avoid later
warded to stage 1 and the core reverse engineering team. If the same per- confusion about the direction and purpose of any given project.
son were to serve on both prescreen and core teams, with the opportunity Just as virtual corporations are formed to meet specific customer needs
to access restricted data and carry that information over to stage 1 and be- which are later dissolved when the need has been fulfilled, virtual project
yond, a conflict of interest might arise. Rather than limit the duties and teams should be formed to address one-of-a-kind reverse engineering pro-
responsibilities of a person with access to the restricted or limited data, it is jects. Each virtual project team is a matrix of talent which focuses on a sin-
easier to avoid the possibility of such conflict by separating the team mem- gular project or related group of projects for a short time and is later
disbanded.
bers' responsibilities.
Personnel will vary for each individual project and each stage during the
process. Core reverse engineering team members will not change from Communication with System Users
stage to stage or pr-oject to project; however, "virtual" (temporary; for dura-
tion of the project only) reverse engineering teams will be needed to work Many design questions arise during the course of a reverse engineering
project. The available data is often insufficient, which leaves room for many
on projects which require specialty skills.
40 Chapter Three Prescreening and Preparation for the Four-Stage Process 41
assumptions, and additional data must be obtained to make as educated a numbers were not assigned. This assigned project reference number will
decision as possible. Developing a good rapport with the system users is cru- correlate to, but should not match, the manufacturer's name and part
cial to the resolution of many thorny design issues and aids in making many number. This project-specific reference number will be needed for all re-
decisions wisely. Reverse engineering can be done in an information vac- ports generated in the reverse engineering process. It is also very useful for
uum; however, a better final product can be obtained with less risk if there the purpose of tracking project costs.
is communication with the system or equipment user. Frequently manufac- To make a reverse engineering program really work for the benefit of the
turability issues can be answered only by the end user. An example might be organization which has chosen to implement reverse engineering, a cost-
a large filter with an original design which has hand-drilled holes in a Y4-in tracking system for each project must be in place. To meet an objective
steel plate which is then formed to the body of the filter. Hand drilling is a means there must be a way to measure it. The most effective measurement
labor intensive and therefore expensive process. Can predrilled circular system for reverse engineering projects is accurate economic predictions
tubing replace the more expensive. original material? Are there hidden versus final project costs. The economics of a project revolve around the
flow-control restrictions which drove the original design? Untapped and return on investment which is equivalent to significant cost savings over
undocumented knowledge usually resides with the system or equipment time. Overall program success can be gauged by the average return on in-
operator. With their knowledge of and input into the use of the part, the vestment for a series of components and their success in increasing the
reverse engineering team can minimize the assumption-based decisions overall reliability of the system. The project cost:savings ratio is the ideal
made and lower the risk of failure. In a case such as this, the user's assis- index. Project costs must be measured from stage 1 through stage 4 to as-
tance would be needed to investigate the original intent behind this design sess the true cost to reverse engineer. The prescreening cost is significant
choice. Perhaps there is a design constraint on the system which drove the but should be considered to be a sunk cost as it is a calculated investment.
original requirement; or perhaps the original manufacturer simply told the For this investment the plant manager will be able to intelligently gauge
shop personnel 20 years ago to Just do it" and the creative machinist did where the true problem components lie, and that is a valuable piece of
the best job with the requirement given and drilled, formed, and welded knowledge, one well worth the prescreening investment.
the final product. It has happened both ways. Hidden system requirements Some people consider the cost invested to accomplish thorough pre-
may not be obvious to the reverse engineering team but may be apparent to screening to be excessive. Often hundreds of candidates must be reviewed
the user. By communicating effectively with each other, the reverse engi- to find only one-tenth of these candidates can be considered for review in
neering team and the system or end user can avoid spending time in unpro- stage 1. Some candidates never pass from stage 1, while others fail to finish
ductive directions searching for technical answers where none exist the full four stages of reverse engineering. In a reverse engineering pro-
gram which failed, over $6 million was invested into the prescreening proc-
ess to review over 11,000 parts. This review netted about a dozen good
Project Tracking candidates before those overseeing the review became frustrated with the
There is a need to track a potential reverse engineering project from its small turnout. This frustration led to poor candidate selection, with an in-
origins as a candidate in the prescreen to its tinal outcome, whether that crease in borderline candidates. One single project alone cost over
means going the four full stages of reverse engineering or terminating any- $500,000, of which $250,000 was a cost overrun on a part, which in the end
where along the course. The most effective way to track items considered would have cost at least twice as much after reverse engineering as it would
for reverse engineering is to assign each item, component, or assembly a have to continue buying from the available source. After much bickering
separate and specific number which can be used as a singular reference as and finger pointing, the program folded, leaving the reverse engineering
the unit progresses through each stage of the entire reverse engineering team over $250,000 in debt. In retrospect this can all be traced back to poor
program. This reference number should not be the manufacturer's part candidate selection, as well as some very poor communication and project
number because many parts have similar numbers. The part numbering oversight. If the cost of selecting good candidates is too high, it will only be
schemes which manufacturers use to identifY individual products vary more expensive to quit while you are behind. Invest in projects wisely, track
widely; therefore, in a large reverse engineering program different parts costs conscientiously. but above all, prescreen candidate selections care-
run the risk of having identical part numbers. In a large reverse engineer- fully.
ing program there may be 6 valves or 10 different circuit cards being evalu- A specific charge account should be established for each project to ac-
ated at any given time. Confusion would quickly set in if individual prqject complish this tracking. The final results and economic viability will rest on
Chapter Three Prescreening and Preparation for the Four-Stage Process 43
42
the differences between projected and actual costs. The ability to measure Candidate Prescreening
the success of each project is paramount to the success of the program. A product-line manager would generally not be considered fortunate to
Since success is measured by the return on investment, a return of 200:1 is have chronic manufacturing process failures ... unless these faulty compo-
very impressive only if the numbers to back up this claim reside in an engi- nents were in the candidate pool for reverse engineering. The larger the
neering or corporate database. pool of potential reverse engineering projects, the better the chance that
reverse engineering can improve productivity. According to this logic, the
worst operational capability in a production facility is the best source of po-
The Reverse Engineering Database tential reverse engineering candidates. What is being examined is an un-
Although a cost-tracking system is not a requirement, particularly if only a derfunctioning system as a whole. Emphasis is on the whole system. It is
few projects are being considered, it is recommended for more extensive wise to always view the component within the realm of the system. In par-
programs with many candidates. This need to track project costs also brings ticular, those items which are lowering the operational productivity or effec-
to light the need for a unified database to track a project from inception tiveness are being targeted for improvement through reverse engineering.
through implementation. Ideally the database should be able to track all Prescreening is the method used to conduct candidate assessment, analysis,
the following characteristics: and selection. Figure 3-1 gives an overview of the prescreening process.
The components in a targeted pool of problem components are known
Item name and all identifying information as candidates. These items have not yet been fully prescreened. A candidate
Economic and logistics data can be either a singular item, part, component, unit, or subassembly and
may contain many smaller parts, but it is either purchased, sold, marketed,
Projected return on investment or otherwise described as a single entity. Referring back to Fig. 1-2, illustrat-
Project type ing how parts develop into programs, a candidate that has not been pre-
screened cannot yet be considered a project. The transition from candidacy
Data prescreened
to project is not made simply by prescreening but also by acceptance into
Data sent to stage 1 stage 1 for full evaluation and verification. With its induction into the four-
Project cost estimates stage process it is then considered to be a project. Candidates can be pre-
Number of samples obtained screened and considered to be poor candidates (ones with a low priority or
small chance for success), in which case they will simply fall into a category
Location tracking for stages 1 through 4 similar to "presidential hopefuls." If the time and money are available, they
Number of prototypes built may be considered at a later date. Prescreening is the part of the reverse
Final unit cost
Final project cost Data Collection
Actual return on investment r-----'
Additional information can be added as necessary to measure and track the
Data Evaluation
--..,
progress of parts through the reverse engineering cycle. Since there is a vast
To
amount of data to be tracked and these data are stored in the form of dates, STAGE
1
costs, and whole numbers, the selection of a program to track the data is
important. The database should be able to track many candidates and their
final fates as well as many types of data. The type of databa'ie selected
~---------...!
should allow for the data to be tailored for reports on progress to manage- I
ment or the customer. A unified database that can handle all the informa-
tion and produce reports is recommended to avoid duplication of
Figure 3·1. Overview of prescreen process.
I
information in many small databases.
l,
:J'
engineering process, which focuses on the selection of those items which

RP1'#
can increase the effectiveness or productivity of the system being reviewed. PRESCREEN RECOMMENDATION SHEET DATE'----
Other Identlfiers:,_ _ _ __
The Qualities of a Good Candidate
The following questions now surface: How are good candidates chosen? Mechanical Electrical Other
What are the selection criteria? A high likelihood of success is needed be-
fore investing time and effort into each project. Remembering that success TECHNICAL DATA AVAILABILITY
Detailed Drawings Rev. On Hand Latest Rev Restrictions?
is measured largely by return on investment, the bottom line cannot be for-
gotten altogether. Reverse engineering still is a business venture and an in-
vestment in the future of a system or production capability. A good
candidate often exhibits a high failure rate, high annual usage, or simply Technical Manuals Performance Specifications
costs too much. It is not so technically complex that the cost to reverse en-
gineer would be prohibitive. The part being reviewed should not be so criti- Summary of Data Inadequacies:
cal to the operation of a system that cata"trophic failure of the component
would cause loss of life or destruction of the operating system. Technical
data availability and adequacy must also be addressed. An exceptional can- ECONOMIC FACTORS LOGISTICS FACTORS
didate has a combination of both economic and logistics factors in its favor.
Unit Cost;.~,--_ _ _ _ __ Annual Usage:.....,--:-:-:-_ _ _ __
Other overriding factors such as lack of supply support, obsolescence, or Target Unit COSt:,_ _ _ _ __ Remaining Service Life:_ _ __
patent rights must be accounted for when deciding on a candidate's viabil- Annual COSt:_ _ _ _ _ _ __ Available A.ssets:._ _ _ _ _ __
Life CYCle COSt:_o-=~---- Life cycle Usage:_ _ _ _ _ __
ity for the full four stages of reverse engineering. For the most part the Pan PopuJation:,_ _ _ _ _ __
Life CYCle Savings(LCS):_ _ __
qualities of a good candidate will be evidenced in the following charac- Projected Cost to RE: _ _ __ Replacement Rate:_ _ _ _ __
teristics (not in order of priority):
Projected Return on Investment:._ _ _ _ __
ROI= LCS • RE Cost
• Economics RE Cost
• Logistics DETERMINATION OF PROJECT TYPE:

Product Verification__ Data Enhancement_ _ Data Development
• Return on investment
• Technical complexity and criticality OVERRIDING FACTORS:
Actual prescreening of the candidates is based on the analysis of paper TECHNICAL COMPLEXITY: (5=COMPLEX : l=SIMPLE)
(projected, estimated) data. The physical part is not used in the prescreen- ENGINEERING JUDGMENT: (5=EXCELLENT : h=POOR)
ing process because simple visual inspection of the part while analysis of the FURTHER RECOMMENDATIONS:
available data is taking place is of little use. Proceed to Stage 1: YES__ NO_ _
Number of Samples Needed:_ _ _ Operational ____ Non-operalional
A typical prescreening recommendation sheet might look like Fig. 3-2.
Other:
Pre screening will begin with the inclusion of all pertinent item identifica-
tion. Candidate assessment begins with data collection followed by data
evaluation, which consists of the analysis of economics factors combined PROJECT PRIORITY:
with the logistics factors. The reviewer'sjudgment is required to determine
the project type and whether any overriding factors are present, the level of
Engineering Staff Signature
relative technical complexity, and overall assessment of the candidate's
chances for success. A further recommendation to proceed to stage 1 re- Figure 3·2. Typical prescreen recommendation sheet.
quires the determination of the number of operational and nonopera-
tional samples necessary. Further recommendations may not be reverse en- Are there multiple drawings for this component?
gineering at all but could involve a search for a commercially comparable Are any of these additional drawings missing?
product or to purchase additional data from the original manufacturer to
Are these drawings complete?
complete the technical data package. Project prioritization can occur at this
point or be assigned after a group of candidates are prescreened. What is the latest revision of each drawing?
The prescreen recommendation sheet is simply a typical recommenda- Is the available drawing the latest revision?
tion sheet and it both can, and should, be altered to suit the needs of a
Is any of the data proprietary, restricted, or patented?
particular organization conducting reverse engineering. The information
shown is the minimum needed to assess the candidate. If additional infor- Is there any additional information available in technical manuals?
mation is needed, simply expand the realm of the prescreen. Only by expe-
rience can iterations of reverse engineering be perfected to address unique Any drawing or technical data that are restricted, such as a proprietary or
limited-rights drawing, can be reviewed in the prescreening stage but can-
needs.
not be used in any <,>f the reverse engineering stages. Restricted data cannot
be passed beyond the prescreen stage. Noting that restricted data exist and
their relative level of completeness is sufficient, but the data must remain
Data CoUection
unavailable for the reverse engineering stages 1 through 4.
Before the prescreen recommendation sheet is completed, all available Generally, extensive data will not be available for a patented part, and
data must be collected. Data collection may be as arduous as any research any patent identification that is available will not be evident until the actual
task, but thorough data collection will have the effect of reducing the over- part is visually inspected. If the part is only one component of an entire
all project cost. Drawings and technical manuals should be included. Usage assembly, reverse engineering can continue using the patented part, but if
and maintenance data is needed along with performance specifications. the entire assembly is patented, prescreening of this part should not con-
Any available operational parameters are helpful while not necessary. tinue and the part should not be reverse engineered.
The summary of data inadequacies serves to highlight in a general sense
Technical Data and Manuals. Useful technical data includes all draw- which pieces of data are missing and the level of completeness of the avail-
ings and technical manuals. Engineering drawings include layout, detail, able data. At this juncture in the reverse engineering process, it should be-
assembly, installation, arrangement, and control drawings and schematics come evident which data are missing and need to be developed.
and wiring diagrams. A complete listing of drawing types can be found in
American Society of Mechanical Engineers (ASME) standard Yl4.24M- Usage and Maintenance Data. Usage data concern the number of parts
1989, Types and Applications ofEngineeringDrawings. (See App. A.) This docu- used on an annual basis for both component failure and routine mainte-
ment covers engineering drawing and related documentation practices and nance. Usage data, which are needed to conduct the prescreen analysis, con-
has been coordinated with both the International Standards Organization sist of unit cost, number of units ordered per year or the number of parts
(ISO) community and the United States Department of Defense (DoD), used per year, the number on hand in the supply system, and the number
which, as major participants in the standards world, are also trying to estab- on back order. The part population is determined by the total number of
lish a common practice and understanding of the various types of engineer- applications of this specific part in both the system being examined and any
ing drawings. The use of standard drawing types and their application will other similar systems throughout the plant.
assist in technical data interpretation to produce a consistent final product. Usage data are similar, but not necessarily equivalent to, failure data.
All applicable detailed and higher-level assembly drawings must be col- Often items are replaced as a part of routine maintenance procedures
lected or identified as available, current, or missing on the prescreen rec- which are meant to avoid equipment failure. Routine replacement does not
ommendation sheet. Parts lists will need to be included. Any technical mean unit failure. A calculated replacement rate should reveal approxi-
manuals defining the operating parameters of the system or higher assem- mately how many units are being used per year. This annual usage includes
bly are also sought. The following questions need to be answered. both failure and maintenance requirements. Maintenance requirements
include both preventive and corrective maintenance.
Are detailed drawings available? Consider a hypothetical situation where 100 units operate (part popula-
Are there any higher-level assembly drawings? tion = 100) and 50 of these are replaced annually; this indicates an abnor-
..i
mally high usage rate of 50 percent. If the failure rate is greater than 10 to reverse engineering, any pricing that is a small lot or panic buy is consid
15 percent of the part population for electrical parts, this is considered to ered to be an inaccurate reflection of the true unit cost. Pricing data for a
be high, and a corresponding failure rate of greater than 5 to 10 percent medium-size buy prior to an urgent need is a truer basis for all reverse engi
for mechanical parts is considered to be high. If the calculated component neering calculations. Calculations based on an inflated price may result in
usage rate seems higher than the average system usage rate (if this number is reverse engineering and success based on a 25 percent decrease in unit
known), this component's viability for reverse engineering candidacy may cost; however, one may find that the original manufacturer is now offering
increase. As an example, if a system functions operationally 95 percent of the same item for 50 percent less than the panic buy price, and all will have
the time and one unit fails 50 percent of the time, that unit's usage rate (of been for naught.
50 percent) is 10 times higher than the average system usage rate (of 5 per target unit cost: The projected cost to obtain the part after reverse engi
cent). neering. The goal here is a 25 percent decrease in the unit price. This is a
minimum goal used only to protect the program from too many project'S
Other Useful Data. Performance specifications are to be included in with slim returns on investment. It contains a margin for error as a form of
this section along with any reliability, availability, and maintainability safety factor to protect the reverse engineering team and the company's
(RAM) data. RAM data includes troubleshooting, test, inspection, repair, best interests. It is not meant to be a rigid guideline,just a rule ofthumb in
overhaul, and calibration data. Procedures for the conduct of any testing, the prescreen process.
inspection, installation, or operations are sought. Mean time between fail
ure (MTBF) may be a form of logistics data, but, since annual usage rates
annual usage: The number of parts used per year for both maintenance
and failure requirements. It should be averaged over as many years worth of
are more important, it is not necessary for logistics calculations and can be
data as can be found. If the usage rates during the first years of system im
introduced as other useful data. Average downtime might be another good
plementation were much lower than current levels, it may be reasonable to
piece of information to have for later calculations in the Engineering and
eliminate very early data. Few parts should be replaced in the early stages of
Economic Summary report produced in stage 4 in the event the average
system implementation, but as the system matures this usage rate should
downtime is improved as an added improvement to the system due to re
normalize. Taking the year of highest usage can also present skewed results
verse engineering. Additional specifications regarding material composi
with respect to later calculations such as return on investment. Ideally, a
tion, quality assurance, testing, or inspection methods should be included
normalized annual usage would be helpful for economic calculations, since
in the prescreen review since they will be necessary for testing any proto
early usage rates will be lower than usage rates experienced toward the end
types built in stage 3 which validates the reverse engineered design.
of the system life c:ycle.
annual cost: The unit price multiplied times the annual usage rate. This
Data Evaluation equals the monetary outlay for the procurement of this component for one
The raw data assembled in the data collection must now be processed in year, preferably one good representative year based on normalized usage,
order to make intelligent decisions concerning the fate of this candidate. not the year of highest usage.
remaining service life: The remaining service life of the operating
Economic and logistics Calculations. Certain necessary calculations are equipment can be determined by approximating the length of time until a
made to assess the value of the numbers collected thus far. The folluwing planned replacement system is to be installed. A 30-year service life for
definitions are useful. Items are defined in the order they appear on the equipment is not uncommon for mechanical systems, and approximately
prescreen sheet. 10 to 15 years is a good estimate for the length of the service life for electri
cal and electronic systems. Most mechanical systems begin to deteriorate
unit cost: The current price for this item. While this may sound self-ex after only about 10 years of operation, while electrical and electronic sys
planatory, unit pricing varies widely according to the quantity purchased tems can begin to deteriorate after only 5 years of operation.
over time. Usually a lower unit price can be achieved for buys (orders)
larger than for smaller orders, which must be expedited to fill an urgent available assets: The total number of parts in inventory at the time these
need. A unit purchased in advance might cost only $300 but might cost prescreen calculations are made. Back-order parts, or those orders already
$800 or more if purchased in a last-minute panic buy. For the purposes of placed but not delivered by the manufacturer or supplier, can also be ac
counted for in available assets since these parts will probably be on hand steps needed to complete the project. The prescreen estimate is necessary
before reverse engineering can be completed or the purchase of which can- to make an initial recommendation. In calculations, this quantity is shown
not be cancelled. as "RE cost" whether it is (1) projected cost to reverse engineer from the
life-cycle usage: The annual usage multiplied by the projected remain- prescreen, (2) estimated cost to reverse engineer for stages 1 through 4
ing service life minus the available assets, including those on back order. from the stage 1 report, or (3) actual cost to reverse engineer calculated in
This represents the total number of parts which must be obtained to main- the final Engineering and Economic Report in stage 4.
tain the system through its lifetime. return on investment (ROI): The ratio of the projected LCS minus the
part population: The total number of parts in the entire system, not projected cost to reverse engineer divided by the projected cost to reverse
merely the singular subsystem being studied for reverse engineering. This engineer. This results in the ratio of the net savings to the reverse engineer-
accounts for all additional applications of this part within the extra producing cost and is the cost-effective measure of reverse engineering an item. It
tion facilities. Since reverse engineering a part may have additional applica- is calculated by subtracting the cost to reverse engineer from the projected
tions in other areas, this total part population will point to other subsystems LCS divided by the cost to reverse engineer.
which could benefit from the reverse engineering process. Return on Investment. Some simple ROI formulas follow.
replacement rate (also failure rate): The ratio of the annual usage di- ROI = LCS - RE cost
vided by the part population times 100 to express it as a percentage. As RE cost
pointed out earlier in this chapter in the section on usage and maintenance
data, this indicator only serves to either add to or detract from this item's or
reverse engineering potential. The replacement rate is part of the engi-
neer's judgment and later becomes embedded in the quality evaluation re- ROI = net savings
port (QER). It serves as an indicator of a reliable component or a source of RE cost
frequent trouble if this component replacement rate exceeds the system Most calculations will be simply expressed as
usage rate. (See page 48.)
life-cycle cost (LeC): Equal to the life-cycle usage multiplied by the unit ROI = LCS - RE cost
cost or the annual cost multiplied by remaining service life if there are no as- RE cost
sets on back order. Either calculation should net the same approximate result. Some simplified hypothetical examples will help to lead you through
life-cycle savings (LCS): Computed by multiplying the LCC by 25 per- many of these calculations.
cent. The 25 percent represents the 25 percent target decrease in unit cost.
This equals the predetermined decrease of the procurement cost, which is Example. The whatzit cost~ $300. The whatzit is part of a system which needs to be
the desired result by reverse engineering. If reverse engineering is to be maintained for only 10 more years. Routinely 500 part~ are used per year. There are
conducted, as a target, 25 percent of LCC should be saved. When the cost 2000 parts on hand with 1000 on back order.
to reverse engineer is subtracted from the LCS, a positive net LCS should The following economic information can be determined. The 2000 parts in stock will
result. The net savings is the true value on which the return on investment maintain the system for 4 years at 500 parts per year. With 1000 on back order there is
will be based. In this manner, there is some very real return on investment 2 more years of supply. This means that 6 of the remaining 10 years worth of repair
despite the risk and the cost to do the actual reverse engineering. LCS is parts are available and only 4 years remain in the life cycle for which there are no
parts.
needed for the return-on-investment calculation.
projected cost to reverse engineer (HE cost): An estimate, best guess, The 4 remaining years will require approximately 2000 parts at a usage rate of 500
parts per year. If there are no shelf-life restrictions, these 2000 parts can now be pur-
often costing many thousands of dollars based loosely on the technical chased for an investment of $600,000 ($300 per part x 2000 parts). A few considera-
complexity of the part and the amount of available data. An estimate will tions are in order before reaching a conclusion to purchase the remaining 4 years of
suffice for a ballpark figure on the prescreen recommendation sheet. A supply now.
guesstimate of 10 to 100 times the unit cost may be used unless better data If $300 per whatzit is considered to be a reasonable cost, it makes good economic
are available through either experience or insight. The stage 1 project cost sense to purchase only 4 years of supply now or later on rather than invest in reverse
estimate will reflect a more accurate cost using a detailed breakdown of the engineering.
If, by reverse engineering, the whatzit unit price can be reduced by 25 percent (the the prescreening but is calculated in stage 4, if those figures can be calcu-
target unit price reduction) to $225 each, then the 2000 remaining parts can be pur-
lated for the Engineering and Economic Summary Report.
chased for $450,000 ($225 x 2000). This would result in a $150,000 LCS over the re-
maining life of the part. LCS can also be calculated by multiplying LCC ($600,000) by If an item is relatively technically complex, the reverse engineering cost
25 percent (0.25), which also accounts for the 25 percent reduction in the unit price. will increase. The increase in project costs due to increasing levels of tech-
$600,000 x 0.25 $150,000. nical complexity is not always linear; in many cases the increase due to tech-
From the $150,000 LCS the cost to reverse engineer would need to be subtracted out. nical complexity is exponential. An increase in the reverse engineering
If the cost to reverse engineer is $30,000 (assume the reverse engineering cost to be costs corresponds to an increase in the risk involved. Essentially, the pre-
100 times the cost of the item) the return on investment can be calculated also: screening process is about managing the amount of risk inherent in the
LCS - RE cost overall program. Figure 3-3 plots the relationship between cost, complexity,
ROJ RE cost and risk schematically. This scheme does not account for all factors neces-
sary for a good potential reverse engineering candidate, but shows a com-
R _ $150,000 - $30,000 _ $120,000 mon and basic set of relationships.
01 - $30,000 - $30,000 4:1
Return on investment is expressed as a ratio. If you recall the guidelines from Chap. 1 Determination of Project Type. The determination of project type is
(section on the risk of failure) that prescreened components should not enter stage 1 part of the prescreening process which accounts for both the type and
without a projected ROI of 25:1, then the reverse engineering of the whatzit with a
projected ROI of 4:1 presents a risk due to the slim margin for return. At this point it
is simply the engineer's and management's judgment calion proceeding further into
stage 1. High.
Example. The whatzit again costs $300 per part. The system has 22 years of remain- No
ing service life. There are only 1000 parts on hand. Annually, 500 parts are replaced RE RE
because of system usage. Is there a significant return on investment sufficient to justify Sometimes or
the potential of reverse engineering the whatzit? ROI
Cost to RE
Using 500 parts per year, there is a 2-year supply available. There are 20 (22 2) years (;; Risk)
left to maintain the system. The 20 years x 500 parts per year =10,000 parts to be sup-
plied over the remaining service life.
COTS RE
LCC 10,000 parts x $300/part = $3,000,000. LCS $3,000,000 x 25 percent (0.25)
or
$750,000. The reverse engineering costs again are estimated to be $30,000. RE
ROJ LCS - RE cost $750,000 - 30,000 $720,000 24:1
RE cost $30,000 $30,000
Low ...
A projected ROI of 24:1 is worth pursuing when the net savings is as large as $720,000.
This leaves plenty of room for error and still points the project to stage 1 for a full and
Low High
complete evaluation of additional factors which cannot be accounted for in the paper Technical
review of the prescreen. Complexity
The GdNo-Go Matrix: A Reverse Engineering Consideration. Economics is

the most common driving factor in the decision to· reverse engineer an
item. This is reflected in the projected return on investment. If a few thou- RE - Reverse Engineering
sand dollars can be invested to solve a nagging operational defect, the de- ROt .. Retum on Investment
crease in the repair costs compounded with a decrease in replacement
COTS - Commercial 011-The-8helf Item
parts costs make reverse engineering a justifiable capital expense. The de-
crease in system maintenance costs by lowering the system downtime using Fiuure 3-3. Go/no-go matrix (RE reverse engineering; ROI
E E return
a more reliable.part, or the decrease in repair costs, is not accounted for in on Investment; COTS - conunercial off-the-sheJf-item).
54 Chapter Three Prescreening and Preparation for the Four-Stage Process, 55
amount of data available. The available data directly influences the cost and suspicions about completeness or verifY hunches that there is more to a
risk factors. Figure 3-4 shows this relationship graphically. Again, this only project than could be determined during the prescreening process of re-
illustrates a basic trend not a full evaluation of all factors. verse engineering. On the surface, it appears that all the available data is
More data, less risk. and lower cost are good signs pointing toward the complete and accurate but current drawing revision levels are unknown or
use of reverse engineering. When the technical data appears complete but material verification must be performed. In product verification usually
there is some doubt as to its usefulness, there is product verification. If only one sample is needed to compare the part to the detailed drawing on
there is some technical data available, the project requires data enhance- hand.
ment. Data enhancement is performed whenever there is any amount of Data Enhancement. The typical reverse engineering project falls into
missing data. If there is no technical data available. the project requires full the data enhancement category. A detailed drawing could contain every di-
data development. mension necessary to manufacture a duplicate part with the exception of
Product Verification. The least expensive and least risky reverse engi- the tolerances, a material specification, or a schematic. Data enhancement
neering project type is product verification. Product verification can resolve might also be needed if there is only an outline drawing or a performance
specification available. Depending on the amount and completeness of the
technical data, this type of project usually requires three to five sample
High parts (both operational and non-operational) to increase the chances for
success during reverse engineering.
Data Development. Data development is the most difficult project type.
To limit the amount of risk, 5 to 10 sample parts will be needed (when they
~
(/)
can be obtained) to accurately develop a technical data package that re--
if
cIS nects the part. Data development can be a simple matter for a simple part.
~ It can become a nightmare when material compositions are not easy to de-
o termine, tolerances have to be guessed at, or the item provides a nasty sur-
prise by possessing an internal cavity filled with an unknown lubricant or a
circuit card which has three extra layers not previously mentioned. As a pre-
cautionary note, both the risk and the cost of this project type are highest.
The return on investment could exceed 500:1, or the failure could cost
Low thousands or even hundreds of thousands of dollars.
PV DE DO (Project Type)
Overriding Factors. Two overriding factors can give a candidate high
priority on the list of potential reverse engineering projects. In either case
Ill- all the usual factors, such as technical complexity and economics, can be
overridden by a higher need to maintain system operations at their current
All Most Some None (Data Availability)
levels if the reverse engineering costs are not exorbitant or the criticality of
the component warrants an "at all costs" attitude.
Obsolescence. Obsolescence is due to a decline in the need for a techni-
cal capability over time to the point where the component is no longer
Project Type ,;;; Technical Complexity available through any supply system. Obsolete components sometimes
PV _ Product Verification make excellent reverse engineering or value engineering candidates. Obso-
lescence may trigger the need to upgrade an entire portion of a manufac-
DE _ Data Enhancement
turing capability, or a small batch of reverse engineered parts may keep a
DO .. Data DlWelopment 40-year-old production facility operational until the company can acquire
Rgure 3-4. Relationship of cost and risk to data availability (PV = project verification; the funds necessary to reinvest in equipment upgrades or system modern-
DE = data enhancement; DD - data development). ization. As mentioned earlier, an obsolete component for an existing sys-
tem is every line manager's nightmare. The show must go on, yet no one this item can have in reverse engineering. It can also be used by upper man-
makes replacement parts any longer. This is a perfect candidate for reverse agement to prioritize which projects are funded first.
engineering. Engineeringjudgment is used throughout the prescreening and the four
Lack of Supply Support. A lack of supply support is closely related to stages of reverse engineering in many situations. It is paramount to keep in
the problem of obsolescence, but it is not quite the same. Original manu- mind that the use of good judgment is an exercise in personal responsibil-
facturers who have gone out of business are nothing new, but the current ity. Many recent catastrophic engineering failures have been traced back
pace of technological progress is changing so rapidly that there is a risk of more to poor judgment than to technical negligence. Exercising your de-
losing suppliers as well as the current sole manufacturer. Often suppliers sign responsibilities is not a luxury; it is a paramount requirement.
are not available because of low demand for a part, and it becomes uneco-
nomical for the supplier to stock this item. It may be even more difficult to
locate an alternate supplier elsewhere in the country or in the world be-
Determination of Samples
Necessary
cause of language differences or trade restrictions. This does not truly indi-
cate obsolescence because it is being manufactured somewhere, but that As discussed in the section on determination of project type, above, project
actual place is indeterminate from where your needs stand. type determination influences the number of samples needed to conduct
reverse engineering. In most cases fully operational sample parts are
Component Criticality. The two overriding factors described above can needed but sometimes these are not available and failed or nonoperational
forward a project into reverse engineering. Only component criticality can parts will have to be used as a baseline. Although non-operational samples
terminate a project despite all other data indicating continued progress. increase the risk of undertaking reverse engineering, they can be useful
The technical complexity of a component is not equivalent to component later in stage 1 for fault isolation or failure analysis. As the number of sam-
criticality. If the component is part of a system, such as a Levell SubSafe on ples increases, so does the variation in the physical dimensions, and wide
submarines, which is designated to be of such high integrity that it should dimensional swings have been noted on parts which have drawings that
not be considered, the potential for gain through reverse engineering specify very strict tolerances. This can lead to the conclusion that indeed no
would be negated. The loss of life or potential for catastrophic failure of the tight tolerance requirements exist and the manufacturer could be buffer-
part within the system may make this part too critical to take the risks inher- ing a bloated profit margin on a necessary replacement part. Another rea-
ent in reverse engineering. To not consider the possibility of an overly criti- son for wide dimensional variation could be that the manufacturer is
cal part in prescreening could mean that the part would be terminated actually buying from multiple suppliers with widely varying quality assur-
further into the reverse engineering process and render futile all work to ance practices or any number of other poor production practices.
improve this part. If a part is essential to the operation of a critical system,
do not under any circumstance reverse engineer this component. A critical Visual ("Eyeball") Inspection. There is an interim phase after the engi-
component should not even be considered a candidate, except under neer has found an excellent candidate and management has funded this
unique conditions determined by end users or management. project when the part has been not only ordered by also delivered. Once
delivered, the part is inspected by the engineer who completed the pre-
Engineering Judgment. The technical complexity and the overall assess- screening. A routine visual (also referred to as "eyeball") inspection will ver-
ment are simply the reviewing engineer's best judgment based on all the ify that the physical (actual) part matches the paper (specified) part. This
available technical, economic, and logistics information. Prescreening is may sound trivial, but a small percentage of parts are incorrectly labeled or
based on an evaluation of the physical data available. Most often this in- stocked. This seemingly trivial logistics problem could actually be the cause
cludes paper drawings, performance specifications, or failure data based on of the high usage rate of the part. The equipment fails, the repair techni-
the number of replacement parts ordered over a period of time or the cian isolates the faulty part, the maintenance department turns in a requisi-
number of hours spent in downtime based on equipment failure. The tion for the specific part number, the purchasing department orders the
physical part is not in hand as yet. Again, it is the paper evaluation based on part now specified by a part number, shipping forwards the requisitioned
the best judgment of the engineer who is responsible for reviewing the part to the repair technician, who cannot repair the equipment because it
documentation and performing the prescreening. One of the last items on is still the wrong part, and the cycle continues.
the prescreening document is the judgment factor on a scale of 1 to 5. Here Anyone who has tried to do home auto repair and gone into an auto
the engineer can express an overall assessment of the probability of success parts store armed with the correct part number, type, and size (plus the
58 Chapter Three
year, make, and model of the car) can attest to the problems encountered
when the original manufacturer of that part has replaced it with a newer
model that has a three-wire hookup instead of the old two-wire configura-
tion, or the manufacturer's catalog shows that no such part exist.. and the
helpful clerk suggests that this alternative part is what always works for the
rest of the entire world. On bringing such a part home it is physically im-
possible to put this new and improved part into the old part's former home.
The same difficulties can occur on a grander scale with major systems. This
makes the seemingly trivial act of a quick eyeball inspection of the part,
preferably by the same person who conducted the paper analysis, necessary
4
to the overall success of a reverse engineering program.
Stage 1:
Project Prioritization
If a group of candidates are prescreened at one time, it is wise to group, or
Evaluation and
rank, them according to the likelihood of success or criticality of need.
The criteria for grouping or ranking are based on the highest needs of the Verification
system being evaluated for reverse engineering. If obsolescence is the
overriding need, then the obsolete items have a higher priority over
those being considered on a cost savings basis. Likewise, if the overriding
goal is cost savings, then those with the highest potential for cost savings The candidate pool has been searched. The components have been ranked
are considered first. Either way, the system needs determine the reasons for by priority. We will begin with the component selected with the highest ex-
prioritization. pected return on investment, the highest likelihood of success, or the high-
The use of simple classification categories is recommended. Three broad est priority. All available technical data has been gathered and evaluated.
categories should suffice, such as high, medium, or low. Other choices Missing data and project type have been identified. Sample parts, both un-
might be obsolescence, cost savings, or simplicity. The simpler the category, used and failed, have been obtained. All the preliminary prescreen work
the better at this point in the evaluation phase. Overcomplicating the rank- has been completed, the groundwork has been laid, the multidisciplinary
ing process is a waste of energy and resources and will not add to the evalu- team will soon be assembled, and the four stages of reverse engineering can
ation process. begin.
Stage 1 is the most demanding part of the reverse engineering process.
More actions must be taken in stage 1 than in any other portion of the re-
On to Stage 1 verse engineering process (although technical data generation, stage 2, or
prototype testing and evaluation, conducted in stage 3, may be more engi-
Let us assume that this candidate has passed a prescreening and still looks neering intensive). Stage 1 requires multidisciplinary teams to work inde-
like a good reverse engineering project, on paper. One final task must be pendently, yet to rely on each other to determine what information is
done before handing the potential project off to the core reverse engineer- essential to continue the process and what ancillary infomlation may be
ing team: assembling all the data, both collected and evaluated, less the re- needed later in stages 2, 3, or 4. Figure 4-1 provides an overview of stage 1.
stricted information, and passing this information on. A copy of the The primary steps in stage 1 are as follows.
prescreen sheet must accompany the technical data. All the unused and
failed samples must be forwarded. In short, make a copy of pertinent infor- • Visual and dimensional inspection
mation and note what date the sample parts, technical data, and prescreen
evaluation is handed off for a stage 1 review. • Discrepancy review versus available data
• Failure analysis
59
Chapter Four Stage 1: Evaluation and Verification 61
60
DATA CO!.Wl'J!ON jected reverse engineering cost estimates. A final go/no-go decision must
be reached by both the project leader and the approval body on the basis of
the available information.
PRESCREEN
Complete records of all tasks completed in stage 1 should be kept in a
project file with the prescreen project reporting number listed on all re-
cords. (See Chap. 3, section on project tracking.) The data collected in
stage 1 are used to generate the QER and the stage 1 report. (See sections
on QER and stage 1 report later in this chapter for a delineation of what
information collected in stage 1 must be included in these reports.) As in
the prescreen, the information is first collected and later evaluated in re-
port format.
Reverse Engineering Team

Meeting
Mter a preliminary study of the part the lead engineer determines which
basic technical specialties, such as drafting, welding, or machining, are
_Ion
PATA E'tALUADQH
1----- ------------ 0.....

needed and then selects the reverse engineering team accordingly. It is par-
ticularly expedient to hold a formal meeting to launch each reverse engi-
neering project. The lead engineer collects all the data and samples in one
sr_
To
2
location and invites the project team members to participate in a collabora-
tive meeting.
Later, in stage 3, the technical data package and testing of prototypes in
an operating system will require the approval of system supervisors, produc-
tion managers, or others responsible for technical data package oversight.
It is good protocol to invite these individuals to the preliminary reverse en-
Figure 4-1. Overview of stage 1 (evaluation and verification). gineering team meeting to assure them that this part will not adversely af-
fect the functioning of "their" system, and later give them some confidence
that their needs have been included. This will help gain their approval and
expedite any testing requirements if their endorsement of the project has
• Quality evaluation report been gained up front.
The preliminary reverse engineering is somewhat similar to an NFL (Na-
• Stage 1 report
tional Football League) team meeting in the locker room prior to the Sun-
• Go/no-go decision day morning kickoff (or the Saturday morning kickoff for you college
The visual and dimensional inspection, discrepancy review versus available football fans). The head coach (lead engineer) lays out the game plan after
data, and failure analysis constitute the data collection portion ofstage 1. The studying all the strengths of the home team (end product of process) and
quality evaluation report, stage 1 report, and go/no-go decision constitute the weaknesses of the other team (the sample parts and data, for example).
The head coach, who will not actually participate in the game, will call the
the data evaluation portion of stage 1.
Stage 1 entails the complete characterization of a part using visual and plays from the sidelines. The goal, of course, is not to score points but to
dimensional inspection, material analysis, and identification. Comparisons make another component that will be at least as effective as the original
to available data must be made. A failure analysis is conducted if failed sam- one. This meeting can serve many purposes, but its primary objective is to
ple parts have been obtained. Then, a quality evaluation report (QER) is set the direction of the game (project) and a tone of cooperation among
generated. A stage 1 report must also be generated complete with the pro- team members. Mter a few projects the head coach (lead engineer) may
62 Chapter four Stage 1: Evaluation and Verification 63
find that only the primary players (who may vary from project to project) of duties between members, these parties can discuss and try to resolve any
need to meet since the ancillary partners (who tend to remain the same) areas of conflict. Overlap may occur when one individual has more than
will already understand their role. one function to fulfill, as, for example, duties of the draftsperson and the
A copy of the prescreen data sheet along with all sample parts should be drawing checker, or of the inspection and test personnel.
forwarded with all the technical data collected and evaluated from the pre- If later in the process one person, say, person A, leaves the project and is
screen research. The only data that should not be forwarded to stage 1 are replaced by person B, another individual oflike background, the lead engi-
proprietary or restricted data. Drawings with limited rights should have neer should not have to coach this newcomer. Person A should be able to
been carefully reviewed during prescreen before being forwarded for inclu- review with person B the details covered in this reverse engineering team
sion in the stage 1 raw data package. Having all this information available at meeting. This can prevent confusion and redundant sets of directions, as
the team meeting is critical in order to make decisions regarding the direc- well as eliminate the need for meeting after meeting after meeting. Unlike
tion this project will take. Missing data in the team meeting can produce football, you do not want to have a huddle after each play.
erroneous results later in the process and may add unnecessary additional
expenses to the project.
Key design features to look for in evaluating any design are a combina- Visual and Dimensional
tion of any of the following:
Inspection
Strength Reliability Wear The visual and dimensional inspections constitute the first task conducted
Corrosion Friction Processing in stage 1. The visual inspection is simply a review of the overall condition of
Utility Cost Safety the part in terms of reproducibility, quality, and its present state of deterio-
ration or wear. (Using appropriate engineering judgment becomes a chal-
Weight Noise Styling
lenge when the failed part is in a state of grave deterioration.) The visual
Shape Flexibility Size inspection conducted in stage 1 is similar to the eyeball inspection in the
Surface finish Control Stiffness prescreen except that the goal of the visual inspection in stage 1 is not to
Lubrication Maintenance Volume determine conformity to the paper data but to assess where to begin the
Stable artwork Specifications Obsolete parts process of reverse engineering. It includes the location of points of refer-
(for electronics) ence for machining, key design elements and materials, and notations on
any special materials, coatings, tolerances, and so on.
Since every component is unique, this is the time to consider all the tasks to The dimensional inspection is a complete and accurate measure of all com-
be accomplished and the design options and pitfalls, to divide up the work ponent dimensions needed to fully characterize the sample part and estab-
needed to complete this project, and, perhaps, to layout a timeline of lish a configuration baseline. The configuration of the part is defined by its
which tasks can be done in parallel and which must be accomplished in size, shape, weight, tolerances, finishes, and other parameters. No wall
series. A'lsigning the tasks needed in each stage of reverse engineering will thickness or internal diameter can be overlooked. The methods ofjoining
optimize the time it takes to complete a project. A discussion of the work- inseparable parts must be inspected. The order of assembly must be dis-
load each team member anticipates can indicate areas which can become cerned so that the sample part(s) can be disassembled without impairing
bottlenecks prior to completion. A full and open discussion of the objec- the intent of the original design.
tives, such as whether this project is a simple product verification or a com- Dimensional inspection is conducted using calipers, micrometers, coor-
plex data development situation, can avoid situations of overkill by one dinate measuring machines, or any other tool of measure. Optical or laser
party in their function. This may be a time to discuss whether value engi- tracking with probes which automatically generate a digitized computer
neering can be considered, but perhaps that can be determined only later model of the design are also very valuable in expediting the data evaluation
in the process. The team leader sets the tone, pace, and direction, and all and generation tasks. Computerized and digitized measurement systems
parties have the option to review their roles, particularly early in a reverse are extremely helpful when components with moving parts are analyzed.
engineering program. An example of this computer-aided design-computer-aided manufacturing
When all the project engineering team members leave the meeting they (CAD/CAM) utility would be during the dimensional analysis of a valve. An
should fully understand their roles and responsibilities. If there is overlap automated computer simulation of the movement of the i~ternal parts is
64 Chapter Four Stage 1: Evaluation and Verification 65
valuable when determining tolerances and clearance fits. Overall, a com- Disassembly and Assembly
puter modeling capability will expedite the collection of measurement data Procedures
and regeneration of the original design. Modeling is also very useful when As the component is being measured it is often being disassembled, al-
upgrades or changes to the design become necessary after prototyping or though additional sample parts should be reserved for a failure analysis.
during value engineering. While disassembling a component, the engineer should prepare a list char-
Tolerance determination is one of the most challenging parts of the acterizing each piece and the order in which the pieces are being disassem-
dimensional inspection. In many cases the mating component(s) is (are) bled. During the disassembly additional design requirements such a<;
not always available at the time of the dimensional inspection. This will be torque values or spring compressions will need to be measured. While dis-
a true source of turmoil for the design engineer who would rather not assembling a component the engineer should always be on guard for future
guess at such things. The original technical data may call for tolerances in producibility or reproducibility improvements.
the VlO,ooOths but there may be dimensional variations in the sample part in Many singular components consist of inseparable assemblies and suba<;-
the range of only one-tenth of an inch or centimeter. It shows no real de- semblies. These inseparable assemblies are componentsjoined by welding,
sign or common sense to have such tight tolerances when the component riveting, epoxy, or any other relatively permanent bonding method. Often
dimensions are so varied. If anyone of the parts sampled is expected to they are not meant to be disassembled without destroying or impairing the
replace the original, and a O.I-in difference is measured on a design fea- function of the original component design, and care should be taken in the
ture, there is no reason to machine the component to a l,1o,oooth tolerance. disassembly of these items. Nondestructive disassembly is useful in deter-
Engineers, with their inherent need for accuracy, find these situations be- mining baseline dimensional characteristics.
yond good reason and have been known to tear their hair out trying to There are many reasons to have multiple sample parts. Newer samples
make a final determination. Good engineering judgment along with user are best used as a benchmark versus older samples. A functioning sample
communication based on component criticality is necessary in this situ- part should be kept intact for operational testing. (See section on opera-
ation. Good guidance for tolerancing can be found in the ASME engineer- tional testing, below.) A poor-quality part might be best used for disassem-
ing drawing standard Yl4.5M-I982, Dimensioning and Tole:rancing. (See bly. Another good reason to have multiple sample parts available for the
App. D.) (This topic is discussed in detail in Chap. 5, section on completion reverse engineering process is that mistakes can be made, even in the most
of preliminary technical data package.) careful disassembly and material analyses procedures. For the sake of this
example let us consider the possibility of differences between a failed part
from the working system and a new part from available supply. The older
failed part may be bonded in one fashion, and a later model just recently
Comparison to AvaHable Data pulled out of stock may utilize a newer bonding method. These differences
After all measurements have been taken, they must be compared to the di- are noteworthy for the final determination of the best bonding method of
mensions shown in the available technical data. All differences between the this component/assembly, and will impact the disassembly procedures.
stated parameters and the actual dimensions must be noted and recorded. In most cases, disa'lsembly procedures are not available and must be con-
Later in stage 1, after other additional data collection has taken place, these structed from scratch. At best, a proprietary a<;sembly procedure may be
differences are evaluated for significance. available in the factory vault of the original manufacturer. Without this in-
If there is no technical data, as in data development project types, there formation great care must be paid while disassembling the sample parts.
can be no comparison to available data. Referring back to Chap. 3 (section reason for this is twofold. The most obvious reason is the need for a
on determination of samples necessary) for a determination of the number method to reassemble the component. The reverse disassembly procedure
of samples for data development projects, the study of multiple sample can be reconstituted to build an assembly procedure. The less obvious rea-
parts is needed for the most accurate results to be achieved through reverse son is to develop technical information that heretofore did not exist-for
engineering. The lack of technical data from which to make comparisons posterity, a~ it were.
must also be recorded a<; noteworthy. In the case of full data development The disassembly/assembly procedure can also provide the reverse engi-
the only comparison which can be made is to list the measurement discrep- neer some insight into the rationale for the original design. This is no small
ancies between sample parts. These deviations have significance when sum- amount of information if a future attempt at value engineering is to be
marized for the QER. made. Knowledge of the hows and whys of a part's design allows the engi-
..
neer to make quantum leaps in thought when seriously contemplating case wherein the team capabilities tailor the types of projects that the re-
value engineering. If a sheet of metal has hand-drilled holes, it may be be- verse engineering program can accommodate.
cause stamped sheet was not available. (Many true-life designs, particularly
mechanical designs, are this old.) If the design flow criteria of the original
equipment are not jeopardized, the substitution of stamped sheet in the Operational Testing
new component may be a viable functional replacement, resulting in the If operating samples are available that involve moving components and un-
quick resolution of a potentially expensive reverse engineered design. used samples from supply are also available, then operational testing
should be conducted for comparison to any known operating parameters.
When there are no moving parts, or the project type is simple product (de-
sign) verification, operational testing either may not, or cannot, be con-
Material Analysis
ducted. Operational testing is conducted to establish the baseline operating
With the completion of the disassembly and measurement of all dimen- parameters for a component. In the case of a valve, testing may be done to
sions, the next step is the material analysis and identification. Material must determine whether a valve is built for high temperatures or pressures. Cy-
be analyzed before it can be identified. With the emergence of many of clic speeds, frequencies, transmission rates, or any other pertinent opera-
today's composites there can be many variations between the assumed ma- tional characteristics of the component should be either determined or
terial and the actual material. The act of identifying the exact chemical verified against any design specifications which delineate these conditions.
composition of these newer materials has become a specialty in reverse en- The materials found during material identification should meet or exceed
gineering. Material identification could be as simple as a metallurgical the operating parameters. Failure to either meet or exceed any known op-
analysis of a standard steel or as detailed as the identification of a polymer erating conditions could warrant a redesign, particularly ifsafety conditions
coating or superalloy. Any variations between the material specified and the are not met or are outdated.
material identified should be noted. In some cases the material selected for Safety factors are not always a matter ofjudgment. They can often be a
the original design does not perform adequately for the component appli- matter of legal codes and standards. If during the reverse engineering proc-
cation (e.g., the material selected cannot withstand the high temperatures ess as a whole, and stage 1 in particular, a safety or code violation has been
the unit experiences in operation). found, there may be legal implications. In most cases the reverse engineer-
Material samples can be difficult to obtain for analysis if the sample part ing focus should then be shifted to value engineering and meeting today's
cannot be destructively tested. Choosing the location where sufficient mate- safety criteria.
rial can be taken for complete and accurate material identification of the
part requires an understanding of the function of the part. This is to avoid
structural damage to the part in the process of sampling. Expertise in mate- Discrepancy Review Versus
rials science requires knowledge of metals, alloys, surface finishes, coatings, Available Data
polymers, ceramics, or composites of any multitude of materials. Material
The available data is reviewed for completeness while the data adequacy is
analysis and identification are also important in the construction of a bill of
detailed. The goal is to assure that any data developed in stages 2 through 4
materials, whether the part is mechanical or electrical. In electronic and
target these inadequacies and discrepancies. Inadequacies are missing data
electrically engineered components many parts used in the original assem-
While discrepancies are conflicts between similar data points on a compo-
bly are no longer available and the process of identifying a suitable alterna-
nent. The available data forwarded from the prescreen to stage 1 are ex-
tive may pose problems when compiling a list of materials. Substitution of
pected to be complete, although there will be cases where a search for
parts and materials is addressed in detail in Chap. 5.
specific additional infoflIlation is warranted, such as the case of an over-
Material composition is one of the limiting factors considered in the looked test specification.
technical complexity evaluation during candidate prescreening. If a reverse
engineering team knows that it does not have ceramic identification skills
and cannot access or contract out to obtain them, then the chances for suc- Available Data Adequacy
cess in reverse engineering are low and the technical complexity is high, The technical data forwarded from the prescreen seldom include all the
resulting in a critical overriding factor to success. This is an example of a information needed to remanufacture this part. Most cases of reverse engi-
io,
I!
~
f Chapter Four Stage 1: Evaluation and Verification 69
68
neering are some form of data enhancement and are therefore missing good argument for including concurrent engineering practices in reverse
some data. Recall from Chap. 3 that a product verification project type es- engineering.) One can never truly know the root cause for design discrep-
sentially means that almost all the technical data is complete. If there is ancies. but probable causes may point toward a direction for improving this
some doubt in the mind of the prescreen team that the part can be made design. Discussions with the end user or the original manufacturer (when
with the data on hand, then some form of verification is needed before the possible) can also provide insight into any data discrepancies.
part can be remanufactured. In the case of data development, literally no Significant differences will be noted on the QER, and a summary of ma-
technical data are available. These cases are both extremes, with the vast jor discrepancies will be noted on the stage 1 report. These reports will be
majority of projects faIling into the category of data enhancement. Thus, discussed in detail later in this chapter.
the available data must be reviewed for both adequacy and completeness.
Any missing technical data should have been at least briefly discerned from
the prescreen and must be further augmented here in stage 1. Failure Analysis
It is easy to state that all detailed drawings need to be developed during
reverse engineering when only an assembly drawing is provided from the Not all reverse engineering projects will require a failure analysis. If failed
prescreen. It becomes increasingly difficult to pinpoint what data is missing parts are forwarded from the prescreen, then it may be necessary to con-
when a wealth of data is provided from the prescreen. Still, an attempt to duct a failure analysis. If few sample parts are available, then conducting an
identify what information is lacking should be made at this point in stage 1. analysis to discern the major failure mode may be difficult. Consistent intol-
When this is completed, the data missing is known and can then be tar- erable component failure under normal operating conditions is a good
reason to conduct failure analysis. The failure analysis generally requires
geted for development in stage 2.
study of numerous samples for correct identification of the major failure
mode(s). Once the failure mode(s) is (are) identified, it (they) may be-
come the basis for recommending design changes. Design alterations may
Major Discrepandes or may not be tolerated by the user or lead organization and may require
In the section, Comparison to Available Data (above), available data were approval. If approved, this analysis may be used as the basis for value engi-
compared to the actual sample part(s) during the dimensional inspection. neering in stage 2.
All discrepancies to the actual component dimensions were listed. These
discrepancies fall into many categories. Some are variations between sam-
Example of Severe Component
ple parts. Some are variations from the sample parts to the drawing dimen-
Failure
sions. Some are material variations or substitutions. In other cases there are
wide differences between what is shown on an engineering drawing and There is the case of the binocular pedestal which was introduced to the
what is found on the actual part. Quantifying the importance of these dis- reverse engineering program because of its consistent intolerable failure.
crepancies is necessary to understand potential design flaws or simple Figure 4-2 shows the original binocular pedestal consisting of cylindrical
manufacturing differences. The reasons for any differences are many. De- tubing and welded on fin stabilizers.
termining whether the difference is major or minor is another judgment The original design was to meet a vibration specification of 50 Hz (cycles
call. Significant discrepancies should be evaluated in the failure analysis per second). The original tubing consistently failed around 38 Hz. The
(see next section), which follows next in stage 1. original manufacturer knew of the design's inability to meet specifications
These differences can be attributed to any number of factors. The origi- and in an attempt to improve the strength of the tubing, inserted a shrink-
nal component may have been poorly machined, which may be the cause of fit tube inside the inner diameter of the original tubing. This improved the
high failure rates. The equipment used to produce the original part may be stiffness of the tube somewhat; failure now occurred at 44 Hz, but this was
outdated and incapable of producing high-quality parts. Design changes not good enough for field conditions. And so it came to the reverse engi-
may have occurred since the latest revision date on the available technical neering program, flawed to perfection.
data. These design changes may have been instituted without the customer With the failure data in hand, and photographs of other failed binocular
or end user's knowledge. Poor documentation quality control or simply a pedestals, it was determined that the original tube could not withstand the
drafting error may be the reason. (These and other possibilities provide a vibrations because the need to stabilize the structure reqUired that fins be
welded on, which caused heat stress in the area surrounding the weld and
served to weaken the immediate area near the weld rather than strengthen
the entire part.
The entire cylindrical tubing was replaced by I-in-thick square tubing
which provided the structural support and eliminated the need for the fin
stabilizers altogether. The square tubing could be welded on to an identical
baseplate without disturbing the structure of the entire unit. The square
tubing then passed the 50-Hz vibration testing with flying colors (actually
exceeding 70 Hz with no failure). Figure 4-3 shows the new reverse engi-
neered design with the square tubing on the test stand.
The original binocular pedestal had a unit cost of $910, while the reverse
engineered design cost $500, representing a 45 percent unit-cost savings.
The entire project, including failure analysis and prototype testing, was esti-
mated at $42,000 and actually cost $42,328. The life-cycle savings (LCS) was
estimated to be $126,280. Although the return on investment (ROI) was
only 2:1, the design upgrade eliminated the chronic system failures experi-
enced in the field in the past.
Performance criteria and testing data from failed parts should be re-
Binocular Pedestal
Figure 4-2. Original binocular pedestal design.

Figure 4-3. Reverse engineered binocular pedestal.
72
viewed and discussed prior to any analysis. Care must be taken when evalu- as viewed by the team. There are instances where the original part is liter-
ating any failure data supplied. Consistent intolerable component failure is ally a piece of junk. Often poor workmanship is evident in all phases of
an obvious source of failure statistics. However, failure data or statistics are manufacture and assembly. If, on the other hand, the original part is of
not always a true reflection of failed components. This data may include high quality, it is less likely that reverse engineering would yield a higher-
replacement of annual usage data. Often included in failure statistics are quality part. There are also cases where a part that appeared to be over-
components used during routine maintenance procedures, which are thus priced in the prescreen evaluation may indeed be a part worthy of it'! value.
more correctly characterized as replacement parts. (This is the reasoning be- If a high-quality part is a candidate for reverse engineering, economics
hind the use of the phrase replacement rote in lieu of failure rote on the pre- should be an overriding factor. It is important to note here that there are
screen sheet.) An example illustrating the value of this differentiation many contradictory, but true-ta-life, elements in reverse engineering. None
might be parts which are scrapped during periodic overhauls of rotating are quite so interesting as the overpriced, low-quality part.
machinery or turbines where replacement of certain critical part.. occur How does one determine whether a component is a quality part? To de-
during every overhaul. If 15 overhauls are scheduled in one year, then it termine "quality" in this case, the following example questions may need to
makes sense to replace specific belts which tend to wear and can cause be answered:
enormous amounts of maintenance inconvenience if they are not replaced
until they fail. This periodic replacement of this type of component has a • Does this part exhibit good construction?
tendency to artificially inflate annual usage and true failure data, • Does this part match the available data? How closely?
• Are any inappropriate parts evident?
Failure Analysis in Stage 1 • Are the tolerances befitting the function of the part within the system
Versus Failure Analysis in Stage 3 which it operates?
Another failure analysis takes place in stage 3 (design verification). Failure
• Does it do its job well?
analyses in stages 1 and 3 are conducted in the same manner, but that in
stage 3 is conducted only on prototypes built in accordance with the techni- • Would I purchase this part for this application if the decision were mine
cal data generated in stage 2 when these prototypes fail to meet quality and to make?
performance criteria. The failure analysis in stage 1 is conducted on failed
sample part" forwarded from prescreening. Let us now review in detail the elements of the QER. Additional element..
Up to the conclusion of the failure analysis, the reverse engineering team can be added or tailored to suit company- or department-specific needs
meeting, visual and dimensional inspections, discrepancy review, and other from those which appear on this example QER. Figure 4-4 is an example of
steps have been a continuation of the data collection begun in the pre- a typical QER. The project tracking reference number assigned in the pre-
screen. The prescreen data collection was conducted on paper data, while screen should appear in the upper right-hand comer along with the cur-
the stage 1 data collection is conducted on the physical part in conjunction rent date. This information is followed by the item identification data.
with the paper data. With the completion of the failure analysis, if required, Accurate documentation of the reverse engineering project candidate
the data collection phase of stage 1 is complete. Data evaluation on both begins with item identification. This is simply the manufacturer's assigned
the physical and paper data now begins. part number (PIN), the manufacturer's preferred nomenclature (item
name) for the part, and the name of the actual manufacturer, not the sup-
plier. Often it would be preferable to call a part by it" original name, but it
Quality Evaluation Report is recommended that.. the manufacturer's nomenclature be used for the
Generation item name on all report'!, Take, for example, a lag bolt the original manu-
facturer refused to call anything but a "special screw," which, of course,
The generation of a QER is a valuable product of stage 1. It is a quantitative
and subjective evaluation of the assembly, machining, casting, materials, or makes it easier to charge 10 times more for the "special screw" than the lag
bolt.
other functional characteristics of the component. Its purpose is to make a
Section II of the QER (see Fig. 4-4) is a quantification of the data avail-
quality assessment of both the part and the technical data available. It is a
ability and discrepancies reviewed earlier. All the information collected
review of the overall quality of a component after it has been disassembled,
L,
should be expressed coherently to complete the information requested on

REVERSE ENGINEERING PROGRAM RPT#_ _ __
QUALITY EVALUATION REPORT DATE_ _ __ the QER. The listing of data inadequacies shown on this example QER is
for mechanical parts and should be modified as needed for electronic
I. ITEM IDENTIFICATION parts.
PIN:...,.,.._ _ _ _ _ __
Item Name: _ _ _ _ _ __ Mfgr:_ __ Section III requests a summary of the failure analysis if one was con-
ducted. If a failure analysis was not conducted, a line explaining the reason-
IL DATA AVAILABILITY/DISCREPANCY REVIEW
Component__ Assembly_ _ ing for not conducting this is helpful. Section N requests the identification
List All Available Drawings Latest Rev. Rev. On Hand of the project type. Note whether the project type determined in stage 1 has
changed since the prescreen.
The overall quality evaluation of section V should recapitulate all that the
reverse engineering team has learned to date about the flaws in this other-
T~hnical Manual Data? wise perfect component. This is a subjective assessment, and a high-quality
Performance Specifications?
part in construction, manufacture, and function should be praised as such.
Likewise, noting its fatal flaws is a responsibility of the stage 1 reviewing
List Of Data Inadequacies: team members.
Mechanical Electrical
Dimensions: Schematics: The recommendations requested in section VI can be as simple as "con-
Tolerances: Component Specs: tinue" if all is going as it was anticipated from the prescreen recommenda-
Finishes: Stable Artwork:
Materials: Operating Parameters: tions or as complex as requesting that this part be value-engineered to
Interfaces: Test Procedures: upgrade its design faults. Remember that a final decision to forward this
Other: Other:
project to stage 2 is not made on the basis of the QER recommendations
SUMMARY OF DISCREPANCIES: but on the full economic, logistics, and quality review with overriding fac-
tors shown on the stage 1 report. The final determination to continue is
MAJOR DISCREPANCIES: usually made by others with financial responsibilities to the company or de-
partment in which you are employed.
III. FAILURE ANALYSIS SUMMARY (IF CONDUCTED):

Stage 1 Report Generation
IV. PROJECT TYPE DETERMINATION:
Product Veriflcation__ Data Enhancement_ _ Data Development_ _ Hand in hand with the generation of a QER is the generation of a stage 1
report, which includes key economic and logistics factors not considered
V. OVERALL QUALITY EVALUATION:
while the data is being evaluated in a stand-alone mode. Some of the infor-
mation needed for the report can be completed while others are reviewing
and evaluating technical data. This report must not be concluded until all
VI. RECOMMENDATIONS: other steps in stage 1 are completed.
This stage 1 report is the only document that the program decision mak-
ers will probably use to make a go/no-go decision. The purpose of this
ENGINEERING STAFF SIGNATURES: separate report is to s,!mmarize all that is known about this singular item to
date. An example of an older-style stage 1 report is shown in Fig. 4-5. This
document, too, can be tailored to suit program-specific needs by adding or
Fagure 4·4. Sample quality evaluation report. deleting report elements.
Figure 4-6 shows a sample completed stage 1 report from a program in
existence in 1988. Note how it differs from the example in Fig. 4-5. This is
due to the tailoring described above.
L __. __
REVERSE ENGINEERING PROORAM RYT#_ _ _

STAGE 1 REPORT DATE REVERSE ENGINEERING PfIQ::;RAM RPI';i RE-A66
SI7IGE I RER:lRI'
fIEM IDENTIFICATION D1ITE: 12-07-88
PIN:
Item Name: Mfgr 1- NSN 2. NCMENCIA'IURE
1H 4370-00-766-8010 ~SHAFT
II. DATA AVAILABILITYIDISCREPANCY REVIEW: (Summary from QER)
Component:__ Assembly:_ _ 3. cnsT ES'l':ml\TE $ 3j1::i0 m
STI\GE I
Critiea1 Technieal Dalll: (Indudes Drawinp and Revision Level, Technical Manual and Performance (RE.VEPSE ENGINEERING)
Specifications) $ ::!QQ!.l SI7IGE II
$ l!Z50 'rol!AL
4. SUM.'IJl\RY OF ~
Summary of Discrepancies: Four of the f1ft.y-eight featuree c::hecIae!d are fClUrJi to be aut of t:ol.al:ance.
None are considered to be significant.
o.ISTtXliNICAL ~ AVAIIA8tE? Yes-

Project Type: Product Verit1cation:__ Dalll Enbancement:_ _ Dalll Development:_ _
( PImp DJ:awi.n;J No. R-522, Rev. A.)
Overall Quality Evaluation: (from QER) 6. IS TtXliNICAL ~ ~ No
7. 'l'mlNICAL ~ 1EFIc::m«:m; - 'DIe Revision A is rot the latest drIswin1

revision.
III. PRODUCTION COST ESTIMATES:
Current Unit Cost: $_ _ Target Cost : $

(Unit Cost X 0.75) Ii. ~ EIJAIIlAT.[Qi
Production Lot CosIS: '!he 'oICdcmanshi.p an:!. at:t:r.iW.tes of t:h.:Is part are: Good.
Lot Size Unit Cost Dimensional - Fcur d:I:JB:IsicrB are aut of toltmmce.
Small Lot
Matarial - Matarial AnIlJ.yais :aavaala part to be _ _ of __ mat:arial. as
Annual Requirement
d:rawin;J specifies.
Economic Lot
9. ~af UNrl' o::sT RIW EtG
IV. REVERSE ENGINEERING PROJECT COST ESTIMATES: a.IRRI!Nl'
IlS"l'IMA'l'm tlNlT cnsT ($)
tJNJ:T g;er ($) (NAVSEAIOOg!ZJl
Sillge 1 $ wr SIZE
Stases 2-4 $
TOTAL $ em (SMALL IOr) $ 1289.00 $ XXXXXXlCDIXXlt
V. RISK ASSESSMENT ANNtl1\L ~ ~EA) $ 4;z7.00 $ ..J&.QQ.

(An assumed cpantity)
EmDIICAL QU1INTI'I.Y ~EA) $ 388.0Q
VI. OVERALL RECOMMENDATION: 10. ~Q/S - '!he 0ll'.'rfIlIt revision of the drawin,J is D. '!he Govemmant
possesses Rev. A. '!he omt has revaaJ.ed that c:hangas have been _ _, tut
wlll rot ralease a a::py of the drawings. RecalIll8.l1d ~ th.rough stage
II R.E. because CCII'pIt:itive ~ a~ econcmical. arid a data
package WCUld pannit back-up ~.
ENGINEERING STAFF SIGNATURES:
11.
DESIGN ENGR PRl!ECl' ENGR PRlNCI.P./U. ENGR MECH E!«;RG IEP1'
STAGE 2 APPROVAL:
Signature: Date:
Figure 4-5. Sample stage 1 report. :st~~ 2 ~..-e"Q:.d ''Z.7zo7ee

Fluure 4-6. Sample completed stage 1 report.
,r 78 Chapter Four Stage 1: Evaluation and Verification 79
Let us review the contents of this report, beginning again with the use of purchased in these lot sizes. This should-cost estimate includes profit mar-
the project tracking number assigned in the prescreen and the current gins added to the combined value of the individual components and raw
date. Section I has a repetition of the item identification data used on the materials plus the cost of assembly. In industry, this "should-cost" logic
QER. Section II is a summary of the data availability and discrepancy review poses no real problem for items manufactured on a regular basis.
from the QER highlighting only that information which could influence a Most people in an industry can readily assess the value of the parts they
final go/no-go decision. Sections III, IV; and V warrant special attention. use in their systems. Most people in procurement functions can understand
how the should-cost price becomes inflated due to ineffective purchase req-
uisitions methods. The actual values placed on the stage 1 report are meant
to be estimates, but they are also based on a fair working knowledge of the
Production Cost Estimates
component and component costs for similar products available through
Current Purchase Price and Target Cost. Noting the current purchase other suppliers or manufacturers. There is no real mystery to the should-
price (from the prescreen unless a significant price change has occurred) cost figures once the details of the design are known. It is when we are pur-
on the stage 1 report is critical because this will be the base price for all cost chasing black boxes or item numbers of figures on a printout that we
comparisons in evaluating future savings. A target unit cost of 25 percent become uneducated buyers of the products we use and consume. When we
less than the original cost is calculated by multiplying the unit cost by 0.75. do not own responsibility to purchase parts sensibly we find it hard to care
The ability to meet this target cost at the completion of stage 4 is one of the how much we spend doing our jobs. This has caused the plethora of audits
objectives and measures of success in reverse engineering. in all facets of purchasing which has only served to bring about more rules
and regulations that do not allow many to do their job of ordering what is
Production Lot Sizes. Production lot sizes and their relative costs must needed in an economic fashion.
be estimated next. Lot sizing is estimated for three quantities: a small lot of This point I would like to illustrate clearly. Most of us will not buy 10 lb of
perhaps 1 to 10, an annual lot quantity equal to the annual usage from the butter at the delicatessen or supermarket merely because butter is on sale.
prescreen recommendation sheet, and an economic lot. The economic lot In many households 10 Ib would go rancid before it could be used, thereby
quantity is the number of units that would produce the lowest unit price wasting our personal resources and the value of any real savings per pound.
without manufacturing so many that the cost of stockpiling these would ex- Nor would we buy a car when we must have a truck or van. Our money has
ceed any savings gained from such mass production. It is possible that the a personal value to us, and we are not about to waste it when such large
economic lot size can be smaller than the annual requirement depending sums are at risk. We buy to suit our needs with a little room to feel extrava-
on the number of applications of this part in the system within which it gant if we can afford it.
operates. The key issues here are what is the smallest production lot size to In companies and governments there are so many rules governing how
fabricate and what is a good average lot size to produce. The cost to fabri- we order and purchase items that we cannot use good sense often. If I need
cate in larger lot sizes tends to result in lower unit cost, which is a major 100 nails for a project, I order them from the purchasing department be-
goal of many reverse engineering projects. cause I know that supplies such as these nails are covered in my project or
The relative unit costs associated with these three lot sizes will give the department funds. If no one else orders nails when I do, then purchasing
engineer an idea about the value of mass producing this part for system orders 100 nails from the local nail supply store. Unfortunately, the local
usage. Many procurement algorithms used by individual companies and supply store carries these nails only in boxes, or lots, of 1000. Purchasing
the federal government recommend or require the purchase of lots which cannot authorize the purchase of the full 1000 nails because that is not
are smaller than is economical and that are meant only to fulfill an immedi- What I ordered and my department will not pick up the tab for the addi-
ate need. This information about economic lot purchases can help alter tional 900 nails. The.supplier cannot find another immediate buyer for the
these algorithms to allow the part to be purchased as frequently as possible 900 extra nails and refuses to stockpile them until another "strange" pur-
but in as large a quantity to keep a ready supply available. chase request comes through. The procurement person then tries to find
another source who can supply in lots of 100. A supplier is found; however,
The Should-Cost Estimate. The unit costs associated with the three lot the cost of the 100-unit lot is the same as the cost of the lOOO-unit lot. And
sizes estimated to be the best for this component represent "should costs," so a deal is struck between the second source and the procurement office.
otherwise known as the price this item should be purchased for if it were All contractual details are recorded to prove that no underhanded prac-
80
tices took place on this buy but ultimately, from a macroscopic point of not, then the procedure used to estimate should be revisited to find the
view, the worst deal was made and no one wins. This scenario may be all too source of the consistent errors in estimation.
familiar to many of you, who may be furious because you have been found The costs to complete stages 2, 3, and 4 can be estimated using a break-
out, are laughing hysterically, or may be naive enough to believe that this down structure based on the following task costs:
does not really happen. What we will not do with our own money we gladly
do with our company or department funds to stay within the rules that de- • Configuration detemlination
feat good judgment. • Development of drawings
We all tire of fighting windmills, and after a time we give in to all the rules
• Development of part.'llist
because it is simply too hard to run the gamut anew each day. Here is where
reverse engineering is fun. In reverse engineering we have the opportunity • Material determination
to make it right, if only just once-the. first time the new part is produced. • Cost to fabricate prototype(s)
In reverse engineering ideal parts can be made that stay within the con- • Establishing testing and/or performance specifications
straints of the system and still operate equally or more economically. Re-
verse engineering is about getting it right, because what you, the skilled and • Possible destruction of sample part(s)
trained professional, know about your work counts and what judgments • Management and logistics support for reverse engineering
you make can affect the final outcome.
At the startup of a reverse engineering program it will initially be difficult
to estimate these costs accurately. These costs are closely associated with the
complexity levels of the parts or assemblies. On the basis of one organiza-
Reverse Engineering Project Cost tion's needs, the following cost breakdowns were estimated for each task.
Estimates The relative complexity levels are rated from 1 (the simplest) to 5 (the most
The costs associated with the prescreening are considered to be sunk costs, complex). If a level 1 part is a hose or circuit card with three resistors and a
irretrievable, except over the long run when the reverse engineering pro- level 5 part is a pump or a magnetic amplifier, the following may be used as
gram is self-sustaining. If, in the prescreen, there appears to be some eco- a guideline until in-house costs can be more accurately determined:
nomic advantage to reverse engineering a component, it will be forwarded
for a more thorough review in stage 1. If a project cost tracking system is in Configuration determination == level 1-$150/part
place (as recommended in Chap. 3, section on project tracking), then the (level3-$2000/part)
costs associated with the completion of stage 1 can be quantified, or closely (level5-$8,000-$10,OOO/unit)
estimated, for inclusion in this report. It will typically cost $1000 or $2000 to
a few ten thousands of dollars (or the foreign equivalent depending on la- Development of drawings $700/drawing (including revisions)
bor costs) to complete the steps in stage 1. This cost depends on data avail- Development of part.~ list = $150/item
ability and the technical complexity of the part as shown in Fig. 3-4.
The cost to complete stages 2 through 4 of the pr(~ject is an estimate Material determination $250/part
based on all that is known from stage 1 data collection and evaluation. It Cost to develop prototypes = $ should-cost estimate
will include any prototype fabrication and all testing costs. It can be woe-
fully wrong or well underestimated, but the project cost tracking system Establish test and performance specs levell-$500/part
should be able to sound a warning when the costs are getting out of hand (Level3-$3000/part)
without a reasonable justification such as a change in the scope of the task, (Level5-$1O,OOO/unit)
the number of prototypes needed to prove the reverse engineered design, Destruction of sample parts $XXX unit cost X units destroyed
or the decision to value engineer. Management-logistics support = 15% overall cost
The costs of stages 1 through 4 detine a boundary figure which the pro-
ject should approach at completion. Experience has shown that tinal costs
vary from pr~ject to project but that over time these variations should aver- Summing up these costs may give a fair estimate of the cost to complete
age out to a median which approaches the original estimates. If they do stages 2 through 4. With experience these estimates are expected to be re-
II
82 Chapter Four Stage 1: Evaluation and Verification
83
fined. The total cost of stages 1 through 4 must ultimately be amortized in stage 2 or to terminate the project with little hope of return. If the poten-
over the remaining life cycle of the system equipment for this prqject to be tial for ROJ is low or questionable, there is the option to give this project a
economically feasible. The final return on investment uses the actual pro- low priority, especially if better candidates are being reviewed, and revisit
ject costs in calculations, and so the estimates should be as accurate as pos- this prqject after the better candidates have been exhausted.
sible. As the reverse engineering program matures, the accuracy of the The recommendations will usually fall into the categories of compete,
estimates will improve. low priority, terminate, or proceed to stage 2. There is one additional op-
These estimates figure strongly in the final decision to continue or stop tion, although it rarely occurs. This happens when the candidate points to
work at the conclusion of all stage 1 evaluations. There are two reasons for grave system problems. This could indicate that the presumed life cycle of
this. If, when all stage 1 work is completed, it is the best estimate of the lead the entire system is much shorter than management expects. This short-
engineer that this item cannot be manufactured for 25 percent less than ened life cycle may indicate that the time to junk the entire system is near
the current unit cost and economics was the overriding factor for introduc- and reverse engineering may not be recommended. In this case the recom-
ing this item as a reverse engineering candidate, then there is little hope to mendation would be to seriously examine total system replacement or mod-
reverse engineer a more economical part or recoup the costs incurred to ernization. Besides, who better than those most familiar with the operating
date. If economics is not the overriding factor but obsolescence is, then sav- system could make this determination with hard data to support this claim?
ings calculated on a unit-cost basis cannot be performed since it is too diffi- If management truly adheres to employee empowerment, then this recom-
cult to place value on an irreplaceable part. mendation will be taken seriously. It is entirely possible that management
has a separate agenda and this recommendation cannot be accommodated
at this point in time but may be kept on a back burner until a better oppor-
Risk Assessment tunity exists for the company to take action.
This is simply a general engineering judgment of whether there is enough If the team's recommendation is not accepted, there may be a chance to
potential for a return on the investment in either dollars, marks, or yen, or renegotiate the project. If this is not an option, then the decision by the
in system maintenance needs met, that would otherwise go unmet. As a approval body must be accepted and other projects begun.
general rule of thumb high-speed rotating aircraft parts would constitute a
high risk whereas a simple stationary system component operating at a low
temperature might be a low-risk reverse engineering project. The Go/No·Go Decision
The stage 1 report contains the data necessary for the project leader to rec-
ommend a decision to go on to stage 2 or to justifY the decision to stop the
Overall Recommendation
project at the conclusion of stage 1 on the basis of information collected
This is the reverse engineering team's collective chance to make a case for and reviewed to this point. Mter stage 1 evaluations are completed, a fully
forwarding the project to stage 2 or discontinuing it with the completion of informed engineering decision concerning the cost and risk involved in
stage 1. First, it must be determined whether the available technical data is stages 2 through 4 can be made. Either it is, or is not, worth the potential
adequate and if they are to be used in their present state to fabricate future cost, in terms of supply support issues or from an economic standpoint.
spare parts. The recommendation is to compete future acquisitions to the The costs incurred in stage 1 are considered sunk costs and are nonrecover-
technical data reviewed in stage 1. able. This is the price tag to find out all anyone should need to know in
Second, it must be determined whether it is economical to proceed to order to make as fully informed a decision as possible before proceeding
stage 2. In this case a brief review concerning the adequacy of the available further into stages 2 tqrough 4, or continuing to purchase this item from
data is needed, something along the lines of "Revision (rev.) A is available, the same or another source of supply.
rev. C is the most current. Changes from rev. A to rev. C are unknown." This The final decision always rests with the organization which is funding the
should be followed with a one-sentence statement about the economics reverse engineering program, not the project leader, however a joint deci-
such as "Unit costs are anticipated to decrease 50 percent after reverse engi- sion of agreement is recommended.
neering, project costs are reasonable, and projected ROI could be as high It is of note that at any point in the prescreening, or during any of the
as 35:1." The collective recommendation is to continue reverse engineering four stages a reverse engineering project could, and sometimes should, be
~~
i 84 Chapter Four
stopped. At any time after the completion of stage 1 an unknown or un-

knowable overriding factor could be discovered. Prior to stage 1 the real
costs (i.e., the costs for prescreening, data collection, and preliminary
evaluation) are minimal. Stage 1 costs are not recoverable unless the pro-
ject continues all the way through stage 4 and a ROI is realized. It is least
expensive to discontinue a flawed project before starting stage 2.
There is the case of the military vehicle component which was in stage 3
when the lead engineer, who had not followed this project closely, realized
that there was not enough data to build a prototype. The project was al-
ready over budget, and the additional cost to finish the project would in-
5
crease the total cost 50 percent. It was also learned at that point that the
part cost after reverse engineering would double instead of decrease. Had
Stage 2:
the available information been evaluated well early in the process and the
warning signs been flagged, there would have been no need to decide be-
tween asking for additional funds to finish the project and deciding to stop
Technical Data
it far into stage 3, as it would have been known that there would be no ROI.
Needless to say, these are professional and moral decisions no engineer
would like to face. This example serves to reiterate that thorough and accu-
Generation
rate groundwork should be conducted. Despite the up-front price tag, this
work outweighs the long-term consequences of mistakes further into the
project. Technical data generation is every design engineer's dream come true. All
Others who have conducted reverse engineering programs have com- the preliminary work has been completed and the remaining work has
plained that the sunk cost of thorough prescreening is wasted or is too high been budgeted and approved. The feeling is not unlike that of the house
a price to pay for the selection of high-quality reverse engineering candi- painter who has spent weeks preparing a house for the new coat of paint by
dates. All too often these same programs which skimped on prescreening scraping the old paint off the surface. The painter has painstakingly
lost money in the long run, and most are defunct. It is wise to think about scraped and sanded all the moldings and window sills, covered all the sur-
the price of the investment and the cost of doing it wrong before wasting faces which will not be painted, and assembled and prepared the tools of
resources in stages 1 through 4. the trade. The painter does not wait until the moment the brush is in hand
to check to see if it has been properly cleaned before applying the new coat
of paint. The tools are on hand, clean, and ready for use. In essence, all the
preparation has been done. The budget to complete this project has been
agreed on and is available. The painter's assistants have reviewed their role
in the project. Work can now begin.
The objective of the work at hand is to develop a complete and unre-
stricted technical data package which will be sufficient for both the fabrica-
tion and procurement of the part in the future. The engineering drawings
will define the configuration of the component, and the technical data
package will contain-all additional inspection and quality assurance re-
quirements to manufacture a like part.
The technical data develops throughout many iterative phases in the
four stages of the reverse engineering process. At this point (the beginning
of stage 2) in the four-stage process there is the data accumulated from the
prescreen along with the data collected and evaluated in stage 1 to make
I.
i 85
86 Chapter Five Stage 2: Technical Data Generation 87
the preliminary decision of whether to proceed with reverse engineering. data package (PTDP) ready for transmittal to stage 3. When prototypes are
The flow diagram in Fig. 5-1 shows the progression of data development in built and pass both the operational and system testing in stage 3, the PTDP
sequential form. In stage 2 the missing or inadequate technical data will be will become the complete technical data package (C"lDP) at the conclusion of
generated as engineering drawings and incorporated in a preliminary draw- stage 3. In stage 4 the procurement requirements are added to the CTDP to
ing set (PDS). Once the PDS drawing set includes the associated perform- become the final technical data package. Stage 4 is not concluded until the
ance specifications, quality assurance requirements, and testing criteria, it engineering and economic report and prototypes are delivered with the fi-
becomes the stage 2 preliminary data package (PDP). Mter passing the requi- nal technical data package for signature approval.
site in-house staff reviews this information becomes the preliminary technical With this overview of data development, the serious task of developing
the missing technical data is begun in stage 2. Figure 5-2 provides an over-
view of the steps involved in technical data generation.
In this chapter some frequently used phraseology regarding drawings
(drawings. and technical data is reviewed. Terms such as engineering drawing and techni-
speclllcalions. Prasereen
technical manuals.
Data cal data may seem trite to the experienced user of these types of informa-
system operadons
guides. etc,) tion, but the international world of engineering is rapidly requiring the
~
redefinition of what is considered to be standard practice. By revisiting
what we think we know, we can eith'er verity that we know everything or re-
(technical. logistics, and Stage 1
learn something we previously overlooked, and it is easy to overlook the
economic data) simplest of things in our daily lives. For effective communication in this new
Data
order there must be some common ground for mutual understanding so
~ that all parties can apply the same meaning to these common terms.
Consider for a moment the computerized world we live in where the
Stage 2 boundaries between hardware and software are rapidly disappearing. In the
Preliminary
Drawing Set not-so-recent past, the interchangeability of phraseology caused much con-
(PDS)
fusion, and today standard methods for understanding, transmitting, and
(drawings. performance
T Stage 2
communicating data are being developed to fill the need for compatibility
spedllcatlons. quality PnIIlmlnary

assurance provisions. & Data Package
testing criteria) (PDP)
Technical
T
T_
Data
Generation
Stage 1 I ,.,1 Dimensions
PnIliminary
Drawing
Preliminary
Technical
Data
To
S1ago3
Stage 2 Materials
Finiolle.
8&1
(POO) p",*-
(approved PDP) PNIImInary (PTOP)
'"T'""
Technlcat SGMmab.
~
elC.
Stage 3

(PTOP after passing Com",

system testing) Technical
~
(approved CTDP with
Stage 4

Final
all prccuremant Technical Data
requirements) PlICkage
figure 5-1. Technical data development flow diagram. Figure 5-2. Overview of stage 2 (technical data generation).
among all computer vendors' wares. It is equally important that we engi- what I know with you, then maybe you will share something with me, and in
neers in the land of "real hardware" all understand each other; therefore, this manner we build a teaming relationship which we both hope will profit
while some concepts may seem basic, we must start with the same defini- us in the future. If I share with you, and you exploit me, I do not suppose I
tions to achieve results which will mean the same thing to all who rely on will team with you or assist you again and I will gain all the future profit
our work. from my work. Only if I share my knowledge can you profit also.
Pooling resources and sharing information is one of the keys to success
in these days of tight budgets and limited resources. The R&D (research
and development) budgets must be spent wisely, and reverse engineering is
The Importance of Developing not meant to cut into these budgets but to be self-sustaining and provide a
Unrestricted Technical Data return on investment in some reasonable period of time. The need for
It is important that the company or department which conducts reverse en- R&D investment is so great in so many technical areas, especially manufac-
gineering strive for unrestricted data as an end product. One hallmark of turing. There is so much more to learn that multiple organizations do not
the future will be our collective ability to communicate and share informa- need to be doing R&D, reverse engineering, or other types of technical de-
tion. If a component has been selected as a reverse engineering candidate velopment on the same items at the same time. If, while searching for can-
because of a lack of supply support for an operating system in one com- didates, you discover that four other companies use the same unsupported
pany, there might be other existing systems which could share from the component, is it not possible, even wise, to propose that you will develop
benefit of the technical data generation. The primary desire of any corpo- unrestricted technical data for a system component that all four companies
ration is to recoup the costs of reverse engineering. Fighting the urge to are having difficulties obtaining for a percentage of the cost to reverse engi-
hoard the technical data developed is critical. Corporate hoarding of tech- neer? Or better yet, you could trade your reverse engineering service for
nical data has generated the need for reverse engineering in the first place. some of their technical resources, whether personnel or equipment-high-
If the technical data were already available, even in some obscure place, tech bartering-anything but information hoarding. This way no one com-
reverse engineering would not be necessary. pany profits in the short run and everyone profits in the long run. Let us
Let us digress just a moment to discuss the potential for sharing informa- leave our children a legacy of information sharing and international coop-
tion as a strategic corporate goal. In today's environment there is more in- eration. (Note: Developing unrestricted technical data does not mean devel-
formation on any given subject than any single human being needs. We oping unrestricted, nonproprietary engineering drawings and slipping in
limited humans can barely process the available data we have and make restricted testing requirements. This violates the principles of teaming and
sense of it. Often completely contradictory conclusions can be reached with information sharing and the essence of cooperation.)
the same raw data if the assumptions or hypotheses are changed or altered. This radical concept of technical information sharing rubs against the
One objective in science is to derive the natural ttuths which overlay subjec- corporate grain of profitability. While one may not want to apply this con-
tive reality. Science has access to much data in its noble quest for ttuth. cept to original designs in order to avoid compromise of trade secrets, de-
Scientists and engineers are often made of less noble elements. The corpo- sign patents, and the like, it should be considered for reverse engineered
rations which employ scientists and engineers may not always be searching parts. This is because these represent problem components, not produc-
for any ttuth, but a profit from whatever exploitable ttuths they can man- tion parts manufactured on a regular basis. It is not yet profitable to manu-
age to extol. Truth be known, if there is a profit in it, almost any company facture reverse engineered components on a regular basis; only to extend
will pursue the power of profit. this support to operating slowly deteriorating systems. The need for inter-
If the statement that knowledge is power is considered to be ttue, then Changeability and compatibility of products may point to information shar-
those with the "knowledge" or access to it will prosper in the years ahead. ing as a corporate strategy in the future of the manufacturing world as in
Scientists and engineers can both possess and access much technical knowl- the world of computers, but it is recognized that this day is not yet here.
edge. In recent years we limited humans have found that which is unknown To reinforce this concept, keep in mind that once upon a time analog
can best be pursued with pooled resources, teams, or consortia. One of the and digital systems were completely separated by the inherent design re-
hallmarks and most critical aspects of team success is the ability to share strictions imposed by the selection of either one or the other base operat-
information. A component being reverse engineered is a problem compo- ing mode. Today even our telephones, the most basic and common analog
nent. If it is a problem for me, it is likely to be a problem for you. If I share system, is a digitally operating piece of equipment with associated digital
u
transmission systems. This transformation from analog to digital has been dustry standards referenced in this text to familiarize themselves with the
completed with simple conversion algorithms. Information sharing via tele- language and interpretations of these and like documents. Much of the
phone lines has brought us the facsimile (fax) machine and immense work engineers do must conform to either international, industry, or gov-
changes in our use of telephone lines to transmit data from our computers. ernment/military standards. This trend for conformity in engineering
These radical shifts in our ability to share information may soon bring drawing practices, applications, and interpretations is on the rise, although
similar changes to the world of manufacturing and preparing for it with there is a growing practice of adopting the nongovernment standards
information sharing on non-production-oriented parts may be a way to in- whenever practicable, or combining government and industry standards
troduce the future to today's corporate goals and strategies. when this results in a superior set of technical requirements.
The use of standards is increasing worldwide, as is the need to effectively
communicate and interpret these documents. The standards and specifica-
tion cited in the Appendixes are fairly common and global in application.
Technical Data Generation In keeping with the many efforts worldwide to promote and encourage the
The technical data which needs to be generated in stage 2 includes the use of the standard principles involved, it is recommended that these and
dimensions, the materials, the surfaces, the finishes, the interfaces, the tol- other primary referenced specifications and standards be reviewed as an
erances, the performance and testing specifications, and the quality assur- effective tool for engineering design, production, and quality control which
ance requirements which will verify that the reverse engineered part will at can provide both technical and economic advantages for all parties. These
least fulfill the function of the original component-if not outperform its documents apply to data prepared by either manual or automated meth-
predecessor. The technical data should include any special tooling and its ods, such as computer-aided design-<:omputer-aided manufacturing (CAD /
associated documentation. The explicit location of reference points for ma- CAM) systems, or combinations thereof. They also apply whether using
chining purposes must also be stated. U.S. customary units of measurement, the International System (SI) of
A generic technical data package (TDP) provides a technical description of units, or combinations thereof.
an item adequate for engineering and logistics support, an acquisition strat- The TDP consists of many elements. The military specification MIL-T-
egy, and producibiIity. The description defines the required design configu- 31000 is for the general specification for TDPs and prescribes the require-
ration and procedures required to ensure adequacy of item performance. ments for preparing a TDP composed of one or more TDP elements and
It consists of all engineering drawings and associated parts lists along with related TDP management data products. The following is a listing of TDP
all performance criteria, test specifications, and applicable standards. This elements.
will also include the life-cycle fatigue testing, nondestructive test and evalu-
ation criteria, first article testing and inspection criteria, and quality assur- 1. Conceptual design drawings and associated lists
ance provisions and packaging details, particularly if the item has a limited
2. Developmental design drawings and associated lists
shelf life.
The task of developing a complete data package is no small feat. The 3. Product drawings and associated lists
emphasis in the previous sentence is the word complete. To develop only the 4. Commercial drawings and associated lists
engineering drawings is to have generated the preliminary drawing set (re-
5. Special inspection equipment (SIE) drawings and associated lists
fer back to Fig. 5-1). Only with the addition of the performance specifica-
tions, test, inspection, and quality assurance information verified in stage 3 6. SIE operating instructions
will the TDP be complete. A thorough review of the requirements of a 7. SIE descriptive documentation
complete military- or defense-related TDP can be found in the military spe- 8. SIE calibration procedures
cification MlL-T-31000, General Specification for Technical Data Packages. Al-
though this specification was developed for military applications, its 9. Special tooling drawings
principles as applied by commercial organizations can constitute an effec- Specifications
tive method to ensure completeness in all engineering drawings. 11. Preservation, packaging, packing, and marking data
Those unfamiliar with military or government specifications may find it
useful to obtain copies of this and other government specifications or in- 12. Quality engineering planning list
I '\
l
92 Chapter Ave Stage 2: Technical Data Generation 93
13. Software and software documentation Dimensional Accuracy

14. Test requirements documents True dimensional accuracy is difficult to achieve. An example bushing may
be useful to illustrate this point. (Refer to Fig. 5-3.)
Those items referring to TDP management data products are The external diameter dimension for the front view of the bushing will
be a single number measured out to a certain number of degrees of accu-
racy. For the purposes of this example, accuracy within llIoooth will be used.
1. Source control drawing approval request
The external dimension represents the outer diameter of the entire length
2. Drawing number assignment report of the bushing. Over the length of the bushing the diameter measurements
3. Proposed critical manufacturing process description may vary from an average of 2.025 (inches or centimeters) to 2.005 or
2.050. The bulk of 100 sample measurements along the entire 8-in length
4. TDP quality control program plan
of the bushing lie within the range of2.013 to 2.047. The large number of
5. TDP validation report samples taken over the 8-in length would allow the average engineer to as-
sume that stating the dimension to be 2.025 ± 0.020 would be valid. If by
The TDP elements conforming to the requirements of the specification chance only two sample measurements were taken to validate the dimen-
MIL-T-31000 are intended for use as a basis for design evaluation, competi- sion and these happened to be 2.035 and 2.045, then the average engineer
tive acquisition, installation, maintenance, modification, or engineering would probably state the diameter dimension to be 2.040 ± 0.005.
support. The TDP management data products are intended for use by the With only two sample measurements this would appear to be true. The
acquiring activity to ensure that the TDP elements will be satisfactory for trouble would lie in the reality of manufacturing a part to the 2.040 meas-
their intended use. urement in the diameter over a part which is truly 2.025 units in diameter.
The difference of 0.015 unit over the entire length of the part would be
disastrous if the bushing had to be inserted into a component that had an
internal dimension of 2.035 ± 0.005. Not one single part manufactured to
Developing Engineering this dimension of 2.040 would fit into the higher assembly.
Drawings Validating dimensional accuracy is a point well taken if one uses this ex-
ample as a leaming tooL Dimensional accuracy is a relative measure in
Perhaps the most important form of technical data in the entire data pack- truth. The "real" dimension varies from one set of points on the compo-
age is the set of engineering drawings and associated parts lists developed nent to another set of points. The average of the entire, albeit infinite, set
to physically describe the component and establish the configuration base- of points along the length of the part, which in this case is the bushing,
line. Engineering drawings are also commonly known as build to print or would be a fair representation of the true dimension. In reality, although
level 3 drawings. The reverse engineering team has conducted the dimen- many measurements may be taken, the highest and lowest variations are
sional inspection flawlessly and compared the actual dimensions of all avail- considered to be the outer limits with the mean measurement a reasonable
able operational and nonoperational samples before considering a physical
dimension accurate enough to commit to the engineering drawing.
Whether the engineering drawing is a hand-drawn sketch, a blueprint, or a
CAD/CAM program, every physical dimension and detail must be precisely
and accurately described. The validation of dimensional accuracy is the rea-
soning behind the frequent measurement of multiple sample parts. Guid-
ance for the development of complete and accurate engineering drawings
that will be uniformly interpreted can be found in the ASME standards
Yl4.24--Types and Applications of Engineering Drawings; Yl4.34--Parts
Lists, Data Lists, and Index Lists; Yl4.26-Digital Representation for Com-
munication of Product Definition Data; and Yl4.5-Dimensioning and Tol-
erancing, excerpts of which can be found in Appendixes A, B, C, and D
respectively. FIgure 5-3. Bushing example for dimensional accuracy.
l
representation of the true dimension. This is true with the exception of guidance for the international community. The following types of en-
very poorly machined parts. gineering drawings are the most frequendy used to establish engineering
Although it is extremely helpful to have multiple sample parts with which requirements.
to compare dimensional data, it is more advantageous to have a slightly out-
dated, nonproprietary drawing revision to use as both a reference and a 1. Layout drawings
reality check. A nonproprietary higher-level assembly drawing showing the 2. Detail drawings
interference dimensions for a component would also be valuable. 3. Assembly drawings
Any competent engineer could potentially go insane in the quest for pre- 4. Installation drawings
cise and accurate measurements of all dimensions. For this reason most re- 5. Modifying drawings
verse engineered drawings require that a shop fabricate the component to 6. Arrangement drawings
the reverse engineering drawing generated in order to confirm that the 7. Control drawings
part can actually be manufactured to these dimensions and that the compo- 8. Mechanical schematic drawings
nent can operate in the higher assembly without causing systemic failure. 9. Electrical and electronic diagrams
10. Special-application drawings
a. Wiring harness drawings
Engineering Drawing Types and h. Cable assembly drawings
Applications
c. Printed-board drawing sets
To quote ASME Y14.24M-1989, Types and Applications of Engineering d. Microcircuit drawings
Drawings, an engineering drawing is an engineering document that discloses e. Undimensioned drawings
(directly or by reference) by pictorial or textual presentations, or combina- f Kit drawings
tions of both, the physical and functional end-product requirements of an g. Tube bend drawings
item. An item is a general term used to denote any unit of product or data, h. Matched set drawings
including materials, parts, subassemblies, equipment accessories, computer i. Contour definition drawings
software, or documents which have entity. A part is an item made from a j. Computer program and software drawings
single piece of raw material or from multiple pieces joined together which
are not normally subject to disassembly without destruction or impairment It is important to pay attention to which types of drawing establish item
of the designed use (e.g., transistor, screw, gear, wheel bearing). CAJmponent identification and which do not. Item identification is the part number, iden-
and part are used synonymously in this text. A parts list is a tabulation of all tifying number, or descriptive identifier for a specific item. In the govern-
parts and bulk materials (except those materials that support a process) ment arena the manufacturer's Commercial and Government Entity Code
used in the item. Referenced documents may also be tabulated on a parts (CAGEC or CAGE Code) is also needed on drawings for complete item
list Items listed on a subordinate assembly parts list or specified in a refer- identification.
enced document are not generally repeated on this first-tier listing. A parts
list can contain information on alternate sources for hard-to-find parts. A
parts list is also known as a bill ofmaterials, a list of materials, a stock list, or an layout drawing: Depicts design development requirements. It is similar
item list. An end item, or end product, is an item, such as an individual part or to a detail, assembly, or installation drawing, except that it presents picto-
assembly, in its final or completed state. rial, notational, or dimensional data to the extent necessary to convey the
Drawing definitions are intended to permit preparation by either design solution used in preparing other engineering drawings. A layout
drawing generally does not establish item identification.
manual, computer-aided, or photographic methods. Using the common
definitions just delineated, we are now prepared to define the accepted detaU drawing: Provides the complete end-product definition of the
standard drawing types used to establish engineering requirements. ASME part(s) depicted on the drawing; establishes item identification for each
Yl4.24M-1989 and MIL-STD-lOOE dated 30 September 1991 (which part depicted thereon.
supersedes DoD-STD-lOO) are the best first-tier reference documents monodetail drawings: Delineate a single part.
available, with the International Standards Organization (ISO) TClO/SCI multidetail drawings: Delineate two or more uniquely identified parts
(Technical Committee 1, Subcommittee 5) establishing corresponding in separate views or in separate sets of views on the same drawing.
assembly drawing: Defines the configuration and contents of the assem- ing design characteristics required for (1) control of interfaces and (2)
bly or assemblies depicted thereon; establishes item identification for each to ensure repeatability of performance.
assembly. Where an assembly drawing contains detailed requirements for vendor item drawing: Provides engineering description and accep-
one or more parts used in the assembly, it is a detail a~sembly drawing. tance criteria for purchased items, a list of suggested suppliers, the sup-
installation drawing: Provides information for properly positioning and plier's item identification, and sufficient engineering definition for
installing items relative to their supporting structure and adjacent items, as acceptance of interchangeable items within specified limits. The vendor
applicable. This information may include dimensional data, hardware de- item drawing number appears with any applicable dash number(s) for
scriptions, and general configuration information for the installation site. identifying item(s) on engineering documentation; the administrative
modifying drawings: Include altered-item, modification, and selected- control number may be marked parenthetically on the item, in addition
item drawings. These are not used for items made from raw or bulk materi- to the supplier's item identification.
als, items purchased in bulk lengths (extrusions, channel nuts, hinges, source control drawing: Provides an engineering description and ac-
etc.), or such semiprocessed items as blank panels, castings, or electronic ceptance criteria for purchased items that require design-activity-im-
equipment drawers, which use detail or detail assembly drawings. posed qualification testing and exclusively provides performance,
altered-item drawing: Delineates the physical alteration of an existing installation, and interchangeability characteristics specifically required
item under the control of another design activity or defined by a nation- for the critical applications. It includes a list of approved suppliers, the
ally recognized standard. This drawing type permits the required altera- supplier's item identification, and acceptance of items which are inter-
tion to be performed by any competent manufacturer including the changeable in the specified applications. Also establishes item identifica-
original manufacturer, the altering design activity, or a third party. It es- tion for the controlled item(s). The approved items and sources listed on
tablishes a new item identification for the altered item. a source control drawing are the only acceptable items and sources.
selected-item drawing: Defines refined acceptance criteria for an ex- design control drawing: Discloses the ba~ic technical information
isting item under the control of another design activity or defined by a and performance requirements necessary for a subcontractor to com-
nationally recognized standard which requires further selection, restric- plete the detailed design required to develop and produce an item. The
tion, or testing for such characteristics as fit, tolerance, material (in cases design control drawing specifies the unique identifier of the item; the
where alternate materials are used in the existing item), performance, item identification may be that assigned by the subcontractor's design
and reliability within the originally prescribed limits. This drawing type disclosure drawing (if known) or an administrative control number as-
generally permits selection to be performed by any competent inspec- signed by the design control drawing.
tion or test facility including those of the original manufacturer, the se- interface control drawing: Depicts physical and functional interfaces
lected design activity, or a third party. Also establishes a new item of related or cofunctioning items. It does not establish item identifica-
tion.
identification for the selected item. Although visible physical modifica-
tion is not performed, the item is, because of the selection technique em- identification cross-reference drawing: An administrative-type draw-
ployed, demonstrably different from other items which meet only the ing which assigns unique identifiers that are compatible with automated
requirement imposed on the original item. data-processing (ADP) systems and item identification specifications; pro-
modification drawing: Delineates changes to items after they have vides a cross reference to the original incompatible identifier.
been delivered. When required for control purposes, a modification mechanical schematic diagram: Depicts mechanical and other func-
drawing shall require reidentification of the modified item. tional operation, structural loading, fluid circuitry, or other functions using
arrangement drawing: Depicts the physical relationship of significant appropriate standard symbols and connecting lines. This is a design infor-
items using appropriate projections or perspective views. Reference dimen- mation drawing and does not establish item identification for the item(s)
sions may be included. An arrangement drawing does not establish item delineated thereon.
identification. electrical and electronic diagrams: In accordance with ANSI Y14.15-
control drawings: There are five types of acceptable control drawings. 1966, Electrical and Electronics Diagrams or ANSI/IEEE (American National
procurement control drawing: Provides criteria for performance, ac- Standards Institute, Institute of Electrical and Electronic Engineers) STD
ceptance, and identification of supplier items by disclosing the engineer- 991, Preparation ofLogic Circuit Diagrams, depict the elements or functions of
electrical or electronic items using standard symbols. These diagrams do cludes chapters entitled "Preparation of Engineering Drawings" (Chap.
not depict items to scale. They are design information drawings and seldom
, 'Types of Engineering Drawings" (Chap. 200), "Drawing Titles"
establish item identification for the item(s) depicted thereon. There are
(Chap. 300), "Numbering, Coding and Identification" (Chap. 400), "Mark-
seven types of electrical and electronic diagrams.
ings on Engineering Drawings" (Chap. 500), "Revisions of Engineering
functional block diagram: Depicts the functions of the major ele-- Drawings" (Chap. 600), and "Associated Lists" (Chap. 700).
ments of a circuit, assembly, system, etc. in simplified form.
single-line diagram: In accordance with ANSI \:14.15, depicts the
course of an electrical or electronic circuit, or system of circuits, and the Tolerance Determination
elements thereof using single lines, symbols, and notes. A single-line
diagrdm conveys basic information about the operation of the circuit, Dimensional tolerancing should conform to the nationally recognized
but omits much of the detailed information usually shown on schematic standard in ASME \:14.5M-19g2, Dimensioning and Tolerancing. (See App.
diagrams. D.) This standard covers dimenSioning, tolerancing, and related practices
schematic diagram or circuit diagram: Depicts electrical connec- for use on engineering drawings and in related documents, and establishes
tions and functions of a specific circuit arrangement without regard to uniform practices for stating and interpreting these requirements. Interna-
the physical shape, size, or location of the elements. tionally, this standard is similar to ISO /TCl O/SC5, Dimensioning and Toler-
connection diagram or wiring diagram: Depicts the general physi- ancing (International Standards Organization, Technical Committee 10,
cal arrangement of electrical connections and wires between circuit ele- Subcommittee 5), although differences do exist.
ments in an installation or assembly. It shows internal connections, but Geometric dimensioning and tolerancing is a means of specifying design
may include external connections which have one termination inside and drawing requirements with respect to the actual "function" and "rela-
and one outside the assembly. It contains the details necessary to make or tionship" of part features. This technique, when properly applied, ensures
trace connections involved. the most economical and effective production of these features during fab-
interconnection diagram: Depicts only external connections between rication. Thus geometric dimensioning and tolerancing can be considered
assemblies, units, or higher-level items. both an engineering design drawing language and a functional production
wiring list: Consists of tabular data and instructions necessary to estab- and inspection technique. The use of this standard promotes uniform
lish wiring connections. A wiring list is a form of connection or intercon- understanding and interpretation by design, production, and inspection
nection diagram. When the wiring list includes materials and such personnel. Uniform practices within these functional areas allows for con-
material is not called out on the assembly drawing, the wiring list estab- sistent and competitive practices when applied to component production.
lishes the item identification for the wires as a bundle or kit of wires. This standard is important primarily because it is economical and facili-
logic circuit diagram: Depicts the logic functions of a system at any tates the production of interchangeable, complete, uniform components
level of assembly. that mate (interface) with their associated parts on a consistent basis.
The following definitions of dimensioning and tolerancingwill be needed.
special-application drawings: There are 10 types; details of each of
these can be found in App. A.
dimension: A numeric value expressed in appropriate units of measure
Examples of each of these types of dmwings can be found in ASME and indicated on a drawing and in other documents along with lines, sym_
\:14.24M-19g9. Appendix A lists each type of drawing along with their in- bOls, and notes to define the size or geometric characteristic, or both, or a
part or part feature.
dividual application guidelines and requirements. It is important to be fa-
miliar with this and with the associated drawing specifications pertinent to basic dimension: A numeric value used to describe the theoretically ex-
your specific equipment. act size, profile, orientation, or location of a feature or datum target. It is
The corresponding U.S. government standard for engineering drawings the basis from which permissible variations are established by tolerances on
was previously identified as the military standard MIL-STD-100E. An accu- other dimensions, in notes, or in feature control frames.
rate perception of DoD engineering drawing practices necessitates user rec- reference dimension: A dimension, usually without tolerance, used for
ognition of ASME \:14.24M-19S9 and ASME \:14.34M-19S9 for Parts information purposes only. It is considered to be auxiliary information and
Lists, Data Lists and Index Lists, as being a composite set. MIL-STD-100E in- does not govern production or inspection operations. A reference dimen-
100 Chapter Rve
Stage 2: Technical Data Generation
101
sion is a repeat of a dimension or is derived from other values shown on the
drawing, or on related drawings. the drawing. Nonmandatory processing dimensions shall be identified
by an appropriate note.
tolerance: The total amount by which a specified dimension is permitted
7. Dimensions should be arranged to provide required information for
to vary. The tolerance is the difference between the maximum and mini-
optimum readability. Dimensions should be shown in true profile views
mum limits. and refer to visible outlines.
unllateral tolerance: Tolerance in which variation is permitted in one di- 8. Wires, cables, sheets, rods, and other materials manufactured to gage
rection from the specified dimension.
or code numbers shall be specified by linear dimensions indicating the
bUateral tolerance: Tolerance in which variation is permitted in both di- diameter or thickness. Gage or code numbers may be shown in paren-
rections from the specified dimension. theses following the dimension.
geometric tolerance: The general term applied to the category of toler- 9. A 90° angle is implied where center lines and lines depicting features
ances used to control form, profile, orientation, location, and runout. are shown on a drawing at right angles and no angle is specified.
10. A 90° basic angle applies where center lines of features in a pattern or
A review of the fundamental rules clearly defines the engineering intent of surfaces shown at right angles on the drawing are located or defined by
dimensioning and tolerancing and shall conform to the following: basic dimensions and no angle is specified.
11. Unless otherwise specified, all dimensions are applicable at 200C
1. Each dimension shall have a tolerance, except for those dimensions (68°F). Compensation may be made for measurements made at other
specifically identified as reference, maximum, minimum, or stock temperatures.
(commercial stock size). The tolerance may be applied directly to the
dimension. The primary building blocks for geometric dimenSioning and toleranc-
2. Dimensions for size, form, location of features shall be complete to the ing are based on the geometric characteristics and symbols listed in Fig. 5-4
on the next page.
extent that there is full understanding of the characteristics of each fea-
ture. Appendix D gives additional guidance in the use and application of this
standard.
3. Each necessary dimension of an end product shall be shown. No more
dimensions than those necessary for complete definition shall be The Substitution Factor
given. The use of reference dimensions on a drawing should be mini-
mized. Most components proposed for reverse engineering are manufactured to
designs at least 5 to 10 years old, as a minimum, with many as old as 30 or 40
4. Dimensions shall be selected and arranged to suit the function and years, maybe more. The rapid rate of technologiCal progress has left many
mating relationship of a part and shall not be subject to more than one types of standard design techniques in the dust, so to speak. To repeat a
interpretation. design technique which today's engineer has learned from and yet im-
5. The drawing should define a part without specifying manufacturing proved on would be both unprofessional and irresponsible in some cases.
methods. Thus, only the diameter of a hole is given without indicating In these special cases the positive net return on investment from a design
whether it is to be drilled, reamed, punched, or made by any other op- substitution would be advisable, provided it is done after notifYing either
eration. However, in those instances where manufacturing, processing, the person requesting or the person authorizing the reverse engineering.
quality assurance, or environmental information is essential to the defi- Any changes to a design will require some level of approval unless no other
nition of engineering requirements, it shall be specified on the draw- alternative is available. Once the approval has been obtained, this part will
ing or in a document referenced on the drawing. require that a prototype be produced for performance and system testing
6. It is permissible to identifY as nonmandatory (optional) certain proc- to validate the proposed design alteration. Until an upgraded design with
essing dimensions that provide for finish allowance, shrink allowance, SUbstitutions has been tested successfully and the new design drawings have
and other requirements, provided the final dimensions are given on been signed off, this upgrade is considered to be only a proposed solution
to the technical problem posed for reverse engineering.
102 Chapter Five Stage 2: Technical Data Generation
103
American National Standard
dimensionina and tolerancing ANSI Y14.SM-1982 plication, the question of the actual usage of the variable resistor was posed.
Mter a few days of searching for a knowledgeable user it turned out that the
Type of
Characteristic Symbol unit had never been mounted to a wall, but was used as a handheld unit in
tolerance
------
the field. With this new knowledge the engineer placed the components in
For
Straightness - a $10 plastic case in lieu of the $100 bracketed case, duplicating the func-
individual Flatness CJ tion while never adversely affecting the final product or system. Figure 5-5
features Form shows the bracketed casing for the vdriable resistor on the left, while the
Circularity (roundness) 0
--~
handheld reverse engineered unit is on the right.
The original unit cost was $141, while the reverse engineered unit cost
Cylindricity
--
IY was reduced to $60, representing a unit savings of 57 percent. The project
For individual Profile of a line (\ cost was estimated at $6500, but the actual cost increased as a result of this
or Profile
related features Q research and was $8998. The life-cycle savings was calculated to be $88,218
Profile of a surface
~ --- - with a return on investment of 8.8: l.
Angularity L This example serves as a reminder that reverse engineering is not ''xerox-
-- f-----
ing" a design. In most cases xeroxing a product design is valid reverse engi-
Orientation Perpendicularity --L neering; in other special cases product design improvement by substitution
For Parallelism
------
II
f------
is valid. When using substitute components, one does not disturb the func-
related tionality. A very small percentage of reverse engineering projects will be-
features Position -$
Location
Concentricity (Q)
-- f-----
Circular runout ;t"
Runout ---
Total runout d"
" Arrowhead(s) may be filled in.
Figure 5-4. Geometric dimensioning characteristics.
This discussion of the issues of substitution includes components, materi-

als, or even manufacturing techniques. Without substitution there is the
possibility of duplicating original design flaws. There is the mechanical
example of the case of a rotating part that continually failed after approxi-
mately 7500 h of use. The part was brought into a shop for reverse engi-
neering. An exact duplicate in dimensions, materials, and heat treatments
was produced and tested. During performance testing the reverse engi-
neered part failed near the 7500-h mark, also.
Casing Example. A casing problem for a variable resistor involving an

expensive welded casing for some electrical components comes to mind.
The casing had a wall mounting bracket as the backplate. The engineer
handling the unit wondered if the back plate was really necessary consider-
ing the expense in reproducing the casing. Rather than blindly pursue du- Figure 5-5. Variable resistor casing substitution example.
104 Chapter Five Stage 2: Technical Data Generation
105
come significantly improved on, and thus become value engineering Completion of a Preliminary
projects. Technical Data Package
Electrical and Electronic Components. The special case of component Now that the proper type of engineering drawings have been developed as
substitution is directed primarily toward electrical and electronic compo- a preliminary drawing set (PDS) and the associated performance, testing,
nent.'!. Without some amount of component substitution, virtually no elec- and quality assurance requirements have been added, along with any addi-
trical or electronic component can be reverse engineered. As stated earlier, tional special requirements such as special tooling, the preliminary data
many designs are quite old and design techniques can be outmoded. In no package (PDP) is readied for verification. Referring to Fig. 5-2, on overview
other area of technological advances have parts so quickly become obsolete of stage 2, the next step is to conduct an in-house review of the PDP for
as in electronics, with the possible exception of computers or cold fusion. accuracy and completeness. This is necessary before this PDP can be for-
In electronics it is not a case of design fads but improved performance ca- warded to stage 3 for prototype fabrication.
pabilities of the products themselves or the manufacturing processes that This PDP review should be conducted with an eye toward manufac-
produce these parts. turability to improve the chances for first time success in prototype fabrica-
Most electrical or electronic designs will require some level of product tion. Although the fabrication shop will be sure to come knocking at your
substitution. In some cases it will be quite extensive and will upgrade the door if there is a problem with the design furnished from stage 2, it is the
design so completely that the part can be called a value engineered part. Many responsibility of the design engineers to provide the best information possi-
more cases will simply require that one type of resistor or capacitor be re- ble to those who must construct a part to the reverse engineered design.
placed with a newer, more capable resistor or capacitor. In many of these The primary responsibility of the shop personnel is not to bring basic de-
cases there are companies which publish catalogs with component equiva- sign errors to your attention, but to suggest ways to improve the design.
lencies, so the component upgrade is a given, a known. In some cases the Information such as the location of the primary points of reference for ma-
part which will be substituted must be searched out by looking through chining are critical because they can expedite efficient manufacture of a
much product information and comparing the original performance speci- part. Improperly selected machining references can both cause errors in all
fications to the newer part specifications to ensure that an adequate match dimensions which depend on these reference points and slow the entire
has been made. To find an adequate substitute is the usual procedure; to fabrication point down with redundancies and inefficiencies.
find a better alternative is designing for the future, not repeating the past. If the PDP does not pass an in-house check, a review of the performance,
One of the aims of an engineer is to design what is necessary. To create a testing, and quality assurance specifications will be easiest because it will
design which achieves this and more is the art of reverse engineering. not require that the drawings be revised. A criteria upgrade is usually all
that is necessary. If the PDS is inadequate, then a: revision is required. After
either a criteria upgrade or a drawing revision, another in-house check
Special Tooling must be conducted. Any number of iterations of this process can be con-
ducted. Only when both the drawings and criteria are correct can the pre-
Special tooling is occasionally used in reverse engineering projects. MIL-T- liminary data package be considered a preliminary technical data package
31000, the military specification for technical data packages, defines special (PTDP) which is then passed on to stage 3 (design verification).
tooling as
unique tooling which is mandatory to manufacture an item. It differs

from tooling designed to increase manufacturing efficiency in that the
use of the special tool imparts some characteristic to the item that is
necessary for satisfactory performance and cannot be duplicated
through other generally available manufacturing methods.
If any special tooling is needed, the type and name of the special tool is
required. An example of a special tool may be a computer chip design gen-
eration kit.
6
Stage 3:
Design
Verification
The proof of the pudding is in the eating; the best way to ascertain whether
something turned out as originally intended is to sample or test it. The
proof in reverse engineering is in the strength (accuracy and validity) of
the cumulative data developed in the previous stages. Proofestablishes valid-
ity and the quality or state of having been tested, or proved. The design
generated in stage 2 is verified by testing of a preliminary technical data
package (PTDP) on one or many levels.
The primary method used to validate the PTDP is to build prototypes in
accordance with only the stage 2 engineering drawings and to then test
these pr:ototypes against the criteria developed in stage 2. This verification
method requires that two separate operations be conducted, yet the out-
come is dependent on the completeness of the data to achieve success in
both areas. The two operations are prototype fabrication and prototype
testing. An overview of stage 3 is shown in Fig. 6-1. This overview has both
the fabrication and testing displayed sequentially after the PTDP has been
approved and it is determined that prototypes are necessary.
A Preliminary Technical Data

Package Approval
Prior to prototype fabrication and testing in stage 3, the PTDP requires ap-
proval by a technical entity outside the reverse engineering team. In most
I 107
l.
108
Chapter Six Stage 3: Design Verification 109
vertently overlooked by a purely design-oriented group. Any potential ad-

To versarial relationship from the past between the technical design and tech-
STAGE
4
nical approval organizations should be put aside for the common good of
the future of the systems which are currently lacking adequate supply parts.
In some cases the oversight activity is a technical management organization
responsible for both operations and funding. With any luck these responsi-
ble people have technical backgrounds, connections with the field users,
and friends in procurement. With all these facets they can act to assist in
furthering this PTDP in lieu of acting like a bottleneck and endangering
the future of the project.
No matter who the approval agent or organization is, it is not to be con-
sidered a trifling activity or an unnecessary step in the process of reverse
engineering. These same people may become the resident "reality check";
with their innate system knowledge and an understanding of the criticality
of this part, they will either approve the PTDP or recommend revisions.
Revisions should serve to improve the end product and should be accom-
modated after full and open discussions which end in agreement by both
parties. Review and technical criticism should be viewed as a service. Only
after completion of all the necessary upgrades to the PTDP (those which
can be known) prior to any prototype testing can approval to continue with
figure 6-1. OveIview of stage 3 (design verification). stage 3 can be granted. Without this approval, the project hangs in limbo
and may be terminated. This could happen in a case where the criticality of
a component was grossly underestimated in the previous stages of reverse
cases the reverse engineering design team will not be the final technical engineering.
authority on reverse engineering projects. Mter the completion of an in-
house reverse engineering team design review on the PTDP of drawings
and associated specifications, these should be submitted to the organiza- Prototype Determination
tion which has the technical approval authority. The technical authority in
many cases is the end user, system supervisor, or production manager, who The next step in stage 3 is to answer the key question "Are prototypes re-
will have the authority to grant the technical approval. The reasoning be- quired?" This is one measure of risk in reverse engineering. If prototypes
hind this second level of approval is because this person, or these people, are not built, the risk increases. Building and testing prototypes often con-
will be responsible for the implementation and maintenance of the system stitutes a large portion of the cost to reverse engineer a part. While weigh-
in which the reverse engineered component will be installed. They may also ing the cost of building and testing the prototypes against the risk of
be instrumental in ensuring that the reverse engineering information be adverse affects may appear to be a negative way to measure the risk prior to
used for the purchase of future units. If this alternate source of technical the finalization of any design, the responsible engineer is required to ques-
approval does not like using the reverse engineering data, chances are that tion the design adequacy of any part. Measuring risk is an issue that can be
the part will be purchased the "old" way even after stage 4 approval. Ap- determined only on a case-by-case basis by those most familiar with the sys-
proval from the appropriate agent or organization is necessary to provide a tem, not in this text for all parts and for all systems.
macroscopic view of the part within the system. If prototypes are not required, the PTDP should be rigorously reviewed
Approval of the PTDP is the first step in stage 3. Is the PTDP approved? If before approving it as a complete technical data package (CfDP) and con-
not, then it must be upgraded by iterations until it can be approved. The cluding stage 3. There are a few isolated reasons for not requiring proto-
approval agent or organization can suggest additional technical, testing, types to verify a reverse engineering design. A product verification project
inspection. or quality assurance requirements which may have been inad- may have proved that the available technical data were adequate even with
110
a minor alteration or two. The sample part" worked in the system and the type may be system-testable but not operationally tested. A test fixture may
low risk assumed in not testing a prototype will not jeopardize the final out- not be available to test a prototype at high temperatures, pressures, or
come of the project. If the part is mechanical in nature, many sample parts speeds. The cost to build a suitable test stand or fixture may be exorbitant.
were used to develop the technical data, and there were considerable avail- Outside independent testing laboratories and facilities may be needed in
able data to compare measurements to, and there are no moving part"; pro- cases where the equipment is unavailable.
totype fabrication would be superfluous. The nature of the part can If there have been any design changes, alterations, modifications, or de-
determine whether building a prototype is advantageous. viations from any material benchmarked in either the prescreen or stage 1,
Closely related questions concerning prototype determination are "Can then the potential risk of not building and testing a prototype must be
this design be tested?" (a "yes" or "no" answer should suffice), followed by weighed. When there have been changes since the prescreen and stage 1,
"How can this design be tested?" (Presumably this was determined in stage then the part does require testing. Is this a low-risk or high-risk part? A high-
2.) An item with no moving parts may not be operationally testable, but risk part is one in which failure will potentially cause loss oflife, catastrophic
testable only in a working system. Figure 6-2 shows two mechanical parts, a loss, major equipment damage, or long-term downtime for the system.
nozzle ring and a bushing, which could be prototyped but not operationally If the answer to any of the questions concerning risk points to design
tested. They could have been system tested; however, the risk of not build- evaluation and verification by means of prototyping, then the next question
ing prototypeS was low and in each case no prototypes were built. is "How many?" From a practical and economical standpoint, it is recom-
A prototype can always be built, but it cannot always be tested. How could mended that low-risk mechanical parts have between one and three proto-
a bent tube be tested? A simple circuit design may only require bench test- types built to verify the design which evolved from stage 2 technical data
ing to known operating parameters to verify its design adequacy. A proto- generation. Ordinarily, 5 to 10 electrical or electronic parts should be fabri-
cated. The reason for this increase in prototype fabrication for reverse engi-
neered electronic or electrical parts is that procuring the necessary parts to
build prototypes is as economical for 10 electrical or electronic compo-
nents as for one mechanical part based on material costs. The cost of a sin-
gle resistor is almost the same as the cost to purchase a minimum or sample
lot; resistors are a case in point. Sometimes with electrical parts free sam-
ples can be obtained, thereby reducing the cost to build prototypes. Ulti-
mately, these 10 electrical or electronic prototypes can be added back into
the supply system as spares if testing goes well, producing a net economic
advantage for the system even after the cost of building 10 prototypes is
taken into account.
The number of prototypes fabricated in stage 3 should increase with the
risk of serious failure. Consider, for example, a high-pressure valve. If a
valve has an operational rating of 6000 psi [pounds per square inch
(lb/in2 ), or metric equivalent], the pressure testing of the prototypes is usu-
ally 11;2 times the rated pressure for safety reasons. In this case the pressure
test would be conducted at 9000 psi. If a critical component of a piece of
rotating machinery normally operates at 5000 revolutions per cycle then
testing at 7500 revolutions per cycle would be the minimum necessary to
ensure the manufacture of a safe component. For safety reasons multiple
prototypes should be tested if high temperatures, pressures, or speeds are
involved.
This text does not delineate which factors of safety are to be used. Indus-
try standard safety factors apply equally to reverse engineered parts and
new designs. This brings up a m:yor point concerning risk in reverse engi-
Figure 6-2. Bushing and nozzle ring example parts.
112
neering. It is wise to never bend standard rules of design and testing for operates. If this infonnation exists, it should have been included in the data
collection conducted during prescreening. Without any perfonnance data
parts in the reverse engineering process.
As the safety factors and quality assurance requirements (due to techni- to compare it to, any operational or bench testing can be conducted only
cal complexity) increase, so do the number of prototypes which need to be with good technical judgment and comparative sample parts.
fabricated and tested. There is a fine line between the cost to fabricate mul-
tiple technically complex parts and the number needed to ensure the safety System Testing
of operations which can be detennined only by the organization conduct-
The real proof of a reverse engineered design lies in the system testing. The
ing the reverse engineering.
part must perfonn its function as evaluated from a systemic viewpoint. In
other words, if it does not work in the system that it is designed for, it does
not work. For system testing the reverse engineered component is installed
Prototype Testing Requirements into a working system to validate that it can perfonn the function of an
Once the number of prototypes has been determined (typically 1 to 3 for equivalent part. Arranging for a system test is not the effortless task it ap-
mechanical parts and 1 to 10 for electrical parts), they are to be built in pears to be. Often a system test must be planned long in advance. Some-
accordance with the drawings and specifications developed in stage 2. An times there are long lead times for the placement of prototypes in
additional question now must be addressed: "What level of testing is operating systems. It is advantageous if the same person who approves the
needed to assure a quality design?" There are two primary levels of proto- PTDP also can set up the system testing. This can help minimize the time it
type testing. These are operational testing and system testing. Project type can takes from PTDP approval to prototype fabrication to system testing.
influence the extent of testing. A data enhancement project usually will re- If an experimental system is available, placing the prototype in this situ-
quire less extensive testing than a data development project. A critical or ation lowers or avoids any risk to operating systems in the field. Sometimes
technically complex assembly will require more extensive testing than al- there are working testbeds which provide a good proving ground for the
most any other part in reverse engineering. design work. Ideally, if multiple prototypes are built, then multiple proto-
If sample parts are available, they should be tested along with the prototypes should be system tested. A time limit for testing needs to be estab-
types to establish that the prototype perfonnance is equivalent. Document- lished, and then the part should be removed from the test system and
ing the results of the original and prototypes should be included in one reevaluated by inspection for any degradation.
report for each type, and level of testing is an invaluable comparison when
judging the adequacy of the reverse engineered design.
Prototype Reevaluation
The operating prototype(s) has (have) passed all operational and system
Operational Verification to Original testing. Mter a specified test period the part should be removed from the
Parameters system in which it is being tested for reevaluation purposes. Reevaluation of
Operational testing verifies that the reverse engineered design conforms to the tested prototype is conducted against the same inspection criteria for
the same design parameters as the original part. What is commonly known the production-level item. Any degradation in the physical condition or op-
as bench testing of the operational characteristics of a part is one of the low- erating characteristics of the prototype should be noted for review in the
est levels of testing. Bench testing is simply a check to verify that the part failure analysis.
performs to the minimum operational requirements, i.e., that the input
current generates the desired output voltage. Following bench testing are
cyclical testing, environmental testing (temperature, humidity, salt spray, Prototype Failure Analysis
bum-in, etc.). There are many varieties of operational testing. The specific and Redesign
performance characteristics of the reverse engineered part to be tested
If a part does not pass its operational or system testing, then it is back to the
must be determined for each individual project.
drawing board; that is, it is time to conduct a prototype failure analysis and
Sometimes it is impossible to know what the operational requirement·;
correct any and all defects before completing the TDP using this reverse
and conditions are for the original component. In cases such as these it is
engineered design. Sometimes this is an easy task when the problem is ap-
very helpful to have some knowledge about the system in which the part
~' ,
114 Chapter Six Stage 3: Design Verification
115
parent. Sometimes it takes a great deal of expertise to pinpoint the become a production level item similar to all other system components,
mode(s) offailure. In very few cases it becomes obvious that there are hid- requiring similar criteria. For internationally marketed components, the
den, proprietary design features that could not be discerned in the entire ISO 9000 series will act as the overall quality assurance guidelines while in
reverse engineering process to date. This is where there is a risk that the military applications MIL-Q9858, Quality Program Requirements and MIL-I-
design upgrade will not be approved and the part will be terminated from 45208, Inspection System Requirements are the standard specifications for engi-
the process. neering equipment. Industrial manufacturers will have similar level
Following any redesign due to operational or system failure, the design specifications also. This information should be added to the PTDP in an
change must be resubmitted for approval; if it is not approved either be- appropriate manner. Like the inspection criteria, the quality assurance cri-
cause it has changed the function or is any way unsuitable to the approving teria are both specified and met. This is substantiated in any quality assur-
organization, then the risk of termination looms. Projects types such as ance reports delivered with future production lots.
product verification and data enhancement run the lowest risk of failing
the testing requirements. Data development project types or projects with a
high level of technical complexity, being heavily design-intensive, require The Complete Technical Data
the most stringent design and testing.
Package (CTDP) Review
If the design changes are approved, the prototype determination and
testing cycle begins again. If additional prototypes are necessary, it must If any errors in the engineering drawings or testing procedures surface dur-
first be determined whether the original prototypes can be upgraded ac- ing the fabrication or testing of the prototype, the shop personnel should
cordingly or if new designs need to be developed. The cycle continues until have notified the lead engineer as soon as possible to correct the drawings.
an approved prototype can pass both operational and system testing. By the time you reach this last step in stage 3, many of the engineering
drawings and testing procedures have received multiple revisions and
modifications during the many reviews. The final reverse engineering tech-
nical data submitted for the CTDP should all show a revision level ofA or O.
Inspection Criteria
This primary revision-level labeling of A or 0 will make it easier to identity
Inspection criteria are added to the PTDP at this point in stage 3. The in- this as a reverse engineered item and serves to set it apart from older in-
spection criteria will be used for future production lots of this part. While house design data. All in-house iterations should have been tracked
no errors are tolerated in the prototype fabrication, a limited number of through a separate procedure.
defective parts are allowable in a production mode. Most often a sampling With all upgrades embedded into the latest revision of the PTDp, along
method and procedure is chosen in accordance with corporate or agency with the addition of inspection and quality assurance requirements, the
procedures. Specific design features will need to be verified as accurate on PTDP is about to become the CTDP (complete technical data package).
every unit produced using this technical data. Choosing which key features This CTDP is the entire design package which will be the basis for all future
must conform on every part, and their associated tolerances, must now be production of this part. Final preparation for stage 4 means having one last
added to the PTDP. Once inspection criteria are specified, future produc- CTDP review by the shops, engineers, and senior-level design team mem-
tion lots must meet the inspection requirements now listed in the PTDP. bers. Completion of a stage 3 design verification checklist is recommended.
Inspection reports should confirm that the inspection criteria have been A sample stage 3 design verification checklist is shown in Fig. 6-3.
met as well as specified. This checklist, like all other reverse engineering documents, can be
tailored to suit specific project needs but should include the minimum in-
formation pertinent to '.!- drawing review, technical and performance speci-
fications, testing criteria, inspection and quality assurance provisions, and
Quality Assurance Criteria "the final question."
Addition of quality assurance criteria must be similar to that of inspection When all this information has been assembled and reviewed, as well as
criteria. Quality assurance requirements are also needed for future produc- double-checked, the TDP is now complete. Procurement provisions are
tion lots. Corporate or agency standard quality assurance procedures are added in stage 4 since they have little to do with the design verification of
adequate to fulfill this requirement. Once a prototype has passed all its test- stage 3. The entire design package is then considered to be ready for stage
ing requirements, the design has been proved. This proven design will later 4 (project implementation).
116 Chapter Six
Stage 3 Design Verification Checklist

It is important that all the questions listed below be answered affirm-
atively before proceeding to stage 4-project implementation. Ad-
ditional project specific information can be included to verify the
completeness of the technical data package as necessary.
Drawing review
• Is there a listing of all drawings and technical data?
7
• Is revision A or 0 the latest version of each drawing?
• Does the information on the parts list or bill of materials specified
match the final prototypes?
Stage 4: Project
• Are all dimensions, finishes, and tolerances included?
• Are schematics and artwork an accurate representation of the final
component?
Implementation
Technical and performance specifications
• Are there design or performance specifications which must accom-
pany this technical data package?
• Do these specifications match current industry or government The preliminary technical data package (PTDP) assembled in stage 3 meets
specifications? all the test, inspection, and quality assurance requirements needed to verify
• What are the operating parameters for this item? the design. The stage 3 design verification checklist has been completed
and all technical data generated is in its final form. With the inclusion of all
Testing criteria test, inspection, and quality assurance report.., the data have collectively be-
• Are both the operational and system testing criteria specified? come the complete technical data package (CTDP) and are forwarded to
• Is the requirement to pass these criteria clearly specified? stage 4 for finalization and prC!ject implementation. An overview of stage 4
is shown in Fig. 7-1.
• Do final copies of the testing reports and data substantiate that all
requirements have been met? Some important steps in the finalization of the TDP are included in stage
4 and must not be overlooked. To the casual observer or the purely techni-
Inspection and quality assurance provisions cal individual some of these steps may seem superfluous, but each provides
• Are specific inspection and quality assurance criteria required? some necessary level of guarantee that this project will be implemented
without incident and provide the part specified on the drawings. The ad-
The final question dition of procurement requirements assures that all technical require-
ments will be complied with and all testing will be both completed and
• Is the information contained in the complete technical data pack-
documented in future procurements. The delivery of prototypes, the engi-
age sufficient to fabricate, test, inspect, and procure this part from
neering and economic summary, and the CTDP with procurement re-
another manufacturer?
quirements, form the fin.al TDP. To gain final signature approval, a formal
Figure 6-3. Stage 3 design verification checklist. presentation of this cumulative information should be made to those who
can grant the final approval for the use of this information as the basis for
future procurements. The formal presentation will provide the approval
body with the opportunity to ask questions concerning the project and it'l
various nuances as well as provide the engineering lead with the opportu-
nity to showcase the capabilities available in-house.
117
L
118 Chapter Seven Stage 4: Project Implementation 119
may be prevented from bidding on a valve assembly. A valve manufacturer

may not be allowed to bid on electronic parts. Procurement requirements
will almost invariably include some form of procurement restrictions or
compliance issues; therefore, the role of procurement becomes important
STAGE 3
to the finalization of the eTDP.
If a part is used on a system which will have aerospace applications, cer-
tain specifications will apply that would not if the part were to be used in
conventional manufacturing environments. Likewise, the environmental
clauses for a piece of equipment for a naval system will include salt expo-
sure testing and a high-humidity testing requirement that will guarantee
the continuing operation of the part in any seawater-exposed environment
Figure 7-1. Overview of stage 4 project implementation.
from the arctic to the equator.
Procurement requirements may include specifications, packaging, pack-
ing, shipping, handling, delivery dates, forms of payment, compliance
testing, first-article testing, inspection, and reporting procedures. The pro-
The Addition of Procurement curement personnel will guarantee that the TOP has all the necessary re-
Requirements to the CTDP quirements to fulfill the mission of the part. If the engineers in stage 2 have
Procurement requirements are a separate entity from design requirements fully understood the application of the part, they have made the job of pro-
and as such do not belong in stage 3 (design verification). Some of the procurement infinitely easier by specifying which requirements have associated
curement requirements will be derived from some of the technical require- inspection or testing and which must be requested in the bid package. The
ments in the croP, such as source control for special parts of an assembly. procurement specification will be based on the croP but will take on a life
The CTOP with the additional procurement requirements will be used as of its own in stage 4.
the basis of all future procurement actions after receiving stage 4 approval
as a final TOP. (Note: At this point the final TOP may be referred to as the
IDP, however, IDP is technically the acronym for the final product after
The Delivery of Prototypes
approval. The interim stages of reverse engineering have been given indi-
vidual acronyms to differentiate the various stages of the technical data de- The delivery of prototypes is an important step because it provides the vis-
velopment.) ual proof of design sometimes overlooked in stage 4. At least one function-
Every corporate and government procurement activity has its own way of ing prototype should accompany the final TOP during the formal
handling the dissemination of technical data to those who would fabricate, presentation for signature approval. If possible, one or more of the original
manufacture, or supply parts to a company or organization. A large com- sample parts should accompany the prototype for comparison. Although
pany has one set of rules where a small business might have less restrictions. all tested functioning prototypes are valuable assets, it is seldom necessary
There will be organizations which produce the parts using facilities avail- to deliver all prototypes in the signature approval presentation (if multiple
able in house; therefore, no additional procurement requirements will be prototypes have been made and tested) because it is only redundant and
necessary. No matter what fabrication and procurement method is used, it serves little purpose in proving the validity of the reverse engineered de-
is virtually guaranteed to vary from organization to organization. Even the sign. Any remaining prototypes will need to be inducted into the supply
best-designed reverse engineered part must eventually be purchased to be system after signature approval is obtained.
of value to the organization; therefore, the procurement activity must have If more than one set of prototypes were fabricated in stage 3 as a result of
a hand in the finalization of the TOP. failure or significant degradation, all set" of prototypes should be for-
Procurement requirements may include restrictions on the sources warded to stage 4 to accompany the CTOP as it is prepared for finalization.
which may bid on the CTOP. A component which includes a bearing may These multiple prototypes can be made available as proof to the naked eye
have restrictions which apply to the selection of bearing manufacturers on of the casual reverse engineering participant who has funded this effort for
a source control drawing included in the CTOP. A bearing manufacturer the past few months or years, that yes, all technical difficulties have been
k
overcome by design improvements, and verified by repeated testing. It is in an immediate fashion in terms of supply support and economic return
assuring to those who would approve a design package to see the damage to on investment.
an initial prototype the first set of field trials caused, and the resultant lack There is one final issue in prototype delivery. If the tested prototypes are
of damage to the final prototypes. To see only a final product after much an asset, does that make the original parts already in the supply system and
trial and tribulation has been passed through is to minimize the effort re- those on back order a liability? If the original parts are found to be so defi-
quired to improve the end product. To the practiced eye, these iterations cient that they are rendered useless, then you have a potential disposal
do not serve to highlight your misjudgments or mistakes, but serve to prove problem on hand if these parts contain hazardous, toxic, or radioactive ma-
that your persistence has truly solved a difiicult design problem. So deliver terials. In the vast majority of cases there should be no serious problem with
all prototypes to stage 4, even the mistakes (assuming that it is possible that the continued use of original components until exhausted. There should
reverse engineers make more mistakes than the original designers). Of be no reason to interrupt the supply system to introduce reverse engi-
this lot a few example parts should be selected for the formal signature neered components, but if there will be a negative effect to scrapping or
presentation, while the remainder can be easily made available should a disposing older parts, be certain that this information is included in the
need arise. On delivery of prototypes, the sample parts supplied in stage 1 engineering and economic report.
are also included unless they have been destroyed through disassembly or
testing.
The prototypes produced in stage 3 that have passed system testing are The Engineering and Economic
proven end products and can now be used as valuable assets to the system Report
for which they were designed. The introduction of proven prototypes from
stage 3 to the supply system brings a much needed maintenance function Before the approval body endorses the entire project, procurement regula-
benefit in the form of future supply parts. These reverse engineered proto- tions, prototypes, and so on, the reverse engineering team has one final
types can be considered to be an economic savings in and of themselves. task: to generate a final engineering and economic report. The responsibil-
This saving, although often small compared to the project cost, can add up for the generation of this report rests primarily with the lead engineer.
to large savings over the course of a large reverse engineering program with The report functions as the executive summary of the project and provides
many projects. the documentation and economic justification for reverse engineering the
The following hypothetical example illustrates this point. The Interna- part-from prescreen through stage 4. This document is not just a techni-
tional Big Money Corporation of America, Inc., has reverse engineered 100 cal summary but a business document from which good decisions can be
parts of a large system over a 5-year period. made. No example report is provided in this text since this should not be a
If 50 of these parts are mechanical and on the average 2 prototypes are single page form and should always be unique to the project in all ways.
fabricated and have passed system testing, there will be 100 supply assets to except perhaps in its basic format.
add back into the corporate supply system. If the unit cost of these parts Each engineering and economic report details the individual processes
average $100 each, then the corporation has saved $10,000. There is also used to achieve the end result of the each reverse engineering project. A
the intangible cost savings of not having to complete the paperwork that is standard format for this report includes background information detailing
associated with any purchase, and there is no waiting period to ordering the reasons for selecting this item as a candidate, the establishment of the
and receiving these parts in the supply system. That could mean the differ- final configuration of the part, a summary of the technical data develop-
ence between a short downtime for the repair of a critical machine and a ment in stages 2 and 3, a summary of major difficulties overcome in design
3-week wait to rush-order the part from the supplier (who often will add a and testing, a summary of all testing. and the economic results of reverse
service charge for rushing the order). engineering. It should read like an executive summary of the individual re-
Of the 50 electrical and electronic parts reverse engineered, only an verse engineering project and should "sell" the reverse engineered design
average of 5 prototypes are submitted with the final TDP. These 250 parts Or solution to the approving body, especially if the reverse engineered de-
normally retail for $100 each, also. This is a $25,000 real savings. Taken to- sign truly is better than the original design.
gether, the $35,000 saved can fund additional projects or be reinvested in This report also functions as a crucial management tool because the ef-
the reverse engineering program to help it become financially self:'support- fectiveness of each reverse engineered project can be measured in real dol-
ing. In this way prototype delivery can be of direct benefit to the company lars (or pesos, yen. or marks). The effectiveness of the investment made
I
I.. ~ _____ _
and the expected return on investment from each project is recorded in Summary of Technical Data
these engineering and economic reports. A cumulative record, over time, Development
of individual project successes by the reverse engineering team can validate The report should include a brief summary of the reverse engineering de-
the benefit of continuing support for the program. sign process including the number of sample parts provided with their asso-
For reference purposes a copy of the original prescreen recommenda- ciated physical condition, the number of prototypes produced, and the
tion sheet and stage 1 report are recommended as attachments. Many of design problems encountered and overcome. A brief review of the number
the figures calculated, such as the life-cycle savings, will be recalculated and and types of engineering drawings developed which are necessary to define
compared to the pre-stage 1 figures. These will also become important in the part is helpful. The summary of technical data development is a record
the determination of the final return on investment. These reports can also of the various tasks needed to complete the pr~ject and will give manage-
be used to roughly measure the time it has taken to complete this project, ment the insight into the real-life tasks that were performed to bring this
from start to finish, a pertinent management metric to some organizations. project to completion.
Most jobs appear easy to the outsider, especially when they are only look-
ing at the finished product. How many of us think of all the tasks per-
formed to build our cars? We might appreciate the effort that the person
Background Information who installed our car's brake or electrical system, if we could comprehend
The background information should include the primary reason for select- all this person has done on our behalf. This report is then a final opportu-
ing this item of supply as a potential candidate during prescreening, such nity to recognize the extraordinary efforts that a particular department or
as economic reasons, obsolescence, and lack of supply support, and whe- shop contributed to the project.
ther anything changed or augmented this recommendation in stage 1. If
this item was suspected as the underlying cause of much system downtime,
and this was the major reason for introducing this item, it is also of note. Summary of Major Difficulties
Basically, discuss anything of note which justified the selection of this item Overcome
as a candidate and its acceptance as a project. If any extraordinary obstacles presented themselves and were overcome,
this is important to document in the engineering and economic summary.
If, for instance, the material composition derived from the material analysis
matched no known alloy, and three other material identification methods
Configuration Control were needed to pinpoint the material, this would be considered to be a dif-
Configuration control is the means of establishing the final baseline design of ficulty overcome. If no testing facilities were easily available and a test stand
this item and its associated part number. Any original manufacturer part had to be fabricated to accommodate the testing of the prototype, this
numbers will be correlated to any new part numbers established as a result should be discussed. If outside assistance was needed for verifying the oper-
of reverse engineering. A new part number may need to be established to ating conditions, this, too, should be noteworthy. A particular person may
differentiate the reverse engineered item from the original item of supply, have tracked down a user to understand a seemingly arbitrary design re-
although the various numbers should be cross-referenced. Future configu- quirement which turned out to be a substantial design detail, and this also
ration control and definition will rest with the reverse engineered design is a major difficulty overcome.
after the first procurement of this item to the final reverse engineered TDP.
If there are any substantial differences in the original and reverse engi-
neered designs, this should be discussed to the extent necessary to establish Summary of Testing'
the final reverse engineered design as the future design. A part may have
multiple system applications. Not all system applications may accommodate A listing of all tests performed, from bench testing through extended sys-
the reverse engineered part for a variety of reasons, and this should also be tem testing, should be the basis of the testing summary. Any known condi-
noted. This section of Engineering and Economic Summary may also con- tions should be listed, and any comparative findings from the actual testing
tain a listing of important industrial or government/military specifications should be discussed. If the performance of the prototypes surpassed that of
and standards used in the development of the technical data package. the sample parts, be certain to note this. Deviations from expected results
~ ..
can be included in the summary. This should be a comprehensive indica- more marginal nature are introduced for reverse engineering. The ap-
tion of the extent of testing, if any, performed to verify that the prototypes proval body and financial persons will probably monitor the progress of the
work at least as well as any sample parts. Again, if special test equipment was entire program on the basis of the team's ability to select projects wisely and
necessary or had to be fabricated, this should be included in the report. achieve positive tangible economic results regardless of the 25: 1 goal.
The passing of all testing requirements establishes the true validity of the It is also helpful to compare the projected cost to complete stage 1 and
reverse engineered design. The summary of testing should do so, also. those costs associated with the completion of stages 2 through 4 against the
actual project costs to validate the estimating abilities of the projects which
the team has undertaken. Some level of accuracy can mean that the techni-
The Economics of Reverse cal staff know what they are doing and notjust making guesses. Over time it
Engineering
will show which shops, laboratories, Or other company resources are the
The economics involved in the reverse engineering decision should pro- most effective, or ineffective, as the case may be. (A company which has
vide the final justification for the decision to fully implement the reverse continuous improvement as its goal would then highlight this shop or lab
engineered design. Preliminary economic data should be compared to cur- for assistance in improving its effectiveness.)
rent economic indications. The only case where economics is overlooked,
but still discussed, is obsolescence. For the vast majority of projects the eco- Determination of the Return On Investment. This is the one piece of
nomic portion of the report is the most important part of this document. data certain to be watched closely. One objective of reverse engineering is
to achieve a ROI of the organization's funds. To calculate the ROI, we must
Projected versus Actual Costs. From the stage 1 report the pr<~ected return to the calculations made for the stage 1 report. This figure was based
reverse engineering costs for the completion of stage 1 and the costs of on the target 25 percent unit-cost decrease. If the unit-cost decrease varies
stages 2, 3, and 4 should be compared to the actual costs at the conclusion from the 25 percent, then the life-cycle savings (LCS) must be recalculated
of the pn~ect. The estimated new cost to manufacture the component is using the actual percentage cost reduction. The LCS calculation can be
compared with the cost of the original component both in real dollars (pe- found in Chap. 3, on economic and logistics calculations. The ROT is a ratio
sos, yen, or marks) and as a percentage ofthe original cost. Should-cost and of the total projected LCS savings minus the cost to reverse engineer (RE
actual amounts will be compared if possible. cost) (the actual money invested) divided by the cost to reverse engineer.
If the original part cost was $537 and the reverse engineered part should
cost $372, the $165 difference will have more meaning expressed as a 30.7 ROI = LCS RE cost
percent decrease in unit price. This also helps the reverse engineering cost
team determine whether it met its goal of a 25 percent unit-cost reduction. The LCS calculation may provide the largest variation in the actual stage 4
Remember from the stage 1 report that the cost of the reverse engineered ROI. In the prescreen the decrease in unit cost is assumed to be 25 percent.
component is computed on the basis of a 25 percent unit-cost reduction. By the time stage 4 is reached, there is a new estimate of the unit cost de-
In real-life reverse engineering, the stage 4 return on investment (RaJ) crease due to reverse engineering. Thanks to our efforts in stage 3, we now
can be lower than the 25:1 ratio used to select projects. The 25:1 ratio is know how much it should and does cost to produce this part. Ifwe return to
used to maintain the integrity ofthe overall program even if individual pro- our previous example of a $537 part being purchasable for $372 after re-
jects have a lower ROI. Some projects will have a higher than 25:1 ROJ, and verse engineering, this represents a 30.7 percent decrease in unit cost. This
this will help balance out the projects having a marginal ROt Keeping in impacts the LCS when it is calculated as follows: (LCC = Iife-cycle cost)
mind that any positive ROI is beneficial, the 25:1 ROI ratio is simply a de-
sired goal. ~CS = (LCe) (% unit savings)
As noted earlier, a unit-cost reduction of only 11 percent can be balanced
where
by 42 percen t unit-cost reduction from other projects. When the majority of
the projects are reduced in cost less than the 25 percent goal, this might LCC = (life-cycle usage) (pre-RE unit cost)
indicate a problem in either the prescreening criteria or in decisions from
the early stages of reverse engineering. Initially selected projects should If the part in question were needed 100 times per year for the remaining
aim for the 25: 1 goal, but as the program matures the average ROI is likely service life of 15 years, the life-cycle usage would equal 100 x 15 = 1500.
to decrease as the pool of high potential projects is depleted and those of a Over the next 15 years 1500 part'! are needed, assuming that the demand is
~:
Stage 4: Project Implementation 127
126 Chapter Seven
held constant. With a pre-RE unit cost of $537, the LCC would equal into the reverse engineering program in the first place? It was already too
$805,500. The LCS calculated in prescreen was expensive, too hard to purchase, and too few in existence; broke down too
often; and/or did not work right in the first place. So rest assured, if the
LCS = $805,500 x 25% $201,375 steps of each stage were executed to the best of the team's collective ability,
virtually all reverse engineering projects will be approved.
The LCS calculated in stage 4 is
LCS = $805,500 x 30.7% $247,288.50

The Approval Body
This is an expected increase in actual savings of $45,913.50! This is prob- The final TDP now must be submitted for final approval. Exactly who
ably enough to cover the cost to reverse engineer the average project. This makes up this final approving body is left to the discretion of the company,
type of change from the projected to the actual costs or savings can prove but there should be some overriding (or underwriting) activity to deter-
significant and should be highlighted in the engineering and economic re- mine which parts will be manufactured and procured in accordance with
port. the new technical data generated by the reverse engineering process. This
Despite having a newer, more accurate set of figures with which to com- approval committee is responsible for ensuring that the overall integrity of
pute the ROIs and such, these figures remain relatively unproven until after the system will not be jeopardized and that resources are not spent frivo-
the first buy using the reverse engineering technical data has been made. lously.
The stage 4 ROI is still a projected figure, while the stage 1 ROI was an
estimate.
In many cases in which reverse engineering has been conducted, the en- Why Final Approval Is Necessary
gineers can point to intangible benefits gained from the process and its re-
By now the reader must be wondering why final approval is necessary when
sultant new part. If there is any way to quantify the longer mean time
there are approvals at each stage of the reverse engineering process. The
between failure, which lowers overall maintenance costs, or the increased
multiple levels of approval are part of the checks and balances built into the
ease of installation, which shortens system downtime, it is recommended
process. Without the approvals and communication with the users and or-
that an attempt to calculate these values be made. This information may
ganizations which fund the program altogether, some large projects have
tum the tide on a marginal part or provide some future gain as yet un-
not only failed but also totaled up large financial losses. If all the steps have
known.
been adhered to, the approval process should be only a formality. If the
quality has been built into the end product at each step of the way, it need
not be mandated to gain final approval.
The Final Technical Data One true-life project lost upwards of $250,000 of out-of-pocket company
Package Approval money because of inadequate screening, poor communication with the us-
This is the last leg of the journey for a part which has traversed many de- ers, and ignoring the findings of stage 2 which pointed to project failure.
partments, many users, many individual contributions which now are col- The project was already over budget in stage 2, based upon the original
lectively known as the reverse engineering team. Much human effort has been estimate generated in the stage 1 report. The engineering expertise given
expended into making this a reality-not a cancerous, money-sucking black in stage 2 to abort the project was overridden as the project went into stage
hole of paper. There may be cases where even under the best of efforts the 3. The project went to completion only to have the final reverse engineered
part cost twice as much as the original. All the technical data generated
approving body will not sign off on a project. If resolution can be reached,
ultimately were worthless to the agency which funded the project. The
this would be a desired goal. Otherwise, resolution is unknown and the pro-
$250,000 spent could have been better utilized to fund additional future
ject can be effectively terminated (and no savings are achieved).
projects; however, there was no oversight function to step in and intervene
Despite the possibility of a last-minute snag, most projects which provide
when an elusive goal was being mindlessly pursued in a vain attempt to
the organization with some tangible benefit will receive final approval. M-
cover up errors in engineering judgment made early in the process.
ter all, who could tum down all that hard labor and design effort to make a
The multiple checks and balances ensure that the program works to the
prototype that works as well as, or better, than the part that was admitted
128 Chapter Seven
benefit of those underwriting the team's efforts and prevents catastrophic

loss. The oversight function is unnecessary if all participants have done
their jobs.
Final Implementation
Once the project has gained signature approval, all future procurement'>
will now represent the reverse engineered component configuration. The
8
engineering drawings should now be signed, if they were not already signed
at the completion of stage 3, by the lead engineer. Record copies should
remain in engineering, while procurement should receive signed copies for
Summary of
future buys.
The shop floor personnel should be made aware that the reverse engi-
neered design has been approved for final implementation, and any new
Reverse Engineering
part numbers should be added to the procurement files and the engineer-
ing database used for maintenance. With the inclusion of purchasing and
procurement in stage 4, the shop floor personnel are now ready to fulfill Classical examples of mechanical and electrical reverse engineering have
their role in the execution of guiding future requestors to the new item been threaded throughout the text, but to highlight many important as-
when they receive requests for the old part. If a potential list of suppliers pects of reverse engineering a single special project is reviewed in depth,
has been identified and generated, a notice should provide information on step by step. Special projects are that elite class of reverse engineering that
the date of final approval so that they can be prepared for any future re- allow engineers to use all the creative faculties within their power. Design
quest'> for replacement parts. With the first purchase, implementation has solutions are not the typical everyday part substitution; often they require
begun. the synthesis of much design information to produce workable solutions.
Because of their inherent complexity, special projects often take long peri-
ods of time to complete and are very costly. Although the cost of special
projects is high, substantial returns on investment stand in the balance. The
return on investment based on a simple ratio increment of 40:1 can pro-
duce a high payback in real money.
Reverse Engineering
Summarized in a Special
Project
The example special project selected for review is a magnetometer used on
the degaussing systems aboard surface ships. The magnetometer, a compo-
nent of the degaussing -system, senses the strength of the magnetic field in
the X; Y, and Z directions. This project took almost 3 years to complete. The
reverse engineering costs were estimated to be $250,000. The final cost was
over $335,000. The projected return on investment was expected to be in
the range of $800,000. With these high dollar amounts, the return on in-
vestment is only 1.4: 1 expressed as a ratio; if this is realized, then the organ i-
129
ti
130 Chapter Eight Summary of Reverse Engineering 131
zation conducting the reverse engineering stands to save $465,000 over the part was shipped off and a few weeks later returned with all its internal com-
remaining lifetime, and this is a substantial savings in any budget. ponents undamaged and intact. The results of this process not only left the
internal components undisturbed but also the part numbers still legible (a
tremendous aid in the reverse engineering process). It is regrettable that
Prescreening and Stage 1 this small business no longer exists and the proprietary process remains a
When the magnetometer was reviewed in the prescreen, it was an $11,000 secret to this day.
nonrepairable item of supply. Because of the complexity of the design, high Figure 8-1 shows the layout of the internal components and their relative
failure rates were being experienced. If this part was installed and failed to sizes after the depotting process. Only one of the three magnetic cores is
work for any reason, there was no way to repair or adjust the magnetometer, shown. The design then had to be studied in great detail, and a draft sche-
and another $11,000 part had to be requisitioned from supply. When the matic of the now depotted magnetometer was drawn. This schematic was
lid was removed, the magnetometer revealed aU the internal components needed to begin to understand the original design strengths and weak-
solidly entrenched on a bed of epoxy resin that could not be removed with- nesses. Because there was no damage to the internal components, the de-
out damaging these internal components. This served to further reinforce fects were repaired and operational bench testing was performed to
the magnetometer's nonrepairable status by making it a throwaway product determine many of the operational characteristics.
in the event of failure. Much of the design utilized 1970s electronics technology; however, there
Despite the formidable challenge of reverse engineering a design as yet were some unique and relatively ingenious applications of this technology.
unaccessible, the economics of the project reinforced the need to proceed The most difficult design parameter to reverse engineer was the nine inter-
with reverse engineering. The remaining service life was 20 years because dependent potentiometers which had to be adjusted perfectly to a cali-
this component was being installed in a class of ships still under construc-
tion for the U.S. Navy. The annual usage rate was 14 to 15 units per year.
This means that approximately 290 units would be needed over the lifetime
of this part. At $11,000 per unit, that equates to a life-cycle cost of$3.19 mil-
lion. A unit savings of 25 percent equals a life-cycle savings of $797,500. In
stage 1 the original cost to reverse engineer was estimated to be $250,000.
The magnetometer was classified as a data development project. With these
figures in hand, it was decided that this was an economical reverse engi-
neering project. Because of its complexity and the associated risk, the high
cost, and the possibility that this could take 2 years to complete, this project
was classified as a special project.
Stages 2 through 4
The first challenge to reverse engineering the magnetometer was to get the
internal components out of the casing. As mentioned earlier, all the inter-
nal components were solidly encased in epoxy resin. The first line of attack
was to physically chip out the epoxy. This method caused damage to the
first components encountered and was abandoned. A second method using
powerful solvents created little further progress. At this point a fortuitous
opportunity befell the engineering staff. A small business was demonstrat-
ing its proprietary method of depotting solid epoxy resins without damag-
ing the parts encased in the resin. After examining the magnetometer to
determine the feasibility of depotting this unit, this small company decided Figure 8-1. Layout of internal components of original design and their relative sizes after the
that, indeed, they could unentomb the contents of the magnetometer. The depotting process.
f
132 Chapter Eight Summary of Reverse Engineering
133
brated core value. Each and every magnetometer had been calibrated for
the individual set of cores installed in the unit. Once all nine potentiome-
ters of the unit were adjusted to match a calibrated set of core values, the
unit was installed into the aluminum casing and filled with epoxy to keep it
from being disturbed and knocked out of calibration.
EMf Shielding. A unit operating in the field was exposed to high electro-
magnetic interference (EMI) fields and therefore required considerable
EMI shielding. This unit was also exposed to an open saltwater environ-
ment and on the basis of ship missions could be required to operate in tem-
peratures ranging from those experienced along the equator to those
experienced within the arctic circle. The magnetometer had to continue
accurate operations in a very difiicult environment, and so filling the casing
with epoxy was not an undesirable design solution, unless you happen to be
reverse engineering this unit. Potting all the internal components with ep-
oxy, however, is not the only solution to meeting these strenuous design
criteria.
One of the intrinsic goals of reverse engineering is to reduce the unit
cost by 25 percent. The magnetometer project also had a secondary goal: to
make this a repairable item using a set of skilled individuals to maintain this
item. Repairable items are available in a variety of forms: those that can be
repaired only by the original manufacturer, those that can be repaired at Figure 8-2. Size difference between original and reverse-engineered casings.
one single location or depot, those that can be repaired only on shore in
the case of the U.S. Navy, and those that can be repaired by any skilled tech-
nician in the field, or at sea in this case. The magnetometer had a reverse
between the original equipment and the reverse-engineered model. Figure
engineering philosophy that repair and recalibration could be performed
8-2 shows the physical size difference between the two casings.
at a single depot to have them available for reinstallation in the field in the
event a unit failed.
The Magnetic Cores. With the EMI shielding issue settled, the next de-
To render the magnetometer repairable, another method of encasing
sign challenge was to reverse engineer the magnetic cores. The magnetic
the internal components, in lieu of the epoxy, had to be found. After re-
cores in the original design were no longer available on the commercial
viewing the field of alternatives, a cast aluminum casing used for cable TV
market. Similar cores were identified, but a new method of wrapping the
line amplifiers was found. This casing had the high EMI shielding already
cores with copper windings to give them the same essential characteristics
available because of the Federal Communications Commission (FCC) strict
was needed. The multilayer construction of the newer cores is shown in Fig.
radio frequency signal leakage specifications. These casings also have the
8-3. It is also apparent that these new cores are approximately one-third the
capability to withstand cyclic extremes of temperature and moisture for size of the older cores after being wound in copper.
years on telephone poles and other unprotected areas. This type of casing
could then provide the level of EMI and environmental protection for a
The Breadboard Model. With the original design committed to memory
much lower cost since these were already being mass-produced for the TV
with all its flaws and ingenious solutions, the path for the development of
cable industry. The only difference that posed a problem was the larger size
new design circuitry had to be mapped out. The method which was opted
of the cable TV encasement. Due to restrictions of the mounting frame and
for to test out new electrical circuit ideas was the breadboard model. The
size, a call had to be placed to a knowledgeable person who could deter-
breadboard model minus the X, Y, and Z cores is shown in Fig. 8-4. The use
mine whether a larger casing could be accommodated. A field user was
of the breadboard allowed for testing of newer design options than were
identified and contacted who did verify that the larger size could be used previously available in the 1970s when this design was originated. Many of
but that the bolting pattern had to be maintained for interchangeability
the older components were replaced by integrated-circuit (Ie) chips de-
134 Chapter Eight Summary of Reverse Engineering
135
signed to achieve specific performance characteristics. The use of Ie chips

improved the reliability of the individual components and of the overall
unit. The nine interdependent potentiometers were replaced with a micro-
processor chip that could solve a calibration matrix for the nine unique
coefficients. Figure 8-5 shows the breadboard model with the magnetic
cores embedded in a test assembly to verifY that measurements of the mag-
netic field are accurate in all directions and with all degrees of freedom.
Old versus New Circuitry Design. Figure 8-6 shows the differences in
circuitry technology between the older design and the newer design, which
has built-in diagnostic and test capabilities. The upgrade from a two-circuit-
card assembly (left) to a five-circuit-card assembly (right) allowed for the
use of an extender card to be used as a base to attach a circuit test and
diagnostic capability. The accuracy of measurements on each axis could be
tested and in situ recalibration could be accomplished. Figure 8-7 shows the
entire assembly of internal components necessary for the reverse engi-
neered design: casing, cores, and circuitry. Figure 8-8 shows the assembly as
it is installed in the casing with the test card assembled onto the extender
card.
Figure 8-3. Multilayer construction of the reverse engineered cores.
Figure 8-4. Breadboard model minus X, Y, and Z cores. Figure 8-5. Breadboard model with cores.
,
Chapter Eight Summary of Reverse Engineering 137
136
Figure 8-8. Assembled reverse engineered design.

Figure 8-6. Circuitry technology differences.
Review of the Project as a

Successful Reverse Engineering
Model
Only one prototype of the new magnetometer design was produced. The
breadboard model was put through rigorous testing before committing the
design to a prototype model. The prototype model was later bench-tested
equally rigorously and system testing was to begin. The prototype magne-
tometer was estimated to cost around $8000, representing a 27 percent
unit-cost savings. It also achieved the repairability level that was expected.
The final outcome of this project is indeterminate due to a lack of commit-
ment on the part of the user.
The review of this project does serve to highlight the multitude of steps
and resources necessary for successful reverse engineering. The casing di-
lemma served to highlight the interdisciplinary talents required for many
pr~jects. The Ie chips arc an example of product substitution. The synthe-
sis of the new design is the product of many talented minds working toward
a common goal and, all restraining factors withstanding, achieved that end
from an engineering standpoint.
Figure 8-7. Layout of reverse engineered design.
i;
9
Future
Applications
Where does reverse engineering go from here? How does it fit into today's
changing global technological and economic environment?
Solidly entrenched in the mid-1990s, reverse engineering seems to be ex-
periencing a revival \\<ith the United States Department of Defense (DoD),
along with a growing interest in the subject in the commercial arena. In the
DoD it seems only natural that in these times of tight military budgets that
current systems need to be maintained longer and longer. Most military sys-
tems are designed with a 30-year life span. The current rapid pace of tech-
nological growth has served to highlight reverse engineering as one of the
more economical solutions to the diminishing sources of manufacture and
supply. What the military has felt for over a decade the commercial arena
has just now begun to experience. The use of IC chips in designs and their
typical life cycle of 3 to 5 years has led to the increasing awareness in indus-
try of the problem the military has faced for some time. Figure 9-1 shows
the relationship between the volume of use of a particular IC chip and its
life cycle for the industrial and military markets over time.
The future always looks different from our vision. Invariably we cannot
see the future, only the trends, changes, or challenges facing us today.
Some trends do have a tendency to persist in appearing in our everyday
world already, although~ we may not be ready to accept the challenges of
accommodating these ideas. Ideas such as corporate downsizing and right-
sizing are now acceptable, but accommodating this idea means requiring
more effective use of current capabilities with higher reliability using a
smaller workforce which is required to maintain or improve productivity.
Using yesterday'S cumulative knowledge, we cannot see that this possibility
exists because this multitude of requirements appear to be contradictory
139
140 Chapter Nine Future Applications
141
Intro ~Att m:~tion: •

Not suitable technicians who should be sent to get engineering degrees, or a decrease in
for new design
~:::l the number of technical skills needed to operate equipment. In short, it
I
: Decline Use caution
g I
probably means change, both for the actual workforce and for the way man-
I Obsolescence • OK for ctesign agement thinks of its personneL Reverse engineering is a first step to open-
9
ing the door of comnllmications between functional areas; however, there
o 10 years 30 years is a multitude of options beyond this to improve communication between
people on various portions of any given process.
lie life cycle (3-5 ;e~r~)-
Electronic mail (e-mail) systems which allow people to pose detailed
I Military systems lHe cycle (up to 30 years) technical questions without disturbing day-to-day workflow operations offer
the capability of communications at the convenience of the people it is to
Figure 9·1. Integrated-circuit production volume over time. serve. Communications of convenience are nonintrusive and effective for
non-time-critical discussions of a less than detailed or interactive nature.
People who must work together form natural networks. Who in the work-
place does not have a natural grouping of individuals one can call on to
and therefore impossible to satisfy. These are the future requirements, and assist in getting a task accomplished? How could any of us achieve our daily
only those who can synthesize creative new applications with quantum leaps duties without the assistance of a natural functional network? In order to
in knowledge will find themselves a competitive force in the future; the rest utilize e-mail, a facility must have computers and local area networks. For
will be playing catch-up. those who are familiar with the internet, this may seem incredibly basic, but
To achieve these quantum leaps the use of "technology" has been the there are many industries from shipbuilding to publishing which do not
all-too-easily thrown gauntlet; however, the use of technology for its own have wholesale access to interactive networks. Beyond access to the equip-
sake has often been thrown out by those who need it most as an effective ment, there needs to be a reason to use this form of communication. The
and affective proactive solution. Some industries have even thrown the lead engineer would have the most influence over the full implementation
baby out with the bathwater looking to no new technology or technological and use of an electronic networking capability, which will decrease deci-
investment to provide them a competitive edge. Instead they simply want sion-making time, thereby speeding up the whole reverse engineering
the worker to work harder, be more productive, or take fewer breaks. process.
The use of improved tools to do these jobs is as important as the addi- From this point concerning interactive real-time communications capa-
tional training, or retraining, in the use of these tools. The admirable pur- bilities, it is a short leap into concurrent reverse engineering. Concurrent
pose of business process re-engineering is aimed at reevaluating the entire reverse engineering would shorten the entire process time from the time
process or system at hand before automating antiquated methods of pro- the part enters stage 1 to the time it completes stage 4. Chapters 4 through
duction, whether it be the production of automobile parts or the process- 7 detail in a step-by-step manner the manual method of developing techni-
ing of paperwork, or even chickens through chicken processing. cal data. In the future many of these manual methods will take advantage of
While improved tools and training cost money, improved communica- effective automated and/or combined technologies which rely on today's
tion between departments and divisions does not. One positive and un- integrated software programs. In concurrent engineering today, the digital
funded aspect of reverse engineering is the need for multidisciplinary data which are developed while measuring the surface features during the
teams to work together, many for the first time. This opens communication dimensional inspection can also be used for milling, inspection, and docu-
between not only engineering disciplines but also divisions such as engi- mentation processes latel: If the manual methods are shortened in the re-
neering and the shops and/or production-line personnel. There has been verse engineering time cycle through the use of automation, there can be
a tendency for the formation of caste systems or socioeconomic hierarchies considerable reverse engineering program cost savings as a result of this
between engineers and technicians or equipment operators. Communica- data integration. The decrease in the time necessary to complete all stages
tion between the various types of skilled personnel can be improved on from prescreening to prototype testing shortens the time to realize cost
when they all work as a team to achieve an objective, thereby increasing the savings.
respect each individual gives to the others. On the negative side, this com- The future of efficient reverse engineering will certainly include auto-
munication can serve to point to ineffective engineers, overcompetent mated methods of reverse engineering using integrated systems to meas-
L u ____ ~ ___ ••
Chapter Nine Future Applications
142 143
ure, manufacture, inspect, and test components. Regional centers who of reverse engineering (and life) the sum of the whole is greater than the
have the equipment to handle this operation would certainly receive busi- sum of the parts--and this is true synthesis.
ness from the local communities in many industries, from radio to electron-
ics to handmade furniture items. In some cases just the development of
detailed and accurate technical data would suffice. In other instances, mul-
Concluding Remarks
tiple small- and medium-size lots would ensure the operation of a capability
until new systems could be installed to replace those with obsolete compo- One primary idea pervades these ideas: the digitization of all our work. Our
nents. Many manufacturers of parts similar to obsolete components have drawings are digitized, our information is exchanged digitally, our identi-
been approached to reverse engineer a similar part. Since there was little ties are digit" on forms with our names reduced to on or off bits. The ASME
demand (i.e., little profit), the needed part was turned away because the standard Yl4.26M-1989, Digital Representation for Communication ofProduct
tooling costs were too prohibitive. With an increasing demand for one-of- DefinitionData, reprinted in part as Appendix C, hits on more than one ma-
a-kind items and a flexible manufacturing environment that could be adap- jor theme. That our work will be translated into a digitized format is one
tive or agile depending on customer needs, this reverse engineering busi- idea. That we need to communicate this information in a common fashion
ness could thrive as a niche operation. is another idea, and thirdly, that our data will be represented by these digit'>
and not be a stand-alone reality.
Most of our future work will be modelled and tested without ever touch-
ing the base material(s) until all analysis and testing has been conducted
A Systems Approach on a digitized model. CAD/CAM was just the beginning. Real-time model-
From individual parts we now turn to a systems approach. If a completed ing and concurrent reverse engineering are a marvelous synthesis of multi-
reverse engineered part is more reliable than the older design, there are ple technologies that have little value if taken separately, but produce a
associated increases in system reliability, shortened system downtime, and great effect on the operation of reverse engineering if combined into a co-
higher output productivity levels. This can result from the successful imple- herent package. This is the type of informational leap we are searching for
mentation of merely one reverse engineered part. If one studied an entire when system improvements are needed.
system for reverse engineering-critical component", one could extrapolate In many companies there is too much duplication of effort from depart-
the effect on the overall system if 10 parts were completed and implement to department. Leveraging design knowledge and facilities usage to
mented at once. These 10 parts can be reverse engineered virtually simulta- effectively solve more than one piece of one problem is the goal of effective
neously; therefore, interference fit can be considered to be a less critical information processing. If the Department of Energy has a waste manage-
issue than in stand-alone components. If the entire data set is digitized, ment facility which has conducted extensive research in my area of interest
then all interrelated parts can be put in three-dimensional format, allowing as a manufacturer of a product that has a toxic by-product from the manu-
much operational information to be verified before prototype testing in an facturing process, why should I reinvent the waste management strategy? If,
operational system. This is a form of process synthesis. Synthesis of informa- during a collective investigation into the technology area it is found that no
tion is the area of reverse engineering which can achieve the greatest gains other group has research to address my need, I can become the leader in
and process improvements. The synthesis of design elements and require- that technological area. If it has been done before, borrow as much infor-
ments for multiples of related parts can have a tremendous leverage in in- mation as necessary to solve the problem.
creasing the ROI when combined. What if one circuit card were reverse No one can tell a design engineer how to do their job, one can only ex-
engineered because of its high failure rate in a black box which contained plain the task that needs to be accomplished and the steps involved in the
10 similar cards? The knowledge gained about the first reverse engineered accomplishment of this task. The devices chosen by the competent skilled
part could be leveraged to decrease the cost of the remaining nine circuit worker to do this job are a measure of creativity and skilL What could be
cards. Even if they had a lower failure rate and lower return on investment, more rewarding to an engineer than creating a device, a machine of har-
would not the knowledge of the remaining nine functional characteristics mony, simplicity, and beauty of design. Learning from the engineers that
be inexpensive to obtain? If these nine circuit cards are part of an integral either came before us or are our peers can teach us about their brilliance
system and these were reverse engineered also, would not the 10 circuit and ingenuity, and we can then use this knowledge to create the designs of
cards combined have a greater effect than the one alone? In certain cases the future. Accessing the information we need to solve our engineering
144 Chapter Nine
problems is the true trick of the trade. In today's environment we need

each other to solve today's problems. Can anyone imagine that we will need
each other less in the future? As Albert Einstein stated, "If I have seen far-
ther it is because I have stood on the shoulders of giants." In reverse engi-
neering there is the ability to unlock design secrets and develop innovative
solutions to older design problems, or problems created by older designs in
newer systems.
Reverse engineering can be likened to the act of communication be-
tween a person using an old 286 personal computer from an UNIX worksta-
tion user via a communications platform that allows the 286 machine equal
footing as the UNIX workstation, which in turn allows both people to ex-
change ideas and be productive. So it is with successful reverse engineering,
Appendixes
finding common engineering communications to keep the 286s of the
world productive. Continuing productivity with existing equipment is still
paramount to survival and success. It may be nice if the world market were
a level playing field, but it is not; yet we must play in the fields we are given.
Throughout the text there have been many references to standards. These
Reverse engineering helps those who have older playing fields compete
engineering drawing standards are very important to the consistent appli-
with those who have bright and shiny equipment in a brave new world by
cation of drawing practices and the interpretation of drawing symbols to
sharing and developing detailed technical information.
accurately recreate the product originally conveyed by the design engineer.
Standardization will allow for the largest possible audience to understand
the design across all cultural and language barriers. The promUlgation of
and the use of these basic standards within all organizations is encouraged
for the benefit of international trade and economic growth in the twenty-
first century.
The excerpts of the standards presented in the following Appendixes are
particularly useful in that they form the building blocks of most engineer-
ing drawings. The table of contents from each is included to demonstrate
the scope of each document. The foreword is included to give a sense of
the intent of the document. The opening pages of the standard detail the
scope and applicable associated documents. Copies of the complete docu-
ment can be obtained from either engineering or public libraries or from
the organization that is charged with maintaining the document.
Appendix A presents excerpts from ASME Yl4.24M-89, Types and
Applications of Engineering Drawings. This standard lists all acceptable
engineering drawing variations in all levels of detaiL While most of the
documentation practices are slanted toward mechanical components,
there is a section an electrical/electronic drawings that was briefly men-
tioned in Chap. 5. For those dedicated to the reverse engineering of electri-
cal/electronic parts there will be additional requirements, too many to try
to cover in this excerpt.
Appendix B reprints excerpts from ASME Yl4.34M-89, Parts Lists, Data
Lists, and Index Lists. This standard is meant to be a companion document
to ASME Yl4.24 since all drawings will have parts listings. Guidance on data
lL, 145
146 Appendixes
lists and index lists are provided for those instances where parts lists are not
suitable to best describe the item on hand.
Appendix C reprints excerpts from ASME Yl4.26M-89, Digital Repre-
sentation for Communication of Product Definition Data. In the years
ahead this may become the most important of these standards for design
engineers. Most design work is now being done on engineering worksta-
tions. The software associated with computer-aided design and manufac-
ture will need to be interpreted in an identical manner by all software
Appendix A
programs, whether it is for the programming of numerically controlled
equipment, laser coordinate measuring systems, or automated inspection
equipment. From a review of the table of contents it is obvious that not all
engineers will actually use this standard in their everyday work; however, it
is important to be aware that all equipment must be interoperable and in
compliance with this standard.
Appendix D presents excerpts from ASME Yl4.5, Dimensioning and Tol-
erancing. Along with Yl4.24 and Yl4.34 these three documents form the
building blocks of engineering drawing practice. Dimensioning and toler-
ancing often mean the difference between a quality part and an unaccept-
able one. Contractual acceptance of parts often depends on proper
dimensioning and tolerancing. This standard is critical to the production
and quality of parts.
Throughout the text other documents are noted but not expanded
upon. This is due largely to their relative application. While the military
standards and specifications are critical to anyone in the defense or govern-
ment acquisition and supply business, these are not globally accepted
standard practices. If they are to take precedence to industrial standards
the user is probably already aware of the contents of those documents. The
specifications and standards listed below are not meant to be comprehen-
sive; they are meant to highlight some other documents of guidance to de-
sign and engineering practice.
MIL-STD-LOOE. Engineering Drawing Practices

MIL-T-31 000. General Specification for Technical Data Packages
MIL-(t9858. Quality Program Requirements
MIL-I-45208. Inspection System Requirements
ANSI Y14.15. Electrical and Electronic Diagrams
ANSI/IEEE sm 991. Preparation of Logic Circuit Diagrams
147
Appendix A 149
AN AMERICAN NATIONAL STANDARD
ENGINEERING DRAWING AND RELATED DOCUMENTATION PRACTICES
Types and Applications

of Engineering Drawings
ASME Y14.24M-1989
~
~
The American Society of
Mechanical Engineers
' - - - - - - - - - - 345 East 47th Street, New York, N.Y. 10017 - -
•
~i.
150 Appendix A Appendix A 151
Coordination of this Standard with the International Standards Organization (ISOI

TCIOlSC1) is intended to help enhance world understanding of the various types of
drawings in use within the United States.
Suggestions for improvement of this Standard are welcomed. They should be sent to
the American Society of Mechanical Engineers, Standards Department, 345 East 47th
Street, New York, NY 10017.
After approval by the Y14 Committee and the sponsor, and after public review, this
Standard was approved as an American National Standard by the American National
Standards Institute, Inc., on November 3, 1989.
FOREWORD
(This foreword Is not part of ASME Y14.24M·1989.)
This Standard was prepared to define the accepted drawing types used to establish
engineering requirements. Each type is defined by general description, application guide-
lines, and specific content requirements. Work on this Standard considered the types of
engineering drawings most frequently used by business. industry. and government com-
munities in the United States of America in the production and procurement of hardware.
This Standard attempts to selVe the individual and combined needs of these communities
and assure consistency of application and interpretation.
Drawing definitions are intended to permit preparation by any suitable method (man-
ual, computer-aided, photographic, etc.); therefore preparation techniques or methods
of reproduction are not described.
On these bases, a series of meetings were held to identify, select, and prepare proposed
text and illustrations. At each stage of development, the Subcommittee considered the
selection of elements best suited for a national standard. Members of the Y14.24 Sub-
committee represented a cross section of American industry and the Department of
Defense (DoD). Liaison with technical societies such as the American Defense Prepar·
edness Association (ADPA), Electronic Industries of America (ElA). and Society of
Automotive Engineers (SAE), provided additional technical support.
In addition to the current Subcommittee Members who helped finalize this Standard,
the following personnel selVed in the development of its content:
O. C. Baker, Texas Instruments Inc.

D. S. Bennett, Jr., Air Force Logistics Command
P. D. Calvin, TRW Defense & Space Systems Group
M. S. Clifton, U.S. Naval Ship Missile Systems Engineering Station
L. W. Cornell, Boeing Aerospace Co.
D. L. Edmunds, Martin Marietta Corp., Data Systems Division
G. Garrard, U.S. Naval Sea Systems Command
R. A. Graefe, McDonnell Douglas Corp.
J. Hobko, U.S. Anny Electronics Command
C. A. Nazian, U.S. Army Munitions Command
T. C. Pritchard, Lockheed Missile and Space Co.
M. Randolph, United Airlines
A D. Signor, U.S. Naval Ship Weapon Systems
M. E. Taylor, U.S. Army Armament Research, Development, and Engineering
Center
J. U. Teague. Lockheed California Co.
R. A. Timlin, Martin Marietta Corp.
J. L Zeno, Air Force Logistics Command
Commendation is extended to the companies and DoD Departments and Agencies for
sponsoring participants in this activity and to those whose earlier efforts provided the
basis for the types of drawings in this Standard. The success of this effort can be attributed
to their demonstrated interest, cooperation, and support.
III Iv
Appendix A Appendix A 153
152
B Control Drawings ............................................................... . 7
8.1 Procurement Control Drawing ..................... . 7
8.2 Vendor Item Drawing .................................................... . 8
8.3 Source Control Drawing ................................................. . 8
8.4 Design Control Drawing ..................................... .. 9
8.5 Interface Control Drawing ............................................... . 10
8.6 Identification Cross Reference Drawing ................................ . 10
9 M.chanical Sch.matlc Diagram ... . 10
9.1 Description .............................................................. .. 10
9.2 Application Guidelines .................................................. .. 11
CONTENTS 9.3 Requirements ................................................ . 11
10 EI.ctrical/EI.ctronlc Diagrams ................................................. . 11
10.1 Functional Block Diagram .............................................. .. 11
Foreword ...................•........................... iii 10.2 Single Line Diagram ..................................................... . 11
Standards Committee Roster ........................................................ . v 10.3 Schematic Diagram or Circuit Diagram ........... . 11
10.4 Connection Diagram or Wiring Diagram ................................ . 12
10.5 Interconnection Diagram ................................................ .. 12
1 G.n.r.I ..................... · ....... · ........ · .... ·· .. ·· .. · 1 10.6 Wiring List ............................................................... .. 12
1.1 Scope .................... .. 1 10.7 Logic Circuit Diagram .................................................... . 12
1.2 Applicable Documents ................................................... . 1
11 Specla' Application Drawings ......... . 13
1.3 Definitions ..............................................................•.. 2
11.1 Wiring Harness Drawing ................................ . 13
1.4 Methods and Styles of Preparation ...................................... . 2 11.2 Cable Assembly Drawing ................................ . 13
1.5 Illustrations ...... " ...................................... . 2 11.3 Printed Board Drawing Sets ............................................ .. 14
1.6 Application Guidelines ............................ .. 2 11.4 Microcircuit Drawing ..................................................... . 15
1.7 Drawing Content .......................................... . 3
11.5 Undimensioned Drawing ................................................ .. 16
1.8 Tabulation ................... , ........................................... .. 3 11.6 Kit Drawing .................................................. . 16
1.9 Combination of Drawing Types .......................................... . 3 11.7 Tube Bend Drawing ..................................................... .. 16
1.10 Ancillary Drawings' ...................................................... .. 3 11.8 Matched Set Drawing ............................... . 17
2 Layout Drawing .............................................. .. 3 11.9 Contour Definition Drawing ............................................. . 17
2.1 Description ........................................... .. 3 11.10 Computer Program/Sofiware Drawing .................................. .. 18
2.2 Application Guidelines ............................. . 3
2.3 Requirements ............................................................. . 3
Flgur.s
D.tail Drawing ...................................................... . 4 1 Indentured Relationship of Installation
3
3.1 Monodetail Drawing ................... .. 4 Drawings (depicting work packages) . 19
3.2 Multidetail Drawing ..................................................... .. 4 2 Indentured Relationship of Design Control Drawing to Using
Assembly and Subcontractor's Design Disclosure
4 Ass.mbly Drawing ............................................ .. 4
4
Documentation ................................................................ . 20
4.1 Description ........................................... . 3 Printed Board Drawing Set Indentured Relationships (typical) .............. .. 21
4.2 Application Guidelines .................................................. .. 4
4 Layout Drawing .................................................................. . 22
4.3 Requirements .............................................•................ 4
5 Monodetail Drawing ............................................................ .. 23
5 Inst.lIation Drawing .......................... · ...... ·· ................ · .. · .... .. 5 6 Tabulated Monodetail Drawing ........ . 24
5.1 Description ..................................... · .... ·· .. .. 5 7 Multidetail Drawing ............................................................. . 25
5.2 Application Guidelines ................................. . 5 8 Assembly Drawing ................................. , ............................. . 26
5.3 Requirements ....................................... .. 5 9 Detail Assembly Drawing of an Inseparable Assembly ........................ . 27
5 10 Installation Drawing ............................................................. . 28
IS Modifying Drawings ..................................... . 11 Altered Item Drawing (mechanical alteration) ................................ .. 29
6.1 Altered Item Drawing ................................................... .. 5
6 12 Altered Item Drawing (electrical alteration) .................................. .. 30
6.2 Selected Item Drawing ................................................... . 13 Selected Item Drawing (mechanical selection) ................................. .
6 32
6.3 Modification Drawing .................................................... . 14 Selected Item Drawing (electrical selection) ................ .. 33
7 Arrang.m.nt Drawing .............................. · .. · ....... , ................ . 7 15 Modification Drawing and Associated Kit Drawing ............................• 34
7.1 Description ................................ · .... ·· 7 16 Arrangement Drawing (pictOrial) ............................................... . 35
7.2 Application Guidelines .......................... . 7 17 Arrangement Drawing (elevations) ............................................ .. 36
7.3 Requirements .................................... . 7 18 Procurement Control Drawing ................. .. 37
viii
vii
154 Appendix A Appendix A
155
19 Vendor Item Drawing .......................................................... .. 38

ASME Y14.24M·1989
20 Source Control Drawing ......................................................... . 39
21 Design Control Drawing ........................................................ .. 40
22 Interface Control Drawing ..................................................... .. 41
23 Identification Cross Reference Drawing ........................................ . 42 ENGINEERING DRAWING AND RELATED DOCUMENTATION PRACTICES
24 Mechanical Schematic Diagram ................................................. . 43
25 Mechanical Schematic Diagram (loading diagram) Included on
Assembly Drawing ............................................................. . 44 TYPES AND APPLICATIONS OF ENGINEeRING DRAWINGS
26 Functional Block Diagram ...................................................... .. 45
27 Single Line Schematic Diagram ................................................. . 46
28 Schematic Diagram .............................................................. . 47 1 GENERAL
29 Connection Diagram ............................................................ .. 48 1.2.2 Oth.r Appllcabl. R.f.... nce.
30 Interconnection Diagram (point·to·point, simple) ............................. .. 49 1.1 Scope
American National Standards
31 Interconnection Diagram (point·ta-point, complex) ............................ . 50 This Standard defines tbe types of engin«ring ANSI/AWS A2.4-1986, Graphic Symbols for Weld-
32 Interconnection Diagram (cabling type) ........................................ . 51 drawin8$ most frequently used to establish engineering, Bra.zin& and Nondestructive Examiaation
33 Wiring List ....................................................................... . 52 Ing requirements. It describes typical applications
34 Wiring List (materials included) ............................................... .. 53 and minimum content requirements. Drawings for ANSIllEEE sm 26()..1978 (RI985). Standard Letter
35 Logic Circuit Diagram ........................................................... . 54 speciaJized engineering disciplines (e.g., marine, ci1I:il, Symbols for Units of Measurement (SI Units, Cus-
36 Wiring Harness Drawing ....................................................... .. 55 coostruction, optiaJ, etc.) are not included in tbis tomlllY Incb·Pound Units, and Certain Other Units)
Standard.
37 Cable Assembly Drawing ....................................................... .. 56 ANSI/IEEE STD 268-1982, Standard Metric Prac-
38 Printed Board Assembly Drawing ............................................... . 57 tice
39 Printed Board Master Drawing ................................................. . 58 1.2 Applicable Documents ANSI sm 280-1985. Standard Letter Symbols for
40 Use of Grids in Defining Pattern Requirements .............................. .. 59 Quantities Used in Electrical Science and Electrical
41 Printed Board Artwork Master .................................................. . 60 When any American NationaJ Standard listed in Engineering
42 Microcircuit Drawing ........................................................... .. 62 the following paragraphs is superseded by a revision
approved by the American NationaJ Standards Insti. ANSIIIEEE STD 623-1976. Graphic Symbols for
43 Undimensioned Drawing ....................................................... .. 63 Grid and Mapping Used in Cable Television Systems
tute, Inc., tbe revision shall apply to the extent spec-
44 Kit Drawing ...................................................................... . 64 ified herein.
45 Tube Bend Drawing (pictorial) ................................................. .. 66 ANSJ/IPC·D·350-1978 (RI987), Printed Board De.
46 Tube Bend Drawing (tabular) .................................................. .. 67 scription in Digital Form
1.2.1 Docum.nt. R.f.r.nced In Text. The fol.
47 Matched Set Drawing ........................................................... .. 68 lowing documents form a part of tbis Standard to tbe ANSIIIPC-T.50D-1988. Terms and Definitions for
48 Contour Definition Drawing (index) ............................................ . 69 extent specified berein. Unless otherwise specified, Interconnection and Packaging Electronic Circuits
49 Contour Definition Drawing (pictorial) ........................................ .. 10 the latest issues of tbe documents apply. ANSIIISA S5.1·1984, Instrumentation Symbols and
50 Contour Definition Drawing (digital) ........................................... . 71 American National Standards Identification
51 Computer Program Drawing .................................... . 72 ANSIIIEEE sm 91-1984. Graphic Symbols for ASME Yl.I·1990, Abbreviations for Use on Draw.
Logic Circuit Diagrams ings and in Text
Appendices ANSIIIEEE sm 200-1975 (RI988), Reference Des- ANSI YlO.I·I972 (RI988). Glossary of Terms Con.
A Definition of Tenns ............................................................. .. 73 ignations for Electrical and Electronics Parts and cerning Letter Symbols
B Selection of Drawing 'JYpes ......................................... .. 75 Equipments
C Correlation to DOD·STD·UJOC Drawing Types ................................ . 79 ANSI YIO.3M·I984, Letter Symbols for Mechanics
ANSIIIEEE sm 315·1975 (RI988), Graphic Sym. and Time Related Phenomena
bols for Electrical and Electronics Diagrams
ANSI YI0.4-1982 (RI988), Letter Symbols for Heat
Figure ANSIlIEEE sm 991-1986, Preparation of Logic and Thermodynamics
B-1 Decision Diagram for Detennining Applicable Drawing Types Circuit Diagrams
ANSI YI0.10·1953 (RI973), Letter Symbols for Met-
for Procured Items ........................................................... .. 76 ANSI YI4.15·1966 (RI988), Electrical and Elec- erology
tronic Diagrams
ANSI YIO.11·1984, Letter Symbols and Abbrevia.
Tabl.. ASME YI4.34M.1989, Parts Usts, Dita Usts, and tions for Quantities Used in Acoustics
B-1 Functional Grouping of Drawing Types ........................................ . 78 Index Usts
C,1 ., ................................................................................ .. 79
ANSI YI0.12-1955 (RI988), Letter Symbols for
Government Doeument Chemical Engineering
Military Handbook H4/H8, CommerciaJ and Govern.
ment Entity Codes ANSI YIO.17·1961 (RI988), Greek Symbols for
Math
Ix
156 Appendix A Appendix A
157
ASME Vl4.24M·l989 TYPES AND APPUCAnONS OF ENGINEERING DAAWlNGS TYPES AND APrLlCAnONS OF ENGINEERING DRAWINGS
ASME V14.24M-18811
ANSI YIO.18-1967 (R1987), Letter Symbols for 11- 1.2.4 Source of Documents. The documents any application guideline imply that preparation of 1.10 Ancillary Drawings
luminating Engineering listed may be obtained as follows: specific drawing types is always required.
(a) ANMC: Application for copies should be ad- Ancillary drawings may be prepared to supplement
ANSI Y14.1-1980 (R1987), Drawing Sheet Size and dressed to the American National Metric Council, end product drawings. Ancillary drawings may be reo
Format 1.7 Drawing Content quired for management control, logistics purposes,
1010 Vermont Avenue NW, Washington, DC 20005.
ANSI Y14.2M-1979 (RI987), Line Conventions and (b) ANSI: Application for copies should be ad- configuration management, and other similar func-
Lettering dressed to the American National Standards Insti- Requirements may be satisfied by direct delinea- tions unique to a dai8JI actMJy. Inclusion of data in
tute Inc., 1430 Broadway, New York, NY 10018. tion on the drawing or by reference to other docu- an ancillary drawing does not eliminate the need to
ANSI Y14.3-l975 (R1987), Multi and Sectional View (c) ASME: Application for copies should be ad·
inents which arc a part of the drawing package. Such prepare appropriate drawing types, including the ap-
Drawings dressed to the American Society of Mechanical en- documents are invoked in Individual drawings either plicable data as defined in this Standard.
by general notes, in the using IIlISembly parts list, or
ASME Y14.4M-1989, Pictorial Drawings gineers, 345 East 47th Street, New York, NY 10017.
(d) IEEE: Application for copies should be ad·
both. Parts lists shall be in accordance with ASME
ANSI Y14.5M-1982 (RI988), Dimensioning and Tol- Y14.34M. 2 LAYOUT DRAWING (Fig. 41
dressed to the Institute of Electrical and Electronic
erancing Engineers, Inc., 345 East 47th Street, New York, NY 2.1 Deserlptlon
ANSI Y14.6-l978 (Rl987), Screw Thread Represen- 10017.
1.8 Tabulation
tation (e) IPC: Application for copies should be ad- A layout drawing depicts design development re-
dressed to the Institute for Interconnecting and Any drawing type may be tabulated to delineate quirements. It is similar to a detail, IIlISembly, or in-
ANSI Y14.7.1-I971 (RI988), Gear Drawing Stan- Packaging Electronic Circuits, 7380 North Lincoln similar items which, as a group, have some common stallation drawing. except that it presents pictorial,
dards - Part 1 for Spur, Helical, Double Helical, and Avenue, Lincolnwood, IL 60646. notational, or dimensional data to the extent neces-
Rack characteristics and some variable features.
(f) Government Documents: Copies are available sary to convey the design solution used in preparing
from the Standardization Documents Order Desk, 1.8.1 Application Guidelines. Tabulated draw- other engineerinl drawings. Except as specified in
ANSI Y14.7.2-1978 (Rl989), Gear and Spline Draw-
Bldg. 4D, 700 Robbins Avenue, Philadelphia, PA ings are prepared to avoid preparation of individual 2.3(k), a layout drawing does not establish item
ing Standards - Part 2, Bevel and Hyphoid Gears
19111·5094. drawings for each similar item tabulated. iMntijicaticn.
ASME Y14.8M-1989, Castings and Forgings
1.8.2 Requirements, The differences (variables
ANSI Y14.13M-1981 (Rl987), Mechanical Spring 1.3 Definitions between the items) defmed by the drawing are tab- 2.2 ApplloatIon Guldelln••
Representation ulated. The common characteristics are delineated
Definitions of italicized terms used in this Stan· or stated once. Each item is uniquely identified. Nor- A layout drawing may be prepared for a complete
ASMElANSI Y14.l8M·1986, Drawings for Optical dard are contained in Appendix A. end product or any portion thereof and is prepared
Parts mally, a single pictorial representation is shown. For
c:xample: variable dimensions are coded by letters either as:
ASME Y14.26M·1989, Digital Representation for used as headings for columns in a tabulation block. (a) a conceptual design layout to present one or
1.4 Methods and Styles of Preparation
Communication of Product Definition Data Variables are entered in the table under the appro- more solutions for meeting the basic design param-
Preparation methods (manual, computer-aided, priate heading and on the same line as the unique eters and to provide a basis for evaluation and selec-
ANSI Y14.36·l978 (R1987), Surface Texture Sym- photographic, "cut and paste," etc.), method of de- tion of an optimum design approach;
bols idmtifier for the specific item. The description for
piction (orthographic, pictorial, or exploded views), each tabulated item is as complete as that of an in- (b) a design approval layout to present sufficient
ANSI Y32.10-l967 (R1987), Graphic Symbols for and styles (multisheet, book form, computer print- dividual item described on the specific drawing type. details of the desigu approach for cost estimating and
Fluid Power Diagrams out, etc.) are a concern of this Standard only to the design approval;
extent that the drawing satisfies its intended purpose. (c) a detailed design layout depicting the final de-
ANSI Y32.11-l961 (R1985). Graphic Symbols for
1.9 Combination of Drawing Types velopment of the design in sufficient detail to facili-
Process Flow Diagrams in the Petroleum and Chem-
tate preparation of detail and assembly drawings;
ical Industries 1.5 Illustrations The Characteristics of more than one drawing type (d) a geometric study to develop movement of me-
ANSI Y32.18-lm (R1985), Graphic Symbols for Sample drawings and other illustrations are in- .may be combined into a single drawing provided the chanicallinkages, clearances, or arrangements.
Mechanical and Acoustical Elements as Used in cluded as needed to illustrate the text and the char· resulting combination includes the data required by A layout is not normaJly used to fabricate equip-
Schematic Diagrams acteristics unique to a particular drawing type. To the individual types. For example: a detail assembly ment; however, a detailed design layout is sometimes
comply with the requirements of this Standard, ac- drawing combines the detail of an Item(s) and the used as an interim IIlISembly drawing for development
Government Doeument tual drawings shaJl meet the content requirementJ assembly of which it is a part; a modification kit equipment.
MIL-STD-12, Abbreviations For Use On Drawings, and application guidelines set forth in the text. The drawing combines a description of the modification
and in Specifications, Standards, and Technical Doc- content and arrangement of sample drawing type$ and the kit of items needed to accomplish the
are for illustration only. Illodification. 2.3 Requirements
uments
NOTE: While combinin. i& permitted, !.be dcd.ion to combllJ. A layout drawing includes, as applicable:
DOD·STD-lOO, Engineering Drawing Practices dra.. iDg types should b. made .autiously. Som. aiplflC4nt bene- (a) location of primary components;
1.6 Application Guidelines 111(1) should out ....iab such potential disadllanca..,. as: (1) in-
1.2.3 Order of Precedence. In the event of con- creUCd complexity IOblch may diminish clarity and ....tut .... and (b) interface and envelope dimensions including a
flict between the text of this document and the ref- Application guidelines are intended to aid in un- !2) 8<lcelerat. ella.,. activity of the C<lI'IIbined drawing which may cross-reference to applicable interface control d0c-
erences cited herein, the text of this document takes derstanding the conditions under which specific types .......... the .....d to Update UIIOC:iated ra:orda, m...rial c:ontrol umentation;
data, m&nufacturin, planning. microfilm, ctt.
precedence. of drawings may be prepared. It Is not intended that (c) paths of motion;
2 3
Appendix A Appendix A 159
158
ASME Y14.24M·1989 TYPES AND APPLICATIONS OF ENGINEERING ORAWIIIG
TYPES AND APPLlCAT10NS OF ENGINEERING DRAWINOS
ASME Y14.24M-1989
partS usually related to one another.

(d) operating positions;
(e) critical fits and alignments; NOTE: Tbe dceilion 10 WIll a multidclail drawing ehould be made ~, j I Ic
(J) selected materials, finishes, and processes; cautiOllllIy. Tbe """" rcviaion SlatUi app1ies to all delaiilJ 011 a ;~, ~ ~ ~I i I ~i ?!1~ ~ •
(g) wire bundle, pneumatic line, and hydraulic line multidetaU drIIWina: thmfon: a dlanp 10 one detail of !be draw-
in, may affect the uaocilled recorda of all other delaila (material
~~~« ~ .: ~~.~~I· ;~- i~ is'" l?~
,,°;0 :-,",5 , ... ;;;~ ... 't:~~~ '"~.::', .:;~ .~~
;-'iIl!.3 t~o ;;)~5l1! :~$:I,.,I iJ ... :I :-~ . :-."".
routing and sizes; (:Ontrol data, manufacturina planning, miaofilm. etc.). Sonte ai,- >"'!~i ~:;i=i ':>~Oi • {ltPi~i ~f;ji >~~ >:~
(h) adjustments; nificant benefit(l) should outweish tbis potential disadvantap. u ~h§~ ~!§5 '~i~i I.~'~ 1~3; ~l. ~l~
Jh:£ fl!!
f",~ ... :f4'_ .. if .. ; .... i.;::::
~i~
well u IIIdI albert .. diminillhed claril)' and uaefWIICSI rcaultinl
(i) critical assembly details and sequence; from increued drawina complcJ:il)'.
(j) identification for selected purchased items and
new design items;
(k) identification for the assembly depicted (when 3.2.3 Requirements. Each part delineation on a
the layout is to be used as an interim assembly multidetail drawing meets tbe design definition re-
~
l
drawing). quirements for a monodetail drawing and shall be
~
~
A layout is drawn to scale with sufficient accuracy uniquely identified.
and completeness for its intended use.
~n~~1 •
4 ASSEMBLV DRAWING (FIg•• 8 and 8)

3 DETAIL DRAWING 4.1 Description
~
A detail drawing provides the complete end-prod- An assembly drawing defines the configuration < w
uct defmitlon of the part or parts depicted on the and contents of the assembly or assemblies depicted • ~M:'
!;
drawing. A detail drawing establishes item identifi· thereon. It establishes item identification for each
cation for each part depicted thereon_ assembly. Where an assembly drawing contains de- £
tailed requirements for one or more parts used in the
assembly, it is a detail assembly drawing (see 1.9 and
3.1 Monodet&lll Drawing (FIg•• 5 end 6) Fig. 9).
3.1.1 DescriptIon. A monodetail drawing deline-
ates a single part. 4.2 ApplIcation Guideline.
Nom: A drawbIC dctailina SHOWN and OPPOSITE parts usin, An assembly drawing is prepared for each group
a sin&\O set of views ill <OMide",d 10 be • labuIated lDOIIodctaiI of items that are to be joined to form an assembly
drawina (_ 1.8). and that reflect one or more of the following:
(a) a logical level in the assembly or disassembly
3.1.2 Application GuIdelines. A monodetail sequence;
(b) a testable item;
drawhig is prepared to provide maximum clarity in
(c) a functional item;
defining a part. (d) a deliverable item.
3.1.3 Requirements. A monodetail drawing delin· A detail assembly drawing is the preferred drawing
eates all features of the part including, as applicable: type for an inseparable asumblJl; however, individual
configuration, dimensions, tolerances, materials, pieces of an inseparable assembly need not be indi-
mandatory processes, surface texture. protective fin- vidually detailed provided they are controlled by tbe
specified assembly requirements or by separate detaO'
ishes and coatings. and markings.
drawings.
3.2 Multldet&lll Drewtng (Fig. 7) 4.3 Requirements

3.2.1 Description. A multidetail drawing deline- An assembly drawing includes, as applicable:
ates two or more uniquely identified partS in separate (a) two or more parts. subordinate assemblies, or
views or in separate sets of views on the same draw- combination of these items;
ing. (b) a partS list specifying the unique identifier for
3.2.2 Application Guideline.. A multidetail all items which become a part of the assembly <see
drawing is a single drawing prepared to describe 1.7);
FlG.4 LAYOUT DRAWING 22
4
!"
~
m
tJ>
~
NOTES UNLESS OTHfRWI<;E SPECIFIED C
DIMENSIUNS ARE 'N "t.ILlIMETERS
ARE LINEAR .!02
TOLERANCES
...~
r-
~
o
[)IMENSIONS AND TOLERANCES PER ANSI YU_6M-I912
~o
z PASSIVATf PFR XXXXXXXX
~
o SCREW THREAOS PER XXXXXXXX
c HEAT TRI:AT TU ROCKWELL C43 11400 MP", o
~
-O."MAX
~F
PER XXXXXXX 4 PLACES ."
1 X 4So m
Z
2 PLACES \. - Rl.6 Gl
.g.' . . . Z
c 13
r- 9.S _~.1 m
m
~z
:a
I Z
-t Gl
_..1 18.So C
~Z
C)
Gl
tJ>
Ml0 X 1.5
SECTION A-A
SCALE 2/1
10.3 ~ 0.1
L'8 J
116"':1---- ---- -J
::;!
...
- l SCAEW
III
~
- I '''ACII(ET
~.,O--t;: ~9.q
'.C •• T .... 1'II0rEO
C .... T f'''''1<
" " "'LL OVI'" •• CI.T .... "OTID
'I'IIIIOE CO .. I'III ....... .011 ... . c
•1< ..... 100 ••
... ou .. o .00 ••
"'.02
".01
'.84ft. r-.... 2Pl I . . . . . . . .f
, "'OLE,
.. t.OVI .V ....... "'''0 ........... 00 ••
III"Tl " ... V ... L ......... 1( • • • • • • ......
~
, R......
~
III.Tl CO..... - "lICO ..
"\\0" C •• TI ... O .X ••••• ,..-=~~=-~'1'_......:.i'
Z
tJ>
o."
m
~
' , . . ·........ 1 - 4 "00 Z
m
',,, "U OVI" '.C •• T .... IIIIOTUI m
,,,,,01 CO ... IIIII ....... .0 . . l1li .. .. :a
. , """OV' .V ...... "'''0 .........
........ 0 .... TO "OCI("ILL ··C·· 40 ....
fOG ••
~
r.-c~
.... Tl ITlll "LLOV ............. .
C
~
.......... 001' ".01 .~~
"OUIIO 10Gil ".GO
III .. Tl CO ••• '" _ "LICOIIII Z

.LLOV C",TII>;G •• X •••• Gl
tJ>
'"
\II
- 5
'l'
rLUG
"'LL OVI'"
-·.
Et
"LUT ............. .
....
~ ~~,,,
................... OGII ...001 .....
'L"CX "IIIIOOIZI . . . . . . . . ;11 • '1""
. . . TL .LLOV 1100 .;11 . . . . ...
...
CI
W
AppendixB 165
Parts Lists,
Data Lists,
and Index Lists
ASME Y14.34M-1989
[REVISION OF ANSI Y14.34M·1982(R1988))
~
e
m.
S The American Society of
Mechanical Engineers
'--_ _ _ _ _ _ _ _ 345 East 47th Street. New York, N.Y. 10017 -
Appendix B AppendixB 167
166
FOREWORD CONTENTS
This Foreword ill not part of ASME Y14.34M-1989)
Foreword .............................................................................. . iii

Standards Committee Roster ........................................................ . v
The ASME Y14 Committee, Standards for Engineering Drawing and Related Docu-
mentation Practices, authorized tbe preparation of the original edition of this Standard 1 Scope ........................................................................... .. 1
in September 1972. The Y14 Subcommittee 34, Parts Lists, Data Lists, and Index Lists,
was organized and it proceeded to develop the draft on which this Standard is based. 2 Applicable Documents ........................................................ .. 1
The first edition of this Standard was approved by the American National Standards 3 Definitions ...................................................................... .. 1
Institute on August 12, 1982. and issued as ANSI YI4.34M-1982.
It is well recognized tbat individual companies have many detailed requirements for 4 Common Requirements ....................................................... . 2
their specific method of operation. Consequently, tbe minimum requirements set forth 4.1 Block and Column Size and Arrangement ............................. .. 2
in this Standard will provide them tlexJ"bility in implementation. 4.2 IssueIRevision Identification ............................................ .. 2
The basis for this Standard is O1apter 600 of DoD-STD-l00, Military Standard En- 4.3 Sheet Numbering ........................................................ .. 2
gineering Drawing Practices. Every effort has been made to maintain the basic require- 4.4 Cover Sheets ............................................................. .. 2
ments of DoD-STD-l00 so as not to invoke a hardship on either the procuring activities 4.5 Revisions ...................... . ..................................... 2
or the using companies in the defense community when this Standard is invoked on 5 Parts List Preparation .......................................................... . 3
government contracts. 5.1 Format ................................................................... .. 3
Following approval by tbe Y14 Committee and ASMB, this Standard was approved as 5.2 Heading Requirements ................................................... . 4
an American National Standard on December 28, 1989. 5.3 Columnar Requirements ................................................. . 4
5.4 Sheet Numbering ........................................................ .. 5
5.5 Location ................................................................. .. 6
5.6 Cross Reference ......................................................... .. 6
5.7 Notes ...................................................................... . 6
5.8 Revisions .................................................................. . 6
6 Data List Preparation .......................................................... .. 11
6.1 Format Size .............................................................. .. 11
6.2 Heading Requirements ................................................... . 11
6.3 Column Entries .......................................................... .. 11
7 Index List Preparation ......................................................... .. 11
7.1 Format Size ............................................................... . 11
7.2 Heading Requirements .................................................. .. 11
7.3 Column Entries .......................................................... .. 11
Figures
1 Integral Parts List Graphic Sheet of Drawing ............................... . 7
2 Integral Parts List - Separate Sheet of Drawing ............................. .. 7
3 Separate Parts List Heading ..................................................... . 8
4 Columnar Requirements for Integral Parts List ............................... .. 9
5 Columnar Requirements for Separate Parts List .............................. .. 9
ill vii
Appendix B AppendixB 169
168
ASME Y14.34M-1.
Sa Columnar Requirements for Separate Parts List - Alternate
Method ......................................................................... 9
6 Data List Headings ............................................................... 11
7 Data List Column Entries ........................................................ 13
8 Index List Headings ................. .. .. .. . . .. . . . .. . .. . . .. . .. . . .. .. .. .. . . .. .. . . .. 14
9 Index List Column Entries ....................................................... 15 ENGINEERING DRAWING AND RELATED DOCUMENTATION PRACllCES
PARTS LISTS, DATA LISTS, AND INDEX LISTS
1 SCOPE authentication - an indication that tbe document

meets general requirements for preparation and con-
This Standard establishes the minimum require-
tent. Unless established by the procedures of the pre-
ments for the preparation and revision of parts lists,
paring agency or by contractual requirements, an
data lists, and index lists. In addition, this Standard
entry does not indicate approval of the design de-
presents certain options that may be incorporated
picted on the drawings.
into parts lists, data lists, and index lists, at the dis-
cretion of the design activity. Automated Data Processing System (ADPS) - a sy5-
tem used to collect, process. and reproduce data in
a selected format through the use of electronic data
2 APPUCABLE DOCUMENTS processing equipment, electrical accounting machine,
or other automated equipment
When the following American National Standards
referred to in this Standard are superseded by a re- C4GE emU - a code assigned by the Government
vision approved by the American National Standards to identitY a firm which designs, manufactures or sup-
Institute, Inc., the revision shall apply. plies items for Government usage
American National Standards cOl1ll1le1'dt.d requimnmt - a term indicating a re-
ANSI YI4.1-1980(R1987), Engineering Draw- quirement when a list is being prepared to meet in·
ings and Related Documentation Practices, Drawing, dostry standards and not necessarily to meet
Sheet Size and Format government standards
IEEE STD 200-1975 (ANSI Y32.16-1975), Ref- data list (DL) - a tabulation of all engineering draw-
erence Designations for Electrical and Electronic ings, associated lists, specifications, standards, and
Parts and Equipment subordinate data lists pertaining to the item to wbich
US Government Document the data list applies and essential in·house docu-
Cataloging Handbook H41H8, Commercial and ments necessary to meet the technical design discl0-
Government Entity (CAGE) sure requirements except for those in-house
documents referenced parenthetically
design activily - an activity having responsiblity for
:3 DEFINITIONS
the design of an item. The activity may be a govern-
alpha-numeric arrangement - a group of mixed letter- ment activity or a contractor, vendor, or otber.
number designations arranged so that the character
find number or item number - a reference number
furthest to the left in each designation is aligned. All
assigned to an item in lieu of the item's identifying
characters in this first portion are arranged alpha-
number on the field of a drawing and entered as a
betically where possible. Below the alphabetized
cross reference to the line of the parts list where the
characters, those with numbers in the first position
actual item name and identification number are
are arranged consecutively (0-9). FU!lher organiza-
given. Reference designations in accordance with
lion of those characters in the second and succeeding
IEEE STD 200-1975 (ANSI Y32.16) may be used as
positions is achieved by placing the designations com-
find numbers or item numbers.
posed only of single characters first, those with a dash
second, the alphabetized group third, and finally, the flag TWte - a note whose text is prefixed by a note
numerically arranged group. identification enclosed within a symbol (fiag). The
viii
170 Appendix B
ASME Y14.34M·1989 PARTS USTS. DATA USTS. AND INDEX USTS
note is cross·referenced to a specific area on a draw· 4.2 Issue/Revision Identification

ing, or associated list, by entering the flag at the point
Each sheet of a list shall show the revision level
of application.
applicable to that sheet All sheets of a drawing re-
government requimnent - a term indicating are· vised at the same time sball carty the same revision
quirement when a list is being prepared to meet gov. level. Integral parts list sheets shall record revision
ernmentspecifications
index list (IL) - a tabulation of data lists and sub-
ordinate index lists pertaining to the item to which
the index applies
status in accordance with the system applicable to
their parent drawing. Wben a separate parts list, data
list, or index list is to be revised and reissued in its
entirety, all sheets shall show the same revision level,
Appendix C
including those that have not been revised.
item - a nonspecific term used to denote any unit
4.2. 1 Revision status is indicated by one of the
or product including parts, materials, assemblies,
equipment, accessories, and attachments following methods:
(a) On commercial programs, revisions may be
pal1S list (PL) - a tabulation of all parts and bulk identified by sequentially assigned numbers starting
materials (except those materials that support a proc- with the number one (1) for the first revision. The
ess) used in the item. Referenced documents may method used for goyernment programs may also be
also be tabulated on parts lists. Items listed on sub- used.
ordinate assembly parts lists or specified in a refer- (b) On government programs, revisions sball be
enced document are not repeated in the using identified by uppercase letters assigned in alphabetic
assembly parts list unless it is necessary to limit 0p- sequence. The first revision to a list shall be assigned
tions permitted by the subordinate document. In- the letter "A". The letters "1", "0", "0", "S", "X",
house documents, for in-house usage only, may be and "z" shall be omitted. When revisions have ex-
referenced parenthetically. hausted the letter of the alphabet, the revision foI·
NOTE: OIlier items prev;oully used 10 describe a puts lilt are:
lowing "Y" shall be "AA", and the next "AB", the
lilt of materiaJa, bill of materiaJa, stock lilt, and Item list. next "AC', etc. Should "AA" to "AY" be exhausted,
the next sequence sball be "BA", "BB", etc. Revision
(a) integral pal1S list - a parts list prepared and letters shall not exceed two characters. The initial
revised as part of an engineering drawing release of a list shall be indicated by the entry of a
(b) separate pal1S list - a parts list prepared as a dash (-) in the revision block.
document separate from the engineering drawing
with which it is associated and one that may be reo
vised independently of the drawing. A single parts 4.3 Sheet Numbering
list for a product that lists lower assemblies and all Multisheet lists shall be numbered consecutively.
components of those assemblies is not addressed by Numbering shall start with the number one (1) or Its
this Standard. decimal equivalent, such as 1.0, 1.00, 1.000, etc. The
mision authorlz4lion - A revision authorization is a first sheet shall indicate the total number of sheets.
document such as a Notice of Revision, Engineering On ADPS prepared sheets the first or last sheet shaD
Change Notice, or Revision Directive which de- indicate the total number of sheets.
scribes a revision to a drawing or associated docu-
ment and is issued by the activity having revision
4.4 Cover Sheets
authority.
Lists may utilize a manually prepared cover sheet
as sheet one of the list. The cover sheet may contain
required approvals, drawing control information, re-
4 COMMON REOUIREMENTS
vision record, and other information.
4.1 Block and Column Size and Arrangement

4.5 Revisions
The size and arrangement of all blocks and col-
umns shall be determined by the preparing activity Existing items or entries may be revised manually
according to the method of preparation used. orbyADPS.
171
AppendixC 173
Digital Representation
for Communication
of Product
Definition Data
ASME Y14.26M-1989
(REVISION OF ASME/ANSI Y14.28M-1987)
~ The American Society of

~ Mechanical Engineers
1...-_ _ _ _ _ _ _ _ 345 East 47th Street" New York. N.Y. 10017

174 AppendixC Appendix C 175
A major enhancement is the addition of Constructive Solid Geometry (CSG) to the standard. Specifi-
cally, the ways of representing the regularized operations for union, intersection, and difference have
been defined. Primitive representations have been established for block, wedge, cylinder, cone,
sphere, torus, solid of linear extrusion, solid of revolution, and ellipsoid. It should be noted that the
other popular approach to solids, called Boundary Representation (B-rep), is not included as there
is yet no generally agreed upon set of definitions.
Foreword Several entities that were added to version 4.0 of the specification did not receive adequate testing and
were relegated to appendix J. In keeping with the original intent ofthe specification, we have included
appendix J in this standard as a nonmandatory appendix. Three major applications that are affected
by the addition of these entities are electrical/electronics, Architecture/Engineering/Construction
(AEC), and Finite Element Modeling (FEM). The areas of change are outlined below:
This standard is based on the work of the Initial Graphics Exchange Specification/Product Data
Exchange Specification (IGES/PDES) Organization that is chaired by the National Institute of Electrical/electronic applications can be extended to include the ability to attach pre-defined
Standards and Technology (formerly the National Bureau of Standards). Currently, the IGES/PDES electrical attributes and properties. Nominal values, maximum ratings, propagation delays,
Organization consists of over 700 individuals from throughout industry, government, and academia. and other pertinent data about bipolar transistors and other devices m,*, be defined using
the parameters contained in the Attribute Table Entity (Type 322, Electrical Attribute List,
The need for a means to exchange product definition data began in the late 1970's with the growth ALT=2).
of mini-computer based CAD/CAM (Computer Aided Design (or Drafting) and Computer Aided
Manufacturing) systems. Two major contributions were included for AEC applications. First, the Attribute Table
Entities (Type 322 and Type 422) can be used to define attribute data and associated graphic
The first version ofIGES was completed in Janu~ 1980. It was submitted to ASME YI4.26 in May
representations that are often necessary for the various AEC applications (e.g., a pattern fill
1980 and was approved as an American National Standard in September 1981. Due to the evolving
used to denote where concrete is used for construction purposes). Second, Appendix D contains
technology in the CAD/CAM field the standard (and the specification) soon became outdated. The
a three-dimensional piping model that shows how existing entities can be used to define piping
IGES Organization continued to extend and enhance its specification. The second version of this information.
specification was completed in July 1982. For various non-technical reasons it wss not submitted
for standards action. The third version of the specification was completed in July 1986. It was The Finite Element Modeling (FEM) capability can be expanded to describe FEM results
submitted to ASME Y14.26 and was subsequently approved as an American National Standard in data. Specifically, the Nodal Results Entity (Type 146) can be used for defining temperature
September 1987. and displacement results and the Element Results Entity (Type 148) can be used for defining
elemental stress and strain results.
The specification (IGES) continues to evolve in order to keep pace with the need to communicate
digital product definition data. The fourth version of this specification was completed in June 1988.
It was submitted to ASME Y14.26 in October 1988 and was approved as an American National Lastly, it is worth noting that a supplemental index is included in the standard. This index contains
Standard in November 1989. a numerical index of the entities which provides quick access in obtaining needed information about
a specific entity type.
This 1989 version of the standard, based on IGES Version 4.0, contains many technical extensions
and reflects a desire to expand the capability to communicate a wider range of product definition
data developed and used in today's CAD/CAM systems. In addition, refinements to the document
improve the syntax, clarity, and precision of the text and figures thus providing the reader with a
better guideline for implementation. It should be noted that no technical changes have been made
to the specification during the standardization process. However, some administrative and editorial
changes were made thus making the standard a more useful reference document.
It is useful for the reader to be aware of some of the major changes to the standard. These changes
are briefly described below.
Basic geometry entities have had no format changes from the 1987 version. However, minor changes
to their descriptions have been made to clarify existing entities. For example, the weights of B-
spline curves and surfaces must now be greater than zero.
Classic drafting entities, including annotation and some geometry entities have also remained as
in the 1987 version. Some clarifications and error corrections have been made to the annotation
section. New forms have been added to the Ordinate Dimension Entity (Type 222, Form I), and
General Symbol Entity (Type 228, Form 1, 2, and 3). It should also be noted that the new General
Symbol forms are to be used to add feature control information to the entity.
iii iv
176 Appendix C AppendixC 177
CONTENTS
2.2.1 Sequence Numbers .. 7

2.2.2 Constants..... 8
2.2.2.1 Integer Constants. 8
2.2.2.2 Real Constants. . 8
2.2.2.3 String Constants. 9
Contents
2.2.2.4 Pointer Constants.. 9
2.2.2.5 Language Statement Constants. 9
2.2.2.6 Logical Constants. . . . . . . . 10
iii 2.2.3 Rules for Forming and Interpreting Free Formatted Data.
Foreword 10
v 2.2.3.1 Pa:ra.meter and Record Delimiter Combinations. 10

Members of the ASME Y14 Committee
2.2.4 File Structure. . . . . . 11
vi 2.2.4.1 Start Section .. 11
Members of the ASME Y14.26 Subcommittee
2.2.4.2 Global Section .. 11
vii
Officers of the IGES/PDES Organization 2.2.4.3 Directory Entry Section. 16
viii 2.2.4.4 Parameter Data Section. 40
Members of the IGES/PDES Organization
2.2.4.5 Terminate Section .... 41
1
1 General 2.3 Compressed ASCII Format 42
1.1 Purpose....... 2.3.1 File Structure. 42
1.2 Field of Application 2.4 Binary Form . . . . 44
1.3 Untested Entities . . 2.4.1 Constants ... 44
2
1.4 Concepts of Product Definition 2.4.1.1 Integer Numbers. 44
2
1.5 Concepts of the File Structure. 2.4.1.2 Real Numbers . . . 44
4
1.6 Concepts of Information Structures for Geometric Models 2.4.1.3 String Constants. 46
4
1.6.1 Property Entity. ., . . . . . . . . . . . . . . . . .. 2.4.1.4 Pointers. ..... 46
4
1.6.2 Associativity Entities. 2.4.1.5 Language Constants. 46
1.6.3 View Entity. . . . . . . . . . . . . . . . . . . . ..
4
2.4.2 File Structure. . . . . . . . . . 48
4
1.6.4 Drawing Entity. . . . . . . . . 2.4.2.1 Binary Flag Section .. 48
4
1.6.5 Transformation Matrix Entity. 2.4.2.2 Start Section.. . . 50
5
1.6.6 Macro Entities. . . . . . . . . . 2.4.2.3 Global Section ... 51
5
1.6.7 Implementor Defined Entities.. . . . . 2.4.2.4 Directory Entry Section. 52
1.7 Appendices .. . .. . . . . .
~ ~
5
2.4.2.5 Pa:rametllr Data Section. 52
'1 2.4.2.6 Terminate Section .. 54
2 Data Form
.............. 7 2.5 Specific File Structures . 56
2.1 General
............ 7 2.5.1 Subfigures. . 56
2.2 ASCII Form .
2.5.2 Connectivity. 56
xviii
xvii
178 AppendixC AppendixC 179
CONTENTS CONTENTS
58 3.21 Finite Element Entity (Type 136). . .. . . . . . . . . . . . . . . . . . . . . . . . . 128

2.5.2.1 Connectivity Entities.
2.5.2.2 Entity Relationships.
• 58 3.22 Nodal Displacement and Rotation Entity (Type 138) . . . . . . . . . . . . . . . . .. 142
58 3.23 Offset Surface Entity (Type 140) . . . . . . . . . . . . . . . . ; . . . . . . . . . . .. 144
2.5.2.3 Information DispllliY. .
58 3.24 Curve On A Parametric Surface Entity (Type 142) . . . . . . . . . . . . . . . . . .. 146
2.5.2.4 Additional Consideratiolltl. .
60 3.25 Trimmed (Parametrie) Surface Entity (Type 144) . . . . . . . . . . . . . . . . . . .. 148
2.5.3 Macro..........······
60 3.26 Nodal Results Entity (Type 146) . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 150
2.5.4 External Referenee Linkage ....
2.5.5 Drawings and Views. . . . . ..... . 63 3.27 Element Results Entity (Type 148) . . . . . . . . . . . . . . . . . . . . . . 151
63 3.28 Constructive Solid Geometry Models. . . . . . . . . . . . . . . . . . . . . . . . . .. 152
2.5.6 Finite Element Modeling. . . . . . . . . . . . . . .
66 3.28.1 Block Entity (Type 150). . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 154
2.5.7 Multiple Tr&llllformation Entities.. . . . . . . . . .
66 3.28.2 Right Angular Wedge Entity (Type 152). . . . . . . . . . . . . . . . . . . .. 156
2.5.8 Attribute Tables. . . . . . . . . . . . . . . . . . . .
3.28.3 Right Circular Cylinder Entity (Type 154). . . . . . . . . . . . . . . . . . . 158
69
3 Geometry 3.28.4 Right Circular Cone Frustum Entity (Type 156). . . . . .. . . . . . . . . . 159
3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 69
3.28.5 Sphere Entity (Type 158). . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 161
3.1.1 Coordinate Systellltl. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 69 3.28.6 Toru Entity (Type 160). . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 162
3.1.2 Directionality.............·.······················ 70
3.28.7 Solid of Revolution Entity (Type 162). . . . . . . . . . . . . . . . . . . . . .. 163
3.1.3 Geometry Entities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
3.28.8 Solid of Linear Extrusion Entity (Type 164). . . . . . . . . . . . . . . . . . 165
3.2 Cireular Arc Entity (Type 100) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
3.28.9 Ellipsoid Entity (Type 168). . . . . . . .. . . . . . . . . . . . . . . . . . . . 166
3.3 Composite Curve Entity (Type 102) . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
3.28.10 Boolean Tree Entity (Type 180). . . . . . . . . . . . . . . . . . . . . . . . .. 168
3.4 Conic Arc Entity (Type 104) .. . . . . . . .. , ............ ...... . 78 3.28.11 Solid Instance Entity (Type 430).. . . . . . . . . . . . . . . . . . . . . . . .. 171
3.5 Copious Data Entity (Type 106) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
3.28.12 Solid Assembly Entity (Type 184). . . . . . . . . . . . . . . . . . . . . . . .. 172
3.6 Plane Entity (Type 108) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .
3.7 Line Entity (Type 110) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.8 Parametric Spline Curve Entity (Type 112) . . . . . . . . . . . . . . . . . . . . . . .
86
89
91
95
• 4 Non-geometry
4.1
4.2
General . . . . . .
Annotation Entities. . .
173
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 173
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 174
3.9 Parametric Spline Surface Entity (Type 114) . . . . . . . . . . . . . . . . . . . . . .
99 4.2.1 Entity Type/Type Number. . . . . . . . . . . . . . . . . . . . . . . . . . . .. 174
3.10 Point Entity (Type lUI) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.2.2 Construction...... . ......................... , 174
3.11 Ruled Surface Entity (Type 118) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
4.2.3 Definition Space. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 174
3.12 Surface of Revolution Entity (Type 120) . . . . . . . . . . . . . . . . . . . . . . . . . 104
3.13 Tabulated Cylinder Entity (Type 122) . . . . . . . . . . . . . . . . . . . . . . . . . . 107 4.2.4 Angular Dimension Entity (Type 202).. . . . . . . . . . . . . . . . . . . . .. 176
3.14 Transformation Matrix Entity (Type 124) . . . . . . . . . . . . . . . . . . . . . . . . 109 4.2.5 Centerline Entity (Type 106, Form 2()..21).. . . . . . . . . . . . . . . . . . .. 178
3.15 Flash Entity (Type 125) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 4.2.6 Diameter Dimension Entity (Type 206). . . . . . . . . . . . . . . . . . . . .. 180
3.16 Rational B-Spline Curve Entity (Type 126) . . . . . . . . . . . . . . . . . . . . . . . 118 4.2.7 Flag Note Entity (Type 208). . . . . . . . . . . . . . . . . . . . . . . . . . .. 182
3.17 Rational B-Spline Surface Entity (Type 128) . . . . . . . . . . . . . . . . . . . . . . 120 4.2.8 General Label Enlity (Type 210).. . . . . . . . . . . . . . . . . . . . . . . .. 184
3.18 OIfeet Curve Entity (Type 130) . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 122 4.2.9 General Note Entity (Type 212). . . . . . . . . . . . . . . . . . . . . . . . .. 185
3.19 Connect Point Entity (Type 132) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 4.2.10 Leader (Arrow) Entity (Type 214) . . . . . . . . . . . . . . . . . . . . . . . " 202
3.20 Node Entity (Type 134) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 125 4.2.11 Linear Dimension Entity (Type 216).. . . . . . . . . . . . . . . . . . . . . .. 206
xix xx
180 AppendixC Appendix C
181
CONTENTS CONTENTS
4.2.12 Ordinate Dimension Entity (Type 218) . . . . . . . . . . . . 207 4.3.15 Color Definition Entity (Type 314). .. . . . . . . . . . . . . . . . . . . . . 347
4.2.13 Point Dimension Entity (Type 220). . . . . . . . . . . . . . 208 4.3.16 Attribute Table Definition Entity (Type 322). . . . . . . . . . . . . . . . . .. 348
4.2.14 Radius Dimension Entity (Type 222). . . . . . . . . . . . . . . . . . . . . . . 209 4.3.17 Attribute Table Instance Entity (Type 422).. . . . . . . . . 349
4.2.15 General Symbol Entity (Type 228) . . . . . . . . . . . . . . . . . . . . . 210
4.2.16 Sectioned Area Entity (Type 230) . . . . . . . . . . . . . . . . . A Part File Examples 351
212
4.2.17 Section Entity (Type 106, Forms 31-38) . . . . . . . . . . . . . . 214 A.l Electrical Part Example ............................... 352
4.2.18 Witness Line Entity (Type 106, Form 40). . . . . . . . . . . . . . . . . . . .. 216 A.2 Mechanical Part Example . . . . . . . . . . . . . . . . . 355
4.3 Structure Entities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 218 A.3 Drawing and View Example . . . . . . . . . 362
4.3.1 Entity Type/Type Number. . . . . . . 218 B Electrical/EIectrooic Product Representation 371
4.3.2 Associativity Definition Entity (Type 302). . . . . . . . . 219 B.l Introduction . . . . • . . . . . . . . . . . . . . . . . 371
4.3.3 AlI80dativity Instance Entity (Type 402). . . . . . . . . . . . . . . . . . . .. 222
B.1.1 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . 371
4.3.4 Drawing Entity (Type 404). . . . . . . . . . . . . . . . . . . . . . . . . . . .. 245 B.1.2 Assumptions. . . . . . . . . . . . . . . . . . . . . . . 371
4.3.5 Line Font Definition Entity (Type 304) . . . . . . . . . . . . . . . . . . . . . 249 B.2 Connectivity .. . . . . . . . 371
4.3.6 MACRO Capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 B.2.1 General.. . . . . . . . 371
4.3.6.1 General................................... 254 B.2.2 Representation.......... 372
4.3.6.2 MACRO Syntax . . . . . . . . . . . . . . . . . . . . . . . . . 254 B.2.2.1 Network Subfigure Construction. . 372
4.3.6.3 MACRO Definition Entity (Type 306). . ... . 258 B.2.2.2 Connect Points. . . . . . . . . . . . . 372
4.3.6.4 MACRO Instance Entity. . . . . . . . . . . . . . 268 B.2.2.3 Signal Construction. . 372
4.3.6.5 Examples of MACRO Usage. . . . . . . . . . .. 269 B.2.2.4 Information Display. . 373
4.3.7 Property Entity (Type 406). . . . . . . . . . . . . 277 B.2.2.5 Additional ConsideratioDS. 373
4.3.8 Subfigure Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 B.2.2.6 Figures......................... 373
4.3.8.1 Subfigure Definition Entity (Type 308). . . . . . .. . . . . . . . . 324 B.3 Electrical Entity DeseriptioDS . . . . . . . . . . . . . . 374
4.3.8.2 Network Subfigure Definition Entity (Type 320). .. . . . . . . . . 325
4.3.9 Subfigure Instances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 C Pbwt FlOWBheet Representation 381
4.3.9.1 Singular Subfigure Instance Entity (Type 408). . . . . . . . . 326 C.l Flowsheet Characteristics .. 381
4.3.9.2 Rectangular Array Subfigure Instance Entity (Type 412). . . . . .. 328 C.2 Support for Flowsheets . . . . . . . . . . . 381
4.3.9.3 Circular Array Subfigure Instance Entity (Type 414). . . . . . . . . 329 C.3 Plant Flowsheet Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 381
4.3.9.4 Network Subfigure Instance Entity (Type 420). . . . . . . . . . . .. 330 C.4 Network Subfigure DefinitiollJl . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . 383
4.3.10 Text Font Definition Entity (Type 310). . . . . . . . . . . . . . . . . . . . .. 331 C.5 Network Subfigure Instances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 385
4.3.11 View Entity (Type 410). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 335 C.6 Geometric Entities for Pipeline or Stream . . . . . . . . . . . . . . . . . . . . . . .. 385
4.3.12 External Reference Entity (Type 416). . . . . . . . . . . . . . . . . . . . . .. 340 C.7 Attributes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 386
4.3.13 Nodal Load/Constraint Entity (Type 418). . . . . . . . . . . . . . . . . . .. 342 C.8 Flow Paths ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 386
4.3.14 Thxt Display Template Entity (Type 312). . . . . . . . . . . . . . . . . 344 C.9 Text Display Templates .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 387
4.3.14.1 Absolute Text Display Thmplate (Form 0). . . . . . . . . . . 345 C.I0 External References . . . . . . . . . . . . 387
4.3.14.2 Incremental Text Display Template (Form 1). . . . . . . . . . . . . 346 C.Il Encoded Flowsheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 389
xxi xxii
182 AppendlxC AppendlxC 183
CONTENTS CONTENTS
D Piping Model Example 397 J.7 General Symbol Entity (Type 228, For1l1ll1,2,3) .... 462
0.1 Piping Model Characteristica 397 J.8 Attribute Table Definition Entity (Type 322) 463
0.2 Entity Support for Piping Models. . .. . . . . . . . . . . . . . . . . . . . . . . . . 397 J.9 Attribute Table Instance Entity (Type 422) . 481
0.3 Piping Model Example. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 399 J.I0 Intercharacter Spacing Property .. 483
0.4 Component Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
Lilt of References 485
0.5 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 399
0.6 Flow Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 403 Glossary 489
0.7 Connectivity Acr088 Piping Models . . . . . . . . . . 403
Index of Topics 503
0.8 Encoded Piping Model Example . . . . . . . . . . . 403
Numerical Index of Entities 515
E SpUne Curves and Surfaces 413
E.l Introduction...... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 413
E.2 Spline Functions . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . . .. 413
E.3 Spline Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . .. 414
E.4 Rational B-spiine Curves. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
E.5 Spline Surfaees .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
E.6 Rational B-spline Surfaces. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . 417
F Conic Arci 419
G Color Space Mappingl 421
H ASCD Form Conversion Utility 423
I Obsolete Entities 437

1.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 437
1.2 Associativity Instance Entity (Type 402) . . . . . . . . . . . . . . . . . . . . . . . . . 438
1.3 Property Entity (Type 406) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
1.4 General Note Font Zero .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 446
J Untested Entitiel 449

J.l Introduction..............··· 449
J.2 Null Entity (Type 0) . . . . . . . . . . . . . . 450
J.3 Nodal Results Entity (Type 146) . . . . . . . . . . . . . .. . . . . . . . . . . . . . 451
J.4 Element Results Entity (Type 148) . . . . . . . . . . . . . . . . . . . . . . . . . . .. 453
J.5 Additional General Note Fonts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
J.6 Radius Dimension Entity (Type 222, Form 1) . . . . . . . . . . . . . . . . . . . . . . 461
xxiii xxiv
LIST OF FIGURES
28 Examples Defined Using the Conic Arc Entity. 79

29 Examples Defined Using the PlllIIe Entity . . . 87
30 Single Parent Aasociativity Used with a Collection of Bounded Planes 87
31 Examples Defined Using the Line Entity . . . . . . 90
List of Figures 32 Parameters of the Parametric Spline Curve Entity 92
33 Examples Defined Using the Parametric Spline Curve Entity 92
34 Parameters of the Parametric Spline Surface Entity . 96
Categories of Product Definition . . . . . . . . 3 35 Examples Defined Using the Point Entity . . . . . 99
Format of the Start section in the ASCII Form 12 36 Examples Defined Using the Ruled Surface Entity 101
2
Format of the Directory Entry (DE) Section in the ASCII Form. 17 37 Parameters of the Ruled Surface Entity . . . . . . 102
3
4 Format of the Parameter Data (PD) section in the ASCII Form . 41 38 Examples Defined Using the Surface of Revolution Entity 105
5 Format of the Terminate section in the ASCII Form . . . 41 39 Parameters of the Surface of Revolution Entity 106
6 General file structure in the Compressed ASCII Format 43 40 Parameters of the Tabulated Cylinder Entity 108
7 Format of the Control Byte Used in the Binary Form . 45 41 Example of the Transformation Matrix Coordinate Systems 110
8 Format of an Integer Number in the Binary Form. 45 42 Notation for FEM-speeific Forms of the Transformation Matrix Entity 115
9 Format of a Real Number in the Binary Form . . . 46 43 Definition of Shapes for the Flash Entity. 117
10 Structure of a String Constant in the Binary Form 47 44 Nodal Displacement Coordinate Systems . 126
11 General File Struct ure in the Binary Form. . . . . . . 47 45 Finite Element Topology Set ..... . 130
12 Format of the Binary Flag Section in the Binary Form 49 46 Offset Surface in 3-D Euclidean Space 145
13 Format ofthe Start Section in the Binary Form . . . 51 47 Parameters of the CSG Block Entity . 155
14 Format of the Global Section in the Binary Form .. 51 48 Parameters of the CSG rught Angular Wedge Entity 157
15 Format of the Directory Entry (DE) Section in the Binary Form 53 49 Parameters of the CSG llight Circular Cylinder Entity . . . 158
16 Format of the Parameter Data (PD) Section in the Binary Form 54 50 Parameters of the CSG rught Circular Cone Frustum Entity. 160
17 Format of the Terminate Section in the Binary Form . . . . . . . 55 51 Parameters of the CSG Sphere Entity 161
18 Subfigure Structures . . . . . . . . . . . . . . . . . . 57 52 Parameters of the CSG Torus Entity . 162
General Connectivity Pointer Diagram . . . . . . . . 59 53 Parameters of the CSG Solid of Revolution Entity 164
19
Macro Definition and Instance Structure . 61 54 Parameters of the CSG Solid of Linear Extrusion Entity 165
20
External Linkages ............ . 62 55 Parameters of the CSG Ellipsoid Entity . . . . . . . . . 167
21
Finite Element Modeling File Structure .. 64 56 Interpretation of ZT Displacement (Depth) for Annotation Entities . 175
22
Finite Element Modeling Logical Structure 65 57 Construction of Leaders for the Angular Dimension Entity . 177
23
Multiple Transformation Cases . . . . . . . 67 58 Examples Defined Using .ihe Angular Dimension Entity 177
24
Examples Defined Using the Circular Arc Entity 73 59 Examples Defined Using the Centerline Entity. . . . . . 179
25
Parameterization of the Composite Curve . . . .
76 60 Examples Defined Using the Diameter Dimension Entity . 181
26
Example Defined Using the Composite Curve Entity . . . . . .. 77 61 Parameters of the Flag Note Entity . . . . . . . 183
27
62 Examples Defined Using the Flag Note Entity. 183
xxv xxvi
LIST OF FIGURES LIST OF FIGURES
63 Examples Defined Using the General Label Entity . . . . . . . . . . . . . . . . . .. 184 98 Example of a Character Definition . . . . . . . . . . . . . . . 334
64 Examples of the General Note Entity . . . . . . . . . . . . . . . . • . . . . . . . . .. 187 99 OrthOll'aphic Parallel Projection of AB on a View Plane . . . 335
65 General Note Font 19 . . . . . . . . . . . . . . . . . . . . . .. . 188
100 View Coordinate System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . " 336
66 General Note Font 1001 189
101 Planes Defining the View Volume. . . . . . • . . . . . . . . . . . . . . . . . . . . .. 338
102 RelatiOll8hip Between the Nodal Load/Constraint Entity and Tabular Data Properties 343
Al Electrical Part Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 352
69 General Note Text Construction . . . . . . . 196
A2 Mechanical Part Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 355
70 General Note ExAmple of Text Operations . . . . . . . . . . . . . . . . . . . . . . .. 197
A3 Drawing and View Example . . . . . . . . . . . . . . 362
71 Examples Defined Using the Leader Entity . . . . . . . . . . . . . . . . . .. 203 B1 General Pointer and Entity Model 377
72 Structure of Leaders Internal to a Dimension . . . . . . . . . . . . . . . . .. 204 B2 Sample Schematic . . . . . . . . . 378
73 Definition of Arrowhead Types for the Leader (Arrow) Entity . . . . . 205 B3 Entity Relatione Chart for Sample Schematic . . . . . . . . . . . . . . . . . . . . . . 379
74 Examples Defined Using the Linear Dimension Entity . . . . . . . .. 206 B4 Sebematic/Physical Diagram for Sample Schematic . . . . . . . . . . . . . . . . . .. 380
75 Examples Defined Using the Ordinate Dimension Entity . 207 C1 Flowsheet Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 382
76 Examples Defined Using the Point Dimension Entity ... 208 C2 Required Connection Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 383
77 Examples Defined Using the Radius Dimension Entity . . . . . . . . . 209 C3 Conceptual Entities in the Flowsheet Example . . . . . . . . . . . . . . . . . . . . . 385
78 Examples Defined Using the General Symbol Entity . . . . . . . . . . 211 C4 Logical Flow Pathe for Streams . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 386
79 Predefined Fill Patterns for the Sectioned Area Entity . . 213 C5 Definition of Tank Subfigure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 387
80 Definition of Patterns for the Section Entity . . . . . . . . 215 C6 Definition of Valw Subfigure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388
81 Examples Defined Using the Witness Line Entity . . . . . . 217 C7 Geometry Entities .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 389
82 Relationships between Entities in an Associativity . . . . . 221 C8 Attributes....... ................................. 390
83 Dimensioned Geometry Associativity . . . . . . . . . . . . . . . . . . . . . . . . . .. 237 C9 Flow Pathl • . . . . . ............................... 391
84 Using Clipping Planes with a View in a Drawing . . . . . . . . . 247 C10 External References for the Flowsheet Example . . . . . . . . . . . . . . . . . . . .. 392
85 Parameters ofthe Drawing Entity . . . . . . . . . . . . . . . . . 248 Dl Piping Model Strueture • . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 398
86 Line Font Definition Using Form Number 1 (Template Subfigure) . 252 D2 Simple Piping Model . . . . . . . . . . . . . . . . . . . • . . . . . . . . . . . . . . .. 400
87 Line Font Definition Using Form Number 2 (Visible-Blank Pattern) . 253 D3 Subfigure Instances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . " 40 1
88 Parameters of the l80celes Triangle Macro in Example 1 in Text. 270 D4 Required Connection Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 401
89 Repeated Parallelograms Created by Macro Example 2 in Text . . . . . . . . 272 D5 Logical Flow Path for Fluids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402
90 Concentric Circles Created by Macro Example 3 in Text. 274 D6 Macro Parametric Catalog Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . 402
91 Ground Symbol Created by Macro Example 4 in Text 275 11 Obsolete General Note Font Zero . . . . . . . . . . . . . . . 447
92 Measurement of the Line Widening Property Values . 282 J1 General Note Font 19 (OCR-B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
93 Relationship Between Properties Used to Represent a Composite Material . . 296 J2 General Note Font 1003 (Drafting Font) . . . . . . . . . . . . . . .' . . . . . . . . .. 457
94 Use of the Vector 75 to Define the Element Material Coordinate System . . . 301 J3 Example Defined Usi~ the Radius Dimension Entity. . . . . . . . . . . . . . . . .. 461
95 Internal Load and Strain Sign Conwntion . . . . . . . . . . . . . . . . 303
96 Relationship Between Subfigure Definition and Subfigure Instance .. 327
97 Example of a Character Definition . . . . . . . . . . . . . . . . . . . . . 333
xxvii xxviii
ASMB YI4.26M-1989
List of Tables 1. General
Parameters in the Global Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 1.1 Purpose
2 Directory Entry (DE) Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 18 This Standard establishes information structures to be used for the digital representation and com-
3 Entity DE Field Requirements ............................. 25 munication of product definition data. Use of this Standard permits the compatible exchange of
product definition data used by various Computer-Aided Design and Computer-Aided Manufactur-
4 Examples of Physical Parent-Child Relationships . . . . . . . . . . . . . . . . . . . 68 ing (CAD/CAM) systems.
5 Finite Element Topology Set .. . .. . . .... . ... . . . .
~ · ...... 129
6 Character Names for the Symbol and Drafting Fonts . . . . . . . · ....... 192 1.2 Field of Application
81 Text Display Template Values for SampleSchematic. . . . . . . . · ....... 374
This Standard defines a file structure format, a language format, and the representation of geo-
Cl Entities in Flowsheet Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384 metric, topological, and non-geometric product definition data in these formats. Product definition
C2 data represented in these formats will be exchanged through a variety of physical media. The spe-
Encoded Floweheet Example for Piping and Instrumentation Diagram . . . . . . . . 393
cific features and protocols for the communications media are the subject of other standards. The
Dl Encoded Piping Model Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404 methodology for representing product definition data in this Standard is extensible and independent
of the modeling methods used.
D2 Encoded Piping Catalog for Piping Model Example. . . . . . . . . . . . . . . . . . . 409
Chapter 1 is general in nature and defines the overall purpose and objectives of this Standard.
Jl Description of TYPE Numbers for the Nodal and Element Results Entities . . . . . 452 Chapter 2 defines the communications file structure and format. It explains the function of each
J2 Character Names for the Drafting Font. . . . . . . . . . . . . . . . . . . . . . . . . . 458 of the sections of a file. The geometry data representation in Chapter 3 deals with two- and three-
dimensional edge-vertex models, with simple surface representations and Constructive Solid Geom-
J3 Electrical Attribute List (ALT=2) ............................ 467 etry (CSG) representations. Chapter 4 specifies non-geometric representations, including common
J4 AEC Attribute List (ALT=3) . . . . . . . . . . . . . . • . . . . . . . . . . . . . . .. 478 drafting practices, data organization methods, and data definition methods.
J5 Process Plant Attribute list (ALT=4) ................. , ........ 480 In Chapters 3 and 4, the product is described in terms of geometric and non-geometric information,
with non-geometric information being divided into annotation, definition, and organization. The
geometry category consists of elements such as points, curves, surfaces, and solids that model the
product. The annotation category consists of those elements which are used to clarify or enhance
the geometry, including dimensions, drafting notation, and text. The definition category provides
the ability to define specific properties or characteristics of individual or collections of data entities.
The organization category identifies groupings of elements from geometric, annotation, or property
data which are to be evaluated and manipulated as single items.
1.3 Untested Entities
It is the policy of the IGES/PDES Organization and the ASME Y14.26 Committee to ensure that
entities are tested before being-included in the Standard. In eases where this testing is not yet
complete, the entity is included in Appendix J. A prospective implementor is warned that, despite
the fact that Appendix J entities represent the best judgment of the organization, there is a chance
that changes will be required before these entities can be added to the Standard. If these entities
xxix
1. GENERAL 1.5. CONCEPTS OF THE FILE STRUCTURE
are judged l18eful and implementation is attempted, the results of the attempt will be useful to
the IGES/PDES Organization. Cont~t the IGES/PDES Administration Office at the National • ADMINISTRATIVE
Ill8titute of Standards and Technology to report problems and successes.
Prod uct Identification
Product Structure
1.4 Concepts of Product Definition
• DESIGN/ANALYSIS
This Standard is concerned with the data required to describe and communicate the essential engi-
Idealized Models
neering characteristics of physical objects as manuf~tured products. Such products are described
in terms of their physical shape, dimensions, and information which further describes or explains the • BASIC SHAPE
product. The processes which generate or utilize the product definition' data typically include de-
sign, engineering analysis, production planning, fabrication, material handling, assembly, inspection, Geometric
marketing, and field service.
Topological
The requirements for a common data communication format for product definition can be understood
in terms of today's CAD/CAM environment. TraditionaUy, engineering drawings and associated • AUGMENTING PHYSICAL CHARACTERISTICS
documentation are used to communicate product definition data. Commercial inter~tive graph- Dimensions and Tolerances
ics systems, originally developed as aids to producing these two-dimensional drawings, are rapidly
developing sophisticated three-dimensional solid modeling. In parallel, extensive research work is Intrill8ic Properties
being conducted in advanced geometric modeling techniques (e.g., parametric representations and
solid primitives) and in CAM applications utilizing product definition data in manuf~turing (e.g., • PROCESSING INFORMATION
NC machining and computer-controlled coordinate measurement). The result is rapid growth of • PRESENTATIONAL INFORMATION
CAD/CAM applicatioDII, allowing exchange of product definition data, which usually employ incom-
patible data representatioll8 and formats. In addressing this compatibility problem, this Standard
is concerned with needs and capabilities of current and advanced methods of CAD/CAM product
definition development.
Figure 1. Categories of Product Definition
Product definition data may be categorized by their principal roles in defining a product. An example
of such a categorization is presented in Figure 1. This Standard specifies communication formats
(information structures) for subsets of the product definition. A file consists of five or six sections: Flag (in the ease of the binary or compressed ASCII form),
Start, Global, Directory Entry, Parameter Data, and Terminate. A file may include any number of
entities of any type as required to represent the product definition. E~h entity occurrence consists
1.5 Concepts of the File Structure of a directory entry and a parameter data entry. The directory entry provides an index and includes
descriptive attributes about the data. The parameter data provides the specific entity definition.
The directory data are organized in fixed fields and are consistent for all entities to provide simple
A format to allow the exchange of a product definition between CAD/CAM systems must, as a access to frequently used descriptive data. The parameter data are entity-specific and are variable
minimum, support the communication of geometric data, annotation, and organization of the data. in length and format. The directory data and parameter data for all entities in the file are organized
The file format defined by this Standard treats the product definition as a file of entities. Each entity into separate sections, with pointers providing bi-directional links between the directory entry and
is represented in an application-independent format, to and from which the native representation of parameter data for each entity. The Standard provides for groupings whose definitions will be found
a specific CAD/CAM system can be mapped. The entity representations provided in this Standard in a file other than the one in which they are used.
include forms common to the CAD/CAM systems currently available and forms which support the
system technologies currently emerging. Each entity defined by the file structure in Chapter 2 has a specific assigned entity type number.
While not all are assigned at this time, entity type numbers 0001 through 0599 and 0700 through 5000
The fundamental unit of data in the file is the entity. Entities are categorized as geometry and are allocated for specific assignment. Entity type numbers 0600 through 0699 and 10000 through
non-geometry. Geometry entities represent the definition of the physical shape and include points, 99999 are for implementor-defined (i.e., macro) entities. For user defined entities see Section 1.6.7.
curves, surfaces, solids, and relations which are collections of similarly structured entities. Non- The Index of Topics includes an alphabetical listing of entity types.
geometry entities typically serve to enrich the model by providing a viewing perspective in which
a planar drawing may be composed and by providing annotation and dimell8ioning appropriate to Some entity types include a form number as an attribute. The form number serves to further define
the drawing. Non-geometry entities further serve to provide specific attributes or characteristics for or classify an entity within its s~ecific type.
individual or groups of entities and to provide definitions and instances for groupings of entities. The entity'set includes a provision for asoociativities and properties. The Associativity Entity
The definitioll8 of these groupings may reside in another file. Typical non-geometry entities for provides a mechanism to establish relationships among entities and to define the meaning of the
drawing definition, annotation, and dimensioning are the view, drawing, general note, witness line, relationship. The Property Entity allows specific characteristics, such as line widening, to be as-
and leader. Typical non-geometry entities for attributes and groupings are the property and the signed to an entity or collection of entities. Each entity format includes a structure for an arbitrary
associativity entities.
3
2 ASME Y14.26M-1989
ASME Y14.26M-1989
192 Appendix C Appendix C 193
1. GENERAL l. 7. APPENDICES
number of pointers to associativities and properties. The file structure provides for hoth predefined 1.6.6 Macro Entities. This Standard includes a Macro Definition Entity for defining new entity
associativities and properties to be included in the Standard and unique definitions which will be types which may then be used in the defining file in the same manner as the intrinsically defined
defined by the user. entities. A language for defining these new entity types is specified in Section 4.3.6.
1.6 Concepts of Information Structures for Geometric Models l.6.7 Implementor Defined Entities. This Standard allows implementors to include entities
in their files that are not defined in this document but which have specific user meanings. This
feature supports the objective of the Standard to act as an archiving format where the receiving
The geometric model refers to the entity set defined by Chapters 3 and 4, and comprises an entity-
system is the same as the sending system. In this way, the implementor is able to archive those data
based product definition file. The entity types, as described above are categorized as geometry and
forms which may be unique to a particular system.
non-geometry. In general, the geometry entities are defined independently of one another (surfaces
are an exception). Features have been provided to define and compose re\ationships among entities From time to time, files with such implementor-defined entities are used with applications which
to enhance the model. The non-geometry entities include structures in which an entity may be attempt to edit the file. In this situation, processing problems can arise because, without an entity
defined by a collection of other entities and structures which are independent. definition, the editor cannot know which parameter values are pointers that have to be updated,
and which are simply data values that should not be updated.
Several entity types which are used to provide relations or definitions are essential to the file structure
methodology of this Standard and are described below. To avoid this problem, implementors should use macro definitions and instances of Macro Entities
with entity type numbers in the range of 5001 to 9999 inclusively. (See Section 4.3.6 for informa-
tion on how to use the macro capabilities of the Standard.) This means that for each different
1.6.1 Property Entity. The Property Entity allows non-geometric numeric or textual informa- implementor-defined entity type, there will be a Macro Definition Entity (Type 306). In order to
tion to be related to any entity. Any entity occurrence may reference one or more property entity accomplish the desired result, all that needs to be present in the parameter data for these macro
occurrences as required. In addition, a value which is contained in a property may be displayed definitions is the first MACRO statement which defines the parameter list, and an ENDM statement
as text when an additional pointer (See Section 2.2.4.4.2) of the property points to a Text Display to terminate the definition.
Template Entity (Type 432).
Property Entities themselves may exist independently of other entities. In this case, the property 1.7 Appendices
is defined to be a property of the level indicated in the level field of the directory entry (DE) of
the property. This allows for a general property to apply to all entities of a given level or for the
assignment of an applications function to a level. Because the level field in a DE is also allowed to As an aid to the implementor/user, a series of non mandatory appendices is included. Appendix A
point to a property of levels, properties may be applied to multiple levels. gives three part file examples. Appendix B describes an electrical/electronic product representation,
and Appendix C, a plant Ilowsheet representation. Appendix D provides a three-dimensional piping
model example while Appendix E gives explanation of spline representation and approaches for
1.6.2 Associativity Entities. The Auociativity Entities are designed for use when several en- conversion techniques. Appendix F discusses the numerical stability of conic arcs. Appendix G
tities must be logically related to one another. Two types of entities are involved here: Associativity provides mappings between color spaces. Appendix H provides a set of FORTRAN utilities to convert
Definition and Associativity Instance. The Associativity Definition Entity is used to specify the physical file structures in the ASCII Form from the regular ASCII Format to the Compressed ASCII
structure of the logical relationship, and the Associativity Instance Entity is used to specify the in- Format and back. Appendix I itemizes entities from previous versions which have been made obsolete
formation involved in a particular occurrence of the relationship. Some associativities are specifically by this version. Appendix J includes new entities which have not received sufficient implementation
defined as part of this Standard in Section 4.3.3.3. testing for inclusion in the main body of the Standard.
1.6.3 View Entity. A drawing or equivalent human-readable representation of the geometric

model of a product is a two-dimensional projection of a selected subset of the model, together with
non-geometric information such as text. The View Entity and Views Visible forms of associativities
control such representations. These provide information for orientation, clipping, line removal, and
other characteristics associated with individual views rather than with the model itself.
1.6.4 Drawing Entity. The Drawing Entity allows a set of views to be identified and arranged
for human presentation. Note that the View and Drawing Entities contain only the rules and
parameters for extracting drawings from the geometric model. The actual product definition is not
duplicated in various views, eliminating risk of conllicting or ambiguous information.
1.6.5 Transformation Matrix Entity. The Transformation Matrix Entity allows translation
and rotation to be applied as needed to any entity in the construction of the model and to the
development of views and drawings of the model.
4 5
ASME YI4.Z6M-1989 ASME YI4.26M·1989
=
APPENDIX A. ELECTRlCAL PART EXAMPLE
Appendix A. Part File Examples [ - -
This appendix is not part of ASME Y14.26M-1989, Digit/II Representation for Communication of
0
I-
Product Definition Data, and is included for information purposes only.
This appendix contains three sample pa.rts encoded in the ASCII Form. These files a.re included
to provide a guide to the usage of IGES and this Standa.rd and, &8 such, do not represent a.!l
design applica.tion uses. The files are a two-dimensional application using structure entities, a two-
dimensiona.! drawing of a mechanica.! pa.rt with dimensioning, and a three-dimensional part with
two-dimension a.! drawing views defined.
Example file I is an integrated circuit (IC) cell. The IC application wu selected because of the
predominance of two-dimensional geometry used in electrical designs. The geometry used in the
ce\l in Figure Al consists of simple dosed area, linear path entities and line widening property.
The structure entities are nested subfigures using a Network Subfigure Definition Entity and Array
Subfigure Instance Entities. A Connect Point Entity is included to identify the signa.! port. The
,eometry is on five different levels, each representing a process mask. The entity label field of each
Directory Entry record contains (optional) text included to describe the entity's use. The entities
in this file would be typica.! of those used in an IC application to transfer either cell libraries or a
complete design between design systems. The file of a design prepa.red for pattern generation, with
subfigures resolved and the geometry fractured, would use the Fluh Entity exclusively. The cell file
'11"88 adapted from a cell libra.ry in [HON801 with kind permission from the author.
Example file 2 is a two-dimensional drawing of a mechanica.l pa.rt containing geometry entities and
annotation entities typically found on engineering drawings. Included u geometry are points, lines,
circular arcs and conics. For annotation, the file includes linea.r dimensions, angular dimensions,
radius dimensions, ordinate dimensions, a general label and genera.! notes. Figure A2 shows the
Pl
mechanica.l part, which '11'88 used during one of the early public demonstrations of intersystem data II I
exchan,e.
Example file 3 is included to show the use of View Entities and Drawing Entities in conjunction with
0 0 0 0 0 0 0
o I[Qj ~
a tJuee.dimensiona.! part model to convey a drawing to the receiving system. Figure A3 shows the
example drawing. In this way, model geometry and viewing parameters are 10gica.!1y sepa.rate. A
three· dimensional model, &8 well &8 the drawing, is received enabling sdditional views to be created
if necessa.ry, and changes to the part model a.re reflected in all views.
Figure AI. Electrical Part Example
351 352
ASIoIE YI4.26101-1989 ASME Y14.26M-1989
196 Appendix C
- AppendixC
197
I
Example 1 Electrical Part

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13P 07
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308 0 1 SUBFIGI 0 02 -210. ;
16P 09
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106 03 1 1 0 000202000 06 106,1.6,0 .• 222.6.-21& •• 237.6,-216 .• 237.6.-247.6.222.6._217.6. 21P 12
106 0 4 1 63 GI1)POlT 0 06 222.6,-216. :
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106 08 1 3 0 000202000 16 106,1,6,0.,232.6,-212.6,232.6.-222.&,&0.,-222.6,60.,_240 •• 36P 22
106 0 3 2 63 lCTBOl 0 16 232.6.-240 .• 232.6.-247.6,0.1,41; asp 23
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106 0 3 1 11 lCTSTO 0 20 406.6,6.0.1.1.0.0; 41P 27
106 12 3 0 000202000 21 S 20 3D 42P 27 T 1
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308 19 0 0 000202010 21
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106 20 6 0 000302000 31
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106 22 1 2 0 000202000 3&
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353 354
ASMB YI4.26M·1989 ASKB YI4.26M.1989
.. d _ _ _ _ ". _ _
AppendixC
I
198 AppendixC 199
APPENDIX. A. MECHANICAL PART EXAMPLE APPENDIX. A. MECHANICAL PART EXAMPLE
Example 2 Mechanical Part Example
PLATE. 001 SlIlPLB IIECIlAlIClL P1lI.T VITI AlIOnnOI S 1

USED AT AI1TOFACT - ocrona Ul82 AID II VIlISIOI 3.0 APPBlDIl A S 2
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(TYP) 110 0 0 0 OD 14
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(6 PLACES) 100 0 0 0 OD 18
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-
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Figure A2. Mechanical Pad Example 118 0 0 0 OJ) 36
356
355 ASME Y14.26M·1989 ASME Y14.26M·1989
AppendixC AppendixC 201
200
APPENDIX A. DRAWING AND VIEW EXAMPLE APPENDIX A. DRAWING AND VIEW EXAMPLE
Example 3 Dr_in, and View Example
Ta.t fila of aodal .ith VIEW (410) and DllWIIO (404) entit1a. S 1
S 2
TIIb fih dUlOn.trat.. IIJIJ1OtatiOll attac:hR to tha VIEWS, S 3
1.a., tha d1aanaion ntiti.. an fllllS~ .. IIDEPElDUT, S 4
and thair DE fia1d 6 point. to a VIEW ent1t7. TIIa c:oordinata. S 6
of tha d1anl1ona ara ill IOOEL .pac:a, and tha7 han a S 6
tranlforaatioll . .trix .hich il tha iIlYarla of tha VIIV . .trix. S 7
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108 0 0 1 OD 20
108 18 1 0 0 0 0 0 10201D 21
108 0 0 1 1 OD 22
108 17 1 0 0 0 0 0 10201D 23
108 0 0 1 OD 24
108 18 1 0 0 0 0 0 10201D 26
108 0 0 1 1 on 28
410 19 1 0 0 0 17 0 201D 27
410 0 0 0 OD 28
Figure A3. Drawing and View Example
363
362 ASME YI4.26M-1989
ASME YI4.26M·1989
Appendix C AppendixC 203
202
APPENDIX B.2 CONNECTIVITY
In electrical applications, the itema to be connected are typically electrical components (i.e., resistor,
16-pin DIP, etc.). Most often, these components are represented by subflgures which are defined
once, then referenced (instanced) in the database for each occurrence of the component. Each pin
of the component is a potential connection point in a signal; thus each subflgure has a connect node
defined for each pin. When such a subflgure is instanced, its connect nodes must also be instanced.
This allows each connect node to participate in the unique signal to which it belongs. An instanced
connect node, when added to a signal, is different from its definition which is not a member of any
Appendix B. ElectricalfElectronic Product Representation signal.
These subflgures, representing electrical components, often contain text describing the component
and its pins. In some cases (e.g., part number), this text is fixed and unchanging. In other cases (e.g.,
reference designator), the text may be variable, and thus may not be filled in until the lubflgure is
This appendix is not part of ASME Y14.26M-1989, Digital Representation for Communication of instanced. This text (sometimes called a "text node"), like the connect node, is instanced along with
Product Definition Data, and is included for information purposes only. its parent subflgure. In some cases, a connect node and a text node are related (e.g., the connect
node represents a'component pin and the text node represents the pin number).
B.1 Introduction
B.2.2 Representation. The connect node is represented by the Connect Point Entity. The text
node is represented by the Text Display Template Entity. The Flow A880ciativity Entity represents
B.1.1 Purpose. The purpose of this appendix is to provide implementors and users with a
roadmap to the representation of electrical/electronic product designs using this Standard. The a signal and contains the link, signal name, and pointers to the join entities. The Network Subflgure
topics of discussion will include (but are not limited to) design, engineering, manufacturing, testing, DefInition and Instance represent electrical components which participate in signals. A number of
Property Entities will also be used.
and inspection.
B.1.2 Assumptions. The reader should have a basic understanding of electrical/electronic B.2.2.1 Network Subflgure Construction. A component is constructed using the Network
product design using CAD/CAM and Computer-Aided Engineering (CAE) tools, including (but Subflgure Definition Entity. The entities representing the component geometry are referenced in
not limited to) connectivity, component descriptions, placement and routing, and the manufactur- the same manner as the Subflgure Definition Entity. In addition, a separate set of pointers to
ing interface. Each topic will be discussed in general, but these discussions are not intended to defining Connect Point Entities is provided. These Connect Point Entities define the locations and
provide a tutorial on the subject. characteristics of the component's pins. Properties, for example the Part Name Property, may be
attached to the Network Subflgure Definition Entity.
B.2 Connectivity
B.2.2.2 Connect Points. A component pin (or surface mounted device pad, IC I/O port, lead
frame, schematic symbol lead, etc.) is represented by the Connect Point Entity. The Connect Point
B.2.1 General. Forming a connection between two or more items requires the ability to repre-
Entity is used in both logical and physical product designs. The exact location in model space
sent the following: is specified, along with several characteristic ftags (connection type, function type, I/O direction).
There is a pointer to the parent Network Subflgure Entity (definition or instance), which provides
1. the exact location of each connection point, a association needed for signal processing. An additional Subflgure Instance pointer is provided for
Connect Point display. This allows a graphical symbol to be displayed, representing the Connect
2. the signal formed and its identification (if any), and Point. The pin number is provided in the Function Connect Point Identifier field, along with a
3. the physical connection between the items (if any). pointer to a Text Display Template for pin number displaY. A pin function name is provided in the
Connect Point Function Name Field, along with a pointer to a Text Display Template for its display.
The term "connect node" will refer to a database entity which represents the exact location of
connection. The term "link" will refer to the representation of the signal formed, and "signal name" B.2.2.3 Signal Construction. A signal, representing one set of electrically common Connect
will refer to the signal identifier. The term "join" will refer to the database entity or entities which Points, is constructed using the Flow ABBOciativity Entity. It contains pointers to other associated
represent the physical connection between the items. Flow Associativity Entities, the Connect Point Entities participating in the signal (this is the Link),
Each item to be connected requires a connect node to represent each possible connection point of the and the Join entities representing the geometry of the signal (either logical or phYlical). AlIo
item. A signal may be formed between any such items by a link which references the connect nodes contained is a list of signal names which may be used to identify the signal, along with a set of
to be connected. This creates an associativity between the connect nodes, and thus the connected pointers to Text Display Template Entities which may be used to display the first lignal name in
items. The signal name maY be used to uniquely identify the particular signal formed. The join a number of locations. Two characteristic ftags determine the signal type (logical or physical), and
may be used to provide a graphical representation of the signal. In electrical applications, the join the function type (ftuid ftow or electrical signal).
will most often be represented by a line (schematic) or a widened line (printed wiring board).
372
371 ASMI! Y 14.26M-l 989
ASME Y14.26M·1989
d
-~--.- ~--
APPENDIX B.2 CONNECTIVITY APPENDIX B.3 ELECTRICAL ENTITY DESCRIPTIONS
A signal is represented by one Flow Associativity Entity pointing to a set of electrically common
Connect Points. This is the link. The .Join entities represent the physical displa,y geometry of Table Bt. Text Display Template Values for Sample Schematic
the signal. For a scllematic (logical), a line without width is typically used. For a printed board
(physical), a line with the Line Widening Property is typically used. A number of signal names may TEMPLATE TLEFT TRIGHT TTOP TBOT
be lI880Ciated with the signal. Multiple displays of the first, or primary, name are possible. WIDTH .10 .10 .10 .10
The components participating in a signal are represented by the Network Sub figure Instance Entity. HEIGHT .13 .13 .13 .13
Note that the Connect Point Entities "belonging" to a component are instanced along with the SLANT ANGLE (default) (default) (default) (default)
subfigure. This is necessary to allow a subfigure to participate in a number of different signals, while ROT'N. ANGLE O. O. o. O.
retaining unique component/pin identification. Each component is usually identified by a reference MIRROR FLAG 0 0 0 0
designator. This is supplied by the Primary Reference Designator Field of the Network Subfigure. VRr./HORIZ. 0 0 0 0
Any alternate reference designators ma,y be designated with the Reference Designator Property, DEFORM NO. 1 1 1 1
attached through the normal property pointer mechanism (see Section 2.2.4.4.2). X (DX) -.09 -.03 +.03 +.03
Y(DY) +.03 +.03 -.15 +.1
Z (DZ) O. O. O. O.
B.2.2.4 lDf'ormation Display. Throughout the above discussion, references to the Text Displa,y
Template Entity have been made. This entity allows text, embedded in an entity, to be displayed -
U1 PI-P8 P9-PI6 Pins using
without the redundant specification of the text string. There are two reasons for this feature. First,
U2 PI-P8 P9-P16 - the text
it eliminates a possible source of error by allowing the information to be specified in only one place.
U3 PI-P4 P9-PI2 PI3-PI6 P5-P8 templates
Second, it reduces the file size overhead. This entity exists in two forl118, absolute and incremental.
The absolute form provides an exact location for display of the information, 88 in the display of a
reference designator. The incremental form provides an offset to be applied to the parent entity's
location to provide the exact location for displa,y of information like pin numbers. When a direct B.3 Electrical Entity Descriptions
pointer for information displa,y is provided, the base location is readily determined from the parent
entity's location such 88 when displa,ying a pin number. In the case of property value displa,y, the
The following entities (in entity number order) are the subset of entities which ha-we particular
baae location must be determined by "remembering" the location of the property entity's parent
meanings when used for electrical product data.
entity. This would occur when displaying the Part Name. Also in this case, the pointer to the
Text Displa,y 1emplate Entity is located in the additional pointers section of the property entity
parameters. 100 Circular Arc Entity
B.2.2.5 Additional Consideratiom. The situation is exactly the same for both logical and The electrical use of this entity is in the geometric representation of component parts and their
physical representations. The only differences arise in the Subfigure and .Join entities used. In fact, symbolic representations. In such uasge, it is generally part of a subfigure. It may be used 88 a join
a file may contain representations for both the scllematic and the board. The Flow Associativity entity. Its use may be defined by a Level Function Property or DE Level Pield.
Entity contains a type flag to indicate the connection type (logical or physical). In this case,
one Flow Associativity would represent the logical connection and a second would represent the
physical connection. The two lI880Ciativities would be related by the pointers provided in the Flow 102 Composite Curve Entity
Associativity.
The electrical use of this entity is in the geometric representation of component parts and their
B.2.2.6 Figures. The following figures illustrate certain aspects of the above discussions. Fig- symbolic representations. In such usage, it is generally part of a subfigure. It may be used 88 ajoin
ure Bl illustrates the basic entity relationships. Figure B2 and Table Bl illustrate the usage of entity. Its use may be defined by a Level Function Property or DE Level Field.
the Text Diapla,y Template. Figure BS illustrates an actual implementation. Figure B4 shows an
example of logical and physical signals and their relationships in the same file.
106 Copious Data Entity
Forl118 11, 12, and 13 or this entity may be used to implement the electrical join (i.t., schematic or
wiring diagram circuit connection lines). Any of these forl118 may point to a Line Widening Property.
Examples of this entity propert¥ combination are circuit paths on a printed circuit (PC) board or
integrated circuit (IC) metalization, or as a bus in a scllematic. Form 63, Simple Closed Area,
may be used to define an aut.o-router restriction area or a PC (or IC) defined area having special
attributes.
373 374
ASME Y14.26M-1989 ASME YI4.26M-1989
APPENDIX B.3 ELECTRlCAL ENTITY DESCRlPTIONS APPENDIX B.3 ELECTRlCAL ENTITY DESCRlPTIONS
108 Plane Entity 302 Auociativity DefiDition Entity
K
Certain layers of PC design are designated as "groundK , "power , or "heat sink", and as such are When the originating system provides a relationship not included among the predefined IIII8Ociativi-
large conductive areas. These layers, as well as larger curved or rounded conductive areas on other ties, this entity is required. Possible uses are to relate subflgures to entities in other databases (i.t.,
layers, are best defined by the Plane Entity. Note that the form number indicates whether the circuit analysis or text requirements) or for back-annotation purposes.
bounded region is positive or void (i.e., copper clad area or cutout).
312 Text Display Template Entity
110 Line Entity Form 0: absolute; Form 1: incremental
The Line Entity has several important uses in the electrical application. It may be used to construct The Text Display Template may be used to display text which may be unique in each instance of
component outlines, and to represent both logical and physical connections (as a join entity). As a the defined entity (i.t., a pin number).
physical join entity, the Line Widening Property will most often be attached, giving the width of
metalization to be etched on the board. As a logical join entity, the line will most typically be used
320 Network Subflgure Definition Entity
without the Line Widening Property.
For printed circuit and cable usage, a subfigure usually represents a component and its required PC
116 Point Entity constructs. This entity is normally a library physical or logical figure in the originating system.
The Point Entity is used to locate features that do not participate in electrical connectivity, for
402 A.ssociativity Instance Entity
example, a mounting hole.
This entity relates other entities within a file to provide a "setK with a common meaning. Those
124 'iransformation Matrix Entity associativities which are predefined are identified by form numbers (i.e., Form 18: Flow). The_
defined associativities are defined by Entity 302 and its form number.
A Transformation Matrix Entity may be used to rotate subfigures to other than normal (top up)
positions. Generally, rotations are about the Z &Xis for PC and IC constructs, but may be about
406 Property Entity
any axis for three-dimensional cabling files.
The use of a properly to indicate the meaning or purpose of a geometric entity applies to electrical
125 Flash Entity constructs as well as general graphica. A Connect Point Entity may point to the Drilled Hole Prop-
erty. A Plane Entity or Simple Closed Area Entity may point to the Region Restriction Property.
The Flash Entity may be used to represent a repetitive artwork feature which is Wlually produced Any property. however, may point to the Text Display Template with the text string specified in
by pboto-optical means. Examples include PC pads, targets, clearances, and IC features. the property. In this case, the Text Display Template locates the text display. This entity is &II
open-ended list allowing for expansion to address future needs such as simulation. testing. inspection
applications, and extensions into electrical/electronic systems hierarchical design.
132 Connect Point Entity
412 Rectangular Array Subflgure Instance Entity
The Connect Point Entity is used to represent a point of connection. A subfigure defining an electrical 414 Circular Array Subfigure Instance Entity
component typically uses the Conned Point Entity to represent a pin of the logical or physical
K
component or symbol. A Connect Point may also be used in a "stand-aIone mode, representing a
via hole, for example. These entities may be used to instance multiple Network Subflgure Instances, but must not be used
for instancing Connect Points.
212 General Note Entity

420 Network Subfigure Instance Entity
A General Note Entity is used to display constant text. Design notes would require a General Note
This entity allows an electrical component to be instanced in a number of unique locations. Note
Entity. that ·owned" Connect Point Entities must be instanced with this entity.
375 376
ASME YI4.26M-1989 ASME Y14.26M-1989
APPENDIX B.3 ELECTlUCAL ENTITY DESClUPTIONS APPENDIX B.3 ELECTlUCAL ENTITY DESClUPTIONS
r- - - I PER UNIQUE SUBFIGUIIE - - - - - ..,

l- I u:oellO
I
I
I GEOMETRY
Nt:lWOM.
SUBFIG. DEF
I ~
-
=
I
I IIMIE
'ICC. yee
I I I I DP\.IClT ,ft.
16
~~
I I
I [aOlL .... T. P ....
\, C1..CI!
ffi
~"'
I toNNECT I 15
POINTS l- I 14 14
I
I I 1 I
V2
I I I 1'11011 OTHER SUIIF'IGUIIES 12
12
I \2
I I II
L ----------------- J ,~ 1 10 2 II
- ---- -r -----
0[1' INITION
IN
.TANCEIS) ----INSTAIICD
- - -- MAIIT - ---- ----_---I
... TEXT
TEMPLATE
o l 0
t '110 I 1I
4
US 10
9
I r - - NETWORK I o I 0
SUaFIG. INST I GND
I
I I OTHER CONNECT
PQINTS USING
I I I THIS TEMPLATE
1
~~~
I
I I
COIIIECT
POINTS l- I
I L.... ruT
1 TEll'LATE
I
I 1.-........ :I
I
PROPERTI Ell L------t--- ---~
D.IILL
HOLE U I
L..
~I----
~NTR
FLOW ASSOe:.
SPNTR
,jPNr-JOINS
(PHYS.CONN.)
I 1
1
TO OTHER SIMILAR F'LOW ASSOCIATIVITIES
OF' DIFl"ERENT TYPES. THEREIIT ASSOCIATING
LOGICAl WITH PHYSiCAl DATA
Figure B2. Sample Schematic

Figure B1. General Pointer and Entity Model
318
311 ASME Y14.26M-1989 ASME Y14.26M·1989
......
N
o
AppendixD 213
AMERICAN NATIONAL STANDARD

ENGINEERING DRAWINGS AND RELATED
DOCUMENTATION PRACTICES
Dimensioning
and To/erancing
ANSI Y14.5M - 1982
SECRETARIAT
THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS
SOCIETY OF AUTOMOTIVE ENGINEERS
PUBLISHED BY
THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS
United Engineering Center 345 East 47th Street New York. N. Y. 10017
214 AppendixD AppendixD 215
evaluated by the Subcommittee as items for adoption. Those considered to be practical and
technicalJy appropriate are incorporated herein. Some were disapproved and sball likely remain
points of difference.
A 10ng-prevai1ing example is the exception this Standard has taken to the ISO symbols and
methods for indicating a datum feature. Practicality of the U.S. symbol and method wu
FOREWORD reaffirmed by the Subcommittee and the practice continued without change.
Additionally, a conflict in principle has arisen with regard to the interpretation of the limlts
of Iil.e. As of publication time of this Standard, ISO is proceeding with the adoption of a
(This Foreword II not 8 pert of American National Standii'd, Engineering Drawings III1d "principle of independency," which absolves size limlts from the control of form of an indl·
Aeleted Documentation Practic:el. Dimensioning and Tolenlnc:lng, ANSI YI4.6M-I982.1 vidual feature. This is contrary to the Taylor4' principle, wherein a boundary of perfect form at
MMC is prescribed to control variations in form as well as Iil.e of individual features.
If the principle of independency la adopted by ISO, size limlts on drawings prepared in
accordance with ISO standards would be verified by two-point measurements only. Conse-
This issue is a revision of American National Standar.d YI4.5-1973, Dimensioning and Tol- quently. if it were necessary to control the form of a feature by means of its Iil.e Umits, an
erancing. Olanges reflected herein are intended to bnprove and update U.s. dDnensioning and "enveloS!! principle (boundary of perfect form at MMC) would be invoked by indicating the
tolerancing practices and to seek a closer alignment with corresponding practices adopted symbol@following the size dimension.
internationally. The Y14.5 Standard continues to subscribe to the Taylor principle, which la currently recog-
Several considerations were initially involved in determining the extent of this revision. Fore- nized and widely accepted in the U.s. and elsewhere. Special indication of its application la not
most among them were: comments deferred from the previous issue, metrication, symbology, required on U.s. drawings since It is a fundamental precept used in product, tool, and gaae
and international standardization. Others evolved as the work progressed. design.
Members of the Y14.5 Subcommittee have participated in a number of international meetinp The technical expertise provided by the Y14.5 Subcommittee la attributable to a broad cross
on dimensioning and tolerancing since 1973. The outcome of these meetings has influenced the section of U.S. industry. the Department of Defense (DoD), educational institutions, and
direction of change in certain areas and broadened the base upon which this Standard wu nationallaboratorles. Particular recognition is given to those organizations who haWl sponsored
developed. the travel and participation of individual members of the Subcommittee in national and inter-
Planning meetings were held in London in 1973, 1974, and 1975 to prepare for the next,and national standardization activities.
what proved to be the last, American-Brltlsh.Qmadian-Australian (ABCA) Conference on The folowing la a summary of the principal changes and bnprovements incorporated in this
Unification of Engineering Standards (UES). The conference convened in Ottawa in 1971. issue of American National Standard YI4.S.
Agreements were reached on unifying certaln practicea to narrow existing dlfferencea between
the four national standards of the major Engilsh..peaklng countries. • By definition, distinction is made between a feature and a feature of Iil.e: see 1.3.1 and
The ABCA/UES activity, founded in the latter years of World War II, was official1y discon- 1.3.8.
tinued in 1980 due to the Increased growth and tempo of International standardization work. • Definitionsaregivenfordatumfeatun!and~metrictolenznce: see 1.3.9 and 1.3.19.
Nevertheless, the liaison established between ABCA countries on subjects covered by tbJa
Standard is expected to continue, although on a less formal basis. • Implied 90° angles and unspecified 90° basic angles are clarified: see 1.4 (i) and 0).
At the seventh meeting of ISO/TC 10 at Scheveningen in 1972, the International Organlza- • SI (metric) linear units are featured throughout the text and in illustrations: see 1.5. By
tion for Standardization (ISO) Committee on Technical Drawings (TC 10) outlined a program request of ASME, the publisher of this Standard, the spelling of millimetre wu changed to
of work for the years to follow. A U.S. delegation attended this meeting and submitted ten millimeter.
papers on subjects proposed for consideration in the program of work for Subcommittee S
(SC S), Dimensioning and Tolerancing. • MiDimeter dimensioning practices are now covered under general dimensioning: see 1.6.1.
Subsequent meetings of lSOrrc 10/SC 5 and Its usociated Working Groups were held in • The international method for indicating a limlted length or area of a surface (which la to
Zurich (1913), Oslo (1974), London (1915), New York (1976), West Berlin (1976), Ottawa receIve a particular consideration) is introduced: see 1.1.3.
(1911), Copenhagen (1918), Zurich (1979), and Cologne (1980). U.s. participation in these
activities has contributed greatly toward the dissemination of useful ideas and the advancement • The use of parentheses to identify a reference dimension (or reference data) is standard-
of international standardization. ized: see 1.1.6.
Several techniques introduced in the Y14.S Standard have pined ISO acceptance. They are • The diameter symbol alwa~ precedes each diameter value: see 1.8.1.
the projected tolerance zone, the three-plane datum concept, total runout tolerance, multiple
datwns, and datum targets. Consideration of other U.s. proposals is anticipated as unresolved • The radius symbol always precedes each radius value: see 1.8.2.
subjects are addressed by the Working Groups. • The International method for specifying repetitive features and dimensiOns is introduced:
During the development of this revision, joint meetinp were held with the U.s. Technical see 1.9.5.
Advisory Group for ISOrrC 10/SC 5, consisting of those Y14.5 members authorized to serve as
U.S. delegates In ISO activities. Emerpng interoational practices were discussed and carefully ·William Taylor. an Ell8lislunan. whose patent in 1905 featured fuD form "GO" gages. See ISO 1938. Part 'I.
III Iv
216 AppendixD AppendixD 217
• Methods are established for introducing tolerance requirements expressed in the inter- • The composite positional tolerancing method used for specifying pattern.Jocating and
national system of limits and fits: see 2.2.1. feature·relating requirements is standardized: see 5.4. The combination of positional and
• Millimeter tolerancing plll.Ctices are now covered under general tolerancing: see 2.3.1. plus and minus tolerancing methods is discontinued.
• A symbol is introduced for indicating the orlsln for dimensional limits in certain appJica. • Bidirectional positional tolerancing of circular features is introduced: see 5.9.
tiona: see 2.6.1. • A zero positional tolerance at MMC is featured for the control of coaxiality and symmetry
• Explanation of the control of geometric fom prescribed by limits of size II restructured: of related features within their limits of size: see 5.11.1.3 and 5.12.1.2.
see 2.7.1.
• An example of a positional tolerance applied to a spherical feature is included: see 5.13.
• For positional tolerancing, the practice of always specifying whether RFS, MMC, or LMC
• Recognition is given to the practice of applying profile tolerances "all over" to parts such
applies to an individual tolerance, datum reference, or both ill standardized: see 2.8. The as castings: see 6.5.2.
alternate practice, identified as Rule #2a in the 1973 1ssue,Is discontinued.
• The effect of LMC applied to a positional tolerance and datum reference Is explained: see • Additional examples are provided for profile tolerances applied to plane and conical sur-
faces: see 6.5.7 and 6.5.8.
2.8.3.
• International practices employing unique symboll are introduced for specifying the taper • The section on dual dimensioning (Section 5-7 in the 1973 issue) has been deleted.
of a cone and the slope of a flat taper as ratios: see 2.13 and 2.14. • The scope of Appendix A is broadened by providing information on dimensioning for
• Geometric characteristics categorized as ''Com'' tolerances in the 1973 Issue are now cIaasi- computer-alded design and computer-aided manufactUring.
tied as "form," "proIDe," or "orientation" tolerances: ace Fig. 68. • Infomation on the advantages of positional tolerancing (Appendix B in the 1973 issue) has
• The total runout symbol previously used Is replaced by a new symbol that II adopted inter- been deleted.
nationally: see Fig. 68. • Appendix B is essentially the same as Appendix C in the 1973 issue, except for the values
• Use of the symmetry symbol Is discontinued. The position symbol II uaed where sym- given In millimeters and an example of fomula usage where requirements are expressed by
metry applies. symbols for limits and fits.
• The rearrangement of entries within the datum target symbol ill in accordance with inter- • In Appendix C, symbol proportions are given as a factor of letter height instead of frame
national practice: ace 3.3.3. height as in Appendix D in the 1973 issue.
• Moclifyina symbols used to indicate "at least materla1 condition." "spherlcal. diameter," • Information on fomer practices once featured in the 1966 and 1973 issues of this Stan-
"sphedcal radius," and "arc" are introduced: see 3.3.5, 3.3.7, and 3.3.9. dard is provided in the new Appendix D.
• New symbols are introduced to replace certain terms frequently specified on drawinp. A draft of this issue was released for Y14, industry, and DoD review in December 1980. All
These terms are COIIIfterboTe or spol/lICe, COIIIfterJlnk, depth, and 1qUanl!: see 3.3.10, comments received were discussed and resolved by the Y14.5 Subcommittee. Authors of
3.3.11,3.3.12, and 3.3.13. comments have been individually notified of the results. Following approval by the Yl4 Stan-
dards Committee and the Co-Secretariats, this issue was approved by the American National
• The international sequence of entries within a feature control frame (fomedy ca1Ied Standards Institute on December 16, 1982.
feature control symbol) is standardized: see 3.4.2.
Suggestions for improvement of this Standard will be welcomed. They should be sent to the
• A symbol used to indicate "all around" in proIDe tolerance applications ill introduced: see American National Standards Institute,I430 Broadway, New York, New York 10018.
3.4.2.3.
• Criteria are provided for establishJng datums from datum features: ace 4.4.
• The explanation of datum targets Is expanded: see 4.5.
• The leader used to direct a datum target symbol to the tarFt location Is replaced by a
radial line: see 4.5.1.
• A positional tolerancing example Is included which symmetrically locates a pattern of
features relative to the center planes of datum features of size: see Fig. 121.
• Zero positional tolerancing at MMC, fomedy explained in Appendix B of the 1973 Issue,
Is Incorporated in this Standard: see 5.3.3.
• The LMC principle Is introduced for positional tolerancing applications: see 5.3.5.
y vi
218 AppendixD Appendix D 219
4 Datum Referencing. • • • • • • • • • • • • • • • • • • • . • • • • • • • • • . • • • • • • • • • • • • • • 35
4.1 General..... • • • • • • • • • • • . • . • • • • • • • • • • • • • • • • • • • • • • • • • • • • 35
4.2 Datum Features •••..•.•.••.••••••.•..••••••••••••••••••• 35
4.3 SpecifyinS Datums in an Order of Precedence . • • • • • • • • • • • • • • • • • • • • • 36
4.4 Establlshing Datums ••••••••••..••.•••••••.••••••••••••••• 39
4.5 Datum Targets •••...••••..•••••••••••.•••.•••••••••••••• 45
CONTENTS
5 Tolerances of Location •••••.••....••..•..••.•.•••••.•••••••••••• 53
5.1 General.......... • • • • • • • . . • • • • . • . . . • . • • . . • • • • • • • • • • • •• 53
5.2 Positional Tolerandng • • • • . • . • . • • . . . • • • • • • • • • • • • • • • • • • • • • • • 53'
Foreword ••.•••.•.•.•• • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• iii 5.3 Fundamental Explanation of Positional Tolerancing ••••••••••••••••• 53
Standards Committee Roster ••••••.•••••••••••••••••••••••••••••••••• 'rii 5.4 Feature Pattem Location •.••••••.•••••.•••••••••••••••••••• 65
5.5 Projected Tolerance Zone. • • • • • • • • • . . . • . . • . • . • • • • • • • • • • • • • • • 70
5.6 Nonparallel Holes •••••• . • • • • • . • • • • . • • • • . • • • • • • • • • • • • • • • • • 73
Scope, Definitions, and General DimeDJdoniDg • • • • • • • • • • • • • • • • • • • • • • • • • • • • 1 5.7 Counterbored Holes. . • • • • • • . • • . • • • • • • • • • • • • • • • • • • • • . •• • • • • 73
1.1 General. • • • . • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • 1 5.8 Closer Controlat One End ofa Festure • • . . . • . . • • • • • • • • • • • • • • • • • • 73
1.2 References...................... • • • • • • • • • • • • • • • • • • • • • • • • 1 5.9 Bidirectional Positional Tolerandng of Features •••••••••••••••••••• 73
1.3 DeflDitions • • • • • • • • • • • • • • • • • • • • • • • • • • • . • • • • • • • • • • • • • • • • • • 2 5.10 Noncircular Features. • • • • • • • . . • • • • • • • • • • • • • • • • • • • • • • • • • • • • 77
1.4 Fundamental Rules • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 3 5.11 Coaxiality Controls . • • • • . • . • • • • • • • • • • • . • • • • • • • • • • • • • • • • • • • 81
1.5 UnitsofMeuurement...................................... 3 5.12 Symmetry............................................. 84
1.6 Types of Dimensionillg. • • . • • • • • • . • • • • • • • • • • • • • • • • • • • • • • • • • •• 4 5.13 Spherical Features •.•••••••.••••.•.•••••••••••••••• , • • • • • • 85
1.7 Application of DimensiOns ••••••••••••••.•••••••• • • • • • • • • • • •• 4
1.8 Dimensioning Features. • • • • • • • • • • • • • • • • • • • • . • • • • • • • • . • • • • • • • 9 6 Tolerances of Form, Prome, Orientation, and Runout • • • • • • • • • • • • • • • • • . • • • • 91
1.9 Location of Features • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 16 6.1 General.. • • . . . • • • • • . • • • . . • • • • . • . • • • • • • • • • • • • • • • . • • • • • • 91
6.2 Form and Orientation Control. . • . . . . . . • • • • • • • • • • • • • • • • • • • • • • • 91
2 General ToIerancing and Related Prindplea • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 19 6.3 Specifying Form and Orientation Tolerances .••••••••••••••••••••• 91
2.1 General. • • • • • • • • • • . • • • • • • • • . • • • • • • • • • • • • • • • • • • • • • • • • • •• 19 6.4 Form Tolerances. • • • • • • • . • • • . • • • • • • . . . • • • • • • • • • • • • • • • . • • • 91
2.2 Direct Tolerandns Methods .•••.••••••••••••••••••••••••••••• 19 6.5 Prome Control .. . . . • • . . • • • • • • . . . • • . • • • • • • • • • • • • • • • • • • • • • 96
2.3 Tolerance Expretsion . • . . • . • • . • . • • • • • • • • • • • • • • • • • • • • • • • • • • •• 20 6.6 Orientation Tolerances. • • . • . • • • . • . • • • • • • • • • • • • • • • • • • • • • • • •• 105
2.4 Interpretation of Umits . • • • • . • . • . • • . • • • • . • • • • • • • • • • • • • • • • • •• 20 6.7 Runout Tolerance. • • • • • • • • • • . • • • • • • • • • • • • • • • • • • • • • • • • • . •• 107
2.5 Single Limits •••••••••••••••••••••••••••••••••••••••••••• 21 6.8 Free State Variation ••••••••••••••••.•••••••••••••••••.••• 114
2.6 Tolerance Accumulation. . • . • • • . • • . • • • • • • • . • • • • • • • • • • • • • • • • •• 21
2.7 Limits of Size. . • . . . • . . . • . • • • . • . • • • • • . • • • • • • • • . • • • • • • • • • •• 22
AppendiceI
2.8 Applicability of RFS, MMC, and LMC . . • • • • . . • • • • . • • • • • • • • • • • • • •• 23
2.9 Screw TItre ads •••.••••••••••••••••••••••••••••.•••••••••• 24 A Dimenslonins; for Computer-Aided Deslsn and Computer-Aided
2.10 Gears and Splines ••.•..••••••••••••••••••.•••••••••••••••• 24 Manufacturins; Mode ••••••••••••.••.•••.••.• _ • • • • • • • • • • • • • • • • •• 121
2.11 Virtual Condition .•..•.••••.•••••••••••••••••••••••••••••• 24 Al General.. • • • • • • • • • • • • . . • • • . • • • . • • • • • . • • • • •.. • . • • • • • • • •• 121
2.12 Angular Surfaces. . • • • • . • . • • • • • • . • • • • . • • • . • • • • • • • • •• • • • • • •• 25 A2 Coordinate System. • • • • • • . • • • • . • • • . • . • . • • • • • • • • • • . • • • • • •• 121
2.13 Conical Tapers •• • • . • • . • • • • • • • • • • • • • • . • • • • • • • • • • • • • • • • • • •• 25 A3 Reference Planes •••••••••••••.•.•••.•••••••••.•••••••••• 121
2.14 Flat Tapers ••••••.••••.••••••••••..••••••••••••••••••••• 26 A4 Reference Axes •••••••.....•.••••.••••.•.••••••••••••••• 122
2.15 Tangent Radii. . . . • • • • • • • . • • • • . . • . • • • • . . . . • • • • • • • • • • • • • • •• 26 AS Mathematical Quadrants •.•.•••.••••••••••••••••••••••••••• 122
A6 Dirnen.sioninS and Tolerancing •.••••••••••••••••••.••••.••••• 122
3 Symbology .. .. • • .. • • • • .. • • .. . .. . • • • • • • . • • • • • .. • • • • • • • • • • • • • •• 29 A7 IncorporatinS Dimensional Chans;es •• • • • • • • • • • • • • • • • • • • • • • • • • •• 123
3.1 General.. • • • • • • • • . • • . . . • • • • • • . • . . • • . • • • • • • • • • • • • • • • • • •• 29
3.2 Use of Notesto Supplement Symbols . . • • • • • • • • • . • • • • • • • • • • • • • • •• 29 B Formulas for Positional Tolerancing .•...••.•...••••••••••.•.•••.•••• 125
3.3 Symbol Construction •..••.••••••••••..••••••••••••••••••••• 29 BI General •••••••• : • . • • • • • . • • . • • • . . . • • • . • • • • • • • • . • . • • • • •• 125
3.4 Geometric Tolerance Symbols. . • . • • • . • • • • • • • • • • • • • • • • • • • • • • • •• 32 B2 Formula Symbols • • • • • • • • • • • • • • • • • • • • . • • • • • • • • • • • • • • • • • •• 125
3.5 Feature Control Frame Placement •••••••••••.•••••••••••••••••• 33 B3 FloatInS Fastener Case • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 125
3.6 Identification of the Tolerance Zone. • • • • • • • • . • • • . • • • • • • • • • • • • • •• 34 B4 Fixed Fastener Case ••.••••••••••••••••••••••••••••••••••• 125
3.7 Tabulated Tolerances. • • • . . . • . • • • • • • • . . • • . . . • • • • • • • • • • • • • • •• 34 BS Coaxial Features. • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 126
B6 Pro.uion for Out-of-8quarenesa • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 126
B7 Limits and Fits. • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 126
xi ldi
Appendix D AppendixD 221
220
ANSI YI4.6M-I882
C Form, Proportion, II1d Comparison of Symbols • • • • • • • • • • • • • • • • • • • • • • • • •• 129
Cl General . . . • . . . . . . . . • . • . • . • . . . . . . . . • • • • . . • • • • . • . • . • . • •• 129
C2 Form and ProportiOll ••••••••••••••••••••••••••••••••••••• 129
C3 Comparison. • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• •• 129
D Former Practices • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 135

Dl Gmeral.. . . . . . . . . . • . . . • . . . . . . . . . . . . . . . . . . • . . . . • . . . . . •. 135
D2 Tenns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . • . . . . . .. 135 AMERICAN NATIONAL STANDARD
D3 Dimensions Not to Scale ...•..•.•..••....••••••.••..•...... 135 ENGINEERING DRAWINGS AND RELATED DOCUMENTATION PRACTICES
D4 Applicability of MMC or RFS • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 135
DS Geometric Characteristic Symbols • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 135 DIMENSIONING AND TOLERANCING
D6 Identification of the Tolerance Zone ••••••••••••••••••••••••••• 13S
D7 Feature Pattem Location • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 13S 1 Scope, Definitions, and G....raI Dimensioning
D8 DlIal Dilnenai0n.iD8 • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •• 136
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . . . . . . . . . . . . . • . . . . .. 143 1.1 GENERAL 1.1.4 Nota. Notes herein In capital letten are
Intended to appear on fmished drawings. Notes In
This Standard covers dimensioning, tolerancing, and
lower case letters are explanatory only and are not
related practices for use on engineering drawings and
Intended to appear on drawings.
in related documents. Uniform practices for stating
and intelpreting these requirements are established
1.1.6 Rthnnce to G8g1ng. This document Is not
herein. Practices unique to architectural and civil
intended as a gaging standard. Any reference to
engineering, as well as welding symbology, are not
gaging is Included for explmatory purposes only.
included.
1.1.8 Symbol.. Adoption of the symbols Indicat·
1.1.1 Units. The International System of Units Ing dimensional requirements as illustrated In Fig. C2
(SI) is featured in this Standard because SI units are of Appendix C does not preclude the use of equiwient
expected to supersede United States (U.S.) customary terms or abbreviations where symbology Is colllidered
units specified on engineenng drawings. It should be inappropriate.
understood that customary units could equally well
have been used without prejudice to the principles
established. 1.2 REFERENCES
When the following American National Standards
referred to in this Standard are superseded by a revi·
1.1.2 Reference to This Standard. Where drawings sion approved by the American National Standards
are based on this Standard, this fact shall be noted on
Institute, Inc., the revision shall apply.
the drawings or in a document referenced on the
drawings. References to this Standard shall state American Natio1lJll Stlllldtmls
ANSI 84.2·1978, Preferred Metric Umits and Fits
"ANSI YI4.5M·1982."
ANSI 846.1·1978, Surface Texture
ANSI 887.1·1965, Decimal Inch
1.1.3 Figures. The figures in this Standard are ANSI 889.3.1·1972, Meuurernent of Out-of-
intended only as illustrations to aid the user in under- Roundness
standing the principles and methods of dimensioning ANSI 894.6-1981, Knurllng
and tolerancing described in the text. The absence of ANSI 894.11M·1979, Twist Drills
a figure illustrating the desired appllcalion is neither ANSI YI4.1·1980, Drawing Sheet Size and Format
reason to assume inapplicability nor basis for drawing ANSI YI4.2M·1979, Une Conventions and Lettering
rejection. In some instances figures show added ANSI YI4.6-1978, Screw Thread Representation
detail for emphasis, in other instances figures are ANSI YI4.9·1958, Forgings
incomplete by intent. Numerical values of dimen· ANSI YI4.36·1978, Surface Texture Symbols
sions and tolerances are illustrative only. ANSI Z210.1·1976, Metric Practice
xiii
222 Appendix D AppendixD 223
AMERICAN NATIONAL STANDARD AMERICAN NATIONAL STANDARD

ANSI Y14JiM-1982 DIMENSIONING AND TOLERANCING ANSI Y14JiM-1.
DIMENSIONING AND TOLERANCING
1.3 DEFINITIONS 1.3.11 UmIU of SIze. The specl.fted maximum and 1A FUNDAMENTAL RULES llions should be aIIown In uue prome YIews and Illfer
minimum sizes. Dimensioning and toleranclng shall clearly define to visible outlines.
The followins tennI are defined as their use appliea (II) W'ues, cables, sheets, rods, and other materials
in this Standard. engineering intent and shall conform to the followiq.
(a) Each dimension shall have a tolerance, except manufac:tured to gap or code numben abaII be specl-
1.3.12 _Imum MImI..... Condition IMMeJ. The fled by linear dimenslODI IndlI:ating the diameter or
1.3.1 DI........on. A numerical ¥IIlue expressed In condition In which a feature of size contains the for those dirnenaions specifleally identified as Illfer-
ence, maximum, minimum. Or stock (commercial thickness. Gap or code numbers 1lIIY be aIIown In
appropriate UDits of measure and indll:ated on a maximum amount ofmateria1 within the stated Iimitl parentheses followia& the dimension.
of size-for example, minimum hole diameter, JlIUi. stock size). The tolerance may be applied diIllctly to
drawins and In other documents along with lines, (I) A goo anale b Impled where center lines IIIll
mum shan diameter. the dimension (or indirectly in the case of basic
symbols, and notes to define the size or pometric lines depicting features Ill! aIIown on a drawins at
characteristic, or both, of a part or part feature. dimensions), Indicated by a general note, or located
In a supplementary bloc1c: of the drawins format (see right angles and no anale II specl.fted (see 2.1.1.2).
1.3.13 I.IIIt Matlrlil CotIdhion (LMCJ. The con- ANSI Y14.1). (f) A goo BASIC angle applies Whelll center l1nes
1.3.2 BIlle DlIMIIIIon. A numerical ¥lillie used to of features In a pattern or 1IIIrfac:es abown at _
dition in which a feature of size contains the least (b) Dimensions for size, form, and location offe.
describe the theollltlca1ly exact size, prome, orient.
amount of material within the stated limits of m- tuIlls shall be complete to the extent that thelll is run angles on the drawing Ill! located or defined by basic
tion, or location of a feature or datum target. It II dimensions and no anale II speci.fted.
for example, maximum hole diameter, minimum undemanding of the characteristics of each featulll.
the basil from which permlsaible variatiODlIll! estab- (k) Unless otherwlae specl.fted, all dimensions Ill!
abaft diameter. Neither scaling (measuring the size ofa featulll diIllctly
Ilshed by tolerances on other dhnensiolll, in note.. or from an engineering draw1n&) nor assumption of a applicable at 2O"c (68°F). Compensation may be
In featulll control flames (lee Fi&- 78). distance or size II permitted. made for measurements made at other tempelllturea.
1.3.14 AIgIrdI_ of F...... Sin IRFSJ. The term
1.3.3 TN' Poshion. The thcollltical1y exact loca- used to indicate that a geometric tolerance or datum
NOTE: UIIdlmeDIIoIIIId 4rawtn,p - for exampJe,1oI't, printed
tion of a feature established by basic dimensions. Illference applies at any increment of size of the fea- wIria& templates, muter layouts, toollna layout - ptepaI'td
ture within its size tolerance. 08 liable IIIIIterialare exclwled, provI4ed tile IIeCIIIIPIY _ 1.6 UNllI OF MEASUREMENT
1.3.4 RefwInoI DI........on. A dimension, UIUII1y 1:1'01 dJmeuiolll are spedlled.
without tolerance, used for Information purposes For lllliformlty. all dhnensloua In this Standard Ill!
1.3.1S VlrtuII Condltlon. The boundary generated (c) Each necessary dimension of an end product given In SI units. However. the unit of measurement
only. It II conaidered auxiliary information and does
by the collective effects of the specified MMC Umlt shall be aIIown. No more dimensions than those selected allould be In accordance with the policy of
not lavern production or lnapection operations. A
of size of a feature and any applicable geometdc neceasary for complete definition shall be given. The the user.
Illfelllnce dimension b a IllpeIt of a dimension or is
derived from other ¥IIlues aIIown on the drawing or
tolerances. use of Illfell!DCe dimenaiODl on a drawing should be
on Illlated drawinp. minimized. 1.6.1 SI CMItricJ U...... UnitL The commonly
1.3.18 ToI.,.nee. The total amount by whIdI. I (d) DimensIons shall be selected and arranged to
used Silinear llllit used on ensIneerin& drawiDp b the
1.3.6 DIItum. A thcollltically exact point, axis, or specifIC dimension is permitted to vaJY. The tolerance suit the function and mating mationship of a part and millimeter.
plane derived from the tnae geometric counterpart of is the dlfTelllnce between the maximum and JDini. abaII not be subject to more than one interpllltation.
a apedfied datum featulll. A datum b the orlgln from mum limits. (e) The drawing should define a part without
wbJch the location or geometric characteristics of specifying manufacturing methods. Thus, only the 1.6.2 U.s. CUItonIIry LIt'IIIr UnhI. The commonly
features of a part Ill! establlahed. diameter of a hole is given without indicating whether used U.S. customary linear unit used on eJl8lneerin&
1.3.17 UnllaterII Tal....... A tolerance In wIUch it b to be drilled, reamed, punched, or made by any drawiDp II the decimallnch.
1.3.8 Datum TIIgIt. A specUied poInt,line, or area Ylriation is permitted In one direction from the other operation. However, in those instances whelll
on a part used to establlsh a datum. specified dimenaion. manufacturing, processing, quality assurance, or 1.6.3 Identlflutlon of U...... Units. On drawiDp
environmental information is essential to the defmi- where all dimensions Ill! either In millimeters or
1.3.7 FIItU,.. The general term applied to a 1.3.18 BlIIItIrII Toleranee. A tolerance in whlcb tion of engineering requilllments, it allall be specified inches, Individual identl.ftcation of linear units is not
pbyalcal portion of a part, such as a surfac:e, hole, or variation is permitted In both diIllctions from the on the drawing or in a document refelllDeed on the required l However, the drawing shall contain a note
drawing. stating UNLESS OTHERWISE SPECIFIED, ALL
slot. specified dimension.
(n It is permissible to Identlfy as nonmandatory DIMENSIONS ARE IN MILLlMBI'ERS (or IN
certain processing dimensions that provide for finish INCHES, as applicable).
1.3.8 FtItU,. of Sin. One cylindrical or spherical 1.3.19 Geometric ToItrInce. The general term allowance. shrink allowance, and other;-equlrements,
surfac:e, or a set of two plane parallelsurfac:es, each of applied to the category of tolerances used to conuel prOVided the final dimenaions are given on the draw-
which is associated with a size dimension. 1.5.3.1 Whelll some Inch dlmenaions Ill! shown
form, prome, orientation, location, and runout. Ing. Nonmandatory processing dimensions shall be on a miIIimeter-dimenaioned drawing, the abbrevia-
identified by an appropriate note, such as NONMAN. tion IN. shall follow the inch values. Whelll some
1.3.9 Datum FIItU.... An actual featulll of a part DATORY (MFG DATA).
1.3.20 Fun IndIcIItor Movement (FIM,. The totll millimeter dimensions alll shown on an Inch-dimen.
that is used to establlsh a datum. (g) Dimensions should be arranged to provide re- sioned drawing, the symbol mm shall follow the milli-
movement of an indicator when appropriately applied
quired information for optimum Illadability. Dimen- meter values.
1.3.10 Actual SIze. The measured size. to a surface to measure its variations.
3
2
224 Appendix D AppendixD 225

ANSI Y104.6M-1982 DIMENSIONING AND TOLERANCINO ANSI Y104 .....1982
DIMENSIONING AND TOLERANCING
L
j'~ -1 r- J
C2~,r , Jm
12
15 ---t>oJ 0418 r- .&0
t
~
-jt- u --j r-. 216 1
L~W
.. ~ -H-1.7 ,.....-.7&O--tooj --<1 .&0 r-
!--tn.5
L----L
~ -$'~
I" "I .312 fJ§0.m
---==---r...f1'ff4r
r- -t 3I
fiG. 2 MILLIMETER DIMENSIONS

r--1.25--j
fiG. 4 APPLICATION OF DIMENSIONS
fiG. 1 ANGULAR UNITS
fiG. 3 DECIMAL INCH DIMENSIONS
1..&.4 ~If UnIts. Angular dimensions are ex- (d) Neither commas nor spaces shsll be used to
pressed in either degrees and decimal parts of a degree separate digits into groups in speclfyina millimeter additinnal information. For further information on
or in depees, minutes, and seconds. These latter dimensions on drawinp. dimension lines, extension lines, chain lines, and
dimensions are expressed by symbols: for depees o. leaders, see ANSI YI4.2M.
Frl
for minutes " and for seconds". Where depea are 1.8.2 DIcII'IIII 1_ Dimensioning. The decimal
indicated alone, the numerical value IIha1l be followed inch system Is explained in ANSI 887.1. The fonow- 1.7.1 Dimtnllon U .... A dimension line, with its
by the symbol o. Where only minutes or seconds are Ing IIha1l be observed when speci.Cyin& decimal inch arrowheads, shows the direction and extent of a
specified, the number of minutes or seconds IIha1l be dlmensioni on drawinp. dlmensinn. Numerals indicate the number of units of
preceded by 00 or 000', as applicable. See Fig. I. (4) A zero is not used before the decimal point for a measurement. Preferably, dimension lines should
I
1.1 TYPES OF DIMENSIONING
Dec:imal dimensioning IIha1l be used on drawinp
nlues less than one inch.
(b) A dimension Is expressed to the same number
of decimal pla/:es as its tolerance. Zeros are added to
the right of the decimal point where necessary. See
Fig. 3 and 2.3.2.
be broken for insertion of numerals as shown in
Fig. 4. Where horizontal dimension lines are not
broken, numerals are piseed abow and parallel to the
dimension linea.
I I I
I
except where certain commercial commodities are 1.7.1.1 Dimension lines shaD be aligned If prac- fiG. 6 GROUf'ING Of DIMENSIONS
Identifted by standard.ized nominal designations such 1.'.3 Oedl'llll Poinu. Decimal points must be ticable and grouped for uniform appearance. See
as pipe and lumber sizes. uniform, dense, and large enough to be clearly visible FIg.S.
and meet the reproduction requirements of ANSI 1.7.1.2 Dimension linea are drawn parallel to the
1."1 Mllimeter DImens\onIng. The fonowln& IIha1l YI4.2M. Decimal points are plseed in line with the direction of measurement. The space between the
~(F1IL:
be observed when speci.Cyin& millimeter dimensions bottom of the associated digits. fll'St dimension line and the part outline should be
on drawlnga. not less than 10 mm; the space between succeeding
~f-1E-Ht
(4) Where the dimension Is less than one millimeter, 1.8.4 CoMenIon and Rounding of Untili' Units. parallel dimension linea should be not Jess than
a zero precedes the decimal point. See Fig. 2. For informatinn on conversinn and rounding of U.s. 6 mm. See Fig. 6.
(b) Where the dimension Is a whole number, neither customary linear units, see ANSI Z210.1.
the decimal point nor a zero is shown. See Fig. 2. NOTE: These spacln,gs are Intended as guJdes only. If the
drawing meet. the reproduction requirements of the accepted
(e) Where the dimension exceeds a whole number industry or military reproduction apecil'lcatioll, 110_11-
by a decimal fraction of one millimeter, the last digit
1.7 APPUCAnON OF DIMENSIONS
fortllllM;e to tbese spacq requirementt II not a baIiI for
to the right of the decimal point Is not fonowed by a Dimensions are applied by means of dimension lines, rejection of the drawln&.
zero. See Fig. 2. extension lines, chain lines, or a leader from a dimen- Where there are several parallel dimension lines, the !!It
sion, note, or specifICation directed to the appropriate numerals should be staggered for easier readJns. See
NOTE: This practice differs for toleraDCeI oxpreued b~
laterally or as limJtI (oee 2.3.1(b) and (c)J. feature. See Fig. 4. General notea are used to convey Fig. 7. fiG. t SPACING Of DIMENSIONS
4 5
~.
226 Appendix 0 Appendix 0 227
AMERICAN NATIONAL STANDARD AMERICAN NATIONAL STANDARD
DIMENSIONING AND TOLERANCING ANIIV14 .....1 . DIMENSIONING AND TOLERANCING
ANSI V14.&M-1.
3 Symbology
2 G.....a ToI. . . . . . . . RIiIIttd Principlel
a1 GENERAL
3.3.2.2 Where the san1e datum feature symbolls
This Section establishes the symbols for specifying repeated to Identify that same feature in other loca-
2.1 GENERAL
geometric characteristics and other dimensional tions on a drawin&. it m:ed not be identified II
This Section establishes practices for expreaina requirements on engineeriJl& draWings. SymbolJ reference.
tolerances on linear and angular dimlNiolll, appli- should be of sufficient clarity to meet the legibility
cability for material condition modifien, and inter- and reproducibility requirements of ANSI Y14.2M. 3.U Datum TII'gIt SymbaI. The datum tarpt
pretations gowrning limits and tolerances. Symbols are to be used only as described herein. symbol is a circle divided horizontally into two halves.
L-~--l
See Fig. 70. The lower half contains a letter identify.
2.1.1 Application. Tolerances may be expresaed .. ing the associated datum, followed by the tarpt
follows: 3.2 USE OF NOTES TO SUPPLEMENT SYMBOLS number assigned sequentially starting with I for each
(4) as direct limits or as toiellDCe ¥llues applied Situations may arise where the desired geometric datum. See Fig. 109. Where the datum tarpt la an
directly to a dimension (see 2.2); area, the area size may be entered in the upper half
6.--.1
requirement cannot be completely conveyed by sym-
(II) .. a geometric tolerance, as deacrlbedin SectIoDa bology. In such cases, a note may be used to describe of the symbol; otherwise, the upper half is left blank.
5 and 6;
(c) in a note referring to sped& dimeDlions; D-.,.1
U --.1
7A
_ 1117••
7.1
the requirement, either separately or supplementing a
geometric tolerance. See Figs. 135 and 206.
A radial line attached to the symbol Is directed to •
target point (indicated by an "X"). tarpt line, or
target area. as applicable. See 4.5.1.
(d) .. specified in other documents referem:ed on
the drawing Cor specific features or processes;
(e) in a general tolerance block referring to all T T 3.3 SYMBOL CONSTRUCTION 3.3.4 . . Dimension Symbal. The aymbol used
dImemions on a drawing for which tolerances are not Information related to the construction, form, and to identify a basic dimension Is shown in Fig. 71.
otherwise specified; see ANSI YI4.1.
~.,..,.
proportion of individual symbols deacribed herein is
2.1.1.1 Tolerances on dimlNions that locate contained in Appendix C. U.s MIteriII ConcIdon Symbols. The symbols
features of size may be applied dUectly to the locating used to indicate "at maximum material condition,."
dimensions or specified by the positional toleranclng 3.3.1 Geometric atarlCteristic Symbols. The sym- "regardless of feature size," and "at least material
bols denoting geometric characteristics are shown in condition" are shown in Fig. 72. The use of these
method described in Section 5.
Fig. 68. symbols in local and general notes is prohibited.
2.1.1.2 Unless otherwise specified, where •
n~~
general tolerance note on the drawing inclwles angular 3.3.2 Datum Feature Symbol. The datum feature 3.3.8 ProjecDd Tori_ Zone SymbaI' The
tolerances. it applies to features shown at specified symbol consists of a frame containing the datum symbol used to indicate a projected tolerance zone Is
qIes and at implied 90° angles. 25"30"1" Identifying letter preceded and fonowed by a dash. shown in Fig. 72. The use of this symbol in local and
; See Fig. 69. The symbol frame is related to the general notes is prohibited.
datum feature by one of the methods prescribed
,./l~r.
2.2 DIRECT TOLERANCING METHODS in 3.5. 3.3.7 DialMIlt' and Radius Symbals. The symbols
used to Indicate diameter, spherical diameter, radius,
IJmlts and directly applied tolerance ¥llues are 3.3.2.1 Letters of the alphabet (except I, 0, and and spherical radius are shown in Fig. 72. These
specified as fonows.
(4) Limit Dimensioning. The high limit (maximum
¥llue) is placed above the low limit (minimum ¥ll.ue).
L.L.. t
Q) are used as datum identifying letters. Each datum
feature requiring Identification shall be assigned a
different letter. When datum features requiring
symbols precede the wlue of a dImlNion or tolerance
given as a diameter or radius, as applicable.
When expressed in a single line, the low limit precedes identification on a drawing are so numerous as to
FIG. 61 LIMIT DIMENSIONING 3.3.8 Refemtct SymbaI' A reference dimension
the high limit and a dash separates the two values. exhaust the single alpha series, the double alpha series (or reference data) Is identified by enclosing the
See Fig. 56. shall be used - AA through AZ. BA through BZ. etc. dimension (or data) Within puenthesea. See Fig. 72.
19 29
228 Appendix D AppendixD
229
AMERICAN NATIONALSTANDAAD AMERICAN NATIONAL STANDARD

DIMENSIONING AND TOLERANCING ANlI Y14.15M-1882 DIMENSIONING AND TOLERANCING
ANSI Y14.1IM-1882
6 Tot.en. of Location
4 Datum Refela'Mling
5.1 GENERAL (6) apecif'ying on the drawing (or .In a document
referenced on the drawiD&) the general note: ~
4.1 GENERAL 4.1.2.1 These planes are simulated in a mutually This Section estsblishes the principles of tolerances
or location; included are position. concentricity. and TOLBRANCED DIMENSIONS lOCA11NG TRUE
perpendicular relationship to pro-wde direction as weD POsmON ARB BASIC [_ Fig. 118, part (c)}.
This Sec::tion establiBhes the principle of datum ref· symmetry used to control the following relatiolllbips:
as the origin for related dimensions and measure-
erencing uaed to relate features of a part to an appro- (4) center distance between such features as holes,
ments. Thus, when the part is positioned on the 1.2.1.2 A feature control frame Is added to the
priate datum or datum reference frame. It contains slots. bosses, and tabs;
datum reference frame (by physical contact between note uaed to specify the size and number of featurea.
the criteria for llelecting. designating, and using fea· (6) location of features [such as .In (a) above} as a
tures of a part as the basis for dimensional definition.
each datum feature and its counterpart in the IIIOCi- See Fip. 119 throu&h 121. These fI8ures show dIf.
IfOUP, from datum features such as plane and cylin-
ated processing equipment). dimensions related to ferent types of feature pattem dimensionlJla.
A datum indicates the origin of a dimensional reo drical surfaces;
the datum reference frame by a feature control frame
lationshlp between a toleranced feature and a desig. (c) coaxiality or symmetry of features;
or note are thereby mutually perpendicular. l'hiI 1.2.1.3 It is neceaary to identify features on a
Dated feature or features on a part. The designated (d) features with center distances equally disposed
theoretical reference frame constitutes the thfoo. part to establish datums for d.imenstoDi locatiq true
feature IleI'¥eS as a datum feature, whereas its true about a datum axis or plane.
plane dimensionlng system used for datum referenc- positions. Por OXIIDple, .In Pis. 119.lf datum refer.
aeometdc counterpart establishes the datum.
iDa- ences had been omitted. it would not be clear whether
the IDIIde diameter or the outside diameter WII the
4.1.1 AppIIcIdan. As measurements cannot be 4.1.2.2 In some cases, a slngte datum referenca
made from a bue geometric counterpart which is .intended datum feature for the cIimeDIIont IocIlIDa
frame will suffice. In others, additional datum refer- 6.2 POSITIONAL TOLERANCING true positiODI. The .Intended datum features are
thooretical. a datum is assumed to exist in and be ence frames ruay be necessary where physk:al tepIlIt'
simulated by the associated procesalng equipment. identified with datum feature symbols and tho
tion or the functional relationship of features requhe A positional tolerance defmea a zone within wbJch applicable datum references are included In the
For example. machine tables and surface plates, that datum reference frames be applied at speciftc
though not bue planes. are of such quality that they the center, axis. or center plane of a feature of size feature control frame. For inforruatlon on specify.lna
locations on the part. In such cases, each feature is pennitted to vary from true (theoretically exact) datums in an order of precedence, see 4.3.
are uaed to simulate the datums from which measure· control frame must contain the datum feature refer-
ments are taken and dimensions verified. When position. Basic dimensions establish the true position
ences that are applicable. Any difference in the order from specified datum features and between .Inter.
magnified, Oat surfaces of manufactured parts are of precedence or .In the material condition of any 6.2.2 AppIIcIdan UI . . . LIne IftCI CIIIIn DIfMIt.
IIeen to have irregularities; contact is made with a
related features. A positional tolerance is indicated 110lIl.... True position dimenaion.ing can be appUed
datums referenced in multiple feature control fraJllOl by the position symbol. a tolerance. and appropriate
datum plane at a number of surface extremities or requires different datum simulation methods and. as base l.Ine dimensloDlng or as cha.In 4i:meodonitJ&.
hi&h points. datum references placed in a feature control frame. For positional toleranc.lns. unlIte plus and mInua
consequently. establishes a different datum reference
frame. See 4.4.9. tolerancl.o& as shOWD .In FIs. 59, bak: dimensions are
4.1.2 Dltum Rlfwenca Frame. Sufficient datum 6.2.1 Method. The fonowing paragraphs describe or
uaed to establish the true position features. Asaum-
features. thOle most Important to the design of a methods used in expressing positional tolerances. IDa identical positional tolerances are specifie4, the
pari. are chollen to position the part in relation to a resultant tolerance between any two holes will be the
4.2 DATUM FEATURES
llet of three mutually perpendicular planes, jointly 5.2.1.1 The location of each feature (hole, slot, same for cha.In d.imenslon.ing as for base l.Ine d.IJne.
called a datum reference frame. This reference frame A datum feature is llelected on the basis of itS stud, etc.) is given by basic dimensions. Many draw. sioning. This also applies to anautar d1menslona,
exists in theory only and not on the part. Therefore, geometric relationship to the toleranced feature and ings are based on a schedule of general tolerances, whether base l.Ine or cha.In type.
it is necessary to establish a method for simulating the requirements of the design. To ensure propel USually pr~ded near the drawing title block. See
the theoretical reference frame from the actual part interface and asaembly. corresponding featurel ANSI YI4.1. Dimensions locating true position must
features of the part. This simulation is accomplished of mating parts are also selected as a datum feature be excluded from the general tolerance in one of the
by positionlng the part on appropriate datum fea· where practicable. Datum features must be readilY following ways: 6.3 FUNDAMENTAL EXPLANAnON OF
tures to adequately relate the part to the reference discernible on the part. Therefore,.In the case or (/I) applying the basic dimension symbol to each of POSITIONAL TOLERANCING
frame and to restrict motion of the part in relation symmetrical parts or parts with identical featureS, the basic dimensions [see Fig. 118, parts (a) and The foUowing is a general explanation of positional
to it. See Ff8. 87. physical identification of the datum feature on the (b»); tolerancing.
35 S3
Appendix 0 Appendix 0 231
230
AMERiCAN NATIONAL STANDARD

DiMeNSIONING ANO TOLEAANCING ANSI Y14J1M-1982
APPENDIX A
• Tolerances of Form. Profile, Orientation, IIICI Runout DIMENSIONING FOR COMPUTER-AIDED DESIGN AND
COMPUTER-AIDED MANUFACTURING MODE
'fIlue represents a total linear distance between two C'TIIit Appendix is not a PlItt of American Netlonel Standard. EllQlneeting Orawi,. and Releted Documentldon ~
1.1 GENERAL Dimensioning and ToI8rIII'ICing. ANSI Y14.5M-1982.1
pometric boundaries and no symbol is required.
Tbia Section establishes the pri.llciples and methods
of dimensioning and toleranclng to control fonn,
profile, orientation, and runout of various pometrkal.
1.3.1.2 QIrta1n desIps require control
limited area or IeD&th of the turface. rather than
0_ .
ahapes and fme atate variations. control of the total turface. In these 1Dstances. the A' GENERAL each of two or thme mutually perpendicular inter·
area, or length. and itl location are indicated by a Industry acceptance of Computer·Aided Design sectin, planes. Two-dimensional coordinates (in X
heavy chain line drawn adjacent to the surface with (CAD) and Computer·Aided Manufacturing (CAM) and Y directions) locate points on a plane, wbile
appropriate dlmendonJD&. Where 10 indicated. the systems for use in component design and fabrication three-dimensional coordinates (in X. Y, and Z dlrec-
1.2 FORM AND ORIENTATION CONTROL apecified tolerance applies within these limitl instead tions) locate points in space. Once a pometrlc model
is rapidly accelerating. Collectively, these highly
Ponn tolerances control strai&btness, flatness, of to the total surface. sophisticated systems can be used to describe the is defmed. it is the basis for interactiw propammin,
circularity. and cyllndrk:ity. Orientation tolerances desired part as a geometric model, interactively o£ commands for the machine tool to execute the
control anauJarlty, pmIlellsm, and perpendicularity. intelject manufacturing data, and deliver tbia infor. requlred relative motion between cutting tool and
A profile tolerance may control fonn. orientation, mation to a designated machine tool for execution of workpiece. For CAM UIIIF, dimensional coordinates
and sIz.e. depending on how it is applied. Since, to a IA FORM TOLERANCES translate into point locations relatift to coordinate
the tlnisbed part. Although computer·aided systema
c:ertaIn depoe. the limits of sIz.e control form and Form tolerances are applicable to lIDale (indtvldual) continue to require dimensions and tolerances for axes since linear and rotaly motion ia involved.
panIlelism. and tolerances of location control odeD- featuret or elements of IIDale featuret: therefOJe, part defmition, in many cases the dimensioning is
tatlon. the extent of tbia control should be considered form tolerances are not mlated to datums. The accomplished by means of algorithms which emulate
before spedf'ytn, fonn and orientation tolerances. foDowiq subparagrapbJ cowr the partlculm of the manual dimensioning practices. In view of the A3 REFERENCE PLANES
See 2.7, Fig. 61, and FiB- 123. fonn tolerances: atraiPtness. flatness. cJrcuJarlty.- changing state-of-the-art, It is bnportant that the
cylindricity• designer understand where certain practices can be For CAD, thme mutually perpendicular planes are
employed for expressing dimensional requirements established from whh::h a geometric model of the
1A.1 StraI...... Tal. . . . Strai&htnessisacoao most effectively. The purpose ofthil Appendix ia to desired part can be constructed. These planes nor.
1.3 SPECIFYING FORM AND ORIENTATION contribute to that understanding by first iterating
TOLERANCES dltion where an element of a surface or an axis is • mally coincide with the exterior outline of parts
atraipt line. A strai&btness tolerance apecUia • the standard coordinate system and then providing having surfaces at riPt anales. Where the part is
Form and orientation tolerances critical to f1mction tolerance zone within whh::h the cOJllidered elemat guidelines applicable to the CAD/CAM (data base) cylindrical, two of these planes intersect along the
and tnterehanaeabmty are specified where the toler- or axis must lie. A atraiptness tolerance is applied Ia mode as wen as the manual (conventional drawing) axis of the cylinder and the third is perpendicular to
ances of size and location do not provide sufficient the view where the elements to be controlled lie mode. This infonnation will assist the designer in it. When viewed from abow, as in tho top view of
control. A tolerance of fonn or orientation may be represented by a atraJaht line. developing dlmensionlng and tolerancing practices Fig. AI. these planes are oriented in accordance with
apeci8ed where no tolerance of sIz.e is Jiven-for common to these modes. the following.
example. the control of flatness after assembly of the IA.'.' Figure 170 shows an example ora eyIiD- (II) The first plane lies in the plane of projection.
parts. drlcal feature where all circular elements of the It is tho plane from which coordinate distances III
surface are to be within the specified size tolerance. A2 COORDINATE SYSTEM specified in the Z direction.
1.3.1 Form and OrIllltatlon ToI._ Zones. A Each longitudinal element of the surface must lie (b) The second plane is hOrizontal and perpendic-
fonn or orientation tolerance specifies a zone within between two parallel lines separated by the amount The coordinate system is the same for both the ular to the first. It is the plane from which coordinate
which the considered feature, its line elements, its of the prescribed straiptneu tolerance and in a pI- geometric model created by CAD and the graphJc distances are specifred in the Y direction.
axis, or its center plane must be contained.
common with the nominal axis of the feature. Tht definition found on conventional drawinp. It Is the (c) The third plane is ftrtica1 and perpendkular to
feature control frame is attached to a leader dJrected standard system of rectangular or Cartesian coordi- the other two. It Is tho plane from which coordinate
1.3.1.1 Where the tolerance value represents the to the surface or extension line of the surface but not nates wherein a point Is located by its distance from distances are specified in the X direction.
diameter of a cylindrical zone, it is preceded by the to the size dimension. Tho stra.!8htness tole"lUlCl
diameter SYmbol. In all other cases, the tolerance must be leu than the sIz.e tolerance. Since the limHI 121
91
232 AppendixD AppendixD
233
(f) Any change in protUe (points of inftection or

y
tangency) should be clearly defmed, with prime con-
sideration given to desl&n intent. Preciae continuity
r~
of the profde Is neceawy for CAD.
WAD. II QUAD. I (1) A circular pattern of holes may be defined by
.£
,L .( \~u11 )( ....... -
Villi... • +
Xliii... • +
y ....... +
polar coordinate dimensions. Location and orient.
x - DlNCtIooI_ X-Alcia tion of the pattern must be cleady shown.
• Top VIew Top View

x )(
(I) Where possible, express angu1ar dimenaions In
r-
degrees and decimal parts of a degree.
~I
~ L-lhiniU. (m) Limit dimensioning shouid be avoided except
II
N rJ,. . ""r)- - - - . WAD. III
)( vol....
QUAD. IV
)( vol.... +
where limits are standardized - for example. preferred
''limits and fits."
I V vol... v vol.... _
I (/I) Where plus and minus tolerancing is used, the
Front VIew Front v_ tolerance should be bilateral and not unlaterat.
v Equal plus and minus values are preferred. Positional
FIG. A1 REFERENCE PLAIIIES FIG. A:l REFERENCE AXES toleranctna Is recommended for locatina features of
aIze.
FIG. A3 MATHEMATICAL QUADRANTS (0) Geometric tolerances are specified In all cases
A4 REFERENCE AXES Quadrant I, positive values will result. If the work· where the control of specific geometric characteristics
piece Is positioned In two or mom quadrants, posithe (e) Dimension the part so that its geometric shape of part features is required. Where applkable. identi-
Por CAM, three mutually perpendicu1ar axes are fying datum features on the drawing and referenctna
and negative values will result, and the potential for is completely defmed and mathematicaDy precise.
established alona which Unear and rotary motions .them in an order of precedence will clearly Indicate
error is greater. This precaution is generaliy not (/) Regular geometric profdes such as ellipses,
occur In the machine tool used for produclng the their usage for CAM.
necessary when programming on the computer, but parabolas, hyperbolas, etc., may be defmed on the
desired part. Generally, these axes are designated u
the ballic coordinate axes of the equipment. Addi· helpful when programming without computer am. drawing by mathematical fonnulas. CAM equipment (p) Avoid proffie tolerances applied unDateraJly
tance. The considerations described above also apply can be programmed to generate these proffies by along the true profde. Profile tolerances equally
tionaI (secondary) axes may also be designated, de- disposed bilaterally aIona the true profde are recom.
to quadrants fonned by intersections of the X-Z and linear Interpolation. that is, a series of short stral&ht
pendtna on machine capability and part confJBUfltion. mended. Include no fewer than four defined points
The basic axes, when Ylewed from above, u In the
Y-Zaxes. lines whose end points are spaced close enough to
approximate the desired proffie within the specified along the profde.
top Ylew In Fla. A2, are oriented In accordance with profde tolerance. (q) Tolerances should be specified on the basis of
the following. actual desl&n requirements. The accuracy capability
(g) A part surface whose profde is defined on the
(a) The first axis is horizontal In the plane of Ali DIMENSIONING AND TOLERANCING of CAM equipment is not a basis for specifying more
drawing by a mathematical fonnula should not be
projection. It is the X axis of motion. coordinately dimensioned utdeu specific dimensions restrictive tolerances than are functionally required.
Recommended guidelines for dimensioning and
(b) The second axis is vertical In the plane of are required for inspection or identified u reference
toleranclng practices for use In defmlng parts for the
projection and perpendicular to the X axis. It is the Infonnation.
CAD/CAM mode are u foBows.
Y ax.Is of motion. (h) For arbitrary proffies, the drawing should A7 INCORPORATING DIMENSIONAL CHANGES
(a) Major features of a part are used to establish
(e) The third axis Is perpendicular to the plane of specify appropriate points on the profde by coordinate
the basic coordinate system for initial part definitiOll. DImensional changes of smaI1 magnitude seldom
projection and perpendicular to the X and Y axes. It These features mayor may not be subsequend)' dimensions,. or provide a table of coordinates. Wheo
is the Z axis of motion. require a change to the graphic definition on conven-
identified as datum features. determining the number of points needed to defme
tional drawings. Either the graphic definition remains
(b) For final part definition, any number of sub- the profde, keep in mind that the tighter the tolerance
within acceptable drawing accuracy, or the revised
coordinate systems may be used to locate and orient or the smaller the radius of curvature, the closer
Ali MATHEMATICAL QUADRANTS dimensional values are underlined, indicating dimen-
features of a part. These systems, however. must be together the points should be. Tenns such as "blend
sions "not to BCale." For CAD applications. dimeJI.
The Intersection of the X axis and Y axis fonna geometrically related to the basic coordinate system smoothly" and "falred curve" are not specified.
&lonal changes of any magnitude must be made to the
quadrants described In Fla. A3. These axes are of the ghen part. (i) Profdes may also be defmed by other coordinate
data base which requires graphic reiteration. This
normally aligned or coincident with appropriate (e) Defme part features in relation to three mutually systems, such as polar, spherical, or cylindrical, as
must be done to ensure mathematical accuracy of
surfaces or features on the desired part. When pro- perpendicular reference planes. Establish these planes applicable. However, it is desirable to use the same
coordinate system on a given drawing. changed values and to maintain the integrity of the
smnmtna commands for the machine tool, the along features which parallel the axes and motions of CAD/CAM data base.
workpiece should be positioned in a quadrant In CAM equipment, wherever possible.
such a way that a maximum of positive values will (d) The assignment of datum features Is based
result. For example, if the workpiece is positioned in primarily on the functioDal requirements of the part.
122 123
Index
ADPS (see Automated data processing CAGE code, 209

system) Candidates
Alpha-numeric arrangement, 209 data collection, 46-48
Altered-item drawing, 96 definition, 43
American National Standards Institute engineering judgment, 56-57
(ANSI), 4,97 overriding factors for, 55-56
American Society of Mechanical Engineers prescreening, 43-58, 130
(ASME) , 4, 46 prescreening recommendation sheet, 45
applications and types of engineering project prioritization, 58
drawings, 149-161 qualitiesofgood,44,46
data, index, and parts lists, 205-210 CAD (seeComputer-aided design)
digital representation of product CAM (see Computer-aided manufacturing)
definition data, 165-201 CASE (see Computer-aided software
dimensioning and tolerancing, engineering)
213-233 CERC (see Concurrent Engineering
Annual cost, 49 Research Center)
ANSI (seeAmerican National Standards CICA (see Competition in Contracting Act)
Institute) CIM (see Computer-integrated
Annual usage, 49 manufacturing)
Arrangement drawing, 96 Circuits
ASME (see American Society of Mechanical diagram of, 98
Engineers) integrated, 133, 135, 140
Assembly drawing, 96, 158 old vs. new, 135
Associativity definition entity, 184, 199 Circular arc entity, 197
Associativity instance entity, 184, 199 Circular array subfigure instance entity,
Authentication, 209 199
Automated data processing system (ADPS) , Commercial requirement, 209
209 Competition in Contracting Act (CICA) , 28
Available assets, 49-50 Complete technical data package (croP),
87,109,115,118-119
Basic dimension, 99 Components,lI,43 (see also Parts)
Bench testing, 112-113 assemblyI disassembly, 65-66
Bilateral tolerance, 100, 222 criticality of, 56
BPR (See Business process re-engineering) substituting, 101-104
Breadboarding. 133, 135 \l.'I3ge rate, 48
Business process re-engineering (BPR), Composite curve entity, 197
31-32 Computer-aided design (CAD), 231-233
235
236 Index Index 237
Computer-aided manufacturing (CAM), Design control drawing, 97 Drawings (Gmt.): IEEE (see Institute of Electrical and
231-233 Design process special-application, 98 Electronic Engineers)
Computer-aided software engineering checklist, 116 vendor item, 97 Implementor defined entity, 185
(CASE),32 engineering report, 121-124
Index list (lL), 210
Computer-integrated manufacturing (ClM), evaluation features, 62 E-mail,141 Inspection
30 overview. 13 Economic report. 124-126 dimensional, 63-67
Concurrent engineering, vs, reverse traditional vs. reverse engineering, 9 Electrical diagram, 97-98 material analysis, 66-67
engineering, 30-31 verifying, 107-11 6 Electrical entities, 184-185, 197-201 operational testing, 67
Concurrent Engineering Research Center Detail drawing, 95,158 Electromagnetic interference (EMI), prototypes, II 4
(CERC),31 Diagrams 132-133 Installation drawing, 96
Configuration control, 122 circuit, 98 Electronic diagram, 97-98 Institute of Electrical and Electronic
Connect point entity. 198 connection. 98 EMI shielding, 132-133 Engineers (IEEE), 97
Connection diagram. 98 electrical. 97-98 Engineering Integrated circuits (lCs)
Connectivity, 195-196 electronic,97-98 business process re-engineering, 31-32 breadboarding, 133, 135
Contracts, restrictive clauses, 34-35 functional block, 98 computer-aided software, 32 future production volume, 140
Control drawing, 96-97 interconnection, 98 concurrent. 30-31 Interconnection diagram, 98
Copious data entity, 197 logic circuit, 98 forward,10 Interface control drawing, 97
Costs mechanical schematic. 97 re-engineering,31-32 International Standards As~ociation (ISA) ,
annual, 49 schematic, 98 reverse (see Reverse engineering) 46
economic considerations, 52-53 single-line, 98 value, 17-21 International Standards Organization
economic report, 124-]26 wiring. 98 Engineering drawings, 92-104, 149-161 (ISO),94
1ll<::-<Lyu:e,50, 125-126 Digitization. 143 dimensional accuracy, 93-94 Item, 210
mF'a~llriln<r 41-42 Dimension and dimensioning. 99, 222 types and applications, 94-99
production, 78-80 application of. 224-225 Engineering reports, 121-124 Layout drawing, 95,157-158
projected,50-5] basic,99 Ethics, 34 LCC (see Life-cycle cost)
projected vs. actual, ]24-125 reference. 99-100 Extrapolation, 6 LCS (see Iife-cycle savings)
target unit, 49, 78 tolerancing and, 99-101, 213-233
Least material condition (LMC), 222
task, 81 types of, 224 Failure analysis, 69-72 Legal issues, 33-35
unit. 48-49 DL (see Data list) prototypes, 113-114 contracts, 34-35
crDP (see Complete technical data package) Documentation, 27 Failure rate, 50, 72 design theft, 33-34
DoD (su Department of Defense) Federal Acquisition Regulation (FAR), 20 patents, 26-27, 33-34
DAR (see Defense Acquisition Regulation) DoE (su Department of Energy) Federal Communications Commission proprietary/restricted data, 34
Data Drawing entity, 184 (FCC),132 substandard parts, 34
collecting, 46-48, 60 Drawings Field number, 209 Life-cycle cost (LCC), 50,125-126
developing, 55 altered-item, 96 Flag note, 209 Life-cycle savings (LCS) , 50, 125-126
discrepancies in, 68-69 arrangement, 96 Flash entity, 198 Life-cycle usage, 50
enhancing, 55 ASME applications and types, 149-161 Form tolerance, 230 Line entity, 198
evaluating, 48-57, 60 assembly, 96, 158 Forward engineering. 10 LMC (see Least material condition)
performance specifications, 48 control, 96-97 Full indicator movement (FIM), 209 Logic circuit diagram. 98
reliability/availability/maintainability, 48 design control, 97 Functional block diagram, 98
reviewing, 67-69 detail. 95, 158
Macro definition entity, 185
technical, 46-47, 64, 85-105, 123 engineering, 92-104,149-161 General note entity, 198 Magnetic cores, 133
usage (see Usage data) identification cross-reference. 97 Geometric tolerance. 100, 222 Magnetometer, 130-132, 137
Data list (DL), 209 installation, 96 Go/no-go decision, 83-84 Maintenance data, 47-48
Database, 42 interface control, 97 C>overnment requirement. 210 Manuals, 46-47
Datum, 222, 228 95,157-158 Material
Defense Acquisition Regulation (DAR), modifying, 96 Hardware reverse engineering, 32-33 analyzing, 66-67
28-29 monodetail,158 History, 25-35 substituting, 101-104
Department of Defense (DoD), 5, 46,139 multidetail, 158 Maximum material condition (MMC), 222
Department of Energy (DoE). 29 selected-item. 96 lC (see Integrated circuits) Mean time between failure (MTBF), 48
Design activity. 209 source control, 97 Identification cross-reference drawing, 97 Measurement, units of, 223-224
238 Index Index 239
Mechanical schematic diagram, 97 Projected cost, 50-51 Reverse engineering (RE) Target unit cost, 49
Methodology, 3-4 vs. actual cost, 124-125 advantages/benefits, 15 TDP (seeTechnical data package)
Military specifications (MILSPEC), 5 Projects basic concepts in. 7-23 Teams, 37-42
MMC (see Maximum material condition) cost measurement, 41-42 definition,9,11-15 communicating with system users,
MTBF (see Mean time between failure) database, 42 four-stage process, 12 39-40
determining types of, 53-55 future applications, 139-144 engineering, 39
Network subfigure definition entity, implementing, 117-128 government efforts in. 27-29 final approval ofTDP, 127-128
199 prioritizing, 58 hardware, 32-33 meeting with, 61-63
Network subfigure instance entity, special,23 history. 25-35 personneineeded,38
199 styles of, 11-12 introduction. 1-6 prescreening, 38
tracking, 40-42 need for, 7-8 project tracking, 40-42
Ohsolescence, 55-56 Property en tity, 184, 199 process, 10 technical, 39
Operational testing, 67 Prototypes, 109-112 risks,21-23 Technical data, 46-47
delivery of, 119-121 similarities with value engineering, comparing, 64
Parts failure analysis, 113-114 18 developing, 11
annual usage, 49 inspecting, 114 software, 32-33 developing unrestricted, 88-90
assembly/disassembly, 65-66 re-evaluating, 113 summary. 129-137 developmental summary, 123
dimensional accuracy, 93-94 testing requirements. 112-113 teams, 37-42 engineering drawings, 92-104
high-risk, III PTDP (see Preliminary technical data uses. 16--17 flow diagram, 86
material analysis, 66-67 package) vs. concurrent engineering, 30-31 generating,8!'r-l05
obsolescence, 55-56 vs. re-engineering, 31-32 Technical data package (TDP), 90-92
population, 50 Quality, 15-16 Reverse engineering process final approval of, 127-128
procurement requirements, 118-119 substandard parts and, 34 design verification, 107-116 Technology, 4
substandard, 34 Quality assurance (QA), 114-115 evaluation and verification. 59-S4 Testing
substituting, 101-104 Quality evaluation report (QER), 50, 60, four-stage. 12 bench,112-113
supply support, 56 72-75 prescreening and preparation, 37-58 operational. 67
systems approach to, 142-143 project implementation. 117-128 prototypes, 112-113
value engineered, 104 teams, 37-42 report summary, 123-124
visually inspecting, 57-58, 63-67 technical data generation. 8!'r-l05 system, 113
Parts list, 94 maintainability) Revision authorization, 210 Text display template entity, 199
Patents, 26--27 RE (see Reverse engineering) RFS (see Regardless of feature size) Tolerance and tolerancing, 64. 222
history/origin, 27 Rectangular array subfigure instance entity, Risks bilateral, 100,222
PDP (see Preliminary data package) 199 assessing, 82 dimensioning and, 99-101, 213-233
PDS (see Preliminary drawing set) Re-engineering failure and, 21-22 form, 230
Personnel, teams, 37-42 business process, 31-32 success and, 22-23 geometric, 100,222
Plane entity, 198 vs. reverse engineering, 31-32 ROI (see Return on investment) positional, 229
Point entity, 198 Reference dimension, 99-100
unilateral, 100, 222
Positional tolerancing, 229 Regardless offeature size (RFS) , 222 Schematic diagram, 98 Tooling, special, 104
Preliminary data package (PDP), 86, 105 Reliability availability maintainability Scientific method, 26 Total quality management (TQM), 16
Preliminary drawing set (PDS), 86,105 (RAM),48 Selected-item drawing, 96 Transformation matrix entity, 184, 198
Preliminary technical data package (PTDP), Remaining service life, 49 Single-line diagram, 98
86, 105, 107-109 Replacement rate, 47, 50, 72 Software reverse engineering, Unilateral tolerance, 100,222
Process (see Design process; Reverse Reports 32-33 Unit cost, 48-49
engineering process) economic, 124-126 Source control drawing. 97 target, 49, 78
Procurement requirements, 118-119 engineering, 121-124 Special-application drawing, 98 Units of measurement, 223-224
Product definition data, ASME, 165-201 quality evaluation, 50, 60, 72-75 Stage I report, 75-83 U.S. government
Product verification, 54-55 stage 1, 75-83 Supply support, lack of, 56 efforts in reverse engineering.
Production Research and development (R&D), 89 Symbols, 227 27-29
cost estimates, 78-80 Restricted data, 34 System modernization. 15 value engineering practices,
lot sizes, 78 Return on investment (ROI). 4.51-53. System testing, 113 20-21
Programs, II 125-126 System usage rate, 48 U.S. Navy. 29
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annual,49 analysis of, 19-20
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life-cycle, 50 Vendor item drawing, 97 ,."
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About the Author '.'.

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Currently program manager for Martin Marietta Energy "
Systems in Oak Ridge, Tennessee, and previously Senior
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Kathryn A. Ingle develops and implements new technologies . ~:,. , . '",

for commercial applications. Ingle has developed and
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Copyright © 1994 by McGraw-Hill, Inc. AIl rights reserved. Printed in the

What Is Reverse Engineering? 9

Technical Data Development 11

The Benefits of Reverse Engineering 15

Reverse Engineering as a Quality FWlction 15

Uses of Reverse Engineering 16

Extending Reverse Engineering to Value Engineering 17

Hill. Inc., from sources be\j.eved to be reliable, However, neither

The Risk of Failure 21

of any information published herein. and neither McGraw-Hill nor its

appropriate professional should be sought.

What Reverse Engineering Is Not 29 5. Stage 2: Technical Data Generation 85

Difference between Hardware and Software Reverse

Patent Infringement and Theft 33

Proprietary and Restricted Data 34

Restrictive Contractual Clauses 34

Reverse Engineering Teams 37

Engineering and Technical Team Requirements 39

Communication with System Users 39

The Reverse Engineering Database 42

The Qualities of a Good Candidate 44

Visual and Dimensional Inspection 63

Comparison to Available Data 64

Available Data Adequacy 67

Example of Severe Component Failure 69

Failure analysis in Stage 1 Versus Failure Analysis in Stage 3 72

Stage 1 Report Generation 75

The Go/No-Go Decision 83

Appendix A. ASME Y14.24M-89, Types and

Appendix B. ASME Y14.34M-89, Parts Usts, Data

Appendix C. ASME Y14.26M-89, Digital

Appendix D. ASME Y14.SM-82, Dimensioning and

Over 2000 candidates were screened.

To the inimitable Rosie Mincey, my graphics designer and friend, without

BPR business process re-engineering

"Used in diagra.tllJJ or equations only.

PV* project verification

These realistic yet exaggerated hypothetical cases exemplify some of sce­ •

Product verification is the simplest form of reverse engineering; data devel­

process begins: Verification

• Stage 1: evaluation and verification

• Stage 4: project implementation Implementation

Project success, as discussed earlier, will typically be measured by return

The Benefits of Reverse

processes, and the development of a corporate culture which can support

The Origins of Reverse

Reverse Engineering Versus 1"tsponse to customer expectations

Proprietary and Restricted Data

Restrictive Contractual Clauses

Reverse Engineering Teams

be considered for reverse engineering. Of the 10 percent ineligible for con-

engineering process, which focuses on the selection of those items which

These realistic yet exaggerated hypothetical cases exemplify some of sce •

Product verification is the simplest form of reverse engineering; data devel