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By Larry Scott

In the May/June issue of The Quality Herald, we discussed the
concepts of DOE array designs, resolution and significance.
These basic concepts are the elements that allow the user to
plan an effective DOE strategy, the focus of this segment. The
overall strategy is identifying and/or quantifying significant
variables and variable interactions. The basic
approach consists of four phases: Discovery,
Breakthrough, Optimization, and Validation as
illustrated in Figure 1. The appropriate phase is
dependent on the researchers goals, resources,
timing, and subject matter knowledge. Note
however, a user could sequence through all four
phases within a single project.

Each DOE phase offers different results. For
instance, in the discovery phase a researchers
primary goal would include screening for vital
input variables. However, the investigator must
be aware of the inability to generate a prediction
equation using low resolution screening arrays,
if any variable interactions are at work in the
system. The discovery phase typically focuses
on two level, fractional-factorial arrays to
identify the vital few variables. Fractional-
factorial arrays range from resolution III to VI.
The lower resolution arrays (III and IV), for instance 2
3-1
, and
2
4-1
are limited in application. These arrays are used primarily
to screen input variables because of their limited capability to
quantify two-factor interactions.

Full-factorial and resolution V and VI fractional arrays are
more commonly used in the breakthrough phase. All
fractional-factorial arrays are subsets of full-factorial arrays.
The higher resolution fractional arrays (V and VI), such as
MR-5 and 2
6-1
, offer the opportunity to screen larger numbers
of variables with a minimal number of experiments. These
designs allow for the identification of some two-factor
interactions with a minimal volume of additional experiments.
The breakthrough phase is capable of generating first order
prediction equations which includes main effects and
interaction coefficients. From such data, we pursue higher
order models from response surface designs.

Subject matter knowledge and prior screening results establish
a region of operability, an area where performance is
achievable. In the optimization phase, you refine the selection
of factors and factor ranges to aid in framing a region of
interest, the area where performance peaks. In the
optimization phase, variable testing often progresses to three
testing levels (3
k
) for significant variables. At three levels of
testing, the number of experiments increases, however
coefficients for the squared component of input variables can
be quantified and a higher order polynomial generated, i.e.,
quadratic. The higher order equations are more accurate and
allow the researcher to hone the performance level for the
quality characteristic(s) of interest. The ability to readily and
effectively dial-in a desired performance can identify peak
performance levels for either product or process.

As indicated in the flowchart of Figure 1, response surface
methods (RSM) are utilized in the optimization phase. Due to
the high volume of experiments, this
phase focuses on a few highly
influential variables, usually 3 to 5.
The typical tools used for RSM are
central composite design (CCD) and
the Box-Behnken design (BBD)
1
.
With the aid of software, the results of
these complex designs are exhibited
pictorially in 3D as mountains or
valleys to illustrate performance
peaks.

In the validation phase, we focus on
confirmation of results drawn from
previous phases. Typically by this
point, we have identified significant
variables and selected variable levels
based upon a targeted performance.
However, before we move to a long-
term application, like manufacturing,
we wish to confirm our findings. In theory, we are primarily
interested in main effects and significant two-factor
interactions review the 80/20 rule discussed in the May/June
segment. Therefore, the focus in the validation phase is arrays
exhibiting IV, V and VI resolution levels. The exceptions, not
detailed here, include complex chemical systems.

Selecting the proper DOE strategy is a skill typically
cultivated through years of experience or learned from
workshops and case studies. DOE strategies run the gambit
from classic full- and fractional-factorial designs to the latest
irregular-factorials called minimum run (MR) arrays. These
complex arrays are made practical with the availability of
software that readily generates balanced designs.
Understanding the risks and benefits of each strategic phase,
improves the users ability to select effective designs, as well
as builds their tool portfolio. DOE does require up-front
planning, discipline and a basic knowledge of statistics.
However, it provides a proficiency that will arm the user with
the power to maximize product and process performance,
optimize resource efficiency, while simultaneously generating
data paramount to minimizing product variability.

In the next issue of The Herald Newsletter, we review the key
elements of performing a successful DOE. These elements
guide the engineer toward designing, performing, analyzing,
and effectively implementing the results of their designed
experiment.

1. Anderson, Whitcomb; RSM Simplified, 2005.
2. Graphic reprinted with permission from Stat-Ease, Inc.
Figure 1: A flow of the four phases of DOE.
The appropriate phase is dependent on goals,
resources, timing, and subject knowledge.

Trivial
Many
Curvature?
Vital Few
Confirm
Discovery
Breakthrough
Optimization
Validation
yes
Response
Surface
Methods
Unknown
Factors
Factor effects
and interactions
Known
Factors
Screening
Trivial
Curvature?
Vital Few
Confirm
Discovery
Breakthrough
Validation
yes
Response
Surface
Methods
Unknown
Factors
Factor effects
and interactions
Known
Factors
Screening
no
Implement
Res IV fraction
Res V fraction
Full fraction
CCD, BBD, etc
Confirmation runs
Back up