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Technometrics
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Response Surface Methodology: Process and Product


Optimization Using Designed Experiments
a
Richard F. Gunst
a
Southern Methodist University
Published online: 12 Mar 2012.

To cite this article: Richard F. Gunst (1996): Response Surface Methodology: Process and Product Optimization Using
Designed Experiments, Technometrics, 38:3, 284-286

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Book Reviews
This section will review those books whose content and level reflect the general The New Economics: For Industry,
editorial policy of Technometrics. Publishersshould sendbooks for review to Eric Government, Education
R. Ziegel, Amoco ResearchCenter, Mail Code B-5, 1.50West Warrenville Road,
Naperville, IL 60563.8460. W. Edwards Deming Annnheth L. Prop 294
The opinions expressedin this sectionare thoseof the reviewersand may not reflect
those of the editors or the sponsoring societies, Listed prices reflect information The Next Phase of Total Quality Management: TQM II
provided by the publisher with the book and may not be correct. and Focus on Profitability
The book purchaseprogramsof the sponsoringsocietiescan provide someof these
Robert Stein Tim Hulverson and Ian Huu 295
books at reducedprices for members.For information, contact the American Society
for Quality Control, I-800-248-1946, or the American Statistical Association, l-703.
Managing Customer Value
684.1221.
Bradley Gale Eric R. Ziqel 295

Response Surface Methodology: Process and Product A Step-by-Step Approach to Using the SAS System for
Optimization Using Designed Experiments Factor Analysis and Structural Equation Modeling
Raymond H. Myers and Douglas C. Montgomery Larry Hatcher Charles E. Heckler 296
Richard F: Gunst 285
Editor Reports on New Editions, Proceedings,
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Advanced Topics in Statistical Process Control Collections, and Other Books


Donald J. Wheeler Benjamin M. Adams 286
The Survey Kit, Volumes 2, 5, 6, 8
Arlene Fink 291
Engineering Methods for Robust Product Design
William Y. Fowlkes and Clyde M. Creveling Recent Advances in Life Testing and Reliability
Henry W. Altland 286
N. Balakrishnan 297

Reliability: Probabilistic Models and Statistical Methods Quality Function Deployment


Lawrence M. Leemis John Lawson 287 L. Cohen 298

Reliability, Maintainability, and Availability Assessment Encyclopedia of Quality Terms and Concepts
J. Cortada and J. Woods 298
Mitchell 0. Locks Gene Placzkowski 288

Fundamentals of Quality Auditing


Design and Analysis of Experiments for Statistical
B. Parsowith 298
Selection, Screening and Multiple Comparisons
Robert E. Bechhofer, Thomas J. Santner, and David M. Goldsman Analysing Survival Data From Clinical Trials and
Ajit C. Tamhane 289 Observational Studies
E. Marubini and M. Valsecchi 299
Modelling Frequency and Count Data
J. K. Lindsey Willis L. Owen 290 Observational Studies
Paul Rosenbaum 299
Modeling Experimental and Observational Data
Image Analysis for the Biological Sciences
Clifford E. Lunneborg David Allen 29 1
C. Glasbey and C. Horgan 299

Recent Advances in Descriptive Multivariate Analysis Applied Multivariate Statistics With SAS Software
Wojtek J. Krzanowski (editor) Dennis A. Wolf 291 R. Khattree and D. Naik 300

Environmental Statistics and Data Analysis The How-To Book for SASlGraph Software
Martin A. Hamilton 292 Thomas Miron 300
Wayne R. Ott

Introduction to Market Research Using the SAS System


Numerical Analysis for the Geological Sciences 300
SAS Staff
James R. Carr Terry L. Watt 293
Probability, Statistics and Optimization
Spectral Analysis for Physical Applications: Multitaper F. Kelly (editor) 301
and Conventional Univariate Techniques
Donald B. Percival and Andrew T. Walden Dennis D. Cox 294 Forthcoming Reviews 301

284
BOOK REVIEWS 285

Response Surface Methodology: Process and Product specialized topics. Saturated and other designs for use when the number
Optimization Using Designed Experiments, by Ray- of test runs must be kept to a minimum receive extensive treatment. A
mond H. MYERS and Douglas C. MONTGOMERY, New large portion of this chapter is devoted to an exposition of various criteria,
York: John Wiley, 1995, xiv + 700 pp., $59.95. such as design optimality, for comparing alternative designs and on using
computing algorithms to generate designs from among candidate test runs.
The authors of this book, one of whom authored the first comprehensive Much of Chapter 9, Miscellaneous Response Surface Topics (60 pp.),
and now classic work on response surface methods, are acknowledged addresses the theory behind variance and bias trade-offs in selecting a re-
experts in the field. Both are outstanding communicators with extensive sponse surface design. Practitioners will likely bypass much of this chapter,
experience in applying the topics covered. Their experience and practical but the material is valuable for academic courses that cover the construc-
insight are clearly evident in many examples. tion of experimental designs. The last section of this chapter is a very
This book is intended for readers who have some previous exposure important one on the relationship between restrictions on randomization
to statistical methods and matrix algebra. The authors also state that for- of test runs and the analysis of classical split-plot designs, Restricted ran-
mal coursework in basic principles of experimental design and regression domization is very prevalent in practice, so this section is a very welcome
analysis would be helpful but is not essential because of the coverage of exposition of this important topic.
these topics in the book. Much of the material can indeed be appreciated Many readers will find Chapter 10, Response Surface Methods and
by those having only moderate exposure to statistical methods and matrix Taguchis Parameter Design (73 pp.), one of the most informative chapters
algebra, but I believe that the fullness of this work can only be appreciated of the book. The authors provide an excellent scientific discussion of the
by those who are facile with matrix algebra and least squares regression merits and deficiencies of both the designs and the analysis that are known
theory and methods. A novice in these areas who is primarily interested as Taguchi methods. The known serious deficiencies of signal-to-noise
in the response surface methods can learn much from the discussions and ratios, the use of designs that ignore interactions, and the allocation of
the wealth of examples by skimming the more technical portions of the excessive numbers of degrees of freedom for control versus noise factors
chapters. in inner-outer array designs are all well covered. Similarly, the need for
Downloaded by [Monash University Library] at 14:51 20 June 2013

Following a brief introductory chapter, Chapter 2 on Building Empiri- modeling dispersion effects for control factors and the importance of using
cal Models is a relatively concise (73 pp.) summary of many topics related control versus noise interactions to control noise are important advances of
to least squares regression methods. Least squares estimators are derived, Taguchis message that are emphasized. The dual response and variability
their statistical properties are either derived or simply stated, and several modeling section is an important alternative to signal-to-noise ratios that
sections are devoted to testing hypotheses and constructing confidence in- receives careful discussion in this chapter.
tervals and regions for regression parameters. Variable selection methods Chapters 12, Experiments With Mixtures (35 pp.), and 13, Other
are relegated to an appendix at the back of the text. Although influence Mixture Design and Analysis Techniques (55 pp.), are standard mixture-
diagnostics are given fairly complete coverage, the critical issue of using experiment presentations. These chapters add to the completeness of the
residuals to determine model adequacy is given a scant two paragraphs, far coverage of response surface methods. The book closes with a short (16
less than the several pages devoted to testing for lack of fit. This chapter pp.) chapter on evolutionary operation. Ten appendixes on specialized top-
would not suffice to supplant a course in regression methods, but it is a ics enable the focus of the text to be on the essentials of the topics cov-
good review of many of the most important topics. ered and examples of their use while relegating theoretical detail to the
Chapters 3 and 4, Two-Level Factorial Designs and Two-Level Frac- appendixes.
tional Factorial Designs (over 100 pp.), detail the construction of experi- There are few peer works to this comprehensive book; however, there
mental designs for two-level complete and fractional factorial experiments. are many peer references that go uncited. The authors rely heavily on citing
There are many highly effective graphs of two-level design geometry and previous works of their own rather than informing the reader of alternative
fitted response surfaces in these chapters, along with several exception- sources. For example, it is disappointing to read such a lengthy discussion
ally well-done examples. The discussion of the relationship between fitted of two-level complete and fractional factorials without any mention of
regression models and factor effects is especially informative. The intro- Box, Hunter, and Hunter (1980) and other outstanding works in this area.
duction of the single-degree-of-freedom test for curvature in these chapters Virtually all the attention in this work is on linear models. There is little on
and its continued use in later ones is an excellent reminder of the need nonlinear designs and models. Especially noteworthy in its absence is any
for continual appraisal of the model and design adequacy. There is an discussion of generalized linear models in the context of response surface
excellent example of both location and dispersion effects in Chapter 4. methods. To the extent that a wide variety of response surfaces can be
Process Improvement With Steepest Ascent is a brief (25 pp.) chapter approximated by quadratic surfaces, however, as has been so heavily the
on the method of steepest ascent for locating a region of optimal response. emphasis in practice in the past, the methods in this book will more than
In addition to describing the method, the authors present some question- suffice. There is also very limited discussion of the very real problem of
able statistical inference procedures. These liberties were clearly taken measurement errors in the predictors. The authors of this book chose to
with the intent of providing the reader with simple, understandable meth- offer extensive examples and discussion on the most used response surface
ods to deal with the uncertainty in locating the path of steepest ascent. The methods rather than sacrifice some of this for the topics just mentioned.
authors should have cautioned the reader about the ad hoc nature of these Given their success in achieving the goals they set, I cannot seriously fault
methods relative to the theoretically well-justified inference procedures their choice.
used throughout the rest of the book. Moreover, this short chapter could With so many figures in the book, it is inevitable that there will be
easily be absorbed in later chapters when models including interaction and problems with some of them. Two consistent issues that need to be cor-
curvature terms would make the discussions far more comprehensive than rected are (I) the many plots with default scaling that is cluttered on the
the emphasis on the simple models having only linear terms. axes or with values that are so awkward as to be difficult to interpret and
Chapters 68 on the analysis of response surfaces and on experimental (2) several three-dimensional surface plots that need to be rotated so that,
designs for fitting response surfaces constitute the heart of the authors for example, the twists in interaction plots can be clearly seen and not
exposition of response surface methods. The analysis of response surfaces obscured by the front portion of the figures. Likewise there are several
(Chap. 6, 70 pp.) contains a classic regression modeling and ridge analysis typos, a few incorrect numerical values, and a few statements (e.g., the
of the response surfaces. The authors provide an important discussion of F-ratio for lack of fit is not significant and the hypothesis of significance
multiple responses and the use of a desirability function as a composite of regression is rejected) that should be corrected in subsequent printings.
criterion for optimization. Chapter 7 (72 pp.) details designs for fitting first- These are to be expected in a first printing of any new book, especially
and second-order response surface models. Discussions of fundamental one of this size, and they do not seriously detract from the excellence of
topics such as orthogonality, centerpoints, and evaluating curvature high- the overall work.
light the presentation of simplex, central-composite, and Box-Behnken I very much enjoyed reading this book. It is one that practitioners will
designs. Advanced topics such as rotatability, sphericity, and equal radial value; moreover, it is truly a book that can be read by practitioners. It does
designs are also well discussed. Blocking of central-composite and Box- not need an expert to explain what the authors are trying to say-they do
Behnken designs concludes the chapter. Chapter 8 (5 1 pp.) contains several an excellent job of communicating their message both in their writing and

TECHNOMETRICS, AUGUST 1996, VOL. 38, NO. 3


286 BOOK REVIEWS

through their examples. Anyone who deals with designing experiments, in Wheeler (1995), which essentially reproduces a section of this text. A
the statistical analysis and modeling of data, and especially product or response to Wheeler (1995) may be found in Hunter (1995). An additional
process improvement, including optimization, should have this book as a review of the book is provided by Lovelace (1996).
reference. This book serves two important functions. First, it provides practition-
ers an excellent source of practical advice on the use of control charts
Richard F. GUNST
for process improvements. Second, statisticians who carefully consider
Southern Methodist University
Wheelers arguments will be forced to carefully consider the usefulness
of sophisticated stochastic models. The result will be a clearer distinc-
REFERENCE
tion between topics that are theoretically interesting and topics that are of
Box, G. E. P., Hunter, W. G., and Hunter, J. S. (1980) Statistics for Ex- practical value. I would recommend this book to anyone interested in the
perimenters, New York: John Wiley. application of statistical process control techniques.

Benjamin M. ADAMS
Advanced Topics in Statistical Process Control: The University of Alabama
Power of Shewharts Charts, by Donald J. WHEELER,
Knoxville, TN: SPC Press, 1995, xiv + 470 pp., $45. REFERENCES
Hunter, J. S. (1995). Mini Paper: Just What Does an EWMA Do? (Part
This book provides a companion volume to the earlier work of Wheeler 2): ASQC Statistics Division Newsletter, 16. 4-12.
and Chambers (1992). Its purpose is to provide a theoretical, yet pragmatic, Lovelace, C. R. (1996) Book Reviews: Advanced Topics in Statistical
foundation for control charts that strictly reflects the philosophy of W. Process Control: The Power of Shewharts Charts, Journd of Qua1it.y
Shewhart and is consistent with the teachings of W. E. Deming. The book Technology, 28, 127.
is intended as a reference work for practitioners. The author accomplishes Wheeler, D. J. (1995) Mini Paper: Just What Does an EWMA Do?
these goals with great success. ASQC Statistics Division Newsletter, 15, 6-l 3.
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The concepts covered in the book are clearly explained. The examples Wheeler, D. J., and Chambers, D. S. (1992), Undersrandirtg Stutisticul
are enlightening, and the graphics (black and white only) are excellent. Process Control (2nd ed.), Knoxville, TN: SPC Press.
Readers are reminded several times that the purpose of statistical analysis
is to provide insight. The best analysis is the one that provides the greatest Engineering Methods for Robust Product Design,
insight with the simplest method. With such a mind set, the author sug- by William Y. FOWLKES and Clyde M. CREVELING,
gests that practitioners could better spend their time using simple robust Reading MA: Addison-Wesley, 1995, xxiv + 403
control charts and carefully considering issues such as rational sampling pp. + disk, $58.05.
and rational subgrouping rather than using more sophisticated methods
that require careful validation of stochastic model assumptions. The book Robust (or parameter) design is a statistical approach used to determine
provides a substantial body of practical advice for practitioners wishing control factor settings that result in the minimum sensitivity of a qual-
to avoid complexity for complexitys sake. ity characteristic (response variable) to noise. Noise refers to factors that
The text, which primarily focuses on control charts, begins with The cannot be eliminated or controlled in a manufacturing and customer-use
Shewhart Catechism. This catechism is a list of 37 questions and short environment. Genichi Taguchi proposed that parameter design is a cost-
answers. A few examples are effective approach for reducing variation in products and processes (Nair
1992).
11. Can we use two-sigma limits? Although this book focuses on the Taguchi philosophy and methodolo-
No. Two-sigma limits are inappropriate for control charts. gies, the authors recognize the value of traditional statistical approaches
12. Do three-sigma limits depend upon having normally distributed such as central composite designs. This book, therefore, is a valuable ref-
data? erence for practitioners in various technical fields. The text is extremely
well written and, considering the books complexity, contains very few er-
No. Three-sigma limits are sufficiently general to work with virtu- rors. Paraphrasing George Fisher, Kodaks Chairman, President, and CEO,
ally any distribution. who endorsed the book, basic principles and advanced techniques of ro-
15. What about data which display autocorrelation? bust design are presented using case studies to reinforce understanding
and application.
Shewhart placed autocorrelated data on control charts. You can too. The authors place Taguchis approach in thoughtful perspective. They
36. Can we use PreControl instead of a control chart? correctly state that traditional approaches to designed experiments are use-
ful to collect, analyze, and acquire knowledge from observed phenomena.
No. PreControl is totally different from a control chart, and inferior
Taguchi methods are more efficient for optimization and characterization
as well.
of design quality. Indeed, many investigators claim that the ultimate ob-
In all cases, the questions and answers are kept short. The resulting (per- jective of robust design is to find control-factor settings that minimize the
haps unavoidable) oversimplification will be distracting to many statis- effects of noise (Coleman and Montgomery 1993). Many successes in the
ticians, The remainder of the text is organized into Chapters 1-19 enti- mechanical and electrical fields, amply illustrated with examples from the
tled Shewharts Control Charts, Statistics Versus Parameters, Estimat- authors experiences with electrostatic copiers, reinforce that robust de-
ing Dispersion Parameters, Control Charts for Measurements, Three signs goal is to achieve robust function without necessarily understand-
Sigma Limits, Rational Sampling and Rational Subgrouping, The ing the mechanics of how things happen. Although the authors present
Quality of Control Limits, Capability Confusion, Power Functions for a parameter design process to achieve this goal, they also emphasize the
Control Charts, Comparing Different Types of Control Charts, Control importance of engineering knowledge.
Charts for Count Data, Control Charts for Autocorrelated Data, The An important tenet of the Taguchi approach to robust design is to en-
Cumulative Sum Technique, Exponentially Weighted Moving Averages, gineer a system so that the control factors are additive. Such systems, in
Multivariate Charts, Miscellaneous Techniques, The Characterization Taguchis view, are easier to optimize for robustness. A log transform of
of Product, The Analysis of Means, and Some Differences Between a quality characteristic into a signal-to-noise ratio (S/N) is a mathemat-
Theory and Practice, respectively. ical approach to make this quality characteristic less sensitive to factor
Readers with formal training in the use of statistical techniques will interactions.
almost certainly disagree with the authors views somewhere in the book. This tenet, however, has provoked much controversy. The authors argue
For example, Wheeler discourages the use of the exponentially weighted that, if interactions are not examined, more degrees of freedom are avail-
moving average (EWMA) chart and the cumulative sum chart with the able for additional control factors. Would you rather spend your precious
passion of a zealot. In doing so, the case seems overstated if not mislead- degrees of freedom (experimental dollars) on control factor inleractions or
ing. The interested reader can find a preview of the EWMA discussion on opportunities available from additional control factors? They concede,

TECHNOMETRICS, AUGUST 1996, VOL. 38, NO. 3