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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
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Naperville, IL 60563.8460. W. Edwards Deming Annnheth L. Prop 294
The opinions expressedin this sectionare thoseof the reviewersand may not reflect
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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
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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
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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
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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
Response Surface Methodology: Process and Product
Optimization Using Designed Experiments, by Ray-
mond H. MYERS and Douglas C. MONTGOMERY, New
York: John Wiley, 1995, xiv + 700 pp., $59.95.
The authors of this book, one of whom authored the first comprehensive
and now classic work on response surface methods, are acknowledged
experts in the field. Both are outstanding communicators with extensive
experience in applying the topics covered. Their experience and practical
insight are clearly evident in many examples.
This book is intended for readers who have some previous exposure
to statistical methods and matrix algebra. The authors also state that for-
mal coursework in basic principles of experimental design and regression
analysis would be helpful but is not essential because of the coverage of
these topics in the book. Much of the material can indeed be appreciated
by those having only moderate exposure to statistical methods and matrix
algebra, but I believe that the fullness of this work can only be appreciated
by those who are facile with matrix algebra and least squares regression
theory and methods. A novice in these areas who is primarily interested
in the response surface methods can learn much from the discussions and
the wealth of examples by skimming the more technical portions of the
chapters.
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Following a brief introductory chapter, Chapter 2 on Building Empiri-
cal Models is a relatively concise (73 pp.) summary of many topics related
to least squares regression methods. Least squares estimators are derived,
their statistical properties are either derived or simply stated, and several
sections are devoted to testing hypotheses and constructing confidence in-
tervals and regions for regression parameters. Variable selection methods
are relegated to an appendix at the back of the text. Although influence
diagnostics are given fairly complete coverage, the critical issue of using
residuals to determine model adequacy is given a scant two paragraphs, far
less than the several pages devoted to testing for lack of fit. This chapter
would not suffice to supplant a course in regression methods, but it is a
good review of many of the most important topics.
Chapters 3 and 4, Two-Level Factorial Designs and Two-Level Frac-
tional Factorial Designs (over 100 pp.), detail the construction of experi-
mental designs for two-level complete and fractional factorial experiments.
There are many highly effective graphs of two-level design geometry and
fitted response surfaces in these chapters, along with several exception-
ally well-done examples. The discussion of the relationship between fitted
regression models and factor effects is especially informative. The intro-
duction of the single-degree-of-freedom test for curvature in these chapters
and its continued use in later ones is an excellent reminder of the need
for continual appraisal of the model and design adequacy. There is an
excellent example of both location and dispersion effects in Chapter 4.
Process Improvement With Steepest Ascent is a brief (25 pp.) chapter
on the method of steepest ascent for locating a region of optimal response.
In addition to describing the method, the authors present some question-
able statistical inference procedures. These liberties were clearly taken
with the intent of providing the reader with simple, understandable meth-
ods to deal with the uncertainty in locating the path of steepest ascent. The
authors should have cautioned the reader about the ad hoc nature of these
methods relative to the theoretically well-justified inference procedures
used throughout the rest of the book. Moreover, this short chapter could
easily be absorbed in later chapters when models including interaction and
curvature terms would make the discussions far more comprehensive than
the emphasis on the simple models having only linear terms.
Chapters 68 on the analysis of response surfaces and on experimental
designs for fitting response surfaces constitute the heart of the authors
exposition of response surface methods. The analysis of response surfaces
(Chap. 6, 70 pp.) contains a classic regression modeling and ridge analysis
of the response surfaces. The authors provide an important discussion of
multiple responses and the use of a desirability function as a composite
criterion for optimization. Chapter 7 (72 pp.) details designs for fitting first-
and second-order response surface models. Discussions of fundamental
topics such as orthogonality, centerpoints, and evaluating curvature high-
light the presentation of simplex, central-composite, and Box-Behnken
designs. Advanced topics such as rotatability, sphericity, and equal radial
designs are also well discussed. Blocking of central-composite and Box-
Behnken designs concludes the chapter. Chapter 8 (5 1 pp.) contains several
285
specialized topics. Saturated and other designs for use when the number
of test runs must be kept to a minimum receive extensive treatment. A
large portion of this chapter is devoted to an exposition of various criteria,
such as design optimality, for comparing alternative designs and on using
computing algorithms to generate designs from among candidate test runs.
Much of Chapter 9, Miscellaneous Response Surface Topics (60 pp.),
addresses the theory behind variance and bias trade-offs in selecting a re-
sponse surface design. Practitioners will likely bypass much of this chapter,
but the material is valuable for academic courses that cover the construc-
tion of experimental designs. The last section of this chapter is a very
important one on the relationship between restrictions on randomization
of test runs and the analysis of classical split-plot designs, Restricted ran-
domization is very prevalent in practice, so this section is a very welcome
exposition of this important topic.
Many readers will find Chapter 10, Response Surface Methods and
Taguchis Parameter Design (73 pp.), one of the most informative chapters
of the book. The authors provide an excellent scientific discussion of the
merits and deficiencies of both the designs and the analysis that are known
as Taguchi methods. The known serious deficiencies of signal-to-noise
ratios, the use of designs that ignore interactions, and the allocation of
excessive numbers of degrees of freedom for control versus noise factors
in inner-outer array designs are all well covered. Similarly, the need for
modeling dispersion effects for control factors and the importance of using
control versus noise interactions to control noise are important advances of
Taguchis message that are emphasized. The dual response and variability
modeling section is an important alternative to signal-to-noise ratios that
receives careful discussion in this chapter.
Chapters 12, Experiments With Mixtures (35 pp.), and 13, Other
Mixture Design and Analysis Techniques (55 pp.), are standard mixture-
experiment presentations. These chapters add to the completeness of the
coverage of response surface methods. The book closes with a short (16
pp.) chapter on evolutionary operation. Ten appendixes on specialized top-
ics enable the focus of the text to be on the essentials of the topics cov-
ered and examples of their use while relegating theoretical detail to the
appendixes.
There are few peer works to this comprehensive book; however, there
are many peer references that go uncited. The authors rely heavily on citing
previous works of their own rather than informing the reader of alternative
sources. For example, it is disappointing to read such a lengthy discussion
of two-level complete and fractional factorials without any mention of
Box, Hunter, and Hunter (1980) and other outstanding works in this area.
Virtually all the attention in this work is on linear models. There is little on
nonlinear designs and models. Especially noteworthy in its absence is any
discussion of generalized linear models in the context of response surface
methods. To the extent that a wide variety of response surfaces can be
approximated by quadratic surfaces, however, as has been so heavily the
emphasis in practice in the past, the methods in this book will more than
suffice. There is also very limited discussion of the very real problem of
measurement errors in the predictors. The authors of this book chose to
offer extensive examples and discussion on the most used response surface
methods rather than sacrifice some of this for the topics just mentioned.
Given their success in achieving the goals they set, I cannot seriously fault
their choice.
With so many figures in the book, it is inevitable that there will be
problems with some of them. Two consistent issues that need to be cor-
rected are (I) the many plots with default scaling that is cluttered on the
axes or with values that are so awkward as to be difficult to interpret and
(2) several three-dimensional surface plots that need to be rotated so that,
for example, the twists in interaction plots can be clearly seen and not
obscured by the front portion of the figures. Likewise there are several
typos, a few incorrect numerical values, and a few statements (e.g., the
F-ratio for lack of fit is not significant and the hypothesis of significance
of regression is rejected) that should be corrected in subsequent printings.
These are to be expected in a first printing of any new book, especially
one of this size, and they do not seriously detract from the excellence of
the overall work.
I very much enjoyed reading this book. It is one that practitioners will
value; moreover, it is truly a book that can be read by practitioners. It does
not need an expert to explain what the authors are trying to say-they do
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,
the statistical analysis and modeling of data, and especially product or
process improvement, including optimization, should have this book as a
reference.
Richard F. GUNST
Southern Methodist University
REFERENCE
Box, G. E. P., Hunter, W. G., and Hunter, J. S. (1980) Statistics for Ex-
perimenters, New York: John Wiley.
Advanced Topics in Statistical Process Control: The
Power of Shewharts Charts, by Donald J. WHEELER,
Knoxville, TN: SPC Press, 1995, xiv + 470 pp., $45.
This book provides a companion volume to the earlier work of Wheeler
and Chambers (1992). Its purpose is to provide a theoretical, yet pragmatic,
foundation for control charts that strictly reflects the philosophy of W.
Shewhart and is consistent with the teachings of W. E. Deming. The book
is intended as a reference work for practitioners. The author accomplishes
these goals with great success.
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The concepts covered in the book are clearly explained. The examples
are enlightening, and the graphics (black and white only) are excellent.
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
insight with the simplest method. With such a mind set, the author sug-
gests that practitioners could better spend their time using simple robust
control charts and carefully considering issues such as rational sampling
and rational subgrouping rather than using more sophisticated methods
that require careful validation of stochastic model assumptions. The book
provides a substantial body of practical advice for practitioners wishing
to avoid complexity for complexitys sake.
The text, which primarily focuses on control charts, begins with The
Shewhart Catechism. This catechism is a list of 37 questions and short
answers. A few examples are
11. Can we use two-sigma limits?
No. Two-sigma limits are inappropriate for control charts.
12. Do three-sigma limits depend upon having normally distributed
data?
No. Three-sigma limits are sufficiently general to work with virtu-
ally any distribution.
15. What about data which display autocorrelation?
Shewhart placed autocorrelated data on control charts. You can too.
36. Can we use PreControl instead of a control chart?
No. PreControl is totally different from a control chart, and inferior
as well.
In all cases, the questions and answers are kept short. The resulting (per-
haps unavoidable) oversimplification will be distracting to many statis-
ticians, The remainder of the text is organized into Chapters 1-19 enti-
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
Sigma Limits, Rational Sampling and Rational Subgrouping, The
Quality of Control Limits, Capability Confusion, Power Functions for
Control Charts, Comparing Different Types of Control Charts, Control
Charts for Count Data, Control Charts for Autocorrelated Data, The
Cumulative Sum Technique, Exponentially Weighted Moving Averages,
Multivariate Charts, Miscellaneous Techniques, The Characterization
of Product, The Analysis of Means, and Some Differences Between
Theory and Practice, respectively.
Readers with formal training in the use of statistical techniques will
almost certainly disagree with the authors views somewhere in the book.
For example, Wheeler discourages the use of the exponentially weighted
moving average (EWMA) chart and the cumulative sum chart with the
passion of a zealot. In doing so, the case seems overstated if not mislead-
ing. The interested reader can find a preview of the EWMA discussion
TECHNOMETRICS, AUGUST 1996, VOL. 38, NO. 3
in Wheeler (1995), which essentially reproduces a section of this text. A
response to Wheeler (1995) may be found in Hunter (1995). An additional
review of the book is provided by Lovelace (1996).
This book serves two important functions. First, it provides practition-
ers an excellent source of practical advice on the use of control charts
for process improvements. Second, statisticians who carefully consider
Wheelers arguments will be forced to carefully consider the usefulness
of sophisticated stochastic models. The result will be a clearer distinc-
tion between topics that are theoretically interesting and topics that are of
practical value. I would recommend this book to anyone interested in the
application of statistical process control techniques.
Benjamin M. ADAMS
University of Alabama
REFERENCES
Hunter, J. S. (1995). Mini Paper: Just What Does an EWMA Do? (Part
2): ASQC Statistics Division Newsletter, 16. 4-12.
Lovelace, C. R. (1996) Book Reviews: Advanced Topics in Statistical
Process Control: The Power of Shewharts Charts, Journd of Qua1it.y
Technology, 28, 127.
Wheeler, D. J. (1995) Mini Paper: Just What Does an EWMA Do?
ASQC Statistics Division Newsletter, 15, 6-l 3.
Wheeler, D. J., and Chambers, D. S. (1992), Undersrandirtg Stutisticul
Process Control (2nd ed.), Knoxville, TN: SPC Press.
Engineering Methods for Robust Product Design,
by William Y. FOWLKES and Clyde M. CREVELING,
Reading MA: Addison-Wesley, 1995, xxiv + 403
pp. + disk, $58.05.
Robust (or parameter) design is a statistical approach used to determine
control factor settings that result in the minimum sensitivity of a qual-
ity characteristic (response variable) to noise. Noise refers to factors that
cannot be eliminated or controlled in a manufacturing and customer-use
environment. Genichi Taguchi proposed that parameter design is a cost-
effective approach for reducing variation in products and processes (Nair
1992).
Although this book focuses on the Taguchi philosophy and methodolo-
gies, the authors recognize the value of traditional statistical approaches
such as central composite designs. This book, therefore, is a valuable ref-
erence for practitioners in various technical fields. The text is extremely
well written and, considering the books complexity, contains very few er-
rors. Paraphrasing George Fisher, Kodaks Chairman, President, and CEO,
who endorsed the book, basic principles and advanced techniques of ro-
bust design are presented using case studies to reinforce understanding
and application.
The authors place Taguchis approach in thoughtful perspective. They
correctly state that traditional approaches to designed experiments are use-
ful to collect, analyze, and acquire knowledge from observed phenomena.
Taguchi methods are more efficient for optimization and characterization
of design quality. Indeed, many investigators claim that the ultimate ob-
jective of robust design is to find control-factor settings that minimize the
effects of noise (Coleman and Montgomery 1993). Many successes in the
mechanical and electrical fields, amply illustrated with examples from the
signs goal is to achieve robust function without necessarily understand-
ing the mechanics of how things happen. Although the authors present
a parameter design process to achieve this goal, they also emphasize the
importance of engineering knowledge.
An important tenet of the Taguchi approach to robust design is to en-
gineer a system so that the control factors are additive. Such systems, in
Taguchis view, are easier to optimize for robustness. A log transform of
a quality characteristic into a signal-to-noise ratio (S/N) is a mathemat-
ical approach to make this quality characteristic less sensitive to factor
interactions.
This tenet, however, has provoked much controversy. The authors argue
that, if interactions are not examined, more degrees of freedom are avail-
able for additional control factors. Would you rather spend your precious
degrees of freedom (experimental dollars) on control factor inleractions or
on opportunities available from additional control factors? They concede,