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Int. J. Sustainable Manufacturing, Vol. 1, Nos.

1/2, 2008

A review of surface integrity in machining and its

impact on functional performance and life of
machined products
R. MSaoubi*
Seco Tools AB, Fagersta, Sweden
*Corresponding author

J.C. Outeiro
Faculty of Engineering,
Portuguese Catholic University,
Lisbon, Portugal

H. Chandrasekaran
Corrosion and Metals Research Institute (KIMAB),
Stockholm, Sweden

O.W. Dillon Jr. and I.S. Jawahir

Department of Mechanical Engineering,
Machining Research Laboratory,
Center for Manufacturing,
University of Kentucky, USA
Abstract: This paper presents an overview of the past research on Surface
Integrity (SI) studies in the context of machined components from a range of
work materials including stainless steels, Ni and Ti alloys, hardened steels for
dies and moulds, bearings and automotive applications. Typical surface
alterations such as phase transformations, microhardness and residual stress are
discussed and correlated with the functional performance of the machined
products. A summary of past and current modelling efforts is then presented
along with projections for developing predictive models for SI and means for
enhancing product sustainability in terms of its functional performance.
Keywords: Surface Integrity; SI; residual stresses; fatigue life; product life.
Reference to this paper should be made as follows: MSaoubi, R.,
Outeiro, J.C., Chandrasekaran, H., Dillon Jr., O.W. and Jawahir, I.S. (2008)
A review of surface integrity in machining and its impact on functional
performance and life of machined products, Int. J. Sustainable Manufacturing,
Vol. 1, Nos. 1/2, pp.203236.
Copyright 2008 Inderscience Enterprises Ltd.



R. MSaoubi et al.
Biographical notes: R. MSaoubi is an associate member of the International
Academy of Production Engineering (CIRP), received his Ph.D. in Materials
Science and Engineering in 1998 at Ecole Nationale Suprieure DArts
et Mtiers (ENSAM) in Paris, France. He joined the Swedish Institute for
Metals Research (SIMR, Stockholm) in 1998 where he conducted research
projects in cooperation with cutting tool manufacturers and steel companies.
He is now employed since 2006 as a Senior Research Scientist at Seco Tools
AB in Sweden. His main research interest is the investigation of material
aspects in machining processes including surface integrity, tool wear and
machining performance.
J.C. Outeiro is a Professor in the Portuguese Catholic University (UCP) since
1995. He received his PhD in Manufacturing Engineering from the University
of Coimbra (Portugal) in 2003. He develops research activities at UCP and at
the X-ray Center for Materials Research of the University of Coimbra and has
been involved in several machining projects in cooperation with Academic
and Industrial partners in Europe and USA. His main research interest
is the optimisation of machining operations with special emphasis on the
quality of the machined components. His work is published in several
peer-reviewed scientific journals and conference proceedings on machining
related research topics.
H. Chandrasekaran is a fellow of the International Academy of Production
Engineering (CIRP), has been active in the field of machining and
manufacturing research for the past 4 decades. After successful career as an
academic in the 1970s (Professor, Indian Institute of Technology Madras)
he has been working at Swerea KIMAB (formerly Swedish Institute for Metals
Research) in Stockholm, Sweden for the past 25 years. Material behaviour in
machining and its prediction and innovative tool evaluation methods are the
research focus here, carried out in close cooperation with international tool and
steel companies and end users.
O.W. Dillon joined the University of Kentucky in 1965 after serving as a
faculty in Princeton and Johns Hopkins Universities. At the University of
Kentucky, he served in various capacities such as Associate Professor,
Professor and Chairman of the Department of Engineering Mechanics. In 1988,
he joined the National Science Foundation as a Program Director for the Solid
Mechanics Program. Since 1997, he is back at the University of Kentucky and
serves as Professor Emeritus (Mechanical Engineering) conducting research at
the UK Center for Manufacturing in modelling of manufacturing processes,
focusing on finite element models for machining processes.
I.S. Jawahir is a Professor of Mechanical Engineering and James F. Hardymon
Endowed Chair in Manufacturing Systems at the University of Kentucky,
Lexington, KY, USA. He received PhD from the University of New South
Wales (Australia) in 1986, has published over 160 research papers in refereed
journals and conference proceedings. His current research includes modelling
and optimisation of machining operations and sustainable manufacturing. He is
a Fellow of the International Academy of Production Engineering (CIRP) and a
member of ASME, NAMRI/SME. He is the Chairman of the ASME Research
Committee on Sustainable Products and Processes.

A review of surface integrity in machining



It is well acknowledged that the functional performance of a manufactured component is

heavily influenced by the quality and reliability of the surface produced both in terms of
topography (DeVries et al., 1976; Novovic et al., 2004) as well as metallurgical and
mechanical state of the subsurface layers (Field and Kahles, 1964). Efforts have been
made by several investigators in the past few decades to investigate the relationships
among the machining process parameters, the nature of the surface alterations produced
and their effect on products functional performance. The driving force behind this has
been the constant need to address the growing demand on component performance,
reliability and durability, thereby stimulating the development of materials with enhanced
resistance to severe loading conditions and aggressive environment, together with the
development of high-performance manufacturing methods.
Henriksen was amongst the first to investigate and study the residual stresses
developed in machining (Henriksen, 1951). He suggested that a bending action develops
when materials deform over the cutting edge, and showed this as the cause for the
formation of a thin plastically deformed layer of material beneath the newly machined
surface. Experimental methods for determining the residual stresses were shown by
Colwell et al. (1955). The pioneering work of Field and his co-workers at Metcut
(Cincinnati, OH, USA), through a series of publications, made a significant
contribution on the subject setting the stage for future work (Field and Kahles, 1964,
1971; Field et al., 1972). They were indeed the first to introduce the concept of
SI by means of defining the inherent or enhanced condition of a surface produced
in machining or other surface generation operation (Field and Kahles, 1964).
Their subsequent comprehensive review of surface integrity issues that are encountered
in machined components was among the first in the published literature (Field and
Kahles, 1971), and this work emphasised the nature of metallurgical alterations occurring
in the surface and subsurface layers of various alloys from conventional and nonconventional machining processes. Typical surface alterations were termed as plastic
deformation, microcracking, phase transformations, microhardness, tears and laps related
to built-up edge formation, residual stress distribution, etc. They later provided a detailed
description of measuring methods available for SI inspection (Field et al., 1972), and
presented an experimental procedure for assessing SI parameters. Their methodology
specifies the use of three different levels of SI data sets to study and evaluate the
characteristic features of machined surfaces (Table 1). Their groundbreaking
achievements on the subject have contributed to a worldwide recognition and timeless
value to this discipline leading to the subsequent establishment of an American National
Standard on SI (ANSI B211.1, 1986).
Researchers at Purdue University studied the basic mechanism of surface and
subsurface layer formation in machining with sharp and worn (at the flank surface) tools
using analytical and experimental methods (Liu and Barash, 1976a, 1976b, 1982).
In a subsequent work, they showed the effects of work material hardness on SI in
machining of AISI 4340 steel (Matsumoto et al., 1986). Significant studies on material
properties and SI and metallurgical transformations in machining were conducted
contemporarily at the North Carolina State University in the 1970s on a range of work
materials (Bailey and Jeelani, 1974, 1975; Bailey et al., 1976). Subsequent work by on
residual stress analysis brought out a deeper understanding of the fundamental variables
affecting SI in machining and its link to fatigue life in ferrous and non-ferrous materials


R. MSaoubi et al.

(Jeelani and Bailey, 1986; Jeelani et al., 1986; Sadat and Bailey, 1986; Sadat, 1987;
Sadat and Reddy, 1992).
Table 1

Different levels of Surface Integrity (SI) data set

Minimum SI data set

Surface finish
Macrostructure (10X or less)
Macroetch indications
Plastic deformation
Phase transformation
Intergranular attack
Pits, tears, laps, protrusions
Built-up edge
Melted and redeposited layers
Selective etching

Standard SI data set

Minimum SI data set
Fatigue tests (screening)

Extended SI data set

Standard SI data set
Fatigue tests (extended to
obtain design data)
Stress corrosion tests
Additional mechanical tests
Residual stress and distortion Tensile
Stress rupture
Other specific tests
(e.g., bearing performance,
sliding friction evaluation,
sealing properties of

Source: Field et al. (1972)

The development of new and advanced SI measurement methods received increased

attention in many investigations striving to reassess SI parameters in various machining
applications. Examples of this can be found in several notable CIRP publications
summarising the progress in SI assessment of machined surfaces (Tnshoff and
Brinksmeier, 1980; Brinksmeier et al., 1982, 1984; Brinksmeier, 1985a, 1985b; Lucca
et al., 1998). Also, a series of significant work on residual stress measurements, analysis
and enhanced performance with burnishing, thermal distortion in gas turbine engine
components, etc., has been reported by Prevey et al. (Prevey, 1977, 1986, 1998; Prevy
and Cammett, 2004; Prevey et al., 1996, 1998). A recent monograph by Griffith provides
a comprehensive analysis of SI parameters and their control for enhanced fatigue life
(Griffith, 2001).
A growing concern in the aerospace, automotive and biomedical industrial segments
of the manufacturing industry is to build in absolute reliability with maximum safety and
predictability of the performance of all machined components. This requires development
and deployment of predictive models for the functional performance of machined
components including the prediction of fatigue life and other service life parameters.
Developing analytical, numerical and experimental models for residual stresses has
been a major focus area for over the last 10 years, with much of the models
developed being finite element-based numerical, still requiring accurate material property
data and involving several simplistic assumptions. Also, the connection between the
machining-induced residual stresses and the fatigue life of the machined components is
not well established in predictive mode owing to complexity of the process variables and
the geometric attributes involved in the machining processes, all requiring refinements,
greater accuracies and consistencies for use in any predictive model. More recently,
Sasahara et al. (2004) and Sasahara (2005) have shown the strong connection between the

A review of surface integrity in machining


residual stresses induced by machining and the resulting fatigue life of the product.
While more work is urged for developing quantitative relationships for use in predictive
models, recent attempts are most welcome in this regard.
This paper provides an overview of some key SI issues that are encountered
in different machining operations, rather than giving an exhaustive review of the
subject of SI. Emphasis is made here on machining operations involving geometrically
defined cutting edges (e.g., turning, milling, etc.) where case studies from different
applications are brought in to illustrate a particular SI aspect in a variety of
applications, i.e., aerospace, chemical, and power generation industry groups, as well
as the automotive industry. The paper covers SI issues involved in machining of
difficult-to-machine alloys for aerospace and nuclear applications such as nickel-based
alloys, titanium-based alloys, austenitic stainless steels, along with hardened steels for

die and mould making applications, including Plastform steels, hot and cold worked

bearing and automotive applications.

At the end, a section on current state-of-the-art in modelling of SI and predictive

modelling is presented with a future outlook.

Machining of difficult-to-machine alloys for aerospace and nuclear


The difficult-to-machine alloys are a group of alloys that require higher cutting energy
when compared with low-strength alloys (e.g., plain carbon steel). This group
includes several alloys used for aerospace and nuclear applications, which can be
classified into three major categories: nickel-based alloys (e.g., Inconel), iron-based
alloys (e.g., austenitic stainless steels) and titanium-based alloys. As metal cutting
is the purposeful fracture of the layer to be removed, not only the strength of the work
material but also the strain at fracture should be considered. The product of these two
mechanical characteristics indicates the energy that has to be spent in fracturing a unit
volume of the work material, allowing chip formation. Because of high strength and
fracture strain of such alloys, high cutting forces and heat are generated during their
machining. Most of the energy in the cutting process is largely converted into heat.
This heat is generated by plastic deformation and friction at the toolchip and the
toolworkpiece interfaces. The high heat generated when combined with the low thermal
conductivity of these alloys (about 30% of the plain carbon steel) will produce high
localised temperatures. As shown in Figure 1, the temperature obtained when machining
an austenitic stainless steel (AISI 316L steel) is higher than that obtained when
machining carbon steel (AISI 1045 steel) (Outeiro et al., 2004), for the same cutting
conditions. These temperatures are particularly high at the toolchip interface, which
together with the high contact stress at this interface will cause rapid tool wear and tool
failure during machining of such alloys. Moreover, these high cutting forces and high
localised temperatures may dramatically affect the SI, often resulting in the development
of high tensile residual stresses in the machined surfaces (MSaoubi et al., 1999).

Figure 1

R. MSaoubi et al.
Temperature distribution developed in turning of (a) AISI 316L and (b) AISI 1045
Steels, measured by infrared thermography (vc = 75 m/min, f = 0.05 mm/rev,
ap = 5 mm, dry cutting)

Source: Outeiro et al. (2004)


2.1 Nickel-based alloys

The nickel-based superalloys are heat-resistant alloys with high melting temperatures.
The ability to retain high mechanical and chemical properties at elevated temperatures
makes these superalloys an ideal material for use in land-based power generators
and aerospace aero-engine components. About 50 wt% of all aero-engine alloys are
nickel-based alloys (Miller, 1996). Both stationary and rotating components in the hot
section of aero-engine (in particular, the turbine discs) are manufactured using
nickel-based superalloys. These alloys should be able to stand cyclic loading conditions
(fatigue) under very high operating temperatures (around 800C in the jet engine).
Components produced with a nickel-based superalloy are smaller and lighter than those
made from conventional steel. This results in significant fuel savings and reduction in
pollution. It has been shown that each kilogram of weight reduction typically results in a
US$ 150,000 savings in fuel cost over the life of the engine (Ezugwu, 2005). However,
nickel-based superalloys are also used for other applications such as marine equipment,
nuclear reactors, petrochemical plants, food processing equipment, and pollution control
apparatus. They are generally used in aggressive environments because of their ability to
maintain high resistance to corrosion, mechanical and thermal fatigue, mechanical and
thermal shock, creep and erosion at elevated temperatures.
Inconel 718 superalloy is one of the nickel-based superalloys mostly used in
manufacturing of aero-engine components of the hot section, shown as 35% of all
productions (Loria, 1988). This alloy is often used in a solution-treated and aged
condition (Bradley, 1989). This heat treatment results in a microstructure of large
grains containing a precipitated phase ( phase), and a heavy concentration of carbides
at the grain boundaries. The difficulty of dislocation motion through this microstructure
is responsible for the high tensile and yield strength of the material. Moreover,
Inconel 718 alloy is a highly strain-rate sensitive material, which work-hardens
considerably. Therefore, Inconel 718 alloy is a very difficult-to-cut material. The most

A review of surface integrity in machining


critical issues in machining this Inconel alloy (and in general any nickel-based alloy) are
often associated with short-tool life and poor SI.
Several SI problems that exist after machining nickel-based superalloys are
reported in the literature, including surface tearing, cavities, cracking, metallurgical
transformation, plastic deformation, increased microhardness, increased surface
roughness and the formation of tensile residual stresses (Arunachalam et al., 2004a,
2004b; Ezugwu et al., 1999; Sadat, 1987; Sharman et al., 2006; Schlauer et al., 2002;
Dudzinski et al., 2004). High tensile residual stress levels (sometimes reaching more than
1000 MPa at the components surface see Figure 2), large thickness of the tensile layer,
high work-hardening levels and increased thickness of the work-hardened layer are found
after machining the Inconel superalloys. Such high tensile residual stress levels enhance
the ability of cracks to nucleate and grow, thereby decreasing the components fatigue
life, and may cause serious accidents (for example, the failure of a turbine disc of a jet
engine). Moreover, because of residual stress distribution generated by machining
operations combined with those stresses generated by previous manufacturing process,
dimensional instability (distortion) can occur after machining. Subhas et al. (2000a,
2000b) found the Inconel 718 more prone to dimensional instability than the titanium
alloys, although the latter has a lower modulus of elasticity. According to them, this
phenomenon was not noticed in other nickel-based alloys and may be due to the presence
of phase. This poses enormous problems in structural assembly, as this affects the
structural integrity of the whole assembly.
The above-listed defects are more or less significant depending on the utilised cutting
tool (geometry and material) and associated cutting regime parameters (cutting speed,
feed and depth of cut), as well as the cooling/lubricant conditions used.
Figure 2

In-depth profiles of the residual stresses generated in orthogonal cutting

of Inconel 690 alloy with uncoated cemented carbide cutting tools

Source: Outeiro et al. (2007)

Several cutting tools have been used to machine nickel-based alloys, such as
uncoated cemented carbide (WC, with micro carbide grain size and low cobalt content),
coated cemented carbide (multi-layer coatings, including TiN, TiAlN, Al2O3 and MoS2),
ceramics, CBN, PCBN, and PCD (Dudzinski et al., 2004; Sharman et al., 2006;
Arunachalam et al., 2004a, 2004b). The uncoated carbide cutting tools have been used at


R. MSaoubi et al.

low cutting speeds (up to 5060 m/min). In such conditions, the workpiece surface
damage (in the form of surface tearing, cavities, cracking, etc.) frequently occurs
(Sadat and Reddy, 1992, 1993). These surface defects are also shown to be reduced when
the cutting speed is increased, under controllable tool-wear conditions. However, the
magnitude of tensile residual stresses at the machined surface seems to be low (and
compressive residual stresses are sometimes obtained) at low cutting speeds, and
increasing at high cutting speeds. This can be due to the significant increase in tool wear
(Sadat and Reddy, 1992, 1993). The use of coolants seems to reduce the magnitude of the
residual stresses at the machined surface and surface roughness (Gorsler, 1985).
Compared with uncoated cemented carbide cutting tools, higher cutting speeds (up to
100 m/min) are used when machining with coated cemented carbide, and with
PCBN/CBN and ceramic cutting tools used for the cutting speed range of 200700 m/min
(Dudzinski et al., 2004). Increasing the cutting speed increases the heat generated, thus a
large amount of heat will be generated in the workpiece, particularly in machining with
coated cemented carbide and ceramic tools owing to their low thermal conductivity, and
this would affect the SI dramatically. For this reason, higher tensile residual stress levels
are usually found after machining of Inconel alloys using coated carbide and ceramic
cutting tools when compared with those residual stresses generated in machining with
uncoated cemented carbide cutting tools at low cutting speeds (Sharman et al., 2006;
Arunachalam et al., 2004a, 2004b).
From the whole range of cutting tools, the ceramic cutting tools seem to generate the
highest residual stress levels owing to the very high cutting speed and dry cutting
conditions associated with machining using such cutting tools (Arunachalam et al.,
2004a). Taricco (1995) concluded that although ceramic cutting tools are attractive for
cost reduction, they have been excluded from finishing operations on flight safety parts
because of the formation of tensile residual stresses of a much larger magnitude
(sometime twice) when compared with uncoated cemented carbide cutting tools. As a
consequence, uncoated cemented carbide cutting tools are widely used in finishing
operations of critical components in nickel-based alloys owing to concerns about the
residual stresses produced with other tool materials and their associated operating
parameters (Arunachalam and Mannan, 2000).

2.2 Iron-based alloys: austenitic stainless steels

The austenitic stainless steels are widely used to produce critical structural components in
chemical industries and nuclear power stations because they provide a unique
combination of high mechanical properties and corrosion resistance. In the case of the
nuclear industry, they are extensively used in the primary circuit of Fast Breeder Reactors
(FBR), in manufacturing components such as main vessel, inner vessel, heat exchangers,
control rod drives, and piping. As the normal operation temperature of the FBR is about
650C, it is very important to determine the role of residual stresses in the deformation
and the fracture process to estimate the components life span.
Austenitic stainless steels are considered as difficult-to-machine materials because of
their low thermal conductivity, and high mechanical and microstructural sensitivity to
strain and stress-rate. They exhibit severe work hardening during the chip formation
process when compared with low alloy steels (Figure 3), which induces mechanical
modifications and behaviour heterogeneity on the machined surface, and this leads to
unstable chip formation and vibrations. Their low thermal conductivity also leads to heat

A review of surface integrity in machining


concentration in the cutting zone resulting in high localised interfacial temperatures.

As a result, the machining of such steels when compared with machining of plain carbon
steels (see Figure 4) may induce:

higher residual stress levels

larger thickness of the tensile layer

high work-hardening rate

larger thickness of the work-hardened layer.

Figure 3

Work-hardening severity associated with the chip formation process for single
and two-phase steels

Source: MSaoubi and Chandrasekaran (2004)

Figure 4

In-depth profiles of the residual stresses generated in turning of 316L steel

and 1045 steel with coated cemented carbide cutting tools

Source: Outeiro et al. (2006a)

2.3 Titanium-based alloys

The titanium-based alloys are used in a wide range of applications, including
aerospace/aeronautic, power generation, automotive, and in biomedical industries.
The aerospace/aeronautic industry is probably the biggest consumer of these materials


R. MSaoubi et al.

owing to the combination of low density (about 50% of the nickel-based alloys), high
strength at high temperatures, high corrosion and creep resistance properties. Therefore,
these alloys are suitable for manufacturing various airframe and engine components
(fan blades, compressor blades and discs, stator vanes, inlet and outlet guide vanes, etc.).
In particular, the efficiency of aero-engines is directly related to the static and dynamic
masses. The reduction in these masses by using lightweight materials, such as
titanium-based alloys, results in lower fuel consumption, thus increasing the efficiency.
Two classes of titanium-based alloys have the largest applications for the
aerospace/aeronautic industry: the traditional titanium alloys, which include the
Ti-6Al-4V, and the advanced titanium intermetallic alloys, which includes the gamma
titanium aluminides ( - TiAl) and the orthorhombic phase Ti2Nb (Aspinwall et al.,
2005). There is an increasing interest from the aero-engine manufactures to use the
titanium aluminides for the manufacture of aero-engine components, although there are
as yet no engines using this material for products in commercial or military applications
(Aspinwall et al., 2005). These intermetallic alloys are the potential candidates to replace
the traditional aero-engine alloys such as the Inconel 718 and the Ti-6Al-4V (Mantle and
Aspinwall, 1997). The lower density of these intermetallic alloys when compared with
the nickel-based superalloys, and its ability to operate at temperatures up to 200C higher
than the traditional titanium alloys, are their main advantages (Mantle and Aspinwall,
1997). Unfortunately, the main drawback of the - TiAl is their low ductility (less than
2% at room temperature) and low fracture toughness (~20 MPa.m1/2), and high crack
grow rates, which are probably the main cause of some surface defects found after
The titanium-based alloys are also difficult-to-machine materials owing to their high
strength, low thermal conductivity and strong chemical reactivity (Rahman et al., 2003).
In particular, - TiAl is, in general, more difficult-to-machine than the standard titanium
alloys, resulting in an extremely short tool-life (Mantle and Aspinwall, 2001).
As a consequence, the machining productivity is low, the production cost is high, and the
SI can also be very poor. Concerning the SI issues, several surface alterations resulting
from machining operations are reported in the literature (Mantle and Aspinwall, 1997,
2001; Sharman et al., 2001; Che-Haron and Jawaid, 2005), which include material
pullout, deformed lamellae/surface drag, cavities, cracking, surface roughness and
hardness and residual stress changes.
Aspinwall and co-workers (Mantle and Aspinwall, 1997, 2001; Sharman et al., 2001;
Aspinwall et al., 2005) conducted extensive studies on SI when machining - TiAl
alloys. They have shown that surface deterioration in the form of material pullout,
deformed surface drag, cavities, and cracking are particularly evident when machining
with worn cutting tools (Mantle and Aspinwall, 2001). However, such surface
deterioration was found even when applying fine finishing machining conditions,
although a reduction in the size and population of such defects is observed (Mantle and
Aspinwall, 1997; Sharman et al., 2001). Moreover, no noticeable improvements were
detected when applying high-pressure cutting fluids. Concerning the surface hardness,
Mantle and Aspinwall (2001) reported an increase of around 50% in workpiece surface
hardness to a depth of 300 m, when milling - TiAl using coated cemented carbide
tools. Surprisingly, in literature, most of the residual stresses induced by machining
titanium-based alloys are compressive in nature, reaching in some cases values greater
than 1000 MPa (Mantle and Aspinwall, 2001; Sharman et al., 2001; Sridhar et al., 2003;
Vosough et al., 2005). Mantle and Aspinwall (2001) found that the tool flank wear and

A review of surface integrity in machining


the cutting speed have the greatest effects on residual stresses induced by milling - TiAl
using coated cemented carbide tools. Increasing the cutting speed decreases the level of
compressive residual stresses, increasing the tool flank wear increases the level of
compressive residual stresses. According to Sharman et al. (2001), these high
compressive residual stress levels are the main reasons responsible for the longer fatigue
life of the turned specimens when compared with the neutral or tensile residual stresses
found in Electro-Chemical Machined (ECM) and Electro-Discharged Textured (EDT)
specimens (see Figure 5).
Figure 5

SN curves for turned, ECM and EDT specimens

Source: Sharman et al. (2001)

Machining of hardened steels

3.1 Die and mould applications

Among engineering components, tools for die and mould making are characterised by
specific geometric and SI requirements. Complex shapes/local geometry and associated
tolerances, as well as very high surface finish, often requiring polishing, are common.
Further, depending on the application, such as die-casting mould or hot- or cold-working
tool, surface and sub-surface microstructure and stress state also become critical to
withstand operational wear and thermo-mechanical loading cycles. Traditionally, rough
and finish milling followed by heat treatment, grinding and/or polishing, sometimes also
followed by specific surface treatment/coating, is the traditional manufacturing path for
such tooling components. In other words, both in terms of machining and finishing
operations, as well as the SI requirements, the production of components for die and tool
making is a costly manufacturing operation.
In an attempt to reduce the cost through the elimination of one or more manufacturing
steps such as grinding and/or polishing, continuous development is taking place
in the steel material for tooling, namely type P20 for plastform applications, type H13 for
hot-working applications, and type D2 for cold-working applications. Developments in
cutting tools also follow this trend, and there are no technical tooling problems in most
cases for milling die and tool steels over a wide range of hardness (300650 HV30).
Economic manufacturing solutions to produce die and tool components using only
machining is, however, a challenge, but the application areas are widening. Partly, this is


R. MSaoubi et al.

due to developments in the steel-making industry (pre-hardened plate steel through

continuous casting and inclusion refinement as in ESR-treated steels) and cutting tool
development (superior-coated carbides and PCBN-based tools) as recently reported
(Chandrasekaran and MSaoubi, 2006).
We briefly review the current status of hard milling of mainly steels (300650 HV30)
with the focus on the SI aspects. As mentioned earlier, we shall look into three groups of
materials, namely plastform type P20 steels (Umino et al., 2004; Persson and
Chandrasekaran, 2002; Ghanem et al., 2002; Rahman et al., 2002), hot-working type H13
steels (Umino et al., 2003; Fujii and Matsuda, 2003; Mativenga and Hon, 2003; Axinte
and Dewes, 2002; Chandrasekaran et al., 2005) and cold-working D2 type steels (Rao
and Shin, 2001; Becze et al., 2000), respectively, with decreasing application potential
for hard milling today. The indicated reservation as we go from 300 HV30 to 650 HV30
in hardness is both due to technical problems of viable tool life as well as SI. Better SI
results with hard turning of D2 are available than for hard milling. Harder materials are
generally more sensitive to surface and subsurface inhomogeneities as we shall see
during the course of this review.
Among the many SI parameters used, the surface finish (Ra) is the most reported,
followed by microstructure (qualitative), sub-surface hardness distribution and finally the
residual stress distribution. Except the first parameter, all others require greater effort and
the residual stress measurement is a complex one. Some of the problems of residual stress
measurement in operations such as milling and the accuracy of the measuring techniques
are discussed in the work of Chevrier et al. (2003).

3.1.1 Plastform steels

In practice, P20, a typical low alloyed steel, includes a number of steels produced by
conventional or ingot cast, pressure cast and continuous casting operations. Generally,
these materials have a martensitic structure. The later variants are available in the
pre-hardened state (300400 HV30) and thus, could easily be milled directly to the
required shape. With appropriate tooling, 300 HV30 could be milled at high speeds
(>300 m/min) that are comparable with low-speed aluminium milling. Since small
round-nosed end mills are the mainstay, high spindle speeds and appropriate NC path
generating programmes are essential.
Studies related to other factors such as effect of tool coatings and cutting fluid are
reported in recent publications (Ghanem et al., 2002; Rahman et al., 2002). Ghanem et al.
(2002) have investigated the role of structure and residual stress state in two operations,
namely hard milling and EDM of a tool steel (SAEJ438b at 30 HRc). Three-point
bending fatigue tests of the notched specimens revealed a loss of 35% in fatigue
endurance in the case of EDM (see Figure 6). In spite of the rather low cutting regime
(4 mm diameter HSS cutter at V = 30 m/min and f = 0.05 mm/rev) in milling in this test,
the effects of residual stress (300 MPa in milling and + 750 MPa in EDM) are obvious.
Mircostructural and surface hardness (HV0,1: 1000 in EDM to 460 after milling) changes
also support the above results, although no effort was made to separate the individual
effects on fatigue endurance.

A review of surface integrity in machining

Figure 6


Influence of machining on fatigue life (three-point bending of notched specimen)

Source: Ghanem et al. (2002)

The effect of MQL coolant mist in milling ASSAB 718HH steel (35 HRc) using uncoated
P20 tool inserts indicate that along with usual positive effects of speed and feed, depth of
cut appears to have a stronger effect on surface finish produced (Rahman et al., 2002).

3.1.2 H13: Hot working steels

End-milling machinability of hot worked die steel in the hardness range of 3943 HRc
using PVD coated (TiCN) carbide inserts recently been reported (Umino et al., 2003)
clearly shows machinability improvement (> an order of magnitude) with increasing
Si content (0.11.6%) at constant speed of V = 100 m/min. In this study, S level was low
at ~ 0.002%. Reduction in chip adhesion with increasing Si content is indicated as the
main cause for machinability improvement, but a corresponding effect on SI was not
investigated. Fujii and Matsuda (2003) studied end milling of hot worked die steels
(type 5% Cr3% Mo) in the hardness range of 3550 HRc using uncoated carbide tools at
a constant cutting speed of V = 100 m/min. The Si content of the steels varied from 0.1%
to 1.01%. At low hardness, an improvement of more than an order of magnitude in tool
path was seen. Some evidence for a reduction in cutting forces with increasing Si was
also seen. Finish ball nose milling of H13 (40 HRc) (V = 200800 m/min,
f = 0.05 mm/rev and ap = 0.05 mm) using 6 mm diameter coated carbide tools
(TiN, TiCN, TiAlN, 2TiAlN and TiAlN + WC/C coatings) have been reported by
Mativenga and Hon (2003). Also, they compared different coatings according to the
surface finish produced (Figure 7). No other information on SI was reported.

Figure 7

R. MSaoubi et al.
Surface roughness in the direction of tool stepover for conventional to HSM of H13 tool
steel for different PVD coatings

Source: Mativenga and Hon (2003)

Another work of interest is devoted to the parametric modelling of the surface finish and
residual stress when milling H13 steel (4749 HRc) using 6 mm diameter TiAlN-coated
solid carbide ball nose end mills (Axinte and Dewes, 2002). Using the two levels of
parameters V, f, path length L and cutter-axis tilt angle, , the analyses of variance
approach were utilised to map surface finish Ra and residual stress. Typical results for
Ra and the largest residual stress component are shown in Figure 8. The cutting
conditions for best surface finish (Ra = 12 mm) and highest (300 to 600 MPa) residual
stress did not coincide, and hence, the pseudo-optimal cutting conditions have been
proposed with constant tilt angle. Other researchers have not observed any
microstructural change or loss in hardness. The status of SI at the end of tool-life is not
Figure 8

The 2D response surface for the output parameter Ra and residual stress (MPa)
are shown in (a) and (b), respectively


A review of surface integrity in machining

Figure 8


The 2D response surface for the output parameter Ra and residual stress (MPa)
are shown in (a) and (b), respectively (continued)

Source: Axinte and Dewes (2002)

Detailed information about SI parameters in cavity milling of H13 is available in recently

published work (Chandrasekaran et al., 2005; Marques et al., 2006). Here, the role of
material microstructure (effect of inclusion content and special additives), cutting tools
(coated carbide and PCBN) and cutting conditions including tool-wear on surface finish
and sub-surface residual stress profile were systematically mapped in face milling (cutter
diameter of 43 mm). Roughing (V = 160250 m/min, f = 0.1 mm/rev and ap = 0.8 mm)
with coated carbide tools and semi-finishing with coated carbide tools (V = 50 m/min), as
well as with PCBN tools (V = 600 m/min) was investigated. A typical residual stress
profile in H13 steel and the effect of tool-wear is shown in Figure 9.
Figure 9

Effect of tool wear on residual stress profile in milling of H13 steel coated carbide;
V = 80 m/min, f = 0.15 mm/rev and ap = 0.8 mm: (a) new tool, T = 0.6 min and
(b) worn tool, T = 40.06 min

Source: Chandrasekaran et al. (2005)



R. MSaoubi et al.

While the chip contact surface displayed a white layer for some cutting conditions, this
was not seen on the milled surface. Further, measured residual stresses appear
to be compressive for most of the cutting conditions and the sub-surface stress profile
was affected only marginally by the cutting speed. The sub-surface hardness profile
appears to follow the results obtained from X-ray diffraction rather well. In the case of
sharp tools, the tool edge configuration (rounded and chamfered geometries) tool
micro-geometry and steel composition also affect the residual stress in that order.
The effect of tool edge configuration appears to be even greater than that of tool material
here. Coated carbide and PCBN of the same geometry (18 m edge radius) produced
comparable residual stress results, while coated carbide grade with a different tool edge
configuration (50 m edge radius) affected the stresses to a greater extent. It is interesting
to note that similar results have been reported previously (Rao and Shin, 2001) regarding
the residual stresses in high speed (V < 1400 m/min) milling of T7075 Al alloy using
coated carbide and PCD tools.

3.1.3 D2: Cold working steels

One aspect of SI, namely surface finish, during the milling of D2 tool steels is reported
previously (Chevrier et al., 2003). During the evaluation of five-axis milling of complex
mould cavity from D2 steel (63 HRc), Becze et al. (2000) have reported some interesting
results showing the effects of complex tool paths on several critical machining issues
such as chip morphology, cutting forces, tool-wear mechanisms, tool-life as well as
surface finish. Reference milling tests (12.7 mm diameter ball end mill) for rough
(V = 101 m/min, f = 0.1 mm/rev) and semi-finishing with coated carbides, and finishing
with PCBN (38.1 mm cutter diameter at V = 350 m/min to 600 m/min, f = 0.1 mm/rev
and ap = 0.5 mm) were carried out. An interesting feature is the variation in surface finish
at different locations of the component as shown in Figure 10. This is indicative of the
problems associated in SI mapping of actual components.
Figure 10 Surface finish from milling in a D2 component

Source: Becze et al. (2000)

A review of surface integrity in machining


SI results from face milling D2 by Chandrasekaran et al. (2005) show that most
conclusions are similar to those focused for H13. However, even a strong change in
composition (reduction in Cr to 8%) did not affect the residual stress profile to any great
extent after milling (Figure 11).
Figure 11 The effect composition of D2 on residual stress profile after finish milling at
V = 650 m/min with PCBN tools

Source: Chandrasekaran et al. (2005)


In general, many studies on the milling of hardened steels for die and mould making are
mostly devoted to machinability covering tool-wear, and cutting forces, marginally on
surface finish, and much less on SI represented through the three classic parameters,
namely, sub-surface microstructure (transformation and white layer, etc.), deformation
state (hardness gradient), and residual stresses. There are a number of reasons for this.
To start with cavity milling, unlike turning in the hardened state involves a multitude of
parameters. In addition to the usual cutting speed and feed, the relative position of the
cutter centre affects tool entry and exit modes, degree of immersion (radial and axial
immersion level), the cutter diameter and the cutter-axis tilt angle, the NC cutter path
programme features such as look-ahead and smoothening mode at corners, etc., also
affect the outcome. In spite of the above problems associated with die milling for P20,
and to a large extent even for H13 grades, a viable tool-life and successful tooling
solutions compatible with very long tool-life (T = 45 min90 min), and consistent surface
quality, appears feasible in mould making. Some, if not all, cavity milling parameters
also seem to affect the SI, but here we have limited information about the effect of all
material parameters. In the case of much harder cold-worked grade such as D2, neither
technical solutions to achieve viable machinability, nor the associated implications on SI
are generally clear.
Another reason for the limited information on SI in hard milling can be related again
to the product. In the case of P20, the very high surface quality (polishability) often
demands a special operation, and some of the surface effects from machining can be
eliminated. Moreover, the operational demands on the material during use (plastic
moulding and to some extent metal injection moulding) are well met by the current P20
alloys. It is in the context of thermal cycling and related performance limitations where
some of the SI parameters become critical. However, if any additional surface
modification to the finished die and tool are planned, then post-machining SI issues
become a critical factor, and our knowledge on these aspects is limited. Another aspect of
SI is the state of residual stresses at the component level, and especially its value at


R. MSaoubi et al.

critical locations with complex tool edge configuration. Experimental measurement of

residual stresses at such locations is difficult, if not impossible. Robust residual stress
models for hard machining combined with component-level FEM modelling could be the
best way out here.

3.2 Hard turning of steels for bearing and automotive applications

Finishing of hardened steel (e.g., through hardened AISI 52100 steel for bearing
applications, and case hardened steel 16MnCr5 for automotive gears and shafts) using
hard turning with super hard cutting tools (PCBN, Ceramics, etc.) has found increasing
interest in recent years in the manufacturing industry. Hard turning is being regarded as
an attractive alternative to traditional finish grinding operations because of the high
flexibility, ability to achieve higher metal removal rates, possibility to operate without the
use of coolants, and the capability to achieve comparable workpiece quality.
A number of investigations have been carried out in the past to assess the level of SI
that could be achieved with hard turning in comparison with grinding. Several examples
of this can be found in the seminal early work of Knig et al. (1984, 1990, 1993) who
also noted that despite several advantages in terms of flexibility, productivity increase
and environmentally friendly production, low acceptance of hard-cutting technology was
encountered in industry. This was explained to some extent by the lack of knowledge
with respect to the components functional performance, and partly by the uncertainty
about attainable accuracies in hard-machined parts produced from the available precision
machine tools used at that time (Knig et al., 1993). However, with the subsequent
development of high-precision turning lathes and PCBN tooling, the industrial relevance
of hard-turning applications has become less formidable as pointed out by a recent survey
of Tnshoff et al. (2000) on cutting of hardened steel. An up-to-date collection of case
studies in hard cutting and grinding processes is available in the recent CIRP paper by
Klocke et al. (2005). Figure 12 shows a qualitative comparison of the capabilities of both
processes in terms of workpiece quality, process flexibility, etc.
Figure 12 Qualitative comparison of the capability of hard cutting and grinding processes

Source: Klocke et al. (2005)

A review of surface integrity in machining


Although these operations are being regarded as competing technologies, it is suggested

that with the advent of multiprocessing strategies in component manufacture, benefits can
be achieved by combining grinding and hard cutting in some applications.
Earlier SI studies in hard turning have focused on the assessment of the effects
of cutting-process parameters, tool geometry and tool-wear on workpiece surface
topography, residual stress and subsurface alteration such as white layer formation.

3.2.1 Residual stress

The effects of tool edge preparation and material hardness on surface residual stress have
been investigated by Thiele et al. (2000) through a finish hard turning study of AISI
52100 steel with PCBN tool inserts. Their results indicate that tools with a large edge
hone radius (~120 m) and a chamfer tool (24.5 m) produces more compressive
residual stresses than small edge hone tools (~20 m). Small edge hone tools produce
low residual tensile stresses for low material hardness (41 HRc), and compressive
residual stress for high hardness (57 HRc). Matsumoto et al. (1999) also reported on the
dominant effect of tool edge geometry on residual stress magnitude and depth when
investigating PCBN hard turning of case carburised steel (5862 HRc). Their results,
summarised in Figure 13, indicate a marginal effect of depth of cut and feed rate on
subsurface residual stress while the effect of edge honing and double chamfer have been
shown to result in greater subsurface penetration and compressive stresses.
Figure 13 Effect of tool edge geometry and cutting parameters on residual stress

Source: Matsumoto et al. (1999)


R. MSaoubi et al.

The influence of tool rake angle, feed rate and depth of cut on residual stresses in PCBN
hard face turning of AIS 52100 was investigated by Dahlman et al. (2004). Their results
indicate that higher compressive stresses are generated by increasing the feed rate and
from the use of a negative rake angle. A summary of previous work on residual stresses
in hard turning was presented in a recent work (Hua et al., 2005), which consolidated the
results of prior investigators in a single table reporting the effect of tool geometry, cutting
process parameters, and material hardness. Results from their own investigation, based on
FEM prediction and experimental residual stress measurement in PCBN hard turning of
AISI 52100, show that an optimal combination of a large-hone edge plus a chamfer at an
aggressive feed rate favours an increase in compressive residual stresses in both axial and
circumferential directions.
Previous investigations on the effects of flank wear (Knig et al., 1990; Tnshoff
et al., 2000) indicate that an increase in flank wear results in a shifting of the surface
residual stress towards tensile stress values. This is illustrated in Figure 14 for hard
turning of case hardened 16MnCr5 steels with PCBN and mixed ceramic tools
(Tnshoff et al., 2000). Also, increasing flank wear shifts the maximum compressive
stress deeper in the subsurface layer.
Figure 14 The effect of flank wear on residual stress

Source: Tnshoff et al. (2000)

3.2.2 White layer formation

It has been pointed that under the circumstance of excessive flank wear or aggressive
cutting conditions, workpiece surfaces produced by hard turning can exhibit surface
alterations that are referred to as white layers (Knig et al., 1990, 1993; Tnshoff et al.,
2000). This denomination is related to their white appearance when examined under light
optical microscopy subsequent to etching. The characteristics of such layers appear to
vary considerably in structure and thickness (from a few tenth of a micron to a few
microns) depending on the operating machining conditions suggesting different
possible mechanisms. As pointed out by Griffiths (1987), white layers can be resulting

A review of surface integrity in machining


from (a) severe plastic deformation and grain refinement, or by (b) phase transformations
as a result of rapid heating and quenching.
Thermally induced martensitic transformation has been suggested as a possible cause
for white layer formation owing to the rapid heating of the workpiece above ( ) phase
transformation temperature and subsequent rapid cooling. This is emphasised in
situations where sufficiently high workpiece temperature may be reached, for example,
in the presence of severe flank wear (Knig et al., 1990; Tnshoff et al., 2000).
Other interpretations (Akcan et al., 2002) rely on severe deformation of the work material
to very large strains as the dominant factor contributing to the formation of these
layers with ultrafine grained or nanocrystalline structures with grain sizes in the range
30500 nm, and also resulting in substantial increase in surface hardness. Results from a
recent investigation of white layers produced by PCBN hard turning of AISI 52100 steel
(Ramesh et al., 2005) seem to conciliate both interpretations by suggesting the occurrence
of martensitic phase transformation at high cutting speeds, while mechanically induced
grain refinement occurred at the low cutting speed owing to severe deformation.
Earlier work by Komanduri et al. were among the first to report about the observation of
white layers in machining of titanium alloys within the serrated chips obtained
(Komanduri et al., 1981; Komanduri, 1982). Shaw and Vyas (1993) showed the role of
material property transformation on saw-tooth chip formation with white layers. Their
subsequent work showed why white layer formation in the chip is beneficial to the chip
formation process and explained the methods of avoiding penetration of white layer into
the finish machined surface to improve SI (Vyas and Shaw, 2000). More recent work by
Poulachon et al. (2005) involving the progressive tool-wear mechanisms in hard turning
with PCBN tools confirms the effects of grain size and the microstructure on the
formation of white layer for a range of work materials including X160CrMoV12
cold-worked steel (AISI D2), X38CrMoV5 hot-worked steel (AISI H11), 35NiCrMo16
high-toughness steel and 100Cr6 bearing steel (AISI 52100). This study was based on
their earlier studies on chip-forms correlating the effects of white layer formation with
serrated chip formation, and the thermo-mechanical properties of the work material and
its constitutive relationships involving the generally conflicting nature of strain-hardening
and thermal softening (Poulachon et al., 2001, 2003). Subsequently, Poulachon et al.
(2007) showed the shear localisation mechanisms and the associated chip morphology
involving saw-tooth chip formation in hard machining of 100Cr6 bearing steel (AISI
52100), using the constitutive models and material property data. Ekinovic et al. (2004)
studied the effects of SI and white layer formation in high-speed milling of hardened
steels, and showed the range of critical speeds and feeds for minimising the adverse
effects of white layer formation on SI.

Predictive models for Surface Integrity (SI) in machining and predictive

performance models for enhancing product performance and life in
machined products

Considerable amount of modelling efforts have been undertaken, and more work is
underway, in many research groups worldwide for predicting machining performance
measures such as tool-wear/tool-life, surface roughness, cutting forces/power/torque,
chip-form/chip breakability, and part accuracy. Also, significant progress has been made
in developing safer and secure operating conditions for machining, selection of


R. MSaoubi et al.

appropriate tooling and accessories such as jigs and fixtures to avoid machining chatter
and vibrations. Predictive models for residual stresses are among the fastest growing
research topics in several research groups owing to its correlation with the fatigue life of
the machined components see Figure 15 (Sasahara, 2005). Since the outlook for
depending on current performance-enhancing techniques such as shot-peening and laser
shock peening for inducing compressive residual stresses to increase the fatigue life
seems to be waning, other means of inducing the most desirable residual stresses on the
machined surfaces through methods such as variations in tool geometry, cutting
conditions, work material property alterations, etc., would hold promise not only because
of their functional ease for implementation, but also because of the significant cost
reduction through such implementation. Therefore, much of the current and future
modelling activities are expected to focus on this, and the industry groups and funding
agencies are expected to increase their funding levels for projects in related fields.
Figure 15 Interaction of axial residual stress and hardness on fatigue life

Source: Sasahara (2005)

This section first summarises the current state-of-the-art in modelling of residual stresses
and other physical and mechanical properties of materials affecting the product life, from
machining operations. Then, a clear connection is shown between the science of product
sustainability and current and future efforts on modelling of predictive performance.

4.1 A summary of modelling efforts and the need for predictive performance
models for machined components
Even though SI is defined by the numerous parameters such as those shown in Table 1,
much of the predictive models developed for over the last two decades have mostly
focused on the residual stresses, and to a much lesser extent on the component distortion.
The need for determining the effects of cutting conditions, tool geometry, and other
process parameters on the residual stresses developed on the machined surfaces has been

A review of surface integrity in machining


the major motivational factor for the significant research effort by the world research
community on modelling of the machining processes for predicting the resulting
machining-induced residual stresses.
Following the earlier work by Jeelani et al. (1986) on investigating the effect of
cutting speed and tool rake angle on the residual stresses developed in machining of
2024-T351 aluminium alloys, several researchers have conducted studies to observe
the effects of cutting conditions: Jacobson et al. (2002a, 2002b) observed in hard turning
of bainitic steel, the residual stress decreasing first and then increasing after reaching
an optimal level, when increasing the cutting speed and explained the opposing
nature of increasing strain-hardening at modest increase in cutting speeds, and the
high-temperature-induced tensile residual stress development at much higher cutting
speeds. They also showed a similar trend in the measured surface roughness first
decreasing and then increasing after reaching a critical cutting speed. Capello (2005)
showed the effects of feed rate, tool nose radius, depth of cut and cutting edge angle on
the axial residual stresses developed in turning, and developed a regression analysis to
include these variables. Jacobus et al. (2001) developed an extended 2-D model for
turning, included the effects of feed and depth of cut and validated it. El-Axir (2002)
proposed empirical equations postulating the dependence of residual stress profile and the
depth of residual stress distribution as functions of the machining parameters using
polynomial functions.
The computational methods such as numerical modelling using finite element
methods have in recent times given the most needed boost to the simulation and
predicting capabilities, despite the questions surrounding the validity of the various
assumptions made and the material constitutive relationships being incorporated in these
models. Guo and Liu (2002), in their FEM-based model for sequential cuts, showed the
effects of uncut chip thickness. Hua et al. (2006) investigated the effects of cutting
conditions, tool edge configuration and the work material hardness in hard turning of
bearing steels, and using commercial FEM software, predicted the effects of these
variables on the axial and circumferential residual stresses. Sasahara et al. (1994, 1996)
have studied the effects of cutting conditions in their early work and developed a
thermo-elasticplastic finite element to predict these effects and tool geometry
parameters such as rake angle, tool nose radius on residual stresses (Sasahara et al.,
2004). In his subsequent work, Sasahara (2005) included the effects of tool-edge
configurations with chamfer and showed the variation of fatigue life with varying
surface roughness conditions, in addition to the hardness effects shown in Figure 15
previously. Ee et al. (2005), using their modified JohnsonCook material model,
developed thermo-viscoplastic finite element model and predicted the effects of
sequential cuts, cutting speed on residual stresses for machining with an edge radius tool.
Outeiro et al. (2006a) investigated the effects of tool geometry, tool coating and
cutting regime parameters on residual stress distribution in the machined surface and
subsurface of AISI 316L using experimental (X-ray diffraction) and numerical approach
(FEM). Their results showed that residual stresses increased with most of the cutting
parameters, including cutting speed, uncut chip thickness and tool cutting edge radius.
However, from the range of cutting parameters investigated, uncut chip thickness
appeared to be the parameter that has the strongest influence on residual stresses.
The results also showed that sequential cuts tend to increase superficial residual stresses.
Subsequently, Outeiro et al. (2006b) utilising an analytical model for heat partition
temperature, through a chip flow predictive model, showed the effect of cutting edge


R. MSaoubi et al.

radius on the residual stresses developed in machining. Nasr et al. (2007a), using
commercial FE software, which incorporates the JohnsonCook material model,
predicted the axial residual stresses for a range of cutting edge radius (20100 m) for
AISI 316L steels. An increase in cutting edge radius was shown to decrease the residual
stress, which was consistent with all previous works. In their concurrent work, Nasr et al.
(2007b) modelled the effects of work materials thermal conductivity (k) and thermal
softening exponent (m), and showed that higher k and lower thermal softening exponent
(lower m) result in higher tensile residual stresses in the near-sub-surface layer, and that
m has a stronger effect than that of k. Umbrello et al. (2007) reported recently the results
of a sensitivity study about the influence of the constants used in JohnsonCooks
material constitutive equation on the FEM modelling of chip formation in AISI 316L
steel. Their results, which included the prediction of cutting forces, chip morphology,
temperature distributions and residual stresses, indicated the critical importance of
choosing the correct set of JohnsonCook material constants for obtaining a reasonable
prediction of residual stress.
Other notable finite element-based models developed and used to predict the residual
stresses include the work by Salio et al. (2006), Yang and Liu (2002) and Chuzhoy et al.
(2002). In the latter work, Chuzhoy et al. developed a microstructure-level model for
simulating machining of cast iron using the FEM. This model has been shown to compute
the distribution of stresses, strains, temperatures, and the damage in each phase, thus
making it suitable for modelling heterogeneous materials. Ghanem et al. (2002) studied
the effect of machining on fatigue life through the analysis of near-surface residual stress
and microstructural modifications of machined surface for two processes: an EDM
process and a conventional milling process also see Figure 6, previously. This work
compares the surface textures of both processes and shows the origin and growth of the
microcrack including the grain boundary alterations in EDM processes. In a more recent
work, Sherry (2007), through the extended use of high-energy X-ray tomography
techniques, has shown a microstructure-level mapping method to offer a fundamental
understanding of the local strain development at the microstructure level. It is proposed
that the behaviour of materials in engineering components and structures can be predicted
through the use of a multi-scale modelling using the fundamental understanding of the
microstructural evolutions including grain boundary changes.
Interestingly enough, a recent effort by two of the co-authors of this paper from the
USA, in an ongoing project under the sponsorship of the National Science Foundation,
has recently shown the possibility of modelling the machining process at micro and meso
levels using the topological variations in the work materials (Jawahir et al., 2007), where
the variations in the microstructure of the machined surface (grain size and grain
orientation angle), along with hardness and residual stress variations across the depth of
machined surface are correlated with the input conditions including cutting conditions
and the cutting tool edge geometry. The need for such models would be particularly
important for micromachining applications where the role of process parameters
(e.g., feed, depth of cut, etc.) and the micro-geometry (e.g., cutting edge radius) are often
in the same range as the microstructural features (grain size, carbide particle size, etc.).
Related recent work on microcutting of AISI 1045 steel involving experimental and
numerical analysis shows the effects of microstructure on the mechanism of microcutting
in terms of surface defects, grain size and grain orientation (Simoneau et al., 2006, 2007).
In a very recent work, Outeiro et al. (2008) have considered the role of size effects on
residual stresses using FEM and the microstructural transformation of the machined layer

A review of surface integrity in machining


showing the intense-deformation layer characterised by the topological properties such as

the grain size and the grain elongation angle. A previous investigation by Rentsch and
Inasaki (1995) offers the possibility of modelling SI by Molecular Dynamics (MD)
involving the calculation of inter-atomic forces and dislocation parameters for both
ductile and brittle materials. Also, in recent times, significant interest has been shown by
some research groups on analytical modelling of residual stresses (Liang and Su, 2007;
Ulutan et al., 2007). This is encouraging as the most likely refinement of these theoretical
methods, accompanied by solid physics-based modelling methods and validated
techniques are always expected to offer a greater insight into the machining process itself.

4.2 Significance of predictive performance models for enhancing product

With the advent of advanced manufacturing and measurement methods, and innovative
materials processing techniques, all raising the reliability and quality requirements in
manufactured products, the need for predictive modelling and optimisation techniques
have emerged in recent times. Computational methods and analytical and experimental
techniques are all emerging in large scale for making simulations, predictions and
optimisation easier, faster and more accurate, while the fundamental understanding of the
science of product sustainability is still somewhat lacking.
Manufacturers of products for industrial and domestic use, coming from all major
segments of the manufacturing industry such as the aerospace, automotive, and
biomedical, have set high standards and expectations for the use of predictive
performance models for their manufactured products, particularly dealing with
cyclic loading, impact conditions, corrosion and resistance to environmental and
chemical degradation, mechanical wear and tear, etc. Predictive models for surface and
sub-surface SI, covering residual stresses, microstructural and metallurgical alteration,
variations in mechanical properties, microcrack development and growth, etc., are urged
as significant owing to their correlation with the fatigue life of a product during its use
stage of the total life cycle consisting of four major stages: pre-manufacturing,
manufacturing, use and post-use (Joshi et al., 2006). The service life/durability,
representing the lifetime of a product, is considered to be one of the major sub-elements
of the six major product sustainability elements see Figure 16 for these elements and
sub-elements of product sustainability (Jawahir et al., 2006). Based on this,
comprehensive methodology for evaluating the product sustainability level for all six
elements and the associated sub-elements covering the three major components of
sustainability (economy, environment and society), and the above four life-cycle stages
have recently been developed (Jaafar et al., 2007). A recent case study on automotive
products shows the significance of product functionality during the use stage of the
product life cycle, and its effects on the overall rating of product sustainability when two
specific materials are considered for the manufacture of a given automotive product
(Ungureanu et al., 2007). This generic case study can be applied to machined products
when all affecting elements and sub-elements are clearly identified and quantified.
The service life/durability of a machined product will heavily depend on the
machining-induced mechanical properties such as the residual stresses. Therefore,
an improvement in the products fatigue life, influenced by the resulting residual stresses
from machining, would be of paramount importance in the overall enhancement of
product sustainability.


R. MSaoubi et al.

Figure 16 The basic elements and sub-elements of product design for sustainability

Source: Jawahir et al. (2006)

The modelling efforts and developments on machining processes during the last two
decades provide a strong scientific foundation for the science-base needed for sustainable
product development through machining operations. Continuing to build and expand this
science-base is a major challenge for the future.

Concluding remarks

This paper is a result of international collaborative work on SI and its effects on products
functional performance and lifetime of a machined component. The extensive review of
previous work on residual stresses and SI in machining shows their profound impact on
the lifetime of a machined component. This review focuses mainly on machining of
critical components for industry applications from materials such as stainless steels,
Ni and Ti alloys, and hardened steels used for dies and moulds, bearings and automotive
components. The SI issues encountered through this review are material-specific and
application-dependent. For example, controlling the residual stresses in machining of
aerospace components is one of the major critical issues while this is somewhat less of an
issue for other applications such as machining of dies and moulds, where the quality of
the machined surface (e.g., polishability) becomes more important.

A review of surface integrity in machining


Although significant work on the characterisation of the surface defects induced by

machining was reported, many questions still remain unanswered:

What are the physical phenomena responsible for such defects?


How to control the machining conditions to reduce, or even to eliminate such



What is the importance of each surface defect on fatigue life?


How to predict the components fatigue life considering the multiple interactions
between different surface defects?

The last question (iv) is of prime importance to industry, but to get to this specific
question, all other previous questions need to be answered adequately, and these topics
are of high academic and scientific value. Therefore, further work towards achieving
accurate and reliable predictive models for the functional performance of machined
components is needed. The overview, presented in this paper, of past and current work on
related topics was aimed at emphasising the need for international collaborative work on
all integral aspects of this important research topic leading to science-based predictive
models and their applications in industry. Renewed interests of aerospace and automotive
manufacturers for developing such predictive models, and the opportunities available
within the research community for funded projects in this area are all encouraging.
The anticipated predictive model would be expected to provide quantitative
evaluation of the machining process to include the following specific aspects for
enhanced product sustainability:

microstructural evolution of the work material including grain boundary and

property alterations and phase changes through machining-induced deformation
of the near-surface layers

the effects of cutting conditions, tool material properties and tool geometry,
and cooling/lubricant conditions on the residual stresses induced by the machining

process innovation through the effective use of control variables of machining

parameters, and development of alternative, reliable, robust and predictable
methods to enhance the fatigue life of machined components.

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