CHAPTER-3

SURFACE ROUGHNESS: TERMINOLOGY, PARAMETERS AND

MEASUREMENT

3.1 INTRODUCTION:
In chapter 2, a review of the research work published in the literature was presented. It is
seen that, although a number of surface quality measurement techniques are available,
there is a need for developing a low cost, contactless method for quick evaluation of the
surface quality. In chapter 5, the development of such a state-of-the-art method for surface
quality evaluation based on Image processing techniques has been discussed. It was felt
necessary to present brief account of information on the various aspects of “surface” as a
background material for the method developed.

As such, in this chapter, the necessary information regarding the various aspects the
“surface” is presented. This chapter is divided into three sections. In the first section, the
information related to surface profile geometry and terminology is presented. In the
second section, various two-dimensional and three-dimensional surface roughness
assessment parameters evaluated from surface profiles are discussed. In the third section,
various methods of measurement of surface roughness, standardisations etc. are discussed
in brief.

3.2 SURFACE ROUGHNESS: TERMINOLOGY

In this section, types of surfaces with geometry, imperfections, profiles, mean line,
filtering etc. in the context of surface roughness terminology are described.

3.2.1 Types of Surfaces:

A surface is a boundary that separates an object from another object or substance. Surface
is divided into three subgroups: Nominal surface or Ideal Surface is the intended surface.
The shape and extent of a nominal surface are usually shown with dimensions on a
drawing. The nominal / ideal surface does not include intended surface roughness. A real
surface is the actual boundary of an object. It deviates from the nominal surface as a result
of the process that has created the surface. The deviation also depends on the properties,
composition, and structure of the material. A measured surface is a representation of the
real surface obtained with some measuring instrument. This distinction is made because no
measurement will give the exact real surface.

3.2.2 Surface Texture:

Whereas, the shape and size of a component are usually specified as though its surface
could be perfectly smooth and of a single geometric form, it is observed, in practice, that
any manufactured surface always departs to some extent from die absolute perfection. The
imperfections take the form of successive hills and valleys, which may vary both in height
and spacing, and results in a kind of “texture", which in appearance or feel is often a
characteristic of the machining process and its accompanying defects. The departures from
a truly smooth surface may arise from a variety of causes and may be of several kinds.
There is a certain “texture” or “roughness” in the form of minute irregularities, which are
resulted directly from the particular process [119].

14
The control of surface roughness (texture) together with dimensional accuracy has been
the subject of engineering interest in the recent past. Investigations have led to the result
that surface roughness greatly influences the function of the machine parts. It also affects
the resistance to wear, load-carrying capacity, tool life, corrosion resistance, fatigue
resistance and ability to hold pressure and noise reduction in case of transmission devices.
A “perfect surface ” is one with no irregularities whatsoever and, therefore, a “perfectly
smooth surface ” is not at all possible in practice. [120 - 122]

Figure 3.1: Effect on profile due to change in wavelength in constant sinusoidal depth
error

Figure 3.1 shows how an engineering profile starts at die perfect surface and changes to its
final profile due to the influence of imperfections. Figure 3.1 (a) represents the cross-
section of a theoretically smooth and flat surface, i.e. the “perfect surface”, which is
closely approached by an optical flat. The surfaces of figures 3.1 (b) and (c) represent
errors of “form” and would be measured by ordinary metrological methods; those at
figure 3.1 (d) and (e) are regarded as “waviness” and are measured by a waviness
recorder; and that at Figure 3.1 (f) is a “true surface roughness”. This is called the
“primary texture” and is caused by the action of the cutting-tool used to produce the
surface. The waviness is called the “secondary texture” caused for instance by
imperfection in the cutting-tool machine, such as vibration or a badly trued grinding
wheel. However, no particular wavelength can be specified which divides primary and
secondary texture and this decision depends upon the class of the work concerned. [123 -
126]

The imperfections which are found on any surface will generally take the form of peaks
and valleys of varying height and width and are quite often a characteristic of the process
used to produce them. It usually happens that a surface consists of many different
wavelengths, some resulting from the feed of the tool and the others caused by the actual
cutting action. In addition, some wavelengths may be produced by vibrations. The
complete texture of the surface may thus be very complex, and in general, it is not possible
to separate each contributing cause by instruments which are normally used in inspection
department [127 - 129]. Various types of surface finish imperfections with related
problems caused due to that errors are shown in Table 3.1.

15
Table 3.1: Surface finish imperfections

Type of Related Problem or Cause of error

Imperfection
Form errors resulting from large-scale problems in the
manufacturing process such as errors in machine tool ways, guides,
or spindles, insecure clamping, inaccurate alignment of a work-
Form Error piece, or uneven wear in machining equipment. Form error is on
the dividing line in size scale between geometric errors and finish
errors.
Surface Texture includes roughness, waviness, and lay, that is, the
Surface Texture deviations that are shorter in wavelength than form error
deviations.
These are deemed to include transverse feed-marks and the
irregularities within them. Roughness is sometimes known as
Roughness (Primary “Micro-geometrical deviation” or “Micro-geometncal
Texture) irregularities”. These are defined within the area, where deviations
of form and waviness are eliminated.
It may be caused by vibrations, chatter, heat-treatment or warping
Waviness strains. Waviness is the component of surface roughness upon
(Secondary Texture) which roughness is superimposed.
These are unintentional and unwanted problems with a surface.
Such imperfections are scratches, holes, cracks, pits, checks,
Flaws porosity etc. These may be observed directly or with the aid of a
penetrating dye or other materials that make them visible for
examination and evaluation.

3.2.4 Surface Profiles:

Profile is the contour of any section through a surface. Mathematically, it is the line of
intersection of a surface with a sectioning plane, which is (ordinarily) perpendicular to the
surface. It is a two-dimensional slice of the three-dimensional surface. Profiles are always
measured across the surface in a direction perpendicular to the lay of the surface [130 -
132]. The nominal profile is the straight or smoothly curved line of intersection of the
nominal surface with a plane, which is (ordinarily) perpendicular to the surface. The
nominal profile has a known mathematical shape for a known part (most often a straight
line or a circle). A real profile is a profile of the real surface. It is the (idealised) shape of
the intersection of a surface with a perpendicular sectioning plane. A measured profile is
a representation of the real profile obtained with some measuring instrument. This
distinction between “real” and “measured” is made because no measurement will give the
exact real surface. A modified profile is a measured profile that has been modified by
mechanical, electrical, optical, or digital filtering. The filtering is ordinarily done to
minimise certain surface characteristics while emphasising others. A modified profile
differs from a measured profile in the sense that the real profile is intentionally modified
as part of the measurement. The details of the modification are typically selectable by the
user of an instrument. A measured profile is an unintentional modification of the real
profile resulting from the limitations of the measuring instrument. Some modified surface
profiles are classified as, traced profile, form profile, primary profile, form error profile,
texture profile, waviness profile, roughness profile.

16
3.2.4.1 Profile Peaks and Valleys:
(i) The profile height at a particular point is the distance from the profile to its mean line.
Profile height is considered positive above tike mean line and negative below the mean
line.
(ii) A profile peak is a region of the profile that lies above the mean line and intersects the
mean line at each end. The height of a peak is the height of the highest point within the
profile peak.
(iii) A profile valley (analogous to a profile peak) is a region of the profile that lies below
the mean line and intersects it at each end. TTie depth of a valley is the depth of the lowest
point within the profile valley.
(iv) Sometimes, it is convenient to speak of one profile peak together with one adjacent
profile valley as a profile irregularity.
(v) A local peak is a region of a profile between two successive local minima in the
profile. Local peaks are regions between two local minima
(vi) A local valley is a region of a profile between two successive “high points” (local
maxima) in the profile and it lies between two maxima (above or below the mean line).
(vii) Spacing refers to the distance between features on a profile in the X direction,
parallel to the nominal direction of the trace. The features that determine a spacing
parameter usually relate to peaks and valleys or to average wavelengths, etc.

A profiling method is a means of measuring a profile of a surface. The result of the

method is a two-dimensional graph of the shape of the surface in the sectioning plane
created by the profiling instrument. The most common type of profiling instrument draws
a diamond stylus across the surface and measures its vertical displacement as a function of
position.

3.2.5 Lay:
Lay is defined as the direction of the predominant surface pattern produced by tool marks.
It is important for optical properties of a surface. Turning’ milling, drilling, grinding, and
other cutting tool machining processes usually produce a surface that has lay with peaks or
striations and valleys in the direction that the tool was drawn across the surface. Other
processes such as sand casting, peening, and grit blasting produce surfaces with no
characteristic direction.
(i) Parallel or Unidirectional ( |j ): Lay parallel to the boundary line of the nominal
surface that is, lay parallel to the line representing surface to which the symbol is applied,
e.g., parallel shaping, end view of turning and grinding of outer diameter.
(ii) Perpendicular (JL): Lay perpendicular to the boundary line of the nominal surface,
that is, lay perpendicular to the line representing surface to which the symbol is applied,
e.g., end view of shaping, longitudinal view of turning and I.D. grinding.
(iii) Cross (X): Lay angular in both directions to line representing the surface to which
symbol is applied, There are two types of angular lays (i) criss-cross straight (ii) criss­
cross arcuate. The examples are side-wheel grinding, traversed end mill.
(iv) Multidirectional (M): Lay multidirectional e.g., lapping, super-finishing.
(v) Circular (C): Lay approximately circular relative to the centre of the surface to which
the symbol is applied, e.g., facing on a lathe.
(vi) Radial (R): Lay approximately radial relative to the centre of the surface to which the
symbol is applied, e.g., surface ground on a turntable, fly-cut and indexed on a mill.
(vii) Particulate (P): Lay with no characteristic direction, e.g., sand casting, peening and
grit blasting. Sometimes these surfaces are said to have a non-directional, protuberant,
pitted or porous lay.

17
3.2.6 Profile Measuring Lengths:
Traversing Length is the length of the profile (measured in a direction parallel to the
general direction of the profile) necessary for the evaluation of the surface roughness
parameters. The traversing length may include one or more sampling lengths. The
evaluation length is the entire length of a profile over which data has been collected.
Sampling length is the length of profile necessary for the evaluation of the irregularities
to be taken into account. It is measured in a direction parallel to the general direction of
the profile.

3.2.7 Reference Mean Lines:

A mean line is a reference line from which profile deviations are measured. It is the zero-
level for a total or modified profile. A least squares mean line is a line through a profile
such that the sum of the squares of the deviations of the profile from the mean line is
minimised. In practice, this is done with a digitised profile. The most common application
of a least squares mean line is to “level” the raw traced profile. A filter means line is the
mean line implicit in a profile filter. For example, the waviness profile may be considered
the mean line of the texture profile. Another name for the filter mean line in analog
instruments is the “electrical mean line”. The centre line of a profile is the line drawn
through a segment (usually a sample length) of the profile such that the total areas between
the line and the profile are the same above and below the line. This concept is little used in
modem instruments; it mainly served as a graphical method for drawing a mean line on
the output of a profile-recording instrument with no built-in parameter processing.

3.2.8 Surface Profiling Filters:

The numerical assessment of the texture is generally based on selected samples of the
profiles of one or more cross-sections of the surface. Filtering is a procedure to separate
certain frequency components of a surface profile. The filters widely used in practice are:
(i) Graphical filters, (ii) Electronic / Electrical filters, and (iii) Mechanical filters.
Depending upon the desired component, the filtering operations are classified as: Short-
pass (or High-pass) filtering in which the short wavelength (or high frequency)
components are allowed and therefore, the “roughness profile” is extracted. Long-pass (or
Low-pass) filtering in which the long wavelength (or low frequency) components are
allowed and therefore, the “waviness profile” are extracted. Band-pass filtering in which
both high-pass and low-pass filters are applied and a controlled profile data bandwidth is
allowed and therefore, a profile of specified bandwidth is extracted.

33 TWO-DIMENSIONAL PARAMETERS USED FOR EVALUATION OF

SURFACE ROUGHNESS:
Two kinds of irregularity of a profile are, (i) varying vertically (i.e. height variations) and
(ii) varying horizontally (i.e. spacing variations). The “Surface roughness measurement
parameters” are broadly classified into four sub-groups, viz. Height (amplitude)
parameters, Spacing parameters, Hybrid parameters, Statistical analysis. The figure 3.2
shows a possible way of classification of the parameters commonly used for the
measurement of surface roughness.

18
 Height (Amplitude) Parameters
"“♦Average Roughness (R,)
-►Root Mean Square Roughness (Rq)
"♦Maximum Height of the Profile (R«)
I----- ►Maximum Profile Peak Height (Rp)
♦Maximum Profile Valley Depth (Ry)
-►Average Maximum Profile Peak Height (Rm)
p Average Maximum Profile Valley Depth (R**)
—►Average Maximum Height of the Profile (Rp.)
^Maximum Roughness Height within a sample length (Rym«x,R»n«)
-►Average Maximum Height of the Profile (Rz)
_pAverage Maximum Height of the profile Re(ISO)
—►Third Highest Peak to Third Lowest Valley Height (Rj*)
__►Average of the R3a values (R3z)
—►Maximum V* highest peak to 3ri lowest valley depth (Ri^,)
—►Average peak to valley height • R*(IS)
Two-
-----► Spaciag Parameters
ParuMten “♦Peak Count or Peak Density (Pc)
-►High Spot Count (HSC)
"♦Mean Spacing (Sm)
-►Average Wavelength of the Profile (X«)
"♦Root Mean Square (RMS) wavelength of the Profile (Xq)
-►Peak Count Wavelength (Xpc)

-►Hybrid Parameters
-►Average Absolute Slope (A,)
■►Root Mean Square (RMS) Average Slope (Aq)
-►Developed Profile Length (L*)
■♦Profile Length Ratio (1*)

♦Statistical Parameters
-►Amplitude distribution function (ADF)
♦Root-Mean-Square Roughness (Rq)
-----►Skewness (R*or S*)
----- ♦Kurtosis(Rfal)
-►Sample Bearing Ratio Parameters
"♦Bearing Ratio (tp)
-►Bearing Height (Hq,)
Swedish Height (H)
“►Advanced Statistical and Bearing Ratio Analysis
-►Core Roughness Depth Parameters ( Rk)
■►Reduced Peak Height (R,*)
----- ►Reduced Valley Depth (R*)
►Material Portion of Peaks (MRi)
-►Material Portion of Valleys (MR2)
“♦Area of Peak Portion of Bearing Ratio Curve (Ai)
-►Area of Valles in Rk Construction (A2)
”♦Autocovariance
-►Autocorrelation
Figure 3.2: A possible way of classification of parameters for measurement of surface
roughness

19
3.4 THREE-DIMENSIONAL SURFACE ROUGHNESS ASSESSMENT:
The surface texture measurements have been refined and developed continuously for many
years. The basis of two-dimensional surface roughness assessment was to move the stylus
in a straight line at a fixed speed, with the measurement of the “Z altitude” in relation to
the “X axis”. A criticism levelled at two-dimensional surface texture assessment was its
inability to represent functional characteristics of a surface, thereby causing a proliferation
and uncontrolled expansion in two-dimensional parameters. Many of these newly
developed parameters proved to be inadequate in providing essential information relating
to a surface’s functional aspects of the surface [133],

Previously, interest in three-dimensional surface texture was the objective one. The lack of
understanding of topographical surface details, the limitations of instrumentation and
inadequate data processing have restricted its development. However, the three-
dimensional measurements can be carried out by measuring many parallel and regularly
spaced profiles so as to reconstruct the surface topography from a rectangular area of the
surface. In many circumstances, three-dimensional surface measurement becomes
indispensable when a clearer representation of topographical details of a surface is sought.

3.4.1 Three-dimensional Surface Roughness Parameters:

The goal in any three-dimensional characterisation of surface topography is to integrate
the surface features in a representative manner as accurately as possible. Many methods,
have been utilised to obtain a degree of surface visual characterisation. The best technique,
at present, available is to describe the surface condition by a predefined series of
parameters measured qualitatively and related to practical operational performance. In
recent years, even though new parameters have been developed by many practitioners and
some of them are inappropriate to describe the unchecked evolution of particular
topographical conditions, and therefore have not been formally adopted into “Standards”.
As a result of this uncertainty in specifying three-dimensional parameters, only marginal
correlation with the important in-service requirements of properties typified as:
Tribological factors - frictional and wear characteristics; Fluid retention - lubrication
performance; Resistance to galling; Minimising surface delamination (i.e. tearing) through
wear etc. [134].

Two-dimensional roughness parameters are in general denoted by the lead letter “R”,
whereas their three-dimensional counterparts are designated by the logical choice of the
letter “S”. This “S - prefix” is assigned to indicate the “mean surface” of the profile, and is
derived from a previously EU-funded project undertaken at the University of Birmingham.
A range of three-dimensional surface descriptors known as the “Birmingham 14 - Primary
Set” has been developed during this project [134, 135]. This “set” has since been
expanded. It is shown in Table 3.2. Other parameters have also been developed for
specific production requirements, most notably in the steel rolling / texturing industries,
particularly for fluid retention applications. Because the continuity of groupings has as yet
not been fully established, some confusion exists in either parameter classification into
appropriate sub-groupings or in their associated designatory letters and prefixes.

20
Table 3.2: Three-Dimensional Surface Roughness Parameters
Amplitude Functional
Spatial Parameters Hybrid Parameters
Parameters Parameters
Density of summits: Surface Bearing
RMS Deviation: Sq RMS slope: S^q
S<Js Index: Sbi
Texture Aspect Core Fluid Mean Summit
Ten Point Height: Sz
Ratio: Sfr Retention Index: Sci Curvature: Ssc
Fastest Decay
Valley Fluid Developed Area
Skewness SSk Autocorrelation
Retention Index: SVi Ratio: S*
Length: Sai
Texture Direction:
Kurtosis: SkU - -
S,d
Additional parameters derived using Tay or Hobson “TALYMAP” (ISO 13565-2)
Sa, St, Sp, Sv
STP, SHTp,
Sk» Spk, Svk, Spc -
Smvr, Smmr
SRI, SR2

3.5 SURFACE ROUGHNESS MEASUREMENTS AND MEASURING METHODS:

The type of the surface quality affects physical properties of surface specimens. Many
possible ways of measuring surface quality have been explored at one time or another.
Some of these methods have sunk without any trace, but have developed in further
investigations. The limitations which prevented their use, have been removed, in some
cases, by the advanced technology. The roughness of a surface cannot be easily defined by
a single parameter. It is an intrinsic property of the surface. It exists in two principal
planes (i) at right angles to the surface: characterised by some kind of height, and (ii) in
the plane of the surface: characterised by some kind of wavelength. In practice, all the
available methods and instruments used to measure the roughness of the machined parts
can be classified broadly as: [136, 137]:
(i) Comparison Methods (Indirect methods): The surface is compared for its roughness
with a standard / master surface, and
(ii) Direct Methods: Roughness is measured with indicating, recording or optical
instruments.

3.6 COMPARISON METHODS:

In Comparison methods, the surface texture is assessed by observation of the surface. A
comparison of such methods in this category is presented in Table 3.3 [138 -140].

Table 3.3 Comparison of various methods

Name of the Principle of

Sr. Merits Demerits Remarks
method operation
Very
Fingertip is difficult to
Irregularities
moved along the Simple and assess the
Touch as small as
1 degree of
surface at a cheap 0.0125 mm
Inspection roughness
speed of 25 to 30 method can be
mm per second and to detect
detected
the minute
flaws

21
 Use is
No limited to
Accurate
instrument is rougher
The inspection is inspection can
Visual required, so surfaces and be done using
2 carried out by
Inspection method is the results
the naked eyes illuminated
simple and may vary
magnifiers
cheap from person
to person
Impressions
of the
Softer material
Method may scratches on
like lead babbit Simple and
Scratch damage the the surfaces
3 or plastic is cheap are visualised
Inspection delicate
rubbed over the method
surface and are used
surface
for the
comparison
Good Only a small
Master finished Several
method for portion of
surface is placed readings are
Microscopic examining the surface
4 under the required to get
Inspection large can be
microscope and an average
quantity of inspected at
is compared value
surfaces a time
Magnified Photographs
photographs of Quite with different
Operator
Surface the surface are Simple and illumination
5 dependent
Photographs taken with cheap are compared
method
different angles method and the result
of illumination is assessed
Optical flat is
placed on the Interference
Quite
surface to be Sometimes it bands are
Micro­ Simple and
6 inspected and is can be studied
interferometer cheap
illuminated by misleading through a
method
monochromatic microscope
light
Friction-meter For smooth
consisting of a surface,
pendulum in friction is less
Better
which the testing and pendulum
Wallace method for
shoes are swings period
7 examining Somewhat
Surface clamped to a is longer.
large less accurate
Dynamometer bearing surface Thus, time of
quantity of
and a swing is a
surfaces
predetermined direct measure
spring load can of surface
be applied finish

22
 Light reflected Surfaces of
from the surface known
Time roughness as
is measured by a Quite required to
Reflection of photocell and Simple and determined by
8 measure
Light compared with cheap some other
surface is
already method suitable
more
calibrated method are
readings necessary
Magnifying
height
Section is cut variations by a
Taper- through the Very Destructive
factor and the
9 sectioning surface to be accurate kind of
section is
method examined at a method method
examined by
shallow angle optical
microscope
Variation in the
optical
Roughness is
properties of inversely
surfaces are Quite
Sometimes it proportional
Gloss subjectively Simple and
10 can be to the cosine
measurement judged by the cheap
misleading of the angle of
human eye and method
extinction of
various
reflected light
developed
instruments
Surface is
illuminated with
Surface
spatially Good
roughness can
coherent light method for
Sometimes it be determined
Diffraction and is observed examining
11 can be from
technique with an optical large
misleading measurements
system of finite quantity of
of speckle
aperture, and a surfaces
pattern
‘speckle’ is
produced
By using
Cellulose
some
If the surface is acetate film in
modem
not readily acetone is
techniques Normally
accessible to the made by
Replica and using 80% fidelity
12 probe of the dampening
method epoxy or can be
instrument, then and pressing it
other resins obtained
a replica of the against the
100%
surface is made surface till it
fidelity can
hardens
be achieved

In addition to the above-mentioned methods, some other related comparison methods are
also available namely as: Tactile tests, Pneumatic gauging, Optical sections, Thermal
comparator [141], Capacitances gauges [142] etc.

23
3.7 DIRECT METHODS:
These instruments enable to determine a numerical value of the surface roughness. Nearly
all instruments used are “Stylus Probe” type instruments. These instruments have been
broadly classified as [143,144]:
(i) According to the “method employed’
(a) Profilometers, (b) Profilographs

(ii) According to the “principle usedfor the instruments”

- Mechanical stylus probe instruments
(a) Electrical Stylus Instruments, (b) Optical Instruments, (c) Pneumatic gauging

(iii) According to the “instance ofmeasurement used':

(a) On-line (in-process) measurement, (b) Off-line measurement

A brief account of above mentioned instruments is presented in Appendix II. Surface

finish symbols and method for preparation of specimens taken for comparisons are used
for qualitative assessment [145] and are described in Appendix III. Machining processes
commonly used in practice and corresponding ranges of values of average surface
roughness produced are presented in Appendix IV.

3.8 ROUGHNESS MEASUREMENTS AND STANDARDISATION:

Standardisation brings on required focus and discipline to a parameter or specification,
thus enabling it to be used widely and with confidence. In surface finish measurements,
standardisation has met with only a partial success because of the difficulties of comparing
standards of several sorts. These are: two national standards may use different symbols /
nomenclature for the same parameters, two standards may use the same symbol for quite
different parameters, and a number of definitions are intrinsically ambiguous. There are
National and International standards, which have been established quite early or very
recently. Inadequacy of the standardised parameters to deal with real-life situations is still
prompting towards further proliferation of parameters. In fact, it is the standardisation that
kept a check on the “parameter rash” from going out of control [146, 147], Of late,
standardisation had much needed feedback from application areas and some of the new
parameters established which includes the Motif combination and Rk values [148, 149],
Moreover, for understanding certain surface behaviour, it is essential to have an open
mind, when looking for appropriate parameters and features of the surface that are ideal
for such studies [150,151]. In brief, the role played by standardisation should be examined
from different aspect from those parameters used for understanding the role played by a
surface. Eventually, the aim is to come together after sufficient knowledge is gathered on
both sides [152], Information related to roughness measurements and various standards is
presented in Appendix V.

In the next chapter, an overview of the Image processing techniques used in the method
developed is presented.

24