Int. J. Mach. ToolsManufact. Vol. 33, No. 3, pp. 439-447, 1993. 0890-6955/9356.00 + .

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Printed in Great Britain © 1993PergamonPress Ltd

A THEORETICAL ANALYSIS OF THE EFFECT OF

CRYSTALLOGRAPHIC ORIENTATION ON CHIP FORMATION
IN MICROMACHINING

w . B. LEEr and M. ZHou~t

(Received 23 March 1992; in final form 9 June 1992)

Abstract--The effect of crystallographic orientation on the shear zone formation in micromachining has been
analysed with a single crystal cutting model. Based on the minimum shear strength criterion, a range of
shear angle values is found to exist. The most likely shear plane angle is the one that has the most negative
texture softening factor among the ones with the same minimum shear strength. Theoretical findings for
the shear angle and cutting force variations compare well with published experimental data. The significance
of the microplasticity analysis to the understanding of chip formation in micromachining is discussed.

1. INTRODUCTION

THE EFFECT of crystallographic orientation on micromachining has drawn a lot of

attention from researchers recently [1]. In micromachining, the depth of cut will be
less than the average grain size of a polycrystalline aggregate. Our current understanding
of the mechanics of the cutting problem in such a microregion of the crystal is still far
from perfect. Single crystals are known to be highly anisotropic in their physical
and mechanical properties. The surface quality and cutting force are affected by the
crystallographic structure of the substrate material being cut. There is strong experimen-
tal evidence that the shear angles and the cutting forces [1-3] vary with the crystallo-
graphic orientations of the metals being cut. Shear front-lamellar structures at the top
of the chip have been reported [4] to correlate with grain orientations. Although shear
direction has been shown to be very sensitive to crystallographic orientation, no simple
analytical relationship between shear direction and crystallography has been established,
and past attempts to correlate the shear stress and shear angle based on Hill's macro-
scopic anisotropic function have been unsuccessful [2].
In machining ductile metals, the magnitude of the shear angle (or the idealized
orientation of the shear zone) indicates the machinability of the work materials and
the efficiency of the process. The shear zone angle has been found to vary with the
tool geometry, the cutting conditions and the workpiece materials. A large shear angle
is associated with continuous chip formation, good surface finish and low cutting forces.
Various theoretical shear angle equations have been derived in the past but met with
partial success only [5]. Most studies of the cutting mechanism are performed under
the assumption that the material is isotropic and is a homogeneous continuum. The
effect of material anisotropy is often not included in the theoretical analysis. One
important source of material anisotropy lies in the crystallographic nature of the metallic
substrate. In the following section, a microplasticity model is presented to analyse the
orientation of the shear zone in single crystal cutting.
2. THE MICROPLASTICITY MODEL

Plane strain orthogonal cutting is assumed in this model, and the rake angle is zero.
As the tool advances, the material ahead of it is being compressed in the cutting

tDepartment of Manufacturing Engineering, Hong Kong Polytechnic, Hong Kong.

~:Department of Mechanical Engineering, Harbin Institute of Technology, Harbin, People's Republic of
China.

439
440 W. B. LEEand M. ZHOU

direction and a shear band (a zone between parallel shear planes) joining the top of
the tool to the surface of the work material develops. The shear band occurs along
the direction AB as shearing along CD is prohibited by the geometry of the tool and

Cutting
Cutting direction too1
C
B C

Workpiece

/ ’ A
/
/
/
D
FIG.1. Activation of shear in metal cutting.
workpiece as shown in Fig. 1. As the main purpose of this paper is to consider the
effect of crystallography on the changes in shear angle, the effect of friction is not
considered here as it can be included in the classical shear angle equation of the
Merchant type [6].
Referring to the shear band coordinate system (SD-SN-OD), as shown in Fig. 2,
the strain in the shear band is described by the displacement gradient Es:

(1)

where dT is the shear strain in the band. The same strain in the workpiece coordinate
(CD-CP-OD) is given by:

E, = A Es A-l (2)
where A is the transformation matrix from the shear band coordinate system
(SD-SN-OD) to the workpiece coordinate system (CD-CP-OD):

sin+ 0 - cos$
A= 0 10 . (3)
co@ 0 sin+

+= Shear angle

Workpiececoordinatesystem:
CP
CD= Cutting direction;
OD
CP= Cutting plane normal;

I!!!- CD OD= Observation direction

Shear band coordinatesystem:

SD= Shear direction;
Workpiece
SN= Shear plane normal;

OD = Observation direction
FIG.2. The cutting geometry.
 CrystallographicOrientation Effectson Chip Formation 441

Therefore:

cos6sinqb 0 -sin2cb
Ew = d,r 0 0 0 (4)
cos26 0 -cos6sinqb

The symmetric strain tensor in the shear band (~w) can be derived from equation (4):

sin26 0 cos26
~w = d'r/2 0 0 0 (5)
cos26 0 -sin26

The increment of plastic work dW is given by:

d W = ~d~w (6)

where tr is the equivalent stress or the plastic work per unit volume and strain and
dew is the macroscopic effective strain.
For an isotropic material the orientation of the shear angle {b coincides with the
direction of maximum shear stress and makes an angle 45° with the cutting direction.
If the shear angle deviates from 45 ° by an angle of or, the shear strain in the band will
be increased by a factor of 1/cos2ot in order to produce the same amount of macroscopic
deformation. The shear will occur at an angle d~ such that the plastic work done in
deforming the metal will be at a minimum. It must be noted that the shear band is of
a macroscopic nature and the shear band may not be parallel to a particular crystallo-
graphic slip plane of the crystal. However, the shear in the band has to be accomplished
by homogeneously distributed slip, i.e. all operative slip systems co-operate in the
shear band development. Hence the Taylor model of polycrystalline plasticity [7] can
be applied for the analysis of the shear angle. The virtual work equation for deforming
a single crystal can be written as:

adew = %dF (7)

where dF is total dislocation shear strain accumulated in the crystal and % is the critical
resolved shear stress on the active slip systems. The effective strain, dew, is related to
the total dislocation shear strain by the Taylor factor M [7], i.e.

dF
de~ = M (8)

and:

(r = M % . (9)

M indicates the shear strength of the crystal. The crystallographic orientation of the
crystal is represented by the Miller indices such that [h k l] is parallel to the cutting
direction and [u v w] is parallel to the normal to the cutting plane. The imposed strain
tensor, ¢w, will be transformed from the workpiece coordinate system ( C D - C P - O D )
to the crystallographic axis of the crystal where the crystallographic slip systems are
based, i.e.

~c = p ~ , , , p - x (10)
442 W . B . LeE and M. ZHOU

where e¢ is the strain tensor referred to the cube axes and:

rl Ul nl
p= r2 u2 n2 (II)
r3 u3 n3

with:

rl = u / ( u 2 + v 2 + w2)1/2, nl = h / ( h 2 + k 2 +/2)1/2

r2 = v / ( u 2 + v 2 + w2) *t2, n2 = k / ( h 2 + k 2 +/2)1/2 (12)

r3 = W / ( U 2 -~- I,'2 q" W2) 1/2, n3 = l / ( h 2 + k 2 +/2)1/2

and:

ti = h x f . (13)

The Taylor factor M is a dimensionless number that is sensitive to the crystallographic

orientation. M is calculated according to the maximum work principle of Bishop and
Hill [8]. Since the resolved shear stress on the inclined plane decreases as 1/cos2ot
from the 45 ° plane, an effective Taylor factor M' is defined as M/cos2a. The angle at
which M/cos2~t is minimized will then define the shear angle. Very often the variation
of M/cos2tx with shear angle is associated with a plateau and a range of shear angles
is then possible based on the principle of minimum work alone. This uncertainty can
be removed if the load instability criterion is imposed. From equation (9), a shear
band will form when:

1 do"
- - - --< 0. (14)
tr dew

Differentiating equation (9), we have:

1 dtr 1 dM M d%
tr dew - M dew + % dF- -< 0 . (15)

In equation (15), (1/M)(dM/dew) depends on the rate of change of the crystallographic

orientation of the material with strain, and is called the texture softening factor if it
is negative or the texture hardening factor if it is positive. The second term,
(M/%)(drc/dF), represents the slip plane hardening contribution, which is usually
positive. Therefore, a shear band will develop when (1/M)(dM/dew) is most negative.
3. ANALYTICAL RESULTS FOR SINGLE CRYSTALS

Experimental data on the effect of crystallographic orientations on the shear angles

and the cutting forces in single crystals are available in published literature. These
results are compared with the analytical results predicted from the microplasticity model
above.

3.1. Variation of shear angles

In this paper, an analysis of the shear angle was carried out for the single crystal
cutting experiment reported by Ueda and Iwata [3] based on a micromachining device
inside a scanning electron microscope. The shear angles were measured from SEM
micrographs. A 0° rake angle was used in the cutting. No built-up edge was reported
in the cutting experiment. The theoretical analysis was conducted for different crystallo-
graphic cutting directions of two 13-brass single crystals (i.e. A(001) and B(101)) with
 Crystallographic Orientation Effectson Chip Formation 443

either the [001] or [101] axis parallel to the observation direction (OD). In 13-brass,
slip is assumed to occur on the {110} planes and along (111) directions [9]. The crystal
was rotated successfully by an angle 13 about the direction OD as shown in Fig. 3.
For each crystallographic cutting direction, the variation of the effective Taylor factor
with the possible shear angle was calculated. The calculation was performed with a
Pascal program developed for modelling the shear band formation in plane strain
compression [10]. The inputs to the program were the incremental shear strain d'r and
the crystallographic orientation. When no unique minimum M'-value was found, the
texture softening factor was calculated for each shear angle having the same minimum
shear strength. The most likely shear angle was the one that had the most negative
texture softening factor. An example of the variation of M' with the shear angle <b is
shown for the crystal orientation with (i01) parallel to CD and [0i0] parallel to CP
(Fig. 4). The M' factor shows a minimum value for shear angles ranging from 36° to
54°. The corresponding texture softening factor is shown in Fig. 5 and the angle at
which the texture softening factor is most negative is found to be 54° for this cutting
direction. The predicted shear angles determined for different crystallographic cutting
directions of the two 13-brass crystals are shown in Fig. 6(a) and (b) respectively. In
both crystals, there are good agreements between the theoretical shear angles and the
experimental values with respect to the periodic variation, and the maximum and
minimum values. The shape of the calculated and experimental curves is strikingly
similar. The predicted values in the present model are higher than the experimental
ones by an average of 15°. This difference could be caused by the presence of shear
between the tool and chip interface, which can be taken into consideration by the
macroscopic type of analysis.
In the original paper of Ueda and Iwata [3], the shear angles were calculated based
on a simple analysis of the Schmid factor of the slip systems in different orientations.

[00 CP

o,o

IOO
(a) Crystal A(O01)

iOl CP

!~ OlO

L i i ~ tL~
_ _

toi
(b) Crystal B(101)
Fro. 3. Crystallographic orientation of the B-brass crystal used in the cutting experiment of Ueda and Iwata
[3]: (a) crystal with [001] axis parallel to OD; and (b) crystal with [101] axis parallel to OD.
444 W . B . LEE and M. ZHou

12.0
L
o 10.0

~ 8.0
0
~,~ 6.0

4.0

"0 2.0

~'~ 0.0 I I ~ I I I I I I
20 40 60 80 100
Shear Angle ~ (deg.)

FIG. 4. Variation of effective Taylor factor M' with shear angle in the crystal with (i01) parallel to CD and
[0i0] parallel to CP.

L 2.50

O 2.00
¢1

1.50

'~. 1.00

0.50
r~q
0.00
L.

"~ --,50
54
E="- LO0 ~ ,' ~ I I I I !
0 20 40 80 80 100
S h e a r Angle * (deg.)

FIG. 5. Variation of texture softening factor with shear angle in the crystal with (i01) parallel to CD and
[0i0] parallel to CP.

The predicted cyclic variation in shear angle for the two single crystals is shown in
Fig. 7 for comparison. It can be seen that not only are the absolute values different,
but the trends are also different and some of the experimental data and predicted
values are out of place with each other. The analysis presented in this paper is significant
as it demonstrates for the first time the correct qualitative change in the shear angles
with different crystallographic cutting directions based on a model of microplasticity.

3.2. Variation of cutting forces

The effect of the crystallographic cutting direction on the static cutting force levels
has been recently reported by Konig and Spenrath [1] for a copper crystal and their
experimental results are given in Table 1. In copper, the operative slip system is { 111 }
(110). The variation in the shear strength of the crystal as indicated by the magnitude
of the calculated effective Taylor factor is assessed. Except for the crystallographic
cutting direction (il0) on the (110) plane, a high cutting force is reflected by a high
effective Taylor factor. Figure 8 shows the best line of fit determined by the method
of least-squares between the experimental cutting force and the effective Taylor factor.
A linear relationship exists between these two parameters.
4. DISCUSSION

In machining homogeneous materials, the basic assumption is that the shear plane
is along the direction of maximum shear stress. While the above assumption holds true
for an isotropic material, it need not be obeyed in crystalline material, which can be
highly anisotropic. The criterion of chip formation is more complicated in crystalline
materials. Sato et al. [2] have tried to use the continuum yield theory to analyse the
 Crystallographic Orientation Effects on Chip Formation 445

(a) 7O , , , , , , , , , , ,

"~60'
% predicted/ "
,._,, 50

40
%
~ 3o

~ 2o

~ to measured
o I I I I I I I i I ~ I
-6o -40 -20 0 20 40 60

Rotation Angle fl (deg.)

(b) "to . . . p. r e.d i c t ed' A' ' '

v 5o
.O-
4o

3o
<
L 2o
t~
ID
10 measured
0 I I I i I I I I
-80 -60 -40 -20 0 20 40 60 80 I00

Rotation A n g l e fl ( d e g . )

FIG. 6. Variation of shear angle with rotation angle in (a) crystal A[001] and (b) crystal B[101].

shear stress and shear angle with material anisotropy. The attempt was unsuccessful
as the value of shear angle was out of phase with the shear stress. Other predictions
of shear angle in single crystal cutting have been based on the analysis of the Schmid
factor. From the work of Ueda and Iwata [3], the predicted cyclic variation in shear
angle was found to be out of phase with the measured values (Fig. 7(a) and (b)),
whereas the microplasticity model of shear band formation described in this paper
gives good agreement between the effect of crystallographic cutting direction on the
shear angle. In addition, the present theory would predict that the shear strength is
small when the deviation of the shear plane from the maximum shear stress plane is
also small.
Based on the minimum effective Taylor factor alone, the microplasticity model would
predict a range of shear angle values for a given state of material anisotropy. It would
be of interest to compare the results obtained here and Hill's comment [11] that due
to the lack of geometrical constraint in metal cutting, infinitely many steady states of
single shear-plane type are possible for different initial conditions. Although the basic
argument is different, a similar conclusion is that a shear angle solution does not often
give a unique value.
During machining, the zone of workpiece material in contact with the tool tip acts
as a strong source of dislocations. Fine cracks are produced near the vicinity of the
tool tip and trigger the primary shearing process [12]. However, it must be emphasized
that the shear bands referred to in this paper are macroscopic and not dislocation glide
planes as implied by other workers [2, 4]. The term "shear band" used here denotes
the shear zone between two parallel shear planes and should not be confused with the
highly localized adiabatic shear band observed, e.g. in the machining of titanium alloys
at high speed. Deformation in the adiabatic shear band is complicated and may involve
a non-Taylor type of deformation. In this paper, the workpiece is assumed to be a
good conductor of heat and cutting is performed under isothermal conditions. The
shear in the band is developed from the co-operative homogeneous deformation of all
446 W. B. LEE and M. Znou

(a) vo . . . , . , . , . . .

~60

40

~30
.<
~ 20

~o. 1 0

0
-60 -40 -20 o ao 40 so
Rotation Angle 3 (deg.)

(b) v0
"~ 60
measured
~ 50

40

<
~ 20

! I I I i I I I
-80 -60 -..40 -80 0 80 40 60 80 tO0
Rotation Angle a (deg.)
Fro. 7. Variationof shear angle with rotationangle in (a) crystalA[001] and (b) crystalB[101] (from Ueda
and lwata [3]).

TABLE 1. VAmATION OF cUTnNG rOXCE AND EFFECTIVE TAYLOR FACTOR WITH

DIFFERENT CRYSTALLOGRAPHICORIENTATIONIN COPPER CRYSTAL

Cutting force Effective Taylor

Cutting plane Cutting direction (mN) factor

(111) (il0) 290 2.04

(211) 220 1.83

(110) (i11) 300 2.04

(i10) 250 2.45
(001) 170 1.22

5 ~

~ 400 -

~ 200 -

~ lO0-

0 I I I ( I ! I
1.00 t.tO 1.3e 1.57 1.76 1.96 a.t4 s.33 s,Gs
Effective Taylor Factor M'
Fro. 8. The correlation between the experimental cutting force and the effective Taylor factor M'.
 Crystallographic Orientation Effects on Chip Formation 447

active slip systems, which is an important physical basis for the use of the Taylor theory
in the analysis of the shear angle problem.
The effect of crystallographic orientation of crystalline materials exerts a great influ-
ence on the chip formation mechanism in micromachining processes. The systematic
variation in microcutting force is not caused by machine tool chatter alone but has its
origin in the varying crystallographic orientations of the crystallites the tool traverses
during a revolution of cut. As most engineering materials are polycrystalline, micro-
cutting force variation cannot be avoided. However, the crystallographic nature of
cutting force variation can be minimized by the proper choice of substrate materials
and machining processes. When turning is required, a workpiece with an ultra-fine
grain size and a random crystallographic texture would be preferred. In non-axial-
machining processes, such as milling, a substrate material with a strong crystallographic
texture, which behaves like a single crystal, would be desirable to reduce the variation
in shear angle and hence achieve better surface finish.
5. CONCLUSION
A microplasticity model has been presented to predict the effect of crystallographic
orientation on the shear angle in orthogonal cutting that shows that an understanding
of the cutting mechanism of single crystals is important in the improvement of the
micromachining of crystalline materials. The analysis carried out for single crystals
agrees with published experimental cutting data. From the analysis, the following
observations can be made:
(1) the shear planes are not necessarily slip planes but a result of co-operative slip
processes in the crystal;
(2) a range of shear angles may exist for a given state of material anisotropy based
on the minimum energy criterion;
(3) the uncertainty in the determination of shear angle can be removed if the texture
softening factor is also considered; and
(4) the pattern of variation in microcutting force can be predicted if the change in
the crystallographic orientation of the substrate material with respect to the cutting
direction is known.
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[1] W. KONIGand N, SPENaATH,Proc. 6th Int. Precis. Engng Seminar, p. 141, Brunscheweig, F.R.G.
(1991).
[2] M. SATO,Y. KATOand K. TUCHIYA,Trans. Japan Inst. Metals 9, 530 (1978).
[3] K. UEDAand K. IWATA,Ann. C1RP 29, 41 (1980).
[4] J. T. BLACK,J. Engng Ind. 2, 307 (1972).
[5] M. C. SHAW,Metal Cutting Principles, p. 176. Clarendon, Oxford (1984).
[5] M. E. MERCHAm,J. Appl. Phys. 16, 318 (1945).
[7] G. I. TAYLOR,J. Inst. Metals 62, 307 (1938).
[8] J. F. W. BISHOPand R. HILL,Phil. Mag. 42, 414 (1951).
[9] T. YAMAGATA,H. YOSmDAand Y. FLTKAZAWA,Trans. Japan Inst. Metals 17, 393 (1975).
[10] W. B. LEE and K. C. CHAN,Acta Metall. Mater. 39, 411 (1991).
[11] R. HILL,jr. Mech. Phys. Solids 3, 47 (1954).
[12] K. IWATA,K. OSAKADAand Y. TERASAKA,J. Engng Mater. Technol. 106, 132 (1984).