Machining e Materials

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TRIBOLOGY OF METAL CUTTING
Guest Editor:
Prof. Viktor P. Astakhov
General Motors Business Unit of Production
Service Management Inc (PSMi),
1255 Beach Ct.,
Saline, MI 48176, USA
E-mail: astvik@gmail.com
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Int. J. Machining and Machinability of Materials, Vol. 2, No. 3, 2007
Contents
SPECIAL ISSUE: TRIBOLOGY OF METAL CUTTING

Guest Editors: Prof. Viktor P. Astakhov
309 Editorial: tribology at the forefront of study and research
on metal cutting
Viktor P. Astakhov
316 Tool wear mechanisms in machining
Jorge A. Olortegui-Yume and Patrick Y. Kwon
335 Ductile fracture mechanics and chip separation in cutting
Pedro A.R. Rosa,Paulo A.F. Martins and A.G. Atkins
347 Recent advances in plasticity applications in metal machining:
slip-line models for machining with rounded cutting
edge restricted contact grooved tools
Xiqun Wang and I.S. Jawahir
361 Development of a friction model for the tool-chip-workpiece
interfaces during dry machining of AISI4142 steel with
TiN coated carbide cutting tools
F. Zemzemi, J. Rech, W. Ben Salem, A. Dogui and P. Kapsa
378 Machining residual stresses and part distortions
Yury I. Zamashchikov
413 Influence of tool sharpness on the thermal and mechanical phenomena
generated during machining operations
José C. Outeiro
433 Wear of mixed alumina ceramic tools in high speed facing
of Inconel 718
RM. Arunachalam
451 Numerical modelling of meso-scale finish machining
with finite edge radius tools
Tugrul Özel and Erol Zeren
469 Effect of emulsifier content on microbial
contamination of cutting fluids
Damera Nageswara Rao, Revuru Rukmini Srikant and
Posinasetti Nageswara Rao
International Journal of Machining and Machinability of
Materials (IJMMM)
Editor: Professor J. Paulo Davim
University of Aveiro, Department of Mechanical Engineering, Campus Santiago
3810-193 Aveiro, Portugal
E-mail: pdavim@ua.pt
Members of the Editorial Board

Professor Alexandre Abrão Professor Antoniomaria Di Ilio
Universidade Federal de Minas Gerais University of L’Aquila
(UFMG), Metal Cutting & Automation Technologies and Manufacturing Systems
Laboratory, Department of Mechanical Department of Mechanical Engineering,
Engineering, School of Engineering Energetics and Management
Av. Antônio Carlos, 6627 Faculty of Engineering
Pampulha, Belo Horizonte MG, Brazil 67040 Roio Poggio - L’Aquila, Italy
Professor Conceição António Professor Daniel Dudzinski

University of Porto University of Metz
Faculty of Engineering Physique and Mechanics of Materials
Department of Mechanical Engineering and Laboratory, Ile du Saulcy, 57045 Metz,
Industrial Management France
Rua Dr. Roberto Frias s/n
4200-465 Porto, Portugal Professor Marcello Filgueira
Universidade Estadual do Norte Fluminense
Professor Viktor P. Astakhov – (UENF), Laboratório de Materiais
CEO, Astakhov Tool Service Co. Avançados – LAMAV
3319 Fulham Dr. Centro de Ciências e Tecnologia – CCT
Rochester Hills MI 48309, USA Av. Alberto Lamego, 2000, 28013-600
Campos dos Goytacazes/RJ, Brazil
Professor Eduardo Bianchi
Universidade Estadual Paulista (UNESP) Professor Enzo Gentili
Abrasive Machining Laboratory, University of Brescia
Department of Mechanical Engineering Technologies and Production Systems
Faculty of Engineering, Campus de Bauru, Group, Department of Mechanical
Av. Eng. Luiz Edmundo Carrijo Coube, Engineering
17033-360 Bauru – SP, Brazil Faculty of Engineering
Via Branze, 38, 25123 Brescia, Italy
Professor Edoardo Capello
Politecnico di Milano Professor Wit. Grzesik
Dipartimento di Meccanica Technical University of Opole
P.zza Leonardo da Vinci, 32 Department of Manufacturing Engineering
I-20133 Milano, Italy and Production Automation, P.O. Box 321
45-271 Opole, Poland
Professor Nirupam Chakraborti
Indian Institute of Technology Kharagpur Professor A.M.S. Hamouda
Department of Metallurgical and Materials University of Putra Malaysia
Engineering, Kharagpur 721 302, India Department of Mechanical and
Manufacturing Engineering, Malaysia
Professor Kai Cheng
Brunel University Professor Hong Hocheng
School of Engineering and Design National Tsing Hua University
Middlesex UB8 3PH, UK Department of Power Mechanical
Engineering, Hsinchu 300, Taiwan
290607
Members of the Editorial Board (continued)
Professor Mark J. Jackson Professor George Petropoulos
Purdue University, Center for Advanced University of Thessaly
Manufacturing and Birck Nanotechnology Manufacturing Processes Laboratory,
Center, College of Technology Department of Mechanical and Industrial
Knoy Hall, 401 North Grant Street Engineering, School of Engineering
West Lafayette, IN 47907-2021, USA Leoforos Athinon, Pedion Areos
GR-383 34 Volos, Greece
Professor V.K. Jain
Indian Institute of Technology Kanpur Professor Ramón Quiza
Dept of Mechanical Engineering University of Matanzas
Kanpur-208016, India Department of Mechanical Engineering
Autopista a Varadero km 3 ½
Professor Deng Jianxin Matanzas 44740, Cuba
Shandong University
Department of Mechanical Engineering Professor M. Ramulu
Jinan 250061, Shandong Province, China University of Washington
Department of Mechanical Engineering
Professor Dave (Dae-Wook) Kim Seattle WA 98195, USA
Washington State University
Department of Mechanical Engineering Professor Joël Rech
School of Engineering and Computer Ecole Nationale d'Ingénieurs de Saint-
Science, Vancouver, WA 98686-9600, USA Etienne (ENISE), 58 Rue Jean Parot
42000 Saint-Etienne, France
Professor L.N. Lopez de Lacalle
University of the Basque Country Professor Klaus Schützer
Department of Mechanical Engineering Methodist University of Piracicaba
Faculty of Engineering, Laboratory for Computer Application in
Alameda de Urquijo s/n Design and Manufacturing
48013 Bilbao, Spain Rod. Luis Ometto (SP 306), Km 113451-900
Santa Barbara d'Oeste, SP, Brazil
Professor Patrick Martin
ENSAM - Technopole de Metz Professor S. Vijayarangan
Manufacturing and Industrial Engineering PSG College of Technology
Laboratory, 4 rue Augustin Fresnel Department of Mechanical Engineering
57 078 Metz, France Coimbatore 641 004, Tamil Nadu, India
Professor Alain Molinari Professor G.-C. Vosniakos

University of Metz National Technical University of Athens
Physique and Mechanics of Materials School of Mechanical Engineering
Laboratory, Ile du Saulcy Manufacturing Technology Division
57045 Metz, France Heroon Polytechniou 9
15780 Zografou, Athens, Greece
Professor Godfrey C. Onwubolu
The University of the South Pacific Professor Jun Wang
Department of Engineering Coordinator, Manufacturing Research Group
PO Box 1168, Suva, Fiji The University of New South Wales
School of Mechanical and Manufacturing
Professor ZJ Pei Engineering, Sydney, NSW 2052, Australia
Kansas State University
Department of Industrial and Manufacturing Dr. Lihui Wang
Systems Engineering Senior Research Officer
211 Durland Hall National Research Council of Canada
Manhattan, KS 66506, USA 800 Collip Circle, London
Ontario N6G 4X8, Canada
Members of the Editorial Board (continued)
Professor Jiwang Yan Professor Tugrul Özel
Tohoku University Rutgers University, Manufacturing
Department of Nanomechanics Automation and Research Laboratory
Graduate School of Engineering Department of Industrial and Systems
Aoba 6-6-01, Aramaki, Aoba-ku Engineering, 96 Frelinghuysen Road
Sendai 980-8579, Japan Piscataway, NJ 08854, USA
Professor Liangchi Zhang

University of Sydney, School of Aerospace,
Mechanical and Mechatronic Engineering
Sydney NSW 2006, Australia
290607
Int. J. Machining and Machinability of Materials, Vol. 2, No. 3, 2007 309
Editorial: tribology at the forefront of study

and research on metal cutting
Viktor P. Astakhov
General Motors Business Unit of Production
Service Management Inc (PSMi),
1255 Beach Ct.,
Saline, MI 48176, USA
E-mail: astvik@gmail.com
Abstract: A clear distinction of the metal cutting tribology and a short

description of the author’s personal vision on the place, role and importance
of this field of knowledge are presented. As discussed, a great amount of
this energy required by the cutting system for its existence is spent over
the tribological interfaces in metal cutting, namely, on the tool-chip,
tool-workpiece and chip-workpiece interfaces. System specifics of metal
cutting tribology are discussed. This paper sets the objectives and direction for
the future work on metal cutting tribology. This paper highlights the major
features of the current Special Issue.
Keywords: metal cutting tribology; tribological interfaces; energy spent in

cutting; optimisation of the cutting process; cutting system; efficiency.
Reference to this paper should be made as follows: Astakhov, V.P. (2007)

‘Editorial: tribology at the forefront of study and research on metal cutting’,
Int. J. Machining and Machinability of Materials, Vol. 2, No. 3,
pp.309–315.
Biographical notes: Viktor P. Astakhov received a PhD in Mechanical

Engineering from Tula Polytechnic University, Tula-Moscow, Russia in 1983.
He was awarded a Dr Sci designation (Dr Habil., Dr d'État) in 1991 for his
outstanding performance and profound impact on science and technology.
He was awarded by a certificate of recognition ‘State Professor of Ukraine’ in
1994. His main research interests include theory of metal cutting and its
applications; cutting tool design, assessment and optimisation; machinability of
materials, new tool materials and coatings. He has also won a number of
National and International awards for both his teaching and research including
the SME James M. Beabers Lifetime Achievement Award. He has published
books, book chapters and many papers in professional journals as well as
papers in trade periodicals. He is a Guest Editor, Board Member, Reviewer and
an Advisor for international journals and societies.
1 Introduction
The term tribology comes from the Greek word tribos, meaning friction and logos,
meaning law. Tribology is therefore defined as “the science and technology of interactive
surfaces moving in relation to each other”. The science of tribology concentrates on
contact physics and the mechanics of moving interfaces that generally involve energy
Copyright © 2007 Inderscience Enterprises Ltd.

310 V.P. Astakhov
dissipation. Its findings are primarily applicable in mechanical engineering and design
where tribological interfaces are used to transmit, distribute and/or convert energy.
The contact between two materials, and the friction that one exercises on the other,
causes an inevitable process of wear. What those contact conditions are, how to
strengthen the resistance of contact surfaces to the resulting wear, as well as optimising
the power transmitted by mechanical systems and complex lubrication they require, have
become a specialised applied science and technical discipline which has seen major
growth in recent decades.
Bearing the rather colourful name ‘applied tribology’, this field of research and
application encompasses the scientific fields of contact mechanics, kinematics, applied
physics, surface topology, hydro- and thermodynamics and many other engineering
fields under a common umbrella, related to a great variety of physical and chemical
processes and reactions that occur at tribological interfaces.
When it comes to metal cutting, tribology is thought of as something that has to be
studied in order to reduce tool wear (and thus increase tool life). Although this is true in
general, it does not exhaust the application of tribological knowledge in metal cutting.
Unfortunately, the published books and papers on the subject do not treat the subject in a
systematic way. Rather, the collection of non-correlated facts on tool materials, cutting
regimes, tool life and its assessment, cutting fluids, tool coatings, etc. is considered as the
tribology of metal cutting. Having read the known works and related materials, one does
not feel thoroughly equipped to analyse and improve the tribological conditions in
various metal cutting operations. This is because of the commonly understood meaning
of ‘metal cutting tribology’, which is something related to tool wear, its assessment and
reduction. Although, it is true that cutting tool wear and its proper assessment is a part of
metal cutting tribology, the assessment and reduction of tool wear are only ‘natural
by-products’ of this field of study.
Metal cutting tribology is a branch of applied tribology dealing with the whole
collection of processes (mechanical, thermal, chemical, etc.) at the tool-chip,
tool-workpiece and chip-workpiece interfaces from a unified viewpoint of energy
transformations (Astakhov, 2006).
One should clearly realise that the ultimate objective of metal cutting tribology is the
reduction in the energy spent in metal cutting. Increased tool life, improved integrity of
the machined surface, higher process efficiency and stability are the results of achieving
this goal. Metal cutting tribology provides specialists in the field of metal cutting with
information and methodologies on how to make proper choices in the development of
any practical metal cutting operation starting with the tool design, developing and/or
selecting proper tool materials including coating, development and/or selecting proper
cutting fluids and ending with cutting process optimisation on the shop floor.
2 The importance of the subject
Although in the practice of mechanical engineering, the waste of resources (energy) due
to ignorance of tribological effects hardly exceeds a single digit, this waste is estimated
to be approximately one-third of the world’s energy consumption, so the study and
optimisation of tribological process are considered to be of great importance. Enormous
sums of money is spent on research in tribology. The objective of this research is
understandably the minimisation and elimination of losses resulting from friction and
Editorial 311
wear at all levels of technology where rubbing of surfaces is involved. It is claimed,

research in tribology leads to greater plant efficiency, better performance, fewer
breakdowns and significant savings.
As shown by Astakhov (2004, 2006), in metal cutting, only 40–70% of the energy
required by the cutting system is spent for the useful work, that is, for the separation of
the layer from the workpiece. This means that 30–60% of the energy consumed by the
cutting system is spent in the transition of the useful energy into the machining zone.
Most of this energy is spent at the tool-chip and tool-workpiece interfaces due to
unoptimised tribological processes.
Naturally, this energy spent at the discussed interfaces lowers tool life, affects the
shape of the produced chip and leads to the necessity of using different cooling media
that, in turn, lowers the efficiency of the machining system as more energy is needed for
cooling medium delivery and maintenance. In the author’s opinion, the progress in
application of Minimum Quantity Lubricant (MQL) and dry machining is relatively slow
due to the lack of tribological thinking of application specialists.
The situation in metal cutting is entirely different from that in the design of
tribological joints in modern machinery. In the latter, a designer is rather limited by the
shape of the contacting surfaces, materials used, working conditions set by the outside
operating requirements, use of cooling and lubricating media, etc. In metal cutting,
practically any parameters of the cutting system can be varied in a wide range. Modern
machine tools do not limit a process designer in his selection of cutting speeds, feeds or
depth of cut. The nomenclatures of tool materials, geometries of cutting inserts and tool
holders available at his disposal are very wide. The selection of cooling and lubrication
media and their application techniques are practically unlimited. Although, the
chemical composition of the work material is normally given as set by the designer, the
properties of this material can be altered over a wide range by heat treatment, forging and
casting conditions. The only problem in the selection of optimal tribological cutting
parameters is the lack of knowledge on metal cutting tribology. Therefore, study and
optimisation of the tribological conditions at these interfaces have a great potential in
terms of reduction of the energy spent in cutting, increased tool life, reduction and
elimination of coolants, etc.
The above discussed can be easily exemplified by the known results of application of
various coating to alter the contact conditions at the discussed interfaces. Application of
coatings for high speed steel tools results in at least two times increase in the allowed
cutting speed and three–five times increase in tool life. For example, the cutting speed
70–80 m/min is routinely used today in the automotive industry for modern hobs with
TiAlCrN coating while 15 years ago this speed hardly exceeded 30 m/min. Moreover, the
mentioned hobs are run without coolant while tool life exceeds 6000 gears which triples
what was the case even five years ago. The same can be said about high speed drills and
threading taps. The use of advanced coating on carbide tools allowed increasing the
cutting speed twice and doubling tool life in the recent years. Note that the tool materials
were not changed. Rather, the conditions at the tool-chip and tool-workpiece interfaces
were altered by coatings. Moreover, it was disproved in recent years that coating change
mechanical properties of the tool material as was thought off when thick coating were
applied. The modern effective coatings are ultrathin (particularly nanocoatings) so they
are capable to alter only tribological conditions at the mentioned interfaces.
The foregoing consideration shows the significance and effectiveness of tribological
approach in metal cutting.
312 V.P. Astakhov
Besides the commonly referred tribological interfaces in metal cutting as the

tool-chip and tool-workpiece interfaces, the chip-workpiece interface should be
considered because:
1 a significant amount of energy can be consumed at this interface as shown by
Atkins (2003)
2 the topography and physics of the workpiece surface entering in the contact
with tool flank face is formed
3 the properties of the workpiece newly formed surface at this interface define to
a large extent the conditions at the tool-workpiece interface and the machining
residual stresses.
Unfortunately, no one known to the author study considered this interface from the listed
points of view.
The optimisation of tribological processes in metal cutting results in the following:
• Reduction of the energy spent in cutting. Because the efficiency of the cutting
system is very low (in machining of most steels it does not exceed 60%) due to
energy losses during tribological interactions, the optimisation of the
tribological processes improves the efficiency of the cutting system by reducing
the energy spent by the cutting system.
• Proper selection of application-specific tool material (coating). Considering the
energy transmitted through the tribological interfaces in metal cutting, one can
select a tool material for a given application to assure the chosen performance
criterion such as tool life, quality of the machined surface, efficiency, etc.
• Proper selection of tool geometry. Because the tool geometry largely defines the
state of stress in the deformation zone, stresses, temperatures and relative
velocities at the tool-chip and tool-workpiece interfaces, the optimised
tribological parameters can be directly used in the selection of proper tool
geometry.
• Control of machining residual stresses induced in the machined surfaces.
The machining residual stresses are determined by the tribological process
taking place at both the tool-chip and tool-workpiece interfaces. Therefore,
one can control both the superficial and in-depth machining residual stresses
over a wide range in terms of their sign, magnitude and distribution by
controlling the tribological processes at the mentioned interfaces.
• Proper selection of cooling and lubricating media as well as the method of its
delivery and application technique. The proper selection and application of a
particular medium is only possible when true tribological mechanism of its
action is known.
3 System specifics of metal cutting tribology
As pointed out by Bunshah (2001), tribology is the art of applying operational analysis to
the problems of great economic significance. Surface interactions in tribological
interfaces are highly complex and their understanding requires knowledge of various
disciplines including physics, chemistry, applied mathematics, solid mechanics, fluid
mechanics, thermodynamics, heat transfer, materials science, rheology, lubrication,
machine design, performance and reliability. Understanding the tribological interactions
Editorial 313
discussed can only be possible if the energy involved is known, because any interaction
should be thought of as a kind of energy exchange. The amount of energy transmitted
through a tribological interface defines to a large extent the actual occurrence of various
physical and chemical processes that might happen at this interface because any of these
processes requires a certain level of energy to trigger and maintain this process.
Astakhov showed that the cutting process takes place in the cutting system consisting
of the cutting tool, workpiece and chip (Astakhov, 1998; Astakhov and Shvets, 1998).
The major system properties, such as the system time and the dynamic interaction
between the system components were used to reveal the essential characteristics of the
cutting process. Besides, it is necessary to point out that the cutting system is a
subsystem of a more general system defined as the machining system (Jawahir et al.,
1997; Zorev, 1966).
The machining system includes a number of subsystems such as the machine tool, the
control system, the coolant supply system, the loading–unloading system, etc. The main
objective of the machining system is to provide optimum conditions for the performance
of the cutting system because the quality of the machine part and the efficiency of
machining are determined by the performance of the cutting edge of the cutting tool(s).
Therefore, the system interactions between the subsystems of the machining system and
the cutting system should be established, optimised and maintained to achieve optimum
performance of the cutting system. The most general level of such interactions is their
energy levels, so that these interactions can be thought of as the energy flows in the
machining system. The occurrence of one or another process in the cutting system can
only be possible if the corresponding amount of energy for this process to occur in
principle is available.
Unfortunately, this simple tribological law is not well understood in practice of metal
cutting. For example, some tool manufacturers continue to apply expensive coatings on
the helical ring gear broaching tools widely used the automotive industry although tool
life of such tools is the same for coated and uncoated tools. This happens simply because
the broaching speed is very low (6–8 m/min) so there is not enough energy at the
tool-chip and tool-workpiece interfaces to achieve the working temperature range for
usual coatings. As the direct tooling cost ranges $0.90–$1.8 per one machined part,
special tribological considerations are required to select the proper coating, cutting fluid,
tool geometry, etc. Although, this is the most expensive metal cutting operation in
practically all transmission plants in the automotive industry, the lack of tribological
knowledge and thus considerations hampers its improvement.
Unfortunately, the same (with very few exceptions) can be said about practically all
coating cutting fluid business in metal cutting. Although coatings and cutting fluids, in
general, proved their ability to improve tool life significantly, their application practice
remains a kind of costly try-and-error game for any particular case even in the most
advanced automotive manufacturing facilities. The reason for that is the same – the lack
of elementary knowledge on metal cutting tribology that cost hundred of millions dollars
worldwide.
4 Future work on metal cutting tribology
As above-mentioned, the most of studies on metal cutting in the past have been
concerned with mechanics of metal cutting and with experiments to reveal a particular
phenomenon (e.g. tool life, cutting force, residual stresses, etc.) of interest while many
314 V.P. Astakhov
system properties were ignored. As a meaningful research on metal cutting becomes

more and more expensive and available funding shrinks, more concentrated
systematic studies directed towards the construction of the complete structures of
metal cutting tribology are needed. In the author’s opinion, a need is felt to coordinate
such studies.
The said coordination can be provided by some kind of international engineering
societies and organisations as, for instance, CIRP, ASME, IMechE, SME, SAE, etc.
These should welcome back to their journals (e.g. CIRP Annals, ASME Journal
Manufacturing Science and Engineering, Proceedings of IMechE Part B and Journal of
Engineering Manufacture) analytical paper on the review of research on metal cutting.
The format of such reviews should also be altered. Instead simple listing of what has
been accomplished, critical review of the results and critical comparison should be
provided as well as pointing out the exact place of a particular study in the construction
of the metal cutting tribology structure. Clearly, methodological papers on proper
research practices, experimental set-ups and data collection as well as on experimental
result evaluations should also be beneficial.
5 Current Special Issue
This Special Issue features nine peer-revived papers by invited, internationally renowned
authors who have previously written about metal cutting tribology. Cutting tool wear,
cutting tool microgeometry, properties of the work material related to metal cutting
tribology, machining residual stress are highlight topics carefully selected for this issue.
The Editorial Board of IJMMM hopes that bringing these papers together in a Special
Issue is useful. We hope that this Special Issue of the journal will set the stage for further
important developments and breakthroughs in this exciting and dynamic field and
highlight the pivotal role played by metal cutting tribology in the general development of
machining processes and metal cutting tools.
It has been for me a real privilege and an honour to serve as the Guest Editor for this
Special Issue. I would like to thank all the authors who have contributed to this issue and
given their perspectives. I would also like to acknowledge a great contribution made by
the reviewers, reviewing committee and advisors.
Finally, I should acknowledge the constant support received from Professor
Paulo Davim, the Editor-in-Chief of International Journal of Machining and
Machinability of Materials.
References
Astakhov, V.P. (1998) Metal Cutting Mechanics, Boca Raton: CRC Press.
Astakhov, V.P. (2004) ‘Tribology of metal cutting’, in H.L.G.E. Totten (Ed). Mechanical
Tribology, New York: Marcel Dekker, pp.307–346.
Astakhov, V.P. (2006) Tribology of Metal Cutting, London: Elsevier.
Astakhov, V.P. and Shvets, S.V. (1998) ‘A system concept in metal cutting’, Journal of Materials
Processing Technology, Vol. 79, Nos. 1–3, pp.189–199.
Atkins, A.G. (2003) ‘Modelling metal cutting using modern ductile fracture mechanics:
quantitative explanations for some longstanding problems’, International Journal of
Mechanical Science, Vol. 43, pp.373–396.
Editorial 315
Bunshah, R.F. (Ed) (2001) Handbook of Hard Coatings: Deposition Technologies, Properties and
Applications, New York: William Andrew Publishing.
Jawahir, I.S., Balaji, A.K., Stevenson, R. and van Luttervelt, C.A. (1997) ‘Towards predictive
modeling and optimization of machining operations’, Manufacturing Science and
Engineering. Proceedings of 1997 ASME International Mechanical Engineering Congress
and Exposition, Dallas, TX, ASME.
Zorev, N.N. (Ed) (1966) Metal Cutting Mechanics, Oxford: Pergamon Press.
316 Int. J. Machining and Machinability of Materials, Vol. 2, No. 3, 2007
Tool wear mechanisms in machining
Jorge A. Olortegui-Yume*
and Patrick Y. Kwon
Department of Mechanical Engineering,
Michigan State University,
East Lansing, MI 48824-1326, USA
Fax: +1-517-353-1750
E-mail: olortegu@egr.msu.edu
E-mail: pkwon@egr.msu.edu
*Corresponding author
Abstract: Most of tool wear studies are classified as empirical (e.g. Taylor’s
equation); thus, they do not bring out the physical nature of the wear
phenomenon. Consequently, tool life in general cannot be predicted by
extending the result from one study. By understanding the physics behind the
process, the important wear mechanisms can be identified. By constructing a
wear model for each wear mechanism with more fundamental quantities such
as materials properties, these models can be combined and extended to estimate
tool life. This should be the ultimate goal of tool wear research in machining.
However, a major gap exists between the current understandings of tool wear
and the ultimate goal of tool wear research. This paper will describe how
cutting tools are being worn down during machining based on the physics
behind tool wear.
Keywords: cutting tool; tool wear; wear mechanisms; metal cutting; adhesion;
abrasion; diffusion; dissolution; chemical reaction; oxidation.
Reference to this paper should be made as follows: Olortegui-Yume, J.A. and

Kwon, P.Y. (2007) ‘Tool wear mechanisms in machining’, Int. J. Machining
and Machinability of Materials, Vol. 2, No. 3, pp.316–334.
Biographical notes: Jorge A. Olortegui-Yume is currently a PhD candidate in

the Department of Mechanical Engineering at Michigan State University.
He received a BS in Mechanical Engineering with highest honours and his
Professional Mechanical Engineering Diploma with outstanding thesis research
remarks from the National University of Trujillo, Peru, in 1995 and 1998,
respectively. Between 2001 and 2002, he worked as an Instructor in the
Mechanical Engineering School in the area of Manufacturing Processes at the
National University of Trujillo. In 2002, he was awarded the Fulbright
scholarship for Non-US citizens from the US Department of State to pursue
graduate studies. In 2004, he received his MS at Michigan State University.
Recently, he has won the second place in the Student Research Presentation
Contest in the 34th Annual North Manufacturing Research Conference,
Milwaukee, Wisconsin.
Patrick Y. Kwon is an Associate Professor in the Department of Mechanical

Engineering at Michigan State University. He has received his BSE from the
University of Michigan, SM from the MIT and PhD from University of
California at Berkeley. He has been with Michigan State University since 1996
and has contributed over 60 technical papers in the areas of powder processing,
tool wear in machining and design and fabrication of advanced materials and

Tool wear mechanisms in machining 317
meso- and microscale devices. He received two best paper awards from
International Conference on Metallurgical Coatings (1985) and ASME/ETCE
Symposium (1992).
1 Introduction
Tool wear is of foremost importance in metal cutting. Owing to its direct impact on the
surface quality and machining economics, tool wear is commonly used to evaluate the
performance of a cutting tool. Many research studies to understand and predict tool wear
have been carried out. However, most of these studies are considered to be an empirical
approach to tool wear. Consequently, many fundamental issues have not been resolved
mainly due to the complex physics behind tool wear. The complexity surrounding tool
wear stems from many factors including work material, machine tool, cutting tool,
coolants and cutting conditions. Because of the coupled effects of these factors, the
tool-chip and tool-work interfaces have almost unidentifiable contact conditions with
highly localised interfacial temperatures and tractions. In addition, the highly non-linear
thermo-mechanical behaviours of a work material are heavily coupled during machining.
Even if these two issues had been resolved, the exact wear mechanisms would not have
been identified and described quantitatively.
During machining, the cutting tool directly interacts with a work material. Chip is
generated by shearing the work material while the generated heat from plastic
deformation of the work material and the interfacial friction between work material and
cutting tool transfers into a cutting tool. The temperature in both work material and
cutting tool increases substantially as the cutting condition becomes more severe.
The cutting tool must withstand more stringent thermal loading and thus eventually will
wear down. Even though the work material experiences only transient thermal loading,
the material at the newly generated surface undergoes phase transformation (Kim and
Kwon, 2002). The abrasive second phase in the work material dissociates and diffuses
into the work material because the solubility limit typically increases at higher
temperatures. This convolutes the phenomenon that is already very complex.
Because of such complex phenomenon, many researchers took empirical approaches
such as Taylor’s equation. The reliance on an empirical approach to understand and
predict tool wear stems from the inability to observe the physics and to identify the exact
mechanisms behind tool wear. This is the motivation for this paper so that the
fundamental mechanisms of tool wear can be revealed to the researchers in this field.
The readers should be cautioned that this paper will claim neither to be a complete
review paper on this topic nor to represent a complete understanding of the tool
wear. The purpose of this paper is to cite the literatures that have delineated the
physics behind the tool wear to provide the fundamental tool wear mechanisms in
machining.
Typically multiple wear mechanisms may be present in metal cutting in most cases
simultaneously (Shaw, 2005) which makes a systematic study of tool wear very hard
(Rabinowicz, 1995). The responsible wear mechanisms changes depending on cutting
conditions and tool-work materials combination (Opitz, 1963). Tool wear mechanisms
that have been identified and are commonly accepted include adhesion (Burwell, 1955;
Wright and Bagchi, 1981), abrasion (Ramalingam and Wright, 1981; Takeyama and
318 J.A. Olortegui-Yume and P.Y. Kwon
Murata, 1963; Wright and Bagchi, 1981), diffusion (Cook and Nayak, 1969; Trent, 1963)
and dissolution (Kramer and Kwon, 1985; Kramer and Suh, 1980), chemical
reaction (Hartung and Kramer, 1982; Kramer, 1987) and oxidation (Wright and
Bagchi, 1981).
At low cutting speeds, adhesive and abrasive wear tend to be dominant, whereas
diffusion, dissolution, chemical reaction and oxidation are more relevant at high cutting
speeds (Stephenson and Agapiou, 2006; Takeyama and Murata, 1963; Wright and
Bagchi, 1981). Cemented carbide (carbide) tools wear easily by dissolution when
machining steels (Kramer and Suh, 1980). However, when machining titanium alloys,
the same carbide tools resist tool wear because of the formation of a reaction layer
between carbon from carbides and titanium (Hartung and Kramer, 1982; Kramer 1987).
Flank wear is originated by the abrasive action of the hard second phase in the work
material (Byrd and Ferguson, 1978; Kwon, 2000; Ramalingam and Wright, 1981) while
crater wear is known as a complex combination of many wear mechanisms such as
adhesion (Akasawa and Hishiguti, 1980; Dixon et al., 1985), abrasion (Kramer and
Kwon, 1985; Kwon, 2000), dissolution (Kramer and Kwon, 1985) and diffusion
(Cook and Nayak, 1969; Trent, 1963).
Cutting temperatures, contact conditions and stresses at the tool-chip and tool-work
interfaces affect tool wear and responsible wear mechanisms (Gekonde and
Subramanian, 2002; Shaw, 2005). Aggressive cutting conditions, especially cutting
speed, result in higher cutting temperatures. High cutting temperatures produce
transitions from sliding to seizure contact conditions at the tool-chip interface provoking
high temperatures favouring thermally activated mechanisms (Gekonde and
Subramanian, 2002). The tool material softens as the cutting condition become severe,
which makes the tool susceptible to abrasion. As other mechanisms become more
intense, abrasion loses the dominance on the resulting tool wear and other mechanisms
become more prominent.
2 Types of cutting tool wear
In a broader sense, wear is the surface damage or material removal from one or both
surfaces due to the relative sliding, rolling or impact motion (Bhushan, 2002).
Nevertheless, when the term is applied to tool wear, it needs to be put into perspective
with the concepts of tool life and tool failure. Tool life is the time during which a tool
remains usable in a metal cutting operation. Tool failure is the event that defines the end
of tool life. A tool fails in three different ways: gross fracture, plastic deformation
or gradual wear (Kramer, 1993). The first two represents premature failure of the
tool. Gradual wear is unavoidable and is naturally expected in a typical metal cutting
scenario. Tool wear is used instead of gradual tool wear in this paper and is the focus
of this paper.
A common way to categorise tool wear is focusing on the regions of the cutting tool
where it can be observed (Stephenson and Agapiou, 2006). Accordingly, the following
types of wear are identified in a single-point cutting tool as shown in Figure 1: (a) flank
wear, (b) crater wear, (c) notch wear, (d) nose radius wear, (e) thermal cracking,
(f) parallel cracking, (g) Built-Up Edge (BUE), (h) gross plastic deformation, (i) edge
chipping, (j) chip hammering and (k) gross fracture. The exact form and location of wear
will somewhat vary depending on the machining operation.
Figure 1 Tool wear types
Source: Stephenson and Agapiou (2006).
Our main focus in this work is on (a) flank wear and (b) crater wear because they are
developed in all conventional cutting operations. The rest of the cases are specific to
either a particular tool-work material combination or some machining operation. Others
do not fit into the definition of gradual tool wear. Chip hammering (see Figure 1(g)) can
only be seen when ceramic tools machine work materials that form a tough, abrasive chip
such as stainless steel. Thermal (see Figure 1(e)) and mechanical (see Figure 1(f))
cracking are mostly observed in interrupted cutting; however, when presented they lead
to tool chipping or breakage. Even though the BUE formation is not a tool wear process,
it can promote adhesive and abrasive wear. Gross plastic deformation is not gradual tool
wear but can alter the wear process by changing the shape of a tool, the cutting forces
and the cutting temperatures. In a recent assessment of tool wear (Astakhov, 2006), the
plastic lowering of the cutting edge is presented as a fundamental gradual process that
will lead to eventual tool failure. Finally, gross fracture is a type of failure that can
happen either catastrophically at the beginning of machining process or after
accumulating some gradual tool wear.
A worth-noting assessment of cutting tool failure has been recently presented
(Astakhov, 2004, 2006). The plastic lowering of the cutting edge mechanism focuses on
the high-temperature bulk creep of the cutting wedge (Astakhov, 2006). According to
this view, the cutting wedge is divided into three regions of different thermal-stress
induced plastic deformation (see Figure 2). Zone 2 is subjected to creep due to the
presence of the highest temperatures in this region. Corresponding to the actuation of the
highest normal stresses on the rake and flank face besides lower temperatures, Zones 1
and 3 are not subjected to creep because of the hydrostatic pressure and the lower
temperatures, stresses and larger cross sectional areas, respectively. In the light of this
plastic lowering of the tool tip, the interfacial condition changes, which may affect tool
wear. The plastic lowering of the cutting edge could affect tool wear due to its bulk
nature as opposed to the interfacial nature of more fundamental wear mechanisms such
as abrasion or chipping. The obvious consequence of cutting wedge creep could be
the gradual weakening of the cutting wedge, which ultimately end up in fracture.
The plastic lowering model can be very helpful to explain the premature tool failure
of difficult-to-machine work materials or in high speed machining (Astakhov, 2004).
Figure 2 Plastic lowering of cutting edge model
Source: Astakhov (2006).
3 Fundamental tool wear mechanisms
3.1 Adhesion
Adhesive wear occurs when one surface is sliding against another and fragments of one
surface adhere to the other and then are pulled out of the original surface. The origin of
adhesive wear is the strong adhesive forces that arise whenever atoms come into intimate
contact (Rabinowicz, 1995). After much experimentation, the laws of adhesive wear
were outlined by Rabinowicz (1995):
1 wear is directly proportional to the load between interacting surfaces
2 wear is proportional to the distance slid
3 wear is inversely proportional to the hardness being worn away.
The most up-to-date quantitative law for adhesive wear (Rabinowicz, 1995) is the
so-called modified Holm-Archard law given by
kLx
V= (1)
p
where V is the volume of wear per sliding distance, k is a probability constant, L is the
load between surfaces, x is the distance slid and p is the hardness of the surface being
worn. The probability constant denotes one-third of the probability of generating wear
debris by the adhesion mechanism.
In metal cutting, adhesion may occur because the work material or the wear debris
from the work material forms strong bonds (junction) with the tool under the high
interfacial pressure and temperature. If the failure strength of the junction formed is
larger than the local failure strength of one of the sliding surfaces, then, the junction will
be detached from the surface with the lower failure strength. Tool wear will occur if the
lowest failure strength happens to be on the tool. Sometimes BUE may be formed if
failure happens inside the work material or chip. In brief, adhesive wear is the formation
of a junction due to strong bonding between work or chip material to the tool, followed
by detachment of tool material to either chip or work material. Adhesive wear peaks at
intermediate temperatures due to low adhesion tendency at low temperatures and thermal
softening at high temperatures (Childs et al., 2000). Adhesion is promoted by the
continuous formation of fresh surfaces free of oxide films (Boothroyd and Knight, 1989).
Depending on the scale, adhesive wear is called attrition or galling. In the former case,
the particles removed are submicroscopic, while in the latter case the particles are visible
under the microscope (Shaw, 2005). Adhesion, not adhesive wear, is a significant
problem in machining soft materials such as aluminium alloy in drilling (Stephenson and
Agapiou, 2006) as the loose particles from work material accumulates and breaks the
tools. Further, at low cutting speed adhesive wear becomes a concern for High Speed
Steel (HSS) tools when it is connected with BUE formation (Trent and Wright, 2000).
3.2 Abrasion
Abrasive wear occurs whenever a hard rough surface and/or a surface containing hard
particles slides on top of a softer surface (Rabinowicz, 1995). In tool wear, abrasive wear
is the removal of tool material by hard, abrasive phases in work material. Depending
on the morphology of the abrasive phases, both 2- and 3-body abrasion are possible.
The abrasive phase with complex morphologies results in 2-body abrasion while the
abrasive with simple morphologies results in 3-body abrasion. The 2-body abrasion
model (Rabinowicz, 1977; Rabinowicz et al., 1961) can be stated,
L tan θ
V2-body = x (2)
π Pt
where V2-body is the volume worn away, x is sliding length, L is the load between
interacting surfaces, θ is the roughness angle of the abrasive and Pt is the hardness of the
abraded surface. In 2-body abrasive wear, the hard particles are either hard asperities in
one of the sliding surfaces or are hard second-phase particles constrained in this surface.
Thus, when relative sliding occurs the counter surface is abraded. In metal cutting, the
workpiece is typically softer than the tool material. For example, low alloy steels contain
hard cementite (Fe3C) particles in a ferritic matrix.
An empirical, quantitative model for 3-body abrasion which brings out parameter
dependencies has been presented (Rabinowicz, 1977; Rabinowicz et al., 1961) as
xL tan θ Pt
V3-body = , < 0.8
3Pt Pa
−2.5
xL tan θ ⎛ Pt ⎞ Pt
V3-body = ⎜ ⎟ , 1.25 > > 0.8 (3)
5.3Pt ⎝ Pa ⎠ Pa
−6
xL tan θ ⎛ Pt ⎞ Pt
V3-body = ⎜ ⎟ , > 1.25
2.43Pt ⎝ Pa ⎠ Pa
where V3-body is the volume worn away and Pa is the hardness of the abrasives.
The worn volume in 3-body abrasion depends on the hardness ratio between tool and
abrasives. In 3-body abrasion, hard particles are either loose or free to roll in between
the two sliding surfaces. In the case of metal cutting of ferrous materials, these
unconstrained hard particles can be spheroidised cementite and the debris detached from
the stagnant zone.
To use these models, hot hardness values for various coatings (TiN, alumina (Al203)
and TiCN) and cementite (Fe3C) have been obtained (Kwon, 2000; Kwon and
Kountanya, 1999; Wong et al., 2004) and presented in Table 1. Hot hardness data are
needed to account for the thermal softening effect on the abrasive particles as well as the
surface of the tool. The hot hardness data have been curve-fitted to the equation,
P = Po e −α T , where each material has characteristic values for Po and α. Also, the
interfacial stresses on the flank face are assumed to be constant for the same cutting
conditions independently of the coating; therefore, Equations (2) and (3) must be
calibrated using actual experiments (Wong et al., 2004). The models represented by
Equations (2) and (3) predict completely opposite trends in relation to cutting
temperature as shown in Figure 3. The relative abrasive wear rate is used to denote the
dependence on the hardness ratio (Pt/Pa) where the tool material (TiN, alumina and
TiCN) is changed but the abrasives are always cementite particles (Fe3C). Depending on
the morphology of the abrasive phase, these distinct trends were observed in the turning
experiment with low alloys steels (Kwon, 2000). These steels have been heat-treated to
attain the morphology of cementite phase in either spheroids or pearlites. For spherodised
steels, the observed flank wear rate has the same trend that the 3-body abrasive wear
model predicted. For pearlitic steels, the observed flank wear rate has the same trend that
the 2-body abrasive wear model predicts. The cementite phases in pearlitic steels are
constrained due to their complex morphology exhibiting the 2-body wear condition while
the spheroids are free to roll between two interacting surfaces.
Table 1 Hot hardness data for various coating materials and cementite
Material Po α × 10−3 Temperature range (°C)

Cementite (Fe3C) 1200 1.347 0–400
3320 3.891 401–1400
TiN 2563 1.600 0–1300
Alumina (Al2o3) 2468 1.616 0–500
3671 2.180 501–1200
TiCN 2787 0.400 0–400
5496 2.000 401–1200
Source: Wong et al. (2004).
When machining both pearlitic and spheroidised steels, tool wear is expected to increase
with higher carbon contents in the steel. However, in machining pearlitic steels, this wear
trend was not observed. Kwon and Kim (2002) have attributed this to the phase
transformation. As the cutting speed increases, the temperature reached high enough to
transform pearlites to austenite. The cementite phase, which is the dominating abrasive in
low alloy steels, no longer exists as the work material (steel) traverses across the flank
surface. This has been experimentally verified by detecting retained austenite on the
newly machined surfaces using X-ray diffraction. The exact condition for phase
transformation depends on the alloying ingredients which change the transformation

temperature and composition. This may explain wide variations in tool wear data in this
literature. The abrasive wear and phase transformation have been demonstrated with
turning experiments using low alloys steels (Kwon and Kim, 2002; Kwon and
Kountanya, 1999; Wong et al., 2004).
Figure 3 Prediction made by 2- and 3-body wear models: (a) 3-body wear model and
(b) 2-body wear model
3.3 Diffusion
Solid-state diffusion takes place from regions of high atomic concentration to regions of
low atomic concentration. The diffusion rate increases exponentially with temperature.
Diffusion can occur in metal cutting due to the intimate contact at high temperatures in a
very narrow reaction zone between the tool and the chip (Cook and Nayak, 1969;
Naerheim and Trent, 1977). Diffusion wear mainly causes weakening of the surface
structure of the tool (Boothroyd and Knight, 1989). According to Molinari and Nouari
(2002) the diffusion is described by
∂Ci1 ∂ 2 Ci 1
= Di1
∂t ∂y 2
(4)
∂Ci 2 ∂ 2 Ci 2 ∂C
= Di 2 − Vc i 2
∂t ∂y 2
∂x
where Vc is the chip bulk velocity, Ci1 and Ci2 are the concentrations of the species i in
the tool and chip, respectively, Di1 and Di2 are the diffusion coefficient of species i in the
tool and chip, respectively and t is time.
Diffusion wear becomes a possibility when interface temperatures of sliding
surfaces are relatively high and velocities in the close neighbourhood are low.
This condition can be found exclusively in heavily loaded sliders along with subsurface
flow. For this case, the high speeds above the layer can account for the high temperatures
while the relative low speeds near the bottom of the layer can account for longer contact
times needed for diffusion (Shaw, 2005). Experimental research in diffusion wear is
difficult to perform because a real cutting experiment is the only way to mimic all
conditions, which implies having multiple wear mechanisms in addition to diffusion
(Shaw, 2005).
3.4 Dissolution
Because of the high temperature required for dissolution wear to occur, not only the
machining condition must be severe but also it occurs on rake face. In dissolution wear,
the species from the tool material forms a solid solution within the chip. As the chip
passes, tool material is constantly removed from the rake face. Dissolution wear depends
on the chemical inertness of the tool material as well as on the chemical affinity of the
tool components with the work material. At relatively high cutting speeds, dissolution
wear dominates the wear process; a quantitative model has been developed by Kramer
(1979). For a given ternary tool material of composition, AxByCz, the chemical solubility
may be determined (Kramer and Suh, 1980) with the thermodynamical equilibrium
condition,
∆GAx ByCz = x ∆GA + y∆GB + z ∆Gc (5)
where ∆GAx By Cz is the free energy of formation of the tool material at the tool/chip
interface, T is the solution temperature and ∆Gi (i = A, B or C ) is the relative partial
molar free energy of component i within the solution (measured relative to the pure state
of i at the same pressure and temperature as the solution) which is
∆Gi = ∆Gixs + RT ln Si (6)
where ∆Gixs is the molar excess free energy of component i in the solution, R is the
universal gas constant, T is the temperature in Kelvin and Si is the solubility
concentration of species i in mole fraction. From Equation (6) and data on Si at some
given T, the excess free energy of component i into the matrix of a work material can be
estimated. Further, ∆Gixs is taken as a constant in the low limit of solubility
(Henry’s law). For example, a binary compound, TiN, has only two terms in the
evaluation of free energy of formation as ∆GAx By = x ∆GA + y∆GB where A = Ti, x = 1,
xs xs xs
B = N and y = 1. Finally, with the definitions of ∆G xs = x ∆G A + y∆G B + z ∆GC ,
M = x ln x + y ln y + z ln z and N = x + y + z, the chemical solubility, SAx By Cz , of a
tertiary coating material, AxByCz, in a work material (in mole fraction):
⎛ ∆GAx ByCz − ∆G xs − RTM ⎞
SAx ByCz = exp ⎜ ⎟ (7)
⎜ NRT ⎟
⎝ ⎠
Dissolution together with abrasion has been used to predict crater wear in machining low
alloy steels (Wong et al., 2004). The values of the free energy of formation are obtained
from the thermodynamic literature (Kubaschewski et al., 1967), Kwon (1985) and
Kim (2000). Thermodynamic properties for the three coating materials, TiN, TiCN and
alumina and carbides are shown in Tables 2 and 3. The dissolution of a tool material is
assumed to obey Henry’s law because the amount of tool material dissolved into chip
during the cutting process is small enough to be considered dilute.
Dissolution wear has been very successful to explain tool wear in carbide tools,
coated carbide tools (Kramer, 1987; Wong et al., 2004) and ceramic tools (Vleugels and
Van der Biest, 1999). Figure 4(a)–(c) shows the chemical solubility of WC, TiC, TiN,
TiCN and Al2O3, on steel (α-iron) in a mole of tool material/a mole of ferrite basis
plotted against temperature and calculated with Equation (5). A clear ranking of tool
materials based solely on their calculated dissolution wear resistance is observed. In one
extreme there is WC with a relatively poor wear resistance against dissolution wear.
Alumian Al2O3, on the other extreme, is the most dissolution resistant material.
Alumina represents a good example of a highly diffusive oxide resisting wear due to
its low dissolution tendency into the chip. Figure 5(a)–(c) shows the chemical
solubility of WC, TiC, TiN, TiCN and Al2O3, on austenite (γ-iron). These plots follow
the assumption that ferrite in pearlite transform into austenite (γ-iron) at high cutting
speeds (Wong et al., 2004).
Table 2 Free energy of formation for different tool materials
Tool Material ∆GAxBy = K1 + K 2T log T + K 3T (Cal/mol) Temperature Range (K)
K1(L) K2(M) K3(N)

TiN −80250 0 22.2 0−1155
−80850 0 22.77 1155−1900
Al2O3 −400,810 −3.98 87.64 0−923
−405,760 −3.75 92.22 923−1800
WC −9000 0 0.4 298−2000
TiCN −62725 0 11.81 1155−1900
TiC −43750 0 2.41 298−1155
−44600 0 3.61 1155−2000
Source: Kubaschewski et al., 1967, Kwon (1985) and Kim (2000).
Table 3 Excess free energy of solution of tool constituents in steel and titanium
Tool constituent Work material

Fe-α Fe-γ* Ti
∆G at 1600 K
i
xs
∆G i
xs
∆G at 1200 K
i
xs
(Cal/mol) (Cal/mol) (Cal/mol)

Ti −6900 −1658 0
N 5700 −28,537 −49,239
Al −10,700 −15,739 −32,744
O −12,600 −12,127 −96,156
W −7110 −7110** −6214
C 7600 7504 −28,648
*Estimated between 869 and 1673 K (Wong et al., 2004).

**In the absence of a better estimate assumed the same value for Fe-α.
Source: After Kramer (1979), Wong et al. (2004) and Hartung (1981).
Figure 4 Solubility of various tool materials in ferrite (steel)
Figure 5 Solubility of various tool materials into austenite (steel)

3.5 Chemical reaction

The dissolution theory breaks down when machining highly reactive materials such as
titanium, where a chemical reaction followed by diffusion is more plausible (Hartung and
Kramer, 1982). Strictly speaking, chemical reaction is not a wear mechanism. However,
if chemical reaction occurs, it can affect tool wear tremendously when the tool material
reacts with the work material or other chemicals to form compounds that are carried
away in the chip stream or in the new generated surface of the workpiece
(Childs et al., 2000). Chemical wear becomes predominant as cutting speed increases
when machining highly reactive materials such as titanium alloys or when using sulphur
or chlorinated in the cutting fluid. Either coating tools or changing additives in the
cutting fluid will improve wear resistance against chemical reaction (Stephenson and
Agapiou, 2006).
Oxidation represents one of the chemical reaction wear mechanisms, which occurs
when the species in the tool material or the work material reacts with atmospheric
oxygen. It is often observed at the regions where the tool-chip contact is exposed to the
atmosphere and is easily recognisable by the tool material discolouration of the zone
affected. Oxidation can be observed as a severe depth-of cut notch (notch wear).
The notch growth can lead to catastrophic failure by tool breakage. Sometimes wear
debris are produced by oxidation leading to increased abrasive wear (Stephenson
and Agapiou, 2006).
4 Generalised view of wear mechanisms
Among the five wear mechanisms mentioned in Section 3, three wear mechanisms have
been identified for steady state wear:
1 abrasion
2 generalised dissolution
3 adhesion.
The generalised dissolution consists of
1 dissociation of tool material
2a chemical reaction of dissociated species with work material if the reaction is
feasible
2b atomic transport across the tool-chip interface
3 diffusion of the dissociated species that have not been consumed in the chemical
reaction.
The ceramic coating material, symbolised by AxBy, must dissociate into species, xA and
yB. One of the faster diffusing species can diffuse into the work material. Alternatively,
the dissociated species can react with the work material to form a layer. Most likely the
reaction layer will reduce the tool wear rate.
For flank wear, abrasive wear convoluted by phase transformation seems to be the
only wear mechanism. Because of the distinct scoring marks, the abrasive wear can
be distinguished and the phase transformation can be identified by XRD
(X-Ray Diffraction) techniques on the newly formed surface and the extent of abrasive
wear (Kim and Kwon, 2002). The morphology of the second phase dictates the wear
behaviour to be of either 2- or 3-body abrasion type. Then, the abrasive wear models
(Rabinowicz et al., 1961) can be applied including with hot hardness ratios between
second hard phase and coating to describe the wear process as seen in machining ferrous
materials with cementite phase (Kwon and Kountanya, 1999; Kwon, 2000; Wong
et al., 2004). It is quite possible that phase transformation occurs in allotropic work
materials such as titanium alloys and ferrous materials and even solution-harden alloys
such as aluminium alloys. In addition, new alloying ingredients and an optimum heat
treatment schedule for the work material can be recommended to reduce abrasive wear.
In Figure 6, the three mechanisms are presented for crater wear. The abrasion
indicated by the arrow #1 in Figure 6(b) comes from the hard second phase in the work
material (e.g. cementite in low alloy steels) abrading the coating material as in the flank
wear. However, the distortion in the microstructure of the chip is so severe that it is most
likely to be modelled by only 3-body abrasive wear.
Figure 6 Wear paths of tool material into chip
Hitherto, it is not clear whether diffusion or dissolution is the more adequate wear
mechanism to describe tool wear at high cutting speeds. In addition, machining of highly
reactive materials such as titanium and its alloys open the possibility to chemical reaction
at the tool-chip interface (Hartung and Kramer, 1982). The inadequacy of diffusion
wear (Cook and Nayak, 1969; Trent, 1963) to explain the observed wear rates of
carbides, the wear resistance of the highly diffusive oxides at high cutting speeds and
the lack of experimental support was noted by Kramer (1979). On the other hand,
supporters of the diffusion wear mechanism argue that wear by dissolution, being based
on chemical equilibrium, does not correspond to the irreversibilities inherent to cutting
operations.
The generalised dissolution includes the dissociation of coating material, interfacial
atomic transport of dissociated species and/or the chemical reaction among dissociated
species and work material and the subsequent diffusion (Hua and Shivpuri, 2005;
Wong and Kwon, 2006) into a work material. In Wong and Kwon (2006), the dissolution
hypothesis of tool wear is reformulated as a boundary condition for the transfer of tool
species into the chip stream via diffusion. In other words, dissolution wear is defined
more generally as the combined events of dissociation at the interface and the subsequent
diffusion of decomposed elements into the chip region. Chemical equilibrium is invoked
for the distribution of tool species at the tool-chip interface.
In case of machining titanium alloy with uncoated carbide tools, a TiC layer from the
carbon atoms (dissociated from tungsten carbide) and titanium in the work material was
found at the interface (Hartung and Kramer, 1982). The diffusion rate of carbon through
this reaction layer is much lower as compared to the case where a reaction layer is not
present, thus reducing the wear rate. Consequently, many coated tools do not outperform
uncoated carbide tool when machining titanium alloys. The solubility beyond 1.0 (100%)
in titanium for every tool material as shown in Figure 7(a) and (b) is meaningless;
however, they can be interpreted as the chemical reaction potential between dissociated
tool wear species and the tool material (Hartung, 1981) being high enough to form a
reaction rather than to dissolve into titanium.
Figure 7 Solubility of various tool materials in titanium
The possibility of a chemical reaction can be verified using the concept of Gibb’s free
energy of reaction. Figure 8 shows the plot for the reaction:
WC + Ti → TiC + W (8)
Equations (8)–(11) and the thermochemical data shown in Table 4 were used to calculate
the plot in Figure 8.
∆GT = ∆HT − T ∆ST (9)
∆HT = − ( H f ) ( ∆Cp )dT + ( H ) ( ∆Cp ) dT + ΣH

o T o T
−∫ WC f +∫ TiC t (10)
WC 298 TiC 298
⎡
⎣
( WC W TiC Ti
T ⎛ ∆Cp
T ∆ST = T ⎢ − ( S f ) + ( S f ) + ( S f ) − ( S f ) − ∫ ⎜
o o o o
298
⎝ T
WC
) ⎞
⎟ dT
⎠
(11)
T ⎛ ∆Cp
TiC ⎞
⎛ H ⎞⎤
+∫ ⎜ ⎟dT + ∑ ⎜ t ⎟ ⎥
298
⎝ T ⎠ ⎝ Tt ⎠ ⎥⎦
where T is the absolute temperature at which the reaction occurs, ∆GT is the Gibb’s
free energy of reaction, ∆HT is the enthalpy change, ∆ST is the entropy change,
ΣHt is the summation of all the heats of transformation in the temperature
range of interest, ∑(H t / Tt ) is the entropy change associated with phase
transformations, ( H f ) and ( H f ) (H ) and ( H f )
o o o o
, f are the standard enthalpies
WC TiC WC TiC
of formation, ( S f ) , (S ) , (Sf ) , (Sf )

o o o o
f are the standard entropies of formation,
WC W TiC Ti
∆CpWC and ∆CpTiC are the changes of specific heat at constant pressure for the
dissociation reaction of WC and the formation reaction of TiC, respectively. It should be
noted that the integrals in Equations (10) and (11) will be broken into smaller
temperature ranges due to the variation of the specific heat coefficients before and
after a solid-solid phase transformation such as the one happening for Titanium
at 1155 K (See Table 4).
Figure 8 Gibb's free energy for the reactions WC + Ti Æ TiC + W and

WC + 3Fe Æ Fe3C + W
By the same token, the Gibbs’ free energy for the reaction WC + Fe Æ Fe3C + W was
calculated and the results are also plotted in Figure 8. Data for heat capacities, standard
entropy of formation and standard enthalpy of formation are tabulated in
Table 4. As it can be observed from Figure 8, the Gibb’s free energy for the reaction
WC + Ti Æ TiC + W possesses a value of an order of magnitude larger than that of the
reaction WC + Fe Æ Fe3C + W. Then a chemical reaction (forming TiC) is more likely
to happen when machining titanium with carbide tools than in the case of machining
steel with the same tools (forming Fe3C).
Considering the chemical reaction and the diffusion, the source of the species in
cutting tool material is the same. If the chemical reaction does not consume the species
that has been dissociated or does not exist, these species will diffuse into the chip.
The split in the arrow #2 in Figure 6(b) represents the reaction route and the subsequent
diffusion into the chip. The reaction is expected to be important with high dissociation
and low diffusion as the element from the coating cannot be consumed in the process
of diffusion.
Table 4 Heat capacities, standard entropy of formation and standard enthalpy

of formation for various work materials
Substance Ht
−(H f ) T (K)
o
( S f )o C p = A + BT + CT −2 + DT 2 (J/K mol)
(kJ/mol)
(J/K mol) (kJ/mol) A B × 103 C × 10 –5 D × 106
Ti 30.7 0.0 298 24.94 6.57 −1.63 1.34
Ti – – 1155 4.2 30.48 −8.87 – 6.44
Ti – – 1943 16.7 41.84 – – –
Fe 27.3 0.0 298 – 28.18 −7.32 −2.90 25.04
Fe – – 800 – −263.45 255.81 619.23 –
Fe – – 1000 – −641.00 696.34 – –
Fe – – 1042 – 1946.25 −1787.50 – –
Fe – – 1060 – −561.95 334.13 2912.11 –
Fe – – 1184 0.9 23.99 8.36 – –
Fe – – 1665 0.8 24.64 9.90 – –
W 32.6 0.0 298 23.68 4.06 -0.47 −0.33
Fe3C 104.6 −25.1 298 – 82.01 83.68 – –
Fe3C – – 480 0.8 107.32 12.55 – –
WC 34.7 40.6 43.39 8.62 −9.33 −1.03
TiC 24.7 184.5 48.43 3.16 −1.36 1.23
Source: After Kubaschewski et al. (1993).
Adhesion indicated by the arrow #3 in Figure 6(b) represents the formation of strong
bonds at the interface tool-work with the subsequent detachment of tool material.
Rabinowicz (1995) developed the adhesive model using surface energy and hardness
values. Prediction with Equation (1) is not necessarily accurate as the interface surfaces
are under hydrostatic pressure which make hard to predict the condition detachment.
In alumina coated tool, sometimes grain pull-out has occurred as a result of adhesive
wear Kim (2000).
The delamination/thermal cracking and detachment of coating can occur, which has
not been discussed in this paper. However, to the best of our knowledge, no plausible
model that describes this complex phenomenon exists in literature. This can happen due
to the high cutting temperature as in machining titanium alloys due to their low thermal
conductivity causing high thermal gradient or thermal fatigue loading typical in milling
operations. The mismatch in the coefficient of thermal expansion between substrate and
coating or among multilayers contributes to this type of tool damage. The enhancement
of the interfacial strength may help but the properties of coating materials have to
be designed with those of the substrate or other coatings in mind. Considering all
these different aspects, designing advanced cutting tools is a complex task requiring
multifunctional design and processing.
5 Conclusions
This paper reviewed some aspects of tool wear that have enabled us to understand the
physics behind tool wear phenomenon. This has enabled us to draw a conclusion on the
possible wear mechanisms involved in single-point cutting tools used in machining.
The conclusion has been justified logically using the experimental data as well as the
thermo-mechanical analysis. One major contribution of this paper is the generalized
dissolution for crater wear where the complex cutting tool material is dissociated
before the interfacial atomic transport, chemical reaction or diffusion takes place.
The dissociated species react with detached work material if such process is
thermodynamically feasible. If not, the dissociated species from a tool diffuses into the
chip. Whether abrasive wear is the only main wear mechanism for flank wear is not
clear. However, the experimental studies (Kwon, 2000; Kwon and Kountanya, 1999;
Wong et al., 2004) indicate that this assumption is not far fetched. The main obstacle to
predict flank wear is the phase transformation. The 3-body model is quite good in
predicting flank wear if phase transformation does not affect the abrasive phase.
Even though this has only been shown for ferrous materials, it is quite possible that other
materials such solution harden aluminium alloys and titanium alloys undergo phase
transformation. The morphology and size of the abrasive phase affect tool wear;
however, their contribution has not been clearly elucidated.
Acknowledgements
The authors are thankful to Franhoufer USA CCL for the financial support of this
research.
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Ductile fracture mechanics and chip separation

in cutting
Pedro A.R. Rosa and Paulo A.F. Martins*

IDMEC, Instituto Superior Técnico, TULisbon,
Av. Rovisco Pais, Lisboa 1049-001, Portugal
E-mail: pedro.rosa@ist.utl.pt
E-mail: pmartins@ist.utl.pt
A.G. Atkins
School of Construction Management and Engineering,
Engineering Bldg,
University of Reading,
Reading RG6 6AY, UK
Fax +44-118-931-3327
E-mail: a.g.atkins@reading.ac.uk
Abstract: The role of surface work in modelling metalworking processes in
which separation takes place (machining, blanking, etc.) is discussed.
Traditional algebraic and finite element analyses of such processes,
incorporating only plastic flow and friction, are able to predict quite well the
experimentally-observed material flow fields. However they always
underestimate the experimental forces when independently-determined
mechanical properties (flow stress, toughness and friction at the correct
rates and temperatures) are employed. The deficiency in predicting the forces is
directly connected to omitting work of surface formation in the analyses.
A new experimental test piece is described for the independent determination
of the specific work of separation. Values so obtained serve both as a check on
the reasonableness of ductile fracture toughness determined from cutting tests
and also for calibration of Finite Element Method (FEM) simulations of such
processes.
Keywords: metalcutting; finite element method; FEM; ductile fracture;

fracture toughness; specific work of separation.
Reference to this paper should be made as follows: Rosa, P.A.R.,

Martins, P.A.F. and Atkins, A.G. (2007) ‘Ductile fracture mechanics and
chip separation in cutting’, Int. J. Machining and Machinability of Materials,
Vol. 2, No. 3, pp.335–346.
Biographical notes: Pedro A.R. Rosa received an MSc in Mechanical

Engineering from Instituto Superior Técnico, TULisbon, Portugal in 2003. His
research interests include metal cutting and tube forming and he is the Head of
the manufacturing laboratory of Instituto Superior Técnico. He is co-author of
15 papers in international journals and conferences.
Paulo A.F. Martins received a PhD in Mechanical Engineering from Instituto

Superior Técnico, TULisbon, Portugal in 1991. He attained Habilitation
(Agregação) in 1999 in recognition of his work in the numerical and
experimental simulation of metal forming processes. His research interests

336 P.A.R. Rosa, P.A.F. Martins and A.G. Atkins
include metal forming and more recently, metal cutting and he was awarded in
2005 with the A M Strickland Prize by the Manufacturing Division of the
Institution of Mechanical Engineers, UK. He is co-author of three books and
one international patent and published more than 150 papers in international
journals and conferences. He is reviewer of several international journals.
A.G. Atkins is a Fellow of the Royal Academy of Engineering and was a

research student of David Tabor in Cambridge, from the University in which
he has the ScD. He is interested in the materials mechanics of large
deformation and fracture. He has twice been awarded the ASM Wilson Award,
the IMechE Donald Julius Groen prize and is the author of a number of books
and many papers.
1 Introduction
This paper will describe a new design of test piece to determine the specific work of
separation in cutting. It enables values derived from cutting experiments to be compared
with independently-determined data at the same strain rates and temperatures. It also
serves to calibrate Finite Element Method (FEM) simulations of machining processes.
Before describing the test piece and associated experimental results, we trace the history
of whether work of separation in cutting is significant or not.
The process by which chips are separated from the workpiece in cutting has been a
subject of debate for years. The commonly-held view is that separation occurs just by
plastic flow around the tip of the tool; a more controversial view is that separation is a
process of fracture at the tool tip. Since fracture implies cracks and since cracks are not
seen at the cutting edge in continuous chip machining, there is reluctance to believe that
fracture is part of cutting (except in the formation of some types of discontinuous chip
where fracture plays a different role from the one concerned with separation that is the
topic of this paper). Similar comments apply to other processes like cropping, blanking,
etc. where separation takes place. While consideration of tool-chip and tool-workpiece
interfaces feature prominently in analyses of such processes, the ‘chip-workpiece’
interface is rarely considered.
If separation of chip from cut surface is really just by plastic flow, a difficulty
immediately presents itself. It is that in plasticity, neighbouring elements of material
remain neighbours, however extensive the deformation. Hence separation by plastic flow
strictly means that elements just above the putative parting line that forms the cut surface
(and which go on to form the underside of the chip) are supposedly still connected to
elements that were their neighbours just below the parting line (and which go on to form
the top of the machined surface) – however far apart they become. This is physically
implausible and means that ‘separation’ at the tip of the tool in cutting or below the
punch in blanking, is a third deformation mechanism, in addition to plastic flow and
friction. This additional deformation mechanism ought to be included in all modelling of
metalworking processes in which separation occurs, whether by algebra or by Finite
Element or other computational methods.
In all traditional algebraic modelling of cutting (whether using an elementary single
primary shear plane or employing complicated slip line fields giving chip curl, tool
contact length and so on) separation does not feature. However, when sophisticated FEM
codes, that are capable of modelling elastoplastic flow in forging and other metalforming
Ductile fracture mechanics and chip separation in cutting 337
processes, are employed to model cutting, it is found that tool movement is limited
unless a so-called ‘separation criterion’ is invoked in those elements immediately in front
of the tool tip, so as to release nodes and permit appreciable tool movement. Without a
separation criterion in FEM simulations of orthogonal cutting, it is not cutting that is
being modelled: rather it is the plastic flow of indentation by an inclined wedge (a sort of
oblique hardness test where neighbouring elements do indeed remain joined to
neighbours).
A first question immediately arises: why is a separation criterion necessary in FEM
modelling of cutting but not, apparently, in algebraic models? A second vital question at
this point in the story is: whatever the process of separation, does it require significant
work?
The perceived wisdom in metalforming says ‘no’ to the second question. Early
researchers were aware that whenever new surfaces are formed, work at least equal to the
so-called ‘surface free energy’ (γ) had to be provided to cause separation. Such work is
associated with the unmatched short-range reversible bonding forces of atoms sitting on
the surface of all solids. Typical values of γ are a few J/m2 and calculations quickly
demonstrated that this work was negligible compared with the work of plasticity and
friction in typical conditions of metalcutting. Consequently it has been the belief that the
total work in cutting concerns plasticity and friction only. This view continued (at least
implicitly) after FEM simulations of cutting began to appear. The work associated with
the operation of a separation criterion is rarely, if ever, separately quantified in published
FEM solutions and it seems that authors presume that separation requires negligible
work. With this way of looking at the problem, any separation criterion could serve to
separate the nodes ahead of the cutting edge.
However, new surfaces in cutting commercial ductile metals are not formed by
‘splitting on a single plane’ as implied by the definition of γ. Rather they are formed by
micromechanisms in which considerable irreversibilities occur, that is, by void initiation
at hard second phase particles or at bits of refractory in the microstructure, followed by
their growth and coalescence to initiate and propagate microcracks that produce
separation. Voiding takes place in thin boundary layers contiguous with the cut surface
and underside of the chip (the layers in which residual stresses form) and the real work of
separation is at the kJ/m2 level rather than the few J/m2 of γ. Such high levels of specific
work of separation may be predicted by theory (e.g. Rice and Tracey (1969) and more
recent models of void coalescence and growth) and are typical of so-called JC values
determined experimentally in ductile fracture mechanics.
It has already been shown (Atkins, 2003, 2006) that many shortcomings in traditional
algebraic analyses of cutting are removed when significant work of surface formation is
included in addition to plasticity and friction. It was shown that cutting was controlled by
the toughness/strength ratio (R/τy) of the material; thermomechanical treatments can alter
the ratio in the same material, so that it is possible to have different R with the same
τy (same hardness) and vice-versa, either of which will alter the cutting performance.
In turn, it was shown that the ratio could be made into a non-dimensional parameter
Z = (R/τyto) where to is the uncut chip thickness and theory showed that the primary shear
plane angle φ is material-dependent through Z, something well-known from experiments
but for which traditional ‘plasticity and friction only’ analyses give no explanation.
It was concluded that cutting is from the class of ductile fracture problems in which there
is complete plastic collapse (in the formation of the chip). The reason that cracks are not
seen at tool tips in continuous chip machining, even though the whole cut surface
has been formed by a separation process, is that the crack velocity matches the tool
velocity: in more brittle solids (having lower R/τy), cracks do appear at the tool tip and
their appearance concerns crack stability rather than crack existence to permit separation
at the tool tip.
Nevertheless, despite the improvements given in Atkins (2003), (where the simple
Piispannen-Ernst-Merchant single shear plane model was modified to include significant
separation work), it is appropriate to enquire why progress has been made in the
understanding and prediction of chip flow, chip curl, built-up edge formation and so on,
if work of separation is supposed to be significant, yet is ignored in traditional analyses.
The answer relates to the fact that separation work is performed in those confined
boundary layers just above and just below the parting line where the cut surface is
formed. The layers are so thin that they hardly disturb the flow patterns predicted by
analyses which ignore their existence. However, the work done per volume in separation
can be much greater than the work per volume in plastic flow and friction. So, even
though the volume in which separation takes place is small, the work done is not small.
It follows that incorporation of significant work of separation into machining analyses
has greatest effect on the cutting forces, rather than deformation patterns.
It seemed to us that further improvements in modelling and comparison with
experiment should be possible when the ideas in Atkins (2003) were incorporated into
FEM simulations that should then give improved flow fields, quantitative indications for
chip curl and so on. The results of our work have been reported in two recent papers.
The earlier paper (Rosa et al., 2007) investigated steady-state continuous chip machining.
The more recent paper (Rosa et al., in press) models the transient start to cutting, from
1 the initial indentation by the tool that begins to displace metal along
the rake face
2 the onset of separation and displacement of additional material to begin
to form what will become the chip
3 the onset of chip curl and finally
4 steady-state cutting.
A significant finding of the first paper is that separation at the tool tip takes place by
shear (mode II of fracture mechanics). The significant finding of the second paper is that
extremely fine mesh sizes have to be employed to reveal the transient events and that the
sort of FEM mesh sizes commonly employed in simulations of steady-state cutting will
probably not reveal the boundary layers in which separation occurs. The separation
criterion employed in our analyses relates directly to the need to perform work of
separation at the kJ/m2 level (ductile fracture toughness in shear). The new test piece
enables this quantity to be determined independently and thus calibrates the FEM
simulation. For computational convenience, the work/area requirement is expressed as a
work/volume in elements at the tool tip. The new test piece also enables a check to be
made on the whether the values of yield stresses and toughnesses derived from cutting
tests make sense.
2 Experiments
Technically-pure lead was used in our quasi-static experiments. All experiments were
performed on a 500 kN computer-controlled hydraulic press fitted with a 50 kN
strain-gauged load cell. Displacements were measured using a micropulse position

transducer (Balluff, range 600 mm) with an overall accuracy below 6 µm. An electronic
board (National Instruments, type NI-PCI-6070E) and a Windows-based software
(Labview) were utilised for performing data acquisition directly from the
instrumentation.
The constitutive equation was obtained from compression tests carried out at room
temperature on cylindrical specimens, using three different strain-rates ε = 0.02, 0.2 and
2 s−1. The specimens had a height-to-diameter ratio h/d = 1.5 and were lubricated with
PTFE (polymer-based lubricant) to attain homogeneous deformation. The experimental
data resulting from the compression tests, Figure 1, obeyed the following mixed
plastic/viscoplastic material law given by
σ = 19.223ε 0.0423 − 12.019ε 0.0518 exp(0.676ε − 7.34)ε MPa (1)
Figure 1 Stress-strain curve of the technically pure lead obtained by

means of compression tests
The new design of test piece for determination of separation work is shown in Figure 2.
It is a doubly-notched cylinder, the cylindrical ligament of which is loaded in shear when
the test piece is compressed by means of special tooling. A series of experiments is
performed on specimens with different-length ligaments. The proportions of the test
piece are chosen so as to try and restrict plastic flow to the ligament, with no flow in
compression elsewhere in the specimen. The choice of double-notched cylinders was
dictated by research (Atkins, 2000) on double-notched bars loaded in shear, in which the
basics of ductile shear fracture mechanics were established, along with guidelines for
determining the fracture toughness R at crack initiation from the experimental punch
load-punch displacement evolution.
Shear fracture tests were performed at room temperature under quasi-static
conditions (0.05 m/min). Figure 3 shows the experimental punch load-displacement
diagrams for test specimens with different lengths ‘a’ of the ligaments between the tips
of the starter cracks. Figure 4 shows the maximum values of the experimental punch load
as a function of the initial ligament lengths. It can be concluded from the insets showing
pictures of the specimens after being sheared, that a < 2.5 mm is required to ensure shear
flow only in the ligaments. Preliminary calculations had suggested that plastic flow ought
to be restricted to the ligaments for a = 3.85 mm, but experiments revealed that the valid
working range should be restricted to a < 2.5 mm. The dashed vertical lines included in
Figures 4 and 5 mark the transition length of the ligaments, above which specimens will
undergo barrelling. FEM simulations of the double-notched cylindrical test piece are
shown in Figure 6.
Figure 2 Double-notched cylindrical test utilised in the characterisation of fracture toughness

(a) schematic illustration of the test and variables. The picture enclosed in the
right side shows a partially-cracked specimen, (b) schematic illustration of the
zone of intense plastic shearing placed in between the notches of the test
specimens. Inset shows a picture of a partially-cracked specimen
Figure 3 Experimental evolution of the punch load versus displacement for double-notched
cylindrical test specimens with different lengths ‘a’ of the ligaments that were
utilised in the characterisation of fracture toughness
Figure 4 Experimental values of the maximum punch load as a function of the length ‘a’
of the ligaments of the double-notched cylindrical test specimens
The energy W to initiate crack propagation is calculated by direct integration of the

punch load-displacement diagrams depicted in Figure 3 up to the peaks in load (at which
cracking begins) and the fracture toughness R (specific work of surface formation) is
obtained from (Atkins, 2000),
W
R= (2)
2π ra a
Figure 5 Fracture toughness R (left axis) and energy W (right axis) to initiate crack
propagation as a function of the length of the ligaments ‘a’ of the
double-notched cylindrical test specimens
Figure 6 Finite element modelling of a double notched cylinder test specimen loaded in
shear (a = 1 mm) (a) initial stage, after 0.05 mm punch displacement (b) at the
peak in load, after 0.6 mm punch displacement
Note: Inset shows a picture of the specimen before being tested.
where ra is defined in Figure 2. The peak loads in Figure 3 and energy consumed are
dependent on the length of the ligaments. Determination of fracture toughness is not
valid for a > 2.5 mm, as W now includes plastic work performed in regions other than the
ligament, thus overestimating R. The fracture toughness of lead determined in this way is
R ≅ 13.3 kJ/m 2 and characterises the energy required to form new surfaces and calibrates
the separation criterion for FEM modelling reported in Rosa et al. (2007, in press).
Calculations have been made, from the onset of plastic shearing in the ligament to
the initiation and propagation of ligament shear cracks, of the stress and strain state in the
ligament and how ductile damage is accumulated and maintained at the tip of the
propagating shear crack.
3 Algebraic and FEM models
The modification to the Ernst-Merchant model of orthogonal cutting made by Atkins

(2003) is based on a work rate equilibrium approach comprising the internal work of
1 plasticity along the shear plane
2 friction along the underside of the chip at the tool interface
3 formation of the new cut surface and provides the following expression for
the force Fc exerted in the direction of cutting.
⎛ τ yγ w ⎞ Rw
Fc = ⎜ ⎟ t0 + (3)
⎝ Q ⎠ Q
⎡ sin β sin φ ⎤
Q = ⎢1 − ⎥ (4)
⎣ cos( β − α ) cos(φ − α ) ⎦
where, in addition to symbols already defined, γ is the shear strain along the primary
shear plane inclined by angle φ, w is the width of the cut and Q is a friction correction
factor. The first term in Equation (3) corresponds to the Ernst-Merchant model; the
second term is the contribution of the work of separation at the tool tip and predicts an
intercept on the force axis. It was shown that above a limiting uncut chip thickness
(strictly below a limiting Z), φ and hence γ are constant. The coefficient of to in
Equation (3) is then constant and a linear plot is predicted from which τy and R may be
determined. In reference (Atkins, 2003) calculations were made of the relative
proportions of plastic work, friction work and surface separation work. At large values of
Z (small depths of cut of materials having large R/τy) surface work can be over 50% of
the total work.
The form of Equation (3) suggests that predictions for forces in steady-state cutting
that use more realistic flow fields may be obtained by simply adding the toughness
separation work rate to the plasticity and friction work rates. It is not quite that simple,
however, since Equation (3) involves a minimisation of total work to give the value
for φ. The total work must include the separation work, so that φ becomes material and
geometry dependent through Z (Atkins 2003, 2006). It is possible that an ‘optimum’ chip
flow field (obtained e.g. by slip line field analysis in the absence of separation work),
may not be optimum when R is included, although the fact that separation work is
performed in thin boundary layers much smaller than the uncut chip thickness, means
that the optimum chip flow fields may not differ much in the two cases. This question is
important when one comes to consider how separation work may be incorporated into
FEM simulations. Properly-formulated FEM solutions are desirable, since they can give
realistic flow fields for strain hardening materials and also include temperature and rate
effects.
The simplest computational approach for modelling cutting and modelling the new
test piece, is to decouple flow and friction from the separation process and subsequently
to add the separation contribution to give the total cutting forces. In other words, the
usual type of FEM simulation in which separation is neglected is first performed in order
to give the major field variables, chip flow field, associated work and so on. In our own
FEM cutting program, the separation criterion is based on a critical distance C0 between
the tip of the tool and the nodal point placed immediately ahead. The strategy we
followed for analysing the sensitivity of the results to the critical distance C0 was based
in a convergence analysis employing the following basic steps:
1 select a big critical distance and analyse the metal cutting process
(cutting force and distribution of the field variables)
2 recreate the FE procedure with a smaller critical distance, reanalyse the
process and compare the results to those of the previous analysis
3 keep diminishing the size of the critical distance and reanalysing
the models until the results ‘converge’ satisfactory.
This type of convergence study enabled us to obtain the appropriate critical distance
range to be utilised in our FE analysis. Other authors have employed alternative chip
separation criteria based on the effective strain, strain energy density and stress history,
among others. However, as previously mentioned by Huang and Black (1996) this does
not significantly influence the chip geometry and the distributions of stress and strain.
In fact, as we confirmed from our recent joint investigations, the most relevant
macroscopic evidence of the necessity to take into account the work of surface formation
is the prediction of the cutting forces and specific cutting pressure – not the distribution
of the field variables. All criteria utilised for removing elements must be regarded as
computational artifices to cope with the singularity at the sharp tip of the tool in order to
allow the tool to move during finite element analysis. In other words, they do not
physically model the essence of material separation at the tip of the tool.
The second, ‘proper’, approach to include work of separation incorporates the
fracture separation work in the total potential work rate E(u) associated with the solution
of material deformation problems. The yield surface of the material is thereby modified
by the fracture work of surface formation at the crack initiation sites. This methodology
would also reveal the boundary layers in which separation occurs and the local energy
absorbed as propagation of cracks proceeds. This second approach requires complex
finite element models that are able to correlate macroscopic plastic flow with
microscopic growth and separation of surfaces (Andrade Pires et al., 2003). This method
is related to FEM calculations in which ‘ductile damage’ is included as well as plasticity
and friction (Brokken et al., 1997; Clift et al., 1990; Gouveia et al., 1996; Taupin et al.,
1996; Zhu et al., 1992). It is also related to porous plasticity modelling of cracking in
ductile fracture mechanics (Gurson, 1977; Tvergaard, 1981).
4 Conclusions
A new experimental test piece has been described for the independent determination of
the specific work of separation, for application in those metalforming processes such as
cutting and blanking where shear fracture occurs after preceding or accompanying,
plastic flow. Values so obtained serve both as a check on the reasonableness of ductile
fracture toughness determined from cutting tests and also for calibration of FEM
simulations of such processes.
In conjunction with the recent FEM modelling of steady-state and the transient
beginning of, cutting (Rosa et al., 2007, in press), we conclude that the deformation
fields of machining can be modelled quite well by traditional algebraic and FEM
methods in which only plasticity and friction are considered. However, such analyses
underestimate the experimental forces when independently-determined mechanical
properties (flow stress, toughness and friction), at the correct rates and temperatures, are
employed. The deficiency in predicting the experimental forces is directly connected to
not including work of surface formation (separation) in the analyses.
Acknowledgements
Pedro Rosa and Paulo Martins would like to acknowledge POCI-2010 and PTDC/
EME-TME/64575/2006, FCT-Portugal for the financial support.
References
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Recent advances in plasticity applications in

metal machining: slip-line models for machining
with rounded cutting edge restricted contact
grooved tools
Xiqun Wang*
TechSolve, Inc,
6705 Steger Drive,
Cincinnati, OH 45237
Fax: 513+948-2114
E-mail: wang@techsolve.org
I.S. Jawahir
UK Centre for Manufacturing,
University of Kentucky, USA
E-mail: jawahir@uky.edu
Abstract: This paper presents a summary of new findings on plasticity

applications in metal machining, primarily covering the recent efforts on
developing new slip-line models for machining with restricted contact grooved
tools which involve a finite cutting edge radius. Extended application of the
initially developed plane-strain, rigid-plastic slip-line fields to take account of
strain, strain-rate and temperature effects is shown to provide non-unique
solutions for machining with grooved tools which most commonly incorporate
geometric features such as a restricted contact and a rounded cutting
edge. Predictions of cutting forces, chip thickness, chip up-curl radius,
temperatures and flow stresses at the primary shear zone and at the tool-chip
interface, etc. are made for a range of input conditions in orthogonal
machining. The practical impact of these new findings on tool-wear and cutting
tool design are emphasised in this paper.
Keywords: machining; plasticity; slip-line model; restricted contact.
Reference to this paper should be made as follows: Wang, X. and Jawahir, I.S.
(2007) ‘Recent advances in plasticity applications in metal machining:
slip-line models for machining with rounded cutting edge restricted contact
grooved tools’, Int. J. Machining and Machinability of Materials, Vol. 2,
No. 3, pp.347–360.
Biographical notes: Xiqun Wang is a Machining Research Engineer at

TechSolve, Inc., Cincinnati, OH, USA. He received his MS and PhD in
Mechanical Engineering from the University of Kentucky and his BS in
Mechanical Design and Manufacturing from Tsinghua University, Beijing,
China. He has almost a decade of research and technical experience in the area
of Manufacturing, specifically, machinability, machining predictive modelling
and machining optimisation. He has published over 20 research papers in
refereed journals and conference proceedings and he is a Member of ASME.

348 X. Wang and I.S. Jawahir
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), has published over 150 research papers in refereed journals
and conference proceedings and has four US patents. His current research
includes modelling and optimisation of machining operations and sustainable
manufacturing. He is a Fellow of CIRP (The International Academy for
Production Engineering) and a Member of ASME, NAMRI/SME. He is the
Technical Editor of the Journal of Machining Science and Technology.
1 Introduction
Machining operations constitute a large segment of the manufacturing sector worldwide.

Machining productivity is important to growing national economy. However, the current
level of machining productivity is inadequate to meet the rapidly changing industrial and
societal demands for manufactured products involving machining as a base-operation.
Lack of predictive models and optimisation techniques for shop floor applications of new
knowledge from research is a major impediment for the poor machining performance
which often leads to economic losses in machining-based manufacturing industries.
Thus, conducting a systematic study of machining performance measures such as
tool-wear/tool-life, part accuracy, surface quality, chip control and cutting forces/power
and developing suitable predictive models to provide optimised conditions, for process
planning, has in recent times become a major research direction in machining
(van Luttervelt et al., 1998). Since the early work of Ernst and Merchant (1941) and the
subsequent work by Merchant (1944), which laid the foundation for analytical modelling
of machining processes, for over six decades, the world research community has been
very active in developing newer and more advanced analytical, numerical, empirical,
AI-based and hybrid modelling techniques for various machining applications. The
application of plasticity theory for machining applications was shown in the subsequent
work by Lee and Shaffer (1951), Palmer and Oxley (1959) and Johnson (1962) using
slip-line field solutions. While the early emphasis on these slip-line models focused on
developing kinematically admissible fields satisfying stress boundary conditions, much
of the subsequent work by numerous researchers were still centred around modelling of
machining with sharp, flat-faced tools which are not only unrealistic, but also overly
simplistic. In recent years, significant new efforts are being made to develop slip-line
models for machining with grooved tools having a finite rounded cutting edge.
This paper presents major findings of research efforts undertaken at the University of
Kentucky for over the last six years in developing new and practical slip-line models
which involve predictions of machining variables such as forces, chip thickness, chip
back-flow angle, chip curl radius, etc. for machining of ductile materials with rounded
cutting edge restricted to contact grooved tools.
2 Universal slip-line model
Modelling of restricted contact machining operations using rigid plastic slip-line methods
involving centred fans was first shown by Johnson (1962), followed by verification of
this model by Usui and Hoshi (1963). Subsequent work by Kudo (1965) showed several
Recent advances in plasticity applications in metal machining 349
admissible slip-line models for machining. Johnson (1967) showed an extended slip-line
model involving double centred fans to represent a rounded cutting edge. Dewhurst
(1978) showed the non-uniqueness of machining process through his extensive analysis
involving curled chip formation. Jawahir (1986) in his early work produced
slip-line models for machining with restricted contact tools having a rounded finite
cutting edge, and verified it experimentally. His subsequent experimental work using
high speed filming showed the cyclic nature of the chip formation process for which
the traditionally known quasi-static modelling assumptions were shown to be
inappropriate (1990). More recent work on modelling of machining operations involves
the development of an analytical predictive model to take account of the cyclic chip
formation process including chip curl and chip breaking (Fang and Jawahir, 1996). While
theories were lacking for such cyclic chip formation, it was considered appropriate to
develop predictive models step by step.
The above fundamental work recently led to the development of a universal slip-line
model by Fang et al. (2001), as shown in Figure 1. Based on the rigid-plastic and
plane-strain assumptions used in the classic slip-line theory, the model takes into account
of both the chip up-curling and chip back-flow effects and incorporates six previously
developed slip-line models for machining during the last six decades as special cases:
Dewhurst’s model (1978), Shi and Ramalingam’s model (1993), Kudo’s model (1965),
Johnson’s (1962) and Usui and Hoshi’s (1963) models, Lee and Shaffer’s model (1951)
and Merchant’s model (1944). This universal slip-line model has been validated for
cutting forces through extensive cutting tests covering a wide range of cutting conditions
(Fang et al., 2001).
Figure 1 Universal slip-line model (a) and its hodograph (b) for curled chip formation
with chip back-flow for restricted contact tools
Source: Fang and Jawahir (2001).
By incorporating an additional chip-groove backwall force, the universal slip-line model

is extended for machining with restricted contact grooved tools, as shown in Figure 2,
where AC is a convex upward shear plane; θ, ψ, η1 and η2 are four slip-line angles and
Fb and Nb are frictional and normal forces acting on the chip-groove backwall. This
model has subsequently been extended to incorporate the effects of strain, strain-rates
and temperatures based on Oxley’s predictive model (Oxley, 1989), and it provides a
good correlation for cutting forces between predictions and experiments (Fang and
Jawahir, 2002).
Figure 2 Extended universal slip-line model (a) and its hodograph (b) for machining
with grooved tools
Source: Fang and Jawahir (2002).
3 The extended universal slip-line model for grooved tools
The basic chip-groove parameters shown in Figure 3 are essential for facilitating
effective chip-curl to enable chip breaking in machining with a grooved tool.
The universal slip-line model was recently extended by Wang and Jawahir (2003) for
machining with restricted contact grooved tools to consider the effects of these
chip-groove parameters. This model is shown in Figure 4.
Figure 3 Basic chip-groove parameters in a typical, simple grooved tool
Figure 4 Extended universal slip-line model to machining with restricted contact grooved
tools (a) slip-line model and (b) hodograph
4 Methodology for prediction of tool-chip interface friction
Figure 5 shows the basic structure of the methodology for predicting the tool-chip
interface friction (Wang and Jawahir, 2003). By applying the slip-line model in
machining with grooved tools, contours of chip geometry, chip thickness t2 and chip
up-curl radius Ru, are obtained with respect to ranges of PA/k and τ/k. If the actual chip
geometry (i.e. t2 and Ru) is given, the actual PA/k and τ/k can be determined by finding
the intersection of two curves in the overlapping contour of t2 and Ru. The slip-line model
can then be applied to predict the actual cutting forces, chip back-flow angle, backwall
forces, etc.
Figure 5 Basic structure of the new methodology for predicting the tool-chip
interface friction
5 The new slip-line model for rounded cutting edge grooved tools
5.1 Introduction
The universal slip-line model is extended for machining with restricted contact rounded
grooved tools as shown in Figure 6. Dewhurst and Collins’s (1973) matrix technique for
numerically solving slip-line problems has been applied in the mathematical modelling
of the slip-line field. A computer program written in the Matlab Software has been
developed using the matrix technique and non-linear equation solver of the optimisation
toolbox. The slip-lines HL and KJ (see Figure 6(a)) are taken as the base slip-line and its
radius of curvature is denoted by a column vector σ1 and σ2.
5.2 Relationships between slip-line field and hodograph

According to Green (1954), the velocity of a slip-line curve in a rotating rigid body is
mapped on the hodograph as a geometrically similar curve rotated through an angle 90°
in the same rigid-body rotating direction. Thus, when the deformed chip is rotating
rigidly with an angular velocity ω, the slip-line curves AI, IJ, JK, KL and HL will also
appear in the hodograph, but rotated through 90° in the direction of ω, and multiplied by
the scale factor ω. The curves ai, ij, jk, kl and hl in the hodograph shown
(see Figure 6(c)) will be geometrically similar to the curves AI, IJ, JK, KL and HL in the
slip-line field (see Figure 6(a)).
Figure 6 Extended slip-line model for machining with rounded cutting edge restricted
contact grooved tools (a) slip-line field; (b) enlarged secondary
rake region and (c) hodograph
5.3 Solutions to non-linear system

A system of five non-linear equations are established with five unknown variables, that
is, five slip-line field angles, θ1, θ2ψ, η1 and η2.
⎧ f1 = µ b Fx′ − Fy′ = 0
⎪ f = M ′ + F ′CC − F ′CC = 0
⎪ 2 x 1 y 2
⎪ f = h2 − X
( ) ( )
2 2
⎪ 3 f − gf − Y f − bf + X f − bf + Y f − gf = 0
⎨ (1)
( )
⎪ f 4 = h ′ 2 − ( X l − hl − Yl − hl ) + X l − gl + Yl − gl = 0
2 2
⎪
⎪ ⎛ t2 ⎞ GW ′
( )
⎪ f5 = ⎜⎝ Ru + 2 ⎟⎠ sin γ 2 + ηg − 2 = 0
⎩
5.4 Integration of Oxley’s machining theory

Figure 7 shows the flowchart of the predictive slip-line model for restricted contact
grooved tools with a rounded cutting edge.
5.4.1 Strains and strain-rate

Oxley’s machining theories (Oxley, 1989) are integrated with the new slip-line model.
The equivalent shear plane angle φe can be defined as
cos γ 1
φe = tan −1 (2)
t2 / h − sin γ 1
where restricted contact length h and primary rake angle γ1 are two input parameters of
the slip-line model and chip thickness t2 is an output parameter of the slip-line model
(Dewhurst, 1978).
The strain γAB and the shear strain-rate γAB are obtained by
cos γ 1
γ AB = (3a)
2 sin φe cos (φe − γ 1 )
CVs sin φe
γAB = (3b)
h
where C is the constant defined by Oxley and for plain carbon steel, C = 5.9, on the basis
of experimental results. Vs is the shear velocity on the shear plane.
5.4.2 Material thermal properties

5.4.2.1 Along shear plane According to Oxley’s machining theory (Oxley, 1989), the
specific heat S for 0.45% carbon steel which is used in experiments of this research work
is given by
( )
S JKg −1K −1 = 420.0 + 0.504T (D C) (4)
where T is the material temperature.

Figure 7 Flowchart of the new slip-line model for machining with rounded cutting
edge restricted contact grooved tools
The thermal conductivity K is obtained by
( )
K Wm −1K −1 = 46.52 − 0.0214T (D C) (5)
The temperature rise in the primary shear zone ∆TSZ is given by

1 − β Fs cos γ 1 1− β kAB cos γ 1
∆TSZ = = (6)
ρ St1 w cos (φe − γ 1 ) ρ S sin φe cos (φe − γ 1 )
where ρ is the material density, ρ = 7862 Kg/m3 for 0.45% carbon steel and β is the
proportion of heat conducted into the work. The value of β (0 < β ≤ 1) can be estimated
using the following empirical equations
β = 0.5 − 0.35 log ( RT tan φe ) for 0.04 ≤ RT tan φe ≤ 10.0 ⎫
⎪
β = 0.3 − 0.15 log ( RT tan φe ) for 10.0 < RT tan φe ≤ 40.0 ⎬ (7)
β=0 for RT tan φe > 40.0 ⎭⎪
where RT is a non-dimensional thermal number defined as

ρ SUt1
RT = (8)
K
The above equation for β is based on experimental data compiled by Boothroyd (1963).
Thus, the average temperature along the shear plane AB in Figure 6 is taken as
TAB = Tw + η∆TSZ (9)
where the factor η (0 < η ≤ 1) allows for the fact that not all of the plastic work of chip
formation has occurred on the shear plane. It is assumed that η = 0.7 (Oxley, 1989).
5.4.2.2 On the tool-chip interface The maximum shear strain-rate at the tool-chip
interface is assumed to be given by
V
γint = (10)
(δ t2 )
where δ = 0.05 is the ratio of thickness of tool-chip interface plastic zone to chip
thickness (Oxley, 1989).
The average temperature at the tool-chip interface is taken as
Tint = Tw + ∆TSZ + κ∆TM (11)
where the factor κ (0 < κ ≤ 1) accounts for the possible variation of the temperature
along the tool-chip interface. It is assumed that κ = 0.9.
The maximum temperature rise ∆TM in the chip is calculated from the empirical
equation (Boothroyd, 1963)
⎛ ∆T ⎞ RT t2 ⎛R t ⎞
log ⎜ M ⎟ = 0.06 − 0.195δ + 0.5 log ⎜ T 2 ⎟ (12)
⎝ ∆TC ⎠ h ⎝ h ⎠
where ∆TC is the average temperature rise in the chip and is given by
F sin φe
∆TC = (13)
ρ St1 w cos (φe − γ 1 )
5.4.2.3 Material shear flow stress The shear stress kAB is found from (Kopalinsky and
Oxley, 1987)
(
kAB = σ 1 / 3 ε AB
n
) (14)
where εAB is uniaxial strain on the shear plane. The flow stress σ1 and strain hardening
index n are obtained by using Figure 8. The velocity modified temperature Tmod is
given by
⎡ ⎛ ε ⎞⎤
Tmod = TAB ⎢1 − v log ⎜ AB ⎟⎥ (15)
⎣⎢ ⎝ ε0 ⎠ ⎦⎥
where ν and ε0 are two constants. ν = 0.09 and the direct strain-rate ε0 = 1 / s.
Figure 8 Flow stress versus velocity modified temperature for 0.45% carbon steel
Source: Oxley (1989).
The shear flow stress kint in the chip adjacent to the interface is assumed to be given by
σ1
kint = (16)
3
where σ1 corresponds to the value of Tmod at the interface as shown in Figure 8.
6 Results and discussion
6.1 Influence of cutting edge radius

The cutting edge radius ρe is one of the most critical factors directly controlling the stress
state of the plastic region. Figure 9 shows the influence of cutting edge radius ρe on
machining parameters. It can be seen in Figure 9 that with the increase in the cutting
edge radius ρe
1 the cutting force Fc decreases and the thrust force Ft increases
2 the chip thickness decreases
3 the chip up-curl radius increases.
Figure 9 Influence of cutting edge radius ρe (τ1/k = τ2/k = 0.7, τ3/k = 0.9, t1/h = 1.2, γ1 = 5°,
BH/h = 0, GW/h = 5, µB = 0.2, φ1 = φ2 = 45°, h′/h = 0.3, γ2 = 30°) (a) cutting forces;
(b) ratio of cutting forces; (c) chip thickness; (d) chip up-curl radius; (e) average
strain-rate; (f) maximum strain-rate; (g) average temperature on AB and
(h) temperature at the tool-chip interface
Figure 9 Influence of cutting edge radius ρe (τ1/k = τ2/k = 0.7, τ3/k = 0.9, t1/h = 1.2, γ1 = 5°,
BH/h = 0, GW/h = 5, µB = 0.2, φ1 = φ2 = 45°, h′/h = 0.3, γ2 = 30°) (a) cutting forces;
(b) ratio of cutting forces; (c) chip thickness; (d) chip up-curl radius; (e) average
strain-rate; (f) maximum strain-rate; (g) average temperature on AB and
(h) temperature at the tool-chip interface (continued)
Furthermore, the ploughing force P and the thrust force Ft increase as the cutting edge
radius increases.
The average strain remains almost constant with increasing cutting edge radius while
the average strain-rate slightly increases along with maximum strain-rate exponentially
reducing. This indicates the sensitivity of strain-rate at very low cutting edge radius. This
behaviour is very consistent with the size effect observed in conventional machining by a
number of previous researchers.
The average shear plane temperature remains almost constant while the
tool-chip interface temperature increases very rapidly and then reaches an almost
constant value.
6.2 Influence of position of the stagnation point S

The stagnation point is generally considered to vary along the cutting edge during
cutting. Therefore, the position of the stagnation point S in Figure 6 affects machining
parameters. Figure 10 shows the influence of the angle of the stagnation point S on
machining parameters. As the angle φ1 varying from 0 to 90°, the stagnation point S
moves from point B to point N along the cutting edge. It can be seen in Figure 10 that
with the increase in the angle φ1,
1 the cutting forces slightly increases
2 the chip thickness slightly increases
3 the chip up-curl radius slightly increases.

Figure 10 Influence of ratio of the angle of stagnation point position on (a) cutting forces;
(b) ratio of cutting forces; (c) chip thickness and (d) chip up-curl radius
(τ1/k = τ2/k = 0.7, τ3/k = 0.9, t1/h = 1.2, γ1 = 5°, ρe /h = 0.5, BH/h = 0, GW/h = 5,
µB = 0.2, h′/h = 0.3, γ2 = 30°)
7 Conclusion
This paper presents a summary of new findings on plasticity applications in metal

machining, primarily covering the recent efforts on developing new slip-line models for
machining with restricted contact grooved tools which involve a finite cutting
edge radius. Extended application of the initially developed plane-strain, rigid-plastic
slip-line fields to take account of strain, strain-rate and temperature effects is shown to
provide non-unique solutions for machining with grooved tools which most commonly
incorporate geometric features such as a restricted contact and a rounded cutting edge.
Predictions of cutting forces, chip thickness, chip up-curl radius, temperatures and flow
stresses at the primary shear zone and at the tool-chip interface, etc. are made for a range
of input conditions in orthogonal machining. The practical impact of these new findings
on tool-wear and cutting tool design are considered to be high.
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Development of a friction model for the

tool-chip-workpiece interfaces during dry
machining of AISI4142 steel with TiN coated
carbide cutting tools
F. Zemzemi*
LTDS, Ecole Nationale d’Ingénieurs de Saint-Etienne,
58 rue Jean Parot,
Saint-Etienne 42000, France
LGM, Ecole Nationale d’Ingénieurs de Monastir,

Avenue Ibn Al-Jazzar,
Monastir 5019, Tunisie
E-mail: farhatbenoth@yahoo.fr
J. Rech
LTDS, Ecole Nationale d’Ingénieurs de saint-Etienne
58 rue Jean Parot,
Saint-Etienne 42000, France
Fax: +33-4-77-43-75-39
E-mail: joel.rech@enise.fr
W. Ben Salem and A. Dogui

LGM, Ecole Nationale d’Ingénieurs de Monastir
Avenue Ibn Al-Jazzar,
Monastir 5019, Tunisia
E-mail: wacef.bens@ipeim.rnu.tn
E-mail: abdel.dogui@enim.rnu.tn
P. Kapsa
LTDS, Ecole Centrale de Lyon,
36 avenue Guy de Collongue,
Ecully cedex 69134, France
E-mail: Philippe.Kapsa@ec-lyon.fr
Abstract: This work deals with the identification of a new friction model for
high speed dry cutting of AISI4142 steel with TiN coated carbide tools. Both
experimental and numerical studies were used to find the relationship between
friction coefficient, sliding velocity, contact pressure and contact temperature.
A tribometer, based on a plane-sphere contact configuration, has been
developed to reach extreme contact conditions similar to the ones occurring

362 F. Zemzemi et al.
during metal cutting. The apparent friction coefficient, provided by the ratio
between the tangential and normal forces, is measured. It is assumed that
this coefficient can be divided into two components: an adhesive coefficient
and a plastic deformation coefficient. The proportion of each component is
investigated by means of a numerical model simulating the friction of a sphere
with similar contact conditions.
Keywords: friction; adhesion; numerical simulation; cutting.
Reference to this paper should be made as follows: Zemzemi, F., Rech, J.,
Salem, W.B., Dogui, A. and Kapsa, P. (2007) ‘Development of a friction
model for the tool-chip-workpiece interfaces during dry machining of
AISI4142 steel with TiN coated carbide cutting tools’, Int. J. Machining and
Machinability of Materials, Vol. 2, No. 3, pp.361–377.
Biographical notes: F. Zemzemi is pursuing his PhD under the joined

supervision at the ENISE (Saint-Etienne, France) and ENIM (Monastir,
Tunisia).
J. Rech is the Head of the Department of Manufacturing Engineering at the

ENISE (Saint-Etienne, France). He is leading a Research Team in the
laboratory LTDS in the field of Machining Processes.
W. Ben Salem is an Assistant Professor at the ENIM (Monastir, Tunisia). He is

conducting Research in Cutting Processes.
A. Dogui is the Director of the Research Laboratory LGM at the ENIM

(Monastir, Tunisia). He is leading a Research Team in Computational
Mechanics.
P. Kapsa is the Director of the Research Laboratory LTDS at the ECL (Lyon,
France). He is leading a Research Team in Tribology.
1 Introduction
In the context of a global competition, companies from European countries must improve
their productivities. As a consequence they have to optimise their production processes
including cutting processes. To do this, industry adopts very high cutting regimes (high
cutting speeds and feed rates). Under severe conditions, caused by high cutting regime,
the mechanical stresses and temperatures at tool-chip interface and around the cutting
edge can be critically high resulting in excessive tool wear or even premature tool failure.
Therefore, it is necessary to develop an accurate cutting process simulation to identify
optimum cutting conditions in terms of, tool material, tool geometry and coating in order
to sustain the improvement of productivity of machining operations. Nevertheless, the
‘cutting’ scientific community regrets an important lack of fundamental understanding of
the phenomena occurring at the tool-chip interface (‘secondary shear zone’ in Figure 1)
and at the tool-workpiece interface (‘rubbing zone’ in Figure 1) to achieve an accurate
modelling by means of finite element methods (Özel, 2006). So far, the Coulomb model
with a constant coefficient, irrespective of temperature and pressure, is usually used to
simulate the friction phenomena at these interfaces. Moreover, the value of this
Development of a friction model for the tool-chip-workpiece 363
coefficient is not predetermined by any tribological investigations, but is used as a

variable parameter allowing the adjustment of the numerical results in order to fit the
experimental data, especially the cutting force. However, it is now generally accepted
that the Coulomb friction model cannot represent the contact at tool-chip-workpiece
interfaces during cutting operation because of exceptional mechanical and thermal
loadings high velocity (1–10 m/s), high temperatures (20–1000°C), high pressures
(up to 2 GPa) since (Buryta et al., 1994; Trent, 1991).
Figure 1 Illustration of the various strategic zones in cutting
In order to investigate the tribological phenomena at these interfaces, several frictional

set-up have been developed. The most widely known set-up is the pin-on-disc system,
which is unfortunately unable to simulate the contact conditions in cutting, since the
conditions (temperature, pressure) are not relevant to that observed in reality (Grzesik
et al., 2002). The contact pressure allowed using these systems cannot reach 1 GPa.
Moreover, during a cutting operation, the chip flows on the rake face and never
comes back. In parallel, the cut surface rubs the flank face and is never more in contact
with the tool (see Figure 1). So the contact between the workmaterial and the pin has to
be regenerated continuously. One particle of workmaterial should never return in the
contact. On the contrary, during Pin-on-disc test, the same portion of workmaterial enters
in contact with the pin after each revolution.
Based on this statement, Hedenquist and Olsson (1991) proposed a new configuration
as shown in Figure 2(a). This experimental set-up can lead to a sufficient sliding velocity
(3 m/s). The local pressure (15 MPa) is higher than the previous conventional
pin-on-disc, but remains insufficient (compared to some GPa in cutting, since (Trent,
1991)) to simulate the tribological phenomena exhibited during the machining process.
Moreover, this device has a limited sliding distance and cannot simulate the contact
conditions of a cutting operation.
Grzesik et al. (2002), developed a long sliding distance laboratory testing, employing
a special equipment layout based on line type of contact between a cylindrical specimen
(round insert) and a flat rotating disc illustrated in Figure 2(b). This tribometer can
measure the friction force Ff and the linear wear of coupling materials as a function of
the sliding distance. This friction test has been used to investigate the wear resistance of
some cutting tool coatings under very high sliding speed (0.5–3 m/s) and high long test
time (1200 s). However, the contact pressure remains insufficient to simulate the contact
conditions occurring at tool-chip-workpiece interfaces (∼10 MPa). Moreover the pin rubs
on a single track and the surface is not refreshed.
Figure 2 (a) Hedenqvist’s tribometer (Hedenquist and Olsson, 1991); (b) Grzesik’s tribometer
(Grzesik et al., 2002) and (c) Olsson’s tribometer (Olsson et al., 1989)
Olsson et al. (1989) proposed another configuration (Figure 2(c)), in which a pin is
placed just after a cutting tool during the machining of a tube’s flat face. In this case, the
pin rubs on a refreshed surface. The friction sliding speed and the contact temperature are
similar to that occurring in dry machining, but the contact pressure remains low (around
15 MPa versus some GPa in cutting) due to a lack of rigidity of the system and due to a
risk of chip formation in front of the pin (stress concentration in the border of flat pins in
the contact).
Several devices based on this solution have been developed with various
improvements compared to the original system overcome the insufficient contact
pressure. This pressure was increased to 100 MPa in the solution proposed by Joyot
(1994). Recently the friction devices, designed by Meiller et al. (2000), can simulate
higher contact pressures (around 900 MPa) under high sliding velocities (around 3.6 m/s)
and dry conditions. The pressure remains limited otherwise the pin generates a chip,
which is not expected. However, this solution is unable to provide accurate information
about the average temperature and average pressure at the interfaces since it is limited to
macroscopic observations as stated by Ryckelynck and Meiller (2002).
The purpose of this paper is to present a new experimental set-up based on the
principle of Olsson’s system, combined with a numerical analysis to investigate the
intensity of friction occurring at tool-chip-workpiece interfaces during high speed dry
cutting of AISI4142 steel with TiN coated carbide tools.
2 Experimental approach
2.1 Set up
A new tribometer has been developed in order to reach relevant contact conditions.
The principle of this experimental set up is illustrated in Figure 3. This device is based on
the principle proposed by Olsson et al. (1989) and is installed on a lathe. A tubular
workpiece, made of steel (AISI4142 – 290 HB), is fixed onto a lathe’s chuck. A cutting
tool refreshes the surface on the one side of the tube, whereas the pin is applied on
the refreshed surface on the other side. The normal force is applied by means of a
pneumatic jack.
Figure 3 Illustration of the new tribometer installed on a lathe
The pin is a cylinder with a spherical surface at its extremity. It is made of cemented
carbide with a similar grade to the one used for cutting tools. Pins have been coated with
a TiN layer obtained by Physical Vapour Deposition (PVD). This sphere-plane contact
configuration has been chosen to reach a sufficient contact pressure and to avoid the
risk of chip formation. The pin is maintained by a pin-holder in his cylindrical part. The
pin-holder is fixed onto a dynamometer.
The cutting tool used to perform the regeneration of the surface is always a new tool.
Its geometry and composition are constant to avoid any disturbances. Its geometry is a
TiN coated carbide TPKN PPR 16 insert, having no chip breaker. The feed per
revolution enables to regenerate the contact between the work material and the pin.
So the work material never returns in the contact.
2.2 Test procedure

The contact between an AISI4142 steel and a TiN coated carbide pin under dry and
severe conditions is investigated. The testing conditions are as follows:
• A spectrum of sliding rates are considered in this study: 0.3 = > 6.4 (m/s),
corresponding to the material flow rate around a cutting tool during the
machining of such a steel.
• Since, the pressure at the contact cannot be modified significantly by varying
the normal force with a single sphere geometry, three diameters of sphere have
been used: 9, 13 and 17 mm in order to scan a range of contact pressure. The
normal force, applied on the pin, remains constant at 1000 N.
Hertz’s model cannot be applied to estimate the average contact pressure, since the work
material is strongly plastifically deformed. So the pressure is estimated by measuring the
width of the pin’s track after each test. By assuming that the deformation of the pin is
negligible, a geometrical calculation leads to the estimation of the contact area. The
normal forces divided by this area provides an approximation of the average contact
pressure. The estimated values are reported in Table 1. More accurate values will be
determined by numerical modelling in the next paragraph.
Table 1 Average contact pressures during friction tests
Pin’s sphere diameter (mm) Contact area (mm²) Average estimated pressure
(geometrical calculation) (MPa)
17 0.66 1507
13 0.52 1925
9 0.39 2546
During friction tests, the temperature of the surface before the rubbing of the pin is not
the room temperature, since the cutting tool, refreshing the surface, has brought a large
quantity of energy. Owing to the difficulties in calculating the average initial temperature
in this area, temperature measurements have been conducted. For this step, the tubular
workpiece has been refreshed in the same conditions as during a defined friction test
(same sliding velocity). In the same time, the system ‘pin + pin–holder + dynamometer +
jack’ (see Figure 3) has been removed from the lathe and replaced by an infrared camera
observing the theoretical contact area. The infrared camera was equipped with a
microscope in order to focus on a surface of 3 × 3 mm, corresponding to the width of the
tube. A preliminary calibration of the camera with a black body and an estimation of
the emissivity of AISI4142 steel have enabled the estimation of the temperature in the
range 400–900°C. The practical methodology to perform such measurements with a
reasonable accuracy is explained in Thomas (2004). Table 2 provides the estimated
values of the temperatures before the friction of the pin for each velocity. The apparent
friction coefficient µapp is given by:
Ft
µapp = (1)
Fn
where Ft is the friction force measured by the dynamometer and Fn is the normal force
induced by the jack.
Table 2 Initial contact temperature before friction depending on the velocity
Sliding velocity = refreshing velocity (m/s) Initial temperature (° C)

1 250
1.6 300
2 320
2.5 350
3.3 375
2.3 Experimental results

An example of curves recorded during an experiment is plotted in Figure 4. It is
observable that, over 1 sec, the coefficient remains almost stable (the variation is limited
to 1%). So it has been decided to consider the value of the apparent friction coefficient
µapp after 1 sec.
Figure 4 Example of evolution of the friction apparent coefficient at the beginning of the
friction test (V = 2.5 m/s and P = 1600 MPa)
Each configuration has been replicated three times. The results are very reliable since the
deviation is around 1%.
Figure 5 represents the evolution of the apparent friction coefficient µapp with the
sliding speed for three different contact pressures corresponding to the three sphere’s
diameters. It appears that the apparent friction coefficient µapp decreases with the sliding
velocity. The overall shape of this evolution is close to a hyperbolic shape. The
amplitude of the variation is very high since a decrease of 54% occurs when changing
the velocity from 1 to 3.3 m/s. In parallel, the evolution of the contact pressure from
1500 to 2800 MPa decreases also the apparent friction coefficient µapp but the slope is
much smaller. The influence of the contact pressure seems to be more sensitive for small
sliding velocities, whereas it becomes almost negligible for high velocities.
Pin’s observation reveals that work material’s adhesion is very limited except for
the larger pressure (∼2800 MPa) and the larger velocity (over 2.5 m/s) as shown in
Figure 6.
It is possible to plot the evolution of the apparent friction coefficient versus the
density of mechanical energy given by P × V (w/mm²) when P is the average contact
pressure and V is the sliding speed. This energy is the cause of the increase of
temperature in the contact. As a consequence, this curve provides a preliminary
trend about the evolution of the apparent friction coefficient versus the temperature,
even if this analysis does not consider the initial temperature before the rubbing
(see Figure 7).
Figure 5 Evolution of apparent friction coefficient µapp with sliding speed and average
contact pressure
Figure 6 Influence of sliding speed and contact pressure on steel adhesion

Figure 7 Evolution of the apparent friction coefficient with the density of mechanical energy
The shape of the curve reveals two major zones. A first zone before 6000 (W/mm²), in
which the apparent friction coefficient decreases very much with mechanical energy.
So it is possible to assume that the apparent friction coefficient should also decrease with
the temperature in this range.
On the contrary, in the second zone over 6000 W/mm², the apparent friction
coefficient is not sensitive to the density of mechanical energy. This let us assume that,
for high temperatures, the friction coefficient is independent from the temperature.
The variation of friction coefficient with the temperature can be attributed either to a
modification of the tribological phenomena or to a softening of the work material.
Indeed, the adhesion can be different because of a lower or a higher tendency to create
chemical link between the TiN layer and the steel. It is also possible that, over a certain
temperature, the mechanical resistance of the work material is so limited that the material
flows at the interface, leading to a viscous liquid flow.
It is very difficult to clarify this situation without having information about the
proportion of evolution due to the plastic deformation and the proportion due to the
tribological phenomena. In other words, if we assume that the apparent friction
coefficient µapp can be modelled as the addition of a plastic deformation coefficient µplas
and an adhesive coefficient µadh, the proportion of each coefficient for each test has to be
estimated. Moreover the average temperature in the contact has to be determined.
In order to quantify such parameters, a numerical model of pin’s rubbing has been
developed. During such a theoretical analysis, all the thermo-physical parameters have to
be clearly predetermined, except for the friction model. As a consequence, the fit of the
experimental friction forces with the numerical values should allow us to determine the
µadh values by reverse engineering method. Finally the analysis of the evolution of µadh
versus the average pressure and the average temperature in the contact will lead to the
identification of a new friction model.
3 Friction test simulation
3.1 Structure of the numerical model

A finite element model has been developed in order to simulate the indentation and the
friction of the pin on the workpiece. The pin has been modelled by a part of a sphere.
The workpiece is a tube. But, in the contact, the workpiece can be modelled by a
parallelopiped having the same thickness since the curvature does not play any role in
this model, and on the contrary, induces higher CPU time. So the workpiece has been
modelled by a 3 × 5 × 10 mm parallelopiped. ABAQUS/EXPLICIT (v6.5) was used to
implement the model since it allows three-dimensional thermo-mechanically coupled
analysis. Figure 8 shows the geometrical configuration of the model.
The pin has been modelled as a deformable sphere formed by 5700 C3D4T
tetrahedron elements. The point RP (see Figure 8) is the reference point tied to rigid
part’s head partition and used to pilot the pin motion.
Figure 8 Configuration of the numerical friction model with the 9 mm pin
A parallelopiped workpiece is modelled by 42,970 hexagonal elements. The elements,

located in the contact, have a 50 µm size to obtain accurate results. The nodes, located at
the bottom of the solid are assumed as fixed.
Two steps are simulated in the model:
• Indentation step: In order to reach the desired normal force, a 23 µm indentation
depth is made into the workpiece. A low indentation velocity is applied on the
pin reference point.
• Scratch step: after the indentation step, the pin is moved in the sliding direction
with the sliding velocity.
3.2 Material behaviour

3.2.1 Work material properties
A Johnson-Cook flow stress model has been used to model the AISI4142 steel (Barge,
2005). This model is a strain-rate and temperature dependent visco-plastic material
model suitable for situations where strain rates vary over a large range (102 s−1–105 s−1)
and temperature changes owing to plastic deformation caused by thermal softening.
⎡ ⎛ ε ⎞⎤ ⎡ ⎛ T −T m⎤
room ⎞ ⎥
(
σ = A + B.ε pn ) ⎢1 + C ln ⎜ p ⎟ ⎥
⎢ ⎝ ε p 0 ⎠ ⎥⎦
⎢1 − ⎜
⎢ ⎝ Tmelt − Troom ⎠⎟ ⎥
(2)
⎣ ⎣ ⎦
where σ is the equivalent stress, ε p is the equivalent plastic strain, ε p is the plastic
strain rate, ε 0 is the reference plastic strain rate (1 s−1), Troom is the room temperature and
Tmelt is the melting temperature.
A is the initial yield stress [MPa], B is the hardening modulus [MPa], n is the
work-hardening exponent, C is the strain rate dependency coefficient and m is the
thermal softening coefficient.
The Johnson-Cook parameters used to simulate the behaviour of AISI4142 steel
are reported in Table 3. Physical properties of the steel are mentioned in Table 4.
Table 3 Johnson-Cook’s parameters
A (MPa) B (MPa) n C m
792 510 0.26 0.014 1.03
Source: Barge (2005).
Table 4 Physical properties of AISI4142 steel
Density Elastic Poisson’s Specific heat Cp Thermal Tmelt (° C)

ρ (kg/m3) modulus ratio ν (Jkg−1°C−1) conductivity
(GPa) λ (Wm−1C−1)
7800 200 0.3 477 0.046 1530
Source: Barge (2005).
The energy, provided by the plastic deformation, is computed as shown in Equation 3.

It was assumed that 90% of this energy is converted into heat and that 10% is devoted to
strain-hardening.
( ) (
ρ C pT – div λ gradT = 0.9 σ : ε p ) (3)
where ρ is the Apparent density; CP is the Mass heat capacity (Jkg−1C−1); T is the
Temperature (°C); λ is the Heat conductivity (Wm−1C−1); σ is the Stress tensor; ε p is
the Strain’s speed tensor.
3.2.2 Pin’s material properties

The pin has been considered as an elastic-plastic solid, without any coating. Indeed,
a 4 µm thickness layer made of TiN layer will not modify its deformation. Moreover, this
layer is unable to modify significantly the heat transfer in such context due to the long
contact duration as shown by Rech et al. (2004). However, the coating has a strong
impact on the tribological phenomena at the interface compared to an uncoated pin.
In our investigation, a single family of pin’s material was used, so the presence of a
coating in the numerical model is not necessary. However, the reverse engineering
procedure, based on the experimental results and the numerical results, will lead to the
quantification of the friction properties of the contact between the AISI4142 steel and the
TiN coated carbide pin.
The properties of the carbide substrate were determined by a semi-empirical
approach using several nano-indentation tests with various indenter’s geometry as
explained by Kermouche (2005). The plastic properties obtained by this identification are
reported in Figure 9. This curve has been identified at room temperature. It was assumed
that this behaviour is not significantly modified in the range of temperature reached in
this investigation. Indeed, the carbide substrate exhibit a very high elastic limit and a
high Young’s modulus (E = 630 GPa, ν = 0.22) compared to AISI4142 steel.
Additional thermo-physical properties of the carbide substrate are reported in
Table 5.
Figure 9 Stress-strain curve of the carbide substrate at room temperature
Table 5 Thermo-physical properties of the carbide substrate
Parameter Temperature (°C) Value

−1 −1
Specific heat (Jkg °C ) 20 226
320 296
520 326
820 342
Thermal conductivity (Wm−1°C−1) 23 44.6
600 59
800 51.2
Density (kgm−3) 12,800
3.3 Contact behaviour

The interaction between pin and work-piece materials is defined using a Coulomb
friction model. The relation between the friction stress τf and normal stress σn was
stated as:
τ f = µadhσ n
(4)
In order to have relevant information about the average temperature in the contact area,
the thermal conduction between the carbide substrate and the steel is allowed. No thermal
resistivity at the contact has been considered in the model.
3.4 Numerical results

A numerical simulation was carried out for each configuration. One configuration
means one sphere diameter and one sliding velocity (associated to a specific initial
temperature). Of course, when starting the simulation, the evolution of the µadh
coefficient versus the temperature and the pressure is not known since it is the objective.
So, various simulations were performed with various assumed values of µadh. Moreover,
the value is assumed to be independent of the pressure and of the temperature.
An apparent friction coefficient is calculated for each assumed µadh values. As an
example, for a 9 mm sphere and an initial temperature of 350°C (corresponding to a
sliding velocity of 2.5 m/s), the evolution of µapp versus µadh is plotted in Figure 10.
In this context, the experimental results have shown that µapp is around 0.28. So µadh is
almost equal to 0.254.
Figure 10 Determination of adhesive friction coefficient under a sliding velocity of

V = 2.5 m/s and a pressure of P = 2300 MPa using a numerical scratching model
The same reverse engineering method has been applied for each configuration to
estimate the proportion of adhesion and the proportion of plastic deformation for each
configuration. Figure 11 shows this proportion for various sliding speeds, since this
parameter is the most influential parameter as shown previously. It appears that around
90% of the apparent friction is due to adhesion. Only 10% is due to plastic deformation.
This result is almost the same for all configurations.
Consequently, a first conclusion of this investigation is that, when experimental tests
are conducted under extreme conditions with this experimental set-up, a good
approximation of the µadh values consists in calculating:
µadh ∼ 0.9µapp (5)
Based on this statement, it is now necessary to estimate the average contact temperature
for each configuration. So numerical simulations have been performed with relevant µadh
values for each case and the model has provided the average temperatures. In the same
time, the model has given more accurate values of the average pressure, compared to the
previously estimated values by a basic geometrical model.
Figure 11 Proportion of µplas and µadh coefficients versus sliding speed
The results are plotted in Figure 12. Three groups of pressure have been created even if
the pressure is not perfectly constant (but almost constant) inside each group (exact
values are available in Table 6). It reveals that the adhesion friction coefficient decreases
very significantly with temperatures and that it increases with pressure. The influence of
the temperature seems to be much more significant than the one of the pressure. These
observations confirm the trend previously expected from the basic analysis of the
macroscopic experimental results.
Additionally, these results show that the average temperature in the contact is very
high (between 500 and 800°C). It is questionable if microstructure modifications could
occur in this context since the temperature is not the single parameter responsible for
such metallurgical disturbances. The duration of exposure is also important. In this
tribological test, this duration is very low due to the high sliding velocity. Microstructure
modifications may occur after the contact behind the pin, but it will not affect
the identification of the friction model. So the influence of microstructure modifications
(during the contact) has been neglected.
Figure 12 Evolution of the contact temperature versus the adhesive friction coefficient
Table 6 Results of the numerical simulation for each experimental configuration
Average contact Sliding PV Average contact µapp µadh µadh (developed

pressure (MPa) rate (m/s) (w/mm²) temperature (exp) (numerical model)
(° C) model)
2801 0.4 1120.4 526 0.54 0.49 0.5
2812 0.5 1406 545 0.53 0.48 0.48
2935 1 2935 610 0.4 0.33 0.33
2840 1.6 4544 651 0.3 0.27 0.26
2830 2 5660 674 0.25 0.23 0.23
2790 2.5 6975 696 0.23 0.21 0.20
2750 3.3 9075 726 0.21 0.17 0.17
2759 4 1103.6 746 0.2 0.16 0.16
2701 5 1350.5 769 0.19 0.17 0.16
2788 6.4 17843.2 803 0.18 0.16 0.16
2273 0.3 681.9 492 0.59 0.53 0.50
2243 0.4 897.2 508 0.56 0.50 0.50
2316 1 2316 588 0.41 0.37 0.35
2258 1.6 3612.8 628 0.3 0.27 0.27
2312 2 4624 653 0.26 0.23 0.24
2241 2.5 5602.5 673 0.23 0.21 0.21
2188 4 8752 720 0.2 0.18 0.17
1615 0.5 807.5 500 0.5 0.45 0.48
1648 1.6 2636.8 599 0.32 0.29 0.29
1617 2 3234 619 0.27 0.24 0.26
1619 2.5 4047.5 640 0.25 0.23 0.23
1636 3.3 5398.8 670 0.22 0.20 0.20
An analytical model expressing the adhesive friction coefficient µadh versus the average
contact temperature and the average contact pressure has been determined:
µadh = 0.16 if T > 746°C

µadh = 5.56 × 107 T –3.3008 P 0.285 – 0.018 for 545 < T < 746°C (6)
µadh = 0.5 if T < 545°C
with T is the average contact temperature; P is the average contact pressure.

Equation 6 confirms that the exponent related to the temperature is much higher than
the exponent related to the pressure. The comparison between the real µadh and the values
obtained by the model are in Figure 13. This figure shows a good accuracy of the model
of about ±3%.
Figure 13 Friction model of contact under very extreme conditions
4 Conclusions
A new experimental tribometer designed for the characterisation of the tribological

phenomena in high speed dry cutting has been developed in this study. This set-up
enables to scan a large spectrum of contact pressure up to 3 GPa, under high velocities
(over 3 m/s) and high temperatures (500–800°C). A numerical model facilitates the
exploitation of the experimental results in order to reach local parameters such as
temperature and pressure. The system has shown that the apparent friction coefficient
is mainly determined by the adhesive phenomena (90%), whereas the plastic deformation
is only responsible for 10% of the apparent coefficient.
The system has been applied in the context of dry machining of AISI4142 steels with
TiN coated carbide tools. A new empirical model has been identified to predict the
adhesive friction coefficient under extreme conditions. This model has shown the larger
influence of the temperature compared to the pressure.
The perspective of this work is to implement this model in finite element models
involved in the simulation of cutting applications in order to improve the accuracy of
such models.
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378 Int. J. Machining and Machinability of Materials, Vol. 2, No. 3, 2007
Machining residual stresses and part distortions
Yury I. Zamashchikov
Irkutsk State Technical University,
83 Lermontov Street,
Irkutsk 664074, FD Siberia, Russia
Fax: +7-3952-43-05-83
E-mail: zamachtchikov@yahoo.fr
Abstract: Residual stresses and part distortions produced by the surface
machining and mechanical enhancement are jointly analysed. A general case of
superficial stress described by the two normal and in-plane shear components is
treated. Rigid kinematics processes, for example cutting, ball and diamond
burnishing typically produce this state. Inherent strain and stress are taken as
initial invariant parameters of the technological process in integral and detailed
fashion. Some simplified methods to evaluate integral parameters of the
surface treatment are discussed. The methods can help to avoid the expensive
investigation of in-depth residual stress distributions at the first step of
the studies.
Keywords: burnishing; distortion; inherent strain; metal cutting; process

monitoring; residual stress; surface enhancement; typical distribution.
Reference to this paper should be made as follows: Zamashchikov, Y.I.

(2007) ‘Machining residual stresses and part distortions’, Int. J. Machining and
Machinability of Materials, Vol. 2, No. 3, pp.378–412.
Biographical notes: Yury I. Zamashchikov received a PhD in Mechanical

Engineering from Novosibirsk Technical University, Russia in 1976. He was
awarded a Doctor of Science designation by Irkutsk Technical University,
Russia in 2001. He is a Professor in the Department of Machinebuilding
Equipment and Automation at the Irkutsk Technical University. He has also
worked at the Annaba University, Algeria and at the Sfax University, Tunisia
as a Professor in Mechanical Engineering and he has cooperated with Artois
University, France as a specialist in the residual stress field. His current
research interests include part distortions and surface integrity formation due
to mechanical surface treatments with special interest in the materials
behaviour aspect.
1 Introduction
As well documented, surface integrity parameters are closely correlated with

performances of machine parts (wear resistance, corrosion, fatigue strength, contact
rigidity, etc.). A constant trend to wider industrial application of highly resistant
materials and materials with special properties increases the role of the correct surface
specifications due to high sensitivity of these materials to the surface stressed state.
In corresponding studies, attention is focused on the residual stress and work hardening,
which are unavoidable consequences of the surface and in-bulk treatments of
such materials.

Machining residual stresses and part distortions 379
However, the formation of these parameters during manufacturing introduces some

stored energy in the machined part disturbing its equilibrium. Formed this way a new
stress equilibrium often results in part additional deformation after processing. These
deformations named distortions are manifested through different components depending
on the treatment conditions and on the specific part geometry: elongation-shortening
(including buckling), homogeneous shear, bending and twisting. Economic
considerations mainly due to the great effectiveness of the modern CNC machine tools
require creating large, thin monolithic parts constructed from the largest sections possible
in replacement of sheet assemblies. This increases the demand for a priori prediction of
distortions occurring in manufacturing processes. Distortion can degrade the product
performance, increase manufacturing cost and time due to the need for straightening and
for additional machining steps and quite causes excessive product rejection.
Distortions are in principle resulted from the stresses due to machining itself and
from removing previously stressed material of the workpiece. The latter is known as the
inherited residual stress caused by various heat-treatment operations necessary to obtain
the desired mechanical properties and corrosion resistance. When the stressed material is
removed by machining, these stresses may cause significant part distortion.
When the workpiece is free from the inherited residual stress, the residual stresses
and the distortion of a part machined from this workpiece are caused by the
elastic–plastic deformation of the surface layer due to machining or another surface
treatment. The relationship between residual stress, work hardening and distortion has
been utilised for a long time in industrial practice to monitor the surface and in-bulk
hardening. The following examples can be cited: the control of the shot peening and
other similar processes by means of Almen strips, the control of the cylindrical surface
enhancement (internal and external ball, roller or diamond burnishing) by slitting rings,
some methods of the thermal treatment monitoring. The surprising ability of these
classical methods for surviving becomes obvious if one realises the integral nature of
the results obtained using these methods which account for the energy accumulated in the
surface layer. The underlying stress distributions are forced to satisfy the requirements
of strain compatibility and stress equilibrium that often become violated in more
sophisticated but point-wised methods (Korsunsky, 2005). Therefore, the existing
methods for production monitoring of the surface treatment need to be analysed
theoretically in order to increase their accuracy and to extract more information from the
data obtained.
This paper firstly discusses the link between the residual stresses and distortions with
the zone of elastic–plastic deformation during treatment. A widespread schema explains
the residual stress formation but ignores the accompanying distortion. Such an approach
not only cannot explain the thin-walled part distortions, but also leaves out of
considerations a whole set of methods of production monitoring of the surface treatments
successfully applied in industrial practice. All the mentioned methods are in fact based
on the link between the residual stress and work hardening, on the one hand and the
distortion components of the test specimens, on the other hand. Therefore, a schema
describing the simultaneous formation of the residual stress and distortion has been
adopted in this study for the further development. This schema is based on the notions
‘inherent stress’ and ‘inherent strain’ mentioned in the literature as ‘initial stress’, ‘source
of stress’ and ‘eigenstrain’ (Flavenot and Niku-Lari, 1976; Isaev and Ovseenko, 1967;
Korsunsky, 2005). The theoretical justification of the schema and any elementary
sequences of the model will be discussed further.
380 Y.I. Zamashchikov
In the following, the notions ‘inherent strain’ and ‘inherent stress’ are introduced in
the system of existing notions on the material deformation utilising the deformation
curves and examples on the residual stress distributions. Then, a simplified evaluation of
the integral parameters of the inherent stress and strain is envisaged although this
evaluation deduced from their distributions is not an optimal way for some important
applications. The relationship between the distortion components of the elementary
specimens and the integral parameters of the inherent stresses deduced for the plate and
thin-walled tube models will be introduced.
The following stage is to define the link between the integral parameters and the
inherent stress distributions through the approximating functions. If the analysis of
the existing theoretical and experimental results reveals a common analytical type of the
inherent stress distribution, this analytical function can be normalised in such a way that
its integral parameters may coincide with those obtained by the measurements of the
distortion components of the elementary specimens. This will be an analytical inherent
stress distribution obtained without expensive in-depth residual stress investigation
and ‘coordinated simultaneously with the corresponding distortion components’.
The corresponding analytical solutions are presented concerning the monitoring of the
quenching and shot peening residual stresses.
Upon evaluation of experimental details, optimal techniques for the integral inherent
stress evaluation and their metrological parameters are presented. Finally, some examples
of the developed approach applications will be given.
2 Relations between the residual stresses, the distortions and the zone
of elastic–plastic deformations
Figure 1 shows the widespread common schema revealing the researchers’ notion about
the relation between residual stress distribution and elastic–plastic deformation zone
(Yatsenko et al., 1985). Surface layer is deformed up to the depth hd, divided into the
depth hp in which plastic deformations occur and the depth he with elastic deformations.
Residual stress distribution 3 is obtained as a difference of the stresses 1 of the elastic
solution and the actual stresses 2 due to material loading–unloading properties. As such,
the compressive residual stresses in the outer plastically deformed layers are the reaction
to the inner elastically stretched levels. Therefore, the residual stresses (due to the
mechanical factor) are represented by a surface compressive zone and by a subsurface
tensile zone. The residual stress penetration depth corresponds to the penetration depth
of the elastic deformation of the primary loading. The work hardening depth coincides
with the location of the maximal residual stress in the equilibrating zone.
Without going into details, it must be noted that the schema shown in Figure 1 does
not explain the thin-walled parts distortion due to surface machining owing to the
complete stress equilibrium in the deformation zone of the primary loading is provided.
It is evident that residual stress and distortion are of the same physical origin if the
machining parts free from previous residual stresses is considered. Thus, a schematic of
their simultaneous formation will be methodically correct. Such a schematic is
represented in the Figure 2 (Isaev and Ovseenko, 1967). Distribution 1 shows the stresses
induced in the surface layer by the tool action. These stresses are compressive.
The yielding condition is satisfied up to the depth hp; consequently, the surface layer is
compressed plastically within the limits 0,…, hp, whereas the deeper layers are
compressed elastically. The plastic deformation (distribution 2) leads to the hardening of

the corresponding area (work hardening distribution 3). The tool moving off will be
accompanied by the complete release of the stresses in the elastically compressed layer
and by the tensile inherent stress generation in the layer depth hp equilibrated by the
clamping forces (distribution 4). If the part is released from the clamping, the inherent
stresses will be in disequilibrium that is equivalent to the part loading by an axial force
and a bending moment (Figure 2(b)). As a result, self-equilibrated residual stresses are
found and a distortion appears manifested by the part shortening and by its bending in
the concavity direction (Figure 2(c)).
Figure 1 Residual stress formation during diamond burnishing
Source: Yatsenko et al. (1985).
Figure 2 Schema of the residual stress and distortion formation
Source: Isaev and Ovseenko (1967).
The following equation is proposed for the residual stress calculation following the
schematic
F 0 12 ⎛ h I 0 ⎞ ⎛ h ⎞ 0
σ =σ0 − − ⎜ − ⎟ − y⎟F (1)
h h 3 ⎝ 2 F 0 ⎠ ⎜⎝ 2 ⎠
hp hp
where F 0 = ∫ σ 0 dy; I 0 = ∫ σ 0 ydy are the force and moment integrals of the inherent
0 0
stress disequilibrium relative to the machined surface, correspondingly.

It can be shown that Equation (1) describes a particular case of the Birguer’s
common beam model of the residual stress calculation through the inherent strain known
(Birguer, 1963). His reasoning comes to the following.
Consider a section of the beam in which inherent strain ε 0 has appeared. The stress
state of the beam is assumed to be linear and oriented along with the longitudinal axis Z
(Figure 3). In a point of the section, the deformation is determined as
σ
ε =ε0 +
E
where ε 0 is the inherent strain along with the longitudinal axis; σ is the residual stress
and E is the elastic module.
Figure 3 Inherent strain in the beam
Source: Birguer (1963).
Strain compatibility condition in the form of the Bernoulli’s hypothesis gives

⎛ dϕ ⎞ ⎛ dψ ⎞
ε = εc + ⎜ ⎟y −⎜ ⎟x
⎝ dz ⎠ ⎝ dz ⎠
where εc is the relative displacement of the origin; ϕ and ψ are the rotation angles of the
section; x and y are the coordinates in the plane of the section.
Therefore, the residual stress can be calculated as
⎛ ⎛ dϕ ⎞ ⎛ dψ ⎞ ⎞
σ = E ⎜εc + ⎜ ⎟y −⎜ ⎟ x ⎟ − Eε
0
⎝ ⎝ d z ⎠ ⎝ dz ⎠ ⎠
Accounting for the equilibrium conditions, the deformation parameters relative to the
principal axes of the beam can be defined by the expressions
∫ Eε
0
dS
εc = S
∫ EdS
S
∫ Eyε
0
dS
dϕ
= S
dz ∫ Ey dS
2
∫ Exε
0
dS
dψ
= S
dz ∫ Ex dS
2
where S is the cross sectional area of the section.

Using a homogenous material assumption (E = const), one obtains

⎛1 y x ⎞
⎜ S ∫S ∫ ∫
σ = E⎜ ε 0 dS + yε 0 dS + xε 0 dS − ε 0 ⎟ (2)
J S Jy S ⎟
⎝ x ⎠
where Jx and Jy are the inertia moments of the section.
Equation (2) represents the Birguer’s beam model of the residual stress calculation
through the inherent strain known. Birguer cites analogous solutions for the ring, the disk
and the cylinder.
The residual strain (the expression in brackets) is the sum of the inherent strain ε 0
due to an external action and the compatible strain. The latter depends on the global
parameters of the inherent strain and on the beam rigidity (S, Jx, Jy). The compatible
strain contains a constant (first term in brackets) and a polylinear coordinate function
(second and third terms). Equation (2) shows a singularity of the conditions providing
a possibility of treatment without residual stresses. The residual strain must be equal
to zero; therefore, the inherent strain must be compatible, that is, presented by a
coordinate function not superior that polylinear one for the beam model. Elastic–plastic
elongated-shortening of the beam or internal pressure loading of the thin-walled tube are
the classical examples of loadings without residual stress formation, because the inherent
strain is constant throughout the section.
The inherent strain linearly distributed along with the coordinates of the section is not
attainable in practice. Even in pure bending of a beam where the loading strain varies
linearly with the coordinates, the non-linear inherent strain distribution is observed due to
non-linear stress–strain curves of materials.
Hence, a technological inherent strain field is practically always in contradiction with
the machined part compatibility condition. Besides, an inherent strain distribution always
contains a fraction satisfying the compatibility condition. Therefore, the reaction of the
shape of a machined part to inherent strain field consists of the compatible strain
formation in the cross section area that was not subjected to the external action and of the
inherent strain separation into compatible and non-compatible fractions in the cross
section area subjected to the inherent strain. The elastic residual strain field obtained is
linked to the residual stress distribution by the Hook’s law. Consequently, in principle,
this is the inherent strain or inherent stress field that must be considered in the design of
technological processes as far as any posterior field transformation involves specific part
parameters. The schematic in the Figure 2 illustrates this point.
Equation (2) rewritten in terms of stresses by the substitution
σ 0 = −Eε 0 gives
1 y x
σ =σ0 −
S ∫ S
σ 0 dS −
Jx ∫ S
σ 0 ydS −
Jy ∫ S
σ 0 x dS (3)
According to Equation (3), the residual stress is due to the inherent stress unloaded by
force and bending moment (σ = σ 0 − σf − σm). As the majority of machined parts are of
high relative rigidity, the residual stresses induced in these parts are practically equal to
the inherent stresses due to insignificance of unloading components σf and σm.
The integral terms of Equation (3), however, cannot be neglected for thin-walled parts.
In this case, elongation-shortening and biaxial bending of the part accompany residual
stress formation. The latter component is a combination of ordinary bending in a plane
normal to the machined surface and of bending in the plane tangent to the machined
surface resulted from a non-zero third integral due to asymmetric non-uniformity of the
inherent stress along with the X-axis. If the surface layer contains any shear inherent
strain and corresponding shear inherent stress owing to the principal stress deviation
from the part axes, uniform shear and twisting components of the part distortion are
additionally formed with the shear residual stress appearance. As seen from Equation (3),
the notion ‘residual stress’ can only be used if a specific geometrical part parameters are
clearly specified (S, Jx , Jy for the beam model). Consequently, the residual stress
observed in machined parts is not an invariant parameter of a specific machining or other
technological process generating inherent strain.
Consider a practically important case of surface machining of a part of a rectangular
cross-section on one side. The inherent strain is localised near by the machined surface of
the part. One can assume that the inherent strain is independent on the coordinates X and
Z in the machined plane so it varies in depth along the Y-axis only. Equation (3) is
simplified for this case ( J x = bh 3 /12; b = 1) to the following
1 h/2 0 12 y h / 2 0
σ = σ0 − ∫
h −h / 2
σ dy − 3 ∫
h −h / 2
σ ydy (4)
Transferring the origin from the neutral axis to the surface gives Equation (1) (Isaev and
Ovseenko, 1967).
Equations (1) and (4) are known in the literature in the following form (Korsunsky,
2005; Ovseenko, 1991)
6 ⎛ 2 ⎞ hp 0 2⎛ 3 ⎞ hp
σ = σ0 + 2 ⎜
1 − y⎟ ∫ σ ydy − ⎜ 2 − y⎟ ∫ σ 0 dy (5)
h ⎝ h ⎠ 0 h⎝ h ⎠ 0
Figure 4 shows the results of Equations (1), (4) and (5) application for different types of
the inherent stress distributions and for different beam thicknesses (see also Flavenot
and Niku-Lari, 1976; Isaev and Ovseenko, 1967; Korsunsky, 2005). The first pattern
1 (h = 1000 mm) is a graph of equation
σ max
0 ⎡ π ( y − η hp ) ⎤
σ0 = ⎢1 + cos ⎥
2 ⎢ hp (1 − η ) ⎥
⎣ ⎦
Figure 4 Inherent and residual stresses for different distributions and beam thicknesses
Its integration gives the global parameters of the distribution

σ max
0
hp ⎛ 1−η πη ⎞ σ max
0
hp2 ⎡ 2(1 − η)2 ⎛ πη ⎞⎤
F0 = ⎜⎝ 1 + π sin 1 − η ⎟⎠ I0 = ⎢1 − ⎜ cos + 1⎟ ⎥
2 4 ⎣ π 2
⎝ 1−η ⎠⎦
Adopting σ max
0
= −1500 MPa ; hp = 0.3 mm; η = 0.2; y = 0,…, hp, one obtains an
important global disequilibrium of the distribution F 0 = −265.5 MPa mm; I 0 = −26.28
MPa mm2.
The following formula presents the second distribution 2 (h = 1000 mm)
π ( y − η hp )
σ 0 = σ max
0
cos + C ( hp − y )
2hp (1 − η )
If one sets σ max

0
= −1500 MPa ; hp = 0.3 mm; η = 0.4; С = 8000; y = 0,…, hp, then a small
global disequilibrium of the distribution F 0 = 39.26 MPa mm; I 0 = −5.72 MPa mm2 of
opposite sign relative to the previous distribution would be the case.
A comparison of the patterns obtained on the basis of the first distribution reveals an
important difference between the residual and inherent stresses. If the beam thickness is
h = 3 mm (this thickness is usually recommended in mechanical measurements, that is, it
exceeds by an order plastically deformed layer depth supposed), the difference of the
maximal stresses is 23%. If h = 0.9 mm, this difference increases up to 60%. Another
residual stress parameter – penetration depth up to the change of sign – has similar
behaviour. It deviates more and more in decreasing direction from the depth of the plastic
deformation with the beam thickness being reduced and for example, it is 75% of this
value at h = 3 mm. Simultaneously, one can observe an essential increase in the reactive
residual stresses at the cross section area that was not subjected to plastic deformation.
The active and reactive stresses are practically equal in thin-walled sections.
A comparison of patterns 2 shows that the residual stresses are of small difference
from the inherent stresses even for the small beam sections and the reactive stresses are
of significantly less values when the global parameters of the inherent stress distribution
are not important. The residual stress penetration depth understood as a joint coordinate
between active and reactive stresses has the same behaviour: it is essentially equal to
the plastic deformation depth. As seen, there are in-depth levels of the active stresses
where the residual stress is superior to the inherent stress. It is clear that the analogous
levels will appear near by the surface if the sign of the global parameters of patterns 2
changes for the opposite one. The residual stresses are always inferior to the inherent
stresses in the fractions of distribution with a prevailing sign. One can say the part
rigidity governs the balance between residual stresses and distortions: the less the rigidity
the bigger is the distortion and the less are the residual stresses relative to the inherent
stresses.
3 Inherent strains and stresses
Consider some characteristic points on the deformation curve corresponding to the

possible relationships between stress and strain state parameters in order to locate
the concepts ‘inherent strain’ and ‘inherent stress’ in the system of existing notions on
the materials deformation (Figure 5).
Figure 5 Deformation curve and inherent stress
Primary loading of a layer during machining corresponds to the point A with the
coordinates σA, εA. The strain at the point consists of the plastic and elastic terms
εA = ε p +ε e
If the layer was isolated from the rest of the workpiece, its strain after unloading would
be equal to the plastic term ε p of the total strain εA. However, the presence of other layers
prevents the elastic component of the total strain from being reduced to zero. Point D
defines the state of total unloading of the layer compatibly with other layers of the
section deformed and non-deformed during primary loading. Its coordinates are the
residual stress σ and the total unloading strain ξ also presented by the sum of the plastic
and elastic terms
ξ = ξp +ξe (6)
Responsible for the residual stress formation, the elastic residual strain ξ е includes
two items
ξ e = ε e + ε (e) (7)
where ε е is the elastic strain before unloading.

During elastic unloading, this elastic strain detaches a compatible term ε(е) that
creates the elastic residual strain ξ е and the corresponding residual stress σ. The strain
decompositions represented by Equations (6) and (7) can only be determined if specific
part parameters (S, Jx, Jy for the beam model) and the global strain characteristics of the
surface layer deformation (Equation (3)) are known.
The inherent stress σ 0 is the residual stress corresponding to the absence of the
total unloading strain ξ = 0 (point 0). Graphically, it is the coincidence of the point D
of the total unloading with the point 0 of the zero strain. In this case, in accordance
with Equation (6), the elastic residual strain ξ е is equal (absolute value) and opposite
by sign to the plastic terms of the strains of primary loading and of total unloading:
ξ е = −ε Р = −ξ Р. According to this, the inherent stresses are absent in the section layers
deformed elastically during primary loading. The inherent stresses exist only in the layers
exposed to the plastic deformation. Consequently (see also Equation (3)), the elastic
strain of the primary loading does not participate in the residual stress formation.
The elastic residual strain ξ е linked to the inherent stress by the Hook’s law is named
the inherent strain and is designated as ε 0 in the previous text. The difference between
the inherent and residual stresses is defined by the proportion between the global inherent
stress parameters and the rigidity of the part cross section as illustrated by Equation (3)
and Figure 4.
Point D of the total unloading can occupy principally different positions. The point
D1 reflects the residual stress formation in the highly deformed layers with the prevailing
sign of the inherent stresses; for example, the surface layers in Figure 4. Here, the
residual and inherent stresses have the same sign and inequality σ < σ 0 is true.
The residual stresses of the in-depth layers in Figure 4 subject to few strains
correspond to point D2 with opposite signs of the inherent and residual stresses.
The compatible strain ξ2 exceeds the inherent strain ε 0 in these layers.
The total unloading point can appear at left from the origin (point D3). This point
describes the residual stress formation in the in-depth layers with non-prevailing sign
(Figure 4, pattern 2, h = 0.9 mm). Here, the residual stresses exceed the inherent stresses
but have the same sign.
This case is demonstrative. To reveal the role of the elastic strain of the primary
loading, one can consider the following example. Lets this elastic strain is tensile in the
in-depth fraction of distribution 2, h = 0.9 mm and penetrates deeper than the inherent
strain. After the tool passes, this strain disappears with the removal of the machining
force. Instead of it, a compatible strain of opposite sign appears as a part reaction to the
integrally tensile inherent stresses. Therefore, the elastic strain of the primary loading
takes an accompanying part and the reactive residual stresses are the part reaction to the
global parameters of the inherent stress and strain, conformingly to the Saint-Venant
principle. This reaction can or cannot coincide with the elastic strain of the primary
loading depending on the particularities of the stress distribution during machining and
consequently, on the particularities of the inherent strain distribution. Namely, in the
different interpretation of the primary elastic strain contribution consists the principal
difference of the approaches illustrated by Figures 1 and 2.
It is interesting to ‘attach’ the location of point D of the total unloading to the
industrial practice. Consider face milling of a superposed machine tool guideway
(hardened steel RC60-62) on the vertical milling machine by a milling cutter with
CBN-inserts. The guideway dimensions are 500 × 80 × 25 mm. The inherent stress
pattern is near to one shown in Figure 4 (distribution 1, h = 1000 mm). We adopt the
value of the force disequilibrium of the inherent stresses F 0 = −70 MPa mm obtained
experimentally, Е = 210,000 MPa and the location of the gravity centre of the inherent
stress distribution at the surface. The arc height of the guideway
3 F 0 l2 3 70 × 500 2
f = = − = −0.1 mm
4 Eh 2 4 210, 000 × 252
The strain of the outer layer corresponding to this arc height is
4 fh 4 × 0.1 × 25
ε= 2
=− = −0.000004
l 500 2
It is only 0.5% of the yield strain of the machined steel (σy = 1700 MPa). This strain will
be even smaller for a symmetric machining. This example shows that, during the surface
machining of a part with ‘normal’ or great rigidity, point D of the total unloading
practically coincides with point 0 of the zero strain and the residual stresses are equal to
the inherent stresses. However, the diagrams shown in Figures 5 and 4 are of decisive
importance for the thin-walled parts and for some methods of the industrial processes
monitoring.
As it is evident from the foregoing considerations the inherent stress defining the
residual stress–strain state of a part depends in turn on the inherent strain value. It is clear
that the inherent strain is a function of the total strain of the surface layers. The inherent
strain is ‘an elastic strain’ reflecting a degree of discordance between the strain of the
given level and the compatible strain of the whole cross section. In the foregoing
consideration, an inhomogeneous plastic strain during external action was the origin of
the inherent strain. However, the inherent strain is not of plastic origin in general. This is
well illustrated by the prestressed concrete technology. On the other hand, the plastic
strain exists after elastic–plastic beam traction or after elastic–plastic thin-walled tube
loading by internal pressure but there is no residual stress induced owing to the inherent
strain is compensated by the compatible strain at any point of the cross section.
To simplify the problem, a possibility of the inverse plastic flow during unloading
was not taken into account. If the inverse plasticity occurs, the inherent strain diminishes
by the value of the plastic part of the unloading strain.
It is also clear that if we try to reveal the relationship between the work hardening
and the residual stress, we must represent the latter by a magnitude invariant to the part
rigidity, that is, by the inherent stress.
The inherent stress and strain being the base notions of the residual stress theory must
be in accordance with the basic plasticity theorems, for example, with the unloading
theorem. One can find in the literature following variants of the unloading theorem
application: at the assumptions of the same loading or of the same deformations of the
actual and fictive bodies. Example of elastic–plastic beam bending illustrates the two
unloading theorem applications (Figure 6).
The shaded area in the Figure 6(a) represents the reaction of the actual elastic–plastic
body to the external loading by a bending moment. Its magnitude is to transfer the
peripheral section areas into the plastic state (deformation curve without work hardening
is underestimated). The removal of the external moment generates the residual stress in
the beam. In order to calculate the residual stress, one needs loading the fictive ideally
elastic beam by ‘the same moment’. In connection with the global equality of the stress
distributions in the actual and fictive beams, the actual stress at the central zone is
superior to the fictive one and it is inferior to the fictive stress at the peripheral zones
(distribution 1). Therefore, their difference, that is, the residual stress, has the pattern
presented in the Figure 6(b). This residual stress distribution is self-equilibrated as
obtained by the subtraction of the integrally equal distributions.
Figure 6 Two approaches to the unloading theorem application
The second approach consists of the fictive beam loading up to ‘the same deformation’
that the actual beam. In this case, the stresses in the fictive beam correspond to pattern 2
(Figure 6(a)). The difference between the actual and fictive distributions gives
the inherent stress pattern (Figure 6(c)). The inherent stress distribution is not
self-equilibrated. In the given case, its moment disequilibrium exists equal to the
difference between the moments of actual and fictive beam loading up to the same
deformation (arc height). In contrast to the residual stresses, the inherent stresses exist
only in the plastically deformed layers of the section. They are equal to zero in the
layers subject to the elastic strain during primary loading. Analogous inherent stress
distribution can be obtained if the actual beam is thought off as returned after loading to
the initial state of the zero arc height. An external bending moment is necessary to
remove the residual arc height. This operation is analogous to the return of the stress
field to point 0 in Figure 5. As seen in Figure 6, the advantage of the inherent stress
notion consists of the fact that the inherent stress is more closely linked to the physical
origin of residual stress formation – inherent strain due to an external action – compared
with the residual stress.
4 Integral evaluation of the inherent stresses and strains
The inherent stress as a load in disequilibrium can be integrally evaluated by the force
and moment integrals in contrast to the residual stress equilibrated by definition. This
will be an integral presentation of the inherent stress–strain state of the surface layer.
Thus, the inherent stress distribution and the integral evaluation are of independent
significance.
Usually, the problem of the residual stress evaluation is understood as a definition of
stress values at any point of the part cross section. The distributions provide information
to understand the physical processes and are simultaneously the exhaustive
characteristics of the residual stress. However, important applications can be pointed out,
where the knowledge of stress distribution is redundant. This is the calculation of the
thin-walled part distortions due to machining, where only integral stress parameters
are needed (Ovseenko, 1991; Zamashchikov, 1978). There are works showing that the
residual stress influence on the fatigue strength is defined by the stress integral over the
portion of the distribution corresponding to the depth of non-spreading fatigue crack

(Ivanov and Pavlov, 1976; Pavlov, 1987). Any preconditions exist to suppose a
significant role of the integral inherent stress parameters in other residual stress
applications. At the same time, their evaluation on the basis of the residual stress
distributions is not an optimal way.
Therefore, the problem of the inherent stress evaluation must be solved in the two
aspects: the determination of the inherent stress distributions and the integral inherent
stress evaluation without stress distribution measurements.
The first direction can be an inherent stress restoration knowing a residual stress
distribution by means of one of Equations (1), (4) and (5), for example (1)
F 0 12 ⎛ h ⎞⎛ h ⎞
σ =σ0 − − 3 ⎜ − yc0 ⎟ ⎜ − y ⎟ F 0
h h ⎝2 ⎠⎝ 2 ⎠
where F 0 and I 0 are the disequilibrium integrals of the inherent stress by force and
moment correspondingly; yc0 = I 0 / F 0 is the coordinate of the centre of gravity of the
inherent stress distribution relative to the machined surface.
The solution must evaluate constant σf and linear σm unloading components to be
added to the residual stress at any point of the cross section in order to restore the
inherent stress distribution. The unloading components are the second and the third terms
in the above equation; therefore, it is an integral equation relative to the inherent stress.
The problem is simply solved at the assumption of the equal penetration depth of the
inherent stress and of the residual stress up to the change of sign. The error of this
assumption is not important as linked with the few stressed in-depth levels of the surface
layer (Figure 4). The assumption permits the expressions (Zamashchikov, 1978)
2 ρhr + (1 − 3ρ) ycr
yc0 = (8)
4 ρ 2 + ρ + 1 − 6 ρ ycr / h
ωr
F 0= (9)
(1 − ρ ) (1 − 3ρ + 6 ρ yc0 / h )
where h is the specimen thickness; hr, ωr, ycr are the depth, the area and the coordinate of
the centre of gravity of the active fraction of the residual stress pattern up to the change
of sign, correspondingly; ρ = hr/h.
The calculation of the integral inherent stress parameters F 0, I 0 = F 0yc0 by means of
the formulae and the substitution of the obtained results into Equation (1) give the
solution of the problem. As seen, to obtain the inherent stress distribution, one needs the
residual stress distribution. Some distributions can be found in the literature;
unfortunately, enough intricate details necessary for the calculation are rarely published.
Another important application practically based on the integral parameters is the
industrial monitoring of the surface enhancement methods (Kirk and Hollyoak, 1993;
Rykovsky et al., 1985). The monitoring of the shot peening and other similar processes
(i.e. free ball and free abrasive treatments) is carried out by means of Almen strips that
are normally of dimensions 76 × 19 mm and of the thicknesses of 0.8 mm; 1.3 mm or
2.4 mm. The strips are mounted on a holding fixture and are treated in parallel with the
actual part. The value of arching of the strips induced by the treatment is then measured.
Using the obtained results, the monitoring of the operation is achieved.
The same principle is used in the monitoring of the cylindrical surface enhancement,
for example, due to ball, roller or diamond burnishing (Rykovsky et al., 1985).
Thick-walled ring (h = 10,…, 15 mm) is machined from the same material as the actual
part. Then, one of the surfaces of the ring (external or internal) is treated at the regime of
burnishing of the actual part. After decreasing the rigidity of the ring by removing the
materials on the surface opposite to the treated surface up to the wall thicknesses of
1.5 mm or 2.0 mm, the ring is slit along the axis. Then, the change of the diameter or the
hoop displacement of the slitting ends are measured and are compared with the
corresponding specifications. Analogous solutions exist in the thermal enhancement
monitoring. As seen from the foregoing consideration, in both plane and cylindrical
surfaces enhancement control the distortion component corresponding to the equilibrium
of the moment inherent stress integral is measured, but the distortion component linked
to the force integral equilibrium is neglected.
In all cases, the global inherent stress parameters can be evaluated, if one uses the
reaction of a thin-walled specimen to the inherent stress in its surface layer in
correspondence with the schema shown in Figure 2. The schema needs to be extended to
the plate and thin-walled tube models, which are actually the principal models of the
mechanical method.
The direct residual stress measurement on the thin-walled specimens is widespread in
the studies but its features are not considered in the theory of the mechanical methods.
Conforming to the theory (Birguer, 1963; Ivanov, 1971a), to evaluate the residual
stresses localised, for example, near by the external surface of the cylinder, one needs to
follow the sequence: treat the surface of the whole cylinder at the conditions of interest;
reduce the cylinder up to the thin-walled tube by boring with the measurement of
distortion due to boring and measure the residual stresses in thin-walled tube by the ring
and strip method. The residual stresses in the cylinder are the sum of the residual stresses
in the thin-walled tube and the stresses removed by boring. This sequence is difficult to
realise because of the cylinder must be free from the inherited stresses before the
treatment in question. Indeed, in the presence of small reactive residual stresses, the
specimen displacements due to boring necessary to calculate the additional stresses will
be distorted by the inherited stresses in the whole cylinder owing to the removal of these
stresses from a massive part is a task difficult to realise and to control.
However, in considerations superficial residual stresses typical for surface
enhancement operations, one can employ another sequence switching the two stages of
the initial sequence and taking into account the law of the result independence from the
loading history. Hence, the following sequence appears: produce the thin-walled
specimen; relieve the stresses due to previous operations; treat the surface at the regime
of interest with the measurements of the distortions owing to the treatment and
measure the residual stresses in thin-walled specimen by the ring and strip method. This
sequence is of a greater accuracy (finishing follows roughing) and is theoretically
equivalent to the initial one within the limits of validity of the mentioned law, that is, in
the absence of the additional plastic deformations in all stages of the study. The stress
relieve is more effective and easier controlled in the thin-walled specimens. As shown
above, the residual stress formation is usually accompanied by a decrease in the
superficial stress relative to the inherent state; therefore, the probability of the additional
plastic deformations is low. This schema of the experiment is adopted for the further
development.
Consider the schematic shown in Figure 7 to derive the formulae of the loading
generated by the surface treatment of the plates and of the thin-walled tubes. A general
case of the surface layer stress described by the two normal and in-plane shear
components is treated. Rigid kinematics processes, for example cutting, ball and
diamond burnishing typically induce this state. Let in the plate (I, а) or in the thin-walled
tube (I, b) the inherent stress components σ z0 , σ x0 ,τ zx0 exist generated by the inherent
strain due to the surface treatment. At the stage I, the clamping forces equilibrate the
inherent stresses. The removal of the lateral clamping forces from the plate (II, а) or the
complete release of the thin-walled tube (II, b) lead to the force equilibrium of all
components accompanied by the elongation-shortening εz, εx and by the homogeneous
shear γz x, ϕ (stage II). The residual stresses in the thin-walled tube (II, b) are the inherent
stresses equilibrated by the force only (the moment equilibrium involves the equilibrium
condition of the whole thin-walled tube). The complete release of the plate (III, а) leads
to the moment equilibrium of the inherent stresses generating the bending and torsion
components of the distortion (stage III). A similar stage of the stress formation in the
thin-walled tube section (III, b) occurs after the strip cutting off and after the ring being
cut from the tube and being longitudinally slit. As a result of these operations, the strip
obtains the arc height ƒ and twists at the angle ψ and the ring changes its diameter by δ
and its slitting ends become disjointed along with the axial direction by w. These
displacements will be used in the calculations of the loading due to the inherent stress.
Consider at first the plate following a sequence opposite to the residual stress
formation. In order to return the plate from the final state to the state of the stage II, it is
necessary to apply the moments
h/2
Mz = −∫ σ z(2) ydy (10)
−h / 2
h/2
M x = −∫ σ x(2) ydy (11)
−h / 2
h/2
M zx = − ∫ τ zx(2) ydy (12)
−h / 2
Conformingly to the plate theory, the relationship between the moments and the
corresponding curvatures 1/Rz, 1/Rx is expressed by the formulae
Eh 3 ⎛ 1 ν ⎞
Mz = ⎜ + ⎟ (13)
(
12 1 −ν 2
) ⎝ Rz Rx ⎠
Eh 3 ⎛ 1 ν ⎞
Mx = ⎜ + ⎟ (14)
(
12 1 −ν 2
) ⎝ Rx Rz ⎠
Introducing the arc heights by the formula 1/R = 8f /l 2 and taking into account the
moment equivalence of the distributions at the stages I and II, one obtains the following
result
2 Eh 3 ⎛ fz fx ⎞
M z0 = − ⎜⎜ 2 + ν 2 ⎟⎟ (15)
(
3 1 −ν 2
) ⎝ lz lx ⎠
2 Eh 3 ⎛ fx fz ⎞
M x0 = − ⎜⎜ l 2 + ν l 2 ⎟⎟ (16)
(
3 1 −ν 2
) ⎝ x z ⎠
h/2 h/2
where M z0 = ∫ σ z0 ydy; M x0 = ∫ σ x0 ydy are the integrals of moment disequilibrium
−h / 2 −h / 2
of the normal inherent stresses relative to the neutral axes of the specimens; lz, lx are the
base lengths of the arc height measurements along with the directions Z and X,
correspondingly.
Figure 7 Integral inherent stress evaluation by the distortion components of the thin plates
(a) and thin-walled tubes (b)
Ivanov (1971c) found the analogous link between the moment disequilibrium of the
shear inherent stress and the specific torsion angle of the strip after its cutting of the plate
in the form
6 h−a ⎛ h−a⎞
χ zx = −
G(h − a)3 ∫ 0 ⎜η − 2 ⎟τ zx dη
⎝ ⎠
(17)
where G is the shear module; а is the thickness of the layer removed; h is the strip (plate)
thickness; η is the coordinate relative to the strip surface.
If а = 0 in Equation (17) then transferring the origin to the neutral plane of the strip,
one obtains
6 h/2
χ zx = −
Gh 3 ∫ −h / 2
τ zx ydy (18)
If one takes into account the moment equivalence of the stages I and II, this gives
−Gh 3 χ zx
M zx0 = (19)
6
h/2
where M zx0 = ∫ τ zx0 ydy is the integral of moment disequilibrium of the shear inherent
−h / 2
stresses relative to the neutral axis of the specimen.

Equations (15), (16) and (19) express the relationship between the linear components
fz , fx , χ z x (χxz) of the compatible distortion of the strips being cut of the plate and the
integrals of moment disequilibrium of the inherent stresses relative to the neutral plane of
the specimens. Application of these loads to the specimens in final states permits
transferring from the stage III to the stage II, that is, to restore the moment disequilibrium
of the inherent stresses.
To restore the force disequilibrium of the normal inherent stress, that is, to transfer
from the stage II to the stage I, one takes into account that the elongation-shortening
deformations εz, εx of the plate are conditioned by the stresses
E ( ε z + νε x )
σz = (20)
(1 −ν ) 2
E ( ε x + νε z )
σx = (21)
(1 −ν ) 2
It is evident that these stresses are the average (homogeneous) inherent stresses taken
with the opposite sign
1 h/2 0
h ∫ −h / 2
σz = − σ z dy (22)
1 h/2 0
h ∫ −h / 2
σx = − σ x dy (23)
If the integrals of the force disequilibrium of the inherent stresses are designated by Fz0
and Fx0 , correspondingly, then
− Eh ( ε z + νε x )
Fz 0 = (24)
(1 −ν ) 2
− Eh ( ε x + νε z )
Fx0 = (25)
(1 −ν ) 2
The discussed force equilibrium of the shear inherent stresses results in the homogeneous
shear strain γzx. Multiplying this strain by the shear module, one obtains the
corresponding homogeneous stress τzx = Gγzx. This stress is equal to the average inherent
stress taken with the opposite sign
1 h/2 0
h ∫ −h / 2
τ zx = − τ zx dy (26)
If the integral of the force disequilibrium of the inherent shear stress is designated by
Q0, then
Q 0 = −Ghγ zx (27)
Equations (24), (25) and (27) describe the relationship between the homogeneous
components εz, εx, γzx of the compatible distortion and the integrals of force
disequilibrium of the inherent stresses. Additional application of these loads permits
transferring from the stage II to the stage I, that is, to complete restore of the inherent
stress disequilibrium.
Consider analogous relationships for the thin-walled tube. The arc height of the strip
cut of this tube is calculated by the following equation (Birguer, 1963)
f =
3l 2
2 Eh 3 (∫ h/2
−h / 2
yσ x(2) dy −ν ∫
h/2
−h / 2
yσ z(2) dy ) (28)
Taking into account the moment equivalence of the stress distributions at the stages I and
II, one obtains
f =
(
3l 2 M x0 −ν M z0 ) (29)
3
2 Eh
The ring being cut of the tube and being slit along the axis changes its diameter under the
action of the moment by the unity of width M = Eh3δ/6D2, which is equal to
h/2 h/2
M=∫ yσ z(2) dy −ν ∫ yσ x(2) dy (30)
−h / 2 −h / 2
from which δ can be derived as
δ=
(
6 D 2 M z0 −ν M x0 ) (31)
3
Eh
The solution of Equations (29) and (31) is as follows
Eh 3 ⎛ 4D2 ⎞
M z0 = ⎜ δ +ν 2 f ⎟ (32)
6 D 2 1 −ν 2 ( ) ⎝ l ⎠
Eh 3 ⎛ 4D2 ⎞
M x0 = ⎜νδ + 2 f ⎟ (33)
6 D 1 −ν 2
( 2
) ⎝ l ⎠
The relationship between the moment disequilibrium of the shear inherent stresses and
the axial displacement w of the slitting ends of the ring can be derived using the
following equation (Ivanov, 1971b)
3π D 2 h−a ⎛ h−a⎞
w=
G ( h − a) 3 ∫ 0 ⎜η − 2 ⎟τ zx dη
⎝ ⎠
(34)
Designations are analogous to those used in Equation (17).

If it is assumed in this equation that а = 0, the transferring the origin to the neutral
axis gives
3π D 2 h/2
w=
Gh 3 ∫ −h / 2
τ zx ydy (35)
Taking into account the moment equivalence of the stages I and II, one obtains
Gh 3 w
M zx0 = (36)
3π D 2
h 2
where M zx0 = ∫ τ zx0 ydy is the integral of moment disequilibrium of the shear inherent
−h 2
stresses relative to the neutral axis of the specimen.

Equations (32), (33) and (36) reflect the relationship between the linear components
δ, f, w of the compatible distortion of the ring or of the strip being cut of the thin-walled
tube and the integrals of moment disequilibrium of the inherent stresses relative to the
neutral axes of the specimens. Application of these loads to the specimens in final states
permits transferring from the stage III to the stage II, that is, to restore the moment
disequilibrium of the inherent stresses.
The integrals of the force disequilibrium of the normal inherent stresses for
the thin-walled tube can be defined by Equations (24) and (25) for the plate but the
components εz, εx will present the relative deformations of the diameter and of the tube
length, correspondingly.
The force equilibration of the shear inherent stresses in the thin-walled tube produces
its torsion at the angle of twist ϕ (Figure 7). In order to define the corresponding
relationship, the following known equation for the angle of twist is used
M zx L
ϕ= (37)
GJ p
where L is the length of the thin-walled tube.

The torque is calculated as
h/2
M zx = 2π R 2 ∫ τ zx0 dy (38)
−h / 2
JP = πD3h/4 defines the polar moment of inertia. If the integral of the force
disequilibrium of the shear inherent stresses is designed by Q0, then
GDhϕ
Q0 = (39)
2L
The equations used for calculations of the shear inherent stress integral parameters can
contain information on the displacements of both specimens using the reduced
displacements. A summary of the derivations is given in Table 1.
Table 1 List of formulae used for calculating integral parameters of inherent stress
Integral parameters Model

Plate Thin-walled tube
F z
0
− Ehε /(1 − ν )
rd
z
2
− Ehε zrd /(1 − ν 2 )
Fx0 − Ehε xrd /(1 − ν 2 ) − Ehε xrd /(1 − ν 2 )
Q0 −Ghγ zx GDhϕ / 2 L
M z0 −2 Eh 3Vz / 3(1 − ν 2 ) Eh 3U z / 6 D 2 (1 − ν 2 )
M x0 −2 Eh 3Vx / 3(1 − ν 2 ) Eh 3U x / 6 D 2 (1 − ν 2 )
M zx0 −Gh 3 χ rd / 6 Gh 3 wrd / 3π

Reduced displacements:
ε zrd = ε z + νε x ; ε xrd = ε x + νε z
Vz = f z / lz2 + ν ( f x / lx2 ); Vx = f x / lx2 + ν ( f z / lz2 )
U z = δ + ν (4 D 2 / l 2 ) f ; U x = νδ + (4 D 2 / l 2 ) f
χ rd = ( χ z − χ x ) / 2; wrd = (w / D 2 ) + (πχ / 2)
The above relationships link the integral parameters of the inherent stresses with the
distortion components of the thin-walled specimens due to a surface treatment that allows
excluding of the expensive process of the detailed residual stress evaluation in
some applications.
In the following, it will be more convenient to use the moment integrals I 0 of the
inherent stresses relative to the surface, since this origin coincides with that adopted in
the investigations of the residual stress distributions
⎛ hF 0 ⎞
I z0 = ⎜⎜ z ⎟⎟ − M z0 (40)
⎝ 2 ⎠
Equation (40) is derived using the following manner. The inherent stress moment over
the unit width is calculated as (Figure 8)
⎛h ⎞ hp
M 0 = ⎜ − ycz0 ⎟ ∫ σ z0 dy (41)
⎝2 ⎠ 0
Figure 8 Two presentations of the inherent stress moment integral

This expression is written transferring the origin to the machined surface. This transfer
does not change the force integral value that remains equal to the force integral Fz0 .
The coordinate of the centre of gravity of the distribution is the ratio of the moment
integral to the force integral
I z0
ycz0 = (42)
Fz0
hp
where I z0 = ∫ σ z0 ydy is the moment integral of the inherent stresses relative to the
0
machined surface.
Replacing the coordinate of the centre of gravity by the ratio of integrals in
Equation (41) leads to Equation (40). The integral I0 is independent on the specimen
thickness as the transformation (40) excludes this influence.
Thus, a surface treatment of a part is equivalent to its loading by the force integrals
Fz0 , Fx0 , Q0 of the inherent stresses applied at the distances ycz0 = I z0 / Fz0 ; ycx0 = I x0 / Fx0 ;
0
yczx = I zx0 / Q 0 from the treated surface. These values are invariant to the part rigidity and
can be considered as the characteristics of the surface treatment process for a given work
material. The investigation can be extended until evaluating the inherent stress
distributions. For this, one needs to study the residual stresses in the strips and in the
rings themselves and then to calculate the stresses as σ0 = σ + σf + σm, where σf, σm are
the stresses due to the force integrals and to their moments, correspondingly.
It is evident that the methods proposed are simultaneously the methods for the
evaluation of the integral parameters and distributions of the inherent strain in the
surface layer. The homogeneous distortion components (elongation-shortening and
homogeneous shear of the plates and strips, torsion and change in diameter of the tubes)
are more difficult to measure relative to the flexion components due to its small values
and to the thin-walled tube disposition to the loss of form under the loading. Therefore, a
need is felt to present some simpler methods.
5 Integral parameters and inherent stress and strain distributions
If the reduction elements of the inherent stress field are comparable with the specimen
rigidity, it will be technically possible to measure the corresponding distortion
components generated during inherent stress equilibration. This data can be used for
integral evaluating the equivalent inherent stresses and their components along the part
axes. Then, if the analysis of the existing results reveals a typical analytical function that
describes the inherent stress distribution in a domain of interest, this function can be
normalised in order that its integral parameters may be the same as ones obtained after
the distortion measurements. This will be the analytical function of the inherent stress
distribution.
We illustrate the solution by means of example of quenching residual stress
evaluation in plates (Zamashchikov, 1990). The problem is solved in two stages: integral
stress evaluation and transfer the results of this evaluation to the inherent and residual
stress distributions (Figure 9).
Figure 9 Quenching residual stress evaluation
To evaluate the integral parameters, the beam is cut of a quenched plate (Figure 9(a)).
The residual stresses in this beam are distributed symmetrically relative to the principal
axes of the section. The two last integrals in Equation (3) are equal to zero, so this
equation simplifies to
1
S ∫S
σ =σ0 − σ 0 dS (43)
As seen, the inherent stresses are different from the residual stresses by a constant only.
This constant is equal to the average stress in the section. It seems that this inherent but
not residual stress must interact with the physical phenomena that occur during
quenching. The beam elongation allows calculating the force disequilibrium of the
inherent stresses. The moment integral of the inherent stresses is equal to zero by the
symmetry condition, but one can destroy this symmetry by slitting the beam in half along
with its middle plane. The mean arc height of the two halves obtained fm = (f1 + f2)/2 can
evaluate the stress value.
To determine the link between fm and the residual stress distribution, one needs a
hypothesis on their distribution fashion. The results of our experiments on the quenching
residual stress in aluminium alloys by the layer removal method reveal that the
deformation curves f = f(y) are well approximated by straight lines. It is easy to show that
a parabolic residual stress distribution corresponds to a straight deformation line. The
residual stresses in a quenched plate are equal in all directions and are expressed as
(Birguer, 1963)
4E ⎡ df y ⎤
σ= ⎢ ( H − y) 2 − 4( H − y) f + 2 ∫ fdξ ⎥ (44)
3l (1 −ν ) ⎣
2
dy 0
⎦
Equation (44) contains the results of the investigation of a beam cut of this plate.
If the deformation curve f = f(y) obtained by the layer removal method is a straight
line, then its slope is equal to df/dy = const = 2fm/(H−r) and a current arc height calculates
as f = (df/dy)y. The substitution of the values in Equation (44) gives a parabolic
distribution
1 4 EH 2 f m ⎛ 6 2 6 ⎞
σ= y − y + 1⎟ (45)
(1 −ν ) 3l 2 H − r ⎜⎝ H 2 H ⎠
Many studies pointed out the parabolic character of the thermal residual stresses in
metals. The parabolic approximation was applied in the studies of the residual stresses in
glasses and in polymers. Hence, the hypothesis on the parabolic distribution of the
thermal residual stresses is well justified.
In this solution, the actual stress distribution is replaced by a statically equivalent
approximation with a general form revealed by the analysis of the previous experimental
and theoretical results. This leads to considerable simplification of the residual stress
evaluation procedure.
Consider the application of this approach to a unilateral treatment. The shot peening
of the Almen strip at the 90° incidence angle (generating a homogeneous plane state)
gives two components of its distortion: arc height f at base length l and elongation ε.
The distortion occurs under the action of the force integral F 0 and moment integral М 0
of the inherent stresses. The formulae of the Table 1 give
−2 Eh 3 f
M0 = (46)
3l 2 (1 −ν )
− Ehε
F0 = (47)
(1 −ν )
The moment integral of the inherent stresses relative to the treated surface can be
obtained using Equation (40) as
I =
0
(
Eh 2 4 hf / 3l 2 − ε ) (48)
2(1 −ν )
The moment to force integrals ratio gives the coordinate of the centre of gravity of the
inherent stress distribution relative to the treated surface. In order to transfer from
integral parameters to stress distribution, one needs to assume a common analytical type
of the distribution. A cosine inherent stress approximation confirmed by the experimental
results (Flavenot and Niku-Lari, 1976) presents a reasonable assumption
⎛ πy ⎞
σ 0 = σ max
0
cos ⎜ ⎟⎟ (49)
⎜ 2h
⎝ p ⎠
where hp is the penetration depth of the inherent stresses (work hardening); y = 0,…,hp.
0
The integration of Equation (49) gives the force integral F(T) and the moment
0
integral I (T) of the theoretical distribution
2σ max
0
hp
0
F(T) = (50)
π
2σ max
0
hp2 (1 − 2 / π )
0
I (T) = (51)
π
Let us introduce the two dimensionless parameters of the theoretical distribution: the
relative coordinate of the gravity centre λ
yc(T) 2
λ= = 1− (52)
hp π
and the coefficient of the maximal stress µ

0
F(T) 2
µ= = (53)
hpσ 0
max π
where yc(T) is given by Equations (42), (50) and (51).

Then, we calculate the work hardening depth using Equation (52) and the maximal
inherent stress defined by Equation (53). The actual elements of the stress reduction
given by Equations (40) and (46) through (48) are used. The work hardening depth hp
and the maximal inherent stress σ max
0
allow to reveal the analytical form of the inherent
stress distribution (Equation (49)). Equation (1) defines the analytical form of the
residual stress distribution.
6 Experimental details
Possible working methodologies for the integral inherent stress evaluation based on the
above theoretical preconditions can be divided in three groups. In the first group, one
uses the linear and homogeneous components of the specimen distortion due to a
treatment (e.g. the arc heights and the elongations of the Almen strips). In the second
group, one can envisage measuring the linear distortion components only, for example,
the arc heights of the Almen strips of different thicknesses. Saverin (1955) proposed
measurement of the arc heights of the strips of different thicknesses but under another
theoretical basis. In the third group, one can investigate several specimens of different
thicknesses with the measurement of the linear and homogeneous components of the
distortion. This group is different by the redundancy of information that increases
the accuracy.
For example, in measuring arc heights of two Almen strips, one can use the following
expressions obtained from Equations (40) to (46)
F =−
0
(
4 Eh22 f2 − k 3 f1 ) (54)
3l (1 − k )(1 −ν )
2
I =−
0
(
2 Eh23 k f2 − k 2 f1 ) (55)
3l (1 − k )(1 −ν )
2
where E and ν are the elastic module and the Poisson’s coefficient of the machined
material, respectively; h1 and h2 are the thicknesses of the strips having the arc heights f1
and f2 correspondingly; k = h1/h2.
The equality of the integrals F 0, I 0 for the two specimens was assumed in deriving
Equations (54) and (55).
The integral parameters of the inherent stress due to a cylindrical surface treatment
are calculated by means of the Table 1 formulae. Equation (36) is preferred in calculating
the moment integral of the inherent shear stress because of the difficulty of measuring
specific torsion angle of the strip.
During the investigation of the elementary specimens, the displacements proportional
to the displacements in the mentioned formulae are measured (Figure 10). If one takes
into account that G = E/2(1 + ν); δ = ∆/π; F = 4f, then
Eh 3 ⎛ π D2 ⎞
M z0 = ⎜ ∆ +ν 2 F ⎟ (56)
(
6π D 2 1 −ν 2 ) ⎝ l ⎠
Eh 3 ⎛ π D2 ⎞
M x0 = ⎜ν∆ + 2 F ⎟ (57)
(
6π D 2 1 −ν 2 ) ⎝ l ⎠
Eh 3
M zx0 = w (58)
6π D 2 (1 + ν )
Figure 10 Measurements of the elementary specimens’ displacements
If the proportion between the dimensions of the tube is such that l = D π , the normal
integral equations are simplified to
Eh 3 (∆ + ν F )
M z0 = (59)
(
6π D 2 1 −ν 2 )
Eh 3 (ν∆ + F )
M x0 = (60)
(
6π D 2 1 −ν 2 )
With l = D π , the following proportion is respected in the linear stress state
assumption (ν = 0)
M z0 : M x0 : M zx0 = ∆ : F : w (61)
However, Ivanov (1971a) showed that the elementary specimens keep the plane stress
state being cut of the tube or the plate subject to a surface treatment. In the plane stress
condition, the following proportion is valid
(M 0
z )
− M x0 : M zx0 = (∆ − F ) : w (62)
As seen, the displacements of the specimens cut of the ‘natural’ tube do not contain any
additional coefficients. This allows direct evaluating the proportions between the stresses
(more exactly, between their moment integrals) in comparing the values of the
corresponding displacements. For example, the last proportion permits using
tg2θp = 2w/(∆−F) for an approximate (underestimating) evaluation of the deviation angle
of the integral principal direction orientation. On the one hand, the accuracy of this
formula increases with the thickness of the specimen because of the result of calculation
approaches to the result obtained by a more exact equation written through the
force integrals
2Q 0
tg2θ p = (63)
(F z
0
− Fx0 )
This equation follows to use the relationship of the theory of elasticity tg2θ p = 2τ zx0 /
(σ z0 − σ x0 ) by virtue of the Saint-Venant principle. On the other hand, the displacements
decrease with an increase in the specimen thickness and the accuracy of measurement
decreases.
The metrological analysis of the working techniques presented reveals the following.
The minimal thickness of the specimen must be approximately three times bigger than
the expected depth of work hardening. Incidentally, the same proportion characterises the
Almen strips and the rings for burnishing monitoring if one compares their thicknesses
with the approximate depth of the enhancement in question. Underestimating work
hardening depth compared to the specimen thickness can lead to a divergent result of the
control when the ‘equivalent’ distortion of the specimen will be expressed to a greater
degree not through the bending components but through the elongation-shortening,
which is not measured in existing production methods of monitoring. The probability of
corresponding error is important during sizing of the internal burnishing tools when the
enhancement depth is strongly dependent on the interference. Using specimens of
different thicknesses practically excludes such an error. The specimens’ thicknesses ratio
k = h1/h2 must be chosen in the limits k = 0.45,…, 0.65 in applications of the described
methodologies. The accuracy of the force integral evaluation is of 5–6% and the
accuracy of the moment integral evaluation is of 15–20% in measuring by universal
means of the shop floor control.
7 Applications
Consider an application of the integral inherent stress evaluation to the shot peening.
As seen from Equations (46) through (48), to provide the stabilisation of the treatment
parameters one needs to stabilise not only the arc heights but also the elongations of the
Almen strips. In stabilising the arc heights alone, the existing process monitoring might
not attain the goal in principle. For example, if the shot wear is compensated by the rise
of the turbine wheel rotation, it is probable that the arc height stabilising would be
achieved because the residual stress increases and the work hardening depth decreases.
A device that can be used to measure the arc heights and the elongations of the
Almen strips simultaneously is shown in Figure 11. It consists of the base plate, the two
supports with the measurement bases and dial indicators, and of the strip straightening
mechanism (Figure 11(a)). On base plate 1, support 2 is mounted with the dial
indicator 3 (of 0.01 mm resolution) destined to measure the arc heights of the strips.
For this, support 2 has knifes 4 and 5 and thrust element 6. Holder 7 with dial indicator 8
(0.001 mm) is fixed on the same base plate perpendicularly to support 2. Dial indicator 8
is to measure the strip elongations. Base 9 provides the vertical strip positioning during
measurements.
Figure 11 Characteristics of the shot peening aluminium alloy D16T a – schema of the device;
b-e – influence of the exposition and of the of the turbine wheel rotation on the force
integral (b), on the moment integral (c) of the inherent stresses; on the work hardening
depth (d) and on the maximal inherent stress (e)
The strip straightening mechanism is of four-point bending principle. It consists of

base 10 and of the two frames with the needles. The needles load the specimen during
straightening. First frame 11 is immobile. Micrometric screw 13 can displace second
frame 12. Base 10 is freely disposed on base plate 1 of the device during the elongation
measurement of the strip straightened.
The shot peening of the Almen strips was implemented by the shots ∅0.6–1.2 mm
with the change of the turbine wheel rotation in the limits 300,…, 700 rev/min and of the
exposure time in the limits of 30,…, 150 sec. The force factors of the shot peening were
calculated by Equations (46) through (48) and (42) using the measured arc height and
elongation. Figure 11(b) and (e) show the results due to shot peening of the strips in
aluminium alloy D16T (4.3%Cu, 1.5%Mg, 0.6%Mn). The curves presented reveal that
the force and moment integrals of the inherent stresses have undergone the maximal
change during the first 90 sec of the treatment (Figure 11 (b) and (c)). The saturation in
the work hardening depth corresponds to the same exposure time (Figure 11(d)).
The maximal inherent stress demonstrates the biggest rise during the first 30 sec of the
shot peening but afterwards, the increase is significantly diminishing (Figure 11(e)).
The results conform to the existing knowledge on the shot peening process.
Consider the evaluation of the enhancement parameters due to the diamond
burnishing of the cylindrical surface ∅32f7 of a part in aluminium alloy D16T.
Two thick-walled tubes ∅32.5 mm of lengths of 90 mm with holes ∅12Н7 were
preliminarily produced. The finish turning and the burnishing of the tubes
were performed at a precision lathe at one mounting. A centre mandrel provided the tube
fixture by a nut in respecting the fit ∅12Н7/h6.
The diamond burnishing was implemented by a spherical diamond tip R = 2.5 mm
mounted in the mandrel with an elastic element. The radial force was determined
by means of the dial indicator 0.01 mm. The burnishing regime was: Fy = 140 N;
f = 0.1 mm/rev; ν = 50 m/min; mineral oil lubrication. The specimens burnished were
bored at the same lathe to the nominal sizes of the wall thickness 1.3 and 2.0 mm.
Then, three rings of 8 mm-width were cut of these tubes at the lathe. After ring ends
polishing, two marks were made on these surfaces at the distance of 4 mm between them.
A toolmaker microscope was used to measure this distance precisely. The following
stage was to produce three strips with the dimensions 62 × 8 mm from the rest of the
tubes and to slit the rings obtained between the marks. These operations were performed
at the EDM-machine by a copper electrode. A second time measuring the distance
between the marks gave the displacements ∆. The axial disjoining of the slitting ends of
the rings was also measured providing the displacements w. The strip deflections F were
measured at the base length l = 55 mm. This length corresponds to the ‘natural’ one, as
the base length calculated through the mean tube diameter is equal to 53.76 mm. The
actual wall thickness of the specimens was measured by a dial indicator 0.001 mm in
three sections.
The following data for calculation was obtained
h1 = 1.298 mm; ∆1 = −2.837 mm; w1 = 0.705 mm; F1 = −4.945 mm
h2 = 2.003 mm; ∆ 2 = −1.377 mm; w2 = 0.3 mm; F2 = −2.315 mm
De = 31.98 mm; l = 55 mm
To calculate the integral parameters of the inherent stresses, the following equations were
used
⎡ D2 π D2 ⎤
D1 l
(
Fz0 = A ⎢ ∆ 2 − 22 k 3 ∆1 + ν 2 2 F2 − k 3 F1 ⎥ ) (64)
⎣ ⎦
h1 ⎡ D22 2 π D22 ⎤
I z0 = A
2
∆
⎢ 2 −
D12
k ∆ 1 + ν
l 2 (
F2 − k 2 F1 ⎥) (65)
⎣ ⎦
⎡ ⎛ D2 ⎞ π D2 ⎤
D1 l
(
Fx0 = A ⎢ν ⎜ ∆ 2 − 22 k 3 ∆1 ⎟ + 2 2 F2 − k 3 F1 )⎥ (66)
⎢⎣ ⎝ ⎠ ⎥⎦
h1 ⎡ ⎛ D22 2 ⎞ π D22 ⎤
I x0 = A
2 D1 l
2
(
⎢ν ⎜ ∆ 2 − 2 k ∆1 ⎟ + 2 F2 − k F1 )⎥ (67)
⎢⎣ ⎝ ⎠ ⎥⎦
⎛ D2 ⎞
Q 0 = A(1 −ν ) ⎜ w2 − 22 k 3 w1 ⎟ (68)
⎝ D1 ⎠
h1 ⎛ D22 2 ⎞
I zx0 = A(1 −ν ) ⎜ w2 − 2 k w1 ⎟ (69)
2⎝ D1 ⎠
where
Eh22
A=
(
3π D22 1 −ν 2 (1 − k ))
and k = h1/h2.
These expressions were derived from the Table 1 formulae by analogy with the
Equations (54) and (55) derivation.
Following the calculations, the force and moment integrals of the inherent stress
components are equal
Fz0 = −98.402 MPa mm; I z0 = −21.476 MPa mm 2

Fx0 = −118.398 MPa mm; I x0 = −20.629 MPa mm 2
Q 0 = 8.832 MPa mm; I zx0 = 0.853 MPa mm 2
The moment to force integrals ratios give the coordinates of the centres of gravity of the
corresponding distributions of the inherent stress components
ycz0 = 0.2182 mm; ycx0 = 0.1742 mm; yczx

0
= 0.0966 mm
The deviation angle of the integral principal axes is defined by Equation (63): θР = 20.70.
Normally, the integral parameters of the inherent stress components and the
coordinates of the centres of gravity of their distributions are known. This information
would be sufficient to evaluate the effectiveness of an enhancement process knowing
the typical residual stress distributions. However, in today’s practice, it is
commonly adopted to evaluate the processes by the residual stress distributions and
by the parameters of the work hardening. In order to transfer from the integral
parameters to the stress distributions, one needs a hypothesis on the common type of
the distribution.
A shifted semi-periodical cosine is adopted as analytical form of the hoop stress

distribution
σ z0max ⎡ π ( y − η hp ) ⎤
σ z0 = ⎢1 + cos ⎥ (70)
2 ⎢⎣ hp (1 − η ) ⎥
⎦
Its shifting parameter η is defined so that the theoretical centre of gravity of this
approximation might coincide with the centre of gravity of the averaged distribution of
the data reported in the literature. We obtained η = 0.3 for this example.
The dimensionless coefficients of this distribution are λ = 0.3609; µ = 0.6086
(Equations (52) and (53)). The work hardening depth is equal
ycz0 0.2182
hp = = = 0.605 mm
λ 0.3609
The maximal hoop inherent stress is defined as
Fz0 −98.402
σ z0max = = = −267.25 MPa
µ hp 0.6086 × 0.605
The hoop inherent stress distribution according to Equation (70) is

⎡ π ( y − 0.1815) ⎤
σ z0 = −133.625 ⎢1 + cos ⎥ y = 0, …, hp (71)
⎣ 0.4235 ⎦
The axial residual stresses are maximal at the surface. Therefore, the non-shifted
semi-periodical cosine (µ = 0.5) is used to describe the inherent stress σ x0 distribution
characterised by the maximal stress
Fx0 −118.398
σ x0 max = = = −391.4 MPa
µ hp 0.05 × 0.605
Hence, the axial inherent stresses follow the distribution

⎡ ⎛ π y ⎞⎤
σ x0 = −195.7 ⎢1 + cos ⎜ ⎟ ⎥ y = 0,…, hp (72)
⎣ ⎝ 0.605 ⎠ ⎦
The inherent shear stresses are concentrated near the surface; therefore a cubic
approximation (µ = 0.25) is more convenient with the maximal stress
8.832
τ zx0 max = = 58.4 MPa
0.25 × 0.605
and their distribution is
3
⎛ 1− y ⎞
τ = 58.4 ⎜
0
zx ⎟ y = 0, …, hp (73)
⎝ 0.605 ⎠
Figure 12 presents the inherent stress components patterns obtained.
Figure 12 Approximations of the inherent stress distributions due to the diamond burnishing
aluminium alloy D16T
In applications of the proposed approach, it is not necessary to know anything about the
origin of the inherent stress and strain. As an example, consider its application to the
residual stresses due to the laser cutting of the austenitic stainless steel (Zamachtchikov
et al., 2002), in which the residual stress can be considered as of purely thermal origin
(Figure 13). The workpiece was a sheet steel CND 17-11-02 of thickness 3 mm. The cuts
1–2, 3–4, 5–6 were intended for further studies and were made with intermediate
cooling. Two specimens with dimensions 150 × 50 mm produced by the cuts 3–5, 4–6
were subject to further investigations (Figure 13(a)). The strips of 4, 8, 10, 16 and 20 mm
width were cut of these specimens by a cut-off milling cutter at a low regime with
abundant cooling. The milling influence on stresses was considered insignificant
compare to the laser cutting. The arc heights of the strips were measured by a dial
indicator 0.01 mm in the sheet plane. A good surface finish of the laser cutting allowed
measuring at the cutting surfaces.
Figure 13 Limit and averaged distributions of the inherent stresses due to the laser cutting
austenitic stainless steel
Equations (54) and (55) were used for calculations. The residual stress state in the
strips was considered as linear (ν = 0) due to the small sheet thickness. Seven variants
of the calculation were chosen by pair selection of the strips as the strips of
originally great width were twice slit. A common type of the inherent stress distribution
was taken as approximation of the data published (Doucet et al., 1990) by the
quarter-periodical cosine σ 0 = σ max
0
cos(π y / 2 hp ) with the dimensionless parameters
λ = 0.3634; µ = 0.6366.
Figure 13(b) shows the two limit distributions and the averaged distribution of all
strips. The depth of the inherent stresses is evaluated to be between 2.42 and 3.87 mm
with the average 3.27 mm and the maximal stress varies between 286 and 402 MPa with
the average 339 MPa.
The inherent stress distributions obtained above are statically equivalent to the actual
distributions due to the coincidence of the integral parameters. Simultaneously, the
analytical approximating distributions reflect the existing notions on the character of
the residual stress distributions. Naturally, the accuracy of such an evaluation will be
improved with the accumulation of the theoretical and experimental data on the stress
distributions.
Consider an illustrative example of thin-walled part fabrication from a quenched
plate (Figure 14). The aim is to reveal the influence of the quenching residual stress in
the workpiece and the residual stress due to the cutting itself on the residual stress and
distortion of the part. The linear stress state is assumed to simplify the derivations. The
analytical residual stress distribution is defined by Equation (45) with ν = 0
⎛ 6 y2 6 y ⎞
σ = σs ⎜ − + 1⎟ (74)
⎝ H2 H ⎠
where σs = (4EH2/3l2) [fm/(H−r)] is the stress at the workpiece surface. It is obtained by

the slitting of an additional specimen in two halves (Figure 9) and it is supposed to
be known.
Figure 14 Dependence of the distortion components on the scale parameter m = a/H fq, δq–the
arc heights and the relative elongations due to workpiece state; fc, δc–the same
components due to milling itself
The integration of distribution (74) in the limits y = 0,…, a and y = a + h,…, H gives the
loadings of the part due to the quenching stresses. The following expressions describe the
resulting stress and distortion state of the part
⎛ 6 y12 6 y1 ⎞
σ 1 = σ s n2 ⎜ 2
− + 1⎟ (75)
⎝ h h ⎠
⎛σ ⎞
δ q = − ⎜ s ⎟ ⎡⎣6 m 2 − 6 m(1 − n) + 2 n2 − 3n + 1⎤⎦ (76)
⎝E⎠
⎛ 0.75 × 10 6 σ s ⎞
fq = ⎜ ⎟ (1 − n − 2m) (77)
⎝ EH ⎠
1− n 1 − n2
0
m1,2 = ± (78)
2 12
where σ1 is the residual stresses in the part; δq is the relative elongation-shortening of the
part; fq is the arc height of the part at the base length of 1 meter; n = h/H, m = a/H are the
0
scale parameters; m1,2 are the parameters characterising the part location with zero
deformation of the elongation-shortening.
The above expressions show the following. The residual stresses in the part and the
components of its distortion increase proportionally to the residual stresses in the
workpiece. The residual stresses in the part are independent on its location relative to
the workpiece contour. The residual stress distribution in the part is parabolic and
identical to that in the workpiece. The residual stress in the part decreases proportionally
to the square of the part to workpiece thicknesses ratio. For example, if the part thickness
is of 10% the workpiece thickness (the proportion is typical for many thin-walled parts),
then, its residual stress is 100 times less that one in the workpiece. The parameters
0
m1,2 define the part locations giving the minimal potential energy of the distortion. In the
0
regions m1,2 , this energy is represented by the bending energy. In other part locations
relative to the workpiece contour, the potential energy of the part distortion is greater
due to the energy of the elongation-shortening that increases with the residual stress
value in the region of the part location. For example, if the part occupies the peripheral
zones of the workpiece m1 = 0; m2 = 1−n, then, the bending component of the distortion
is maximal, but its contribution to the potential energy of the part distortion is of
4% only.
Figure 14(b) represents the results of calculating the part distortion components
due to its fabrication from a quenched plate. The plate is machined on one side
and its distortion depends on parameter m only. The elongation-shortening component
is expressed through the relative deformation and the bending component is defined
by the arc height at the base length of 1 m. The initial data corresponds to the
deformable aluminium alloys. The measuring residual stress due to their quenching in
hot water gives the surface residual stress in the workpiece in the limits σs = −40,…, −70
MPa. As known, the stretching relieve of the residual stress in workpieces diminishes
the stress considerably, but the distribution remains essentially parabolic. Therefore,
Equation (74) is taken for the calculating distortions due to the workpiece state
with σs = −10 MPa. The face milling with the feed along the longitudinal axis of
the part is envisaged to remove the allowance a. Our experiments show that
the inherent stresses due to milling when wear of the cutting inserts is low can be
presented by the force integral Fx0 = −4, 5 MPa mm applied at the distance
ycx0 = 0.04 mm from the surface. The workpiece thickness is H = 30 mm; the elastic
module is equal to E = 73,000 MPa. The resultant distortion components can be obtained
using the superposition principle. This is justified by the facts that the cutting stresses
are much than that in the workpiece and that the part loadings are spatially divided: the
loading due to workpiece stresses is exterior and the loading due to cutting is interior
relative to the part.
The curves in Figure 14(b) show that the contribution of the milling in the resultant
distortions is not important when m < 0.7. One can state that a somewhat bigger
role of the milling in the elongation-shortening as a whole and particularly, at the
removal of the semi-section approximately (m = 0.5) relative to its role in the deflexion
component formation. This is due to the zero crossing of the elongation-shortening
due to the workpiece state (the part shortens at m < 0.5 and it elongates at m > 0.5).
However, at a further decrease in the part thickness (m ≥ 0.8), an increase in the
distortion components due to milling begins to outrun the rise of corresponding
components due to the workpiece state. The elongation-shortening component due to
milling can attain one third of those due to the workpiece state even at the limit values of
m with the same sign of the components. In contrast, the bending component due to
milling can considerably exceed those due to the workpiece state with the different
signs of the components. This creates a precondition to compensate the distortion
components.
8 Conclusions
An important trend in modern metalworking industry is machining thin-walled

components as for example transmission cases in the automotive industry.
The machining tolerances for such component are tight so great efforts have been
spending to improve tribology conditions at the tool-chip and tool-workpiece interfaces
to improve tool life and thus economy of such machining while meeting the said tight
tolerances (Astakhov, 2006). However, much less attention is paid to the distortions
of the thin-walled parts due to inherited residual stresses which combined with the
machining residual stress may affect the accuracy of machining significantly. Moreover,
the mentioned distortions can change the tool-in-use tool geometry and alter the course
of the tribological processes at the interfaces. Therefore, the development of some
methods of the production monitoring of part distortion are of particular theoretical and
practical interest.
In this present paper, residual stresses and part distortions produced by the surface
machining and mechanical enhancement are jointly analysed. A general case of the
surface layer stress described by the two normal and in-plane shear components is
treated. Rigid kinematics processes, for example cutting, ball and diamond burnishing
typically produce this state. Inherent strain and stress are taken as initial invariant
parameters of the technological process in integral and detailed meaning. The static
equivalence of the inherent stress distributions can be realised through different surface
stress, different stress picks and through different depth of the work hardening.
Therefore, the correct choice of the approximating function parameters is predominant.
On the other hand, the researchers’ opinion on the relative role of the mentioned
parameters on the surface integrity cannot be considered as definitive so far as further
investigations of the typical stress and work hardening distributions depending on the
processes conditions are necessary. A set of simplified methods to evaluate integral
parameters of the surface treatment are presented and discussed with practical examples.
The methods can exclude the expensive investigation of in-depth residual stress
distributions at the first step of the studies and rend them more advisable. Approaches
proposed will be useful for governing part distortions and for improving some methods
of the production processes monitoring.
References
Astakhov, V.P. (2006) Book Entitled ‘Tribology of Metal Cutting’, London: Elsevier.
Birguer, I.A. (1963) Book Entitled ‘Residual stresses’, Moscow: MachGIZ (in Russian).
Doucet, J-P., Jubin, L., Dubois, D. and Beguinot, J. (1990) ‘Contraintes résiduelles associées au
découpage thermique (procédés laser, plasma, oxygaz)’, CETIM – Contraintes résiduelles et
nouvelles technologies, pp.194–199 (in French).
Flavenot, J.F. and Niku-Lari, A. (1976) ‘Mesure des contraintes résiduelles sur des surfaces
planes’, CETIM-Informations, No. 48, pp.25–37 (in French).
Isaev, A.I. and Ovseenko, A.N. (1967) ‘Optimal specimen thickness in the surface residual stress
investigation’, Vestnik Machinostroenia, No. 8, pp.74–76 (in Russian).
Ivanov, S.I. (1971a) ‘Residual stress evaluation in the surface layer of the cylinder’, Works of the
Samara State Aerospace University, No. 48: Problems of the Strength of Aviation Structures,
pp.153–168 (in Russian).
Ivanov, S.I. (1971b) ‘Shear residual stress evaluation in the cylinder by the method of rings’,
Works of the Samara State Aerospace University, No. 53: Residual Stresses, pp.107–115
(in Russian).
Ivanov, S.I. (1971c) ‘Shear residual stress evaluation in the cylinder by the method of strips’,
Works of the Samara State Aerospace University, No. 53: Residual Stresses, pp.127–138
(in Russian).
Ivanov, S.I. and Pavlov, V.F. (1976) ‘Residual stress and work-hardening influence on the fatigue
strength’, Problems of the Strength, No. 5, pp.25–27 (in Russian).
Kirk, D. and Hollyoak, R. (1993) ‘Factors affecting Almen strip curvature reading’, Proceedings of
the 7th ICSP, pp.291–300.
Korsunsky, A.M. (2005) ‘On the modeling of residual stress due to surface peening using
eigenstrain distributions’, Journal of Strain Analysis for Engineering Design, Vol. 40, No. 8,
pp.1–8.
Ovseenko, A.N. (1991) ‘Technological distortions of non-rigid parts’, Vestnik Machinostroenia,
No. 2, pp.58–61 (in Russian).
Pavlov, V.F. (1987) ‘In-depth residual stress distribution in machined surface layer and the fatigue
strength’, Izvestia Vusov-Machinostroenie, No. 7, pp.3–6 (in Russian).
Rykovsky, B.P., Smirnov, V.A. and Shchetinin, G.M. (1985) Book Entitled ‘Local Enhancement of
Machine Parts by Surface Work Hardening’, Moscow: Machinostroenie (in Russian).
Saverin, M.M. (1955) Book Entitled ‘Shot Peening’, Moscow: MachGIZ.
Yatsenko, V.K., et al. (1985) Book Entitled ‘Strength Improvement of Machine Parts by Diamond
Burnishing’, Moscow: Machinostroenie (in Russian).
Zamashchikov, Y.I. (1978) ‘Approximate inherent stress evaluation in the calculation of part
distortions due to cutting’, Works of the Irkutsk State Technical University: Improvement in
the Machine Parts Performances by Technological Methods, pp.71–74 (in Russian).
Zamashchikov, Y.I. (1990) ‘Method to evaluate residual stresses in quenched plates’, Works of the
Irkutsk State Technical University: Improvement in the Machining Effectiveness, pp.90–96
(in Russian).
Zamachtchikov, Y.I., Breaban, F., Vantomme, P. and Deffontaine, A. (2002) ‘Method to evaluate
residual stresses in laser cutting process’, International Journal of Laser in Engineering,
Vol. 12, No. 1, pp.27–41.
Influence of tool sharpness on the thermal and

mechanical phenomena generated during
machining operations
José C. Outeiro
Portuguese Catholic University,
Rua Mendes Pinheiro, 24,
Figueira da Foz 3080-032, Portugal
E-mail: jcouteiro@crb.ucp.pt
Abstract: Although the definition of the cutting tool edge radius is

self-evident, its influence on the cutting process is ambiguous. Therefore, a
certain qualitative assessment criterion should be developed to classify the
cutting edge as to be sharp or rounded in the modelling of the cutting process.
It is particularly important because carbide insert manufacturers supply the
same product with different radii of the cutting edge. This paper quantifies the
importance of the cutting edge radius. It considers the ratio of the cutting
edge radius and the uncut chip thickness as the Relative Tool Sharpness (RTS)
of the cutting edge. The influence of RTS on the cutting process was analysed
analytically and experimentally. This paper discusses the influence of RTS on
the energy flows in the metal cutting system and the energy balance of this
system.
Keywords: metal cutting; cutting edge radius; tool sharpness; modelling.
Reference to this paper should be made as follows: Outeiro, J.C.

(2007) ‘Influence of tool sharpness on the thermal and mechanical phenomena
generated during machining operations’, Int. J. Machining and Machinability
of Materials, Vol. 2, No. 3, pp.413–432.
Biographical notes: José C. Outeiro received a PhD in Manufacturing

Engineering from the University of Coimbra (Coimbra, Portugal) in 2003.
He is a Professor in the Portuguese Catholic University (UCP) since 1995.
His research activities at UCP and at the Residual Stress Research Group of
the University of Coimbra. He has been involved in several machining projects
in cooperation with several 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.
1 Introduction
Although the definition of cutting tool edge radius is self-evident, it is more difficult to
assess the influence of this parameter on the cutting process and thus to classify the tool
cutting edge as to be sharp or rounded. This is because the sharpness is a relative

414 J.C. Outeiro
parameter, which depends on the ratio of the tool cutting edge radius and the uncut chip
thickness. Even if the cutting tool edge radius is small, it may have a significant
influence on the cutting process if the uncut chip thickness is of the same order or even
smaller than the cutting tool edge radius. Zorev (1966) suggested the following empirical
rule: the radius of the cutting edge does not affect the cutting process if this radius is
equal or less than 1/10 of the uncut chip thickness. As a result, the radius of the cutting
edge should be considered as a significant factor in the modelling the cutting process.
For example, if one tries to evaluate the influence of the cutting feed and the parameters
of the cutting tool geometry that might affect on the cutting process, the discussed
1/10 ratio should always be kept in mind.
Since in metal cutting the experimental study remains the essential instrument of
knowledge, the theory of similarity and the theory (and practice) of simulation make it
possible to condense experimental information. Similarity and simulation facilitate a
unified description of a great variety of machining operations. The theory of similarity
permits the proper generalisation of the results from a series of cutting test conducted
over limited range of the test conditions to a wide class of physically similar processes
(Astakhov, 1998, 2006).
The theory of similarity is of considerable importance in modelling various
phenomena. This modelling is used to replace the study of the natural phenomenon of
interest by the study of analogous phenomenon in a model.
In this paper, similarity theory was applied to the development analytical
models to predict the cutting forces, temperatures and thermal energy distribution in
the deformation zone. These models were used to investigate the influence of the
ratio between the uncut chip thickness and the tool cutting edge radius on the
cutting process.
2 The role of the tool cutting edge radius on cutting process
2.1 Definition of relative tool sharpness

In general, both the cutting tool edge radius and the uncut chip thickness (mainly affected
by the cutting feed) may vary and thus the previous considerations lead to the
introduction, of a criterion referred to as the Relative Tool Sharpness (RTS) of the
cutting edge and defined by the following equation,
tr
RTS = (1)
rn
where tr is the uncut chip thickness and rn is the radius of the cutting edge. The maximum
value of this ratio that corresponds to negligibly small influence of the cutting edge
radius on the cutting process is referred to as the critical RTScritical.
Due to the finite radius of the cutting tool, ploughing occurs in every metal cutting
process (Albrecht, 1960; Basuray et al., 1977). As RTS increases, ploughing competes
directly with cutting. This means that the layer to be removed by the moving tool is
deformed and separates into two different directions. One part of this layer flows along
the tool rake face forming the chip and the other part is pressed by the round cutting edge
against the workpiece surface, contributing to the ploughing (or burnishing)
phenomenon.
Influence of tool sharpness on the thermal and mechanical phenomena 415
In this work, it is assumed that the total uncut chip thickness, tr, is separated into the
actual uncut chip thickness, t1 and the layer to be burnished, hp, by the round part
adjacent to the tool flank face (see Figure 1).
Figure 1 Model of the rounded tool cutting edge
2.2 Influence of RTS on cutting feed and rake angle

Because the actual uncut chip thickness, t1, is smaller than the total uncut chip thickness,
tr, the cutting feed corresponding to the actual uncut chip thickness can be thought of as
the apparent cutting feed, f1, which is smaller than the real cutting feed, f, measured as
the velocity of tool along the workpiece as shown in Figure 2. As seen, the apparent
(or corrected) cutting feed can be calculated as
t1 hp
f1 = = f− (2)
sin (κ r ) sin (κ r )
where κr is the tool cutting edge angle. This equation is valid when tr > hp, or, as it
follows from Equation (2), when f > hp /sin(κr) (to keep f1 > 0).
Figure 2 Schematic representation of the corrected feed due to the cutting tool edge
radius effect
The use of small RTS′ also induces changes in the tool rake angle. Figure 1 shows the
method used to calculate the corrected normal rake angle, γ n′ . This angle corresponds to
the angle between the trace of the reference pane (the vertical direction in Figure 1) and
416 J.C. Outeiro
the tangent line to the rake face profile at point A. According to this method, the
corrected normal rake angle calculates as:
⎧ ⎛ tr ⎞
⎪arcsin ⎜ − 1 ⎟ if tr < rn (1 + sin γ n )
γ n′ = ⎨ ⎝ rn ⎠ (3)
⎪γ if tr ≥ rn (1 + sin γ n )
⎩ n
where γn is the normal tool rake angle.
3 Analytical model
3.1 General approach

Figure 3 shows the flowchart of the proposed analytical approach to study the influence
of RTS on the forces, temperatures and thermal energy distributions in the deformation
zone. A detailed description of this approach can be found in Outeiro (2002). This
analytical approach can be applied to any practical (three-dimensional) metal cutting
operation.
Figure 3 Flowchart of the analytical approach used in the prediction of the temperatures and
thermal energy distribution in the deformation zone
The analytical approach includes three main steps:

1 Determination of the corrected feed, f1, and the corrected normal rake angle,
γ n′ , due to the cutting tool edge radius effect, using the procedures described in
the previous section.
2 Determination of the equivalent cutting geometry. To make analytical studies of
three-dimensional cutting process easier, some simplifications of the real cutting
process are needed. One of the common simplifications is the concept of the
equivalent cutting edge. This cutting edge replaces the major and minor cutting
edges in the manner shown in Figure 4 (Arsecularatne et al., 1995; Outeiro,
2002; Wang and Mathew, 1988, 1995). This equivalent cutting edge is defined
as a straight line that connects the end of the active parts of the major and minor
cutting edges as shown in Figure 4. Once the equivalent cutting edge is
constructed, the direction of chip flow is assumed to be perpendicular to this
edge. As any cutting edge, this edge is characterised by an equivalent geometry
including a set of equivalent angles: rake angle, γ neq , flank angle, α neq ,
inclination angle, λseq and tool cutting edge angle, κ req . The determination of the
equivalent cutting geometry includes three following steps:
a Determination of the chip flow angle, ηc, using the Colwell model
(see Figure 4).
b Determination of the equivalent cutting edge geometry (γ neq , α neq , λseq , κ req ).
c Determination of the uncut chip cross-section area as the product of the true
uncut chip width, b1T and true uncut chip thickness, t1T in the manner as
suggested by Klushin (1958). The detailed methodology of determination
of b1T and t1T is described in detail by Astakhov (1998).
Figure 4 Definition of equivalent cutting edge
Adopting these simplifications, 3D cutting can be represented by orthogonal cutting so

the orthogonal cutting theory can be applied to estimate the forces and temperatures
generated in three-dimensional cutting process.
The equivalent cutting geometry together with other input parameters such as
cutting speed, feed, physical and mechanical properties of the work and tool materials,
geometry of the workpiece are used to calculate the relevant similarity numbers as
described in Astakhov (1998, 2004). Then analytical models for the orthogonal cutting
are employed to predict the forces, temperatures and thermal energy distribution in the
deformation zone. These models were presented by Astakhov (1998, 2004) and
described as follows:
3.2 Thermal model

Figure 5 shows the model presented by Astakhov (1998, 2004) to calculate the
temperatures and thermal energy distribution in the deformation zone.
418 J.C. Outeiro
Figure 5 Model proposed by Astakhov to study the thermal phenomenon in metal cutting
Since practically all of the mechanical energy associated with chip formation is
converted into the thermal energy, the heat balance equation is of prime concern in metal
cutting studies (Astakhov, 1998). This equation can be written as:
FC vC = QΣ = Qc + Qw + Qt (4)
where Fc is the cutting force, N; vc is the cutting speed, m/s; QΣ is the total thermal
energy generated in the cutting process, J/s; Qc is the thermal energy transported by the
chip, J/s; Qw is the thermal energy conducted into the workpiece, J/s; Qt is the thermal
energy conducted into the tool, J/s.
Using the orthogonal cutting model referred above, the following equations for the
thermal energy distribution were derived by Silin and presented by Astakhov (1998):
• Thermal energy transported by the chip (Qc)
τ f t 1T b1T vc ⎡ PeB
Qc = ⎢ϕ 1ϕ 2erf
B ⎢⎣ 4
(5)
+ " + Bϕ 3
cos γ eq
n ( )
+ sin γ neq − B cos γ neq − sin γ neq ⎤
⎥
cos γ neq + B sin γ neq ⎥
⎦
where
2 1.125 exp ( −(PeB / 4) )

ϕ1 = 1 − + (6)
PeB PeB erf PeB / 4
1
ϕ2 = (7)
(
1 + 0.225FD 0.3 ) ( Pe (1 − sin γ ) ) eq
n
0.4
1
ϕ3 = (8)
(
1 + 0.325FD 0.3 1 − sin γ neq ( )
0.25
) Pe
• Thermal energy conducted into the tool (Qt)
0.54τ f t1T b1T vc F 0.88 D 0.26 M 0.47 E 0.27 erf 0.35 PeB / 4
Qt = (9)
(1 − sin γ )
0.5
Pe
0.615 eq
n sin 0.15 α neq B 0.72
• Thermal energy conducted into the workpiece (Qw)
⎡ 0.665ϕ 4erf PeB / 4

Q w = τ f t 1T b1T vc M ⎢ +"
⎢⎣ PeB
(10)
0.625Eϕ 5B1.5 ⎤
+ ⎥
sin α n ⎦
0.55 eq
where
1
ϕ4 = (11)
(
1 + 0.27FD E 0.3 0.3
) Pe sin 0.15 α neq
1
ϕ5 = (12)
(
1 + 0.35FD sin 0.1 α neq0.3
) Pe E 0.2
τf is the shear stress at fracture of the work material and the parameters Pe, B, D, E, F and
M are previously described Astakhov (1998). Particularly, B is equal to tan(φ), being φ
the angle of the inclination of the plane of the maximum combined stress in relation to
the direction of primary motion (also called shear angle). B can be calculated using the
following equation:
B=
( )
(PeB − 2)erf 0.5 PeB + 1.125 PeB exp(−0.25PeB)
PeB ⎡ Pe + 0.325FD 0.3 1 − sin γ neq ( ) ⎤

0.25
⎣⎢ ⎦⎥
+
(
0.665erf 0.5 PeB ) + 0.145F 0.8
D 0.25 erf 0.25 0.5 PeB ( ) (13)
( )
0.95
PeB Pe 0.5 B 0.2 1 − sin γ neq
( ) ( )
0.4
PeB 1 − sin γ neq ⎡ cos γ neq + sin γ neq − B cos γ neq − sin γ neq ⎤
+ ⎣ ⎦ −1
( cos γ eq ⎡
) ( 0.3 ⎤
)
0.4
eq
+ B sin γ n Pe 1 − sin γ n eq
+ 0.225FD
n
⎣⎢ ⎦⎥
420 J.C. Outeiro
Concerning to the maximum temperature at chip formation zone, and at tool-chip and
tool-workpiece interfaces, the following equations were derived by Silin and presented in
the corrected form by Astakhov (1998, 2004):
• The maximum temperature reached in the plane of maximum combined

stress (also known as shear plane), TA, is supposed to be reached close to
the tool cutting edge (see point A in Figure 5) and given by the following
equation:
τf PeB
TA = erf (11) (14)
(c ρ )
p w
4
where cp eρ are the specific heat (J/Kg°C) and the density (Kg/m3) of the work material,
respectively.
• The maximum contact temperature at the tool-chip interface, TM, (the cutting
temperature) is supposed to be reached at the middle of tool-chip contact
(see point M in Figure 5) and is given by the following equation:
TM = TA (1 + ψ M ) (15)
where
ψM =
0.9675 (1 / (1 + b0 ) ) Pe B (
cos γ neq + sin γ neq − B cos γ neq − sin γ neq ) (16)
erf PeB / 4 cos γ eq
n + B sin γ eq
n
where
0.25FD 0.3 cos γ neq + B sin γ neq
b0 = (17)
( )
0.2
Pe B 0.3 ⎡⎣ cos γ neq + sin γ neq − B cos γ neq − sin γ neq ⎤⎦
• The maximum contact temperature at the tool-workpiece interface, TN, is

supposed to be reached at the middle of tool-workpiece contact (see point N in
Figure 5) and is given by the following equation:
⎛ 0.36 sin 0.25 α neq ⎞

TN = TA ⎜ 0.5 + 1.25
+ 0.53ψ N ⎟ (18)
⎝ B PeE ⎠
where
ψN =
( 0.6 (1 + p ) ) B 1
1.25
PeE cos α neq
(19)
sin 0.25 α neq erf PeB / 4
and
0.24 FD 0.3 sin 0.1 α neq

p1 = (20)
Pe E 0.2 B 0.1
3.3 Mechanical model

Figure 6 shows simplified diagram of the forces generated in orthogonal cutting, as
proposed by Astakhov. In this diagram R is the resultant cutting force, Fτ the force
along the plane of the maximum combined stress, FC and Ft are the power and trust
components of the cutting force, respectively and FnγeFtγ are the normal and the friction
forces on the tool rake face. Because a tri-axial state of stress is the case in the
deformation zone, even in simple orthogonal cutting, a good estimation for the
power component of the cutting force can be given by the following equation
(Isakov, 1997a,b):
Fc = Acσ u (21)
where Ac is the uncut chip cross-sectional area (m2) (calculated as described in the
Appendix of Astakhov (1998)) and σu is the ultimate compression strength of the work
material (Pa), function of temperature and strain rate.
As follows from Figure 6, the resultant cutting force R then calculates as
Fc Fc
R= = (22)
cos ( (π / 4) − φ ) cos((π / 4) − arctan( B))
where B is a similarity number, calculated using Equation (13).

Thus, the trust components of the cutting force, Ft, can be calculated as
⎡π ⎤
Ft = Fc tan ⎢ − arctan( B) ⎥ (23)
⎣ 4 ⎦
Figure 6 Simplified force diagram

422 J.C. Outeiro
4 Experimental set-up and cutting parameters
The experiments were carried out on a numerically controlled lathe using a bar turning
process. Round bars of 140 mm diameter made of AISI 316L and AISI 1045 steels were
selected for this study. The tests were conducted using both uncoated and coated
tungsten carbide inserts. Two kinds of uncoated inserts were used corresponding to the
designations H13A (ISO M10-M30) and K68 (ISO M10-M20/K05-K15). The coated
tungsten carbide insert corresponds to the designation KC850 (ISO P25-P45). The
Chemical Vapour Deposition (CVD) tool coatings employed were triple layer coatings
TiC/TiCN/TiN, being the TiN the external layer. The selected cutting regime parameters
and the tool geometry according to the ISO 3002/1-1982 are summarised in Table 1.
No cutting fluid was used in the machining tests.
Table 1 Tool geometry and cutting regime parameters
Cutting tool K68/KC850 H13

Tool cutting edge radius – rn (µm) 44/55 10
Tool nose radius – rε (mm) 0.8 0.4
Normal rake angle – γn (°) −4.29 0
Normal flank angle – αn (°) 4.29 7
Inclination angle cutting edge – λs (°) −14 0
Tool cutting edge angle – κr (°) 72 91
Tool minor cutting edge angle – κ r′ (°) 72 29
Cutting speed – vc (m/min) 75–250
Feed – f (mm/rev) 0.05–0.3
Depth of cut – p (mm) 0.5–5
The physical properties of the AISI 1045 and AISI 316L steels and the thermal
conductivities of the uncoated and coated tool inserts are temperature (T) dependent as
shown in Tables 2 and 3, respectively (Davis, 1998; Jawahir and Van Luttervelt, 1993;
Lacombe et al., 1990).
Table 2 Physical properties of work materials.
AISI 1045
Density (Kg/m )3
ρ w (T ) = 7933.3 − 0.2805T
Specific heat (J/Kg K) c p, w (T ) = 467.88 + 0.1888T + 0.0006T 2
Thermal conductivity (W/m K) kw (T ) = 40.641 − 0.0096T

AISI 316L
Density (Kg/m3) ρ w (T ) = 7921 − 0.614T + 0.0002T 2
Specific heat (J/Kg K) c p, w (T ) = 440.79 + 0.5807T − 0.001T 2 + 7 × 10 −7 T 3
Thermal conductivity (W/m K) kw (T ) = 14.307 + 0.0181T − 6 × 10 −6 T 2
Source: Davis (1998) and Lacombe et al. (1990).

Table 3 Thermal conductivity of cutting tools
Cutting tool Thermal conductivity (W/m K)

Uncoated tool kt (T ) = 85.932 − 0.0057T − 6 × 10 −5 T 2 + 4 × 10 −8 T 3
Coated tool kt (T ) = 25.86 + 0.0104T − 3 × 10 −6 T 2
Source: Jawahir and Van Luttervelt (1993).
During the turning tests the cutting forces and temperatures were measured with a
designed experimental set-up. The cutting forces were measured in the directions as
shown in Figure 7 using a Kistler type 9255 B three-component piezoelectric
dynamometer. In order to measure the temperature distribution in the deformation zone
in three-dimensional cutting, an IR thermal imaging equipment was developed and
applied. A detailed description of this equipment and its calibration are shown in Outeiro
et al. (2004). This equipment was installed on the lathe to allow the measurement of the
temperature fields in the axial and circumferential directions as shown in Figure 8.
Figure 7 Schematic representation of the cutting forces in turning
Figure 8 Schematic representation of the directions of the temperature analysis performed

by the IR thermal imaging equipment
5.1 Thermal energy distribution

Figure 9 shows the influence of RTS on the thermal energy distribution in the
deformation zone during machining AISI 1045 steel using K68 tool. As seen, the amount
of heat conducted into the tool and the workpiece increases as RTS decreases. Therefore,
424 J.C. Outeiro
less heat is emitted away from the cutting zone by the chip. Identical results were
obtained during machining AISI 316L steel.
Figure 9 Influence of RTS on energy balance when machining AISI 1045 steel using the
uncoated cutting tool K68
To study the influence of the cutting edge radius and coating in the thermal energy
distribution in the deformation zone, three simulations were performed for each work
material corresponding to the three cases as shown in Figure 10. Case 1 represents an
uncoated tool with a cutting edge radius of 44 µm. Case 2 represents an uncoated tool,
but with a larger cutting edge radius (55 µm). Case 3 represents a coated tool with CVD
coating of TiC/TiCN/TiN and with the same cutting edge radius as in Case 2 (55 µm).
The results obtained from these three cases are given in Table 4 when machining the
AISI 316L steel at a cutting speed of 75 m/min, feed of 0.05 mm/rev and depth of cut of
2.5 mm. This Table gives for the same cutting parameters, an increase in the cutting tool
edge radius (Case 1 → Case 2) leads to a reduction in the amount of heat transported by
the chip (Qc) while a reduction in the heat conducted into the tool (Qt) was observed
when the coated tool was used (Case 2 → Case 3). The combined effect of the increase in
the cutting tool edge radius and coating (Case 1 → Case 3) leads to an increase in the
amount of the heat conducted into the workpiece (Qw). Identical results were obtained
during machining AISI 1045 steel.
Table 4 Energy balance in machining 316L (vc = 75 m/min; f = 0.05 mm/rev; p = 2.5 mm)
316L steel Qc (%) Qw (%) Qt (%)

Case 1 62.5 20.5 17.0
Case 2 55.1 25.2 19.7
Case 3 61.0 29.3 9.7
Case 1 → Case 2 −7.4 +4.7 +2.7
Case 2 → Case 3 +5.9 +4.1 −10.0
Case 1 → Case 3 −1.5 +8.8 −7.3
Figure 10 Three cases of cutting edge conditions and coating used in the modelling and
experimental work
5.2 Temperatures
Figures 11 and 12 show the influence of RTS on the maximum temperatures at the
tool-chip interface, TM, and at the tool-workpiece interface, TN, for both work materials
when machined using K68 and KC850 cutting tools. These figures also show the
temperature at the chip free surface, Tcf, and the temperature at the chip contact surface,
Tcc, measured using the above referred thermal imaging equipment. Accordingly these
figures, TM always increases with RTS while TN tends to stabilise around a certain
temperature level. For most RTS values, TM is always higher than TN. However, for
extremely low values of RTS, TN becomes slightly higher than TM. This can be explained
by the reduction of the tool-chip contact length as the tool cutting edge radius increases
(so, RTS decreases) (Zorev, 1966). In such conditions, the maximum cutting temperature
zone shifts towards the tool flank.
Figure 11 Influence of RTS on temperatures in cutting zone when machining AISI 1045 steel
using the K68 cutting tool
426 J.C. Outeiro
Figure 12 Influence of RTS on temperatures in cutting zone when machining AISI 316L steel
using the KC850 cutting tool
Figures 11 and 12 show that the measured chip temperatures (Tcc and Tcf) are always
higher than TM, especially for extremely low values of RTS. However, the difference
between the measured chip temperatures and TM tends to decrease as RTS increases.
Because the analytical approach considers only the cutting process taking place in the
layer of thickness t1, the difference between the experimental and calculated temperatures
is probably due to the ploughing phenomenon. In fact, an increase in the cutting tool
edge radius (or the corresponding decrease of RTS) increases ploughing, which competes
directly with the cutting process.
As shown in Figure 13, a constant difference exists between calculated and measured
temperatures over the range of the cutting speeds used in this study, reinforcing the
hypothesis that this difference is maybe due to the ploughing phenomenon.
Figure 13 Influence of the cutting speed on temperatures in cutting zone when machining
AISI 1045 steel using the K68 cutting tool
5.3 Cutting forces

Figures 14 and 15 show both calculated and measured three orthogonal components of
the Resultant force, R, resulting from machining AISI 316L and AISI 1045 steels using
H13A and KC850 cutting tools. The calculated three orthogonal components of the
resultant force were determined by projecting the Fc and Ft components, calculated using
Equations (21) and (23), in the directions where acting of the forces measured
experimentally (see Figure 7).
Figure 14 Evolution of the components of the total force with the cutting speed (a), feed (b)
and depth of cut (c). Work material: AISI 316L steel; Cutting tool: H13A
428 J.C. Outeiro
and depth of cut (c). Work material: AISI 316L steel; Cutting tool: H13A
(continued)
and depth of cut (c). Work material; AISI 316L steel; Cutting tool: KC850 tool
and depth of cut (c). Work material; AISI 316L steel; Cutting tool: KC850
tool (continued)
Figure 14 shows the three orthogonal components of the resultant force versus the
cutting speed, feed and depth of cut, in turning of the 316L steel using the H13A tools.
The difference between measured and predicted forces is less than 10%. However, taking
into account the error associated to each experimental determination of the forces, which
strongly depends on the dynamometer’s calibration, it can be considered that a good
agreement exists between the calculated and measured forces.
430 J.C. Outeiro
In the previous case, the influence of the cutting tool edge radius in the cutting
process is negligible since the value of the cutting tool edge radius (0.010 mm for the
H13A cutting tools) is very low when compared to the smallest value of the thickness of
the layer to be removed (0.1 mm in this case), so, high RTS values are used.
Consider now the case of using low RTS values in machining of AISI 316L steel
using KC850 cutting tool. As shown in Figure 15, a significant difference is found
between measured and calculated forces. This difference is particularly evident for feeds
(so, uncut chip thickness) smaller than a critical value and practically constant with the
cutting speed and depth of cut. This difference decreases gradually as the feed increases,
in such a way that, for feeds higher than the critical value both calculated and measured
forces are closer.
As mentioned in the thermal energy and temperature calculations, the main cause
for this forces behaviour, in the case of the K68 and KC850 tools, is the high cutting
edge radius size of these tools when compared with the applied thickness of the
layer to be removed, in other words, the use of low RTS values. Increase in the cutting
tool edge radius increases the ploughing phenomenon, which competes directly with the
cutting process. Because the forces determined analytically are only calculated for
the layer submitted to the cutting process (layer of thickness t1), being ignored what
happens in the layer submitted to the ploughing phenomenon (layer of thickness hp), the
difference between predicted and measured forces may be due to the ploughing
phenomenon.
6 Conclusions
Being the important parameter of the cutting tool, the tool sharpness cannot be
defined as an absolute parameter characterised only by a particular value of the radius
of the tool cutting edge. Rather, it is a relative parameter, which depends on both the
tool cutting edge radius and the uncut chip thickness. It is proposed, therefore, to
characterise tool sharpness by the RTS defined as the ratio between the uncut chip
thickness and the tool cutting edge radius. To minimise the influence of the tool
cutting edge radius in the cutting process, RTS should be kept higher than that of the
critical RTScritical.
For the same uncut total chip thickness, decreasing RTS leads to a decrease in the
actual uncut chip thickness and to the corresponding increase in the thickness of the layer
being burnished by the round part of the tool cutting edge. As a result, more heat
generates in machining and a greater part of this heat is conducted into the tool and
workpiece. As such, the portion of this heat emitted away from the cutting zone by the
chip decreases. Therefore RTS changes heat partition in the machining zone.
This change in heat partition directly affects temperature distribution in the
deformation zone. The region of the maximum temperature shifts from the tool rake face
to the tool flank face. This is particularly true for extremely low RTS′. When this
is the case, the maximum temperature at the tool-workpiece interface (TN) can be
higher than that of the tool-chip interface (TM). Moreover, measured chip temperatures
(Tcc and Tcf) are always higher than calculated maximum temperature at tool-chip
interface (TM), in particular for extremely low values of RTS. However, the difference
between measured chip temperatures and temperature at tool-chip interface tends to
decrease as RTS increases.
Similar results were obtained concerning the three orthogonal components of the
resultant force, where the difference between the calculated and measured forces is high
for low RTS values, decreasing and converging for the same value as the RTS increases.
The observed differences between calculated and measured forces and temperatures
are probably due to the ploughing phenomenon, because the forces and temperatures
determined analytically only take into account the layer submitted to the actual uncut
chip thickness and experimentally they are measured considering the total uncut chip
thickness. Moreover, the effect of tool coating also contributes to this difference. This
difference decreases as the RTS parameter increases due to the reduction of the
ploughing phenomenon when compared with the cutting process.
The validity of the results was verified independently by measuring these two
parameters (temperatures and the three orthogonal components of the resultant force).
Finally, cutting inserts of the same size and shape but having different cutting
edge radii are available from many insert manufacturers. The selection of these
insert should be made taking into account particular machining operation (roughing
or finishing).
References
Albrecht, P. (1960) ‘New developments in the theory of the metal cutting process. Part I – the
ploughing process in metal cutting’, Journal of Engineering for Industry, Vol. 81,
pp.348–358.
Arsecularatne, J.A., Mathew, P. and Oxley, P.L.B. (1995) ‘Prediction of chip flow direction
and cutting forces in oblique machining with nose radius tools’, Proceedings of the Institution
of Mechanical Engineers, Part B: Journal of Engineering Manufacture, Vol. 209,
pp.305–315.
Astakhov, V.P. (1998) Metal Cutting Mechanics, Boca Raton, USA: CRC Press.
Astakhov, V.P. (2004) ‘Tribology of metal cutting’, in H. Liang (Ed). Mechanical Tribology.
Material Characterization and Application, Marcel Dekker, pp.10–50.
Astakhov, V.P. (2006) Tribology of Metal Cutting, London: Elsevier.
Basuray, P.K., Misra, B.K. and Lal, G.K. (1977) ‘Transition from ploughing to cutting during
machining with blunt tools’, Wear, Vol. 43, pp.341–349.
Davis, J.R. (1998) Metals Handbook Desk Edition, 2nd edition, ASM International.
Isakov, E. (1997a) ‘Cutting force and machining power when milling with high shear cutters’,
SME Technical Paper MR97-203.
Isakov, E. (1997b) ‘Dynamics of metal cutting’, in V.P. Astakhov (Ed). Proceedings of ASME
International Mechanical Engineering Congress and Exposition, Dallas, New York: ASME,
pp.211–217.
Jawahir, I.S. and Van Luttervelt, C.A. (1993) ‘Recent developments in chip control research and
applications’, Annals of the CIRP, Vol. 42, No. 2, pp.659–693.
Klushin, M.I. (1958) Metal Cutting, Moscow, Russia: Mashgiz.
Lacombe, P., Baroux, B. and Beranger, G. (1990) Les Aciers Inoxidables, Les Editions de
Physique, Les Ulis, France.
Outeiro, J.C. (2002) ‘Application of recent metal cutting approaches to the study of the machining
residual stresses (in Portuguese)’, PhD Thesis, Department of Mechanical Engineering,
University of Coimbra, Coimbra, p.340.
Outeiro, J.C., Dias, A.M. and Lebrun, J.L. (2004) ‘Experimental assessment of temperature
distribution in three-dimensional cutting process’, Machining Science and Technology, Vol. 8,
No. 3, pp.357–376.
432 J.C. Outeiro
Wang, J. and Mathew, P. (1988) Prediction of Chip Flow Direction and Cutting Forces in Oblique
Machining with Nose Radius Tools. Report 1988/IE/5, University of New South Wales,
Australia.
Wang, J. and Mathew, P. (1995) ‘Development of a general tool model for turning operations
based on a variable flow stress theory’, International Journal of Machine Tools and
Manufacture, Vol. 35, No. 1, pp.71–90.
Zorev, N.N., Metal Cutting Mechanics, Pergamon Press, Oxford, 1966.
Wear of mixed alumina ceramic tools in high

speed facing of Inconel 718
RM. Arunachalam
Sona College of Technology,
TPT Road, Salem 636005, Tamilnadu, India
Fax: +91-427-244-9174
E-mail: arunrm@sonatech.ac.in
Abstract: A study was undertaken to investigate the performance of mixed

alumina ceramic tools in high speed facing of solution annealed Inconel 718.
Machining tests were conducted using round inserts at cutting speeds ranging
from 150 to 450 m/min. The feed rates ranged from 0.10 to 0.20 mm/rev and
two depths of cut of 0.5 and 1.0 mm were used. The different tool failure
modes, wear mechanisms, the effect of cutting speed, feed rate and depth of cut
on the tool wear, tool life and cutting forces were studied. In addition the
surface finish and residual stresses were also examined. Since ceramic cutting
tools wear in an unpredictable pattern, a failure indicator that could be reliably
applied has also been identified.
Keywords: mixed alumina; ceramic cutting tools; Inconel 718; cutting speed;
feed rate; depth of cut; tool wear; flank wear; depth of cut notch wear; DOCN;
trailing edge wear TEW; wear mechanism; surface finish; residual stresses;
material removal rate; facing.
Reference to this paper should be made as follows: Arunachalam, RM.

(2007) ‘Wear of mixed alumina ceramic tools in high speed facing of Inconel
718’, Int. J. Machining and Machinability of Materials, Vol. 2, No. 3,
pp.433–450.
Biographical notes: RM. Arunachalam is working as a Professor in the

Department of Mechanical Engineering, Sona College of Technology, Salem,
India. He completed a BE in Mechanical Engineering with distinction from
Annamalai University and ME (by research) in Manufacturing Engineering
from the National University of Singapore. He received a PhD in
Manufacturing Engineering also from the National University of Singapore.
He has contributed about 17 research papers in journals and conferences at
international level. His areas of research include traditional and non-traditional
machining, high speed machining, surface integrity of machined components,
pulse plating and synthesis of nanostructured materials.
1 Introduction
In the recent years, with the advancement of machine tools and cutting tool technology,
High Speed Machining (HSM) seems to be a viable technique to improve productivity in
the machining of Heat Resistant Super Alloys (HRSA). HRSA are commonly used in the
aerospace, petrochemical, marine, nuclear power generation and process industries for

434 RM. Arunachalam
the manufacture of various components. The aerospace industry alone accounts for about
80% of the usage (Tien and Thomas, 1989). Both nickel-based and titanium-based alloys
are very suitable for aircraft engine components particularly rotating parts of gas turbines
such as blades and disks because of their ability to maintain high strength at high
operating temperatures of the engine (Ezugwu et al., 2003). The poor machinability of
nickel-based and titanium-based alloys are due to the inherent properties such as low
thermal conductivity, rapid work hardening, ability to react with tool materials under
atmospheric conditions, tendency to form built-up edge and weld to the cutting edges and
the presence of abrasive carbides in their microstructure (Ezugwu, 2005). Among the
HRSA, the nickel-based Inconel 718 is the most frequently used (Klocke et al., 1997).
Hence in the last three decades significant proportion of the published information is on
the machining of Inconel 718 (Ezugwu et al., 2003).
Till date, carbides are the most widely used cutting tool material to machine
Inconel 718. But due to the high work hardening rates and the hard abrasive particles in
the microstructure of Inconel 718, the cutting speed that could be employed with the
uncoated carbide tools are quite low (about 20 m/min) while for the coated ones (about
40 m/min). These speeds are not sufficient to improve the productivity and hence results
in extended machining time. Generally, coated carbides, ceramics and CBN are used for
HSM of nickel base and titanium alloys. However, ceramics are not recommended for
titanium alloys due to their high reactivity resulting in excessive wear rates (Ezugwu,
2005). Ceramic cutting tools in general are capable of higher cutting speeds (about
10 times of carbides) and so are attractive in terms of increasing productivity.
Specifically, mixed alumina ceramic tools could be used for high speed roughing or
semi-finishing applications, due to their ability to maintain hardness even at high
temperatures. They are capable of cutting speeds as high as 450 m/min. But the main
problem with ceramic tools is their low fracture toughness and hence easily prone to
chipping or notch wear. Despite their shortcomings, ceramic tools are being increasingly
investigated due to the continuing research in improving their properties. Although
ceramic tools are expensive than the carbide tools, due to their higher cutting speed
capability, their usage could be justifiable. Actually cutting tools represent only about 3%
of the production cost and just a 20% increase in the cutting speed can reduce the
production cost by 15% (Sandvik, 2000).
Among the published literatures on machining of HRSA, although many are in
turning and a few in milling, the facing operation, which is a very important operation,
has been neglected. In the aerospace industry many components like jet engine rotors
require facing thereby making it a major operation in the manufacturing process. Among
the published data available on turning using mixed alumina (El-Wardany et al., 1996;
Ezugwu and Tang, 1995; Kitagawa et al., 1997; Lopez de Lacalle et al., 2000; Narutaki
et al., 1993; Vigneau et al., 1987; Wayne and Buljan, 1990; Zhao et al., 1997) ceramic
tools, few deal with research using round geometries (Ezugwu and Tang, 1995; Narutaki
et al., 1993) since round inserts render tool wear more complicated due to lack of mostly
constant cutting edge angle causing adverse chip flow conditions detrimental to tool life
(Thangaraj and Weinmann, 1992).
Also among the available literatures on mixed alumina, hardly any paper deals in
detail the performance of this tool except for the one in which research has been
conducted to find the cutting temperature when machining Inconel 718 (El-Wardany
et al., 1996). Further investigation has been recommended. Kitagawa et al (Kitagawa,
1997) have also studied the temperature and wear of mixed alumina tools and have
Wear of mixed alumina ceramic tools in high speed facing of Inconel 718 435
recommended their usage at speeds above 250 m/min since severe notch wear at the
boundary does not take place. Quite good results in terms of surface roughness have been
obtained by Lopez de Lacalle et al. (2000) with mixed alumina tools (Lopez de Lacalle
et al., 2000). Vigneau et al. (1987) used mixed alumina as a reference ceramic tool for
finishing application (Vigneau et al., 1987). Narutaki et al. (1993) has recommended that
mixed alumina is the best cutting tool under high cutting speed (over 400 m/min) or high
feed rate (Narutaki et al., 1993).
The primary objective of this research is to evaluate the performance of mixed
alumina inserts of round geometry in high speed facing of solution annealed Inconel 718.
The guidelines for choosing cutting data provided by the cutting tool manufacturers are
usually general and are not sufficient. So specific studies need to be carried out. Round
inserts have been used in the investigation because of their advantages such as stronger
geometries and lead angle effects. One more reason for selecting round inserts is that
traditionally square or triangular inserts have been used for machining studies and round
inserts have been avoided due to the complexity of the wear pattern arising due to lack of
mostly constant cutting edge angles (Thangaraj and Weinmann, 1992). The types of wear
observed, the dominant wear mechanisms, tool failure modes, surface finish and the chip
morphology have been examined. Also the effect of cutting speed, feed rate and depth of
cut on the tool wear, tool life and the cutting forces has also been investigated.
2 Experimental set-up
HSM (facing operation) were conducted in dry condition in order to investigate the
performance of mixed alumina ceramic tools in finishing application on Inconel 718
(20 HRC hardness) in the form of cylindrical bar stock of diameter 200 mm.
The experiments were conducted on a high rigidity CNC lathe with constant speed
capabilities. A dynamometer was used to measure the forces.
2.1 Cutting tool

The cutting tool material used was a commercially available mixed alumina ceramic
(Al2O3 / TiC) tool of ISO specification RNGN 120400. The edges of these inserts had a
0.10 mm chamfer width. The inserts were rigidly clamped in a holder designated CRSNR
2525M 12ID which provides the following cutting geometry: inclination angle = −6°,
normal rake = −6° and clearance angle = 6°. Table 1 gives the properties of the mixed
alumina ceramic tool.
Table 1 Properties of mixed alumina tool
Material property
Typical composition Al2O3+30%TiC+5-10%ZrO2
Density (g/cm3) 4.2–4.3
Hardness (HV) at 1000° 800
Fracture toughness K1C (°MNm−3/2 ) 2
2
Transverse rupture strength (°KN/mm ) 0.6–0.9
Thermal conductivity (°W/m°C) 12–18
436 RM. Arunachalam
2.2 Cutting conditions

Preliminary tests were run to determine the cutting capabilities of the tool. Test speeds
were varied from 150 to 450 m/min with feeds in the range of 0.10 to 0.20 mm/rev and
depth of cut in the range of 0.5 to 1.0 mm. After each pass (radial cutting length of
60 mm) the insert was examined under a toolmaker’s microscope for wear measurements
and the surface finish of the machined workpiece was measured using a portable
roughness tester when the surface finish started to deteriorate.
2.3 Tool wear criteria

The failure criteria applied to the cutting test edges were as mentioned below:
1 maximum width of the flank wear land VBB = 0.6 mm if the flank FW
land is not regularly worn in zone B or the average width of the FW land
VBB = 0.3 mm if the FW land is considered to be regularly worn in zone B
(ISO 3685, 1993)
2 notching at major and minor cutting edge greater than 1.0 mm

(Brandt et al., 1990; Ezugwu et al., 1999; Greenleaf, 1998; Mehrortra
and Beeghly, 1990)
3 excessive chipping or flaking or fracture of the cutting edge (Ezugwu

et al., 1999)
4 surface roughness (ra) of the machined surface exceeds 3.2 µm (ISO

3685, 1993)
5 catastrophic failure (defined as the rapid deterioration of the cutting edge after a
period of successful cutting) (ISO 3685, 1993).
The above failure criteria were arrived at based on the author’s earlier research works
(Arunachalam and Mannan, 2000; Mannan and Arunachalam, 2000), manufacturer’s
recommendations (Greenleaf, 1998), references (Brandt et al., 1990; ISO 3685, 1993;
Pankaj and Craig, 1990; Vigneau et al., 1987). Cutting tests were stopped when either
one or more of the above mentioned criteria were reached.
Table 2 gives the cutting conditions used in the investigation and the results in a
summary form.
3.1 Tool failure modes and wear mechanisms

The microscopic examination of the cutting edges after each test indicated that three
different regions of the tool on the flank face are prone to wear under the cutting
conditions investigated. The three wear regions are the flank wear, Depth of Cut Notch
wear (DOCN) and the Trailing Edge Wear (TEW) regions.
438 RM. Arunachalam
In majority of the cutting conditions tested, DOCN wear was the dominant tool failure
mode. In some cases, the DOCN region experienced excessive macro chipping leading to
catastrophic failure (rapid increase in the DOCN wear after a period of successful
cutting) which occurs due to the combined action of load and increasing temperature.
Prior to the occurrence of catastrophic failure, a small chip material adhered to flank face
covering the DOCN region. Although, no correlation could be established as to indicate
at which point this phenomenon tool place still this phenomenon could be taken as an
indicator for tool failure and thus prevent any catastrophic effect on the workpiece due to
fracture or catastrophic failure of the cutting tool. One problem with the use of ceramic
inserts is their unreliability in tool wear pattern due to their brittle nature. However this
type of failure could be taken as a reliable indicator for end of tool life. One of the
reasons for the inability to correlate this pattern to the tool wear is due to the severe
catastrophic failure as can be seen from Figure 1 – the DOCN wear increases rapidly and
exceeds the criterion within a short cutting length. This can be attributed to the lower
mechanical toughness of mixed alumina tools. Prior to the occurrence of catastrophic
failure was the preliminary failure evident by the shiny, burnished appearance of the
machined surface (ISO 3685, 1993).
Figure 1 Effect of cutting speed on the DOCN wear (0.10 mm rev; 1.0 mm)
In addition to the DOCN wear, other failure modes such as chipping/flaking, flank wear
and surface roughness exceeding 3.2 µm were also observed.
Figure 2 shows the typical DOCN and the flank wear occurring on mixed alumina
ceramic tools when machining solution annealed Inconel 718. In some cases, the DOCN
wear not only affected the flank face but also the rake face to a greater degree as can be
seen from Figure 3. The DOCN wear cannot be attributed to a single wear mechanism
but a combination of mechanisms. The DOCN wear at a higher magnification indicated
that the rough surface and the sticking of small chip particles indicate a predominant
attrition type of wear mechanism taking place through chip-tool welding and subsequent
tool material pullout as suggested by Shaw et al. (Richards and Aspinwall, 1989). This
was also confirmed by the workpiece material adhering to the worn out regions
hampering the wear measurements. Moreover, the EDX analysis of the cross section of
the insert at the DOCN wear as well as the chips indicated no sign of diffused elements
in the tool or the chip as shown in Figures 4 and 5. This can be expected because the
mixed alumina tools are thermally tougher (Richards and Aspinwall, 1989). From
these observations it is clear that the DOCN wear resistance of mixed alumina tools is
quite low and the combination of high temperatures, high workpiece strength and
abrasive chips causes DOCN to be a major problem.
Figure 2 Typical DOCN wear and flank wear on a mixed alumina tool (450 m/min,
0.15 mm/rev, 1.0 mm, 1.2 mins)
Figure 3 Tool rake face affected by the DOCN wear (450 m/min, 0.15 mm/rev,
1.0 mm, 0.25 mins)
Figure 4 EDX analysis of the cutting edge section at the DOCN wear (450 m/min,
0.15 mm/rev, 1.0 mm, 1.6 mins)
440 RM. Arunachalam
Figure 5 EDX analysis of the chip (450 m/min, 0.15 mm/rev, 1.0 mm, 1.6 mins)
In addition to the prominent DOCN wear failure, the second frequently occurring failure
was chipping and flaking of the cutting edge. No clear cutting condition could be
identified at which this took place. Figure 6 shows typical chipping that occurred with
mixed alumina ceramic tools. The chipping occurred through out the active cutting edge
engaged in machining. Mixed alumina tools, due to lack of any reinforcement, their
mechanical toughness is inferior and so yield to this type of chipping during machining.
Moreover flaking on the tool rake face was also observed in some cases as shown in
Figure 7. This type of flaking off of small pieces around the top periphery of the insert is
a result of pressures caused by the development of the flank wear. Examination of the
flank wear in these instances revealed that they were high. Although this type of tool
wear is not detrimental to tool performance at least in roughing application (because
a sharp edge is produced), it is certainly not recommended in finishing applications
since it is detrimental to finish and may also lead to increased welded microchips
(Greenleaf, 1998).
Figure 6 Chipping of the cutting edge (450 m/min, 0.15 mm/rev, 1.0 mm, 0.5 mins)
Figure 7 Flaking on the tool rake face (450 m/min, 0.15 mm/rev, 1.0 mm, 1.6 mins)
Failure by flank wear criterion alone mostly occurred only at the higher cutting speeds as
can be seen from Table 2. Figure 2 also shows the adhered material on the flank face.
The adhered layers indicate an attrition type of wear mechanism which occurs due to the
gummy nature of Inconel 718. However, this was advantageous in the sense that it
prevented further progress of flank wear as can be seen from Figure 8. Except at higher
cutting speeds, the progress of flank wear was gradual. At higher cutting speeds, the
adherence was not strong because of the softening of the material caused by the high
temperature which aids in the peeling of this layer. This is confirmed by the lower
cutting forces recorded at higher cutting speeds as can be seen from Figure 9.
The poor surface finish obtained at higher cutting speeds due to the welded chips on the
machined surface again confirms that the temperatures are high causing the material to
soften and spread all over the machined surface.
Figure 8 Effect of cutting speed on the flank wear (0.10 mm/rev; 1.0 mm)
Individually, the TEW was never the cause of tool rejection. Only at a cutting speed of
250 m/min, the TEW criterion was met in addition to the DOCN wear criterion.
The TEW in mixed alumina inserts are caused by a chipping mechanism as can be seen
from Figure 10. The adverse chip flow conditions in this region coupled with the low
mechanical toughness of mixed alumina tools results in this type of chipping mechanism.
The newly formed chip curls off the tool clamp and flows into the gap between the tool
and the newly machined surface and gets entangled resulting in scratch marks on
the workpiece as well as chipping of the cutting edge even past the region of
442 RM. Arunachalam
tool/workpiece contact. Especially this is prominent in facing operation since there is

always a close contact between the tool and the machined surface.
Figure 9 Effect of cutting speed on the principal cutting force (0.10 mm/rev; 1.0 mm)
Figure 10 TEW on mixed alumina tool (450m/min, 0.15 mm/rev, 1.0mm, 0.75mins)
At 450 m/min cutting speed, the surface roughness of the machined surface exceeded the
criterion of 3.2 µm. This type of failure occurred at all the three feed rates tested. Due to
the increase in the occurrence of microwelded chips the surface roughness values
obtained were higher. These microchips are formed by the numerous microcutting edges
formed due to chipping of the insert. From previous experience with other ceramic
cutting tools like the Silicon Carbide Whisker Reinforced Alumina (SiC WRA), this type
of phenomenon seems to be a characteristic of ceramic cutting tools. Moreover, the high
cutting speed employed results in high temperature which coupled with the low thermal
conductivity of mixed alumina tools results in softening of the workpiece material which
aids in the formation of welded microchips. This is also confirmed by the dominance
of flank wear failure (high temperature is one of the reasons for flank wear failure
(Serope, 1995) at the higher cutting speeds.
3.2 Effect of cutting conditions on the tool wear and tool life
3.2.1 Effect of cutting speed
The effect of cutting speed on the DOCN wear, flank wear and the TEW are shown in
Figures 1, 8 and 11. For a cutting length of 60 mm, there was no significant variation in
the DOCN and flank wear with increase in the cutting speed although TEW showed
significant variations. So it is essential to evaluate the tool performance over a
considerable length of time.
Figure 11 Effect of cutting speed on the TEW (0.10 mm/rev; 1.0 mm)
In general with the increase in the cutting speed from 150 to 300 m/min, the DOCN wear
showed an increasing trend except at the lowest cutting speed of 150 m/min where the
highest value was recorded. This exception can be accounted by the lower fracture
toughness as well as the material retaining its hardness since the temperatures are not
high enough to soften it. However with the increase in the cutting speed, the
temperatures as well as the increase in the serrations on the chip leads to accelerated
attrition wear mechanism. With further increase in the cutting speed from 350 to
450 m/min, the DOCN wear showed a decreasing trend. In general the break even
advantage of HSM (softening of workpiece material) with ceramic tools occurs around
300 m/min cutting speed and so attrition wear as well abrasive wear is reduced resulting
in lower DOCN wear. This is also confirmed by the effect of cutting speed on the cutting
force as shown in Figure 9, where a decrease in the principal cutting force can be noticed
when the cutting speed is increased beyond 300 m/min.
In the case of effect of cutting speed on the flank wear, no clear trend could be
established. Initially with the increase in the cutting speed from 150 to 250 m/min,
the flank wear decreased which is quite contradictory since with the increase in
the cutting speed, the temperature increases causing increase in the flank wear rate.
Between cutting speeds of 300 and 400 m/min, the flank wear increased and at again
450 m/min cutting speed, the flank wear decreased. This may be explained by the
phenomenon of adherence of Inconel 718 on the flank face which inhibits the rate of
flank wear. Examination of the flank wear at a cutting speed of 400 m/min indicated that
the adherence of the material was not strong and so peeled off resulting in the exposure
of the flank face to wear. Figure 12 shows the exposed flank face subjected to tool wear.
444 RM. Arunachalam
Another observation is that the flank wear progressed at a very gradual rate at most of the
cutting speeds which is again explained by the adhered layers of material which protects
the flank face and reduces the wear rate.
Figure 12 Flank face showing exposed regions (400 m/min; 0.10 mm/rev; 1.0 mm, 2.7 mins)
Figure 11 shows the effect of cutting speed on the TEW. In general with the increase in
the cutting speed, the TEW decreased except at a cutting speed of 150 m/min where a
lower value was recorded. The TEW criterion was met only at a cutting speed of
250 m/min although at 200 m/min cutting speed also the TEW was high. As explained in
the earlier section on the tool wear mechanism, the TEW took place by a chipping
mechanism and so is higher. Although the TEW is lower at higher cutting speeds, the
surface finish obtained was higher because of the increase in the welded chips on the
machined surface.
Figure 13 shows the effect of cutting speed on the tool life. With the increase in the
cutting speed, the tool life exhibited a decreasing trend except at a cutting speed of
450 m/min where a slight increase was registered. This trend can be expected because the
dominant mode of tool failure is DOCN wear and since DOCN wear shows a decreasing
trend with increase in cutting speed at least up to 300 m/min, tool life is also reduced.
Between 350 and 450 m/min cutting speed, the change in tool life is not significant.
The slight increase in the tool life at 450 m/min cutting speed can be attributed to the
lower DOCN wear as well as the lower principal cutting force.
Figure 13 Effect of cutting speed on the tool life (0.10 mm/rev; 1.0 mm)
3.2.2 Effect of feed rate

The effect of feed rate on the DOCN wear, flank wear and TEW is shown in
Figures 14–16, respectively. Like the effect of cutting speed on the tool wear, the feed
rate also did not show a consistent trend. The primary reason for such discrepancies may
be due to the lower mechanical toughness of the mixed alumina tools which makes them
more susceptible to catastrophic failure and chipping or flaking. As a result the tool wear
may not be consistent. In the case of DOCN wear, although initially the DOCN wear
increased with increasing feed rate, however, with the progress of cutting, the lowest
feed rate registered the highest value of DOCN wear. In the case of the flank wear, the
flank wear increased with the increase in the feed rate from 0.10 to 0.15 mm/rev but
showed a decrease with further increase in the feed rate. In the case of the TEW with the
increase in the feed rates, the TEW increased. Due to the chipping mechanism taking
place at the TEW region, the TEW showed only a gradual increase after chipping
occurred because once chipping occurs then with the progress of cutting, only the depth
of chipping increased while the width of the wear region remained the same.
Figure 14 Effect of feed rate on the DOCN wear (450 m/min; 1.0 mm)
Figure 15 Effect of feed rate on the flank wear (450 m/min; 1.0 mm)
The effect of feed rate on the tool life is shown in Figure 17. With the increase in the
feed rate, the tool life decreased in a proportionate way. Although, both the DOCN wear
and the flank wear decreased at the highest feed rate of 0.20 mm/rev, the machined
surface exhibited increased welded chips because of which the surface roughness
criterion for tool failure was met.
446 RM. Arunachalam
Figure 16 Effect of feed rate on the TEW (450 m/min; 1.0 mm)
Figure 17 Effect of feed rate on the tool life (450 m/min; 1.0 mm)
3.2.3 Effect of depth of cut

The effect of depth of cut on the DOCN wear, flank wear and TEW is shown in
Figure 18. Except for the DOCN wear both flank wear and TEW showed an increasing
trend with increase in the depth of cut. In the case of DOCN wear, a slightly lower wear
was recorded when the depth of cut was increased from 0.5 to 1.0 mm. Although, the
variation is not so significant, it might be due to the light chip load causing the cutting
forces to act on the chamfer of the inserts resulting in the effective rake angle being
higher than the actual one depending on the angle of the chamfer (El-Bestawi
et al., 1993). In the case of the flank wear, the higher tool wear at 1.0 mm depth of cut
can be attributed to the higher loads and temperature. In the case of the TEW as
explained in the earlier sections, the chipping mechanism causes unsteadiness in the
wear progress.
3.3 Effect of cutting conditions on the cutting forces

The effect of cutting speed, feed rate and the depth of cut on the principal cutting force
are shown in Figures 9, 19 and 20, respectively. With the increase in the cutting speed,
the principal cutting force showed a decreasing trend in general. As already explained in
other sections, with the increase in the cutting speed, the temperature increases resulting
is softening of the workpiece material and so lower forces are recorded at higher cutting
speeds. Although, it is expected that the cutting forces will increase with the progress of
cutting, there was an exception to this especially at a cutting speed of 200 m/min.
Examination of the cutting edge revealed that chipping had occurred through out
the cutting edge. Since chipping generates a sharp cutting edge, there is a slight decrease
in the cutting force. Similarly at a cutting speed of 300 m/min there is an abrupt
increase in the cutting force in the third pass. In this case, the DOCN wear region showed
fracture of the cutting edge and as such the area of the cutting edge has been reduced and
so higher cutting forces have been registered.
Figure 18 Effect of depth of cut on the tool wear (450 m/min; 0.10 mm/rev)
Figure 19 Effect of feed rate on the principal cutting force (450 m/min; 1.0 mm)
In the case of the feed rate, the principal cutting force increased with the increase in the
feed rate. This is expected because, with the increase in the feed rate the chip load is
increased and so cutting forces increase. The same explanation holds for the increase in
the principal cutting force with the increase in the depth of cut.
448 RM. Arunachalam
Figure 20 Effect of depth of cut on the principal cutting force (450 m/min; 0.10 mm/rev)
3.4 Surface finish and residual stresses

Primarily because of the microchipping of the cutting edge that causes microchips which
in turn get welded to the newly machined surface due to the high temperature and
pressures existing during cutting, the surface finish obtained is not only consistent but
also of higher values (ranging between 1.5 to 3.5 µm). The reason for the inconsistency
in the surface finish values obtained is due to the chipping of the cutting edge – second
prominent wear failure for the mixed alumina tools. The new cutting edges produced are
of different geometry and shape and so this inconsistency is expected.
Also among the different cutting tools tested (Arunachalam et al., 2006), the mixed
alumina ceramic cutting tools generated the highest value of tensile residual stresses.
Thus from the above analysis on the tool wear, wear mechanisms, tool life, surface
finish and residual stresses obtained with mixed alumina ceramic tools, although it does
not perform well in finishing application on Inconel 718, it could be used for
semi-finishing or roughing applications.
4 Conclusions
The following conclusions can be made from the above discussion on the performance
of mixed alumina ceramic cutting tools when facing solution annealed Inconel 718:
1 In majority of the cutting conditions tested, DOCN wear was the dominant
tool failure mode. In some cases, the DOCN region experienced excessive
macro chipping leading to catastrophic failure (rapid increase in the DOCN
wear after a period of successful cutting).
2 DOCN wear resistance of mixed alumina tools has been found to be quite low
and the combination of high cutting temperatures, high workpiece strength and
abrasive chips causes DOCN to be a major problem.
3 The second frequently occurring failure mode was chipping and flaking of the
cutting edge.
4 A small amount of chip material adhering to the flank face has been identified
as a reliable indicator of end of tool life.
5 The effect of cutting speed on the tool wear is more pronounced than the effect
of feed rate and depth of cut.
6 In general with the increase in the cutting speed, the principal cutting forces
showed a decreasing trend where as, with the increase in the feed rate and depth
of cut, the principal cutting force showed an increasing trend.
7 Although, the flank wear resistance of mixed alumina ceramic cutting tool is
good, their fracture resistance as well as DOCN resistance is low. The wear
patterns are rather inconsistent and the inserts may fail prematurely in an
unpredictable manner. Moreover the surface finish obtained with mixed
alumina inserts is also poor due to the large number of welded microchips and
they also generated tensile residual stresses on the machined surface. For these
reasons it may be concluded that mixed alumina inserts may not be suitable for
finishing applications on Inconel 718, although they may however, be used for
semi-finishing or roughing applications.
Acknowledgements
The author wishes to thank M.A. Mannan and the support staff of the CNC and
Advanced Manufacturing Laboratories of the National University of Singapore for their
support.
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Numerical modelling of meso-scale finish machining

with finite edge radius tools
Tugrul Özel* and Erol Zeren

Department of Industrial and Systems Engineering,
Rutgers University,
Piscataway, NJ 08854-8018, USA
E-mail: ozel@rci.rutgers.edu
Abstract: Finite edge radius plays a significant role in finish machining

processes when the undeformed chip thickness is often less than a few hundred
microns and comparable to the size of the cutting edge. At suboptimal cutting
speeds, edge radius tools may induce deeper subsurface plastic deformation,
increase microhardness through work-hardening and mostly due to the
ploughing of the cutting edge. Once tool edge radius, tool geometry and cutting
conditions are optimised, finish machining can produce superior surface
properties than surfaces generated by grinding and polishing. In this paper, an
Arbitrary Lagrangian Eulerian (ALE)-based numerical modelling is employed.
The Johnson-Cook (J-C) plasticity model is used to describe the work material
behaviour. A detailed friction modelling at the tool-chip interface is also
carried. Numerical modelling revealed stress and temperature fields induced by
the finite edge radius cutting edge on the machined subsurface.
Keywords: arbitrary Lagrangian Eulerian method; ALE; meso/micromachining;

finite edge radius tools.
Reference to this paper should be made as follows: Özel, T. and Zeren, E.

(2007) ‘Numerical modelling of meso-scale finish machining with finite edge
radius tools’, Int. J. Machining and Machinability of Materials, Vol. 2, No. 3,
pp.451–468.
Biographical notes: Tugrul Özel is a PhD in Mechanical Engineering from

The Ohio State University in 1998. He is an Assistant Professor of Industrial
and Systems Engineering at Rutgers University and the Director of
Manufacturing Automation and Research Laboratory. His current research
interest includes computational modelling of manufacturing processes,
machining, process control and optimisation and micro/nano manufacturing.
He has over 10 years of experience in teaching and researching about
manufacturing. He has been a reviewer, Guest Editor and an Editorial Board
Member for several international journals. He has published over 50 refereed
papers in international journals and conferences.
Erol Zeren is an MSc in Industrial Engineering from Rutgers University and is

at Seagate Technologies Inc., Minnesota, USA. His main research interests
include high speed machining and CAD/CAM. He has published several
research papers in international conferences.

452 T. Özel and E. Zeren
1 Introduction
There is strong demand for the low feed rate machining where the undeformed chip
thickness is comparable to the size of the cutting edge radius such as in finish high-speed
machining (Byrne et al., 2003) and finish hard turning (Tönshoff et al., 2000) at meso
scale (100 µm–1 mm) and micromachining (Dornfeld et al., 2006; Weule et al., 2001) at
microscale (0.1–100 µm). Numerical modelling of machining processes is continuously
attracting researchers for better understanding of chip formation mechanisms, heat
generation in cutting zone, tool-chip interfacial frictional characteristics and quality and
integrity of the machined surfaces. In predictive process engineering for machining
processes, prediction of physics related process field variables such as temperature and
stress fields becomes highly important. Finite edge radius tool geometry particularly
influences surface quality and integrity on machined features as well as tool life and
process viability. Continuum-based finite element analysis and numerical models are
essential to investigate the influence of tool edge size, geometry, material and coating on
the surface integrity especially machining induced stress and temperature fields. This
paper aims to review the numerical modelling studies conducted in the past and to
introduce an Arbitrary Lagrangian Eulerian (ALE) model for the meso-scale finish
machining process to predict the stress and temperature fields on the machined
subsurface.
1.1 Review of numerical modelling of machining

In continuum-based finite element modelling, there are two types of analysis in which a
continuous medium can be described: Eulerian and Lagrangian. In a Lagrangian
analysis, the computational grid deforms with the material whereas in a Eulerian analysis
this is fixed in space. The Lagrangian calculation embeds a computational mesh in
the material domain and solves for the position of the mesh at discrete points in time.
In those analyses, two distinctive methods, the implicit and explicit time
integration techniques can be utilised. The implicit technique is more applicable for
solving linear static problems while explicit method is more suitable for non-linear
dynamic problems.
A majority of earlier numerical models have relied on the Lagrangian formulation
(Komvopoulos and Erpenbeck, 1991; Lin and Lin, 1992; Shih, 1995; Strenkowski and
Carroll, 1985; Usui and Shirakashi, 1982; Zhang and Bagchi, 1994), whereas some of the
numerical models utilised the Eulerian formulation (Strenkowski and Carroll, 1986).
However, it was evident that the Lagrangian formulation required a criterion for
separation of the undeformed chip from the workpiece. For this purpose, several chip
separation criteria such as strain energy density, effective strain criteria have been
implemented as exclusively reported by Black and Huang (1996). Updated Lagrangian
implicit formulation with continuous remeshing without using chip separation criteria
has also been used in simulation of continuous and segmented chip formation in
machining processes (Baker et al., 2002; Ceretti et al., 1996; Klocke et al., 2001;
Leopold et al., 1999; Madhavan et al., 2000; Marusich and Ortiz, 1995; Özel and Altan,
2000; Sekhon and Chenot, 1992). ALE technique combines the features of pure
Lagrangian and Eulerian analysis. ALE formulation is also utilised in simulating
machining to avoid frequent remeshing for chip separation (Adibi-Sedeh and Madhavan,
2003; Haglund et al., 2005; Rakotomalala et al., 1993; Movahhedy et al., 2002;
Numerical modelling of meso-scale finish machining with finite edge radius tools 453
Movahhedy et al 2000; Olovsson et al., 1999; Özel and Zeren, 2005a,b). Explicit
dynamic ALE formulation is a very efficient technique for simulating highly non-linear
problems involving large localised deformations and under changing contact conditions
as those experienced in machining. The explicit dynamic procedure performs a large
number of small time increments efficiently. The adaptive meshing technique does not
alter elements and connectivity of the mesh. This technique allows flow boundary
conditions whereby only a small part of the workpiece in the vicinity of the tool tip needs
to be modelled. Authors work in numerical modelling with ALE technique has been
extended to meso-scale finish machining in this paper.
Friction in meso-scale machining plays an important role in thermo-mechanical
processing of the machined work surface. Many publications about friction in machining
can be found in literature (Dirikolu et al., 2001; Haglund et al., 2005; Özel, 2006; Yang
and Liu, 2002). The most common approach in modelling friction is to use an average
coefficient of friction. Late models consist of a sticking region at tool rake face for which
the friction force is constant, and a sliding region for which friction force varies linearly
according to Coulomb’s law.
Numerical modelling of finish machining is essential to predict accurate tool forces,
stress, temperature, strain and strain rate fields. Recent numerical modelling studies in
machining reported in the literature include simulation of machining non-homogenous
materials (Chuzhoy et al., 2003), simulation of machining hardened steels (Guo and
Liu, 2002; Liu and Guo, 2000; Yang and Liu, 2002), investigations on the effects
of tool edge geometries (Guo and Wen, 2005; Movahhedy et al., 2002; Özel, 2003;
Yen et al., 2004) and the effects of work material models on the chip formation
and temperature predictions (Davies et al., 2003; Deshayes et al., 2004). Edge geometry
of the tool affects the depth of plastic deformation zone underneath the tool and
has a dominant influence on machining induced stresses on the finished surface.
Earlier numerical modelling studies have relied on chip-workpiece separation criteria
around the cutting edge which undermined the effects of cutting edge geometry on the
field variables (strain, stress, temperatures, etc.) of the machined surface. In this
study, work material is allowed to flow around the round edge of the cutting tool and
therefore the physical process is simulated more realistically and the field variables are
obtained accordingly.
1.2 Characteristics of meso-scale machining

Most cutting tools used for finish machining have a finite-edge radius and cannot be
considered sharp. According to Zorev (1966), the radius of the cutting edge does not
affect the cutting process if the ratio of uncut chip thickness to the edge radius (tu/re) is
equal or greater to ten. In meso-scale cutting, where the uncut chip thickness is very
small this ratio becomes close to one. Outeiro and Astakhov (2005) have used this ratio
introduced to describe relative tool sharpness. The specific cutting forces depend mostly
on this ratio especially when they are comparable in size. This so called size effect is
originally observed in ultra precision diamond cutting. According to Lucca and
Seo (1993), owing to the highly localised shearing, the specific cutting forces in ultra
precision cutting are almost twice that of in conventional cutting. A minimum uncut chip
thickness is observed in microcutting where tool engagement with workpiece only result
in chip formation when uncut chip thickness is greater tu> = tc_min (Ikawa et al., 1992).
Both size effect and minimum chip thickness are also experimentally investigated in
micro machining (Melkote and Endres, 1998; Schmidt and Tritschler, 2004). Further
discussion on size effect and minimum chip thickness can be found in Joshi and Melkote
(2004) and Liu et al. (2006).
The cutting behaviour and the mechanism of chip formation are also known to
depend on crystallographic factors, such as orientation, slip systems and the mobile
dislocation density of the workpiece (Lee and Zhou, 1993). Because the uncut chip
thickness (usually less than 100 µm) in meso-scale machining is comparable to the
average grain size of a polycrystalline aggregate (e.g. between 1.5 and 150 µm for
ferritic steels), cutting is performed within the grains as illustrated in Figure 1.
The polycrystalline material, which can be considered to be an isotropic and
homogeneous continuum in conventional analysis, must be treated as a series of
single crystals with random orientations. Single crystals are known to be highly
anisotropic in their physical and mechanical properties. Therefore, the crystallographic
orientation of the substrate material will exert a significant influence on the microscale
machining process (Lee and Zhou, 1993). Our current understanding of the mechanics of
the cutting problem in such a micro region of the crystal is still far from perfect. Some
problems still remain unsolved because the meso/microscale cutting mechanism is
complex. Therefore, meso-scale machining conditions can be defined as where a relation
of 1 µm ≤ d < re < tu ≤ 100 µm holds.
Figure 1 Size comparison in meso-scale orthogonal cutting
2 Numerical modelling of meso-scale finish machining
2.1 Work material model

Accurate and reliable flow stress models are considered highly necessary to represent
work material constitutive behaviour under machining conditions. A number of empirical
and semi-empirical constitutive models have been developed to model flow stress with
certain accuracy in machining (Özel and Zeren, 2006). Most of these constitutive models
are based on a range of assumptions to avoid the prevailing complexities of stress state
exist in machining. The microstructure and phase transformation also play a significant
role on flow stress behaviour during finish machining where small-undeformed chip
loads are taken. The strain rate and temperature coupling effect is especially important at
high cutting speeds where thermal softening becomes more dominant due to increased
heat generation. A detailed discussion about work material considerations is given in
Astakhov (1999).
Among many other material constitutive models, model by Johnson and Cook (1983)
is widely used for high-strain rate applications. This constitutive model describes the
flow stress of a material with the product of strain, strain rate and temperature effects that
are individually determined as given in Equation 1. In the Johnson-Cook (J-C) model,
the constant A is yield strength of the material at room temperature and a strain rate of
1/s and ε represents the plastic equivalent strain. The strain rate ε is normalised with a
reference strain rate ε0 . Temperature term in the J-C model reduces the flow stress to
zero at the melting temperature of the work material, leaving the constitutive model with
no temperature effect. Although this material model is determined using a simple state of
stress condition attained through Split Hopkinson Pressure Bar tests, for lack of a better
material model, has been used in this study for meso-scale finish machining of three
metal alloys. The constants of the J-C material for AISI 1045, AISI 4340 steels and
Ti6Al4V titanium alloy are given in Table 1.
⎞ ⎤ ⎡ ⎛ T − Troom ⎞ ⎤
m
n ⎡ ⎛ ε
σ = ⎡ A + B ( ε ) ⎤ ⎢1 + C ln ⎜ ⎟ ⎥ ⎢1 − ⎜ ⎟ ⎥ (1)
⎣ ⎦⎢ ⎝ ε0 ⎠ ⎥⎦ ⎢⎣ ⎝ Tmelt − Troom ⎠ ⎥⎦
⎣
Table 1 The J-C material model constants
Material A (MPa) B (MPa) n C m Tmelt (°C)

AISI 1045 (Jaspers and 553.1 600.8 0.234 0.013 1.00 1460
Dautzenberg, 2002)
AISI 4340 (Ng et al., 2002) 792.0 510.0 0.26 0.014 1.03 1520
Ti6AlV4 (Meyer and 862.5 331.2 0.34 0.012 0.8 1650
Kleponis, 2001)
2.2 Friction at the tool-chip interface

There are many studies in literature about stress distributions at the tool-chip interface as
summarised in Astakhov (1999). Some of the experimental studies reported large scatter
in these stresses while others suggested certain distributions. As originally proposed by
Zorev (1966) and utilised by others (Childs et al., 2000; Dirikolu
et al., 2001; Li, 1997; Özel and Altan, 2000; Usui and Shirakashi, 1982) normal and
shear stress distributions can be assumed on the tool rake face as shown in Figure 2.
According to this model, a sticking region forms in the tool-chip contact area near the
cutting edge and the frictional shearing stress at the sticking region, τf can be assumed
equal to an average shear flow stress at tool-chip interface in the chip, kchip, τf = kchip.
Over the remainder of the tool-chip contact area a sliding region forms and the frictional
shearing stress can be determined by using a coefficient of friction, µ. When the normal
stress distribution over the rake face is fully defined and the coefficient of friction, µ is
known, the frictional stress can be determined. Therefore, shear stress distribution on the
tool rake face can be represented in two distinct regions:
Figure 2 Normal and frictional stress distributions on the tool rake face
Source: Zorev (1966).
In the sticking region:

τ f ( x ′) = kchip and when µσ n ( x ′) ≥ kchip O < x ′ ≤ P (2a)
In the sliding region:
τ f ( x ′) = µσ n ( x ′) and when µσ n ( x ′) < kchip P < x ′ ≤ E (2b)
The calculated friction characteristics with the methodology explained in Özel and Zeren
(2006) include parameters of the normal and frictional stress distributions on the rake
face. Since the length of sticking region, lp and chip-tool contact length, lc are not
implemented in the friction model in the continuum-based FEM simulations they are not
given in Table 2. Instead, a limiting shear friction model is implemented with the limiting
shear stress and friction coefficients are given in Table 2.
Table 2 Friction characteristics when using an uncoated carbide-cutting tool
AISI 1045 steel AISI 4340 Ti6AlV4

kchip (MPa) 200 250 400
µ 0.5 0.5 0.5
2.3 ALE numerical modelling and adaptive meshing

The essential and desired attributes of the continuum-based numerical models for
meso-scale machining are:
1 the work material model should satisfactorily represent elastic plastic and
thermo-mechanical behaviour of the work material deformations observed
during machining process
2 numerical model should not require chip separation criteria that highly
deteriorate the physical process simulation around the tool cutting edge
especially when there is dominant tool edge geometry such as a round edge or a
chamfered edge is present
3 interfacial friction characteristics on the tool-chip and tool-work contacts should
be modelled highly accurately to account for additional heat generation and
stress developments due to friction.
In this paper, a commercial software code, ABAQUS/Explicit v6.4 and explicit dynamic
ALE modelling approach is used to conduct the numerical modelling of orthogonal
cutting considering round tool edge geometry and all of the above attributes are
successfully implemented in the model. The chip formation is simulated via adaptive
meshing and plastic flow of work material. Therefore, there is no need for a chip
separation criterion in the proposed numerical model.
The numerical model as shown in Figure 3 requires a predefined chip geometry.
The chip surfaces are defined with the Lagrangian boundary conditions and the chip
upper surface is defined with the Eulerian boundary conditions. Therefore, the chip flow
is bound at a vertical position. However, the chip thickness and the chip-tool contact
length gradually settle to their final size with the change in the deformation conditions as
the cutting reaches its steady-state. The major drawback of this approach is that the
predefined chip shape must be determined beforehand and entered into the numerical
model. Similar ALE models were presented by Adibi-Sedeh and Mahdavan (2003),
Haglund et al. (2005) and by the authors (Özel and Zeren, 2005a,b).
Figure 3 Numerical model for ALE formulation (a) Eulerian and Lagrangian boundary
conditions; (b) mesh with pre-defined chip, workpiece and tool dimensions
The workpiece is also modelled with the Eulerian boundaries from the both ends and
with the Lagrangian boundaries at the top and the bottom. The top surface of the
workpiece with the free boundaries reaches to the final deformed shape at the
steady-state cutting.
In this ALE approach, the explicit dynamic procedure performs a large number of
small time increments efficiently. The general governing equations are solved for both
Lagrangian boundaries and Eulerian boundaries in the same fashion. The adaptive
meshing technique does not alter elements and connectivity of the mesh. This technique
combines the features of pure Lagrangian analysis in which the mesh follows
the material, and Eulerian analysis in which the mesh is fixed spatially and the material
flows through the mesh as explained earlier.
The thermo-mechanical numerical model is created by including workpiece thermal
and mechanical properties, boundary conditions, contact conditions between tool and the
workpiece as shown in Figure 3 and given in Tables 3 and 4. The workpiece and the tool
model use four-node bilinear displacement and temperature (CPE4RT) quadrilateral
elements and a plane strain assumption for the deformations in the orthogonal cutting
process.
Table 3 Work material properties
Work properties AISI 1045 AISI 4340 Ti6Al4V

Expansion (µm /m°C) 11 1.23 4.7
Density (g/cm3) 7.8 7.85 4.43
Poisson’s ratio 0.3 0.22 0.34
Specific heat (J/kg/°C) 432.6 477 203
Conductivity (W/m°C) 47.7 44.5 6.7
Young’s modulus (GPa) 200 208 113.8
Table 4 Cutting conditions and tool material properties
Orthogonal cutting parameters

Cutting speed, Vc (m/min) 300
Uncut chip thickness, tu (mm) 0.1
Width of cut, w (mm) 1
Tool rake angle, α (degree) −5
Tool clearance angle (degree) 5
Tool edge radius, ρ (mm) 0.02
Carbide tool properties

Expansion (µm/m°C) 4.7
Density (g/cm3) 15
Poisson’s ratio 0.2
Specific heat (J/kg/°C) 203
Conductivity (W/m°C) 46
Young’s Modulus (GPa) 800
As it is shown in Figure 3 the workpiece was fixed at the bottom and at one end. The tool
had a 20-micrometer edge radius and was modelled as elastic body with thermal
conductivity.
The cutting process as a dynamic event causes large deformations in a few numbers
of increments resulting in massive mesh distortion and termination of the simulation.
It is highly critical to use adaptive meshing with fine tuned parameters to simulate the
plastic flow over the round edge of the tool. Therefore the intensity, frequency and
sweeping of the adaptive meshing are adjusted to most optimum setting for maintaining a
successful mesh during the simulation of the meso-scale orthogonal cutting process.
The general equations of motion in explicit dynamic analysis are integrated by using
explicit central difference integration rule with diagonal element mass matrices.
The system equations become uncoupled so that each equation can be solved for
explicitly. This makes explicit dynamic method highly efficient for non-linear dynamic
problem such as metal cutting. During metal cutting, flow stress is highly dependent on
temperature fields as we discussed earlier. Therefore, fully coupled thermal-stress
analysis is required for accurate predictions in the simulations.
In summary, the explicit dynamic method is used mainly because it has the
advantages of computational efficiency for large deformation and highly non-linear
problems as experienced in machining. Meso/micromachining, as a coupled
thermal-mechanical process, could generate heat to cause thermal effects that
influence mechanical effects strongly. In the meantime, work material properties
change significantly as strain rate and temperature changes. Thus, the fully coupled
thermal-stress analysis, in which the temperature solution and stress solution are also
carried out concurrently, is applied.
3 Results and discussions
The simulations based on the ALE-based numerical model for finish machining of AISI
1045, AISI 4340 and Ti6Al4V at the same cutting conditions were conducted and the
chip formation process at the steady state was fully observed as shown in Figure 4.
Figure 4 Chip formation and temperature distribution for machining of AISI 1045 steel
The heat generated at the secondary deformation zone and at tool-chip interface is
conducted to the cutting tool. The radiation to the ambient is also allowed. Temperature
distributions for machining of AISI 1045 and AISI 4340 steels and Ti6Al4V titanium
alloy are obtained as shown in the Figures 4–6, respectively.
Figure 5 Temperature distributions using ALE approach for machining of AISI 4340 steel
Figure 6 Temperature distributions using ALE approach for machining of Ti6Al4V

Temperature rises in the primary and secondary deformation zones are high and
reach to a steady state very rapidly. It is highly noticeable that the maximum
temperatures occur inside the chip due to the low thermal conductivity of the Ti6Al4V
alloy, whereas the maximum temperatures are observed on the tool rake face in
machining of steels.
The distributions of the predicted von Mises stress distributions are given in the
Figures 7–9, respectively. The von Mises stress σxx and σyy also represent the stress
distributions on the machined surface. From the simulation results it was observed
that there exists a region of very high deformation rate around the round edge of the
cutting tool.
Figure 7 The Von Mises stress distributions in machining of AISI 1045 steel
(×106 Pa, tu = 0.1 mm, V = 300 m/min)
All three-work materials were utilised in the ALE-based FE simulations to observe the
effects of machinability and also the field variables such as temperatures and stresses on
the machined surfaces comparatively.
Machining induced residual stress profiles with respect to the depth beneath the
machined surface for von Mises stresses, stress components σxx and σyy are also
computed from the simulated stress fields.
A path prescribed underneath the round edge of the tool is tracked for obtaining the
stress components and the temperature with respect to the depth inside the machined
surface as shown in Figure 10.
Figure 8 The Von Mises stress distributions in machining of AISI 4340 steel
(×106 Pa, tu = 0.1 mm, V = 300 m/min)
Figure 9 The Von Mises stress distributions in machining of Ti6Al4V

(×106 Pa, tu = 0.1 mm, V = 300 m/min)
Figure 10 Machining induced stress distributions of σxx and σyy with respect to depth beneath
the machined surface (tu = 0.1 mm, V = 300 m/min)
The machining induced state of stress is the highest in machining of AISI 1045 steel
and AISI 1045 steel. However, the von Misses stress is significantly lower on the
machined layer in machining of Ti6Al4V titanium alloy as shown in Figure 11. On the
other hand, process induced stress profiles depict that there exist both compressive and
tensile stress regions beneath the surface as shown in Figure 12. In case of machining
Ti6Al4V titanium alloy, the stress σxx is compressive indicating preferred surface
integrity. However, this stress component is mainly tensile in machining of AISI 1045
steel. All of the work material machined reveals compressive machining induced stress
component σyy as shown in Figure 13.
Figure 11 Machining induced Von Mises stress distributions with respect to depth beneath
the machined layer (tu = 0.1 mm, V = 300 m/min)
Figure 12 Machining induced stress distributions of σxx with respect to depth beneath the
machined layer (tu = 0.1 mm, V = 300 m/min)
Figure 13 Machining induced stress distributions of σyy with respect to depth beneath the
machined layer (tu = 0.1 mm, V = 300 m/min)
The temperature along the prescribed path is significantly high in machining of Ti6Al4V
titanium alloy due to low thermal conductivity as shown in Figure 14 and indicates that
there is a possibility of thermo-mechanical processing occurring underneath the round
edge tool during machining.
Figure 14 Temperature distributions of along the prescribed path in the machined layer
(tu = 0.1 mm, V = 300 m/min)
In summary, these stress field predictions can be combined with the temperature field
predictions and can be fed into surface property models that are highly essential to
further predict surface integrity and thermo-mechanical deformation related property
alteration on the microstructure of the machined surfaces. Today, most of the surface
property models are empirical and still not sufficient to determine the full surface
morphology induced by the finish machining especially at meso-scale where all of
the machining is done with the edge geometry of the cutting tool.
4 Conclusions
We present a numerical modelling approached based on explicit dynamic Arbitrary

Lagrangian Eulerian method with adaptive meshing capability and developed simulation
models for meso-scale finish machining of AISI 1045, AISI 4340 steels and Ti6Al4V
titanium alloy using finite edge radius carbide cutting tool without employing a
remeshing scheme and without using a chip separation criterion. The extended J-C work
material model and a detailed friction models are also employed and work material flow
around the round edge of the cutting tool is simulated in conjunction with an adaptive
meshing scheme. The development of temperature distributions during the cutting
process is also captured. Very high and localised temperatures are predicted at tool-chip
interface due to a detailed friction model. Predictions of the von Mises stress
distributions in the chip, in the tool and on the machined surface are effectively carried
out. Process induced stress profiles depict that there exist both compressive and tensile
stress regions beneath the surface. These predictions combined with the temperature field
predictions are highly essential to further predict surface integrity and thermo-mechanical
deformation related property alteration on the microstructure of the machined surfaces.
It is believed that the ALE simulation approach presented in this work, without
remeshing and using a chip separation criterion, may result in better predictions for finish
machining induced stress fields.
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Effect of emulsifier content on microbial

contamination of cutting fluids
Damera Nageswara Rao*

Andhra University College of Engineering,
Andhra University, Waltair,
Visakhapatnam – 530 003, India
E-mail: d_nageswara_rao@rediffmail.com
Revuru Rukmini Srikant

Department of Industrial Production Engineering,
College of Engineering,
GITAM, Rushikonda,
Visakhapatnam – 530 045, India
E-mail: srikant_revuru@yahoo.com
Posinasetti Nageswara Rao

Department of Industrial Technology,
University of Northern Iowa,
Cedar Falls, IA 50614-0178, USA
E-mail: posinasetti.rao@uni.edu
Abstract: The microbiological contamination of the cutting fluids over usage

and time has been a limitation in their utility, despite the numerous advantages
offered. Growth of aerobic bacteria is prominent in the fluids compared
to anaerobic bacteria and fungi. Contamination of fluids reduces their
effectiveness and also poses a threat to the workers who are constantly exposed
to it. Several skin diseases and allergies are reported due to the usage of the
fluids. Though study of stored samples of the fluids is available in the
literature, not much work is reported for the study of samples under usage.
In the current work, the working conditions of the fluid are simulated and the
samples are analysed along with the stored samples. Plate count of aerobic
bacteria is carried out and the species are identified to estimate their pathogenic
effects.
Keywords: cutting fluids; emulsifier; microbial contamination.
Reference to this paper should be made as follows: Rao, D.N., Srikant, R.R.
and Rao, P.N. (2007) ‘Effect of emulsifier content on microbial contamination
of cutting fluids’, Int. J. Machining and Machinability of Materials, Vol. 2,
No. 3, pp.469–477.

470 D.N. Rao, R.R. Srikant and P.N. Rao
Biographical notes: Damera Nageswara Rao is a Professor in the Department

of Mechanical Engineering at Andhra University College of Engineering,
Andhra University, Visakhapatnam, India. He received a BSc (Engg) (Hons.)
in Mechanical Engineering from Sambalpur University, India, MTech from
Indian Institute of Technology, Kharagpur and PhD from Indian Institute of
Technology, New Delhi, India. His current teaching and research interests
include manufacturing engineering, metal cutting, CNC, CAD/CAM, product
design, rapid prototyping, CIM, tool design, artificial intelligence, feature
recognition, CAPP, NFRP and GFRPs. He is the author and co-author of a
number of research papers in national and international journals and
conferences.
Revuru Rukmini Srikant is currently working as an Assistant Professor in the

Department of Industrial Production Engineering, College of Engineering,
Gandhi Institute of Technology and Management, Visakhapatnam, India.
He received a BE in Mechanical Production and Industrial Engineering and
ME (CAD/CAM) from the same institute. Currently, he is pursuing his PhD
under the supervision of D. Nageswara Rao at Andhra University, India. His
current teaching and research interests include manufacturing engineering,
metal cutting, CAD/CAM, artificial intelligence and robotics. He is the author
and co-author of a number of research papers in national and international
journals/conferences.
Posinasetti Nageswara Rao is a Professor of Industrial Technology at

University of Northern Iowa in Cedar Falls, Iowa, USA. He received a BE in
Mechanical Engineering from Sri Venkateswara University, Tirupati, ME from
Birla Institute of Technology and Science, Pilani and PhD from Indian Institute
of Technology, New Delhi, India. His current teaching and research interests
include Manufacturing Engineering, metal cutting, CNC, CAD/CAM, product
design, rapid prototyping, CIM, tool design, CAPP and technology education.
He is the author and co-author of a number of research papers in national and
international journals and conferences along with a number of textbooks.
1 Introduction
Cutting fluids have been extensively used in metal cutting industries for over two
centuries. Initially, cutting fluids were simple oils applied with a brush to cool
and lubricate the cutting tool. As the cutting operations became more severe, the
formulations of the fluids became more complex. Today, a spectrum of different
formulations is available to cater to the needs of the industries. There are several types of
cutting fluids that can be broadly classified as neat oils, synthetic fluids and
water-soluble oils. Water-soluble oils, more popularly referred to as soluble oils, are
widely used accounting to 80–90% of the applications (Aronson, 1994). Water-soluble
cutting fluids essentially comprise of fatty oils, emulsifier and water. The exposure
of the ingredients to the atmosphere and their nature of acting as nourishment lead the
fluids to microbial contamination (Hong, 2001). Owing to the environmental regulations
and the effect on the workers’ health, the use of the cutting fluids is avoided many times
despite the numerous benefits offered (Greeley et al., 2004). The growth of the
microorganisms in the fluids not only leads to the fermentation of the fluid lowering
down its effectiveness but also causes several skin diseases to the workers in the
Effect of emulsifier content on microbial contamination of cutting fluids 471
shop floor who are constantly exposed to the fluid (Dahmus and Timothy, 2004).
The growth of the microorganisms also poses a problem in the disposal of used fluid in
view of the regulations imposed by various international organisations.
2 Literature survey
Microbial contamination of the cutting fluids has been attracting several researchers, of
late. Extensive work is reported, a majority of which can be attributed to Rossmoore
(1974, 1976, 1981). Details of causes of contamination and its implications are available
in the literature.
There are three major types of microorganisms involved in fluid deterioration:
Aerobic Bacteria, Anaerobic bacteria and Fungi. Fungi are generally responsible for
the black colouration of the fluid. However, aerobic bacteria split the emulsion
and are shown to have a drastic influence on the functionality of the cutting fluids
compared to the other two species (Anon, 2003). Basic properties like emulsibility
and prevention of corrosion are found to deteriorate with growth in contamination.
Several conventional techniques like plate count and unconventional techniques
like dip-slides (ASTM, 1997) are adopted to estimate the growth of bacteria over
time. Though the use of biocides like formaldehyde can be looked upon as an easy
answer to the problem, the effect of biocides on the workers, their toxicity and
effectiveness needs to be considered before making any selection. Biocides are
reported to have adverse effects on the workers with constant exposure. Further,
the waste disposal regulations of various governments limit the usage of biocides.
Hence, it is always desirable to control the bacterial growth without the use of
biocides.
Much of the work is dedicated to the microbiological contamination of cutting
fluids aims to estimate the growth of the bacteria in stored fluids. Though initiative
has been taken to simulate the actual working conditions of the fluid (ASTM, 1997)
by subjecting to conditions like exposure to ferrous metals, evaporation, the effect of
temperature on the microbiological growth is not dealt with. However, it is well
known that temperature plays a key role in the formation of bacterial colonies and
their sustenance. The current work tries to address this problem by simulating the
working conditions of the fluid, with the effect of temperature. However, the effect of
tramp oil and chip is not considered in this work owing to the problems associated;
the physical contamination of the oil with such impurities pose a problem in carrying
out microbiological tests. Since the tests are not carried out in closed atmosphere,
they very well replicate the effects of atmospheric interactions with the fluid.
This work aims at finding the levels of microbial contamination and identification of
the genus with change in composition of the fluids. The fluids are taken as mixtures of
95% water, mineral oil and emulsifier in varying proportions. Sodium Petroleum
Sulphonate is chosen as the emulsifier due to its popularity in commercially available
brands (Hong, 2001). As explained above, the use of biocides is restricted with the
environmental sanctions imposed all over the world and hence, biocides are excluded in
this study. The content of emulsifier is varied from 5 to 25% (of the oil-emulsifier
mixture) and studies are carried out to estimate the composition of the fluid which is least
prone to microbial contamination.
3 Experimental set-up and experimentation
Five different mixtures of cutting fluids are formulated varying the emulsifier content as
stated earlier. Samples are tested for both storage and working conditions. For storage,
the samples are taken in air-tight plastic containers and are stored in a cool and
dark place.
To simulate the working conditions, a special arrangement is made. A flat electric
heating element made of Nichrome wire (750 watts, 230 volts) is taken. The element is
electrically insulated on both sides with mica sheet. To prevent heat losses, asbestos
sheet is used as insulator on one side. The other side of the element is attached to copper
plate, bent in the shape of the element (Figures 1 and 2).
Figure 1 Individual components of heating element
Figure 2 Assembled heating element

The entire arrangement is fixed using screws and nuts. The element is capable of
providing temperatures above 700°C. Five such arrangements are made, one for each of
the fluids. The elements are arranged on an iron mesh (see Figure 3). Fluid in the
containers is pumped onto the elements (see Figure 4). Thus, the fluid falls on the heated
elements and gets recirculated. Daily, the fluids are run for about 6 hr, seven days
a week, to simulate the conditions in a production unit.
Figure 3 Arrangement of elements
Figure 4 Pumping of fluids on the heated elements
Initial sample (0.1 ml) is collected immediately after the preparation of the fluids.
Subsequent samples are collected from both stored and working fluids every week and
are tested in duplicate by plate count for the growth of aerobic bacteria. Ready-made
culture plates (Make: Himedia™, Code: FL 001) are used. The plates contain
Soyabean-caesin agar as medium and NaCl as indicator. The plates are incubated
for 24 hr to estimate the growth of bacteria. Red coloured colonies are observed
(see Figures 5 and 6) for both stored and working samples.
Figure 5 Colony growth in stored samples
Figure 6 Colony growth in working samples
However, the size of colonies obtained for stored samples is larger compared to working
samples. Figure 7 represents the results (number of colonies) obtained from plate count
of the stored samples, with different emulsifier contents. In working samples, even with
dilutions, the number of colonies is innumerable; but clearly the colonies are much less
in third sample compared to the other samples.
Figure 7 Microbial growth in stored samples
To estimate the effect of the microorganism present in the fluid, identification of the
organisms is mandatory. Isolation is done and the organism is tested in various culture
media and the results are presented in Table 1.
Table 1 Identification of bacterial species
Experimental procedure Observations Inference

-ve
Gram stain Pink coloured rods G , rods
Agar slant cultural Abundant thin white growth
characteristics
Fermentation Lactose – No acid or gas No fermentation
Dextrose – No acid or gas
Sucrose – No acid or gas
IMVIC Indole – No cherry red ring No tryptophanate enzyme
Methyred – No red colour No acid formation
VP – Light red colour Neutral product formation
Citrate – Blue colour formation Citrate utilised
H2S test SIM medium – no black No H2S production
colouration
Catalase Bubble formation on addition Catalase positive
of H2O2
Oxidase test Pink colour changing to maroon Oxidase positive
Geletin liquefaction Geletin liquified Gelatinase production
Growth in macconkey No growth Growth observed only in
medium Pseudomonas specific
Mannitol salt agar No growth Cetrimide agar
Cetrimide medium Growth occurred

The results lead to an apparent inference that the organism present in both working
and stored samples is Pseudomonas. It is noteworthy that in literature, the bacteria in
stored samples are identified as Pseudomonas (Rossmore, 1974, 1976, 1981), but the
working samples are not tested. The results obtained validate the current work as the
results for stored samples are in line with the earlier studies. The genus Pseudomonas
consists of aerobic, gram-negative bacilli. Being opportunistic bacteria, Pseudomonas
though not invasive, has the tendency to aggravate in case of an injury or burns. There
are about seventy species in Pseudomonas, a majority of which has the ability to break
down the oils (which can crucially affect the cutting fluid). The organisms utilise the
carbon present in the oils as their source of nutrition and deteriorate the oil into inorganic
compound. Pseudomonas has the ability to survive in hostile conditions and is not
suppressed even by biocides (it is common to find Pseudomonas even in hospital
disinfectants). Further, the use of biocides in the cutting fluids is subjected to several
constraints imposed by the environmental regulations of various organisations. Thus the
best way to control the growth of the bacterium would be to optimise the content of
emulsifier.
The plate count results of stored samples are presented in Figure 7.
The results indicate least growth of microorganisms in thrid sample (15% emulsifier)
in both stored and working samples.
4 Conclusions
• Different types of bacterial colonies are observed for stored and running
samples.
• Bacterial contaminations of the fluids change with content of emulsifier.
• The microorganism in the fluids is identified as Pseudomonas in both working
and stored samples.
• The contamination is least for 15% emulsifier in both stored and working
samples.
5 Scope of future work
• Influence of other major constituents of cutting fluids, like base oil, water to be
studied.
• The effect of tramp oil and chips to be studied.
• In this work, identification of bacteria has been done upto genus level. Further
verification to be done through SEM studies and identification of particular
species of Pseudomonas.
Acknowledgements
The authors would like to express their gratitude to M/s United Petroleum Corporation,
Mumbai, India for providing the emulsifier of consistent quality, free of cost. The
authors would like to acknowledge the support extended by the Department of

Microbiology, Science College, GITAM, Visakhapatnam, India, by providing the
facilities to carry out the study and the assistance rendered.
References
Anon (2003) Cutting Fluid Management for Small Machining Operations, A Practical Pollution
Prevention Guide, 3rd edition, Iowa waste reduction Centre, University of Northern Iowa.
Aronson, R.B. (1994) ‘Machine tool 101: Part 6, machine servers’, Manufacturing Engineering,
June, pp.47–52.
ASTM D 3946-92 (1997) ‘Test method for evaluating bacterial resistance of water-dilutable metal
working fluids’, ASTM Book of Standards, 5 February 2003, Petroleum Products and
Lubricants.
Dahmus, J.B. and Timothy, G.G. (2004) ‘An environmental analysis of machining’, Proceedings of
IMECE2004, ASME International Mechanical, Engineering Congress and RD&D Expo,
13–19 November, Anaheim, CA, USA.
Greeley, M.H., DeVor, R.E., Kapoor, S.G. and Rajagopalan, N. (2004) ‘The influence of fluid
management policy and operational changes on metalworking fluid functionality’, Journal of
Manufacturing Science and Engineering, August, Vol. 126, p.445.
Hong, S.Y. (2001) ‘Economical and ecological cryogenic machining’, Journal of Manufacturing
Science and Engineering, Vol. 123, p.331.
Rossmoore, H.W. (1974) ‘Microbial causes of cutting fluid deterioration’, Society of
Manufacturing Engineers, Dearborn, MI.
Rossmoore, H.W. (1976) ‘Evaluation techniques for biodeterioration of water miscible
metalworking fluids’, Biodeterioration Research Techniques, Vol. 1, pp.227–242.
Rossmoore, H.W. (1981) ‘Antimicrobial agents for water-based metalworking fluids’, Journal of
Occupational Medicine, Vol. 23, No. 4, pp.247–254.
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SPECIAL ISSUE: TRIBOLOGY OF METAL CUTTING

Members of the Editorial Board

Professor Conceição António Professor Daniel Dudzinski

Professor Alain Molinari Professor G.-C. Vosniakos

Professor Liangchi Zhang

Editorial: tribology at the forefront of study

Abstract: A clear distinction of the metal cutting tribology and a short

Keywords: metal cutting tribology; tribological interfaces; energy spent in

Reference to this paper should be made as follows: Astakhov, V.P. (2007)

Biographical notes: Viktor P. Astakhov received a PhD in Mechanical

Copyright © 2007 Inderscience Enterprises Ltd.

2 The importance of the subject

wear at all levels of technology where rubbing of surfaces is involved. It is claimed,

Besides the commonly referred tribological interfaces in metal cutting as the

3 System specifics of metal cutting tribology

4 Future work on metal cutting tribology

system properties were ignored. As a meaningful research on metal cutting becomes

5 Current Special Issue

Tool wear mechanisms in machining

Reference to this paper should be made as follows: Olortegui-Yume, J.A. and

Biographical notes: Jorge A. Olortegui-Yume is currently a PhD candidate in

Patrick Y. Kwon is an Associate Professor in the Department of Mechanical

Copyright © 2007 Inderscience Enterprises Ltd.

2 Types of cutting tool wear

Figure 1 Tool wear types

Source: Stephenson and Agapiou (2006).

Figure 2 Plastic lowering of cutting edge model

Source: Astakhov (2006).

3 Fundamental tool wear mechanisms

Material Po α × 10−3 Temperature range (°C)

Source: Wong et al. (2004).

transformation depends on the alloying ingredients which change the transformation

Table 2 Free energy of formation for different tool materials

Tool Material ∆GAxBy = K1 + K 2T log T + K 3T (Cal/mol) Temperature Range (K)

K1(L) K2(M) K3(N)

Source: Kubaschewski et al., 1967, Kwon (1985) and Kim (2000).

Tool constituent Work material

(Cal/mol) (Cal/mol) (Cal/mol)

*Estimated between 869 and 1673 K (Wong et al., 2004).

Figure 4 Solubility of various tool materials in ferrite (steel)

Figure 5 Solubility of various tool materials into austenite (steel)

3.5 Chemical reaction

4 Generalised view of wear mechanisms

Figure 6 Wear paths of tool material into chip

Figure 7 Solubility of various tool materials in titanium

∆GT = ∆HT − T ∆ST (9)

∆HT = − ( H f ) ( ∆Cp )dT + ( H ) ( ∆Cp ) dT + ΣH

of formation, ( S f ) , (S ) , (Sf ) , (Sf )

Figure 8 Gibb's free energy for the reactions WC + Ti Æ TiC + W and

Table 4 Heat capacities, standard entropy of formation and standard enthalpy

Source: After Kubaschewski et al. (1993).

Ductile fracture mechanics and chip separation

Pedro A.R. Rosa and Paulo A.F. Martins*

Keywords: metalcutting; finite element method; FEM; ductile fracture;

Reference to this paper should be made as follows: Rosa, P.A.R.,

Biographical notes: Pedro A.R. Rosa received an MSc in Mechanical

Paulo A.F. Martins received a PhD in Mechanical Engineering from Instituto

Copyright © 2007 Inderscience Enterprises Ltd.

A.G. Atkins is a Fellow of the Royal Academy of Engineering and was a