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The investigation of mechanism of serrated chip formation under different

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DOI: 10.1007/s00170-015-7409-3

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Int J Adv Manuf Technol
DOI 10.1007/s00170-015-7409-3
ORIGINAL ARTICLE
The investigation of mechanism of serrated chip formation
under different cutting speeds
Lei Wan1 · Dazhong Wang1 · Yayun Gao1
Received: 2 December 2014 / Accepted: 8 June 2015
© Springer-Verlag London 2015
Abstract Chip type is determined by the coupled effects
of workpiece material property, cutting speed, uncut
chip thickness, feed rate, and tool edge geometry. The
understanding of chip formation plays a critical role in
studying surface integrity and optimization of machining
process variables. Serrated chip, one of the major important
chip type, is usually formed in hard cutting at high speed.
In this study, a new analytical model has been proposed to
better understand the formation of serrated chip, and the
simulations have been acquired using ABAQUS/Explicit in
machining AISI 1045 during different speeds (from 60 to
6000 m/min). The workpiece material property is modeled
with the Johnson-Cook model, and the experiments have
been conducted with AISI 1045 during speeds from 60 to
1200 m/min. It has been shown that flow stress is influenced
simultaneously by the strain rate hardening and temperature
softening. When the speed reaches very high, the temper-
ature softening will fail, and the strain rate hardening will
play a more important role. Also, it can be found that the
hardening ratio increases when the cutting speed rises. The
results of the simulations and experiments correlated well.
The cutting force and thrust force both decrease as the
cutting speed increases, and the difference between them
will shrink when the machining speed reaches a high level.
Keywords Finite element method · Orthogonal cutting ·
Cutting speed · Serrated chip formation
 Dazhong Wang
wdzh168@hotmail.com
1 Shanghai University of Engineering Science, 333 Longteng
Road, 201620, Shanghai, China
1 Introduction
Metal cutting is one of the most important and common
manufacturing approaches in industry nowadays. High-
speed cutting (HSC) has been widely applied in mould,
automobile, astronautics, and optical engineering, being
of increasing industrial interest, because of its advantages
of allowing for larger material removal rates and positive
influence on the properties of the finished workpiece.
It is universally known that the chip shape will trans-
form from continuity to segmentation as the cutting speed
increases from relative low to high, whose microstructure is
shown in Fig. 1 [1]. But the mechanism of transformation
is still unknown, and many researches of the mechanism
of the segmented chip formation have been done, and two
predominant theories have formed, namely periodic crack
theory and thermoplastic shear instability theory. Nakayama
et al. [2] and Shaw and Vyas [3] made a conclusion that
the serrated chip is formed due to the inherent brittleness
of workpiece material. They presumed that crack initiates
at the free surface because of less normal stress there and
propagates along primary deformation zone down to the tip
of tool. Su and Liu [4] investigated the effect of material
brittleness on segmental chip formation; they concluded that
the mechanism of material brittleness affecting the chip for-
mation and shape is that it lowers the value of failure strain,
thus making the maximum stress in flow stress curve occur
in advance, which leads to the consequent segmental chip
formation. Also, the chip segmentation degree decreases
with the decrease of material brittleness at a fixed cutting
speed. Hua and Shivpuri [5] and Kountanya et al. [6] carried
out an experimental and simulative study to support the peri-
odic crack theory. But it cannot explain the mechanism of
chip formation from continuity to segmentation. Recht [7]
developed a classical model to describe catastrophic shear

Fig. 1 The microstructures of the material AISI 1045 and Ti-6Al-4V
under 60 and 780 m/min, respectively
instability in machining and predicted when the catastrophic
shear would occur in plastically deformed regions. In 1985,
he introduced the adiabatic shear theory to describe the
serrated chip formation during hard machining [8]. Similar
opinions can be also found in researches of Lee [9], and
Gente et al. [10].
Numerical simulation of cutting process has been widely
utilized to study the influences of material properties or
cutting variables on chip formation and cutting force by
varying one parameter while keeping the others constant.
Bäker [11] and Bäker et al. [12] carried out a series of finite
element simulations of chip formation to investigate the
influence of thermal softening and strain hardening expo-
nent on chip shape. Klocke et al. [13] conducted a finite
element simulation of the orthogonal cutting of AISI 1045
using a commercial FE code DEFORM 2D. In the sim-
ulation, a thermal elastic-plastic constitutive equation was
applied and the friction across the chip-tool interface was
assumed to be constant. But their criterion to deal with
the chip separation was not clearly given. Rhim and Oh
[14] found that the localized shear bands and the serrated
chips could be predicted using the FE simulation during a
conventional machining process. A key issue in a proper
Int J Adv Manuf Technol
modeling of a metal cutting process is the description of
constitutive behavior of a material, as well as the determina-
tion of chip separation. The constitutive model can describe
not only the deformed state of continuous chip under low
speed but also the state of serrated or segmented chip at
high velocity. The Johnson-Cook (JC) model [15], which
considers the strain hardening, strain rate hardening, and
thermal softening effect, has been widely used in the litera-
tures. Wang and Liu [16] carried out the high speed cutting
process of Ti6Al4V with the aid of simulations and experi-
ments; they find that with the cutting speed increasing, the
serrated degree of chip increases until the chip becomes
unit or fragmented. Meanwhile, the serrated frequency of
chips has positive correlation with the cutting speed, but
when the chip becomes fragmented, it could not be used
to describe the geometric characteristic of chips. Chen et
al. [17] utilized a JC model with an energy-based duc-
tile failure criterion to simulate the machining of titanium
alloy (Ti-6Al-4V) with high cutting speeds. The investiga-
tion shows that the segment valley and peak decrease as the
increase of cutting speed, while the segment pitch increases
slightly with cutting speed. In addition, the degree of seg-
mentation is much more obvious under high speed cutting
condition.
This paper combines the Johnson-Cook thermal-
viscoplastic constitutive model, the effective plastic strain
criterion, the Coulomb friction model for tool-chip fric-
tion, and heat transfer model to predict the continuous and
serrated chip formations and cutting forces.
2 The model of orthogonal machining
The chip formation model is proposed based on the He
model [18] and Aurich model [19] and Su model [20], as
shown in Fig. 2. It can be calculated that according to the
undeformed characteristic of unrestrained surface, θ is shear
angle, α is rake angle, ϕ is formed when the free surface AK
rotated from the undeformed surface AK to the surface AF
Fig. 2 The decomposition process of serrated chip formation in
machining
Int J Adv Manuf Technol

where the material is in the condition of critical steady state
instability, so it can be called lift angle which reflects the
shear strain of the outer space of the chip. d is the distance
from the point of segment I to the free surface at a certain
time; L is the distance from the beginning of formation of
segment I to the end of formation at a certain time. It can
also be found in the analytical model that the shear band is
formed as the tool advances. The relationship between these
angles in the Fig. 2 can be expressed below.
⎧ control element. The nodes of the workpiece on the bot-
⎨ γ + ψ + ∠ABD = π
θ + ∠ABD + β = π
⎩
β = α + π/2
So, the shear angle is
θ = α + γ + ψ − π/2
And the lift angle is
ϕ = γ − θ = π/2 − ψ − α
3 Finite element modeling
In this paper, the Lagrangian approach is adopted in simulat-
ing the serrated chip formation. The simulation of serrated
chip formation is more difficult than that of continuous
chip formation, because it needs the separation criterion.
Plane strain condition is used throughout this simulation.
The workpiece is modeled to be a rectangular block consist-
ing of four-node bilinear, reduced integration with hourglass
tom, left edge, and right edge are constrained both vertically
and horizontally. For simplicity, a sharp tool with −7◦ rake
angle and 5◦ clearance angle was modeled as rigid, though
the tool edge geometry has slight effect on the chip for-
mation, it does not change the basic chip type. The tool is
constrained against the vertical displacement and rotation,
and the velocity is applied on the tool as shown in Fig. 3.
3.1 Model assumptions

The depth of undeformed is The metal cutting process is so complicated that the finite
element model should be simplified and some assump-
hKH = lAK sinϕ = −lAF cos(α + ψ + γ ) tions established as well. The assumptions of finite element
lF G = lAF sinγ model are:
lF G − hKH sinγ + cos (α + γ + ψ) (1) The cutting process is under plane strain deformation
hKF =   = lAF   conditions;
π−ψ ψ
sin 2 − θ sin π
4 + γ + 2 + α
2 (2) The radius of cutting edge is neglected;
So, according to the definition of He [18], the shear strain (3) The workpiece material is assumed to be homoge-
in the chip AFEB can be expressed as: neous that is isotropic hardened and governed by thermo-
viscoplastic constitutive equation;
(4) Tool, machine tool bed and fixture are all rigid in the
hBF sinγ + cos (α + γ + ψ)
ε= = −lAF   cutting process.
hBK sin 4 + γ + ψ2 + α2 cos(α + γ + ψ)
π

3.2 Material constitutive model

A new model of material hardening is proposed, shown
as the equation below: To simulate the cutting process with finite element method
properly, it is necessary to introduce a material flow stress
d
κ= model to describe the material behavior. In finite element
L models, it requires a constitutive material model to relate
This ratio can be used to measure the hardening of the the flow stress to strain, strain rate, and temperature. The
deformed chip during cutting process. d varies as the cutting experimental flow stress data can be obtained from the Split-
speed increases from low to high. Hopkinson pressure bar (SHPB) tests which are conducted
The localized adiabatic shear bands are a specific type of
shear band that can be only found in serrated chip forma-
tion during hard cutting and high speed machining, which
are characterized by high strain rate hardening, high strain
hardening, and thermal softening. In this case, serrated chips
are macroscopically continuous, consisting of narrow bands
of material deformed heavily and large zones of relatively
undeformed material as studied by Barry and Byrne [21].
This phenomenon turns out to be owing to thermal soften-
ing effect accompanied by strain rate hardening and strain
hardening of material. Fig. 3 The finite element model of orthogonal cutting
 Int J Adv Manuf Technol

Table 1 Material parameter values for the Johnson-Cook model of 3.3 Frictional model
AISI 1045 steel

A (MPa) B (MPa) n C Whether the cutting simulation results are accurate and rea-
sonable, to a great extent, depends on the foundation of the
553 600 0.234 0.0134 frictional model, so it is vitally important to choose a rea-
m ε̇0 Tm (◦ C) Tr (◦ C) sonable friction model. In this paper, the rake face is divided
1.0 0.001 1460 20 into two workspaces, the sticking zone and the sliding zone,
which is illustrated in Fig. 4.
Alvarez et al. [23] studied the effect of four different con-
under various strain rates and temperatures, and the exper- stitutive models and three friction coefficients (0.4, 0.6, and
imental data acquired are used to calculate the unknown 0.8) on the simulation results. They conclude that the fric-
parameters of material constitutive models. The widely tion factor depends on the constitutive equations and their
used model in formal papers is Johnson-Cook (JC) material parameters, and its elections are subject to the experiment
model [15], considering the influence of strain, strain rate, results. So when considering machining simulations of AISI
and temperature on the flow stress, which is represented by 1045, a moderate friction coefficient (0.4) is used in this
a combination of three functions as study and friction at the tool-chip interface is controlled
by a Coulomb friction model which is expressed by the
σ = f (ε)g(ε̇)h(T ) (1)
following relations.
σ0
where (1) The sliding zone: τ = μσn if μσn < m̄ √
3
σ0 σ0
(2) The sticking zone: τ = m̄ √ if μσn > m̄ √
f (ε) = A + Bε n
(2) 3 3
The shear stress (τ ) is either expressed by the prod-
ε̇
g(ε̇) = 1 + Cln (3) uct of Coulomb friction coefficient (μ) with normal stress
ε̇0 (σn ) or by a fraction (m̄) of permissible shear stress of the
 
T − Tr m workpiece material.
h(T ) = 1 − (4)
Tm − T r
3.4 Heat transfer model
Functions f(ε), g(ε̇), and h(T) above represent strain
hardening, strain rate sensitivity, and thermal softening
In the finite element model, because of the influence of plas-
behaviors of the workpiece material, respectively. And it is
tic deformation and friction at the too-chip interface, heat
rewritten as a normal form which can be found below.
   generation is modeled as a volume heat flux. Heat conduc-
ε̇ T − Tr m tion is assumed to be the primary model of heat transfer,
σ = (A + Bε ) 1 + Cln
n
1+( ) (5)
ε̇0 Tm − Tr which occurs between the workpiece and tool. The equation
of heat transfer is as follows [24]:
where σ is the equivalent flow stress, ε the equivalent plas-
tic strain, ε̇ the equivalent plastic strain rate, and ε̇0 the
reference strain rate which equals 1 s −1 . The material char- ρm U̇ dV = qdS + Q̇dV (6)
V S V
acteristics are defined by the thermal softening coefficient
m, the strain hardening exponent n, and constants adopted where V is the volume of solid material with surface area
from reference , which are listed in Tables 1 and 2 [22]. Tm S, U̇ the material time rate of internal thermal energy, ρm
and Tr are the material melting temperature and reference
ambient temperature, respectively.

Table 2 Material properties for the workpiece and tool

Material properties Workpiece Tool

Material properties AISI 1045 Carbide

Young’s modulus (GPa) 200 530
Poisson’s ratio 0.3 0.13
Conductivity (W m −1◦ C−1 ) 55 120
Specific heat (J kg −1◦ C−1 ) 474 343.3
Thermal expansion
coefficient (◦ C−1 ) 1.4×10−6 5.2×10−6 Fig. 4 Curves representing normal and frictional stress distributions
on the tool rake face
Int J Adv Manuf Technol
Fig. 5 Macrograph (a) and micrograph (b) of experimental configu-
ration for measuring the cutting forces
the mass density, q the heat flux per unit area of the body
flowing into the body, and Q̇ the heat supplied externally
into the body per unit volume.
4 Experimental set up
The macrograph of the experimental configuration is shown
in Fig. 5a. The cutting process was completed in the CA
6140 machine, and the three components of the cutting
forces: feed force (Fa ), thrust force (Fr ), and cutting force
(Fc ), schematically shown in Fig. 5b, were recorded using
a standard dynamometer, and the recorders of current were
amplified by the charge amplifier, and then were treated in
the computer.
All experiments were carried out using a normalized
AISI 1045 steel supplied as bars (80 mm × 500 mm long)
with hardness between 180 and 190 HB (tensile strength
∼696 MPa). A PCD tool VCGT160412 CD10 has been cho-
sen. It was mounted on a MTJNR 2020 K16 tool-holder
which is fixed in the dynamometer, resulting in a rake and
a clearance angle of −10 and 5◦ , respectively. The cutting
edge radius was approximately 0.05 mm.
At each cutting speed, the specimen bar was cut at cur-
rent diameter which would shrink with the cutting process
going on and it also was reset after each cutting. The cutting
condition is dry cutting. Also, the experiments have been
conducted over different cutting speeds (60, 300, 600, and
1200 m/min) and the uncut chip thickness was 0.1 mm, and
the feed rate is 0.1 mm/rev. Each test has been repeated for
three times with a new cutting edge and average values are
shown in the Fig. 8.
To obtain the experimental shear angle, a technology
called “quick tool escaping” is used. In the experiment,
the state of withdrawing the tool instantaneously was pre-
served by escaping the tool quickly, and the section with
the root of the chip was cut off and collected to be made a
metallographic specimen.
In order to observe and measure the continuous and
serrated chip geometry and the experimental shear angle,
chips collected were placed vertically in the mixing solu-
tion of epoxy resin and curing agent. Then the samples were
ground after the solidification of the epoxy, polished and
etched to gain the metallographic surface with nitric acid
alcohol approach. The shear angle was measured with the
metalloscope.
5 Results and discussion
5.1 Chip formation and morphology
At a low-speed V1 , the heat production of material in shear
zone enhanced because of the plasticity deformation, and
the heat has enough time to transfer to the region which
is in front of the shear zone. According to the JC material
model, the flow stress of material which is sensitive to the
thermal softening effect will decline due to the heat produc-
tion. Meanwhile, the strain hardening will also influence on
the material to make its flow stress increase, so the strength
of material in shear zone is larger than that in front of shear
zone found in Fig. 7a(1), which forces deformed material
in shear zone to push the material in front of shear zone
forward. The chip goes through full and continuous defor-
mation to make the free surface of chip parallel with the
rake face of tool, thus acquiring a banding chip, which can
be seen in Fig. 6a.
At a medium cutting speed of V2 , the strain rate harden-
ing effect of the material which is sensitive to strain rate has
a significant improvement. At the beginning of the process,
as the tool pushes a little chip forward, the instantaneous

Fig. 6 The chip morphologies
under different cutting speed
V1 , V2 , and V3
shear force generated in shear plane is not large enough to
push the material in the whole shear plane to slide, so the
material deformation mainly occurs at the chip near the rake
of tool, and the chip starts to accumulate at the rake face of
the tool as well as the forces begin to increase. When the
accumulation reaches a point where the instantaneous shear
force is large enough to prompt the material in shear zone to
slide, according to the incompressibility rule of material, it
makes the shear sliding happen in the whole shear plane to
create a serrated chip, which is seen in Fig. 6b. Meanwhile,
the serrated chips are formed without the adiabatic shearing
bands because the heat produced by the deformation still
has time to transfer to other place around the primary zone,
which can be seen in the Fig. 7b(2).
At a large cutting speed V3 , the dynamic yield strength
of material has a further advancement and nearly reaches
its tensile strength, contributing to a significant decline of
plasticity of material [20]. The deformation mainly occurs
in the vicinity of tool tip and there is no time for the large
amount of heat generated instantaneously to transfer to the
chip and workpiece because of high speed V3 , making the
temperature of material in shear plane increase greatly and
turning to an adiabatic shearing band. This production of the
serrated chips with adiabatic shearing bands can be found in
Figs. 6c and 7d(2).
5.2 Stress and temperature distributions
After analyzing the analytical model as explained in the
previous section, the process variables (chip shapes, stress
and temperature distributions, and cutting forces) for four
different cutting speeds (60, 300, 1200, and 3000 m/min)
are predicted using the finite element method as shown in
Int J Adv Manuf Technol
Figs. 7 and 8. Figure 7 shows the distributions of simu-
lated stress and temperature fields of workpiece material
under cutting speed from low to high (60, 300, 1200, and
6000 m/min). As can be observed in Fig. 7a(1), at relatively
low cutting speed (60 m/min), the chip shape is continuous.
In the primary and secondary zone, the materials possess the
highest stress mainly because of the deformation in the pri-
mary zone and the friction between the chip and tool rank
face. Also, the temperature near the primary zone is about
1000 K found in Fig. 7a(2), which is due to the heat gener-
ated in shear zone has enough time to transfer. It also can be
found in the illustration whose velocity is V1 in Fig. 6a. A
period of transition can be seen in Fig. 7b that the serrated
chip is formed but not regularly under the cutting velocity of
300 m/min because of the leading role of thermal softening
effect. Figure 7c shows the regular serrated chip clearly and
the segmentations in the chip are an almost same size. There
are also some adiabatic shearing bands between the two seg-
mentations but not obvious because the cutting velocity fails
to reach a good one. However, the adiabatic shearing bands
can be found clearly in Fig. 7d, and the stress values in these
bands are also low due to the high temperature. Meanwhile,
the heat generated in these bands has not enough time to
transfer to other places at the very high cutting speed. So
the strain rate hardening effect plays a dominant role in this
machining process.
5.3 Hardening ratio, shear angle, and cutting forces
Figure 8a shows the hardening ratio κ of material and the
shear angle of simulations and experiments under the cut-
ting speed from 300 to 6000 m/min when the serrated
chip begins to form. It can be found in Fig. 8a that the
Int J Adv Manuf Technol

Fig. 7 The stress and temperature distributions of material under different cutting speed 60, 300, 1200, and 6000 m/min

a 6 Conclusions
b (2) A new definition of material hardening was proposed
Fig. 8 a The hardening ratio κ of material and the shear angles
of simulations and experiments under the cutting speed from 300
to 6000 m/min and b the comparisons of machining forces between
experimental and simulated results under cutting speed from 60 to
1200 m/min
hardening ratio of material goes up as the cutting speed
increases, which is in accordance with the phenomenon
seen in Fig. 7b–d that the d grows with the increase of
velocity. It suggests that the strain rate hardening plays
a more important role in the machining process with the
increase of velocity. And the adiabatic shearing bands are
also formed this time, which makes chips break more easily
but will also create vibrations. The simulated and experi-
mental shear angles are compared under 60–1200 m/min,
which can also be found in Fig. 8a. The comparisons suggest
that the shear angle increases as the cutting speed increases,
and reaches a summit when cutting speed is 1200 m/min,
then decreases as the machining speed increases. Figure 8b
shows the comparison of machining forces between exper-
imental and simulated results under the cutting speed from
60 to 1200 m/min. The above comparisons demonstrate that
the cutting force and the thrust force decrease as the cutting
speed increases, experimentally and numerically. The dif-
ferences between the experimental and simulated results is
due to the assumptions created above, and the unexpected
factors in the experimental process. It also can be seen in
the Fig. 8b that the differences between the experiments and
simulations become less when speed increases.
Int J Adv Manuf Technol
The paper has carried out both experimental and numerical
analysis of chip formation under low and high speed during
the cutting of AISI 1045. Some conclusions can be drawn in
this research:
(1) A new analytical model was proposed to analyze the
mechanism of the serrated chip formation and tran-
sition from the continuous to serrated chip, and the
analytical results are in accordance with the simulated
results.
and the analytical and numerical simulation results
matched well.
(3) The cutting speed is a mainly parameter for the for-
mation of serrated chips when it comes to a certain
workpiece material.
(4) The transition of the formation from continuous to
serrated chips is due to the formation of adiabatic
shearing bands caused by the increasing of cutting
speed. Also, the chip segmentation degree increases
with the increase of cutting speed.
Acknowledgments The authors would like to thank Shanghai Uni-
versity of Engineering Science (Project Code: 14KY0107) for provid-
ing financial support for the project. The authors would like to thank
the Shanghai Jiaotong University State Key Laboratory of Mechanical
System and Vibration for their suggestion in the course of the simula-
tion. Also, the authors would like to thank the editor and the reviewers
for their constructive comments and suggestions which improved the
quality of this paper.
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