SURFACE ROUGHNESS TERMINOLOGY AND

PARAMETERS
Terminology
Sampling Length, l is the nominal wavelength used for separating roughness and waviness.
Also known as Cut off Length or Cut off. Evaluation Length, L, is the length over which the
values of surface parameters are evaluated. It is recommended that the evaluation length
consist of five sampling lengths although it may comprise any number of sampling lengths.
Also known as Assessment Length. Mean Line, M, is the reference line about which the
profile deviations are measured. The mean line of the roughness profile is usually established
by analogue or digital filters with the selected cut off corresponding to the roughness
sampling length. Profile Peak is the point of maximum height on a portion of a profile that
lies above the mean line and between two intersections of the profile with the mean line
Profile Valley is the point of maximum depth on a portion of a profile that lies below the
mean line and between two intersections of the profile with the mean line. Profile Irregularity
is a profile peak and the adjacent profile valley.

Roughness Average, Ra, is the arithmetic average of the absolute values of the profile
heights over the evaluation length.
RMS Roughness, Rq, is the root mean square average of the profile heights over the
evaluation length
Maximum Profile Peak Height, Rp, the distance between the highest point of the profile
and the mean line within the evaluation length.
Average Maximum Profile Peak Height, Rpm, is the average of the successive values of
Rpi calculated over the evaluation length.
Maximum Profile Valley Depth, Rv, is the distance between the deepest valley of the
profile and the mean line within the evaluation length

Maximum Height of the Profile, Rt, the vertical distance between the highest and lowest
points of the profile within the evaluation length.
Maximum Heights within a Sampling Length, Rti, the vertical distance between the
highest and lowest points of the profile within a sampling length.
Average Maximum Height of the Profile, Rz, is the average of the successive values of Rti
calculated over the evaluation length.
This parameter is the same as Rz(DIN) when there are five sampling lengths within the
evaluation length.
Maximum Roughness Depth, Rmax, is the largest of the successive values of Rti calculated
over the evaluation length.

Ten Point Height of Irregularities, Rz(ISO), is the average value of the absolute values of
the heights of five highest profile peaks and the depths of five deepest valleys within the
evaluation length.

Third Maximum Peak-to-Valley Height, R3z, is the mean of the third maximum peak-to-
valley heights in the evaluation length.
Peak Density, Pc, is the number of SAE peaks per unit length measured at a specified peak
count level. Note: An SAE peak (ANSI/ASME B46.1.1-1995) is a profile irregularity
wherein the profile intersects consecutively a lower and upper boundary line.

Skewness, Rsk, is a measure of the asymmetry of the profile about the mean line. A negative
skewness indicates that a greater percentage of the profile is above the mean line and a
positive
value indicates that a greater percentage is below the mean line.
Mean Spacing of Profile Irregularities, Sm, is the mean value of the spacing between
profile irregularities within the evaluation length.

Profile Bearing Length Ratio, tp, the ratio of the profile bearing length to the evaluation
length at a specified level.
Core Roughness, Rk, is the core height of the profile along the Y axis of the BAC curve
generated by placing a 40% line on the curve at the minimum slope point and extending the
lines to the 0% and 100% points.
Reduced Peak Height, Rpk, is the height on the Y-axis of a triangle with the same area as
the BAC curve from the 0% point to the Mr1 point.
Reduced Valley Depth, Rvk, is the height on the Y-axis of a triangle with the same area as
the BAC curve from the Mr2 point to the 100% point.
Peak Height, Rpk*, is the distance between the highest profile peak and the intersection line
of the surface ratio Mr1.
Valley Depth, Rvk*, is the distance between the intersection line of the surface ratio Mr2 and
the deepest valley.
Retention Volume, Vo, is the area between the material ratio curve and the 100% material
line below the core roughness.
Additional Parameters
Kurtosis, Rku, is a measure of the peakedness of the profile about the mean line.
Average Absolute Slope, a, is the arithmetic average of the
absolute value of the rate of change of the profile height calculated of the evaluation length.
RMS Slope, q, is the root mean square average of the rate of change of the profile height
calculated over the evaluation length.
Average Wavelength, a, is the average wavelength of the surface profile.
RMS Profile Wavelength, q, is the RMS value of the profile wavelength.
Height Difference of Bearing Length Ratios, Htp, is the height difference between two
points on the bearing ratio curve set at specified levels of tp, tp1 and tp2.

Surface finish fundamentals

The surface of every component has some form of texture which varies according to its
structure and the way it has been manufactured. These surfaces can be broken down into
three main categories: Roughness, Waviness and Form. In order to control the manufacturing
process or predict a component’s behaviour during use, it is necessary to quantify surface
characteristics by using surface texture parameters.
Surface texture parameters can be separated into three basic types:
Amplitude parameters – Measurement of the vertical characteristics of the surface deviations
Spacing parameters – Measurement of the horizontal characteristics of the surface deviations
Hybrid parameters – Combinations of spacing and amplitude parameters Sample length –
The profile is divided into sample lengths l, which are long enough to include a statistically
reliable amount of data. For roughness and waviness analysis, the sample length is equal to
the selected cut-off.
Cut-off (Lc) – A cut-off is a filter that uses either electronic or mathematical means to
remove or reduce unwanted data in order to look at wavelengths in the region of interest. The
sample length is also known as the cut-off length.
Evaluation length – The length in the direction of the X axis used for assessing the profile
under evaluation. The evaluation length may contain one or more sample lengths. For the
primary profiles the evaluation length is equal to the sample length.
All parameters using either Roughness, Waviness or Primary Profiles conform to the
following assumptions: T = Type of profile, either R (Roughness) or W (Waviness) or P
(Primary) n = Parameter suffix, e.g. q, t, p, v, etc. N = Number of measured sampling lengths
When a parameter is displayed as Tn (e.g. Rp), then it is assumed that the value has been
measured over 5 sampling lengths. If the number of measured sampling lengths is other than
5 sampling lengths, then the parameter shall display this number thus TnN, e.g. Rp2. Max
rule – If a parameter also displays max (e.g. Rz1max) then the measured value shall not be
greater than the specified tolerance value. If max is not displayed (e.g. Rp) then 16% of the
measured values are allowed to be greater than the specified tolerance value.
Taylor Hobson portable surface roughness tester that measure multiple roughness parameters
with a 1-button click. Roughness measurement parameters such as Ra, Rz, Rp, Rv and Rt are
displayed on a brightly lit intuitive 2.4" LCD colour display. Its rechargeable battery
operation makes it a convenient way of performing fast, easy and precise on-the-spot
measurements in almost any environment and surface.
The hard-wearing diamond stylus is drawn across the part with a precision motorised traverse
mechanism to ensure that the correct horizontal distance is travelled. Vertical movement of
the stylus is detected by a high quality piezo-electric pick-up as it travels across peaks and
valleys which converts mechanical movement into electrical signals. The electrical signal is
digitised and sent to a microprocessor for instant calculation of surface parameters using
standardised algorithms.

Measurement of Surface Roughness

A traditionally machined surface consists of many components from different sources
generated during the manufacturing process. It is the combination of these components that
comprise surface texture. Figure illustrates these components of a turned surface. They are
roughness, waviness, profile, error of form, flaws and lay.
In all, surface texture can provide information about the manufacturing process. In metal
machining, for example, surface texture is generated by the "tool noise" and is related to the
feed rate. However, it is also affected by many other variables such as vibration, cutting fluid
quality and tool wear. Therefore, measurement of surface texture components can potentially
provide diagnostic information for process control applications.
Various techniques for surface roughness measurements exist which can be largely classified
as contact and non-contact. For example the stylus technique is a contact method in which the
stylus is drawn over the sample in order to detect and record variations in surface geometry.
Surface statistics can then be calculated from the profile record. The accuracy obtained by
mechanical profilometer is quite high, with Ra values being in the order of micro meters.
However this technique is limited by its low speed and the need to contact the surface being
inspected. On the other hand, non-contact methods such as optical interferometry and light
scattering techniques offer the advantage of high speed measurement without the need to
contact the surface being measured.
Interferometry technique uses two coherent beams split by a partially transmitting mirror to
observe the fringe patterns in an interferogram. Interferometry has been found sensitive to
measure high accuracy in the order of 1 nanometre. Thus this method is suitable to inspect
very
fine - close to mirror finish surfaces.
Light scattering technique uses a beam of light of known wave length that is projected onto a
surface at an incident angle θ. If the surface is perfectly smooth, the light will be reflected at
the same angle as θ, according to the law of reflection. However, if the surface is rough, the
reflection will be scattered around the direction of specular reflection. The diffused light
intensity has close to linear relationship with surface roughness. The necessary link between
scattering light and surface topography can be made using either empirical correlation or an
appropriate scattering theory. For surfaces with Ra value of 2 µin., 95 percent or more of the
incident radiation will be reflected specularly. For surfaces with Ra value of 20 µin., 95
percent or more of the incident radiation will be scattered.
Light scattering has significant promise as a practical tool for measuring surface finish. It is a
quick, sensitive, area sampling, and accurate method, and unlike the stylus method, is
completely non-destructive. The research discussed in the paper addresses the issue of
transferring the light scattering technique into a practical on-line surface roughness inspection
instrument.

Standalone Surface Roughness Analyser

Overview
The proposed standalone surface roughness probe consists of a laser diode and 4 photo
resistor
detectors. Light from the laser diode shines down onto the work surface. Reflected light
coming
back into the probe is read by the detectors and converted to a proportional voltage output (in
the 2 volt range) by internal voltage divider circuits. These analogue voltages are then added
and converted to an equivalent digital quantity and displayed in numerical format. The
Surface Roughness Analyser is divided into five subsections: the probe, power supply, adder
circuit, A/D circuit and the display circuit (including MOSFET decimal point driver circuit).

Probe

The probe as shown in figure is comprised of the following components. A 1 milliwatt solid
state laser is used as a light source. The beam of light emitted from the laser passes through a
series of optical lenses and a mirror. The focused and collimated light impinges normal to the
surface of the work piece to be measured. The distance between the probe and the work piece
is fixed. The tube which is internally coated with reflective material is employed to collect
the
diffused reflection and send it to an array of highly sensitive photoelectric sensors. The
sensors
convert scattered light intensity into electric voltage signals. The amount of scattered light
received by the photoelectric sensors will be proportional to the degree of roughness of the
surface. Outputs from the photoelectric sensors are added to produce a single output.

Surface Roughness Measuring Instruments

Various measurement tools are available in the market for analysing and evaluating surface
roughness and shape. The type and characteristics of typical contact-type measuring
instruments (surface roughness tester and atomic force microscope) and non-contact type
measuring instruments (white light interferometer and laser
scanning microscope) are given in the table.

Contact-type Surface Roughness and Profile Measuring Instruments

In contact-type instruments, the stylus tip makes direct contact with the surface of a sample.
The detector tip is equipped with a stylus, which traces the surface of the sample. The vertical
motion of the stylus is electrically detected. The electrical signals go through an amplification
and digital conversion process to be recorded.
To precisely measure delicate shapes and roughness with a contact-type surface roughness
tester, the radius of the stylus tip must be as small as possible with low contact pressure.
Styluses are made of sapphire or diamond and their tip radius is usually about 10 μm or
smaller. A conical shape with a ballpoint tip is considered ideal for a stylus. Tip radius: r tip
= 2 μm, 5 μm, 10 μm Cone taper angle: 60º, 90º.

Advantages
Clear wave profile
Capable of long distance measurement
Disadvantages
Stylus wear
Measuring pressure can cause scratches on the sample surface
Inability to measure viscous samples
Measurement limited by radius of stylus tip
Measurement takes time
Difficulties in positioning and identification of subtle measuring points
Requires sample cutting and processing for tracing by the detector
Contact-type surface roughness testers provide reliable measurement, because they directly
touch the sample. However, direct contact also causes disadvantages as outlined above.
Stylus wear
The stylus must be polished, because it will wear down over time. The mode of wear varies,
making the stylus flat or rounded depending on the material and shape of the measurement
target object. Different stylus shapes will naturally generate different wave profiles. One
method for determining stylus wear is to use a commercially available wear inspection test
piece. Wear is determined by comparing the data profile (groove width) of the test piece
before and after the wear of the stylus.

Markings on the sample from measuring pressure

As explained before, styluses are made of sapphire or diamond---such hard materials can
scratch the surface of the test object. Especially when repeating parallel adjustments, it is
easy for the stylus to scratch the sample during rapid feed.
Grooves narrower than the radius of the stylus tip cannot be measured
The tip of the stylus is spherical. The stylus tip cannot trace the shape properly if the width of
the groove (scratch, etc.) is narrower than the radius of the stylus tip.

Atomic force microscope (AFM)

The atomic force microscope measures the asperity of a sample using the atomic forces
between the tip and the sample. To perform measurement, the user moves the cantilever,
equipped with a sharp tip (probe) at its end, into proximity of a sample surface to a distance
of several nanometers. In order to maintain a constant force between the tip and the sample (a
constant deflection of the cantilever), the atomic force microscope gives feedback to the
piezo scanner while scanning.
The displacement provided as feedback to the piezo scanner is measured to obtain the z-axial
displacement, which is the surface structure.
A common way of measuring the displacement of the piezo scanner is the adoption of the
optical lever method in which a laser beam is emitted on the back side of the cantilever and
the reflected beam is detected by four-segment (or two-segment) photodiodes.
 Advantages
High resolution (resolution: minimum distance between resolvable points)
Capable of 3D measurement with super-high magnification. Collected data can be
processed.
Observation in atmospheric conditions is possible, not needing pretreatment of
sample.
Capable of analysing physical properties (electrical property, magnetic property,
friction, viscoelasticity, etc.)
Disadvantages
Incapable of low magnification (wide range) measurement. Samples with significant.
asperity (level difference greater than a few μm) cannot be measured.
Difficulties in positioning due to the need to narrow down the field of view Analysis
for each sample takes time.
Inability to measure large samples due to the need for pretreatment and processing.
Relatively difficult operations; Experience required for cantilever replacement, etc.
Very small measurable range:
The atomic force microscope (AFM) is a magnifying observation tool capable of measuring
3D textures of a minuscule area. Unlike scanning electron microscopes, it can acquire height
data in numeric values, which enable quantification of sample and data post-processing. The
AFM also allows for measurements in normal atmospheric conditions and is free from
restrictions such as the need for sample pretreatment and electrical conductivity. On the other
hand, however, it is subject to the limitation of narrow measuring range (XYZ) due to its high
resolution capabilities. The AFM also suffer the difficulties of accurately positioning the
probe to the measurement area and the need for knowledgeable operation (correct mounting
of the cantilever, etc.).

White Light Interferometer

Light interference occurs when there is a difference in distance travelled by the light (light
path) from the surface of a target object to a certain point. The white light interferometer uses
this phenomenon to measure the surface roughness of a sample. The figure on the left is a
structural diagram of an interferometer. The light emitted from the source (semiconductor
laser, etc.) is separated into reference and measurement beams. While the reference beam is
passed to the reference mirror through a half mirror, the measurement beam is reflected and
guided to the sample surface. The passed beam is reflected by the reference mirror to the
CCD image sensor and forms an interference pattern. The other beam is reflected off the
sample surface, passes the half mirror, and forming an image at the CCD image sensor.
The white light interferometer is designed so that the optical path length from the CCD
element to the reference mirror and that from the CCD element to the sample surface are the
same. The asperity on the sample surface causes these path lengths to be unequal, which
results in forming an interference pattern at the CCD element. The number of lines in the
interference pattern is translated to peaks and troughs (heights) on the sample surface.

Advantages
Capable of measuring a wide field of view.
Measurement in sub-Nano-meter range is possible.
Quick measurement
Disadvantages
No or limited angular characteristic
Use is limited on certain objects
White light interferometer can only measure when there is good reflection. Therefore, it does
not support the measurement of a variety of objects. Measurement may also not be possible
when there is significant difference between the light reflected from the reference mirror and
that reflected from the measurement area. (White light interferometer handles mirrored
surfaces well, but cannot measure spiky or bumpy samples or non-reflective objects.)
Requires tilt correction
Prior to measurement, sample tilt correction must be performed using the goniometric stage.
Tilted samples can cause closely-spaced interference patterns, which hinders accurate
measurement. Some white light interferometry systems are equipped with a tilt mechanism
that automatically corrects the sample tilt.
Low resolution for XY stage measurement
The resolution for XY stage measurements is low due to the low number of sampling data
sets (approximately 300,000). Some white light interferometry systems can scale up to use
approximately 980,000 data sets.
Sensitive to vibrations
Place of installation is limited due to the equipment’s high sensitivity to vibrations. Shock-
absorbing tables are necessary for installation.

3D Laser Scanning Microscope

Laser beam emitted from the laser source passes the XY scanning optical system and scans
the sample surface. Laser light-receiving elements detect the reflection information of the
position in the focus of the confocal optical system. A confocal image is created by
accumulating the in-focus position information in the Z direction.
At the same time, by memorizing the objective lens positions for the
in-focus positions, the laser scanning microscope measures the 3D
profile of the surface.

Advantages
Deep depth of focus; Target object can be observed in colour
Produces 3D profiles and displays colour 3D images.
Capable of measuring film thickness of translucent objects such as resist for semiconductor
fabrication
Analysis in atmospheric conditions is possible, not needing pretreatment of sample
No limitation on sample size and material; Easy operation makes for excellent general-
purpose use.
Disadvantages
Incapable of high-definition observation and high-precision measurement (below 1 nm)
Information of the surfaces of the sample that do not receive laser beam emission (such as the
sides) cannot be acquired
Incapable of measuring materials that absorb laser beam wavelength
A 3D laser scanning microscope is an observation/measuring equipment that enables both the
3D measurement and deep focus depth observation at the same time. It has no restrictions on
the size or material of a sample and allows for observation under normal environmental
conditions. In addition, the 3D laser scanning microscope features user-friendly
operability similar to that of an optical microscope. Samples do not need pretreatment before
measurement. Observation can be done in colour, which helps accurate analysis of the
conditions of the target object. A 3D laser scanning microscope can also be used for
measuring the thickness of films, as well as for observing the surface, inside, and back side of
a
translucent object.
While the 3D laser scanning microscope is better than a scanning electron microscope or an
atomic force microscope in terms of operability, it is inferior in observation magnification
and measurement resolution. Bottom parts with high aspect ratio and slopes with large angles
cannot be measured or observed, because they do not reflect the laser beam.