CIRP Annals - Manufacturing Technology 60 (2011) 603–626

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CIRP Annals - Manufacturing Technology

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Surface integrity in material removal processes: Recent advances

I.S. Jawahir (1)a,*, E. Brinksmeier (1)b, R. M’Saoubi (2)c, D.K. Aspinwall (1)d, J.C. Outeiro (2)e, D. Meyer b,
D. Umbrello f, A.D. Jayal a
a
Institute for Sustainable Manufacturing (ISM), University of Kentucky, Lexington, KY 40506, USA
b
University of Bremen, Bremen, Germany
c
R&D Materials and Processes, Seco Tools AB, Fagersta SE-73782, Sweden
d
Machining Research Group, School of Mechanical Engineering, University of Birmingham, Birmingham, United Kingdom
e
Faculty of Engineering, Catholic University of Portugal, 2635-631 Rio de Mouro, Sintra, Portugal
f
Department of Mechanical Engineering, University of Calabria, Rende CS-87036, Italy

A R T I C L E I N F O A B S T R A C T

Keywords: This paper is a result of a three-year study by the CIRP’s Collaborative Working Group on Surface Integrity
Material removal
and Functional Performance of Components, and it reports recent progress in experimental and
Surface integrity
theoretical investigations on surface integrity in material removal processes. Experimental techniques
Predictive models
for measuring various surface integrity parameters are presented. Results from a Round Robin Study on
surface integrity parameters such as residual stresses, hardness and roughness in turning, milling,
grinding, and EDM, are then presented. Finally, results and analysis of a benchmarking study comparing
available predictive models for surface integrity are presented, followed by concluding remarks and
future research directions.
ß 2011 CIRP.

1. Introduction high-performance manufacturing methods [129]. Henriksen [93]

was among the first to study and investigate the surface integrity
1.1. Background characteristics of machined surfaces and sub-surfaces through an
analysis of residual stresses produced in machining processes.
With the rapidly growing trends in developing and deploying Colwell et al. [45] developed experimental methods for determin-
advanced processing technologies, manufactured components/ ing the residual stresses. Field and his co-workers, with a series of
products are expected to demonstrate superior quality and publications, made significant contributions to the subject through
enhanced functional performance. Material removal processes their pioneering work, and set the stage for future work [72–74].
continue to dominate among all manufacturing processes. The Significant original contribution have been made by Tönshoff and
functional performance of components from material removal his co-workers [211–223], Brinksmeier and his co-workers [26–
processes is heavily influenced by the quality and reliability of the 33], and Peters and his co-workers [49,137,157,158,232] covering
surfaces produced both in terms of topography [58,147] as well as numerous topical areas of residual stresses in machining and
metallurgical and mechanical state of the subsurface layers [72]. grinding processes.
Significant efforts were made by numerous investigators in the Field and Kahles [72] were indeed the first to introduce the
past few decades to investigate the nature of the surface and concept of surface integrity in a technical sense by defining it as the
subsurface alterations produced by the various material removal inherent or enhanced condition of a surface produced by machining
processes and to correlate them with the product’s functional processes or other surface generation operations. Their subsequent
performance. However, the success in developing quantitative comprehensive review of surface integrity, encountered in
predictive models has been limited, yet the research community machined components, is among the first in the published
continues to gain new technical knowledge by developing new literature on this topic [73], and this work emphasized the study
tools and techniques for designing products, modeling processes, of the nature of metallurgical alterations occurring in the surface
and improving experimental techniques for use in manufacturing layers of various alloys in material removal processes. Typical
operations. The driving force for advancing the knowledge in this surface alterations were identified as plastic deformation, micro-
field has been the constant need for improved performance, cracking, phase transformations, hardness variations, tears and
reliability and durability of manufactured components/parts, and laps related to built-up edge formation, residual stress distribution,
this basic requirement serves as the major catalyst for the etc. Field et al. [74] subsequently presented a detailed description
development of (a) new materials with enhanced resistance to of measuring methods available for surface integrity inspection
severe loading conditions and aggressive environment, and (b) along with an experimental procedure for assessing surface
integrity parameters. This involved three different levels of surface
integrity data sets to study and evaluate the characteristic features
* Corresponding author. of machined surfaces. Their pioneering contributions gained

0007-8506/$ – see front matter ß 2011 CIRP.

doi:10.1016/j.cirp.2011.05.002
604 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

worldwide recognition and timeless value, leading to the

subsequent establishment of an American National Standard for
surface integrity [7].

1.2. CIRP Collaborative Working Group (CWG) on Surface Integrity

and Functional Performance of Components

The complexity and the breadth of the topic of surface integrity

require active collaboration of researchers and application
specialists. Technical challenges involved in seeking solutions
for surface integrity problems also call for a need to involve
research groups that are multi-disciplinary. The CIRP’s Collabora-
tive Working Group (CWG) on Surface Integrity and Functional
Performance of Components began its activities in January 2008.
This CIRP keynote paper is an outcome of the collective work, and it
presents major findings of the CWG. The paper is co-authored by Fig. 1. Approximate current capabilities of various residual stress measurement
techniques – the destructive techniques are shaded grey [240].
eight active researchers in this field, and is contributed by a large
number of CIRP and non-CIRP members who actively participated
in the collaborative research activities of the CWG. The CWG applications. Examples of this can be found in prior work
recognized a range of specific needs and identified the following [46,108,109,111,112,212] where case studies are presented for
three core-themes: hard cutting and grinding processes.
M’Saoubi et al. [129] recently presented an overview of past
(a) A study of recent advances in experimental techniques for research on surface integrity in machining. Machining-induced
surface integrity studies. residual stresses and the associated microstructural changes and
(b) Collaborative work involving a Round Robin Test. metallurgical alterations, including plastic deformation in the
(c) Analysis of theories and predictive models, including a surface layers of the machined components, are discussed and
benchmark study on predictive models. correlated with the functional performance of machined products
from a range of work materials such as stainless steels, Ni-based
and Ti alloys, hardened steels for dies and moulds, bearings and
2. Surface integrity evaluation of machined components automotive components. Another recent publication by Guo et al.
[88] provides a review of research on surface integrity analysis,
2.1. Background including the characteristics of residual stresses produced in
machining of hardened steels and Ti and Ni-based superalloys
The constant need for improved surface integrity and enhanced using tools with geometrically defined cutting egdes. Kumar et al.
functional performance of manufactured components has long [116] reviewed and reported on surface modification produced by
acted as a driving force in the development of new production electrical discharge machining (EDM) and future applications.
methods and high performance manufacturing technologies. Because of the availability of extensive analysis and recent
Today, new capabilities in machining processes and high precision reviews on surface integrity, this paper will focus only on selected
engineering have enabled the miniaturization of component recent applications of characterization methods, quantitative
manufacture. This in turn has required the use of advanced analysis of residual stress state, microstructure alteration and
surface characterization methods to assess the nature of the deformation characteristics of surface and subsurface machined
alterations produced in very thin layers of the machined surface. layers.
Significant progress has been made in evaluating surface integrity
in machined components over the past decades [26–33,37,39– 2.2. Experimental techniques
41,49,53,55,61,65,68,74,80–82,91,107,126–128,133–138,143,145,
149,150,155,156,159–161,168,174,177–179,184–186,188,190– 2.2.1. Diffraction-based methods
192,202,207,231,235,242]. X-ray diffraction (XRD) has been commonly employed for the
Numerous aspects of surface integrity and related character- assessment of surface integrity (structural changes, residual stress,
ization methods have so far been extensively studied and reported. etc.) of machined crystalline materials. Eigenmann and Macher-
These studies include experimental methods for the determination auch [64] provided an excellent review of the historical develop-
of microhardness [214] and measurement of residual stresses and ments of X-ray stress analysis and discussed extensively the so-
their causes in machining processes [30], together with a variety of called ‘‘sin2 C method’’ that was first introduced by Macherauch in
non-destructive methods (X-rays, scanning acoustic microscopy, 1958 [131,132].
Raman spectroscopy, photothermal microscopy) for characterizing The basic principle of this method relies on the measurement of
surface integrity and subsurface damage [27,32]. Lucca et al. [127] inter-planar atomic spacing and elastic strains in surfaces when
reported the progress in developing characterization tools for subjected to an applied or internal stress from which the residual
surface integrity and surface alterations. Goch et al. [83] presented stress can be determined [181]. Further studies on X-ray residual
a state-of-the-art review of photothermal, micromagnetic and stress methods have subsequently been reported [26]. A large body
near-field acoustic measurements of coatings, layered structures, of research literature covering application of the traditional XRD-
etc. sin2 C method for the evaluation of residual stress state of
Another important contribution to the field was made by machined surfaces already exists and will not be reviewed here.
Griffiths [84], who provided in a monograph, a comprehensive An attractive method for obtaining depth resolved residual
review and analysis of surface integrity parameters and their stress information in thin layers is the X-ray scattering vector
control for enhanced functional performance of components. Two approach [78]. It allows a continuous reduction of the penetration
recent reviews by Withers [239] and Withers et al. [240] cover depth t in the range of tmax up to (theoretically) the surface by
recent advances in residual stress measurement methods (Fig. 1) in rotation of the specimen around the scattering vector gfc. This
the context of structural integrity assessment. Another group of provides the possibility to get complete residual stress depth
reviews is concerned with the investigation of the interrelation- gradients. The suitability of the method for measurement of stress
ships between machining process parameters and the resulting gradients has been proven for surface integrity characterization of
surface and subsurface integrity for a variety of machining PVD coated carbide tools [52].
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Fig. 2. Image quality (a) and Inverse pole figure maps (b) and (c) on the cross section parallel to grinding direction [244].

The use of Electron Backscatter Diffraction (EBSD) methods for ment, strain-induced martensite transformation and high level of
studying deformation zones produced by machining is relatively plastic deformation near the surface.
new. EBSD is a complementary characterization technique to
scanning electron microscopy (SEM) for analysis of local texture, 2.2.2. Micromagnetic methods
individual grain orientations, phase identification, strain analysis The use of micromagnetic techniques for characterizing surface
of polycrystalline materials, etc. Key publications provide reviews integrity of machined components has been reported in numerous
of historical development, applications and potential character- previous studies [22,27,50,83,105,215,216]. The measuring prin-
ization techniques [59,172,173]. ciple is based on the influence of residual stress and hardness
To et al. [209] applied the EBSD method, combined with X-ray values and the structure of subsurface layers on the magnetic
diffraction analysis, for studying the orientation changes in the domains of ferromagnetic materials [215]. The signal generated
crystallographic textures of aluminium single crystal in ultra- when a magnetic field is applied to a ferromagnetic sample is
precision diamond turning. In a separate grooving experiment, called Barkhausen noise (BN), named after the German scientist,
EBSD patterns were collected at various locations along the bottom Heinrich Barkhausen who discovered and explained the nature of
part of the groove. These patterns revealed a lattice rotation on the this phenomenon in 1919. BN analysis has found important
machined surface, which was induced by shearing in the cutting applications for surface integrity control of grinding processes
direction. Subsequently, To et al. [210] applied the same where defects such as grinding burn can be monitored [105,215].
methodology for observing the microstructural changes and phase Other applications of this method have been shown by Moorthy
decomposition at the surface of an ultra-precision machined Zn–Al et al. [142] using the root mean square (RMS) value and the peak
based alloy, and found that with increasing depth of cut the phase
decomposition was accelerated, and further increase caused
microstructural recovery on the surface.
Yamamoto et al. [244] investigated ground surfaces of
austenitic stainless steel 316L, and reported another application
of the EBSD method. Analysis of the EBSD patterns in the
subsurface of the ground specimen denoted the presence of many
slip bands and small angle grain boundaries in the region beneath
the ground surface (Fig. 2). Using a quick-stop method, M’Saoubi
and Ryde [130] explored the EBSD technique for mapping the
extent of plastic deformation in chip root specimens and the
subsurface of machined steels (Fig. 3).
Brewer et al. [25] applied EBSD and synchrotron high-energy X-
ray diffraction methods for evaluating the subsurface damage in
machined Ni-based superalloys. Both techniques clearly showed a
plastic deformation profile below the surface, as a function of the
machining conditions used. Using the average intra-grain mis-
orientation parameter (AMIS), the EBSD method enabled quanti-
fication of the amount of surface damage.
Puerta Velásquez et al. [164] combined EBSD experiments and
X-ray analysis to determine changes in crystallographic texture
and residual stresses of machined Ti–6Al–4V alloy specimens
produced by high-speed orthogonal cutting. Their observations
indicated a clear effect of cutting speed on the microstructure
evolution of the subsurface of the material. Thomas et al. [208]
applied the EBSD method to investigate the nature of subsurface
damage produced by high speed milling of titanium alloys Ti–6Al–
4V and Ti-834. Intense slip bands were observed in the thin
subsurface layer, and their alignment and density were found to be
dependent on the subsurface alpha grain orientation.
Ghosh and Kain [81] studied the effect of microstructural
changes in machining of 304L austenitic stainless steel on its Fig. 3. Misorientation and microhardness profiles in the subsurface layer of the
susceptibility to chloride stress corrosion cracking. EBSD evalua- machined steels. AU, austenitic; FE, Pure Iron; FP, Ferritic-pearlitic; DU, Duplex
tion of the machined specimens revealed extensive grain refine- [130].
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Fig. 4. Correlation of low frequency MBE peak 2 heights with surface residual stress
values and average residual stress values at 50 mm depth below the surface in
different abusively ground specimens. The scatter in the peak height low frequency
MBE profile is within 50 mV [142].

height of BN signal for evaluating the residual stresses from grinding

of case-carburized En 36 steel. Magnetic Barkhausen Emission
(MBE) measurement of specimens, subjected to varying levels of
grinding damage, are correlated with residual stress (RS)-depth
profile measured using the X-ray diffraction method (Fig. 4); high
frequency MBE indicates the changes in surface RS, but does not
show RS changes at depths >10 mm. This is provided by the low
frequency MBE profile. Vashista and Paul [233] reported the effect of
stresses on the magnetic properties of ground samples of medium Fig. 5. Raman spectrum of plunge cut single crystal silicon surfaces machined at
carbon steel. They observed that the peak of the BN signal, depths of cut of (a) 10 nm and (b) 140 nm [245].
magnetization saturation and permeability derived from hysteresis
loop depend to some extent, on the residual stress and the degree of 2.2.4.2. Scanning acoustic microscopy. Miyasaka and Tittmann
plastic deformation, while other magnetic properties obtained from [140] reported advances in acoustic microscopy for non-destruc-
the BN profile and hysteresis loop are stress-insensitive. Their tive evaluation. Acoustic imaging of a surface can be performed
results were also confirmed by XRD, metallographic studies and using the scanning acoustic microscope (SAM), where a focused
microhardness measurements. Desvaux et al. [57] showed the beam is scanned across the surface [127]. The basic principle relies
importance of a rapid and robust method for regular verifications of on the generation and propagation of acoustic waves affected by
aeronautic engine bearings and assessment of the degree of metal various material parameters such as elastic, thermal, electric and
fatigue based on surface residual stress (SRS) estimates. magnetic properties. Accordingly, local variations of each property
can give information on the physical and chemical nature of the
2.2.3. Raman spectroscopy region where the acoustic wave is generated, or its propagation
Raman spectroscopy is a useful technique employed for occurs [27]. SAM has been used for characterizing the subsurface
measuring a variety of material properties, including symmetry, damage in grinding [188].
interfacial structures, chemical composition and stresses in both
crystalline and amorphous materials [219]. This technique utilizes 2.2.4.3. Laser ultrasonics. Laser-ultrasonics is a non-destructive
the measurement of the frequency shift of incident monochro- technique, where ultrasonic waves are generated on a surface by a
matic light from its interaction with lattice phonons, and is used for pulsed laser and received by a laser interferometer. Based on the
characterizing the subsurface damage in machined silicon wafers measurement of Rayleigh wave velocity, information about surface
[32,219,245] and silicon carbides [238]. texture and residual stress thickness can be obtained. Duquennoy
Fig. 5 shows some results obtained by this method where et al. [62] used this method, in combination with piezoelectric
Raman spectra are shown for silicon samples plunge cut with transducers, to measure Rayleigh wave velocities in the circumfer-
diamond tools at low speed (500 mm/min) [245]. Only a sharp ential and axial directions of automotive components in as-
peak at 521 cm1 was observed at 10 nm depth of cut, while two machined and heat treated conditions. From the measured
characteristic peaks in the spectrum: a sharp peak at 521 cm1 and velocities, different stress states could be identified on the
a broadband peak centered at 470 cm1 were detected at a higher component, depending on the heat treatment conditions. Hermann
depth of cut of 140 nm, where this is related to the formation of a et al. [94] developed a laser-based ultrasonic technique to assess the
thin amorphous layer of silicon (a-Si), while the bulk region material damage in a nickel-based superalloy under different
remained crystalline (c-Si). conditions (ground and lapped, machined) using monotonic tensile
loading and low-cycle fatigue testing. Fig. 6 shows the sensitivity of
2.2.4. Acoustic methods Rayleigh surface waves for varying surface conditions.

2.2.4.1. Acoustic emission. Teti et al. [206] recently reviewed the 2.2.5. Methods for plastic strain evaluation in machined layers
use of acoustic emission (AE) methods for studying the surface
integrity of machined surfaces, and showed the use of these 2.2.5.1. Recrystallization technique. Recrystallization-based tech-
methods for a variety of machining applications such as: (i) niques have been applied to determine the plastic strain in
monitoring of surface anomalies in aerospace materials [16,136]; machined surfaces of steel specimens in orthogonal cutting
(ii) investigating the sensitivity of a broad range of AE parameters [99,106]. The principle of this method relies on the following
within the white layer, surface finish and tool-wear in hard steps: (i) selection of a proper annealing temperature and duration
machining [86]; and (iii) detecting grinding burn [125]. for the material chosen to reveal clear grain size distribution; (ii)
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 607

2.2.5.3. Particle image velocimetry (PIV). Recent studies of machin-

ing deformation using particle image velocimetry (PIV) have
demonstrated the possibility to map strain and strain-rate fields
during chip formation and to characterize the deformation state of
machined surfaces [35,120]. This method relies on high speed
imaging sequences of the chip formation process where the motion
and relative displacement of ‘‘asperities’’ specifically introduced
onto the side face of the machined sample are followed. An
example of shear strain-rate field obtained using the PIV for a
copper specimen can be seen in Fig. 8(a). The shear strain field in
the subsurface of copper and brass specimens is shown in Fig. 8(b).

3. Surface integrity and functional performance

3.1. Introduction

Over the last decade or so, workpiece surface integrity and

functional performance have been the focus of a great many
Fig. 6. Variation of the normalized second harmonic amplitude as a function of publications. These have been covered in key review articles
propagation distance for specimens with different surface conditions [94]. [127,129,226,239], book chapters [14,85,176] and numerous
individual papers, many of which focus on advanced nickel and
titanium alloys of the type used for aeroengine manufacture. The
tensile testing of a specimen to determine the quantitative reviews relating to the cutting and grinding of hardened steel and
relationship between the amount of plastic strain and grain size other hard ferrous workpieces [108,212], and related analysis by
in the annealed metal – this step produces a calibration curve others [1,17,21,90,101], provide significant insight into the various
showing the relationship of equivalent plastic strain with grain elements of surface integrity (surface topography, microhardness,
size; and (iii) measurement of grain size in the plastically deformed microstructure, white layer/recast formation, residual stress and
zone and its conversion to equivalent plastic strain using the curve fatigue life).
obtained in Step 2. One area other than the surface texture measurement, which is
not well documented, at least in the public domain, concerns
2.2.5.2. Microgrids methods. Microgrids of varying pitch sizes have operating standards for machined workpiece integrity [84]. The
been employed in several investigations to assess the nature of American National Standard for Surface Integrity, ANSI B211.1
material flow during machining and to determine plastic strains 1986 which was based on the work of Field, Kahles and Cammett
below the machined surface. Early attempts to study the was withdrawn in 1996. The ISO standard 8785-1998 on the terms
material flow and shear plane angle during orthogonal cutting definitions and parameters associated with surface imperfections
of a wax specimen using cast grids were made by Bitans and is still current, yet the scarcity of international standards is of
Brown [23]. They reported deeper deformation depths into the concern, especially for safety critical aerospace components. Even
machined surface when using tools with a wear land when here, testing arrangements used to generate fatigue data in respect
compared to sharp tools. Bailey and Jeelani [19,102] and later of specific component design features are often open to question,
Jeelani and Ramakrishnan [103] applied an embossing method other than the preference for uniaxial loading (tension). Company-
using a rotary microtome to develop grids on polished metallic specific standards/codes of practice relating to surface integrity do
disc surfaces on a variety of materials (copper, brass, steel, exist and it would not be surprising to find close similarities across
titanium). A typical example of normal and shear strain the aerospace industry, particularly as workpiece materials and to
distribution is shown in Fig. 7 for a machined copper specimen. some extent processing methods are by necessity the same or
Following up their earlier work [182], Sadat and Reddy [183] similar. Such information is however proprietary in nature and
determined the plastic strain on machined surfaces using fine closely monitored.
grids etched by photoresist technique [183]. More recently,
Ghadbeigi et al. [79] used an electron beam lithography 3.2. Surface and sub-surface characteristics and their effects
technique to produce microgrids for measuring local plastic
strains from low speed orthogonal cutting of aluminium alloy The importance of the machined component surface with
AA5182. Strain maps of the machined specimens were devel- regard to functional performance is paramount, and especially so
oped, with the results revealing high-strain gradients adjacent in respect of fatigue life in the absence of a compressive stress
to the machined surface reaching 2.2. regime at or near the machined surface. Correlation of surface

Fig. 7. Deformed grid and plastic strains beneath the machined surface of copper [19].
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Having said this, roughness parameters associated with heights/

amplitude continue to find favour with regard to functional
performance, although it is suggested that parameters such as Rt
and Rz are more appropriate than Ra in respect of fatigue strength,
as they equate with adverse component surface features. Similarly
the distribution and shape parameters skewness (Rsk) and kurtosis
(Rku), while providing some measure of machining process
classification, are also gaining recognition in respect of fatigue
assessment. Less mainstream, is the wavelet transformation
method for process signature determination as a means to
evaluate multistage surface formation/integrity and performance
[67]. Bio-engineering is an increasingly important area, with
surface function for hip and knee joint implants encompassing
bearing, friction and adhesion characteristics. Here the surface
finish on femoral components typically made from cobalt-chrome
is at the nanometre level, making 3D surface analysis especially
appropriate.
The full range of surface flaws/anomalies/imperfections and
workpiece sub-surface aspects which may be measured and
assessed in relation to functional performance is daunting
[73,139]. Further complications arise in relation to terminology
and in deciding what classifies as a surface imperfection rather
than simply a standard feature of a process and at what point it
becomes critical. There is however general consensus that near
surface compressive stresses are beneficial (depending on the
depth and magnitude of the compressive stress) [239], and can
negate/counter the impact of some surface imperfections. The
associated advantages of post machining processes such as shot
peening, which cause plastic deformation and strain hardening can
however be compromised, as in the case of the burn resistant
titanium alloy shown in Fig. 9. Here, severe peening following
grinding not only produced significant surface compressive
residual stresses but also engendered subsurface cracking of
carbides to a depth of up to 70 mm, which subsequently acted as
fatigue initiation sites [147]. Additionally, whereas features such
as white/recast layers are a major concern in the aerospace
industry, their presence when harder than the bulk material, can
prove beneficial in other applications where wear (abrasion/
corrosion) resistance is desirable (in the absence of cyclic/impact
Fig. 8. Example of shear strain-rate fields (a) obtained using the PIV for machined loading).
copper and variation of strain (b) with depth from the machined surface in copper
and brass [35].
3.3. Surface integrity from machining processes in industry

roughness parameters and specific numerical surface descriptors As outlined by Rech et al. [176], component surface integrity is
(Ra, Rz, Rku, etc.) with functional characteristics such as sealing, not solely a function of the finishing process used in its
hygiene, anti-fatigue, reflection and tribological bearing and manufacture, but also the result of the nature and severity of
friction aspects, have been the subject of a great many publica- any roughing and intermediate operations, although the finishing
tions, and include [6,9,84,104,147,201]. The publication by process will account for the surface texture and the near surface
Griffiths [84] in particular provides a comprehensive assessment stress state (within 10 mm). The rule of thumb that conventional
of surface characterisation, integrity and functional performance. machining processes such as turning, milling, and grinding, which
The variety of component functionality logically precludes a involve mechanical working and associated plastic deformation at
single universal descriptor. Furthermore, the increased scope low/moderate temperatures, will produce compressive stresses in
associated with 3D as compared with 2D assessment and the the workpiece, while those involving only high temperatures, such
requirement for robust descriptors appropriate to different surface as the thermally activated processes EDM and laser machining,
manufacturing regimes not least micro-nano, together with produce tensile stresses, generally applies, but is obviously an over
increasingly complex/stratified surface structures and workpiece simplification, not least in that phase transformation can play a
materials, provides the impetus for continued development. significant role. Furthermore, the final stress state of the

Fig. 9. Fractured carbides in burn-resistant Ti alloy from shot peening [147].

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3.3.1. Ni-based superalloys, Ti alloys

The number and range of Ni-based superalloys and Ti alloys in
use is far greater than generally anticipated. There are over 55 Ti
alloys alone, not counting the growing number of fibre/particulate
reinforced titanium matrix composites, Ti–Ni shape memory alloys
and gTiAl intermetallics, however for gas turbine engine use, a
figure of 7 or 8 is more realistic [200]. Over 100 superalloys
(wrought or cast) are listed for applications such as turbine discs in
about 25 different Ni-based alloy products. There is also increasing
emphasis on powder metallurgy (PM) processing followed by
forging or hot isostatic pressing.
From a machinability and surface integrity standpoint, the
previously mentioned publications by Arunachalam and Mannan
[10], M’Saoubi et al. [129], and more recently, by Pusavec et al.
[165], and Ulutan and Ozel [226] provide a comprehensive
assessment of the current state of the art, especially in respect
of the more familiar titanium alloys such as Ti-64, Ti-6242 and the
Ni-based alloy Inconel 718, although published work on newer
Fig. 10. Recast layer when roughing and finishing (T4) Ti-6246 and associated alloys such as the titanium aluminides and Udimet 720 Li are also
residual stress results [8]. cited. On the titanium front, the gTiAl intermetallics pose a
significant challenge in respect of workpiece integrity, not least
due to their very low room temperature ductility which is typically
<2% and high/steep crack growth rates [12,115]. Grinding is less
component will also depend on its pre existing stress condition and problematic than with other alloys as a consequence of the low
the magnitude of the mechanical/thermal loads. In reality, all ductility and higher thermal conductivity, although crack forma-
machining processes can cause impaired workpiece integrity tion can still occur, despite the presence of near surface
depending on operating levels, the adequacy of cooling systems, compressive stresses [96,247].
the severity of tool/wheel wear, etc. Grinding in particular can Next generation high strength nickel based superalloys such as
cause serious surface integrity damage, especially when the the PM processed RR1000, are arguably the new benchmark for
operation is abusive and temperatures exceed a critical value machinability evaluation. Hole making by conventional twist
[243]. It is the non traditional thermal and chemical processes drilling in particular, raises the prospect of adverse integrity due to
however which are generally considered as among the worst material drag, recast layer formation, cracking etc., while the use of
offenders, notably EDM [77,114,139,171,180]. alternative less aggressive processing methods to produce holes
Use of EDM in key industry sectors such as aerospace, is such as plunge milling, has been shown to significantly reduce
understandably cautious due to the substantial body of work workpiece damage [118]. Leaving aside specific conclusions on the
citing adverse integrity effects. Current applications in gas turbine value (largely incremental) of a new tool coating or cutting tool
engine manufacture predominantly involve die sink operations material/geometry/wheel type, etc., or the benefit or otherwise to
for the production of non critical cooling holes and seal fin features surface integrity from new machining approaches, the main thrust
in turbine blades and seal strip grooves in nozzle guide vanes. For of opinion is largely as in previous years. This concerns the control
highly stressed parts, processing typically involves etching to of tool-wear and the use of operating parameters which promote
remove any recast layer. Use of new ‘clean cut’ WEDM minimum low temperature mechanical deformation, necessary to provide
damage generator technology however, which is able to provide the required surface topography/integrity to meet functional
ultra short (sub ms), high frequency (MHz range) discharges, performance.
together with appropriate trim pass strategies, is able to
significantly reduce/eliminate recast and diminish the level of 3.3.2. Drilling of CFRP laminates and CFRP/metallic stacks
tensile stress, in some instances to an approximately neutral state The range and variety of composite materials is extensive as are
[8,13,167], see Fig. 10. The imposition of a compressive stress publications relating to their machining and surface integrity. The
regime without recourse to a prior heat treatment, hybrid EDM comprehensive review by Teti [205] identifies the 3 main classes of
process or secondary/post processing, would undoubtedly be composite materials and of these the polymer matrix composites
welcomed, but for the moment remains a future goal. are an increasingly important group. Of particular relevance are
Recent technological developments apart, the picture painted the ‘advanced composites’ employing carbon and aramid reinfor-
by Field et al. [74] and Metcut Research Associates in the 70s cement which exhibit higher strength and stiffness. Carbon fibre
[139], concerning process characterisation/sensitivity in relation reinforced polymers (CFRP) are increasingly being used in the
to workpiece integrity based on fatigue strength/endurance aerospace industry as a replacement for aluminium alloys in
limit data, still largely holds, with the subsequent body of aircraft fuselage and wings and for engine components such as fan
evidence in the main favouring conventional/traditional cases and blades [194]. Additionally, focus has recently shifted to
machining processes. From an industrial perspective, surface encompass multilayer composites comprising a sandwich or stack
integrity assumes the greatest importance in relation to highly of dissimilar materials such as Ti/CFRP/Al, either of uniform or non-
stressed components, especially where safety is paramount, but uniform section [31,195]. With such safety critical components,
also with high cost items. With dynamic loading and cyclical workpiece integrity and functional performance are important
stresses, the fatigue characteristics are a prime consideration in aspects.
determining component failure. Consequently, surface integrity The difficulties encountered in machining fibre reinforced
issues are to the fore in aerospace applications, but also for plastics and especially CFRP together with associated surface
biomedical implants, automotive engine, transmission and integrity problems, are detailed in [2,47,110,224] and many others.
wheel components, gas and wind turbine power generating These relate to their high specific strength (up to 4500 MPa), in-
systems, forging/press tool equipment, etc. Materials used in homogeneity, anisotropy, low thermal conductivity (1–70 W/mK)
aircraft engine and wing structures which are at the leading and the abrasive nature of the carbon fibre.
edge of technology and under constant development, are Despite the near-net shape manufacture of CFRP structures,
understandably the main focus of machinability and surface machining operations are generally necessary to enable assembly
integrity research. and integration with other parts [48]. For wing and fuselage
610 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

Fig. 11. Examples of hole damage [197].

components, routing and drilling are the principal processes of ever measures such as the delamination factor Fd [42], which gives
interest, with the drilling of bolt/fastener holes the most common a ratio of the maximum damage diameter to drilled hole diameter,
operation [42,154,224]. Reported surface integrity problems when or the adjusted delamination factor Fda [48] which considers the
drilling encompass fibre pullout and breakage, fibre/matrix de- damage area, are frequently detailed as a guide to functional
bonding, thermal degradation, fuzzing and spalling and delamina- performance [193]. As yet however, there is no industry wide
tion [110,154,193,196,205] with cutting temperatures playing a acknowledgment of an ‘acceptable’ upper limit for either ratio and
key role [42]. Here machinability and workpiece integrity effects a wide range of Fd values are quoted from 1.0 to 2.5, the lower
are in general no different than with conventional alloys: higher the better.
cutting speed and tool wear producing increased cutting tem- Compared with HSS tooling, WC is cited as producing less
peratures and hence greater likelihood of matrix degradation. Fibre delamination [47] as a consequence of lower wear rate/edge
orientation in respect of the different lay-up arrangements are rounding. Similar reduced delamination is reported for specialist
such that hole damage, both axially and radially, can vary candlestick and saw drill designs over more conventional twist
significantly, in marked contrast to that found with more drill end point configurations [95,224], due to the distributed
conventional workpieces [110,196,237], see Fig. 11. thrust force at the drill periphery rather than at the drill centre.
Compared with metallic alloys, the range of integrity data/ Work by Murphy et al. [143] suggests drill coatings such as TiN and
descriptors is less comprehensive. Measurement of surface diamond like carbon (DLC) provide little benefit with respect to
roughness solely using amplitude parameters has severe limita- workpiece delamination.
tions with inhomogeneous materials [237] and results for Ra can be Use of abrasive tools such as core drills as a means of limiting
subject to significant scatter as a consequence of the different fibre hole damage is also reported [95,166] together with less successful
directions. Furthermore the use of stylus profile equipment with conventional twist drills employing diamond plated grits. As with
woven materials is not ideal. Despite this, maximum roughness the development of minimum damage approaches in the drilling of
height measures Rt and Rz are nominated to evaluate depth of superalloys, the use of helical/trochoidal path cutting regimes or
valleys/machining damage. Additionally, descriptors such as the similar, is also detailed for composites when using either an end
‘valley void volume of the surface’ (Sv), are suggested as providing mill [51] or a grinding point arrangement [154]. Here, no
a relatively straightforward descriptor which obviates the need to delamination damage was reported under the conditions eval-
directly quantify different damage types [175], although assess- uated, not least due to the elimination of a stationary tool centre,
ment involves 3D topographic measurement. As a general guide, and static testing of pin loaded specimens in double shear yielded
the acceptable Ra of CFRP fastener holes for wing structures is up to higher strengths than for samples drilled with PCD and dagger
3.2 mm. drills, with similar results in fatigue tests.
With brittle fracture/breakage of the carbon fibre reinforce- The magnitude of cutting speed, but more importantly feed
ment and epoxy matrix as a major failure mechanism rather than rate, and the consequent effect on thrust force are generally
shearing [205], the microstructural deformation seen with metals considered major factors in the occurrence of delamination both
is absent. Similarly absent are data relating to surface/subsurface with regard to drill entry (peel up) and exit (push up) effects. The
microhardness changes and residual stress measurements, how- paper by Persson et al. [154] also reviews non-traditional methods
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 611

of drilling holes and although outside the scope of the present imposition of compressive residual stresses [108,212]. Alterna-
work, the use of ultrasonic/vibration assisted drilling is reported to tively, turning using tools with appropriate contact land geometry
offer the potential for significantly reducing thrust force and can simultaneously surface harden steel parts [44]. This is also true
torque with the consequence of improved hole quality. Variable of abrasive processing with ‘grind hardening’ regimes providing
feed rate strategies are also reported to provide reduced damage the necessary heat treatment to induce martensitic phase
[95], as is the employment of ‘back-up material’ or piles made of transformation to significant depth, in addition to the formation
bias weave fabric [237] or a glass/nylon peel ply sheet or scrim of compressive residual stress [29,34].
[197] attached to the top and bottom surfaces of the CFRP laminate.
This limits/suppresses delamination while providing the oppor- 4. Results from the Round Robin collaborative work
tunity to increase feed rate/productivity.
The single shot drilling of multi layer stacks presents different 4.1. Participants and approach of the collaborative work
challenges to those that encountered when machining only CFRP
laminate, as a result of the different mechanical/physical proper- Within the working group, collaborative work was undertaken
ties of the sandwich elements. Currently production involves the and performed in close cooperation among 12 international
separate pre-drilling of the individual materials followed by a researchers from 9 countries (Table 1). The approach taken by the
deburring operation, assembly and a reaming operation. Problems participants enabled correlations and interactions between
associated with delamination of the CFRP are largely avoided as a different machining processes, their resulting surface integrity
consequence of the supportive backing arrangement, however and the identification of functional performance (in this case wear
significant erosion due to titanium chip transport when drilling resistance as a first indication). Therefore, the collaborative work
with a Al/CFRP/Ti sequence are reported [31], as is the variation in was divided into three mandatory and one optional parts. The
hole diameter between the different elements. Shyha et al. mandatory Parts A–C were aimed at machining experiments
[195,197] detail similar findings with benefits from using high performed on identical steel samples made of AISI 52100
pressure through fluid and changing the drilling sequence to (100Cr6).
machine the titanium layer first, not last. Part A included the machining experiments and a detailed
documentation of the applied machining parameters. In Part B the
3.4. Surface modification to affect functional performance resulting surface/subsurface properties involving hardness and
residual stress profiles were revealed. Part C was aimed at
In addition to roller burnishing and shot peening, there are a assessing surface roughness and wear resistance of the machined
number of in-situ approaches involving both conventional and surface as a first indicator of its functional performance.
non-conventional machining processes, which affect the material By combining the results of Parts A–C, numerous correlations
removal operation in such a way as to enhance the functional were generated to allow for appropriate discussion of the results.
properties of the machined surface. Depending on the process The optional Part D was created to expand the collaborative work
these can increase wear/abrasion or chemical/oxidation resistance, on the materials machined. The working group of Prof. G. Levy at
change the thermal/heat transfer characteristics of the surface or the Inspire Institute for Rapid Product Development in St. Gallen,
modify the residual stress regime in order to improve fatigue Switzerland agreed to produce selective laser melted samples
performance to such an extent that post processing to achieve made from 18 Maraging 300 (1.2709, X3NiCoMoTi18-9-5) with the
similar results is unnecessary. same sample geometry. The results of the machining experiments
Deliberate surface alloying/modification using EDM has been and the comparison with AISI 52100 (54 HRC) samples were
researched for 20 years using partially sintered electrodes, wires presented in detail in 2010 [33], and will therefore not be discussed
and suspended powders [11,113,116,141]. However, the approach here. All steel samples were disc-like specimens with a diameter of
has yet to see widespread adoption by industry, in part due to the 45 mm and a height of 15 mm. Also, at the bottom of the samples,
lack of available/standardised electrodes and suitable generator two 5 mm grooves were introduced to allow for adequate
systems. Potential applications include wear resistant surfaces on clamping in milling or grinding experiments.
steel rolls (used for the rolling of steel and aluminium sheet), moulds,
dies and cutting tools, or to assist component joining as in the 4.1.1. Part A: machining experiments
diffusion bonding of turbine blades in blisk manufacture/repair. The Each participant was provided with up to three sets of AISI
technique goes significantly further than the incidental production 52100 samples, totalling a maximum of nine samples per
of a hard recast through martensite transformation [24], when die participant. Each set was machined by a process using parameters
sinking or wire machining steel moulds or extrusion dies. chosen by the participant. The target was defined as the
Material transfer from partially sintered powder metallurgy introduction of compressive stresses within the range of
electrodes (W, Ni, Ti, WC, TiC, etc.) or similar dispersed powders 200 MPa at the surface, with a slight increase in surface hardness.
[113], combined with breakdown elements from the dielectric To allow for an assessment of the reproducibility, all three samples
fluid, can produce carbide/oxide rich recast layers (single or of each set were identically machined. Thus a total of 36 sets of
multiple, continuous or discontinuous), which are considerably samples were machined within the collaborative work.
harder than the workpiece bulk 3000 HV [11]. Use of ceramic
electrodes and gas dielectrics (whether solely or in tandem with 4.1.2. Part B: depth profiles of hardness and residual stresses
liquids), offers further scope for changing the physical properties of In order to condense the large quantity of data when measuring
the surface and hence functional performance [117,141]. The depth profiles, characteristic parameters of each profile were
majority of work reported to date has been with ferrous workpiece defined and assessed. The information gained from residual stress
materials but Ni superalloys and Ti alloys are increasingly the focus profiles after machining was reduced to four factors. These factors
of research. In the diffusion bonding of Ti–6Al–4V faying surfaces
are coated with copper deposited by WEDM using plain copper Table 1
wire [18]. Similar surface alloying approaches are possible using Participants who performed machining experiments.

laser techniques [204], with powders applied by spraying or Participant and country Participant and country
brushing onto target surfaces, although here the operation may be
D. Biermann DEU G.C. Lim SGP
additional to the main cut sequence. E. Brinksmeier DEU R. M’Saoubi SWE
With conventional processing, ‘hard turning’ can be used to B. Denkena DEU J.C. Outeiro PRT
improve the functional performance of workpieces which were F. Hashimoto USA G. Poulachon FRA
previously ground or ED machined, through beneficial changes in H.-W. Hoffmeister DEU L. Settineri ITA
B. Lauwers BEL K. Wegener CHE
surface topography, near surface microstructure/condition and the
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Table 2
Machining processes and participant – selected parameters.

Participant Set ID Process Specific feature

1 1 Face turning PVD coated PCBN with wiper geometry, f = 0.3 mm

2 Face turning PVD coated PCBN with wiper geometry, f = 0.2 mm
3 Face turning PVD coated PCBN with standard geometry, f = 0.1 mm

2 4 Face milling Ø 10 mm end mill cutter, 2 cutting edges, ft = 0.033 mm

5 Face milling Ø 10 mm end mill cutter, 2 cutting edges, ft = 0.025 mm
6 Face milling Ø 10 mm end mill cutter, 2 cutting edges, ft = 0.05 mm

3 10 Face milling Multi-insert mill, 7 inserts, ft = 0.01 mm

11 Face milling Multi-insert mill, 7 inserts, ft = 0.02 mm
12 Face milling Multi-insert mill, 7 inserts, ft = 0.03 mm

4 13 Face turning Insert Type B  C30, rake negative, ap = 0.1016 mm

14 Face turning Insert Type B  C30, rake negative, ap = 0.1524 mm
15 Face turning Insert Type B  C30, rake negative, ap = 0.2032 mm

5 16 Face grinding Resinoid bonding grinding wheel, ae = 10 mm

17 Face grinding Resinoid bonding grinding wheel, ae = 15 mm
18 Face grinding Resinoid bonding grinding wheel, ae = 20 mm

6 19 Face grinding Ceramic bonding grinding wheel, ae = 10 mm

20 Face grinding CBN grinding wheel, ae = 10 mm
21 Face milling Ø 65 mm inserted-blade cutter, 4 cutting edges, ft = 0.125 mm

7 22 Face milling Inserted blade cutter, SiN ceramic, ft = 0.1 mm

23 Face milling Inserted blade cutter, SiN ceramic, ft = 0.075 mm
24 Face milling Inserted blade cutter, SiN ceramic, ft = 0.125 mm

8 25 Face milling Ø 25 mm inserted blade cutter, 1 cutting edge, ft = 0.1 mm

26 Face grinding Ceramic bonding grinding wheel, ae = 10 mm
27 Face turning PVD-TiAIN, f = 50 mm

9 28 UA face milling Ø 5 mm milling tool, ap = 0.01 mm

29 UA face grinding Ø 60 mm grinding tool, ap = 5 mm
30 Sinking EDM Ti6AI4V electrode, tool rotates at 100 rpm

10 31 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 90 m/min, lubrication: oil
32 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 130 m/min, lubrication: oil
33 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 170 m/min, lubrication: oil

11 37 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 90 m/min, lubrication: dry
38 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 130 m/min, lubrication: dry
39 Face turning CBN tool, ap = 0.3 mm, f = 0.1 mm, vc = 170 m/min, lubrication: dry

12 40 Fine grinding Lapping, grain size 30 pm AI2O3, time 12 min, pressure 0.05 N/mm2
41 Fine grinding Lapping, grain size 15 pm AI2O3, time 24 min, pressure 0.1 N/mm2
42 Fine grinding Lapping, grain size 30 pm AI2O3, time 8 min, pressure 0.1 N/mm2

were the residual stress at the surface, the maximum tensile and collected. Consequently, not all parameters are listed here, and
compressive stresses and the thickness of machining process only some specific features of the machining experiments will be
affected layer. This simplification is valid, as the initial residual summarized.
stress state of the material was known to be about 0 MPa. For the
hardness profiles, corresponding factors were defined, but as will 4.2.2. Part B: depth profiles
be shown in the following sections, these factors were not applied As more than one hundred samples were machined by the
due to the observed trivial changes. participants, it was necessary to reduce the depth profile data to
allow for adequate correlation. This becomes obvious when
4.1.3. Part C: analysis of wear resistance looking at the illustration of the depth profiles (one per set) in
The analysis of the functional performance of the machined Fig. 12. Besides showing the target of 200 MPa compressive
surfaces was restricted to wear resistance measurements per- stresses (dotted line), Fig. 13 summarizes the residual stresses
formed by a ball grinding test. According to the European standard measured at the surface of the machined samples. Each measure-
ENV 1071-2, a hardened steel ball with a diameter of 20 mm and ment was performed three times by X-ray diffraction (XRD), thus
1 mm diamond slurry were used to grind a round pattern into the
machined surfaces. After 20 min operation time, the diameter d of
the ground area was measured and compared with the results of
the other surfaces. The reproducibility of the test was proven in
preliminary tests at the Foundation Institute of Materials Science
(IWT), Bremen. Applying the standardized protocol, four measure-
ments lead to a mean worn diameter of 330 mm and a standard
deviation of 8.3 mm.

4.2. Results of the collaborative work

4.2.1. Part A: controlled machining processes

Seven sets of three samples each were machined by grinding,
twelve were milled, thirteen were turned, three were fine-ground
using lapping kinematics and one set was machined by EDM. Some
details of the machining parameters are given in Table 2. Due to the Fig. 12. Exemplary residual depth profiles (each one depth profile per machined set)
free choice of machining parameters, a large amount of data was measured by X-ray diffraction after machining.
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 613

Fig. 13. Residual stresses at the surface of the machined samples arranged according
to size. Fig. 15. Maximum compressive stresses of the residual stress depth profiles
arranged according to size.

allowing the error bars in the figure indicating the maximum and sive stresses, due to mechanical loads during the process, caused
minimum value measured for each set. Depth information was inhomogeneous plastic deformation. Fig. 15 shows that milling
gained by step-by-step electrolytic removal of thin layers in a small processes caused the highest compressive stresses, but depending
area. The penetration depth of the applied CrKa-radiation in steel on the chosen machining parameters, some milled surfaces also
is about 5 mm [27], so the value obtained represents an integral reveal low compressive stresses. Due to low mechanical loads, fine
measure of the residual stresses. grinding induces low compressive stresses.
Most of the surfaces reveal compressive stresses. The surface Fig. 16 summarizes the final zero crossing of the residual stress
machined by EDM shows tensile stresses, as there are no profiles, and thereby allows for the assessment of depth
mechanical loads in the process. Arranging the values according information. However, this kind of illustration does not allow
to their size allows for the identification of trends between for separation between re-assessment of the basic stress level from
different machining processes and the resulting residual stresses at compressive values or tensile values, but it allows conclusions on
the surface. Obviously, grinding and milling processes can induce the thickness of the layer affected by the machining process. Sets
higher compressive stresses at the surface, whereas turning and 10–12 did not show zero crossings 250 mm below the surface but
fine grinding using lapping kinematics caused low compressive were not measured in higher depth. Consequently, the depth effect
stresses or (for turning) even low tensile stresses. of the corresponding milling processes is even more distinctive
However, the given target of 200 MPa compressive stresses at than shown here. Limited depth effects were obtained for most of
the surface was more or less achieved by chance with some the grinding processes and all of the fine ground samples. As
processes. When looking at a range of zero to 200 MPa compressive grinding, especially fine grinding, using lapping kinematics are
stresses, turning and fine grinding can be found predominantly. common finishing processes, usually not meant to influence the
The EDM samples show the highest values for the maximum surface to a high depth, this is a typical result.
tensile stresses at the surface, whereas the overall maximum Micro-hardness measurements at the surface could not be
tensile stresses in the depth profiles resulted from a grinding performed for most of the samples due to high surface roughness.
process as given in Fig. 14. From the depth profiles, it was revealed Initial measurements of the hardness depth profiles resulting from
that all tensile stresses within the range of 0–100 MPa appeared to the machining experiments were performed under a test load of
be compensating stresses at higher depth. 500 ponds (4.9 N). The results showed no hardness alterations at
Tensile stresses higher than 100 MPa were identified as source all within the first millimetre of depth of any sample. To improve
stresses and were mainly observed at ground or ED-machined the resolution close to the surface, the test load was reduced to 10
surfaces resulting from the significant thermal load during the pond. The depth profiles measured for the Vickers hardness HV
machining process. The maximum compressive stresses of the 0.01 according to the DIN EN 50310 are presented in Fig. 17. As the
depth profiles (Fig. 15) are much higher than the obtained residual stress measurements indicated that the material showed
maximum tensile stresses and vary between 200 MPa and over compressive residual stresses at depths of up to 250 mm, the lack
1000 MPa. None of the maximum values was caused by of significant differences in the hardness profiles must be
compensating stresses. Excluding one set of ground samples explained by the lower sensitivity of the hardness measurements.
(Set 18 – see below), there were no microstructural transforma- Obviously, the induced plastic deformation affects the results of
tions observed after machining. Consequently, the high compres- XRD more significantly.

Fig. 14. Maximum tensile stresses of the residual stress depth profiles arranged Fig. 16. Depth of the final zero crossing of the residual stress depth profiles arranged
according to size. according to size.
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Fig. 19. Diameter of the ground area resulting from the ball grinding test arranged
Fig. 17. Hardness depth profiles of the machined surfaces. according to size.

Also, the material does not seem to be prone to strain-

hardening in its hardened and annealed state. The depth profile of
Set 18 shows even reduced hardness, which is due to a high
thermal impact during the applied grinding process, also indicated
by the high tensile stresses (Fig. 13). The white layer illustrated in
the micrograph in Fig. 17 reveals the generation of a micro-
structure containing untempered martensite, which shows com-
pressive stresses at the surface, followed by tensile stresses at
higher depth (dark layer). As the white layer is very thin (approx.
2–3 mm), the re-hardening effect was not revealed by the hardness
measurements. However, decreased hardness of the over-tem-
pered martensite within the dark layer can be seen at depths of
75 mm. By considering the hardness variation, it can be summar-
Fig. 20. Possible correlations examined within the collaborative work.
ized that there was only one set of samples showing white layer
formation. Even this sample showed compressive stresses at the
surface, and once again, it proves the necessity for measuring As Fig. 19 indicates, there are clear differences in the wear
depth profiles to judge the surface properties. diameters obtained after 20 min of operation. The re-hardened
zone of Set 18 did not affect the wear resistance significantly (worn
4.2.3. Wear resistance diameter = 451 mm) and the minimum diameter of the worn
The analysis of the wear resistance of the machined surfaces is pattern was obtained at a turned surface (Set 15).
limited to surface roughness measurements and ball grinding However, when it comes to the relationship between roughness
tests. In Fig. 18, Ra values measured after machining are and the wear resistance of a machined surface, comparing the
summarized. As each set consists of three samples and each patterns of the diagrams in Figs. 20 and 21 reveals that there must
sample was at least measured three times, the error bars indicate be further influencing factors. Although the surfaces with the
the maximum/minimum values of at least nine measurements. highest roughness values (EDM-samples) show the most dis-
In general, the Ra values are within a range of 40 nm to 2.1 mm. tinctive wear after the ball grinding test, and the fine ground
As one might expect, fine grinding using lapping kinematics caused surfaces indicate that the surface roughness definitely is a major
the best surface topography. Fig. 18 also reveals the highest Ra factor influencing the wear resistance, but surely not the only one.
values for the EDM samples. In addition, a threshold was identified The fine-ground samples show rather average wear, though their
for the ground samples: no grinding process caused Ra values Ra values are very low. Consequently, the comparable high wear
higher than 0.5 mm. By considering the Abbot curves of the resistance must be explained by other surface properties.
machined surfaces (not shown), a relationship between the surface Looking at the results presented above, hardness cannot be the
topography and a wear resistance test, such as ball grinding, was reason as no significant hardness alterations were obtained. But,
found. A major finding of the Round Robin Test is that surface the residual stress profiles after fine grinding revealed that the
roughness is not the only significant parameter influencing the maximum compressive stresses and the depth effect of the process
results of the ball grinding tests. are limited and minimal compared to other results. Therefore, the
residual stresses might be another decisive factor.

Fig. 21. Correlation between the worn diameter after the ball grinding test and the
Fig. 18. Ra-values of the machined surfaces arranged according to size. residual stresses at the surface.
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 615

4.3. Conclusions from the Round Robin Test worldwide interest in developing analytical and numerical
techniques for predicting machining performance, including
Based on the results obtained from this international Round surface and subsurface integrity parameters in machined compo-
Robin Test, the major impact of the machining processes on nents. This section summarizes recent developments beginning
different surface and subsurface properties was established. with a short historical perspective on developing predictive
Despite the flexibility for participants to choose a process and models and then extension of these models to include surface
parameters, some general trends and thresholds were revealed: integrity parameters.

 All grinding experiments lead to compressive residual stresses at 5.1.1. Theoretical base—a summary of major related theories
the surface and Ra values lower than 0.5 mm. Theoretical approaches based on the physics of machining will
 No turned surfaces showed Ra values below 0.2 mm. give more robust answers for cutting under a wider range of
 Milling processes carry the potential to induce high compressive machining conditions and will require fewer experiments.
stresses with high depth effects. Analytical models can be characterized by the principles of the
 All tensile residual stresses below 100 MPa appeared to be physics of the process, thereby providing fundamental insight into
compensating stresses. the process mechanics, and substantial reduction in computational
 Only one set of ground samples showed a significant change in time can be achieved compared with the numerical methods. Early
hardness due to thermal damage. work on ploughing effects in machining with a rounded edged tool
by Albrecht [4,5] presents an approximate analytical model for
Also, the importance of depth information for investigating forces, etc. Nakayama and Tamura [144] described the size effects
surface properties such as residual stresses and hardness was in cutting at small depths and feeds using a force model. They also
reinforced, as the thermally damaged samples showed compressive demonstrated it experimentally by showing that the size effect can
stresses at the surface. With regard to the hardness profile of this set, be attributed to the subsurface plastic work, thus implying the
one would expect higher hardness at the surface (re-hardened zone). surface integrity condition in terms of subsurface metallurgical
Consequently, neither the information on the surface, nor the and microstructural changes. Numerous previous studies assumed
hardness depth profiles alone (revealing decreased hardness below elastic recovery in machining, including the formation of hardened
the surface), are sufficient to describe the surface integrity. layer on the machined surface. However, prediction of material
In addition to examining the surface properties as a function of characteristics including the metallurgical and microstructural
the machining processes (correlation Ia in Fig. 20), the wear changes in this Severe Plastic Deformation (SPD) layer using
resistance results were studied as a function of different surface analytical means has not been successful.
properties (correlation Ib in Fig. 20). Only few of those correlations
revealed possible interrelationships, which obviously is due to the 5.1.2. Summary of past and current work on analytical modeling
large number of machining parameters varying from one set to For the last two decades, a greater emphasis has been placed on
another. The identification of the influence of a single factor is developing predictive models for machining-induced surface
therefore almost impossible. Fig. 21 presents the wear resistance integrity modifications. Even though surface integrity is defined
as a function of the residual stresses at the surface. As the by numerous parameters, the predictive models attempted so far
diameters vary within a range of about 450 mm, the depth of the have mostly focused on residual stresses, and to a much lesser
worn pattern is approx. 2.5 mm. Thus, the residual stresses at extent on component distortion [63,66,100]. The residual stress
higher depth should have minor impact. profile in a machined workpiece is often one of the important
Surprisingly, it is noted that with increasing compressive residual integrity attributes because of its direct effect on fatigue life,
stresses at the surface, a higher wear rate was measured after ball fracture behaviour, wear/corrosion resistance and the structural
grinding. In the literature, compressive stresses are known to integrity of parts. The need to determine the effects of cutting
improve the functional performance of components by means of conditions, tool geometry, and other process parameters on
chemical and wear resistance as well as static and dynamic strength residual stresses developed in the machined surface has been
[30,89,92,138,217]. However, according to Chandra et al. [38], who the major motivational factor for significant research effort.
performed experiments on Co–Cr–Mo and Ti6Al4V alloys, the Barash and Schoech [20] predicted the residual stress present in
results obtained in the Round Robin Test could be plausible. It might the subsurface layer of a workpiece using a simple slip-line field
well be that due to the specific load during a ball grinding test, tensile model. Subsequently, Liu and Barash [123] studied and modeled
residual stresses are advantageous, but it has to be clearly stated that the mechanical behaviour of the sublayer produced by a tool with
there are many other factors which varied, leading to these non- flank wear, which was likened to machining with a blunt tool. Wu
significant results. The results indicate that it is crucial to describe and Matsumoto [241] used an analytical model to study the effect
the entire state of surface integrity by comprehensive measure- of workpiece hardness on the pattern of residual stresses induced
ments including several surface and subsurface properties, shown in the workpiece surface. More recently, Yang and Liu [246], Liu
by Field and Kahles [73,74], as well as by the ANSI Standard [7]. and Yang [124] and Guo and Liu [87] presented numerical
Finally, numerous apparent correlations between the chosen solutions for predicting residual stresses.
machining parameters and the wear resistance (correlation II in Outeiro et al. [151], when utilizing an analytical model for heat
Fig. 20) were studied. Unfortunately, none of them revealed partition, through a chip flow predictive model, showed the effect
possible interrelationships, which again is a result of the varying of cutting edge radius on the residual stresses developed in
parameters. The question, whether it is possible to identify machining. Ulutan and Ozel [226] created an analytical model for
correlations among machining processes, the resulting surface the prediction of residual stresses in machining. A finite-
integrity and the functional performance of the machined surface, difference-based technique was utilized in the solutions of heat
could not be answered on the basis of current Round Robin Test. balance equations for determining the thermal fields of the tool,
Today, correlations Ia and Ib are the targets of current research, chip and workpiece. The thermal field of the workpiece was used in
however, future collaborative effort must focus on correlation II. the thermo-mechanical model of the residual stresses. Stresses
resulting from thermal and mechanical loading are computed
5. Recent progress towards predictive model development using an analytical elastoplastic model and a relaxation procedure.
Liang and Su [121] developed a predictive model for residual
5.1. Analytical model development stresses in orthogonal cutting. It uses process conditions as inputs
and predicts surface and subsurface residual stress profiles due to
With rapidly increasing computational capabilities and emer- machining. Based on this work, Liang et al. [122] subsequently
ging new analytical modeling techniques, there is a growing developed a physics-based model to quantitatively suggest the
616 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

cutting condition and tool geometry parameters according to

pre-specified surface residual stresses resulting from machining.
Ulutan et al. [225] developed a comprehensive analytical model
for residual stresses in machining. Lazoglu et al. [119]
subsequently presented an enhanced analytical elasto-plastic
model using the superposition of thermal and mechanical
stresses on the workpiece, followed by a relaxation procedure.
However, connections between the machining-induced residual
stresses and the fatigue life of machined components are
not well established in these predictive models due to complex-
ity of the process variables and the geometric attributes
involved.
By effectively integrating a recently developed universal slip-
line model [71] with Oxley’s predictive machining theory [153],
Fang and Jawahir [69,70] developed an analytical predictive
Fig. 22. Predicted circumferential residual stress in AISI 52100 for different
model for machining with restricted contact grooved tools. The
workpiece hardness (HRC), feed rates (f, mm/rev), tool edge radius (h, mm) and
extended slip-line model developed for machining with chamfer angle (ch, deg) (cutting speed: 120 m/min, depth of cut: 0.35 mm, chamfer
restricted contact tools with a rounded cutting edge [236] edge:0.085 mm) [98].
integrates Oxley’s predictive machining theory, and thus enables
the effects of strains, strain-rates, and temperatures to be taken
into consideration for machining with grooved tools. With the model to be used at low strain-rates. The influence of sequential
good agreement found between predicted and experimental cuts and cutting speeds are also included in this model.
results, predictability of stresses, stains, strain-rates and

temperatures in the cutting region on the rounded cutting edge n v p ˙ vp Þ m
s̄ ¼ ðA þ Bēv p Þ½1 þ Clnðē˙ þ 103 e100ðē Þð1  T  Þ (1)
offers an opportunity to study the SPD layer formed in
machining and to model the mechanical properties of this vp
where s̄ , ēv p and ē˙ are the effective stress, effective viscoplastic
layer. A geometric model was developed by Chen and Jawahir strain and effective viscoplastic strain-rate respectively. T* is
[41] to predict the edge radius effect in diamond and diamond- temperature. A, B, C, n, m are constants and determined from
like-carbon coated tools on size effects and machining perfor- experimental data.
mance in finish turning of automotive aluminium alloy A356. A Efforts have been made to model the residual stress induced by
recent extensive study of size effects in metalworking processes hard turning of AISI 52100 steel. Umbrello et al. [228] presented a
includes an analysis of all relevant published papers in numerical model simulating hard turning of 52100 steel using a
machining with rounded cutting edged tools causing size hardness-based material flow stress model, and a hydrostatic
effects, strongly correlated with surface integrity in the SPD stress-based fracture criterion for chip separation. The unloading
layer in machining [234]. Also, the size effects are correlated step in the model involves releasing the tool from the workpiece in
with product sustainability [152]. several time steps. The model is implemented by developing and
using a customized user routine in the commercial FE software
5.2. Numerical/computational model development DEFORM-2DTM, which is a Lagrangian implicit code designed for
metal forming processes. The model is then used for investigating
In parallel with the development of analytical models for the influence of cutting conditions and cutting edge geometry on
surface integrity produced by metal removal processes, numer- the subsurface residual stress distribution in hard turning [97,98],
ical/computational models have also witnessed significant as shown in Fig. 22.
progress over the last few decades, aided by the ever-improving Application of the DEFORM-2DTM based numerical model is also
performance and power of computers. In particular, the used for simulating orthogonal cutting of other materials,
capability of utilizing more complex material behaviour models, including AISI 316L steel [148]. In the former work, the influence
capturing variations in flow stress with strain, strain-rate and of cutting conditions, including cutting speed, uncut chip
temperature, enables numerical/computational models to pre- thickness, tool geometry and sequential cuts on the subsurface
dict various surface integrity measures comprehensively and residual stress are investigated. The superficial circumferential
more precisely. Furthermore, numerical/computational model- residual stresses increased with the number of cuts. Fig. 23 shows
ing techniques generally have the ability to allow the develop- the effect of sequential cuts.
ment of specialized ‘‘user subroutines’’ that may include sub- Apart from residual stresses, surface defects in micro-cutting
models for capturing complex phenomena, such as phase induced by non-homogeneity of the material are also modeled in
transformations, dynamic recrystallization, etc., that influence
the surface integrity.

5.2.1. Recent efforts in numerical modeling

Ee [63] studied the residual stress generation in orthogonal
cutting of AISI 1045 steel by combining experimental and
numerical work and developed a predictive model for residual
stresses. He presented a realistic finite element model to study
the residual stresses induced by machining using cutting tools
with finite edge radius. Key technical aspects include introduc-
tion of a modified Johnson–Cook material model, using a
remeshing scheme to simulate the material flow instead of
using a chip separation criterion, properly accounting for the
unloading path and considering the thermo-mechanical cou-
pling effect on deformation. To be specific, in the Johnson–Cook
formula, which considers the effects of strain-hardening, strain-
rate hardening and thermal softening, the strain-rate hardening Fig. 23. Effects of sequential cuts on in-depth distribution of the circumferential
term was modified (Eq. (1)) for the purpose of allowing the J–C residual stresses [148].
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 617

Fig. 24. SEM images of the resulting machined surface. The dimpled surface in (a) shows examples of prows (P) and microvoids (V), while a microcrack (C) is shown in (b).
Cross-sectional SEM images in (c) and (d) of a dimple on the machined surface. Cutting direction is indicated by the large arrows [199].

previous work. Simoneau et al. [198,199], utilized a commercial FE The various coefficients for the empirical relations representing
software ABAQUS ExplictTM to develop a model for orthogonal quenching, tempering and material flow rule were calibrated using
cutting of AISI 1045 steel with a finite sharp tool, with the experimental data from machining. Microstructures near the
workpiece composed of two different materials to represent the machined surface of the component can be significantly changed
microstructural phases in AISI 1045 steel. The material represent- by the material removal process, which may damage or improve
ing pearlite is set to be three times harder than the material the functional performance of the components.
representing ferrite, and for both materials a rate-dependent Machining is a SPD process involving large shear strains
Johnson–Cook formulation is used to model their properties. (typically 2–10) and high strain-rates (up to 106 s1). Dynamic
Dimples on the machined surface are predicted with the model, recrystallization (DRX) occurs under certain machining conditions
and their existence is confirmed by SEM observation of the and may produce ultrafine/nano-grained microstructures.
machined surface from experiments (Fig. 24). Fig. 25 shows an overview of the microstructural changes
induced by dry machining of copper with initial grain size of
5.3. Microstructure-based models 47.1 mm [146]. Significant changes occurred in the primary
deformation zone (PDZ), the machined chip and also the machined
5.3.1. Significance of microstructure studies surface. Equiaxed grains about 218 nm were found in the
The microstructure of the machined component has a critical machined chips while grains in PDZ were elongated to about
influence on the functional performance of the component such as 228 nm in width and 2 mm in length. After dry machining of 1100
fatigue life, corrosion and/or wear resistance. More experimental aluminium with 4.6 mm initial grain size, the length of the grains in
studies are needed to further investigate, explore and establish the PDZ was about 730 nm and the width 380 nm [146]. An 80%
relevant relationships between microstructures and the perfor- increase of hardness was reported in the PDZ compared with the
mance of the product. The ability to produce the most desired initial material. Without coolant, the grain size in the secondary
microstructure for achieving the most favourable product service deformation zone (SDZ) was about 1.2 mm, while equiaxed grains
life and product performance is the focus for predictive model about 364 nm were formed with water as coolant.
development. In addition to copper and aluminium alloys, equiaxed
nanostructures were reported in various materials, including AISI
5.3.2. Prediction of microstructural changes 316 stainless steel, iron, Inconel 718 [203] and titanium [189].
Akcan et al. [3], and Chou and Evans [43] used an analytical While most of the studies on microstructural changes induced by
approach to predict white layer formation by assuming that it is due machining were focused on the machined chips, there are few
to thermally driven phase transformations. Ramesh and Melkote publications regarding the machined surface, which is more
[170] presented a finite element model of white layer formation by important than the chips in most cases. The ‘‘white layer’’
modeling the problem as quenching. They incorporated in the FE frequently reported by researchers on the machined surface of
model the effects of stresses and strains on the transformation AISI 52100 steel was found to consist of nano-grains [169]. Calistes
temperature, volume expansion and transformation plasticity. et al. [35] showed that the deformation levels on the machined
These characteristics were taken into account by developing surface were very similar to those in the machined chip during
extensive VUMAT FORTRAN subroutines in ABAQUS FE code. machining of copper and observed significant grain refinement
Subroutines were also necessary for describing the basic elastic– from 35 mm to 175 nm on the machined surface. The influence of
plastic constitutive behaviour. The study was conducted under microstructural changes on machined surface may markedly
thermally dominant cutting conditions that promote phase
transformations. Starting from the above-mentioned research,
Fischer and Bandar [76] proposed a finite element model of
continuous white layer formation based on the austenitization of
the surface layer and subsequent martensite formation due to rapid
cooling. Material properties were determined by a mixture rule on
the element, and the hardness-based flow stress model for AISI
52100 steel proposed by Umbrello et al. [228], was used for defining
the single mixture phases. However, the proposed physically based
approach requires large experimental databases, with complex
metallographic analyses and time-consuming procedures for the
identification of microstructure law coefficients.
Fig. 25. Cross-sectional optical micrograph of the material ahead of the tool tip (hot
5.3.3. Micro/nanostructures in the machined surface layers extruded Cu). The TEM samples were taken from positions marked as A–D, each
Umbrello [227] proposed a FE model based on advanced representing the characteristic features of the deformation zones formed during
empirical models in order to predict the microstructure changes. orthogonal cutting [146].
618 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

Fig. 26. Microstructure of AZ31 Mg alloy under optical microscope: (a) before machining, and after (b) dry machining, tool edge radius = 30 mm, (c) cryogenic machining, tool
edge radius = 30 mm, and (d) cryogenic machining, tool edge radius = 70 mm [163].

change the functional performance of the component. The effect of feed and nose radius of the tool, on the wear rate during pin-on-
the white layer formation on component life is not yet well disk tests was investigated. The results showed that different
understood since opposite treads can still be recognized in machining conditions can affect wear rates to different extents.
literature. Schwach and Guo [187] investigated the fatigue life Among the influencing variables studied, depth of cut had the most
of a component subject to rolling contact and found that a remarkable influence on wear rate. As the depth of cut increases, a
component free of a white layer had a life six times that of a higher degree of plastic deformation is introduced in the machined
component with white later. In contrast, Ramesh et al. [169] surface/subsurface layers, causing more compressive residual
studied the residual stress profile induced by hard machining and stresses in the machined surface [56].
found that it was significantly more compressive in the specimen While the white layer in AISI 52100 steel is generally
with the white layer than that without it. Consequently, fatigue life considered to be detrimental, the ‘‘white layer’’ in AZ31 Mg after
was found to be directly proportional to both the surface cryogenic machining was reported to improve its corrosion
compressive residual stress and the maximum compressive resistance in simulated body fluid [163]. As shown in Fig. 26(c),
residual stress in the specimen. a white layer was formed near the machined surface with a
thickness of about 7 mm. Fig. 26(d) shows that the thickness of this
5.4. Case studies layer was increased to about 15 mm when the edge radius of the
cutting tool was increased from 30 mm to 70 mm. The hardness of
5.4.1. Case study 1 this layer was increased by 60% compared with the initial material.
Pu et al. [163] also reported that the microstructures near the
5.4.1.1. Machining of biomaterials: Co–Cr–Mo and AZ31Mg alloys. - surface of AZ31 Mg alloy were very sensitive to cutting conditions.
Research involving the machining of Co–Cr–Mo biomedical With other conditions the same, no white layer formed on the
implant alloy, for improved wear performance, proved that surface under dry machining. With liquid nitrogen application, the
controlled machining processes could greatly improve wear microstructures on the machined surface were very sensitive to
resistance. The influence of different machining conditions used cutting speed, as shown in Fig. 27. The microstructure of AZ31 Mg
in making the pin specimens, including cutting speed, depth of cut, alloy was reported to have remarkable influence on its corrosion

Fig. 27. Microstructure of AZ31 Mg alloy after cryogenic machining with the same tool edge radius and feed rate at different cutting speeds: (a) 50 m/min and (b) 100 m/min
[163].
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 619

Fig. 28. Comparison of experimentally observed (EXP) and numerically simulated

(NUM) thicknesses of white (WL) and dark (DL) layers during orthogonal machining
of hardened AISI 52100 steel: initial workpiece hardness = 56.5 HRC [229]. Fig. 30. Evolution of grain size (mm) during orthogonal machining of hardened AISI
52100 steel [36].

resistance. The relationship between the microstructure of temperature:

magnesium alloys and their corrosion resistance was also reported  
Q
by Denkena and Lucas [54]. Machining and deep rolling were Z ¼ ė exp (2)
conducted on MgCa3.0 and a very strong correlation between RT
subsurface properties and the corrosion progression was detected.
where Z is the Zener–Holloman parameter, ė is the strain rate, Q is
A FE model for machining of AZ31 Mg alloy was developed using
the activation energy for dynamic recrystallization (DRX), and R is
DEFORM-2DTM and good agreements were found between the
universal gas constant (8.3145 J/K mol). After DRX the recrystal-
experiments and predictions including forces and chip morphol-
lized grain size is given as:
ogy [162].
d ¼ d0 aðZ 0:24352 Þ (3)
5.4.2. Case study 2
where d is the updated grain size, d0 is the initial grain size, a is a
5.4.2.1. Numerical simulation of machining of AISI 52100 steel. Um- material constant (d0a = 74559). Fig. 30 indicates that the
brello et al. [229] developed an implicit elasto-visco-plastic finite simulated mean grain size on the machined surface is sub-micron,
element method-based procedure, utilizing a previously devel- and this agrees with experimental observations under similar
oped hardness-based material flow rule [228], to simulate the cutting conditions [169].
formation of white and dark layers during orthogonal machining of
hardened AISI 52100 steel. 6. Benchmarking of predictive models
Phase transformations were accounted for using empirical
equations for quenching and tempering, with the constants in 6.1. Background and objectives
these equations being calibrated with the help of experimental
data from machining. Fig. 28 shows a comparison of the simulated Modeling and simulation of metal cutting operations has
white and dark layer thicknesses using the FE model with become very widespread today with many researchers developing
calibrated empirical coefficients against new experimental data. and/or using models to predict the metal cutting performance
Fig. 29 shows a comparison of numerically simulated and measures, including: cutting forces, temperatures, hardness,
experimentally observed residual stress profiles for the same FE phase changes, residual stresses, tool wear, part distortion,
model. The prediction accuracy was only acceptable when surface roughness, dynamics and stability of machining
microstructural phase transformations (due to quenching and [60,75,148,229,231]. The effectiveness of these models to predict
tempering) were taken into account in the simulation. the metal cutting performance depends to a large extent on how
Caruso et al. [36] extended the previous work of Umbrello [227] accurate are the models used to describe the metal cutting process
to simulate the grain size evolution during orthogonal hard and also the quality of the input data used in such models.
machining of AISI 52100 steel using the Zener–Holloman para- Analytical models were the first ones to be developed and
meter (Eq. (2)) to relate grain size change (Eq. (3)) to strain rate and applied to predict mainly cutting forces and temperatures.
However, after the 1980s the increasing use of computer
simulation led to the emergence of models based on the finite
element method (FEM). Today, these models have a prominent
place in metal cutting simulation, although FE-based models
incorporate many assumptions that cannot be easily detected by
users but affect the validity of the results [15].
Within the scope of the CIRP Collaborative Working Group
(CWG), it was felt that there was a need for a benchmark study to
evaluate the effectiveness of all current predictive models for
surface integrity induced by metal cutting. It was felt that this
should include empirical, analytical and numerical (FEM, Meshless,
etc) approaches, which claim to predict not only the forces,
temperatures, chip compression ratio and chip geometry, but also
parameters related to with the integrity/quality of the machined
surface, such as residual stress, hardness and phase transforma-
Fig. 29. Comparison of experimentally observed (EXP) and numerically simulated
(NUM) residual stress (RS) profiles during orthogonal machining of hardened AISI tion. It is hoped that the results of this benchmark study will help
52100 steel (initial workpiece hardness: 61 HRC, chamfered tool: 208 0.1 mm, metal cutting researchers to establish future research directions
cutting speed: 250 m/min, and feed rate: 0.125 mm/rev) [229]. for improved model development.
620 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

Table 3 6.3. Results and analysis

Benchmark participants who performed prediction.

Participant and country Participant and country Fig. 31 shows measured (black bar) and simulated (colored bar)
J.P. Arrazola ESP Y. Karpat TUR in-depth residual stress profiles. Residual stresses were measured
M. H. Attia CAN R. M’Saoubi SWE in both cutting direction (sjj) and normal to this direction (s?), but
D. Biermann/B. Svendson DEU T. Mabrouki/Y. Zhang FRA only the former are reported here. These figures show a significant
E. Ceretti/C. Giardini ITA J.C. Outeiro PRT dispersion between simulated results. As shown in Fig. 32, the
A. Del Prete ITA T. Ozel USA
smallest dispersion was obtained for chip compression ratio while
C. Fischer USA J. Rech FRA
N. Gramegna ITA V. Schulze DEU the largest was for surface residual stress, sjj. Moreover, the
R. Ivester USA J. Shinozuka JPN smallest dispersion was obtained for AISI 1045 while the largest
I.S. Jawahir/A.D. Jayal USA D. Umbrello/S. Rizzuti ITA was for AISI 316L and IN 718. The differences between simulated
and measured results are also significant, being lower for AISI 1045
and in some cases for AISI 52100 and Ti–6Al–4V. Again, the worst
6.2. Methodology and participants predictions were obtained for AISI 316L and IN 718.
Workpiece residual stresses were simulated by most of the
A methodology to carefully design a benchmark study for participants. As mentioned above, the largest dispersion in
evaluating predictive models for orthogonal cutting was proposed, predicted results was obtained for surface residual stress, sjj.
which consisted of the following steps: Looking in detail at the in-depth residual stresses profiles (Fig. 32),
dispersion between simulated residual stress is once again lower
 Select the work materials, cutting tools and cutting conditions. for the AISI 1045 and higher for IN 718. Moreover, except for AISI
 Identify the work material and cutting tool properties. 1045 steel, all the other models fail to predict the residual stress
 Perform orthogonal cutting tests and collect the most relevant induced for the simplest case of the orthogonal cutting process.
data for model validation. Among other factors, the modeling of work material behaviour in
 Develop and apply models for predicting the most significant cutting (plastic deformation and fracture) is probably the most
output parameters. significant. This includes the modeling of the physical separation of
 Compare the results obtained from different models with the material from the workpiece (chip formation).
experimental data. In order to improve the residual stress predictability, 4
additional orthogonal cutting simulations using IN 718 and Ti–
6Al–4V alloys (2 simulations per work material) were performed.
The objective was to develop and calibrate new models based on
Five work materials were selected for the benchmark study, the measured forces, chip geometry and chip compression ratio,
namely: plain carbon steel, AISI 1045; austenitic stainless steel, and apply them to predict the residual stresses (see description
AISI 316L; bearing steel, AISI 52100; Inconel alloy, IN 718; and about the calibration procedure in [230]). The numerical results for
Titanium alloy, Ti–6Al–4V. Ti–6Al–4V show some improvement in predicted cutting force,
Several parameters were evaluated, including: cutting (Fc) and chip compression ratio and in some cases for the near surface
thrust (Ft) forces; temperature distribution (including cutting residual stress (Figs. 33 and 34). However, despite improvements,
temperature – Tc); chip compression ratio or CCR (ratio between dispersion between simulated results is still significant, being
the uncut chip thickness and the chip thickness); chip geometry higher for the surface residual stress, sjj (Fig. 34).
(peak, valley and pitch); residual stresses in machined surface and The following conclusions can be drawn from this study:
subsurface; hardness in the machined surface and subsurface;
microstructural changes in the machined surface and subsurface. (1) There is a decrease in the use of analytical based models for
This benchmark was performed with the close cooperation of 23 prediction of metal cutting performance when compared with
international researchers from 10 countries (Table 3). the use of FEM based models.
Table 4 summarizes the cutting conditions used in the (2) Almost 90% of the FEM software used in the present metal
benchmark, representing a total number of 10 simulations (two cutting simulations were commercial.
per work material). The majority of the participants were from (3) It is very difficult to evaluate which is the best FEM software,
Universities or Research Institutes (76%) and the remainder were since they incorporate many parameters and assumptions that
from companies or software developers (24%). The simulations affect the validity of the results such as [15]: (1) unreasonable
were performed using commercial and non-commercial (home- simplifications, idealization and assumptions of the metal
made) FEM software packages, with the following usage: Deform cutting process, (2) improper modeling of the boundary
(50%), Abaqus (30%), AdvantEdge (10%) and homemade (10%). conditions, (3) numerical round-off (in solving the simulta-

Table 4
Details of the collaborative research plan.

Simul. ID Work material reference Work material hardness Tool material reference Cutting tool geometry Cutting regime parameters

Rake Flank Edge Chamfer/groove Cutting Uncut chip Width of

angle (8) angle (8) radius geometry speed thickness cut (mm)
(mm) (m/min) (mm)

316L-1 AISI 316L 170 Hv Uncoated WC-Co 0 5 13 – 150 0.1 4

316L-2 AISI 316L 170 Hv Uncoated WC-Co 5 5 13 – 150 0.1 4
1045-1 AISI 1045 200 BHN Uncoated WC-Co 7 7 15 Chip groove 175 0.05 3
1045-2 AISI 1045 200 BHN Uncoated WC-Co 7 7 55 Chip groove 175 0.05 3
52100-1 AISI 52100 56, 5 HRC PcBN 8 8 15 0.10 mm  208 75 0.125 2.5
52100-2 AISI 52100 61 HRC PcBN 8 8 15 0.10 mm  208 75 0.125 2.5
718-1 IN 718 42 HRC Uncoated WC-Co 6 7 30 – 55 0.15 4
(annealed + aged)
718-2 IN 718 42 HRC Uncoated WC-Co 6 7 30 – 90 0.15 4
(annealed + aged)
Ti-1 Ti–6Al–4V 35 HRC Uncoated WC-Co 6 7 30 – 55 0.15 4
Ti-2 Ti–6Al–4V 35 HRC Uncoated WC-Co 6 7 30 – 90 0.15 4
 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626 621

Fig. 31. Simulated (colored lines) and measured (black line) in-depth residual stress, sjj, profiles for different work materials (see Table 4).

Fig. 34. Simulated (color lines) and measured (black line) in-depth residual stress sjj
profiles, for Ti–6Al–4V alloy.

Fig. 32. Dispersion of the simulated results for different work materials (cutting
force, Fc, cutting temperature, Tc, chip compression ratio, CCR, and surface residual
stress, surface sjj). (5) Large variations between simulated results were observed. The
largest difference was obtained for residual stress, being lower
for AISI 1045 steel and larger for Inconel IN 718.
neous equations), (4) discretization error and (5) errors (6) Applying the calibration procedure and the methodology for
associated with re-mapping. extracting the in-depth residual stresses profiles from the FEM
(4) Although flow stress data has a strong influence on the results, models improves the force and chip compression ratio
it is not the only parameter: predictions, and provides limited improvement in residual
(i) Chip separation mechanism is improperly modeled by most stress predictions.
of the present FEM models, although it has a strong
influence in the residual stress predictability.
(ii) Thermal and mechanical phenomena at tool–chip and tool– 7. Summary and future directions
workpiece interfaces are improperly modeled.
This paper is a result of CIRP’s Collaborative Working Group on
Surface Integrity and Functional Performance of Components
during the last three years (2008–2011). It summarizes the current
state-of-the-art development in surface integrity studies with an
analysis of recent advances in experimental techniques, along with
modeling efforts including analytical and numerical studies for
predicting surface integrity parameters in material removal
processes, both traditional and non-traditional. Significant pro-
gress has been made in developing advanced measuring methods
and techniques for evaluating the surface integrity parameters.
Also, the research community is actively engaged in predictive
model development for surface integrity. The fundamental
knowledge obtained from experimental analysis and industrial
practices should help to model and predict surface integrity
quantitatively for a range of input parameters for engineered
materials used in industry.
Fig. 33. Dispersion of the simulated results for Ti–6Al–4V alloy after calibration and The extensive Round Robin Study conducted with 12 partici-
residual extraction procedures (cutting force, Fc, cutting temperature, Tc, chip pants from 9 countries reveals the experimental process capability
compression ratio, CCR, and surface residual stress, surface sjj). for producing surface integrity parameters such as surface
622 I.S. Jawahir et al. / CIRP Annals - Manufacturing Technology 60 (2011) 603–626

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