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Predicting Surface Roughness in Machining: a Review

Article in International Journal of Machine Tools and Manufacture · June 2003

DOI: 10.1016/S0890-6955(03)00059-2

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 PREDICTING SURFACE ROUGHNESS IN MACHINING: A REVIEW

P. G. BENARDOS and G.-C. VOSNIAKOS*

National Technical University of Athens, School of Mechanical Engineering,

Manufacturing Technology Division,

Iroon Polytexneiou 9, 157 80 Zografou, Athens, Greece

Abstract

The general manufacturing problem can be described as the achievement of a

predefined product quality with given equipment, cost and time constraints. Unfortunately, for

some quality characteristics of a product such as surface roughness it is hard to ensure that

these requirements will be met. This paper aims at presenting the various methodologies and

practices that are being employed for the prediction of surface roughness.

The resulting benefits allow for the manufacturing process to become more productive

and competitive and at the same time to reduce any re-processing of the machined workpiece

so as to satisfy the technical specifications. Each approach with its advantages and

disadvantages is outlined and the present and future trends are discussed. The approaches are

classified into those based on machining theory, experimental investigation, designed

experiments and Artificial Intelligence (A.I.).

Keywords: Surface roughness, surface roughness prediction, machining, review.

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 2

1. Introduction

There are two main practical problems that engineers face in a manufacturing process.

The first is to determine the values of the process’ parameters that will yield the desired

product quality (meet technical specifications) and the second is to maximise manufacturing

system performance using the available resources. The decisions made by manufacturing

engineers are based not only on their experience and expertise but also on conventions

regarding the phenomena that take place during processing. In the machining field, many of

these phenomena are highly complex and interact with a large number of factors, thus

preventing high process performance from being attained. To overcome these problems, the

researchers propose models that try to simulate the conditions during machining and establish

cause and effect relationships between various factors and desired product characteristics.

Furthermore, the technological advances in the field, for instance the ever-growing use of

computer controlled machine tools, have brought up new issues to deal with, which further

emphasize the need for more precise predictive models.

Surface roughness is a widely used index of product quality and in most cases a

technical requirement for mechanical products. Achieving the desired surface quality is of

great importance for the functional behavior of a part. On the other hand, the process

dependent nature of the surface roughness formation mechanism along with the numerous

uncontrollable factors that influence pertinent phenomena, make almost impossible a

straightforward solution. The most common strategy involves the selection of conservative

process parameters, which neither guarantees the achievement of the desired surface finish

nor attains high metal removal rates.

The aim of this work is to present and discuss the various methodologies and strategies

that are adopted by researchers in order to predict surface roughness. The presentation of each
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 3

approach along with its advantages and disadvantages should help both the researchers and

practitioners by providing compact yet adequate information so as to select the one that best

suits their needs and specific requirements. The paper focuses on turning and milling since

these are the most common cutting processes and the majority of the published work applies

to them. Surprisingly enough a similar review was not found to be published before.

Surface roughness refers to deviation from the nominal surface of the third up to sixth

order. Order of deviation is defined in international standards [1]. First- and second-order

deviations refer to form, i.e. flatness, circularity, etc. and to waviness, respectively, and are

due to machine tool errors, deformation of the workpiece, erroneous setups and clamping,

vibration and workpiece material inhomogenities. Third- and fourth-order deviations refer to

periodic grooves, and to cracks and dilapidations, which are connected to the shape and

condition of the cutting edges, chip formation and process kinematics. Fifth- and sixth-order

deviations refer to workpiece material structure, which is connected to physical–chemical

mechanisms acting on a grain and lattice scale (slip, diffusion, oxidation, residual stress, etc.).

Different order deviations are superimposed and form the surface roughness profile, see Fig.

1.

2. Classification of approaches

The classification of the selected papers was not easy due to two main reasons. Firstly,

there are many papers that do not strictly follow a certain methodology in its entirety, they

rather select some of its basic principles and combine them into a “new” approach. Secondly,

there are many cases where researchers blend different strategies into a single approach and

therefore no single classification would be entirely accurate.

Taking into account the above, four major categories were created to classify the

selected papers. These are: (i) approaches that are based on machining theory to develop
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 4

analytical models and/or computer algorithms to represent the machined surface, (ii)

approaches that examine the effects of various factors through the execution of experiments

and the analysis of the results, (iii) approaches that use designed experiments and (iv)

artificial intelligence approaches.

3. Machining theory based approach

This category includes approaches that place emphasis on certain aspects from the

theory of machining such as process kinematics, cutting tool properties, chip formation

mechanism etc. Computer-aided design (CAD) methods and tools are utilized so as to achieve

the goal of building a model that will be able to simulate the creation of the machined surface

profile, thus visualizing surface topography and assessing surface roughness.

In general, geometric model development forms the basis of the approach through

rigorous mathematical equations. This model is then implemented by a computer algorithm in

order to handle the complex calculations. Also, there are some theoretical models that relate

surface roughness to cutting conditions such as the feed rate [2]. These models are generally

not accurate so their improvement with the introduction of additional parameters is examined

by researchers.

In any case, experiments are conducted in order to compare the predicted with the actual

results. It must be noted that despite the strong background of the aforementioned theories,

the phenomena that lead to the formation of surface roughness are very complex and

interacting in nature so a comprehensive solution has not yet been found.

The theoretical background used by the research efforts in this category is considered a

prerequisite for anyone who is involved in machining studies and therefore no analytical

description is presented in this paper. However, [3] can be used for reference purposes.
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 5

3.1 Machining theory studies

[4] used the minimum undeformed chip thickness to predict surface roughness in

turning. The molecular – mechanical theory of friction (Kragelskii’s theory) and the Hencky –

Ilyushin theory of plasticity were used to mathematically model the tribological effects at the

chip – cutting tool interface. The approach was based on the assumption that the difference

between the theoretical and measured surface roughness values is due to adhesion at the chip

– cutting tool interface and that the minimum undeformed chip thickness corresponds to the

transition from ploughing to micro cutting. Consequently, an existing model for predicting the

roughness of a turned surface was improved and the difference between the measurements

and predicted results was markedly reduced.

In [5], a surface topography simulation model was established to simulate the surface

finish profile generated after a turning operation with known vibration characteristics. The

model incorporated the effects of tool geometry, cutting parameters and the relative motion

between the cutting tool and the workpiece on the surface finish profile, which was

“decomposed” into three directions, namely, the radial, tangential and axial direction. The

vibration frequency ratio (FR), which was defined as the ratio of vibration frequency (in Hz)

over spindle rotational speed (in rps), was thought to influence the period of the surface

waviness along the axial direction. It was also found that the effects of the radial direction

vibrations on the surface roughness measures were much more significant than those of either

the tangential direction vibrations or the axial direction vibrations as would be expected.

The study of [6] presented a surface roughness model for face-milling operations

considering the profile and the runout error of each insert in the cutter body. It was stated that

because of manufacturing errors in making the cutters, axial (affecting the depth of cut) and

radial (affecting the surface roughness) runout errors exist. The feedrate was also taken into

account so as to formulate a geometric model. After the model validation with experimental
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 6

cutting data, the material removal rate was maximized through optimization of the feedrate

with the surface roughness as a constraint by means of a bisection optimization algorithm.

The computer modelling technique developed in [7] could represent the spectrum of

components of surface topography ranging over shape, waviness and roughness in a way

suitable for generating macro- and micro-level finishing position commands. In order to do

this, a 3D filter was created in four steps. First, surface shape filtering was used to “remove”

the surface shape from inspection data resulting in a native surface shape. Surface topography

analysis by 3D motif filter method was used in the next step to obtain surface roughness and

waviness motif elements. Surface shape error could then be calculated as the deviation of the

neutral surface shape and the design surface shape within each surface waviness element.

Then the sculptured surface shape was added back to obtain the regenerated surface

roughness, surface waviness and surface shape error. Finally, a surface roughness model was

obtained by using B-spline curve fitting of the regenerated roughness data within each

roughness element, and similarly the surface waviness model and surface shape error model

could be obtained by the B-spline fitting of the regenerated waviness data and regenerated

surface shape error data within each waviness motif element. The entire model was based on

the 3D motif elements and the necessary combination rules that were created.

[8] introduced a new method to represent the surface generation process, which they

called ‘surface-shaping system’. Their system basically consisted of two parts, one that

modelled the machine tool kinematics and another that modelled the cutting tool geometry.

For the latter, specific interest was given in the area of the cutting edge that was described as

the intersection of the tool’s face and flank surfaces along with the respective angles. In

general, the surface-shaping system could account for spindle runout and machine vibrations

while additional research for the estimation of cutting forces was still underway. In the work
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 7

the system was applied for the simulation of the three dimensional topography of a

peripherally milled surface.

[9] stated that the surface roughness could be determined by the maximum height of the

effective scallop including the effects of cutter marks and conventional scallops. Through a

texture superposition procedure, three-dimensional surface texture, according to given cutting

conditions and cutter types, could be formed. The runout effect (classified as geometric runout

caused by the eccentricity of the cutter axis and the irregularity of the cutting edges and as

dynamic runout caused by vibration, chatter and the tool deflection) was included to make the

predicted surface closer to the actual machined surface. The generalized cutter description

was created by introducing the fillet radius as a variable and covered the cases of a ball

endmill, a filleted endmill and a flat endmill. The method besides providing the machined

surface texture can be used for optimal cutter path generation.

The work of [10] emphasizes on surface roughness and profile in high-speed end

milling. A method for simulating the machined surface was presented using the acceleration

signal instead of the cutting forces. The argument provided was that the vibration that is

caused by the high speed of the spindle deteriorates the geometric accuracy of the machined

surface. A geometric end milling model was used for modeling the end mill offset and tilt

angle. The computer algorithm was developed in terms of cutting conditions, cutter and

workpiece geometry, and runout parameters to determine the angular position of the end mill.

The coordinates of the flute end positions, were calculated using the geometric model of the

end milling process and the peak frequency components of the acceleration signal. From the

generated surface data, surface roughness could be calculated and the profile plotted.

3.2 Remarks
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 8

The conclusion that can be drawn is that these, theoretical for the most part, studies

simulate the cutting process in terms of kinematics and cutting tool properties. Additional

parameters such as vibrations are included in an attempt to more accurately depict the

phenomenon and the obtained results can be characterized as fairly good. The drawback of the

approach is that a lot of other factors that contribute to the roughness formation mechanism

are not considered, for example wear and deflection of the cutting tool or certain thermal

phenomena. The integration of these factors to the already existing models is estimated to

increase their accuracy, especially in cases of finishing procedures where their influence is

greater.

4. Experimental investigation approach

The experimental approach may be thought of as the most “obvious” method:

experiments with the factors that are considered to be the most important are conducted and

the obtained results are used to investigate the effect of each factor as well as the influencing

mechanism on the observed quality characteristic. Regression analysis is often employed in

order to build models based on the experimental data. The researcher’s intuition and insight

play a great role in this approach but a high understanding of the examined phenomenon is

also necessary for the experiment to yield any meaningful results. The experimental approach

is mainly adopted in cases where there can be no analytical formulation of the cause and

effect relationships between the various factors.

4.1 Experimental studies

The relationship between tool life, surface roughness and vibration was examined in

[11]. The variables that were considered included the cutting speed, feed rate, depth of cut,

tool nose radius, tool overhang, approach angle, workpiece length and workpiece diameter
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 9

and the accelerations in both radial and feed directions. The acceleration signals were fed to a

FFT analyzer that produced ASCII files. The experimental data were analyzed to produce

regression analysis models.

[12] followed a similar approach in which the vibration signals were used to monitor

tool wear and to verify the correlation between tool wear progression and surface roughness

during turning. The experiments were conducted on nodular cast iron with ceramic tool,

something that lead to very short tool life (approximately 1.5 min).

[13] focused on the development of an on-line roughness measuring technique by

studying the effects of cutting vibration during hard turning. It was assumed that the average

surface roughness is the result of the superposition of a theoretical profile (process

kinematics) and an oscillatory profile (process dynamics). An inductance type displacement

sensor was used to measure the relative movement between cutting tool and workpiece. The

results showed that surface roughness along the workpiece had specific frequency

components that were determined by feed marks, in the lower frequency range, and that were

closely related to the natural frequencies of spindle – workpiece system, in the high frequency

range.

Acoustic emission (AE) analysis was employed in [14] to predict surface quality. AE is

defined as the class of phenomena whereby transient elastic waves are generated by the rapid

release of energy from localized sources within a material. In the case of turning such sources

can be found in the primary (due to chip formation), secondary (due to friction between

cutting tool and chip) and tertiary (due to friction between cutting tool flank and workpiece)

cutting zones. Instead of using the RMS value of the AE measured signals, a new quantity

called AE RMS20 was introduced in the paper and correlated with surface roughness.

The potential for use of cryogenic cooling in turning and particularly its effects on tool

wear, dimensional accuracy and surface finish was examined in [15]. For that purpose, a
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 10

comparison between liquid nitrogen jet on the cutting tool and dry machining was performed.

The results showed that cryogenic cooling improved the surface finish by reducing the

deterioration of the auxiliary cutting edge caused by abrasion, chipping and built-up edge

formation.

A series of experiments that aimed at determining the cutting speed for built-up-edge

formation in turning was conducted in [16] and based on the experimental data two

mathematical models which correlate surface roughness with cutting parameters were

established. The first one included the effects of the cutting tool’s nose radius, feed rate,

cutting speed and depth of cut while the second added the effect of the material’s hardness on

surface finish. The most important terms were found to be the feed rate, tool’s nose radius and

cutting speed, in that order.

A detailed investigation was carried out in [17] concerning the effects of the cutting

edge geometry and workpiece hardness on the surface finish and cutting forces in the finish

hard turning of steel. The experimental study included accurate characterization of the edge

geometry so as to measure edge features, experimentation on a rigid machine tool with good

spindle accuracy to minimize vibration and analysis of variance to establish the statistical

significance of the parameters. The findings revealed the significant effects of the edge hone

radius and the workpiece hardness to surface roughness and cutting forces.

[18] concentrated on analyzing the effects of 3 and 5 axis milling of sculptured surfaces

on the surface finish, thus introducing parameters such as stepover and feed direction. In the

case of 5 axis milling a ball nose mill was compared to an end mill, the results indicating that

lower surface roughness can be obtained by using the end mill inclined in the feed direction.

A different approach was conducted in [19] where an ultrasonic system was developed

for in-process monitoring and control of surface roughness. An ultrasonic sensor connected to

a PC, produced a pulse which was reflected by the surface of the workpiece and measured the
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 11

amplitude of the returned signal. The system once calibrated with data from a stylus

profilometer could produce the actual roughness values. The main advantage was that it was

not affected by cutting fluids and chips as is the case of other in-process schemes.

Additionally, a control scheme that aims at maintaining constant surface roughness

throughout tool degradation was demonstrated.

The argument presented in [20] stated that the length of cut, number of teeth, cutting

forces and the engagement of the cutting tool’s tooth with the workpiece are all affected by

the relative position of the cutting tool and workpiece and consequently tool life, tool wear

and surface roughness are influenced by it.

The relation between vibrations and surface generation was investigated in [21] for slab

milling operations. Since the periodical microgroove structure that is generated by sequential

engagement of the cutter teeth is the primary parameter of surface roughness, it was suggested

that in a dynamic process, the different surface profiles would depend on the amplitude,

frequency and phase of the relative motion between the workpiece and the cutting tool. The

separate contribution of each of the cutter’s teeth to the resulting surface profile was verified

by conducting experiments with known vibrational characteristics.

4.2 Remarks

This is the most conventional approach adopted. The experiment – observation –

conclusion strategy is the cornerstone of every scientific research activity. Its advantage lies

in the fact that it is not difficult to implement and that, depending on the level of

understanding of the participating phenomena, it can produce very good results. On the other

hand, the obtained conclusions have little or no general applicability. It must be pointed out

that it is very easy for an experiment not to produce the expected results because there are too
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 12

many factors to be considered regarding not only the examined phenomenon but also the

equipment that is used.

5. Designed experiments approach

The reason why designed experiments were classified under a different category from

the previous approaches is because they constitute a systematic method concerning the

planning of experiments, collection and analysis of data with near-optimum use of available

resources.

The response surface methodology (RSM) and Taguchi techniques for design of

experiments (DoE) seem to be the most wide-spread methodologies for the surface roughness

prediction problem and are therefore described in principle in the following paragraphs.

5.1 Response surface methodology overview

In response surface methodology, the factors that are considered as most important are

used to build a polynomial model in which the independent variable is the experiment’s

response. In order to find the global minimum of the response, experiments that “prune” the

response surface are designed and conducted and the gradient of the response surface is used

along with a steepest ascent algorithm as follows [22]:

Stage 1:

1. Select the factors to be investigated.

2. Design and run a two level factorial experiment in a localized region of the response

surface.

3. Compute the estimates of the effects and thereby calculate the coefficients of the

linear model:
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 13

Y = b0 + b1 ⋅ X 1 + b2 ⋅ X 2 + ... + bn ⋅ X n

4. Select a reference factor to be used as a guide in determining the appropriate steps

along the direction of each factor in order to continue moving along the path of

steepest ascent.

5. Select a few experimental conditions along the path of steepest ascent and run trials

to determine if the response continues to increase. If the response ceases to increase,

a new path should be generated.

6. If a new path is needed, design and run a new two level factorial experiment. All

previous steps are repeated until no substantial improvement in the response is

obtained. At this point stage 2 is conducted.

Stage 2:

1. Design and run a three level factorial experiment in the region where the path of the

steepest ascent yields no substantial improvement in the response.

2. Compute the coefficients of the model.

Y = b0 + b1 ⋅ X 1 + b2 ⋅ X 2 + ... + b11 ⋅ X 12 + b22 ⋅ X 22 + ... + b12 ⋅ X 1 ⋅ X 2 + ... + bn −1,n ⋅ X n −1 ⋅ X n

3. Using the above model, determine the nature of the stationery point of the response

surface. The stationery point is one where the gradient vanishes.

The sequential nature of RSM allows the experimenter to learn about the process or

system under study as the investigation proceeds. This ensures that over the course of the

RSM application the experimenter will learn (i) how much replication is necessary, (ii) the

location of the region of the optimum, (iii) the type of approximating function required, (iv)

the proper choice of experimental designs and (v) whether or not transformations on the

responses or any of the process variables are required [23].

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 14

5.2 Taguchi techniques for DoE overview

DoE dictates a series of steps to follow for the experiment to yield an improved

understanding of product or process performance [24]:

Planning phase:

1. State the problem.

2. State the objectives of the experiment.

3. Select the quality characteristics and the measurement systems.

4. Select the factors that may influence the quality characteristics.

5. Select levels for the factors.

6. Select the appropriate Taguchi fractional matrices or orthogonal arrays (OAs).

7. Select the interactions that may influence the quality characteristic.

8. Assign factors to OAs and locating interactions.

Execution phase:

9. Conduct the experiment repetitions as described by the OAs.

Analysis phase:

10. Analyze the experimental results, e.g. using analysis of variance (ANOVA).

11. Conduct a confirmation experiment.

There are three types of OAs, dealing with two-level factors, three-level factors and

mixed-level factors. The selection of the appropriate OA is based on the following criteria: the

number of factors and interactions of interest, the number of levels for the factors of interest
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 15

and the desired experimental resolution or cost limitations. The first two determine the

smallest OA that it is possible to use, while the third gives the possibility to conduct a larger

experiment with higher resolution. Resolution can vary from 1 (lowest) to 4 (highest) and it

indicates the clarity with which each individual effect of factors and interactions may be

evaluated in an experiment.

In order to assign the various factors to an OA’s columns, the following mathematical

property should be taken into account. If one factor is assigned to any particular column and a

second factor to any other particular column, a specific third column will automatically have

the interaction of those factors assigned to it. The pattern of which columns will be interaction

columns is known for all of the OAs and it is visualised through the interaction tables and

linear graphs.

5.3 Designed experiments studies

The objective of [25] was to establish a correlation between cutting velocity, feed and

depth of cut with the surface roughness in turning. For that purpose, a plan of experiments,

based on Taguchi techniques, was designed and executed. The results showed that the cutting

velocity had the greater influence, followed by the feed and that the error achieved was

smaller than that of a geometric theoretical model.

An effort to predict surface roughness in turning of high-strength steel based on RSM

was made in [26]. The adequacy of the developed model results was not very good but the

conclusion was that the effect of feed is much more pronounced than the effects of cutting

speed and depth of cut on the surface roughness.

[27] included a total of six parameters, namely the workpiece hardness, feed, tool point

angle, depth of cut, spindle speed and cutting time to build a model for finish turning

operations. Hypothesis testing established the adequacy of the model, while its performance
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 16

was deemed satisfactory. Feed was also identified as the most important factor along with

cutting time.

RSM was also used in [28] for assessing the influence of the past technological

processes of the workpiece material on the surface roughness of the machined surfaces. The

findings indicate which machining parameters have to be used for different combinations of

cutting tool-workpiece material for the achievement of the desired surface roughness. Further

work, regarding the influence of workpiece material properties, cutting parameters and TiN

(PVD) hard coating on the surface roughness of fine-turned workpieces by using Taguchi’s

signal-to-noise response tables and interaction graphs was also conducted by the same

researchers [29].

An extensive work was reported in [30] concerning the role of cutting tool vibrations on

surface roughness during dry turning operations. Six parameters were taken into account,

including the workpiece and cutting tool length and a full factorial design was adopted. The

analysis of variance and interaction analysis of the experimental data revealed that the feed

rate and tool nose radius are the most influential parameters and that the best surface

roughness was achieved with low feed rate, large tool nose radius and high cutting speed.

Furthermore, the amplitude of vibration measured at the tool’s natural frequency and the

variation of this natural frequency indicated that the chip variation acted as a dynamic force

that excited tool vibration.

Two other implementations of the RSM can be found in [31] and [32] where a surface

roughness model is developed for end milling of 190 BHN steel and inconel 718. First and

second order models were constructed along with contour plots that more easily enable the

selection of the proper combination of cutting speed and feed to increase the metal removal

rate without sacrificing surface quality.

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 17

The purpose of the work carried out in [33] was to study the influence of tool geometry

and cutting conditions on the machined surface quality and to build a model that would be

able to predict it. Investigation of the above factors in relation to the residual stresses was also

carried out. The innovation of the work was that RSM and Taguchi’s method were combined

to develop the model.

RSM was also successfully applied for surface roughness modeling of difficult to

machine materials as the EN32 (a semi-free cutting carbon casehardening steel) [34]. A first-

order model covering the speed range 30 – 35 m/min and a second-order model covering the

speed range 24 – 38 m/min were built in terms of cutting speed, feedrate and axial depth of

cut under dry cutting conditions.

5.4 Remarks

Although the common goal of the techniques investigated is to organize the

experimental procedure and the necessary data processing, each follows a different path. The

RSM is mainly a model formulation procedure to investigate how important factors affect the

response of an experiment and leads to the development of first and second order polynomial

models that include the parameters under consideration and their statistical significance.

These models are used to create contour plots that can be more practically utilized to draw

conclusions compared to using a polynomial function. On the other hand, the Taguchi DoE is

more of a factor-screening procedure to determine the significance of each factor, that is, it

identifies the most influential parameters and the values that produce the desired output

without formulating any kind of model. Nevertheless, it must be pointed out that because of

their generality and strong statistical background, certain tasks of these methodologies can be

isolated and applied to a wide range of engineering problems where the size of the search

space must be reduced.

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 18

6. Artificial intelligence approach

Artificial intelligence is implemented in engineering problems through the development

of artificial neural network (ANN) models, genetic algorithms (GAs), fuzzy logic and expert

systems.

Simulating the way in which human beings process information and make decisions, in

the surface roughness prediction problem published work, is based mainly on ANNs and

GAs.

6.1 Artificial neural networks overview

An artificial neural network is an information processing system that displays similar

behavior to that of its biological analog. It is essentially a mathematical model that mimics the

human reasoning and neurobiology and that is based on the following assumptions [35]:

• Information processing occurs in a number of simple elements called neurons.

• Signals are transmitted between neurons over connection links.

• Each connection link has an associated weight that multiplies the signal transmitted.

• Each neuron applies an activation function to the incoming signal to determine its

output signal (Fig. 2).

ANNs are mostly used for pattern recognition, pattern association and classification,

constrained optimization and systems modeling with applications ranging from simple signal

processing to medical diagnosis.

The two main characteristics of an ANN are: (i) the pattern of arrangement of the

neurons, namely the architecture of the network, which generally dictates what type of
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 19

problems can be dealt with, (ii) the method of determining the weights of the connections,

either using a training algorithm generalizing the relation of input to output vectors-examples

(supervised training) or inferring classifications that are inherent to the data and generating

an exemplar vector for each class that is created (unsupervised training).

The most common type of ANNs that have been used in the literature examined is the

feedforward ANNs trained with some variation of the backpropagation algorithm. The typical

architecture of these ANNs can be seen in Fig. 3. The neurons are arranged in layers, i.e. the

input layer, the hidden layer and the output layer, from left to right. The input layer is used to

present the data in the ANN and the output to produce the ANN’s response.

6.2 Neuro-fuzzy systems overview

Fuzzy logic is based on the concept of fuzzy sets. A fuzzy set is a set without a crisp,

clearly defined boundary that is, it can contain elements with a partial degree of membership

(usually between 0 and 1). A more strict definition is that a fuzzy set μ of X is a function from

 
the set X to the unit interval, i.e. µ : X → 0, 1 . The function that defines how each
 

element is mapped to the degree of membership is called the membership function (MF).

If – then rules are used to formulate the “logic” by creating statements that contain

knowledge. The typical form of such a rule is:

If x is A then y is B

, where x is called the antecedent, y the consequent and A and B are linguistic values

defined by fuzzy sets. The outputs of all rules used are aggregated in a single fuzzy set, which

is later defuzzified so as to obtain a single number.

In a neuro-fuzzy system ANNs are used to determine parameters of fuzzy systems

thereby creating or improving a fuzzy system automatically. The implementation of a neuro-

fuzzy system can be made so as the two systems work independently of each other
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 20

(cooperative neuro-fuzzy system) or within a homogeneous architecture (hybrid neuro-fuzzy

system). These systems must not be confused with fuzzy neural networks, which are

essentially ANNs that use fuzzy methods to learn faster or perform better. For a more

complete description of neuro-fuzzy systems please refer to [36].

6.3 Genetic algorithms overview

Genetic Algorithms are search algorithms for optimization, based on the Darwinian

theory of evolution. The power of these algorithms is derived from a very simple heuristic

assumption that the best solution will be found in the regions of solution space containing

high proportion of good solution, and that these regions can be identified by judicious and

robust sampling of the solution space.

The mechanics of a GA are simple and involve the coding of solution states in

chromosomes as a series of binary elements (0 and 1). A set (i.e., population) of candidate

solution states (i.e., chromosomes) is generated and evaluated. A fitness function is used to

evaluate each of the solutions in the population. The chromosomes encoding the better

solutions are broken apart and recombined through the use of genetic operators in succession

to get a new solution (i.e. offspring) that is generally better or more fit, in one generation or

iteration. These operators are essentially mathematical models of genetic operations that take

place in the human body. The simplest form of GA involves three types of operators:

selection (copying of the strings into a “mating pool”, in proportion to their fitness values),

crossover (swapping parent strings partially, causing offspring to be generated) and mutation

(occasional random alteration with a small probability of the value of a string position, in

binary strings, this simply means changing 0 to 1 or vice versa, see Fig. 4.

The genetic operators produce various and different effects according to their individual

or combined use, for instance too-weak selection will result in too-slow evolution. Also,
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 21

without mutation every string in the population might come to have a one at the first bit

position and there would then be no way to obtain a string beginning with a zero [37].

A GA is typically iterated for 50 to 500 or more generations. For the exact description

of how a GA works refer to [37].

6.4 Artificial intelligence studies

A sensor fusion technique was presented in [38] to evaluate the surface roughness and

dimensional deviation during turning. The systematic method for the selection of the

candidate sensors determined the average effect of each in the performance of the measuring

system. The sensors that affected it the most were fused using ANN modeling. The results

showed that the models created with the above technique were more accurate than regression

analysis models that were developed for comparison purposes.

Sensor fusion incorporating ANNs is also described in [39]. Capacitive, inductive and

fibre optic sensors were used so as to cover an as wide as possible range of application by

detecting features that can not be sensed by a single sensor type. The RMS value of the three

sensors along with the type of manufacturing process (face turning, milling, electro-discharge

machining and grinding), all of which were coded in binary format, were used to train a

17×20×15 ANN and the results obtained could be characterized as fairly good.

The work of [40] can be divided in two parts. The first part deals with the building of

three predictive models, using multilayer functional-link networks, for surface roughness,

cutting force and tool life respectively. The second part focused on finding the optimum

cutting conditions by combining surface roughness and tool life network with a genetic

algorithm. In that way, the cutting conditions that maximized the metal removal rate were

obtained, under the constraints of surface roughness and cutting tool life.
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 22

[41] also adopted a two stage approach towards optimizing for surface roughness.

Firstly, experimental results were used to build two mathematical models for surface

roughness by a regression method according to RSM. Secondly, the second-order

mathematical model was taken as an objective function and was optimized with a GA to

obtain the machining conditions for a desired surface finish.

Polynomial networks were considered in [42] to construct the relationships between the

cutting parameters (cutting speed, feed rate, depth of cut) and cutting performance (tool life,

surface roughness and cutting force). In that way, a machining database could be constructed

for turning operations. It was stated that a comparison between polynomial networks and

backpropagation networks has shown that the former have higher prediction accuracy and

fewer internal connections. Additionally, the best network structure was determined by using

an algorithm for synthesis of polynomial networks (ASPN). The principle of the ASPN

criterion is to select a network as accurate as required but as less complex as possible, too.

[43] developed a hybrid machining model that integrated analytical models and neural

network models for predicting all of the machining characteristic factors. The analytical

component was based on the predictive machining theory proposed by [44] and served as a

predictor for the cutting forces, temperature in the cutting region and chip geometry. It also

served as a pre-processor of the neural network model that predicted the tool wear, surface

roughness and chip breakability, which could not be dealt with in a completely analytical

manner.

Another approach that used a criterion for determining a network’s architecture

automatically can be found in [45]. The aim was to develop a prediction model prior to the

implementation of the actual machining process to determine certain cutting conditions

(cutting speed, feed rate and depth of cut) in order to obtain a desired surface roughness value

and cutting force value. Furthermore, using the obtained cutting force, the cutting power and
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 23

optimal metal removal rate could be calculated next. The abductive networks that were

created using the predicted square error (PSE) criterion performed more accurately than the

respective regression analysis models.

In [46] an approach that could evaluate the influence of machine tool characteristics on

cutting processes using adaptive prediction was presented. The network for predicting surface

roughness had as inputs the cutting speed, the affinity between cutting tool and workpiece, the

chip discontinuity (evaluated by the chip strain), the built-up edge formation (evaluated by

average temperature around the cutting edge), the width of flank wear and the theoretical

roughness considering tool wear.

ANN modeling was also used along with designed experiments by [47] in face milling.

The final model was created in terms of feed rate per tooth, depth of cut, engagement of the

cutting tool, use of cutting fluid and the component of the cutting force along the direction of

the feed. The results of this study showed that ANNs can be extremely accurate even when

they are used for complex problems such as finishing of Al alloys. Furthermore, the use of

designed experiments had as a result the systematic screening of the ANN topologies with a

view to optimizing the final topology used.

In the research of [48] an accelerometer was employed as an in-process sensor. After

collecting vibration data from the machine tool-workpiece system during an end milling

process in a CNC vertical machining center, a backpropagation ANN was trained and tested

not only to achieve the goal of in-process surface roughness recognition, but also to increase

production rate and product quality. In addition, a statistical multiple regression model was

also developed and compared with the proposed ANN model. The parameters included were

the spindle speed, feed rate, depth of cut and the vibration average per revolution (VARP). It

was found that the ANN models behaved better under all situations.
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 24

A new technique, an in-process surface recognition system that used the fuzzy-nets and

a sensor-testing system to measure surface roughness in end milling operations was presented

in [49]. The training procedure consisted of five steps: (a) division of the input space into

fuzzy regions, (b) generation of fuzzy rules from given pairs through experiments, (c)

avoidance of conflicting rules, (d) development of a combined fuzzy rules base, and (e)

determination of a mapping system based on the fuzzy rules base. Then the fuzzy rules and

membership functions would be generated and adjusted to meet the requirements of the

control parameters of the milling system. The technique was initially used for one type of

material and cutting tool but it was later expanded by [50] by adding a new set of parameters

including tool diameter and workpiece material.

An adaptive neuro-fuzzy inference system (ANFIS) and computer vision were used to

predict surface roughness in turning in [51]. The computer vision system, comprising of a

digital camera connected to a PC and the appropriate light sources, provided surface images

that were analyzed to calculate the arithmetic average of gray levels (number of shades of

gray). This information as well as the cutting parameters were given, for a total of four inputs,

to the ANFIS and the roughness value could then be obtained.

6.5 Remarks

In spite of the fact that these methodologies were developed decades ago, recent

advances in the field, the ANN training algorithms for example, as well as the rapid increase

of available computing power have brought revived interest among researchers. It is obvious

that the approaches that have been described in this section can produce very good results and

simultaneously offer the possibility for on-line monitoring and/or control of the process.

The main advantages that ANNs have in contrast to classic programming is that they

can manage noisy or incomplete data with ease, there is no need to explicitly formulate the
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 25

problem, the solution algorithm or to write code and that the process of information is

distributed over the neurons which operate in parallel, therefore resulting in increased

computational power in contrast to the sequential operation of today’s computers. The most

obvious drawback of the ANNs is that there is no guarantee for their resulting performance in

an application.

The simplicity of operation and efficiency with multi-criterion optimization problems

are the two main attractions of the GA approach. Since there are ready-for-use GAs available,

it is not necessary to write code for a selected application from scratch. The only prerequisite

is the coding of the data in order to form the chromosomes and the formulation of the

appropriate fitness function. However, the main disadvantage of a GA is that it is very

demanding on computational power since a run can take days to be completed on a typical PC

platform.

7. Conclusions and discussion

The current work presented a review of the different approaches that are used for

predicting the surface roughness and certain remarks concerning each approach can be found

in the respective sections. As is evident from the referenced papers, in recent years there has

been a great deal of research activity in the field and the results that have been produced are

good. The trend that is formed encourages more automated systems building for on-line

monitoring, measuring or control and is mainly driven by the fact that the processes

themselves have been automated to a great extent. All of the methodologies that are presented

here can exhibit advantages and disadvantages when compared to one another, but given this

trend the most promising seem to be the theoretical and the artificial intelligence approaches.

A comparison of these two approaches reveals that A.I. models take into consideration

the particularities of the equipment used and the real machining phenomena, information that
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 26

is stored in the experimental data used to develop the models. On the other hand, the

theoretical approach is based on conventions and idealizations, which are responsible for

errors and limitations. Surprisingly enough, a combined effort that would involve both A.I.

and analytical modeling so as to validate, refine or correct the theoretical models was not

found in the literature.

Other advantages of the A.I. approach are that the models created seem to be the most

realistic and accurate, they probably exhibit the highest level of integration with computers

and that this approach can be used in conjunction with other more conventional techniques.

With these facts taken into consideration, it can be concluded that there are not so many

efforts as would have been expected. The same applies to the existing number of hybrid A.I.

research approaches, such as the neuro-fuzzy systems. The advantages that they offer

(knowledge representation in the form of if-then rules, ANN assisted parameter

determination) should be more than enough to encourage researchers to adopt these

techniques, yet this has not been the case.

Optimization of cutting conditions for a certain surface roughness is another field that

has not received too much attention. GAs and other optimization algorithms could be ideally

used in conjunction with the developed models for the prediction of surface roughness but as

is evident from the above, very few similar approaches have been found.

It must also be noted that despite the fact that accurate models have been developed

there are still issues to be dealt with. Certain cases like high accuracy machining, where

surface roughness is of great importance, are still under investigation and factors such as the

cutting tool’s deflection or the thermal conditions must be introduced to future models for a

more realistic depiction of surface roughness creation. The integration of the existing models

to a more general advisory system, which could be used by a machine tool operator for

example, could be another very useful and practical application.

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 27

Finally, the set of parameters that are thought to influence surface roughness and thus

have been investigated by the researchers, is diagrammatically displayed in Fig. 5.

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LIST OF FIGURES

Figure 1. Surface form deviations (adapted from [1]).

Figure 2. Neuron model.

Figure 3. Supervised learning procedure of a typical feedforward network.

Figure 4. Mutation and crossover genetic operators.

Figure 5. Fishbone diagram with the parameters that affect surface roughness.
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 34

1st order deviation

Nominal Surface

2nd order deviation

3rd order deviation

4th order deviation

Surface roughness

Figure 1. Surface form deviations (adapted from [1]).

p1

w1,1
p2

w1,2

p3
w1,3 Σ f y

w1,4
b
p4
w1,n 1
pn
y=f(Wp+b)
Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 35

Figure 2. Neuron model.

Correction of weights based on

the error between predicted and actual data

Comparison with actual data

Data Input

Hidden Layers

Figure 3. Supervised learning procedure of a typical feedforward network.

Predicting Surface Roughness In Machining: A Review – P.G. Benardos & G.-C. Vosniakos 36

Mutation

1 1 1 0 0 01 1 0 0 1 1 1 01 1 0 0 0 0

Crossover

1111111111 111 0000000

0000000000 0 0 01 1 1 1 1 1 1
Parents Offspring

Figure 4. Mutation and crossover genetic operators.

 Machining Parameters
Process kinematics

Cooling fluid
Cutting tool Properties

Tool material Depth of cut

Stepover

Tool shape
Runout errors Tool angle Feed rate

Nose radius Cutting speed

Surface Roughness
Workpiece diameter Accelerations

Chip formation
Workpiece length Workpiece hardness Vibrations

Workpiece Properties
Friction in the cutting zone

Cutting force variation

Cutting Phenomena

Figure 5. Fishbone diagram with the parameters that affect surface roughness.

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