1 INTRODUCTION

There are several methods of changing the geometry of bulk material to produce a mechanical
part:

1. by putting material together (+)

2. by moving material from one region to another (0)
3. by removing unnecessary material (−)

These operations may be performed on the atomic, micro, or macro scales. For example,
electroplating and electroforming are plus operations at the atomic level while the fabrication of a
structure by welding is a plus operation at the other end of the spectrum (macro joining). Rolling,
forging, and extrusion are examples of (0) operations performed at the macro level while surface
burnishing is at the micro level. Removal operations (−) with which this book is concerned are
performed primarily at the macro level (cutting).
Another way of classifying operations is in terms of the temperature pertaining. Mechanical
properties are related to the amplitude of vibration of adjacent atoms which varies linearly with
absolute temperature. The melting point of a metal represents a critical temperature where
the amplitude of atomic vibration is sufficient to cause a structural change from that of a solid to
that of a liquid. At equal percentages of melting temperature on the absolute temperature scale,
metals have similar properties and this suggests an homologous temperature (TH) scale which
corresponds to the fraction of the melting temperature on the absolute (K or R) temperature scale.
Metals deformed below TH = 0.5 behave differently than those deformed above TH = 0.5. Deforma-
tion below TH = 0.5 is called cold working and takes place primarily within individual crystals
and is relatively strain rate insensitive but strongly strain sensitive (strain hardening). Deformation
above TH = 0.5 is called hot working, occurs primarily by grain boundary rearrangement, and is
relatively strain rate sensitive but insensitive to strain (negligible strain hardening). Machining
that occurs at temperatures above TH = 0.5 is called hot machining. For example, steel has a
melting temperature of about 1540 °C (2800 °F) or 1540 + 273 = 1810 °K (or 2800 + 460 =
3260 °R). For hot machining, steel should be cut at an homologous temperature of at least
TH = 0.5 (or 630 °C or 1160 °F).
There are still other ways of classifying material removal operations that will be developed in
subsequent chapters of this book.

1
2 METAL CUTTING PRINCIPLES

IMPORTANCE OF MATERIAL REMOVAL

The importance of material removal operations in the scheme of things may be realized by consider-
ing the total cost associated with this activity, including expendable tool cost, labor cost, and cost
of capital investment. In the United States, the yearly cost associated with material removal has been
estimated at about 10% of the gross national product.
The importance of the cutting process may be further appreciated by the observation that
nearly every device in use in our complex society has one or more machined surfaces or holes.
There are several reasons for developing a rational approach to material removal:
1. to improve cutting techniques—even minor improvements in productivity are of major
importance in high volume production
2. to produce products of greater precision and of greater useful life
3. to increase the rate of production and produce a greater number and variety of products with
the tools available
All basic fields of industrial endeavor have taken similar paths in the course of their develop-
ment. The earliest work has generally been carried out on a purely empirical basis and in many
instances such activities have been highly developed by following the case method. While this
method presents a clear picture of each specific job, a great many cases must be considered before
sufficient examples have been presented to enable all common situations to be covered. This
approach has been extensively used in metal cutting as well as in other fields, such as machine
design, hydraulics, metallurgy, and even such nonengineering activities as law and medicine. The
weakness of the method lies in its failure to provide a direct means for solving problems which lie
beyond the range of current experience. Each new case that is established must be arrived at by a
costly procedure of trial and error.
Not too many years ago, steam turbines and power machinery were designed largely in
accordance with the judgement of the designer, rather than by following the more rational approach
involving stress analysis that is in wide use today. Similarly, the design of hydraulic conduits and
machinery that once was done by rule-of-thumb procedures is now being accomplished largely with
the art of the principles of fluid mechanics. In the field of metallurgy, steelmaking is being carried
out by considering it a special problem in physical chemistry instead of employing the age-old
recipe technique. Metal cutting tools and procedures are still largely established by the old case
method. This activity has resisted the impact of modern technology and the scientific method,
mainly due to the complexity of the operations but also partly due to the attitude held toward metal
cutting in engineering schools.
Traditionally, metal cutting has been part of the training of mechanical engineers. However,
in the past, a trade-school approach was generally adopted, emphasis being placed entirely upon
nomenclature, the mastery of machine manipulation, and the learning of a large number of dis-
connected empirical rules. In some instances, the major objective has actually been the production
of trinkets, thus appealing to the hobby instincts of the student rather than developing the ability
to apply fundamental concepts.

APPROACH TO SUBJECT
In this treatment of the subject we will consider the cutting process in fundamental terms. The
objective is to explain a number of commonly observed results rather than to present a large mass of
 INTRODUCTION 3

empirical constants and a large number of empirical relationships of limited applicability. In this
first chapter, we will briefly consider the subject from a qualitative point of view. Basic definitions
and concepts will be given and discussed. The wide scope of material removal will be presented and
the relation to other fields of science and engineering indicated.

CLASSIFICATION OF MATERIAL REMOVAL OPERATIONS

The entire field of material removal may be divided into the following categories mainly in terms
of the size of the individual elements removed:
• cutting
• grinding
• special techniques
Cutting operations involve the removal of macroscopic chips in the form of ribbons or particles
having a thickness of from about 10 −3 in (0.025 mm) to 10 −1 in (2.5 mm). A wide range of kinematic
arrangements briefly discussed in the next chapter are involved in cutting. Grinding operations
usually involve subdivision of the material removed into smaller particles than in cutting. Grinding
chips will usually range in thickness from 10 −4 in (0.0025 mm) to 10 −2 in (0.25 mm). Other removal
techniques such as electrochemical machining (ECM), electrodischarge machining (EDM), ultra-
sonic machining (UM), or electron beam machining (EBM) involve chips of atomic or submicro-
scopic size.

OVERVIEW OF THE CUTTING PROCESS

The chisel (Fig. 1.1) was probably one of the first cutting tools used by man. The earliest stone im-
plements were undoubtedly blunt as shown in Fig. 1.1a but as experience was gained, the import-
ance of three basic angles became apparent—the rake angle (α ), the clearance angle (θ ), and the
setting angle (ζ ) (Fig. 1.1b). Modern tools have a wide variety of forms and their geometry and
kinematics differ considerably from those of the chisel. However, all of our modern tools have
effective rake, clearance, and setting angles.
Certain superficial observations may be made by merely observing a metal cutting tool in
operation. These include

Fig. 1.1 Probable forms of early

cutting implements. (a) Blunt
implement. (b) Implement of
improved design requiring less
effort. [θ = clearance angle. ζ =
setting angle. α = rake angle.]
4 METAL CUTTING PRINCIPLES

1. The basic difference between the cutting of wood and metal. Formerly it was believed
that when metal was cut, the material merely split off in front of the tool as the tool ad-
vanced—like the chip formed when an axe splits a log. When thickness of a metal chip is
measured and compared with the depth of layer removed, it is found that the chip is thicker
than the actual depth of layer removed and the chip correspondingly shortened.
2. There is essentially no flow of metal at right angles to the direction of chip flow. For the
purpose of simplifying the geometry involved in cutting, it is advantageous to start with a
two-dimensional process. We then need to consider what happens in but one representative
plane. Although most cutting operations involve tools and processes which are not strictly
two dimensional, many processes such as planing, sawing, and certain turning operations are
essentially two dimensional. Later we will briefly discuss the complications introduced by
the three-dimensional aspects of cutting tools.
3. Flow lines are evident on the side and back of a chip. These lines suggest that cutting
involves a shearing mechanism.
4. Some chips are in the form of a continuous ribbon while others are cyclic.
5. The chip, tool, and workpiece are hot to the touch. Considerable thermal energy is associ-
ated with the cutting process.
The significance of these observations will be discussed in subsequent chapters.
A photomicrograph of a partially formed chip reveals much concerning the cutting process
(Fig. 1.2). Such photomicrographs are obtained in the following manner. During the course of a
cutting operation, the tool is brought to a sudden stop. Then the tool is carefully removed leaving
a partially formed chip attached to the workpiece. The section of the metal in the vicinity of the
partially formed chip is cut from the workpiece and mounted in plastic for convenience in handling.
The mounted specimen is ground and polished to produce a very smooth flat surface. Next, the
polished surface is etched with a fluid such as a 1% mixture of nitric acid in alcohol which reacts at
different rates with the different components of the metal. The etched surface of the specimen is
photographed through a microscope. Examination of a photomicrograph of a partially formed chip
such as that of Fig. 1.2 reveals

Fig. 1.2 Photomicrograph of par-

tially formed chip. Work material,
AISI 1015 steel cut at 24 f.p.m.
(0.13 m s−1) using water + 0.1 w/o
NaNO2. Undeformed chip thick-
ness (t) = 0.005 in (0.125 mm).
 INTRODUCTION 5

1. There is generally no crack extending in front of

the tool point.
2. A line separates the deformed and undeformed
regions. Line AB in Fig. 1.2 divides the work
from the chip. The material below this line is unde-
formed. The chip or material above the line has
been deformed by a concentrated shearing pro-
cess. When the line AB is projected perpendicular
to the paper and parallel to itself, it describes what
is known as the shear plane (Fig. 1.3), making an
angle φ with the direction of cut. Fig. 1.3 Orthogonal (two-dimensional) cutting process.

3. The chip is in intimate contact with the rake face of the tool from A to C and is subject to a
substantial shear stress sufficient to cause the secondary subsurface to shear (as evident in
Fig. 1.2 along the tool face).
4. The rate at which metal is deformed along shear plane AB is high as a consequence of the
thinness of the region in which shear occurs.

OTHER CHIP TYPES

Not all chip formation involves a steady state where a chip in the form of a continuous ribbon of
uniform thickness is involved as in Fig. 1.3. In some cases chip formation is cyclic.
A stationary nose or built-up edge (BUE) such as that shown in Fig. 1.4 sometimes forms at
the tip of a tool and significantly alters the cutting pro-
cess. The BUE is one of the major sources of surface
roughness and also plays an important role in tool wear.
Data regarding BUE formation are in Chapter 9.
Other types of cyclic chip formation are
• discontinuous (Fig. 1.5a)
• wavy (Fig. 1.5b)
• sawtooth (Fig. 1.5c)
Figure 1.5a shows a sequence of high-speed motion
pictures when machining a very brittle material. Period-
ically a crack extending across the chip width initiates
at the tool tip and rapidly progresses from A to B. This
causes the segment above AB to eject as stored energy
is released. As the tool progresses, material below AB
is extruded upward as a new chip is formed. Frame 40 is
identical to frame 1 and a new cycle begins. Material con-
taining points of stress concentration such as graphite
flakes in cast iron or manganese sulfide inclusions in
a free machining steel frequently produce chips in the Fig. 1.4 Photomicrograph of partially formed chip show-
form of discrete particles. Further discussion of dis- ing large built-up edge (BUE) and portions of BUE along
continuous chip formation is given in Chapter 15. finished surface and face of chip. Work material, AISI
Figure 1.5b shows a wavy chip produced when the 1020 steel; cutting speed, 90 f.p.m. (4.84 m s−1); fluid,
shear angle (φ) fluctuates cyclically between high and low air; t = 0.008 in (0.2 mm).
6 METAL CUTTING PRINCIPLES

(a)

B B
A A
1 2 10 25 40

(b)

1 mm

(c)

Fig. 1.5 Cyclic chip types. (a) Discontinuous. (b) Wavy. (c) Sawtooth.

values for any one of a number of reasons. This type of chip formation is considered in detail in
Chapter 21.
Figure 1.5c is a photomicrograph of a sawtooth chip, which derives its name from its resem-
blance to a saw blade. This type of chip formation is far more difficult to analyze than steady state
chip formation and will be discussed in detail in Chapter 22.

CHIP FORMATION ANALYSIS

The first step in a consideration of the mechanics of chip formation is to identify correctly the type
of chip involved (steady state, BUE, discontinuous, wavy, or sawtooth). If, at the outset of a metal
cutting analysis, an incorrect chip type is assumed, the results obtained may be misleading. It is
extremely difficult to predict the type of chip that will form and the best way of determining this is
experimentally. A very few cuts under the conditions of interest will clearly indicate the type of
chip involved and hence the type of analysis to be applied.
The friction between the chip and the tool plays a significant role in the cutting process. This
friction may be reduced by
 INTRODUCTION 7

1. improved tool finish and sharpness of the cut-

ting edge
2. use of low-friction work or tool materials
3. increased cutting speed (V)
4. increased rake angle (α )
5. use of a cutting fluid
When tool face friction is decreased there is a
corresponding increase in shear angle and an accom-
panying decrease in the thickness of the chip. As shown
in Fig. 1.6, the plastic strain in the chip decreases as Fig. 1.6 Effect of small (φ1) and large (φ 2) shear angle
the shear angle increases. The length of the shear plane on chip thickness (tC) and length of shear plane for a
is seen to be significantly decreased as the shear angle given tool and undeformed chip thickness (t).
increases. The force along the shear plane will increase
as the area of the shear plane increases, assuming the
shear stress on the shear plane remains constant.
The temperature of a cutting tool may reach a high value particularly when a heavy cut is taken
at high speed. This is evident when the work or tool is touched; by the presence of temper colors on
the chip, work, or tool; or may even be evident due to the loss of hardness of the tool point with an
attendant loss of tool geometry and failure by excessive flow at the cutting edge.
The operational characteristics of a cutting tool are generally described by a single word —
machinability. There are three main aspects of machinability:
1. tool life
2. surface finish
3. power required
These important items will be considered in detail later.

REGIONS OF INTEREST
There are three regions of interest in the cutting process. The first area shown in Fig. 1.7 extends
along the shear plane and is the boundary between the deformed and undeformed material or the
chip and the work. The second area includes the interface between the chip and the tool face, while
the third area includes the finished or machined surface and the material adjacent to that surface. We
are primarily interested in the plastic deformation characteristics of the material cut in the first area,
the friction and wear characteristics of the tool–work
combination in the second area, and the surface
roughness and integrity of the finished surface con-
stituting the third area.
The understanding of what happens in each of
the three major regions of the cutting process
involves a knowledge of several fields of engineering
and science including
1. solid state physics
2. engineering mechanics Fig. 1.7 Principal areas of interest in machining.
8 METAL CUTTING PRINCIPLES

3. materials science
4. engineering plasticity and fracture mechanics
5. fundamentals of lubrication, friction, and wear
6. basic concepts of chemistry and physics
7. principles of physical metallurgy
8. thermodynamics and heat transfer
In subsequent chapters some of the fundamental concepts of these many fields of endeavor will be
reviewed and applied to the cutting process.

PROCESS OPTIMIZATION
Since material removal is a workshop related activity where very strong economic or production
rate constraints pertain, it is important that the selection of tools, fluids, operating conditions, etc.,
be based upon a rational optimization procedure. Therefore, the basic principles of engineering econ-
omics will be presented and applied to optimize typical removal operations at appropriate points
in the text. While the most important optimization variable is usually total cost per part (including
tool, operator, and overhead costs), there are occasions when maximum rate of production must
take precedence (as in the case of a production bottleneck or a national emergency); consequently,
both of these points of view are covered by optimization procedures discussed at several points
throughout the text.

HISTORY
Early attempts were made to explain the mechanics of cutting in fundamental terms in the nineteenth
century and Finnie (1956) has reviewed some of this early work as has Zorev (1965). Shaw (1968)
has reviewed some of the major metal cutting studies of the first half of the twentieth century, as has
Komanduri (1993).

REFERENCES
Finnie, I. (1956). Mech. Engng. 78, 715.
Komanduri, R. (1993). Appl. Mech. Rev. 46/3, 80–132.
Shaw, M. C. (1968). In Metal Transformations. Gordon and Breach, New York, p. 211.
Zorev, N. N. (1965). Metal Cutting Mechanics. Pergamon Press, Oxford.