Journal of Materials Processing Technology 160 (2005) 221228

Residual stresses in turning Part I: Inuence of process parameters

Edoardo Capello
Dipartimento di Meccanica, Politecnico di Milano, P.zza Leonardo da Vinci 32, I-20133 Milano, Italy Received 20 February 2003; accepted 11 June 2004

Abstract It is well known that tensile residual stresses can be highly detrimental for several functional aspects, such as fatigue life, corrosion and wear resistance, etc., whereas compressive residual stresses are usually considered to have a positive inuence on these aspects. The residual stresses that can be found in a mechanical component are mainly generated in the nal steps of the machining process. The level of the generated residual stresses depends on the machined material and on the process parameters used. Therefore, the enhancement of the reliability and longevity of a part imposes that a lot of attention is paid to the residual stress problem in the process parameter selection. Unfortunately the mechanism of residual stresses generation is still not completely clear, and a relationship between process parameters and residual stresses is missing. Consequently, the parameter selection is still performed without considering the residual stress problem. The overall goal of the present paper (in two parts) is to identify an analytical relationship between residual stresses and turning process parameters, accounting also for the material being machined. This relationship is the basis for the optimal parameter selection to enhance the longevity and reliability of a part. Following an empirical approach, in the rst part of the paper the process parameters that inuence residual stresses are identied for three different steels with large differences in mechanical properties. The effect of feed rate, nose radius, entrance angle and depth of cut is investigated using the DOE and ANOVA techniques applied to X-ray diffraction measurements of residual stresses. Results show that the depth of cut does not inuence the level of residual stresses, while the main role is played by feed rate and nose radius, and a mild inuence is exerted by entrance angle. These results are consistent with the three steels investigated, suggesting that the mechanism of residual stress generation is inuenced by process parameters in a common way. An analytical predictive model was then identied for the three steels, including the most relevant process parameters. In the second part of the paper, the inuence of the machined material is empirically assessed. 2004 Elsevier B.V. All rights reserved.
Keywords: Residual stress; Machined material; Process parameters

1. Introduction In the past years, the design of mechanical parts was characterised by a constant increase of the strength to weight ratio. For structural components, this was generally accomplished by using high strength materials, which allowed a decrease of weight through a reduction of volumes. This fact has greatly emphasised the importance of the surface characteristics, which have become critical for the part functionality. About 30 years ago the term surface integrity

Tel.: +39 02 2399 4890; fax: +39 02 7063 8377. E-mail address: edoardo.capello@polimi.it (E. Capello).

was suggested to indicate the surface characteristics that inuence the part functionality (surface roughness, residual stresses, microstructure, etc.) [1]. Among these characteristics, residual stresses play a key role. In fact, fatigue life, as well as corrosion and wear resistance, can be drastically compromised (or enhanced) if tensile (or compressive) residual stresses are present in the part [25]. Residual stresses are generally left in the part by the machining process and, in particular, by the nal nishing operation. In many cases turning is used as nishing operation in the production cycle of shafts. These components are generally subjected to variable loads and are therefore prone to fatigue failure. Hence, the residual stress problem in the turn-

0924-0136/$ see front matter 2004 Elsevier B.V. All rights reserved. doi:10.1016/j.jmatprotec.2004.06.012

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Nomenclature A d k1 , . . ., k4 f m MRR p r R2 Ra Rm Rs V r f r rr % strain to fracture depth of cut (mm) estimated regression coefcients feed rate (mm/rev) material properties material removal rate (mm3 /min) turning process parameter nose radius of the tool (mm) regression coefcient CLA roghness (m) ultimate tensile strength (MPa) yield strength (MPa) cutting velocity (m/min) axial residual stress (MPa) variation in r due to an increase in f (MPa) variation in r due to an increase in r (MPa) back rake angle (deg) primary rake angle (deg) side relief angle (deg) entrance angle (deg) exit angle (deg)

ing of shafts is particularly critical with respect to fatigue life. The residual stresses left by the turning operation depend both on the type of material being machined and on turning parameters. The optimal setting of process parameters to obtain compressive residual stresses (or at least low tensile stresses) might be performed if the relationship among residual stresses, process parameters and characteristics of the machined material is known. Unfortunately, due to the high complexity of the mechanism of residual stress generation, this relationship is still missing. Consequently, no quantitative rules are applied, and the turning parameters are usually selected without considering the residual stress problem. As known, residual stresses are related to the incompatibility between a surface layer and the bulk material. Therefore, any mechanism that generates a variation in the shape or geometry of a surface layer also generates residual stresses. This variation can be due to three mechanisms: mechanical (plastic deformation), thermal (thermal plastic ow) and physical (specic volume variation). More than one mechanism may be present at the same time, and the resulting residual stresses are a superposition of the residual stress generated by the single mechanisms. The past research efforts on residual stresses in machining have been focussed on two main issues. The rst was aimed at the understanding of the basic mechanisms of residual stress generation and of their relative importance. Orthogonal machining, which benets from an intrinsic simplicity

of analysis, was generally adopted as an experimental condition. Both analytic and numeric modelling were used to describe the relationship among machining conditions, material properties and the residual stresses induced by machining. While all authors agree that phase changes, such as austenite to martensite, do not occur in normal machining conditions, there is still a lack of agreement in dening the roles of the mechanical and thermal mechanisms. In his pioneering work, Henriksen [6] found that residual stresses are due to the grain deformation of the surface layer. He therefore identied the mechanical mechanism as mainly responsible for residual stress generation, and considered the thermal mechanism to have a negligible role. This statement was later posed into question by Okushima and Kakino [7], but Lin et al. [8] numerically conrmed that Henriksens hypothesis was probably correct, at least for a sharp tool. Liu and Barash [9,10] suggested that when the ank wear increases, the thermal mechanism may become relevant and inuence residual stresses. They also found that, for a given depth of cut, residual stresses are proportional to the length of the shear plane, but could not give any physical explanation for this. Wu and Matsumoto [11] observed that residual stresses are due to the load cycle, which the material undergoes during machining. They also identied the material deformation (compression) in front of the tool as mainly responsible for the tensile residual stresses found after machining, although their ndings were later posed into question [12]. Barash and Schoech [13] proposed a simple model (based on a simplied description of the slip line led) to predict the depth of the deformed layer. More recent papers tend to reconsider the role of the thermal effect, particularly for the residual stresses of a surface layer. MSaoubi et al. [14] experimentally veried a correlation between tool temperature and the in-depth prole of residual stresses, while Jacobus et al. [12] proposed a thermoplastic model of metal ow under the ank of a cutting tool to predict the full in-plane biaxial residual stress proles, and results were in good agreement with experimental data. It can be concluded that, despite all these efforts, the mechanism of residual stress generation is still far from being completely understood, and several crucial issues still have to be investigated. In particular, the actual inuence of the mechanical and thermal mechanisms on the residual stress generation still has to be fully assessed. The second research issue on residual stresses was aimed at the prediction of residual stresses in industrial machining (mainly turning and grinding). Considering the turning operation, Jang and Seireg [15] proposed a model to predict hoop residual stresses on steel, while Jang et al. [16] investigated the inuence of turning conditions on hoop residual stresses of austenitic steel. Mittal and Liu [17] presented a regression model to predict the in-depth curve of residual stress for hardened steel. In a recent paper, Capello et al. [18] determined the inuence of four process parameters, and proposed a model to predict axial residual stresses. However, in all these studies a sound interpretation of the mechanism of residual stress generation is missing, and the derived models are purely em-

E. Capello / Journal of Materials Processing Technology 160 (2005) 221228 Table 1 Mechanical properties and chemical composition of the investigated steels Steel Chemical composition (wt.%) C Fe370 C45 39NiCrMo3 NA 0.43 0.39 Mn NA 0.67 0.70 Cr NA 0.85 Mo NA 0.19 Ni NA 0.8 Mechanical properties Rm 510 685 855 Rp0.2 350 435 670 A 20.8 16.5 14.7

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pirical. The main problem of this kind of approach is that the application of the identied models to materials different from the ones investigated in the papers requires an experimental phase to estimate the model parameters. Although based on the same empirical approach, the present paper aims to overcome this problem. In fact, the main goal of the paper is the denition of the relationship among surface residual stresses, turning parameters and material characteristics for steels. Surface residual stresses have been investigated as they are of primary concern when fatigue life is considered, as the fatigue crack generally nucleates at the surface. In simple analytic terms, the goal of the present work is to identify the following relationship: r = r (m, p) (1)

Fig. 1. Process parameters of a cylindrical turning operation.

where m is a vector that accounts for the material properties and p is the vector containing the turning parameters that do inuence residual stresses. In the rst part of the present paper the elements of the p vector will be identied for three steels presenting large differences in mechanical characteristics. In the second part of the paper, the study will be addressed to the empirical identication of the m vector of the material properties that have the largest inuence on residual stresses. At last, an analytical model will be identied which can be used to predict the surface residual stress generated during the turning of a generic steel, different from the ones investigated in the present work. This model is therefore the basis for the optimal turning parameter selection, considering the enhancement of the functionality of a turned part as an objective.

2. Design of the experimental phase The experimental investigations were extended to three steels which can be considered to have low, middle and high mechanical characteristics. The UNI-ISO Fe370, C45 and 39NiCrMo3 steels were selected. The mechanical properties of these steels, measured on round specimens taken from the same lot of material used for the experiments, are reported in Table 1, together with the typical chemical composition. The C45 and 39NiCrMo3 steels, which are usually adopted for structural components, were hardened and tempered, while the Fe 370 was annealed before machining. The steel bars (diameter 40 mm) were preliminarily turned with 1 mm depth of cut to reduce the dimensional irregular-

ities and to reduce any possible residual stress state due to prior manufacturing. The turning parameters were selected on the basis of the results of a previous work by the author [18] to induce a low stress state and a small deformed layer. The main parameters of a cylindrical turning operation are reported in Fig. 1. Considering the geometry of the machining and the results reported in a previous work [18], it was supposed that the parameters that may affect residual stresses should be the feed rate f, the nose radius r, the depth of cut d and the entrance angle . The exit angle , the side relief angle and the back rake angle were considered of minor importance and held constant during the experimental phase. The experiments were planned using the Design of Experiments technique [19]. A separate experimental plan was implemented for each steel, as will be discussed further. In order to replicate the typical industrial conditions, a general purpose carbide insert was used (TCMT16T302-04-08), with side relief angle = 0, primary rake angle of = 6 and a back rake angle = 7 (STGCR-STECR-STDCR-2525M16). The process parameters that were not included in the experimental plan were carefully maintained constant. In particular, the cutting velocity was xed at 120 m/min, and the cutting uid ow rate (4% emulsiable oil) was held at 3 dm3 /min during the experiments. Axial residual stresses were measured at two random sites for each specimen using an X-ray diffractometer. The main characteristics of this apparatus are the following: geometry, = 0, Cr tube (27 kV, 6 mA), scintillation detector, Lorentz correction applied, vanadium lter, 0.01 mm average measurement depth, 1 mm opening collimator, 3 mm2 measurement area. The alignment of the measuring device was carefully tested and the zero setting controlled with iron powder. Due to the relatively large radius of the specimens, no correction was made for the curvature [20].

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Fig. 2. Main effects plot of axial residual stress for the UNI-ISO 39NiCrMo3 steel. Table 2 Experimental plan for the UNI-ISO 39NiCrMo3 Factor Depth of cut d (mm) Entrance angle (deg) Feed rate f (mm/rev) r = 0.2 (mm) r = 0.4 (mm) r = 0.8 (mm) # of levels 3 3 2 3 2 Levels 0.20.51 456090 0.050.1 0.050.10.25 0.10.25 Table 3 Experimental plan for the UNI-ISO Fe370 Factor Depth of cut d (mm) Entrance angle (deg) Feed rate f (mm/rev) r = 0.2 (mm) r = 0.4 (mm) r = 0.8 (mm) # of levels 2 3 2 3 2 Levels 0.51 456090 0.050.1 0.050.10.25 0.10.25

In order to better understand the inuence of tool wear, a preliminary investigation was designed and executed. A bar of Fe370 was turned (f = 0.05 mm/rev; r = 0.4 mm, d = 1 mm), and the machining was halted at set intervals in order to measure residual stresses and tool ank wear. Results indicate that residual stresses increase in a rst stage (about 30 s of tool-workpiece contact time), and then remain almost constant for about 7 min. Based on this result, in the experimental phase the carbide inserts were rst used for 90 s on a sacricial workpiece, and then utilised for the experiments up to 5 min of total contact time. In this way, the inuence of tool wear on residual stresses was reduced, and the variation in residual stresses could be better ascribed to the process parameters investigated.

3. Results and analyses 3.1. Development of the experimental analyses The rst experimental plan was performed on the 39NiCrMo3 steel, which presents the highest mechanical characteristics. All the four parameters f, r, d, were varied at the levels reported in Table 2. Three different nose radii (0.2, 0.4, 0.8 mm) were investigated and a specic range of optimal (as suggested by the tool producer) feed rates was selected for each nose radius.

Fig. 2 reports the main effects plot for the measured residual stresses. As can be seen, residual stresses are positive (tensile stresses) in all the investigated conditions, and the mean level is about 400 MPa. Feed rate and nose radius have a strong impact on residual stresses, while the inuence of the entrance angle and of the depth of cut is mild. In particular, an increase in feed rate and nose radius leads to an increase in f residual stresses. This increase is of about r 500 MPa r for an increase in feed rate and of about r = 380 MPa for an increase in nose radius. The analysis of variance (ANOVA) performed on these data has pointed out that feed rate, nose radius and entrance angle signicantly inuence residual stresses, while the depth of cut and all the interactions do not seem to affect their level (with a family error rate of 10%). The hypotheses of the ANOVA (normality and homogeneity of variance of residuals) where tested and veried (5% error rate). The second experimental plan was performed on the steel with the lowest mechanical characteristics, that is the Fe370. Once again, all the four parameters f, r, d, were varied, but, due to the lack of inuence found in the rst experimental plan, only two levels were selected for the depth of cut. The designed plan is reported in Table 3, and Fig. 3 reports the main effects plot for the measured residual stresses. As can be seen, also for this steel an increase in feed rate or in nose radius implies an increase in residual stresses. The overall mean level of residual stresses is greatly reduced (about 10 MPa),

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Fig. 3. Main effects plot of axial residual stress for the UNI-ISO Fe370 steel.

and residual stresses can be positive (tensile stresses) or negative (compressive stresses) depending on the level of process parameters. The increment in residual stresses due to a variation in process parameters remains almost the same as for the f 39NiCrMo3 (that is r 500 MPa and rr 380 MPa), while the inuence of the parameter seems to be increased. The ANOVA conrms that the f, r, parameters do inuence residual stresses, while the depth of cut d and the interactions play a negligible role (with the same error rate indicated above). A nal experimental plan for the material with intermediate mechanical properties (C45 steel) was designed and executed. Only the f, r, parameters were varied, while the depth of cut was xed at d = 1 mm, as it was considered to have no inuence on residual stresses (as for the two steels with higher and lower mechanical properties analysed in the previous investigations). The experimental plan is reported in Table 4. Once again, the main effects plot (reported in Fig. 4 and the ANOVA conrmed the results found for the rst two experimented steels. The mean residual stress (about

Table 4 Experimental plan for the UNI-ISO C45 Factor Entrance angle (deg) Feed rate f (mm/rev) r = 0.2 (mm) r = 0.4 (mm) r = 0.8 (mm) # of levels 2 2 30.050.10.25 20.10.25 Levels 6090 0.050.1

360 MPa) is intermediate between the ones of the two materials described above, while the increments in residual stresses f r and rr due to a variation of process parameters remain almost the same. The above analysis suggests the existence of a common mechanism of residual stress generation for the three investigated steels. A decrease in residual stresses can be observed when the feed rate or the nose radius are decreased, or when the entrance angle is increased. Moreover, considering that f r and rr do not seem to depend on the machined material, it can be hypothesised that the role of process parameters

Fig. 4. Main effects plot of axial residual stress for the UNI-ISO C45 steel.

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Fig. 5. Predicted vs. measured residual stresses. Table 5 Estimated parameters and regression coefcients for the investigated steels Steel Estimated parameters k1 Fe370 C45 39NiCrMo3 2.718 3.781 3.597 k2 0.313 0.294 0.333 k3 0.075 0.021 0.040 k4 3.42 3.45 1.42 Regression coefcient, R2 0.75 0.89 0.94

effective process parameters. The inuence of the material is not explicitly represented in this equation, and a specic set of the k1 , . . ., k4 parameters has to be determined for a steel different from the ones analysed in the present work. This is the main limit of empirical models, which will be overcome in the next part of the paper. 3.3. Technological analysis

in the mechanism of residual stresses generation is the same regardless of the machined material. The material seems to affect only the mean level of residual stresses, and this fact will be better analysed in the second part of the paper. 3.2. Regression analysis The measured data have been analysed in order to obtain a regression model common to the three investigated materials. Although the functional form proposed in [18] still ts the experimental data, a different form is here adopted, which presents an analytic structure which is more convenient for the analyses that will be described in the second part of the paper. The proposed regression equation is: r = 1000 log (k1 f k2 r k3 ) k4 (2)

The obtained results can be used to give some suggestions to enhance the surface integrity of a turned part. Results show

where k1 , . . ., k4 , are positive parameters. Table 5 lists the estimated parameters and the regression coefcients for the three investigated steels, and Fig. 5 reports the predicted residual stresses versus the measured ones. The hypotheses of the regression analysis (normality and homogeneity of variance of residuals) were tested and veried with an error rate of 5%. As can be derived, there is a fairly good agreement between predicted and measured values, especially for steels with medium-high characteristics. Consequently, Eq. (2) can be used to predict the surface residual stress in axial direction as a function of the most

Fig. 6. Rules for the parameter selection in order to enhance the surface integrity of a turned part.

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that the feed rate is the most effective parameter to reduce residual stresses but, on the other hand, the feed rate also inuences surface nish, and the well known relationship [21]: Ra = 1000 f 2 32 r (3)

models this inuence. Moreover, the feed rate also affects the material removal rate: MRR = Vfd . Consequently, it can be suggested that a small feed rate should be used to reduce residual stresses and surface roughness. To compensate for the decrease of MRR, a large depth of cut can be adopted, as it does not inuence either residual stresses or surface nish. The nose radius should be selected as a compromise between residual stresses and surface roughness (an increase in nose radius leads to a reduction in surface roughness but also to an increase in residual stresses, and vice versa. The entrance angle should be selected close to 90 , even if the need for machining stability may impose a smaller angle. These simple rules are synthesised in Fig. 6.

process parameter that will generate the desired residual stress state. From the experimental analysis, a simple set of rules were derived, which can be used when steel shafts have to be machined. These rules aim to the optimal selection of turning parameters of steels considering their inuence on MRR, on surface roughness and on residual stresses. The derived rules suggest that in order to obtain low residual stresses, an entrance angle of 90 should be used, together with a low feed rate. The reduction in MRR due to the low feed rate can be compensated with an increase in depth of cut. The optimal nose radius derives from a compromise between residual stresses and surface roughness, as a large nose radius enhances the surface nish but increases residual stresses, and vice versa. In the next part of the paper the inuence of the material properties on residual stresses will be analysed and discussed, obtaining a predictive model that can be used for a wide spectrum of steels.

Acknowledgements 4. Conclusions The papers presents an experimental study on the relationship between turning parameters and residual stresses. Three steels, presenting large differences in mechanical characteristics, were machined in different process conditions, and the following conclusions can be drawn. In turning, surface residual stresses in axial direction can be tensile or compressive depending on process parameters and on the characteristics of the machined material. A material with higher mechanical properties will present larger (more tensile) residual stresses. The relationship between the most relevant process parameters and residual stresses is the same for all the investigated materials. This fact suggests the existence of a common mechanism of residual stress generation that does not depend on the mechanical properties of the material. The material only inuences the mean level of residual stresses. Considering the industrial range of variation, the inuence of the process parameters on residual stresses is as follows; feed rate, tool nose radius and, to a minor extent, entrance angle inuence residual stresses. The depth of cut, on the contrary, does not seem to inuence residual stresses. Considering the results reported in a previous work by the author [18], also the cutting velocity and the primary rake angle play a minor role. Consequently, it can be stated that the key parameters that control residual stresses in turning are the feed rate and the nose radius. A simple regression model is proposed here, which accounts for the inuence of the most relevant process parameters. This model can be used in the selection of the The authors wish to thank Barbara Perini and Fabio Giacobbi for their help in the experimental phase.

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