Flat Lapping Part I of a Two Part Article By: J. D.

Wise A while back I had a small part made from tool steel which needed to be flatter and smoother than I could machine it. Lapping seemed to be the answer, but although I knew that lapping could achieve very high levels of accuracy, I had never actually lapped anything. Over the years I had heard and read a number of descriptions of lapping, but many of them seemed to contradict what the others said. So, as befits an academic, I embarked on a program of research to discover the truth about lapping. This article summarizes what I found. First a disclaimer: most of this article is based on book learning rather than practical experience. My "formal" training in metalworking did not treat abrasive methods as precision techniques: precision work was done in the lathe and the mill, the grinder was used for rough shaping tool bits by hand, and lapping was something we did to the valves in the car's engine to make it run better. Part I. Background 1. Precision Machining The lathe and mill are the traditional precision machine tools, but at some point they run out of steam. Taking a cut of 1/10,000 inch with a good surface finish requires a tool which is carefully shaped, carefully aligned, and very sharp. And of course a workpiece that's soft enough to be cut by the tool in the first place, and a tool which is hard and tough enough to stay sharp for the duration of the cut. The next level of precision is typically achieved by abrasive techniques, specifically grinding, honing, and lapping. Precision grinding is basically an extension of milling and turning where the tool bit or cutter is replaced by a grinding wheel. This affords several improvements: harder material may be worked, smaller cuts taken, and a smoother finish produced. But as in the lathe and mill, the resulting accuracy still depends on the precision of the machine. So, for example, cylindrical grinding can be done in the lathe with a toolpost grinder. Although finer cuts can be taken, the work will be no rounder or straighter than turned work. Also, because normal forces are higher in grinding than in turning, accuracy and surface finish can deteriorate due to deflection or chatter. The precision produced in grinding depends on both the machine and on the wheel. However, there is another class of abrasive operations, typified by honing and lapping, where the precision of the machine contributes little or nothing to the quality of the final result. Lapping in particular seems like a miraculous process: using only simple hand tools, it can produce surfaces which are perfectly flat, perfectly round, perfectly smooth, perfectly sharp, or perfectly accurate. Although not actually miraculous, nor capable of absolute perfection, lapping can accomplish some fairly impressive feats. Under the right circumstances it can: 1. Impart or improve precise geometry (flatness, roundness, etc.). 2. Improve surface finish. 2a.Improve surface quality. 3. Achieve high dimensional accuracy (length, diameter, etc.). 4. Improve angular accuracy (worm gears, curvic couplings, etc.). 5. Improve fit. 6. Make tools sharper. The technique that machinists call lapping appears, with occasional variations, in a variety of other fields. The dictionary definition of lap is "a rotating wheel or disk holding an abrasive or polishing powder on its surface, used for gems, cutlery, etc." In fact the origin of the word comes from "lapidary" (from the Latin lapidarius meaning "of stone") where such a wheel is used to cut, shape, and polish gemstones. Other examples of related techniques include the

watchmaker's polishing operations, the woodworker's shaping of plane soles and irons, and the grinding and polishing of mirrors and lenses in optical work. 2. Abrasive Basics Let's start by looking at how an abrasive works. Figure 1a shows an abrasive grain lying on the surface of a workpiece. If we apply a force, a high level of stress will be produced at the point of contact. Since the grain is harder than the work, it will penetrate into the surface of the work, as shown in Figure 1b. If the pressure is small (within the elastic limit of the material) the deformation will not be permanent. As we increase the pressure and the grain is forced further into the surface, what happens depends on the nature of the material. For a ductile material, when the elastic limit is exceeded, the material will be displaced by plastic flow (Figure 1c). For a brittle material, when the elastic limit is exceeded, a chip will be dislodged by brittle fracture (Figure 2). Material Removal Now, suppose that after pressing the grain into the surface of the work, we move it laterally. If the pressure is light and we haven't exceed the material's elastic limit, the material will move out of the way ahead of the grain and return to its original place behind, like a boat moving slowly through water. At this level of pressure, the grain is simply rubbing along the surface of the work. Because of the friction between the grain and the work, force is required to move it and heat will be produced. If we increase the force past the yield point, the workpiece material will be permanently displaced into a raised region on either side of the groove formed by the grain, as in a plowed furrow. This is called, appropriately enough, plowing, and is accompanied by the production of heat, both from the sliding friction between the grain and the work, and from the internal friction of the material as it is deformed. As the pressure and resultant depth of penetration continue to increase, the amount of material built up in front is more easily displaced ahead of, rather than to the side of the grain, and a chip is formed (Figure 3). We have finally reached the regime of cutting. Figure 3. This is similar to the way in which a chip is produced by a cutting tool, but because of the highly negative effective rake angle it is formed by extrusion rather than by shear. Note that in the cutting regime, both plowing and rubbing are also taking place. In a brittle material, there will be a succession of fractured chips, rather than a continuous extruded chip. The effort required to remove a given amount of material (called the "specific energy") depends on the size of the chip. Regardless of the chip size, a certain amount of the applied lateral force goes into rubbing and plowing, which removes no material. At the onset of cutting, these forces predominate, and a large force is required to produce a small chip. As the normal force increases, the depth of penetration and hence the thickness of chip increase and a greater proportion of the applied force goes into producing the chip. Hence as the size of the chip increases, the work required to remove a given volume of material decreases. This is why a coarse grit removes material faster than a fine grit: With coarse grit, a small number of large grains penetrate deeply into the work, producing a small number of large chips with high efficiency. With a finer grit, the applied normal force is spread over a larger number of smaller grains so the depth of penetration of each will be less. More of the lateral force goes to rubbing and plowing and less to removing material.

Abrasive Wear and Breakdown So much for the workpiece, what happens to the abrasive grain itself? Although very hard, it's not infinitely strong and is subject to failure or breakdown via several mechanisms. Because it is typically quite brittle, it will fracture when local stresses exceed its elastic limit. Since stresses are highest at the sharpest points, these tend to be the first to break. Depending on its friability, the grain may either fracture in such a way as to leave another sharp point or edge behind, or the sharp corners may be broken off, leaving behind a smoother, less sharp surface. If the grain is held in a fixed orientation, this will take the form of a "wear flat." If free to rotate, it will eventually assume a "round" shape. This wear can be accelerated chemically. For example, the mutual affinity of iron and carbon means that a diamond will wear rapidly when used to grind steel, in spite of its much higher hardness. Flat Lapping Part II of a Three Part Article By: J. D. Wise 3. Flat Lapping Let's suppose that our goal is to produce a flat, smooth surface on a piece of (possibly hardened) steel. For convenience, assume that it is already "almost flat." Suppose further that we have a reference surface (e.g. a surface plate) that is "flat enough." We could transfer the flatness of the reference indirectly by scraping: high spots are marked by a layer of dye on the surface plate and removed by the scraper. But by making the reference surface abrasive, we can transfer its flatness directly. 3.1. Lapping with Bonded Abrasive If we lay a piece of sandpaper grit side up on the surface plate, then surface of sandpaper should also be flat. Now lay the work side-to-be-flattened down on top of the sandpaper. As Figure 4 shows, the high spots on the work will contact the abrasive grains (as at a and b) while the low spots will not. This is the same situation as in scraping except instead of marking dye we have abrasive grains between the surfaces. Now, if we slide the work over the plate, the high spots will be marked, not with blue spots, but with scratches. Furthermore, instead of a small spot of blue being added to the work, a small chip will be removed from it. If we continue to rub the work over the sand paper, the high spots will gradually be worn down. Eventually, the entire surface of the work will be in contact with the surface of the sandpaper, and since it was flat, the work must be flat. In fact, things are more complex than this. For one thing, although the surface plate may be a precision component, the sandpaper isn't. The thickness of the paper and the abrasive coating are not precisely controlled, and the abrasive grains are not all the same size. So the local thickness of the sandpaper varies and its surface is not as flat as the surface plate. Another problem is that although the grains themselves are hard, the paper is soft. As pressure is applied between the work and the plate, the soft paper backing is compressed, and lower parts of the work will be abraded as shown in Figure 5. This isn't a serious problem: since the pressure is higher in the compressed areas, the high spots will still wear more quickly. What is more of a problem is that the surface beneath the work is lower than the surrounding surface, like a shallow basin. Since the work is adapting to the surface of the grit, and this surface is curved at the edges of the work, the edges

of the work will be rounded off as shown at (a) in Figure 5. A similar basin will result if only a portion of the sheet is used. The active grains will be worn down, leaving the surrounding grains not only higher, but sharper. These problems can be reduced by using a thinner, harder backing and a finer abrasive. For example, lapping film uses a 0.003" thick Mylar backing coated with very fine abrasive. In spite of its shortcomings, this procedure works fairly well. In particular this is the process that woodworkers refer to as lapping and use to flatten the soles of planes and the backs of plane irons and chisels. The idea of transferring an accurately flat abrasive surface to the work is also used in surface grinding and in sharpening with an oilstone. However, as the wheel or stone wear and loose their flatness, they must be resurfaced by dressing, while replacing the worn sandpaper restores both sharpness and flatness. 3.2. Lapping with Free Abrasive The problems caused by flexibility and uneven coating could be eliminated by placing the abrasive grains directly on the flat reference surface. You wouldn't want to try this with your surface plate but the idea appears frequently using less expensive (and somewhat less flat) reference surfaces. Watchmakers use loose grit or a mixture of grit and oil on a piece of glass as the first step in polishing flat steel pieces. Another technique employed by woodworkers uses a hardened and ground piece of steel called a lapping plate which is sprinkled with loose grit and rubbed with the plane iron or chisel to be flattened. Optical workers produce extremely accurate flat (or spherical) surfaces using a slurry of grit and water between pieces of cast iron or glass. Let's see how this works. Assume we have two pieces of material, the tool which is "flat enough," and the work, which is "almost flat," with loose abrasive grains between them. Figure 6 shows the site of one of these grains. For now let's also assume that both pieces are of the same material, e.g. hardened steel. If we apply a force between the work and tool, we produce a sort of mutual hardness tester with the grit as the indenter and the work and tool as the test pieces. Since the work and tool are of the same material, the grain will penetrate to the same depth into each. Now if we slide the work over the tool, this will cause the grain to roll, as shown in Figure 7. If the penetration is deep enough, the advancing edge of the grain will dislodge a chip from the work, the tool, or both. However, unlike the case with bound abrasive, this chip will be a small particle, rather than a long thin sliver. There will also be a pit with a raised edge left behind due to plastic deformation, similar to the plowing caused by a sliding grain. If the tool and work are brittle (e.g. glass) the result will be similar, but the chips will result from brittle fracture and the pits will not have raised edges. In an actual application, there are a large number of grains between the two surfaces so the situation is similar to that with sandpaper, except that the grains are in direct contact with the reference surface and they are free to roll rather than fixed in position and orientation. If the work and tool are rubbed together, those grains in contact with both surfaces will roll, pitting the surfaces and dislodging small, dustlike chips. In a ductile material, the pits are typically a small fraction of the grain size (2% to 5% for hardened steel). In a brittle material such as glass the strain can propagate well beyond the point of contact. In this case the depth of the pit can be a significant fraction of the diameter of the abrasive grain, large enough to hold and immobilize some of the grains. If the rolling of the grit is free and unimpeded, the wear on both the work and the tool will be in the form of uniform pitting, which has a dull, gray appearance. If the rolling of the grains is retarded, for example by a heavy grease vehicle, or if some grains become stuck in the tool (or work) then the surface will be a combination of a dull "background" along with brighter, directional scratches. 3.3. Distribution of Wear If the surface of the work is uneven, the pressure, and hence the rate of wear, will be greatest at the high spots of the work, tending to flatten it. However, unlike the case with sandpaper, this

wear is taking place both on the high spots of the work, and on the reference surface directly beneath the high spots. If the work and reference have the same hardness, they will wear at the same rate, and the flatness of the reference will be destroyed at the same rate that that of the work is improved. This would indeed be the case if we simply moved the work back and forth in a fixed pattern. However, if we move the work over the tool in such a way that each point on the work is moved over each point on the tool, each point on the tool will be worn by the same amount. Although the tool's surface will be lower, it will keep the same shape, i.e. it will still be flat. On the other hand, since the high spots on the work are staying in the same place on the work, they will be worn faster than the surrounding areas, until they are no longer high. Eventually, all spots on the work will be even with the tool and the work will be flat. 3.4 Mutual Refinement Implicit in the principle of uniform wear is the assumption that the reference surface is smooth so that it is possible for every point on it to be rubbed and worn by the work. Suppose that instead of a flat tool and an unflat piece of work, we have two pieces, neither of which is flat. For convenience, let's assume they are of the same material, shape (round), and size. If the two surfaces are placed together, they will come in contact at their relative "high spots." If a layer of abrasive is introduced between the two and they are rubbed together, material will be removed most rapidly at the points of closest contact. As these points are worn down, other points will come into contact and begin to wear. Eventually, all points of the two surfaces will be in contact, and they will be perfectly matched. What's more, they will be in contact at any point along the path of rubbing. If the two are rubbed together with frequent changes in relative orientation and direction of motion, then the resulting surfaces will be in contact at any relative position or orientation. The only curve satisfying these conditions is the sphere, so the surfaces must be spherical, one concave, the other convex. This principle is used in optical work to produce and refine the spherical surfaces of lenses and mirrors. If the surfaces are horizontal, and the work and tool are roughly the same size and shape, then the surface on top will tend to become concave (or more concave) and the one on the bottom convex (or less concave). Variations in the pattern of rubbing can also control the direction and rate of change of the radius of curvature. If three surfaces are rubbed together in all possible pairings until each is in uniform contact with the other two, then each surface must be (a) spherical, (b) convex, and (c) concave. Since the only sphere which is both convex and concave is one of infinite radius, then each of the three surfaces will be perfectly flat. Mutual refinement can also take place in the lapping process itself, where the level of precision is improved or maintained as the work and the tool wear against each other. This is the case in cylindrical lapping where, due to the geometry, the roundness and straightness of both the work and the lap are simultaneously improved. In lapping machines, steel cylinders called "truing rings" provide a controlled wear mechanism which tends to return the plate to flatness. 3.5 Lapping with Embedded Abrasive In the previous three sections, we assumed that the work and the tool were both of the same hardness, with the grit rolling between the two. What happens if one is significantly softer than the other? Figure 8 shows the situation where the tool is softer than the work (and of course both are softer than the grit). Since the pressure between the grain and the tool is approximately the same as that between the grain and the work, the grain will penetrate more deeply into the softer tool. If a lateral force is now applied, the grain will tend to stay embedded in the tool and a "long" chip will be removed from the work. If this is done by sprinkling grit on the tool and rubbing with the work, some grains will roll around before becoming embedded and there will be some wear on the lap as is the case with hard lap

and work. It is also possible to "charge" the lap before use by covering it with grit and driving it into the plate without rubbing, either with a hardened roller or a hardened plate. Even so, grains will become dislodged during the course of working and cause some wear to the lap. However, this will be significantly less than the rate of wear of the work, so the lap should hold its form well, especially if its entire surface is used uniformly. An embedded lap us usually recharged regularly by adding fresh grit and rubbing, rolling, or pounding it in. However, some rotary embedded laps, particularly those using diamond grit, are used extensively with only an initial charge. These may be thought of as being diamond grinding wheels rather than laps. The general rule for lapping with embedded abrasive is that the tool should be softer than the work. The softer the lap, the more secure the embedding. Hence copper and lead laps are used for softer work or for finishing. The sign that embedding is occurring is the nature of the surface of the work: a dull, pitted surface implies rolling while a bright, scratched one implies embedding. 4. Summary: The Principles of Lapping 4.1 Abrasive Basics Principle 1: For a given grain size, the rate of removal of material is proportional to the local pressure between the grain and the work. Principle 2: For the same applied forces, both the depth of penetration (and hence scratches) and the net rate of removal decrease as the grain size decreases. Principle 3: As grit wears, it will become smaller and possibly smoother (round or flat, depending on whether it is free or bound). 4.2 Distribution of Wear Principle 4: Those regions of the surfaces in closest contact will wear most rapidly. Principle 5: If the rate of wear on a surface is uniform, the surface will retain its shape. 4.3 Refinement of Form Principle 6: If two surfaces are rubbed together with abrasive between them, they will eventually be in contact over their entire areas. The nature of the resulting surface depends on the path of the rubbing motion. Principle 7: Two surfaces in contact at all relative positions and orientations must be spherical. Principle 8: Three surfaces, each in contact with the other two in all relative positions and orientations, must be flat. 4.4 The Lapping Process Principle 9: A flat (or other suitable) reference surface can be transferred to a workpiece via an intermediate layer of abrasive. This layer may be bonded to, imbedded in, or rolling on the reference surface. 5. Lapping in Metalworking There are many applications of lapping in precision metalworking. We can divide these into two categories: equalizing lapping and form lapping. Equalizing lapping is used to establish or improve the fit between two components of an assembly. In this case, the two shapes mutually improve each other, and a non-embedding form of lapping is usually desired. Examples of this are lapping together of gears to improve smoothness of running or the lapping of valves into their seats to improve the seal. In form lapping, the concern is to establish some absolute geometric shape or dimension, such as flatness, roundness, parallelism, length, or diameter. For flat surfaces, this is usually done by producing an accurate reference surface and transferring it to the work by means of embedded lapping. Cylindrical objects can be lapped by rolling them between two flat laps. Cylindrical lapping (both internal and external) may also be performed using a cylindrical lap. Complete spheres, such as ball bearings, may be produced to a high degree of accuracy by specialized lapping processes. In addition to high geometric accuracy, useful characteristics of lapping include low removal rate, cool operation, low surface roughness, and high reflectivity. 5.1 Lapping Machines The lapidary's lap is a soft metal disk (typically tin or copper) rotating about a vertical axis, charged with an abrasive, and usually run wet. Machines for lapping metal have the same basic

form, but contain a number of refinements. Figure 9 is a simplified representation of a lapping machine. The lapping plate (usually cast iron) is grooved to insure even distribution of the abrasive, which is applied in the form of a slurry. The parts to be lapped are placed inside the truing rings which, due to the difference in drag around their circumference, rotate in the direction shown. This rotation has two purposes: it keeps the workpieces in motion, insuring that they are lapped evenly, and it equalizes the wear on the lapping plate, helping to maintain its flatness. For small workpieces, a pressure plate fitting inside the ring is used to increase the applied force.

Figure 9. By adding a second lapping plate facing downward and replacing the truing rings with appropriate fixtures, workpieces may be lapped parallel or cylindrical. A high degree of parallelism may be achieved by redistributing the workpieces several times during the course of the lapping. In this way any tendency to form a wedge will be eliminated by redistributing the high spots uniformly around the surface. This is how gage blocks are made. 5.2 Hand Lapping Although conceptually simple, lapping machines are expensive and often quite large. In the home shop, lapping is usually done by hand. In this case, the lapping plate remains stationary and the work is rubbed across it by hand. The pattern of rubbing must cover the entire plate to evenly distribute the wear and maintain flatness. A lapping plate may be produced by grinding, scraping, or the mutual refinement process described above. Plates for finishing are usually smooth, but roughing plates are often grooved in a circular, radial, or square pattern. The grooving provides a reservoir for fresh abrasive and a repository for swarf. The lapping plate may be charged continuously, with loose abrasive, slurry, or paste applied before each use, or it may be given an initial charge with loose abrasive which is rolled or pounded in and used repeatedly before recharging. 5.3 Lap Materials The traditional material for the flat lapping of hardened steel are cast iron and brass. In cylindrical lapping, the mutual refinement process is essential to producing accurate geometry, so laps of copper and lead are often used. The softer laps also produce a smoother finish and allow softer materials to be lapped. Some low-precision lapping operations use free abrasives with a hard lap, such as hardened steel or glass. 5.4 Abrasives The abrasives used in lapping include those used in grinding and other metalworking operations: aluminum oxide, silicon carbide, and diamond. These are available as loose grit, as premixed pastes, or in bonded abrasive sheets with cloth, paper, or plastic (lapping film) backings. Because of the low temperatures involved in lapping, diamond may be used successfully on steel and CBN is not necessary. However, boron carbide lapping compounds are available as an economical diamond substitute. Other (softer) abrasives are used in polishing, for example rouge (iron oxide), cerium oxide, tin oxide, and chrome oxide. 5.5 Fluids Although lapping can be performed dry, in most cases a liquid is used along with the grit. The most commonly used fluids are water, kerosene, oil, and grease. This fluid may have one or more of several purposes:

1. A vehicle for carrying the abrasive. In hand lapping the grit can be sprinkled onto the lapping plate. A more uniform distribution and easier application can be achieved by mixing the grit into a slurry or paste. In machine lapping where continuous replenishment of the grit is necessary, supplying the abrasive in a slurry is an essential part of the process. 2. A lubricant. The lateral force in abrasion due to rubbing between the grain and the work is only a small fraction of the total, so lubrication can provide only a slight improvement in efficiency. More important is rubbing between the lap itself and the work, where lubrication can prevent sticking and galling. 3. A coolant. Heat is not a problem in hand lapping, but machine lapping, even though much cooler than grinding, can generate significant amounts of heat. 4. Control of grit motion. A viscous medium such as heavy grease can retard the rolling motion of the grit, resulting in an abrasive action which is a hybrid of rolling and cutting. 5. Removal of debris. As the work is worn away, particles of swarf collect on the surface of the lap. If these are not flushed away, they will build up to the point where they will clog the lap. 6. Chemical action. In some cases the lapping fluid acts chemically on the work material to accelerate the lapping process. 5.6 Polishing As the lapping process progresses through increasingly finer abrasives, the size of the resulting scratches becomes smaller. As these approach the wavelength of light (about 1/2 micron or 2/100,000 inch) the surface goes from a dull, diffusely reflecting to a bright, specularly reflecting one. However, if the hardness of the lap is maintained as the particle size is reduced, it becomes difficult to achieve this bright finish uniformly across the surface of the work. In polishing for cosmetic purposes, a soft backing is used to allow the polishing abrasive to conform to the shape of the work. This same principle is used in precision polishing, but care must be taken to see that the backing is not so soft that it destroys the accuracy of the surface. One approach is to use a lap of softer material, such as tin, copper, lead, or even wood. Another is to use an intermediate flexible layer between a hard reference surface and the work. 6. Summary: Characteristics of Lapping 1. Accurate Geometry. Highly accurate plane, spherical, or cylindrical surfaces may be generated or imparted by lapping. 2. High Dimensional Accuracy. Material is removed from the workpiece at a slow, consistent rate. This makes it easy to control dimensions to a high degree of accuracy by controlling the amount of time the piece is lapped. 3. Slow. The down side of the low removal rate is that unless the work is very close to the required dimension and shape when lapping is begin, it will take a long time to get it there. 4. High Surface Finish. Highly reflective surfaces with roughness down to a few microinches are easily achieved. 5. High Surface Quality. Because of the low temperatures and forces involved, surface damage is much lower than grinding or cutting operations. 6. Simple Tools. Unlike conventional machining where high precision requires sophisticated machinery, lapping needs only a flat plate and some grit. However, the accuracy achieved depends strongly on the skill with which these are employed. 7. Bibliography As I said, much of this was learned from books. Here are a few of them. ASTME (1949). Tool engineers handbook. McGraw-Hill, New York. Deve, C. (1945). Optical workshop principles. Adam Hilger, London. Farago, F. T. (1980). Abrasive Methods Engineering, Vol. 2. Industrial Press, New York. Ingalls, A. G., ed. (1946). Amateur telescope making, advanced. Scientific American, New York. Ingalls, A. G., ed. (1951). Amateur telescope making: book one [4th ed.]. Scientific American, New York. Moore, W. R. (1970). Foundations of mechanical accuracy. Moore Special Tool Co., Bridgeport. Nakazawa, H (1994). Principles of precision engineering. Oxford. Rabinowicz, E. (1970). Polishing. Scientific American, v218, p91. Shaw, M. C. (1996). Principles of Abrasive Processing. Claredon Press, Oxford. Twyman, F. (1952). Prism and lens making; a textbook for optical glassworkers. Hilger & Watts, London