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Journal of Materials Processing Technology 185 (2007) 4659

Development of hybrid predictive models and optimization techniques for machining operations
I.S. Jawahir , X. Wang
Center for Manufacturing, Department of Mechanical Engineering, University of Kentucky, Lexington, KY 40506-0108, USA

Abstract This paper presents a summary of recent developments in modeling and optimization of machining processes, focusing on turning and milling operations. With a brief analysis of past research on predictive modeling, the paper presents the analytical, numerical and empirical modeling efforts for 2D and 3D chip formation covering the development of a universal slip-line model, a comprehensive nite element model, and integrated hybrid models. This includes a newly developed equivalent toolface (ET) model and new tool-life relationships developed for machining with complex grooved tools. At the end, a performance-based machining optimization method developed for predicting optimum cutting conditions and cutting tool selection is presented. The paper also highlights the need for considering a machining systems approach to include the integrated effects of workpiece, cutting tool and machine tool. 2006 Elsevier B.V. All rights reserved.
Keywords: Machining performance; Modeling; Optimization; Cutting tools; Slip-line model; Finite element model

1. Introduction Machining operations constitute a large segment of the manufacturing sector in the U.S. However, a recent CIRP (The International Institution for Production Engineering Research) working paper [1] reports the survey results of a major cutting tool manufacturer as . . . In the USA, the correct cutting tool is selected less than 50% of the time, the tool is used at the rated cutting speed only 58% of the time, and only 38% of the tools are used up to their full tool-life capability. . . . This situation urges the need for developing more scientic approaches to select cutting tools and cutting conditions for optimum economic and technological machining performance. Selection of cutting tools and cutting conditions represents an essential element in process planning for machining. This task is traditionally carried out on the basis of the experience of process planners with the help of data from machining handbooks and tool catalogs. Turning and milling operations are among the most common machining operations performed in automotive, aerospace and other application industries. Process planners continue to experience great difculties due to lack of performance data on the numerous new commercial cutting tools with different materi

als, coatings, geometry and chip-groove congurations for high wear resistance and effective chip breaking (in turning), etc. Also, specic data on relevant machining performance measures such as tool-life, surface roughness, chip-form, etc., are hard to nd due to lack of predictive models for these measures. Consequently, the process planners are forced to choose and recommend sub-optimal cutting conditions for machining operations. While signicant emphasis is being placed on developing comprehensive predictive models for machining performance, the progress so far has been very limited due to the inherent complexities involved in the actual machining operations often associated with the inconsistencies in work material and cutting tool properties and the machine tool conditions. Also, the analytical and numerical tools and techniques used for predicting machining performance measures are less accurate and quite time consuming, even though the computational power has been continuing to increase to date. 2. A summary of the state of the art in modeling and optimization of machining operations 2.1. Fundamental work and renewed interest for developing predictive performance models The well known early model for 2D machining by Ernst and Merchant presented an analytical approach as an alternative to

Corresponding author. Tel.: +1 859257 6262; fax: +1 859257 1071. E-mail address: jawahir@engr.uky.edu (I.S. Jawahir).

0924-0136/$ see front matter 2006 Elsevier B.V. All rights reserved. doi:10.1016/j.jmatprotec.2006.03.133

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the highly empirical-based approaches prevalent until then [2,3]. Lee and Shaffer [4] followed Merchants work by applying plasticity theory to the machining problem. Palmer and Oxley [5] studied the chip formation process using cine lming methods and provided a variable ow stress model for shear zone in machining. Roth and Oxley [6] followed up this work with ow streamlines using printed grids and constructed a slip-line eld from measured ow velocities. Dewhurst [7] showed that the machining process, with quasi-static curled chip formation, is not uniquely dened by any given set of steady state cutting conditions. It was also shown that a decrease in friction reduced the chip curvature but increased the forces, chip thickness and contact length. Oxley and his co-workers developed a comprehensive predictive theory for machining involving variable ow stress theory [8]. In recent years, a greater emphasis has been placed on developing predictive models for machining performance measures, most notably by Usui in 1988 [9]; Merchant in 1993 [10]; Armarego in 1996 [11]; Oxley in 1998 [12]; and Jawahir and Balaji in 2000 [13]. International collaborative effort in this area has resulted in three major keynote papers: one at ASME in 1997 [14] and two other papers at CIRP in 1998 and 2003 [15,16], all highlighting the need for developing predictive performance models for machining operations. The CIRP has been largely instrumental in bringing out a renewed interest among international researchers with its founding of an international working group in 1995 under the leadership of Professor C.A. van Luttervelt. This major milestone activity picked up its momentum with the beginning of an annual international workshop series on modeling of machining operations in 1998, and the rst workshop was held in Atlanta, GA, USA which was attended by 72 researchers from 14 countries. This workshop was also co-sponsored by the National Science Foundation (USA), and the North American Manufacturing Research Institute of the Society of Manufacturing Engineers (NAMRI/SME). In continuing with this major event, so far six workshops have been organized in different countries, and an excellent collection of contributions has been produced in the form of workshop proceedings containing all presented papers, summary of discussions, etc. [1722]. The 7th workshop will be held in May 2004 at ENSAM, Cluny, France, where a total of 40 technical papers are expected to be presented, while the 8th workshop is planned

for 2005 to be held in Chemnitz, Germany. The recent CIRPsponsored survey conducted by Armarego et al. concludes that a majority of research groups worldwide are active on developing empirical models for predicting machining performance while signicant effort is being made on developing analytical and FEM-based numerical models [23]. Tool-life, surface roughness, part accuracy and chip control are identied to be among the most needed machining performance measures for predictive models. 2.2. Traditional methods for machining optimization The role of objective function in optimization of machining operations is extremely important but is often difcult to dene due to the complex interactions that take place during the machining process. Traditional approaches in machining optimization have been limited to objective functions related to cost or productivity [2427]. Although such an objective is desirable, the more critical role of optimization lies in the need for optimizing the various machining performance measures for higher productivity and enhanced product quality. The conicting machining performance requirements, depending on specic applications, result in the need for the optimization of machining processes by the selection of the most suitable cutting conditions and cutting tools, as well as by the suggestion for achieving optimized machining performance. Almost all relationships between the performance variables and process parameters employed by previous research are approximated by power functions with xed empirical coefcients. This may be attributed to the nonavailability of quantitatively reliable machining performance models relating the machining performance measures to the process variables. The lack of technological performance data and equations, as well as detailed machine tool specications and capabilities, has limited the widespread use of the available optimization strategies [11]. Traditional approaches have not fully considered the need for performance predictions. For example, the functional requirement of chip breaking, and the associated use of commercial complex grooved tools in turning operations, are generally ignored in these methods. Early work on optimization of multi-pass machining operations shows the economic benets of machining [28]. Most recent research demon-

Fig. 1. (a) Extended universal slip-line model and (b) its hodograph for machining with grooved tools [34].

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strates the use of advanced computer-aided methodologies and intelligent techniques for multi-pass machining optimization [2932]. However, the most needed performance-based optimization methods were lacking in these works, despite the use of advanced tools and techniques for optimization. 3. Predictive models for machining operations 3.1. Fundamental work on 2D and 3D chip formation models Recent work on modeling of machining operations involves the development of an analytical predictive model to take account of the cyclic chip formation process including chip curl, and chip breaking [33]. The fundamental work involving plasticity applications in machining has recently led to the development of a universal slip-line model by Fang et al [34]. Based on the rigid-plastic and plane-strain assumptions used in the classic slip-line theory, the model takes into account of both, the chip up-curling, and chip back-ow effects and incorporates six previously developed slip-line models for machining during the last six decades as special cases: Dewhursts model [7], Shi and Ramalingams model [35], Kudos model [36], Johnsons [37] and Usui and Hoshis [38] models, Lee and Shaffers model [4], and Merchants model [3]. This universal slip-line model has been validated through extensive cutting tests covering a wide range of cutting conditions. By incorporating an additional chipgroove backwall force, the universal slip-line model is extended for machining with restricted grooved tools as shown in Fig. 1, where AC is a convex upward shear plane; , , 1 , and 2 are four slip-line angles; and Fb and Nb are frictional and normal forces acting on the chip-groove backwall. This model has subsequently been extended to include the effects of strains, strain-rates and temperature by combining it with Oxleys classic predictive model [8] through an iterative process matching the cutting forces obtained in machining with grooved tools [39]. Further work includes the establishment of toolchip interface frictional conditions and the effects of chip-groove parameters (groove width, backwall height, etc.) on chip formation [40]. Recent efforts by various active researchers on developing numerical/computational techniques to simulate the machining processes are signicant [4145]. A numerical model for 2D cutting with a grooved tool insert was developed with a thermal rigid-viscoplastic material model and was later extended to include the cyclic chip formation [46]. Fig. 2 shows the freebody-diagram developed for this cyclic chip formation and a typical set of results obtained from this nite element analysis for stresses, strain-rates and temperatures. Recently, this model has been used in conjunction with a damage mechanics model to study the development of void growth and coalescence in order to relate it to the chip breaking process [47]. With a thermal elasticviscoplastic material model, residual stress formation in orthogonal machining has also been studied [48]. An operation-based 3D machining model has been developed for predicting cutting forces and chip ow angle in turning operations involving the use of a nose radius tool having a nite cutting edge radius [49]. This work was subsequently extended

Fig. 2. (a) The free body diagram showing the forces acting on the chip, and (b) and (c) a set of typical results obtained from the nite element analysis for machining with grooved tools.

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to include the effects of chip sidecurl and the related toolchip tribological interactions [50]. Fig. 3 shows the variations in toolchip contact in machining with at-faced and a grooved tools. This work shows that variable toolchip interface frictional conditions, prevalent in machining typically with complex grooved tools, can be interrelated to the tool-wear mechanisms and the associated chip-forms produced in machining. 3.2. Predictive models for machining performance 3.2.1. Surface roughness prediction Surface roughness, an important functional requirement of a machined component, also serves to maintain dimensional accuracy and tolerances. The arithmetic average for surface roughness is generally expressed in terms of feed, f and the tool nose radius, re . Although different, but similar, geometric relationships for average surface roughness exist, none, however, fully correlates with the measured values in nish machining. These relationships are also not uniquely acceptable in present-day nish machining operations involving complex grooved tools and varying edge geometry conditions. Hence, there is an urgent need for developing predictive models for surface roughness and surface integrity. Fang and Jawahir [51] showed the surface roughness variations in relation to changes in operational parameters, work materials and chip-breaker types. Wide variations are seen in the measured surface roughness for different work materials employing the same cutting conditions. Turning operations also give much higher measured surface roughness (Ra ) values than the predicted theoretical values in the nish turning range [52]. Therefore, a database is established for various work materials and cutting tools by measuring Ra experimentally for a set of different cutting conditions. Ra was represented as a function of feed and depth of cut, and the effect of cutting speed was found to be very minimal in the nish turning region [53,54]. Developing accurate empirical relationships for predicting surface roughness has been an ongoing research work and recent attempts includes the use of work material properties along with cutting conditions and tool geometry including the edge geometry conditions such as the cutting edge (hone) radius. 3.2.2. Chip-form/chip breakability prediction Chip-form/chip breakability is considered as a basic requirement in automated machining, particularly in turning operations. The recently developed universal slip-line model can be used for predicting chip curl and other machining variables for machining with grooved tools [34,39]. This model has subsequently been extended to include the effects of chip-groove parameters [40]. Also, by using the custom-built, nite element modeling techniques, the effects of cutting conditions, tool geometry, chipgroove parameters on stresses, strains, strain-rates and temperatures are predicted [4648]. In the ongoing work, the previously established denition of chip-form/chip breakability has been used, which assumes that the size, shape and difculty/ease of chip producibility determine the levels of chip breakability. According to the denition, the values of chip breakability range between 0 and 1, with 0 for absolutely unbroken chips and 1

Fig. 3. Variable toolchip contact in (a) at-faced tools; (b) grooved tools; (c) complex chip back- and side-ow mechanisms in turning with a grooved tool [50].

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3.2.3. Tool-life prediction Even though various tool-wear mechanisms do exist, it is generally known that the gradual (progressive) tool-wear is produced by temperature-dependent mechanisms. The extended Taylor equation [55] is usually considered a good approximation to predict tool-life T, which is expressed in terms of cutting speed V, feed f and depth of cut d with empirical constants C, n, m, and l as: T = C V 1/n f 1/m d 1/ l (1)

Fig. 4. A typical chip chart (experimental).

for well broken chips [51]. The predictive model for chip breakability is developed from chip charts is similar to the one shown in Fig. 4, and it utilizes an interactive intelligent technique to predict chip breakability for a given set of cutting conditions, tool geometry, and work material for effective chip-groove proles generated using analytically predicted chip ow direction as shown in Fig. 5.

When machining with at-faced tools, either the ank wear (VB) or the crater wear (KT) is often considered to be the major measure for tool-life despite the the fact that the tool-wear process includes several other concurrently occuring tool-wear types. In practice, the exact type of tool-wear that contributes to end of useful tool-life is difcult to dene. An early work has clearly shown the effect of combined tool-wear types as contributing to the total tool failure [56]. The difculty of determining the fractional contributions of concurrently occurring various tool-wear types is compounded with the use of grooved tools where the effects of chip-groove parameters and the mechanism of chip ow have been shown to inuence the tool-wear process signicantly. More recent work on tool-life includes the effects of tool coatings and chip-groove geometry, and the cor-

Fig. 5. Predicted chip chart for an effective chip-groove prole.

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responding tool-life equation is expressed as [57] T = TR Wg VR V


Wc /n

sequent passes. The reciprocal of tool-life will be dened as the wear rate R. (2) R= 1 1 = V n3 f n1 d n2 T kmC (4)

where T is the tool-life, V is the cutting speed, n is the Taylors tool-life exponent, Wc is the tool coating effect factor, Wg is the chip-groove effect factor, TR is the reference tool-life, and VR is the reference cutting speed. The coating effect factor Wc and the chip-groove effect factor Wg is determined as n Wc = nc km and Wg = n n f 1d 2 (3)

where n3 = 1/nc and C = TR (VR )1/nc . If a tool insert has been used in N known previous operations, the tool-wear index, w can be dened as:
N N

w=
i=1

R i ti =
i=1

1 V n3 f n1 d n2 ti kmC i i i

(5)

where nc is the actual tool-life slope modied by the coating effect, which can be determined from the actual tool-life, and m is machining operation effect factor (with m = 1 considered for turning), n1 , n2 and k are empirical constants. Jawahir et al. [58] and Li et al. [59,60] have presented a new, validated methodology for measuring the multiple toolwear parameters in grooved tools. Fig. 6 shows these measurable tool-wear parameters for a generic grooved tool. It is apparent that accurate estimation of tool-life in grooved tools heavily depends on accurate prediction of the concurrently occurring tool-wear rates at different locations of a grooved tool. 3.2.4. Effect of progressive tool-wear The general prediction of machining performance is based on the assumption that cutting tools are fresh in every pass. However, in the actual machining process, cutting tools are subjected to progressive tool-wear on different tool faces. The machining performance will vary signicantly with the progression of the overall tool-wear which leads to different optimum cutting conditions for a given cutting tool at different wear states. In multi-pass turning operations, if the same tool insert is used for all passes, the effect of tool-wear must be considered in all sub-

where Vi , fi , di and ti are cutting speed, feed, depth of cut and the time interval of the i-th operation, respectively. For varying cutting parameters with time in the operation, w can be rewritten as:
N

w=
i=1 0

ti

Ri dt

=
i=1 0

ti

1 V n3 f n1 d n2 dt kmC i i i

(6)

According to the denition, the tool-wear index for a new tool insert is 0. And, the tool is considered failed if the toolwear index reaches 1. The machining performance for the tool after some known usage w can be predicted by p = Wp (w) pu (V, f, d) (7)

where Wp is a function of tool-wear index w independent of cutting conditions V, f, and d, which represents the tool-wear effect on the machining performance p. pu (V, f, d) is the machining performance predicted by assuming unworn tools. 3.2.5. Cutting forces/power prediction Up to date, the existing cutting force models are all for cutting with a at-faced tool. In general, cutting force models are closely related to the chip side-ow angle since the overall friction force on the rake face is collinear with the chip-ow. In 1978, Usui and Hirota [61] proposed a comprehensive theory to predict cutting forces, chip-ow as well as the tool-wear rates. Other well-known force models includes the models developed by Arsecularatne et al. [62], Armarego and Sameranayake [63], and Redetzky et al [49]. Fig. 7 shows the force modeling

Fig. 6. Measurable tool-wear parameters in a grooved tool [57].

Fig. 7. Elemental force model [49].

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Fig. 8. Tool-wear progression with increasing feed [59] (cutting tool insert = CNMG 432K, d = 2.54 mm, V = 274 m/min, work material = steel 1037M).

approach adopted in [49] where the total area of cut has been divided into smaller elements, and the contributions of these elemental forces are established from a database of calibrated empirical force model with orthogonal cutting tests. The sum of these elemental forces will provide the cutting forces and chip ow direction in turning operation with at-faced tool. As for cutting with a grooved tool, so far there is no predictive model for cutting forces. However, an empirical relationship using power law ts well with the experimental data as shown in Eq. (8) for cutting force Fc [64]: Fc = Fz = Cz f z d z + Ez d z (8)

The elemental secondary (machine tool-oriented) forces can then be given by dFz = CEc db + CAc dA dFx = CEt db sin + CAt dA sin CAl dA cos dFy = CEt db cos + CAt dA cos + CAl dA sin (10)

3.3. Hybrid predictive modeling approach 3.3.1. The equivalent toolface (ET) approach Attempts have been made to develop a hybrid model to predict the machining performance measures when machining with complex, coated grooved tools. This is accomplished by using a force model and the measured grooved tool cutting forces through the equivalent toolface (ET) approach [65]. The equivalent toolface (ET) can be dened as an imaginary at toolface that is equivalent to a complex grooved toolface for a given set of cutting conditions at a given tool-wear progression level. The equivalency is achieved in terms of cutting forces by iteratively changing the at-faced tool geometry. The new set of inclination and rake angles represent the equivalent at tool surface for the grooved tool for a given set of cutting conditions at a given tool-wear progression level. Once the effective at-faced geometry of a grooved tool for a particular set of cutting conditions is established, the predictive theory for at-faced tools could then

where Cz and Ez are force constants, z is the feed exponent, z and z are depth of cut exponents. The last term in the equation represents the experimentally veried cutting edge force prevalent in machining with tools having rounded cutting edge. The cutting speed affects cutting forces much less signicantly than feed and depth of cut and is hence, ignored in the modeling of cutting forces. The elemental primary forces (main cutting force and thrust force, respectively) can be dened as: dFc = (CEc + CAc t1 )Cc CVc db, dFt = (CEt + CAt t1 )Ct CVt db (9)

Fig. 9. Progression of measured tool-wear parameters and predicted dominant modes of tool failure (f = 0.25 mm/rev, V = 274 m/min, cutting tool: CNMG 432K). (a) d = 0.6 mm, dominant mode of tool failure: nose wear; (b) d = 1.9 mm, dominant mode of tool failure: backwall wear.

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Fig. 10. Schematic diagram showing ET predictive model relationships.

be utilized to predict the mean toolchip contact length, stresses, strains, temperatures, etc., along with the primary machining performance indicators such as chip curl and tool-wear/tool failure predictions. The relationship between the ET model and chip curl for complex grooved tools has already been established in a previous work by Ghosh et al. [65]. By extending this model, the interrelationship between chip-ow/chip curl and tool-wear has been investigated more recently by Ee et al. [66]. The 3D chip ow in grooved tools consists of a complex mixture of chip side-ow and chip back-ow mechanisms. An earlier work has established the effect of chip-ow patterns on the progressive tool-wear parameters in complex grooved tools [59]. The changing feed and depth of cut have signicant impact on the

effective chip ow direction and hence, the nal mode of tool failure. Fig. 8 shows the effect of increasing feed on progressive tool-wear in machining with a grooved tool. Fig. 9 shows measurements of progressive tool-wear for two different depths of cut for the same grooved tool and the predicted change in the dominant tool failure modes, along with photographs of the actual worn cutting tools conrming the predictions using the ET model. Fig. 10 shows a schematic diagram describing the parametric relationships of the ET model with the machining performance measures such as tool-wear/tool-life, chip-form/chip breakability, etc. This gure shows that the ET model has, in its center, an analytical predictive model for turning operations. Current

Fig. 11. Integration of ET model and empirical models/databases for predicting the machining performance measures of a given grooved tool insert.

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work is aimed at establishing interrelationships of previously predicted chip curl/chip-form and progressive tool-wear parameters with the surface roughness generated on the machined surface. 3.3.2. Integration of ET model with other empirical/analytical models The integration of the ET model and the empirical models/databases is schematically depicted in Fig. 11. For a given grooved tool insert which is not in the databases, the calculation of the effective angles with the measured cutting forces will allow for prediction of machining performance measures through the following functional relationships for surface roughness, chip breakability and tool-life: Ra = F1 (eff , eff , V, d, f ) CB = F2 (eff , eff , V, d, f ) T = F3 (eff , eff , V, d, f ) (11) (12) (13)
Fig. 12. Graphical illustration of objective contour and feasible region for the optimized semi-nish pass in multi-pass turning operations [48].

Eqs. (11)(13), once established, together with the empirical models for other machining performance measures for machining with a grooved tool, including the cutting forces, would be available for use within the optimization model previously established. 4. Machining optimization 4.1. General background The need for selecting and implementing optimal machining conditions and the most suitable cutting tools has been felt for over the last few decades despite very little progress being made in developing such techniques for practical applications. Early efforts on machining optimization methods are largely based on the traditional low cost or high productivity criteria. A large domain of published work found in the literature shows the continued and extensive attempts to develop various optimization techniques for machining processes during the last three decades [2432,67,68]. Most commonly considered optimization objectives include production time, machining cost, prot rate, material removal rate, a combination of these, and tool usage. The lack of technological machining performance data and analytical relationships for machining performance measures have inhibited the widespread use of the available optimization strategies. Performance-based machining optimization methods involving nonlinear programming techniques have in recent times been effectively applied to single-pass turning operations [53,54,64,6971]. 4.2. Optimization in multi-pass turning operations Optimization of multi-pass turning operations plays an important role in process planning for machining, since multipass machining operations are more widely used than singlepass machining operations in manufacturing industry. In order to achieve overall optimal results in multi-pass turning oper-

ations, trade-offs are usually established not only among the various conicting machining performance measures, but also among all passes in a given turning operation. The optimization objective of multi-pass turning operations differs from that of single-pass operations. In rough turning operations, the highest possible material removal rate is aimed at, within the constraints of other appropriate machining performance measures. However, the surface roughness is the most important measure in comparison with all other measures in nish turning operations. To implement the importance of one or more of the machining performance measures in optimization, various weighting factors are applied to these measures in the objective function. Major machining performance measures, which directly depend on the cutting parameters, including surface roughness, cutting force, chip form/chip breakability, tool-life and material removal rate, are predicted using a hybrid model in terms of cutting conditions: cutting speed, feed and depth of cut [72]. The early work for single-pass turning, which includes the effect of progressive tool-wear [64], and the subsequent work involving the establishment of a performance-based criterion for the selection of optimum cutting conditions and cutting tool selection [71], have more recently been extended to cover multi-pass turning using genetic algorithms [73]. Fig. 12 and Table 1 show a typical set of results obtained for multi-pass turning operations. This optimization program also provides the selection of cutting tools for a given turning operation. 4.3. Optimization of milling operations Automotive, aerospace and other major manufacturing industrial segments are heavily involved in milling operations to produce components. A growing need has been emerging from within these industrial groups for developing suitable predictive models for machining performance measures and for formulating relevant performance-based optimization modules for implementation in CAPP systems.

I.S. Jawahir, X. Wang / Journal of Materials Processing Technology 185 (2007) 4659 Table 1 Optimization results for three-pass turning Total depth of cut (mm), turning pass 3.10 (A) Medium Optimum cutting conditions V (m/min) f (mm/rev) d (mm) Predicted machining performance Ra ( m) Fc (N) MR (mm3 /min) CB T (min) 150 0.183 1.329 1.302 686 36705 0.65 8.521 Semi-nish 200 0.131 0.776 1.026 303 20266 0.76 8.315 Finish 345 0.104 0.995 0.723 305 35827 0.77 2.396 3.70 (B) Medium 150 0.240 1.695 2.356 1108 61140 0.64 6.145 Semi-nish 237 0.167 1.010 1.196 487 40072 0.67 4.120

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Finish 334 0.104 0.995 0.718 303 34450 0.76 2.579

Signicant research on machining optimization in milling operations has been reported, largely on new techniques developed for single and multi-pass milling operations during the last three decades [7482]. Wang [83] produced an optimization strategy for constrained single-pass end milling operation. Wang and Armarego [84] subsequently developed a new strategy and CAM software for the optimization of single-pass face milling operations. Researchers at the University of Kentucky, by extending the methodology adopted in their earlier work on performance-based machining optimization methods in turning operations to milling operations, developed new optimization methods involving the use of genetic algorithms, for end milling and face milling operations [85]. Fig. 13 shows a set of typical optimization results obtained in the form of contour plots for face and end milling operations. 4.4. Allocation of depth of cut for multi-pass operations Allocation of depth of cut is a major task in machining process planning since the total depth of cut imposes the greatest constraint in multi-pass turning operations, among all other con-

straints. It is generally done by assuming that all passes, or all passes except the nish pass, have equal depth of cut. This usually gives sub-optimal results. In the work undertaken at the University of Kentucky, a new methodology for the allocation of total depth of cut is developed based on a new interactive procedure for obtaining optimal cutting conditions for multipass turning and milling operations. The major idea here is to divide the total depth of cut into two-pass or three-pass machining operations by obtaining the optimal cutting conditions for each pass. The genetic algorithms (GA) is used in such multipass operations to optimize cutting conditions and to select the most suitable cutting tool for each pass. 4.5. Selection of cutting tool inserts for turning operations The selection of tool inserts is traditionally performed by process planners with their experience and using data from machining handbooks and tool catalogs. However, this practice is highly subjective and therefore provides sub-optimal results. Efcient and more effective methods for tool selection would be useful for process planners to select, among numerous new

Fig. 13. Illustration of results in (a) end milling and (b) face milling optimization.

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commercial cutting tool inserts with various tool materials, coatings, geometry and chip-groove congurations, for high wear resistance and effective chip breaking in turning operations. The new methodology developed for the selection of tool inserts is based on an optimization strategy for cutting conditions in multi-pass turning operations involving the use of an experimental database for a number of tool inserts. The advantage of this methodology is that only small amount of experimental data is needed for a particular case of tool insert and work material. Although the strategy of using the same tool insert in different passes of turning operations has the economic benets due to the reduced service time to change tools and hence the production cost, it may be more advantageous to use different tool inserts in different passes because each tool insert has its own optimal utility value in terms of the range of cutting conditions. 4.6. The genetic algorithms (GA)-based optimization methodology Genetic algorithms (GA) are algorithms based on the mechanics of natural selection and natural genetics, which are more robust and more likely to locate a global optimum [86]. It is because of this feature that the GAs go through the solution space starting form a group of points and not from a single point. Prediction of cutting conditions is made in the present work through a newly developed GA-based optimization methodology for turning and milling operations. This methodology is based on a machining performance prediction model developed from a comprehensive system of theoretical analysis, experimental database and numerical methods. The GA parameters along with relevant objective functions, and a set of machining performance constraints are imposed onto the GA optimization function to provide the optimum cutting conditions as shown in Fig. 14. In this optimization methodology, the GA has been implemented using the C language. Reproduction is performed by single-point crossover with a probability of 0.70 and mutation with a probability of 0.01. The population is assumed to have

converged when 70% of the population has the same objective function. 4.6.1. Objective function and constraints For multi-pass problems, the objective function in optimization processes is the sum of objectives of all passes. The total objective function is: U(Vi , fi , di (i = 1, 2, . . . , N))
N

=
i=1

CRi +CTi +CCBi

Rai Rai Rai + CMi

+ CFi

Fci Fci Fci

Ti Ti Ti

MRi MRi MRi (14)

CBi CBi CBi

where N is the number of passes in a turning operation, Vi the cutting speed, fi the feed, and di is the depth of cut for each pass. Constraints are represented as: Rai Rai , Fci Fci , Ti Ti , MRi MRi , (15)

CBi CBi (i = 1, 2, . . . , N) Hence, the optimization problem becomes Maximize U(Vi , fi , di (i = 1, 2, . . . , N)), w. r. t. Vi , fi , di (i = 1, 2, . . . , N), Subject to Rai Rai , Fci Fci , T T ,

MRi MRi , CBi CBi , di = d, Vmini Vi Vmaxi , fmini fi fmaxi , dmini di dmaxi (i = 1, 2, . . . , N)

(16)

where d is the total depth of cut. Since the goals of optimization for different passes in multi-pass turning operations are different, different constraints and weighting factors are applied to each pass. For milling optimization problems, the objective function of comprehensive criteria is developed as: U(V, fz , aa , ar ) = CR +CT Ra R a Ra T T T + CF + CM F F F MR MR MR

(17)

where V is the cutting speed, fz the feed per tooth, aa the axial depth of cut and ar is the radial depth of cut. The parameters, Ra , F, T, and MR denote the surface roughness, cutting force, tool-life, material removal rate, respectively. CR , CF , CT and CM are weighting factors considered as the contributing coefcients of machining performance measures. Corresponding constraints on these machining performance measures are assumed as Ra , F , T , and MR .
Fig. 14. The basic structure of the GA optimization methodology.

Ra Ra ,

F F ,

T T ,

MR MR

(18)

I.S. Jawahir, X. Wang / Journal of Materials Processing Technology 185 (2007) 4659

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Hence, the optimization problem becomes, Maximize U(V, fz , aa , ar ), w. r. t. V, fz , aa , ar , Subject to Ra Ra , F F , T T , MR MR , Vmin V Vmax , fz(min) fz fz(max) , aa(min) aa aa(max) , ar(min) ar ar(max) Several case studies have been performed to test and validate the effectiveness of the optimization system for turning and milling operations. (19)

6. Concluding remarks This paper presents a summary of state of the art developments in predictive modeling and optimization of machining operations, particularly by providing details of major ongoing research activities and the current achievements in this area. While machining activities continue to grow worldwide, with specic applications in industrial segments for automotive, aerospace, biomedical, and consumer-products, it is felt that the industrial productivity and product quality can be signicantly enhanced by developing and deploying appropriate predictive modules within the machining process planning systems to help the planners with the predictive knowledge of the use of cutting conditions, cutting tools, etc., for given machining operations. Unfortunately, no single currently available modeling technique, whether it is analytical, or numerical, or empirical, seems to offer the needed accuracy and reliability for use in an optimization system, thus severely limiting the practicality of implementing it within a process planning system. Therefore, a new, comprehensive modeling approach involving the use of hybrid models for predictive evaluation of machining performance measures is proposed in this paper. Some progress has been achieved and reported in this paper, while research still continues in expanding this work to include specic, application-based predictive models for use by industry. Developing system-tolerant, robust predictive models remains a major technological challenge. International cooperative research through CIRP and other major professional societies is progressing well and funding agencies have in recent times recognized the need for continued research on predictive modeling and optimization of machining operations. With this momentum, it is hoped that future research can be more effectively directed towards technologically advanced model development and optimization for improved machining productivity and product quality. Acknowledgements The authors of this paper gratefully acknowledge the nancial support of the National Science Foundation (NSF) and Kentucky Science and Engineering Foundation (KSEF) for research on predictive model development for machining. Administrative and laboratory support provided by the Center for Manufacturing at the University of Kentucky is also acknowledged. References
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5. Developing system-tolerant, robust predictive models Almost all major predictive modeling activities have so far heavily focused on generic model development, independent of the specic machining system characteristics requiring the consideration of all three functional elements of a machining system: machine tool, cutting tool and work material. Fundamental understanding of the interactions at the toolchip interface, and around the cutting edge in machining generally does not involve the effects of machining system characteristics largely resulting from the static and dynamic conditions of the machine tool and the tooling system. Assuming that the predicted machining performance would hold valid on shop oor conditions with any machine tool and the tooling system is far short of the actual reality where the tested machining performance could vary signicantly depending on the actual machining system characteristics. Indeed, industrial applications of currently available predictive theories are rather limited due to this reason, and disappointing, and often bitter, interactions are quite prevalent between the researchers developing such models and the application community from the industry. Therefore, hybrid predictive models need to be extended to include the effects of the actual machining system which would primarily be the user-base for these models. Unfortunately, neither the end-users, nor the machining process planners are readily equipped with such system data to superimpose on to the available predictive model. Thus, the primary responsibility for integrating this into the predictive model falls onto the developer of the model. However, the research community, with limited or no interactions with the industry cannot perform such task. It is almost inevitable that system-tolerant, robust predictive models are required and are expected of from the model developers. This requires considerable amount of research and understanding of the fundamental issues involved in machining process conditions and extensive laboratory-based system identication methods and simulations. An approximate methodology for predicting the optimized machining performance of a given machining system is presented in a recent work [87].

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