MODI I IN(1 OF MUIl'lPA.

SN (iRINDINd lill 1 ( 1
ON RfSlDli.M .STRliSSl'S DiSIRIHUTION
AND.SURhACEINri (iRITV ()! 1)2
rilRI AD ROLl ING Dil S
Hy
Ol.CiA KARABl-l (illClllKOVA, B.S.
A Til I SIS
IN
INDUSTRIAL ENGINEERING
Submitted to the Graduate Faculty
of Texas Tech University in
Partial Fulfillment of
the Requirements for
the Degree of
MASTER OF SCIENCE
IN
INDUSTRIAL ENGINEERING
Approved

^airperson of the Committee

Accepted

Dean of the Graduate School

August, 2004

ACHKOWI i:[)(iMi-NTS

The completion of this work is due to support and guidance of many people.
First. I would like to express my sincere appreciation and gratitude to my graduate
advisor. Dr. Iris Ri\cro. for her support, guidance, and encouragements throughout my
gradiialc studies and research progress.
I would like to thank Dr. Simon Hsiang and Dr. Hong Zhang for for being a driving
force in challenging m\ grow ili as a student and a researcher. 1 am also very greatfiil to them
for shairing their vision of research and encouraging me throughout my graduate program.
I deeply appreciate opportunities that 1 have received through the Department of
Industrial Engineering at Texas Tech University. Special appreciation goes to Fred
Schneider and Norman Jackson for their assistance in specimens' preparations and
conducting the experiment. Grateful acknowledgement is made to the materials
laboratory of Mechanical Engineering Departments for providing the equipment needed
to perform the experiment.
Thanks to all my friends and especially Steve Kelly, Ron and Jane Baker, who
have believed in me throughout my graduate career. They provided me with confidence
and support needed to achieve my academic goals.
I would like to pay my deepest respect and love to my parents and sister. I am
gratefiil to them for their moral and spiritual support, continuous encouragement, care
and infinite love. I owe them everything I have achieved.

TABLE OF CONTENTS

ACKNOWLEDGEMENTS

11

ABSTRACT

vi

LIST OF TABLES

vii

LIST OF FIGURES

viii

LIST OF NOMENCLATURE

CHAPTERS
I.

II.

III.

INTRODUCTION

1.1 Problem Statement

1.2 Research Objectives

LITERATURE REVIEW

2.1 Classification of Cold-Work Tool Steels

2.2 Thread-rolling dies in service

2.3 D2 Flat Dies preparation

11

2.4 Heat Treatment Processes Overview

13

2.5 Effect of Finish Grinding on Residual Stresses Distribution

15

2.5.1 Grinding Wheel Characteristics

17

2.5.2 Grinding Process Conditions

17

2.5.3 Residual Stresses Profiles in Grinding

20

2.5.4 Multiple Pass Grinding Technique

21

2.6 Correlation of Mechanical Properties and Residual Stresses

23

2.7 Residual Stress in Fatigue Mechanism

25

2.8 Surface Integrity Factor

27

RESEARCH METHOGOLOGY

29

3.1 Specific Aims

30

3.2 Experimental Design

30

3.3 Test Hypothesis

31

3.3.1 Hypothesis 1

31

111

3.3.2 Hypothesis 2

32

3.3.3 Hypothesis 3

32

3.3.4 Hypothesis 4

32

3.3.5 Hypothesis 5

33

3.4 Repeatability and Validity

33

3.4 Assumptions and Bias

35

3.5 Design of the Experiment

36

3.6 Experimental Hardware

38

3.6.1 Heat Treatment Equipment

38

3.6.2 BuehlerMetallograph

40

3.6.3 Automated Grinder

41

3.6.4 PocketSurfProfilometer

42

3.6.5 PROTO Residual Stress Analyzer

43

3.6.6 PROTO Electrolytic Polisher

45

3.7 Experimental Protocol

IV.

46

3.7.1 Material and its Heat Treatment

46

3.7.2 Metallographic Preparation

47

3.7.3 Hardness Examination

48

3.7.4 Grinding Procedure

48

3.7.5 Roughness Examination

50

3.7.6 Residual Stress Measurements

51

3.7.8 Electropolishing

53

EXPERIMENTAL RESULTS AND DISCUSSIONS

55

4.1 Surface Characteristics Examination

55

4.1.1 Micro structure and hardness examination

55

4.1.2 Roughness evaluation

60

4.1.3 Surface residual stresses and cold work

61

4.2 Subsurface Residual Stresses Examination

4.2.1 Hypothesis 1

65
66

iv

V.

4.2.2 Hypothesis 2

68

4.2.3 Hypothesis 3

70

4.2.4 Hypothesis 4

72

4.2.5 Hypothesis 5

73

MATHEMATICAL MODELING OF GRINDING DYNAMICS

75

5.1 Objectives of the Modeling

76

5.2 Polynomial Curve Fitting

77

5.3 Damping System Approach

78

5.3.1 Model-To-Data Approach

78

5.3.2 Data-To-Model Approach

84

5.4 Modeling Methodology

VI.

86

5.4.1 Natural Frequency Approach

89

5.4.2 Damping Ratio Approach

90

5.4.2.1. Three-Point Fitting Approach

90

5.4.2.2 Equal-Area Fitting Approach

91

5.5 Physical Interpretation of the Modeled Parameter.

100

RESEARCH CONCLUSIONS

102

6.1 Obsevation Informs Model

103

6.2 Model Informs Observation

105

6.3 Practical Implication of the Research

106

6.4 Future Research Implication

107

BIBLIOGRAPHY

109

APPENDIX
A. EXPERIMENTAL DATA

113

B. ANALYSIS OF VARIANCE SAS CODE

118

ANALYSIS OF VARIANCE FROM SAS OUTPUT

C. MATLAB CODE IN THE CURVES FITTING
LOCATING THE EXTREME POINTS OF THE DAMPING CURVES
D. ACTUAL VERSUS PREDICTED RS PATTERNS BASED ON THE
BEST FIT MODEL - EQUAL-AREA FITTING

120
129
131
132

ABSTRACT

Three questions were raised in this study: Can residual stresses after multipass
grinding be predicted? What will be their superposition relationship between initial and
final residual stresses distributions? Is there a method to predict and optimize surface
integrity of the material after certain number of passes in order to improve the tools life?
The procedure followed included a nested factorial experiment. The experimental
protocol consisted of six steps, which included microstructural investigation, hardness,
roughness, relative cold work, surface and subsurface residual stresses evaluation. All the
main effects, including heat treatment, type of grinding operation, and multipass grinding
technique and their interactions were found to be significant at a 0.05 level.
Experimental significance was summarized with a second order model representing
the grinding dynamics. The model was selected among four other candidates since it
provided the least predicting errors and the most parsimonious structure with only one
explanatory parameter, the damping ratio. The prediction of the complex nature of the
residual stresses was achieved in two-folds. First, given the multipass grinding operation
preceded by heat treatment, the damping ratio would change based on the experimental
data. Then, this thesis provides the prediction on how the residual stresses pattern at different
depth would change due to the damping ratio parameter. The contribution of this study was
characterization of heat treatment and grinding effects on the surface integrity factor of D2
thread-rolling dies and development of a plausible methodology and potential theory in
describing the memory relationship among multipasses during grinding operations.

vi

LIST OF TABLES

3.1

D2 steel sampling composition [1, 35].

46

3.2

Heat treatment procedures of the D2 dies [35].

47

3.3

Grinding parameters employed in surface

3.4

X-ray diffraction settings data.

52

4.1

The results of roughness examination.

61

4.2

Residual stress and relative cold work (FWHM) values on D2 samples

of various surface finishing conditions.

64

5.1

Step response of a second-order system [47].

83

5.2

The results of the equal-area modeling approach.

98

Vll

finishing.

49

LIST OF FIGURES

2.1

Operating principle of thread-rolling using a flat transversing die [7].

10

2.2

Hardening and single tempering practice in D2 dies preparation [8].

12

2.3

Hardening and double tempering practice in D2 dies preparation [8].

13

2.4

Surface impacts in a machining process [11].

16

2.5

Yield stress related to temperature [17].

19

2.6

Residual stresses distribution induced by diverse grinding conditions [19].

21

2.7

Effect of residual stresses on materials performance.

23

2.8

Superposition of residual stress and service stress [2, 22].

24

2.9

Fatigue life in phases [25].

26

3.1

Experimental design and the factors of interest.

31

3.2

Heat treatment equipment.

39

3.3

Equipment used in microstructural examination.

40

3.4

Automated surface grinding machine.

41

3.5

PocketSurfsurface roughness gage.

42

3.6

PROTO x-ray residual stress analyzer.

43

3.7

Electrolytic poUshing system.

45

3.8

Typical roughness profile [37].

50

3.9

One-angle arrangement for x-ray diffraction technique [38].

51

3.10

Single exposure method: d versus sin^v(/ splitting in residual sti-esses

measurements.

52

3.11

Stress in flat plate after layer removal [34].

54

4.1

D2 steel microstructural examination after various heat treatment

conditions.

56

4.2

Results of hardness examination on D2 specimens after heat treatment.

59

4.3

Hardness as a function of tempering temperature for D2 steel subjected

to various austenizing conditions [42].

59

4.4

Surface residual stresses on D2 samples after heat treatment practice.

62

4.5

Sums of Squares partitioning of the experimental models by hypotheses.

67-68

Vlll

4.6

Heat treatment effect on the formation of the residual stresses.

69

4.7

The effect of grinding operations on the final residual stresses profiles.

71

4.8

The effect of multipass grinding on the residual stresses distribution in

double tempered specimens after grinding operation 1.

74

5.1

Third order polynomial curve

77

5.2

Simplified mechanical model of wheel-surface system [44].

79

5.3

The displacement response for a system under various damping ratio on

the dynamic motion of the system.

82

5.4

Defining extreme points of the damping curve.

87

5.5

The effect of natural frequency on the displacement of the damping curve.

89

5.6

Theoretical damping curve fitting of the residual stresses profile using

three-point fitting approach.

91

5.7

Defining the H\ :HQ proportion of the residual stresses profile.

5.8

The schematics of the equal-area fitting approach.

93

5.9

Flowchart of the equal-area fitting algorithm.

94-95

5.10

Theoretical damping curve fitting of the residual stresses profile using

equal-area fitting approach (1).

96

5.11

Theoretical damping curve fitting of the residual stresses profile using

equal-area fitting approach (2).

97

5.12

Correlation of the modeled parameter - damping ratio and the factors of

the experimental model.

98

5.13

Correlation of the damping ratio coefficient and the shape/amplitude of

the displacement of the damping system.

100

5.14

Schematics of the internal friction and displacement of the structural

components under various applied forces in grinding operation.

101

fitting.

IX

93

LIST OF NOMENCLATURE

Partition ratio of the heat flux into the workpiece to the total heat flux

Total heat flux in the grinding zone

A'u

Workpiece thermal conductivity

Thennal diffusivity of the workpiece

To

Time for the wheel to pass the grinding zone

Distance from the workpiece surface

Time for the wheel to pass over workpiece section

Ti

Temperature when the yield stress begins to decrease

T?

Upper critica temperature

(yyield

Yield stress of the workpiece material

Poisson ratio

Elastic modulus

Coefficient of thermal expansion

Temperature distribution when grinding surface temperature reaches its maximum

Thickness of the workpiece

- y

Depth defined by equality of thermal elastic stress and the materials yield
stress is reached

Ns

Normal of the specimen

y9

Angle between incident beam and A^s, Npi, and Np2

NpiNp2

Normals to the different planes 1 and 2, respectively

\l/\ , yj2

Angles between Ns, Npi, and Np2, respectively

r]

Angle between the incident beam and diffracting plane normals

Ro

Camera radius

SI , S2

Parameters directly related to the Bragg's angles, 0i and 2.

Bending moment, torque

Rn

Roughness average

/?,.v

Maximum Roughness depth - the largest of the five maximum peak-to-valley

roughness depths in 5 consequtive sampling lengths

Rz

Mean roughness depth - the mean of 5 maximum peak-to-valley roughness

depths in 5 consecuting sampling lengths

HT

Heat treatment procedure

Quenching

T(u)

Tempering operation of/; cycles

Gr

Grinding operation

Multipass factor of the grinding operation

Stiffness

Viscosity/friction

Inertia

Applied torque

(^

Damping ratio

cOr,

Natural frequency

CDcj

Damped natural frequency

q(i)

Displacement of the system i - domain

q{l)

Velocity of the system

q(i)

Acceleration term

Depth of the affected layer

*max

Depth corresponding to tensile peak of the residual stresses profile

dmin

Depth corresponding to the right-end point of the residual stresses profile; final
depth point at which the stresses were evaluated

RS

Residual stress of the material

RSmnx

Maximal tensile residual stress, tensile peak

RSmin

Right-end point of the residual stresses profile

Ri,R\p

Magnitude of the residual stresses between the surface compressive values and
the tensile peak for actual and predicted data

Ro,Rop

Actual and predicted residual stresses amplitude between the tensile peak and
the final depth point at which the stresses were evaluated

xi

CHAPTER 1
INTRODUCTION

Fatigue of tools and dies is a crucial problem that has occupied manufacturers for
years. Fatigue is generally described by the behavior of materials under repeated cycles
of applied workload which causes deterioration of the mechanical properties and results
in a progressive failure. The consequence of fatigue includes: (1) loss of strength, (2) loss
of ductility, and (3) increased uncertainty of both strength and service life. The principal
cause of these characteristics is the imperfections in the materials. In addition, fatigue
behavior varies due to service conditions and prior treatments interacting with materials'
characteristics, but is generally common within a particular industrial application in
properties degradation dynamics and type of failure.
Factors influencing fatigue failure may include: (1) design features such as
notches, holes, fillets, uneven surface roughness, or any other feature that tends to create
stress concentrations, (2) fabrication cracks, (3) temperature, (4) speed of loading, and (5)
corrosive environments. Particularly, in thread-rolling cold work application, the dies are
operated at a range of low work temperatures under 400 to 500 F [1]; therefore, high
deformation forces are generated and exerted on the dies. These forces induce great
plastic deformation and, therefore, inevitably lead to the dies degradation and ultimate
failure before the completion the service cycle.

High-carbon high-chromium D2 steel is one of the most commonly used steels for
the thread-rolling dies application. It possesses excellent hardness, strengths, and wearresistance necessary to withstand deformation forces and satisfactory toughness. Despite
its high strength characteristics, there are still some failure related concerns, i.e., spalling
and crumbling. Therefore it remains the goal of metallurgists to work contstantly on
mechanical properties and fatigue life improvement.
Fatigue detection methods may include visual inspection, destructive and
nondestructive testing. However, since characteristic failures of the thread rolling dies
generally occur at surface or near-surface layers, inspection of the surface integrity is
commonly used to monitor the near-surface layers characteristics and their quality by
means of microstructural, hardness, roughness and residual stresses evaluation. Among
the other parameters, the state of the residual stress of a given material is one of the most
descriptive characteristics that can be correlated to many mechanical properties aspects of
the tool. It is mainly defined by a consequence of interactions among service cycle,
temperature, deformation, and microstructure [2]. Thus, studying and optimizing
manufacturing and machining treatments involved in the dies preparation would allow
one to control and predict the tools behavior, and in the long run to prolong dies hfe and
delay the part degradation.
Although heat treatment and grinding operations have been investigated extensively,
the comprehensive analysis of performing multiple grinding passes to obtain desired depth of
cut remains a relatively new paradigm. Researchers, such as Agha and Lui [3] have declared
that final residual sfresses are strongly correlated to initial residual stresses and the number of

cutting passes in machining operation. Their investigation was ftirther supported by Liu and
Yang [4] but limited to establishing the significance of the initial and final residual stresses
relationship at surface level. Multipass grinding operation is commonly applied in the dies
finishing operation, however little information are available in the public domain to broaden
the imderstanding of the multipass grinding dynamic characteristics and their influence on the
fomiation and/or relaxation of the residual stresses. This research was motivated to shed light
on this phenomenon and to assess its true effect by evaluating the resulting residual stresses
after various pass grinding techniques at surface and subsurface levels.
Furthermore, mathematical modeling was incorporated to find a parsimonious
predictive function, in which only one explanatory parameter was used to define the
residual stresses profile. In accordance with the principle of parsimony, there should be a
trade-off between model fit and model complexity. In other words, if the unknown
system can be modeled by more than one model, the simplest one should be preferable.
In this thesis, the emphasis was to determine the state of the residual stresses and to
understand the nature of its profile affected by the preceding treatment operations. For
this reason, the modehng effort of the residual stresses profile and its formation was
postulated to provide a representative, parsimonious, and predictive model, which may
ftirther be used to predict fatigue life of the tool, hi addition, a theory of damping
dynamic system and autoregression system identification technique were used to support
the proposed modeling approaches and theory, and to assign a physical meaning to the
explanatory modeling parameter.

Overall, several heat treatment and grinding operations of various parameters

were involved in the dies preparation to evaluate their individual and combination effect
on the surface integrity factor and the development of the residual stresses. An overview
on the present knowledge and existing problems in D2 thread-rolling dies preparation are
discussed in Chapters II. Hardware, experimental design methodology, as well as design
of the experiment are given in Chapter III. Subsequently, Chapter IV provides discussion
and analysis of the results obtained in the experiment and tests the hypothesis. Chapter V
is devoted to the development of the predictive model based on the previously established
significant effects providing mathematical correlation and interpretation of the input and
output parameters.

1.1 Problem Statement

No superposition relationship of the residual stresses profiles in multipass
grinding operation was found based on the literature search, which would determine and
predict the memory relationship of the previous grinding pass onto a subsequent one.
Furthermore, a predictive mathematical model was logically to be developed to describe
the location of the residual stresses tensile peak and their distribution throughout the
depths of the affected layer. Such a model would establish the correlation between
various combinations of the proceeding heat treatment and grinding operation of several
multipass techniques in a very precise and concise form with minimum number of
physical parameters.

1.2 Research Objectives

Upon successful completion of this study, this thesis would be able, at threshold
level, to: (1) demonstrate sufficient knowledge and critical judgment of the surface
integrity techniques and methodologies employed in the residual stresses modeling; and
(2) constmct appropriate descriptive and inferential statistical analysis to inform research
results based on the research objectives in two major categories:
1. Analyze and document the effects of the manufacturing processes used in D2
thread-rolling dies preparation on the surface integrity factor, i.e., microstructural,
hardness, roughness, surface cold work characteristics, as well as on the
magnitude and distribution of the residual stresses throughout the depths of the
affected layer:
a. Investigate the main and interactions effect of the experimental factors: heat
treatment, type of grinding operation and multipass grinding technique, and
suggest the most advantageous treatments combination.
b. Study the effect of multipass technique in grinding operations to develop a
functional relationship between the initial and final residual stresses
distribution.
2. Establish a methodology and develop a parsimonious predictive model to describe
the residual stresses distribution; mathematically integrate the explanatory
parameters to the treatment combinations used in the study:
a. The model should have a minimum number of parameters and be
representative, i.e., describe the residual sfresses profiles in a concise way.

b. The model should predict the residual stresses magnitude, tensile peak
location and subsurface distribution.
c. The mathematical model should establish functional

relationship in

superposition of the residual stresses distribution due to the number of passes

utilized in grinding.

CHAPTER II
LITERATURE REVIEW

Tool steels are used in a variety of industrial applications [5, 6]. The aspects of
their performance affect many other related fields, some of which are safety, continuous
process monitoring, and cost-profit considerations. The parts of a major concern are the
tools used for high duty cycled applications where their failure would cause more
serious damage. Thread-rolling dies are among such critical applications. Being
subjected to great deformation forces exerted on them in service, the dies are operated
at a low range of work temperatures which make them more sensitive to stresses and
more susceptible to sudden fatigue failure.
The life of thread rolling dies is primarily determined by the rate of deterioration
of the die threads profile [1]. Rolling imposes severe on the dies from bending and
sliding action, therefore fatigue failures generally occur from spalling and crumbling. A
failure of one component of the system will inevitably cause collapse of the whole
operation block. Thus the dies were considered as heavy-duty elements of the multicomponent thread-rolling system. This chapter reviews on major manufacturing factors
involved in thread-rolling dies preparation and their effect on mechanical properties and
potential service life of the tool.

2.1 Classification of Cold-Work Tool Steels

Tool steels are of such diverse compositions that are divided into relatively small
number of groups for purposes of comparison and evaluation. Composition and
properties of some of the tool steels are very similar; therefore they fall within natural
grouping. When selecting the right tool steel for a particular application, one should
always be ruled by the following key factors: (1) predicting the performance of that steel
in that particular application, and (2) analyzing the manufacturing limitations in terms of
abihty to produce that tool [5].
Cold-work tool steels, because their alloying content is not sufficient to enable the
steels resist to softening at elevated temperature, are restricted to the use in those
apphcations that do not involve prolonged or repeated heating above 400 to 500 F [1].
Based on similarity of chemical composition and properties, cold-work tool steels are
subdivided into three categories: A-group, air hardening medium alloy cold-work steels,
D-group, high-carbon high-chromium cold-work steels, and 0-group, oil hardening cold
work steels.
The high alloy content of A-group steels is sufficient to provide them with full
air-hardening capability, therefore the steels exhibit minimum distortion and the highest
safety (least tendency to crack) in hardening [1]. The presence of chromium in the steels
(types A2, A3, A7, A8, A9) provides moderate resistance to softening, and sihcon and
nickel (in A9, AlO) improve toughness. Typical applications of these steels include shear
knives, punches, trimming-, forming- and blanking dies.

D-group steels are the most highly alloyed cold-work steels [7]. Chromium, at a
nonnal concentration of 12% is the major alloying element. All the steels of this group,
except for D3, are hardenable by air cooling from austenizing temperatures. Therefore the
steels are very little susceptible to distortion and cracking during hardening. Excellent
wear resistance makes the steels suitable for long-run dies for blanking, thread-rolling
dies, rolls, shear and slitter knives [1].
Alloying elements of 0-group steels provide sufficient hardenability to make
possible hardening of small-to-moderate sections by oil-quenching. High carbon content
provides the most important service-related property - high resistance to wear at normal
temperatures. Subsequently the steels of this group are extensively used in dies and
punches for blanking, trimming, drawing and flanging [1].
Based on the concepts of productivity and performance, one should select a tool
steel for a particular operation to achieve the desirable service life. In this work, steel
selection and the treatment operation used were made with the key concept - enable steel
required properties for the thread-rolling flat dies application for better performance and
prolong fatigue life.

2.2 Thread-rolling dies in service

Thread-rolling is a cold forming process for producing threads on cylindrical or
conical surfaces [6]. Dies for this process may be either flat or cylindrical. Flat dies are
used in threaded fasteners and most wood screws production. Half of a pair of standard
thread-rolling dies is shown in Figure 2.1.

go

O '

itofionarv
Traversing die -,
Jie

Tro versing

die^
,_f^^^

Sfohonory die

Figure 2.1. The operating principle of thread-rolling using aflatfransversingdie [7].

Depending on its geometry, different techniques and processes are used in the
dies preparation. The most significant properties required for this application are
hardness, toughness, and wear resistance [6]. These properties must be high enough to
enable the dies withstand high deformation forces when in service and prevent brittle
behavior. Good wear resistance is the major consideration here, for the reason that the
prime cause of failure in thread-rolling is due to spalling and crumbling.
The most commonly used steel for thread-rolling dies are Ml and M2 high-speed
steels; D2 high-carbon, high-chromium steel and A2 medium-alloy cold-work tool steel [7].
In general, D2 steel possesses the greatest wear resistance among the listed above steels, and
is most commonly used for long production lines in rolling larger parts and alloys of higher
hardness [6]. Despite its versatile use in a range of industrial applications, there are still some
fatigue related problems that metallurgist work on. Answers to these problems would help

10

increase tools life and their efficiency, and therefore would result in economical savings.
Motivated by these reasons D2 steel was chosen for this research.
Due to low work temperatures thread-rolling processes impose severe
defomiation forces and stress on the dies from pressure, sliding and bending [6]. As a
result, the primary causes for the dies failing are spalling and crumbling. These processes
roughen the minor diameter of the product thread and cause the screw to go out of
tolerance. Spalling usually occurs near the edges of the tool, whereas crumbling originates
on the most sfressed rolling areas of crest and gradually propagates over the die threads.
In this work, various treatment combinations of D2 steel for the thread-rolling flat
dies have been extensively investigated (1) to study the effect of preparatory treatment
combinations on the ultimate mechanical properties, (2) to further model the results and
develop parsimonious predictive tool, and (3) to suggest the most advantageous treatment
techniques that would contribute to prolong fatigue life of D2 thread-rolling dies.

2.3 D2 Flat Dies preparation

Dies preparation cycle includes heat treatment followed or preceded by surface
finish depending on the required tolerances [5]. Heat treatment practice is used to
promote desired properties in dies, whereas surface finish by grinding is performed to
ensure tight tolerances with enhanced surface characteristics. The major consideration on
selecting the heat treating procedure is to impart the dies with a favorable combination of
hardness and toughness, ft is critical that D2 thread roUing dies possess hardness of HRC
59-62 along with satisfactory toughness [6].

11

Usually steels are supplied by the manufacturer in the armealed condition,

therefore additional sfress relieving annealing cycle needed not to be performed. In heat
treatment, tiie steel must be preheated at 1500 F; this practice reduces subsequent
distortion in the parts by minimizing non-uniform dimensional changes during
austenizing [8]. High-carbon and chromium content of the steel requires high hardening
temperatures to obtain maximum hardness. D2 steel is quenched in air cooling.
Multiple tempering, a common heat freatment practice for D tool steels [4],
effectively decreases the amount of retained austenite and stabiUzes the martensitic structure
of the steels. Tempering immediately follows hardening, and is usually began when
workpiece temperature reaches 120-150 F. Most common practice in D2 dies preparation is
to double temper after hardening [8], while single tempering practice is still used successfully
and called out ui some cases (refer to Figures 2.2-2.3). In some high-alloy tool steels triple
tempering is employed to ensure maxunum dimensional stability of the final part [6]. Ruled
by this consideration, the latter has also been included in the experimental study.
- 2000
3 1800
i 1600
I" 1400
*^ 1200
1000
800
600
400
200
0

austenizing
preheating/
1 quenching

1 ""
1

.
^H^

*time

Figure 2.2. Hardening and single tempering practice in D2 dies preparation [8].

12

austenizing
quenching

tempering

tempering

time

Figure 2.3. Hardening and double tempering practice in D2 dies preparation [8].

Machining operation is an integral part in the dies preparation. Flat D2 dies are
usually ground before hardening to avoid grinding cracks, to which D2 is susceptible if
ground improperly [6]. However if tolerances require lower average distortions, dies
must be ground after heat treatment. These facts were kept in mind in selecting the
surface finishing parameters. By performing finishing operations to complete dies
preparation cycle, the author aimed to investigate not only its influence on surface quality
but the tool's properties and service life as well.

2.4 Heat Treatment Processes Overview

Microstructural changes caused by heating and cooling parts underlie the basis of
all heat treating processes. Structural components and transformation rate can be
predicted and controlled by the iron-carbon- and TTT diagrams.
Aimealing is one of the most important heat treating procedures and should be
performed very careful. It requires accurate control of temperature, time and rate of

13

heating/cooling [9]. In annealing, the steel is heated slowly to above critical A,

temperature for a long enough time to relieve locked-in internal stresses, and
subsequently slowly cooled down. If performed correctly, annealing process alleviates all
residual stresses and cold work of the previous treatments of steel, ft also puts steel in the
best condition for hardening; therefore hardened steels should always be annealed before
rehardening [9].
Hardening of the steel, which includes austenizing and quenching, consists of
heating the steel to above critical temperature and subsequent cooling with the required
rate. In that temperature level pure austenite should be the only existing phase. When the
steel is heating to just above critical point the austenite crystals formed are very small,
whereas heating to higher above critical temperatures causes austenite grains to grow.
Upon subsequent cooling (quenching) from austenizing temperatures the structural
features of austenite, including grain size, are transferred to martensite, which
morphology determines the characteristics properties of the material. Upon hardening,
steels microstructure consists of martensite untempered, which is of extremely high
hardness and brittle. In this condition the structure will not withstand bending or any
other change of shape without breaking.
The matrix of practically all tool steels in quenched condition consists of
martensite and appreciable quantities (1-30%) of retained austenite [5]. The amount of
retained austenite in the final part should be minimized to the smallest possible degree to
improve impact elasticity and minimize subsequent dimensional distortion of the part
when in service conditions. To stabilize the structure, alleviate locked in stresses and

14

toughen the steel, almost for all industrial applications tempering is used to complete
materials preparation.
Tempering process consists of reheating of hardened steel to the temperatures
below Ai critical point, dwelling time and cooling down. Any temperature up to the
lower critical may be used for tempering; therefore an extremely wide variety of
properties and microstructure can be obtained upon the process [10]. Toughening of the
steel is always accompanied by decrease of hardness. The magnitude of induced
toughness is strongly correlated to the temperature the steel is brought up. The higher the
temperatures the larger degree of toughness the structure of the material will possess.
Therefore for the critical applications where a certain range of work hardness is required,
a selection of tempering procedure should be made very carefully. If the steel can be
tempered to the same hardness at more that one temperature, it is advisable to select the
highest tempering temperature that will produce the desirable hardness. Ultimately, it is
the balance of hardness and toughness required in service that determine the conditions of
tempering for a given application [10]

? 5 Effect of Finish Grinding on Residual Stresses Distribution

In general, mechanical and thermal impacts can be differentiated to a certain
degree; however their influence is somewhat overiapped. This fact has brought the
authors of [11] to a conclusion, that no residual stresses can be correlated to any one
specific impact. Graphically, it is demonstrated in Figure 2.4.

15

Machining process

Mechanical
Tliermal
Chemical

..^

impact

C> Surface Integrity

^
>>..
r fi

Tool
Geometric
Tliermal

machining conditions

properties

Mechanical

Machining parameters
environment

workpiece
Geometric
Thermal

properties

Mechanical

Figure 2.4. Surface impacts in a machining process [11].

Grinding operation completes dies preparation. Along with enhanced surface

finish

characteristics,

it inevitably

changes

surface

and

subsurface

materials

characteristics. By removing a layer off the materials surface, this procedure imposes local
plastic deformation, which is invariably accompanied by residual stresses formation [12].
The amount of plastic deformation produced on the surface of a ground part is highly
correlated to the parameters of the machining operation. The major factors affecting the
residual stress state of a material has been defined in [11] as the follows:
1. Machining conditions (depth of cut, speed of workpiece, cutting speed);
2. Topography of the grinding wheel (dressing conditions, wear behavior);
3. Specification of the grinding wheel (grit size, bond, hardness);
4. Cooling conditions.

16

2.5.1 Grinding Wheel Characteristics

Extensive studies have been done to investigate the influence wheel dressing used
m grinding [13-17]. Coarse dressing produces a wheel surface that is open and free
cutting. On the other hand, a closed grain structure results in wheel surfaces that are not
free cutting which leads to an increased thermal impact [11]. Although the surface
roughness is improved in all cases, tensile residual stresses are generated on the surface
then. Thus aluminum oxide wheels, susceptible to this effect, produce tensile surface
residual stresses [14], whereas Carbon Boron Nitride grinding (CBN) resulted in
compressive residual stresses [14, 15]. Silicon carbide wheels effect on the residual
stresses was strongly dependant on the grinding parameters employed [4].
Grit size of the wheel is another important characteristic affecting residual
stresses. Right selection of the grit size should be made to obtain the intended grinding
effect - roughening, finishing, or lapping for a particular apphcation [16].

2.5.2 Grinding Process Conditions

Most grinding condition effects take place primary due to three effects [17]:
Thermal expansion and contraction during the process;
Phase transformation due to grinding temperature generated on the surface;
Plastic deformation caused by the abrasive grains of the wheel.
Every time a grinding wheel passes the surface elastic and plastic deformation
occurs in the structure of the material. The forces generated in the material removal
process are proportional to the surface temperature and are mainly determined by the

17

variables of the process, some of which are depth of cut, feed rate, cutting speed, and use
of coolant [18]. The increase of these parameters result in greater surface temperature,
which, in turn, is directly correlated to the amount of energy entering the workpiece: the
more energy enters the surface, the higher temperature rises. Workpiece temperature and
its distribution under the surface can be expressed as the following [17]
f

'

/
^ ^

k^n

3r

3TK\

yAKtj

2/-2r+

'

1 - erfc
V

(2.1)

where i?. is the partition ratio of the heat flux into the workpiece to the total heat flux q in
the grinding zone, k^ is the workpiece thermal conductivity, K is the thermal difftisivity
of the workpiece, ZQ is the time for the wheel to pass the grinding zone, z is the distance
from the workpiece surface. For the calculation of maximum surface temperature, the /
value should be accepted as -z^, half the time that the wheel takes to pass over the
grinding zone.
Thermally induced residual stresses are determined by this temperature gradient
and materials elastic modulus. The material yield stress is usually a function of
temperature; this underlying relationship was determined by [17] and is schematically
demonstrated in Figure 2.5. The yield stress is constant until transformation temperature,
Tj, is reached corresponding to a ^ y transition. The decrease of the yield stress is lineariy
proportional to the temperature rise until T2 upper limit is reached. In case when surface
temperature does not exceed Ti critical temperature of the material, the following kinetics
of the transformation processes is true. The increase of surface temperature causes
surface expansion, however due to energy dissipation subsurface layers are affected to a
18

considerable less degree. As a result, subsurface cooler layers constrain surface

expansion, and compressive surface residual stresses are generated.

(y Yield

temperature

Figure 2.5. Yield stress related to temperature [17].

If thermal stress exceeds yield stress of the material, plastic deformation resuUs in
the surface, which leaves permanent deformation. In this case, tensile residual stresses
will be created in the surface upon cooling. This constant near-surface tension degrades
the material's fatigue life and may result in cracking.
It is essential to control grinding parameters as the stresses induced in the process
can either impair or improve the materials performance and service life. By keeping
thermally induced stresses below the materials yield stress, there will not be plastic
permanent deformation in the material and tensile residual stresses can be avoided [17].
The thermal stresses of the process can be determined from elastic stress analysis and can
be expressed as described in Equation 2.2.

19

^yield

a{z) =

d<z <z
2

'

1
l-V

(/ J-rf/-'

(l^

ldl2

(2.2.)

z<z<-d

where cr,,,vw is the yield stress of the workpiece material, vthe material Poisson ratio,
E the elastic modulus, a the coefficient of thermal expansion, T temperature
distribution when grinding surface temperature reaches its maximum, d thickness of
the workpiece and z,. the depth where the thermal elastic stress equals the materials
yield stress.
Final residual stresses created in the ground surface upon cooling can be
calculated from the compatibility Equation 2.3 [17]
EaT]

- | . ( z ) . ^ | =0

(2.3)

where a (z) is the thermal stress distribution at the begiiming of the cooling process
determined through the equation (previous one).

2.5.3 Residual Stresses Profiles in Grinding

As it has been explained above, final surface residual stresses can be either tensile
of compressive. Grinding operations are generally subdivided into three categories:
abusive, conventional and gentle. Typical residual stresses profiles corresponding to
grinding classification can schematically be depicted as in Figure 2.6

20

120

J-

S 100
I80

1
AAUSlVt

.*.

1 /

0.000

'^.clnrilf.;
fluid

' / ^

tariff i \r..f?^>iJ 2000

ft.Blil
Dwnn t^cd
"LS"

7; *"'
a :o

Residual s j r f a c e Stress i n AISI 4340

CQue'roduced oy Sur-^ace Grinding

Sitit,
all

bCOj

GOCO

.1X0

,002

?.c.l. o i l
(1;.'0)

D.-y

^v..,_^CONV =^moML
"v

"'^--,.^
GE>rrL

0.002

O.DOO.C'Oe
DEP'H BEtay SJR=ACE

0.005
INCHES

0.010

0.012

Figure 2.6. Residual sfresses distribution induced by diverse grinding conditions [19].

The notations of the types of grinding strongly depend on the machining

parameters employed in the process, but in general, the following logic underlies this
classification: the smaller material removal rate is, the lower energy enters the workpiece
surface. As a result, generated surface temperature does not exceed transitional
temperature [17], and it is said, the grinding process is not abusive.

2.5.4 Multiple Pass Grinding Technique

Based on the consideration of the required process and ultimate properties, the
grinding technique can be performed by taking the required layer of a workpiece off at
once, 1-pass grinding, or in multiple pass manner. A study of somewhat similar
machining process, face turning, has been conducted by Agha and Liu in [3]. The authors
investigated the effect of the second cut on the residual stress distribution of face turned

21

AISI 52100 hardened steels. Comparison of the final residual stresses induced in the part
after first and second cut were shown to be different, although the cutting parameters
were identical. Subsequently, it was concluded that final residual stresses depend on preexisting residual stresses, and the authors claimed that it is impossible to predict whether
the residual stress after the second cut would be less or more compressive than that after
the first cut based on machining parameters alone.
A similar study was carried out by Liu and Yang in [4]. In this work, the samples
were subjected to multipass grinding and surface residual stresses were evaluated.
Identical grinding procedures have been performed on samples n times with no stress
relieving procedure in between. The fact that final resuUing residual stress of different
samples differed from each other, enabled the authors to draw a similar conclusion: final
residual stresses depend on initial residual stresses, and that their superposttion is highly
non-linear [4].
Multipass techniques are commonly used in industry however there are only few
studies that have concentrated on investigating in its effect on materials properties. In this
work, multipass grinding carries somewhat of an alternative meaning. Grinding
operations to the same depth were performed by means of 1-pass, 2-pass, and 4-pass
techniques to evaluate the effect of the operation and model the effect on subsurface
residual stresses superposition.

22

2.6 Correlation of Mechanical Properties and Residual Stresses

In practice, no component is free from micro residual stresses, and almost all
components have macro residual stresses to certain extend [12]. Residual stresses are
usually generated in metal by thermal and/or transformation stresses accompanying
heating, cooling, and mechanical working processes [20]. The residual stresses can either
benefit in prolong fatigue life of metallic components, or they can be the cause of a
concern by contributing to failures in process and short service life [21]. Therefore, it is
essential to know the magnitude and distribution of the residual stresses in the part upon
its manufacturing to further on control and predict the part's behavior. The study of this
relationship can also be of a great contribution in optimization of the manufacturing
processes to obtain the desired effect.
Residual stresses' effect on mechanical properties of the dies is schematically
presented in Figure 2.7.
Residual stress
^'
Dimensional

1'

^r

Breaking

Hardness /
Toughness
1'

1'

Adhesion

Wear

1
''

'
Tensile
stress
1

1
"

Fat] gu e r iilure

Figure 2.7. Effect of residual stresses on materials performance.

23

The effects of residual stresses have certain common features; however the
magnitude of their action cannot be extended to all materials and to the different
manufacturing processes that induce residual stress. It is accepted, that when applied
sfresses are added to internal tensile sfresses of the material, the part is locally overloaded [2].
To the dies in cold thread-rolling process, these added stresses speed up the deteriorating
processes and may cause sudden failure. If compressive residual stresses are embedded in
the surface, service applied stress is relaxed to some degree and dies fatigue life will be
improved. An example of stresses superposition is given in Figure 2.8.

Figure 2.8. Superposition of residual stress and service stress [2, 22].

Tensile residual stresses may not only facilitate crack initiation but also accelerate
their propagation by increasing mean stress. Fatigue strength of the material is considered
to be a mean or static stress superimposed on the cyclic stress. As the mean stress am
increases, the fatigue stress decreases [22].
The effect of residual stress on the tensile strength was investigated in [23]. After
being subjected to a row of preparation techniques compressive residual stresses were
induced at the surface of 4340 steel samples. Subsequent tensile fatigue testing of all

24

samples revealed increased fatigue life compared to those which were characterized by
tensile surface or lower compressive stresses.
Another manifestation of residuals stresses is their upsetting effect on dimensional
stability. Inequity of residual stresses results in dimensional distortion [24]. These
changes may occur both when residual stresses are relaxed or generated.
In all known up-to-date studies, it has been declared that compressive residual
stresses improve fatigue life; however, the latter carmot be predicted only by the stresses
magnitude and distribution. The authors of [25] demonstrated that it is possible to take
residual stress into consideration when predicting the fatigue life using a global approach.
Some of the aspects, which were involved in the computation, were hardness, strain
hardening and relaxation of residual fatigue stresses. However in real life application,
there are still may be some other factors involved.
The effect of residual sfresses on wear and fiiction properties has also been
investigated although to a much lesser extent [2]. Usually its effect was encountered in
fatigue life through other parameters like toughness, hardness and adhesion which are
affected by the residual sfresses. This effect has been integrated into global parameter of
adhesion, and Bhadeshia in [2] suggested try and determine the real effect of residual sfress.

2.7 Residual Stress in Fatigue Mechanism

When the die is subjected to a cyclic load, fatigue failure occurs after a certain
number of cycles. The task of an engineer is to engage those manufacturing preparation
techniques that would increase dies performance and ultimately, fatigue Hfe. Crack is first

25

initiated on a microscopically small scale. Then due to continuous cyclic loading the
crack grows to a macroscopic size. Fatigue life of the die is presented in Figure 2.9 and is
usually detemtined by the last cycle when crack reaches the surface and complete failure
occurs [26].

Cyclic
slip

Crack
initiation

Micro crack
propagation

Crack initiation
phase

Macro crack
propagation

Failure

Crack propagation
phase

Figure 2.9. Fatigue life in phases [24].

Crack nucleation usually occurs as a consequence of microstructural changes in

materials during cyclic loading. It is accepted that residual stresses may shorten, extent or
leave unchanged the number of cycles to crack initiation, however experimental
investigations of macro and micro residual stresses influence on crack initiation are
scarce [12]. This is due to difficulties that are associated with observation of nucleation
and propagation of small cracks.
Crack nucleation mainly depends on the machining process, loading conditions
and material, but in most cases microcracks can be detected after 0.1-10 % of the lifetime
[12]. Cracks can be initiated at or below the surface. Let us consider both cases.
In most general way microcracks start at the surface of the material as a result of
high localized slip bands caused by a cyclic shear stress [26]. The cychc shear stress is

26

not affected by residual stresses and slip band cracking can still occur. However, if
compressive residual stresses are embedded at the surface, they tend to keep such cracks
closed, which slows down further growth. The author of [26] gives an example of leaf
springs in cars. Shot peening is usually involved in their preparation. Microcracks have
been observed after many years of service; however their accumulation does not lead to
failure. It was concluded that the compressive residual stresses served as an effective
barrier by seazing cracks further growth.
If crack is initiated below the surface, one can be sure it is residual stresses that
caused it. Residual sfresses may have a remarkable influence on the location of crack
initiation [12]. A term "the weakest point" has been defined in [27] as the point of
maximum tensile residuals stress. The authors showed that it could be over four times as
large as that of the average residual stress. Brinksmeier in [11] claimed that fatigue fracture
starts at the weakest point, therefore he emphasized that the knowledge of subsurface
stresses is more important than the average residual stress. If crack propagates into macro
residual stresses field, the behavior of crack propagation can be significantly influenced by
magnitude and distribution of the residual stresses. Thus compressive surface residual
sfress reduce crack propagation rate and, consequently, delay complete failure.

2.8 Surface Integrity Factor

Surface quality and its characteristics are known to play an important role in
part's performance and fatigue life. The conditions of the surface and subsurface layers of
the most machining parts are usually monitored by means of surface integrity factor.

27

Surface integrity factor can be evaluated on three different levels [28]. A basic
level involves microstructure, microhardness and roughness evaluation of the surface
layer resulting from the machining operation under certain process parameters. The
second level includes residual stresses and mechanical properties evaluation, whereas the
top level of the surface intensity factor evaluation consists of actual tests by means of
which the behavior of the part during machining is assessed.
Compressive residual stresses along with flaw-free surface prolong tools life and
delay the components failure [29]; therefore, the main objective of a metallurgical
engineer is to include those mechanical treatment in the part manufacturing, that produce
better surface integrity.
In this work, heat treatment and grinding effects of interest in D2 thread-rolling
dies were studied and evaluated first on a surface level by means of microstructural,
hardness and roughness examination, and then, subsurface residual stresses were
evaluated by x-ray diffraction technique.

28

CHAPTER 111
RESEARCH METHOGOLOGY

Tools life depends upon its manufacturing procedure that enables it with the
required characteristic properties and ensures acceptable longevity. Multipass technique
of the grinding operation is a very important factor to be considered in process
optimization. By selecting specific grinding parameters and techniques an engineer
should fulfill the following industrial requirements:
1. Predict the nature of the surface and subsurface residual stresses along with their
magnitude and in-depth distribution.
2. Optimize cutting conditions to produce the most advantageous

surface

characteristics and residual stresses profile.

Currently, there is a gap between the above stated industrial requirements and
available theoretical knowledge. Previously, it has been established [3, 4] that the effect
of multipass machining techniques has highly non-linear character; however there is no
analytical predicting tool that would describe this relationship. To fully utiUze the
potential benefits of the dies preparation techniques and contribute to a better
understanding of the processes, the effects of each factor alone, i.e., heat treatment and
grinding conditions, and their interactions were studied extensively. Subsequently, their
effects were modeled to develop an efficient predictive tool, which would complement
existing knowledge in the field and helps optimize the parameters to prolong tool life.

29

3.1 Specific Aims

This work has been mainly devoted to studying the effects of processes used in
D2 thread-rolling dies preparation and their subsequent modeling. The following
objectives have been pursued:
1. Investigate the effect of tempering and grinding operations on the surface finish
and residual stresses distribution in the dies.
2. Establish the most advantageous treatments for the studied material.
3. Develop predictive model to describe subsurface residual stresses distribution and
integrate established parameters to the treatment combination used.
4. Evaluate the effect of initial residual stresses on final residual stresses distribution
in multipass grinding technique and establish the functional relationship of their
superposition.

3.2 Experimental Design

The dies preparation scheme was subdivided into two phases: (1) heat treatment
steel preparation, and (2) machining operations. First, the specimens were heat treated.
This practice involved a set of various techniques and was operated at three levels:
quenched specimens were subjected to a single-, double- and triple-tempering.
Subsequently, all the specimens in each heat treated group were ground by one of the two
tested sets of grinding conditions, which in their turn, were performed both by single and
multipass techniques. Schematically the factors of study are given in Figure 3.1, and

30

complete documentation on the design of the experiment will be described in details in

section 3.5.

Heat treaimeni
''

Q+T(1)

Q+T(2)

'

Q+T(2)
'

'

Gr1|

Gr2

1 r

of 1

''

P2

P1

P1

P4

P2

PI

Gr2

Ol/l

P2
P4

Gr1

P4

P2

P2

P1

P2

P4

P4

Figure 3.1. Experimental design and the factors of interest, where the following
notation was accepted: Q + T(i) - quenching followed by i cycles of
tempering, /=1, 2, 3 (Table 2); Gr^ - grinding operation with set y
conditions, 7 = 1, 2 (Table 3); P]< - number of passes employed in
grinding, k= 1, 2, 4.

3.3 Test Hypothesis

The results of x-ray diffraction residual stress measurements were used to analyze
the effects of the investigated treatments via evaluation of the following hypothesis:

3.3.1 Hypothesis 1
Hypothesis 1 was concerned with assessing the overall effect of the experimental
structure. Here, the experimental model was evaluated for any significant effect to
establish if any of the variables in the system could be explained.
Ho: None of the operations involved in the dies preparation would be significant.
Hi: At least one of the treatment operations would be significant.
31

3.3.2 Hypothesis 2
The effect of heat treatment {HT) operations was evaluated in Hypothesis 2.
Identically ground specimens across all heat treated groups were analyzed to establish
significance/non-significance of the effect.
HQ- /^ijk ^ /^2jk " /"jjk'
H,: /y,.,^ it ju^^^ ^ ^^.^.

{j - grinding conditions,^ = 1,2;

^/( . multipass technique, ^ = 1, 2, 3.

Null hypothesis, if true, would establish that no heat treatment (HT) effect would
be significant, whereas alternate hypothesis would prove the opposite.

3.3.3 Hypothesis 3
Hypothesis 3 tested if grinding conditions (Gr) used in the study produced
significantly different effect. The hypothesis was assessed by analyzing the specimens
within each heat treatment group, which were subjected to the same multipass grinding
operation (P) but of different sets of parameters
JHQ: //,.,,. = /j^,y;
1H,:/^J,^

'^ /"i2k-

f/ - tempering cycles, i = 1,2,3

I A: - multipass technique. A: = 1, 2, 3.

Null hypothesis states that no significant effect of grinding (Gr) factor would be
significant, and alternate hypothesis, if true, rejects the first one.

3.3.4 Hypothesis 4
Hypothesis 4 evaluated the effect of heat freatment (HT) and grinding (Gr)
interactions. The samples ground by the same number of passes were evaluated to

32

establish if the effect of each preceding heat treatment {HT) and grinding {Gr) operations
was different from those of other combinations.
|Ho:/A,k =

/"l2k

/^21k =//:2k

= / ' 3 1 k =/^32k;

lu

1,.

.,

k multipass technique, A: = 1, 2, 3.

lH,://nk^

/^,2k

'^ / ' 2 , k ^ / ^ 2 2 k

'^/^Blk

/'32K-

Null hypothesis, if true, would imply that no significant interaction effect of heat
treatment {HT) and grinding {Gr) is significant, while alternate hypothesis, if proven true,
would reveal significant effect of initial residual stresses on final residual stresses.

3.3.5 Hypothesis 5
Hypothesis 5 tested the significance of multipass {P) effect in grinding. The
specimens previously subjected to the same heat treatment {HT) and grinding {Gr)
operations but different grinding technique, i.e., number of passes employed, were
evaluated for significance.
HQ^ /^iji = M\fi = /^ija;
H,: /^ij, ^ /^ij2 '^ Mj3

\i - tempering cycles,; = 1, 2, 3 ;
\j- grinding conditions,7 = 1,2.

Null hypothesis implies that effect of all grinding techniques would be identical
and the mean residuals stresses obtained in various multipass groups would be the same.
Alternate hypothesis would reject null hypothesis.

3.4 Repeatability and Validity

When a researcher designs an experiment, certain resolution and target values are
consciously or unconsciously embedded for the variables under the investigation. In most

33

cases due to practical and economical issues a certain range within target vicinity is
acceptable. This target range strongly depends on the nature of the experiment and is
valid within the experimental model. Based on these considerations, there were two
technical limitations that influenced selection of the experimental techniques used in the
work. Due to automatic grinder setup only three levels of multipass grinding technique
could be evaluated; however, this was sufficient to establish the characteristics
relationship of its non-linear superposition effect. Also, the number of replications in
subsurface residual stress measurements was limited to six, due to the nature of labor
intensiveness of the in-depth residual stresses measurements collection [30]. Thus,
repeatability of this experiment was achieved by the set of replications in collecting the
data, which was further used to build pure error term in squared sum of errors in general
linear model when assessing the hypothesis. Validity of this work was mainly concemed
with freedom from bias in the formation of conclusions. In this research the following
types of validity were applicable:
1. Internal validity was assured by use of clear relationship between dependant and
independent variables. The design of experiment was buiU in such a way that the
factors of interest were not confounded with any other effect, which could have
resulted in misleading conclusions.
2. Construct validity deals with assessing how well the experimental model
represents the real worid. The specimens were purchased from MSC fridustrial
Supplier, an official distributor of metal-working components. Selection of heat
treatment and grinding procedure suitable for D2 thread rolling dies was

34

determined by the recommendations of [8, 16] and the techniques used in the
study were kept as close as possible to those of industrial settings.
Also, the experimental set up agreed with the principle of temporal stability. Two
specimens were tested in each treatment combination group with memory-free
independent and repeated measurements to minimize random experimental error.

3.4 Assumptions and Bias

Experimental model implied the following assumptions:
1. Replications carried no memory from the previous testing to the subsequent one,
therefore the data obtained were assumed to be independent.
2. In x-ray diffraction experiment an irradiated area of 1mm x 1mm was used,
therefore an assumption of uniform stress within irradiated area was made [19].
3. All treatments used in dies preparation were in control and repeatable.
4. The population distribution being tested was assumed to be normal, and the
variance of the errors within all levels of each factor was homogeneous.
Bias is defined as systematic error introduced into sampling or testing by selecting
one outcome over another [31]. Bias usually stands for any influence in the system that
distorts the data from their true pure chance nature. The following procedures were
undertaken to prevent any possible bias:
1. Skilled personnel were involved in conducting the experiment.
2. The operator conducting x-ray diffraction measurements was licensed to work
with the radiation emitting equipment.

35

3. Sample material was cut from the adjacent sections of the bar.
4. Samples were tested in randomized order.
5. The number of memory-free replications in repeated measurements was collected
to assess the data variation.

3.5 Design of the Experiment

Based on the experimental model proposed in Figure 3.1 the study utihzed
factorial-nested design to correctly investigate the effects of interest. Two of the factor,
heat treatment {HT) and grinding {Gr), were crossed, thus main and interaction effects of
these factors were studied, whereas the third experimental factor, multipass technique (P),
was nested within the levels of grinding {Gr).
The number of passes (i.e., 1-, 2-, and 4-passes) should be considered nested in
the grinding treatment from an experimental design standpoint, because the amounts of
material removed at each pass of one grinding operation are similar but not identical to
those of the alternative operation. That is, the depth changed accordingly to the type of
grinding due to the aforementioned concerns. Selection of factors and their number of
levels is discussed below.
Heat treatment factor {HT) was represented in the system by the number of
tempering cycles employed in specimen's preparation. The effect of tempering procedure
on the final residual stresses is known to be non-linear; therefore, three levels of the
factor were studied

hardening followed by (1) single-, (2) double-, and (3) triple-

36

tempering. The selection of the heat treatment factor levels was dictated by the a'priori
knowledge of the system; therefore, the levels of HT factor were fixed.
Grinding operation factor {Gr) described the conditions of the machining
operations performed after heat treatment. To prevent crack formation the intensity and
the strength of grinding operation must be kept non-abusive [6]. For this reason, the two
following considerations were kept in mind when selecting the grinding parameters: (1)
non-abusive nature of grinding procedure, and (2) industrial world representativeness.
Depth factor (depth) was introduced in the system with the purpose to evaluate
subsurface residual stress response to the preceding treatments. All hj^otheses being
tested in this research were assessed at each depth level, to establish the range of the
studied effect. Residual stresses distribution throughout the depth is highly non-linear
[20]; therefore, seven levels of the depth factor were studied. An increment in depth layer
and the ultimate depth of the affected layer were determined by considerations of the
previous works in the related studies [11, 28, 32] and the experimental run.
Pass factor {P) described the number of passes used in grinding. Three fixed
levels of the factor were investigated, which included single-, double-, and four-pass
grinding technique. Two studied grinding conditions differed from each other by depth of
cut; therefore the layers of material removed in similar pass techniques were not
identical. In order to ehminate the possibility of drawing any biased conclusion the levels
of pass factor {P) were nested in those of grinding factor {Gr).
Replication factor {rep) was concemed with the replications of the experiment.
Overall, six independent replications in testing each freatment combination were utilized.

37

The levels of this factor were picked randomly from the stand point of data variability
and time issue. Replications were made independently therefore no interactions of this
factor with any other were encountered. Blocking of random replication effect did not
upset any unbiased fixed nature of other factors in assessing the hypothesis.

3.6 Experimental Hardware

There were six pieces of hardware involved in the experiment. The equipment and
the sequential order of their use was the following:
1. Atmosphere- and Huppert tempering furnace,
2. Buehler metallograph,
3. Automated grinder,
4. PocketSurf profilometer,
5. PROTO residual stress analyzer,
6. PROTO electrolytic polisher.

3.6.1 Heat Treatment Equipment

D2 tool steels are prone to decarburization; therefore they need to be austenized in
atmosphere controlled furnace. The atmosphere controlled furnace used in austenizing
and dual chamber furnace for tempering are shown in Figure 3.2. Anhydrous ammonia
was used to generate ionized nitrogen which removed oxygen from the heating chamber
and thus prevented steel from decarburization. Ammonia, supplied to the burner,
decomposed into nitrogen which served as a shield from oxygen entering the chamber.

38

Figure 3.2. Heat treatment equipment: 1 - atmosphere controlled furnace

(austenizing), 2 - Huppert dual chamber furnace (tempering).

Overhead ventilation helped eliminate exhausted ammonia fumes. To prepare the

furnace for the experiment, first the temperature dial was set to a desired position, then
compressed air and natural gas valves were opened. Initially, the Ammonia flow meter
was set at 25-30 watch flow meter, and then after the flame shield was generated, the
meter was reset to a 15-20 position.
Tempering procedures were accomplished by means of Hupper dual chamber
furnace (Figure 3.2). The fiimace was equipped with temperature controllers, overtemperature controller and timer. Desired and maximum allowable temperatures for each
tempering procedure were set and monitored via digital controller of the ftimace. Maximum
allowable temperature could be up to 2250 F for the top chamber, and 1250 F bottom
chamber. Both chambers were enabled with independent control system which provided
flexibihty in rurming the experiment. The lower chamber was also supplied with a high
temperature fan to achieve better temperature uniformity in the furnace. For this reason.

39

tempering procedures were conducted using the lower chamber of the furnace. Safety
interlocks on all doors and access panels were set in such a way, that the power to unit
would be cut every time the furnace was open. Programmable controls allowed the
operator to preset a profile which the furnace automatically followed. Digital displays of
the furnace made it easy to monitor the temperature control. The digital controller was
fully factory-calibrated and ready for configuration. Therefore the only needed
calibration step was setting the minimum and maximum limits of the temperatures used
in the experiment.

3.6.2 Buehler Metallograph

Microstructural analysis of the specimens after heat treatment was accomplished
by means of Buehler metallograph. The image of the equipment is given in Figure 3.3.

Figure 3.3. Equipment used in microstmctural examination: 1 - Buehler metallograph,

2 - polishing and lapping disks.

40

Some of the characteristic features of the apparatus were: 200mm x 200mm

graduated stage with 30mm x 45mm travel, lOOW quartz halogen illuminator, 5x, lOx,
20x, 50x, and lOOx objectives for bright field and polarizer (0-90 degree rotation).

3.6.3 Automated Grinder

Grinding procedure was performed on an automatic surface grinder. A diamond
wheel of 6 inches in diameter and 220 grit size was selected for surface finishing of the
dies [16]. The grinder was provided with electrical control box, work table, handwheel to
manipulate table in longitudinal and cross feed directions if needed, hydraulic pump unit
and coolant system. Feed rate, table speed and wheel direction were set by control panel
located on the side of the machine. An image of the grinding machine is presented in
Figure 3.4.

Figure 3.4. Automated surface grinding machine.

41

3.6.4 PocketSurfProfilometer
Roughness examination of the samples was assessed by using a PocketSurf
profilometer (Figure 3.5). The body of the PocketSurf roughness gage was equipped with
a diamond-tipped stylus, digital display, parameter selection switch, probe, inch/metric
switch, and transverse length switch. Roughness measurement operations were based on
mechanical-electronical principle: the diamond tipped stylus was mechanically moved
over the surface and deflections of the stylus were collected into electronic signals, which
were then amplified and shown on the display. To ensure validity of the measurement the
probe stylus and skid were in good contact with surface, and the setup was properly
aligned, i.e., the axis of probe transverse were parallel to the surface being measured. Out
of three transverse lengths (1,3, and 5) available in the apparatus, a transverse length of 5
was used to obtain more accurate measurements.

Figure 3.5. PocketSurfsurface roughness gage.

42

Calibration of the profilometer was checked prior to its operation. The gage was
calibrated using the reference specimen and the EPL-1681 Riser Plate supplied with the
PocketSurf kit. Five cutoff lengths were used in assessing proper calibration of the
instrument. The readings from the standard specimen were within 4 |a"/0.1 mm of the
value stated on the label, therefore calibration was assumed to be within tolerance.

3.6.5 PROTO Residual Stress Analyzer

The PROTO x-ray diffraction system consisted of three basic components: the
goniometer controller, the goniometer head and the computer (Figure 3.6). Goniometer
confroUer was used to monitor and control the variables of the process, such as voltage
and current, and the computer was provided with XRDWIN version 2.0 which was used
to process information.

Figure 3.6. PROTO x-ray residual stress analyzer: 1 - goniometer confroller,

2 - goniometer head, 3 - computer.

43

The following principle lies in the basis of the x-ray diffraction system [33].
Voltage excited tungsten filament, which made electrons hit the chromium anode and
generate x-rays. The geometrical size of x-rays passing through collimator was defined
by the aperture. Detectors measured lattice strains by recording high angle diffraction
lines produced by a collimator x-ray beam. Recorded x-ray diffraction pattern was
converted into optical signal, amplified and transmitted to the computer for processing
and interpretation.
Firstly, the system was initialized and warmed up. The initialization stage was
done with the Z-motor by focusing the x-ray optics, which could be controlled either
through the software or with the remote pendant. The warm-up procedure was used to
bring up the ftiU power from zero to a full operating voltage in a stepwise manner; it
minimized problems related to measurements collection, and in the long run would
increase the life of x-ray tube.
Considering irreversible detrimental effect of radiation the following safety
measures were true. Safety interlocks in the x-ray diffraction system prevented the x-ray
generator from working when the shutters were not properly closed. Another important
safety feature was flow monitor: if the water flow cooling the tube was not sufficient, the
flow monitor automatically enabled the safety interlock to the h.v. generator, thus
disabling x-rays. The x-ray diffraction lab and the operator were constantly monitored
with dosimeters to detect if the radiation exceeded acceptable level.

44

3.6.6 PROTO Electrolytic Polisher

The major components of the electropolishing system used in the experiment
were electropolisher, stainless steel electrolytic tank, and magnetic electrode (Figure 3.7).

Figure 3.7. Electrolytic polishing system: 1 - electropolisher, 2 - electrolytic tank,

3 - magnetic electrode.

The middle section of the tank was filled with the electrolyte, which was
circulated by pump when running; and the other chambers of the tank were filled with
chilled water to keep the electrolyte cool. The magnet in the system played the role of the
anode. To enable better anode-cathode contact the bottom surfaces of the specimens and
the magnet were polished to remove scale, dirt or any other possible contaminants.
Electropolishing system was equipped with a set of electrode tips of different
apertures. Based on the size and geometry of the specimens a 4 mm electrode tip was
used. Recommended settings of voUage and time for removal 0.001" of the material from
the surface were provided in [34], however prior to the experiment the parameters were
calibrated for D2 steel specimens. Calibration techniques involved trial-and-error testing
of the effects of flow rate and voltage controls in time domain to remove 0.001" off the

45

surface at a time. Once the parameters were determined, this set of data was used at all
experimental runs.

3.7 Experimental Protocol

The experimental protocol includes records on (1) material and heat freatment, (2)
metallographic preparation, (3) hardness examination, (4) grinding procedure, (5) roughness
analysis, (6) residual sfress measurements, and (7) elecfropolishing, which are described below.

3.7.1 Material and fts Heat Treatment

Material used in the study was high-carbon high-chromium D2 tool steel. The
alloy composition of the steel is given in Table 3.1.

Table 3.1. D2 steel sampling composition [1, 35].

C
1.55

Cr
11.5

Chemical composition (Wt.%)

Mo
V
0.8
0.9

Mn
0.35

Si
0.45

Eighteen specimens were cut from the adjacent sections of the same bar. The samples
(1/2" thick and wide, 1" long) were sized for the convenience of the experimental procedures.
Initially, six specimens were randomly selected to undergo one of the three heat treatment
procedures (Table 3.2). Microstructural analysis, hardness, and surface residual stresses
examination were accomplished then. Subsequently, the specimens of each heat freatment
group were subjected to various grinding operation of different pass grinding techniques, and
the characteristics of the specimens were evaluated again.
46

Table 3.2. Heat treatment procedures of the D2 dies [36].

Procedure
1
2
3

Preheat

Hardening

1500 F, 12min
1500 F, 12min
1500 F, 12min

1850F,40min
1850F,40min
1850F,40min

1 cycle
400 F, 2 hs
960 F, 2 hs
1000F, 2hs

Tempering
2 cycles
900 F, 2 hs
960 F, 2 hs

3 cycles

920 F, 2 hs

A selection of examination methods and analysis was ruled by intention to

investigate and characterize surface integrity factor at three levels [27]: (1) mictorstructure
analysis, (2) hardness and roughness examination, and (3) surface and subsurface residual
stresses evaluation.

3.7.2 Metallographic Preparation

Metallographic preparation of the specimens included fine polishing and lapping.
Fine grinding was performed manually using a series of progressively finer abrasive
silicon carbide papers of 220, 320, 500, and 1000 grit size. Each of the grinding steps was
performed in a direction of 90 to the previous scratch direction. Subsequently, the
specimens were cleaned and finished by lapping with Micropolish Alumina 3. Lapping
procedure was performed on three wheels of different grit size in the following sequence
240-, 400-,0.1 micron.
After a scratch-free surface was achieved, the specimens were etched with 2%
nital. Nital is sensitive to crystal orientation, and is preferred for studying martensitic
structures [1]. Just-etched specimens were rinsed thoroughly with running water and
dried by plotting with cloth towels.

47

Metallographic examination was completed by microstructural examination. The

metallograph was able to produce a magnification of 5-100 the normal magnification.
The sampled were individually placed on an x-y motion stage. A desired location for the
examination was achieved by manipulating the x-y motion bar. Computer software
allowed viewing several images simultaneously to compare and contrast the
microstructures of different treatments.
Resolution displayed by metallograph was calibrated so that it would represent
true resolution. To do so, a sample was subjected to microhardness testing. An
impression produced by diamond pyramid was measured then. Further on, the diagonals
of the impression were measured using metallograph and corresponding adjustments
were made.

3.7.3 Hardness Examination

Resistance of the specimens to deformation was measured by hardness testing.
Rockwell "C" scale and brale indenter were used in the study. A basic principle of
hardness measurements consisted in applying the load of 150 kg on the surface of the
material and subsequent measurement of the mean diameter of the impression [36].

3.7.4 Grinding Procedure

Due to preceding heat treatment processes, volume and dimensions of the
specimens changed slightly. Therefore to eliminate the bias and to ensure uniform
material removal from the surface one side of the specimens was initially ground and set

48

as a reference datum. Grinding operations of interest were performed on the other side of
the specimens. First, the z coordinate of the machine was calibrated to coincide with preground specimen's surface level. Then the parameters of interest, including feed rate,
table speed, and the amount of the material to be removed from the surface at a pass was
set. An effective synthetic coolant system (CIMSTAR 3865 undyed metalworking fluid
concentrate) was used in grinding to reduce work temperature and prevent formation of
tensile surface residual stresses [17]. Grinding parameters utilized in the study are
presented in Table 3.3.

Table 3.3. Grinding parameters employed in surface finishing.

Parameters
Wheel speed
Spindle speed
Feed rate
Depth of cut
Coolant
Spark out

Grinding conditions 1
5416.5 feet/min
3450 rpm
40"/min
0.001"
CIMSTAR 3865
1 pass

Grinding conditions 2
5416.5 feet/min
3450 rpm
40"/min
0.0005"
CIMSTAR 3865
1 pass

Specimens of each combination of heat treatment and grinding procedure were

subjected to all three grinding techniques: 1-, 2-, and 4-passes grinding operation. The
selection of the type of grinding and conditions of the process was recommended by [16]
and was kept as close as possible to grinding procedures used in thread rolling dies
preparation in industry. Due to automated nature of the grinding machine, the grinding
parameters were identical from one grinding cycle to another that ensured accuracy of the
procedure.

49

3.7.5 Roughness Examination

Surface profile was measured in a direction perpendicular to the lay of the surface
- predominant directions of the scratch marks. Typical profile of highly magnified
machined surface consists of peaks and valley and is schematically shown in Figure 3.8.
>

Figure 3.8. Typical roughness profile [37].

Among three available roughness measuring techniques, i?, Rmax, and i?-,
roughness average i?, most commonly reported in literature, was used in the study, i.e.,
the arithmetic average height of roughness irregularities measured from a mean line
within the evaluated length, L. This principle can be described in the way of the
following equations:
1^

K=-\\y\dx,

(3.1)

L
R^{approx.) = y.+yi+y^^-yn

50

(3.2)

3.7.6 Residual Stress Measurements

Both non-destructive and destructive techniques were utilized in residual stresses
examination. First, the surface residual stresses were measured by means of nondestructive x-ray diffraction technique (Figure 3.9), and then the x-ray diffraction was
coupled with electropolishing to estimate subsurface internal stresses.

/v.

X-ray source

Film

.N,P2

Specimen
surface

. ^ - %

Figure 3.9. One-angle arrangement for x-ray diffraction technique [38], where Nsspecimen's normal; fi, angle between incident beam and Ns, Npi, and
Np2 the normals to the different planes 1 and 2 respectively; ^/i and ii/2,
angles between Ns, Npj, and Np2 respectively; rj, the angle between the
incident beam and diffracting plane normals; RQ, camera radius; 1 and
2, two diffracting planes; Si and S2, parameters directly related to the
Bragg's angles, 0i and 02.

Micro- and macrostress deformation principles lie in the basis of x-ray diffraction
techniques. When steel is under applied or residual stress, elastic strains cause change of
interplanar distance in the crystal structure of the material. By measuring this change in
interplanar distance it is possible to quantify the stress. Multiexposure technique (MET)
51

utilized in residual stresses measurements is schematically presented in Figure 3.9. The

technique involved the measurements of several values of lattice strains in multiple v|;
directions to eliminate non-linearities of d versus sinV due to significant amounts of
plastic deformation caused by machining operations (Figure 3.10).
DSpacIng

EM

Del 1 Del 2

1.177t.

1.1726

1.1&76

1,1626

0,0

0,1

0.2

0,3

0,4

O.E 0,6
Sin2psi

0,7

0,8

0,9
1,0
Phi=0,00

Figure 3.10. Single exposure method: d versus sin^V|; splitting in residual stresses
measurements on single tempered specimen, subjected to a set of
grinding parameters 1 (Table 3.2) of 1 pass grinding technique.

Summary of the x-ray diffraction measurements parameters are given in Table 3.4.
Table 3.4. X-ray diffraction settings data.
Radiation
Lattice planes - Braggs angle
Specimen's orientation angles, \\i
Irradiated area
Tube voltage
Tube current

Cr-K
(221)- 156
-11.95, 0, 11.95
1 mm^
17 kV
20 mA

52

A 10-second exposure time was selected for the stresses evaluation. Tonshoff and
Brinksmeier in [14] investigated the effect of measuring time on standard deviation of the
produced data and concluded that among the range of 1-30 seconds exposure time per
step, a 10 seconds exposure time produced the smallest standard deviation.
Position of K^ diffraction peak, intensity and peak breadth were assessed by
fitting a Pearson VII 85% distribution function by least square regression [39]. The
following corrections were applied to estimate true residual stresses [34]:
1. Corrections for background - a gain profile collected on glass surface was used in
x-ray diffraction measurements to minimize background noise
2. Correction for factors dependent on 9 and \\i - included Lorentz, polarization, and
absorption factors (LPA)

3.7.8 Electropolishing
Ruud in [38] claimed that electrolytic and chemical polishing are the only methods
for material removal from the surface that do not generate residual stresses in the
component. However the application of these techniques requires subsequent subsurface
residual stresses correction by an amount related to the relaxation due to the removed
layers. The residual stresses correction applied in this work are described by the equations
3.3 - 3.5. The principle of the electropohshing is schematically shown in Figure 3.11.

53

Removed layer

Figure 3.11. Stress in flat plate after layer removal [34].

For the flat surface, a generalized solution can be written as follows
H CJ,. ( Z )

C7,.(z,) = a,. (z,) + 2f -l^^dz-6zA

'"

'-1
-1

z7

(// o-,. (z)

-^

'-1
-1

dz.

(3.3)

z7

where cr^(Z|) represents true stress in any direction at depth z,, and CJ,. (Z, ) represents the
measured value at that depth, z/ is a distance from the bottom of the specimen to
uncovered depth of interest, H- original thickness of the specimen.
The correction of the residuals stresses at each particular depth was computed as
difference between the true and measured values
^H cr,. (z)
c(z,) = c7,(z,)-cr,. (z,) = 2 | rfz-6z,
'^1

I'I

(.// cr^ (z)

^^^dz.
z

(3.4)

The integrands can be expanded in a Taylored series in terms of surface values and
integration is performed step by step. However, only the first terms could be accountered
in calculation for shallow depths corrections:

c{z,) =

-4aJH)^.,

(3.5)

where Az = / / - z , . This correction is approximately proportional to the residual stresses

magnitude and inversely proportional to the specimens' thickness [34].

54

CHAPTER IV
EXPERIMENTAL RESULTS AND DISCUSSIONS

The characterization of D2 thread rolling dies after the experimental procedures

was accomplished in two phases: (1) surface and (2) subsurface examinations. The first
phase included microstructural, hardness, and roughness evaluation along with analysis
of surface residual stress and relative cold work. The subsurface materials examination in
the second phase was assessed by profiling the in-depth residual stresses. Subsequently,
in order to correlate the residual stresses to the preceding treatment operations, the
profiles were modeled. The details of the modeling methodology will be documented in
Chapter V. When combined with the findings of this chapter, the potential application of
this study was to predict response residual stresses based on the preceding heat treatment
and grinding operations.

4.1 Surface Characteristics Examination

4.1.1 Microstructure and hardness examination
In heat treatment, the preceding austenizing and quenching processes produce a
microstructure that can be tailored to microstructural characteristics of the steel upon
tempering. Metallographic examination of the specimens after hardening (see Figure 4.1-a)
revealed heterogeneous mixture of martensite, undissolved alloy carbides, and retained
austenite produced in cooling from austenizing temperatures. Untempered martensite in
the as-quenched condition is highly unstable due to supersaturation of carbon and alloy

55

atoms [10] in the body-centered tetragonal crystal lattice of martensite, and the presence
of retained austenite. Therefore steel hardening is always followed by tempering which
causes certain phase transformations, discussed below, and thus promotes more stabilized
materials structure. The results of microstructural analysis of tempered components are
shown in Figure 4.1-b, -c, -d.

\\^^

^ \

,11
,00 n
3w2^ \

'^_
"*

(a) as-quenched condition

(b) single tempered condition

^^^i\.*r>>-'^^. ^'-tAH-

(d) triple tempered condition

(c) double tempered condition

Figure 4.1. D2 steel microstructural examination after various heat treatment conditions.
Specimens were air-quenched from 1850 F, 2% nital etched; lOOx.

56

Determination of the microstructural grain size was conducted according to

ASTM E 112 by using the intercept method. Upon tempering, slight increase of the grain
size was observed. Grain size of 8 characterized the microstructures of as-quenched
specimens, whereas after all tempering procedures employed in the study the grain size
increased to 7.
The primary differences revealed in microstructures of the different heat treatment
operations were the amount, shape and distribution of the carbide particles in the
martensitic matrix. The microstructures of the samples after multiple tempering
operations were characterized by higher uniformity of carbides size and their distribution
throughout the martensitic matrix. In microstructures of single tempered specimens small
and large carbides particles of uneven shape co-existed with each other, whereas their
size was more homogeneous after multiple tempering operations. Tempering causes
transformation of retained austenite, which introduces additional carbides at various
stages. Accordingly, the microstructures obtained on double- and triple-tempered
specimens revealed more carbide particles per unit area when compared to those of
single-tempered practice.
Three distinct stages of tempering can be identified [40, 41]: (1) the formation of
the fransition carbide, (2) transformation of retained austenite, and (3) precipitation of
cementite. The first stage involves precipitation of transition carbides particles, usually at
210-390 F and its effect is revealed through the changes in toughness and hardness
(Figure 4.2). The retained austenite on quenching is mechanically unstable below the Ai
critical temperature, and therefore will fransform to martensite under stress. However,

57

this transfoi-mation occurs only after the transition carbides are well established and
usually takes place in the range of 390-660 F temperatures, which defines the second
stage of tempering [41].
The amount of transfonned retained austenite in the second tempering stage
strongly correlates to the range of tempering temperatures and the number of cycles in
heat treatment. Low tempering temperatures limit the size of the transition carbide
particles and result in very little change in the dislocation substructure of the as-quenched
martensite; therefore very little portion of retained austenite is transformed at lowtempering temperatures [7]. And vise versa, the higher the range of tempering
temperatures, the more retained austenite transforms in martensite. A similar trend was
observed when the number of tempering cycles was increased: the more tempering cycles
were involved in heat treatment operation, the more retained austenite transformed into
martensite.
Carbides precipitation and the retained austenite transformation significantly
increased toughness and lowered the hardness compared to that of as-quenched condition
(Figure 4.2). Due to the microstructure consisting of high-carbon martensite and a high
density of coarse undissolved carbides, the toughness of hardened D2 steel is low [10].
Tempering transforms unstable brittle martensite into a tempered one, thus relieving
some internal stresses. More stabilized tempered microstructures increase plasticity of the
martensitic structure and improve toughness. Being inversely dependent, the increase of
toughness in tempering operations causes decrease of hardness, which was observed on
all tempered specimens.

58

Hardness, HRC

640.43

b5

..aaaaiiM

64
63
62
61

62+0.6

i|:!i;;' 1

60
59
58
57
56

::!iK:l:i::|
iH--E

'!"''='
''!;'! '

-^9+0.43

59^a4

N
U

1i-:''ii.."-','lffi
-''=> '-'=181

'^'''m

Number of tempering cycles

Figure 4.2. Results of hardness examination on D2 specimens after heat treatment.

In general, the retained austenite of D-group steels is highly alloyed and hence
quite unstable. For this reason, surface hardness remains low until the secondary
hardening temperature is reached [7]. Gill in [42] investigated the effect of tempering
temperatures on the dynamics of the retained austenite. The results of this correlation on
D2 steel are given in Figure 4.3.
Tempering temperature, F
^XS

5O0

700

90Q

1100

13O0

Figure 4.3. Hardness as a function of tempering temperature for D2 steel

subjected to various austenizing conditions [42].
59

The tiiird tempering stage consists of the precipitation of the cementite and change of
carbides morphology [10]; however, the effect of this stage could not be revealed by the
metallograpliic examination in this work due to microscope resolution limitations.
The results of hardness examination obtained in this work conformed to the graph
of Figure 4.3 and indicated that secondary hardening took place in triple tempering
procedure. In multiple tempering at high temperatures range (900-1000 F), more carbon
and alloying elements are taken into solution, and therefore are available for carbides
precipitation [7]. Roberts et al. in [5] claimed that in high-carbon high-chromium steels a
large portion of retained austenite stays untransformed up to 800 to 1000 F where a
conditioning reaction occurs, which results in large quantities of new martensite to be
formed, and hardness increases again.

4.1.2 Roughness evaluation

Roughness of the ground surfaces both in longitudinal and transverse directions was
measured with several repetitions to achieve better accuracy in estimation of the
characteristic. Five observations made in each measurement helped estimate standard
deviation and coefficient of variation of the data. Table 4.1 gives the averages of the collected
data. Surface roughness in the longitudinal direction was found to be significantly dependent
on the type of grinding operation performed. That is, the specimens finished by grinding
operation 1 revealed roughness of about 14.4 |i-inch compared to 10.6 |i-inch roughness of
the specimens subjected to the other set of grinding conditions. Grinding multipass technique
effect produced shght roughness variation, however the effect itself was not significant at

60

a=0.05 significance level. Therefore, in the given experimental setup it can be concluded
that surface rougliness depended solely on the amount of the material removed from the
surface during the grinding operation. That is, the smaller the depth of cut, the better
surface finish was produced. The forces generated in grinding to a smaller depth remove
the material in a more even and uniform fashion producing a smoother surface in finishing.

Table 4.1. The resuhs of roughness examination. The data is based on five measurements.
Grinding
technique
1 pass
2 passes
4 passes

Longitudinal
Grinding
operation 1
15 1.58
13.8 1.10
14.41.14

direction
Grinding
operation 2
10.2 0.84
101.58
10.8 1.64

Transverse direction
Grinding
Grinding
operation 1
operation 2
28.8 0.84
29.4 2.88
30.6 1.14
30.6 0.89
29 1.22
29 1.58

Roughness examination of the surfaces in the transverse direction revealed no

effect neither of the type of grinding operation, nor of the grinding technique. The latter
indicates that no external factors or their interactions other than those of grinding
operation parameters were involved, which ensured the conclusion with negligible noise
due to the experimental operations or their techniques.

4.1.3 Surface residual stresses and cold work

As mentioned above, tempering operations alleviate some portion of the locked
internal stresses present in the material after quenching and result in more favorable
materials characteristics. Particulariy at the microstructure level, it can be shown by the

61

retained austenite transfonnation and formation of tempered martensite, while on the

residual stress level it is manifested by a decrease of surface tensile stresses (Figure 4.4).

120 -'

Number of tempering cycles in heat treatment

Figure 2. Surface residual stresses on D2 samples after heat treatment practice:
B - as-quenched condition; D - quenched and tempered specimens.

Every tempering cycle of the heat treatment operation employed in the study
advanced residual stresses relaxation, and the more cycles were involved in the heat
treatment, the lower the resulting tensile residual stresses were. Thus, specimens
undergone triple tempering revealed the lowest tensile residual stresses compared to
those of single and double tempering treatments.
Figure 4.4 shows that every tempering practice utilized in the study reduced
tensile residual stresses towards more compressive, however the effect of multiple
tempering operations was non-linear. That is, the most significant amount of residual
stresses relaxation occurred during single tempering, and even though each subsequent

62

tempering cycle also relieved internal stresses, the increment of the stresses relaxation per
each cycle was considerably smaller.
When material is under stress, applied or residual, dimensional changes due to
inhomogeneous plastic deformation and thermal/mechanical relaxation occur [21]. This
deformation may cause a set of macro and micro residual stresses alteration. Micro
residual stresses influence local hardness within component and consequently - the local
strength. Micro residual stress measurements can be collected along with macro residual
sfresses and determined by peak broadening of Full Width Half Maximum (FWHM)
values of the x-ray diffraction profile. Microplastic deformation changes the perfect
crystalline regions between dislocation tangles making them smaller. Upon reaching
nominal 0.1 jam [43], further reduction of these regions along with variation in lattice
spacing of the diffracting crystallites cause peak broadening.
Comparison of near-surface residual stresses and cold work values before and
after single pass grinding operation are given in Table 4.2. The degree to which the
specimens were cold worked demonstrated strong correlation to the amount of material
cut off in grinding: the specimens subjected to grinding operations of a smaller cutting
depth revealed higher degree of surface cold work compared to that of the alternative
grinding. Moreover, the amount of cold work, introduced in grinding, was found to
depend on the surface integrity.

In essence, smooth surfaces with greater surface

compressive residual stresses were characterized by greater peak broadening, and thus,
more prominent cold work. Specimens finished by grinding operation 2 (refer to Table 3)
demonstrated the maximum relative cold work of all specimens, and the minimum

63

amount of cold work was obtained on non-ground surfaces. Preceding heat treatment
procedures did not show significant effect, i.e. all specimens in each heat treatment group
possessed cold work within the same range.

Table 4.2. Residual stress and relative cold work (FWHM) values on D2 samples of
various surface finishing conditions.
Surface finishing
condition

Preceding heat
treatment
Q
Q + T(l)
Q + T (2)
Q + T(3)

Residual stresses,
ksi
96.46 2.45
45.08 2.65
20.65 2.21
15.17 2.00

Cold work FWHM, 20 deg.

2.29 0.17
2.74 0.15
3.49 0.12
3.75 0.19

Grinding
parameters 1

Q + T(l)
Q + T (2)
Q + T (3)

-53.47 3.26
-55.97 2.92
-59.40 2.35

3.49 0.18
3.74 0.13
3.94 0.21

Grinding
parameters 2

Q + T(l)
Q + T (2)
Q + T (3)

-48.60 3.46
-50.77 3.93
-55.77 2.83

4.76 0.14
4.98 0.17
4.57 0.24

Non-ground

Furthermore, by carefully analyzing the experimental data from the Table 4.2 and
Figure 4.4, the assembled observation clearly shows that grinding procedures produce not
only better surface finish, but also drastically change the stress state of the material. Both
grinding operations of the study converted surface tensile residual stresses towards
beneficial compressive stresses. In particular, grinding operation of set 2 parameters,
which involved smaller depth of cut, tend to produce higher compressive residual stresses
compared to the other grinding operation. However, this difference in surface residual
stresses was not shown to be significant at a=0.05 significance level due to relatively
high variation of the data. This observation corresponds to the results obtained in [19]

64

where Prevey claimed that surface residual stresses may not be representative of the
machining process. Specifically, in case of grinding the surface stresses may be neariy
independent of the grinding parameters [19]. In the same paper, the author also claimed
that machining and grinding practices produce variations in the surface residual stresses
which could be so large that surface results would be of little value. For these reasons,
subsurface residual stress measurements were further conducted in order to correctly
evaluate the effect of grinding on the stress state of the material.

4.2 Subsurface Residual Stresses Examination

Subsurface residual stresses profiles resulting from the preceding heat treatment
and grinding operations were collected on all specimens. Theoretically, several factors of
the D2 dies preparatory treatments might affect the residual stresses distribution and
magnitude; therefore the factors of interest were subdivided into several groups and
assessed by hypothesis listed in section 3.3. First the experimental data were evaluated
for overall effect by using General Linear Model (GEM), then, if significant, the effects
of each level of treatment was assessed individually and contrasted to those of the other
levels. Mukiple comparison techniques involved Student-Newman-Keuls (SNK) range
test and Scheffe test. Furthermore, since the analysis of variance (ANOVA) statistics
used were theoretically based on independence, random sample, normal distribution, and
equal population variance, all data presented in this thesis were plotted and tested for
normality, autocorrelation and equal population variances (for details, see Appendix B).

65

And the coefficients of variation of all data sets were within 3-16 percentage range,
which gave strong indication of the reliability of the resuUs.

4.2.1 Hypothesis 1
Hypothesis 1 dealt with assessing the overall effect of the model. First, the
experimental model was evaluated for any significant effect. The results of this
hypothesis (see Table B.l of Appendix B) indicated that all factors of interest have
revealed significant effect, except for the replication factor {rep), therefore shownsignificant factors were further considered individually in the subsequent hypotheses.
Partitioning of sums of squares of the main effects in the experimental model and their
interactions is graphically shown in Figure 4.5-a. More detailed output information is
provided in Table B.2 of Appendix B.
Non-significance of the replication {rep) factor supports previously made
assumption of the identical and independently distributed data and memory-free
replications. This finding promotes unbiased hypotheses evaluation and drawing right
conclusions. Six replications made in residual stresses evaluation were used to build data
variation and error term which was then used in testing the hypotheses. The output results
of this hypothesis revealed significance of all factors of the modeling design; therefore
heat treatment, grinding operation and multipass effects along with their interaction
combinations were considered individually in the following h3^otheses.

66

a: Hypothesis 1

Overall effect of the model

numbering of the effects

1 - replication (rep),
2-heat freatment (HT),
3 - depth effect,
4 - (HT)*depth,
5 - pass (P) in grinding (Gr),
6-(P)*(HT)in(Gr),
7-(P)*depth(Gr),
8-(P)*(HT)*depth(Gr).

b : Hypothesis 2
Tempering effect

numbering of the effects

1 - (HT),
2-error term.

c : Hypothesis 3

Grinding effect

numbering of the effects

1 - (Gr),
2-error term.

Figure 4.5. Sums of Squares partitioning of the experimental models by

hypotheses.

67

d : Hypothesis 4
Tempering and Grindinginteraction effect
numbering of the effects
1 - (HT)* (Or),
2-error term.

e : Hypothesis 5
Multipass effect
numbering of the effects
1 - pass,
2-error term.

Figure 4.5. (continued).

4.2.2 Hypothesis 2
The objective for testing this hypothesis was to argue if tempering effect was
significant in differentiy heat treated groups or not. The residual sfresses obtained on the
specimens, whose preparation procedures differed by only number of tempering cycles, were
compared between each other. Evaluation of the tempering effect across all grindmg
operations revealed similar frend in the residual sfresses distributions. In essence, the more

68

tempering cycles were involved in the dies heat freatment, the less tensile subsurface residual
sfresses were. At surface level residual sfresses of such specimens were more compressive;
however the effect was less distinct. An example of the residual sfresses profile describing
the effect of the preceding heat freatment is graphically presented in Figure 4.6.
Grinding operation 1, 2 passes

I -^T(Y)

3
'VI

Figure 4.6. Heat freatment effect on the formation of the residual stresses. The
data points represent averages of six repetitive measurements. Upon
heat treatment, the specimens were finished by grinding operation 1
in a single pass fashion.

Initially, F-test was performed to establish the significance of the effect, which
output results rejected the null hypothesis (Table B.3). Sums of squares partitioning of
the current experimental model is presented in Figure 4.5-b and indicates the successive
efficiency of the model. Subsequentiy, the data was tested using muftiple comparison
tests, which demonstrated significance of the effect at every depth of the residual stresses
profile. To assess the validity of the model, the assumption of normally distributed
residuals was verified. The data was first sorted by grinding {Gr), pass {P), and depth

69

factors and then evaluated. Q-Q plot and several statistical tests, such as Shapiro-Wilks,
Kolmogorov-Smimov and etc. (refer to Tables B.3, B.4 and Figure B.l) let the tests for
normality pass, hence previously made assumption was satisfied.
From the material's standpoint, the tempering effect was mainly determined by
the stress relaxation processes, which occur when the material was heated up to elevated
temperatures and held at a preset level. The dynamics of the phase transformations is
mainly governed by the temperature and the time of the tempering operation. Tempering
procedures relieve internal stresses locked in the material upon hardening by
transforming retained austenite to martensite and changing the morphology of martensite
from brittle to tempered one. Thus more stabilized structures resulting in lower tensile
stresses were achieved. The maximum residual stress relaxation occurred in triple
tempered specimens, which resulted both in a more stabilized microstructure and more
favorable in-depth residual stresses distribution. Single tempering practice, however,
employed the lowest tempering temperatures compared to those of the other two
treatments, therefore resulting residual stresses are more towards tensile.

4.2.3 Hypothesis 3
The effect of grinding operations was evaluated within each heat treated group
across identically muftipass ground specimens. Sums of square partitioning and the effect
of this model are shown in Figure 4.5-c. The output results (Table B.5) indicate that the
effect of both grinding conditions used in the study was significant at all depths below the
surface; however the effect was found to be insignificant at surface layer. The latter

70

finding conform the conclusion made by Prevey in [19], where he claimed that surface
residual sfresses may be nearly independent of the grinding parameters.
Single tempered specimens, 2 passes grinding
--Grl
.^

CO

:i
VI
Hi

on.
(07

Depth
Residual stresses, ksi (Gr 1)
Residual stresses, ksi (Gr 2)

0
-55.97
-50.77

0.001"
34.47
16.16

0.002"
73.73
58.15

0.003"
87.09
79.72

0.004"
67.25
57.73

0.005"
40.79
31.52

0.006"
19.25
16.37

Figure 4.7. The effect of grinding operations on the final residual stresses profiles.
The specimens' preparation included double tempering heat treatment
procedure, following finishing by two grinding conditions in single
pass fashion. The data is based on six observations.

Grinding effect on the residual sfresses profile is shown in Figure 4.7. Analysis of
tests statistics in SAS output and graphical effect presentation (Figure 4.7) indicated that
the effect of the grinding factor was strongly correlated to the type of grinding operation,
i.e., the amount of the material removed off the surface. That is, the specimens finished
by grinding to the smaller depth of cut were characterized by more compressive surface
residual stresses and less tensile stresses in subsurface layers compared to those of the
alternative grinding operation. This trend in residual stresses was mainly due to the

71

amount of energy entering the specimen in grinding, and workpiece surface temperature.
In essence, when cutting depth is increased, the surface temperature grows
proportionally, and due to the number of phase transformations (details in Chapter II) the
residual stresses of more tensile nature are generated.

4.2.4 Hypothesis 4
In the previous two hypotheses heat treatment and grinding effects were found to
be significant. However, in the cycle of the dies preparation none of these effects is
independent: finishing by grinding followed heat treatment specimens' preparation, hence
could be influenced by the initial state of the residual stresses, i.e., heat treatment induced
residual stresses. This hypothesis aimed to investigate the interaction effect of these two
factors and argue if final residual stresses were correlated to initial residual stresses.
The interaction effect was evaluated by contrasting the residual stresses obtained
on specimens within each grinding technique group, previously subjected to various heat
treatment and grinding operations. The F-test output results and R square values for this
model (see details in Table B.7) indicate the significance of this interaction effect.
Therefore it was concluded, that the effect of heat treatment and grinding operations is
strongly correlated, and final residual stresses are pre-defined by the initial residual
stresses induced in the material by heat treatment. Analysis of sums of squares
partitioning (Figure 4.5-d) along with the R square value suggest that the model is
constincted efficiently. The results of the normality testing given in Table B.S and Figure B.3
satisfied the previously made assumption and validated the model.

72

4.2.5 Hypothesis 5
Multipass grinding factor {P) in this hypothesis was evaluated for significance by
contrasting the residual stresses data obtained on identically tempered specimens and
finished by the same type of grinding. By assessing the hypothesis in this fashion,
identical pre-existing residual stresses induced in the preceding treatments were ensured,
and the observed contrasts between the levels of multipass factor were solely due to the
number of passes employed in grinding.
Residual stresses profiles across various combinations of tempering {HT) and
grinding {Gr) differed from each other in magnitude and their distribution throughout the
depths of the affected layer (hypothesis 4), however muUipass effect within each
combination was found to be similar. The significance of this model was established at
every depth of the profiles, and its effecfiveness can be evaluated by the partitioning of
the sums of squares (Figure 4.5-e) and SAS output resuhs in Tables B.9.
The effect of multipass factor on the residual stresses profiles is graphically
presented in Figure 4.9. The major differences in the residual stresses profiles were
observed in the stresses distribution and tensile peak location. And again, residual
stresses were strongly correlated to the amount of material cut off in grinding. Ultimate
depth of cut was identical across all multipass grinding techniques of each set of grinding
condftions. However due to the multipass technique, the amount of material removed in
2- and 4-passes grinding was twice and four time as less as in single grinding. Thus, the
grinding practice with the least cutting depth (4-passes) produced the least tensile
subsurface residual stresses, and single pass ground specimens were characterized by the

73

highest tensile residual sfresses. This effect was found to be significant at all depths at
a=0,05 level of significance.
Double tempered, grinding conditions 1

a
U

0.C07

Figure 4.8. The effect of multipass grinding on the residual stresses distribution in
double tempered specimens after grinding operation 1.

Another distinct difference in the residual sfresses profiles due to the multipass
effect was in the location and magnitude of the tensile peak. Likewise, the previous
discussion, this phenomenon was determined by the amount of the material removed off
the surface at each grinding pass. On single pass ground specimens the tensile peak was
observed at depth of 0.003", whereas specimens ground using both multipass techniques
had tensile peak at the depth of 0.002" below the surface. The latter observation indicates
that in single pass grinding the effect of the applied forces in material removal has much
greater magnitude, therefore the depth of the affected layers and the magnitude of the
induced sfresses are significantly greater compared to those of multipass ground specimens.

74

CHAPTER V
MATHEMATICAL MODELING OF GRINDING DYNAMICS

There are numerous dimensions in any machining process, which may contain
several interactive variables of equal importance, that make the process very complex.
As such, there is a reduced probability for setting up full explanation that can be
asserted to be the "real causation." At best an attractive model which is partial truth
can be aimed. Such model should be able at the very least to describe certain
phenomenon precisely and accurately.
The models that can be proposed depend on the individual's state of knowledge.
Ideally, a model in its mathematical concise form should have predicting power.
Therefore, it is of no utility to construct a mathematical model which is too complex to
support the reason. That is, the individual has to be in a juncture to derive a mathematical
model and hence physical consequences from the model. Some of the purposes for which
models in this chapter were constructed are:
1. Obtain answers about the dynamics of the grinding process;
2. Develop the theory of the grinding process and heat treatment;
3. FaciUtate conceptual progress in the residual stresses formation;
4. Influence further experimental design.

75

5.1 Objectives of the Modeling

Mathematical modeling of the residual stresses distribution under various heat
treatment procedures and grinding dynamics was mainly motivated to develop a
parsimonious predictive tool which would fulfill the following requirements:
1. Predict the magnitude and nature of surface residual stresses in each of the
experimental combinations.
2. Determine the location of tensile peak and describe subsurface residual
stresses distribution.
3. Establish superposition relationship in residual stresses distribution due to
numbers of passes engaged in the grinding operation.
Mere analyzing of the experimental data is not sufficient to establish the
underlying relationship of the factors for two reasons: (1) their non-linear nature and (2)
interrelated superposition effect. Several modeling techniques were considered to find a
simple function with minimal numbers of parameters, which would not only give a
good fit to the experimental data of in-depth residual stresses, but also predict ultimate
residual stresses profile based on the treatments involved in D2 dies preparation. Thus,
the goal of the modeling effort was to find the best fitting in a parsimonious expression,
yet flexible enough to give plausible physical insight to describe the relationship
between a response variable, residual stress of the material, and a set of independent
explanatory variables of the model.

76

5.2 Polynomial Curve Fitting

In the first modeling attempt, polynomial regression approach was utilized to
describe the residual sfresses distiibution throughout the affected depth of the material due
to the experimental freatments. From a statistical standpoint, regression modeling is a very
flexible approach, although a good fit of the mathematical model to the experimental data
with more than one asymptotic lines or changes can only be achieved when a large number
of model variables are employed. In addition, since one independent parameter is required
for each convex, concave, and/or flexing point, at least a third-order polynomials with four
parameters were needed to depict the residual sfresses profiles. An example of such a
polynomial regression with limited success in fitting the in-depth residual sfresses profile is
presented in Figure 5.1.

Figure 5.1. Third-order polynomial curve fitting. Sample's preparation included

quenching followed by single tempering procedure, and grinding
operation 1 by four passes technique.

77

A large number of parameters used in this model created the difficulty in

identifying their unique physical inteipretation and motivated the author seeking for a
more parsimonious alternative. Based on the results, any other approach would be
considered as a candidate for modehng the residual stresses if it would use less number of
parameters with equal or less predicting errors.

5.3 Damping System Approach

5.3.1 Model-to-Data Approach
Inttaitively, there are several closely related factors involved in a grinding operation,
friitially, the grinding setup allows the machine and the worked material press together with
a rotating motion as one intercoupled system. The generated energy therefore causes the
material wear by the introduced friction and subsequent vibration. Finally, the structure of
the ground material is weakened or desfroyed gradually layer by layer.
Analytically, there should be three factors involved in the grinding dynamics:
stifftiess {k), viscosity or fiiction {b), and inertia {m). A generic second-order differential
Equation 5.1 can be used to describe their relationship under certain rotational torque (r).
T{l)-bq{i)-kq{i)

= mq{l)

(5.1,a) or F{i) -bsx{i) -kx{l) = ms^x{l)

(5.1,b)

The equation 5.1,a is expressed in classical Newtonian dynamics, while the

equation 5.1,b in the Laplace domain. In either expression, the stiffness term {k) represents
the memory of the system, and can be considered as the ability of the spring to restore to its
original condition. The friction term {b) provides the resistance to the changes; it is
proportional to the velocity due to damper, and works in the direction opposite to the

78

applied torque (r). Finally, the inertia term (/;/) dictates the ability to maintain the
momentum or the kinetic energy level. In essence, the physical explanation of the
damping/vibration phenomena involves interchange of potential and kinetic energy of the
components of the system: kinetic energy is released in the form of motion and vibration,
and potential energy is stored in the components of the system.
When describing the effect of grinding operations, i.e., cutting conditions and the
number of passes, both the effects of the grinding wheel and material's surface were
equally important. The lumped dyiiamic system was presented as spring-mass-damper
elements of the grinding machine and damping-stiffiiess of the workpiece. The schematic
of the lumped dynamic system is presented in Figure 5.2.

* xi

f X2

]
Figure 5.2. Simplified mechanical model of wheel-surface system [44].

79

An essential concept derived from Figure 5.2 is that the energy absorption or
damping represents the resistance force of the material to vertical vibration motion in
material removal grinding processes. Damping is always present in the systems where the
energy dissipation occurs [45]. This energy dissipation causes a decrease of vibration
amplitude with depth increase from surface layers downward. According to this concept,
the atomic structure of the outermost layers of the material is subjected to greater
vibration amplitude, whereas its effect on the in-depth layers decays in some exponential
fashion. Internal friction caused by grinding defines the capacity of the material to
dissipate applied mechanical energy in the form of heat. The authors of [21] claimed that
internal fiiction invariably describes the capacity for unconstrained or enforced vibration
and is measured by the rate of decay of free vibration decrement. Under the applied
grinding stress, internal friction and thermal vibration of atoms results in irreversible
plastic flow, which in its turn causes plastic deformation, and thus advances residual
stresses formation.
To summarize all of the above effects to the ground surface, the reaction force of
the material was considered as the sum of static, fiiction, and internal forces.
Furthermore, there should be two categories of friction integrated in the lumped model:
(1) external friction between the grinding wheel and the workpiece, and (2) internal
friction at the atomic level within the material. In evaluating this grinder-workpiece
intercoupled system, it was plausible that the magnitude of the internal friction depended
on the maximal applied stress of the grinding cycle [45].

80

Likewise modeling of any real system, to simplify the aforementioned complex

dynamics, a number of kinematic and kinetic assumptions were made [45]. First, a
distributed mass was replaced by lumped mass elements to simplify the equation of
motion, and the direction of motion was constrained to a vertical one. Second, in
modeling vibration and damping system, only the cut-off depth of the material and the
natural frequency were accounted to describe the effect of grinding on the materials
residual stresses; any other possible effects were assumed to be relatively small and
neglected. Based on such simplification, it was assumed that velocity-dependent damping
of the grinding wheel is linear. That is, the relationship between modeling system
constants and the motion equations is linear.
Overall, in presenting grinder-workpiece system as a complex damping system,
vibration analysis and control system dynamics were plausible to be lumped together;
such simplification is defendable. For example. Beards in [45] claimed that the basic
equations governing the behavior of vibration and control systems were the same, which
enabled one to correlate the control system dynamics to mechanical engineering
analogies, fri this study, therefore, the grinding dynamics was described by the second
order differential Equation 5.1 a. Furthermore, the damping ratio {Q was expresses
through the stiffiiess {k), friction {b) and inertia {m) as follows [45, 46]

<=J^=
V 4mk

(5.2)

2ylmk

Every dynamic system falls in one of the three damping/energy absorption

categories depending on the relative motion of the components of the system, i.e.,

81

damping ratio (Q and natural frequency (fij). Underdamping system possesses null
damping ratio, therefore no damping occurs and the system oscillates continuously
(Figure 5.3-a). Damping ratio within a range of 0 - 1 describes damping dynamic
system, in which the motion decays gradually with depth propagation and eventually
comes to rest (Figure 5.3-b). Damping ratio above critical value of 1 characterizes
overdamping system that comes to rest immediately without oscillation as soon as
stiffness component is released (Figure 5.3-c). The governing equations of these three
dynamic systems are given in Table 5.1.

10

15

20

25

30

-0.5

Figure 5.3. The displacement response for a system under various damping ratio {Q
on the dynamic motion of the system: a - underdamping system (i^= 0);
b - damping system (0 < C< 1); c - overdamping system {C > 1).

82

Table 5.1. Step response of a second-order system [46].

Damping ratio
(a)

Time domain

^=0

1 - cos col
-i0j

(b)

1-

0 < <^< 1

Vw^

sm

./VW^ + tan-'

CO.

\.i\

(c)

1+

^>\

a'-\

" -a e

^ =

2a

To summarize, the damping ratio {Q can be considered as a critical parameter that

divides the effect responses between oscillatory and purely decaying. From the fiinctional
relationship of the damping ratio {Q and physical properties {b, m, k) of the system, it can
be concluded that tiie motion of the dynamic system is defined by the resistance to change,
i.e. fiiction/viscosity, over doubled square root of the memory and inertia product (see
Equation 5.2). Specifically, the damping ratio {Q is increased when the ability to recover
is greater than the product of memory {k) and inertia (m), and vice versa. In other words,
the memory term {k) interacts with the inertia (m) and their increase causes deterioration
of the material's ability to recover.
Another

physical

characteristic

describing

the

potential

change

from

underdamping to overdamping systems is the damped natural frequency {cOd) of the

system, as well as the frequency with which the motion repeats. The damped natural
frequency {cod) is proportional to the rate with which oscillation motion occurs and can be
described as follows [45, 47]

83

,=Vw^ = J-(l-^')>

(5.3)

Vm
where Q)d is damped natural frequency, and ci) is natural frequency of the system, both
are measured in rad/s units.
5.3.2 Data-To-Model Approach
The viscous/friction damping force, considered in the model, is proportional to
the velocity across the damper and always opposes the motion; therefore the damping
force is considered as a linear continuous function of the velocity. Then the complex
motion of the system could be expressed by the following second-order differential
equation
mq{) + bq{i) + k[q{i) - q{0)] = 0,
q{i)
where
q{l) =
q{)-q{-A)
V q{)=

(5.4)

q{i)-q{-M)
q{i) +

q{-2)-2q{-M)
A'
q{-M)-q{'2A)
(5-5)

To apply the Equations 5.4 and 5.5 the basic assumption was made: the motion of
the grinder-material intercoupled system depended on the component's inertia (m),
fiiction {b) and stiffness {k). Velocity of the system q{) was presented as a finite
difference of the current and the previous position in - domain. Further, in this study,
will be transformed into d depth parameter of the residual sfresses profile through linear

84

interpolation. Accordingly, the acceleration term q{i) is found through computing the
rate of the velocity change. Both q{C) and q(0 were assumed to be real and stable
functions, therefore the Equation 5.4 can be re-written in the Newtonian Equilibrium
representation as follows
m

q{f) + q{f-2Af)-2q{iAn

^^

, q{)-q{('-AC)
,,
'- + h''
2^^
l^k[q{(')-q{Q)] = 0.

(5.6)

Regrouping by q{l'),q{('),q{i) leads to the following expression

A/'
or

vq{n +

-2/?;

Af-

Al

q{i-Al) +

m
.Ar

b
q{-2Ai) + kq{0) = 0, (5.7)
Ai + k

q{i) = a,q[i~l] + a,q[i-2] + a,q{0).

(5.8)

By analyzing the equation above, one can conclude that every state of the system
can be expressed through the previous two consecutive positions: if one has two known
consecutive positions of the system in

domain every subsequent position can be

predicted. Equations 5.7-5.8 allow us to express the grinder-material intercoupled system

through the system identification auto regression technique (ID-AR), where its own
memory is used for regression correlation of the subsequent positions.
Overall, each of the finite differences (Equation 5.6) and the autoregression
(Equation 5.8) approaches involved three parameters in the goveming second order
differential equation, i.e., in, k, b in the Equation 5.6 and ai, a2, as in the Equation 5.8.
Therefore, the parameters of one approach can be used to relate to those of the other
approach (see Equations 5.9) and vahdate the utilized techniques.

85

-rz2^+Ai
m
Af
r m
^ A t l ^
m

m
71

-bAl
m

kAf
m

(5.9)

, _ kq{0) _ kq{0)
^ _m_
m Ae

Ae

5.4 Modeling Methodology

Several methods in damping curve fitting to the residual stresses profiles were
utilized to explore the nature of the residual stresses and to identify the model that would
provide the best fit. The best fit was established by the classical least squares method
when applying the mathematical model (Equation 5.10) to experimental data at each depth
of the affected layers. In general, all the approaches developed in the following sections
were based on defining extreme maximal and minimal points of the damping curve and
achievmg equality of the theoretical and actual upward and downward slopes. This
displacement of the dampuig system can be expressed as follows [46]:
-f/

7 = 1-

Vi^

rsin a)/^\-C

(5.10)

+tan"
J)

To find the maximal and minimal points, the necessary and sufficient conditions
must be satisfied
dY ^
=0

^
and

d'Y ^
r < 0.

dt
86

(5.11)

Accordingly, the following was obtained (for more details see Appendix C):
l = - nn
co..^!^

n e 1,2,3...

(5.12)

Based on the pattern of the residual stresses distribution, the first maximal and
minimal points were the key features of the modeled pattern in this study (Figure 5.4).
>'(0
1.6

n=l

n=2

n=3

1.4

1.2

1
0.8
0.6
0.4
0.2

10

15

20

25

30

Figure 5.4. Defining extreme points of the damping curve.

When the best fit has been found, the values of the abscissa and ordinate Y{)
were converted to those of the corresponding residual stresses coordinate system, i.e.,
depth d and residual stress {RS), respectively. The conversion was based on linear
interpolation, and the utilized equations were derived from imposing a theoretical curve
onto an actual one and governed by extreme points.
Abscissas coordinate:

87

^1= P ' _ ! "

mm

max

"mill

'^nmx

' = 0-6,

(5.13)

where J, is depth of experimental profile abscissa coordinate corresponding to i value

of abscissa coordinate of damping curve, / defines the increments of 0.001" depth below
the surface; /' o represents /' initial coordinate; I' ,, and d,ax are maximal points of the
damping and residual sfresses profiles respectively; (' and d,i - abscissa coordinates
of minimal extreme points.
Ordinate coordinate:
DC
^"^d

DC
~ ^'^mas

^^-*

^ , )(''^'^max ~'^'^min)
>
max

DC
Kiy^

.
-,
]
I =dr,-d

mill

DC
(^max -^f.X-'^'^max - ^ ' ^ o )
-'f^'Jmax~~
1

RS.1..-RS0

(5.14)
.
-,
T
l = d max
, ^ , - amm
.

where RSd. is a conversion value corresponding toF^ , / is the increments of 0.001"

depth below the surface, / = 0 - 6; RSmax and Ymax are ordinate values of maximal
extreme points of actual and modeled curves; while RSmin and Y^in correspond to
minimal extreme points.
There were potentially three approaches in applying equation 5.10: (1) altemate the
natural frequency {cOn), (2) altemate the damping ratio {Q, and (3) altemate both cOn and ^.
Since the third approach doubled the number of parameters, there was no incentive to
apply it unless the first two approaches fail.

88

5.4.1 Natural Frequency Approach

As discussed in the previous section, the first modeling approach dealt with
damping curve fitting to the residual stresses profiles by locking the damping ratio
coefficient {Q and altering the natural frequency (fij) values. The objective was to
evaluate the effect of the natural frequency alteration of the shape of the damping curve
and to seek the ones that give the best fit.

10

15

20

25

30

35

40

45

50

55

60

Figure 5.5. The effect of natural frequency on the displacement of the damping curve.

The natural frequency defines the rate with which the damping system oscillates and
is determmed by the time interval during which the fimction repeats itself [48].
Mathematically, it does not influence the magnittide of the oscillation, but characterizes the
location of the exfreme maximal and minimal points in the

domain. Hence, the curve

fitting was done by (1) imposing the first maximal and minimal points of frie damping curve
onto residual sfresses profiles, (2) scaling the coordinates systems in order to convert one into

89

anotlier one, and (3) estimating the lack of fit. Upon scaling, every nattiral frequency-defined
damping curve revealed identical upward and downward slopes. Therefore natural frequency
cy -ylkim

was assumed to be a constant; this implies that the suspension stiffiiess {k) and

mass {m) of tiie given grinder-material intercoupled system tend to scale together.

5.4.2 Damping Ratio Approach

Since the effect of the natural frequency was found to be insignificant, its value
was set at 0.5 for computational convenience, and the modeling effort was diverted to the
approach of the damping ratio alteration.

5.4.2.1. Three-Point Fitting Approach

The fitting of the damping curve to the residual stresses profile was
accomplished by assigning the first peak and valley values of the damping curve to
those of the peak and the right-end points of the residual stresses. Then the values of
were shifted along the theoretical curve from mm to max with subsequent reseating of
the theoretical to experimental curve. This procedure was repeated in loops until all
three corresponding points (initial, peak, valley) coincided and the closest downward
slopes of the two curves were reached. The lack of fit error term was estimated by the
least squares method between the corresponding actual and predicted values. The curve
fitting procedure and best fit were assessed via MATLAB, and the code used for the
computation is given in Appendix C. An example of the results of this modeling
technique is presented in Figure 5.6.

90

U3

en

lU

^ = 0.41
SSerror = 9 2 4 . 6 8 3 4

Depth below the surface

t value
R'^act
RSpred

surface
3.444
-59.52
-56.34

0.001"
5.1666
69.03
44.09

0.002"
6.8888
87.25
84.92

0.003"
8.6110
62.84
75.91

0.004"
10.3332
40.62
46.81

0.005"
12.0554
24.96
22.35

0.006"
13.7776
15.88
15.88

Figure 5.6. Theoretical damping curve fitting of the residual stresses profile using
three-point fitting approach. Specimens' preparation included
quenching, followed by single tempering, and finishing by grinding
of four-passes in grinding conditions 1.

Again, as seen from the graphical representation, the lack of fit in this method was
large enough to motivate the author to seek another fitting technique within the damping
ratio approach.

5.4.2.2 Equal-Area Fitting Approach

This approach was based on fixing three points (initial, peak, and valley) on the
theoretical damping curves and thefr shifting along the curve with subsequent rescaling

91

until equal areas under the theoretical damping curve and actual residual stresses profile
were reached. This approach gave the best fit among all the other utilized approaches,
and therefore is described below in details. The structure of the algorithm used to assess
the best fit can be delineated as the following five steps in the iteration:
Step 1. Based on the a'priori sttidy natural frequency {co,,), number of the exfremum order {n),
and a range of (' values were assigned for each iteration of damping ratio {Q testing.
Step 2. Theoretical peak of the damping curve was subsequently computed.
Step 3. The ratio of R\:Ro segments of the actual residual stresses profile were computed.
The R\ represented the magnitude of the residual stresses between the surface
compressive values and the tensile peak; whereas RQ represented the residual
stresses amplitude between the tensile peak and the final depth point at which the
stresses were evaluated. Schematically these segments are shown in Figure 5.7.
Step 4. For each value within the range of 0

^ max corresponding i?op value of the

theoretical (i.e. predicted) profile was computed from the following proportion
R
R
5- = ^ , where RQ and Ro are the segments lengths of ordinate range between
the maximal and the right-end (minimal) points of the residual stresses and
the damping curve profiles, respectively; R\ and /?ip are the segments of
ordinate range between the initial and the maximal points. This step
determined the best locations of the initial, maximal and right-end minimal
points of the theoretical curve.

92

Figure 5.7. Defining the .H'l .Ho proportion of the residual stresses profile.

Step 5. Subsequently, Y values of the modeling curve corresponding to each depth

increment were found. Based on the given Y values, the steps 4 and 5 were
repeated until the areas under the damping modeling curve and the residual
stresses profile were of the closest possible values, i.e., until Fpred < Yj.
Graphically this mechanism is described in Figure 5.8.

^.pred
pred

Figure 5.8. The schematics of the equal-area fitting approach.

93

C=0.1-f0.9
RS. ^=0:2:16
M.. = 0.5=l.

(the best fiO

7tn

,...nB

v^fl

^/^?

sin coJ\J\ -i'

+ tan'

'1^'

end

Ro = RS {1,3)-RS {1,1)
R, =RS {1,3)-RS {1,1)

Rin
Y,
s]p YmiLX< miLX

R
0.

=Y

pred

max

R,

^^

R,1 .

-N
Qp

-f(y

>^v=l-

VT^

rsm

6 ; / , V r ^ + tan-'

1-r
^

yes

Figure 5.9. Flow chart of the equal-areafittingalgorithm.

94

B
55 error = 0
-CaX'

/ , V i ^ + tan-'

Y=h

-Sin CO.

1-C^

^ ' '

!=0.1-f0.9

^ _ . = ^ + (/-l)A^
-f((;

i:. = 1 -

sm

/ . . . V l ^ + tan-'

li^

RS,=RS{\,i)

i<4

RS,=RS{\,A)(Y

-Y

){RS{\,^)-RS{\,\)
Y

{Y

-Y

){RS{\,A)-RS{\,1)

-Y

Figure 5.9. Continued.

The flow chart presented in Figure 5.9 explains the algorithm used in the equalarea modeling approach. Once the damping ratio coefficient {Q with the best fit was
found, the damping curve coordinate system was converted to that of residual sfresses
profile and the squared sum of error was computed. As in the previous modeling approach,
MATLAB was used to implement the developed algorithm (for more details, see

95

Attachment C). The examples of equal-area fitting approach are demonsfrated by Figures
5.10 and 5.11, while tiie complete information on the fit of all residual stresses profiles is
provided in Appendix D. The residual stresses profiles were collected on the specimens
which undergone similar freatinent, differed from each other only by the type of grinding
operation. The MATLAB code and more detailed information on the output are given in
Appendix C.

(07

^= 0.76
SS.ror= 141.0620
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

value

3.444

5.1666

6.8888

8.6110

10.3332

12.0554

13.7776

Rbact

-59.52

69.03

87.25

62.84

40.62

24.96

15.88

RSpred

-59.52

62.14

87.25

64.14

33.13

18.98

15.88

Figure 5.10. Theoretical damping curve fitting of the residual stresses profile
using equal-area fitting approach. Sample's preparation included
quenching, followed by single tempering, and finishing by grinding
of four-passes in grinding conditions 1.

96

^ = 0.62
Sog

103.7936

Depth below the surface

surface

0.001"

0.002" ^0.003"

0.004"

0.005"

0.006"

value

4.1

6.0541

8.0081

9.9622

11.9162

13.8703

15.8244

RSact

-62.36

54.00

84.85

62.55

40.61

25.08

12.02

RSpred

-62.36

51.68

84.85

69.56

38.38

18.42

12.02

Figure 5.11. Theoretical damping curve fitting of the residual stresses profile
using equal-area fitting approach. Sample's preparation included
quenching, followed by single tempering, and finishing by grinding
of four-passes in grinding conditions 2.

After determining the curve that provided the best fit for each residual profile, i.e.
every experimental treatments combination, the modeled parameter {Q was plotted
against the factors of interest (see Figure 5.12) to explain the phenomenon and to tailor it
to the effects of the experimental treatment. Numerical values of the damping ratio
coefficients are given in Table 5.2.

97

-Agrinding conditions 1
- grinding conditions 2

4 passes

2 passes

1 pass

2
3
4
number of tempering cycles

Figure 5.12. Correlation of the modeled parameter - damping ratio {Q and the
factors of the experimental model.

Table 5.2. The results of the equal-area modeling approach. The data are the damping
ratio coefficients that provide the best fit to the experimental treatment combinations.
Type of grinding operation (Gr)
Grinding operation 2
Grinding operation 1
Multipass
Heat treatment factor (HT)
Factor
Heat treatment factor (HT)
Q + T(3)
Q + T(2)
Q + T(l)
Q + T(2)
Q + T(3)
Q + T(l)
0.18
0.21
0.11
0.25
0.17
0.1
PI
0.44
0.44
0.51
0.47
0.49
0.56
P2
0.55
0.53
0.62
0.67
0.76
P4
0.76
By analyzing the relationship of the damping coefficients corresponding to the
treatment combinations one can find that there is a limited amount of knowledge and
practice which is significantly manifested in the thoughts and algorithms of this modeling
chapter. The key findings are:

98

1. Multipass grinding factor {P) revealed distinct effect on the residual stresses profile,
i.e., shape and the magnitude of their distribution throughout the affected depth.
That is, regardless of the type of heat treatment and grinding operation, the shape of
all profiles within each level of the multipass factor was similar and therefore
characterized by the damping ratio coefficient within the same range values.
2. Heat treatment effect {HT) on the shape of the residual sfresses profile was found to
be significant on all specimens; however its influence was interactive with the effect
of tiie multipass grinding factor {P). Specifically, in the specimens finished by single
pass grinding the damping ratio coefficient increased with the increase of tempering
cycles. Nevertheless, in four-pass ground specimens this trend was found to be the
opposite: an increase of tempering cycles in heat freatment caused slight decrease in
the characteristic damping ratio coefficient. This finding indicates, that no particular
freatment of the experimental design had independent effect on the resulting residual
sfresses profile, and that every treatment operation used in specimens preparation was
influenced by the precedingfreatmentand, in tum, influences the subsequent one.
3. Grinding effect {Gr) also defined the shape of the stresses profile: specimens
subjected to the grinding operation to a smaller depth of cut (grinding operation 2)
were characterized by greaterer damping ratio coefficient compared to those of
the alternative grinding operation. This effect was more prominent in multipass
grinding rather that in single pass grinding. The fact, that this effect was strongly
correlated to the number of grinding passes employed, conforms to the resuUs of
[4] where high non-linear superposition the residual stresses was declared.

99

5.5 Physical Interpretation of the Modeled Parameter.

Application of damping model to the residual stresses profiles implies that the
mechanism, the structure and the identification techniques, and the insight of damping
ratio are used to derive inferences with regard to the mechanism and the structure of the
residual stresses. Damping modeling methodology was based on altemating natural
frequency {co) and damping ratio {Q coefficients in the damping grinder-material
intercoupled system. Natural frequency was found to be a constant, and it was inferred
that stiffiiess {k) and mass {m) of the components of the system tend to scale together.
Damping ratio coefficient defined the shape of the damping curve by influencing the
amplitude of the system's displacement in

domain. This correlation is presented in

Figure 5.13 and can be summarized as follows: increase of damping ratio coefficient
causes the curve smoothing outward, in other words the amplitude of the system's
oscillation is significantly reduced by increase of this coefficient.

=>

(b) damping ratio (^ = 0.4

(a) damping ratio <^= 0.1

Figure 5.13. Correlation of the damping ratio coefficient and the shape/amplitude
of the displacement of the damping system.

100

The inference derived from the model is that the amounts of the material removed
in two- and four-pass grinding teclmiques were 2 and 4 times smaller than those of single
pass techniques of the same type of grinding. Correspondingly, applied force and the
energy entering the workpiece were significantly lower in multipass grinding operation,
which caused less significant internal friction (Figure 5.14). At the atomic level, such
structures would be subjected to a smaller degree of plastic deformation and reach
equilibrium state sooner. Smaller degree of plastic deformation would also result in lower
tensile subsurface residual sfresses, and therefore smaller amplitude of the residual stresses
alteration from surface to subsurface layers within the affected depth of the material.

2F

Figure 5.14. Schematics of the internal friction and displacement of the structural
components under various applied forces (F) in grinding operation.

Along with the observations of the modeling results stated above, the corresponding
relationship of the damping ratio coefficient and multipass technique validated the previous
conjuncttire on the memory related aspects in the system. Specifically, the increase of the
damping ratio coefficient within each of the identically heat freated and ground group
indicated that the information of z pass was transmitted to that of (z +1) pass.

101

CHAPTER VI
RESEARCH CONCLUSIONS

This study evaluated the effect of various combinations of heat treatment and
grinding procedures on D2 thread-rolling dies surface integrity. The hypothesis and the
dies' preparatory treatments were established by means of microstructural examination,
as well as hardness, roughness and residual stresses distribution evaluation. The
experimental results were modeled to develop a predictive tool that would explain
residual stresses superposition due to treatment operations. The final model involved only
one predictive parameter, which reflected any change of the complex experimental
treatment procedures and estimated in a precise and parsimonious way the corresponding
change in subsurface residual stresses distribution. Furthermore, the parameter was
used to elucidate the dynamics of the grinding operation, and to support the theory of
the heat treatment and grinding effects on the materials characteristics. The results of
the experiment and the model helped evaluate conceptual progress in the residual
stresses formation, and can further be used in improving the dies preparation design to
enhance their life.
Modeling of the experimental data is motivated to reveal the underlying structure
and that the observed data represents the reality. If so, the model can further be used to
explore the insight of the nature. Philosophically, there are two opposing views on the
modeling [49]. Niel Bohr suggested that observation of the world, based on certain
modeling perspective, was fundamental to constructing its reality. Any modeling imposes

102

certain views that are projected onto the reality, and therefore the latter can be as
descriptive and complex as the model one can describe it by. Albert Einstein, on the other
hand, posited that objects existed irrespective to observation. That is, reality is always
there regardless of how you view or model it. To imitate their debate, this thesis should
be finalized with the following two indispensable questions:
1. What modeling experience was and could be infonned by the experimental
observation?
2. What observative knowledge was and could be informed by the modeling
experience?
The results of this research work can be viewed both by the model-reality and
reality-model approach and are presented below.

6.1 Obsevation Informs Model

The following points are based on the author's inductive experience from
experimental observations to model.
1. Microstructural characteristics of the materials were defined by the temperature
and the number of tempering operations involved in the heat treatment practice.
That is, higher uniformity in carbide's size and distribution characterized the
specimens of multiple tempered practice compared to those of single tempering
heat treatment.
2. Surface hardness decrease of D2 specimens was caused by double tempering
procedure due to the residual stresses relaxation and toughening of the structure.

103

However, this dependency was not linear: secondary hardening effect and slight
increase in hardness was observed on triple tempered specimens
3. The effect of grinding conditions on the surface roughness in the longitudinal
direction was found to be significant and strongly dependent on the amount of the
material removed off the surface at each pass. However multipass techniques
produced surface roughness no different from that of the single pass grinding.
Roughness in the transverse direction was neither dependent on the grinding
operation nor on the number of passes employed in the process.
4. Surface residual sfresses upon heat freatment operation were significantly reduced
towards compressive by every additional tempering cycle. This effect, however, was
foimd to be non-linear: the greatest amount of the residual sfresses was alleviated by
the single tempering operation (63%), and even though each subsequent tempering
cycle released additional amount of the intemal sfresses (30% and 7% respectively)
the increment of the stresses relaxation was considerably lower.
5. Surface cold work was strongly correlated to the surface integrity factor: smooth
surfaces with higher compressive surface residual stresses possessed more
prominent cold work. Thus, maximal relative cold work was obtained on the
specimens subjected to a smaller depth grinding, while the minimal cold work
characterized non-ground surfaces.
6. The effect of tempering operation on the residual stresses distribution was
significant at each depth of the affected layer. In essence, the lowest compressive
surface residual stresses and the highest tensile subsurface residual stresses were

104

generated by single tempering heat treatment procedure, while the opposite effect
was observed on triple tempered specimens. In addition, triple tempered
specimens

revealed

significantly

reduce

variability

of

the

measured

characteristics, and defined it as a more robust system.

7. Grinding effect on the surface residual stresses formation was nearly independent
of the grinding conditions, however it was found to be significant at every depth
of the subsurface layers: grinding operation to a smaller depth generated lower
tensile residual stresses compared to those of the alternative grinding operation.
8. Multipass grinding effect was revealed in the magnitude of the surface and
subsurface residual stresses and the tensile peak location. Increase of the number
of passes in grinding operation resulted in significantly lower tensile subsurface
residual stresses and slight tensile peak shift towards the surface layers.
9. Superposition of the residual stresses in multipass grinding was found to be highly
non-linear: both upward and downward slopes along with the tensile peak
attributes of the residual stresses profile altered simultaneously when at least one
of the treatment parameters was changed, and this correlation was unique to each
treatment combination.

6.2 Model Informs Observation

The following points are based on the author's deductive experience from the
model to explain the experimental observations.

105

1. The mathematical model helped establish the functional relationship in the

residual stresses superposition due to each of the preceding heat treatment and
multipass grinding operations.
2. Developed predictive model utilized only one explanatory parameter and
successfully predicted resulting residual stresses magnitude, their subsurface
distribution and the tensile peak location.
3. The modeled explanatory parameter carried important physical information,
which integrated the concept of the grinding processes dynamics and shed light on
the formation of the residual stresses.

6.3 Practical Implications of the Research

Evaluation of the treatments involved in the manufacturing of the D2 threadrolling dies, their influence on mechanical properties and fatigue related characteristics
allowed the author to suggest the most advantageous treatments combination, which
would result in a potential increase in fatigue life. Specifically, it was concluded that,
single tempering heat treatment practice should be avoided by all means and substituted
by double or triple tempering heat treatment. The latter provided more favorable
microstructural characteristics, specifically, more uniform and even carbides particles
distribution throughout the martensitic matrix. Such structures are more stabilized due to
a smaller amount of the retained austenite and are capable of sustaining greater applied
loads due to uniform carbides structure [5]. Hardness of the multiple tempered specimens
was found to be within the work range; however, for critical applications, time and

106

energy expenditure associated with the triple tempering cycle might be justified by
greater hardness and more beneficial residual stresses distribution it generates.
Grinding operation 2 in multipass fashion is strongly recommended. Smaller cutting
depth of such finishing operations promotes formation of smoother surface with greater
degree of relative cold work. These characteristics along with advantageous surface and
subsurface residual stresses distribution would enable D2 thread-rolling dies to sustain
applied forces better and maintain workability throughout greater number of cycles.
In summary, the effect of the manufacturing treatments on the resulting surface
integrity and the residual stresses distribution was weighted by their emphasis on the dies
fatigue life. This research work integrated already existing knowledge of the heat
treatment and grinding operations to the particular application (thread-rolling dies) and
introduced a new perspective on the effect of multipass grinding technique. The analysis
of the experimental results and their further mathematical modeling helped not only
explain the dynamics of the heat treatment and grinding operations and the formation of
the residual stresses, but also predict their superposition and functional relationship.

6.4 Future Research Implications

Among the further research implication that would allow expansion of the scope
of this thesis and deepen the scientific foundation, the following suggestions throw a light
to the ftiture research:
1. The amount of the retained austenite is to be quantified of all heat freatment and
ground structures, to estimate the degree of the residual sfresses relaxation during

107

the processes. The latter would be then correlated to hardness and toughness
characteristics of the materials.
2. Fatigue analysis of the dies after their final preparation is to be performed and
correlated to the surface integrity factor and the state of the residual stresses. This
would allow develop functional relationship of the material's characteristics and
fatigue life.
3. The developed two-step model includes: (1) predicting the damping ratio {<^)
based on various experimental interactions (i.e., tempering, grinding operation,
and grinding technique) and (2) predicting the RS patterns based on ^ . The
future modeling effort should expand the current two-step model to encompass
(1) various materials (within cold-work tool steels), (2) various sizes of the same
material, and (3) various types of grinding dynamics (i.e., grit size, griding wheel
and cutting speed).
4. Further optimization of the manufacturing and machining parameters based on the
developed models can be performed. This would enable one to (1) estimate final
mechanical properties of the dies by knowing the parameters of the manufactiiring
freafrnents, and (2) to determine necessary treafrnent combination to produce desired
surface integrity and residual stresses distribution, and thus better fatigue hfe.
5. Cost-Benefit analysis is to be accomplished to estimate the effect of the advanced
mechanical properties benefit of the triple tempered dies over the double
tempered ones scaled to the time and energy cost.

108

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26.

Schijve, J., Fatigue of Structures and Materials, Kluwer Academic Publisher,

Dordrecht, Netheriand, 2001.

27.

Prevey, P.S. and M. Field, Variation in Residual Stress due to Metal Removal,
Annals, of CIRP, 24(21), pp. 497-501, 1975.

28.

Grum, J., Induction Hardening. In: G. Totten, M.Howes, T.Inoue, eds.. Handbook
of Residual Stress and Deformation of Steel, ASM Intemational, Materials Park,
OH, pp. 220-247, 2002.

29.

Bouzid Sai, W. and J.L. Lebrun, Influence of Finishing by Bumishing on Surface

Characteristics, Journal of Materials Engineering and Performance, 12(1), pp.
37-40, 2003.

30.

Cammett, J., Quality Assurance of Shot Peening by Automated Surface and

Subsurface Residual Stress Measurement, Shot Peener, 15(3), pp. 7-8, 2001.

Ill

31.

Merriam-Webster Inc., Merriam-Webster's Collegiate Dictionary & Thesaurus:

network edition release 1.0. Network ed., Springfield, MA: Merriam-Webster.
computer laser optical disk, 1997.

32.

Rivero-Diaz, I.V., Investigation of Mechanisms Contributing to a Fatigue

Endurance of 52100 Steel, Dissertation, Pennsylvania State University, 2002.

33.

Limited., P.M., PROTO Residual Stress Analyzer Hardware Manual, Oldcastle,

Ontarion, Canada, 2002.

34.

Hilley, M.E., et al., eds. Residual Stress Measurement by X-ray Diffraction SAE
J784a, Society of Automotive Engineers, Inc., New York, NY, 1971.

35.

Karabelchtchikova, O.K., I.V. Rivero, and S.M. Hsiang, Evaluation of the Initial
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Residual Stresses Distribution in D2 Steel. In: TMS Annual Meeting and
Exhibition, Chariotte, NC, 2004.

36.

Schey, J.A., Introduction to Manufacturing Processes, 2nd ed., McGraw-Hill,

New York, NY, 1987.

37.

Mahr Federal Inc, Pocket Surf- Protable Surface Roughness Gages. Profilometer
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38.

Ruud, C , Measurement of Residual Stresses. In: G. Totten, M.Howes, T.hioue,

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39.

Prevey, P.S., The Pearson VII Distribution Function in X-ray Diffraction Residual
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40.

Lement, B.S., B.L. Averbach, and M. Cohen, Microstructural Changes on

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112

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Werner, F.E., B.L. Averbach, and M. Cohen, The Tempering of Iron-Carbon

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42.

Gill, J.P., High-carbon high-cromium Steels, Trans. ASST, 15, pp. 387, 1929.

43.

Prevey, P., Current Applications of X-ray Diffraction Residual Stress

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Mays, D.C and B.A. Faybishenko, Washboards in Unpaved Highways as a

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Benaroya, H., Mechanical Vibration: Analysis, Uncertainties, and Control, The

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113

APPENDIX A
EXPERIMENTAL DATA

Table A.l. Results of hardness examination on D2 specimens after heat treatment.

Replication

As-quenched

1
2
3
4
5
6
7
8
9
10
11
12
Mean
StDev
C.V.

64.5
64.5
65.0
64.0
64.5
64.5
63.5
64.5
64.5
65.0
65.0
64.5
64.0
0.43
0.007

Quenched
and single
tempered
60.0
62.0
61.5
61.0
62.5
62.0
62.0
62.5
62.0
62.0
62.0
62.0
62.0
0.69
0.011

114

Quenched
and double
tempered
58.5
59.0
59.0
58.5
59.0
59.5
59.0
59.0
59.5
59.0
59.5
60.0
59.0
0.43
0.007

Quenched
and triple
tempered
59.0
59.0
60.0
59.5
59.5
60.0
59.5
60.0
60.0
60.0
60.0
60.0
59.5
0.40
0.007

Table A.2. Results of surface roughness examination.

Grinding
technique

1 pass

Mean
St.Dev
C.V.

2 passes

Mean
StDev
C.V.

4 passes

Mean
St.Dev
C.V.

Longitudinal direction
Grinding
Grinding
operation 1
operation 2
17
10
16
9
13
11
15
10
14
11
15.0
10.2
1.58
0.84
0.11
0.08

Transverse direction
Grinding
Grinding
operation 1
operation 2
29
29
27
28
34
28
27
30
30
29
29.4
28.8
2.88
0.84
0.10
0.03

14
14
12
15
14
13.8
1.10
0.08

9
10
12
8
11
10.0
1.58
0.16

30
30
31
30
32
30.6
0.89
0.03

31
30
29
31
32
30.6
1.14
0.04

14
16
13
15
14
14.4
1.14
0.08

10
10
9
12
13
10.8
1.64
0.15

29
28
29
31
28
29.0
1.22
0.04

29
31
28
27
30
29.0
1.58
0.05

115

Table A.3. Experimental data on surface residual stress and relative cold work (FWHM)
after various heat treatment operations.

Quenched and
Quenched and Quenched and triple
single tempered
double tempered
tempered
Rep Residual Cold Residual Cold Residual Cold Residual Cold work,
work,
work,
work,
stress,
stress,
stress,
stress, FWHM,
FWHM,
FWHM,
FWHM,
ksi
ksi
ksi
2 deg.
ksi
2 deg.
2 deg.
2 deg.
1
99.52
2.27
41.99
2.71
19.28
3.08
16.27
3.63
2
94.74
2.57
45.51
2.63
18.49
3.51
15.04
4.09
3
96.82
1.89
43.56
3.54
2.95
22.91
3.35
16.26
4
97.98
2.24
3.72
49.08
2.46
23.18
12.03
3.97
5
93.41
2.49
2.94
19.41
3.52
16.27
3.79
45.27
Mean 96.49
3.75
2.29
2.74
20.65
15.17
45.08
3.49
0.21
St. Dev 2.45
0.27
0.21
2.21
0.32
2.00
2.65
0.16
0.13
C.V.
0.12
0.06
0.08
0.11
0.09
0.03
As-quenched

116

sassed #

CN

en oo

o
o O
en en en en in

en

CM
CD

CO

en

to
lO

en
00 1^ o

h*

to

Q:

r^

CO

tn oC O

in CM

CM

117

CM CM
cn
CO
CO
o
en en in en m
cn en
00 CO
CD r ^
CO

en

i^ CD

CO

CM
CD

0-

en

in

CM
00

1**
to

CO

tc

00
CM
O

CO

CM
CM
00
CO
CD
CD
CO
CD
O
CD
00
CO
CO

in CM

-75
-75
-75

00
CO
to

CM
CO
CO
CO
CO

o
^

CM

o
CO

CM

in
CO
CO

00

eo

c;5
CD

CO
CD

CO

1^
to

r-

CM

"3-

CM

CM'

to

eo
^
^

CO

CO

OO

Tt
^

00

CD

00
CD
CO

CM
CO

2.38

-76

cn

CD CM

in
CM
CO

0.60
in
CO
CO

5j oo
CO
CO
en
CM

o
o
CM
in

-75

CO 00
CO
in
T CM

ai

o
^

00

00
^

en en
CM

cn

00
CO

CO

CD
CJ

eo

oo o
to

CO
00

CM
in

oo

in

CM
CD
O

in
in

CO

CO

to

CM
in

r-

<t

CJ

o
tn

to

2.46
26.31
25.15

2.40
44.88

7.92
58.88

12.56
11.05

22.56
24.86
22.39
20.16

43.42
1.46
44.89
1.17
31,74
32.23
34.16
32,34

57.96
0.97
58.93
2.73
44 78
26,45 1 40.37

-70,64 1 21.46 1 35.26

-77.3 1 24.86 1 41,35
-55,32 1 25.13 1 37.16

30.18
-78.69 1 26,79 1 38,22 1 35.50
1.67
11.521 -69.40 1 25.51 1 40.63
1.24 1 10.09
1.89
3.38

1.88

34.36

32.69

25,05

1.88

18.64

0.49

18.15

7.91 1 -69.40 1 24.96 1 39.52

-75,9

-58,54

0.00
2.51

-60.93

1.73

24.91

2.22

22.69

24.39

21,76

1.89

28.34

1.95

26.39

25.13

2.91 1

15.77

2.78

12.99

10.51

16.72

10.58

16,54

2.16

16.85

2.44

14.41

11.08

16.10

13.98

14.03

42.09

18.02

24.54

29.46

27.74

56.82

-62.74

16.37

17.98

19.67

43.14

11.68

16.26

1.99

30.44

3.18

27.26

44.35

-60.93

1.01

50.57

64.28

53.81

29.67
27.98

59.45

-61.13

-63.40

1.43
8.52
6.39
6.44
7.91
9.24
8.97

1.91

2.54

1.91

24.03
26.15

42.11

15.10

1
1
1
1
1
1
1

48.03

62.38
1.27

51.20
52.54

49,87

60,93
62,71

27,14
28.58

43 97

-58,54

3.07

12.02

10.28

44.18
46.86

67,77

59.96

48,94

62,49

45,62
48 38

47,45
48.61

59,63

20,87

15.98

2.20

21.91

0.64

21.27

18,40

21,44

61.35

50 916

52.89

-57.21

-62,56

2.35

-59.40

21,11
23.01

2.41 1 3.01 1 3.61 1 0.00 1 0.56 1

CO

8.26

to
in

2.07

0-

T-

24.96

r-

22.58

-74

en

-74
CO

CO

21.09

CD

cn

-74

CO

1.50

5 5

cn to
o
ai tn

00

2.51

22.89

^
CM
CD

en

CM
O
00
CM

CO
00
1^

4.26

h-

CO
CM

00

62.84

24.63

CO

21.16

en
24,00

5
CD
CM
t^

^
^

ISt.Dev

CD

en
in

CM

87.25

CM
to

CM
T

CM

eo en C O ai
en eo
CO

-59

00
CO
CM

CO

1.43

CM
CO

co

^ ^
CD

CM
CO

CM
O

61.41

CM

0.95

o en CM CM
eo

86.30

to

21.71

T-

en CM
to
CO

CO

63.71

CO

CM

00

58.06

CM
CM

en CM 00 CO 00
CO CO en CM 00

CM

83.29

o
CD

CO
CO

en
o
in

86.14

m r^ m
CM

62.63

00
CO

CM

en eo o cn
CO
1^ cn
eo 00
CM

-59

en 00 CD en

o en o en
en
en
CO

Mean

CO

CO

^ in
1^
^ in
00
CO

-64

CM

CO
CM

in

CM

en CO
CO o
cn en
CD

1-58

tn
CM

CO
CO
CM

T-

82.77

CM
CM

tn
cn r^

-64

to

CM

92.73

to
CO

-59

s
CO
CO

59.23

64.24

<i-

82.72

CO

90.17

ai CO r-^ CM
eo CM
en en
CM en C O o CO CO o
CO
CO
CO CO CO

-59

o
in

3.73

l~- 00

-64

'J- en
CM CO
CO

1.40

en

30.22

cn en
CM

in
CO
CO
CO

2.47

CO
CD

1.82

CO
0-

115.19 81.70

CM
CO

CO

CO
CO
CM

CM' in CM

-50

<n

in CM
CM
CO

-58

CO

CD
CM
CO
CD

CO

CO

1st. Dev

cn
en
CM o

0.00

o en
m rr ^^ CM
*

2.35

CM

1.41

0.94

CM

cn

0.00

CO

CO

CO

-64

CO
*

27.87

CO

CD
CM

80.29

CO
CD

114.26

CM
CO

-62

14.30
en

CO
CM
CM

12.05

12.86
10.93

27.79

0.94
11,72

CO

o
o

CD
CD

80.26

CO

-61

a-

29.67

"J-

CM

26.83

^
o

81.73

1^ CO
CO
to
CM
1^

79.31

116.83

CO
1^

111 98

CM

-59

-65

to

CO
1^

26.11

en en
o

CM
00
CM
O

112.31

CM

27.45

CO

82.79

62.2

-59.40

19.25

CO

14.35
12.93

4.22

3.16

1.36

17.73

3.81

13.92

14.63

13.96

15.77

1.61

8.18

3.33

4.85

4.69

2.73

6.24

3.48

6.99

4.98

0.92

6.22

2.92

3.30

2.94

4.58

CM

-58

o
o

CM

Mean

CM
CO
CO
CO

tn

2.92

-69

CO
in
CM
CO

en

-57

en

CO
CO
CM
CO
CM

-59

00
00

75.92

CM
CM
CM
CO
CD
CM

114.65

cn

114.86

to
CO
CO
CM

o
o
r^

CM

-59

CD

CO

1.87

tn

29.37

en

1^
00
CO
CO

2.33

0-

oo
CO

00
to

81.73

o cn
o

*
to CM

114.90

^
o

-55

en

52.42

0.00

3.59

-58.8

15.65

-56.19

-62 08

-58,34

24 32

14,47

-58.74

1 0.001 1 0.002 1 0.003 1 0.004 1 0.005 1 0.006

16.84 1 -62.27 1 19.36 1 53.64 1 66.83

0.006

RS stress at depth or ...X*0.001"

,81

in
CM
CM

-54

o
CO

3.47

^
CO
CO
CD

0.00

CM
CO

116.49

en 00

-55

a-

2.86

r^

96.05

CO
00

^
to
00

3.26

*
o

en

-59

r^
CD

CO
CM
CO

o> o>
CM o

StDev

en

00

r^

49.56

oo 00
CO
in

1.72

CO
CM
00

114.77

cn o o cn

en

1.14

CO

16.38

15.04

CO

CO
CO

co CO
00

-53

94.91

CM
CM
en

-53

en
i^ CD

en
CM

co CO

CN(

-55

1^
O
00
a>
i~-

CO

0.00

o
^

50.87
CO
r^
CD

CO

CO

-53

CM
CO

51.12
CM
CD

16.20

CD

14.99

CO

115.1

en
CD

111.85

CD
CO

-57

CD

cn

c(z)

00
CO

97.09

en CD

92.58

CD
CD
*

-52

o
en o
oo en r-o CM en

CO

-52

0.004
CD

en

-55

CM
CO

48.96

o
CO

46,08

un

114.4

CO
^

112.74

O
CM
1^
CO

s
00

96.41

CM
O

-61

0.002

50,4

0.003
CO

CM

98,64

118.24

0.001
CO

Mean

o
CO
CO

-55

-47

89.13

.006

m
o

-54

O
o

-53

C/3

49.94

0.005

Q.

0.003

CD

116.29

95.61

Q.
00

0.002

0.0

o
Triple tempering, 1(3)

o
<u

-57.

3
c

-a

RS stress at dep th o r . . X'0.001

-5c

RSst ress at depth or... X'O.OOI"

Heat treatme

D.
O

Double tem paring, T(2)

(U

90 09

Single tempering, T(1)

c
o
"S
00
CO

CM

to
h-

to
CM

T-

CD

<U
(U

CO

o
U

sas set i#

eo

CM

96.31

-58.26 44.23

74.38

72.08
45.01

48.42

46.81

44.69

-62.67 16.52
-61.81 13.69
-68.93 12.02
-63.58 17.73
-64.37 14.29

9.98
11.63
10.90
12.35
10.37

27.52
26.24

28.90

29.15

26.93

0.00

0.47

0.95

1.42
1.90

2.37

2.85

0.00

0.52

1.63
57.73

2.17

55.56

28.8
31.52

2.72

1.03

1.55

58.62
2.06

34.26

16.37

3.26

13.11

2.58

47.13

12.81
17.87
15.09
14.86
0.60
15.46
2.2543

-58.61
-53.55
-56.20
-55.77
0.00
-55.77
3.455

5.59

7,11

8.02

6.17

3.09

0.00

-56.19

-56.07

-57.06

-55.16

-58.31

-54.37

-69.70 28.42

1.269

12.02

25.84

to

52.99 40.83

1-62.36 1 54.00 1 84.85 1 62.55 1 40.61 25.08

CO
CD
CO

1 StDev 1 4.323 2.048 4.641 1.9952 3.203 1.542 0.981 6.3156 4.656 3.681 1.557

1.865

15.87

1.193| 6.0614

10.55 i -64.96

43.86

0.003

0.004

0.005

2.169

2.0039

13.42

0.52

1.56 1

5.24

2.08 1 2.60 1 3.12 1

39.45 1 32.82 1 21.29 1 12.64 1 8.35 1
3.7699 2.5106{ 1.5451 1.6125 1.1066

1.04

6.97 1

8.19 1 5.98 1
38.41 1 31.26 1 19.21 1 10.05 1

18.93|

34.871 16.71 1 11.21 1

30.74| 20.41 1 12.43 1

1
1
1
1

2.2975

7.45

2.70 1

2.25 1
16.51 1

1
1
1
1
1
4.7532 1

6.14

2.94
1.79
7.87
6.04
3.74

1.6088|

15.34 1

3.58

11.758]

12.85

14.258

16.25

17.68

13.20

12.94

12.31

13.17

2.3993

29.36

2.98

26.38

28.99

8.61 1 4.53
5.16
33.47] 21.18 1 10.38 1 3.83
31.09| 19.34 1 9.46 1 4.95

1.6294

27.17

1.80 j

25.372

24.17

27.65

23.42

26.91

24.69

25.39

2.1237

48.57

2.39

46.182

28.39| 18.69 1

0.9859

43.78

1.35

42.435

42.32

41.74

41.70

42.20

44.37

42.28

2.1604

62.81

1.79

61.017

47.06

29.011

16.61

9.81 1
44.79 1 25.52 1 13.91 1

37.82 1

34.95 1
44.55 1

11.69

61.61
58.04

41.31 1

35.58 j

10.77

61.94 1 49.86 1 22.14 1

60.25 1 46.03 1 27.17 1 11.74 1

12.85

36.26

13.10

12.90

0.006

59.87 1 45.61 1 26.46 1 12.24

12.38

2.0911

1.4557

0.90
49.63

0.45
8.50

48.73

51.34

46.82

48.08

46.01

49.91

50.21

2.4655

47.14

1.19

45.95

46.96

49.38

8.05

8.31

9.06

6.20

10.19

7.65

6.89

45,85

16.81

-54.82

8.14 -56.14

17.23 7.202

16.93

17.11

78.04 56.12 34.78

84.02 58.43 33.89

19.25
15.03

36.68

32.63 16.36

18.71

81.24 59,88 34.14

68.89 60.65

67.64 55.99

82.79 60.62 33.45

77.1

14.82
15.99

3.056 5.065 2.004 2.068

58.15 79.72

1.09

55.74 31.64

13.73

14.58

-52.13

0.002

12.00

42.51 1 64.39 1 43,74 1 28.00 1 10.00 1

0.001

-59.32

1 -59.27 45.14 96.64 75.74 48.48 29.99 14.10 -64.47 15.97 78.13 60.16 36.32 19.81 10.30 -56.19
lst.Dev 1 1.605 2.56 1.126 2.1261 1.461 1.162 0.997 2.5279 2.519 7.144 2.141 1.385 1.547 1.112 1.3886
1-65.35 53.98 77.17 59,31 43,91 24.91 9.43 -72.86 31.95 51.04 37.37 22.28 10.14 7.27 1 -58.88
1-63.09 1 55.03 88.43 63.99 37.95 20.67 9.03 -76.7 24.67 58.19 41.94 23.74 13.84 6.19 -72.44
1-64.94 1 54.98 86.16 61.85 35.13 22.89 7.36 -62.36 33.74 48.11 38.94 24.64 15.05 8.72 1 -62.68
1-61.64 1 49.86 88.47 59.76 38.14 23.17 10.31 -61.33 30.21 49.06 39.41 22.53 14.67 5.68 1 -63.76
-71.77 23.48 50.93 38.12 25.51 11.75 6.97 ! -59.58
1-54.03 1 52.35 80.05 62.41 40.53 22.81
1 -65.08 1 54.78 82.86 59.03 36.01 21.06 9.35 -73.2 23.15 53.92 39.15 22.96 13.07 8.39 1 -72.39
1 Mean 1 -62.36
1 83.86 61.058 38.61 22.59 9.027 -69.7 27.87 51.88 39.16 23.61 13.09 7.20 1 -64.96
1 c(z) 1 0.00 1 0.50 1 1.00 1 1.50 r2.oo 2.49 2.99 0.00 0.56 1.12 1.67 2.23 2.79 3.35 ! 0.00

5; CO

OS'ES 1

118

1 Mean -59.27 44.66 95.69 74.322 46.58 27.62 11.26 -64.47 15.46

96.82

-61.30 44.71

77.65

73.46

46.93

78.25

57.06 78.09

2.872 4.774

-65.44 18.48

1.74 3.9314

-50.77 16.16

19.71
12.30

2.558
27.00

0.00

0.54

-50.77 15.62

61.25

60.24 26.38

28.9 11.08

79.92 51.20 29.05

54.08 79.41

49.55

od

94.44

43.93 96.95

1.866
47.62

11.75
17.92

20.7

-57.39

18.87
-0.99

-47.57

21.19

23.62 -47.52 17.56

51.14

10,95

16.24 62.56 81.70

76.09 62.56 30.13

17.98

-49.17

19.06 -53.63
20.33

00

-58.23 41.38

-57.48

72.49

75.87

1.9947

42.75

-1.78

44.54

44.89

41.12

TI

49.27 94.86

1.413

94.77

1.546

2.826

-61,13 44.46

-2.55

79.75

102.33 77.20

-2.52

104.85

82.21

48.53

42.49

44.80

T(3)
RS stress at depth or ...X*0.001"
o

-59.24

90.41

-1.47

91.88

-48.60 46.56

-0.38

92.61

0.00

102.40

91.08

-51.21 47.98

46.94

80.07

106.30

1 IVIean | -48.6

T"

78.93

79.11

12.11

0.006

54,07 26.72

0.005

0.004

59,97 73,14

21.14

0.002 0.003

12.27

-49.37

0.006

0.001

107.80

81.26

103.10

o
104.80

0.005

CO

45.38

a
-a

76.94

CO
CO

0.004

0.003

(U

104.70

CD

92.73 1
89.84 1
91.25 1
93.76 1

tn

0.002

cn
(U

0.001

St.Dev

0)
T(2)

-50.961 48.38 1
-43.581 46.13 1
-51.19| 47.06 1
-44.861 47.85 1
-49.80I 44.24 1

00

RS stress at depth or ...X'0.001"

RS stress at depth or ...X*0.001"

o
&

Heat treatment

sees

T(1)

c
o
'^
<u
o

APPENDIX B
ANALYSIS OF VARIANCE SAS CODE

Options ls-80; Title 'pre-existing and (Inal residual stresses correlation';

Data profile;
INFILE 'C:\Documenls and Settings\01ga Karabelchtchiko\My
Doeumenls\Thesis\DATA.csv'DLM=',';
do grinding=l,2;
dopass=l,2,4;
do rep=l to 6;
doT=l,2,3;
do depth^O to 6;
input stress @@;
output;
end;
end;
end;
end;
end;
Proc GLM data=profile noprint;
Class grinding pass rep T depth;
Model stress = rep T|depth|pass(grinding);
output out=ol r=resid;
Proc univariate normal plot data=ol;
Var resid;

* TEMPERING EFFECT;
Proc sort data=profile;
By grinding pass depth;
Proc GLM data=profile;
Class T grinding pass depth;
Model stress = T;
By grinding pass depth;
Means T/SNK;
output out=o2 r=resid;
Proc univariate normal plot data=o2;
Var resid;
by grinding pass depth;
119

* GRINDING EFFECT;
Proc sort data=profile;
By T pass depth;
Proc GLM data=profile;
Class T pass depth grinding;
Model stress = grinding;
By T pass depth;
Means grinding/SNK;
output out=o3 r^resid;
Proc univariate normal plot data=o2;
\'ar resid;
b> T pass depth;

* PASS EFFECT;
Proc sort data=profile;
By T grinding depth;
Proc GLM data=profile;
Class T grinding depth pass;
Model stress = pass;
By T grinding depth;
Means pass /SNK;
output out=ol r=resid;
Proc univariate noiTnal plot data=ol;
Var resid;
by T grinding depth;
run;

120

ANALYSIS OF VARIANCE FROM SAS OUTPUT

Table B.l. SAS output on hypothesis 1: assessing the overall effect of the
expenmental model.
Class

Levels

grinding
pass
rep
T
depth

3
6
3
7

Values
12
1 24
123456
1 23
0 123456

Number of observations

756

The GLM Procedure

Dependent Variable:
Source
Model
Error
Corrected Total
)tal

stress
DF
130
625
755

R-Square
0.996286

Sum of Squares
1411377.097
5261.605
1416638.702

CoeffVar
11.09168

Mean Square
10856.747
8.419

RootMSE
2.901477

F Value
1289.62

Pr > F
<.0001

stress Mean
26.15903

Table B.2. Hypothesis 1: Sums of squares partitioning and F-test results.

Source
rep
HT
depth
HT*depth
pass(grinding)
pass*HT(grinding)
pass*depth(grinding)
pass*HT*depth(grinding)

DF
5
2
6
12
5
10
30
60

Type I SS
9.927
76926.729
1217309.680
31134.753
38835.831
1436.375
40093.199
5630.603

121

Mean Square
1.985
38463.364
202884.947
2594.563
7767.166
143.637
1336.440
93.843

F Value
0.24
4568.87
24099.7
308.20
922.62
17.06
158.75
11.15

Pr>F
0.9467
<.0001
<.0001
<.0001
<.0001
<.0001
<.0001
<.0001

Table B.3. SAS output on hypothesis 2: testing the heat treatment effect.
grinding=l pass=4 depth=3
Class Level Information
Class
T
grinding
pass
depth

Levels
3
1
1
1

Values
123
1
4
3

Number of observations

18

The GLM Procedure

Dependent Variable: sti'ess
Source
Model
Error
Corrected Total

DF
2
15
17
R-Square
0.964087

Sum of Squares
2503.531378
93.258450
2596.789828
CoeffVar
5.402443

Mean Square
1251.765689
6.217230

RootMSE
2.493437

F Value
201.34

Pr>F
<.0001

stress Mean
46.15389

Source
T

DF
2

Type ISS
2503.531378

Mean Square
1251.765689

F Value
201.34

Pr>F
<.0001

Source
T

DF
2

Type III SS
2503.531378

Mean Square
1251.765689

F Value
201.34

Pr>F
<.0001

Student-Newman-Keuls Test
Alpha
0.05
Error Degrees of Freedom
15
Error Mean Square
6.21723
Number of Means
Critical Range

2
3.0684066

3
3.739284

Means with the same letter are not significantly different.

SNK Grouping
A
B
C

Mean
61.412
44.358
32.692

122

N
6
6
6

T
1
2
3

g r i n d i n g = l pass=4 depth=3
The UNIVARIATE Procedure
Variable:
resid
Nonnal P r o b a b i l i t y

4.S+

Plot

I
I
1.5-h

++"+-1-

-1.5+

+"-!-"
+ 1'++i'

I
I

-4.5-h

+-

- - + -

Figure B.l. Assessing the assumption of normahty in hypothesis 2. Normal

Probability plot (Q-Q plot).

Table B.4. Assessing the assumption of normality in hypothesis 2. Tests for

normality output.
Tests for Normality
Test
Shapiro-Wilk
W
Kolmogorov-Smimov D
Cramer-von Mises
W-Sq
Anderson-Darling
A-Sq

123

Statistic
0.973317
0.115231
0.034301
0.209775

p Value
Pr<W
0.8572
Pr>D
>0.1500
Pr>W-Sq >0.2500
Pr > A-Sq >0.2500

Table 6.5. SAS output on hypothesis 3: testing the grinding effect.

T=2 pass=l depth=2 Class Level Information
Class
T
pass
depth
grinding

Levels
1
1
1
2

Values
2
1
2
1 2

Number of observations

12

The GLM Procedure

Dependent Variable: stress
Source
Model
Error
Corrected Total

DF
1
15
17

Sum of Squares
717.8080083
144.2232167
2596.789828

R-Square
0.832684

Coeff Var
5.861285

Mean Square
717.8080083
14.4223217

Root MSE
3.797673

F Value
49.77

Pr>F
<.0001

stress Mean
64.79250

Source
grinding

DF
1

Type I SS
717.8080083

Mean Square
717.8080083

F Value
49.77

Pr>F
<.0001

Source
grinding

DF
1

Type I SS
717.8080083

Mean Square
717.8080083

F Value
49.77

Pr>F
<.0001

Student-Newman-Keuls Test
Alpha
0.05
Error Degrees of Freedom
10
Error Mean Square
14.42232
Number of Means
2
Critical Range
4.8853767
Means with the same letter are not significantly different.
SNK Grouping
A
B

Mean
72.527
57.058

124

N
6
6

grinding
1
2

T=2 pass=l depth=2 The UNIVARIATE Procedure

Variable: resid
Normal Probability Plot

S+

ic

I
I
I

++"+"

I
-5+
+

+
-2

-1-1-+'''-h-i-'''
''++++>v
+
.^
^
-1

++++"

"'++'*+++
+*+"++

^
0

_^
+1

_^

_^_
+2

Figure B.2. Assessing the assumption of normality in hypothesis 3. Normal

Probability plot (Q-Q plot).

Table B.6. Assessing the assumption of normality in hypothesis 3. Tests for

normality output.
Tests for Normality
Test
Shapiro-Wilk
W
Kolmogorov-Smimov D
Cramer-von Mises
W-Sq
Anderson-Darling
A-Sq

Statistic
0.963241
0.127946
0.032298
0.211147

125

p Value
Pr<W
0.8289
Pr>D
>0.1500
Pr>W-Sq >0.2500
Pr > A-Sq >0.2500

Table B.7. SAS output on hypothesis 4: heat treatment and grinding effects
combination.
= 1 depth-2
Class Level Information
Class
T
grinding
pass
depth

Levels
3
2
1
1

Values
1 2 3
1 2
1
2

Number of observations

36

The GLM Procedure

Dependent Variable : stress
Source
Model
Error
Corrected Total

DF
5
30
35

Sum of Squares
12910.98195
558.79535
13469.77730

R-Square
0.958515

CoeffVar
6.241790

Mean Square
2582.19639
18.62651

RootMSE
i.315844

F Value
138.63

Pr>F
<.0001

stress Mean
69.14433

Source
T*grinding

DF
5

Type ISS
12910.9819

Mean Square
2582.19639

F Value
138.63

Pr>F
<.0001

Source
T*grinding

DF
5

Type I SS
12910.9819

Mean Square
2582.19639

F Value
138.63

Pr>F
<.0001

The GLM Procedure

Level of
T

Level of
grinding

Mean

-stress
Std Dev

94.9100000
91.8783333
72.5266667
57.0583333
52.5443333
45.9483333

126

3.47109781
1.41338483
2.46000542
4.77420325
7.92404144
2.46532283

pass=l depth=3
The UNIVARIATE Procedure
Variable: resid
Normal Probability Plot

5.5+

"+++
+"++
if il it it it

0.5+

it it it it it it

I It It It it it
it I it it Vr it

" + '++

-4.5+

''++++
-+
+
-2

+
-1

+
0

+
+1

+
+2

Figure B.3. Assessing the assumption of normality in hypothesis 4. Normal

Probability plot (Q-Q plot).

Table B.S. Assessing the assumption of normahty in hypothesis 4. Tests for

normality output.
Tests for Normality
Test
Shapiro-Wilk
W
Kolmogorov-Smimov D
Cramer-von Mises
W-Sq
Anderson-Darling
A-Sq

Statistic
0.983974
0.069969
0.029105
0.219773

p Value
Pr<W
0.8694
Pr>D
>0.1500
Pr>W-Sq >0.2500
Pr > A-Sq >0.2500

Table B.9. SAS output on hypothesis 5: testing multipass grinding effect.

- T=l grinding=2 depth=2
Class Level Information

127

The GLM Procedure

Dependent Variable: sh'ess
Source
Model
EiTor

Corrected Total

DF
2
15
17

Sum of Squares
437.911744
124.0341
561.9458444

R-Square
0.779277

CoeffVar
3.178291

Mean Square
218.9558722
8.26894

RootMSE
2.875576

F Value
26.48

Pr>F
<.0001

stress Mean
90.47556

Source
pass

DF
2

Type ISS
437.911744

Mean Square
218.9558722

F Value
1 26.48

Pr>F
<.0001

Source
pass

DF
2

Type I SS
437.911744

Mean Square
218.9558722

F Value
1 26.48

Pr>F
<.0001

Student-Newman-Keuls Test
Alpha
0.05
Error Degrees of Freedom
15
Error Mean Square
8.268994
Number of Means
Critical Range

2
3.5386643

3
4.3123589

Means with the same letter are not significantly different.

SNK Grouping
A
B
C

Mean
95.692
91.878
83.857

128

N
6
6
6

pass
2
1
4

- T=l grinding=2 depth=2

The UNIVARIATE Procedure
Variable: resid
Normal Probability Plot

5+

+++"++++

-1+
-7++++

++++++++
--++1

--++2

Figure B.4. Assessing the assumption of normality in hypothesis 4. Normal

Probability plot (Q-Q plot).

Table B.IO. Assessing the assumption of normality in hypothesis 4. Tests for

normality output.
Tests for Normality
Test
Shapiro-Wilk
W
Kolmogorov-Smimov D
Cramer-von Mises
W-Sq
Anderson-Darling
A-Sq

129

Statistic
0.945988
0.154877
0.067391
0.424584

p Valu
Pr<W
Pr>D
Pr > W-Sq
Pr > A-Sq

0.8656
>0.1500
>0.2500
>0.2500

APPENDD( C
MATLAB CODE IN THE CURVES FITTING

Code for Single Pass Ground Specimens

z=O.SI
\\'=0.5
t=0:0.2:16
n=l
tmax=(pi. *n)/(w. *sqrt( 1 -z.'-'2))

Ymax= 1 -e\p(-z. *w. *tmax). *sin(w. *tmax. *sqrt( 1 -z.''2)-i-atan(sqrt(( 1 -z.''2)/z)))/(sqrt{ 1 -z.''2))
k=2
tmin=(pi.*k)/(w.*sqrt(l-z.-^2))
t=0:0.2:tmin
Yt= I -exp(-z. *w. *t). *sin(w. *t. *sqrt( 1 -z.''-2)+atan(sqrt({ 1 -z.''2)/z)))/(sqrt( 1 -z.'^2))
RS=[-55.97
34.47
73.73
87.09
67.25
40.79
19.25]
H0=RS(1,4)-RS(1,7)
H1=RS(1,4)-RS(1,1)
fort=0:0.1:tmax
Yt= 1 -exp(-z.*\v. *t). *sin(w. *t.*sqrt( 1 -z.^2)-i-atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.'^2))
Hlp=Ymax-Yt
HOp=(HO.*Hlp)/Hl
Ypr=Ymax-HOp
x=(tmax-t)/3
t7=tmax+3.''x
ift7>tmin
Y7=0

else
Y7= 1 -exp(-z. *w. *t7). 'sin(w. *t7. *sqrt( 1 -z.'^2)+atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.^2))
end
ifY7>=Ypr

break
dispCfound "perfect fit" curve')
end
end
Y1=1 -exp(-z. *w. *tt). *sin( w. *tt. *sqrt( 1 -z.'^2)-(-atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.'^2))
SSE=0
for 1=1:7
ifi<4
tcorr=tt-i-(i-l).*x
Ycorr=l -exp(-z.*w.*tcorr).*sin(w.*tcorr.'^sqrtC 1 -z.'>2)+atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z. 2))
RSact=RS(l,i)
RSpred=RS( 1,4)-((Ymax-Ycorr). *(RS( 1,4)-RS( 1,1 )))/(Ymax-Y 1)
else
\ c ^ 1 -exp(-z. *w. *tcorr). *sin(w. *tcorr. *sqrt( 1 -z.^2)-^atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.'^2))
RSact=RS(l,i)
RSpred=RS( 1,4)-((Ymax-Ycorr). *(RS( 1,4)-RS( 1,7)))/(Ymax-Y7)
end
SSE=SSE-H(RS( 1 ,i)-RSpred).^2
Out=[RSact;RSpred]
end

130

Code for Multipass Ground Specimens

z=0.49
w=0,5
t=0:0.2;16
n=l
tmax=(pi. *n)/('. "sqrtl 1-z.-^2))
^ma\=l-exp(-/.''w.*tmax).''sin(w.*tmax.*sqrt(l-z.''2)-l-atan(sq^t({i-z.'"2)/z)))/(sqrt(l-z.''2))
k=2
tmin=(pi.*k)/(\\.'sqrt(l-z.^2))
t=0:0.2:tmin
Yt= I -exp(-z, w. *t). *sin(w. *t. *sqrt( 1 -z.''2)+atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.^2))
RS=[-64.05 38.24 74.22 63.35 42.38 23.34 12.02]
H0=RS(1,3)-RS(I,7)
H1=RS(1,3)-RS(1.1)
fort=0:0.1:tma\
N't=l-e\p(-z.*\v.*t).*sin(\v.*t.*sqrt(l-z.'^2)+atan(sqrt((l-z.^2)/z)))/(sqrt(l-z.'^2))
Hlp=Ymax->'t
H0p=(H0.*Hlp)/Hl
^-p|=^'ma\-HOp
x=(tmax-t)/2
t7=tmax+4.''x
ift7>tmin
Y7=0
else
Y7=l-exp(-z.*w.*t7).*sin(w.*t7.*sqrt(l-z.'^2)-i-atan(sqrt((l-z.'^2)/z)))/(sqrt(l-z.''2))
end
ifY7>=Ypr
break
dispCfound "perfect fit" curve')
end
end
tt=t
Y1 = 1 -exp(-z. "w. *tt). *sin(w. *tt. *sqrt( 1 -z.'^2)+atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.'^2))
SSE=0
for 1=1:7
ifi<3
tcorr=tt-i-(i-l).*x
Ycon= 1 -exp(-z. *w. *tcon-). *sin(w. *tcorr. *sqrt( 1 -z.''2)-^atan(sqrt(( 1 -z.''2)/z)))/(sqrt( 1 -z. 2))
RSact=RS(l,i)
RSpred=RS( 1,3)-((Ymax-Ycorr). *(RS{ 1,3)-RS( 1,1 )))/(Ymax-Y 1)
else
Ycon= 1 -exp(-z. '^w. *tcorr). *sin(w. *tcorr.*sqrt( 1 -z.^2)-^atan(sqrt(( 1 -z.'^2)/z)))/(sqrt( 1 -z.'^2))
RSact=RS(l,i)
RSpred=RS( 1,3)-((Ymax-Ycorr).*(RS( 1,3)-RS( 1,7)))/(Ymax-Y7)
end
SSE=SSE-H(RS(l,i)-RSpred).'^2
Out=[RSact;RSpred]
end

131

Locating; the extreme points of the damping curves

=1

ma.x

ml'

Vi-c= ,
'

(-Cii-)c'
1

.
sin

4^

^F-7^+tan f V ^ l
V

f
VI - .;-' + tan

V^

+tan"
f

'

(0(

v ^ ( '1 - 4s "

TAA

:)V'-f' =0

Vl-C' -n

^A

fVi^

(UIVI - c ' + tan

/'

fc)/\/l - f" + tan

= eg

co(yj\-C

^ -

iOlsj] - C' +1

i-C'

' , ; ^ / ^ ^ + tan-'

CO.

sm

x/I - C "

r\\

x/

4^

^'g

clg{A)

x/1 - C '

fx/l-^'
V

'

tan .-l + tan B

- tan(/( + S ) =

1 - tan .4 tan S
r
^

tan I fof ^yl - 1^ j + t a n

1 - tan

(aif^y

V
r

^
I

1 -tan (^x/i-C')

^^r

'

/y

V ^

iV

(c^^V^)^^^^^

x/^
f

^
/
-^ tan tan"'

V^

i(cuf7l-f')-

x A ^
f

7
TAA

V
V

x / ^

TAA

tan

=tan{<.fx/^)

- ^ V ^^

(a>gV'-C')

V^

=tan(a)gV'-^')-

v^

LfVi - i' y~^=^^" ['"4 -i')-

tan

1 f c a ^ V l - C ' ) -t- tan L ^ V l - f ' )

= 0

^;:-> tan ( c y ^ V l - 4 ' ' ) ^ - = 0

l-^"-

Ti 0, '^^^-^ tan ( ( u f V l - f ' ) = 0 ^ ^ ^ ( y f x / l - f '

. n e Z,

Wyl\-C'

132

=;rn,...n eZ,

V r.^7^^
^^ _Vw
'

y;

APPENDIX D
Actual versus predicted RS patterns based on the best fit model - equal-area fitting

C/1

140
120
a> 100
c/l
80
"cS 60
3
40
-a ^0
0)
0
a:
-20
-40
-60
-80
UI

lyi

z=0.1
SS = 2.2723e+003
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

3.2000
-53.47
-53.470

4.2383
51.13
23.7672

5.2766
96.05
85.004

6.3148
116.49
116.49

7.3531
87.49
113.28

8.3914
52.42
79.56

9.4297
26.79
26.79

RSacl
*X.^Died

Figure D.l. Actual versus predicted RS patterns of single temperd specimens,

finished by grinding operations 1 in one-pass technique (Ti Gri Pi).

mi

Z=0.56
SSE = 604.1761
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value
RS

3.80
-58.67
-58.67

5.69
54,77
72,64

7.58
115.19
115.19

9.47
81.70
97.28

11.36
50.02
56.03

13.25

15.15

30.22
27.83

18.62
18.62

R^Died

Figure D.2. Actual versus predicted RS patterns of single temperd specimens,

finished by grinding operations 1 in two-passes technique (Tl Grl P2).

133

CO

.^
UI
I/I

100
80

60
13 40
3
a
^0
UI

UI

ai.

0
-20
-40
-60
-80

Z=0.76
S S = 141.0620
Depth below the surface
t value

suiface
4.9000
-59.52
-59.5200

RSact
RSpred

0.001"
7.2838
69.03
62.1363

0.002"
9.6676
87.25
87.2500

0.003"
12.0514
62.84
64.1432

0.004"
14.4352
40.62
33.1279

0.005"
16.8190
24.96
18.9842

0.006"
19.2027
15.88
15.8800

Figure D.3. Actual versus predicted RS patterns of single temperd specimens, finished by
grinding operations 1 in four-passes technique (Tl Grl P4).

CB

73.
vi
0)

(07

Z=0.11
SS = 2.0684e+003
Depth below the surface
t value
RSpred

surface
2.80
-48.60
-48.60

0.001"
3.97
46.56
18.05

0.002"
5.14
90.41
73.75

0.003"
6.32
102.33
102.33

0.004"
7.49
77.20
98.06

0.005"

0.006"

8.66
42.75
66.05

9.84
19.71
19.71

Figure D.4. Actual versus predicted RS patterns of single temperd specimens, finished by
grinding operations 2 in one-pass technique (Tl Gr2 PI).

134

Residi

40
20
0
-20
-40
-60
-80

Z=0.44
SS = 195.7099
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

3.5000
-59.27
-59.2700

5.2484
45.14
52.8695

6.9969
96.64
96.6400

8.7453
75.74
85.5546

10.4938
48.48
51.9581

12.2422
29.99
24.7420

13.9906
14.10
14.1000

R^act
RSpred

Figure D.5. Actual versus predicted RS patterns of single temperd specimens, finished by
grinding operations 2 in two-passes technique (Tl Gr2 P2).

pred

Residual stress, ksi

act
lUU

80

y ^ * * ^ ^

60

^^^^^

40
20
0
)

-20
-40
-60 1

0.001

0.002

0,003

0,004

0,005

0,006

0,( 07

depth below surface, inch

-80

Z=0.62
SS= 103.7936
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

4.1000
-62.36
-62.3600

6.0541
54.00
51.6805

8.0081
84.85
84.8500

9.9622
62.55
69.5593

11.9162
40.61
38.3798

13.8703

15.8244

25.08
18.4234

12.02
12.0200

RSpred

Figure D.6. Actual versus predicted RS patterns of single temperd specimens,finishedby

grinding operations 2 in four-passes technique (Tl Gr2 P4).

135

s
3
't/i

Oi
0,(07

Z=0.17
SS = 1.4245e+003
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

2.6000
-55.97
-55.9700

3.8587
34.47
7.1045

5.1173
73.73
60.2676

6.3760
87.09
87.0900

7.6347
67.25
83.3664

8.8933
40.79
56.1076

10.1520
19.25
19.2500

RSacI
RSpred

Figure D.7. Actual versus predicted RS patterns of double temperd specimens, finished by
grinding operations 1 in one-pass technique (T2 Grl PI).

ca

-a
ai.
(07

Z=0.49
SS = 21.0527
Depth below the surface
t value
RSa,
RS pred

surface

0.001

0.002"

3.7000

5.4539

7.2078

-64.05
-64.0500

38.24

74.22
74.22

37.3797

0.003"

8.9617
63.35
65.2259

0.004"

0.005"

0.006"

12.4695

14.2233

42.38

23.34

39.9604

20.0367

12.02
12.02

10.7156

Figure D.8. Actual versus predicted RS patterns of double temperd specimens,finishedby

grinding operations 1 in two-passes technique (T2 Grl P2).

136

pred

act
J2

80

'Ol 60

>==-

VI

40

20

T3

1 ,._

^ -20

/ 0,001

0,002

0,00.1

0,004

0,005

0 006

0( 07

depth below surface, inch

-40
-60
-80 '
-100

Z=0.76

SS = 205.7874
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

4.9000
-75.24
-75.2400

7.2838
43.85
35.5662

9.6676
58.44
58.4400

12.0514
46.16
43.2492

14,4352
31.56
22,8591

16.8190
20.84
13.5608

19.2027
11.52
11.5200

KOact
RSpred

Figure D..9 Actual versus predicted RS patterns of double temperd specimens,finishedby

grinding operations 1 in four-passes technique (T2 Grl P4).

0,(07

Z=0.18
SS = 741.3993
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

1.9000
-50.77
-50.7700

3.3958
16.16
2.1718

4.8917
58.15
53.5634

6.3875
79.72
79.7200

7.8834
57.73
74.3360

9.3792
31.54
47.2976

10.8750
16.37
16.3700

R^act
RSpred

Figure D.IO. Actual versus predicted RS patterns of double temperd specimens,finishedby

grinding operations 2 in one-pass technique (T2 Gr2 PI).

137

Residual stress, ksi

act

pred

100
80
60
40
20
0

/ /

"

^ ? ^

-20

//OOOI

-40

-JL-

0,002

ooo.-i

3 004

0,005

0 006

Or 07

depth below surface, inch

-60 1
-80

Z=0.44
SS = 594.5753
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

3.5000
-64.47
-64.4700

5.2484

6.9969

8.7453

10.4938

12.2422

13.9906

15.97
38.0962

78.13
78.1300

60.16
69.0202

36.32
41.4112

19.81
19,0454

10.3
10.3000

RSaci
RSpred

Figure D. 11. Actual versus predicted RS patterns of double temperd specimens, finished by
grinding operations 2 in two-passes technique (T2 Gr2 P2).

0.004

0.005

0.006

0,0

depth below surface, inch

Z=0.53
SS= 12.3313
Depth below the surface

surface

0.001"

0,002"

0.003"

0.004"

0.005"

0.006"

t value

4.3000

6.3819

8.4638

10.5457

12.6276

14.7095

16.7914

R'^act

-69.7
-69.700

28.42
27.5574

52.99
52.9900

40.83
42.5474

25,84
24.0856

15.87
13.5121

10,55
10.5500

RSpred

Figure D. 12. Actual versus predicted RS patterns of double temperd specimens,finishedby

grinding operations 2 in four-passes technique (T2 Gr2 P4).

138

pred

act
80
60

^
^
i
^
^

40
3

-a
ai.

20

0
-20
-40

//ooi

0,002

0,00.1

0,004

//

0,005

0,006

0,( 07

depth below surface, inch

-60
-80

Z= 0.25
SS= 1.0930e-^003
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t \alue

3.1000
-59.4
-59.4000

4.2297
24.41
-1.0061

5.3595
53.81
43.0133

6.4892
64.28
64.2800

7.6190
50.57
62.6263

8.7487
30.44
44.0447

9.8785
17.73
17.7300

K b act
IXOpred

Figure D.l 3. Actual versus predicted RS patterns of triple temperd specimens, finished by
grinding operations 1 in one-pass technique (T3 Grl PI).

Z=0.47
SS = 120.0977
Depth below the surface
t value
RSa,

surface
3.6000
-60.93
-60.9300

0.001"
5.3592
18.64
26.3066

0.002"
7.1184

58.93
58.9300

0.003"

0.004"

8.8776
44.89

10.6368

51.4547

29.9309

28.34

0.005"

0.006"

12.3960
16.85

14.1552

6.22
6.2200

Figure D. 14. Actual versus predicted RS patterns of triple temperd specimens, finished by
grinding operations 1 in two-passes technique (T3 Grl P2).

139

act
^

pred

60

Z=0.67
SS= 131.1188
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

4.3000
-69.4
-69.4000

6.3819
25.51
17.8217

8.4638
40.63
40.6300

10.5457
34.36
32.6455

12.6276
24.91
18.5294

14.7095
15.77
10.4448

16.7914
8.18
8.1800

KOact

RSpred

Figure D.l5. Actual versus predicted RS patterns of tiiple temperd specimens, finished by
grinding operations 1 in four-passes technique (T3 Grl P4).

(07

Z=0.21
SS = 490.9401
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

2.5000
-48.6
-48.6000

3.8088
15.38
0.7405

5.1177
46.99
42.1484

6.4265
62.57
62.5700

7.7353
48.26
59.6668

9.0441

10.3530

28.98
40.0736

14.88
14.8800

RSpred

Figure D.16. Actual versus predicted RS patterns of triple temperd specimens,finishedby

grinding operations 2 in one-pass technique (T3 Gr2 PI).

140

(07

Z=0.51
SS = 205.3301
Depth below the surface

surface

0.001"

0.002"

0.003"

0.004"

0.005"

0.006"

t value

3,7000
-56.19
-56.1900

5.5023
8,5
22.0752

7.3045
49.63
49.6300

9.1068
43.78
42.9774

10.9091
27.17
25.4693

12.7114
16.51
12.3257

14.5136
7.45
7.4500

RSaci
RSpred

Figure D.l 7. Actual versus predicted RS patterns of triple temperd specimens,finishedby

grinding operations 2 in two-passes technique (T3 Gr2 P2).

0,003

0,004

0,005

0,006

0,(|07

depth below surface, inch

Z=0.55
SS = 4.7921
Depth below the surface
t value
RS
RS'pred

surface
3.9000
-64.96
-64.9600

0.001"
5.8065
13.42
14.5606

0.002"

7.7131
39.45
39.4500

0.003"

9.6196
32.82

33.4679

0.004"

0.005"

0.006"

11,5261
21.29
20.1914

13.4326
12.64

15.3392

,2745

8.35
8.3500

Figure D.l 8. Actiaal versus predicted RS patterns of tiiple temperd specimens,finishedby

grinding operations 2 in four-passes technique (T3 Gr2 P4).

141

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