Materials Forming, Machining and

Tribology

Series Editor
J. Paulo Davim
Department of Mechanical Engineering, University of Aveiro, Aveiro,
Portugal

This series fosters information exchange and discussion on all aspects

of materials forming, machining and tribology. This series focuses on
materials forming and machining processes, namely, metal casting,
rolling, forging, extrusion, drawing, sheet metal forming, microforming,
hydroforming, thermoforming, incremental forming, joining, powder
metallurgy and ceramics processing, shaping processes for
plastics/composites, traditional machining (turning, drilling, miling,
broaching, etc.), non-traditional machining (EDM, ECM, USM, LAM, etc.),
grinding and others abrasive processes, hard part machining, high
speed machining, high efficiency machining, micro and nanomachining,
among others. The formability and machinability of all materials will be
considered, including metals, polymers, ceramics, composites,
biomaterials, nanomaterials, special materials, etc. The series covers
the full range of tribological aspects such as surface integrity, friction
and wear, lubrication and multiscale tribology including biomedical
systems and manufacturing processes. It also covers modelling and
optimization techniques applied in materials forming, machining and
tribology. Contributions to this book series are welcome on all subjects
of “green” materials forming, machining and tribology. To submit a
proposal or request further information, please contact Dr. Mayra
Castro, Publishing Editor Applied Sciences, via
mayra.castro@springer.com or Professor J. Paulo Davim, Book Series
Editor, via pdavim@ua.pt
 More information about this series at https://link.springer.com/
bookseries/11181
Editor
J. Paulo Davim

Mechanical and Industrial Engineering

Historical Aspects and Future Directions
Editor
J. Paulo Davim
Department of Mechanical Engineering, University of Aveiro, Aveiro,
Portugal

ISSN 2195-0911 e-ISSN 2195-092X

Materials Forming, Machining and Tribology
ISBN 978-3-030-90486-9 e-ISBN 978-3-030-90487-6
https://doi.org/10.1007/978-3-030-90487-6

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Preface
We can broadly define mechanical engineering as a discipline “which
includes the application of principles of physics, design, manufacture and
maintenance of mechanical systems.” The subareas of classical
mechanical engineering include: thermal and fluids, applied mechanics
and design, materials and manufacturing processes, automation and
control, etc. Industrial engineering can be considered an offshoot of
mechanical engineering that is concerned with “increasing productivity
through people management, business organization methods and
technology” or, in other words, “industrial engineering is the engineering
of system efficiency.” Depending on the subareas involved, industrial
engineering covers management science, operations management,
systems engineering, manufacturing engineering, safety engineering,
etc. This book brings together contributions on historical aspects and
future directions of mechanical and industrial engineering.
Chapter 1 of the book is dedicated to tribology (a tool for
mechanical and industrial engineering). Chapter 2 describes cutting
force modeling (genesis, state of the art and development). Chapter 3
contains information evolution of additive manufacturing processes
(from the background to hybrid printers). Chapter 4 is dedicated to
busbars for e-mobility (state-of-the-art review and a new joining by
forming technology). Chapter 5 describes autofrettage: from
development of guns to strengthening of pressure vessels. Chapter 6
contains information on machining of fibrous composites (recent
advances and future perspectives). Finally, Chapter 7 is dedicated to
management of industrial technologies.
This book can be recommended for a final undergraduate degree in
engineering or even at the postgraduate level. In addition, the book can
serve as a useful reference for academics, researchers, mechanical and
industrial engineers, as well as for professionals in related industries.
Scientific interest in this book is evident to many universities, colleges
and institutes, as well as to industry. Therefore, it is hoped that this
book will inspire the conduct of research in mechanical and industrial
engineering.
The editor thanks Springer for this opportunity to publish this book.
Finally, the editor would like to thank all chapter authors for their
willingness to participate in this work.
J. Paulo Davim
Aveiro, Portugal
December 2021
Contents
1 Tribology—A Tool for Mechanical and Industrial Engineering
Prasanta Sahoo and Suman Kalyan Das
2 Cutting Force Modeling: Genesis, State of the Art, and
Development
Viktor P. Astakhov
3 Evolution of Additive Manufacturing Processes: From the
Background to Hybrid Printers
I. Buj-Corral, A. Tejo-Otero and F. Fenollosa-Artés
4 Busbars for e-mobility: State-of-the-Art Review and a New
Joining by Forming Technology
Rui F. V. Sampaio, Maximilian F. R. Zwicker, João P. M. Pragana,
Ivo M. F. Bragança, Carlos M. A. Silva, Chris V. Nielsen and
Paulo A. F. Martins
5 Autofrettage: From Development of Guns to Strengthening of
Pressure Vessels
Rajkumar Shufen and Uday S. Dixit
6 Machining of Fibrous Composites: Recent Advances and Future
Perspectives
Jinyang Xu and J. Paulo Davim
7 Management of Industrial Technologies
Marius Gabriel Petrescu, Costin Ilincă, Maria Tănase and Hailong Fu
Index
About the Editor
J. Paulo Davim is Full Professor at the University of Aveiro, Portugal.
He is also distinguished as Honorary Professor in several
universities/colleges/institutes in China, India and Spain. He received
his Ph.D. degree in mechanical engineering in 1997, M.Sc. degree in
mechanical engineering (materials and manufacturing processes) in
1991, mechanical engineering degree (5 years) in 1986, from the
University of Porto (FEUP), the aggregate title (Full Habilitation) from
the University of Coimbra in 2005 and the D.Sc. (Higher Doctorate)
from London Metropolitan University in 2013. He is Senior Chartered
Engineer by the Portuguese Institution of Engineers with an MBA and
specialist titles in engineering and industrial management as well as in
metrology. He is also Eur Ing by FEANI, Brussels, and Fellow (FIET) of
IET London. He has more than 35 years of teaching and research
experience in manufacturing, materials, mechanical and industrial
engineering, with special emphasis in machining and tribology. He has
also interest in management, engineering education and higher
education for sustainability. He has guided large numbers of postdoc,
Ph.D. and master’s students as well as has coordinated and participated
in several financed research projects. He has received several scientific
awards and honors. He has worked as evaluator of projects for
European Research Council (ERC) and other international research
agencies as well as examiner of Ph.D. thesis for many universities in
different countries. He is Editor in Chief of several international
journals, Guest Editor of journals, Editor of books, Series Editor of book
and Scientific Advisory for many international journals and
conferences. Presently, he is Editorial Board Member of 30
international journals and acts as reviewer for more than 100
prestigious Web of Science journals. In addition, he has also published
as Editor (and Co-editor) more than 200 books and as Author (and Co-
author) more than 15 books, 100 chapters and 500 articles in journals
and conferences (more than 300 articles in journals indexed in Web of
Science core collection/h-index 61+/12500+ citations, Scopus/h-index
66+/15500+ citations, Google Scholar/h-index 84+/25000+ citations).
He has been listed in World’s Top 2% Scientists by Stanford University
study.
 
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022
J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_1

1. Tribology—A Tool for Mechanical

and Industrial Engineering
Prasanta Sahoo1   and Suman Kalyan Das1
(1) Department of Mechanical Engineering, Jadavpur University,
Kolkata, 700032, India

 
Abstract
Human civilisation has employed the concepts of tribology from the
very beginning if not in a formal way. It started with solving problems
related to friction and lubrication in the activities of day-to-day life.
Gradually with the interests of some bright minds, tribology began to
take the form of a specific subject and humankind began to appreciate
its potential of transforming their lives. Industrial revolutions definitely
played a part in the development of tribology and benefits of same has
been reciprocated back to the industries. The knowledge of tribology
has now got an additional facet due to the present problems of energy
conservation and climate change. Obviously, tribology has yet to offer
lot more considering these aspects and the true potential of it can only
be revealed by proper and wide application of it.

1.1 Introduction
The word ‘Tribology’ was first coined by the British commission guided
by Peter Jost in his historic report in 1966. This marked the beginning
of a unified approach to the studies and research related to the
interaction between moving surfaces in contact. This led to other
popular bodies adopt this terminology viz. the American Society of
Mechanical Engineers (ASME) started a new division in 1983 by the
name Tribology Division and the American Society of Lubrication
Engineers renamed itself to the Society of Tribologists and Lubrication
Engineers in 1985 [1]. Tribology is not a topic which is domain specific.
Rather it is an interdisciplinary science encompassing the knowledge
from physics, chemistry, material science, engineering, biology and so
on to understand the phenomena occurring during contact of a pair of
bodies in motion.
Tribology as a subject is very relevant for mechanical and industrial
engineering. Friction which is one of major hindrances towards energy
conservation nowadays, can be effectively managed with proper
application of the knowledge of tribology. Wear which shortens the
device service life and increases the down time of machineries can also
be controlled to a great extent by knowing the proper tribological tools.
Besides, other aspects like lubrication, surface engineering and
corrosion which are almost a part and parcel of human society belong
to the field of tribology. Hence, the significance of the tribological
applications are evident more and more. But still, Tribology as a subject
doesn’t enjoy a very high visibility among the engineering and scientific
community. Hence, proper awareness must be created about the
subject and the present work is a small attempt in that direction.

1.2 Main Aspects of Tribology

Tribology is currently a matured subject of science and technology. As
already mentioned it is related to interaction between moving surfaces
in contact. The tribological interactions between two bodies give rise to
various physics which can be explained by different theories and
models (refer Fig. 1.1). Hence, tribology as a subject is highly
multiphysical in nature. The types of phenomena that can take place in
an interface and its local surroundings are as follows: mechanical (solid
and fluid), thermal, electro-magnetic, metallurgical, quantum and
others [2]. Among these phenomena, the significant ones are discussed
in the following text.
Fig. 1.1 Multiphysical nature of tribology: two bodies make contact when exposed to various
loads: mechanical, thermal, electric, and environmental [2]

1.2.1 Friction
Friction is the resistance faced by a body (Fig. 1.2) when it slides
tangentially on another body. Obviously, the friction force acts opposite
to the direction of motion and exists even though the body is pushed
but not in motion. The critical friction force which initiates the motion
of the body is the static friction force which is normally higher than the
kinetic friction force i.e. the friction force experienced by the body once
the motion starts. The significance of friction can mainly be categorised
as [3]:
Fig. 1.2 Friction (courtesy Vishakha.malhan under CC BY-SA 4.0 licence)

Sufficiently higher friction for actions like walking, gripping, etc.

Minimising friction in case of machinery.
Maintaining a constant friction in case of precision devices, rolling
industries, etc.
Experimental observation on friction over time has led to the
following three empirical laws on sliding friction:
1.
Friction force is proportional to the normal load acting between the  
two bodies in contact.
2.
Friction force is independent of the apparent area of contact  
between the two bodies.
3.
Friction force is independent of the sliding speed.  
Apart from sliding friction, friction can also be like rolling friction
which is experienced when a circular body rolls on a flat surface.
Rolling friction is normally lower than sliding friction and is a popular
configuration employed to lower friction in rotary parts of machines.
1.2.2 Wear
Wear is the damage and gradual removal of material from one or both
the contacting surfaces in relative motion. It is a system response and
not a material property. In general wear is related to hardness of a
material and higher hardness usually mean lower wear. The traditional
means of measuring wear is by the weight loss suffered by the
component. However, with advancement in instrumentation, wear is
also represented in terms of depth. Wear is normally undesired as it
leads to shortening of the service life of components. However, in some
cases viz. machining, polishing, shearing, etc. wear is deliberately
inflicted in a controlled manner.
Wear takes place either by a mechanical or a chemical process or by
a combination of both. Wear is found to be accelerated in case of
enhanced thermal conditions (high temperature conditions). Wear can
be broadly classified as:
Adhesive wear: occurs when two flat surfaces are in sliding contact
and adhesion takes place at the interface particularly at the
asperities.
Abrasive wear: occurs when a softer surface is scratched by a harder
surface.
Corrosive wear: occurs when sliding between two surfaces takes
place in corrosive environment.
Fatigue wear: occurs during repeated sliding and rolling contacts.
Erosive wear: occurs when material from a target surface is removed
due to repeated impacts of solid particles.

1.2.3 Lubrication
The idea of lubrication was initiated to reduce friction at first. But later
it was found effective in limiting wear as well. Hence, much attention
was given towards development of effective lubrication scheme.
Lubrication is mainly achieved by including a medium separating the
two surfaces intending to make contact. The medium is usually a liquid
but, in some cases, it can be a suitable gas. Friction now depends on the
resistance to shear deformation of the liquid which is nothing but the
viscosity of the liquid. As the viscous forces are much lesser compared
to the resisting force faced by the surface when making actual contact,
friction is substantially reduced. Besides, as physical contact is avoided,
wear is also limited to a great extent. Lubrication has seen tremendous
evolution with time and based on applications there are now a variety
of lubrication techniques which can be categorised as follows:
Fluid lubrication
Liquid lubrication: Lubrication carried out by liquid
Gas lubrication: Lubrication carried out by gas
Boundary lubrication: Sliding surfaces are separated by a very thin
molecular film of lubricant, so that the chemical and physical
natures of the surfaces and the lubricant play significant role in the
lubrication.
Solid lubrication: Lubrication is carried out by inserting solid
particles/ layer in between the two surfaces. The characteristics of
these solid particles help in reducing friction and wear.

1.3 The Development of Tribology as a Science

1.3.1 Pre-history and Ancient Works (up to 1600 AD):
Solving Simple Problems of Friction and Lubrication
Ancient people obviously didn’t have an organised knowledge in
Tribology. They used common sense to solve problems related to
friction, wear and lubrication. In fact, fire was believed to be discovered
by the frictional heating between two stones. Gradually with time,
human civilisations set up and there are definite proofs available
regarding deliberate use of tribological techniques in order to
overcome the issue of friction and wear. Early history of tribology is
compiled and written in an organised way by Dowson [2].
One of the earliest evidences of the usage of tribological concepts
can be found in the Egyptian civilisation. While constructing the
pyramids, the rolling elements in the form of logs are known to have
been used to transport heavy stones. This indicated that the people at
that time were able to appreciate that rolling friction was lesser than
sliding friction and required lesser energy. Besides, the popular
painting about the transportation of a huge colossus aided by liquid
lubrication also hints towards the basic knowledge of lubrication being
known to them (refer Fig. 1.3). Water when used in appropriate
amounts, made the sand stiff and reduced the sliding friction over sand
by about 50% compared to when moving over dry sand [4]. The
invention of wheel is considered to be an important milestone in the
history of humankind. The same can also be considered to be a great
proof about the tribological knowledge prevailing during that time.
Sumerians and Mesopotamians are in fact believed to have used
chariots for war. The oldest wheel and axle known as Ljubljana Marshes
Wheel (Fig. 1.4) has been discovered in Ljubljana (Slovenia) and is
dated to Copper Age (about 3000 BC). It is made of wood and indicates
that wheels appeared almost simultaneously in Mesopotamia and
Europe. Miniaturized wheel cart and toys have been unearthed from
the sites of Harappan Civilisation. In fact, the people used bearings in
wheel and axle system to concentrate wear in a single part.

Fig. 1.3 Transporting an Egyptian colossus from the tomb of Djehutihotep, El-Bersheh, (c.1880
B.C.) (courtesy Youssef Grace under CC BY-SA 4.0 licence) https://upload.wikimedia.org/
wikipedia/commons/9/9b/Djhutyhotep_Deir_El-Barsha_Youth_Union.jpg
Fig. 1.4 Ljubljana marshes wheel (courtesy - Petar Milošević under CC BY-SA 4.0 licence)
https://upload.wikimedia.org/wikipedia/commons/8/85/Ljubljana_Marshes_Wheel_with_
axle_%28oldest_wooden_wheel_yet_discovered%29.jpg

Chariots have been found to be used by Ramesses II in various

contemporary paintings. Ashurbanipal, the Assyrian king is believed to
have used anti-wear protection for the wheel surface. In fact, the great
literature of India, Mahabharata mentions the use of chariots in its text.
The Greek and the Romans have contributed significantly in the field of
tribology. Various mechanical systems viz. lathes, wheeled transport,
pulleys, gears, mills, cranes, etc. were used by them [5].
Leonardo Da Vinci the great scientist has contributed significantly
to the early development of tribology. He had great knowledge acquired
from observations, logical reasoning and intuition which he employed
to conduct scientific experiments in an organised way. From the various
sketches obtained from his book, it is proved that he designed various
devices based on tribological applications to solve problems of day-to-
day life. Leonardo Da Vinci is the earliest person to conduct
experiments on friction. In fact, he got the idea that friction is
independent of contact area and also initiated the idea of lubrication in
order to reduce friction. The sketches on ball bearings as proposed by
Leonardo Da Vinci actually forms the basis of modern day ball bearings
[6].

1.3.2 Classical Works (1600–1950): Transition of

Tribology from Art Towards a Science
The works undertaken during this period can be considered as classical
works on tribology. They helped in establishing to some extent
‘Tribology’ as a science and technology of interacting surfaces. These
works were undertaken mainly during the epochs of first and second
industrial revolution and are characterized by improved designs of
machine elements [7]. Significant portion of research undertaken
during this period mainly concentrate on solving the problems related
to friction and lubrication. However, there have been a few significant
developments in understanding and modelling wear. Some of the
important works during this period are discussed in the following
sections:
Amontons (1699)
Amonton carried out experiments on tribology particularly friction
in a systematic manner. His works led to the establishment of two
important laws of friction:
Friction force is proportional to the normal load.
Friction is independent of the apparent area of contact.
J.T. Desaguliers (1725)
He carried out works related to cohesion of lead and suggested that
adhesion might be relevant to friction.
Leonhard Euler (1748)
He proposed a mathematical relationship for the coefficient of
friction. He was the first to distinguish between the static and kinetic
friction coefficient and stated that static friction is greater than kinetic
friction. He believed in the rigid interlocking between asperities during
sliding cotact.
 Charles Coulomb (1785)
Coulomb proposed the third law of friction which states that
“Friction is independent of sliding speed.”
Coulomb in fact stated that friction happens due to the interlocking
of asperities between the two contacting surfaces. His work verified the
propositions made by Leonardo da Vinci and Amontons [7].
Gustav Adolf Hirn (1847–49)
He was the first person to conduct experiments with lubricated
contacts. He found that viscosity of the fluid played a significant role in
lubricated sliding contact. Hirn further established a linear relationship
for friction between a journal and bearing and the speed. As mineral oil
was discovered around that period, Hirn used oil and found it to be an
excellent lubricant.
Rudolf Hertz (1881)
Hert basically investigated rolling friction [7]. He analytically
determined the area between two solid surfaces in the elastic domain
with geometries defined by quadratic surfaces [3].
N. P. Petrov (1883) and Tower (1883)
Both Petrov and Tower conducted lubrication based studies in
journal bearings. Petrov proposed that the friction in an adequately
lubricated bearing is due to the viscous shearing of the fluid present in
between the surface while Tower introduced the concept of
hydrodynamic pressure in journal bearings.
Osborne Reynolds (1886)
Reynolds gave the equation for the hydrodynamic pressure which is
the basis of hydrodynamic lubrication theory [8]. This theory is the
basis for the calculation of bearings. In fact, Reynolds stated that wear
can be reduced to almost nil in case of sufficiently lubricated bearings.
Prantl (1928) and Tomlinson (1929)
Both of them attempted independently to explain friction based on
atomic theory [9]. Their theory laid the stepping stone towards the
development of modern nano tribology. Prantl worked in the area of
mechanics of plastic deformation. They proposed that during contact
between two surfaces, the atoms slide over each other which affect
their positions. They didn’t consider wear in their model. Hence,
according to them atoms would interact with each other within the
intermolecular or interatomic range and won’t move out of their
position. During this interaction, the lattice goes into vibration and
subsequently generate phonons as well as heat. This dissipated energy
is reflected as friction.
Bowden and Tabor (1950)
They gave the Junction Growth model to explain friction. The stated
that friction force is contributed by two phenomena:
Bearing of the normal load which results in mechanical interaction
between the asperities (cohesive forces)
Overcoming the attractive intermolecular forces (adhesive forces)
Now, during contact, the pressure at the tip of the contacting
asperities makes the asperities deform plastically resulting in the real
contact area to enlarge and get cold welded. The body needs to break
these contacts in order to move forward which is reflected as the
friction force [3].

1.3.3 Modern Works (1950–1990) Establishment of

Tribology as a Science
The modern period comprise the works carried out around the period
of third industrial revolution. Based on the work done during the
previous period, a clear understanding of friction and lubrication was
obtained. However, due to lack of sophisticated experimental facilities,
many of these theories could not be experimentally validated. Many of
the works done validate these theories. Besides, the concept of wear
was developed during this period.
Archard (1953)
Archard was the first to deal with modelling of wear. He
investigated wear problems which produced the classical equation for
the volume of worn material [10].
Bailey and Courtney-Pratt (1955)
 They made pioneering work in the development of adhesion theory.
They were able to measure the adhesion between two surfaces using
two mica crossed cylinder method using Newton’s interference fringes
[11].
Dowson and GR Higginson (1959)
They provided the numerical solution to the problems of elasto-
hydrodynamic lubrication (EHL) which satisfied both elastic
deformation of the contacting surfaces as well as hydrodynamic
lubrication.
Greenwood and Williamson (1966)
Surface roughness is a significant factor in the friction behaviour of
a material as well as determining the transition between one
lubrication regime to the other. Greenwood and Williamson proposed
the first contact model considering roughness [12].
Surface roughness was recognized to play a major role in forming
friction and transition from one lubrication regime to another [1].
Greenwood pioneered with first rough contact model in 1966 [12].
Jost Report (1966)
This famous report formally gave rise to the term “Tribology” and
highlighted the importance of studying various surface interaction
phenomena particularly friction and wear so that machines with higher
efficiency could be developed.
Tabor and Winterton (1968)
They developed the surface force apparatus to get the first direct
measurement of normal and retarded Vander Wall’s forces between
two mica sheets for separations less than 100 Å and 200 Å respectively
[13].
Johnson, Kendall and Roberts (JKR model) (1971)
They combined elasticity with adhesion to model the contact
between two surfaces. Their theory is more suitable for contact
between a soft surface with a harder one [3].
Suh (1973)
 Suh first put forward the delamination theory of wear [3].
Derjaguin, Muller and Toporon (DMT model) (1975)
In addition to the normal load, they also considered the forces
outside the actual contact area. This means the inter atomic forces
outside the contact zone was considered along with the Hertzian
contact model. This theory was more relevant for harder materials in
contact [3].
D Tabor (1977)
Tabor proposed the Tabor’s coefficient, a parameter to determine
the applicability of JKR or DMT model to define a particular contact
between two bodies ending uncertainty of choosing between the two
models [14].
Briscoe and Evans (1982)
They performed the first experiments on the shear properties of
mono layers of aliphatic carboxylic acids. They introduced the lubricant
in between two smooth mica sheets [15]. Their work is significant w.r.t.
nano-lubrication and nano-tribology.
Apart from the works already discussed, this period also saw
application of numerical simulation towards solving or validation of
various proposed models in tribology. Numerical scheme was applied
to problems of elastohydrodynamics upto point contacts [16]. Besides,
the concept of vanishingly low friction theory was proposed [17]. As
the importance of energy conservation gradually cropped,
developments were made in very low friction bearings [18] using air.
Magnetic bearings also were developed. The concepts of surface
engineering for customizing surface properties came into existence. As
a result, various types of coatings were also developed.
Apart from these works, some reputed bodies were also formed
during the second and third industrial revolution which carried out
some of the outstanding works in tribology and even continuing to do
so. Some of these bodies are [5]:
Institution of Mechanical Engineers (IMechE, founded in London in
1847),
American Society of Mechanical Engineers (ASME, founded in 1880)
 American Society for Testing Materials (ASTM, founded in 1898)
American Gear Manufacturers Association (AGMA, founded in 1916)
Society of Tribologists and Lubrication Engineers (STLE, founded in
1944 by ASLE, the American society of Lubrication engineers)
Japanese Society of Tribologist (JAST, founded in1956).

1.4 Recent Progress in Tribological Research

Tribology has developed into a matured subject presently. From what
started as solutions to simple problems of friction has evolved into
understanding the same in atomistic and molecular level. Researches is
this area today has grown both by scope and depth. There are now a
wide range of academic journals available covering the multi-faceted
aspects of tribology where articles on experimental as well as
theoretical works are regularly published. These publications cover
physics, chemistry, surface science, nanotechnology, materials science
and engineering, biomedical engineering, as well as mechanical and
manufacturing engineering [19].

1.4.1 Lubrication Related Advancements

Lubrication being an important part of tribology, continuous effort has
been ongoing in the development of more effective ways of lubrication.
It has been reported that almost 1.0–1.4% of country’s GDP may be
saved by undergoing proper research and development in the field of
lubrication [20]. This type of report has propelled the advancement in
lubrication so that higher efficiency and durability of components could
be achieved. In case of lubricants, the research is mainly in two avenues
the first one being developing better base oils and second one to find
effective additives. After all a commercial lubricant is mixture of a
suitable base well with additives in it viz. antioxidants, detergents,
dispersants, friction modifiers, antiwear and/or extreme-pressure
additives, and viscosity modifiers [21]. However, there have been
continual efforts to find new schemes and types of lubricants. Some of
the contemporary works towards the development of lubricants and
advanced lubrication schemes are presented in the following text:

1.4.1.1 Additives
In case of liquid lubricants, about 70–90% is the base oil while the rest
is additives [22]. Additives when included into the base oil imparts
some specific properties into the oil. Sometimes new properties are
brought into the oil by additives. While sometimes additives are
employed to enhance a particular property already present in the oil.
Some additives also help in avoiding/reducing undesirable changes in
the oil during its service life. Based on properties induced, some of
the additives are discussed as follows:

Pour Point Depressant Additives

This additive helps the oil retain its fluidity even at lower temperatures.
At lower temperatures, there is a tendency of wax formation by the
paraffin molecules present in oil. This affects the viscosity of the oil.
Alkylaromatic polymers and polymethacrylates are commonly used
additives in this class [23]. They help in reducing the pour point in
modern oils by as low as 30 °C.

Anti-Wear Additives
As the name indicates these additives prevent wear and scuffing of the
surfaces. They help particularly in boundary lubrication regime where
there are chances of asperity to asperity contact between the bodies. As
the additives are polar in nature, they get attached easily to the metallic
surfaces. Subsequently during action, tribo and mechano-chemical
reactions occur in this layer forming an anti-wear film on the
component surface. This film protects the underlying metallic surface.
Phosphorus compounds are normally used as anti-wear additives.
However, the most popular additive used for a long time is Zinc
dialkyldithiophosphate (ZDDP). However, due to its toxic nature, other
additives viz. molybdenum-based additives act as replacements.

Antioxidant Additives
Oxidation prevention is required to enhance the life of lubricants
particularly the components of the base oil. Oxidation is accelerated at
higher temperatures. Moreover, the presence of wear debris and other
contaminants also promote oxidation in the lubricant. Oxidation may
lead to the formation of certain acids and sludge. The acids may
corrode the surface while sludge tends to increase the viscosity of the
oil. Some of the common antioxidant additives include Zinc dialkyl
dithiophosphates, hindered phenols, sulphurized phenols, and aromatic
amines. The formation of free radical reaction is hindered by these
compounds as well as these compounds decomposes peroxides.

Extreme Pressure Additives

In some applications where severe sliding takes place, the lubricant
may be subjected to higher temperature as well as higher loads. In
these cases, due to elasto-hydrodynamic lubrication or even metal to
metal contact, surface damage may occur. Here extreme pressure
additives are added to the oil which help in reducing friction and wear.
As they prevent surface damage, these additive are also sometimes
referred to as anti-scuffing agents [22]. These additives have a chemical
reaction with the surfaces in action and form a layer over the surfaces
which is also insoluble to the oil. Moreover, the reaction is dependent
on the localized temperatures generated by rubbing of the surfaces.
Extreme pressure additives generally are sulphur and phosphorous
compounds as well as chlorine and boron compounds. Ashless
additives viz. dithiocarbamates, dithiophospates, thiolesters,
phosphorothioates, thiadiazoles, aminephosphates, phosphites may be
preferred in some applications where chlorine may cause corrosion.
Apart from these, the lubricant also contains additives which promotes
dispersion, prevents foaming and also prevents rust and corrosion.

1.4.1.2 Nano Additives

As part of continuous development in liquid lubrication by the industry
as well as the research community, the idea of using nano materials as
additives in lubricating base oil came up. Nanomaterials due to their
small atomic sizes are able to enter in the actual contact zones and
create a protective layer which prevents the material from further wear
and tear. Moreover, due to their higher surface activity, these materials
can be adsorbed on the friction surface thereby resulting in a stable
film. Due to these unique physical and chemical characteristics, there
has been lot of interest in the use of these materials in the field of
tribology. In fact, nano materials as additives have found to enhance the
anti-wear characteristic of the oil together with reduction in friction
and energy consumption. The nano-additives may be broadly classified
into three types [25]:

i. Nano-metal Includes pure metals, metal oxides, metal sulfides, metal

based additives hydroxides, and metal salts
e.g. Cu, Ag, Fe, Pd, Ni, CuO, ZnO, Al2O3, TiO2, ZrO2, WS2, MoS2, CuS,
ZnS, CaCO3, LaF3
ii. Nano-carbon Pure carbon: Nano Diamond, Fullerenes, Carbon Nanotubes, Graphene
based additives Polymer: PTFE, PSS, PVP
iii. Nano-composite Cu-SiO2, Al2O3 -TiO2, Cu -MoS2, G -MoS2, α-Fe2O3 -GO, FeS2 -G, Ag -G,
based additives Cu -GO, Mn3O4 -G, La2O3 -PI, Alumina -MWCNT

Some researchers have investigated the efficacy of using 2D nano

additives in the lubricating oil. Nano materials having layered structure
are frequently used as solid lubricants viz. graphite and MoS2. In these
materials, the shear strength between two layers is low due to weak
Van der Waals force [26]. Hence, the layers can easily slide over each
other thus providing the lubricating effect. In the same layer, atoms are
bonded by covalent bonds rendering high modulus and strength to the
structure [24]. Among the nano-additives, 2D nanomaterials have
relatively higher specific area. This is an advantage as these materials
can cover a larger area when adsorbed on the component surface. This
way they can give higher protection to the surface and reduce the
probability of metal to metal contact during sliding [27]. Figure 1.5
illustrates the application of 2D nano additives in liquid lubrication and
its probable mechanisms. The performance comparison of a 2D nano
additive (liquid like graphene) with pure water and graphene oxide
(GO) is presented in Fig. 1.6. It is observed that liquid like graphene can
achieve about 91% reduction in wear rate compared to water.
Fig. 1.5 2D nanosheets as lubricant additive and possible mechanisms for reducing friction
and wear [24]

Fig. 1.6 Performance comparison of liquid like graphene as additive with pure water and
graphene oxide (GO) [28]

1.4.1.3 Ionic Liquids

Lubrication scheme using Ionic Liquids (IL) was initially explored in
2001 [29]. ILs are salts which remain in molten state below 100 °C and
particularly at ambient temperatures. They are called ionic as being a
salt, the liquid consists of cations and anions. Hence, ILs have special
properties viz. inherent polarity for strong surface adsorption, low
volatility, higher thermal stability and lower flammability. Besides,
unlike conventional liquid lubricants, ILs have low sensitivity (in terms
of rheological behaviour) towards environmental variation. However,
ILs alone are not economically viable to be used as lubricants. Again,
ILs aren’t readily soluble in commonly available nonpolar hydrocarbon
lubricating oils. However, with advancement in research, some oil
soluble ILs were reported around 2012 [30]. Those ILs also showed
potential anti-wear capabilities. These resulted in new direction in
research for lubricants where ILs were used as additives in oil.
Figure 1.7 shows the structure of some of these additives.
Fig. 1.7 Structures and abbreviations of cations and anions of some ILs used as lubricant
additives [21]

1.4.2 Super Lubricity

Efforts have been continuously underway to reduce friction to save
energy and increase the efficiency of various mechanical systems. The
research on super lubricity is a step in this direction. Super lubricity is
the condition in which friction is very low and is almost imperceptible.
Actually, super lubricity occurs in a sliding regime in which physical
and/or chemical interactions are so small that frictional resistance
essentially is absent. This would yield tremendous energy savings as
well as wear resistance. Further this would result in high efficiency
machines with longer device service life. Super lubricity is one of the
fastest developing fields in the recent years and if developed may be an
important milestone in the history of tribology.
Several theories have been proposed to explain the phenomenon of
super lubricity. Atomistic theory is one of them. Super lubricity can be
categorised broadly into two types:

1.4.2.1 Solid Super Lubricity

Diamond like carbon (DLC) film is already known for their solid
lubricating capabilities. They have been further researched for lowering
the friction significantly and for application in for super lubricity. In
case of DLC, research have extended mainly in two avenues viz. DLC-
based emerging lubricants and DLC-related lubricity mechanisms [19].
The research on DLC films have opened up scopes for developments of
several lubricants.
Besides, various two-dimensional materials viz. graphene, carbon
nanotubes, etc. seem to have potential for super-lubricity related
research [19]. These materials have weak inter layer connection
leading to very low shear resistance. Super lubricity can be achieved in
many different systems and length scales. This has opened several new
avenues for design of new mechanisms for this phenomenon.

1.4.2.2 Liquid Super Lubricity

The mechanism for super-lubrication in case of liquids is dependent on
mechanisms viz. hydration effect, chemical reaction layer,
hydrodynamic effect, double electric layer interaction, etc. as well as a
mixture of these mechanisms [19]. Commonly available liquids viz.
water, acids, alcohols, acids, oils, etc. can act as base for the lubricant.

1.4.3 Surface Engineering

Surface engineering is modifying the surface so that primarily a
suitable friction and wear behaviour as needed in particular application
can be obtained. However, surface engineering also involves changing
the surface characteristics viz surface texture and imparting other
properties viz. physical, chemical, electrical, electronic, magnetic, and
corrosion-resistant properties depending on the application. Naturally,
these types of requirements are faced by wide range of industries viz.
automotive, aerospace, missile, power, electronic, biomedical, textile,
petroleum, chemical, steel, cement, machine tools and construction
industries. Surface engineering methods may be classified as follows
[31]:
Modification of surface with no compositional change
– Transformation hardening
– Surface melting
– Surface texturing
Modification of surface involving compositional change
– Solid solution and precipitation modification via diffusional
processing
– Formation of surface layers by thermochemical reactions with
component material
– Formation of surface layers by electrochemical reactions with the
component material
Coatings deposited on component surface
– Coatings deposited from a solution of ions
– Coatings deposited in the liquid state
– Coatings deposited in the solid state

1.4.4 Advanced Surface Engineering Techniques

Surface engineering has enormous potential to satisfy the requirements
of various tribological applications. It can be highly customized for
applications on case to case basis. It is found to be highly relevant in the
domain of materials technology especially in aerospace, automotive,
bio-medical and engineering applications recently. Although a lot of
superior techniques have been developed viz. physical vapour
deposition (PVD), chemical vapour deposition (CVD), diffusion
processes, thermal spray, sol–gel, etc., still scope exists to establish
relationship between the process parameters and the properties of the
surface obtained. Besides, the increasing demands from industry
require evolution of the surface engineering techniques so that
components with high functional density could be achieved. This has
given rise to multilayer and nano-structured coatings/nano-surfaces.

1.4.5 High Temperature Tribology

Studying the tribological behaviour of materials under high
temperature conditions are becoming important with respect to
applications viz. automotive, aerospace, power generation, metal
working, etc. Under high temperature conditions, especially when the
ambient temperature is above the recrystallization temperature of the
materials participating in tribological interaction, microstructural
changes may be induced in the materials. This may lead to completely
different tribological behaviour from the participating materials
compared to normal room temperature conditions. Besides, a moderate
high temperature condition may lead to grain softening and other
phenomena which may further result in modified friction and wear
behaviour of the materials. Lubrication also poses a challenge in case of
high temperature conditions. Based on temperatures generated,
conventional liquid lubrication isn’t possible in some applications
which make the situation more challenging. However, the reliable
functioning of the components is still expected and that too for an
extended period of time.
The tribological phenomena are greatly affected by high
temperature. High temperatures may generate frictional stresses which
can lower the efficiency of a system. It is also to be kept in mind that
high temperature situation can also be created by frictional heating
without a sufficient heat dissipation rate. Elevated temperature can also
aggravate the wear from materials as the material may soften in high
temperature conditions. Various materials are researched which can
withstand higher levels of temperatures. Moreover, suitable
incorporations viz. refractory materials, etc. are made into surface
coatings as part of surface engineering so that parts can display a stable
friction and wear behaviour. Also, there is challenge to conduct friction
and wear tests under high temperatures. Special tribo-testing
apparatus have been developed to conduct these tests under laboratory
scales (refer Fig. 1.8).

Fig. 1.8 Test setup for high temperature reciprocating friction and wear tester [32] (under CC
BY licence)

Many studies have been conducted in the area of high temperature

tribology based on the needs of the industries. For automotive parts,
lightweight materials are preferred from the point of fuel consumption.
For this, materials viz. boron steel and ultra-high-strength aluminium
alloys have been employed. The new generation coatings based on
AlTiN are highly wear and abrasion resistant in high temperature
conditions also.

1.4.5.1 Lubrication for High Temperature Tribology

Selection of lubricant for high temperature application depends on
many factors. Significant factors are viscosity, thermal stability and
resistance towards oxidation. The lubricant ideally should have a very
high viscosity but at the same time can be pumpable at normal
temperature conditions. When exposed to elevated temperatures, the
lubricant should be stable and should not leave residue on the hot
surfaces. Moreover, it should not oxidize at higher temperature which
implies hydrocarbon-based lubricant can’t be the choice for high
temperature applications. Even most of the popular base oils have
thermal decomposition temperatures below 400 °C. A few lubricants
viz. polyphenol ethers and silicates can be used at temperatures above
400 °C but they are solids at room temperature. The dropping point for
most of the greases are also reported to be well below 400 °C. The
dropping point is the temperature above which the grease loses its gel
like consistency and behaves like a liquid. Hence, solid lubricants are
the only choice for high temperature lubrication. Service temperature
of some solid lubricants may reach up to 1000 °C.
In the modern day tribological systems, the component surfaces and
even cores which intend to be in tribological interaction during the
service conditions make use of solid-lubricating materials for high
performance, efficiency, and durability. This makes them usable in a
variety of tribological conditions over a wide range of temperature
without suffering much wear and tear. The solid lubricating materials
suitable for high temperature applications mainly comprise of a high
temperature matrix material, high temperature solid lubricants as well
as some supplementary components [33]. There are a variety of
fabrication techniques to prepare the solid lubricant. Now, there are
some challenges with respect to these techniques as the materials are
sensitive to normal environmental conditions. Hence, research has
advanced towards finding a novel material which can be used for
making solid lubricants. In general, the lubrication mechanism of solid
lubricants may be of the following types [33]: -
a.
Materials in the form of layered structure with very low interlayer  
force (e.g. graphite, MoS2)
b.
Softer metals with multiple slip planes (e.g. Ag, Au)  
c.
Fluorides and oxides of metals with thermal softening (e.g. CaF2,  
PbO, AgMoO4).
 Materials with layered structure are found to be effective at service
temperatures below 400 °C. Above this temperature oxidation occurs in
the materials. Fluoride, graphite and WS2 can withstand temperatures
up to 500 °C. Hexagonal Boron Nitride (hBN) can further withstand
temperatures reaching up to 1000 °C. Fluorides and oxides of metals
although quite effective in controlling friction and wear at elevated
temperature, but fail to do so at room temperature or below. Figure 1.9
presents the working temperature for a variety of solid lubricants.

Fig. 1.9 Working temperature range for solid lubricants [33]

Ceramic materials have been included among solid lubricants for

enhancing the thermal stability of the lubricants for temperatures
touching 1000 °C. Ceramic materials have already proven themselves
for controlling friction and wear and hence used in the new generation
bearings. Besides, ceramics can effectively withstand corrosion as well
as oxidation. The hardness of structural ceramic is found to be around
15–30GPa which is found to remain effective for higher levels of
temperature as well [33]. Hence, this type of material can be suitable
candidate for making solid lubricants for elevated temperature
applications. However, ceramics are prone to micro fracture which is a
major challenge as far as wear resistance and longevity of the
component is considered. One of the ways to achieve these properties is
to have a ceramic matrix with suitable incorporations in the form of
composites. These matrices are mainly ZrO2, Al2O3 and SiC based [33].

1.4.6 Computer Simulations of Tribology Phenomena

Traditionally the tribological behaviour of a material is analysed
through experimentation. The friction and wear behaviour can be
obtained by using tribological testing devices which can have various
contact configurations as desired. The most common of them is the pin-
on-disc setup although various other setups like block on ring, ring on
ring, ball on disc, etc. are available. Based on the configuration, the
motion generated could be sliding or rolling. These setups allow the
determination of mainly the coefficient of friction for a particular
material pair as well as the wear rate. Some setups are also available
with special arrangement and chambers so that the tests can be
conducted at a specific temperature or environment. The wear
mechanism can also be determined by observing the tested samples
under high resolution microscopes. However, with the advancement in
computer systems and increase in the computation power, simulation
based techniques have gained popularity. Computer simulation allows
to analyse a particular system without actually realizing it physically.
Computer simulations have found broad applications in tribology viz.
predicting wear of various systems, including cutting tools, bearings
and artificial joints. Besides, various contact mechanics problems can
be conveniently modelled and solved using these techniques.
Nowadays, due to the introduction of nano tribology, tribological
problems which were already multi physical in nature now vary a lot in
scales. This micro and nano scale studies along with multi scale
problems can quite efficiently be handled by these simulation tools
which the researchers are increasingly embarking upon. Figure 1.10
illustrates various tribological models built across the scales. There are
many simulation tools which can analyse the tribological scenarios
quite effectively. The most commonly used ones are the finite elements
and boundary elements method and molecular dynamics simulation.
Fig. 1.10 A time-versus length-scales map of models developed in tribology [2]

1.4.6.1 Finite Elements and Boundary Elements Method

The finite element method (FEM) and boundary element method
(BEM) are popular tools used worldwide to solve various problems of
mechanics and design. In FEM, an explicit relationship between stress
and strain is considered with a finite strain formulation. Instead, in case
of BEM, the relationship between force and pressure is considered with
displacements in two orthogonal directions [41]. Several researchers
have used this technique to investigate various problems in tribology a
few of which are listed in Table 1.1.
Table 1.1 Application of FEM/BEM for studying tribological problems

S. Tribological issues Simulation tool Researcher/Research

No. employed group
1 Effect of tool geometry on Ti6Al4V tool wear FEM Ducobu et al. [34]
2 Prediction of abrasive wear on steel against BEM Perazzo et al. [35]
various types of copper ore
3 Effect of friction on relative wear on mining BEM Rojas et al. [36]
hopper
4 Prediction of fretting fatigue and wear FEM Zhang et al. [37]
S. Tribological issues Simulation tool Researcher/Research
No. employed group
5 Simulation of scratching on polycarbonates FEM Krop et al. [38]
polymer composite
6 Modelling fatigue life and wear on railway FEM Lian et al. [39]
tracks
7 Prediction of the damage on fiber-reinforced FEM Din et al. [40]
polymers caused by adhesive wear

1.4.6.2 Molecular Dynamics Simulation

Molecular dynamics simulation (MD simulation) is a method of
simulating and analysing the movements of atoms and molecules in a
computer system. This is an atomistic approach towards understanding
and explaining the behaviour of a system. In this method, the atoms and
molecules are allowed to interact among themselves as they would in
the real system but for a fixed period of time. This gives a view of the
dynamic evolution of the system. The path traced by the atoms and
molecules are evaluated numerically using classical equations of
motion. The interaction between the atoms and molecules are studied
by considering interatomic potentials or molecular mechanics force
fields. The MD methods have been successfully employed in fields of
chemistry, materials science and biophysics.
In case of tribological research MD methods have well
complemented the laboratory work. This is particularly due to the
information about individual atomic interaction provided by this
method and which is very much relevant to tribological interactions
between two surfaces. Even though numerical methods have got a huge
boost due to increase in the computational power, they sometimes face
challenges due to time scale and system sizes. In a model system, there
are typically thousands of atoms and system sizes in the range of tens of
thousands of atoms. These restricts the typical size of the simulated tip
as well as the sample below tens of nano meters in any direction [42].
Lately, MD simulation have become a popular tool for simulation of
tribological system particularly through atomistic approach. Along with
MD method, the first-principle calculations (computing atomic
relationships via quantum mechanics) have also gained popularity in
case of tribological simulations. These methods have been used to
determine the molecular interactions at surface interfaces. These,
simulation methods have been found to be particularly useful in
explaining the actual dynamics occurring during friction and wear.
However, these methods are also useful in studying the lubrication
behaviour viz. boundary slippage occurring in lubricant rheology.
Tribological behaviour of hard nano particles viz. diamond and
silicon di-oxide (SiO2) are simulated using MD technique (Fig. 1.11)
[43]. The nano-particles are pressed between two iron blocks under a
load of 1000 MPa. Apart from the naturally evident atoms, blue atoms
are used to visualize deformation. Some part of the nano-particles is
colour coded in yellow to mark the rotation of the nano particles. The
nano-particles are found to separate the two blocks and undergo
minimal plastic deformation. However, the diamond particle
maintained its spherical shape owing to its higher hardness. On the
other hand, SiO2 particles are found to be deformed and crushed under
the applied load. The yellow coded atoms reveal that even after
application of load, diamond particle is still able to roll and acts as ball
bearing between the two plates. But, the high deformation of SiO2
particle prevents it from rolling.

Fig. 1.11 Rolling and deformation of diamond and SiO2 nano particles. (upper block hidden for
better visibility) [43]

In order to give rise to physically realistic models, researchers have

presented multifactorial models where many factors can be analysed at
the same time. However, these types of analysis require a large amount
of computing resources which may increase the associated costs.

1.4.7 Biotribology
As the research in tribology went intense, the various tribological
interactions within the human body caught the attention of the
researchers. This included, the phenomena occurring at the various
joints of the human body, the teeth, the interaction due to the rubbing
of the eyelids with the eyeball and so on. This encounter of tribology
with the medical domain has given birth to the topic of bio-tribology.
Bio tribology is one of the growing fields in the area of tribology. As
already mentioned it is devoted towards understanding the natural
processes and how they work and function. How, diseases are
developed and what medical solutions may be suitable. Bio tribology
encompasses a wide variety of areas. However, the main areas of
research currently can be classified as presented in Table 1.2.
Table 1.2 List of major topics in bio tribology research [19] (under CC BY 4.0 licence)

Classification Major Investigations

type
Joint tribology Natural synovial joints, articular cartilage, synovial fluid, mucin, and artificial
replacement, etc
Skin tribology Skin friction behavior, moisturiser and cosmetics, skin pathology, textile
material, prosthesis, and tactile perception, etc
Oral tribology Natural teeth, tongue, saliva, implant teeth, and dental restorative materials,
etc
Tribology of Tribology of other human bodies, medical device, animal tribology, and plant
other tribology, etc
biological
system

1.4.8 Biomimetics Tribology

1.4.8.1 Hydrophobic Coatings—from Lotus Leaf
The surfaces which repel water are known as hydrophobic surfaces. In
nature, lotus leaf is a very common example of having this type of
surface. These surfaces normally provide the necessary roughness
along with low surface energy which provides it the ability to repel
water [44]. In case of superhydrophobic coatings, water can fully
bounce upon hitting the surface. Tulip poplar leaf surface possess super
hydrophobicity as can be seen in Fig. 1.12a. Figure 1.12b on the other
hand shows a water droplet on a super hydrophobic coated surface.
These coatings are made of composite materials which can provide the
optimal combination of surface roughness and surface energy. Some of
the common bases for these coatings include:

Fig. 1.12 Water droplet on (a) Tulip poplar leaf and (b) super hydrophobic coated surface [44]

Manganese oxide polystyrene (MnO2/PS) nano-composite

Zinc oxide polystyrene (ZnO/PS) nano-composite
Carbon nano-tube structures
Silica nano-coating
Silica based coatings are found to be amongst the cost-effective
options available. The gel form of the coatings is easy to use as they can
be applied to the surface of the object easily by dipping the object in the
gel or through spraying.
There ae many utilities for these types of coatings. In the form of
paints, they help in making various surfaces water repellent viz.
umbrella, shoes, building materials, etc. In fact, various clothing can be
made breathable and water repellent. This would eliminate the
problem of sweating or getting the clothes drenched in rainy
conditions. These coatings are further used in case of self-cleaning
windows and lenses. This prevents moisture formation which is a
problem in case of windshield of vehicles or mere glasses. Further, the
glass can be cleaned by simply spraying water over them. The
technique of self-cleaning is also useful for solar panels which many
times are covered with dust over time. Hydrophobic coatings are also
found useful in de-icing as the ice doesn’t stick to the surface. This is
particularly useful in cold countries where icing is a common problem.
The cost involved in the de-icing procedure can be saved along with
time and effort. As these coatings repel water, they prevent the
formation of bacteria colony on surface and hence prevent bio-
fouling as well. Besides, barnacles and mussels also can’t get attached
to these surfaces.

1.4.8.2 Riblet Effect—from Shark Skin

The shark skin has microscopic scale like structures (Fig. 1.13) which
lets water pass through them without forming vortices and hence
reduces drag while swimming [46]. This technique has been effectively
used in many air crafts sea vessels and even by the automotive industry.
Airbus implemented riblet design for their aircraft wings and reported
6% lesser air drag which leads to significant savings in its fuel. Some
swimsuit companies have taken inspiration from the riblet design for
designing their range of swimsuits.

Fig. 1.13 Scales on the skin of various shark species [45]

1.4.8.3 Adhesive Surface—Gecko Effect

The remarkable adhesive strength displayed by the geckos in climbing
walls has been the subject of interest for many researchers.
Researchers have in fact investigated at the microstructural level and
have found that the feet of geckos contain a complex hierarchical
structure of lamellae, setae (microscale hairs), branches, and spatulae
[48]. In each of the toes of the gecko, around 1.5 million setae are
present. These setae further branch off into 100 – 1000 nanoscales
spatulae (refer Fig. 1.14). Considering the surface area of each of the
spatula, the cumulative area of contact becomes very high which leads
to higher adhesion on various surfaces.

Fig. 1.14 Gecko feet in detail (a) Rows of setae (ST) and (b) branches (BR) and (c) terminal
spatulae (SP) from each seta [47]

1.5 Spin-Offs from Research on Tribology

The research in tribology till date has already resulted in many spin-
offs which has been very useful to the society at large. A few of them are
listed in the following texts.

1.5.1 Hard Disk Drive Technology

The advancement of computers has revolutionized the human
civilization in the last few decades. With this advancement, the
requirement of storing up of digital data came up. Research and
knowledge in tribology proved to be very significant towards
development of this technology. In a typical hard drive there are many
discs which are mounted on the same spindle (Refer Fig. 1.15). A slider
mounted on an actuator arm slides on the discs when the drive is in
operation. The slider is a magnetic head and its contact with the disc
results in reading and writing of data. Failure at the contact interface
may result in erasure of the date. Moreover, generation of wear
particles at the slider and disc interface may enter into some critical
part leading to catastrophic failure of the whole system. Research in
tribology has led to the development of protective carbon overcoats
and boundary lubrication which maintain at least a monolayer of
lubricants on the disc surface. Moreover, the topology of the disc can
also now be precisely controlled. All these resulted in holding the
recording head at a minimal gap from the disc surface thus reducing
wear and tear considerably [49]. This has led to the prolonged life of
the storage media as well as their increased reliability.

Fig. 1.15 Hard disk drive (courtesy Evan-Amos under CC BY-SA 4.0 licence) https://upload.
wikimedia.org/wikipedia/commons/f/f8/Laptop-hard-drive-exposed.jpg

1.5.2 Ceramic Bearings

Bearing technology is highly dependent on the knowledge in tribology.
In fact, due to the progress in tribology, bearing technology has
improved and given rise to next generation of bearings. Ceramic
bearing (refer Fig. 1.16) is one of them and they have the following
advantages:
Fig. 1.16 Ceramic bearing [50] (CC BY 3.0 licence)

Ability to Handle High Speed

Compared to metallic bearings, ceramic bearings are advantageous as
they can handle higher speed efficiently. This is because ceramic
bearings present lower rolling resistance due to smoothness. This
smoothness is due to the precision manufacturing which is possible in
case of ceramic parts. They have higher dimensional accuracy over
metallic, particularly steel bearings. This aids in distributing the service
loads uniformly over all the rolling elements of the system. Moreover,
ceramic material possesses lower coefficient of friction (about 20–30
times lower) than steel ball bearings under standard conditions of
lubrication.

Lighter Than Steel Bearings

As a material, ceramic is much lighter compared to steel. Typically, they
weigh about 40% lesser compared to steel counterparts. This lighter
weight translates to lower centrifugal forces on the outer race when the
bearing is in operation. Due to these lower forces, ceramic bearings are
able to 20–40% faster than the conventional steel bearings. Or in other
words, they consume relatively lower energy to maintain the same
speed.

Higher Stiffness Than Steel Bearings

Ceramic bearings are also found to be stiffer compared to steel bearings
and hence are more durable. Their service life is in fact roughly about
5–20 times longer than similar steel bearings. Smooth surface of
ceramics reduces the risk of bearing seizure in case of limited
lubrication. Moreover, ceramics bearings are known to be inert to most
of the chemicals and hence can operate in harsh environment. Electrical
insulation of ceramics also makes these bearings resistant against
electrical erosion and pitting.

The development of ceramic bearings has improved various mechanical

systems operating at high speed and at extremely high precision viz.
ultracentrifuges, machine tool spindles, turbomolecular pumps, etc.
NASA is reported to have increased the longevity of fuel feed pumps for
their space missions by replacing them with ceramic bearings [49].

1.5.3 Durable Implants

The knowledge of tribology isn’t limited to machinery and mechanical
equipment only. The knowledge of tribology has been successfully
implemented in case of biomedical applications. This has led to the
development of high quality and durable implants. According to www.
nature.com, “Biomedical materials are biomaterials that are
manufactured or processed to be suitable for use as medical devices (or
components thereof) and that are usually intended to be in long-term
contact with biological materials.” Thus, along with bio-compatibility
the implants particularly those used in joints should have high
resistance to wear and tear. This would enable higher life of the implant
along with safety to the patient receiving it.
Knowledge of tribology enabled the selection of proper materials
for biomedical implants. The suitable materials for joint replacement
include Ultra High Molecular Weight Polyethylene (UHMWPE),
Ceramics, Titanium and its alloys, etc. (Fig. 1.17). Ceramic on ceramic
has been found to be very suitable in case of hip arthroplasty [51].
Ceramic has the perfect combination of hardness and durability and is
highly resistant to wear. Besides, it doesn’t have toxic effects on the
body. Ceramics on plastics (UHMWPE) has also been recognised as
good combination of materials for arthroplasty. This combination has a
potential wear at a rate of about 0.05 mm each year, which is 50%
lesser than metal on polyethylene [51].

Fig. 1.17 Implants for hip arthroplasty (courtesy Science Museum Group, UK under CC BY-SA
4.0 licence) (https://upload.wikimedia.org/wikipedia/commons/4/47/Hip_joint_
replacement%2C_United_States%2C_1998_Wellcome_L0060175.jpg)

1.5.4 Development in Micro-electromechanical Systems

(MEMS)
Miniaturization and multifunctionality are the two keywords of
modern-day engineering applications. Development and application of
MEMS have seriously contributed towards these objectives. However,
proper application of MEMS requires the understanding of friction and
wear behaviour of surfaces at nano/micro levels. In fact, the extensive
application of MEMS is often limited by poor tribological performance
and adhesion issues. This is due to the high surface-to-volume ratio in
MEMS and is typically a problem in case of actuator-based MEMS
applications where inconsistent or high friction restrict the smooth
movement of the components. Moreover, surface forces viz. meniscus
force, surface tension, viscous drag and adhesive forces are quite
significant comparing the size scale of the devices and components.
These forces can have a large influence on the integrity of the devices
thereby decreasing its performance and durability. Besides, the
conventional lubrication techniques can’t be used in these types of
systems. An additional challenge is, silicon, which is a popular material
in this type of applications and has poor tribological properties.
Based on these challenges, research has been pursued. It was clear
that surface forces need to be minimized in order to have improved
performance and life span of MEMS devices. Hence, investigation on
modification of surface either by change in topography or chemical
processing is carried out. Topography modification include the change
in the surface roughness by texturing or similar so that friction
behaviour could be altered. Chemical modification of the surfaces
through coatings is also seen to yield promising results. Some of the
suitable thin film coatings found suitable in case of MEMS include ionic
liquids (IL), diamond-like carbon coatings (DLC) and self-assembled
monolayers (SAM). Hence, tribology has contributed significantly
towards the development of MEMS based devices.

1.6 New Paradigms in Tribology and Its Future

1.6.1 Trends in Lubrication
1.6.1.1 Liquid Lubrication
At present liquid lubrication are developed and improved keeping in
mind the internal combustion engines (ICE) and drive trains. However,
as environment friendly Electric Vehicles (EV) are gradually coming
into the focus, the lubrication technology also needs a paradigm shift.
This type of vehicles is driven by electric motors and due to the higher
power density of the smaller gear boxes, there are heating issues.
Hence, the lubricant should be able to efficiently cool the engine.
Besides, right now the design variation of these engines is considerable
and hence targeted use of lubricants based on a particular engine is
required. The lubricant required in EVs have greater technical
requirements compared to that of ICEs. Apart from acting as coolants,
the lubricants should also possess good anti-wear capabilities, lowering
friction, having electrical combability and insulation. EVs require
lubricants in vital electrical components such as coolants for the car
battery, gear oils for differentials, chassis, gear reducer, and wheels,
brake fluids, and grease for other components of the EV. Electrical
combability of the lubricant in the rolling element bearing of EVs help
in mitigating the problem of electro-corrosion resulting from high
frequency and high energy discharges. Ionic liquids have shown
potential in preventing this type of charge accumulation [23].

1.6.1.2 Solid Lubricants

Although great strides have been taken for the development of
lubrication schemes for high temperature tribology, there are
challenges faced by the industry in regards to their fabrication and
implementation. The fundamentals of tribological mechanisms
occurring at high temperature is yet to be understood fully. The basics
are still majorly based on the understanding of solid lubrication theory.
There are possibilities of further reduction in friction and wear and
future materials should be directed towards this direction. In general, a
friction coefficient < 0.2 and wear rate <10–6 mm3/Nm as well as the
ability to sustain a wide range of temperature can be criterion for the
future solid lubricants [33].
At present solid lubrication is developed keeping in mind the
objective of reducing friction and wear. But as equipment become
integrated and complex, need for multifunctional and smart lubricating
material are gradually felt. Some examples of multifunctional
requirements include structural/lubricating integrated material, anti-
radiation lubricating material, conductive or insulation lubricating
material, etc. Similarly, smarter capabilities are w.r.t. the abilities viz.
self-diagnosis, self-repair, and self-adjust. A general trend for the
development of high temperature solid lubricants is illustrated in
Fig. 1.18.
Fig. 1.18 Future trends of solid lubricant for high temperature applications [33]

1.6.2 Nano Tribology

Nano tribology deals with atomic and molecular interactions often at
nano scale which occur when frictional contact between two bodies
occur or during lubrication. Initially, tribological studies were directed
mainly towards understanding the macroscopic interaction between
surfaces. However, with the introduction of advanced systems, viz. hard
drives, MEMS, bio devices, etc., understanding the tribological
interaction at atomic level became a necessity. Hence, devices viz.
Atomic Force Microscope (AFM) and other surface analysis methods
are adopted for tribological investigations at molecular levels. Again,
increase in the computational power led to the development of various
simulation techniques which were able to model and simulate the
interactions at nano/micro scales. With the development of nano
materials viz. graphene, DLC, graphite etc. and their potential to
revolutionize surface engineering as well as lubrication methods, nano
tribology has become even more important today. Nano tribology can
also help in the development of advanced drug delivery systems,
chemical and bio detectors, molecular sieves, systems on chip, etc.

1.6.3 Emphasis on Green Tribology and Associated

Research
The environmental concern is growing serious day by day and has
touched almost every aspect of our life. Environmentally sustainable
engineering is the need of the hour for limiting loss of energy and
associated carbon dioxide emission. In fact, the subject tribology has
more to offer from environmental perspective than it has delivered till
date. It has been reported that about 200,000 million litres of fuel
(gasoline and diesel) is exhausted in overcoming frictional resistance in
passenger cars alone [52]. Now, one can imagine how much energy and
fuel can be saved by following proper tribological practice throughout
the entire human civilization. Now, these types of reports started
coming in towards the end of the last century. All these led to the formal
introduction of the topic “Green Tribology” in the World Tribology
Congress in Kyoto, Japan in 2009.
The basic principles of green tribology revolve around reduction of
energy consumption, reducing pollution and emissions, usage of
natural and biodegradable materials, sustainable lubrication, lower
maintenance, etc. However, the focus areas of green tribology currently
include.
Application of biomimetics and self-lubricating materials/surfaces
Eco-friendly lubrication and materials
Renewable and/or sustainable sources of energy.
Some advancements are already made in each of the areas but more
and more emphasis should be given in those and related areas keeping
in mind the environment and climate change aspect which has really
entered into a critical phase today. Getting influenced from the nature
in providing solution to complex problems has already led to the
development of surfaces with hydrophobic properties, strong adhesion,
self-lubricating properties, etc. However, nature has still to offer many
things and more diligent effort is required in this direction. Moreover,
the already developed biomimetic technologies too require more fine
tuning and cost-effective application so that they can be more widely
accepted. Similarly, formulating lubricants with natural and bio-
degradable ingredients is yet to receive the necessary impetus so that it
may become a significant part of the society in general. In the future,
the formation of lubricant may be customized for each tribological
system so that they can run efficiently and for a longer duration of time.
More stringent regulations are expected for the industrial lubricants so
that ecological sustainability is guaranteed. Hence, new lubricants are
expected to contribute to ‘Green Tribology’.
Minimizing friction and wear are important from energy
conservation perspective. Now, the various tribological systems
associated with production of renewable energies viz. wind energy,
marine energy, solar energy, geothermal energy, etc. require to be very
efficient as well as eco-friendly so that maximum harnessing and
utilisation of the energy is possible. The role of design and durability of
many large-scale renewable energy systems is vital from sustainability
aspect [53]. The efficient performance of the associated tribological
parts are important as these systems are sensitive to operation and
maintenance costs. Moreover, hydrogen which is normally used as
secondary energy carrier and considered to be clean source of energy is
anticipated to play a significant role in the future energy scenario.
Hence, understanding the effect of hydrogen environment on the
tribological behaviour of components viz. bearings and seals are an
important aspect of research [54] which is projected to gain
momentum in the future.

1.7 Tribology for Industry 4.0

Although tribology seems to be more of research topic but it is
interesting to note that tribology and industry almost go hand in hand.
Industry is very much concerned with the problems of friction and
lubrication which are some of the basic attributes of tribology. The
advancement in tribology has impacted the industry from the start of
industrial revolutions till date. Moreover, industry time to time has
presented some issues based on which innovation has taken place in
the field of tribology. The significance of tribology in connection with
industry is very much evident from various literatures and is almost
always stressed in various key note lectures at conferences viz. World
Tribology Congress [7].
Presently, the fourth industrial revolution ‘Industry 4.0’ is in
progress which is basically about automation and internet of things
(IoT) [7]. This implies that the device and machinery involved should
be smart, efficient as well as can be controlled remotely. Based on these
aspects, the following key areas may be the ones where tribology can
contribute significantly.

1.7.1 Smart Tribology for Industrial Processes and

Manufacturing
Today’s industry is smart and able to take a lot of decision on its own
without the intervention of the humans. This capability comes from a
wide variety of sensors and processors installed in the system. Now,
tribology as a field is already reported to be quite compatible with
electronics and ICT (information communication technologies). Hence,
systems can be built where sensors may be able to tell the condition of
the lubricant and the machinery. Data of the vibration of the machine
or a temperature rise may indicate whether there is lack of lubrication.
If there is a lack of lubrication, some automatic valve may open
supplying the necessary amount of lubricant. Moreover, the quality
check of the lubricant may also be carried out by another sensor to see
if it needs to be totally replaced. Now, the machine should be connected
to the internet so that the recorded data may be sent to the control unit
for decision and subsequent action. The use of active controlled
bearings in actuated tilting pad journal bearing is already reported in
the literature [55]. Implementation of active lubrication helps in
reducing the vibration of machine and improve the overall dynamic
performance of the machine [7]. For this purpose, magneto-rheological
and electro-rheological fluids can be used as lubricants [56]. However,
considerable testing of these “field responsive fluids” needs to be done
before final implementation as lubricants in a particular system. Hence,
the implementation of the said strategies can definitely yield a
production system which is smart and efficient.
1.7.2 Monitoring Maintenance and Diagnostics
The maintenance and monitoring of machineries are a vital part as
these eliminate the machine breakdown costs as well as enhance the
life of the machine. Bearings which come under the purview of
tribology is an integral part of most of the machines. Now, bearings are
the component which may indicate prediction of the service life as well
as can be used for diagnostic analysis [7]. In fact, rolling bearings
integrated with sensors have already been developed which is able to
measure torque, forces, vibrations, etc. [7]. Moreover, the continuous
monitoring of the lubricant may also reveal information about any
undesired phenomena being initiated. The concept of ‘Big Data’ can be
implemented by combining the machine data with the lubricant data
[23]. The presence of wear debris, soot production, change in oil
viscosity etc. can indicate if any corrective action needs to be taken. In
fact, for tribology to be ready for industry 4.0, should include shorter
lubricant development time, reduced number of trials, lubricant
performance prediction through chemical and physical modelling and
simulations.

1.8 Closure
Tribology though not in a formal way has been part of human
civilisation almost since its inception. Initially, it was practiced just as a
means of solving the problems of friction. But gradually humankind
realized the potential of tribology as its various aspects began to unfold
through either independent research or finding solution to a particular
problem. Industrial revolutions definitely played a part in the
development of tribology as a subject and benefits of the same has been
reaped by the industries. The knowledge of tribology has now got an
additional facet due to the present problems of energy conservation
and climate change. Obviously, tribology has yet to offer lot more
considering these aspects and the true potential of it can only be
revealed by proper and wide application of it.

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J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_2

2. Cutting Force Modeling: Genesis,

State of the Art, and Development
Viktor P. Astakhov1  
(1) Production Service Management Inc, 1792 Elk Lane, Okemos,
48864, USA

 
Abstract
The chapter gives a historical prospective of the origin and
developments of empirical equations for cutting force in the manner
never presented before. It is shown that the Wiebe formula published
in 1858 is still in wide use today in many research and practical
applications including cutting tool manufacturers’ technical
guides/catalogs. The chapter analyses the historical development of the
formula for the cutting force from 1858 to the preset. The foundation of
the so-called mechanistic approach in metal cutting is considered. It is
discussed that there are actually two considerably different mechanistic
approaches used today. Although both include the use of the cutting
force coefficient, the way these coefficients are determined through
numerous cutting tests are considerably different. The origin, essence,
and drawbacks of both approaches are analyzed in great details. The
chapter argues that no further progress in meatal cutting in terms of
increasing its efficiency can be made if the known approach are used.
The chapter suggests that at present stage of development, finite
element method (FEM) modeling is one of feasible alternative to pure
experimental studies in metal cutting. The problems to be addressed in
FEM simulation in metal cutting as the proper model of metal cutting,
relevant constitutive model of work material behavior, and contact
conditions at the chip-rake face and workpiece-flank face interfaces are
revealed and the feasible ways of their resolution are suggested
discussed.

2.1 Introduction
Reduction of direct manufacturing costs associated with machining
operations is a never-ending challenge for manufacturing plants that
have this problem more pressing in recent years because two of prime
reasons. The first one is the increased use of special alloys with
enhanced properties and significant tightening of quality requirements
for machined parts. The second one is increasing global competition
which is changing the environment facing most companies today. To
meet these challenges, many metal-machining manufacturing
companies strive to reduce cycle times and costs-per-parts/units
through investing heavily in the increased use of high-speed high-
efficiently machining operations and thus changing the whole metal-
machining culture which was around for more than a hundred years.
These changes can be called the fourth “silent” industrial revolution
as they happened in rather short period of time currently becoming
well known as Industry 4.0 initiative [1]. The implementation of the
result of the fourth “silent” industrial revolution led to a stunning
result: For the first time in the manufacturing history, the machining
operating time became a bottleneck in the part machining cycle time. In
shops with stand-alone CNC machines, the machining time is 20% of
the operating time, whereas in automotive shops this time reaches
60%.
Knowing these data, one should realize that the implementation of
high-penetration rate tools and well-designed machining operations to
reduce machining time has becoming a vital necessity. A 27%-increased
productivity reduces the manufacturing cost per part by 20% as the
other costs are fixed cost so their relative impact per part reduces. In
modern machining system, this productivity is largely determined on
the tool cutting edge. Therefore, the best, most reliable cutting tools of
advanced designs, with the best tool materials and highest possible tool
manufacturing quality capable of high-efficient machining should be
used in modern metal-working industry regardless of their cost as this
cost is still virtually insignificant (hardly exceed 3% of the
manufacturing cost) compared to the gain due to increased
productivity [2].
To design and manufacture high-productivity cutting tools, the full
power of modern CAD packages should be utilized. In this endeavor, the
knowledge of the forces acting on the tool is of high importance. For
example, for drilling/reaming tools, the tool should be rigid enough to
waistband the forces at the maximum penetration rate on one hand,
and, on the other hand, slim enough to allow reliable transportation of
the increased amount of the chip formed due to high penetration rate.
The margin for errors is getting too small. Therefore, the forces acting
on the tool should be known with high accuracy. Moreover, the cutting
force multiplied by the cutting speed is the cutting power, which
eventually convers into the thermal energy flowing as heats into the
chip, tool, and workpiece. These heats result in the formation of the tool
temperature field, which directly affects tool life. Optimizing these
heats as the flows of the thermal energy within the tool, one can
significantly increase tool life.
This chapter reveals to which extent the available information of the
cutting force calculation using experimental databases can help
practical tool/process designers to carry out their task with
optimization of the tool development. It concludes that the formula
suggested in 1858 for cutting force calculations is still in wide use
today. The existence of some unique property of the work material
represented in cutting as the force coefficient is in the core of this
formula. It is shown that, although some literature sources suggest
modification of this coefficient accounting for the actual uncut chip
thickness, rake angle, and, sometimes, cutting speed, the whole concept
of the cutting coefficient is fruitless as too many other process and tool
design parameters can’t be accounted for in the cutting force
calculation in practice.
The chapter suggests that at present stage of development, finite
element method (FEM) modeling is one of feasible alternative to pure
experimental studies in metal cutting. This method has been
demonstrating great successes in modeling of complex engineering
structures, e.g., crash testing of vehicles, for the last 30 years. In
manufacturing, an extensive practical use of FEM is reported in the
design of metal forming operations and tooling that allowed to save
money and great deal of time. The problems to be addressed to bring
FEM simulation in metal cutting to the same level are discussed at the
end of the chapter: the proper model of metal cutting, relevant
constitutive model of work material behavior, and contact conditions at
the chip-rake face and workpiece-flank face interfaces.

2.2 Wiebe Approach

According to our search and cross-reference investigation, F. K. H.
Wiebe was the first who in 1858 presented the formula for the cutting
force in his book “Machine-Building Materials and their Processing” [3]
in the following form
(2.1)
where K is a constant for a given work material; P (in the modern
designation F) is the cutting force; E (in the modern designation hD) is
the uncut chip thickness, and B (in the modern designation bD) is the
uncut chip width. Note that the product E·B is the uncut cross-sectional
area of the chip, Ac.
In Eq. (2.1), the uncut chip thickness, E (hD) and the uncut chip
width, B (bD) have equal effect on the cutting force so that the product
E·B, which is the uncut cross-sectional area of the chip, Ac, is used to
calculate the cutting force.
According to Wiebe, K is a sole property of the work material
knowing which the cutting force can be calculated multiplying K by the
uncut chip cross-sectional area. Wiebe considered constant K as the
shear strength (in the modern interpretation) of the work material so
that he obtained the values of this constant for various materials using
shearing of bolts and rivets. For example for iron, he obtained K =
381 MPa (converted from the old dimensions used by Wiebe).
To understand the sense of constant K, one can represent Eq. (2.2)
as (such a representation was first done by Time, page 24 in [4])

(2.2)
 As can be clearly seen in this equation, K has the dimension of
stress. Moreover, this equation is the same as used in stress calculations
in tension or compression with a uniform stress distribution through
the cross-section E·B having the cross-sectional area Ac. This is
represented graphically in Fig. 2.1 where compression is chosen to
resemble metal cutting. Therefore, it is unclear how the shear strength
of the work material (according to Wiebe determination of K’s) can be
applied to this model to calculate the cutting force.

Fig. 2.1 Graphical interpretation of Eq. 2.1

If according to Wiebe, K is a sole property of the work material

knowing which the cutting force can be calculated multiplying K by the
uncut cross-sectional area of the chip then the cutting force does not
depend on the tool geometry, cutting speed, and other particularities of
a given cutting operation.

2.3 Time and Zvorykin Approaches

2.3.1 Time Considerations
Time in 1970 in his classic book “Resistance of Metals and Wood to
Cutting”, section “Metal cutting theory,” page 32 in [4] pointed out that
Eq. (2.1) is basically correct if constant K is determined properly. Time
just criticized the method used by Wiebe for obtaining K and pointed
out that this constant should be obtained from actual cutting tests as
many other factors are involved in these tests compared to a simple
shear test.

2.3.1.1 Attempt to Use the Wiebe Approach

Time carried out a greater number of actual cutting tests at very slow
cutting speeds using a specially modified big shaper machine, thus
orthogonal cutting tests were carried out. The force to the cutting tool
was applied by a lever geared device, thus the metered force P was
applied directly to the cutting tool. The uncut chip thickness, E (hD) and
the uncut chip width, B (bD) were set by the corresponding pre-setting
of the cutting tool so the uncut cross-sectional area of the chip, W(Ac)
was calculated for every test. Constant K in the Wiebe equation
(Eq. (2.1)) was termed as the cutting coefficient and calculated as

(2.3)

Using the obtained values of P and calculated W, Time calculated the

cutting coefficients (accounting for the efficiency of his experimental
machine to be 60%) to be
For iron: 3399 Pood/in2 (837.87 MPa)
For hard steel: 5400 Pood/in2 (1371.1 MPa)
For cast iron and bronze: 1650 Pood/in2 (418.9 MPa)
Commenting the obtained results, Time pointed out the following
Great scatter was the case in the experimental data to determine K.
Even with the same cutter when the uncut chip thickness, E (hD) or
the uncut chip with, B (bD) alter, considerably different values of K
were obtained.
The obtained average values of K’s are too great so they can’t be
correlated with the known stress limits of the work materials used.
To explain the obtained experimental data and to correlate them
with the known properties of the work material, Time in his book
introduced a chapter “Theory of metal cutting.”
2.3.1.2 Metal Cutting Model and Work Material Behavior in
Cutting According to Time
Observing and analyzing a great number of actual cutting tests, Time
found that the work material deformation and its cleavage (in modern
terms it is fracture), take place over the so-called cleavage plane
inclined at angle β1 (in the modern designation φ) to the direction of
motion as shown in Fig. 2.2. He explained this (with multiple examples)
as follows. It is true that when the rake face just touches the workpiece,
the uniform stress distribution is the case (as shown in Fig. 2.1).
However, when the tool is advances into the workpiece, the
deformation conditions at point A and B are not the same. There is no
restriction on deformation at point B whereas point A in connected to
the rest of the workpiece so that significant compression layer is
impossible with no fracture of the work material at this point.

Fig. 2.2 Time and Zvorykin force models

Figure 2.2 shows that the tool having the cutting angle α. This angle
was extensively used in metal cutting research in 19th and beginning of
twentieth centuries. In modern designation it is equal to

where γ is the tool rake angle). Force P(F) (called as the horizontal force
by Time) is applied to the tool to assure its penetration into the
workpiece, and thus removing the layer of thickness E (hD) known as
the uncut chip thickness. Time resolved the horizontal force P(F) into
two forces, namely the force acting perpendicular to the machined
surface P2, which is commonly known today as the back force Fp, and
force P1 (in the modern designation Fs) acting over the cleavage plane
AB.
As, according to Time, shear deformation and cleavage take place
along the cleavage plane AB, force P1 (Fs) can be meaningfully
correlated with some known property of the work material responsible
for shear deformation and cleavage. The problem was (and still persists
till today for the single-shear plane model proponents) in the
determination of the position of the cleavage plane. In his
considerations of the position of this plane, Time used angle β (Fig. 2.2)
as the angle between the tool rake face and the cleavage plane.
Obviously,
(2.4)
Carrying out metallurgical analysis of his test samples, Time found
that the sum α + β varies in rather narrow range of 145–155° for
various cutting angles.
The next step in the Time’s consideration was to determine the area
of the cleavage plane. As follows from Fig. 2.2, the length of the cleavage
plane, l is calculated as

(2.5)

where .
Because the width of the cleavage plane is equal the uncut chip
width B(bb), the area of the cleavage plane is then calculated as

(2.6)

The next step in the Time’s consideration was the determination of

force P1 (Fs). To do this, he considered Fig. 2.2 from which it follows
that

(2.7)
 where angle β2 = 90° – β1.
Time introduced the coefficient of cleavage, k1 as the stress on the
cleavage plane at which plastic deformation and cleavage of the work
material take place

(2.8)

Having carried out a great number of cutting tests using various

work material, Time determined the coefficient of cleavage, k1.
Analyzing the obtained values of the cleavage coefficients, Time noticed
that they are much greater than the tensile strength of the tested
materials. Time explained this difference by the friction and other
losses in his test machine. Having estimated the efficiency of his
experimental machine to be 60%, Time suggested the following
adjusted values of the cleavage coefficients:
For steel: 3480 Pood/in2 (883.56 MPa)
For iron: 2100 Pood/in2 (533.22 MPa)
For cast iron and bronze: 1050 Pood/in2 (266.6 MPa)
Time pointed out that other losses, primary the friction between the
chip and tool and energy needed for cleavage over the cleavage plane,
take place. If one accounts for these losses the cleavage coefficient
would be close to the tensile strength of a given material.
The major drawback of the Time approach is an attempt to find a
single mechanical property of the work material to be used to
determine the cutting force, i.e., the coefficient of cleavage, k1, which
can be as high as the tensile strength of the work material. The
coefficients of cleavage determined by Time for various work materials
are the average values with a significant scatter. Moreover, these
coefficients were determined for very vague description of the work
material type as, for example, steel, cast iron etc. Obviously, there are a
number of particular grades of steels and cast irons with different
mechanical and physical properties, and thus the cutting force in
machining of these materials can differ significantly. Even if the cutting
coefficients are determined for each and every tool material, it would
not help the issue as angle β1 should also be determined for a given tool
material, tool geometry, machining regime (cutting feed and depth of
cut), which is highly impractical.
In the Time force model, the uncut chip thickness and its width have
the same influence on the cutting force. Moreover, the friction at the
rake face-chip interface is not considered so it is silently included in the
coefficient of cleavage, k1. As a result, this coefficient can’t be a sole
property of the work material as it depends on this friction, which is
not the same for different combinations of tool and work materials.

2.3.2 Zvorykin Considerations

In 1898, Zvorykin published a book “Work and Force Needed for
Separation of Metallic Chips” [5]. In this work, he modified the Time
force model by adding the normal force, Q on the rake face and the
corresponding friction force on this face fQ, normal force acting on the
flank face R and the corresponding friction force of this face as shown
in Fig. 2.2 assuming that the friction coefficients over the rake and flank
faces are the same f = tanφ, where φ is the angle of friction. Developing
this model, Zvorykin obtained the normal and friction forces on the
cleavage plane OL = e2 assuming the friction coefficient between chip
fragment once this plane is f1 = tanφ1. These friction coefficients he
verified in his experimental program. For example, for iron f = 0.44 and
f1 = 0.34. He also pointed out that “the friction coefficient f = tan φ is to
be increased when ductility increases so that the sum f + f1 is close or
equal 0.8.”
Summarizing the results of his modeling and tests, Zvorykin
suggested the practical formula for unit pressure in kg (over a unit
(uncut) chip cross-sectional area), p0 for the used in industry as

(2.9)

where S is the resistance of the work material to cleavage, k the

strength adjustment factor. For cast iron k = 1.25 when T/S = 2.67; for
steel k = 2.22 when T/S = 3; for iron k = 1.85 when T/S = 3.33 where T is
the compressive strength of the work material.
 As Eq. (2.9) suggests that the unit pressure varies with the (uncut)
chip thickness, Zvorykin studies this subject thoroughly. He varied the
(uncut) chip thickness from 0.11 to 3.69 mm for bronze, steel, and iron
work materials. Carrying out about 250 tests, he approximated their
results by the so-called summary curve shown in Fig. 2.3, which in
analytical form is
(2.10)

Fig. 2.3 Summary curve constructed by Zvorykin. Work material is iron, the cutting angle is
80°

Zvorykin mentioned that this curve represents the average results

for the work materials tested. For ductile materials, however, a steeper
curve as better approximates the test results whereas

for brittle materials a better approximation is

Therefore, the cutting pressure (force) correlated with the (uncut) chip
thickness as
(2.11)
 For more brittle material, the power of e is ¾, and for more ductile
materials it is ½.
Zvorykin pointed out that Time did not find the dependance of the
(uncut) chip thickness, e on the unit pressure simply because he used
only great values of e, e.g., e ≥ 1 mm was common. The same can be said
about many other researchers at the end of the 19th and the first half of
the twentieth centuries.
The most important conclusions made by Zvorykin are as follows:
1.
For the first time in the developed of cutting model, friction over  
the tool-chip and tool workpiece interfaces are considered so that
the friction force on the rake ang flank faces of the tool are
accounted for.
2.
The cleavage (shear) angle β is defined using the principle of  
minimum force (energy). The same procedure were presented by
Merchant almost 50 years later [6, 7] with no reference to work of
Zvorykin.
3.
Although cyclicity of chip formation was described earlier by Time,  
Zvorykin provided a detailed description what happens in each
cycle of chip formation dividing this cycle over two parts. The work
done in each of these parts and the total work were considered
with relations to the properties of the work material.
4.
The cutting force and unit pressure are derived from the  
consideration of the work done in each cycle of chip formation.
5. The obtained dependance of the work done in chip formation and
unit pressure on the actual uncut chip thickness is probably the  
greatest finding by Zvorykin. He showed that the work done in the
separation of layer being removed is not a work material constant.
Rather, it strongly depends on the uncut chip thickness reducing
with its increase. Such a reduction goes faster for soft/ductile work
material compared to brittle ones. For various metals, the mean
pressure p0 reduces with reduction of ratio of the tensile and shear
strength of the work material. His explanations of the influence of
the uncut chip thickness are more logical than those by the
proponents of the so-called size effect in metal cutting [8]
 proponents of the so-called size effect in metal cutting [8].
6.
The quantitative dependence of the cutting angle on the unit  
pressure is revealed by the model and confirmed experimentally.
The mean pressure p0 and the work done in the separation of the
layer being removed increase with increasing the wedge angle of
the tool. As such, they increase faster for brittle and cast metals and
slower for ductile ones. The mean pressure increases by 2.08–1.7
times (depending on ductility of the work material) when the
cutting angle is changed from 45 to 90° (the rake angle changed
from 45 to 0°, auth.).

2.4 Friedrich, Hippler, and Kronenberg

Approaches
In the 1920th, in Germany, the empirical formulas to approximate
experimental data to calculate the cutting pressure and tool life were
published and got greater recognition in both the metal cutting studies
and in manufacturing. These formulas were very different from those
found in the research studies and practice in the other countries, e.g.,
USA [9, 10], UK [11], Japan [12], Russia [4, 13], etc. were it was
conclusively proven, and thus generally accepted that the uncut chip
width and its thickness have significantly different influence on the
cutting pressure and tool life. On the contrary, German researches
adopted the concept that the uncut chip width and its thickness have
the same effect on the cutting pressure (force) and tool life, i.e., that
these outcomes depend on the product of the uncut chip width and its
thickness known as the uncut chip cross-sectional area. This adopted
concept received the official recognition in the tables by published
AWF-Blätter No 100–11 (Ausschuß für Wirtschaftliche Fertigung
(AWF) - German institution to help the streamline operational
production of all industries). In these tables, the cutting pressure and
tool life are presented as functions of the uncut chip cross-sectional
area. Moreover, the same approach is considered by Kronenberg in his
fundamental book “Fundamentals of Machining Theory” [14] and his
other books to follow till the last published in 1966 [15]. Needless to
say that this concept fully resembles that proposed by Wiebe 1858 as
discussed above. In other words, the results of more than 60 year of the
development in metal cutting theory and practice were not
acknowledged.
Two essential features of this approach are:
1.
The width of cut and uncut chip thickness have equal influence on  
the cutting pressure (force), it is the uncut chip cross sectional area,
i.e., Ac is sole considered.
2.
There is a mechanical property of a given work material (to be  
found experimentally) which can be multiplied by Ac to obtain the
cutting pressure (force).
This approach originated by Friedrich, professor of Chemnitz
Technical School now known as the Technische Universität Chemnitz,
Hipler, and took his final shape in the Kronenberg book [14]. It is
important to point out that these three researches did not carry out
their own cutting tests—rather the experimental data obtained by
other researches, primarily by Tylor and Nicolson, were used for the
determination of the coefficients of their models developed using a
speculative approach. That is why the current section should be
probably termed as reasoning by Friedrich, Hipler, and Kronenberg.
This is discussed further in a chronological order.

2.4.1 Friedrich Considerations

Friedrich was first introduced his formulas in 1909 in his paper “About
the cutting resistance at machining of metals by separation of
chips”[16] and then, twenty years later, he came back to this topic in his
paper” About the machining theory” [17]1 where he gave more
explanations for his formulas. The further consideration is carried out
using these two works by Friedrich.
At the beginning of his first paper [16], Friedrich suggested that
“The resistance of material to cutting (the cutting resistance) depends on
physical properties of the material, cutting angle, cutting speed, cross
section of the chip, and on the shape of this cross section.” Then,
neglecting this reasonable suggestion about the shape of the chip cross
section, he wrote:
“Because the change in the chip cross section has prime influence on
the cutting resistance, it can be assumed that
(2.12)
where σ is the unit pressure (force) of the work material to cutting, b
is the undeformed chip with or the depth of cut, a is the undeformed chip
thickness or the cutting feed.”
It is assumed in Eq. (2.12) that for a given work material, the unit
resistance σ is a constant so the cutting pressure is proportional to the
uncut chip cross-sectional area. Therefore, this equation is the same as
first introduced by Wiebe (Eq. 2.1). The results of fifty years (since
1858 to 1909) of metal cutting studies are just simply omitted.
Then Friedrich made an ambitious statement “In the course of my
study I will make an attempt to justify variations of the unit resistance of
the work material to cutting theoretically and then through the
comparison of the obtained results with the data obtained using the most
recent cutting test, prove it.” How he succeeded in his endower is
discussed below. Further consideration by Friedrich is so unique and
not properly presented in metal cutting literature. Therefore, it is worth
to discuss it in great details.
Friedrich suggested that the work done in cutting consists of two
parts, i.e.
(2.13)
The first part, A1 he considered as ‘deformation’ part:
“The work done in the compression of a certain volume of the chip
having a given cross- sectional area is calculated as
(2.14)
where l is the length of the cut chip.”
As can be seen from Eq. (2.14), the width of cut, b and the uncut
chip thickness, a are assumed to have equal effect on the work done in
deformation of the layer being removed provided that σ is a constant
for a given work material, as assumed by Friedrich.
 The second part, A2 is the work done in the separation of the chip
along its perimeter, i.e., along the cutting edge. To explain this second
part, let’s us first consider that the cutting tool cut at certain depth of
cut, ap with the cutting feed, f as shown in Fig. 2.4a. When this tool
finishes cutting the workpiece, it removed a certain amount of the chip.
Then, let’s the same tool cuts of the same workpiece length with the
cutting feed, f1, which is n times smaller than f, i.e. f1 = f/n so that to cut
the same workpiece, the surface cut by the tool cutting edge ABC
multiplied by the chip length is found to be greater n times. Friedrich
explained that the same result is achieved if the chip is shred along its
length l into n narrow strips as shown in Fig. 2.4b. Such a shredding
requires additional work so that
(2.15)

Fig. 2.4 To explain the second part of the work done in cutting according to Friedrich

where ω is explained below; n is the number of chips into which the

initial wide chip was shred.
Then Friedrich wrote: “Therefore, the work done in separation of a
certain layer being removed depends not only on the uncut chip cross
section but also on the length of the line over which chip separation takes
place. For the chip having uncut chip cross-sectional area Ac = ba and
chip length l, the work done in cutting (Eq. 2.13) is calculated as
(2.16)
 From where the unit pressure is

(2.17)

where k is the work material resistance (Materialwiderstand) per 1

mm2 of the undeformed chip cross-sectional area; ω is the resistance
work (Widerstandsarbeit) per 1 mm of the perimeter of the uncut chip
thickness. The values of k and ω can be considered as constant under
certain conditions.”
When the chip width is constant, Eq. (2.17)

(2.18)

where

(2.19)

If, however, a curved cutting edge is considered as shown in Fig. 2.5

then, instead of perimeter b + a, the length of ark β over which chip
separation takes place is considered. As such

(2.20)

cutting feed f, depth of cut, ap, and cutting edge curvature, ρ.

When the cross sections of the chips are similar then the length of
ark β varies proportionally to the square root of Ac. In this case,
Eq. (2.20) becomes

(2.21)

where

(2.22)
 Equations (2.21 and 2.22), developed for similar chip cross sections,
was taken by Friedrich as the final. The cutting pressure (force) is
therefore calculated as

(2.23)

Friedrich found the values of k and ω1 for various work materials

using experimental data obtained by Nicolson for four chip cross-
sectional areas, namely 2.5, 7.5, 15, and 30 mm2. For each work
material, Friedrich took two values of the unit pressure obtained by
Nicolson (Table 2.1), one is the grates and the other—the smallest. As
such, he obtained two equations from which the values of k and ω1 can
be obtained. For example, for mild steel

(2.24)

(2.25)

Table 2.1 Experimental data obtained by Nicolson and data calculated by Friedrich

Material Hardness Chip Unit cutting Unit cutting k, ω1,

cross pressure pressure 2
kg/mm mm·kg/mm2
sectional obtained by calculated using
area, Nicolson, Friedrich
mm2 kg/mm2 formula,
kg/mm2
Cast iron soft 2.5 100 100 55 71
7.5 63 81
15 75 74
30 68 68
moderate 2.5 176 176 81 151
7.5 125 136
15 118 120
30 108 108
Material Hardness Chip Unit cutting Unit cutting k, ω1,
cross pressure pressure 2
kg/mm mm·kg/mm2
sectional obtained by calculated using
area, Nicolson, Friedrich
mm2 kg/mm2 formula,
kg/mm2
hard 2.5 200 190 57 210
7.5 134 134
15 122 112
30 94 95
Steel soft 2.5 200 200 167 51.2
7.5 177 185
15 180 180
30 177 177
moderate 2.5 180 180 145 55.5
7.5 155 165
15 175 160
30 155 155
hard 2.5 248 248 209 62
7.5 223 231
15 220 225
30 223 220

Solving these equations with respect to k and ω1, Friedrich found k

= 55 kg/mm2 and ω1 = 71 mm· kg/mm2.
Analysis of Table 2.1 shows that a good agreement of the unit
cutting pressures calculated by Friedrich Eq. (2.21) with the
experimentally obtained unit cutting pressures is achieved…only for
the rows in the table used to calculate the values of k and ω1. In other
cases, significant deviations are the case. Plotting his calculated data in
the “chip cross-sectional area vs. unit cutting pressure” together with
the experimental data obtained by Nicolson and Taylor, Friedrich noted
a significant difference between them. He, however, explained this
difference by the fact that his formula was obtained for similar cross
sections of the chips whereas Nicolson and Taylor cut the chip of
various cross-sections.
 In reality, the discussed difference is more complicated. As follows
from Table 2.1, the unit cutting pressure varies not only with the chip
cross-sectional area as believed by Friedrich but also due to the fact
that the (uncut) chip in the Nicolson tests had different shapes.
Although their Ac = a·b remained the same, their widths, b and
thicknesses, a are differed. As according to Taylor [9] and other
fundamental experimental studies on metal cutting (e.g. by Zorev [18]),
the width of cut and uncut chip thickness have considerable different
influence on the cutting pressure P so that the unit cutting pressures
calculated as do not match the corresponding
experimental data. This fact can be used to explain why the unit cutting
pressure according to the Nicolson data shown in Table 2.1 (cited by
Friedrich in his work) does not change smoothly but rather exhibits
some jumps. For example, for soft cast iron:

Chip cross sectional area, mm2 Unit cutting pressure obtained by Nicolson, kg/mm2
2.5 100
7.5 63
15 75
30 68

Therefore, it is not accurate to calculate the average unit contact

pressure as done by Friedrich. Rather, the essence of the jumps should
be figured out through analyzing the width, b and thickness, a of the
uncut chip under which this pressure was obtained.
Considering the cutting speed, Friedrich made a rather proper
statement “The cutting speed under which the tool does not get dull for a
long time should result in the work done in cutting per second with
respect to the unit chip surface that does not cause excessive heat
dissipation from this surface.” However, because the phenomenon of
heat dissipation is complicated, he found that it is no possible to
construct a formula for the cutting speed on this basis. As a result,
Friedrich used an oversimplified approach as:
“The work done in cutting per second is
(2.26)
 Because the surface of the uncut chips when they cross sections are
similar is proportional to the square root of their cross-sectional area, the
work done in cutting per second with respect to the unit chip surface is
calculated as

(2.27)

so that the most beneficial cutting speed is calculated as

(2.28)

”
Friedrich did not discuss what are those benefits of “the most
beneficial cutting speed”, i.e., how fast a cutter becomes dull at this
speed. If this cutter works for a long time then it means that the cutting
speed is excessively slow so that the productivity of operation suffers. If
the time is too short that occurs at high cutting speeds then the cutter
should be replaced often that results in significant downtime.
Therefore, there is a ‘golden mean’ where the cutter becomes worn not
that fast and not that slow so that the process economy is at maximum
at this speed. Therefore, the cutting speed should always be connected
with tool wear/tool life (under the chosen criterion/criteria) that is not
the case in the Friedrich approach.
Equation (2.28) contains, besides two coefficients k and ω1, which
are the same as those for the cutting pressure (force), a new coefficient
e. Friedrich used the same approach to determine this coefficient as he
used for the determination of k and ω1. To do this, he used the
experimental data obtained by Nicolson that were outdated and not
reliable particularly after the tests done by Taylor [9], Ripper and
Burley [19], and others. Because only one coefficient to be determined
in Eq. (2.28) as two others are known, only one equation is needed. To
do this, Friedrich determined e for the maximum Ac, so
(2.29)
 so thus e = 94,000.
Table 2.2 shows the results of calculations of e for some work
materials.
Table 2.2 The results of calculation of coefficient e according to Friedrich

Material Data by Cutting speed (mm/s) for the uncut chip area e

2.5 mm2 7.5 mm2 15 mm 30 mm2

Cast iron soft Nicolson 590 473 328 261 94,700
Friedrich 590 425 334 261
moderate Nicolson 288 240 195 146 87,000
Friedrich 312 233 187 146
hard Nicolson 195 168 140 108 56,500
Friedrich 188 155 131 108
Steel soft Nicolson 754 522 371 252 244,000
Friedrich 775 480 350 252
moderate Nicolson 465 352 260 177 150,000
Friedrich 530 330 244 177
hard Nicolson 238 175 127 80 97,000
Friedrich 248 152 111 80

The oversimplified approach used by Friedrich to a complex

problem resulted in significant deviation of the calculated and
experimental results as it can be seen in Table 2.2 and from diagrams
constructed by Friedrich in his paper in 1909 [16]. The latter
conclusively show that even the governing laws for the cutting speed
differ when compared the Nicolson and Friedrich result. A nice
coincidence of the results shown last column for the chip of 30 mm2 is
due to that fact that Friedrich used this cross-sectional area to calculate
his e’s.

2.4.2 Hippler Considerations

In his multiple publications, primarily in the book “The Lathe Shop and
its Tools: in the Modern Factory Management” [20, 21] and its multiple
editions and his papers, Hippler took the same approach as Friedrich,
i.e. that the cutting pressure is proportional to the uncut chip cross-
sectional area. He wrote: “According to our natural perception, the
cutting pressure P should depend at first on the physical properties of the
work material manifesting through its tensile strength, hardness, and
toughness so that hard materials show greater cutting pressures, and at
second on the uncut chip cross-sectional area as the chip of greater
arears show greater cutting pressures than thinner ones. Therefore,
(2.30)
where σ is a coefficient of proportionality accounting on the physical
properties of the work material.”
Then Hippler pointed out that the unit cutting pressure depends not
only on the uncut chip cross-sectional area but also on the shape of the
uncut chip cross section. However, instead of determining how this
shape affects the unit cutting pressure, he used the Friedrich formula in
the following form

(2.31)

which does not include any reference to the shape of the uncut chip
cross section. Although Hippler regarded this formula as correct one, he
used other formula in his further considerations

(2.32)

As such, he did not explain in any of his publications why and how
he found it possible to use his formula (Eq. (2.32)) instead of that by
Friedrich (Eq. (2.31)). Table 2.3 shows the values of constant C
according Hippler. No conditions or test details under which these
values were obtained were given by Hippler, who was extremely brief
with explanations of his formulas and results. Therefore, according to
Hippler, the cutting pressure is calculated as

(2.33)
Table 2.3 Values of C according to Hippler

Work Cast iron Iron Steel Bronze Brass

material
Tensile strength
8– 10– 38–40 40– 50– 60– 70– >80 20 15–
10 20 50 60 70 80 30
Soft 120 200 110– 200 – – – – – 100
180
Hard 200 270 – 220 240 260 280 300 120 160

Even less explanation was provided by Hippler for the cutting

speed. It is worth to mention that he, for the first time, suggested that
the equations for the cutting pressure and the cutting speed have the
same structure. He wrote: “Professor Friedrich gave the following
equation for the cutting speed that we can use

(2.34)

or in a simplified form

(2.35)

The values of k are given in Table 2.4.” That is all his explanation on
the cutting speed. The values of k shown in Table 2.4 are given by
Hippler with no explanations how they were obtained.
Table 2.4 Values of k according to Hippler

Work Cast iron Iron Steel Bronze Brass

material
Tensile strength
8– 10– 38– 40– 50– 60– 70– >80 20 15–30
10 20 40 50 60 70 80
Soft 50 33 70 62 – – – – – 100
Hard 39 15 – 45 40 32 22 15 100 80

It needs to point out that many publications by Hippler contain

contradictions and incoherent/ illogical statements so that it’s very
difficult to follow the way of his thinking. Nevertheless, Hippler’s idea
that that the equations for the cutting pressure and the cutting speed
have the same structure was adopted in the above mentioned AWF
tables and by Kronenberg.

2.4.3 Kronenberg Considerations

The Kronenberg considerations are discussed in his fundamental book
[14]. His considerations for the equation for the cutting speed differ
from that of Friedrich. He developed an equation for the cutting speed
using Taylor experimental data and, the same as Hippler, suggested that
the equation for the cutting force has the same structure as that for the
cutting speed.
To derive his equation for the cutting speed, Kronenberg uses the
experimental data presented by Taylor in his classical work “On the art
of metal cutting”, 1907 [9]. In this work, Taylor presented extensive
tables for practical cutting speeds (the cutting speed corresponding to a
given tool life). As such, a separate table is given for each work material
and the size of the turning tool. Needless to say that the uncut chip
thicknesses and widths are separated in these tables. For a given depth
of cut, series of the cutting feeds is indicated and the cutting speed
corresponding to 90-min tool life is given for each cutting feed. Using
these tables and multiplying the depths of cut by the cutting feeds,
Kronenberg obtained the uncut chip areas and then assembled the
same areas in groups.
Obviously, he obtained different cutting speeds for the same uncut
chip area as can be seen in Table 2.5 for a 7/8″ cutter for the depth of
cut, cutting feed, chip cross-sectional area (in modern designations).
The obtained results did not make Kronenberg to re-consider his
approach so he continued his derivation. He plotted the obtained data
in double logarithmic coordinates where the chip cross-sectional area
was in the x-direction and the cutting speed was in the y-direction. He
found that the obtained scattered points were located on inclined
straight lines.
Table 2.5 Example of Kronenberg calculations using the Taylor experimental data

Depth of cut Feed Chip cross-sectional area Cutting speed for cast iron
ap f Ac soft moderate hard
Depth of cut Feed Chip cross-sectional area Cutting speed for cast iron
2.38 4.79 }1.9 51.5 25.8 15.1
4.76 0.4 53.4 27.1 15.9
2.38 1.59 }3.8 37.2 18.7 10.9
4.76 0.79 41.8 20.9 12.2
9.52 0.4 43.9 21.9 12.8
2.38 3.18 }7.6 26.3 13.2 7.7
3.18 2.38 28 14 8.2
4.76 1.59 30.3 15.2 8.8
9.52 0.79 33.8 16.9 9.8

For the cutting speed, Kronenberg adopted the equation for the
cutting speed suggested by Hippler (Eq. (2.35)) with some
modification, which changes the root square of Ac into the root of
certain power ε, i.e.

(2.36)

Takin the log of both sides of this equation, one can obtain

(2.37)

For the considered graph construction, lgv = y, lgAc = x and

designating constants -1/ε = a and lgC = b, one can obtain
(2.38)
i.e., an equation of a straight line.
The first stage of his task was completed.
Having obtained this equation for the cutting speed, Kronenberg
tried to find the values of C and ε using the experimental data by Taylor,
AWF, and the calculated results using equation by Friedrich and
Hippler. As a result, a collection of various values of C and ε was
obtained. Table 2.6 shows an example for steels of intermediate
hardness.
Table 2.6 Results for ε and C obtained by Kronenberg

Using Taylor data Using AWF Using Friedrich Using Hippler

data data data
Carbon High-speed Steel
tool tool
ε C ε C ε C ε C ε C
1.76 5.4 1.94 80 2.44 35 2.3 46 4 23
– – 1.94 64 – – – – –  

Analyzing the obtained results, Kronenberg wrote “Some values of C

and ε show satisfactory agreement with each other but still significant
differences exist for others.” In reality, however, there is no one
“satisfactory agreement” for any work material analyzed in his tables.
The equation for the cutting pressure (force) used by Kronenberg is
the same as above-discussed equation proposed by Wiebe, and then
used by Friedrich and Hippler, i.e., this pressure is proportional to the
(uncut) chip cross-sectional area, Ac, i.e.
(2.39)
As per the unit cutting pressure, Kronenberg (the same as Hippler)
thought that it can be expressed by an equation having the same
structure as that for the cutting speed, i.e.

(2.40)

As before, C1 and ε1 are constants to be determined experimentally.

To do that, Kronenberg used the test results obtained by Taylor,
Klopstock [22], AWF, and others and the equations by Friedrich and
Hippler. It is of particular interest how he fit the experimental results
by Taylor. Taylor obtained his equations for the cutting pressure (force)
through a very extensive experimental program carried out for more
than 25 years and come out with the following results:
For hard cast iron
(2.41)
For soft cast iron
 (2.42)

For steel
(2.43)
These equations show that the depth of cut, ap and cutting feed, f
have different influence on the cutting pressure (force)2 so they did not
in agreement with the Kronenberg approach according to which they
should have the same influence so that their product, known as the
(uncut) chip cross-sectional area, Ac can be used in calculations of the
cutting pressure (force). This did not stop Kronenberg to use these
data. He proceeded as follows. All cross sections of the chip in the
experimental results by Taylor, were separated into three groups: first
is the square chips having the ratio ap /f = 1, thin chips having the ratio
ap /f = 1/10, and thick chips having the ratio ap /f = 10/1. After this, the
following manipulation was carried out with each of the Taylor
equations.
For hard cast iron
(2.44)

When the chip is square f = ap, so that

(2.45)
On the other hand, f · ap = Ac so that or

(2.46)

and then
(2.47)
Substituting this result into Eq. (2.45), Kronenberg obtained
(2.48)
 The unit cutting pressure is then calculated as

(2.49)

For thick chips (the second group) f = ap/10 so

(2.50)

On the other hand, f ·ap = Ac so that f 2/10 = Ac or

. Substituting these results into Eq. (2.50), Kronenberg

obtained

(2.51)

and the corresponding unit cutting pressure is calculated as

(2.52)

For thin chips (the third group) f = 10ap. Using the same way,
Kronenberg obtained

(2.53)

As can be seen, Kronenberg obtained three equations for the same

work material. For the results of the meticulous Taylor’s tests where
each feed and depth of cut are accounted for, a rough averaging is used,
i.e., the Taylor and other researchers’ approach on the different
influence of the depth of cut and cutting feed on the cutting pressure
(force) are completely extinguished. The same way was used by
Kronenberg to manipulate with the experimental results obtained by
Taylor, Kurren [23, 24], AWF and the calculated data using the
equations by Friedrich and Hippler. As a result, Kronenberg obtained a
table of coefficients C1 and ε1. Table 2.7 shows these coefficients for the
steel of moderated hardness.
Table 2.7 Coefficients C1 and ε1 for the steel of moderated hardness

Work Using Taylor Using Using Using Using

material data kurrein AWF data friedrich hippler data
data data
C1 C1 C1 ε1 C1 ε1 C1 ε1 C1 ε1 C1 ε1

Steel 50– 216 200 185 28.5 260 6 160 7.8 198 15 240 4
60 kg/mm2

The results shown in Table 2.7 speak for themselves. Kronenberg

only noted “A comparison of the values of coefficients C1 and ε1 shows
that they differ from each other.”
Kronenberg was not fully satisfied with his equation for the cutting
speed so he attempted to develop a more detailed equation which
should include the properties of the work material and tool geometry.
Because these data were available in the test conditions of other
investigators, he chose the Brinell hardness, H to represent the
properties of the work material and the tool wedge angle, β (the angle
between the rake and flank faces in the normal section plane) as the
tool geometry parameter. Kronenberg, using the same (as above-
discussed) way of manipulating with the experimental data obtained by
other researchers, developed the cutting pressure (force) formula for
the above-discussed work materials. For example, for the steel of
moderate hardness he gave the following equation

(2.54)

An example is given here to show how he manipulated with the

results by other researches to develop this equation. In incorporating
the tool wedge angle in his Eq. (2.54), Kronenberg referring to a paper
by De Leeuw and Plainfield [25], presented a graph shown in Fig. 2.6a
which depicts the influence of the tool wedge angle on the cutting
pressure(force). Using this graph, he concluded that for wedge angles
less that 50°, the cutting pressure (force) changes significantly with β
whereas for wedge angle greater that 50°, this change is small.
Everything looks logically till one actually reads the referred paper by
De Leeuw and Plainfield [25].
The caption of the original graph presented by De Leeuw and
Plainfield [25] is “Probable relation between contained angle of cutting
tool and power.” The corresponding text reads as follows: “In The Art of
Cutting Metals Mr. Taylor stated that his experiment showed no
perceptible difference in power consumption for various contained angles
of the cutting tool. The writer thought that this conclusion would
probably be correct only for the range of cutting angles tried by Mr.
Taylor. He imagined that the relation between contained angle and power
consumption would probably be a curve of the nature of Fig. 2.5 (of their
paper, auth.), and that all experiments made by Mr. Taylor were within
the horizontal line of the curve.” As can be seen a probable relation
between the power consumption and contained angle drawn in
qualitative manner became a proven fact of the cutting pressure (force)
and the wedge angle retaliation in the Kronenberg derivations of the
cutting pressure (force) equation.
Fig. 2.5 The sense of the cutting perimeter in the case of the curved chip as a function of the
cutting feed f, depth of cut, ap, and cutting edge curvature, ρ

Fig. 2.6 The curves of the influence of the tool wedge angle: a as presented by Kronenberg
referring to De Leeuw and Plainfield, and b original curve by De Leeuw and Plainfield

Analyzing Eq. (2.54) and, particular the way it was developed, and

comparing the results with his experimental results and results by
others, Cheluskin [26] called this equation as pure fantasy.
The foregoing analysis of Kortenberg’s consideration relates to his
book published in 1923 [14]. Since then, a number of editions of this
book have been published. What has not been changed is his believe in
the sole influence of the uncut chip cross-sectional area Ac. In the last
edition of his book published in 1966 [15], Kronenberg pointed out the
following (Chap. 6, page 99): “The chip cross-sectional area A and the
cutting speed v are the two main quantities that can be controlled by the
lathe operator by shifting some gears in the headstock, setting the feed
and the depth of cut. The product these to variables (A·v) is the volume of
the chip removed per minute…For this reason chip cross sectional area A
and the cutting speed v are also taken as the two principal quantities in
applied metal cutting research. We shall take A as an independent and v
as the dependent variable. Their relationship shell be termed the A–v
relationship.” Then, he incorporated this relationship in Taylor’s
formula for tool life in the manner as he did with the cutting pressure
(force). As can be seen, the results of more than 40 years research in
metal cutting, according to which the influence of the undeformed chip
thickness and its width on the cutting force and tool life, did not affect
the Kronenberg thinking, and thus approach.
Inspiring by this approach, the milestone conference on
machinability at the Institution of Mechanical Engineers (IMechI,
London) held on 24th May 1946 concluded that “The interdependence
of the tangential force T for material, and the cross-sectional area of chip
A, given by its quotient I = T/A, should be called the machinability index”
[27].
In conclusion, the author has to point out that although the ideas of
Friedrich, Hippler, and Kronenberg were widely recognized in Germany,
not everyone in Germany shared these ideas. For example, professor
Wallichs in a series of his publications presented the multiple
experimental results done in the Aachen Polytechnic (now known as
RWTH Aachen University) showing that the results of his experimental
studies proved the validity of the Taylor’s approach, and thus Taylor’s
results.
In his most noticeable work [28], Wallichs harshly criticized
approaches and results by Friedrich, Hippler, and Kronenberg.
Considering their formulas for the cutting speed, he pointed out that
there is no enough data to obtain the formula for the cutting speed,
which accuracy would much the experimental data within 20%.
Comparing the formulas obtained by Friedrich and Hippler, he showed
that the calculated cutting speeds according to these formulas can differ
up to 150%. Moreover, he drew attention to a fact that all three
analyzed formulas do not account on the shape of the chip cross section
although Friedrich, Hippler, and Kronenberg stated that this shape
affects the cutting speed.

2.5 Modern State of the Art

2.5.1 General
Reading the above analysis, one may wonder how relevant it is for the
presence, where the theory and practice of metal cutting reportedly
advanced to the stage where the above-listed old works seems to have
only a historical/sentimental value. Unfortunately, it is not so as
discussed in this section. The essence of Eq. (2.1), according to which
the cutting force is calculated as the product of the constant (presently
known as the specific force coefficient, power coefficient, specific
energy and so on) and the uncut chip thickness area is not just alive but
is in the core of many students’ textbook, monograph, scientific papers
(more than 10,000 and counting), and trade literature. Moreover, major
cutting tool manufacturers use it in their catalogs/training guides to
help end users to calculate cutting force(s) and power.
The second issue one can have is with a necessity to know the
cutting force/power. Taylor believed that knowing the cutting force is
not important as it has no corrections with tool life (the cutting speed
corresponding to 20/60/90 min tool life) (par. 96 in [9]). To support
this statement, Taylor explained that the cutting pressure (force) in
machining of cast irons is generally greater than that in machining of
steels whereas the cutting speed for a given duration of cut is smaller
for steels. Although he put forward a great idea about the prime (by far)
influence of the temperature on tool life, Taylor mistakenly believed
that only friction between the tool and chip causes this temperature.
The further developments showed that the cutting power,
considered as the product of the cutting pressure (force) and the
cutting speed, is the prime source of the thermal energy in cutting as
the most of the cutting power converts into this energy. The flows of
this energy as heats in the cutting system (the chip, tool, workpiece,
coolant etc.) create a particular tool temperature field directly affecting
tool life. Obviously, other factors of the cutting process can change the
influence of the cutting pressure (force) and, moreover, sometimes, can
even “overpower” this influence so that the considered end result (tool
life, for example) can just opposite to that expected when only the
cutting force is considered. In other words, the cutting force should be
considered together with other factors of the process because they are
tightly intertwined.
Besides the outcomes of the cutting process, as tool life, quality of
machined surfaces, productivity and efficiency of the process, the exact
knowledge of the cutting force and cutting power is needed for the
design of the efficient cutting tools (e.g. for high-speed machining
where the tool is pushed to its limits in terms of the force and
temperature), design of part holding fixtures (particularly when
numerical modeling is used), coolant type, brand, and its application
technique selection as the coolant should remove some part of the
cutting power converted to the thermal energy, and thus reduce the
temperature loads on the tool and workpiece, assessment of the part
accuracy etc.
The foregoing consideration suggest that it is important to know the
exact cutting force and power for the efficient design the whole cutting
operation. The following section discusses how the modern literature
and electronic sources can assist one in relation to this matter.

2.5.2 Text Books, Monographs, and Trade Literature

As an example of general textbooks on manufacturing processes,
consider the fourth edition of a book “Fundamentals of Modern
Manufacturing. Materials, Processes, and Systems” [29]. The notion of
the unit power is also known as the specific energy U (page 498) (note
that the designations and units are kept the same as in the book)

(2.55)

where Fc is the cutting force, v is the cutting speed, to is the chip

thickness before cut, w is the width of cut. It is noted that the units for
the specific energy are typically N·m/mm3 (in·lb/in3). However, the last
expression in Eq. (2.55) suggests that the units can be reduced to
N/mm2 (lb/in2). According to the author of this book, it is more
meaningful to retain the units as N·m/mm3 or J/mm3 (in·lb/in3).
The book gives a table for U(Pu) for to = 0.25 mm. It is pointed out
that the chip thickness before the cut also affects the specific energy
values. As to is reduced, unit power requirements increase. This
relationship is referred to as the size effect. To account for this fact, the
book introduced a correction factor (a multiplier) to determine U and
Pu for any other chip thickness.
It follows from Eq. (2.55) that the cutting force is calculated as
(2.56)
This equation is the almost the same as the equation suggested by
Wiebe in 1858, i.e., Eq. (2.1). The only difference is that the uncut chip
thickness affects U through the introduced correction factor.
 As an example of more specialized textbooks, consider some most
common textbooks. The first one is a textbook by Boothroyd and Knight
“Fundamentals of Machining and Machine Tools”, 2nd edition [30]. The
following equation for specific cutting power, ps can be found on page of
82 of this book

(2.57)

where Pm is the rate of energy consumption during machining, Zw is

the metal removal rate, Fc is the cutting force, Ac is the cross-sectional
area of the uncut chip.
From Eq. (2.57), one can calculate the cutting force as
(2.58)
This equation is the same as the equation suggested by Wiebe in
1858, i.e., Eq. (2.1). In other words, it is recognized that the uncut chip
thickness and chip width have the same influence as believed by Wiebe,
Friedrich, Hippler, Kronenberg and many others. The irrefutable fact
the uncut chip thickness and its width have different influence on the
cutting force is shifted into the constant ps.
The book, however, points out that “The specific cutting energy can
vary considerably for a given material and is affected by changes in
cutting speed, feed, tool rake, and so on. However, for a given tool rake at
high cutting speeds and large feeds the specific cutting energy tends to
become constant as shown in Fig. 2.7. This constant value can be a useful
guide, in practice, to the forces required to cut a given work material at
large speeds and feeds, and for the results presented in Fig. 2.7 for a low-
carbon steel, ps approaches 1 GN/m3.”
Fig. 2.7 Effect of the cutting speed and undeformed chip thickness on specific cutting energy,
where ac is the undeformed chip thickness and the material is mild steel, the normal rake angle
is 10 deg, and the width of the chip is 1.25 mm

According to the book, plowing force and “size effect” are

responsible the dependence of the specific cutting energy on the uncut
chip thickness.
Shaw in his book “Metal Cutting Principles”, 2nd edition [31] in the
section “Estimation of cutting forces” (page 35) pointed out that it is
frequently important to estimate cutting force(s). This may best be
done in terms of total specific energy (u) since this tends to remain
approximately constant for a given work material operating under
different cutting conditions. For example, the power component of the
cutting force can be estimated as

(2.59)

The values of u’s for various work materials in metric units are
shown in Table 2.8.
Table 2.8 Approximate values of specific energy for different materials cut with rake angle γ =
0° and cutting feed hD = 0.25 mm) for cutting with continuous chip and no built-up edge (BUE)

Work material u0, J/m3

Aluminum alloy 7.2 × 10−3

Gray cast iron 10.53 × 10−3
Free-machining brass 10.53 × 10−3
Free-machining steel (AISI 1213) 17.55 × 10−3
Mild steel (AISI 1018) 21.06 × 10−3
Titanium alloys 35.10 × 10−3
Stainless steel (18–8) 49.14 × 10−3
High-temperature alloys (Ni and Co base materials) 49.14 × 10−3

Shaw pointed out that:

The specific cutting energy is essentially independent of cutting
speed (v) over a wide range of values, provided a large built-up edge
is not obtained.
The values of the unit energy shown in Table 2.8 for rake angle γ = 0°
and decrease about 1% per degree increase in the rake angle.
The specific cutting energy varies approximately with the
undeformed chip thickness, hD in the usual range of chip thickness as

(2.60)

Reading this in page 35, one may wonder why he or she needs to
read the remaining approx. 600 pages of the book if Eq. (2.59) gives the
result acceptable in practice. In other words, the power component of
the cutting force can be estimated as
(2.61)
If one substitutes Eq. (2.60) into Eq. (2.61), he or she obtains that
the cutting force Fp is proportional to , i.e. the result published in

1906 by Taylor [9]. As such, the existence of the specific cutting energy
for a given work material is considered as a fact. In other words, the
whole business of the tool and process optimizations including the tool
geometry (besides the rake angle), tool materials, coolant and so on
becomes insignificant.
Yet another textbook, mostly used in Germany, is that by Klocke
“Manufacturing Processes 1. Cutting” [32]. In the consideration of the
cutting force, Klocke used the approach developed in 1952 by Kienzle
[33]. According to this approach, the specific cutting force (as related to
the power component of the cutting force) is the ratio of the cutting
force, Fc and the removed chip cross-sectional area, A, so the cutting
force is calculated as
(2.62)
As the specific cutting force depends strongly on the chip thickness
as shown in Fig. 2.8 [34], Kienzle and Victor [34] proposed to
determine the specific cutting force as

(2.63)

Fig. 2.8 Determining of kc from the known kc1.1

 and thus the cutting force as

(2.64)

where kc1.1 is the specific cutting force when the chip width b =
1 mm; uncut chip thickness h = 1 mm; so that the uncut chip cross-
sectional area A = 1 mm2, qc = tanρ (see Fig. 2.8).
As follows from Eq. (2.64), the specific cutting force varies only with
the uncut chip thickness. This is the same as in the previous-analyzed
books. As stated above, the influence of the tool and process
parameters including the tool geometry (besides the rake angle), tool
materials, coolant and so on becomes insignificant.
As the specialized trade books meant for the use in manufacturing
shops, consider the book “Engineering Formulas for Metalcutting” [35]
because it compiles the results presented in most common books as, for
example, Machining Data Handbook [36], “Machinery’s Handbook”
[37]. The designations and units are kept the same as in the book. In
this book for turning (page 108), the tangential cutting force Ft (the
proper term is the power component of the cutting force) is calculated
as
(2.65)
where 60,000 is the unit conversion factor to metric units, d is the
depth of cut, f is the cutting feed (wrongly termed as the feed rate in the
book), Kp is the power constant.
The book points out that the unit for Kp is hp/in3/min or
kW/cm3/min. It is stated that “For many years it was considered to be
good practice to use the value of the power constant Kp = 1.0 hp/in3/min
to estimate power consumption when cutting steels (the authors believe
that many machine shops still use the same power constant value).” The
book points out that the use of this value may lead to wrong results so it
gives many tables for the values of the power constant Kp for various
work materials and their harnesses. As such, only the hardness and
work material grade are considered. It is pointed out that a particular
value of the power constant chosen from the tables should be then
multiplied by the feed factor, C and by the tool wear factor, Cw.

2.5.3 Tool Manufacturers’ Technical Guides

In this section, a few examples of how the leading cutting tool
manufacturers provide some help for end users in calculating the
cutting force/cutting power.
The technical guide by Sandvik Coromant [38] gives an equation for
calculating the tangential force, Ft as

(2.66)

where kC,D,A is not shown in the nomenclature and then is provided

at the top of the same page. Instead, it is shown kc is the specific cutting
force, N/mm2, fn is feed per revolution, mm/r (as shown although it
should be mm/rev), AP not shown in the nomenclature, is provided at
the top of the same page. Instead, it is shown ap is cutting depth, mm.
Under this equation, it is shown mc as a “constant, depending on
material. Use 0.29 as general value” although it can’t be found in this
equation.
After this “Tangential force, simplified formula” is presented as

(2.67)

where KAPR is “entering angle, degree” as indicated the

nomenclature.
The it is written “When the entering angle (KAPR) is 75 degrees or
longer, sin KAPR ~ 1. Then this simplified formula can be used.”
Our analysis of these equations showed that Eq. (2.66) is actually
the simplified equation so that Eq. (2.67) should be shown in its place.
KAPR is actually the tool cutting edge angle according to standard ISO
3002–1: “Basic quantities in cutting and grinding —Part 1: Geometry of
the active part of cutting tools —General terms, reference systems, tool
and working angles, chip breakers.” The standard designation is κr so
that it became KAPR in the Guide.
Sandvik Coromant discussed the specific cutting force as follows
[39]: “For power, torque and cutting force calculations, the specific
cutting force, or kc1, is used. It can be explained as the force, Fc in the
cutting direction, needed to cut a chip area of 1 mm2 that has a thickness
of 1 mm. The kc1 value is different for the six material groups, and also
varies within each group.” The values of for the standard ISO groups of
work materials (DIN ISO 513(2001)) are given as shown in Fig. 2.9a
(ISO P—color code is blue. Steels ranging from unalloyed to high-
alloyed materials including steel castings and ferritic and martensitic
stainless steels; ISO M—color code is yellow. Stainless steels. ISO K—
color code is red. Cast irons. ISO N—color code green. Non-ferrous
metals as aluminum, copper, brass, etc. ISO S—Heat resistant super
alloys. ISO H—color code is gray. Hardened materials.).

Fig. 2.9 The values of kc1 for the six material groups (a) and determination of kc (b)

It is pointed out that the values of kc1 shown in Fig. 2.9a are valid for
a neutral insert with a rake angle, γ0, = 0°; other values must be
considered to compensate for this. For example, if the rake angle is
more positive than 0 degrees, the actual kc value will decrease.
Therefore, according to Sandvik Coromant, the actual value of kc to be
used should be determined knowing kc1and actual uncut chip thickness
hm (actual standard designation is hD) as

(2.68)

where mc is determined as shown in Fig. 2.9b. This picture also

shows a qualitative example of determination of kc1 for the uncut chip
thickness equal to 0.3 mm.
Our analysis of Eq. (2.68) shows that:
1.
Sandvik Coromant uses the Kienzle and Victor [34] (Fig. 2.8)  
approach although no reference is given.
2.
There is a mistake, namely instead of γ0 which is, as stated above,  
equal to 0°, the actual rake angle γ should be used to account on the
influence of the rake angle (which is generally in line with the
above-discussed findings by Zvorykin and suggestion by Shaw on
the influence of the rake angle [31]).
3.
Although Sandvik Coromant and some other cutting tool  
manufacturers suggest accounting for the rake angle in the
calculation of the actual values of the specific cutting force, it is not
clear how to define/determine this angle in many practical
applications where cutting inserts with sculpture shapes of the
rake face are used and their rake angles are not indicated in tool
catalogs.
Our analysis of the whole procedure of the cutting force
determination according to Sandvik Coromant indicates that it is
impossible for even the most advanced users to determine this force
using the information presented including errors. The problem starts
with the selection of kc1 from the data shown in Fig. 2.9a for a
particular work material. As indicated by Sandvik in its “Workpiece
material” page” [40], “ISO P – Steel is the largest material group, ranging
from unalloyed to high-alloyed material and including steel castings and
ferritic and martensitic stainless steels. Machinability is usually good, but
differs a lot depending on material hardness, carbon content, etc.” so that
how come one should make the proper selection of this unit force from
Fig. 2.9a. Then is not clear how to find mc for a given work material?
The statement “Use 0.29 as general value” is not acceptable for a wide
variety of the work materials and their properties.
Sumitomo, one of the major cutting tool manufacturers, in its
Technical Guidance Reference [41], points out that the cutting force, P is
calculated as

(2.69)

where kc is the specific cutting force, MPa, q is the chip area, mm2, ap
is the depth of cut, mm, f is the feed rate, mm/rev (it is actually the
cutting feed as the feed rate is measured in mm/min, auth.). It is stated,
that “rough value of kc: Aluminum: 800 MPa, general steel: 2500 to
3000 MPa, cast iron: 1500 MPa.”
As can be seen, this equation is exactly the same as that by Wiebe
(Eq. (2.1)), so that the uncut chip thickness and its width have the same
influence on the cutting force. Further, after introducing the equation
for the cutting force calculation (Eq. (2.69)), Sumitomo Technical
Guidance Reference [41] presents three graphs shown in Fig. 2.10.
According to these graphs, the cutting force depends on the cutting
speed and rake angle although these data are not reflected in the
equation for the cutting force. Moreover, the specific cutting force also
depends on the cutting feed (mistakenly shown as the feed rate in the
Technical Guidance Reference) and on the work material transverse
rupture strength (mistakenly shown as Traverse rupture strength the in
the Technical Guidance Reference). One may wonder what the
transverse rupture strength (TRS) also known as "modulus of rupture",
"bend strength", or "flexural strength" has to do with the specific
cutting force and how to use its dependence on the cutting feed in
cutting force calculations.
Fig. 2.10 Graphs found in the sumitomo technical guidance reference

Tangaloy in its User’s Guide – Technical Reference (page G032 in

[42]) presents the following equation to calculate the cutting force
(2.70)
where kC is the specific cutting force, N/mm2, ap is the depth of cut,
mm, f is feed, mm/rev.
As can be seen, this equation is exactly the same as that by Wiebe
(Eq. (2.1)), so that the uncut chip thickness and its width have the same
influence on the cutting force. The values of kC is given for a limited
number (13) of work materials grades in the manner shown in Table
2.9, i.e. the specific cutting force is the function of the cutting feed.
Table 2.9 Values of the specific cutting force (kC) for some work materials as given by
Tangaloy

Workpiece Tensile Harness Value of specific cutting force on feed k (N/mm2)

material strength (HB) C

(JIS) (MPa) 0.04 0.1 0.2 0.4 1.0

(mm/rev) (mm/rev) (mm/rev) (mm/rev) (mm/rev)
SS400,S15C 390 100 3430 2840 2450 2080 1700
Workpiece Tensile Harness Value of specific cutting force on feed k (N/mm2)
material strength (HB) C

(JIS) (MPa) 0.04 0.1 0.2 0.4 1.0

(mm/rev) (mm/rev) (mm/rev) (mm/rev) (mm/rev)
S50C, 785 230 4900 4020 3430 2940 2400
SCr430
Aluminum (89HB) 89 1350 1130 950 810 670
alloy

The same approach is generally followed by many other cutting tool

manufacturers in their on-line cutting force/power calculators with
some difference. For example ISKAR [43] additionally includes the
cutting speed and effective rake angle, and the tool cutting edge angle in
the input data. Mitsubishi in its cutting power calculation additionally
includes the cutting speed and machine coefficient, which actually
machining efficiency (0.8–0.9) which one needs to know.
Reading these materials by the leading tool manufacturers, one may
wonder if the exact determination of the cutting force, and thus the
cutting power is important for modern users. It was discussed above
that the knowledge of the forces acting on the tool is of high importance
as the cutting force affects the design of the efficient cutting tools, tool
holders, and part fixtures. The cutting power, which eventually convers
into the thermal energy, which directly affects tool life through the
temperature over the contact interfaces. To demonstrate the price to
pay for not knowing the exact amount of the cutting power, let’s
consider the following.
Taylor divided all metallic work material into 41 classes according
to their standard cutting speeds (the cutting speed corresponding to
20-min tool life (par. 140 in [9])), which vary from one another with the
common ratio of 1.1, namely:
Class No.1 corresponds to that metal which will give us the highest
cutting speed which we likely ever to use in a machine shop;
Class No. 2 represents a metal whose cutting speed is that of Class
No. 1 divided by 1.1., or
 and so on, the cutting speed of each class being connected with the
one preceding it by the ratio of 1.1.(par.1134 in [9]). In other words, the
standard cutting speed for a given work material was determined with
much higher that 10% accuracy. In the author’s opinion, this assured
great popularity of the Taylor’s works becoming known as Taylor’s
scientific management theory. His book on the subject [44] is classical
and still actual till now.
Unfortunately, the Taylor’s accuracy in determining the cutting
speed is lost in modern manufacturing environment. For example,
ISCAR recommends [45] for turning of low alloy and cast steels (less
than 5% of all alloyed elements) having hardness HB 276, tensile
strength 930 MPa (work material group 7) the following cutting
speeds: 70–130 m/min for tool material IC3028/830, 160–280 m/min
for IC8250, 110–190 m/min for IC9025, 200–320 m/min for IC8150,
and 220–340 m/min for IC5005/428. Walter recommends [46] for
turning of medium-carbon steels having hardness HB 150, tensile
strength 500 MPa (ISO material group P2) the following cutting speeds:
200 – 340 m/min for tool material WPV10, and 130–200 m/min for
WRV20. Kennametal recommends [47] for turning of low-carbon (0.3%
C) steel the following cutting speeds: 180–495 m/min for tool material
KCP05B/KCP05/KCPK05, and 180–460 m/min for KT315/KTP10.
Mitsubishi in its selecting standards [48] recommends for turning of
ISO P10 steel the cutting speeds 200–400 m/min for tool material
UE6105 and 150–400 m/min for MC6015. As can be seen, one can
select the cutting speeds for the same combination of work/tool
materials that differ two times. Moreover, the cutting feed and depth of
cut are not accounted for. As a result, trial-and-error testing is needed
to establish the cutting speed for the required tool life. Moreover, the
development and design of modern manufacturing plans and/or
production line require knowing the productivity, which directly
depends on the cutting speed and which define plant/line capacity, i.e.,
how many production machines are actually needed for the required
yearly program. In the author’s experience, billions of dollars are
simply wasted due to not knowing the exact machining regime with the
Taylor’s accuracy. The blame, unfortunately, goes to the end users of
cutting tools because they do not request the exact cutting data needed
to calculate productivity of machining operations.
2.5.4 Mechanistic Approach
There are two kinds of mechanistic approaches used, namely
mechanistic approach 1 (MA 1) and 2 (MA 2). The major difference
between MA 1 and MA 2 is the structure of the equation(s) for the unit
pressure (force)/power although both are mainly used in modeling of
the cutting forces in milling where the colorful kinematic and dynamic
equations completely mask the metal cutting foundations of these
approaches. The latter are normally just cited or mentioned by a few
words in the text keeping readers in dark on the matter. The metal
cutting foundations of MA 1 is extensively covered in the above-
mentioned literature souses and mostly used by the leading tool
manufactures so it is discussed only briefly in Sect. 5.4.1. As this is not
nearly the case with MA 2, the complete analysis of this approach is
discussed in this Sect. 5.4.2.

2.5.4.1 Mechanistic Approach 1 (MA 1)

Our search shows that the mechanistic approach in metal cutting,
which is actually practical application of the above discussed
approached to determine the cutting pressure (force)/energy, is used
as early as in 1928 by Salomon [49]. He presented the following
equation of the energy spent over one revolution of the milling tool

(2.71)

where D is the diameters of the milling cutter, λ1 is a constant

dependent on the work material and tool rake angle, b is the width of
milling, t is the depth of cut, Sn is the feed per one revolution of the
milling cutter, z is the number of teeth of the cutter, k is the constant for
a given work material.
Salomon was probably the first who used variable cutting pressure
(force) as a function of the uncut chip thickness, i.e.
(2.72)

where KS is unit cutting pressure, kg/mm2, Se is the instant uncut

chip thickness, mm, k is a work material constant, Sz is the feed per
tooth, mm/z, ψ is the location angle of the considered tooth.
In his work, Salomon offered the following formula for KS for steels
of intermediate hardness

(2.73)

so that k = 0.28.
To understand the essence of Eq. (2.73), the equation for the power
component of the cutting force, Pc obtained by Cheluskin [26] can be re-
called
(2.74)
where Cp-c is the constant, which depends on the work material, b is
the width of cut, hD is the uncut chip thickness, n is an exponent. The
test results by Taylor and Cheluskin conclusively proved that n = 0.75
for steels of intermediate hardness.
Expressing the undeformed chip width and its thickness through
the depth of cut and cutting feed as and
(where ap is the depth of cut and κr is the cutting edge angle in the
modern standard designations) and then substituting these results into
Eq. (2.74), one can obtain

(2.75)

When κr = 90°, Eq. (2.75) becomes

(2.76)

Therefore, the unit cutting pressure is

(2.77)

The values of Cp-c for common steels are shown in Table 2.10 [50].
Comparing Eqs. (2.73) and (2.77) (and also accounting the data shown
in Table 2.10), one can see their practically full resembles. In other
words, Eq. (2.73) is valid only when κr = 90° and the depth of cut ap is in
power 1. Although it is true for the power component of the cutting
force, Pc, it is not quite so for other two components of the cutting force,
namely for the back force, Pp and the feed force, Pt [50]

(2.78)

(2.79)

Table 2.10 The values of Cp-c for common steels

Steels, the ultimate tensile strength, Cp-c Cp-p Cp-t

kg/mm2 kg/mm2 kg/mm2 kg/mm2
35 140 19 27
55 165 42 67
75 200 67 125

The values of Cp-p and Cp-t for common steels are shown in Table
2.10 [50].
Some modern researchers think that “Mechanistic models enable
quick cutting force computation. These models are based on Martellotti’s
idea [51, 52] that the cutting force is proportional to the uncut chip
thickness and the specific cutting force (also called the cutting force
coefficient).” [53]. It is not true even to the first approximation. Boston
in the discussion of Martellotti’s paper (page 695 in [51]) pointed out
that the kinematic aspect of the milling, i.e. the analysis of the actual
curvature of travel by the tool point, was previously made in the papers
by Salomon [49] and Sawin [54]. The use of the average thickness of
(uncut, auth.) chip (known as the average thickness of cut or A.T.C.) for
energy determination was previously done by Persons [55]. Boston
discussed that the use of A.T.C. is not a good criterion for energy
calculations. Rather, a formula for energy, E in milling should have the
following structure
(2.80)
 where C is a constant, w is the width of cut, f is the feed per chip
(feed per tooth, auth.), d is the depth of cut.
In his paper [56], values for C, x, and y were determined for a wide
range of the work materials for a milling cutter with the rake angle of
15°. For example, for unleaded brass (50-A)
(2.81)
C = 6040 when cutting up and C = 5171 when cutting down. Note
that w and d are in inches, f is in inch/chip.
Boston pointed out that Eq. (2.80) holds only for energy in milling,
but for the torque and thrust in drilling, and cutting force in turning
(page 697 in [51]) Note that the structure of this formula fully
resembles Eqs. (2.76), (2.78), and (2.79). Unfortunately, the subsequent
researches on the mechanistic approach did not follow the discussed
Boston finding about the A.T.C. and structure of the formulas for
specific cutting forces/energies. For example, in the work by Fu, DeVor
and Kapoor [57], the specific cutting force is still related to the average
A.T.C. as

(2.82)

where KT is the specific cutting pressure, Kr is an empirical constant

relating radial forces to tangential forces, average undeformed chip

thickness (average A.T.C.)

2.5.4.2 Mechanistic Approach 2 (MA 2)—The Fundamental

Idea and Modern Studies
The father of MA 2 is Armarego, who in 1967 [58] presented the basic
of MA 2. He provided better explanations for the foundations of this
approach 33 years later [59]. Armarego suggested that, in order to
reflect the real situation in cutting, the equation/formula for the cutting
force should include two terms. The first term should be responsible for
the force(s) on the tool rake face while the second one should reflect
the force on the tool flank face due to the processes on the flank face of
the cutting edge. Using this consideration, Armarego suggested that the
power component, Fp and the radial component, FQ (the back force, Fr is
the modern ISO designation) of the total cutting force are represented
as
(2.83)

(2.84)
where Kcp and KcQ are corresponding unit forces, h is the uncut chip
thickness, b is the uncut chip width, A is the uncut chip cross-sectional
area, Cep and CeQ are the edge coefficients for the given tool-workpiece
material combination.
Analyzing the structure of these equations, one can see that their
first term is the cutting coefficient multiplied by the uncut chip cross-
sectional area, i.e., fully resembles the above-discussed equation by
Wiebe (Eq. (2.1)). The second term is considered by some as
controversial (e.g. in [60]). According to Armarego, the ‘edge’ forces on
the flank face, Cep and CeQ are constants for a given work material so
that the force on the flank face can be accounted for multiplying these
constants by the (active, auth.) length of the cutting edge.
According to Armarego, Cepb and CeQb are “concentrated edge forces
due to rubbing and ploughing which were proportional to the width of
cut b but did not affect the deformation and associated shearing and
friction processes where both the friction angle β and shear stress τ were
also independent of the cut thickness h and width of cut.” These forces
were called by Armarego as ‘additional intercept forces.” He did not
explain in any of his publication how to obtain these forces.
As “ the intercept forces” exist only when “both the friction angle β
and shear stress τ were also independent of the cut thickness h and width
of cut,” Armarego for years presented the same supporting results of his
experiment done in early 1960th shown in
Figure 2.11 [58]. Note that in year 2000, the caption of this figure
became as “Effect of h and b on the forces and shear angle in ‘classical’
orthogonal cutting operations,” [59] i.e. was generalized with no
indication of conditions under which it is possible.
Fig. 2.11 Influence of the undeformed chip thickness on: (a) force per unit width for single-
edge orthogonal cutting, (b) the shear angle. Tool: 18–1-1 H.S.S. with a 15° rake angle. Work
material: aluminum alloy 655T6. Dry cutting

Looking on the data presented in Fig. 2.11, a specialist in metal

cutting should ask a reasonable question about the independence of the
shear angle on the uncut chip thickness as it is in the direct
contradiction with the basic equations of the single shear plane model
used by Armarego and the modern followers of his approach. The
essence of this contradiction is explained as follows. According to this
model, the shear angle is calculated as

(2.85)

where γ is the rake angle and ζ is the chip compression ratio, i.e., the
ratio of the chip thickness, hC to the uncut chip thickens, hD.
It follows from this equation that the shear angle directly depends
on the chip compression ratio. Multiple known experimental results,
e.g. by Zorev [18], Astakhov [61], confirm this dependence. For
example, Fig. 2.12 shows examples for two steels [61]. As can be seen,
the chip compression ratio depends on the cutting feed so, because the
undeformed chip thickness is calculated as where f is the
cutting feed, mm/rev, and κr is the cutting edge angle, it directly
depends on the uncut chip thickness. Therefore, according to Eq. (2.85),
for a given rake angle, the shear angle depends on the uncut chip
thickness as it follows from the theory and practice of metal cutting. It
implies that the data shown in Fig. 2.11 are in direct contradiction to
the commonly known results.

Fig. 2.12 The chip compression ratio vs. cutting speed for different feeds a work material—
steel AISI 1030, tool material—carbide P20, rake angle γn = 10°, cutting edge angle κr = 60°,
depth of cut ap = 2 mm, b work material—tool steel H13, tool material—carbide M10, rake
angle γn = -10°, cutting edge angle κr = 60°, depth of cut ap = 2 mm

The revealed contradiction can be explained based upon the theory

of metal cutting and available experimental results. The conditions for
which the cutting force on the flank face is independent on that on the
rake face, and thus the uncut chip thickness does not affect the shear
angle were first discussed by Rozenberg [62] and later by Zorev [18].
Rozenber and Eremin on page 54–55 of their book [62] discussed that
the graph as shown in Fig. 2.11a can be obtained only when the
temperature on the tool rake face is kept unchanged. This condition
was maintained by changing the cutting speed for each experimental
point. Artamonov et al. [63] discussed that the cutting speed and uncut
chip thickness affect the chip compression ratio only to the extent to
which they affect the temperature over the rake face. Figure 2.13 shows
an example of their experimental results. To keep the temperature of
the rake face invariable, the cutting speed when the cutting angle δ =
91° (90° – γ, where γ is the tool rake angle) was varied from 23 m/min
when hD = 0.51 mm to 120 m/min when hD = 0.04 mm.
Fig. 2.13 The dependence of the chip compression ratio on the uncut chip thickness when the
temperature of the rake face is kept invariable. In this picture δ = 90°—γ is the cutting angle
(vide Sects. 3.2.2 and 3.2.3). Work material—steel 5120, cutting edge angle κr = 90°, cuting
speed is not constant, the rake face temperature is constant

The next issue to discuss it “the intesept force” as termed by

Armarego (page 31 in [59]) and considered as the invariable flank
forces. Rozender and Eremin [62] discussed that when the temperature
of the rake face is kept constant, the dependance of the cutting and back
forces on the uncut chip thinness are expressed by straight lines. They
argued that if there were no forces on the flank face, these lines would
start from the coordinate origin. As their test results showed that they
are not, Rozenberg and Eremin assumed that by the conditionally
continuing (i.e., by extrapolation) these lines to the vertical axis where
hD = 0, one can obtain the corresponding forces Fc-0 and Fp-0 on the tool
flank plane in the manner shown in Fig. 2.14. The word ‘extrapolation’
is actually used by the proponents of the Arnarego force consideration,
e.g. by Altintas “edge forces can be identified by extrapolating the
measured forces at zero cut thickness (h = 0) intercept” [64], because
these lines never actually intersect the vertical axis in reality so there is
no ‘intersepts” of these lines with vertical axis.
Fig. 2.14 Forces Fc-0 and Fp-0 on the tool flank plane obtained by extrapolations

As can be seen, forces Fc-0 and Fp-0 do not depend on the uncut chip
thickness so Rozenberg and Eremin suggested that these forces do not
depend on the conditions on the tool rake face, including the uncut chip
thickness under the discussed condition of the invariable temperature
on the tool rake face. Moreover, Rosenberg and Eremin found that these
forces very small compared to other forces. They suggested that when
ratio of the depth of cut, ap to the cutting feed, f is greater than 5, i.e.
ap/f ≥ 5 (which is rather normal for common machining operations),
these forces can be safely ignored. The later condition was totally
unnoticed by further reseaches.
In real cutting, the force on the flank face does depend on the uncut
chip thickness. This can be easily demonstrated as follows. If one
assumes that this force is constant for a given work material and rake
angle (as suggested by Armarego), i.e., it does not depend on the uncut
chip thickness then, under some invariable cutting speed, the tool flank
wear should not depend on the uncut chip thickness as the force and
speed are constants. It is not nearly the case in reality. Figure 2.15
shows a typical example. As can be seen, the flank wear does depend on
the uncut chip thickness. Moreover, this dependence is highly nonlinear.
The reason for that is explained with multiple examples by Astakhov
(Sect. 4.3.2 page 243 in [61]).

Fig. 2.15 Influence of the cutting feed, f on the flank wear land, VBB. Work material—AISI steel
4320, cutting speed v = 200 m/min, depth of cut ap = 2 mm, tool material—carbide P20, cutting
time – 10 min

Continuing with the Armarego’s approach, Altintas developed this

approach for years. The methodology and obtained results are
summarized in [64, 65]. Altintas stated that the cutting coefficients to
be used in Eqs. (2.83) and (2.84) can be found from orthogonal cutting
tests. According to Altintas: “When these coefficients are found from the
slope or trend of the force measurements, the method is called
mechanistic modeling. When the cutting force coefficients are evaluated
from the shear stress, shear angle, and friction angle, the method is based
on the micro-mechanics of orthogonal cutting. The mechanics approach
relates the basic material property, friction and tool geometry directly to
the magnitudes of cutting forces. Depending on the material behavior
during machining, the three orthogonal cutting parameters (τs, ϕc, μa)
may vary with the cut thickness (h), cutting speed (V) and rake angle (αr).
In order to cover wide range of cutting conditions, the orthogonal cutting
tests must be conducted at a range of cutting speeds, feeds and rake
angles. The orthogonal parameters can be curve fitted to empirical
expressions to cover the range of cutting conditions used in experiments.”
 There are two problems with the suggested way of the
determination of the cutting coefficients. The first one is a great
number of orthogonal cutting test is needed, special equipment and
high qualification of an experimentalist are required. For example,
Altintas pointed out that that “180 orthogonal cutting tests conducted
using tungsten carbide (WC) cutting tools and Ti6Al4V titanium alloy
work material.”[65]. In each test, the evaluation of the shear angle,
average friction angle, and shear yield stress should be carries out
using the results of the force and chip geometry measurements. Then,
unjustified assumption should be adopted: the orthogonal shear angle
is equal to the normal shear angle in oblique cutting; the normal rake
angle is equal to the rake angle in orthogonal cutting; the chip flow
angle is equal to the oblique angle by adopting Stabler’s chip flow rule;
the friction coefficient and shear stress are the same in both orthogonal
and oblique cutting operations for a given speed, uncut chip thickness,
and tool–work material pair.
The second problem is more serious: calculations of the cutting
coefficients using the experimental data obtained in orthogonal test are
carried out using the single-shear plane model which is inadequate to
any real cutting process even to the first approximation [66]. This
model suffers from two major flaws described as follows.
The model, considered by Altintas, assumes that the shear force
considered as the product of the shear stress and the area of the shear
plane is the prime work material resistance characteristic in cutting.
Therefore, the process of metal cutting is considered as a process of
plastic deformation of the work material totally ignoring the classical
studies as by Time [4], Reuleaux [67], Taylor [9], Nicolson [11], Okoshi
and Fukui [12] etc. and modern publications by Atkins [68–70],
Astakhov [61, 71, 72], Sidjanin and Kovac [73] Williams et.al. [74, 75]
etc. which defined metal cutting as the purposeful fracture of the work
material. In modern modeling of metal cutting, material representation
is carried out using the so-called constitutive models with a
degradation/damage part considering the influence of strain
hardening, strain rate, temperature and state of stress, which includes
influence of the stress triaxiality and Lode parameter in the material
plasticity. For example, instead of 180 orthogonal cutting tests
conducted using tungsten carbide (WC) cutting tools and Ti6Al4V
carried out by Altintas for the characterization of titanium alloy
TiaAl4V in metal cutting, a much smaller number of tests are needed
for this material and no unreasonable assumptions needed when test to
determine the coefficients constitutive model using specially designed
test specimens are carried out for this work material. Using such a
model, one can carry FEM simulations of practical machining
operations within a wide range of cutting parameters obtaining the
needed outcomes [76, 77].
In the single-shear plane mode used by Altintas in his equations for
the calculations of the cutting coefficients, the constant friction
coefficient over the tool-chip interface is used. He suggested that this
coefficient, μ can be calculated using the measured cutting Fc and back,
Fp forces in an orthogonal cutting test as follows (Eq. (2.4) in [64])

(2.86)

As pointed by Kronenberg [15] with relation to Eq. (2.86), “…the

coefficient of friction increases with increasing true rake. Such
relationship is – in my opinion – just the opposite of what would be
expected.” Further, Kronenberg pointed out: “For this and other reasons
discussed later I do not agree with the commonly accepted concept of
coefficient of friction in metal cutting…” Then he explained why the
determination of the friction coefficient through the ratio of the cutting
forces in the manner suggested by Eq. (2.86), and thus used by Altintas
and many others is incorrect.
As presented and explained by the author earlier [61], in most
engineering and physical situations, friction effects at a tribological
interface are described by a constant coefficient of Coulomb friction μf,

(2.87)

where N is the normal force acting at the contact interface and F is

the frictional force at this interface.
Although it is well established that contact between the two bodies
is limited to only a few microscopic high points (asperities), it is
customary to calculate the stresses by assuming that the forces are
distributed over the total (apparent) contact area. Such an
approximation, however, is not far from reality in metal cutting, where
the actual and apparent contact areas are practically the same due to
extremely high contact pressures [61]. If it is so, the numerator and
denominator of Eq. (2.87) can be divided over the tool–chip contact
area, Ac and then, recalling that the mean normal stress at the interface
is σc = N/Ac and the mean shear (frictional) stress at the interface is τc =
F/Ac, one can obtain

(2.88)

Equation (2.88) reveals that if the friction coefficient at the tool–

chip interface is constant as assumed in the single-shear plane model,
and thus used by Altintas then the ratio of the shear and normal
stresses should be the same along the entire contact length. In reality it
is not so even to the first approximation. As discussed in ANY textbook
on metal cutting including the Altintas book (Fig. 2.2 in [65]), the
distributions of the normal and shear stress at the tool chip interface
are as shown in Fig. 2.16a (knows after Zorev [18]). The problem is that
the shown qualitative distributions of the normal and shear stress are
often drawn in books and paper using imaginations of various authors
so that the envelope of shear stress distribution often crosses that of
the normal stress (Fig. 2.2 in [65]), which is impossible. To clarify the
issue, Fig. 2.16b shows an example of experimental study where the
stress distribution was actually measured using a split-tool design. As
can be seen, the value of the normal stress is always higher than that of
the shear stress over the whole contact length lc. It is interesting to
mention that a similar result was obtained first in 1933 by Okoshi and
Fukui [12] using photoelastic tests.
Fig. 2.16 Distributions of the normal and shear stresses over the tool-chip contact surface
(interface): a Qualitative curves after Zorev, and b Example of experimental results

2.6 Discussion and Conclusion

Although many years have passed since Wiebe introduces his formula
for the cutting force calculation (Eq. 2.1) and billions of dollars
worldwide spent on metal cutting research, the current state of the art
is not that far from this formula according to which there is a certain
material property constant to be used in such calculations. The above
considerations show that this constant is sometimes modified by the
actual uncut chip thickness, rake angle, and sometimes the cutting
speed whereas the other vitally parameters of particular cutting
operations (i.e., the tool material, cutting edge and its inclination
angles) are ignored.
Armarego believed that his approach resulted in the development of
new cutting models, “capable of predicting all the force components,
torque and power for all the machining operations as well as the chip
flow angle, components geometrical deviations on errors and
“theoretical” surface roughness…” [59]. He suggested that further
research should be focused on the development of the databases for the
wide variety of tool-workpiece materials used in practice. These
databases should be then used in relabel predictive models for tool life.
He concluded that “This ‘Unified-Generalized Mechanics of Cutting
Approach’ can therefore be seen as a first step towards the development
of a ‘House of Predictive Models’.” In other words, he essentially
proposed to run a worldwide program similar to that carried out by
Taylor. One should recall that Taylor spent more than 25 years only for
rough turning operations using handful of the developed cutting tools
and rather limited number of work materials (compared to many-
thousand types/grades of work materials used today).
The major problem with the above-discussed approaches is that
there are too many variables involved. Denkena and Tonshoff in their
book “Machining Basics” [78] pointed out that the general functional
relationship between the specific cutting force and the influencing
variables is written down to
(2.89)
where kc0 is the specific internal force, which is valid for fixed
reference values of the influence parameters h, b, γ, vc, μ (coefficient of
friction) etc. Ψ0 is a function that describes the influences of these
parameters and the interactions between them. Ψ0 is dimensionless.
It follows from Eq. (2.89) that, for accurate determination of the
cutting force, millions tests should be carried out for thousand work
materials and cutting tools to determine function Ψ0 to be used in
practice. It is clearly unfeasible so that, in the author’s opinion, this
activity should be abolished.
In the author’s opinion, one of the most feasible ways to go with
modeling of metal cutting is the proper utilization of the final element
method (FEM). With the evolution of computer science, numerical
methods such as FEMs are used in many complex engineering
applications. These FEMs are often used as an alternative to very costly
experimental methods. As pointed out in [79], FEM is already used in
fields such as mechanical and civil engineering, crash analysis and
biomechanics, allowing an investigation of local strain and stress. In car
crash analysis where large stresses, great deformations, high strain
rates, fracture, complex interfacial interactions and so on are involved,
FEM became an engineering design tool, which saved a lot of time and
billions of dollars in the development/design new vehicles [80].
Numerical modeling of using FEM seems to be an attractive
alternative to actual testing in manufacturing. Until ten years ago, the
design of metal-forming tools and processes was mostly based on
knowledge gained through experience, and designing of optimum tools
often required a protracted and expensive trial-and-error testing.
Today, even in the earlier phases, simulations of the forming process
are carried out using FEM analyses. The most important goals of using
FEMs are the verification of manufacturability of the sheet metal parts
and obtaining vital information on the optimal tool design. As a result,
great savings have been achieved due to the introduction of process
simulation in metal forming. These savings originate from rapid
development of tools and from dramatic shortening of trial-and-error
testing. Tool development and production time have been reduced by
about 50% due to the usage of simulations. The simulation of forming
tool has already reached the stage where its results can be fed directly
into the press tool digital planning and validation process. Thus, today,
starting from the design model and through practically all process steps
(as far as the actual design of the press tool), the production of a
component can be fully simulated before a first prototype is built [81].
It is clear that FEM simulation in metal cutting is not nearly as
readily utilized as it is in metal forming although metal cutting process
is often thought of as a metal-deforming process [30, 31]. It appears as
a surprise for many specialists because the two most essential inputs to
any FEM simulation of metal shaping processes, namely the work
materials’ behavior model under deformation (known as the
constitutive model) and friction model to describe contact conditions
over the workpiece–tool interfaces, are the same for both forming and
metal cutting, whereas practical significances of the modeling results
are drastically different.
The latter is particularly surprising because the commercial FEM
packages designed especially for metal cutting modeling/simulations,
for example, Abaqus, Deform2D, Thirdwave AdvantEdge, and others are
readily available in the marketplace. One may wonder why these are
not implemented in the numerous computer-aided manufacturing
(CAM) commercial packages similar to, for example, MasterCAM
software, to visualize the material removal sequence, so the kinematic
and physical modeling of the machining operation can be carried out in
planning of metal cutting operations as it is carried out in metal
forming. Moreover, thousands (and still counting) of papers and many
books on FEM in metal cutting are published in various countries do
not seem improve the practical use of FEM in this area. One may
wonder what seems to be the problem(s)?
The major problem, as the author sees it now, is that any FEM is a
formal computational method which results fully depend on the
authenticity of the information one puts in it in the form of input data.
A deceiving feature of FEM modeling is that no matter how improper is
the input information, one always has the result often represented in
colorful, seems to be a ‘realistic’, picture. This is popularly expressed
with the acronym “GIGO,” or “garbage is, garbage out.” Therefore, the
development of relevant FEM to be used in practice, specialists in metal
cutting and in numerical analysis should work together. Then, the
developed product is adjusted for the practical use by tool
design/process engineers in various manufacturing companies.
Astakhov [82] and Astakhov and Outeiro [2] provided more
information on the matter. To make the use of FEM in metal cutting at
the same level as in the design of forming tools and forming operations,
the following four equally important items should be addressed,
developed, and used.
The first one is a clear practical objective(s) of the results. It is to say
that the obtained results should be at least of the same level of
usefulness as those in the design of metal forming tools and operations.
Obtaining the stress, temperature, strain and other outputs that also
often set as the objective of the study or even of simulations cannot be
considered as the final result because no one really knows what to do
with the data obtained [82]. Tool life optimization, increased
productivity, improved quality including surface integrity and so on
should be considered as the proper objective of FEM modeling if this
modeling is considered as an engineering tool.
 The second is a fracture model of metal cutting. Model of metal
cutting as the purposeful fracture of the layer being cut occurring due
to complex interactions of the tool, workpiece, and chip [4, 9, 11, 12, 69,
71] should be considered. In other words, the realistic model of metal
cutting accounting for the particularities of this process should be
always put ahead of any computational model so that the latter should
be developed to accommodate the former, not wise-versa as it is today.
As a result, the fracture properties of the work material obtained under
the state of stress, temperatures, and strain rate particular to metal
cutting should be considered in the testing and modeling of this
process. Numerical interpretation of the crack formation and
propagation should be addressed. Till recently, it was a great
computational issue. Nowadays, different options are proposed to
numerically model crack occurrence and propagation in ductile
fracture. The most noticeable are the phase field models. A
comprehensive review of such models of ductile fracture can be found
in [83]. For example, Ambati et. al. [84] introduced a new degradation
function that contains the equivalent plastic strain in an exponential
form. According to this approach, the material is degraded in strain-
localized regions so that the crack propagation is directly affected by
plasticity. Borden et al. [85] added the plastic strain energy along with a
plastic degradation function that depends only on the phase field
variable in the crack driving force. Therefore, this computation issue is
practically resolved with practical implementations in the FORGE®
package which is a finite element software specialized in material
forming simulation [86].
The third is a proper model of work material behavior. One should
realize that the metal cutting is not unique process where some
unknown properties, and thus behavior of the work material involved.
For example, the amount of plastic deformation is the same as in deep
drawing, the severity of the interfacial conditions and temperatures are
at the same level as in hot extrusion, and the strain rate is of the same
order as in die punching, etc. In other words, there is nothing unique
about metal cutting in terms of the properties of the work material that
can’t be accounted for.
Figure 2.17 depicts two typical true stress (σ)–strain (ɛ) responses
of a ductile metal in a uniaxial test ductile metals (Abacus 6.11 manual
[87]). The dashed line is a hypothetical undamaged stress–strain curve,
known as the flow curve. It is commonly used to represent the work
material behavior in metal forming. To restrict the strain, i.e. to set the
right limit for strain growth, the so-called forming limit diagrams are
used to assure save forming regions [88]. Note that in the vast majority
of FEM modeling of metal cutting use the same curve described by the
Johnson–Cook model with no restriction on strain growth. That is why
the obtained strains in such a modeling far exceed the strains found in
any material testing. Therefore, the first step towards the proper
modeling in metal cutting is to abolish completely the use of this
incorrect model.

Fig. 2.17 Typical true stress (σ)–strain (ɛ) response of a ductile metal in a uniaxial test

When fracture of the material is accounted for, the stress–strain

curve with progressive damage degradation (the damage curve) shown
by the solid line Fig. 2.17 is used (i.e. Abacus, vide Sect. 23.2.2 Damage
initiation for ductile metals in Abacus 6.11 manual [87]). As shown, the
damage curve follows the flow curve from point a to b. At point b, the
experimental yield surface starts to depart from the virtual undamaged
yield surface. The plastic strain at point b is marks the damage (D)
initiation. From this point on, both the elastic modulus, E and the
plastic flow resistance degrade with increasing strain (in Fig. 2.17, an
example is shown for point c). The macroscopic measured response
from point b to point d corresponds to microscopic damage evolution
till final fracture, , which is the plastic strain at fracture.

Although the use of damage curve instead of the flow curve in metal
cutting modeling (e.g. in [89]) is step forward, it is only a half way to the
proper destination. It is true that the area under the damage curve
represents the work done in plastic deformation and fracture of a unit
volume of the work material. As such, the fracture energy is

(2.90)

The problem is that this final fracture strain is assumed to be

independent of the stress state so here is no feasible way to reduce
strain at fracture and thus amount of plastic deformation is metal
cutting. In reality, it is not so. As discussed in [90], this strain, and thus
energy of plastic deformation are functions of the stress triaxiality, η
defined as

(2.91)

where σm is the mean stress, and is the equivalent stress.

Figure 2.18 shows the material (AISI steel 1045) fracture locus
obtained from the double-notched specimen experiment. The fracture
strain scalar values were calculated from the DIC (digital image

correlation) measurements for a number of specimens used in the

material characterization experiment. As expected, the amount of the
material plasticity is proportional to the stress triaxiality state. It can be
clearly seen that the amount of plastic deformation varies 5–8 times
with the stress triaxiality. This result clearly demonstrates the
importance of the stress triaxiality in ductile fracture modeling, and
thus the way to minimize the plastic deformation in metal cutting in the
manner discussed in [90]. Moreover, the real significance of the cutting
tool geometry parameters can be revealed [91].

Fig. 2.18 Fracture locus for steel AISI 1045 obtained using the developed double-notched
specimen

For the proper determination of the discussed damage curve and

fracture locus for a given work material, special test methodology
should be used in the determination of the model coefficients [76, 92].
The specially-designed test specimens and appropriate testing
procedure should be used should also be used [93].
The fourth one is a physics-based model of contact conditions over
the contact interfaces. This issue requires further development. A
mentioned above, the severity of the interfacial conditions and
temperatures are at the same level as in hot extrusion. The same can be
said about stamping, rolling, etc. Even in metal forming where FEM
modeling advances are obvious and of great practical significance, the
issue with the proper representation of the contact conditions is highly
debatable [94–96]. Some evidence-base models to approximate these
contact conditions are developed. The accuracy of the FEM modeling in
forming process does not suffer significantly as the impact of the
contact conditions is relatively small. The author’s analysis of the
evaluable experimental results summarized in [61] shows that the
contact processes at and contact conditions at the chip-rake face and
workpiece-flank face interfaces contribute up to 15% to energy
consumption in the cutting process although some exceptions is
possible when improper cutting tool microgeometry is used.
To address the issue associated with tool wear/tool life using the
FEM modeling, a considerably different approach to the determination
of the cutting speed based upon the energy passing through the cutting
wedge is developed [97]. According to this approach, for a given tool
material/geometry, there is a limited amount of such energy, taken as
the area under the above-discussed damage curve, that the cutting
wedge can sustain before reaching the selected criterion of tool life.
This limit is considered as the technical resource of the cutting tool.

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Footnotes
1 It is interesting to point out that all the papers by Friedrich on metal cutting and on gears
start with the word “Ueber” (about).

 
2 Arguing with Nicolson about the influence of the (uncut) chip thickness, Taylor wrote “We
have gone to great length in the paper to make it clear that it is the thickness of the chip which
is the main factor, in allowing high cutting speeds for tools with broad cutting edges. And yet,
Mr. Nicolson claims theta neither the thickness of the chip not the shape of the cutting edge of
the tool need to be particularly considered in the problem”.

 
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022
J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_3

3. Evolution of Additive Manufacturing

Processes: From the Background to
Hybrid Printers
I. Buj-Corral1   , A. Tejo-Otero1 and F. Fenollosa-Artés1, 2
(1) Department of Mechanical Engineering. School of Engineering of
Barcelona (ETSEIB), Universitat Politècnica de Catalunya,
Barcelona, Spain
(2) CIM-UPC, Llorens i Artigas, 12, 08028 Barcelona, Spain

 
  I. Buj-Corral
Email: irene.buj@upc.edu

Abstract
The Additive Manufacturing (AM) field is revolutionizing the industrial
sector in different areas such as automotive, aeronautics, medicine, etc.
Many patents about AM processes were granted at the end of the XXth
century. However, until their release, the use of AM was very limited,
mainly because of the high cost of the equipment. From that moment
on, many 3D printing technologies started to bloom and, along with it,
the commercialization of new 3D printers, including hybrid 3D printers.
They are defined as a combination of AM and subtractive technologies
within the same machine, but also as a merge of different AM
technologies. With all this in mind, the present chapter first presents an
overview of the different AM technologies, as well as the history of AM,
including recent advances. Then, the description of the possible future
trends with the use of hybrid 3D printers is discussed.
3.1 Introduction
The AM field is blooming and revolutionizing both the research and the
industrial sector in different areas, such as automotive or robotics. This
development has led to an improvement in the manufacture of new
specialised products and innovative devices, as well as an enhancement
in the quality of life. In the early years of additive manufacturing, it was
not even possible to imagine the possibility of 3D printing objects but
only prototypes. However, in recent years, this has not only changed
with the development of low-cost machines, but also because of the
customization of new 3D printing machines. These avantgarde 3D
printers are known as hybrid printers, which are defined as a
combination of additive and subtractive technologies within the same
machine. They perform hybrid additive-subtractive manufacturing
operations (HASM) [1]. Additive and subtractive technologies have
remarkable complimentary capabilities that, when combined, open up
a new whole level of both design and manufacturing. The first approach
of HASM consisted of combining additive technologies with subtractive
technologies; however, the future implies the combination of different
AM technologies within the same machine, and leaving apart
subtractive technologies for specific applications. For example, some
machines combine two different material extrusion technologies such
as FFF (Fused Filament Fabrication) with DIW (Direct Ink Writing) or
vat photopolymerization (VPP) with material jetting (MJT) techniques.
In fact, hybridization is one of the resources available in order to
increase the flexibility and efficiency of the manufacturing systems. In
general, it includes conventional and non-conventional processes,
according to the combination of different process mechanisms and/or
energy sources or tools with a positive effect on the properties of the
obtained parts [2]. In the machining field, hybridization integrates
different machining processes, for example in the milling and turning
opreations in the multi-tasking machines.
The first HASM system was released in Japan in the late 90s of last
century, combining the powder bed fusion (PBF) AM technology with
subtractive manufacturing in a vertical machining centre. Currently,
there is a commercial version of the hybrid machine, the LUMEX
Avance-25 by Matsuura, which employs a high-power laser for the PBF
printing and a high speed machining centre to finish the parts [3].
Another example of a hybrid additive/subtractive machine is the Mazak
VC-500 AM hybrid multi-tasking machine, which combines a 5-axis
machining centre with the direct metal deposition technique [4].
The main objective of the present chapter is to review the
background and history of AM processes, and to show the recent
developments about the relevant research carried out by the authors in
the manufacturing area, as well as its use in different fields: automotive,
electronics or medicine. Firstly, an overview of the AM technologies is
outlined as well as an explanation of each of them. Next, the
background and first patents in this field are introduced. Then, the
different hybrid 3D printers commissioned are discussed: (1)
explanation of the machine, (2) outcomes, (3) advantages and (4) case
studies. Finally, the forecast of possible future trends in this field is
presented.

3.2 Classification of Additive Manufacturing

Processes
ISO/ASTM 52,900 Standard [5] divides AM technologies into seven
categories: binder jetting (BJT), directed energy deposition (DED),
material extrusion-MEX-(which includes FFF and DIW), material jetting
(MJT), powder bed fusion -PBF- (which includes SLS-Selective Laser
Sintering- and SLM-Selective Laser Melting-), sheet lamination (SHL)
and vat photopolymerisation (VPP) (which includes SLA-
stereolithography). A brief definition and application examples of each
category are presented next:
BJT is an AM technology process in which a binding agent is
deposited onto the powder material so as to bind the particles. It is
applied, for example, to manufacture sand moulds and cores in the
sand-casting industry [6].
DED uses an energy source (electron, laser beam or electric arc) that
is directed to the material either in the form of powder or wire with
the aim of melting the materials while they are being deposited. It is
employed, for instance, to repair metallic automotive and aerospace
components [7].
MEX by DIW, designated as MEX-DIW, is a 3D printing technique in
which 3D structures are manufactured by forcing an ink through a
nozzle, using pneumatic, piston or screw dispensing, in layer-upon-
layer stages. MEX-FFF, is a process that uses a continuous filament of
a thermoplastic material such as PLA (PolyLactic Acid), ABS
(Acrylonitrile Butadiene Stirene) or PVA (Polyvinyl Alcohol) among
other, which is heated and dispensed through a nozzle. Material
extrusion processes have several biomedical applications, for
example the manufacture of surgical guides or medical devices in
plastic material [8].
MJT is an AM technology in which droplts are jetted onto a build
platform. There are three main types of material jetting processes,
namely the Polyjet technology, the NanoParticle Jetting (NP) and the
Drop-On Demand (DOD) process. As an example, the Polyjet
technology uses a liquid photopolymer that is jetted onto a base and
immediately cured with UV light. The MJT technique is used, for
example, to manufacture circuit boards [9].
PBF can manufacture both plastic parts through SLS or metallic parts
by means of SLM. On the one hand, SLS uses a heat source in order to
manufacture 3D objects layer-by-layer from plastic powder. Once a
layer is deposited the heat source sinters the particles. On the other
hand, SLM uses a scanning laser or an electron beam with the aim of
melting different layers of metallic particles to produce the 3D
printed part. These techniques allow printing, for example, titanium
alloy implants [10]. Another common PBF technique is Electro Beam
Melting (EBM), in which metallic particles are fused with an electron
beam instead of a laser source.
Sheet lamination (SHL), also known as Laminated Object
Manufacturing (LOM) consists of the manufacture of 3D objects by
stacking and laminating thin sheets of material. The lamination can
be carried out with the help of different processes such as bonding,
ultrasonic welding or brazing. It is used, for instance, to manufacture
glass ceramic substrates [11].
Vat photopolymerization (VPP) provides 3D printed parts using a
laser technology solidification process, through targeted light-
activated polymerization, of a liquid resin. Stereolithography (SLA) is
employed, for example, to manufacture injection moulds [12].
3.3 First Patents
3.3.1 The Background of AM
The base of additive manufacturing processes comes from both photo-
sculpture and topography [13]. As for photo-sculpture, in 1860, the
sculptor François Willème developed and obtained a French patent
about a system with 24 equispaced cameras around an object. The
obtained photographs allowed to trace 24 profiles of the object on
wood, by means of a cutter attached to a pantograph. This system is
known as photo-sculpture. In 1864, he filed US patent 43822A about a
similar idea [14]. In 1901, Carlo Baese di Castelvecchio [15] applied
graduated light to a photosensitive gelatin. Then gelatin rings were
joined to obtain an object.
Regarding topography, in 1892, Joseph E. Blanther invented a
method to obtain topographical maps by means of stacking of wax
plates, each one of them cut along the contour lines with a different
shape [16]. Later, in 1940, Víctor Perera used a similar method to
obtain reliefs by cutting contours on cardboard sheets, and then
stacking and pasting them [17]. Eugene E. Zang refined the approach
using transparent plates with topographical data on them instead of
cardboard [18]. Theodore A. Gaskin developed a topographical teaching
device for a land mass in 1973 [19]. In 1976, K. Matsubara used photo-
hardening materials to obtain the layers of the topographical map [20].
The same year, Paul L. Dimatteo produced pieces with difficult shapes
by means of stacking layers. The contours were milled from metallic
plates. The layers were joined by means of adhesion, bolts or tapered
rods [21]. In 1979, Mizugaki et al. used the lamination technique to
obtain a blanking tool [22]. He later developed different kinds of tools
with the same technique.

3.3.2 The 50s of the XXth Century

Regarding additive manufacturing techniques, in 1951, Otto John Munz
[23] invented a system that is comparable to modern stereolithography,
in order to photo-record phenomena in a recording space filled with a
photosensitive material. The system was called photo-glyph recording,
and consisted of a container filled with a photosensitive material, in
which a shape was recorded by photographic means.
3.3.3 The 60s of the XXth Century
In the 60s of the XXth century there was another early attempt to create
something similar to the stereolithography technology. The idea was to
solidify a photopolymer resin by intersecting two laser beams. The
resin had been developed by DuPont in the 50s. This was first
mentioned in 1960 at the Battelle Memorial Institute [24].
In 1968, Wyn Kelly Swainson patented a system to produce a 3D
figure with holography. The system also used two laser beams [25].
Later, he launched the company Formigraphic Engine Co. and
developed the technology, although it was never commercialized.

3.3.4 The 70s of the XXth Century

On 3rd October 1974, David E. H. Jones wrote in his column named
“Ariadne”, in the magazine New Scientist, about the idea that lots of
liquid monomers could be polymerized by using UV light to create a
solid object, introducing in this way the concept of 3D-model and
polymeric resin tank.
In 1977, the Dynell Electronics Corp launched some patents about
solid photography. It consisted of a laser that was controlled by a
computer and was capable to create a 3D object [26]. In the following
years the company merged with others and changed its name. Its
activity stopped in 1989. The same year, the company Formigraphic
Engine Co. patented an apparatus to obtain three-dimensional objects
from the application of two lasers on a photosensitive medium [27].

3.3.5 The 80s of the XXth Century

In 1981, what is considered to be the first layer-by-layer approach to
manufacture was proposed by H. Kodama in the Nagoya Municipal
Industrial Research Institute of Japan. It was a single-beam laser curing
approach, in order to polymerize a photosensitive resin with UV light.
However, he did not patent his work.
In 1982, Alan. Herbert, who worked in the 3M Graphic Technologies
Sector Laboratory, [28] described a technology that applies an argon
ion laser beam to a resin vat using a system of mirrors to create small
basic objects [28]. The company decided not to commercialize the
design.
 In 1984, Willam. E. Masters, an American entrepreneur, filed a
patent under the name “Computer Automated Manufacturing Process
and System” [29], in which he described that a part could be designed
on a computer, which would generate a data file of the coordinate
information of the part. The same year, a group of French inventors
formed by Alain Le Méhaute et al. prepared another patent explaining
the stereolithography process. However, because of lack of funds they
abandoned the project and did not formalize the patent. Finally, the
same year Charles W. Hull filed the patent “Apparatus for production of
three-dimensional objects by stereolithography” [30], in which he
explained the system operation about a computer-controlled beam of
light that photo-hardens a series of cross sections.
In 1986, Hull co-founded the company 3D Systems Inc. with
Raymond Freed. The company released the SLA-1 printer, which was
the first commercial one.
In 1988, Carl Deckard and Joe Beaman from the Texas University
patented the Selective Laser Sintering (SLS) technology [31]. They
started up their own company under the name DTM to commercialize
SLS machines. In 2001, 3D Systems acquired DTM.
In 1989, Scott and Lisa Crump founded Stratasys in order to
commercialize the fused deposition modeling (FDM) process, also
known as fused filament fabrication (FFF) [32]. Later, Stratasys
purchased IBM’s rapid prototyping intellectual property. Also, Stratasys
had a partnership with Hewlett Packard (HP), acquired Solidscape and
has subsidiary companies like MakerBot and GrabCAD among others.
The same year, Langen founded the company Electro Optical
Systems (EOS). Some years later, the company delivered its first printer
called STEREOS 400, which used the SLA technology.

3.3.6 The 90s of the XXth Century

In 1994, EOS GmbH (Electro Optical Systems), founded by Hans J.
Langer and Hans Steinbichler, launched the first European SLS machine,
EOSINT P 350, for plastic prototypes. Thus, it became the first company
in the world to develop both SLS and SLA machines. In 1995, the
EOSINT M 250 was introduced in order to manufacture rapid tooling
with the DMLS (direct metal laser sintering) technology [33].
 In 1995, the selective laser melting (SLM) process was developed by
the Fraunhofer ILT Society together with Dieter Schwarze and Matthias
Fockele. A patent was filed about this process in 1996 [34].
In 1999, the first organ was obtained in a laboratory, specifically
urothelial and muscle cells were seeded on a bladder-shaped scaffold
by the Wake Forest Institute of Regenerative Medicine. The scaffold was
covered by the patient’s own cells, in order to avoid rejection, and then
implanted. The work was published in 2006 [35].

3.3.7 The 2000s

In 2003, the first functional solid organ was printed by the Wake Forest
Institute, a small kidney, which filtered blood and produced urine in an
animal model [36]. The same year, Arcam launched the first commercial
EBM machine.
In 2005, Dr. Adrian Bowyer from the University of Bath (United
Kingdom) founded the RepRap project, in order to obtain printers
which allowed printing many of their components. During this year, Z
Corporation launched the Spectrum Z510, which is considered the first
high resolution 3D printer capable of 3D printing pieces of different
colours [37].
In 2006, the SLS patent expired. That year, the Fab@Home project
from the Cornell University in New York (United States) allowed the
massive use of a multi-material printer.
In 2008, the first 3D printed prosthetic leg was additively
manufactured. Although before this year prosthetic legs had already
been 3D printed, they were obtained by assembling different parts.
However, by 2008 the first full prosthesis was developed in a single
piece. This became a great innovation in the medical sector.
Additionally, the quality of these prostheses increased rapidly due to
the use of 3D scanners.
In 2009, the FDM patent expired. That allowed both people and
companies to use this technology without having to pay for the rights.
This fact enabled the FDM process to expand while the prices of the
machine dropped [37].

3.3.8 The 2010 and 2020s

In 2010, Organovo, using the NovoGen technology developed by Dr.
Gabor Forgacs from the University of Missouri, produced the first fully
bio-printed blood vessels [37].
In 2011, the first car with a 3D printed body, Urbee, was reported to
be printed by Kor Ecologic. The same year the first 3D printed plane
was obtained at the University of Southampton. The same year, a
project by the University of Exeter and the Bruel Univeristy adapted an
inkjet style 3D printer to obtain chocolate parts [37].
In 2012, the first 3D printed jaw implant was obtained in titanium,
which was designed by Jules Poukens of the BIOMED Research Institute
of Belgium and the company LayerWise [38].
In 2019, 3Dirigo manufactured a 3D printed boat of 7.62 m long and
2.2 tons in weight.
In 2014, NASA 3D printed the first object in the space. Due to space
limitations, during space travel is not possible to bring everything that
might be needed at any given time. In this way, 3D printing technology
allows the printing material to be transformed into the pieces that are
needed at that specific moment.
The same year, Hewlett Packard entered in the 3DP market with his
new printer, the Multi Jet Fusion (MJF).
Around 2015 the first 3D printed houses were manufactured in
Europe, using big printing machines. Some experts claim that they are
not really 3D printers but big robotic arms with a material extruder.
In 2017, Adidas launched the first sneakers of its brand that
incorporate 3D printing technology. Specifically, they associated with
the company Carbon 3D and used printers based on the
photopolymerization technology.
Finally, due to the sanitary crisis that took place in 2020, 3D
printing appeared allowed to fight against Covid-19. With AM
technologies, different medical devices were manufactured for
protecting both hospital workers and the population. For example, face
masks or door openers. Additionally, it was used also for 3D printing
parts of a respirator.

3.4 Towards Hybrid 3D Printers

The development of the different AM processes towards hybrid 3D
printers came in hand with the necessity of society, industry, and
research of finding more suitable objects. Hybrid 3D printer solves the
problem of manufacturing only mono-material objects for certain
applications that require multi-materiality, because of the complexity of
the parts and in order to enhance their functionality [39]. Additionally,
another problem is also addressed, which is the possibility of
developing 3D pieces with different properties, for example parts being
softer or harder within a surgical model [40]. Hybridization of AM
processes is expected to become more important in the future, together
hybridization with post-processing subtractive processes, as well as
nanofabrication and large-scale manufacture [41].
The present section is divided into two subsections: (1)
combination of AM technologies; (2) combination of AM and
subtractive technologies.

3.4.1 Hybrid 3D Printers: Combining AM Technologies

This section is mainly focused on the manufacture of certain types of
materials like resins, polymers and ceramics. Two main types of
machines are addressed: those combining either two extrusion
processes such as FFF and DIW, photopolymerization and extrusion,
powder bed fusion and extrusion, multijet and extrusion, or
photopolymerization and inkjet. An example about the combination of
4 technologies in 1 is also presented.

3.4.1.1 Material Extrusion: FFF and DIW

Within material extrusion, as was previously mentioned, two different
3D printing techniques can be highlighted: FFF and DIW. Combining
these two can make an important contribution to the state-of-the-art of
3D printers. Until now, FFF was normally used alone, which has
important limitations: (1) the need to use relatively hard materials; and
(2) the manufacture of mono-material 3D printed pieces. The latter
problem could be solved using several printing heads as was previously
described in Buj-Corral et al. [42].
The combination of FFF and DIW can be appropriate in certain
applications. For example, in recent years, in the medical field new
requirements have arisen. One of them is the use of real prototypes for
preoperative surgical planning. These prototypes could be a solution to
improve the rehearsal experience of surgeons. Usually, doctors need to
carry out complex technical tasks during a surgical procedure in a short
period of time. This may lead to damaging organs or spending more
time in the intervention. This implies a higher likelihood of damaging
any organ since the doctor can get exhausted. In this way, the
manufacture of 3D physical models can be solved as well as using
materials able to mimic the corresponding tissue such as the tumour or
organ. In order to do that, within the QuirofAM project, a hybrid multi-
material 3D printer was developed by CIM UPC engineering team, in
which most of the anatomical structures are 3D printed using different
filaments (PLA, TPU or PVA) as well as viscosity pump for the softer
parts such as, for instance, the liver (Fig. 3.1).

Fig. 3.1 Multi-material FFF/DIW Additive Manufacturing system developed a CIM UPC within
the ERDF QuirofAM project (RisCAT) program

Another example about the combination of FFF and DIW

technologies is the TRANSPORT project, in which metallic parts were
replaced by 3D printed parts, in order to improve the performance of
the current components and to entail cost reduction of the raw material
and the production process, while preserving the physicochemical
properties of the coating (transmission bars, fasteners, shock absorber
shafts, etc.). For 3D printed samples, a filament was used with the FFF
technology while for the paste-based 3D printing a conductive ink
screen printing was required (see Fig. 3.2).

Fig. 3.2 a Final Demonstrator of Transport project 8 embedded contact sensors (black ink) in a
FFF structure (white filament). b Visualization of the internal structure manufactured by a
hybrid 3D printer (DIW + FFF) commissioned at CIM UPC

3.4.1.2 Photopolimerization and Extrusion

Peng et al. [43] developed a hybrid platform with a top-down digital
light processing (DLP) system that is used when high-resolution is
required and a DIW head to print functional materials. This system
integrates high-resolution and low-cost technologies. Stereolithography
(SLA) has also been combined with direct print, in order to
manufacture structures with electronic devices inside it [44].

3.4.1.3 Powder Bed Fusion and Extrusion

As an example, the powder bed fusion (PBF) technology was hybridized
with direct print processes, in order to improve the strength of the
parts, to obtain multi-material parts, to increase the conductivity of the
part, etc. [45].

3.4.1.4 Multijet and Extrusion

In order to print multi-material parts, the multijet (MJT) technology
(Polyjet) has been combined with the direct writing (DIW) technology
[46]. The main purpose of this system is to print different types of
plastic materials with MJT, including rigid and elastomeric materials,
and embedding conductive materials with the DIW technology.

3.4.1.5 Photopolymerization and Inkjet

The photopolymerization technique can be used together with the
inkjet technique. For instance, the project Nhibrid, developed at CIM
UPC facilities, aims to integrate a three-dimensional printing system by
digital light processing (DLP) technology with a material deposition
system by inkjet technology and specifically drop on demand (DOD)
type. The idea is to 3D print devices with electronic circuitry embedded
within the structure of the object, allowing them to obtain more
efficient devices, smaller in size and with more complex geometries
adapted to the society needs. For example, Muguruza et al. [47]
manufactured conductive tracks of 200 μm on substrates previously
photopolymerized with layers between 25 and 50 μm thick and it has
been verified the possibility of connecting two conductive tracks
vertically separated by a slim photopolymerized layer between them.

3.4.1.6 Four Technologies in One

One of the latest developments within the manufacturing engineering
field was achieved by Roach et al. [48] who developed a multi-material
multi-method additive manufacturing platform. In it four AM
technologies (material jetting, FFF, DIW and aerosol jetting -AJ-) are
combined with robotic arms for pick-and-place (PnP) and photonic
curing for intense pulsed light (IPL) sintering. The curing system can be
either photonic or UV.
This new machine opens the paradigm of manufacturing devices
that traditionally are difficult to be 3D printed or even impossible. In
this way, with the current approach of combining so many technologies
it is possible to overcome that limitation. Additionally, the higher the
number of technologies, the more novel functionalities can be added to
the devices. With the current development in this field, different
demonstrators could be built: embedded electronics, sensors, robots
and medical devices, for different areas such as medicine or
aeronautics. Table 3.1 summarizes the different 3D printed parts
manufacturing in Roach et al. [48], as well as the technologies used.
Table 3.1 Examples of 3D printed parts [48]
  IJ FFF DIW
Race car wheel ╳   ╳
Soft pneumatic actuators ╳   ╳
Stretchable, multi-material light ribbon ╳   ╳
Vertical interconnect access ╳   ╳
Digital LED light   ╳ ╳

IJ inkjet, FFF fused filament fabrication, DIW direct ink writing

3.4.2 Hybrid 3D Printers: Combining AM with Subtractive

Technologies
The combination of AM and subtractive technologies into a hybrid
system is mostly focused in the metal sector, although there are
examples that are not included within this group, like concrete 3D
printing. This kind of hybrid machine can be used to print a near-net
shape that substitutes a cast or forged part, and then, subtractive
processes are applied to finish the shape of the part and/or to improve
its surface finish.

3.4.2.1 DIW + CNC Machining (Milling)

One of the projects that changed the road in the research and
development of concrete 3D printing is Hindcon, founded in a H2020
project. The aim of this work was to solve different important problems
in the construction sector such as the lack of flexibility in the
manufacturing processes and the low productivity rate as well as the
long manufacturing times of unique products. The commissioned
hybrid 3D printer is based on the 3D printing of the paste by means of
DIW and subsequent milling operation in order to smooth the surface
finish in the lateral walls of the printed part (Fig. 3.3). This new
approach in concrete manufacturing will lead to an important
improvement in construction.
Fig. 3.3 Demonstrator of funded EU H2020 project HINDCON, with the participation of CIM
UPC, introducing Additive and Subtractive Manufacturing in construction

3.4.2.2 DED + CNC Machining (Milling)

Usually, hybrid systems are equipped with a DED head for metal
deposition and machine tools such as lathe or mill. Bonaiti et al. [49]
investigated the micro-milling machinability of Ti-6Al-4 V alloy
produced by a Laser Engineered Net Shaping (LENS) additive
manufacturing (AM) process. It was confirmed that increased trend
towards burr formation in case of down milling of AM samples
compared to wrought titanium samples. Additionally, in recent years, a
Hybrid Manufacturing Simulation software has been developed by
MachineWorks Ltd. which offers a full-machine tool simulation,
including DED and CNC machining capability [50]. Other authors have
addressed the problem of using cutting fluid when machining is
combined with laser metal deposition (LMD) [51].

3.4.2.3 FFF + Machining (Grinding)

Another example of hybrid system consists of the hybridization of a
grinding machine with a desktop FFF printer for educational use [52].
The controller hardware was NI myRio, and the LabVIEW program was
employed for the graphical user interface.

3.5 Future Trends

The possible future trends regarding hybrid machines can go in
different directions, but specially towards the incorporation of new 3D
printing techniques. For example, the FRESH (Freeform Reversible
Embedding of Suspended Hydrogels) technique, an Embedded 3D
printing (EMB3D) technology, was first mentioned in 2011 [53] (see
Fig. 3.4). This technique offers two advantages: (1) there is no need for
support since the gel acts at the supporting material, and (2) the gel can
be re-used for several times.

Fig. 3.4 FRESH 3D printing of an object

Regarding FRESH, amazing developments have taken place such as

the manufacture of implantable epidermal devices [54] or patient-
specific pulse oximeters [55] as well as phantoms [56]. These medical
devices are required to have different mechanical properties and,
therefore, the combination of this technology with DLP could be an
option. However, for that, it would be necessary to have a gel not only
transparent, but also photo sensible to UV light.
Continuing with this line of future trends, in 2019, but the first
effort of this team began by the end 2017, Kelly et al. [57] developed the
computed axial lithography (CAL) volumetric fabrication which is
based on the rotation of a photopolymer in a dynamical evolving light
field. The UV light is sent to the material volume as 2D images, in a way
that each image projection arrives from a different angle, thanks to the
rotation of the recipient that contains the photopolymer. This allows
solidifying the material in the desired geometry. This new technique
has three advantages over traditional AM techniques in the medical
field: (1) it is possible to print around pre-existing objects, (2) it is
faster, and (3) there is no need of support material.

3.6 Conclusions
The first AM patents were issued in the 80s of the last century.
However, previous attempts to obtain physical three-dimensional parts
started yet in the XIXth century with two main inventions: photo-
sculpture and topography.
Current trends of AM processes include the combination of two or
more processes in the same machine. The development of hybrid 3D
printers opens a wide range of possibilities both to industry and to
research. In this way, it is possible to create 3D printed objects,
combining different technologies and materials, that before were not
able to be manufactured. This new approach in the industrial
revolution will lead to bettering the outcomes of researchers and
engineers. Nowadays, these machines are still not usual among many
sectors, for instance, bioprinting, but it is possible to imagine that, once
it arrives to a sector, it will bloom up.
Additionally, this chapter shows that it is not only possible to merge
two AM technologies into a single machine, but also there is the
possibility for combining AM and subtractive technologies. The latter
are usually required to improve the shape of the part and/or to perform
finish operations of the previously printed parts.

Acknowledgements
The authors thank the CIM UPC for the technical support regarding the
development of the hybrid printers. The present chapter was co-
financed by the European Union Regional Development Fund within the
framework of the ERDF Operational Program of Catalonia 2014-2020,
with a grant of 50% of total cost eligible, project BASE3D, grant number
001-P-001646.
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© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022
J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_4

4. Busbars for e-mobility: State-of-the-

Art Review and a New Joining by
Forming Technology
Rui F. V. Sampaio1   , Maximilian F. R. Zwicker2   , João P. M. Pragana1   ,
Ivo M. F. Bragança3   , Carlos M. A. Silva1   , Chris V. Nielsen2   and
Paulo A. F. Martins1  
(1) IDMEC, Instituto Superior Técnico, Technical University of Lisbon,
Av. Rovisco Pais, 1049-001 Lisboa, Portugal
(2) Department of Mechanical Engineering, Technical University of
Denmark, Produktionstorvet, 2800 Kgs. Lyngby, Denmark
(3) CIMOSM, Instituto Superior de Engenharia de Lisboa, Instituto
Politécnico de Lisboa, Lisbon, Portugal

 
  Rui F. V. Sampaio
Email: rui.f.sampaio@tecnico.ulisboa.pt

  Maximilian F. R. Zwicker
Email: mfrz@mek.dtu.dk

  João P. M. Pragana
Email: joao.pragana@tecnico.ulisboa.pt

  Ivo M. F. Bragança
Email: ibraganca@dem.isel.ipl.pt

  Carlos M. A. Silva
Email: carlos.alves.silva@tecnico.ulisboa.pt
  Chris V. Nielsen
Email: cvni@mek.dtu.dk

  Paulo A. F. Martins (Corresponding author)
Email: pmartins@tecnico.ulisboa.pt

Abstract
The changes in the automotive market and their effects on industry are
nowadays hot topics in metal forming seminars and conferences
around the world. The rise in the number of electric vehicles will
inevitably lead to a decrease in the demand of components for
combustion engines and power drive trains. Typical forming
components such as pistons, connecting rods, valves, camshafts,
crankshafts, multi-speed gear boxes and others that exist in diesel or
petrol vehicles, will no longer be required. However, the lightweight
construction requirements for the body-in-white of electric vehicles,
the production of components for asynchronous motors and the
fabrication of battery components, namely busbars, are bringing new
challenges and opportunities for the metal forming industry. This
chapter is focused on busbars, which are metallic strips or sheets that
are utilized to distribute electric power to multiple equipment such as
the electric motor, the electric power steering unit, and the AC/DC
converters. In particular, the chapter addresses the challenge of
replacing copper busbars by hybrid busbars made from copper and
aluminium, due to the expected savings in weight and cost. For this
purpose, the authors discuss the challenge of connecting copper to
aluminium in hybrid busbars by means of existing joining technologies
and introduce a new joining by forming process aimed at connecting
hybrid busbars at room temperature without giving rise to material
protrusions above and below the sheet surfaces. The effectiveness of
the new process is compared against fastening by measuring the
electric resistivities in both types of hybrid busbar joints. Finite
element analysis gives support to the presentation and proves to be
suitable for the electro-thermo-mechanical analysis of busbar
connections.
4.1 Introduction
E-mobility, or electromobility, is defined as a road transport system in
which vehicles are moved by electricity. It is believed to play a key role
in the increase of flexibility in transportation because electric vehicles
may use different types of energy sources, as electricity can be obtained
from nuclear power, fossil fuels, or renewable resources. This gives
electric vehicles some advantages over internal combustion engine
(ICE) vehicles while contributing to lower CO2 emissions, especially if
electricity is produced by nuclear power or renewable sources.
Electric vehicles appeared at the end of the nineteenth century and
the first commercially available electric vehicle was developed in 1897
by the Electric Carriage and Wagon Company [1]. Although
technological development is usually motivated by costumer
preference, this has not been the case in electromobility. In fact,
costumers are mostly pleased with their ICE vehicles, and fossil fuels
are not expensive enough to stimulate a move into electric vehicles. The
consistent underpricing of fossil fuels (Fig. 4.1) is also an obstacle to
the transition to electromobility [2].

Fig. 4.1 Underpricing of fossil fuels in the G20 economies in 2015. Adapted from [2]
 However, electromobility is nowadays a route for automakers to be
ahead of their competitors in terms of green thinking and
environmental compliance. Lower taxes on electric cars are in many
countries stimulating consumers to move from ICE to electric vehicles.
It is worth noticing that the importance of hybrid busbars is not
limited to electric vehicles because alternative mobility solutions based
on hydrogen is heavily dependent on the installation of water
electrolysis plants [3] in which electricity running through busbar
systems will be used to decompose water into oxygen and hydrogen [4].
Hydrogen produced in water electrolysis plants can also contribute to
zero carbon emission objectives in e-mobility if the electricity is
produced from renewable sources.

4.1.1 Busbars and Busbar Systems

The distribution of electric power is carried out by wires, cables, and
busbars. Busbars are generally preferred in low-voltage (LV—up to
1 kV) systems with high electric currents because of their advantages
regarding ease of installation and maintenance (flexibility), safety, cost,
and limitations in space. In fact, the utilization of a high number of
cables in parallel for high current applications is not a good solution
due to difficulties in installation and maintenance and to troubles in
diagnosing and locating problems in the distribution of electric power.
Especially in power plants, six different types of busbar systems can
be identified (Fig. 4.2): (i) non-segregated busbars, (ii) segregated
busbars, (iii) isolated phase busbars, (iv) rising mains (vertical busbar
systems), (v) overhead busbars (horizontal busbar systems), and (vi)
non-conventional busbars (like sandwich or gas insulated) [5]. Some of
these (e.g., isolated phase busbars) are applied in electric vehicles while
others are included for broadening the presentation.
Fig. 4.2 Different types of busbar systems where each phase has only one busbar. a Non-
segregated, b segregated, c isolated phase, d overhead, e rising mains, and f non-conventional

In non-segregated systems (Fig. 4.2a), the busbars (corresponding

to the different phases) are stored in a single metallic enclosure, where
insulating supports maintain a certain distance between the busbars
and to the enclosure. There are no barriers between them. These
systems are simple, economic and are the most widely used in LV
systems up to electric currents of approximately 6 kA.
In segregated systems (Fig. 4.2b), the busbars are also stored in a
single enclosure, but there is an additional metallic barrier between
each busbar. These barriers are constructed from the same material as
the enclosure (usually aluminum) and provide magnetic shielding,
isolating each busbar from the others and protecting the phases against
short-circuits. They behave somewhat like a Faraday cage, so that
parasitic currents are drawn to the aluminum barrier rather than to the
other phases. Although being preferred for high voltage (HV—from 35
to 230 kV) rather than for LV, this type of busbar system is used for high
electric currents (3–6 kA) on all voltage systems.
In isolated phase systems (Fig. 4.2c), each busbar is kept in an
individual non-magnetic metallic container to prevent phase-to-phase
faults, eliminate proximity effects (e.g., heating), facilitate installation
and maintenance, and protect operators from high voltages across the
enclosure and metallic structures that arise from parasitic electro-
magnetic currents. Isolated phase systems are utilized for extremely
large electric currents (above 10 kA) in HV systems.
Rising main systems (Fig. 4.2d) are vertically running busbar
systems used for power distribution in multistorey high-rise buildings,
allowing for power supply to the multiple floors. This type of system
usually operates with very low electric currents and, therefore, is not
the best choice from an economical point of view.
Overhead busbar systems (Fig. 4.2e) run horizontally, usually below
ceilings, and are used to distribute power through a single floor. Large
rooms with machine tools may largely benefit from overhead busbar
systems, as cables become unwieldy.
Non-conventional systems (Fig. 4.2f) try to replicate the
compactness advantages of cables in busbars by using proper
insulation techniques, in which heat transfer occurs by conduction
rather than convection through air, as in case of conventional systems
(Figs. 4.2a–e). In fact, the poor dissipation of heat by natural air
convection is one of the reasons why conventional busbar systems rely
on the use of busbars and enclosures with large cross-sections.
Thus, non-conventional systems are not only more compact, but
also more energy-efficient for both LV and HV applications. In sandwich
busbars, insulation is achieved by means of epoxy or thin films of
polyester. By also coating the inside of the enclosure, busbars can be
placed touching each other and the enclosure.
Gas insulated busbars allow electric power distribution in HV
systems with electric currents up to 8 kA. They are used in gas
insulated switchgear substations to interconnect the switchgear with
the transformer. These systems are modularly constructed and the
flanged geometry at the end of every segment allows for rapid and easy
installation and replacement [6].
 Busbars can have various cross-sectional shapes (Fig. 4.3): (i)
circular, (ii) tubular, (iii) rectangular, and (iv) complex geometries such
as the U or H-shapes [7] and the tunnel shape [8]. Guidelines for
estimating the heat dissipation by natural and forced convection, and
by radiation in each cross-section shape of Fig. 4.3 are provided in the
above-mentioned references [7, 8].

Fig. 4.3 Schematic representation of several busbar geometries: a circular, b tubular, c

rectangular, d H-shaped, e U-shaped, and f tunnel-shaped

Busbars are preferentially made of copper due to its high electric

conductivity. However, because aluminium is a good electrical
conductor that is both lighter and cheaper than copper, there is a
growing interest in utilizing aluminium busbars. However, the switch
from copper to aluminium comes at the cost of diminishing the current
carrying capacity and increasing the overall impedance of the busbars.
This means that the cross section of the aluminium busbars must be
increased to obtain an electric power performance like that of copper.
The greater hardness, lower coefficient of linear thermal expansion
and higher melting point of copper are also advantageous because the
busbars can be made more resistant to mechanical damage during
installation and service, and less sensitive to thermal damage caused by
localized hot spots or possible flashovers during operation.
Still, both copper and aluminium have high affinity to oxygen and
therefore, naturally create oxide films in contact with air. While the
copper oxide film is still conductive, the aluminium oxides have
insulating properties, which may cause long term problems in the
distribution of electric power [7].
One solution to combine the technical advantages of copper with
the lightweight and economic advantages of aluminium is by using
copper-clad aluminium (CCA). Copper-clad aluminium was developed
for wires in the late 1960’s [9] and later applied to busbars [10]. CCA is
named as Cuponal when used in busbars and consists of a metal
composite bar in which the core is made of aluminium and the skin is
made of copper.
When compared to copper, CCA has a lower density and cost, while
maintaining excellent electric and thermal conduction properties and
giving rise to oxide layers that are irrelevant for the electric
conductivity in busbar systems. Table 4.1 presents a comparison of
physical, mechanical, and economic data for copper, aluminium and
CCA/Cuponal.
Table 4.1 Physical, electrical, thermal, mechanical, and economic data for copper, aluminium,
and CCA/Cuponal
 
Coppera Aluminiumb CCA/Cuponal
Typical grades used in C11XXX AA 1XXX —
busbars AA 6XXX

Density (kg/m3) ~8900 2680–2920 Slightly higher than

aluminium
Melting point (°C) ~1080 ~660 —
Electrical resistivity 0.0168–0.0172 0.0267– Slightly lower than
(µΩ⋅m) 0.047 aluminium
Oxide’s electrical Negligible for busbar High Similar to copper
Resistance applications

Thermal conductivity 385–388 167–234 Slightly higher than

(W/(m⋅K)) aluminium
 
Coppera Aluminiumb CCA/Cuponal
Coefficient of thermal ~17 × 10–6 ~24 × 10–6 —
expansion (1/K)
Yield strength (MPa) 69–365 28–324 —
Ultimate tensile strength 220–455 51–414 —
(MPa)
Elongation (%) 4–50 4–19 —
Hardness (HB) <112 <95 —

Machinability index (%)c 60% >125% —

Cost Almost 4 times higher — Lower than copper, but

than aluminium higher than aluminium

aValues for C11000 series [11]

bValues for AA 1000 and AA 6000 series [12].
cValues in % of B1112 base steel [13].

Another solution to combine the technical advantages of copper

with the lightweight and economic advantages of aluminium is by using
hybrid busbars, in which the thinner and costlier parts made of copper
are only used in specific key locations. In current state-of-technology,
this requires connecting copper to aluminium by means of overlapped
joints produced by conventional joining processes such as welding and
fastening, which is not always possible or effective to achieve.
Moreover, the electrical resistance of the overlapped joints
increases with the reduction of the overlap length, due to streamline
distortion of the electric current distribution, and temperature also
increases due to a smaller area available for heat dissipation [14].

4.1.2 Batteries and Electric Power Distribution in e-

mobility
Besides the energy applications, busbars are essential components of
battery packs for electrified vehicles. Electric, plug-in hybrid-electric,
and hybrid-electric-vehicle’s battery packs are modularly designed and
consist of several cells. Most electric vehicles (EVs) and plug-in hybrid-
electric vehicles (PHEVs) use lithium-ion battery cells, while most
hybrid-electric vehicles (HEVs) use nickel-metal hydride battery cells
[15].
The battery cells can be cylindrical, prismatic, or pouch-shaped
(Fig. 4.4) and are interconnected (either in series or in parallel) by
means of busbars joined to the cell terminals to create battery modules
(Fig. 4.5) [16]. These busbars will be referred to as primary busbars.
The battery modules are then connected to each other in series by
busbars to create the battery pack. These busbars are then referred to
as secondary busbars.

Fig. 4.4 Different types of battery cells and their main characteristics. Adapted from [16]
Fig. 4.5 Interconnection of prismatic battery cells in: a series connection and b parallel
connection

While parallel connections are deployed to enhance the module

capacity, series connections ensure the overall voltage, which ranges
between 100 and 200 V for HEVs and 400–800 V for EVs [17].
Primary busbars may have different dimensions, designs, and
material choice depending on the battery cell type as exemplified in
Fig. 4.6. Typical busbar plates are shown in Fig. 4.6a, b. They are used
for the parallel interconnection of cylindrical cells. In the examples,
they are joined by wire bonding (Fig. 4.6a) and laser welding
(Fig. 4.6b). Pouch cells may be connected by thicker busbars (Fig. 4.6c)
or U-shaped busbars (Fig. 4.6d). Prismatic cells are commonly
connected in series, which may be solved by busbars depicted in
Fig. 4.6e, f. The thickness of those busbar systems may range from 0.5
to 5 mm in some cases. Common materials, characterized by a high
electrical conductivity, are among others copper-, aluminium-, nickel-,
and nickel-plated steels.
Fig. 4.6 Different types of primary busbars: connector plates for cylindrical cells a (adapted
from [18]) and b (adapted from [19]); busbars for pouch cells c busbar plate (adapted from
[20]) and d u-shaped busbar (adapted from [21]); busbars for prismatic cells e (adapted from
[22]) and f (adapted from [23])

Secondary busbars are often realized by isolated phase busbar

systems (Fig. 4.2c). Here, each busbar represents a phase, and the
enclosure is the insulating coating. Secondary busbars not only connect,
as mentioned, the various battery modules (Fig. 4.7) but are also
utilized to distribute electrical power from the charging point to the
battery pack and from there to multiple pieces of power electronics,
e.g., the electric motor or the electric power steering unit.
Fig. 4.7 Representation of the electrical power distribution system in the Porsche Taycan
Turbo S (adapted from [25])

As shown in Fig. 4.7, the total length of secondary busbars installed

in an electric vehicle (depicted in orange colour) represents a large
amount of material. This would result in high weight and costs for
automakers if busbars were exclusively made of copper. However, this
is not the case due to the generalized use of hybrid copper–aluminium
busbars in all types of electric vehicles. Hybrid busbars provide
efficient, low cost and low weight electric power distribution solutions
[24], and its design is generally made in such a way that the thinner and
costlier copper strips are only used in specific locations, where high
conductivity is necessary (e.g., at the busbar ends).
The resulting modular structure of EV and HEV battery packs must
be designed such that it ensures durability and accounts for the
protection against crashes or possible mechanical damage.
Furthermore, insulation against vibrations and prevention of
exothermic reactions accelerated by an increase of temperature
(thermal runaways), are essential requirements for battery packs [23].
4.1.3 Joining Processes
Traditional requirements for joints and joining technologies are mostly
of mechanical nature in combination with requirements due to
corrosion and metallurgy. However, when joining busbars, e.g., for
automotive or power plant applications, the electrical properties of the
joint become also a crucial factor. This interdisciplinary consideration is
essential as both aspects are inter-dependent. If a joint is of good
mechanical strength but of high electrical resistance, the joint area will
heat up due to current flow. This in turn may affect the metallurgical
properties of the joint such that the mechanical properties are
impaired, which may again affect the electrical and corrosive
properties.
Therefore, the main challenges related to joining of busbars to other
busbars or cell terminals for automotive and energy applications are
the following (cf. [16], where also further details are found):
(a)
The joints must be fabricated with low electrical resistance to  
generally minimize Joule heating of the joint region when primary
and secondary busbars are in operation. Additionally, the
connection resistance should have the smallest possible scattering
range in order to avoid unbalanced charging and discharging of
parallel connected cells [26].
(b)
The joining technology for primary busbars must have a low heat  
input to avoid exposing the cells to high temperatures that may
harm the battery chemistry [27].
(c)
The joints must be fabricated with good mechanical strength and  
without internal damage of the cells due to application of
excessive mechanical loads, including vibrational loads.
(d)
The joints must have high resistance to thermal fatigue to  
guarantee durability and lasting performance.
(e) The joints in busbars made from dissimilar materials (hybrid
busbars) must account for the problems related to contact  
corrosion, micro cracking, and formation of hard and brittle,
highly resistive, intermetallic compounds [28].
(f)
The joints in busbars made from dissimilar materials must  
account for the differences in performance arising from the

utilization of materials with different thicknesses, electric

conductivities, thermal expansions, and coatings [29].
The main joining processes that are nowadays used for joining cell
terminals to busbar connectors and for joining busbars are
schematically illustrated in Fig. 4.8. These processes belong to the four
different groups that are classified in Table 4.2.

Fig. 4.8 Schematic representation of the main joining processes that are currently utilized to
connect cell terminals to busbars and for joining monolithic and hybrid busbars: a laser beam
welding, b friction stir spot welding, c ultrasonic welding, d fastening, e self-pierce riveting and
f resistance spot welding

Table 4.2 Classification of the joining processes more utilized in battery systems

Group
Fusion welding
Solid-state welding
Mechanical joining
Plastic deformation and
welding
Processes
Laser Beam Welding and Micro-TIG
Friction Stir Spot Welding, Ultrasonic Welding, Magnetic Pulse
Welding
Fastening, Self-Pierce Riveting and Clinching
Resistance Spot Welding and Resistance Projection Welding

The group of fusion welding includes processes such as laser beam

welding and micro-tungsten inert gas (micro-TIG). In laser beam
welding (Fig. 4.8a) the heat of fusion is provided by the energy of light
beams. The beams are focused with lenses to very small surface areas,
providing very high energy densities and minimizing the size of the
heat-affected zone, where distortions and changes in the metallurgical
structure and mechanical strength are likely to occur. The process is
widely used for connecting cell terminals to busbars and for joining
busbars [30].
However, because industrial lasers operate with wavelengths in the
range of 0.7–1 μm (Fig. 4.9), most of the metals, apart from stainless
and mild steels and, to some extent, aluminium alloys (when using a
direct diode laser), are difficult to process, due to low absorption in the
infrared area of the spectrum.
Fig. 4.9 Absorptivity evolution with wavelength for different metals and representation of
common welding laser wavelengths (adapted from [31])

Micro-tungsten inert gas welding is a low-cost, filler-free, welding

process that uses pulsed energy source (with a typical current range of
0.5–50 A) and a non-consumable tungsten electrode to create an
electric arc. The process is used to produce precision joints in stainless
steels, aluminium, copper, titanium, and their alloys [32]. The pulsed
energy source provides a much lower heat input than conventional TIG,
but the operating parameters need to be carefully controlled to avoid
excessive overheating of the battery cells when welding the cell
terminals to busbar connectors. The process is used to create joints in
busbars made from thin metal strips (up to 0.5 mm of thickness) and in
battery cells [33].
The group of solid-state welding includes processes such as friction
stir spot welding and ultrasonic welding. In friction stir spot welding
(Fig. 4.8b) a rotating, threaded pin tool with a convex shaped shoulder
like the one used in friction stir welding is plunged into the overlapping
sheets supported by a backing plate. The shoulder ensures only partly
penetration of the lower sheet by the pin tool. Friction between the tool
and the two sheets heats them locally and the plastic deformation
creates a solid-state bond. The process can be used in battery systems
to produce joints with negligeable increase in electrical resistance
when compared to those obtained by clamping [34]. However, the
overall quality of the joints in hybrid busbars is very sensitive to
process parameters and stability due to differences in material mixing
and distribution of intermetallic compounds.
Ultrasonic welding (Fig. 4.8c) creates a metallurgical bond by
simultaneous application of localized high-frequency vibratory energy
and moderate normal pressures. Friction and plastic deformation at the
interface deform the surface asperities and break up contaminant films
and oxides resulting in direct contact between virgin surfaces and
formation of a metallurgical bond. The process is used for joining cell
terminals to busbar connectors in pouch-cells and has applications in a
number of electric vehicles such as the Nissan Leaf, the Chevrolet Volt,
the Chevrolet Spark, and the Chevrolet Bolt [29].
In magnetic-pulse welding one of the sheets is accelerated to high
velocity against the other sheet placed within a small clearance. The
high-energy impact and large shear strains that are developed in the
two mating surfaces during the impact cause an outgoing jet of
softened metal to form at the collision front that cleans the surfaces
permitting subsequent solid-state bonding to occur. The process can
produce high-strength joints between dissimilar materials with low
heat input, eliminating the occurrence of heat-affected zones and
providing high welding quality and process repeatability [35].
Magnetic-pulse welding can be used in busbar connections, namely in
hybrid busbars made from thin aluminium and copper strips [36].
The group of mechanical joining includes processes such as
fastening, clinching and self-pierce riveting. Fastening (Fig. 4.8d)
requires drilling holes matching the diameter of the bolts (or rivets)
that will be utilized to clamp the two sheets together. This type of joints
is utilized in the connection of cylindrical and prismatic cell battery
terminals to busbars [37] and in busbar connections, because they are
easy to assemble and disassemble during installation, maintenance and
at the end of service life [38]. The Nissan Leaf and the Toyota Prius are
two vehicles where this type of joints is currently used.
 However, fastened joints may suffer from unintentional self-
loosening caused by mechanical and/or thermal loading and from non-
uniform distribution of contact resistance. The latter is caused by non-
uniform distribution of pressure and roughness and makes the real
contact area in overlapped busbar connections only a fraction of the
nominal contact area [39]. Another limitation in the use of fasteners is
related to the protrusions above and below the joints, which are not
acceptable in many applications due to the increasing limitations in
space of the electric power distribution systems of modern vehicles.
Self-pierce riveting is another mechanical joining process (Fig. 4.8e)
that makes use of a semi-tubular (or, solid) rivet to produce a form-fit
based mechanical interlock between two or more sheets. The process is
generally performed at room temperature and makes use of dedicated
punches and dies. The main advantage is its capability of connecting
busbars made from dissimilar materials that are difficult or impossible
to weld. Self-pierce riveting can be used with pre-coated sheets without
damaging their surfaces and is a solution to connect busbars (and
hybrid busbars) that ensures better mechanical properties under static
and dynamic operating conditions than clinching [40].
Clinching is a process capable of fixing thin sheets without
additional consumables or pre-drilled holes by means of dedicated
punches and dies that plastically deform the sheets to achieve a form-fit
based mechanical interlock. The process is generally performed at
room temperature and can join monolithic or hybrid busbars as well as
pre-coated busbars without damaging their surfaces. The main
limitation is related to formability, which needs to be good to prevent
failure by cracking. A variant of the process named as micro-clinching
[41] is used in tab-to-tab connections of pouch cells.
In recent years, the authors developed two new processes with high
potential of being used in the connection of monolithic and hybrid
busbars. These two new processes are named as joining by double
mortise-and-tenon and injection lap riveting and are shown in Fig. 4.10,
in which clinching and self-pierce riveting are included for comparison
purposes.
Fig. 4.10 Mechanical joining of busbars by a clinching, b self-pierce riveting, c double mortise-
and-tenon, and d injection lap riveting

Joining by double mortise-and-tenon (Fig. 4.10c) is built upon a

combination of partial cutting and bending with form-fit joining by
sheet-bulk compression of tabs in the direction perpendicular to
thickness [42]. The process allows joining two overlapped busbars
made from similar or dissimilar materials (e.g., copper and aluminium)
and the resulting joints are flat with all the plastically deformed
material contained within the thickness of the two sheets.
Injection lap riveting (Fig. 4.10d) differs from self-pierce riveting
because its joining principle is based on plasticity and friction without
fracture and formation of new surfaces [43]. The working principle is
based on two consecutive operations—first, a dovetail ring hole is
machined in the lower sheet and then a semi tubular rivet is injected
through a hole in the upper sheet into the dovetail ring hole of the
lower sheet, by compression with a punch. A prototype cutting tool has
been proposed by the authors for producing the dovetail ring holes in-
site and fostering the portability and applicability of the process.
Resistance spot welding (Fig. 4.8f) and resistance projection
welding belong to a group combining plastic deformation and fusion
welding. Electric current is utilized to heat the metals locally at the
contacting interface. The heat softens and melt the materials locally to
produce a joint. Resistance spot welding with a parallel electrode
configuration is mainly used for connecting the cell terminals to
busbars, but the procedure is only applicable to thin connections due to
the high heat input needed to compensate the high thermal
conductivities of copper and aluminium. In case of battery cells,
resistance spot welding with parallel electrodes is limited to electric
currents below 20 kA [26].

4.2 Analysis of Busbars

The design of busbars can nowadays be made with the application of
computer software based on the finite element method. Finite element
modelling can easily account for the geometric and material
nonlinearities as well as the real contact conditions in the joints to
produce accurate predictions of electric current density, electric
resistivity, temperature, stress and strain distributions, among other
variables. This information is particularly relevant in case of hybrid
busbars due to the utilization of materials with different thermal,
electrical, and mechanical properties in joints made from sheets with
different thicknesses.
This section starts by providing basic analytical design rules for
hybrid busbars and ends with an overview of the theoretical
fundamentals of the thermo-electrical–mechanical finite element
modelling of busbars.

4.2.1 Basic Analytical Design of Hybrid Busbars

The design of hybrid busbars must account for the differences in the
electric resistivity of copper and aluminium to ensure the same amount
of electric current flowing though the copper and aluminium
conductors of the busbars.
This is done by increasing the cross-sectional area of the aluminium
according to the ratio between the electric resistivities of the
aluminium and copper. Considering, for example, a C11000 copper and
an AA6000 series aluminium with Ω m and

Ω m, the ratio of the electric resistivities and hence

the cross-sectional areas for obtaining the same conductance become,

(4.1)

Considering the mass densities of the AA6000 aluminium series and

copper C11000 to be equal to  kg/m3 and
 kg/m3, the following relation is obtained for the ratio between
the mass per unit length of the two conductors,

(4.2)

Now, considering the specific cost ratio of the two

materials to be calculated from the specific costs 1814 €/t and 7578
€/t of the aluminium and copper, respectively, it follows that,

(4.3)

and allows determining the cost ratio of the two conductors

with equal conductance as follows,
(4.4)
The results obtained in (4.2) and (4.4) show that the utilization of
aluminum when possible, reduces the mass by 32% and the cost by
84%, while keeping the same electric conductance. This justifies the
interest of automakers in the utilization of hybrid busbars for the
distribution of electric power in vehicles.
Figure 4.11 provides a schematic illustration of the cross-sectional
area and weight of the copper and aluminium conductors with identical
conductance. The horizontal axis shows the product of the conductance
and the length of the conductor . With the definition , the

slopes can be identified as stated in the figure.

Fig. 4.11 Graphical representation of the relations between electrical conductivity, cross-
sectional area and weight for hybrid busbars made from C11000 copper and an AA6000 series
aluminium

Let us consider, for example, a design specification requiring a fixed

value of the product between the conductance and length of the
conductors . From Fig. 4.11 we can draw a vertical line to obtain
the mass and the cross-sectional area of the copper and
aluminium conductors. As seen, the results obtained confirm the
utilization of hybrid busbars because although the cross-sectional area
increases when copper is replaced by aluminium, the final weight of
the aluminium conductor is smaller than that of the copper conductor
and the final cost of the busbar will also be smaller according to (4.4).
During this section with simple analytical calculations, the electrical
connection between the copper and aluminium conductors in the
hybrid busbar has been assumed ideal, i.e., without consideration of the
restriction of the current flow through the connection and without
considering the contact conditions in the joint. Detailed analyses of the
current flow through a joint are only possible by numerical simulations,
and therefore an electro-thermo-mechanical finite element approach is
presented in the following section.

4.2.2 Fundamentals of the Electro-Thermo-Mechanical

Finite Element Analysis
The previous calculations assumed a perfect transition from copper to
aluminium conductors, electric resistivities that were independent
from temperature, absence of electrical and thermal resistances along
the contacting surfaces due to oxides or surface roughness, among
other simplifications. Electro-thermo-mechanical finite element
analysis of the fabrication and operation of the busbars allows
accounting for the real working conditions to optimize the performance
of the busbars in service.
The finite element approach described in this section is that
implemented in i-form, a finite element computer program developed
by the Technical University of Denmark and the University of Lisbon
[44]. The computer program is based on a strong coupling between the
mechanical and thermal modules, in which the new temperature field
and resulting changes in mechanical and thermal material behaviour
are converged with the mechanical response including the heat
generation at the end of each simulation step, and a staggered coupling
with the electrical module in which the electric current density is
calculated after the mechanical model to supply the thermal model with
the heat generation due to Joule effect. In what follows, the
fundamentals of each module are briefly introduced.

Mechanical module
The mechanical module allows modelling the deformation of the
busbars and the distribution of the major field variables such as the
strains and stresses, during the fabrication of the mechanical joints or
the application of the required torque in the bolts and nuts of the
fastened busbars. Actual contact areas between the two overlapped
sheets in busbar joints can also be modelled by taking into
consideration the temperature-dependent mechanical properties of the
materials.
The mechanical module is built upon the finite element flow
formulation, which is based on the following weak variational form of
the quasi-static equilibrium equations [45],

(4.5)

In the above equation is the Cauchy stress tensor, is the rate

of deformation tensor, denotes the tractions applied on the boundary
with a normal vector of direction cosines given by , and is an
arbitrary variation in the velocity because the flow formulation is
written in terms of velocities.
Decomposition of the Cauchy stress tensor into a deviatoric
tensor related to shape changes and a hydrostatic tensor

related to volume changes, and inclusion of contact and

friction between rigid and deformable objects, (e.g., between the
copper and aluminium sheets of the hybrid busbar joints), allow
rewriting (4.5) as follows,

(4.6)

The symbol is the volumetric rate of deformation and

the computational approach to handle the calculation of the second
term in (4.6) is done by relaxation of the incompressibility condition of
the velocity field , where is a large positive number
known as the ‘penalty’ factor.
The symbols and in the fourth term of (4.6) are the friction
shear stress and the relative sliding velocity on the contact interfaces
between objects, respectively.
 The fifth term accounts for the interaction between deformable
bodies by means of a two-pass contact search algorithm in which the
contact pairs are automatically extracted from the faces of the finite
elements utilized in the discretization. The symbol stands for the
normal gap velocities in the contact pairs, which is penalized by a large
number to avoid penetration.

Thermal module
The thermal module calculates heat generation and transfer taking into
consideration the temperature-dependent properties of the materials.
The module accounts for the heat generated by plastic deformation and
electrical Joule effect, and for the heat exchange between the different
components of the busbars and the surrounding environment. The
weak variational form of the thermal module is built upon the classical
Galerkin treatment of the heat transfer equation [45],
(4.7)

In the above equation, the thermal conductivity is related to heat

conduction, and the mass density and the heat capacity are related
to the rate of stored energy per unit volume giving rise to a
temperature gradient .
The symbol in the third term of (4.7) is the rate of heat
generation and includes the following contributions due to plastic
deformation and Joule effect,

(4.8)
where is a factor with values in the range of 0.85–0.95 that gives
the fraction of plastic deformation converted to heat, and and are
the electric resistivity and the current density, respectively, used in the
conversion of electric Joule effect to heat.
 The symbol in the fourth term of (4.7) is the rate of heat
generation along surfaces and includes the following contributions,

(4.9)

where is the heat transfer coefficient, is the surface

temperature, is the environmental temperature, is the Stefan-
Boltzmann constant, is the emissivity number and and are
the friction shear stress and the relative sliding velocity on the contact
interfaces between deformable and rigid objects, as previously
mentioned in the mechanical module. The thermal contact conductivity
is assumed ideal. This is an important aspect that will be included in
future developments of the computer program [44].
The last term in (4.7) is the heat flux along the surface, where the
symbol . is the vector of direction cosines of the normal to the surface.

Electrical module
The electrical module calculates the distribution of the electric
potential that after differentiation and multiplication by the electric
conductivity provides the current density in the busbars. The
electrical module considers the temperature-dependent electrical
properties of the materials, and its governing equation is built upon
integration of Laplace’s equation for an arbitrary variation of the
electric potential , which by applying the divergence theorem
results as follows [45],

(4.10)

where is the normal gradient of the electric potential to the free

surfaces (which is zero and therefore cancels out the right-hand side).
 Although this approach considers the distribution of the electric
potential to be solely determined by geometry under steady
conditions ( ), it is generally considered a good approximation

because an electric field has a much faster reaction rate than a

temperature field [44].
The current density is calculated from , where the
electrical resistivity is temperature dependent and its value is of
special importance along the contact interfaces between the two
overlapped sheets of the busbar joints.
The electric contact conductivity is assumed ideal. This is another
important aspect that will be included in future developments of the
computer program [44].

4.3 Joining and Testing of Hybrid Busbars

Busbars can appear in many different shapes and their joints can be
fabricated by various processes belonging to the groups of fusion
welding, solid-state welding, mechanical joining and plastic
deformation among others that were addressed in the state-of-the-art
review.
One of the determining factors for selecting joining processes is the
thickness of the members to be joined. Figure 4.12 shows an example of
a resistance spot welded joint (see Fig. 4.8f) consisting of aluminium
1050A and Cu 99.5%, both of initial thickness 0.3 mm. In the specific
example, a welding current of 1.53 kA was applied over a welding time
of 24 ms, while the electrode force was kept at 23.2 N. The spot weld
was made between tungsten electrodes with 3 mm dome radius and a
flat tip diameter of 0.5 mm. The resulting weld presented a typical plug
failure during tensile-shear loading with a button peel out from the
aluminium sheet. The tensile shear strength of a number of similar
welds was around 80 N. Due to the different properties of the two
sheets, there is not a weld nugget as in the case of spot welding of
similar materials. Instead, the two materials bond at the interface,
where small voids are observed. The cross-section in Fig. 4.12 also
reveals a vertical crack (throughout the sheet thickness) in the
aluminium sheet. Both voids and the vertical cracking are also observed
elsewhere when spot welding aluminium in dissimilar combinations. It
is, for instance, observed when joining aluminium to steel in a single-
side spot welding setup [46].

Fig. 4.12 Cross-section of resistance spot welded aluminium 1050A to Cu 99.5% with heat
affected zones (HAZ) identified by clear changes in grain sizes

Aluminium and copper are already difficult to spot weld as

compared to steel due to the physical properties responsible for less
heat generation and higher heat conduction away from the weld spot.
Additional challenges in joining dissimilar materials are due to
electrode pitting and alloying with the workpiece materials. For larger
thicknesses of the sheets to be joined, the effect of heat conduction
away from the weld spot increases, and the heat generation due to
interface resistance also becomes relatively smaller. Therefore, spot
welding is not suitable to join thicker sheets, especially in case of
dissimilar materials like aluminium and copper.
When it comes to thicker sheets, mechanical joining by means of
fastening and joining by forming are more appropriate solutions. The
remaining part of this chapter deals with standard fastening and a
recently developed joining by forming process named injection lap
riveting. Material characterization and methods utilized for the
fabrication and testing of the hybrid busbars of thicker sheets are
presented in the following sections.

4.3.1 Materials
The work on thicker sheets was carried out in hybrid busbar joints
made from C11000 copper and AA6082-T6 aluminium sheets. Table 4.3
summarizes the electrical, thermal, and mechanical properties of the
sheet materials as well as those of the medium carbon steel (class 8.8)
bolts and nuts used in the fastened connections.
Table 4.3 Summary of the electrical, thermal, and mechanical properties of the materials
  C11000 AA6082-T6 Steel (class
coppera aluminiuma 8.8)a,b
Electric resistivity (µΩ.m) 0.01845c 0.03935c 0.213

Thermal conductivity 388 170 47.7

(W/(m K))
Heat capacity (kJ/(kg K)) 0.385 0.890 0.477
Yield stress (MPa) 208.9 250 640

a(Matweb, 2021)
b(Bolt Depot, 2021)
cExperimentally determined by the authors

The true stress versus true strain curves of the copper and
aluminium sheets were obtained by means of tensile and stack
compression tests and the results are shown in Fig. 4.13.
Fig. 4.13 True-stress versus true strain curves of the C11000 copper and the AA6082-T6
aluminium sheets

4.3.2 Methods and Procedures

The C11000 copper and AA6082-T6 aluminium sheets utilized by the
authors had 2 and 5 mm thickness to cope with the cross-sectional
ratio (4.1) that ensures the same conductivity values per length.
The tests were performed in unit cells that are representative of the
hybrid busbar joints and consisted in cutting out strips (hereafter
named as sheets) with 100 mm length and 50 mm width from the
copper and aluminium sheets to fabricate fastened and injected lap
riveted busbar joints with 50 mm of overlap contact length (Fig. 4.14).
Fig. 4.14 Schematic representation of the fabrication methods and procedures utilized to
produce the a fastened and b injection lap rivet joints in hybrid busbars with photographs of
the specimens

The fastened joints made use of M8 (class 8.8) hexagonal socket

head bolts and nuts and required drilling through holes with 8.4 mm
diameter in both sheets. The sheets were clamped together by applying
a tightening torque of approximately 20 Nm to the bolts and nuts
(Fig. 4.14a). Loosening conditions were also considered by applying
smaller tightening torques.
The injection lap riveted joint required drilling countersunk holes in
the copper sheets, drilling dovetail holes in the aluminium sheets with a
special purpose cutter, and machining semi-tubular rivets from C11000
copper rods with 6.6 mm of shank diameter. The rivets were injected
through the copper sheets into the dovetail holes of the aluminium
sheets to obtain the mechanical interlockings between the two sheets
(Fig. 4.14b). Table 4.4 summarizes the fabrication conditions of both
types of joints.
Table 4.4 Fabrication conditions of the fastened and injection lap riveted joints

Fastened joint
Medium carbon
Fastened joint steel (class 8.8) M8 bolts and nuts

Medium carbon steel (class 8.8) M8 bolts and nuts

(mm) (mm) (Nm)

2, 5 8.4 20
Through hole
Injection lap riveted joints
C11000 copper sheets
(mm) (º) (mm) (mm)

2 45 7.3 1.5
Countersunk hole
AA6082-T6 aluminium sheets
(mm) (º) (mm) (mm)

5 30 4 2.3±0.1
Dovetail ring hole
C11000 copper semi-tubular rivets
(mm) (mm) (mm) (mm) (mm)

2.0±0.1 6.6±0.1 10 2.2 6.9

The unit cells containing the hybrid busbar joints were placed in a
test setup for measuring the electrical resistance under laboratory-
controlled conditions. The setup is shown in Fig. 4.15 and consists of
two copper-blocks, where the busbar ends are clamped and connected
to the power supply of a micro-ohmmeter. A current of 600 A is passed
through the busbars during approximately 5 s to allow measuring the
induced voltage and the electrical resistance by means of two probes
applied at the busbar ends.
Fig. 4.15 Schematic representation of the testing setup used for measuring the electrical
resistance of the hybrid busbar joints with photograph. The distance between the measuring
probes is 100 mm and was kept identical in all the tests

Because the temperature does not change significantly during the

5 s duration of the tests, it is assumed that the measured values of
electric resistance remain constant during the entire duration of each
test.

4.4 Results, Discussion, and Future

Perspectives
4.4.1 Injection Lap Riveting of the Hybrid Busbar Joints
Although the hybrid busbars are not axisymmetric, their mechanical
joining by means of injection lap riveting involves plastic deformation
in a limited amount of volume located around the dovetail ring hole
(Fig. 4.16). This justifies the reason why finite element analysis can be
performed under axisymmetric modelling conditions and why the
meshes of the copper and aluminium sheets can be designed to account
only for the material located around the dovetail ring holes where the
rivets are to be inserted [43].
Fig. 4.16 Fabrication of a hybrid busbar joint by injection lap riveting. a Initial and final
predicted finite element cross-sections of the joint with photograph and b experimental and
finite element predicted evolution of the riveting force with the punch stroke

The working principle of injection lap riveting is easily inferred

from the initial and final meshes shown in Fig. 4.16a. As seen, the
copper sheet acts as an injection chamber and the pre-drilled dovetail
ring hole behaves as a die cavity into which the shank length of the
semi-tubular rivet is injected by compression with a punch. No material
protrusions are left above and below the surfaces at the end of the
joining process because the deformed rivet is accommodated inside the
two sheets.
The evolution of the riveting force with punch stroke is made of
three main zones corresponding to different penetration depths of the
semi-tubular rivets inside the dovetail ring holes. The first zone
(labelled as ‘A’) corresponds to the contact with sliding of the inner
semi-tubular rivet wall along the inner surface of the dovetail ring hole.
The second zone (labelled as ‘B’) starts when the outer semi-tubular
rivet wall starts contacting and sliding along the outer surface of the
dovetail ring hole. The third zone (labelled as ‘C’) corresponds to the
contact of the rivet head against the countersunk surface hole of the
copper sheet.
The overall agreement between the experimental and the
numerically predicted riveting forces is very good and proves the
effectiveness of i-form in simulating the mechanical joining of busbars.

4.4.2 Hybrid Busbar Joints in Service

The numerical simulation of the electric current flowing through the
hybrid busbars produced by fastening and injection lap riveting cannot
be done under 2D axisymmetric modelling conditions because electric
current flows through the entire busbar length. Full three-dimensional
models like those shown in Fig. 4.17 are required.
Fig. 4.17 Finite element distribution of current density (A/mm2) for hybrid busbars joints
produced by a fastening and b by injection lap riveting with indication of the distance between
the measuring probes and the numerically predicted values of electric resistance

The finite element predicted distribution of current density for

the hybrid busbar joints produced by fastening and injection lap
riveting assumed ideal preparation of the sheet surfaces before joining
and measuring to avoid results being influenced by the presence of
copper and aluminium oxide films. As seen, the current density is
higher in the copper sheet ( A/m2) than in the aluminium
sheet ( A/m2), and the ratio matches the ratio
to ensure a near constant electric current flow through
the busbar (refer also to Eq. (4.1)).
The finite element predicted distribution of current density shows
that the new semi-tubular rivet produces a smaller electrical disruption
than the fastened joint consisting of a bolt with a nut. As a result of this,
the computed equivalent resistance in the 100 mm distance marked in
Fig. 4.17 is smaller (15.6 µΩ vs15.8 µΩ). These values are smaller than
the experimental values measured with the probes in the testing
apparatus of Fig. 4.15 (18.9 µΩ vs 17.5 µΩ) because the contact
conditions between the overlapped sheets were not ideal both from a
chemical and a mechanical point of view. In case of the later, it was
possible to observe contactless areas along the sheet edges of
the overlapped region.
Still, the results obtained by the authors confirm the advantages of
using the new type of joints in real applications comprising long
busbars with several connections. The absence of protrusions above
and below the sheet surfaces and the overall stability of the connection,
which is not sensitive to the loosening effects of fastened joints that
provided resistance values an order of magnitude above (e.g., 150 µΩ)
when the bolts and nuts were tightened by hand, further confirm the
advantages of the new proposed joints.

4.4.3 A New Portable Cutting Tool Concept

The dovetail ring holes utilized in the hybrid busbars were fabricated
by turning using a special purpose cutter. Ongoing developments by the
authors comprise the development of a portable cutting tool concept
that is schematically illustrated in Fig. 4.18 to foster the applicability of
the new proposed injection lap riveting process in-site [24, 43].

Fig. 4.18 The portable cutting tool concept for drilling dovetail ring holes in sheets and the
corresponding additive manufacturing prototype

The tool consists of two inclined cutters controlled by springs that

will progressively open to deepen the dovetail holes as the upper table
moves down. The tool can be easily attached to a drilling machine and
used as a portable milling machine.
 The design of the tool is flexible and allows easy and fast
replacement of the inclined cutters for sharpening. A prototype of the
cutting tool was fabricated by additive manufacturing using a fused
filament fabrication (FFF) machine and dovetail ring holes were
successfully fabricated in wood and polymer testing materials. The tool
is now being redesigned to allow machining the dovetail ring holes in
metal sheets.

4.5 Conclusions
Electric mobility is keeping the forming industry on their toes due to
opportunities in the production of components for asynchronous
motors, lightweight body-in-white structures, and busbar systems for
the distribution of electric power. Hybrid busbars made from copper
and aluminium combine the electric resistivity advantages of copper
with the lightweight and economic advantages of aluminium in such a
way that the thinner and costlier parts made from copper are only used
in specific key locations.
The use of aluminium in hybrid busbars comes at a cost of
diminishing the current carrying capacity, increasing the overall
impedance of busbars, and creating technical difficulties in joining with
copper. Results show that although the cross section of aluminium must
be 2.3 times greater than that of copper to ensure a similar
conductance, savings in weight and cost resulting from the use of
hybrid busbars are approximately equal to 32% and 84%, respectively.
The growing interest of automakers in the use of hybrid busbars
stimulated the authors to develop a new injection lap riveting process
to produce overlap joints by plastic deformation of a semi-tubular rivet
made from the softer material. The process is carried out in two stages,
in which a dovetail ring hole is first machined in the harder sheet and a
semi-tubular rivet is then injected through the softer sheet into the
dovetail hole of the harder sheet to obtain a mechanical interlocking.
Laboratory measurements of electric resistance in hybrid busbars
produced by injection lap riveting and comparison with the values
obtained in conventional fastened solutions demonstrate the
effectiveness of the new joining by forming concept. An electro-thermo-
mechanical finite element computer program developed by the authors
also reveals its effectiveness for the analysis of busbars due to its dual
capability of modelling the joining by forming process and the behavior
of the busbars under the application of an electric current.

Acknowledgements
The authors would like to acknowledge the support provided by
Fundação para a Ciência e a Tecnologia and IDMEC under LAETA-
UID/EMS/50022/2013 and PTDC/EME-EME/0949/2020. The work of
MSc. Francisco Ferreira is also acknowledged.

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J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_5

5. Autofrettage: From Development of

Guns to Strengthening of Pressure
Vessels
Rajkumar Shufen1   and Uday S. Dixit2  
(1) Department of Mechanical Engineering, Manipur Institute of
Technology, Imphal, 795004, India
(2) Department of Mechanical Engineering, Indian Institute of
Technology, Guwahati, 781039, India

 
  Rajkumar Shufen
Email: r.shufen@mitimphal.in

  Uday S. Dixit (Corresponding author)
Email: uday@iitg.ac.in

Abstract
Autofrettage is a popular metal forming process generally incorporated
for strengthening thick cylindrical and spherical pressure vessels. It is
based on the principle of pre stressing a vessel due to an applied load to
achieve a partial or complete plastic deformation followed by
unloading. The process induces compressive residual stresses in the
vicinity of the inner wall that is beneficial to the vessel. The process has
its roots to the nineteenth century during which military engineers
invented techniques to enhance the performance of gun barrels by
increasing the range and accuracy of the gun along with the reduction
of weight. As these efforts and techniques progressed with the
advancement of material science and metallurgy, the concept of
autofrettage was born. This chapter presents a history of autofrettage.
The events of the military engineers in seeking methods to overcome
the shortcomings in the early design of the gun barrels to the eventual
invention of autofrettage are presented. The further evolution of
autofrettage into various types in the following years is also presented.

5.1 Introduction
Autofrettage is an age-old metal strengthening technique implemented
in the design of thick-walled cylindrical or spherical pressure vessels
for enhancing its pressure bearing capacity, fatigue life, creep strength
and stress-corrosion resistance. For understanding the fundamental
principle behind autofrettage, one must first acquaint with some
phenomenological characteristics of material behavior. Every
mechanical member is subjected to some form of external loading that
tends to deform the material. Due to the action of the external forces,
internal resistive forces are generated in the material to oppose the
tendency of deformation; these resistive forces per unit area are called
stresses. When the applied external force is small, the deformation is
small due to which the stresses generated are also small and the
material returns to its initial state when the load is removed. In this
case, the material is said to have undergone an elastic deformation and
the property of the material by virtue of which it tends to return to the
initial state after removal of the applied force is called elasticity. On the
other hand, if the applied force is large, the generated stresses are large
and when it exceeds a certain limit called the yield point, the material
does not return to the initial state. Here the material is permanently
deformed and is said to have undergone yielding or a plastic
deformation. This property of the material by virtue of which it tends to
retain the deformed state after removal of the applied force is called
plasticity. When a material is loaded with a certain amount of force, the
bulk of the material may experience different levels of deformation and
subsequently generate different levels of stresses. Based on these
concepts, the principle of autofrettage can be understood.
Consider the section of a thick-walled cylindrical or spherical vessel
whose inner wall is pressurized with hydraulic pressure p as shown in
Fig. 5.1. Due to the applied pressure, the vessel expands outwards and
stresses are generated throughout the vessel whose magnitude varies
at different radial positions. Because the inner wall bears the maximum
effect of the pressure, maximum stresses are generated in the vicinity.
Likewise, the stresses generated are minimum at the outer wall. If p is
small then the vessel as a whole remains elastic and recovers the
original state when depressurized. However, if p reaches a particular
threshold, then yielding of the vessel initiates at the inner wall whereas
the rest of the vessel remains elastic. If p is further increased gradually,
then the yielding continues in the subsequent layers of the vessel and a
zone of plastically deformed material emanates from the inner wall up
to an intermediate radius. Here, the vessel comprises an inner plastic
zone bounded by an outer elastic zone as shown in Fig. 5.1a. If at this
point, the vessel is depressurized, the vessel undergoes unloading and
the stresses are relaxed. The material in the elastic zone will try to
regain its original position i.e., it will contract. However, the material in
the plastic zone is unable to return to its original position and some
permanent deformation remains; it also resists the tendency of the
contraction of the elastic zone. The result is that the inner plastic zone
is compressed by the elastic zone and the vessel by itself is self-hooped
as shown in Fig. 5.1b. This counteraction between the plastic and the
elastic zone induces stresses in the vessel; these stresses that are
present in the material in the absence of any external load are called
residual stresses. The residual stresses are compressive at the inner
wall and tensile at the outer wall. The induced compressive stress at the
inner wall is highly beneficial to the vessel when it is loaded at the
inner wall in the future service conditions. The stresses generated due
to the loading must first overcome the initial stresses before it begins to
cause the actual deformation in the direction of applied load. Thus, the
effect of any applied force is offset by a preexisting stress field, which
increases the load bearing capacity of the vessel.
Fig. 5.1 Working principle of a typical autofrettage process: a loading by pressure b unloading.
Hoop stress at a point Q at the inner wall is shown

The origin of autofrettage dates back to the nineteenth century

Europe at the height of colonial wars and the aftermath of the
Industrial revolution that revolutionized warfare from a war of men to
a war of machines. Military engineers became pivotal in the outcome of
warfare and a serious pursuit of enhancing the performance of firearms
ensued. These efforts along with the advances in metallurgy led to the
invention of the process. Though initially applied in the manufacture of
gun barrels, the concept gradually gained popularity and evolved from
just being utilized in the military to a number of important industries
such as pressure vessels, high pressure carrying components of water
jet cutting system, pressurized water reactors in nuclear power plants,
high pressure processing equipment in food industries and fuel
injection system in automobiles.
After its inception, autofrettage gradually captured the attention of
military and mechanical engineers who studied and perfected the
process in the following years. In the last eight decades, numerous
researches papers articulating new findings and developments in
autofrettage have been published in well reputed journals. The
research community is still actively pursuing research to improve
autofrettage process. The review paper by Shufen and Dixit [1] and the
recent book exclusively focused on autofrettage by Dixit et al. [2] review
salient research works in this field. The objective of this chapter is to
provide a history of the origin and the evolution of autofrettage. The
chapter is written by compiling the bits and pieces of historical
narratives related to autofrettage that can found in archival resources
like [3].
The chapter is organized as follows. Autofrettage was invented by a
military engineer. Therefore, it will be useful to learn some terms
related to guns and firearms. Hence, Sect. 5.2 provides a brief history of
the discovery of gunpowder and its influences in war. The basic
architecture of the early design of firearm especially the barrel and its
shortcomings are presented in Sect. 5.3. Section 5.4 presents the
important developments in gun barrels design, Sect. 5.5 presents the
era of the development of the theories of elasticity and plasticity as a
precursor to the emergence of the first autofrettaged gun presented in
Sect. 5.6. Section 5.7 describes the advent of swage autofrettage,
Sect. 5.8 presents the evolution of the process into various other types
of autofrettage processes and Sect. 5.9 concludes the chapter.

5.2 Discovery of Gunpowder and Early

Influences in Warfare
Although disputed among historians, the most accepted school of
thought about the origin of the gunpowder is from China. Records of its
discovery had been found in the Chinese treatise of military arts “Wu
Ching Tsung Yao” written in 1000 AD [4]. The black powder also
referred to as gunpowder came into existence in China as early as 220
BC. The explosive properties of the powder, which was essentially a
mixture of charcoal, sulphur and potassium nitrate was discovered by
chance while Chinese alchemists were conducting experiments for
separating gold from silver using a low temperature reaction. The
alchemists who added potassium nitrate and sulphur to the gold ore in
the furnace had forgotten to add charcoal in the very first step of the
reaction. In an attempt to rectify the error, they added charcoal in the
last step. Unaware to them, they had accidentally made the black
powder for the first time in history, which resulted in an explosion [5].
The Chinese referred to the black powder as Huo yao that translates to
fire-chemical.
 After the discovery, the Chinese devised a primitive design of the
modern day gun in the form of fire-spurting lances, which were
bamboo or bronze/iron cast rods loaded with gunpowder and lead
balls. The gunpowder when ignited shot fire and lead balls at the
opponents. The fire-spurting lances put to use in the Jin-Song wars
during the Song dynasty era (960 AD to 1279 AD) marked the first ever
military use of gunpowder and guns in recorded history. The Chinese
went on to construct a form of cannon-like devices that were mounted
on wooden frames to shoot incendiary gunpowder-filled bombs that
would explode upon impact. These proto-cannons were called Feiyun
Pilipao that translated to Flying-cloud Thunderclap Eruptors. A
representative diagram is shown in Fig. 5.2. The description of these
artillery devices were recorded in the Huolongling or the Fire Drake
manual written by Jiao Yu and Liu Bowen who were military officers,
philosophers and political advocates during the early Ming Dynasty
(1368–1644) [6] [7].

Fig. 5.2 A representative drawing of the Feiyun Pilipao (An artistic representation based on the
imagination of the authors)
 The introduction of gunpowder in Europe has conflicting theories.
Although, some historians have theorized that it was the Mongols who
brought gunpowder to Europe [8], it is also believed that an English
monk named Roger Bacon who experimented in 1249 with potassium
nitrate developed the gunpowder formula on his own. A German monk
named Berthold Schwartz continued the work of Bacon in 1320 [5].
Quickly after realizing the potential of the gunpowder, the Europeans
who started using it to breach the walls of castles in battle progressed
to implementing it in cannons. Impressed by these cannons, the initial
concept of the first hand-held gun in history began to take shape, which
at the time was known as hand cannon. The construction was fairly
simple with an assembly of two parts viz., the barrel that contained the
gunpowder with the projectile and a handle for holding. In the
subsequent years, the overall design of the gun and cannon would
undergo several changes.

5.3 Architecture of a Gun Barrel and

Shortcomings in the Early Design
The barrel of a gun or a cannon is essentially a hollow tube whose
primary function is to fire a projectile i.e., the bullet towards a target by
igniting a propellant charge. A propellant is an explosive material that
burns rapidly after ignition resulting in a large volume of hot gas. The
forward end of the barrel is called the muzzle whereas the rear end is
called the breech. When the gun is loaded, the propellant and projectile
are enclosed at the breech end. When the gun is fired, the propellant
ignites and burns rapidly generating very high pressure due to
expansion of the hot gases. The magnitude of the pressure generated is
of the order up to 413 MPa in small guns to 275 MPa in larger guns
designed in the modern day [9]. The pressure of the gas is maximum at
the breech end and decreases as it pushes the projectile towards the
muzzle. This requires the breech to be thickest part of the barrel to
enable it to withstand the initial shock of the combustion. To save
weight of the barrel, the thickness gradually decreases towards the
muzzle. Because of this, the old designs in cannon and naval gun barrels
had a characteristic look as shown in Fig. 5.3.
Fig. 5.3 A schematic of the section of an early design of a naval gun barrel

The range and accuracy of the projectile being fired in the old
design of gun barrels was poor due to a number of design flaws. The
first was the rapid burning rate of the propellant i.e., the black powder
that used to be popular in the old days. The initial shock of the
combustion caused the pressure of the gas to reach the maximum
before the projectile reached the end of the bore. By the time, the
projectile exited the muzzle, the pressure of the gas had decreased
significantly. This required the breech to be thicker for withstanding
the shock and also limited the length of the barrel to be short because
the gas pressure fell rapidly [10]. Thus the strength to weight ratio was
quite low.
The second factor was the spherical shape of the projectile being
fired. Although both guns and cannons had a decent range, the accuracy
was so poor that a gun with a maximum range of about 1828 m could
hit its target only at point-blank range within 70‒90 m. A solution to
improve the range as well as accuracy was to make the projectile
heavier as it would generate more momentum and overcome wind and
air resistance. The old cannons mainly used spherical shots, whose
volume was strictly a function of the third power of the radius, i.e., to
increase the mass of projectile by two times, it would require an
increase in the radius by about 1.25. The maximum allowable volume of
the projectile was limited by the bore of the barrel. With a cylindrical
geometry, the volume of the projectile could be increased and made
more massive by making it longer. However, without imparting a spin to
the cylindrical projectile about its longitudinal axis, its trajectory would
be much more unpredictable than that of a spherical one. As the old
guns had smooth bores, this was not possible and the round shots were
the only options [10].
 The third factor was the loading method. The standard practice of
loading the smoothbore gun was from the muzzle. The shooter would
first ladle a metered amount of black powder into the breech and then
force the round shot wrapped in a fabric patch down the bore with a
ramrod as shown in Fig. 5.4. Since a close clearance between the shot
and bore would have made the loading impossible, it was a fairly loose
fit. When the gun was fired by igniting a priming mixture or fuse
leading into the loaded breech end of the bore, the function of the patch
was to contain the pressure by sealing the gases trailing the loose-
fitting ball projectile. This was not very practical as much of the gas
would still escape by one side or the other leading to loss of pressure
and a weak propulsion of the ball. The ball leaving the muzzle was slow
with a speed of about 90 m/s compared to 820 m/s achievable in
conventional modern naval medium caliber guns.

5.4 Radical Developments in the Gun Barrel

Design
As discussed above, some undesirable aspects of the first design of guns
and cannons were the low strength to weight ratio, poor range and
accuracy due to the round shots. The first revolutionary invention in
the design of gun barrel was the rifling process. The science behind the
process was as follows. The spherical bullets loaded into the guns were
lead ball castings. These lead balls were usually associated with some
form of casting flaws like pits and bubbles, which increased when
produced in large numbers. Even the most carefully cast bullets had
slight imperfections. As a result, the density of the lead was not uniform
resulting in an uneven distribution of the weight of the bullet. Thus, the
bullet's center of gravity did not coincide with its true geometric center.
As soon as a bullet shot out of a barrel leaves the muzzle, it was
subjected to two main forces namely its own weight and wind & air
resistance. If the bullet did not spin, as in the case of a smoothly bored
barrel, a slightest uneven distribution of the mass caused the bullet to
wobble and lose control. If helical grooves were cut into the bore of the
gun barrel from the breech to muzzle, the bullet, when forced down
along the bore, followed these grooves and gained a spinning motion.
As a result, the casting defects and the weights were no longer confined
in any particular part of the bullet but rather distributed
asymmetrically about one central axis of rotation.
The spin induced a gyroscopic motion to the bullet; in short a
gyroscopic motion is one where a rotating object tends to resists a
change in its direction of rotation due to the conservation of angular
momentum. This provided stability to the bullet and increased the
accuracy of the shot significantly. According to legend, a certain man
named Kaspar Kollner of Vienna in about 1496–99 or August Kotter of
Nuremberg in about 1520, was the first to apply this principle to bullets
[11]. A three dimensional computer generated model of a rifled barrel
is shown in Fig. 5.5.
With the introduction of rifling, engineers then had the option to
abandon spherical projectiles in favor of cylindrical ones that would
improve the range as well as the accuracy of the guns and cannons.
However, implementing rifling to the muzzle loaded guns and cannon
was going to be difficult because the bullet had to be rammed down the
length of the bore with such close fitting clearance. With a cylindrical
round, the effective surfaces of contact was more compared to a
spherical round. This would require more time and effort during
loading and distort the shape of the bullet. Thus the ramming in rifled
muzzle loaders was possible only in small arms but not in cannon.
The next big leap in design of guns and cannon can be summed up
in the description of the famous Armstrong gun that was developed
around 1855 after the events of the Crimean War (1853–1856) fought
between Russia and the alliance of United Kingdom, France, the
Ottoman Empire and Sardinia. A battle that was particularly influential
in the development of the gun was the one fought at Inkerman in 1854
where the British suffered heavy losses after a surprise Russian
invasion. As assessed, part of the failure was because of the bulky and
heavy cast iron artillery guns that made it difficult in quickly
maneuvering over the rough terrain of the southern Crimean Peninsula.
The British army sought the help of the engineers to improve the
artillery. James Rendel who was the chief civil engineer for the British
admiralty persuaded his friend William Armstrong, an inventor and
manufacturer of hydraulic machinery in Newcastle, to take on the
challenge of a new class of light and rifled artillery forged with wrought
iron to replace the old heavy cast iron variants. William Armstrong who
studied the reports of the Crimean war and the battle of Inkerman
teamed up with another two of Britain’s most famous engineers then,
James Hall Nasmyth and Isambard Kingdom Brunel to come up with the
gun that came to be known as the Armstrong gun [12]. The gun brought
along important design aspects. First, the bore was rifled and adopted
cylindrical rounds instead of spherical ones. Second, the gun
incorporated and perfected the breech loading technique. For long, the
main challenge in adopting a breech loading technique had been to
construct a mechanism strong enough to withstand the explosion of the
charge. Although experiments on breech loaders had already begun as
early as 1460 [13], it was perfected in the Armstrong gun.
Rifling and breech loading made the gun an engineering ingenuity
that set new standards in gun design. However, it was the construction
technique that made the Armstrong gun exceptional. This was the
famous “built-up” method of construction that comprised the following
steps. First a wrought iron tube having the bore diameter of the gun
barrel was taken. Then a second tube having a slightly lesser bore
diameter than the outer the outer diameter of the first was taken and
heated until it had expanded just sufficiently enough to slip over the
first tube. As the outer tube was allowed to cool, it gradually contracted
and compressed the inner tube. This was repeated by heating a third
tube and then shrinking onto the second tube and the gun was “built-
up” in layers rather than constructed as a mono bloc casting. Thus an
inward uniform pressure was maintained throughout the bore. This
pressure acted against the radial and circumferential stresses
generated on the barrel when the gun was fired. Thus, the shrink-fitted
tubular hoops alleviated the stresses generated in the barrel and hence
strengthened the bore of gun. The compression of each progressive
layer added up to reinforce the innermost tube. Thicker but shorter
tubes were used near the breech for maximum strengthening against
the initial detonation of the charge giving the guns a distinctive
telescopic shape as shown in Fig. 5.6. This greatly enhanced the
pressure bearing capacity of cannons to withstand powerful explosions
and hence made feasible to fire shells of great size and power. The
feature became revolutionary and paved the way for the rapid
Evolution of artillery and naval ordnance during the third quarter of the
nineteenth century.
5.5 Precursor to Autofrettage
With the built up having improved the range and accuracy of guns, what
then remained was to seek a new method of construction to increase
the strength to weight ratio of the guns. The built-up gun addressed and
solved this to an extent but the process had to be carefully controlled
such that the compression of the outer layers did not alter the bore
diameter of the innermost tube functioning as the gun barrel. Now the
only method to further achieve the reduction in weight without
compromising the strength was to improve the material strength of the
barrel or control the burning rate of the black powder. However,
significant advancements in explosive chemistry only came much later.
The smokeless powder that was a much superior propellant than the
black powder was invented by Paul Vieille in 1884 [14]. By the mid-
nineteenth century, mechanical engineers had started experimenting
and studying the phemenological characteristics of metals. Based on
these experiments, engineers were able to obtain mathematical models
of material behavior.
A French mathematician Gabriel Lamé (1795‒1870) came up with
the elastic solution of an internally/externally pressurized thick-walled
cylinder in the elastic range. According to his paper published in 1852
[15], the solution for the distribution of stresses in an internally
pressurized cylinder as a function of the radial position r is given by

(5.1)

where σr and σθ are the radial and circumferential stress

components, p is the internal pressure, a is the inner radius and b is the
outer radius. According to Eq. (5.1), radial and circumferential stress
components vary inversely as the square of the radius. Thus, in an
internal pressurized hollow cylinder, material points in the vicinity of
the bore experience the maximum stresses whereas those points in the
vicinity of outer radius experience the minimum. Considering two
hollow cylinders having the same bore diameters but different
thicknesses i.e., identical values of a with different values of b, the
magnitude of the stresses generated at the inner and outer radii due an
inner pressure of 120 MPa are listed in Table 5.1. Irrespective of the
thickness, Eq. (5.1) yields identical radial stresses at the inner wall. The
variation of the hoop stresses at the inner and outer radii shows that as
thickness keeps on increasing, the hoop stress at the inner wall
becomes approximately constant whereas that at the outer wall
decreases and approaches zero. This implied the contribution to of the
thickness to the strength of the cylinder becomes insignificant beyond a
limit after which any further increase becomes inconsequential in
enabling the cylinder to withstand pressure. Hitherto, the only method
to ensure that the barrel of a gun withstood more pressure was to make
it thicker but it was now clear that there were limits to this method.
Table 5.1 Variation of the radial and hoop stresses at the inner and outer wall due to an
applied internal pressure of 120 MPa (a = 10 mm). Note that in all the cases, σr at the inner wall
is 120 MPa and that at the outer wall is 0

b σθat a σθat b
(mm) (MPa) (MPa)

30 150 30
50 130 10
60 126.86 6.86
70 125.00 5.00
80 123.81 3.81
100 122.42 2.42
120 121.68 1.68
130 121.43 1.43
140 121.23 1.23
200 120.60 0.60

So far, military engineers did not have a governing law that could
predict the behavior of materials after yielding. The preexisting theory
for the characterization of material such as that proposed by Thomas
Young [16] in 1845 was only valid till the elastic limit and for a material
subjected to a uniaxial stress only in one direction. An internally
pressurized thick walled cylinder involved stresses in three principal
directions. In absence of a theory to support the post-yield behavior of
metals under a tri-axial stress state, predicting the behavior of a
pressurized thick walled cylinder was not possible. In 1864, a French
mechanical engineer Henri Édouard Tresca proposed the first criterion
for the onset of plastic deformation in materials. Tresca came up with
the theory based on observations from experiments on extrusion of
metals through dies of various shapes. The Tresca criterion stated that
yielding in a material would occur when the maximum shear stress at a
point reached the critical value. The maximum shear stress σmax at a
point was defined by [17]

(5.2)

where σ1, σ2 and σ3 were the principal stresses generated in the

material. Yielding would commence when the maximum shear stress
was equal to half of the yield stress of the material. For his contribution,
Tresca was inducted to the American Society of Mechanical Engineers
in 1882 [18].

5.6 Origin of the Autofrettaged Gun

Lamé [15] and Tresca provided the insight that a thick cylinder
subjected to high internal pressure would commence yielding from the
inner wall and continue so progressively in layers with each increment
of pressure. The built-up guns had already shed light about the concept
of strengthening the barrel of the guns by pre-stressing. By drawing
inference between these two, the idea of autofrettage began to take
shape. An analysis of the plastic deformation of a pressurized thick-
walled cylinder was published by Saint–Venant [19] that introduced the
concept of autofrettage. The principle of autofrettage is as explained in
Sect. 5.1. Jacob [20], a French military officer is credited to for coining
the term “autofrettage”, which means self-hooping in French.
Guns manufactured by autofrettage came to be known as radially
expanded guns [10]. The method of construction was as follows. The
inner wall of the mono-bloc barrel was bored to a diameter slightly
lesser than the desired dimension whereas the outer wall was turned to
a diameter slightly larger than the desired dimension. The bore was
filled with hydraulic fluid and then pressurized due to which stresses
were generated, which decreased inversely as the square of the radius
as per Lamé’s equations. The pressure was then increased gradually
until the material at the inner wall was strained just beyond the elastic
limit. Assuming the cylinder to be made up of many infinitesimal layers,
the innermost layer was permanently strained whereas rest of the
layers remained elastic due to the load. When the pressure was
increased, the second layer yielded, it added up to the initial permanent
strain of the first layer. As the pressure kept on increasing, each yielding
of a new layer increased the permanent strain of the inner layers,
collectively forming an inner plastic zone. The rest of the cylinder
formed an elastic zone. Considering permanent strain till an
intermediate layer, the pressure was held for a time and then removed.
In absence of the load, all the layers in the elastic zone tried to regain
the original material state by contracting inwards whereas the layers in
the plastic zone remained permanently strained due to the loss of
elasticity. The net effect was that all the elastic zone layers compressed
the plastic zone layers in unison. Thus, a process of self-hooping was
obtained analogous to the built up method where the gun was
constructed by shrinking an infinite number of infinitesimally thin
cylindrical hoops on hollow core meant to be the barrel. Since the
process was carried out using hydraulic pressure, engineers today refer
to this type of autofrettage as hydraulic autofrettage.
Whereas in the built-up method, the compression of the inner layers
was carried out in steps, the effect of the outermost layer was mostly
significant to the one immediately below and the strength of the metal
was not fully utilized. In the radially expanded guns constructed using
autofrettage, the compression is achieved through a continuous
material medium and a uniform residual stress field is thus obtained
[10]. The radially expanded guns present a number of advantages. The
strength to weight ratio is much greater compared to that of built-up
guns, which meant a lighter overall assembly. The autofrettage process
is faster and cheaper than the built-up method [10]. Still the
autofrettage technique can only be implemented for making moderate-
size guns with calibers ranging from 5"/38 (127 mm) to 6"/47
(152 mm) due to difficulty in forging monobloc barrels with large
caliber. For large caliber guns, the built-up method and autofrettage
may be combined in a single gun like in 8"/55 (203 mm) caliber guns
where a jacket is shrunk on an autofrettaged barrel [16].

5.7 The Swage Autofrettage Process

As autofrettage became popular, engineers began extensively applying
it in gun making. By the end of the Second World War, advancement of
metallurgy had facilitated the production of high strength steels on an
industrial scale. The United States Army encouraged and funded the
Watervliet Arsenal located in New York to apply the autofrettage
technique to gun barrels made of high-strength, low-alloy steel [13].
Due to the high strength of the low-alloy steels, pressures required for
autofrettage was found to be very high (about the order of 1035 MPa)
and much higher than that expected considering earlier materials such
as wrought iron. As the process was implemented for some years, the
operating and maintenance cost of high pressure equipment such as the
intensifier became hard to overlook. Around this same period,
experiments were being conducted for rifling gun barrels of high
strength steel by forcing a tapered mandrel with the rifling profile on
the outer surface along the barrel. The process was successful in
small caliber rifles due to the high strength of the material. However,
during the failed attempt to produce rifling in large cannon barrels, it
was discovered that forcing the mandrel had autofrettaged the barrel
[13].
Davidson et al. [21] exploited this idea and proposed a novel
method of autofrettage that came to be known as the swage
autofrettage process. In this method, the inner wall of the cylinder was
plastically deformed by forcing an oversized mandrel called ‘swage’
through the bore of the cylinder by means of the ram powered by a
hydraulic or a mechanical press. A typical mandrel whose schematic is
shown in Fig. 5.7. had a front taper of θF, a rear taper θR and a parallel
section in between. The front taper ensured that the load was applied
gradually, the parallel section was to create a uniform plastic
deformation of bore and the rear taper was for gradual unloading of the
cylinder. Davidson et al. [21] used a front taper of 1.5°, a rear taper of 3°
and a 19 mm long parallel section. The mandrel as well as the barrel
tubes were made up steel alloy 4340. Three types of experimental
setups were devised. The first was called the mechanical swaging in
which the mandrel was pushed using a ram powered by a hydraulic
press. The second called hydraulic push swaging was carried out by
applying hydraulic pressure to a mixture of water and glycerine to push
the mandrel. The third was mechanical pull swaging in which the
mandrel was pulled using an overhead crane. The three arrangements
are shown in Fig. 5.7.

Fig. 5.4 A representative drawing of a primed and muzzle loaded early naval gun. An
imaginative sketch prepared based on description in [10]
Fig. 5.5 A typical rifled barrel

Fig. 5.6 A representative drawing of a built up gun barrel

Fig. 5.7 Schematic of a mechanical push b hydraulic push c pull swage autofrettage and d
geometry of a typical swage mandrel

As the process involved a rigorous interaction of the bore, the

mandrel surfaces generated a lot of friction at the interface. The
mandrel surface was conditioned by polishing to about 0.05–0.4 μm Ra
surface roughness. A thin surface of copper was electroplated at the
bore and then lubricated with molybdenum disulfide suspension in oil.
It was found that the swage autofrettage process was much faster,
simpler and more economical than hydraulic autofrettage. For the same
level of strengthening, all the three methods of swage autofrettage
required a much lesser pressure than that with hydraulic autofrettage.
The method became highly suitable for autofrettage process for gun
barrels.

5.8 Gradual Evolution of Autofrettage into

Various Types
Since the basic idea of autofrettage was to load the inner wall of a
cylinder until plastic deformation and then unload it, different types of
loading methods could be utilized to achieve it. As the hydraulic and
swage autofrettage processes became well established, researchers
began exploring other possible methods of carrying out autofrettage. In
explosive autofrettage, the pressure vessel is filled with a hydraulic
medium like air or water and then an explosive charge is detonated
inside [22]. The high pressure generated from the explosion is utilized
as the autofrettage load. Because of the difficulty in controlling the
explosive, this method is less popular. A typical set up of the apparatus
for the explosive autofrettage is shown in Fig. 5.8.

Fig. 5.8 Schematic of a typical set up of explosive autofrettage process. Modified figure from
Ref. [23]. With permission from Ph.D. thesis of Dr. S.M. Kamal

The next type of autofrettage is the thermal autofrettage where the

outer wall of the thick-walled cylinder or sphere is heated while the
inner wall is kept cold. The thermal stresses generated due to the
temperature gradient across the wall thickness is utilized as the
autofrettage load. The temperature conditions are held for a while and
then the cylinder is gradually cooled to room temperature and residual
stresses are induced. The origin of the concept is dated back to the
1850s when General Thomas Rodman of the Ordnance Department of
the United States Army fabricated gun barrels from direct casting by
cooling the bore with cold water while the rest of the cylinder was still
hot from the casting condition [3]. The differential cooling across the
thickness of the cylinder created a condition of thermal autofrettage
and strengthened the gun barrels. However, the process was not
actively pursued at the time. The term ‘thermal autofrettage’ was first
encountered in the study by Wen et al. [24] who used the process to
autofrettage internal metal liner of a cryogenic feed line. A rigorous
theoretical analysis of thermal autofrettage was first carried out by
Kamal and Dixit [25] for a long thick walled cylinder.
 Kamal et al. [26] carried out experiments to study the process. The
schematic of the experimental set up for carrying out thermal
autofrettage process is shown in Fig. 5.9 [23]. The outer wall of the
cylinder was heated using heating coils inside an insulated ceramic
jacket while cold water was circulated along the bore. This created the
required temperature gradient in the cylinder. In the following years,
researchers have studied the combination of thermal autofrettage with
shrink fitting [27], hydraulic autofrettage [28] and even heat treatment
[29].

Fig. 5.9 A schematic of thermal autofrettage process. From Ref. [23]. With permission from
Ph.D. thesis of Dr. S.M. Kamal

The most recently discovered method of autofrettage is the

rotational autofrettage. A simple schematic of the process is shown in
Fig. 5.10. In this method, the cylinder is rotated at a very high speed
angular velocity about its longitudinal axis. The rotation of the cylinder
generates stresses, which serves as the autofrettage load. After the
rotation, the cylinder is gradually brought to rest. The technique was
proposed by Zare and Darijani [30] for a long cylinder who carried out
rigorous analysis using mathematical model. Kamal presented a
theoretical analysis of the process in a thin disc [31]. However, till date,
no one reported the practical implementation of the process.

Fig. 5.10 A schematic of rotational autofrettage process

5.9 Conclusion
This chapter presented a history of autofrettage from its military roots
to its invention in the later part of the nineteenth century. The
presentation starts with a brief narration of the invention of the first
gun powder and its application in warfare that led to the emergence of
guns and cannons. The design flaws and issues in the early gun barrels
are discussed. This is followed by the description of methods invented
by military engineers to overcome the shortcomings in the early design
of the gun barrels. Some basic theories of metal elasticity and plasticity
in cylinders that came about as a precursor to the invention of
autofrettage are then presented. The design of the earliest gun barrels
incorporating hydraulic autofrettage is explained. Finally, the gradual
evolution of autofrettage from the hydraulic method to other methods
is explained. At present, there are five different types of autofrettage
processes, which are hydraulic [20], swage [21], explosive [22], thermal
[25] and rotational autofrettage [30]. However, thermal autofrettage
has still not found popularity in industries. As far as, rotational
autofrettage is concerned, it has not been studied experimentally till
date.

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© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022
J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_6

6. Machining of Fibrous Composites:

Recent Advances and Future
Perspectives
Jinyang Xu1   and J. Paulo Davim2
(1) School of Mechanical Engineering, Shanghai Jiao Tong University,
Shanghai, 200240, China
(2) Department of Mechanical Engineering, University of Aveiro,
Aveiro, 3810-193, Portugal

 
  Jinyang Xu
Email: xujinyang@sjtu.edu.cn

Abstract
Fibrous composites have emerged as a promising alternative to
conventional metals and steels in view of their outstanding properties.
Machining of these composites is a critical procedure to get target
shapes and desired quality. The present chapter reviews the machining
aspects for fibrous composites by critically analyzing the recent
advances achieved in the scientific literature. A brief introduction to the
fundamental concepts of fibrous composites is initially presented, and
then the basic composite cutting mechanisms, machining responses,
and tool wear issues are all illustrated. Additionally, the developing
trends of advanced machining techniques for fibrous composites are
briefly reviewed. Finally, technical perspectives regarding the future
development of machining fibrous composites are outlined.

Keywords Fibrous composites – Cutting mechanisms – Machining

responses – Wear issues
6.1 Introduction
Industrial engineers have made considerable efforts to develop new
materials possessing superior properties and excellent functionalities
in order to fabricate advanced components favoring energy saving and
system improvement. This leads to the emergence of composite
materials, which attract widespread attention in modern industrial
fields. The term “composite” signifies a multi-phase material made of at
least two constituents. One is named the reinforcement, and the other
is called the matrix base [1]. The reinforcement offers the main
composite properties, while the matrix base binds the reinforcement
together, and transfers loads within the reinforcement. Since
composites merge the benefits of at least two constituents, they possess
the following unique advantages: (i) high strength and stiffness that are
not possessed by individual material layers, (ii) low weight ratio
benefitting the energy-saving and carbon emission reduction, and (iii)
superior designability in terms of their architecture and layup. As such,
composite materials become attractive in various industries [2, 3].
Among the classification of composite families, fiber-reinforced
composites (aka. fibrous composites) stand for one of the most used
composites because of their outstanding properties and behaviors.
They are becoming a promising alternative to conventional steels and
metals. Fibrous composites signify one type of material being
constituted by lightweight, high modulus fibers impregnated with soft
and rubbery matrix base [4]. They can be further categorized into
continuous and discontinuous fiber composites. In general,
discontinuous fiber composites show better isotropic behavior than
continuous fiber-reinforced composites as short fibers can enhance the
matrix in every direction. Design and fabrication of fibrous composites
show a high dependence on the selection of the fiber phase as the
reinforcement contributes the main properties to the composite. Fiber
materials, fiber shape, and size affect the properties of fibrous
composites. The fiber reinforcements often present in a fibrous form as
substances are stiffer and more robust in the fibrous state than in any
other state. Additionally, fiber reinforcements are often impregnated
with polymer-based matrices such as thermosetting polymers or
thermoplastic polymers to form the eventual fibrous composites. The
fiber reinforcement can present in the matrix base following the 1-D, 2-
D, and 3-D forms. In the 1-D configuration, all the fibers are laid up in a
plane following a specific direction. Therefore, the 1-D fibrous
composite gives the maximum strength along the fiber direction. In
some cases, this type of fiber composite is referred to as a
unidirectional (UD) composite. With respect to the 2-D configuration,
all the bundles of fibers are arranged in a plane. The fibers are often
aligned in at least two different directions/orientations in a plane.
Therefore, they give strength and stiffness in two directions. One of the
typical examples is the woven fiber composite. For the 3-D
configuration, all the fibers are aligned in a random direction so that
the material shows typically isotropic behavior that gives the strength
equally in all directions.
Despite the net shapes of molded fibrous composites, secondary
manufacturing operations are still necessary to create target shapes
and desired quality [4–7]. However, fibrous composites are extremely
difficult to machine as they possess rather poor machinability than
conventional steels and alloys. This is because fibrous composites are
heterogeneous in structure and anisotropic in behavior since the
reinforcing fibers and the matrix base commonly exhibit disparate
mechanical/physical properties. As such, the two inherent
characteristics, heterogeneity, and anisotropy complicate the machining
operations of fibrous composite parts, particularly the chip removal
process. The composite chip removal depends largely on the variation
of the fiber orientation angle, which means different types of fiber
orientation will result in disparate modes of chip separation as well as
the resulting forces, temperatures, and quality attributes. In a cutting
operation, the cutting tool interacts alternately with the fiber-matrix
layers, and different material removal modes take place due to
disparate properties of the constituents. Various types of cutting
damages become prevalent during the composites machining, such as
fiber splintering, burrs, surface cavities, delamination, etc. Moreover,
machining fibrous composites entails rapid tool wear and catastrophic
chipping failure, leading to higher costs and lower cutting efficiency. As
a consequence, fibrous composite cutting poses enormous challenges
to the modern manufacturing community, and great efforts have been
spent with the aim to improve their machinability.
 This chapter reviews the machining behaviors associated with
fibrous composites that have been extensively employed in current
industrial fields. The basic cutting mechanisms, machining responses,
tool wear issues are discussed. Eventually, some perspectives regarding
the future development of fibrous composite machining are put
forward.

6.2 Machinability Issues of Fibrous

Composites
The machinability issues associated with the cutting of fibrous
composites are challenging chip removal, bad surface quality, and rapid
wear progression. Chip separation is a critical procedure determining
the eventual cutting responses of workpiece materials. As the fibrous
composites show anisotropic machinability in relation to the fiber
orientation, chip removal depends significantly on the fiber layup,
which complicates material resection and cut surface formation.
Additionally, surface quality is a comprehensive factor characterizing
the overall conditions of cut workpiece surfaces. It is firmly associated
with the coupling effects of the chip removal mode, the cutting
conditions (e.g., cutting environments and process parameters), the
tool-workpiece system, etc. For surface quality issues, delamination is
the most critical damage, signifying the interlaminar debonding of
neighboring fiber plies. It is a force-related failure that consists of two
formation modes. The first is the peel-up delamination induced by
drilling torque at the entry side, and the second is the push-down
delamination promoted by drilling thrust at the exit side. Since
delamination damage is irreparable, it accounts for the majority of
composite parts rejections. Therefore, it represents the most critical
damage type that has to be carefully minimized to improve the
composite machinability. Besides the critical delamination damage,
fiber pullout, uncut fibers, uncut resin, and breakout are also crucial
issues for the surface quality attributes of fibrous composites. For
instance, fiber pullout signifies the extrusion of fibers due to the non-
effective cutting of fibers. This is very similar to the conditions of the
uncut fibers residing around a hole circumference. This type of defect
may affect the dimensional accuracy of a cut fibrous composite surface.
However, the defect can be eventually removed if a finish operation is
followed. Moreover, the damage of breakout signifies the undesired
separation of the fibers or the matrix, which significantly affects the
integrity of cut composite surfaces. Sometimes, this type of damage is a
key cause for the surface cavities because of the fiber/matrix loss.
Apart from the surface quality issues, rapid wear progression is
another crucial problem for cutting fibrous composites. It is caused by
highly abrasive reinforcing fibers that induce severe abrasions and
modifications onto the tool surfaces. Due to the rapid wear progression,
the tool life would be significantly reduced. The enlarged dulled edge
radius and the abrasive tool wear would work together to cause
premature failures of cutting tools, such as microchipping, flaking of
coatings, or edge fracture. Since tool wear correlates with the
composite fiber layup, a better control of the fiber cutting angle may
benefit the reduction and alleviation of abrasion wear extents.
To solve the aforementioned machining issues for fibrous
composites, more endeavors have to be made in both academia and
industry, focusing on optimizing cutting parameters, developing
specialized tools, and proposing advanced manufacturing
methodologies.

6.3 Cutting Mechanisms of Fibrous

Composites
The chip separation mechanisms of fibrous composites are highly fiber
orientation-dependent as different oriented fibers involve disparate
tool-chip interactions and mechanical load conditions. The pioneering
study addressing the composite cutting mechanisms was done by
Koplev et al. [8, 9] in the early 1980s. The authors adopted the quick-
stop experiments to inspect the chip separation for unidirectional
carbon fiber-reinforced polymers (CFRPs), as shown in Fig. 6.1. In their
work, brittle fracture was noted as a primary chip removal mode
governing the orthogonal cutting of UD-CFRPs. Following this
preceding work, Wang et al. [10, 11] analyzed the cutting mechanisms
for both unidirectional and multidirectional fibrous composites. They
classified the composite chip removal modes in terms of the fiber
orientation angle. Delamination, fiber buckling, fiber cutting,
deformation, and shearing were highlighted as the critical modes
dominating the composite separation (Ref. Fig. 6.2). Additionally, Pwu
and Hocheng [12] attributed the chip removal of UD fibrous composites
perpendicular to the fiber direction to three critical procedures,
including the initial contact and deflection of fiber plies induced by the
tool tip, fiber breaking by large bending stresses, and fiber failure
extending beneath the cut surface, as depicted in Fig. 6.3. Wang and
Zhang [13] pointed out the bouncing-back effects during the chip
removal of unidirectional fiber-reinforced polymers (FRPs). It was
found that chipping, pressing, and bouncing exist in cutting FRPs. Apart
from the experimental methodology, numerical simulation has been a
powerful tool to inspect the micro chip removal mechanisms of fibrous
composites. The recent advances achieved through the use of numerical
techniques to reveal the cutting mechanisms for fibrous composites can
be found in Refs. [14–30].

Fig. 6.1 Quick-stop images for cutting UD-CFRPs perpendicular a and parallel b to the fibers.
Reproduced with
copyright permission from Koplev et al. [9]
Fig. 6.2 Chip separation modes for UD-FRPs in terms of the fiber orientation. Reproduced with
copyright permission from Wang et al. [10]
Fig. 6.3 Schematic illustration of chip removal for 90° UD-FRPs: a before and b after bending
failure. Reproduced with
copyright permission from Pwu and Hocheng [12] and Che et al. [7]

Generally, the cutting mechanisms controlling the chip separation

for UD-FRPs can be illustrated in terms of four cutting relations
according to the fiber orientation variation (Ref. Fig. 6.4). Note that the
cutting tools are defined by positive rake and clearance angles. The first
cutting relation signifies the parallel fiber cutting condition, in which
the tool advancement is toward the fiber direction (Ref. Fig. 6.4a). The
tool tip attacks the fibers firstly, and then it causes compressive stresses
initiated at the interface of two adjacent layers. Afterward, microcracks
are generated to separate different fiber plies. Additionally, the tool
rake face causes a cantilever bending, which leads to the buckling of
fibers, as well as the fiber cracking. When the cracks reach the fiber free
surfaces or the stress reaches the ultimate fiber strength limit, fibers
are broken from the tool rake face, resulting in powdery chip formation.
Along fiber cutting relation denotes the 0–90° fiber cutting angle (Ref.
Fig. 6.4b). In this cutting condition, the tool tip firstly contacts the uncut
fibers, and then it causes shear stress toward the cross-section of the
fibers. Additionally, with the tool advancement, interlaminar debonding
may occur along the fiber/matrix interface, and then cracks are
generated. Finally, when the cracks reach the fiber free surface, chips
are separated from the composite base. Under the along fiber cutting
conditions, typically lower levels of cutting forces are generated
because of insignificant friction of the tool-chip interface. For vertical
cutting relation (Ref. Fig. 6.4c), the fiber cutting angle is 90° and the
tool-chip contact area depends on the tool rake angle. When the tool tip
zone causes a high level of compressive stresses toward the cross-
section of fibers, microcracks are initiated across the fiber axis, leading
to the separation of the fibers. Since the vertical fibers are broken
randomly with different cross-sectional surfaces, the cut surface
morphologies are expected to be much poorer than those gained under
the parallel cutting relation. For cutting against fiber direction, it
signifies that the fiber cutting angle is within 90–180° (Ref. Fig. 6.4d).
In this circumstance, the tool rake face firstly contacts the uncut fibers,
causing the bending stresses of uncut fibers and resulting in the shear
stress occurring at the fiber cross-section. With the tool advancement,
the tool tip tends to attack the fibers leading to the shear stress for chip
separation. Therefore, if the shear and bending stresses reach the
ultimate fiber strength, fibers will be separated with a lower root
thickness. However, if the fibers fail when the shear stresses induced by
the tool tip reach the ultimate fiber strength, the resected chips will
have a larger root thickness. Therefore, under such a cutting relation,
the machined surfaces are much poorer, containing various cutting-
induced defects since the chips are separated with different root
thicknesses.

Fig. 6.4 Scheme of four basic cutting relations for UD-FRPs: a parallel fiber cutting relation; b
along fiber cutting relation; c vertical cutting relation; d against fiber cutting relation
6.4 Fundamental Machining Responses
Cutting forces and temperatures are the main physical responses
signifying the mechanical-thermal interactions of the tool-workpiece
interface. They depend greatly on the stacking sequence of the
fiber/matrix system. The fiber layup affects the tool-composite
interaction, thus leading to variations of composite cutting forces.
Additionally, fiber layup has the ability to change the equivalent
thermal conductivity and frictional coefficient of the fiber/matrix
system, which thereby influences the heat generation and transfer.
Additionally, process parameters crucially determine the generation of
cutting forces/temperatures for fibrous composites [31–33]. The
cutting speed has been widely confirmed to exhibit a negative impact
on the progression of cutting forces as thermal softening may occur for
the fiber/matrix system when high cutting speeds are employed.
However, in some other studies, increasing the cutting speed tends to
elevate machining forces for fibrous composites. By contrast, the depth
of cut signifies the uncut chip thickness during the composite chip
removal. Therefore, both process parameters positively affect the force
development as an increased chip thickness produces an enlarged
cutting resistance to separate composite materials [31, 34–37].
Additionally, increasing the cutting speed will raise machining
temperatures owing to intensified tool-composite interactions, while
raising the feed rate tends to decrease the machining temperature
because of the reduced time for the tool-workpiece interaction [37, 38].
Moreover, tool geometries/materials also considerably affect the
magnitudes of cutting forces/temperatures due to their modifications
onto the tool-workpiece interaction. Previous studies have shown that
the use of functionally-designed tools can significantly reduce the
values of cutting forces/temperatures for fibrous composites [36, 39].
Since excessive forces and temperatures are highly unfavorable to yield
desired composite parts quality and target tool life, they have to be
minimized as much as possible. Recent advances have been focused on
identifying more appropriate process parameters and optimal tool
geometries/materials to reduce the force and temperature generation
during the composite machining.
 Surface quality is another critical cutting response for fibrous
composites as it determines the acceptance of finally-cut composite
parts. It signifies the surface conditions of machined composite
materials, being featured by quantifying surface damage, surface
roughness, etc. Since fibrous composites exhibit anisotropic behavior
and heterogeneous architecture, machining of these materials entails
the generation of serious surface damage/defects. Specific issues
widely addressed in the literature are delamination, burrs, fiber
splintering, surface cavities, etc. [39–45]. Among these damage types,
delamination is recognized as the critical failure accounting for the
majority of composite parts rejections in industries. The occurrence of
delamination damage is firmly associated with peel-up and push-out
modes in drilling processes [6, 33, 43, 45–47]. Since delamination
affects the load-carrying capability and mechanical behaviors of fibrous
composites [10, 11], it has to be carefully suppressed during the
composite machining operations. The main factors influencing the
delamination severity include process parameters, tool
geometries/materials, tool wear extent, etc. Delamination has been a
historic research issue in both academia and industry since the
emergence of composite materials. The current research trends have
been focused on identifying effective methods regarding how to detect,
quantify and suppress delamination damage in composites machining.
To date, visual microscope observation [35, 48–50], acoustic emission
[51], X-radiography/computerized tomography [51, 52], and ultrasonic
C-scan [40, 45, 53] have been the most-preferred methodologies to
non-destructively detect and measure delaminated zones for fibrous
composites. Regarding the delamination assessment, many quantifying
criteria were proposed in recent decades, covering the one-dimensional
delamination factor [51], two-dimensional delamination factor [54],
adjusted delamination factor [55], equivalent delamination factor [53],
minimum delamination factor [56], and three-dimensional
delamination factor [45]. Comprehensive reviews documenting the
recent advances in assessing and quantifying cutting-associated
delamination damage for fibrous composites are presented in Refs. [43,
47]. Previous investigations also indicate an intrinsic correlation
between delamination and thrust force [57, 58]. For instance,
delamination damage may not take place if the actual thrust force is
lower than the critical thrust force (CTF). This gives technical
implications regarding how to minimize and suppress the delamination
formation while machining the fibrous composites. Since the CTF is
firmly associated with the tool geometries/materials and process
parameters system, special drill bits have been developed in order to
yield higher CTF values for the composites drilling. It is confirmed that
specially-designed tool geometries can effectively reduce delamination
extents and even yield damage-free drilling for fibrous composites [36,
45, 46, 59–61]. Additionally, variable feed technique [42, 62, 63] and
back support method [44, 46, 64, 65] have been demonstrated to
effectively achieve delamination-free drilling of fibrous composites.
Moreover, advanced non-conventional cutting operations such as
helical milling and ultrasonic-assisted machining have also attracted
much attention in the current manufacturing community to avoid
delamination formation for fibrous composites [47, 66].
Apart from severe delamination damage, burrs and fiber splintering
are also critical concerns when machining fibrous composites. Burrs
signify uncut fibers being detrimental to the surface finish of machined
composite parts. However, they can be removed following a finishing
operation. The formation of fiber burrs is related to the process
parameters, the composite fiber layup, and the tool geometries. In most
cases, fiber burrs show a symmetrical distribution law around the hole
circumference in drilling. By contrast, fiber splintering denotes the
overcut of fiber plies, which adversely affects the surface integrity of cut
composite parts. Moreover, surface cavities in the form of fiber/matrix
loss can become prevalent when machining fibrous composites. Fiber
burning and matrix glass transition are likely to occur when improper
cutting parameters are applied, leading to excessive cutting
temperatures during the chip separation process. All the representative
defects considerably affect the surface roughness conditions for
machined composites. The surface roughness commonly determines
the eventual accuracy of cut composite shapes and dimensions. Till
now, most investigations dealing with the quantification of surface
roughness for fibrous composites are focused on the use of
conventional surface roughness parameters, which are somewhat
inappropriate for composite cases. Therefore, great efforts should be
made to propose more accurate parameters that can precisely depict
the composite surface profiles.

6.5 Tool Wear Issues

Rapid tool wear is frequently encountered in cutting fibrous composites
as hard fibers induce severe abrasions/modifications onto the tool
surfaces. Consequently, cutting tools are considerably blunted and
dulled. As depicted in Fig. 6.5, there exist three types of tool edge
regions undergoing intensive wear during the composites machining.
The first tool region is located at the tool rake face, which accounts for
the separation of composite chips. The wear progression in tool region
1 is mainly dominated by the sliding and rubbing of resected fibers. The
wear length is mainly equal to the tool-chip contact length but may vary
when the fiber cutting angle changes. For example, when machining a
90° oriented fibrous composite, the tool-chip contact length becomes
larger to induce a wide wear length for region 1. Besides, region 2 is
located at the tool tip radius zone, which entails the severe abrasion of
fibers leading to the formation of edge rounding wear. Therefore, tool
region 2 is mainly undergoing the enlargement of the edge tip radius,
which blunts the edge sharpness during the composites machining
operation. As such, high cutting forces, temperatures, and poor surface
morphologies are produced. While for tool region 3, it denotes the
cutting edge at the tool flank surface, which undergoes severe tool-
work interaction. As a consequence, region 3 experiences severe
bouncing-back effects, and the bent fibers under compression tend to
spring back quickly to abrade the tool flank surface, causing severe
erosion of the tool flank surface. The abrasion wear extents of the three
tool regions also depend on the varying chip separation mode. For
instance, when machining 0° fibrous composites, lower extents of tool
rake and flank wear can be generated due to the limited contact length
at the tool-composite interaction. However, if a higher fiber angle
orientated composite is machined, a larger tool-chip contact length is
expected to occur, which causes a larger extent of the tool wear. Due to
excessive wear exerted onto the three edge regions, the tool life would
be significantly reduced.
Fig. 6.5 Schematic illustration of the tool wear regions during the machining of fibrous
composites

The main wear mechanism encountered in the fibrous composite

cutting has been confirmed to be aggressive abrasion wear resulting in
edge rounding by the scientific literature [4, 54, 66–73]. For instance,
Rawat and Attia [68] found that the progressive abrasion wear in
composites machining is the consequence of the combined thermo-
mechanical interactions of the tool-workpiece system. The authors also
stated that hard and soft abrasion modes dominate the wear
development of WC/Co tools for fibrous composite drilling. Kuo et al.
[71] studied the diamond tool wear performance in drilling woven
CFRPs. The worn tool surface morphologies after the CFRP drilling are
detailed in Fig. 6.6. The results show the signatures of abrasion wear
and edge rounding remaining within the cutting tools. Additionally,
dislodgement of diamond grains and scoring on the tool flank face were
identified. The cumulative wear effects are liable to induce premature
failures of cutting tools during the composites machining. Generally,
microchipping and edge fracture are frequently-observed failure modes
in composites cutting. Figure 6.7 presents the morphologies of tool
failures after drilling high-strength CFRPs [36]. It was confirmed that
chipping damage takes place during the CFRP drilling. As the tool wear
induces adverse changes to the tool-chip and tool-work interactions, it
causes detrimental effects to the composite cutting responses, such as
elevating cutting forces/temperatures, deteriorating surface quality,
increasing tool consumption, etc. The technical factors influencing the
wear progression of fibrous composites cutting mainly include process
parameters, tool geometries/materials, fiber/matrix type, fiber cutting
angles, etc.

Fig. 6.6 Worn tool morphologies after drilling CFRPs. Reproduced with
copyright permission from Kuo et al. [71]
Fig. 6.7 Tool edge failure after drilling high-strength CFRPs. Reproduced with
copyright permission from Xu et al. [36]

Due to the predominance of abrasive action in the tool wear

development, cutting edge rounding (CER) becomes a notable indicator
to assess tool wear, particularly for drilling fibrous composites. The
CER provides a more accurate quantification than conventionally-used
indicators (e.g., the wear width). According to Faraz et al. [54], the CER
was found more effective in quantifying the tool wear progression as it
correlates well with the composite drilling outputs. To reduce wear
progression and prevent catastrophic tool failures in composites
machining, more attention needs to be paid to optimizing tool
geometries/process parameters and developing high-performance tool
materials.

6.6 Advanced Composite Machining

Techniques
Technological progress has driven modern machinists to seek more
cost-effective manufacturing methods benefitting both quality
improvement and efficiency increment. Currently, the emergence of
advanced manufacturing techniques has dramatically impacted the
manufacturing methods of fibrous composites. Non-conventional
manufacturing processes such as helical milling [74–76], ultrasonic-
assisted machining [77–80], vibration-assisted drilling [81, 82], and
waterjet cutting [83–86] have become much attractive for the shaping
of fibrous composites. These methods favor the improvement of cut
surface quality and the minimization of cutting-induced defects for
fibrous composites. As a result, they are becoming a promising
alternative to conventional composites machining operations.
Additionally, with the increased awareness of environmental
protection, sustainable machining has become popular in recent
industrial fields. They can significantly reduce the consumption of
cutting tools and fluids for composite machining. Moreover, machining
fibrous composites toward the intelligence direction will indeed
become a prospective tendency as intelligence is the core of today’s
society. More smart machining systems capable of controlling process
parameters and monitoring cutting responses are expected to be
developed in order to realize the damage-free cutting for fibrous
composites with maximized machining efficiency and minimized
environmental impacts.

6.7 Concluding Remarks and Future

Perspectives
The chapter reviews the fundamental machining behaviors for fibrous
composites. Aspects including machinability issues, cutting
mechanisms, machining responses, and wear problems are all
addressed by summarizing the key findings reported in the scientific
literature. It is shown that fibrous composites show anisotropic
machinability in relation to their fiber layup. The hard-cutting features
of composites are firmly associated with their heterogeneity in
architecture and anisotropy in properties. The composite cutting
mechanisms rely considerably on the fiber orientation, and thus the
machining responses are fiber-orientation dependent. Both cutting
forces and machining temperatures are critical physical phenomena
signifying the tool-composite interaction during the chip removal
process. Surface quality attributes are critical concerns when
machining fibrous composites. It signifies the machinability
performance of the composites. Delamination, burrs, fiber splintering,
surface roughness are the main features of cut fibrous composites,
which must be carefully reduced or minimized. Optimizing process
parameters and applying functionally-designed tools can be reasonable
solutions to these quality-associated issues for composite materials.
Moreover, abrasion wear dominates the machining of fibrous
composites. This is the characteristic wear phenomenon as the
reinforcing fibers are extremely hard and stiff. The key failure mode of
tools during the fibrous composite machining is edge chipping due to
the cumulative wear effects or the stress concentration exerted onto the
tool edge segments.
To improve the machinability of fibrous composites, more
endeavors need to be made focusing on optimizing process parameters,
developing cost-effective tools, and promoting non-conventional
manufacturing techniques. Additionally, with the advent of the artificial
intelligence era, high performance and intelligent machining will be the
core of manufacturing technologies for fibrous composites. The future
research work in both academia and industry will direct toward
developing novel intelligent manufacturing systems capable of
achieving damage-free cutting for fibrous composites with maximized
machining efficiency and minimized environmental impacts.

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© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022
J. P. Davim (ed.), Mechanical and Industrial Engineering, Materials Forming, Machining and
Tribology
https://doi.org/10.1007/978-3-030-90487-6_7

7. Management of Industrial
Technologies
Marius Gabriel Petrescu1   , Costin Ilincă1, Maria Tănase1   and
Hailong Fu2  
(1) Petroleum-Gas University of Ploiești, 100680 Ploiești, Romania
(2) Northeast Petroleum University, Daqing, China

 
  Marius Gabriel Petrescu (Corresponding author)
Email: pmarius@upg-ploiesti.ro

  Maria Tănase
Email: maria.tanase@upg-ploiesti.ro

  Hailong Fu
Email: fhl@nepu.edu.cn

Abstract
The technology can be considered a systematic, knowledge-based
action, applicable in industrial processes in order to transform
resources into products requested by the customer. Technology uses
scientific resources but is, at the same time, itself a science of applying
knowledge for practical purposes. Technology is ultimately the measure
of the efficiency of industrial management. The management, as a
science, takes the information regarding the management processes
and submits them to some analysis procedures in order to perfect the
existing management methods and to complete them with new ones.
The applicative character of the management results from the fact that
the experiences regarding the systems management are materialized in
the design of new systems, methods, techniques, and procedures that
constitute the tools made available to the managers for achieving the
company's objectives. The manager must prove the ability to
understand economic and social phenomena, the laws that govern
them, objectively identifying the risks and opportunities, in order to
plan the company's activities. An equidistant, efficient and coherent
policy established by the management guarantees the success and
ensures the agreement of the company's existence with the market
evolution.

7.1 Instead of Introduction

Industrial and systems engineering is concerned with the design,
improvement and installation of integrated systems of people,
materials, information, equipment and energy. It draws upon
specialized knowledge and skill in the mathematical, physical, and
social sciences together with the principles and methods of engineering
analysis and design, to specify, predict, and evaluate the results to be
obtained from such systems—Institute of Industrial and Systems
Engineers (IISE) [1].
Industrial engineering is about choices. Other engineering
disciplines apply skills to very specific areas. IE gives practitioners the
opportunity to work in a variety of businesses. Industrial engineering
offers the best of both worlds: an education in both engineering and
business.
Industrial engineering is about more than manufacturing—it also
encompasses service industries, with many IEs employed in
entertainment industries, shipping and logistics businesses, and
healthcare organizations.
Industrial engineers are the only engineering professionals trained
specifically to be productivity and quality improvement specialists.
Purdue University [2].

7.2 Historical References in the Development

of Management
In the context of an application-oriented society—one that solves
current and future problems—humanity focuses on practical
achievements by demanding fast and efficient solutions. In this way we
are tempted to treat superficially the theoretical component of the
sciences considering that the theory does not produce added value. The
management—theory or practice—benefits of different perceptions
depending on those who exercise it. Management, as a science, often
benefits from the same treatment, ie the study of the history and
development of management in favor of the managerial “experiment” is
neglected. When we say “experiment” we mean the practice of
management based on the skills of the individual (manager), personal
experience or by assimilating solutions in the field in given
circumstances. Such an attitude is completely wrong because not
knowing the history and evolution of management often generates
erroneous, ineffective and/or inefficient solutions. Knowing the history
of management means benefiting from the experience of those who
proposed and tested solutions. Knowing the history of management
evolution means having a modeling tool of reality based on past
examples. Knowing the history of management means, in the end,
shortening the time to implement a solution while avoiding wrong
decisions.
From ancient times—since the emergence of the first forms of
human organization and perhaps even before—man has sought
solutions to “manage” the duties of individuals and community
resources. The division of labor is eloquent evidence in support of the
idea that there were managerial manifestations thousands of years ago.
The science of management, crystallized in the twentieth century and
later developed, is only one stage in the history of management
evolution [3–5].
Like any science, management evolves as a theory seeking
confirmation of the proposed solutions in the economic and social
reality. As human society developed, managerial activities marked
changes in line with economic and social situations. The evolution of
management is proven by solutions—theoretical and practical—in
order to increase productivity, streamline industrial activities, model
social relations, etc.
 The first manifestations regarding the leadership activity appear in
the primitive commune. These can be considered incipient
management processes that were based on a one-person management
that was imposed by rules and prescriptions. The main form of
macrosocial leadership is emerging with the advent of the state. The
state organization provided the premises for the diversification of the
governing systems—for example, in feudalism, authoritarian rule
predominates—and the paper and printing emergence contributes to
the efficiency of the management that uses the information system as a
tool.

Remark
The emergence of the state as a form of social organization favored
the emancipation of managerial practices. The efficient management
helped build the pyramids by the Egyptians; the Sumerians used the
government rules and regulations; the management functions
offered to the Greeks the opportunity to develop different systems of
government; the Babylonians had an extensive set of laws and
governing policies; the Romanians resorted to the method of
management by delegation of authority.

Going beyond the form of empirical management, the XXth century

comes not only with a capitalist order based on a social structure
different from previous eras, but also notices the need for the scientific
organization of production. The scientific approach of management—
scientific leadership—is considered to have emerged in the U.S.A. in the
first decade of the XXth century, based on the idea of identifying
solutions to maximize the results of industrial activity with minimal
effort through the efficient use of labor.

7.2.1 The Evolution of Managerial Techniques

Throughout human history, illustrious names such as Leonardo Da
Vinci, Galileo Galilei, Kepler, Fermat, Rene Descartes, Stuart Mill have
shown interest in crystallizing scientific methods of investigating the
phenomena, the models proposed by them being used later by those
who had to be the precursors of the application of the scientific method
in the organization of production [6, 7].
 In chronological order, it should be remembered that Vauban
(1633–1707) conducted the first study of working time, Belidor (1698–
1761) presented a model of analysis of elementary time, and Perronet
(1708–1794), referring to the 18 operations necessary for the
manufacturing of bedding needles, he published the first study on the
work division. It was the era of the industrial revolution and the
preoccupations for the standardization of operations. To emphasize the
interest shown at that time in concerning the organization of work, we
also mention C. Babbage who, in the early 1800s made his own
measurements to determine the execution times and costs of each
operation necessary to manufacture one kilogram of pins.
The concept of “scientific organization”, outlined in the late 19th and
early twentieth centuries, considers the productive unity as a
mechanism in which people, aided by the machines, are working in
almost total determinism, based on hierarchical dispositions according
to some competencies rigorously defined.
Prior to the scientific organization, the representatives of the so-
called “classical school” establish for the first time a series of principles
of scientific leadership. These include the well-known (and still
current) principle of exception, the principle of organizational
specialization, the principle of rigorous task definition, the principle of
hierarchical organization (Staff and Line) et al. [6, 8].
It is noted that the “classical school” gives priority, exclusively, to the
leader-subordinate relationship and ignores the essential elements for
the organization, such as information and decision.
The management of the social economic “mechanism” returns
(ultimately by going through the steps of the hierarchical pyramid),
always, to a single decision center, for which the information is
assumed, a priori, available completely and instantly, without any
restriction (time, space, transmission and storage technique, etc.) [8].
In 1776, Adam Smith, in his work “The Wealth of Nations, Research
on Nature and Its Causes,” presented the advantages of the division of
work into distinct and well-defined tasks, in conditions of mass and
large series production, noting that: the workers who continuously
perform the same operation will gain more skill in performing it; the
transition time from one operation to another can be saved if a worker
will only perform operations of a certain type; the concentration of a
worker on the same type of operation, will determine him to develop
special tools and to find those techniques that will make his work
easier or will increase his speed of execution of the respective
operation.
The foundations of the scientific organization of work and
production would be laid, later by Frederic W. Taylor (1856–1915)
surnamed the father of scientific management. He, in his paper
“Principles of Scientific Management”, promote the idea of changing
behavior towards work by mentioning the fact that improving the
efficiency of the production processes can be achieved by Taylor [9]:
assigning the planning task to the managers who, due to their
general knowledge, have the ability to synthesize and standardize
some procedures for the workers benefit;
selection and methodical training of each worker, depending on his
skills. Consistently promoting the idea of never hiring a worker to
perform a task inferior to his physical and technical qualities, Taylor
argued for the need for career guidance for the young people and the
use of psychotechnical, characterological and graphological
examinations in recruiting and selecting the workers;
cooperation between workers and managers for the simultaneous
obtaining of a maximum volume of production and a maximum
salary for workers.
“We can see and feel the material waste, but also the immense fear
of human effort resulting from the clumsiness of clumsy and poorly
directed human movements are less visible and tangible or, in other
words, are more vaguely appreciated and perceived. Not a single
element, but rather a whole combination is the scientific management”
said F. Taylor, claiming as fundamental principles of management:
"science not the empirical rule” involving the scientific programming
of each component of an operator's work;
"the maximum yield” based on the scientific selection of workers;
"the development of each person to his maximum efficiency and
prosperity” which would translate into the development of skills and
scientific education of workers;
"harmony not disagreement”, meaning the promotion of teamwork to
the detriment of individualism.
 Around the same time, Henry Fayol (1841–1925) developed a series
of general principles applicable to all the enterprises. In his paper
“Administration lndustrielle et generale”, he classifies the operations
necessary for the functioning of an enterprise into 6 groups: technical
operations, commercial operations, financial operations, security
operations, accounting operations and administrative operations [10].
The basic principles stated by Taylor and Fayol were later deepened
and amplified by a number of entrepreneurs and scientists such as:
Henry Ford (the one who achieved significant reduction in
manufacturing times by implementing the motorized production line),
Frank and Lilian Gilbreth (known for their studies of movements and
manufacturing times), Henry Gantt (who proposed planning techniques
for employees, machines and production stations), Elton Mayo
(developer of the school of “interpersonal relations”, which involves
creating a sense of belonging to the group) etc.
The expansion of mass production, during and after the Second
World War, simultaneously with the technical development of the
means of production determined the need to study the connections that
are established at the level of work relations. The theory of the
scientific organization of production and work offers explanations
related to: human behavior in different environmental conditions;
defining the work attitude of the performers; the definition of the way
in which the workers look at the relationship between their own
interests, of the work team where they carry out their activity and of
the whole community.
With the advent of the digital computer, linear programming
applications are being developed, offering new tools to industrial
management. The 1970s are marked by total quality management
(TQM represented by W. Edwards Deming).
Computer-aided robotics, design and production widely applied in
Japan in the 1980s lead to a change in managers’ perception of the
productivity and quality of industrial processes (J. Juran).
The process of shaping and asserting the science of management, in
the form of effective approaches, is based on theories and concepts
structured in currents of thought. The study of the specialized literature
reveals the existence of numerous management schools (Fig. 7.1).
Fig. 7.1 Management schools.
Representation after [11]

In short, the characteristics of managerial thinking and practice

specified by categories of historically constituted managerial schools
are given below [11–13].

7.2.1.1 The Traditional Management (Classical)

In the sense of classical management, the study of managerial thinking
and practice must have as a starting point the concepts initiated by F.
Taylor and H. Fayol.
Taylor defined the concept of management as “a set of actions that
help set goals and guide the organization's business toward achieving
those goals”. Taylor placed great value on the historical role of
management by showing that managerial standards are designed based
on real facts, benefiting from experiences, observations and systematic
reasoning. Increasing labor productivity, in Taylor's view, can be
achieved by organizing human actions by delimiting processes and, in
particular, those of execution in relation to administrative processes
[14].
If Taylor's studies focused on organizing processes at the level of
sections and productive workshops, Fayol was concerned with
management at the level of the organization. In this context, he notices
the importance of the division of labor, the establishment of objectives,
labor relations and organizational discipline, formulating a set of 14
principles that underlie the management of companies: the division of
labor; authority and responsibility; work discipline; control unit;
leadership by objectives; ensuring the priority of the organization's
interests over personal ones; salary based on the activity performed;
centralization/decentralization; efficient communication; fair relations
between managers and executors; defining jobs in the processes; job
stability; developing team spirit.
As can be seen, the classical management laid the foundations of the
scientific treatment of the organization of work processes noting that
the economic role of the company can not be sustained without the
implementation of clear and stable rules throughout the organization.
In support of the idea of organizational discipline and process
regulation, the German specialist M. Weber (1864–1920) introduced
the term “bureaucratic organization”, giving jobs independent of the
managerial staff working in the company.
Between 1920 and 1930, H. Gantt focused on the connection
between the managerial decisions and the economic aspects of
industrial production. He developed a graphical model (Gantt chart) for
the systematic planning of work activities, a procedure still widely
applied today in production scheduling.
The limits of classical management concern:
the simplistic treatment and mechanistic vision of the human being;
 contradictory conclusions defined within some of the principles;
omitting the role of motivation in employee performance.

7.2.1.2 The Relationship Management (Behaviorist)

The behaviorist interpretation appeared between 1910 and 1935 in an
attempt to avoid the shortcomings of classical management theory. The
representatives of this management school: A. Maslow, R. Lickert, D.
McGregor, E. Dale, G. Fiedmann, E. Mayo, placed the man in the center of
the organization in which he works, studying the behavior of employees
towards stimuli outside the body. The behaviorist management gives up
the pursuit of profit and puts the increase in labor productivity at the
expense of managers’ response to human resource demands.
E. Mayo highlights, in the work sections, the role of interpersonal
communication factors in the coagulation of groups of individuals.
A. Maslow conducts studies in the motivational area, generating the
theory according to which individuals are placed, from an existential
point of view, on different levels of motivation. Once the requirements
of a level are exceeded, the transition to the next higher level of
stimulation is ensured. This mechanism, says Maslow, must be
speculated by managers in order to increase the economic efficiency of
the organization.
In the same context, the theories X and Y developed by D. McGregor,
regarding human qualities, demonstrate that the human being is
capable of self-management and consciously assumes responsibilities.
In the way of human self-improvement, the possible obstacles—as
Maslow mentioned—are the society or the deficient education of the
individual.
The behavioral approach shifts the focus from formal to informal
relationships, concentrating on the objective and analytical study of
human resource behavior in production processes [14]. The results of
the application of the behaviorist theory are still seen today,
manifesting themselves in the form of ergonomic studies on the
organization of workplaces.
The criticisms brought to this current refer to the exaggeration of
the role of motivational stimulus to the detriment of the socio-
economic conditions in which the organization is obliged to carry out
its activity. A much more realistic—considered modern—approach to
behaviorist management is represented by Japanese management and
business excellence.

7.2.1.3 The Management Science or Scientific Management

Based on Taylor's assessments regarding the benefits of objective
analysis of situations at the level of organizational entities on work
efficiency, researchers such as: E. Turban, J. Meredith, C,W. Churchman,
R. Raiffa, S. Beer, J. Lesourne, have developed the management science
(the quantifiable approach to the organization of production) which is
based on the use of mathematical tools specific to operational research.
The managers can rely on both experience and the results of applying
mathematical statistics methods to substantiate their decisions within
the organization.
Just as traditional management is accused of eliminating the human
factor from the equation of organizational efficiency, so is the
management science in terms of assessing interpersonal relationships.
This leads to inadequate treatment of management functions, as would
be de-fined later.

7.2.1.4 The Systemic Management

This approach takes into account all the concepts and theories
previously developed in solving decision-making problems, taking a
series of elements that it deals with in an integrative vision and,
starting from the company's objective as a system, determines its
requirements for its various components and integrates them into the
structure of the ensemble.
Specific to the 1970s, the systemic approach considers the
productive organization as a complex system composed of components
that are closely interdependent and that contribute to achieving the
objectives set by the management of the enterprise.
The special merit of systemic management is to identify the
advantages of procedural treatment of the organization. In this way, the
place and role of each organizational entity in the development of the
processes within the company can be noticed. The identification of
processes by: name (name or label), boundaries (boundaries and
neighborhoods in the production flow) and responsible (designation of
responsibilities), gives to the management the advantage of efficiently
dealing with possible non-conformities in production.
Ludwig von Bertalanffy, in his paper “The History and Status of
General Systems” (1972), explained the essence of the systemic
approach in the sense that the whole can be understood insofar as its
component parts are identified, as well as the relationships between
them [14].
The systemic management uses knowledge from a wide variety of
disciplines, which allows it to provide integrated solutions for the five
management subsystems: organizational, methodological, decision-
making, informational, motivational.

7.2.1.5 The Contingency Management

The contingency management gives to the management a new
dimension to the systemic approach. The contingency management has
developed on the idea that the decision-making process is conditioned
by all the circumstances in which it takes place, so that, in making
decisions, both the system as such and the situation in which the
system evolves must be taken into account. The purpose of contingency
management is to identify effective solutions to be applied consistently
by adapting to environmental constraints.
When adopting this managerial model, the decisions at the level of
the organization are taken in full accordance with the environment in
which it—the organization—is “captive”. Practically, the specific aspects
of the environment overlap with the internal reality of the company, the
managers having to identify the most adequate contingency variables
for sketching the decision plan. Among the most commonly used
contingency variables are:
the size and object of activity of the company;
the operational organization of production;
the environmental constraints;
the individual characteristics.
The limits of contingency management can be exceeded provided
that the correct assessment—quantitative and qualitative—of the role
of managerial techniques and environmental factors in the evolution of
the organization.
7.2.1.6 The Comparative Management
It can be said that the comparative management is an evolved form of
contingent management because its purpose is to study and analyze the
similarities and the differences in the management practice of different
countries (R. N. Farmer).
It is found that the results of organizations operating in different
environments (different countries) differ, as do managerial practices.
This fact led to the idea that organizational management is significantly
influenced by the external environment with specific characteristics:
educational, social, cultural, political, legislative, economical.
The dynamics of the international market manifested after 1990 led
to changes in managerial behavior in many parts of the world: former
Soviet countries and Eastern Europe, India, China.
At the global level, there is the orientation of government policies
towards a free, adaptable, creative and efficient enterprise.

7.2.1.7 The Japanese Management

The comparative management highlighted the differences between the
managerial practices manifested in various countries around the world:
fierce competition, characteristic of North American companies;
orientation towards social problems, specific to European economies;
stimulating creativity and focusing on productivity for Japanese
organizations. In this landscape, Japanese management is distinguished
by its own features that specific methods and techniques give it:
Kaizen strategy, focuses on increasing quality and reducing the
production costs;
The Kanban method, a way of interconnecting jobs that responds to
the concept of “just in time”;
Just in Time system, a supply system designed to avoid the use of
stocks.
In an attempt to find a hybrid model of management, the American
professor of Japanese descent, William Ouchi, developed a theory of the
“Z-type organization” (Table 7.1); he believes that this model will
provide a common denominator for Western and Japanese managerial
practices, the formation of Z-type organizations will help Westerners
cope with Japanese competition, and the Japanese with competition in
the markets in which they operate [4, 5, 15, 16].
Table 7.1 Formation of Z-type organizations [4, 5, 15]

No. Japanese organizations American organizations Z-type organizations

crt.
1 Employment for an
indefinite period
2 Slow evaluation and
promotion
3 Non-specialized careers
4 Default control
mechanisms (self-
control)
5 Employee participation in Making decisions
decision making
6 Collective responsibility
7 Holistic spirit
Fixed-term employment Employment for an indefinite
period
Rapid evaluation and Rapid evaluation and promotion
promotion
Specialized careers Specialized careers
Explicit control Combined control mechanism
mechanisms (special
rules)
Decision making through
individually Consensus (participatory)
Individual responsibility Individual responsibility
Segmental attitude Holistic attitude from the point
of view of employees

The managerial technique specific to Z theory is based on the

combined use of American and Japanese philosophies. Thus, the idea of
belonging to the group is promoted simultaneously with the
responsibility of each member of the group. Employee involvement is
highlighted by their participation in decision making. All these
laborious practices give employees a sense of security in the workplace
and management benefits from objective evaluation and promotion
procedures [16, 17].

7.2.1.8 Business Excellence

The concept of “Excellence in Business” is the contribution of American
specialists in management—T. Peters and R. Waterman—who, in the
work “In Search of Excellence” (1982), presented the results of analyzes
on the causes of success of companies with top management from the
USA.The book was written in the context in which the American
economy experienced the feeling of defeat in the game of economic
growth and prosperity. Americans, say Peters and Waterman, can be as
good as or better than the Japanese.
 The authors, drawing on the experience of Japanese management,
set out to defend the values of American management using post-Ford
theories and using certain performance indicators [4, 5, 18]:
innovation rate;
increase of the share capital;
average rate of return on capital.
The results of these analyzes led to the formulation of the attributes
of excellence in business (Table 7.2).
Table 7.2 The 8th attributes of business excellence formulated by Peters and Waterman in
1982 [14, 18]

No. The attributes of Description of attributes

crt. excellence
1 Action orientation
2 Closer to the customer
3 Entrepreneurship and
autonomy
4 Productivity through
people
5 The competence—the
engine of values
6 Adherence to the business
of the organization
7 Minimal management
8 Coexistence of tolerance
with the exigency
• Small experiments, easy to organize, in order to generate
knowledge, interest and employment
• Themanagers are open, engaging in any field
• Meeting customer requirements and expectations
• Taking risks
• Accepting failures
• Stimulating creativity
• The individuals are treated respectfully and with dignity
• The enthusiasm, confidence and family spirit are
cultivated
• The clear philosophy of the company is propagated and
respected exactly
• Recognition of the real values
• The attachment of managers to the company's objectives
• Autonomous development
• Maximizing the functional autonomy
• Minimizing the staff
• Stimulating the creativity
• The coexistence of financial control and employee
creativity

After 1987, with the implementation of the standards related to

quality management—ISO 9000—management techniques are mainly
oriented towards the customer (customer satisfaction) and focus on
planning, monitoring and improving the industrial processes.

7.2.2 Characteristics of Industrial Management in

Romania
In Romania, the first concerns related to management took the form of
either Taylorist conceptions or original elaborations, the main
historical landmarks being:
1831—public assemblies,
1838—“The Rule of Nechifor”,
1858—elective assemblies,
1866—introduction of the bicameral system in Romania.
In the nineteenth century, G. Baritiu, B. P. Hasdeu, A. D. Xenopol, D.
Cantemir, N. Balcescu, N. Iorga proved original ideas and scientific
competence in the field of management. Since the twentieth century,
there has been a particular concern about the scientific organization of
work organization, production and management. In this context, in
1927, on the initiative of some scientists, the Romanian Institute for the
scientific organization of work was established.
After 1944, as a result of the establishment of communism in
Romania, for two decades there was a regression of management.
The year 1966 was marked by a slight opening of Romania to the
West. Studies have been elaborated on the management of companies
(Management and economics of the industrial enterprise, Dictionary of
management and organization, Encyclopedia of enterprise
management) and bodies with training attributions in the field of
management have been set up (Center for the improvement of
management training in enterprises, the Institute for Production
Management and Organization within the Ministry of Labor, the Council
for Problems of Economic and Social Organization).
In the period before 1989, the communist ideology and the
constraints to which companies were subjected by the foreign
environment led to the manifestation of essential differences in
management in relation to organizational concepts and practices
specific to market economy countries.
 After 1990, the ideological and economic openness of Romania to
Western Europe allowed the implementation in the practice of
autochthonous companies of the concepts and managerial tools
developed in the conditions of the market economy.
The new ideology and the transformations that took place
determined the creation of a different socio-economic environment
subject to numerous legislative changes and subordinated to “economic
and political” levers, price liberalization, modern mentality of
employees, leading to the manifestation of managerial behaviors
specific to the transition period to the market economy.
The management, during this period, showed different attitudes
[19]:
The paralyzed management, characterized by an attitude of
expectation regarding the continuous transformation of the
environment in which the companies operate;
The inertial management, marked by the tendency to maintain
levers and management methods that have previously
demonstrated their viability;
The change management, materialized by applying numerous
variants of restructuring/reorganization, often with disastrous
consequences (attributed to ignorance, maladjustment or, most
often, due to legislative inconsistency or manifestation of group
interests);
The pragmatic management, which allowed the design, for short
periods of time, of viable survival strategies;
The adaptive management, which is trying to be adopted in recent
years and which targets the radical structural-systemic
transformation.
It must be acknowledged that in the last 30 years, Romania has
shown timid attempts to practice capitalism. The instability of the
legislation, lack of trust shown between business partners, critical
discourse in excess, all these create the image of a jungle capitalism in
Romania.
7.3 Trends in Contemporary Industrial
Management
The management, as a science and practice, is strongly influenced
/conditioned by the environment in which it manifests itself and, as a
result, must prove its adaptation to the changes produced in society.
After 2000, it is observed that economic management, in general, and
industrial management, in particular, focus on resource planning, in the
context in which the constraints of the external environment become
more numerous (population migration, pollution and environmental
legislation, promotion of green energy sources, integration of economic
processes, manifestation of the COVID-19 pandemic, etc.).
Since 2015, industrial organizations align with the latest edition of
ISO 9001—QUALITY MANAGEMENT SYSTEMS which promotes an
approach based on the organization's process management and, hence,
a much more logical structure, customer orientation and customer
satisfaction assessment, as well as top commitment management for
continuous improvement. From this moment, the management looks at
the procedural organization indissolubly linked to the programming of
actions based on contextual analysis—analyzes and risk assessments.
The most significant evolutions and orientations in contemporary
management refer to the following aspects [20]:
increasing the interdisciplinary character of the organization and
management activities;
emphasizing the anticipatory nature of management (the forecasting
function is becoming increasingly important);
strengthening the global, integrating vision of the management
(integrated management systems);
emphasizing the motivational side that reflects the changes in the
perception of the human factor by managers;
emphasizing the national and sector character of the management
(the search for particular solutions adapted to the local
particularities) in parallel with the increase of its universality (the
managerial methods must present flexibility and adaptability to
change);
 increasing the importance of change management and conflict
management in response to economic, social and political dynamics;
adapting the management to the policy of economic
internationalization (globalization of trade, production and services);
the development of the reengineering concept (radical
reorganization/enterprise reinvention).

7.3.1 The Objectives of Industrial Management

In the vision of management (management in the sense of management
team) the specific activities of the organization must show a continuous
improvement of process performance in accordance with the
environmental requirements. The modern management must ensure
customer satisfaction—improving the technical and economic
performance of the products made—while guaranteeing an innovative
and motivating work climate. The predictive/anticipatory and flexible
nature of modern management allows the design of long-term
strategies and adaptation to environmental dynamics. Through its
specific activities, the production management pursues with priority
the achievement of two categories of objectives:
1.
Ensuring customer satisfaction in accordance with the statements  
assumed by the management. In this sense, the management must
have the ability to anticipate the client's wishes, to identify his
expectations and preferences for the near future. Being a
component of quality, the price of the product must be adapted to
the customer by minimizing the production costs. The timely
fulfillment of commitments is also an important requirement from
the beneficiary's point of view.
2.
The efficient combination/use of resources.  
The management must have the objective image of the company
and to ensure an optimal relationship between the resources (as
inputs) and products/services (as outputs).
The objectives of the enterprise are the expression, in a concrete
and measurable form, of the goals established by the management to be
achieved through the activities carried out by the enterprise over a
period of time. Thus, the objectives of the enterprise can be [21]:
(a)
"the profit maximization”, an objective formulated by neoclassical  
economic theory, an objective that is achieved when the marginal
costs of production equal the marginal income.
(b)
the objectives formulated by alternative theories, as follows:  
(1)
The managerial theories that assume that managers are trying to  
maximize certain goals other than profits. These include:
(a)
the model proposed by Baumol [22] based on the principle that  
the primary objective of business leaders is to maximize sales
income when an acceptable level of profit is reached. The
company first chooses the levels of sales that equal or exceed the
minimum profit, and within them it opts for those that procure
the highest income;
(b)
the model of the managerial utility of the enterprise based on the  
freedom of decision of the managers in the big companies (i.e. the
shareholders do not exercise their direct control over the
managers of the enterprise). This model was developed by
Williamson in [23];
(c)
the model developed by Marris [24] which emphasizes the growth  
of the company as the main objective.
(2)
The behavioral theories that take into account the fact that  
managers do not try to maximize any variables, but are motivated
by certain alternative goals. These theories are based on the work
of Simion [25]. Simion's model was complemented by Cyert's and
March's model in which the company was seen as a coalition of
different group of interests (managers, shareholders, employees,
state and creditors).

Remark
 The current financial theory has identified and defined an
operational objective, namely to maximize the value of the
enterprise. It involves the most efficient use of the organization's
resources while maintaining a reasonable balance between the profit
maximizing, financing investment and scientific research and
maintaining a fair relationship with partners-suppliers and
customers.

The industrial enterprise is a living organism that lives and develops

through the added value found in the product generated at the output.
The management of production must find the solution through which
to satisfy the customer—considered as a direct beneficiary of the added
value—by using as efficiently as possible the resources provided. The
management will need to be aware of the social and economic reality so
as to design a level of added value that ensures benefits to all
stakeholders, as follows:
providing products to ensure customer satisfaction;
creating economic wealth;
the distribution of economic wealth to employees, suppliers,
environment and shareholders;
the future financing of the enterprise and the creation of reserves
with the help of which the consequences of unfavorable political or
economic circumstances can be counteracted.
Designing a composite goal, consisting of several point secondary
goals is probably the best management option because it offers
alternatives to the organization as a whole without affecting, at the
same time, all its components.
The management strategy will have to be built on the fundamental
objectives of the enterprise, namely: profit, growth or development,
security and social responsibilities. These are conditioned both by the
quality and structure of the internal climate, and by the quality and
extent of relations with the external environment [21].

7.3.2 The Practice of Industrial Technologies Management

The technology management is, beyond the organization of production
or organization of technological flows, the procedural transposition of
good practices and the development of organizational policies capable
of guiding the company to improve results and gain competitive
advantage. The technology management is not limited to the MACHINE
element but puts it in interaction with the HUMAN (operator), outlining
the coordinated relationship between the two [26]. Technology
management establishes the most appropriate managerial techniques
in the practice of innovation and implementation of high-performance
technologies in business in order to ensure the achievement of the
company's objectives.
The National Research Council in Washington, DC-NRC, definedthe
technology management as an interdisciplinary field that combines
“engineering, science and management disciplines in order to plan,
develop and implement technological capabilities, in order to form and
achieve the strategic and operational objectives of an
organization’’(National Research Council, 1987) [26–28].
A general and comprehensive definition of the concept of
technology management is given by George Eisler in his doctoral thesis
(2002): “Technology management can be defined as a holistic and
integrated application of engineering, science and management
capabilities to strategic management of new and relevant product and
process technologies in order to shape and meet the goals and objectives
necessary for the success of the organization” [27, 29].
This definition emphasizes the need to manage technologies
throughout their life cycle, ie from the design of the technology to its
replacement.
As can be seen, the concept of technology management has various
definitions, trying to capture the side of interest of the moment or stage
of development concerned.
Regardless of the definition, the practice demonstrates the need to
implement and monitor a number of five processes that together
contribute to achieve the company's objectives [30]:
identification of technologies specific to perspective products, which
are important for the enterprise;
selection of technologies that could be supported and promoted by
the company;
procurement of selected technologies (considered valid) and their
assimilation in the production processes;
 exploitation of selected technologies, in order to generate added
value;
ensuring the security of results and experience integrated in the
technologies implemented/developed in the organization.
Starting from these general findings, the theoretical and practical
requirements can be established in the approach to technology
management:
identifying the needs, requirements and concrete market trends
(demand) in the specific productive field;
knowledge of the provisions of the legislation;
the appeal to the systematization and synthesis of the previous
knowledge of productive nature in relation to the demand;
overall investigation of the potential fund of resources;
contact with the beneficiary for formulating the requirements;
requirements analysis and principle formulation of the offer;
clear setting of criteria.

7.3.2.1 Leading Technological Processes

The management of an industrial enterprise presupposes the overall
organization of the physical and intellectual work processes, of the
component elements, their analysis in order to group them according to
the level of objectives, their homogeneity and/or complementarity, the
level of training of the personnel performing them. The specifics of the
methods, techniques and tools used to achieve the objectives in terms
of efficiency [31].
The management of industrial technological processes is mainly
based on the monitoring and control actions developed in the
organization. The degree of accuracy and the productivity,
characteristic of these actions, determines the efficiency of the process
improvement activities and the measure of fulfilling the company's
objectives (Fig. 7.2).
Fig. 7.2 Leading the industrial technological process.
Adaptation after [32, 33]

The main responsibilities of the organization's management in

connection with the management of technological processes are [32]:
Elaboration of the organization's strategy. This is achieved by:
observing the environment in which the technology is implemented,
in particular the sectors of activity in which it is integrated or in
which it would like to be integrated; detecting the needs of the
market likely to be exploited, the choice between the different
opportunities taking into account the technological possibilities;
elaboration of the strategic plan that defines the general attributions,
identifies and decides the adaptation of the organization's resources
to the selected opportunities; developing policies to achieve the
objectives and resources allocated to the various operational entities;
Exercising the hierarchical authority, referring to the establishment
and commissioning of the organizational structure, monitoring the
processes and controlling the evolution of their results as well as the
implementation of an adequate motivational system;
 Establishing relationships with the environment. This activity is
becoming increasingly important because it refers to the contacts
that the organization, through the management team, maintains with
various public or private organizations. The interactions of
technology and its effects on the environment will be taken into
account: natural, economic and social, establishing measures to
reduce the impact on them.
The dynamics of industrial processes oblige management to make
objective decisions regarding:
outlining and delimiting technologies that contain
innovative/development elements;
delegation of managerial responsibilities to ensure the optimal
operation of technologies [32, 33].
Given the increasing technological complexity, when the
development of organizations must take into account the inter and
trans-national economic environment, the management of industrial
technologies is the mediating factor between resources and objectives
(Fig. 7.3). Constituting a basic component of management, technology
management has as its primary purpose the identification of ways to
ensure the efficiency of technological processes that take place in an
organization.
Fig. 7.3 Placing technological leadership in the resource-objective system revolution

In the process of planning the objectives of the organization, the

management programs the resources in correlation with the clients’
requirements (Fig. 7.4). The quality of management, in general, and of
technological leadership, in particular, is the expression of the extent to
which the objectives are (overlap) in the achievements (results) of the
organization.
Fig. 7.4 The role of feedback in the management of the industrial organization (the vision of
integrated management) [34]

In this context, the technological leadership can be in one of the

situations presented below (Fig. 7.5).
Fig. 7.5 Relating technology leadership to objectives/achievements [32]

7.3.2.2 Evaluation of Technological Processes

Frequently, in the management of industrial technologies, coordination
of several cooperating structures/departments is necessary, in order
for a certain process to reach its objectives. For this purpose, it is
necessary:
establishing the input data;
setting objectives;
defining activities;
establishing resources (financial, human, material, etc.);
specification of working methods.
During the technological processes, a series of situations may arise
that require interventions in the planning and development of
activities.
These situations are operated on the basis of a cycle of questions
that is constituted in a matrix that allows the adoption of decisions and
the establishment of the general framework on the process (Table 7.3).
Table 7.3 The matrix of questions
 The table of questions matrix can be found, at a practical level, in
control/monitoring programs on specific phases of the process. The
feedback of these actions will be landmarks for the operation of
corrections at the level of the organization.
The comparative analysis of several technological alternatives,
based on their economic evaluation (using a system of specific
indicators), represents the premise of the process of selecting the
optimal technological variant.
This analysis can be carried out in two stages:
Value comparison of indicators in natural expression (norms of
consumption of raw materials, materials, fuel, energy; type,
complexity and value of new machinery or technological equipment
 necessary for the technological process; volume of work required;
size of production areas, etc.) and analysis of the effects of
technological processes on product quality;
Choosing the optimal variant of the technological process by
comparing the cost value indicators (unit cost, technological cost for
a certain volume of production).
The indicators usually used to discern the optimal technological
variant are (Fig. 7.6) [6]:
Fig. 7.6 Determining the optimal technological variant

unit technological cost;

critical quantity (for which the technological cost has the same value
in different technological variants);
the cost of manufacturing a product or parts.
7.4 Industrial Strategies
The term strategy has been and is used in practice, with elements of
specificity depending on the field to which it is addressed:
the use in battle of the means to achieve the goals of war [35];
the total strategy refers to the disposition and combination of all the
forces available and that can be aroused in order to collect—with or
without resorting to violence—the concessions of the adversary
defined by policy Boquerel in [36];
the company's strategy includes a precise plan and timetable for the
use of the company's resources and their development. It is therefore
a detailed forecast of probable events and actions to be taken to
destroy the balance of competing forces of a market, activity or
sector and to restore them on a more favorable basis [37].
The strategy represents the framework that guides the options that
determine the nature and direction of the organization's activity and
represents the vision on the future image of the industrial enterprise.
Operational planning provides a structure for periodic (phased)
decisions that occur at the lower levels of the organization [38].
Modern industries have to function in the context of the multitude
of economic and social transformations currently manifested, extended
on an integrative scale and generated by the impact of financial-
monetary flows and social changes and interactions. In the face of
increasing the convergence of economic and cultural systems, the
industrial enterprise must integrate into an environment characterized
by universality and identify opportunities and risks.
In order to be able to perceive the changes in the competitive
market environment, organizations are obliged to make forecasts, to
model developments—to develop strategies. In this sense, the
management must initiate correlated, coordinated, unitary
actions/activities in the sense of achieving the objectives.
Intellectual property control, industrial network construction and
open innovation of model enterprise are effective and important to not
only the sustainable development of industrial technology, but also the
maturity of the industrial management system [39, 40].
7.4.1 Formalization of Strategies
For contemporary organizations, the strategy has a formalized
character, being developed in the form of a plan. In small organizations
this is a “business plan”, and in large organizations the strategies are
presented in the form of long-term plans or programs, with a complex
structure with well-specified components, procedures and mechanisms
for elaboration and implementation (Table 7.4) [41].
Table 7.4 Example of strategy formalization

Objective Activities Deadline Responsible Resources Result

targets tasks planning staff quantitative indicators
involvement measurements
          Effectiveness
efficiency

The strategy must be:

comprehensive, meaning cover all activities carried out by the
undertaking;
integrative, involving the planning of activities in the sense of their
correlation;
unitary, orienting the activities in the sense of reaching the objectives
established by the management.
The managers must design the organization's strategy to gain
competitive advantage, the strategic plan highlighting the link between
costs and quality of products/services. A strategy that does not aim at
and ensure competitive advantage is of no use to the organization. The
architecture of the strategy must necessarily provide tools for assessing
its quality. To this end, it is absolutely essential to establish objective
indicators that allow accurate and relevant quantification of results
(Fig. 7.7).
Fig. 7.7 Enterprise strategy

The purpose (s) of the organization, specified in the declared

mission, are materialized in objectives, these representing the
motivational and lucrative foundation of the strategy. The evolution of
the enterprise and the future performances targeted by the
management are determined by the quality of the objectives.
The architecture and content of the strategy reflect the planning
skills demonstrated by management. Aiming at a future period,
relatively extended, from the life of the company (3–5 years), the
strategy of the organization is associated with a (high) degree of risk
and uncertainty.
Strategic planning sets the direction and objectives, while
operational planning refers to regular decision-making at lower levels
of the enterprise. Strategic planning is oriented towards successful
goals (effectiveness), and operational planning, to act accordingly
(efficiency). In this context, it must be borne in mind that an
organization's management system involves three action plans: the
normative plan, the strategic plan and the operational plan.
The actions of the management must ensure a correlation of the
content of the three plans with the organizational reality of the
enterprise, meaning: structure, processes, attitude/behavior of the
management and attitude/behavior of the employees (Fig. 7.8).
Fig. 7.8 Possibilities for management action.
Adaptation after [32, 33]

7.4.2 The New Architecture of Industrial Strategies

The industries have been constantly evolving—from the first industrial
revolution marked by the mechanization of production processes (late
18th and early nineteenth century, following the invention of the first
steam engine by James Watt in 1782) and to the present—as due to the
development of technologies but also due to their adaptation to
consumer requirements.
The expansion of automation and computerization have led to a
change in the landscape within industrial technologies, influencing
both the profile of the industrial engineer and managerial techniques.
Currently, there is no question of completely replacing humans with
robots, but the interaction of specialists with technologies will shape
the sets of skills that the engineer/manager of the future must prove.
New technologies—robotic, computerized and automated—aim to
increase productivity but man will remain the oversight and decision-
maker able to make choices and take risks.
All the benefits of new technologies will eventually be analyzed by
people; they are the only ones able to develop critical thinking and have
the decision-making skills to determine how
automation/computerization can be used most effectively to solve a
problem [42].

7.4.2.1 Brief History of Technologies

For the first time in history, a systematic and rigorous presentation of
technologies (related to those times) appears in the book Elements of
Technology published by Jacob Bigelow in 1829 [43, 44].
From a historical point of view, the technologies went through 4
industrial revolutions which, in the technical literature, were numbered
Industry 1.0 to Industry 4.0 (Fig. 7.9) [43]. Industry 1.0 is believed to
have begun in the late eighteenth century with James Watt's
development of the steam engine (a double-acting steam engine, an
improvement on the steam engine invented by Newcomen in 1712, and
used when operating the pumps). The applications of the steam engine
facilitated the transition from production based exclusively on human
force to the use of lucrative machines (mechanization of production).
From this stage, the workers have the role of supervising the
equipment and organizing the production. The economies are also
beginning to develop based on the industry that dominates agriculture
and has a major influence on social life. If in the pre-industrial period
the production was artisanal and intuitive, later it becomes industrial
and rational [42]. On the basis of the steam engine, railway transport is
being developed, which is accelerating economic exchanges. Using
steam energy, metallurgy developed, new methods of metal processing
appeared and, as a result, a gate was opened to the creation of the first
factories and industrial cities [45].

Fig. 7.9 The historical stages of the technologies evolution.

Adaptation after [43]

By the end of the nineteenth century, there was a great deal of

interest in scientific research in the field of electricity and its
applications, including the widespread use of electric drives. The use of
electric drive of production equipment favors the growth of factories,
which determines the emergence of new forms of production
organization. The division and specialization of productive activities are
the basis for mass production and the use of manufacturing lines (in
1870, at the slaughterhouse in Cincinnati, USA and then in 1913 the
introduction of assembly lines for assembling the Ford T model). This
second industrial revolution left its mark on the evolution of mankind
to the present day, especially by making the first internal combustion
engines that used as fuel products obtained from the distillation of
crude oil. The internal combustion engineshave not only revolutionized
the production but have made a significant contribution to modernizing
the transportation. New methods of chemical synthesis have emerged
that gave birth to the first synthetic fibers, paints and fertilizers soil.
Also, the media have been revolutionized as a result of the advent of the
telegraph and the telephone [43, 46].
The third industrial revolution—Industry 3.0—begins in the second
half of the twentieth century and is based on the development of
machine tools and the automation of production lines—a consequence
of the increase in arms production during the Second World War—and
especially, in the field of micro-electronics and computers. From a
historical point of view, it is considered that the beginning of Industry
3.0 was in 1969, when the first Logic Programmable Controller (PLC),
Modicon 084, was made and used, which revolutionized industrial
automation systems [43]. The third industrial revolution—Industry 3.0
—is known as the era of electronics and information technology. During
this period, along with robotization and large-scale automation of
manufacturing processes, it stands out the interest in the use of nuclear
energy. Advanced technologies have given rise to new fields of research:
space, biotechnology, etc.
The third millennium is notable for the spectacular evolution of
informatics, telecommunications and sensors (use of sensors) as well
as the massive implementation of the Internet. These aspects are
characteristic of the 4th industrial revolution. Industry 4.0 promotes
the connectivity of production systems—based on the procedural
approach—benefiting from their cyber-physical conception. The initial
moment of the launch of Industry 4.0 is the year 2011 when, at the
opening of the Hanover Fair, German Chancellor Angela Merkel
mentioned the advanced technologies specific to the period we are
currently going through: Internet of Things (IoT), data processing
technology, cloud manufacturing of products, additive technologies (3D
printing), augmented reality, Big Data, autonomous robots, process
simulation, systems integration vertically and horizontally [43, 45, 47,
48]. This fourth industrial revolution is characterized by the very high
speed of technology development which launches a challenge to
industrial management in terms of designing implementation
strategies. The strategic objectives are beginning to take on another
dimension and refer to: computerization and training of all IT workers;
skills development in areas such as: artificial intelligence, data security,
additive manufacturing; use of advanced modeling and simulation in
order to optimize processes; formation of research nuclei with the
involvement of the university environment.
In this context, it can be mentioned, for example, that in Chinese
Manufacture 2025, artificial intelligence gradually steps forward
quickly from theory to application and practice, and leads to the rapid
development of industrial intelligent manufacturing, which is driven by
the digital wave [49]. In industrial fields, the advanced analysis,
computer vision technique and natural language processing are normal
and used widely. The machines will possess intelligence to replace the
human labor soon in many fields [50].

7.4.2.2 Customer-Oriented Strategies

Technologies have developed as a natural consequence of scientific
discoveries and the exploration of nature and the universe by man. At
the same time, they were influenced by the beneficiaries of the
products resulting from the applications of these technologies. The four
industrial revolutions have influenced the human society not only from
economical point of view but also socially by determining a certain
behavior on the part of consumers. Therefore, when discussing the
managerial behavior we must take into account the bi-univocal
relationship that is established between the technologies and the
consumer attitudes, especially now when we notice the trend of
adapting technologies to the market demands (customers)—Fig. 7.10.
Fig. 7.10 The cyclical nature of technology evolution.
Adaptation after [43]

If in the period before the industrialization, the products were

customized, ie were designed and manufactured at the request of each
customer (as in the case of clothing or footwear, which were the result
of artisanal production), the technologies developed during the
industrial revolution of the eighteenth and twentieth centuries. The
nineteenth century allowed to increase the productivity and, therefore,
to obtain a large volume of similar products. The organization of flow
manufacturing (introduced by Ford in its own car plant) created the
premises for the transition to the mass production, with low costs and
affordable product prices. This phenomenon is noticeable until 1955
(considered as the representative year for series production,
worldwide) when producers begin to diversify the product range while
reducing the volume of production of the same type.
The premises for moving to a new stage were created—the mass
customization stage—when, starting with 1969, product variants are
dedicated to certain market segments and take into account the
requirements of individual customers (such as the configuration of the
car before launch). The customization has intensified since the twenty-
first century, when the use of advanced information processing systems
allows the transition to individual custom production [43]. The history
of technology reveals its cyclical character, traversing the loop between
the custom artisanal production (oriented to the individual), passing
through the forms of mass production (oriented first on the product
and then on consumer groups) and returning to personalized
production, oriented to the individual consumer [48].
For each technological stage, the management looked for solutions
regarding the organization and planning of the productive activities. It
is no coincidence that management is considered a science. It is the
science of adapting the organization to the transformations of society.
Management translates technology transformations into efficient forms
of industrial organization. At this point, the management must organize
the production and prepare it for the stage in which the transfer of
technologies to the consumer will take place. The next industrial
revolution will occur when consumers produce the goods they need on
their own, in a reasonable amount of time, using Additive
Manufacturing technologies and the necessary programs. The
technologies will be stored in the form of databases available on the
Internet (Cloud), available to consumers.
Even if the statement seems exaggerated, it can be said that the
development of technologies determines the return of mankind to the
type of production in the primitive commune. It is very possible that
the future industrial revolution—Industry 5.0—will give individuals
the opportunity to create their own products—using, for example,
additive technologies—manufacturers concerned with providing
technological information (technology informatics support) [48]. Will
the management cope with such a challenge? How will we adapt our
technology strategies for the future?
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Index
A
Additive manufacturing 95, 96, 98, 103, 105, 106
Additives 11–15
Adhesive surface 26
Autofrettage 143–145, 150, 152–159
B
Batteries 111, 116–118, 120, 122, 123, 125
Biomimetics tribology 24
Biotribology 23, 24
Boundary elements method 21
Busbars 111–126, 128–130, 132, 133, 136, 138
Busbar systems 112–116, 118, 138
Business excellence 186, 189, 190
C
Ceramic bearings 27–29
CNC machining 105, 106
Comparative management 187, 188
Computer simulations 20
Contingency management 187
Cutting force 39–42, 45, 47, 57, 63–77, 79, 82–85
Cutting mechanisms 161, 163–165, 172, 173
D
Durable implants 29
E
Electric power 111, 113, 115, 116, 118, 120, 123, 126, 138
E-mobility 112, 116
Extrusion 102–104
F
Fibrous composites 161–164, 167–170, 172, 173
Finite element analysis 112, 127, 134
Finite elements 21
Formalization of strategies 201
Forming technology 112
Friction 1–20, 22, 24, 28, 30, 31, 33–35
Friedrich considerations 49
G
Green tribology 32, 33
Grinding 107
Gun barrel 143, 145, 147–150, 153–155, 157, 158
Gunpowder 145, 146
H
Hard disk drive technology 27
Higher temperature tribology 12, 19
Hippler considerations 55
Hybrid busbars 112, 116, 118, 120, 121, 123–128, 130–138
Hybrid 3D printers 95, 96, 102, 104–106, 108
Hybrid printers 95, 108
Hydrophobic coatings 24, 25
I
Industrial engineering 1
Industrial management 179, 183, 189, 191, 192, 201, 206
Industrial strategies 201, 203
Industrial technologies 194, 197, 201, 203
Industry 4.0 34, 35
Inkjet 102, 104
Ionic liquides 13, 30, 31
J
Japanese management 186, 188, 189
Joining 112, 116, 120–125, 130, 131, 134, 136, 138
K
Kronenberg considerations 57
L
Liquid lubrication 4, 5, 13, 18, 30
Liquid super lubricity 16
Lubrication 1, 2, 4–13, 16, 18, 19, 22, 27, 28, 30–34
M
Machining 161–164, 167–170, 172, 173
Machining technologies 172
Management 179–198, 201–204, 208
Management science 186
Managerial techniques 181, 187, 189, 194, 203
Manufacturing 11, 34
Material extrusion 96, 97, 102
Mechanical engineering 1, 11
Mechanistic approach 39, 74, 75, 77
Micro-electromechanical systems (MEMS) 30, 31
Milling 105, 106
Molecular dynamics simulation 21
Monitoring maintenance 35
Multijet 102, 104
N
Nano additives 13
Nano Tribology 8, 10, 20, 31, 32
P
Photopolimerization 103
Powder bed fusion 96, 102, 104
Pressure vessels 143, 145, 156
R
Relationship management 185
Riblet effect 25
S
Scientific management 182, 183, 186
Smart tribology 34
Solid lubricants 13, 19, 20, 31, 32
Solid super lubricity 16
Spin-offs 26
Subtractive technologies 95, 96, 102, 105, 108
Super lubricity 15, 16
Surface engineering 2, 10, 16–18, 32
Systemic management 186, 187
T
Technological processes 195–197, 199, 200
Time considerations 42
Tool manufacturers 39, 64, 69, 71, 73
Tool wear 161–164, 168–170, 172
Traditional management 184, 186
Tribology 1, 2, 5–7, 9–11, 13, 16–18, 20, 21, 23, 24, 26, 27, 29–35
W
Warfare 145, 146, 158
Wear 1, 3–10, 12–20, 22, 27, 29–31, 33, 35
Wiebe approach 41, 42
Z
Zvorykin considerations 46