3.

17 Topological Evaluation of Surfaces in Relation to Surface Finish

P Demircioglu, Adnan Menderes University, Aydın, Turkey
r 2017 Elsevier Inc. All rights reserved.

3.17.1 Topological Evaluation Methods 243

3.17.1.1 Contact Surface Measurement Techniques 243
3.17.1.1.1 Portable handheld surface finish instrument 243
3.17.1.1.2 SP 243
3.17.1.1.3 Atomic force microscopy (contact mode) 244
3.17.1.2 Noncontact Surface Measurement Techniques 244
3.17.1.2.1 Confocal microscopy 244
3.17.1.2.2 Focus variation microscopy 245
3.17.1.2.3 CSI 246
3.17.1.2.4 SPM 247
3.17.1.2.4.1 AFM (Noncontact mode) 247
3.17.1.2.4.2 STM 247
3.17.1.2.5 Electron microscopy 247
3.17.1.2.5.1 TEM 248
3.17.1.2.5.2 SEM 248
3.17.1.2.6 Comparison 248
3.17.2 Characterization of Parameters 248
3.17.2.1 Primary Profile 250
3.17.2.2 Waviness Profile 250
3.17.2.3 Roughness Profile 250
3.17.3 Surface Finishing 254
3.17.4 Conclusion 260
References 260

3.17.1 Topological Evaluation Methods opportunity to measure the surface parameters for finer and
smoother surfaces quantitatively.
Topological characterization methods are divided into two
categories. These are contact and noncontact measurement and
3.17.1.1.1 Portable handheld surface finish instrument
evaluation methods. These methods have pros and cons in
Portable handheld surface finish instruments measure multi-
different aspects. The technological developments are bringing
ple roughness parameters using diamond tip drawn across
new approaches and solutions. Therefore, evaluation methods
a sample part with motorized traverse mechanism. These
for surface characterization should be revised and adapted to
instruments produce a set of traceable measurement results
new approaching or emerging technologies.
including detailed profile graph with one-button operation.
Most common types of instruments use standard cutoff values
3.17.1.1 Contact Surface Measurement Techniques (0.8 mm), accuracy (ranges from 0.1 to 40 mm in Ra), dia-
mond tip with a radius of 5 mm, and traverse length of 5 mm.5
In the twentieth century, the attempts for development of the
There are two common types of surface finish measuring
surface instrumentation were initiated by industry and aca-
systems as skidded and nonskidded (can be called as skid-
demia. Surface topographical characterization was assessed by
less). These testers with skidded can measure roughness only
the judgment of the inspector either by eye or fingernail. The
(Figure 1(a)), whereas skidless testers can evaluate the surface
simplest way to characterize surface structure is visual inspec-
components as form, waviness, and roughness (Figure 1(b)).
tion. The mere eye can tell quite much about larger scale fea-
Workpiece belonging to surface being measured is used as
tures. The resolution of the human eye is limited to slightly
a reference surface by skidded instruments, while skidless
under 100 mm.1 Because of this reason, it is necessary to have
instruments can use an internal precision surface as a refer-
higher spatial resolution measurement systems, which can be
ence. Skid can be used as a mechanical filtering in the mea-
used for the surface topographical assessment.
surements. Skid radius is a key factor that determines the
The first contact type stylus profilometer (SP) was developed
obtained results from a tester.
for the surface topographical characterization by Schmaltz
in 1929.2 After G. Schmaltz, Abbott in 19363 and Hobson
in 19394 advanced the surface inspection and measurement 3.17.1.1.2 SP
know-how. Early stage evaluation methods were insufficient in SPs are supported with the most of the surface finish standards
order to put a numerical value to the surface texture. Contact for the prerequisites of the engineering communities and
type SPs advanced the evaluation methodologies and gave an academia (Figure 2).6 A stylus with diamond tip with different

Comprehensive Materials Finishing, Volume 3 doi:10.1016/B978-0-12-803581-8.09179-7 243

244 Topological Evaluation of Surfaces in Relation to Surface Finish
Figure 1 Portable handheld surface finish instrument. (a) with skid and (b) skidless.
Figure 2 Working principle of stylus profilometer.
sizes (ranges from 20 nm to 50 mm) is moved in vertical stylus
displacement on the surface being measured, while the tip is
moved laterally across the sample for a predetermined contact
force (range from less than 1–50 mg). Measuring range for a
typical SP is between 10 nm and 1 mm. An analog signal is
produced, as diamond moves mechanically up and down in
vertical direction. Generated analog signals by transducer are
converted into digital signals, and then this digital information
is stored, analyzed, and displayed.
The SPs have pros and cons in different aspects. Software
used by these profilometers is compatible with the world’s
surface finish standards. Stylus instruments are the only
instrument types that are fully covered by ISO specification
standards and there is good practice guidance available.7
Obtained measurement results from the SPs are reliable. SPs
are more preferable since they have an ability to measure the
surface properties of a material with dirty layer, while non-
contact measurement systems can measure material surface
properties plus surface contaminants. Vertical resolution of
these profilometers is usually sub-nanometer level.
The contact type stylus measurement technique has con-
siderable drawbacks that the loaded stylus can damage or
scratch the surface being measured, particularly the situation
for soft surfaces. The transducer and stylus tips are often fra-
gile, the measurements with these instrument should be
applied in a fairly vibration free environment. Consequently,
this direct contact measurement method may not be appro-
priate to be used on a test object undergoing a machining
process simultaneously.8
3.17.1.1.3 Atomic force microscopy (contact mode)
Atomic Force Microscopy (AFM) is one of the scanning probe
microscopy (SPM) techniques. The AFM9 was developed for
imaging the insulating surfaces at atomic resolution levels. For
the working principle of AFM, the samples are scanned in
2-axes under the force-sensing probe with tip attached to a
cantilever. The interaction between the tip and sample occurs,
when the tip is approached to the sample surface with proxi-
mity. Therefore, forces between the tip and the sample results
in a deflection for the cantilever. The light from a laser is sent
to the cantilever, and then reflected light from back of the
cantilever is focused on a position sensitive photodetector.10
Such an optical beam deflection system is sensitive to sub-
nanometer deflections of the cantilever.11 The AFM performs
raster scanning and produces a topographic map of the sample
surface (Figure 3(a)). The imaging with contact mode AFM can
damage or distort some biological samples (Figure 3(b)).
AFM has abilities to measure the parameters in nanoscale
level (Figure 4). These parameters can be:
1. Nanomechanical properties such as elastic modulus,
hardness, stiffness, viscoelastic, frictional, etc.
2. Nanochemical properties such as chemical composition of
surface features, etc.
3. Nanoelectrical properties such as work function, con-
ductivity, etc.
4. Nanomagnetic properties, for example, magnetostatic field,
field gradient above ferromagnets, etc.
5. Texture parameters such as average roughness, maximum
peak to valley height, root mean square roughness, 10-
point mean height roughness, surface skewness, surface
kurtosis, etc.
6. Particle characterization such as parameters, volume, size,
shape, and particle surface morphology, etc.
3.17.1.2 Noncontact Surface Measurement Techniques
The invention of noncontact optical techniques is in a sense
due to the drawbacks of the contact type stylus measurement
techniques. These noncontact measurement methods have
ability to measure in-process and the different types of mate-
rials. The optical systems and the SPs are two complementary
methods.12 This noncontact environment can also result in
much faster measurement times for the optical scanning
instruments in the characterization of technical and non-
technical surfaces, while the SPs take more operation time
in an aerial scanning mode. 3D noncontact optical surface
inspection and measurement methods work with sensor-based
approach by being placed at a certain distance from the object.
Since optical measurement systems contains many drawbacks
such as objective properties, spot size, numerical aperture
(NA), field of view (FOV), surface slopes and discontinuities,
and multiple scattering, surface finish evaluation results seems
to have higher values in other words overestimation of the
values of surface texture parameters occurs.
In this section, confocal microscopy, focus variation
microscopy, coherence scanning interferometry (CSI), SPM,
and electron microscopy as the noncontact methods for
measuring surface topography is mentioned.
3.17.1.2.1 Confocal microscopy
The fundamental working principle of confocal microscopy is
that only focused-light is sent to detector by means of a spatial
 Topological Evaluation of Surfaces in Relation to Surface Finish
Figure 3 (a) Contact mode AFM imaging and (b) Atomic force microscope (AFM).
Figure 4 Measurement parameters with AFM.
pinhole placed at the confocal plane of the lens to remove out
of focus light. In the late 1800s, Ernst Abbe (The Abbe Cri-
terion) first enlightened that these traditional type fluorescence
microscopes have the limits to spatial resolution. The principle
of confocal imaging was patented (US patent 3013467) in
1957 by Minsky13 with the purpose of surpassing the limita-
tions of widefield fluorescence microscopes, since the resolu-
tion in confocal microscopy is augmented by eliminating out
of focus light. In recent technologies, the confocal microscopy
has three main different types of working principles. These
principles are named as confocal laser scanning microscopy
(CLSM or LSCM) (Figure 5(a)), disk scanning confocal
microscopy (DSCM) (Figure 5(b)) and programmable array
scanning confocal microscopy (PACM) (Figure 5(c)).
The main differences among confocal microscopes are
beam scanning system, motorized scanning disk system, and
programmable array scanning system for CLSM, DSCM, and
PACM, respectively. In CLSM, beam scanner provides the raster
scan of illumination to generate the confocal image. This is
obtained by using two mirrors that move in perpendicular
directions in order to bend the beam of the light. In DSCM,
three different motorized disks are available in the market, these
are called as Nipkow disks, parallel slits, and point rotating slit
245
disks. Scanning disk turns and captures light that represents a
slice of image from sample surface. In PACM, programmable
array takes the roles of beam scanning system in CLSM and
motorized disk in DSCM. Programmable array works in a way
that only desired lights are taken into account. This each pixel of
micro display acts as an illumination and detection element at
the same time. Light from out of focus regions falls into
neighboring pixels and the signals on the correlated pixels are
used to reconstruct confocal image. The array of apertures can
be opened or closed.
3.17.1.2.2 Focus variation microscopy
The principle of focus variation was first published by von
Helmholtz in 1924.14 The working principle of these instru-
ments is based on focus variation. The visible light sends
through a lens and to a beam splitter, then light goes through
objective lens, finally to a sample. The driving unit connected
to sample compartment moves vertically to provide in focus,
lateral movement of the sample compartment enables the
scanning of the sample. Reflected light from the sample goes
through objective lens, and passes through semitransparent
mirror and tube lenses to the Charge–Coupled Device (CCD)
array. In an array, the status of focusing such as out of focus,
246 Topological Evaluation of Surfaces in Relation to Surface Finish

Figure 5 Schematic representation of three working principles of confocal microscopes.11 (a) Confocal laser scanning microscopy (CLSM or
LSCM), (b) disk scanning confocal microscopy (DSCM), and (c) programmable array scanning confocal microscopy (PACM).

1. array detector
2. lenses
3. white light source
4. beam splitter
5. objective
6. specimen
7. vertical scan
8. focus curve
9. light beam
10. analyzer
11. polarizer
12. ring light

Figure 6 Schematic diagram of a typical measurement device based

on focus variation.15

almost in focus, and in focus is evaluated, calculating the focus

information (standard deviation) by 5
5 neighboring pixel
values with the pixel values for the point of interest. Working
principle of focus variation microscopy is depicted in Figure 6.

3.17.1.2.3 CSI
CSI (Figure 7) is often referred to as vertical scanning white-
light interferometry. The light goes through beam splitter to an
objective lens and internal reference mirror driven by a piezo-
system, finally through the object to be measured. From here,
the light is reflected back to the objective, goes through beam
splitter, and finally reaches to the digital image sensor. The
upper beam splitter directs light from the light source toward
the objective lens. The lower beam splitter in the objective lens
splits the light into two separate beams. One beam is directed
toward the sample and one beam is directed toward an
internal reference mirror. The two beams recombine and the
recombined light is sent to the detector. Due to the low
coherence of the white light source, the optical path length to
Figure 7 Working principle of coherence scanning interferometry
design (upper) with schema of how to build up an interferogram on a
surface using CSI. The vertical lines are intensity profiles at the image
sensor (lower).17
the sample and the reference must be almost identical, for
interference to be observed.16 This characterizes how well
a wave can interfere with itself at a different time. The detector
measures the intensity of the light as the interferometric objec-
tive is actuated in the vertical direction (z-axis) and finds the
maximum interference. Each pixel of the sensor measures
the intensity of the light and the fringe envelope obtained can
be used to calculate the position of the surface.
 Topological Evaluation of Surfaces in Relation to Surface Finish 247

Figure 8 (a) Atomic force microscope and (b) Noncontact mode AFM imaging mode.

3.17.1.2.4 SPM
The Scanning Probe Microscopes (SPMs) represent the fun-
damental instrumentations for Nanotechnology. Basic princi-
ple of SPM has two distinct functions. These are scanning and
probing. Scanning is performed by piezo raster 2D (X–Y)
scanning, while probing is achieved by a sharp tip mounted to
a z-scanner. The most common types of SPMs are noncontact
AFM and scanning tunneling microscopy (STM).

3.17.1.2.4.1 AFM (Noncontact mode)

The first Noncontact AFM (NC-AFM) was designed by Martin
et al. in 1987.18 Tapping mode or NC-AFM (Figure 8(b)) can be
classified in this section, since tip of the instrument does
not have contact with sample surface. These types of instru-
ments measure surface topography by utilizing attractive forces
(interatomic force) between the tip and the sample surface.
NC-AFM uses piezoelectric modulator to obtain the informa-
tion regarding the surface topography. Piezoelectric modulator
enables to keep minimum distance to the sample surface by
van der Waals forces between the tip and the sample surface.
Therefore, all the time the distance between the tip and the
sample surface remains in the same level by z-servo feedback
Figure 9 Working principle of scanning tunneling microscopy.20
loop control system. The light sends to the cantilever, and then
reflected back to photodetector. In photodetector, surface to-
pography information is monitored (Figure 8(a)). quantum object is sent on a material with a thick barrier, this
quantum object bounces off. If the barrier is thinner, it has the
ability to pass through the object. Metals are made of atoms
3.17.1.2.4.2 STM
and electrons. Electrons come off the metal surface, when
The STM is based on the quantum mechanical tunneling effect
electric current passes through the tip. This produces a tunnel
(Figure 9). Binnig and Rohrer developed this system in 1981
effect. Low current is amplified by a current amplifier. Distance
(at IBM Zürich) and earned the Nobel Prize in Physics in
control and scanning unit enable to control the voltage goes to
1986.19 For an STM, average lateral and depth resolutions are
the piezoelectric tube. Thus, the tip is moved, and then finally
considered to be 0.1 and 0.01 nm, respectively. With this
data is recorded and displayed.
resolution, individual atoms within materials are routinely
imaged and manipulated. STM performs well for all con-
ductive materials. However, it is possible to measure even 3.17.1.2.5 Electron microscopy
biological materials such as DNA. Working principle of these The working principle of electron microscopes is that the
instruments is that extremely fine conducting material creates system uses a beam of electrons instead of the light to produce
tunneling effect with conductive samples. In theory, when a an image of the sample specimen. There are two types of
248 Topological Evaluation of Surfaces in Relation to Surface Finish
Figure 10 Schematic representation of transmission electron
microscopy.
electron microscopes. These are Transmission Electron Micro-
scopy (TEM) and Scanning Electron Microscopy (SEM). Gen-
erally, TEM and SEM utilize electromagnetic and/or electrostatic
lenses to keep up the path of electrons. The resolution of these
systems depends upon the wavelength of the irradiation used
to create an image. Reducing the wavelength increases the
resolution. Thus, the resolution of the image obtained from
the microscope can be increased if the accelerating voltage of
the electron beam is increased. Hans Busch was a pioneer of
electron optics and laid the theoretical basis for the electron
microscopy in 1920s. Knoll and Ruska21 succeeded in magni-
fying an electron image. The first prototype of electron micro-
scopy was actually built by Ruska in 1933 and was capable of
resolving to 50 nm. In this section, the working principles of
TEM and SEM are explicitly depicted.
3.17.1.2.5.1 TEM
In these instruments (Figure 10), instead of using light, electrons
are produced and transmitted through an ultrathin specimen
(semitransparent for electrons) as an electron beam. Like in
spectroscopy, electrons passing through a specimen interact
with the atoms in sample. As a result of the specimen char-
acteristics, the properties of transmitted electron beam changes.
The transmitted electron beam is projected on a fluorescent
screen, and then the information is captured from fluorescent
surface to create the TEM image. In other words, TEM contains a
high voltage electron beam emitted by a cathode and formed by
magnetic lenses. The electron beam partly transmitted through
the ultrathin specimen carries information about the structure
of the specimen. The spatial information is magnified by a
series of magnetic lenses, and finally the image formed on a
fluorescent screen. The image detected by a CCD camera played
and recorded in real time.
3.17.1.2.5.2 SEM
In contrast to the TEM, SEM (Figure 11) produces the images
using secondary electrons which are emitted from a specimen
hit by the electrons of the primary beam. In SEM, the electron
beam is scanned across the surface being measured in a raster
scan with the detectors for building up an image by mapping
the detected signals with the beam position. Since primary
Figure 11 Schematic representation of scanning electron microscopy.
beam electrons have more energy than secondary electrons,
secondary electrons from the atoms are kicked away by primary
electrons and scattered electrons carry information regarding the
surface properties of the specimen. Therefore, SEM is a vital
measurement technique for the surface finish studies.
3.17.1.2.6 Comparison
Table 1 gives the comparison of the measurement and
inspection techniques.
The sensitivity of instruments using cantilever beam with
tip are affected by stiffness, size, and material type of the tip.
TEM requires a special environmental conditioning such as
vacuum, while SEM and others does not require. When com-
pared in terms of cost and complexity, TEM and SEM require
special lenses and optics, and have the highest cost among others
in investment. STM tip should be conducting, can be simply cut
freshly by normal wire cutter. STM works with the very top atom
at the freshly cut tip, providing to atomic resolution. AFM tip
should be sharp enough to get good resolution (fat-tip effect),
and also AFM tip should be stiff enough to sense the atomic
interaction with sample surface. AFM tip is not necessary to be
conducting, but STM tip should be conductive.
From coarse to very fine surface finishes, it is important to
test a specimen with proper instruments and to make decision
with above mentioned measurement and inspection methods.
Therefore, surface finishing and quality measurements can be
done using above instruments. In surface finish measurement
studies or in industry, crucial task is that the selection of
proper measurement methods according to surface finish.
3.17.2 Characterization of Parameters
Surface texture refers to the surface irregularities such as peaks
and valleys, produced on a surface by any forming processes.
 Topological Evaluation of Surfaces in Relation to Surface Finish 249

Table 1 Comparison of the measurement and inspection techniques

Criteria Contact stylus Noncontact optical AFM STM TEM SEM

Type of probe Tip Light beam Tip Tip Electron beam Electron beam
Type of contact Contact Noncontact Contact and Noncontact Noncontact Noncontact
Noncontact
Source Mechanical-electrical Photons Mechanical-electrical Atomic forces Electrons Electrons
energy energy/Photons
Detection Transducer Photodetector Photodetector Photodetector Fluorescent CCD
scene
Sample Little/Not required Little/Not Required Required Required Required
preparation required
Spatial 0.1 mm–1 mm 0.5 mm 20 nm 2.5 nm 2 nm–1 mm 10 nm
Resolution
Z-Resolution 0.3 nm 0.1 mm Sub-nanometer/ 0.2 nm 100 nm 2 nm
Angstrom
Z-Range 50 mm 20 mm 5 mm 100 nm 2 mm 2 mm
Output 2D/3D 2D/3D 3D 3D 2D 3D

Figure 12 Surface topography evaluation schema.

Form, waviness, and roughness are basic components of
a surface texture, which is much more associated with the
roughness, since in practice surface roughness is most com-
monly used and measured. Forms typically appear due to the
errors occurring from machining. This is commonly known
as straightness errors. Waviness is a result of various vibra-
tions during machining process related to both machine tool
and outside sources like work deflection, vibration, heat
treatment, and other similar factors. Roughness occurs as a
result of feed-rate tool geometry, tool condition, the process
used, and hardness and other variations in material char-
acteristics. Since form, waviness, and roughness appears due
to different factors mentioned above, it is possible to remove
these errors with analyses. The removal of errors can be
accomplished using selected filters or cutoff values. In this
section, primary profile, waviness, and roughness are detailed
explicitly.
Surface parameters are obtained using two types of profil-
ing techniques. These techniques are based upon height
measurements. These height measurements are made along a
line (profile method) or over an area (raster area methods).
Both types of techniques develop quantitative knowledge
of the surface peaks and valleys by point measurement using
high resolution probe. Surface topography evaluation schema
(Figure 12) indicates how primary profile, waviness, and
roughness are obtained using digital filters. Firstly, a profile
signal is extracted from a surface using any profilometer such
as with mechanical/optical probe. The extracted profile refers
to the sampled and digitized signal. Then, form removal
process is applied to the extracted profile signal. This refers to
removal of errors caused by geometry of sample part/mea-
surand. After the removal of form type, low-pass filter is
applied to the obtained signal. The result is the primary profile
signal. The primary profile parameters such as Pa, Pz, Psk, etc.,
250 Topological Evaluation of Surfaces in Relation to Surface Finish
are obtained from primary profile signals. Low-pass filtering is
applied to the primary profile signal and therefore, waviness
profile signal is obtained. Parameters obtained from these
signals are Wa, Wz, Wsk, etc. High-pass filter is applied to the
primary profile signal. Then the roughness profile signal is
obtained. Roughness parameters are Ra, Rz, Rsk, etc.
3.17.2.1 Primary Profile
The primary profile is acronym as P, which is the profile after
low-pass filtering the measuring values using the cutoff
wavelength ls. The short-wave profile parts in the signal are
cutoff and evaluated within the sampling length (cutoff).
This equals to the measured length or the length of the
measured surface profile.22 The primary profile signal
obtained from a surface texture using low-pass filter is shown
in Figure 13(a). The profile is a superimposed image of
roughness, waviness, and profile. Figure 13(a) shows the
surface texture profile signal for a surface while Figure 13(b)
illustrates the signals for original signal plus primary profile
signal.
3.17.2.2 Waviness Profile
The waviness profile is acronym as W, which results from low-
pass filtering the primary profile with the cutoff wavelength lc
Figure 13 Surface profile signals. (a) Original and (b) Original þ Primary profile.
and high-pass filtering with the cutoff wavelength lf. Waviness
profile is evaluated over the measured length In, which is
composed of several sampling lengths lw. The single measured
length Iw corresponds to the cutoff wavelength lf of the high-
pass filter. The original signal is illustrated in Figure 14(a). The
waviness profile signal obtained from a primary profile signal
using low-pass filter is shown in Figure 14(b).
3.17.2.3 Roughness Profile
The roughness profile is acronym as R, which results from high-
pass filtering the primary profile with the cutoff wavelength
lc. Roughness profile is evaluated over the measured length In,
which is composed of five single measured lengths lr. The
single measured length Ir corresponds to the cutoff wavelength lc
of the primary profile filter. The original signal is illustrated
in Figure 15(a). The roughness profile signal (Figure 15(b)) is
obtained from a primary profile signal using high-pass filter.
Table 2 shows the 2D surface profile parameters, their
corresponding equations, and graphical representations. Here,
for each 2D parameter, definitions are given with their equa-
tions in order to use in surface topological calculation and
evaluations. Furthermore, graphical representations for each
surface parameter are depicted so as to illustrate the phe-
nomena how 2D surface parameters are withdrawn for the best
comprehension.
 Topological Evaluation of Surfaces in Relation to Surface Finish 251

Figure 14 Surface profile signals. (a) Original and (b) Waviness.

Figure 15 Surface profile signals. (a) Original and (b) Roughness.

252 Topological Evaluation of Surfaces in Relation to Surface Finish

Table 2 2D surface profile parameters23,24

2D surface profile Equation with description Graphical representation

parameters

Amplitude parameters (peak to valley)

Maximum profile Rp ¼ maxðZp ðx ÞÞ
peak height Rp,
Wp, and Pp Largest profile peak height Zp
within a sampling length.

Maximum profile Rv ¼ minðZpðx ÞÞ

valley depth Rv,
Wv, and Pv Largest profile valley depth Zv
within a sampling length.

Maximum height of Rz ¼ RpþRv

profile Rz, Wz,
and Pz Sum of height of the largest
profile peak height Rp and
the largest profile valley Rv
within a sampling length.

Mean height of P
m
Rc ¼ 1
Zti
profile elements m
i ¼1
Rc, Wc, and Pc
Mean value of the profile
element heights Zt within a
sampling length.

Total height of Rt ¼ maxðZpi Þ þ maxðZvi Þ

profile Rt, Wt,
and Pt Sum of height of the largest
profile peak height Rp and
the largest profile valley Rv
within an evaluation length.

(Continued )
 Topological Evaluation of Surfaces in Relation to Surface Finish 253

Table 2 Continued

2D surface profile Equation with description Graphical representation

parameters

Amplitude parameters (average of ordinates)

Arithmetical mean Rl
Pa; Ra; Wa ¼ 1l 0 jZ ðx Þjdx
deviation of the
assessed profile Arithmetic mean of the
Ra, Wa, and Pa absolute ordinate values Z(x)
within a sampling length.

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
R ffi
Root mean square 1 l 2
Pq; Rq; Wq ¼ l 0 Z ðx Þdx
deviation from
the assessed Root mean square value of the
profile Rq, Wq, ordinate values Z(x) within a
and Pq sampling length.

h R i
Skewness of the Rsk ¼ 1 1 lr
Z 3 ðx Þdx
Rq 3 lr 0
assessed profile
Rsk, Wsk, and Quotient of mean cube value
Psk of the ordinate values Z(x)
and cube Pq, Rq, Wq,
respectively, within a
sampling length.

Kurtosis of the 1 1 lr
R
Rku ¼ Rq 4 lr 0
Z 4 ðx Þdx
assessed profile
Rku, Wku, and Quotient of mean quartic of
Pku the ordinate values Z(x) and
4th power of Pq, Rq, Wq,
respectively, within a
sampling length.

Spacing Parameters
Mean width of P
m
Rsm ¼ 1
Xsi
profile elements m
i ¼1
Rsm, Wsm, and
Psm Mean value of the profile
element width Xs within a
sampling length.

(Continued )
254 Topological Evaluation of Surfaces in Relation to Surface Finish

Table 2 Continued

2D surface profile Equation with description Graphical representation

parameters

Hybrid Parameters
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
R  2 ffi
Root mean square 1 l d
RDq ¼ l 0 dx Z ðx Þ dx
slope of the
assessed profile Root mean square value of the
RDq, WDq, and ordinate slopes dZ/dx within
PDq a sampling length.

Curves Related Parameters

Material ratio of the P
m
Rmr ðc Þ ¼ 1
Ml ðc Þi
profile Rmr(c), ln
i ¼1
Wmr(c) and
Pmr(c) Ratio of the material length of
the profile elements Ml(c) at
a given level c to the
evaluation length.

Profile section Rδc ¼ c ðRmr 1Þ  c ðRmr 2Þ

height difference : Rmr 1oRmr 2
Rδc, Wδc, and
Vertical distance between two
Pδc
section levels of given
material ratio.

Relative material Rmr ¼ Rmr ðc1 Þ

ratio Rmr, Wmr C1 ¼ C0  Rδc
and Pmr C0 ¼ C ðRmr 0Þ
Material ratio determined at a
profile section level Rδc,
related to a reference C0.

3D surface profile parameters are listed with their corre-
sponding equations in Table 3. Here, for each 3D parameter,
definitions are given with their equations in order to use in
surface topological calculation and evaluations. This areal
information is needed to have better results for surface eva-
luation since 3D parameters contain more information than
information obtained from profiling.
3.17.3 Surface Finishing
All machining processes leave characteristic topographic features
on the surfaces of components. Surface finishing is a very wide
range of industrial processes. These processes change and modify
the surface of produced sample to reach the desired properties.
From deburring processes to a variety of technological processes,
 Topological Evaluation of Surfaces in Relation to Surface Finish 255

Table 3 3D surface profile parameters25

3D surface profile parameters Equation with description

Amplitude characterization Sa ¼ ∬a jZ ðx ; y Þj dx dy

Sa: The average deviation of the surface

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Sq ¼ ∬a ðZ ðx ; y ÞÞ2 dx dy

Sq: The root mean square deviation of the surface

Ssk ¼ 1
Sq 3
∬ a ðZ ðx ; y ÞÞ3 dx dy

Ssk: Skewness of surface height distribution

Sku ¼ 1
Sq 4
∬ a ðZ ðx ; y ÞÞ4 dx dy

Sku: Kurtosis of surface height distribution

P5 P
jPeak Heightsj þ 51 jValley Depthsj
Sz ¼ 1
5
Sz: Ten point height of the surface
Spatial characterization Number of Peaks
Sds ¼
Area
Sds: Density of summits

Length of fastest decayð0:2Þ of ACF in any direction

Str ¼
Length of slowest decayð0:2Þ of ACF in any direction
Str: Texture aspect ratio; ACF¼Auto correlation function
Sal ¼Length of fastest decay of ACF to 0.2 in any direction
Sal: Fastest decay auto correlation length
Std ¼Major direction of lay derived from APSDF
Std: Texture direction of surface; APSDF¼Angular power spectral density function
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Hybrid characterization R Lx R Ly  ;y Þ2 ∂Z ðx ;y Þ2
Sdq ¼ A1 0 0 ∂Z ðx ∂x þ ∂y dy dx

Sdq: Root-mean square surface slope

Z Z    2 
1 Lx Ly ∂2 Z ðx ; y Þ ∂ Z ðx ; y Þ
Ssc ¼ þ dy dx
A 0 0 ∂x 2 ∂y 2
Ssc: Mean summit curvature

ðTotal surface areaÞ  ðCross sectional areaÞ

Sdr ¼
Cross sectional area
Sdr: Developed surface area ratio
Functional characterization Sq 1
Sbi ¼ ¼
True heightð0:05Þ hð0:05Þ
Sbi: Surface bearing index
 
Vv ðh0:05 Þ  Vv ðh0:80 Þ
Sci ¼ C Sq
A

Sci: Core fluid retention index; smoother¼Smaller sci

 
Vv ðh0:80 Þ
Svi ¼ C Sq
A

Svi: Valley fluid retention Index; good fluid retention¼larger Svi

(Continued )
256 Topological Evaluation of Surfaces in Relation to Surface Finish

Table 3 Continued

3D surface profile parameters Equation with description

 
Vmðh0:10 Þ
Sm ¼
A
Sm: Surface material volume – Volume from top to 10% bearing area
 
Vv ðh0:10 Þ  Vv ðh0:80 Þ
Sc ¼
A
Sc: Core void volume – Volume enclosed 10–80% bearing area
 
Vv ðh0:80 Þ  Vv ðh1:00 Þ
Sv ¼
A

Sv : Surface void volume – Volume from 80 to 100% bearing area

Table 4 Adding and altering methods

Adding and altering Working principle Topological evaluation Applications

methods of surface finish

Blanching Whitening of a surface using acid or coating 0.4–0.8 mm Tin based productions, etc.
with tin.
Case hardening Hardening of surface such as flame and 0.3–0.5 mm Screws, firing pins and rifle bolt faces,
induction hardening, carburizing, nitriding, or engine camshafts, etc.
cyaniding, carbonitriding, ferritic
nitrocarburizing.
Ceramic glaze Coating of vitreous materials to fuse with 0.3–0.5 mm Coloring, water-proofing, and
ceramic using fire. decorating purposes, etc.
Cladding Bonding of two different metals by pressing/ 0.5–1 mm Heat exchangers, coins productions,
extruding two metals through a die/rolling etc.
two metal sheets with high pressure.
Corona treatment Modificating surface using electrically 0.5–1 mm Polyethylene, polypropylene, vinyl,
discharge plasma. PVC, PET, metalized surfaces, etc.
Diffusion processes Diffusing carbon or nitrogen to a metal 0.5–1 mm Gears, crankshafts, valve parts,
surface. extruder screws, die-casting tools,
-Carburizing Diffusing carbon to a metal surface. forging and extrusion dies, injectors,
-Nitriding Diffusing nitrogen to a metal surface. and plastic-mold tools, etc.
Electroplating Coating metal objects with a thin layer of a 0.5–1 mm Circuits of cell phones, computers, and
different metal. other electronic devices, etc.
Galvanizing Coating steel with zinc to provide long term 150 mm Building and construction, etc.
corrosion protection and abrasion
resistance with hot metal bath or Electro-
deposition.
Gilding Coating metals and nonmetals with gold leaf, NA Hand application and glueing,
gold flakes, brass, etc. electroplating, etc.
Glazing Glazing by spraying, dipping, pouring, and NA Ceramic glaze, insulated glazing, etc.
painting etc.
Knurling Producing indentations on a part of a NA Tool handles, mechanical pencils, and
workpiece. the control knobs on electronic
equipment, etc.
Painting Applying paint, pigment, color, or other NA Knives, sponges, and airbrushes, etc.
medium to a surface.
Passivation/Conversion Coating with a chemical or electro-chemical NA Microelectronics, photovoltaics, etc.
coating process.
-Anodizing Increasing thickness of the natural oxide layer Usually, the higher the Baseball bats, signs, furniture, surgical
on metal surface by forming the anode anodizing voltage, the trays, motorcycle, architectural
electrode of an electrical circuit. more roughening molding, etc.
occurs.
-Bluing Heating the steel until a blue oxide film NA Guns, firearms, razor blades, etc.
appears without chemicals.
-Chromate conver- Applying chromate conversion coating to NA Aircraft industry, everyday items such
sion coating substrate to passivate steel, aluminum hardware, tools, etc.
alloys.
(Continued )
 Topological Evaluation of Surfaces in Relation to Surface Finish
Table 4 Continued
Adding and altering Working principle
methods
Phosphate conversion Spraying to the surface with dilute solution of
coating phosphoric acid and phosphate salts to
form phosphates layer.
♦♦ Parkerizing The process involves submerging the metal
part into a phosphoric acid solution.
-Plasma electrolytic Producing oxide coatings on metals, using
oxidation higher potentials, so that discharges occur,
resulting plasma modifies structure of the
oxide layer.
Plasma spraying Producing coatings on structural materials
into the plasma jet, emanating from a
plasma torch.
Powder coating Producing thicker coatings without sagging,
and producing minimal appearance
differences between horizontally coated
surfaces and vertically coated surfaces.
Thin-film deposition Depositing a thin film of material onto a
substrate or onto previously deposited
layers.
-Chemical vapor Depositing thin films of materials on wafers
deposition (CVD) or other substrates.
-Electroplating/ Using electrical current to reduce metal
Electrodeposition cations in an electrolytic solution in order to
coat a conductive object with a thin
adherent layer, modifying the surface
properties.
-Electrophoretic Suspending colloidal particles in a liquid
deposition (EPD) under the electric field, depositing onto an
electrode.
-Mechanical plating/ Descaling and removing soil from the
Peen plating/ workpiece in tumbler without electrical
Mechanical charge passing through the plating
deposition/Cold medium.
welding
-Sputter deposition Removing atoms from a solid target's
surface, projecting them into gas phase
from condensing on another surface.
-Physical vapor Depositing thin films by the condensation of a
deposition (PVD) vaporized form of the desired film material
onto workpiece surfaces.
-Vacuum plating Depositing layers of material atom-by-atom/
molecule-by-molecule on a solid surface at
below atmospheric pressure (i.e., vacuum).
Vitreous enamel/ Fusing a thin layer of glass at high
Porcelain enamel temperature on to the surface of a metal.
surface finishing covers a wide-ranging of industries and appli-
cations. The main functions of the surface finishing are the
improvement of the surface appearance, the enhancement of
the corrosion resistance and the impartment of the required
surface properties. Surface finishing processes can be categorized
by how they affect the workpiece as adding or altering finishing
(Table 4) and removing or reshaping finishing (Table 5).
Table 6 represents the general characteristics of machining
processes.26 This table gives detail information regarding the
257
Topological evaluation Applications
of surface finish
NA Application of supplemental coatings:
lubricants, sealers, oil, etc.
NA Automobiles, firearms, etc.
NA Aerospace and defense (gearboxes,
gear bearing carriers, etc.).
NA Corrosion protection, medical implants,
etc.
NA Automobile parts, bicycle frames and
parts, etc.
Sub-micrometer and Electronic semiconductor devices and
nanometer optical coatings, etc.
Car parts, bath taps, kitchen gas
burners, wheel rims, and coins such
as pennies, etc.
Automobile bodies and parts, tractors
and heavy equipment, electrical
switch gear, industrial products, etc.
Nails, screws, nuts, washers,
stampings, springs, clips, and
sintered iron components, etc.
Photovoltaics, flat panel display, etc.
Aerospace, Dies, and molds,
Automotive, Surgical/Medical, Cutting
tools, Fire arms, etc.
Metallic films, semiconductor films,
solar cells, automotive applications,
etc.
NA Jewelry and decorative art, housing and
interior walls of major kitchen
appliances, chemical reactors and
pharmaceutical process tanks, etc.
process, their characteristics, tolerances, and roughness values.
Here, it is clear that each machining process produce different
surface topography. Average roughness values for each
machining process prove that each machining process results
in different surface texture.
Table 7 explicitly indicates the general characteristics of
advanced machining processes.26 Information regarding the
process, their characteristics, tolerances and roughness values
are detailed.
258 Topological Evaluation of Surfaces in Relation to Surface Finish
Table 5 Removing and reshaping methods
Removing and Working principle
reshaping methods
Abrasive blasting Propelling a stream of abrasive material
against a surface under high pressure
to smooth a rough surface.
-Sandblasting Producing 3D-signage. These signs often
incorporate gold leaf overlay and
crushed smalts.
Burnishing Burnishing smears the texture of a rough
surface and makes it shinier.
Chemical-mechanical Using abrasive chemical slurry, to
planarization (CMP) remove material and making any
irregular topography the wafer flat.
Electropolishing Removing surface imperfections from a
sample to polish, passivate, deburr
metal parts using chemicals and
electrical current.
Flame polishing Exposing the material to a flame smooths
tension of the surface out.
Gas cluster ion beam Bombarding to a surface by a beam of
high energy nano cluster ions using
gas cluster ion beam.
Grinding Using a rotating abrasive wheel to
smooth the flat surface of materials to
reach an ideal surface for a functional
purpose.
Industrial etching/ Using baths of temperature-regulated
Chemical milling etching chemicals to remove material
to attain the desired shape.
Linishing Using grinding or belt sanding
techniques to improve the flatness of a
surface and produces a matt finish.
Mass finishing Deburring, radiusing, smoothing,
processes/Vibratory polishing and degreasing the mass
finishing produced parts by mechanical/chemical
means.
Pickling Remove impurities from ferrous metals
with a solution called pickle liquor
containing strong acids.
Polishing Rubbing the surface or using a chemical
action in order to create a smooth and
shiny surface.
-Buffing Smoothing the surface using an abrasive
and a work wheel or a leather strop.
-Lapping Rubbing two surfaces together with an
abrasive by hand movement or using a
machine.
Peening/Shot peening Bombarding to a metal part by tiny balls
of steel, stainless steel, cut-wire, glass,
or ceramic shot.
Superfinishing Using bonded abrasive stick moved with
a reciprocating motion and pressed
against the surface to be finished
(similar to honing).
Magnetic field- Using a magnetic field to force abrasive
assisted finishing particles against the target surface.
Topological evaluation range
NA
0.125–0.5 mm
Sub-micrometer and nanometer
Sub-micrometer and nanometer
Sub-micrometer
Sub-nanometer
0.1–1.6 mm
Sub-micrometer and nanometer
0.1–3.2 mm
Sub-micrometer and nanometer
Pickled surfacing increases
roughness range (2–6 mm)
0.05–0.5 mm
Shot peening treatment
increases roughness range
(1–6 mm)
0.025–0.2 mm
Sub-micrometer and nanometer
Applications
The lettering and engraving on most
modern cemetery monuments and
markers, etc.
Refurbish buildings, cleaning boat
hulls, brick, stone, concrete work,
etc.
The inner ring of the ball bearing,
burnishing tools, etc.
Semiconductor devices,
photolithographic applications, etc.
Drums of washing machines,
surgical devices, etc.
Glass pipettes, electronic industry, IC
encapsulation, etc.
Semiconductor devices, optical thin
films, fixed disk memory systems.
Sealing surfaces between cylinder
head and cylinder liner and
between cylinder liner and engine
frame, etc.
Printed circuit board, semiconductor,
integrated circuits and
microelectromechanical systems
etc.
Profiles with square and rectangular
section, etc.
Metal parts, etc.
Jewelry, sheet steel, plate, coil, etc.
Household cleaners, car polish,
stone polishing, jewelry, plastics,
brake linings, ball bearings,
aerospace, etc.
Automotive, aviation, composite,
marine, etc.
Aircraft and motor manufacturers,
electronics companies,
clockmakers, toolmakers, etc.
Crankshafts, gears, torsion bars,
springs, valves, exhaust manifolds,
blades, disks, turbines, etc.
Computer memory drums, sewing
machine parts, automotive
cylinders, bearing components,
pistons rods, axles, shafts, clutch
plates, etc.
Medical components, fluid systems,
optics, dies and molds,
microelectromechanical systems,
etc.
 Topological Evaluation of Surfaces in Relation to Surface Finish 259

Table 6 General characteristics of machining processes

Process Characteristics Commercial tolerances Roughness average, Ra (mm)

(7mm)

Turning Turning and facing operations are performed on all types Fine: 0.05–0.13, 0.4–6.3
of materials; requires skilled labor; low production rate, Rough: 0.13,
but medium to high rates can be achieved with turret Skiving: 0.025–0.05
lathes and automatic machines, requiring less skilled
labor.
Boring Internal surfaces or profiles, with characteristics similar to 0.025 0.4–6.3
those produced by turning; stiffness of boring bar is
important to avoid chatter.
Drilling Round holes of various sizes and depths; requires boring 0.075 1.6–6.3
and reaming for improved accuracy; high production
rate; labor skill required depends on hole location and
accuracy specified.
Milling Variety of shapes involving contours, flat surfaces, and 0.13–0.25 0.8–6.3
slots; wide variety of tooling; versatile; low to medium
production rate; requires skilled labor.
Planing Flat surfaces and straight contour profiles on large 0.08–0.13 1.6–12.5
surfaces; suitable for low-quantity production; labor
skill required depends on part shape.
Shaping Flat surfaces and straight contour profiles on relatively 0.05–0.13 1.6–12.5
small workpieces; suitable for low-quantity production;
labor skill required depends on part shape.
Broaching External and internal flat surfaces, slots, and contours 0.025–0.15 0.8–3.2
with good surface finish; costly tooling; high production
rate; labor skill required depends on part shape.
Sawing Straight and contour cuts on flats or structural shapes; 0.8 1.6–25
not suitable for hard materials unless the saw has
carbide teeth or is coated with diamond; low production
rate; requires only low skilled labor.

Table 7 General characteristics of advanced machining processes

Process Characteristics Commercial tolerances (7mm) Roughness

average, Ra (μm)

Chemical machining Shallow removal (up to 12 mm) on large flat or curved 0.025–0.1 mm min  1 1.6–6.3
surfaces; blanking of thin sheets; low tooling and
equipment cost; suitable for low production runs.
Electrochemical Complex shapes with deep cavities; highest rate of material V: 5–25 DC; A: 0.2–3.2
machining removal; expensive tooling and equipment; high power 2.5–12 mm min  1, depending
consumption; medium to high production quantity. on current density
Electrochemical Cutting off and sharpening hard materials, such as A: 1–3 A mm  2; typically 0.1–1.6
grinding tungsten–carbide tools; also used as a honing process; 1500 mm3 m  1 in per 1000 A
higher material removal rate than grinding.
Electrical-discharge Shaping and cutting complex parts made of hard materials; V: 50–380; A: 0.1–500; typically 0.05–6.3
machining (EDM) some surface damage may result; also used for grinding 300 mm3 min  1
and cutting; versatile; expensive tooling and equipment.
Wire EDM Contour cutting of flat or curved surfaces; expensive Varies with workpiece material 0.8–1.6
equipment. and its thickness
Laser-beam Cutting and hole making on thin materials; heat-affected 0.50–7.5 m min  1 0.2–6.3
machining zone; does not require a vacuum; expensive equipment;
consumes much energy; extreme caution required in use.
Electron-beam Cutting and hole making on thin materials; very small holes 1–2 mm3 min  1 0.2–6.3
machining and slots; heat-affected zone; requires a vacuum;
expensive equipment.
Water-jet machining Cutting all types of nonmetallic materials to 25 mm and Varies considerably with 0.1–3.2
greater in thickness; suitable for contour cutting of flexible workpiece material
materials; no thermal damage; environmentally safe
process
(Continued )
260 Topological Evaluation of Surfaces in Relation to Surface Finish
Table 7 Continued
Process Characteristics
Abrasive water-jet Single or multilayer cutting of metallic and nonmetallic
machining materials.
Abrasive-jet Cutting, slotting, deburring, flash removal, etching, and
machining cleaning of metallic and nonmetallic materials; tends to
round off sharp edges; some hazard because of airborne
particulates.
3.17.4 Conclusion
In this chapter, topological evaluations with regard to surface
finish were discussed in three subsections. These subsections
were so vital in order to comprehend the relationships among
topological parameters and evaluation methods, instruments
and surface finish, which is the outcome from the machining
process. It is so significantly meaningful that knowing the
weaknesses of measurement tools and instrumentation can
enlighten and enrich the topological evaluation methods for
surface finish evaluation. Today’s topological evaluation
methods are using the product surface finish evaluations after
machining process. However, tomorrow’s topological evalua-
tion methods will have data from the instruments during
machining process. It is hoped that for further future evalua-
tions, multisensory approaches integrated with experimental
models will provide advance information for surface finishes.
See also: 3.18 Evaluation of Surface Finish Quality Using
Computer Vision Techniques
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