Optimal machining parameters based on surface roughness experimental data and genetic search

nio C.A. Conceic a o Anto

Department of Mechanical and Industrial Engineering, Faculty of Engineering, University of Porto, Porto, Portugal, and

J.P. Davim
Department of Mechanical Engineering, University of Aveiro, Aveiro, Portugal
Abstract Purpose Surface roughness is an important parameter in manufacturing engineering with signicant inuence on the performance of mechanical parts. Failures, sometimes catastrophic failures, leading to high costs, have been imputed to a components surface roughness. Owing to the need for improvement of machining parameters in order to obtain a prescribed surface roughness, new developments have been recently investigated. This work aims to report on a study of an optimisation model based on genetic algorithms (GAs). Design/methodology/approach The developed algorithm considers a machining parameter data population obtained from experimental tests. The exchange of structured information based on natural selection principles and survival-of-the-ttest allows the combination of solutions in a sequence of generations leading to the best solution. Findings Over standard experimental design methodologies the proposed GA approach shows advantages in nding the optimal conditions under the imposed constraints. Indeed the quality of the produced surface roughness cannot be evaluated using only a criterion. This GA method determines the combined effects of the input parameters to the optimal machining parameter. Originality/value A new methodology for determining optimal machining parameters in dry turning based on the measurement of the surface roughness is proposed. The numerical and experimental developed model can be used with success on further applications with industrial interest. Keywords Surface texture, Material-removal processes, Measurement Paper type Research paper

1. Introduction
Surface roughness is an important parameter in manufacturing engineering with signicant inuence on the performance of mechanical parts (Shaw, 1984; Boothroy and Knight, 1989; Davim, 1990). Failures, sometimes catastrophic failures, leading to high costs, have been imputed to a components surface roughness. Owing to the need for improvement of machining parameters in order to obtain a prescribed surface roughness, new developments have been recently investigated (Thiele and Melkote, 1999; Kopac and Sokovic, 1999; Davim, 2001). Considering that machining parameters regulate the turning process through the surface roughness of the workpieces, the optimisation of machining parameters becomes highly important. In general, the problem is formulated based on a set of selective planned tests, aiming to obtain information on the process behaviour. This work reports on a study of an optimisation model based on genetic algorithms (GAs). The developed algorithm considers a machining parameter data population obtained from experimental tests. The exchange of structured information based on natural selection principles and survival-of-thettest allows the combination of solutions in a sequence of generations leading to the best solution (Bean, 1994; Chapman and Jakiela, 1994; Galante, 1996; Narayanan and Azarm, 1999).

Nomenclature
Vc f dc Rz ma x Rz ; R3z Rp Rpm Ra Rq Rt Pt K1 , K2 Ui, U * i U pen i N cutting speed feed depth of cut maximum peak to valley height average roughness depth single peak height value above the mean line mean peak height value above the mean line arithmetic mean roughness root mean square maximum peak to valley height of roughness maximum prole depth robustness coefcients roughness surface criterion, normalized nish surface criterion partial penalized tness total number of experimental values

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2. Experimental procedure
In order to achieve the goal of the experimental work, i.e. the establishment of correlation between machining parameters and surface roughness parameters, machining tests were considered. 249

Industrial Lubrication and Tribology 57/6 (2005) 249 254 q Emerald Group Publishing Limited [ISSN 0036-8792] [DOI 10.1108/00368790510622344]

Optimal machining parameters nio and J.P. Davim C.A. Conceic a o Anto

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A lathe (6 kW spindle power) was used. The machining parameters used in dry turning tests were cutting speed, feed and depth of cut as shown in Table I. The material used in the tests of controlled machining was free machining steel, 9SMnPb28k (DIN). The geometry of the workpieces allowed its xation with a length of 15 mm and to obtain, by cylindrical turning, several perfectly differentiated 10 mm length surfaces. The ratio length/ diameter of the workpiece was approximately 2/1, in order to ensure the necessary stiffness of the elastic xed machining system (chuck/piece/cutting tool). Type TPUN 160308 P10 (ISO) cemented carbide inserts were used. The considered tool geometry was as follows: 68 (positive) rake angle, 58 clearance angle, 608 edge major tool cutting, 608 included angle and 08 cutting edge inclination angle. Considering the number of measurements to be recorded, a testing programme was planned, by previously selecting the roughness prole, the cut-off (0.8 mm) and the roughness parameters according to ISO norms. Data acquisitions were done using the prolometer, with a RS232 interface to a PC using appropriate software.

of cut, dc, allowing the combination of the following values Vc 71; 99; 141; 96; 283 m=min; f 0:10; 0:16; 0:25 mm=rev; dc 0:50; 0:75; 1:00 mm For the discrete data manipulation a special technique is considered based on the genetic search. A chromosome with three genes identifying the machining parameters (1) is considered for convenient representation of the space design associated with the machining operation. The codication is based on the indices of the vector components. Since the design space has some discontinuities related to the non-valid experimental conditions the adopted codication is preferred over binary code to avoid the consideration of spurious solutions. The following parameter (Thomas, 1982) are considered in the complete characterisation of the surface roughness according to the DIN and ISO norms: maximum peak to valley height Rz ma x (DIN 4768), average roughness depth Rz (ISO 468) and R3z, single peak height value above the mean line Rp (ISO/DIN 4287/1E), mean peak height value above the mean line Rpm (ISO/DIN 4287/1E), arithmetic mean roughness Ra (ISO/DIN 4287/1E), root mean square Rq, maximum peak to valley height of roughness Rt (ISO/DIN 4287/1E) and maximum prole depth Pt (DIN 4771). Furthermore, the following two criteria are considered: K 1 Rp =Rt and K 2 Rq =Rt : The coefcient K1 represents the dissymmetry of the observation frequency of the groove on the surface, but not its dispersion. The coefcient K2 denes the dispersion but not the dissymmetry. Both criteria evaluate the robustness of the technical surface. In general each criterion describes a particular aspect of the surface prole but is insufcient to characterise the surface roughness. In particular Rp and Rt criteria are very sensitive to the external factors of the roughness, mainly to high peaks and depth valleys that have no functional action. Hence all the above criteria will be considered in the proposed optimisation model. Denoting by Ui each of the 11 parameters that characterise the surface roughness and its normalisation relatively to the highest value is established as U* i Ui ; U max i   U max Maximum U ji ; j 1; . . . ; N i 2 1

3. Optimization model
The objective of the developed numerical model is to determine the optimal machining parameters in turning based on a search over the experimental results obtained according to the description given in the previous section. The machining parameters considered in dry turning experimental tests were cutting speed, Vc, feed, f , and depth Table I Machining parameters used in turning tests
Cutting Cutting speed, Depth of Depth of speed, Vc Feed, f cut, dc Feed, f cut, dc Vc Test (m/min) (mm/rev) (mm) Test (m/min) (mm/rev) (mm) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 71 99 141 196 283 71 99 141 196 283 71 99 141 196 283 71 99 141 196 283 71 99 141 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.16 0.16 0.16 0.16 0.16 0.16 0.16 0.16 0.5 0.5 0.5 0.5 0.5 0.75 0.75 0.75 0.75 0.75 1 1 1 1 1 0.5 0.5 0.5 0.5 0.5 0.75 0.75 0.75 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 196 283 71 99 141 196 283 71 99 141 196 283 71 99 141 196 283 71 99 141 196 283 0.16 0.16 0.16 0.16 0.16 0.16 0.16 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.25 0.75 0.75 1 1 1 1 1 0.5 0.5 0.5 0.5 0.5 0.75 0.75 0.75 0.75 0.75 1 1 1 1 1

where N is the total number of experimental values considered. The optimisation of machining parameters presented here is analysed as a multi-criteria optimisation problem. The concept of Pareto optimum solution is used considering that the optimal solution is obtained from the minimisation of different parameter for the surface roughness analysis. Basically most methods generate a set of Pareto optimal solutions and use some additional rule to select one particular Pareto optimal solution as the solution of the multi-criteria optimisation problem (Rao, 1996). The utility function method is adopted in this work and the total utility function 250

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is dened as U V j ; f j ; d j
11 X i 1

vi U * i

in (4)-(8) is then established in following manner: 1 FIT NC   X U pen i vi max Ui i 1

14

being vi a weighting scalar associated to the criterion Ui used in the roughness surface characterisation. Industrial applications impose constraints associated with the quality of the roughness surface. Considering these technologic aspects the optimisation problem is formulated as: Maximise F 1 U V j ; f j ; d j 4 5 6 7 8

and U pen dened, respectively, by (2) and (9) and with U max i i NC denoting the number of criteria considered in the analysis.

4. Evolutionary strategy
The GA performs the evolution of the population using a scheme similar to the one proposed by Bean (1994). In this scheme, the actual population Pt is divided in two main groups, A and B. The group A represents the group of chromosomes with the NA best solutions using the following three genetic operators: selection, crossover and mutation as is shown in Figure 1. The selection is an operator that chooses the population part that is transferred to the next population. An elitist strategy is adopted in which only the NA best chromosomes of the actual population will transit to the next population. In this way it is guaranteed that the sequence of populations will have incremented tness. The crossover is an operator that transforms two chromosomes (progenitors) into a new chromosome that will contain genes (properties) from both progenitors. The adopted crossover scheme chooses two progenitor chromosomes, CromP1 and P2, where CromP1 belongs to group A and CromP2 belongs to group B. The genetic material of the new chromosome (son chromosome), CromSon, is obtained using the Parametrized Uniform Crossover technique proposed by Spears and DeJong (1991). After selection of the two progenitors, the genes of the new chromosome CromSon will be selected from each parent in a biased way (since CromP1 has better tness than CromP2 it is convenient to keep more genetic material from CromP1). Let ProbCros be the probability of the new chromosome to have genetic material from the chromosome with best tness, CromP1. For each gene in CromSon, a corresponding random number Unif(0, 1) is generated; if this number is less or equal than ProbCros, then the new gene comes from CromP1 else it comes from CromP2, as is shown in Figure 2. In this scheme the mutation is an operator used to keep the population diversity and then to avoid local optima. Basically, this operator generates new chromosomes NC in a random Figure 1 Evolutionary strategy

subject to Ra # 1 mm Rt # 10 mm Rp # 0:5 Rt   Rq   2 0:5 # 0:2 R  t

According to ISO rules constraint (5) is related to the lower bound of surface state classied as ne and obtained in turning. The constraint (6) results from an empirical relation between Rt and Ra. The constraints (7) and (8) are associated with the application of non-dimensional criteria and may distinguish between a fragile conguration and robust conguration of the surface roughness. The search for the optimal machining parameters based on GAs needs the denition of the tness of each solution belonging to the design space according to the previous formulation of the optimisation problem. The tness function must consider the constraints (5)-(8) and can be achieved using penalty terms. The penalisation of the individuals that violate the constraints is carried out using the following relation U pen U i kDi n i 9

is the partial where Ui is the partial unpenalised tness, U pen i penalised tness, Di is the difference between actual and allowable values of the design constraint, and k, n are constants to be determined. The efciency of the penalty method is related with the magnitude of maximum tness U max dened in equation (2). Two degrees of constraint i violation are considered, one can be tolerated (D0 ) and attracting negligible penalty and another associated with extreme conditions of constraint violation (D1 ) that is severely penalised. Considering that p0 and p1 are, respectively, the values of penalties corresponding to D0 and D1 then p0 10 U max i p1 11 U max i 10 11

where 1i is a percentage of the maximum value of a machining parameter. Using (9), n and k are obtained successively ln p0 =p1 12 n lnD0 =D1 k p0 =D0 n 13

The tness function for the optimisation problem formulated 251

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Figure 2 Crossover process using Parametrized Uniform Crossover

have genetic material from the chromosome with the best tness. The mutation is made considering NC 2 new solutions generated randomly. The violation of the constraints (5)-(8) implies the penalisation of the tness of the respective solution in equation (14) and values 10 1 per cent and 11 5 per cent are considered in (10) and (11). So, the reference values for the constraint violations are: D0 0:05 allowable value negligibly penalised D1 0:10 allowable value severely penalised 15 16

way. The proposed operation of mutation is different of that can be found in the literature and cannot be dissociate from the adopted elitist strategy. The number of chromosomes NC must be selected with care to produce an effective diversity of the population. The hybrid numerical and experimental model is shown in Figure 3. The number of ranked optimal solutions is equal to NA when the maturation of the genetic process is reached.

5. Optimal results
A population with nine chromosomes is considered and the elitist strategy is based on the three best solutions (NA 3). The new chromosome has the probability of 50 per cent to

In this work the optimal design of machining parameters based on surface roughness is treated as a multi-criteria optimisation problem and it is important to study the inuence of different criteria. Grouping the criteria for surface roughness analysis according to its nature the following optimisation problems can be established: . Problem A. All the parameter. . Problem B. Peak height value above the mean line, Rp and Rpm. . Problem C. Parameters related with the roughness depth, Rz ma  x ; Rz and R3z. . Problem D. Roughness and prole depth, Rt and Pt. . Problem E. Arithmetic mean roughness, Ra : . Problem F. Root mean square, Rq. . Problem G. Robustness coefcients, K1 and K2. . Problem H. Arithmetic mean roughness, Ra and robustness coefcients, K1 e K2.

Figure 3 Genetic algorithm to search for optimal cutting conditions based on surface nish

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The tness function as established in (14) considers equal contribution (vi 1) for problems using different criteria. Using GAs for the optimal search of machining parameter, the chromosomes represent machining parameter dened as random keys (Bean, 1994). The tness function is established based on multi-criteria and it is evaluated using the experimental values obtained for the surface roughness. The evolutionary history shows that the process achieves maturation after a few generations. The results for the studied multi-criteria problems are presented in Table II, indicating the inuence of different criteria considered in the analysis of the surface roughness. The optimal results show that the rst and second solutions are equals for the Problems A, C, D, E and F. A satisfactory justication can be established for this feature based on the analysis of the experimental results shown in Figures 4-6. Indeed, if the arithmetic mean roughness, Ra (ISO/DIN 4287/ 1E) is used as reference term and grouping the other criteria according to its nature, the following aspects are observed:

Figure 5 Correlation between the experimental results of Ra, Rq and Rpm, units in mm

Figure 6 Correlation between the experimental results of Ra (in mm), K1 and K2 Table II Optimal machining parameters for multicriteria optimization problems
Surface roughness criterion in multicriteria problem All the parameter Rp and Rpm Rz ma x, Rz and R3z Pt and Rt Ra Rq K1 5 Rp =Rt and K2 5 Rq =Rt Ra, Rp/Rt and Rq/Rt Vc (m/min) (1) (2) 283 283 283 283 283 283 99 283 283 283 283 283 283 283 99 283 fc (mm/rev) (1) (2) 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10 dc (mm) (1) (2) 0.75 1.00 0.75 0.75 0.75 0.75 0.50 0.50 1.00 0.75 1.00 1.00 1.00 1.00 1.00 0.75

Problem A B C D E F G H

Notes: (1) rst optimal solution and (2) second optimal solution
.

Figure 4 Correlation between the experimental results of Ra, Rz and Rt, units in mm

there is a strong correlation with the experimental results of the average roughness depth, Rz (Figure 4) and the root mean square, Rq (Figure 5); there is a fair correlation with the maximum peak to valley height of roughness, Rt (Figure 4) and with the mean peak height value above the mean line, Rpm (Figure 5); and there is no correlation with robustness criteria, K1 and K2 (Figure 6).

This last aspect is particularly in agreement with the optimal solution of the Problem G. The inuence of the robustness criteria can also be observed through the solutions for the Problem H.

6. Conclusions
The adopted methodology proved to efciently search for optimal machining parameters based on the surface roughness in turning. In particular the solutions obtained for different multi-criteria problems allows to conclude the following: 1 the maximum cutting speed is the best solution independently of the criterion used in the analysis except for the robustness coefcients (Problem G); 253

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2 3 4

the minimum feed is the best solution independently of the criteria; the optimal depth of cut depends on the criterion used in the analysis; the second optimal solution coincides with the rst optimal solution in terms of cutting speed and feed, but has different depth of cut; the depth of cut is maximal only in the Problem B for the rst optimal solution and takes maximal values for most problems in the second optimal solution.

Over standard experimental design methodologies the proposed GA approach shows advantages in nding the optimal conditions under the imposed constraints. Indeed the quality of the produced surface roughness cannot be evaluated using only a criterion. From the optimisation point of view this is a multi-criteria problem and so genetic search is an appropriate technique to solve it. This GA method determines the combined effects of the input parameters to the optimal machining parameter. On the other hand, some criteria are correlated and the proposed approach allows the study of the inuence of each criterion on the optimal solution. The numerical and experimental developed model can be used with success on further applications with industrial interest.

References
Bean, J.C. (1994), Genetic algorithms and random keys for sequencing and optimization, ORSA Journal on Computing, Vol. 6 No. 2, pp. 154-60. Boothroy, G. and Knight, W. (1989), Fundamentals of Machining and Machine Tools, Marcel Dekker, New York, NY.

Chapman, C.D. and Jakiela, M.J. (1994), Genetic algorithm-based structural topology design with compliance and manufacturability considerations, Advances in Design Automation, ASME, Vol. 69 No. 2, pp. 302-22. Davim, J.P. (1990), Inuence of Cutting Parameters of Surface Finish Obtained by Turning, MSc thesis, University of Porto, Porto. Davim, J.P. (2001), A note on the determination of optimal cutting conditions on the surface nish obtained in turning using design experiments, Journal of Materials Processing Technology, Vol. 116, pp. 305-8. Galante, M. (1996), Genetic algorithms as an approach to optimize real-world trusses, International Journal for Numerical Methods in Engineering, Vol. 39, pp. 361-82. Kopac, J. and Sokovic, M. (1999), Dimensional accuracy and cost optimisation in the nish machining of cold formed parts, Journal of Materials Processing Technology, Vol. 92, pp. 335-43. Narayanan, S. and Azarm, S. (1999), On improving multiobjective genetic algorithms for design optimization, Structural Optimization, Vol. 18, pp. 146-55. Rao, S.S. (1996), Engineering Optimization Theory and Practice, Wiley, New York, NY. Shaw, M. (1984), Metal Cutting Principles, Oxford University Press, Oxford. Spears, W.M. and DeJong, S.K. (1991), On the virtues of parametrized uniform crossover, Proceedings of the Fourth International Conference on Genetic Algorithms, pp. 230-6. Thiele, J.D. and Melkote, S.N. (1999), Effect of cutting edge geometry and workpiece hardness on surface generation in the nish hard turning of AISI 52100 steel, Journal of Materials Processing Technology, Vol. 94, pp. 216-26. Thomas, T.R. (1982), Rough Surfaces, Longman Group, Ltd, New York, NY, London.

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