T. G.

Bifano
Department of Aerospace and Mechanical
Engineering,
Boston University,
Boston, MA 02215

T. A. Dow
Department of Mechanical and
Aerospace Engineering,
Precision Engineering Center,
North Carolina State University,
Raleigh, NC 27695

R. 0. Scattergood
Materials Engineering Department,
Precision Engineering Center,
North Carolina State University,
Raleigh, NC 27695

Ductile-Regime Grinding: A New

Technology for Machining Brittle
Materials
Because of recent advances in precision engineering that allow controlled grinding
infeed rates as small as several nanometers per grinding wheel revolution, it is possible
to grind brittle materials so that the predominant material-removal mechanism is
plastic-flow and not fracture. This process is known as ductile-regime grinding.
When brittle materials are ground through a process of plastic deformation, surface
finishes similar to those achieved in polishing or lapping are produced. Unlike
polishing or lapping, however, grinding is a deterministic process, permitting finely
controlled contour accuracy and complex shapes. In this paper, the development of
a research apparatus capable of ductile-regime grinding is described. Furthermore,
an analytical and experimental investigation of the infeed rates necessary for ductileregime grinding of brittle materials is presented. Finally, a model is proposed, relating
the grinding infeed rate necessary for ductile material-removal with the properties
of the brittle workpiece material.

Introduction
When machined, a brittle material can deform through a
The transition from brittle to ductile material-removal at
variety of mechanisms. If the critical resolved shear stress at smaller cutting depths can be argued purely from consideraany point within the material exceeds the elastic yield stress, tions of material-removal energy. Specifically, for lower mathe mechanism of deformation will change from one of re- chining depths-of-cut, it can be shown that plastic flow is a
versible energy storage via elastic stretching to one of irrever- more energetically favorable material-removal process than
sible energy dissipation. Examples of irreversible deformation fracture. The material property characterizing resistance to
include macroscopic fracture propagation, microcrack for- plastic flow is the yield stress, ay. The energy (Ep) required to
mation, phase transformation, dislocation motion (in crystals), plastically deform a specified volume of material (Vp) can be
and intermolecular sliding (in amorphous materials). Irrever- written as:
sible material-removal mechanisms can be divided into two
EP = o V
(1)
types: brittle and ductile. In brittle mechanisms, material removal is accomplished through the propagation and intersec- The material property characterizing resistance to fracture is
tion of cracks, while ductile mechanisms produce plastic flow the Griffith crack propagation parameter, G. The energy (Ef)
of material in the form of severely sheared machining chips. required for fracture is a function of the area {Af) of new
Recent improvements in machining tolerances have exposed surface created by crack propagation. Thus:
a new possibility for material-removal from brittle substances.
Ef = GAf
(2)
It has been noted that plastically deformed chips are formed
For
a
machining
depth
d,
it
is
reasonable
to
assume
that
the
in the machining of brittle substances if the scale of the machining operation is small (less than 1 Lim depth of cut) (Toh order of magnitude of both Vp and af are determined by d.
McPherson, 1986). Similar ductile chip-formation has been That is:
observed in fine scale machining debris from a wide range of
VP ~ <?
0)
ceramics, glasses, and crystals (Huerta and Malkin, 1976; Bi2
fano et al, 1987; Yoshioka et al, 1984; Molloy et al, 1987).
Af ~ d
(4)
This suggests that the process of ductile chip formation may The ratio of material-removal energies, then, is given by
be independent of nature of the material (e.g, brittle or ductile,
Plastic Flow Energy
hard, or soft, crystalline or amorphous, etc.). Grinding of
(5)
brittle materials under conditions that allow predominantly
Fracture Energy
jzf
ductile material-removal is a new technology known as ductileConsequently, as the scale of machining decreases, plastic flow
regime grinding, which is the subject of this paper.
becomes an energetically more favorable material-removal
mechanism. The specific depth at which a brittle-ductile tranContributed by the Production Engineering Division for publication in the sition occurs is a function of the intrinsic material properties
JOURNAL OF ENGINEERING FOR INDUSTRY. Manuscript received May 1990.
governing plastic deformation and fracture.
184/Vol. 113, MAY 1991

Transactions of the ASME

Copyright 1991 by ASME

Consideration of this energy argument leads to a generalization that we named the "Ductile-Regime Grinding Hypothesis." This hypothesis states that for any material, if the
dimensional scale of material-removal is made small enough,
material-removal will proceed by a mechanism of plastic flow
and not fracture. A grinding apparatus capable of achieving
this ductile regime of material-removal can be used to combine
the fine tolerances that are achievable in a deterministic grinding process with the superfinished surfaces that are achievable
in a nondeterministic polishing or lapping process.
In grinding, the "scale" of material-removal is characterized
by the depth-of-cut imposed on a given abrasive grit. For
plunge grinding, this parameter is determined by the grinding
infeed rate. Therefore, the hypothesis implies that in plunge
grinding, there will be a critical-grinding-infeed-rate, below
which no fracture will occur for a given brittle workpiece
material.
One way of viewing the ductile-regime grinding problem is
that there is a challenge, first described by Miyashita, to fill
a gap in the achievable material-removal rate in abrasive machining (Miyashita, 1985). If the currently achievable materialremoval rates for grinding and polishing are compared, there
is a gap in which neither technique has successfully been utilized. This region of material-removal has been termed the
mircogrinding gap. For grinding processes, material removal
is accompanied by localized fracture for virtually all brittle
materials (Molly et al, 1987; Huerta and Malkin, 1976; Yoshoika et al, 1982). Polishing processes, on the other hand, result
in material removal without fracture. The importance of this
material-removal rate gap, then, is that it represents the threshold between ductile and brittle grinding regimes for a wide
range of glasses, ceramics, and semiconductors (Bifano, 1988).
This paper describes a research effort to characterize the
physical parameters that control the brittle-to-ductile transition
in the grinding of brittle materials. The results of this investigation lend strong evidence in support of the ductile-regime
grinding hypothesis. Also, a model is proposed, defining the
brittle-to-ductile transition in terms of the material properties
of the workpiece and the rate of material removal.
In this paper, three aspects of the research are described:
9
Development of a grinding apparatus capable of ductileregime grinding on brittle materials. The relevant design
features include:
Machine configuration
Machine Stiffness
Infeed control system
Wheel trueing techniques
Experimental evaluation of the grinding apparatus, in
terms of its capacity for ductile-regime grinding on various
materials
Formulation and evaluation of a ductile-regime grinding
model.

The Evolution of Ductile-Regime Grinding

The possibility of grinding brittle materials in a ductile manner was proposed as early as 1954, when it was noted that
during frictional wear of rock salts, the dominant materialremoval process was plastic flow and not fracture (King and
Tabor, 1954). By 1975, improvements in precision diamond
grinding mechanisms allowed the first reproducible evidence
of grinding ductility in brittle glass workpieces (Huerta and
Malkin, 1976). Evidence of the brittle-ductile transition in the
grinding of glass appeared as both improvements in surface
finish and changes in the specific grinding energy (Chandrasekar and Sathyanarayanan, 1987).
The first systematic studies of grinding ductility were performed using a single grit grinding apparatus. The materialremoval regime in these experiments was shown to progress
Journal of Engineering for Industry

Fig. 1

Schematic of the PEGASUS machine

through the three stages: plastic grooving, generation of median and lateral cracks, and finally crushing (Swain, 1979). In
this study, it was demonstrated that the progression of material-removal mechanisms was directly related to the force on
the abrasive grain, with lower forces corresponding to a decrease in the observed surface fracture. Other experiments of
single grit abrasion tests on myriad brittle materials including
glasses (Schinker and Doll, 1987; Molloy et al., 1987; Yoshioka
et al, 1982), semiconductors (Danyluk, 1986), and advanced
ceramics (Swain, 1979; Toh and McPherson, 1986) demonstrated similar transitions in the material-removal process as
a function of the grinding force or depth of cut.
The first grinding apparatus specifically designed to take
advantage of the relationship between small grinding infeeds
(0.2 (im per pass on a surface grinder) and improved surface
finish was built by Yoskioka (Yosioka et al., 1982). With this
apparatus, ductile-regime grinding was demonstrated for several brittle, crystalline materials. Later improvements in the
precision of this grinder were shown to translate directly into
improved surface finish on the brittle workpieces (Yoshioka
et al., 1985). It was from this research effort that the concept
of the microgrinding gap evolved. While the correlation between higher grinding precision and enhanced grinding ductility was qualitatively demonstrated by these Japanese efforts,
quantitative relationships between machine parameters, material properties, and grinding ductility have yet to be established.
The Ductile-Regime Grinding Apparatus
Machine Configuration and Actuation Mechanisms. As an
initial design criterion, it was decided that a ductile-regime
grinder must provide a union of high rigidity (to ensure precision) and low infeed rates (to ensure ductile material-removal). From Yoshioka's early attempts to grind hard materials
in the ductile regime, it was established that a grinding infeed
resolution of ~ 50 nm or better is required to prevent significant
surface fracture damage in glass (Yoshioka et al, 1982). This
represents a level of machine precision that is not often associated with the grinding process. Such motion accuracy, in
turn, demands an extremely rigid structural loop so that disturbance forces experienced by either the workpiece or the
grinding wheel will not be translated into significant relative
motion between the two.
A schematic of the device used in this study is illustrated in
Fig. 1. This test bed has been given the acronym PEGASUS
(Precision Engineering Grinding Apparatus for Super-finishing Ultrahard Surfaces). The machines provides a mechanism
for plunge grinding with the 6 mm wide rim of a 100 mm
diameter cup shaped grinding wheel. The workpieces to be
ground are rectangular parallelepipeds measuring 6 mm x 6
mm x 18 mm.
MAY 1991, Vol. 113/185

Since the purpose of this work is to study the physics of the

material-removal processes occurring in microgrinding, it is
desirable to limit possible sources of motion error by minimizing the number of degrees of freedom of the system. A
plunge grinding apparatus serves well in this regard; in this
configuration the only two motions required are rotation of
the grinding wheel and infeed of the workpiece. To produce
useful components, at least one more axis of motion would
be necessary, but all of the essential elements of the materialremoval process can be studied using this simplified single-axis
plunge geometry. Single axis.plunge grinding uses two basic
machine motions: rotation of the grinding wheel and infeed
of the workpiece. Since ductile-regime grinding demands unusually small relative motion between the workpiece and the
grinding wheel, both of these actuation mechanisms must have
small (<50 nm) error in motions in the infeed direction. The
rotary motion of the grinding wheel is accomplished with a 10
cm diameter air bearing spindle.1 This spindle allows rotary
grinding speeds of up to 5000 RPM with axial error motions
less than 40 nm. In addition, all but ~4nm of this axial error
in motion is repeatable within a revolution of the spindle and
could be accounted for determinsitically. The spindle is rotated
by a DC motor having a maximum output torque of 1 Nm.
The coupling between the motor and the air bearing spindle
consists of two parallel annular flexures, linking the axes of
the grinding spindle and the motor.
The infeed mechanism for the PEGASUS apparatus was
designed to achieve high rigidity, 2 nm resolution, and relative
ease in the fixturing of the workpiece. This workpiece positioning device has three subsystems of increasingly finer precision that work in series in the infeed direction. Work-piece
interchange is facilitated by a clamped dovetail slideway with
a 15 cm linear range. Preliminary positioning of the workpiece
with respect to the grinding wheel face is achieved with a
clamped double-reed flexure assembly, actuated by an 80-pitch
manually-adjusted lead screw. The parallel flexures ensure a
nearly horizontal translation of the workpiece over a 0.5 mm
range of travel with 1 /ira resolution. A pair of clamping bolts
permits rigid fixturing of this assembly before the actual grinding infeed is begun. The final tier of motion actuation along
the workpiece infeed axis is that of grinding infeed itself. This
is accomplished with a preload piezoelectric actuator capable
of linear motion over a 10 Lim range with a resolution of 2 nm
(using closed loop feedback).
Machine Stiffness. Precision ductile-regime grinding requires high machine stiffness to minimize error motions due
to disturbance forces and vibration. The PEGASUS apparatus
was designed to obtain an appreciable stiffness. The high precision air bearing spindle is the least rigid element in the structural loop, with a stiffness of 120 MN/m in the direction of
the grinding infeed. The measured overall axial stiffness of the
grinding contact (in the grinding infeed direction) is 52
MN/m. This compares well with the design stiffness, calculated
at 50 MN/m. The measured dynamic stiffness of the grinding
contact, for a 25 Hz forcing frequency, increases to 116
MN/m. Such rigidity is common to high precision machining
systems, e.g., diamond turning machines.
Measurements of the overall machine stiffness fail to consider the local bond stiffness at each diamond abrasive. Since
each abrasive grain is seated in an elastic foundation, this
stiffness acts in series with the stiffness of the machine's structural loop. Because this bond stiffness influences the local
grinding forces, which are directly responsible for grinding
ductility, the rigidity of the abrasive grain support is of some
concern. While it would be difficult to measure the local bond
stiffness it can be theoretically estimated (Bifano, 1988). The
relative local stiffness depends linearly on the elastic modulus
'Professional Instruments Corp. Blockhead, Model 4B

186 / V o l . 113, MAY 1991

Fig. 2

Schematic of the closed-loop infeed controller

of the bond material, and this stiffness is ~ 15 times larger for

bronze bonds than for resin bonds. Macroscopically, the small
local stiffnesses of the individual diamonds combine in parallel
to create an extremely rigid surface.
Thus, through selection of a more compliant bond material,
the forces of the grinding process can be more evenly distributed to the individual diamond grinding grains, ensuring lower
forces on those grains. With lower forces on each individual
grain, the cutting depth of each grain will be reduced, resulting
in an increased likelihood of ductile material-removal.
Infeed Control System. Perhaps the most important element of the grinding apparatus that determines its capacity
for ductile-regime grinding is the regulation of the infeed of
the workpiece. Closed-loop real-time feedback control is the
only method of ensuring sub-micrometer precision for this
infeed, and is thus a necessary component of the grinding
apparatus. Based on the relative lack of complexity of the
transfer function and low grinding infeed rates required, an
integral feedback scheme was chosen as the system controller.
This type of control is relatively insensitive to the system model,
and ensures an elimination of all steady state errors. In addition, this simple controller has proven quite successful in
previous precision actuation systems using similar actuators
(Bifano and Dow, 1985; Dow et al., 1989). The control algorithm is shown schematically in Fig. 2. The integral gain
and the frequency cutoff of the low-pass filter are the two
variables that determine the accuracy and smoothness of the
infeed motion. Both were experimentally optimized, and permit infeed rates from 2 nm/rev to 1.25 /xm/rev.
Trueing the Grinding Wheel. Trueing is the process of
reducing the runout of the mounted grinding wheel so that the
contact forces between the abrasive grains and the workpiece
can be reliably controlled. Trueing accuracy represents an additional factor that needs to be controlled to ensure knowledge
of the position of the workpiece with respect to the grinding
wheel. In the PEGASUS configuration, this requires machining the rim of the cup wheel to reduce its axial runout. Since
the wheel is mounted on an air bearing spindle that has an
unrepeatable runout of less than 4 nm, this value represents a
lower limit of the obtainable trueness of the grinding wheel
on this apparatus.
The trueing technique that was found to be most successful
was that of diamond paste "lapping" of the grinding wheel.
Feeding a pyrex lap into the grinding wheel with a generous
supply of diamond paste in the contact region proved effective
in reducing the runout from 4 /xm to less than 0.12 /xm peaktoTvalley after four 100 /xm infeeds of the lap (see Fig. 4). This
level of trueing accuracy ranks as the state-of-the-art for diamond grinding wheels.
It was found that a paste composed of diamonds (9 /xm
diameter) that were about the same size as the diamonds in
the wheel (4-8 /xm diameter) were most efficient in the trueing
process, as compared to larger (25 /xm diameter) and smaller
(1 Lira and 3 /xm diameter) diamond pastes. This trueing technique was effective for both resin and bronze bonded grinding
wheels.
Transactions of the ASME

ACHIEVABLE MATERIAL REMOVAL RATES IN ABRASIVE MACHINING

Fused Silica Brittle-Ductile Transition

100

GRINDING

MICROGRINDING

..........------------------------------ .........--

..
10

10

10

10

.,

POLISHING

80
::l

c:;

at'"

60

Q)

'":;

.ll!

PEGASUS

40

tJl

10

10

..
10

.,

.,

10

20
0
.0001

.001

.01

.1

Grinding Infeed Rate (um/rev)

(a)

MATERIAL REMOVAL RATE (MM IMM SEC)

Fig. 3

The "microgrlnding gap" versus the operating range of PEGA.

SUS

PROGRESSION OF HHEEL RUNOUT AFTER TRUEING WITH DIAM.OND PASTE,

FIRST PASS

TH IRD PASS

FOURTH PASS

75

150

225

300

375

450

525

600

675

Degrees of Revolution

Fig. 4 Reduction in runout after four individuallnfeeds of 10 I'm each,

using pyrex lap and 9 I'm grit diamond paste

Summary of Microgrinding Apparatus Design Features. As illustrated in Fig. 3, the microgrinding apparatus
described in this chapter extends well into the "microgrinding
gap" described previously. Due to its piezoelectric infeed system and its plunge-grinding configuration, PEGASUS is capable of grinding with controlled cutting depths as small as 2
nm. This has proven to be the quintessential requirement for
ductile-regime grinding of brittle materials.

Testing the Ductile-Regime Grinding Hypothesis

Earlier in this paper, a basic hypothesis was postulated for
ductile-regime grinding: all materials, regardless of their hardness or brittleness, will undergo a transition from brittle machining regime to a ductile machining regime if the grinding
infeed rate is made small enough (Bifano et aI., 1987). Below
this threshold infeed rate, the energy required to propagate
cracks is larger than the energy required for plastic yielding,
so plasticity becomes the predominant grinding mechanism.
The existence of this transitional infeed rate was demonstrated
on the PEGASUS apparatus through a series of test grinds on
fused silica.
Using scanning electron microscopy as a post-grinding analJournal of Engineering for Industry

(b)

Fig. 5 Brlttleductlle transition In fused silica (a) Graphical represen

tatlon of surface fracture versus Infeed rate (b) Microphotographs cor
responding to three different grinding Infeed rates. From top to bottom:
2, 7.5, and 37.5 nm/rev.

ysis tool, the ground material surfaces were examined for evidence of surface fracture, which would be indicative of the
grinding ductility. A grid counting technique was devised to
quantify the real percentage of surface fracture. By applying
MAY 1991, Vol. 113 J 187

The model originates from a formula describing the critical

depth for fracture during indentation of hard materials (Lawn,
Jensen, and Aurora, 1976). Based on a Griffith fracture propagation criterion, this formula predicts a critical-depth-of-indentation of:

juuin
9 Alumina
10 Toughened zirconia

A9

000

5A

a.

AS

1
2
3
4
5
6
7
8

A j>

100i

k /

3
2

o
10-

i /
"i

10

100

Fused silica
Soda iime glass
Zerodur
Quartz
Zirconia
Germanium
Silicon
Silicon carbide
1ii

i i i i

1000

Measured Depth (nm)

Fig. 6 For each of the 10 materials tested, the measured grinding infeed
rate corresponding to the brittle-ductile transition is plotted versus the
quantity f 1 \~)

The correlation line included has a slope of 1.

this measure of grinding ductility to fused silica samples that

were ground using a range of infeed rates, the transitional
grinding infeed rate was determined for this material. Figure
5 illustrates this brittle-ductile transition as a function of grinding infeed rate for fused silica. While this grid-counting technique is somewhat subjective, it provides a fair estimate of the
relative amount of surface damage between two samples cut
at different infeed rates. The technique cannot be used to assess
subsurface fracture, which may exist below a smooth, apparently damage-free surface. The subjectivity of the SEM photomicrograph analysis can be reduced by using SEM-based
image processing systems, in which the SEM image is digitized
and enhanced to define sharp edges and fracture zones. Such
a system was used to verify the objectivity of the grid-counting
technique that was used in this study (Bifano, 1988).
It was found that a change in grinding infeed rate from 75
nm/rev to 2 nm/rev resulted in a transition from 99 percent
surface fracture to 5 percent surface fracture. This result is
important for three reasons. First, it verifies that the design
principles used in the development of PEGASUS were appropriate for ductile-regime grinding. In addition, the microgrinding range of material-removal rates is shown to be an important
region of machining, with significant potential for improving
the machinability of glasses and ceramics. Finally, from this
series of grinding tests the basic hypothesis of ductile-regime
grinding (i.e., brittle-ductile transition for a reduced infeed
rate) is validated for fused silica. Fused silica is a relevant
material for this verification of the ductile-regime grinding
hypothesis because (as will be shown in the next section) it is
particularly brittle and thus difficult to machine in a ductile
regime.

The Critical-Depth-of-Cut Model

To investigate the influence of material properties on the
brittle-ductile transition rate, a broad range of amorphous
glasses, single crystals, and advanced ceramics were chosen for
grinding on PEGASUS. By comparing the grinding ductility
of these materials to their intrinsic properties, a critical-depthof-cut model has been established for microgrinding. This
model relates the measured critical grinding infeed rate for 10
percent surface fracture to a calculated critical-depth-of-cut
based on the material properties (10 percent surface fracture
was arbitrarily chosen as a reference value for the brittle-toductile transition).
1 8 8 / V o l . 113, MAY 1991

ER
H2

dr =

0)

Q
a>
ta

A 10

(6)

where dc is the critical indentation depth, E is the elastic modulus, R is the material's fracture energy, and His the hardness.
For materials that exhibit a plastic zone near the crack tip, the
value of R can be evaluated using Griffith's classical crack
propagation analysis. One approach to defining fracture energy at small scales is to replace it with a dimensionally analogous measure of the energy needed to propagate cracks,
namely:
R ~ *
H

(7)

In indentation, the quantity KyH has been called an effective

measure of brittleness (Marshall and Lawn, 1986). This quantity can be combined with the critical depth model of equation
(6) to yield:

*" I

as a measure of the brittle transition depth-of-cut. Experimental results using this formula for indentation testing have
shown a remarkable degree of consistency, even using bulk
material properties (Marshall and Lawn, 1986). If this type of
analysis were adopted for grinding, dc would represent a measure of the critical-grinding-infeed-rate expected to change the
material-removal mechanism from a ductile regime to a brittle
one. Thus, presumably a series of brittle materials could be
ranked according to their properties to determine the grinding
wheel infeed rate below which fracture would not occur.
The relevant properties were measured for each material
using microindentation techniques (Bifano, 1988). While the
measurement of hardness by indentation is a standard procedure, determination of Kc and E by indentation is a developing area of research (Marshall and Lawn, 1986). The
properties of the material surface vary with the indentation
depth at which they are measured. This surface property variability is especially troubling for the measurement of Kc. Sizescale effects lead to a dependence of Kc on crack size (R-curve
behavior), which can be a large effect in certain materials
(Scattergood et al, 1988). Such material-related property variations complicate the extrapolation of properties from the
scale of indentation (~ 10 jum) to the scale of microgrinding
( < 1 /an). In spite of these problems calculating the material
properties, a reasonable correlation was obtained between the
calculated critical-depth-of-cut and the measured criticalgrinding-infeed-rate (i.e., the grinding infeed that will produce
10 percent surface fracture). This correlation is illustrated by
the graph of Fig. 6. From this correlation, the constant of
proportionality for eq. (8) can be estimated, yielding:
(9)
H
Only materials exhibiting significant variations in Kc with
indentation depth were not well represented by the model. For
these materials, estimates of the Kc behavior at small indentations can be used to modify the calculated critical-grindinginfeed-rate (Bifano, 1988).
0J5

[H

Summary
The following is a summary of the results brought out in
this paper.
Transactions of the ASME

9
9

Ductile-regime grinding is a newly established materialremoval technique. By controlling a stiff, accurate grinding apparatus so that it has an exceptionally small scale
of material removal, brittle materials can be ground in a
ductile manner. As a result, brittle workpieces can be
machined in a deterministic process while producing surface finishes characteristic of those achieved in nondeterministic, inherently ductile processes such as lapping
and polishing.
Ductile-regime grinding can be achieved by ensuring that
the grinding apparatus has a stiff structural loop, realtime control of the grinding infeed, relative isolation from
environmental disturbances, and state-of-the-art wheel
trueing techniques.
All brittle materials will undergo plastic flow rather than
fracture if the depth of machining is small enough.
There is a correlation between the grinding infeed rate
that corresponds to the brittle-to-ductile transition for a
particular brittle material and the properties (Kc, H, and
E) of the material. This correlation is reasonably described
by a simple power-law equation.

Acknowledgments
This work was supported by a University Research Initiative
grant from the Office of Naval Research, and by the Affiliates
of the Precision Engineering Center of North Carolina State
University.
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Proc. Roy. Soc. London, A366, pp. 575-597.
16 Toh, S. B., and McPherson, R., 1986, "Fine Scale Abrasive Wear of
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