Engineering Materials

Kapil Gupta Editor

Micro and Precision

Manufacturing
Engineering Materials
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Kapil Gupta
Editor

Micro and Precision

Manufacturing

123
Editor
Kapil Gupta
Department of Mechanical and Industrial
Engineering Technology
University of Johannesburg
Johannesburg
South Africa

ISSN 1612-1317 ISSN 1868-1212 (electronic)

Engineering Materials
ISBN 978-3-319-68800-8 ISBN 978-3-319-68801-5 (eBook)
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Preface

Micro-manufacturing and precision manufacturing entail the use of sophisticated

techniques in order to attain special manufacturing requirements, such as precision
machining and finishing of various DTM, bio and smart materials;
micro-manufacturing of mechanical components; machining of intricate shapes and
features; and precision finishing of engineered products. To accomplish the
aforementioned tasks, a number of conventional and advanced processes are
strategically exploited. Therefore, knowledge of working principle, process
mechanism, and control and accuracy of these processes is essential for their
successful implementation.
This book consists of a total of eight chapters emphasizing novel aspects, current
trends and latest developments in micro- and precision manufacturing. Chapter
“Machining of Microshapes and Features” details manufacturing of micro-shapes
and features by various conventional and advanced processes. Chapter
“Electrochemical Methods of Micropart’s Manufacturing” describes mechanism
and working of electrochemical machining for micro-parts manufacturing. Chapter
“Precision Photochemical Machining” is dedicated to precision photochemical
machining. Chapter “Nano-Machining, Nano-Joining and Nano-Welding” highlights
the development of nano-manufacturing with focus on nano-machining, joining and
welding. Ultraprecision finishing techniques for fabrication of optical components
are discussed in Chapter “Fabrication of Optical Components by Ultraprecision
Finishing Processes”. Chapter “Condition Monitoring in Micro-Injection Moulding”
discusses the important aspects of condition monitoring in micro-injection moulding.
Chapter “Surface Finish Improvement of Additive Manufactured Metal Parts” sheds
light on some post-finishing methods for additive manufactured metal parts. Chapter
“Precision Coatings” is an impressive note on precision coatings and highlights their
principle and applications for various engineered parts.

v
vi Preface

This book is intended to facilitate the industrial, research and academic com-
munity by ensuring knowledge enrichment in theoretical and research aspects of the
techniques used to fulfil various micro- and precision manufacturing requirements.
I thank all the authors for their valuable contribution.

Johannesburg, South Africa Kapil Gupta

June 2017
Contents

Machining of Microshapes and Features . . . . . . . . . . . . . . . . . . . . . . . . 1

Asma Perveen and Carlo Molardi
Electrochemical Methods of Micropart’s Manufacturing . . . . . . . . . . . . 21
Sebastian Skoczypiec
Precision Photochemical Machining . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Atul R. Saraf, Shivam P. Yadav and M. Sadaiah
Nano-Machining, Nano-Joining, and Nano-Welding . . . . . . . . . . . . . . . . 71
Kush Mehta, Munish Gupta and Priyanranjan Sharma
Fabrication of Optical Components by Ultraprecision Finishing
Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Gourhari Ghosh, Ajay Sidpara and P.P. Bandyopadhyay
Condition Monitoring in Micro-Injection Moulding . . . . . . . . . . . . . . . . 121
C.A. Griffiths
Surface Finish Improvement of Additive Manufactured
Metal Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
Hany Hassanin, Amr Elshaer, Redha Benhadj-Djilali, Francesco Modica
and Irene Fassi
Precision Coatings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Zoltan-Iosif Korka
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195

vii
About the Editor

Dr. Kapil Gupta is a Senior Lecturer in the Department of Mechanical and

Industrial Engineering Technology at the University of Johannesburg, South Africa.
His research interests include advanced machining processes, sustainable manu-
facturing, microfabrication, precision engineering and gear technology.

ix
Machining of Microshapes and Features

Asma Perveen and Carlo Molardi

Abstract Accelerated trend of miniaturization and thereby increasing use of

microfeatures and microparts have tremendously encouraged scientists and engi-
neers to develop new techniques for their precision fabrication. Considering that,
this chapter introduces various machining techniques for microfeature fabrication,
their capabilities, salient features and associated surface integrity aspects. It also
reviews the past work and highlights recent technological development in this area.

Keywords Microholes

Laser machining
Electro discharge machining

Electrochemical discharge machining

1 Introduction

Increasing demand for developing micromachining technology to fabricate micro-

features and microshapes has been attracting the interest of researchers to fulfil the
specific requirements of aerospace, biomedical, electronics and automotive indus-
tries [1, 2]. Downscaling trend of processes, machines, metrology in order to satisfy
the current needs of smaller, thinner and lighter products with accuracy and pre-
cision appears to push the established technologies towards miniaturization.
Manufacturing of engineered parts and components with feature size ranging from
1 to 999 µm is known as micromanufacturing [1, 2]. In order to satisfy current
needs, innovative micromachining processes other than the improvement in the
existing machining technologies have become crucial. Nevertheless, this journey of

A. Perveen (&)
Department of Mechanical Engineering, Nazarbayev University,
53 Kabanbay Batyr Ave., Astana 010000, Republic of Kazakhstan
e-mail: [email protected]
C. Molardi
Department of Electrical and Electronics Engineering,
Nazarbayev University, 53 Kabanbay Batyr Ave., Astana 010000
Republic of Kazakhstan

© Springer International Publishing AG 2018 1

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_1
2 A. Perveen and C. Molardi

product miniaturization imposes technical constrains on individual machining tech-

nique in terms of machinability, shape complexity and surface integrity. Fabrication
techniques such as photolithography, focus ion beam and electron beam lithography
are considered to be the most prevalent micromachining techniques in terms of their
process capacity to fabricate micro-/nanosize features. However, such methods
require high expenditure for equipment and maintenance and also lack of capability to
fabricate complex 3D geometries. Conventional micromachining and finishing
techniques are capable of generating surfaces with nanofinish. Nevertheless, size
limitations of cutting tool required for micromachining of complex microfeatures
impede their effective cutting due to the presence of cutting forces. Among the
tool-based machining processes, micro-EDM and micro-ECM show significant
promising capability due to their non-contact phenomena. Negligible process force
makes possible the fabrication of electrodes which could be used to fabricate
microshapes and intricate features. On the other hand, it is also attractive to employ
laser techniques to fabricate microfeatures which might eliminate the usage of master
micromold. Challenges and limitations imposed by individual micromachining
technologies directed the interest of researchers towards the development of hybrid
micromachining processes. Hybrid process developed by combining two individual
processes offers enhanced benefits arising from both individual processes with
reduced negative effects caused by application of each process separately.
There have been many attempts to develop the low-cost macromachining pro-
cesses for applications requiring micro- and nanofeatures. As of today, considerable
research efforts have been enforced towards the course of machine tools develop-
ment, on-machine micro-/nanometrology for efficient process control and expan-
sion of processes for micro-/nanomachining techniques. Therefore, this chapter
attempts to focus on the growing applications of microshapes and features and
associated challenges in machining them. Following that, this chapter also intro-
duces various machining techniques for their successful fabrication.
One of the most widely used microfeature is microholes which are essentially
required in micronozzles, microdies, fluidic filters, grids, inkjet printer nozzles, fuel
injection nozzles, optical apertures, high-pressure orifices, micropipettes, pneumatic
sensors and manipulators and biomedical filters [2–5]. Although fabrication of simple
microholes is not that difficult, machining of holes having irregular cross section
involves more complicated steps. Holes having some internal features or internal size
larger than hole opening and with reverse tapered holes and grooves require not only the
modifications of the tool geometry but also the advancements of the process itself [3–5].
3D array microfeatures with variable cross sections can be used as tools for
micro-ECM process for making cavities [6], fabricating through holes for the purpose of
interfacing devices in MEMS by passing wires and as tools in micromilling applications
[7]. Microelectrode and microhole array are typically useful in fabricating microholes
(50 µm diameters on 600-µm thin plates) in the nozzles for spraying purpose for
biotechnology applications [8]. Microrods of harder materials with high aspect ratio can
also be useful as a component in various MEMS applications, as shaft for
microrobot/microactuator, as microneedle for syringe, as a tool for fabricating high
aspect ratio holes without burr and as mechanical punch to perforate thin foils [9–11].
Machining of Microshapes and Features 3

The next section details the fabrication of aforementioned microshapes and

features by various conventional and advanced techniques.

2 Details on Fabrication Techniques for Microshapes

and Features

2.1 Micromachining

Micromachining is defined as the machining process in which the thicknesses of the

material layer removed by single pass of the cutting edge ranges from 1–999 lm.
Material removal mechanism involved in cutting is mostly by shearing or plastic
deformation. Nanofinished surface with submicron profile accuracy can be obtained
using small scale of material removal with well-defined tool geometry.
Micromechanical machining comprises of microcutting methods, i.e. microturning,
micromilling, microdrilling that employ defined cutting edges and microgrinding
that uses undefined cutting edges [12].

2.1.1 Micromilling

Micromilling is basically scaled-down version of macromilling which implies

downscaling of machine tools, cutting tools and cutting parameters. Despite their
similarity in kinematics, process physics and mechanism, micro- and macromilling
processes differ significantly in many aspects [13]. Due to run-out error of tool
which happens at microscale level, micromilling suffers greatly from lack of
accuracy unlike conventional milling [14]. Higher ratio of tool run-out to tool
diameter in case of micromilling causes one of the cutting edges to be active at a
same time, and as a result, variation of force increases greatly. Eventually, tool
chipping occurs even with low force of mN values. The principle stress reaches to
maximum value causing the tool to fail [15].
Cardos et al. [16] conducted investigation on Al–Cu–Bi–Pb age-hardened alloy
by fabricating microfeatures and studied surface roughness. A cemented carbide end
milling tool with 800 µm diameter was used with feed rate variation of 2–8 µm/flute
and tool rotation of 6500 rpm. Micromilling operation was conducted using three
machining strategies such as constant overlap spiral cutting (Fig. 1a), parallel spiral
cutting and parallel zigzag cutting. Constant overlap strategy generated best result
among the three strategies as shown in Fig. 1b.
Unpredictable tool failure has always been a key issue in micromilling. As per
the research results, variation of tool geometry plays an important role in tool wear.
Feng et al. [18] conducted a comparative study of two-flute Δ-type and D-type end
mills made of tungsten carbide on brass. Mesa arrays with triangular and square
base used in biomedical applications were fabricated using cutting velocity of
4 A. Perveen and C. Molardi

Fig. 1 Machining strategies using feed rate of 6 µm/tooth: a constant overlap spiral; b photograph
of a micromilled surface on aluminium samples using 0.8-mm-diameter end mill [16, 17] (with
kind permission from ‘Taylor & Francis’, ‘Russian Academy of Science’)

Fig. 2 Micromachining of biomedical parts [18] (with kind permission from ‘IOP Science’)

40,000 rpm, depth of cut 30 µm and feed rate 60 mm/min. D-type end mills
contribute to the successful fabrication of width of walls and channel down to
80 lm as shown in Fig. 2. Moreover, follow contour instead of layer-by-layer
strategy also generates better surface roughness. As per the experimental study as
well as FEM analysis, D-type micro-end mill shows more compatibility for
micromachining.
Convex lens array of 4  4 on brass was also fabricated with the help of single
crystal diamond end mill by Kawai et al. [19]. Machined lens has pitch of 290 µm
and diameter and height, respectively, of 236 and 16 µm. Generated lens have
roughness value of 448 µm. For micromechanical applications, structures such as
moulds and masks were also manufactured on polymethyl methacrylate (PMMA)
using microend mill. Stepped surfaces were machined on the sidewall (Fig. 3a).
Each step has altitude of 4 lm, and the narrowest step at bottom has 2 lm width.
The wall existed on the top of the structure has width of 8 lm. Because of the
repetitive cutting passes, side forces were minimized which in turn allowed the
Machining of Microshapes and Features 5

Fig. 3 a Stepped structures on PMMA fabricated by micro end mill [20] (with kind permission
from ‘Elsevier’). b Eight reservoir microreactors on PMMA [21] (with kind permission from
‘Wiley’)

fabrication of the thin walls [20]. Other than using micro-end mills, ball end mill of
9 µm nose radius was also exploited to fabricate microreactor with eight reservoirs
on PMMA (Fig. 3b). The reservoir fabricated was of 150 µm diameter, 60 µm of
width and 50 µm of depth (for both channel and reservoir) [21].

2.1.2 Microturning

As per the literature, several electronic and optical processes such as electron beam
direct writing, direct laser writing, holographic process can be utilized for fabri-
cation of anti-reflective structured surfaces, microlens arrays, optical microstruc-
tures. Nevertheless, complicated shape like sinusoidal wave patterns with greater
accuracy does not seem so easy to fabricate using those processes. Diamond turning
exhibits its superiority over optical and electronic technique when it comes to the
fabrication of complicated part with wavelength value in the range of micrometres.
With the assistance of fast tool servo (FTS), diamond turning can produce 3D
freeform surface for optical image with better tolerance in the form of geometry as
well as roughness [9, 22, 23].
Gao et al. [23] manufactured angle grid surface for surface encoder used in
multiaxis positioning by combining diamond turning with FTS where piezoelectric
actuator controls the movement of tool with several nanometre accuracies. This
surface fabricated on aluminium alloy has sinusoidal wave patterns of 100 lm
wavelength and 100 nm amplitudes on both x-axis and y-axis. Alignment of tool
centre with the centre of spindle was carefully done, as it is paramount for the
accurate production of sinusoidal surface. Fabrications start from outer circle and
end at the workpiece centre, and it takes almost 13 h in a temperature-controlled
room. Fabricated grid with tool compensation and result of three evaluations are
shown in Fig. 4. Profile accuracy for three evaluations shows similar order of
magnitude which indicates the successful fabrication of sinusoidal wave patterns
with error compensation reduced to nanometre level [23].
6 A. Perveen and C. Molardi

Fig. 4 Fabrication and evaluation results of the sinusoidal grid surface [22] (with kind permission
from ‘Elsevier’)

Fig. 5 a Microlens array design. b Machined freeform microlens array (larger units in
millimetres) (with kind permission from ‘OSA’)

Yi et al. [24] implemented simple slow tool servo to manufacture microlens

array of 5  5 and diffractive optical elements using three-axis ultraprecision
turning machine (Fig. 5). Fabrication was done in two steps. Depth of cut for rough
and finish cutting used was, respectively, 10 and 2 µm. Diamond cutter with nose
Machining of Microshapes and Features 7

Fig. 6 Holographic microstructures machined on nickel silver using nanofast servo-assisted

turning [25] (with kind permission from ‘Elsevier’)

radius of 250 µm, rake angle of 0° and clearance angle of 10° was used for
fabrication. Surface roughness measured for this microarray was found to be
34.5 nm (measured length 0.70 mm) which is considered satisfactory for the optical
applications. Therefore, this method can be used without any need of
post-processing. Figure 6 shows the holographic microstructure generated on nickel
silver sample using nanofast tool servo [25].

2.1.3 Microdrilling

Printed circuit board (PCB) known as mother of most of the electrical appliances
plays an important role for transmission as it connects electronics components with
the use of fine wire. These connections via wire on different layers are normally
done using microscale high-density holes (either through or blind). Through holes
are useful for single, double-sided, or multilayer boards. Blind holes are mostly
found in high-density interconnecting boards. Microdrilling is identified as the
appropriate method to machine these holes in PCBs. Mechanical microdrill of 0.2–
0.3 mm size is already commercially available, and it could go down to 0.1 mm or
below as well. However, fabrication of hole with 0.05–0.10 mm size requires the
drill machine with significantly higher spindle speed. Therefore, drilling machine
having spindle speed of 350,000 rpm is getting more popularity. Other than spindle
speed, drilling depth, material hardness, spindle run-out, rigidity and drill design
also affect the drilled hole quality [26]. Figure 7 shows microhole array fabricated
on PCB with the help of 0.1- and 0.15-mm-diameter drill bit.
Microdrilling of monocrystalline silicon has also been conducted. But in this
attempt, the microhole was ended up with fracture at the entrance side of hole. In
order to prevent this kind of fracture, clearance angle for the tool was proposed to
be greater than 0°. Egashira et al. [27] investigated on microhole drilling of
monocrystalline silicon. For this hole fabrication, D shape tool with cutting radius
8 A. Perveen and C. Molardi

Fig. 7 Holes fabricated by a 0.1- and b 0.15-mm drill bites c enlarged view of microhole
(0.1 mm drill) d enlarged view of microhole (0.15 mm drill) [26] (with kind permission from
‘Emerald Group Publishing Limited’)

Fig. 8 a Microhole having diameter and depth of 6.7 µm and 10 µm, respectively, (feed
rate = 0.03 µm/s). b Microhole having diameter and depth of 22 µm and 90 µm (feed
rate = 0.1 µm/s) [27] (with kind permission from ‘Elsevier’)

of 0.5 µm was manufactured using wire electrodischarge grinding (WEDG).

Figure 8a shows the fabricated hole of 6.7 µm size using 6-µm-size microdrill and
feed rate of 0.03 µm/s, whereas Fig. 8b shows deep microhole with more than 4
aspect ratios fabricated at feed rate of 0.1 µm/s.
Machining of Microshapes and Features 9

2.2 Electrochemical Machining

Electrolysis-based metal dissolution removes material in electrochemical machining

[28]. In ECM process, workpiece as anode and tool electrode as cathode are
immerged in the electrolyte; due to applied voltage between anode and cathode,
current is generated and passed between anode and cathode. Eventually, material
from the workpiece is removed according to the tool shape [29, 30]. Although the
mechanism for ECM and micro-ECM is similar, dissolution zone for micro-ECM
needs to be localized in order to assure dimensional accuracy [10]. Micro-ECM also
requires the electrode size to be smaller, ultrashort pulses, smaller voltage and
current value [31]. Different types of micro-ECM available are micro-ECM drilling,
micro-ECM using mask, micro-ECM milling and die-sinking micro-ECM. [1].
Micro-ECM is quite useful for the applications related to microstructure fabri-
cations such as microholes and microchannels used in microdies and micronozzles.
Due to anodic dissolution and evolution of gas at cathode, ECM experiences zero
tool wear [5, 6]. Eventually, several holes can be fabricated using the same tool due
to its reusing characteristics. However, due to ultrashort pulse, lower voltage and
lower current value, material removal rate in micro-ECM is significantly lesser than
micro-EDM [2, 31, 32]. Therefore, generated surface appears significantly smooth
as well as burr free without any microcracks and heat-affected zones [1, 21, 33].
However, micro-ECM can cause distorted machined shape due to the larger dis-
solution zone even with low process power [34, 35].
Schuster et al. [36] proposed the use of short pulse voltage for the fabrication of
submicron size optical structures and successfully fabricated 3D structures with
submicron size as well as of high aspect ratio on gold (Au). This method offers
relatively straightforward fabrication of structure having high aspect ratios and
several microns of depth. Pulse voltage of 10 ns along with LiCl/dimethyl sulfoxide
electrolytes increases the precision level to submicron scale. Figure 9 shows the
micro-ECM fabricated microstructures on gold.
ECM was also used to fabricate microholes with spiral ribs for internal cooling.
Initially, hole was fabricated by wire EDM. Spiral ribs on the hole were created

Fig. 9 Microstructures machined on Au using 1 M LiCl/DMSO solution. The applied machining

parameters are: a 4.2 V, 20 ns pulses, rest potential UAu = 0.05 V; b 5.6 V, 10 ns pulses, rest
potential UAu = 0.05 V; c 5.6 V, 11 ns pulses, rest potential UAu = 0 V [36] (with kind
permission from ‘Elsevier’)
10 A. Perveen and C. Molardi

Fig. 10 Spiral duct cooling passage processed by ECM [37] (with kind permission from
‘Springer’)

Fig. 11 a Cross-sectional view of reverse tapered hole [38]. b Microcavity machined by

controlled dissolution time of 5 min. c Microhole with grooved array [38] (with kind permission
from ‘Elsevier’)

using ECM process in the second step with the help of shaped tool [37]. Figure 10
shows the spiral shape hole (with average deviation of <8.5% and shape duplication
of 0.07–0.1 mm) machined by ECM in 10 min. Wang et al. [37] suggested to use
pulse power, narrow initial gap, lower voltage and lower electrolytic concentration
to machine high-accuracy microfeatures by ECM. With the help of insulated
electrode and pulse voltage of 6 V, reversed tapered hole was successfully fabri-
cated on 50-µm-thick stainless steel plate (as shown in Fig. 11a) by Jo et al. [38]. In
addition, spherical cavities were also fabricated at controlled dissolution time (see
Fig. 11b). In order to fabricate these kinds of microcavities, insulated electrode was
made to go downward to make few micrometre depth of cylindrical hole first with
the pulse on time of 30 ns, and then, electrode was held at that position with the
pulse on time of 150 ns. Figure 11c shows microhole having diameter of 130 µm
with grooved array. Fabrication of such repeatable structure-like arrayed microhole
using single disc shape tool without any tool wear gives ECM certain advantages
over other processes [38].

2.3 Electrodischarge Machining

Being an electrothermal process, EDM can remove material from conductive as well
as semi-conductive material. EDM has the capabilities of machining both circular and
non-circular holes, as well as complex profiles/structures. As per the literature,
Machining of Microshapes and Features 11

several varieties of EDM process such as die-sinking EDM, wire EDM, wire EDG
have been practised by the machining community. Moreover, micro-EDM, microwire
EDM and micro-WEDG have been extensively used with the downscaling of EDM
power, electrode and axis movement resolution. Both the micro-EDM and
macro-EDM have greater potential, and yet research work is ongoing to improve the
process capabilities. Recently, some researchers also reported on nanopulse EDM.
During EDM process, voltage is applied across the tool workpiece terminals; when the
gap between cathode and anode is appropriate, electric field breaks down the dielectric
properties of the EDM oil and series of spark starts to move between cathode and
anode depending on the polarity. Now, each of the sparks removes material from both
the tool and workpiece, resulting in the formation of crater on the machined surface.
Dielectric flush helps to remove the generated debris away and prepares for the next
cycle [39, 40].
Micro-EDM is widely exploited in machining of simple microholes as well as
complex micromoulds. Process mechanism of micro-EDM is similar as EDM.
However, micro-EDM is mainly dedicated for the microscale fabrication of
microfeatures, which also requires the fabrication of microscale electrodes. The
discharge energy for micro-EDM is less than 100 µJ, and eventually, the crater size
is reduced to less than 500 µm [34, 41]. In order to facilitate short pulse duration for
micro-EDM, RC generator is preferred over transistor generator [1]. Apart from
that, to achieve precise dimensional accuracy of fabricated features using
micro-EDM, it also requires the precise movement of the machine axis [41].
Microwire EDM utilizes small-scale diameter wire (100–20 µm) in order to facil-
itate the machining of smaller cutting width as well as inner corner. WEDM has
their huge applications in the fabrication of micromechanical device as well as
microstamping tool. Gear with module 0.1 was fabricated using 30-µm-diameter
wire with the help of WEDM (Fig. 12a) [41]. Application of micro-EDM for batch
production is also possible. Weng et al. [42] machined 16 pieces of electrode array
on tungsten electrode using wire EDM (Fig. 11b). Later on, using those electrodes,
microslots were fabricated on copper plate using micro-EDM (Fig. 12c). Other than

Fig. 12 a Gear with module 0.1 machined by micro-WEDM using wire electrode of 30 µm
diameter [41] (with kind permission from ‘Elsevier’) b Multielectrodes of diameter of 100 µm and
length of 5 mm fabricated by wire EDM. c Microslots fabricated on copper using multielectrodes
with positive polarity [42] (with kind permission from ‘Springer’)
12 A. Perveen and C. Molardi

using micro-WEDM, micro-EDM can also be used for fabricating gear cluster on
WC–Co super hard alloy (thickness of 70 µm) using electrode arrays [11].
Microdie-sinking EDM is also effectively used for the fabrication of microin-
jection moulding and hot embossing dies. This process transfers the reverse shape
of electrode to the work part. Microelectrode of 500 µm diameter was utilized to
create simple shape like blind hole with 5 µm depth on WC using die-sinking
micro-EDM [39].
Microchannel with 15 aspect ratios and 50 µm width can be machined using
micro-EDM technique which is useful for manufacturing of forming tool with
microchannel for microfluidic applications. As shown in Fig. 13, microcavity in
hot-forming tool was fabricated using 0.1-mm-diameter pin which was manufac-
tured by electrical discharge dressing [43, 44].
Recent development in the area of scanning algorithm increases the process
capability of the micro-EDM milling for the fabrication of 3D complex features.
A small pyramid having 50 µm height was fabricated using micro-EDM milling
(Fig. 14a). Figure 14b shows the fabricated two and half dimensional

Fig. 13 Microcavity machined on hot-forming tool by EDM milling, using tool diameter of
0.1 mm [41] (with kind permission from ‘Elsevier’)

Fig. 14 a Small pyramid machined using micro-EDM milling [150 lm (L)  140 lm
(W)  50 lm (H)] [5] (with kind permission from ‘Elsevier’) b Top view of a microcompressor
machined on a 1-lm-diameter cylinder [45] (with kind permission from ‘Springer’)
Machining of Microshapes and Features 13

microcompressor on a cylinder of 1 mm diameter made of stainless steel. Centre

hole of 300 µm diameter was drilled using commercial electrode, and blades were
fabricated using micro-EDM milling with the help of same tool after its diameter is
reduced using WEDG [5, 45].

2.4 Laser Machining

Lasers offer an excellent beam quality and pledge significant advantages and
improvements in microscale high-precision material processing. Nevertheless, it is
not only a matter of beam quality that makes the lasers’ technology so attractive,
but also several other benefits such as high efficiency, moderate price, flexibility to
work with different materials, easy integration and installation are offered by this
process. With respect to traditional approaches, lasers interact with materials in a
complete contact-less and wear-less fashion, with huge benefits on machining
precision. Besides these, lasers have the capability to pursue high-power industrial
macromachining using mainly continuous wave lasers, as well as ultraprecision
micromachining by exploiting the high-energy, short-pulsed operation.
With regard to the last-mentioned operation, the possibility to tune pulse dura-
tion from microsecond to femtosecond, to tune the pulse repetition rate from a
single shot to megahertz and to choose emission wavelength ranging from mid-IR
(CO2 lasers) to UV region (excimer lasers) makes lasers suitable to process a wide
range of materials including silicon, ceramic, glass, metals, compounds and poly-
mers. Although the choice of an appropriate laser source is fundamental, it is also
necessary to employ specialized components in order to obtain the desired geom-
etry [46]. Currently micromachining is developed using two different technological
approaches: direct laser writing (DLW) by using a 2D galvanometer scan head and
mask projection technique (MP) by using a fixed mask, as shown in Fig. 15a, b
[47]. The first is suitable for creating every kind of 3D surface, with some limi-
tations given by the precision of the galvanometer head used for directing the beam
and some limitations on material manufacturability caused by the high intensity of
the required laser. The second is much more suitable for high-precision pho-
tolithography as the laser beam is well homogenized and directed on the target.
Besides, it is possible to duplicate the same model for many times without losing
precision.
By means of high-energy pulses, characterized by short pulse duration, it is
possible to reach ablation threshold and obtain remarkable structures on silicon for
printed circuits or for other applications such as printer nozzle, biomedical catheter,
hole drilling, thin-film scribing, microelectromechanical system (MEMS) and mi-
crofluidic. Figure 16a–f presents some examples of this kind of precise microfea-
ture machined by lasers.
14 A. Perveen and C. Molardi

Fig. 15 a Direct laser writing (DLW). b Mask projection (MP) [47] (with kind permission from
‘SPIE’)

(a) (b) (c)

250μm

(d) (e) (f)

Fig. 16 a Indium–tin–oxide printed circuit using a Q-switched Nd:YAG laser [47], b printer
nozzle drilled on a olyimide substrate using an excimer laser [47] (with kind permission from
‘SPIE’) c, d channels and ramps for microfluidic purpose carved on polyester using KrF excimer
laser [47, 48] (with kind permission from ‘SPIE’), e A 316L stainless steel cardiovascular stent cut
with fibre laser and f cut with YAG laser [47, 49] (with kind permission from ‘Elsevier’)
Machining of Microshapes and Features 15

Fig. 17 a Working principle of ultrasonic machining [54]. (With kind permission from ‘Elsevier’)
b SEM image of entry of microhole. c Exit of microhole [58] (with kind permission from
‘Elsevier’)

2.5 Ultrasonic Machining

Fabrication of microfeature on glass or brittle material needs special machining

strategies. Microultrasonic machining is one of such promising techniques useful
for high aspect ratio microfeatures fabrication without any damage to the work-
piece. Microhole is the most common feature fabricated by this process [34, 50].
Microhole of 5 µm on silicon was drilled by using micro-USM which can meet the
requirement of integrated circuit package containing device with microdimension
[51]. Principle of micro-USM is similar as conventional USM. Material removal in
micro-USM is mainly done by the combination of abrasion and cavitation erosion.
Mechanical action/abrasion is induced by the ultrasonic vibration (frequency
20 kHz) of the tool to the abrasive particles, whereas cavitation erosion is mainly
because of the change of pressure created by ultrasonic vibration in the fluid close
to work zone [52, 53].
The working principle of USM system is given in Fig. 17a [54]. Micro-USM has
the capability to drill holes, machine slot and other 3D features [55]. Microholes
with dimension lower than 10 µm were comfortably machined on quartz, glass,
silicon and alumina [50, 51, 56]. Micro-USM has also been used for precise 3D
cavity generation [57]. Kuriakose et al. [58] successfully fabricated microhole on
20-lm-thick Zr–Cu–Ti metallic glass using micro-USM (Fig. 17b, c). Hollow
cylindrical tool made of stainless steel was used for microhole drilling with varying
grit size abrasive.

2.6 Hybrid Machining

One of earliest attempt on hybrid machining was made by Takahata and Takeo [59]
where micro-ECM/lapping is combined with EDM to further enhance the surface
integrity of machined surface [59]. In addition to electrolytic dissolution, Al2O3
16 A. Perveen and C. Molardi

grains contained in the electrolyte solution also remove material due to the pol-
ishing effect of grains which result in mirror-like surface with 32 nm after 120 s of
machining. Simultaneous electrodischarge/electrochemical machining (SEDCM)
with layer-by-layer material removal was also attempted [33], where low-resistive
deionized water between electrode and workpiece acts as both dielectric and
slightly conductive electrolyte. Short voltage pulses cause material removal in terms
of crater and following that voltage pulses initiates a weak electrochemical reaction
due to lower conductivity of deionized water. As a result, anodic dissolution causes
the surface roughness to be reduced [33].
Figure 18 shows three-dimensional microcavities fabricated by micro-EDM
milling and SEDCM milling. For SEDCM, short pulse with 500 kHz frequency and
30% duty ratio were used. Material is removed by 0.2 µm depth at each layer using
feed rate 50 µm/s; however, for last 5 lm depth, feed rate of 10 µm/s was used. It is
clearly visible from the figure that SEDCM milling has the process capability better
than EDM milling [60].
Hybrid machining combining ECDM and grinding using PCD tool was also
investigated. The idea is to take advantage of ECDM which facilitates high material
removal and microgrinding which offers higher surface quality. Figure 19 shows
the microstructure fabricated using this combined technique. ECDM process was
used to generate the microstructure roughly using WC electrode of 40-µm tool.

Fig. 18 3D microcavities fabricated by a micro-EDM milling and b SEDCM milling;

c microfeatures machined by SEDCM milling at feed rate: 10 µm/s [60] (with kind permission
from ‘Elsevier’)

Fig. 19 Microstructures fabricated by a, c ECDM and b, d combined ECDM and grinding by a

PCD tool [61] (with kind permission from ‘Springer’)
Machining of Microshapes and Features 17

Pulse voltage of 23 V was applied across the electrode and work part with the tool
rotation of 300 rpm and feed rate of 3 µm/s. Subsequent microgrinding was con-
ducted using PCD tool which reduced the surface roughness significantly [61].
These examples show that hybrid micromachining techniques can be efficiently
used for machining of complicated microstructures with better surface quality on
glass materials.

3 Summary

Current trend of machining is moving towards miniaturization due to the huge

industrial demand of downscaled products. In this chapter, the important industrial
applications which require the microscale machining processes are highlighted.
Underpinning concepts of these major micromachining techniques and their
potential capabilities are also summarized in the light of the applications. In
addition, hybrid micromachining process combining two different micromachining
processes is also found to have greater potential as it makes use of advantages
arising from both processes. However, hybrid process combining more than two
processes is still in infancy and should be the focus of future research. Moreover,
most of these micromachining technologies are still in exploration phase; therefore,
more research work is essential to be conducted to elevate the technology readiness
level for direct industrial applications.

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Electrochemical Methods of Micropart’s
Manufacturing

Sebastian Skoczypiec

Abstract This chapter introduces basics of electrochemical micromachining

(ECMM). In this process, no mechanical contact between tool and workpiece
occurs, and machinability is not connected with material mechanical properties, and
therefore, it is an attractive technology, especially when shaping 3-D sculptured
surfaces in difficult-to-cut materials. However, the key problem in ECMM is to
localize dissolution to achieve satisfactory accuracy. In this chapter, specificity of
electrochemical micromachining and recent trends in this area are presented. The
conditions of electrochemical dissolution are discussed, and the possibilities of
shaping accuracy increase are indicated in details. The special attention is paid to
the results of application of voltage pulses and integration with other technologies
in hybrid and sequential machining.

Keywords Electrochemical
Electrodischarge
Hybrid machining
Laser

Micromachining

Electrochemical machining (ECM) is an anodic electrochemical dissolution process

in which material is removed by electrochemical dissolution when applying con-
stant or pulse voltage between tool (cathode) and workpiece (anode) [1]. Through
the thin gap (<<0.5 mm) between tool and workpiece, an electrolyte flows. Due to
the presence of electrolyte in interelectrode gap, the electric charge is transported by
ions, whereas by electrons in outer circuit. The electrochemical reactions on the
electrode–electrolyte borders are mainly responsible for the change of conduction
from electronic to ionic. One of these reactions is dissolution of workpiece material,
which takes place according to Faraday’s law. The dissolved material and other
electrochemical reaction products are transported outside the gap by forced flow of
the electrolyte.

S. Skoczypiec (&)
Institute of Production Engineering, Faculty of Mechanical Engineering,
Cracow University of Technology, al. Jana Pawła II 37, 31-864 Kraków, Poland
e-mail: [email protected]

© Springer International Publishing AG 2018 21

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_2
22 S. Skoczypiec

Since the fifties of the last century, ECM has been becoming an effective method
for producing a wide variety of parts for the defense, aerospace, automotive, and
medical industries. As regards to the micromachining application, the following
advantages of this process can be mentioned: (i) no tool wear, (ii) high productivity,
(iii) excellent surface quality. Therefore, recent advances in machining accuracy
and precision prove that ECM becomes an attractive technology for precise
micromachining. However, in order to make ECM suitable for such application, it
is necessary to develop modified machining system which should provide high
localized machining with gap width below 100 µm.

1 Specificity of Electrochemical Micromachining (ECMM)

Microfabrication through electrochemical action includes cathodic processes (i.e.,

electrodeposition, electroplating, electroforming, through-mask electroplating),
anodic processes (i.e., electrochemical micromachining, electroetching, elec-
tropolishing), or open circuit processes (chemical polishing, chemical milling,
chemical etching). Majority of these technologies are adapted to manufacture planar
(2-D) structures, and only electrochemical micromachining (ECMM) is suitable for
manufacturing 3-D complex surfaces. In ECMM, the allowance can be removed by
tool shape reproduction in the machined surface (referred as electrochemical
sinking, Fig. 1a) [2]. The major problem in sinking is to design and produce
electrode tool with sophisticated shape. The electrode preparation cost is high, and

Fig. 1 Variants of electrochemical micromachining: a sinking, b machining with universal

electrode tool, and c through-mask electrochemical micromachining
Electrochemical Methods of Micropart’s Manufacturing 23

problem with effective gap flushing occurs; therefore, the range of dimensions is
limited (machined area is in range of mm2). Therefore, in micromachining dominate
operations where simple electrode tool (i.e., cylindrical with spherical or flat or tip,
wire) can be applied [3, 4]. In this case, the machined shape results from the
electrode tool path (similar to milling, Fig. 1b). It is also worth to mention about
through-mask electrochemical micromachining (TMEMM), which was developed
especially to generate the microdimple array with controlled shape and density
(Fig. 1b). This process also includes masking to produce insulation layer or protect
selected areas of workpiece from dissolution [5].
Application of the ECMM is related to top-down machining philosophy. It
means that in order to produce smaller parts, production system which is commonly
used in macromanufacturing, is applied after suitable modifications. These modi-
fications relate to machining resolution increase and machine tools and tooling
precision improvement. Figure 2 presents various important factors responsible for
making ECMM suitable for micromanufacturing. Machining resolution is closely
related to unit removal, which can be defined as a part of the workpiece removed
during one cycle of removal action. Unit removal gives information about the
smallest adjustable dimensions of the part, so unit removal of sub-micrometer range
is necessary when the micropart is machined or when high precision of the part is
required. Theoretically, in ECMM, the smallest unit removal is ion; however, the
anodic dissolution is always connected with disadvantageous effect of widening the
machining area on the distance significantly higher than working electrode diameter
and interelectrode gap (Fig. 3). This is called as a delocalization effect, and the

Fig. 2 Various factors of electrochemical micromachining responsible for its successful adoption
to micromanufacturing
24 S. Skoczypiec

Fig. 3 Scheme of the

machining area with electrical
field distribution and
corresponding distribution of
current density i and
dissolution velocity vn

distribution of electric field in machining area is responsible for this phenomenon.

Therefore, the dissolution should be controlled and limited only to specific work-
piece areas. Minimization of unit removal is not enough to scale down the ECM
process. It also requires adaptation of appropriate machine tools and tooling.
Recent research trends in the field of ECMM are focused around selection of
optimal condition of dissolution under the small gap (<100 µm). These include
especially [6]: (i) clarification of the phenomena during dissolution, (ii) modifica-
tion of (resulting from primary electrical potential distribution) distribution of
current density on workpiece surface, (iii) selection of proper electrolyte (compo-
sition, concentration, and additives), (iv) design of technological process (design of
electrode tool shape or path, simulation of machining), (v) modification and
development of machine tool (including also power supplier and technological
tooling), (vi) control of the machining process (controlling the gap thickness and
preventing the critical states), (vii) introduction of additional energy sources into
area of dissolution to improve material machinability or machining conditions, (viii)
integration with other technologies in sequential or complete machining process.

2 Localization of Electrochemical Dissolution

Dissolution localization can be defined as possibility to concentrate energy needed

to remove material in relation to machined surface. The localization is narrower
term than machining accuracy and can be identified with unit removal. High dis-
solution localization is prerequisite for high process resolution and accuracy;
however, it is not sufficient. Localization is strictly connected with current density
distribution over the machined surface. Taking into account simple case presented
in Fig. 3, one can observe that there is some distance from the electrode tool edge
Electrochemical Methods of Micropart’s Manufacturing 25

where dissolution occurs. Although current density decreases with distance from
electrode, its value is large enough to dissolve distant material. To achieve high
localized process, this effect has to be minimized.
Localization of electrochemical dissolution can be quantified by localization
factor, which is calculated based on relation between dissolution velocity vn and
interelectrode gap thickness S. In good localized process, the curve vn(S) should be
as steep as possible, so the material removal rate decreases sharply with gap
thickness increase. For ideal process (curve 1 on Fig. 4), following relation takes
place:

vn1 S2
¼
vn2 S1

While high localized process should be characterized by steeper vn(S) relation

(curve 2 on Fig. 4) which can be described by equation:
 n
vn1 S2
¼
vn2 S1

and n can be defined as localization factor. n = 1 for ideal process and to localize
the dissolution, n should be as high as possible. Additionally in a good localized
process, the gap thickness threshold SL should occur (for S > SL, there is no
dissolution).
In recent years, several studies were carried out aimed to modify the primary
current density distribution for increase in ECM localization and accuracy. The
major ways include (Fig. 5):
• decrease of interelectrode gap thickness: accuracy is inversely proportional to
interelectrode gap thickness; therefore, one of the main directions of develop-
ment is to carry the process with as small as possible interelectrode gap with as
high as possible technological reliability,

Fig. 4 Relation of
dissolution velocity
vn(S) from interelectrode gap
thickness S; SL limiting gap
thickness
26 S. Skoczypiec

Fig. 5 Various factors responsible for improvement in anodic dissolution localization in the
ECMM

Fig. 6 Schematic relations

between gap thickness S and
current density i (left) and
between current density i and
electrochemical machinability
ηkv for passive electrolyte
(right)

• selection of proper electrolyte: it gives possibility to obtain hyperbolic

tangent-like relation between electrochemical machinability and current density
(Fig. 6). This relation depends mainly on electrolyte properties (understood as
its type and those resulting from the process). In ECMM application of passive
electrolytes, for which lower limit of current density occurs (for i < i0 no dis-
solution takes place) is preferred,
• machining in electrolyte—gas mixture: supply into the gap homogeneous
mixture of electrolyte and gas (air, nitrogen, or carbon dioxide) allows to limit
dissolution in areas where gap thickness is higher than assumed (in this area, gas
expands to bubbles and electrolyte conductivity significantly decreases),
• electrode tool insulation or special design: in order to protect from dissolution
distant areas of workpiece, which should not be machined, selected areas of the
Electrochemical Methods of Micropart’s Manufacturing 27

electrode tool are coated with insulation layer (epoxy resin, ceramics, DLC or
Teflon). In some cases, it is also possible to modify shape of electrode tool in
order to concentrate dissolution in selected area (i.e., application of disk-like
electrodes for hole drilling and groves machining or shaping of 3-D structures),
• application of pulse voltage: depending on pulse length, it gives possibility to:
(i) increase process reliability (millisecond pulses), (ii) the use of electrolyte
temperature increase (microsecond pulses), or (iii) use of transient phenomena
(nanosecond pulses) to localize dissolution,
• assistance of additional energy sources (hybrid machining) or integration
with other technologies: in complete or sequence machining.
From above-presented solutions, the most promising are application of voltage
pulses and integration with other technologies/energy sources in complete or hybrid
machining process. Sections 3 and 4 present the recent developments in this area.

3 Pulse Electrochemical Micromachining (PECMM)

Based on the duration of pulse time ti, the pulse electrochemical micromachining
(PECMM) can be classified into three variants: (i) with pulse time 500 ms > ti >
1 ms; (ii) with pulse time ti < 1 ms (usually ti in range 1–100 ls); (iii) with pulse
time ti < 500 ns. In the first two variants, the machining is carried out in a diffusion
limited state, which generally means that the physical properties of the electrolyte in
the gap determine distribution of electric current density i. In such case, i is mainly
dependent on diffusion rate. While in PECMM with nanosecond voltage pulses,
current density i is determined by activation overpotential.

3.1 Millisecond and Microsecond Pulse Electrochemical

Micromachining

Accuracy of electrochemical machining increases with machining gap decrease.

However, to carry out stable machining process with small gap thickness is difficult.
In such case, increase of electrolyte temperature and contamination is significant;
therefore, critical conditions (i.e., electrical discharges) can easily occur in the
gap. Therefore, application of millisecond range voltage pulses (ms-PECMM) gives
possibility to interrupt the dissolution process and refill the gap with fresh elec-
trolyte. Additionally, in ms-PECMM: (i) reduction of the electrolyte properties that
change along the gap reduces the impact of changes of electrolyte conductivity on
shape errors; (ii) amount of hydrodynamics defects on workpiece surface decrease
(smaller gap reduces electrolyte flow velocity). These give possibility to increase
dissolution reliability under small gap condition; however, additional effect of
dissolution localization does not take place. ms-PECMM enables precise machining
28 S. Skoczypiec

Fig. 7 Example of µs-PECM applications: microstructures machined in milling kinematics with

following parameters: pulse time ti = 1 µs, pause time tp = 10 µs, pulse voltage U = 20 V,
electrolyte 1% NaNO3, electrode feed rate vp = 50 µm/min, electrode rotation speed 500 1/min,
electrode diameter D = 0.4 mm

with gap thickness of about 0.01–0.1 mm (in ECM, typical gap is in range of
0.1–1 mm).
A further reduction of the pulse time to the microsecond range (µs-PECMM)
improves whole above-mentioned effects connected with dissolution homogeneity
and reliability. However, in µs-PECMM, the gap thickness is smaller, and the
electrolyte temperature increases more intensively. It is the reason of more intense
electrolyte conductivity increase, and therefore, machining is carried out with
higher current density i. Therefore, according to the relation between current
density and electrochemical machinability in areas with smaller gaps, dissolution is
more efficient (Fig. 6) and relation vn(S) is steeper. The key for µs-PECMM is
avoiding electrolyte boiling in the gap; therefore, pulse length is limited by critical
pulse time, which should be calculated based on thermal limitation in the gap [7].
µs-PECMM can be adopted for micropart and precision and manufacturing (see
example in Fig. 7), and the limits of adaptation are defined by critical conditions in
the gap. To ensure stable dissolution process, efficient gap flushing is necessary. It
can be achieved electrically (by applying adequately long pulse pause) or
mechanically (by applying pulse electrode tool vibration). When conditions of
dissolution are optimal, the accuracy of µs-PECM can reach 5 lm.

3.2 Nanosecond Pulse Electrochemical Micromachining

(Ns-PECMM)

The idea of nanosecond pulse electrochemical machining was developed in the end
of the last century [8]. In ns-PECMM, the dissolution process is driven by the cyclic
electric double layer (EDL) charging and discharging process. In workpiece areas
where EDL charge reaches the activation overpotential, the dissolution starts.
However, the time of EDL charging to the activation overpotential is a function of
gap thickness; therefore, pulse time determines maximal distance between tool and
Electrochemical Methods of Micropart’s Manufacturing 29

workpiece where dissolution occurs. When machining is carried out with a longer
pulse time (ti > 0.5 ls), the EDL is charged uniformly over the machining surface
(dissolution is determined by diffusion); therefore, trainset effect connected with
cyclic EDL charging and discharging is negligible. In ns-PECMM, due to extre-
mely short pulse time, dissolution is carried out in accordance with Butler–Volmer
equation, which exponentially relates current density i and overpotential. It means
that large change of the current density is caused by a small change of the electrode
potential. Due this effect, dissolution localization is also improved [9, 10].
The high capabilities of ns-PECMM have been identified in the research con-
ducted. For example, 1.4301 steel can be machined with lateral gap 200 nm what
gives possibility to obtain edge radius 1 lm [11]. The workpiece in ns-PECMM
can be machined with many kinematic variants as hole drilling or sinking [12–14],
with application of universal electrode tool [3, 15, 16], or in kinematic similar to wire
cutting [4, 17]. However, it is worth to underline that majority of work presented in
literature results of successive ns-PECMM application were obtained in laboratories,
and this technology is not popular in the industry. The problems of commercial-
ization are connected with difficulties in upscaling the process [18]. In ns-PECMM,
the increase of electrode tool area is limited by reactance of the power supply circuit,
what limits charging rate of EDL. In such case, achieving the activation overpo-
tential requires increase of the pulse time ti, what results in change to diffusion
limited process (and process characteristic like µs-PECMM). Machining of areas in
range of 1 mm2 by ns-PECMM needs application of high current pulse power
suppliers and careful selection of type and doping of electrolyte. Therefore,
ns-PECMM is most effective with application of universal electrode tool with pin,
conical, cylindrical, or disk-like tip and diameter less than 100 lm. The area of
ns-PECMM application small series or single production of prototypes and tools
with 3-D shapes is suggested. However, machining results depends from tool size,
workpiece material composition and heterogeneity of the structure. Therefore
necessity to precise choice of the electrolyte composition and its additives for each
machining material significantly limits flexibility of this method.

4 Electrochemical Machining Integration with Other

Technologies

Integrated or hybrid machining technologies are latest research topics these days.
Hybrid machine tools are based on the combination of different manufacturing
technologies in single workstation to obtain high-quality product [19].
Hybridization results in decrease in machining time, reduction in machining cost,
and part quality enhancement, while reasons for developing hybrid machining
processes (HMP) are to exploit their advantages together and to avoid their limi-
tations when they are applied individually [20].
30 S. Skoczypiec

4.1 Hybrid Electrochemical Micromachining Processes

4.1.1 Electrochemical and Mechanical Interaction

The idea of combining electrochemical and mechanical interaction for efficient

material removal was developed in the 1960s in the form of the electrochemical
grinding (AECG). In AECG, a metal bonded abrasive tool is used as a cathode, and
thus, the simultaneous mechanical and electrochemical material removal takes
place. Zhu et al. [21] present an example of successful application of grinding and
electrochemical removal in the micromachining domain (precise machining of
small holes). They applied abrasive coated metal rod as a cathode tool to remove
the material in pre-machined pilot hole. Depending on the machining parameters
(like machining voltage, cathode rotation speed, and feed rate), the way of material
removal can be balanced between mechanical and electrochemical. In this process,
small holes of diameter down to 0.6 mm with sharp edges and without burrs were
drilled.
An example of effective combination of electrochemical and mechanical energy
to remove material electrochemically assisted microturning process is mentioned
[22]. In this case, electrochemical assistance changes the machinability while the
microcutting directly removes the material (Fig. 8). Produced in electrochemical
reaction oxide layer has different mechanical properties than machined metal and
can be removed with reduced cutting force. Research presented in [22] shows that
electrochemical assistance of microturning decreases the average cutting force from
a few to tens percent. In addition, surface machined with electrochemical assistance
indicates decrease of plowing effect what leads to surface quality improvement
(Fig. 9). This method can be applied to machine only passivating materials such as
stainless steel, aluminum or titanium alloys. It is also worth emphasizing that
electrochemical assistance gives benefits when the depth-of-cut is  1 lm.

Fig. 8 Scheme of
electrochemically assisted
microturning process: S—
interelectrode gap, h—passive
layer thickness, f—cutting
tool feed rate, fk—cathode
feed rate (fk = f), w—
rotational speed [22]
Electrochemical Methods of Micropart’s Manufacturing 31

Fig. 9 SEM images of the shaft surface after microturning without (a) and with electrochemical
assistance (b); machined material: 1.4301 steel, depth-of-cut 1 lm, f = fk = 0,02 lm/s,
w = 60,000 1/min, U = 3 V, electrolyte 1% NaNO3 [22]

4.1.2 Electrochemical Machining Supported by Electrode Vibrations

Application of the combination of synchronized low-frequency pulsed voltage and

the oscillating electrode enables machining with reduced working gaps (in range
10–50 µm) and significantly higher current densities. When minimum gap thick-
ness is achieved, voltage is switched on for period from 500 to 5000 µs (depends
on application), which lead to removal process; however, due to small gap, only
low amount of electrolyte is transported through machining area. While during
pulse pauses, when the distance between anode and cathode is maximized, excellent
supply of electrolyte takes place, and the waste electrolyte is replaced with the fresh
one. Oscillation movement of electrode tool is superimposed by its forward
movement. It is worth to underline that in this process, high amount of time is used
for gap flushing; therefore, material removal rate is reduced in comparison to ECM.
Due to high localization, vibration-assisted PECMM is applied for the manufac-
turing of complex microstructures or precise machining of cutting tools or struc-
tured metal parts (i.e., razor shave cabs).
In [23, 24], authors proposed application of low amplitude (5 µm or less) and
low frequency (tens or hundreds Hz) of vibration of tool to improve the flow of
electrolyte during machining of high-ratio microstructures. Research was carried
with application of MHz range pulse voltage frequency with no synchronization
between tool periodical movement and electrical signal. Obtained results prove that
tool vibration gives possibility to increase mass transport in the gap, improve
stability of micromachining due to improved flow of electrolyte, and lead to
material removal rate increase. The same authors also proposed application of low
amplitude tool vibration to improve shape accuracy of borehole [25]. Also in this
case, current density increases and additional effect of borehole quality improve-
ment occurs (more cylindrical, lesser overcut, and better surface finish). Authors
conclude also that amplitude of vibrations can be used as parameters to adjust
borehole taper angle.
The other proposition is to apply vibration in ultrasonic frequency range.
According to [26], it can be mentioned that ultrasonic vibration (i) improves
products removal from the gap, (ii) supports diffusion, (iii) decreases the rate of
32 S. Skoczypiec

passivation, (iv) changes electrochemical machinability, and (v) improves hydro-

dynamic condition. Whole this effects permits machining with high current density.
Young et al. [27] applied ultrasonic vibrations with frequency of 40 kHz and an
amplitude of 4 µm straight to the electrolyte volume. Such a solution is simpler to
design and to control than to apply vibration to the workpiece or tool. They drilled
microholes with diameter less than 100 µm and depth up to 300 µm with
ns-PECMM setup, which was not available for machining without ultrasonic
vibrations. Decrease of machining time leads also to decrease diameter at entrance,
and thus, machining precision was also improved.

4.1.3 Electrochemical–Electrodischarge Machining

Discussing electrochemical–electrodischarge machining, it should be pointed that

in the literature, this term is connected with two different hybrid machining
methods. The first one is also referred as spark-assisted electrochemical machining
(SAEM) [28, 29]. In SAEM, electrochemical reactions between electrode tool and
auxiliary electrode cause the formation of hydrogen gas film around electrode tool,
and it is a medium wherein arc discharges take place. It leads to remove material by
combined mechanism of local heating and chemical etching. It is an emerging
micromachining process especially preferred to fabricate microchannels, grooves,
holes, and 3-D complex shapes on nonconductive materials like glass, ceramics, or
quartz. It is worth to underline that in SAEM process, electrochemical reactions
only create conditions for material removal; however, they are not used directly to
remove material.
Electrochemical–electrodischarge machining (ECDM) involves combination of
electrochemical reactions and electrical discharges to remove material. In this
process, depending on the machining parameters (gap thickness, voltage, current
density, and pulse on/off time), the material is removed by electrochemical disso-
lution or simultaneous electrochemical dissolution and electrical discharges. The
share of discharges in the removal process is directly connected with the intensity of
the electrochemical reactions. When the electrochemical process is carried out close
to critical state, the electric current flow generates Joule heating, the electrolyte
begins to boil and evaporate, and gas–vapor layer is created near in the gap. Finally,
electric discharges occur, and the material is removed in a typical way for the EDM
process. The electrical erosion is localized in areas of the workpiece where the
current density is higher than the critical value (it depends on gap thickness) and for
the rest of the surface, the metal dissolves electrochemically. The benefits of this
process are a significant increase of the material removal rate in comparison to
ECM and EDM, respectively, and decrease of tool wear in comparison to EDM.
Electrochemical discharge machining can be used in different kinematic variants,
although hole drilling and die sinking are preferred [30].
Electrochemical Methods of Micropart’s Manufacturing 33

4.1.4 Jet-Assisted Electrochemical Machining

In Jet-ECM, the cathode tool is created by small nozzle which ejects electrolyte with
high pressure (jet velocity in range of tens of m/s). The jet has well-defined geometrical
shape (which can be treated as a tool), which hits the workpiece in perpendicular
direction to its surface. In this process, the dissolution is restricted to limited area of the
jet and high current densities, local material removal and high localization is achieved
[31, 32]. In some application, to form closed electrolytic jet, this process is assisted by
surrounding air [33], or to enhance material removal, electrolyte-guided laser beam is
applied [34]. Due to excellent supply of fresh electrolyte and efficient removal of
dissolution products in Jet-ECM, continuous voltage can be used. Jet-ECM allows to
machine microstructured planar surfaces and complex three-dimensional shapes by
changing position of nozzle and adjusting electric current.

4.1.5 Laser-Assisted Electrochemical Machining

The combination of the laser radiation and electrochemical impact on the machined
material can be applied as combined process (see next paragraph) and as a hybrid
machining process. The anodic dissolution begins, when the energy of the metal ions
become higher than the desired reaction activation energy Ea. This energy is deter-
mined by the electrical potential and surface temperature. At a higher temperature,
there is a greater proportion of electroactive ions with the energy E  Ea; therefore,
changing the surface temperature leads to increase of current density on the work-
piece–electrolyte interface. This effect is described by exponential Arrhenius equa-
tion, so increase of workpiece surface temperature results in several time current
density increase (Fig. 10) [35]; therefore, the selective workpiece heating gives
possibility to localize the dissolution. According to [36], the best choice for workpiece
surface heating in ECM is green laser with wavelength in range 470–560 nm.

Fig. 10 Effect of workpiece surface temperature increases on current increase, DT = 60 K, laser

beam waist w0 = 1.8 mm (i0—current density during electrochemical process without heating, i—
current density during electrochemical process thermally enhanced)
34 S. Skoczypiec

Fig. 11 Photographs of cavities machined during: a electrochemical sinking, b electrodischarge

sinking, and c sinking when using the EC/EDMM sequence [42]

In case of material removal, the most effective solution is application of elec-

trolyte jet-guided laser beam. After using effective solution, De Silva et al. [34]
found higher material removal rate in axial rather than in lateral direction with
improvement in dimensional precision. In addition to the localization effect, the
laser beam favors surface depassivation, what improve machining of passivating
materials like titanium, aluminum alloys, or stainless steel. Application of laser
assistance improves material removal rate for these materials up to 50% and
improves shape accuracy (noticeable reduction of overcut occurs).
Due to much higher activation energy, the most promising is introduction of the
laser beam in the electrochemical deposition process. In this case, laser assistance
results in almost a thousand times increase of deposition velocity. Typical example
of such effective laser application is described in [37]. The copper anode is
immersed in mixture of CuSO4, H2SO4, and HCl with 5 mm distance from cathode
surface. The interelectrode voltage value is set slightly below the copper deposition
border, and then the workpiece surface has been selectively heated with application
of DPSS green laser. In these areas, the copper deposition occurs (layer thickness
about 10 lm).
The potential application of laser-enhanced electrochemical machining is
workpiece surface structuring, especially for biomedical and bearing applications.
With laser-enhanced ECM, fabricate series of micrometer-sized cavities of different
size, shape, and separation distance is possible, that can be useful for the changes of
such surfaces’ functional properties.

4.2 Sequential Electrochemical Micromachining Processes

4.2.1 Laser and Electrochemical Processing Sequence

In sequential integration of laser and electrochemical machining, the laser is used

for positive or negative workpiece surface masking. The process is carried out in
similar way to the lithographic one, but instead of series of chemical treatments, the
Electrochemical Methods of Micropart’s Manufacturing 35

laser radiation is applied. In positive masking, it takes place in four steps:

anodizing, laser masking, electrochemical dissolution, and ultrasonic cleaning [37,
38]. In negative masking, as the result of the laser impact, thin layer of noncon-
ductive oxides (Cr2O3, FeO, and Fe2O3) and some structural changes on the
workpiece surface occur [40, 41]. These areas are characterized by significantly
lower electrical conductivity, and therefore, ratio of electrochemical dissolution is
smaller in comparison to native material. Thanks to fiber optics, and technological
equipment positive laser masking and electrochemical dissolution can be carried out
on the same machine tool. Over lithographic methods, this process has following
advantages, i.e., relatively inexpensive way of mask registration (masking takes
place in air, no major requirement for room cleanliness), environment-friendly
processing (significantly less chemical agents), and greater process flexibility (the
process is more effective in short and prototype series). But the main disadvantage
compared to lithography is relative long time of mask registration (tens of minutes).

4.2.2 Sequential Electrochemical—Electro Discharge Processes

The characteristics of electrochemical and electrodischarge micromachining as

presented in [42] indicate the number of essential complementary advantages and
many similarities between both processes. Therefore, in the recent years, many
ways of electrochemical and electrodischarge machining combinations in one
sequence have been proposed. The presented research has been focused on applying
electrochemical treatment to improve the surface layer quality of EDM-ed micro-
parts [43–47]. These ideas include the realization of processes in sequence on the
same machine tool and with the same electrode, although the differences concern
power supply and the working fluids medium system. In [43], the milling kinematic
sequence was carried out with the application of different working fluids and
independent power suppliers for EDMM and ECMM. For such system, the removal
of 13 µm allowance thickness during ECM finishing gives the possibility of
decreasing EDM-shaped surface roughness from Ra = 0.707 µm to 0.143 µm. In
addition, the recast layer, burrs, craters, and micropores are removed. The results as
presented in [44] also show that correct drilling sequence design allows machining
efficiency to be improved by 9.2 times with simultaneous improvement of hole
precision and shape accuracy. The other approach is to apply the same machining
liquid (partially deionized water) and the same power suppliers. In such case, nature
of machining (ECMM or EDMM) results from the appropriate process control
(change from EDMM to ECMM can be achieved by the decrease of power supply
capacitance and electrode feed rate [46]). Such strategy gives the possibility to
improve Ra from 1 to 0.6 µm in sinking and from 0.9 to 0.2 µm in ECMM
followed by EDMM milling operation. In literature, EDMM and ECMM were also
carried out with the same pulse voltage signal (voltage amplitude 60 V, frequency
500 kHz, and duty factor in range 0.25–0.4) [47]. The developed control strategy is
based on an electrode tool feed rate which ranges from 50 to 10 µm/s. In the case of
50 µm/s, the electrical discharges dominate in material removal mechanism due to
36 S. Skoczypiec

small interelectrode gap, while reducing the feed rate to 10 µm/s promotes material
dissolution and reduces the surface roughness to Ra = 0.022 µm. In sequence
EDMM followed by ECMM, one disadvantage is a decrease in accuracy and edge
rounding during the ECMM finishing in comparison to the part machined by
EDMM. To minimize this effect, an application of 704-silica side-insulation elec-
trode tool was proposed in milling operation [44]. This gave the possibility of
minimizing hydrogen bubble generation on the electrode sidewall and allowed to
obtain uniform side-machining gap.
Carrying out ECMM followed by EDMM on the same machine tool allows for
an essential reduction of the disadvantages and enhances the advantages of both
methods [42]. Application of the ECMM -> EDMM sequence allows for an almost
double decrease in the machining time in comparison to EDMM (Fig. 12a).
Additionally, the mean edge radius of cavities is significantly smaller than that in
ECMM (Fig. 12b). It is also worth to underline that the thickness of allowance
machined in EDMM phase is only 100 µm; therefore, the effect of tool wear on the
cavity shape is negligible (Fig. 13).

Fig. 12 Comparison of
machining time (a) and mean
edge radius and cavity depth
(b) for the ECM, EDM, and
ECMM followed by EDMM
sequence (machining results
presented in Fig. 11) [42]
Electrochemical Methods of Micropart’s Manufacturing 37

Fig. 13 Photographs of the electrode tool after: a ECMM, b EDMM, c an improperly designed
EC/EDMM machining sequence, and d a properly designed EC/EDMM machining sequence of
the cavity presented in Fig. 12 [42]

5 Summary

In this chapter, specificity of electrochemical micromachining and recent trends in

this area are addressed. The special attention was paid to developments and limi-
tations connected with shaping accuracy increase. In this area, the most promising
are (i) application of voltage pulses (in range of milli-, micro-, and nanoseconds)
and (ii) integration with other technologies/energy sources in complete or hybrid
machining process. In both of these areas, significant progress in recent years has
been observed that makes ECM a very attractive micromachining technology. The
preferred application areas for electrochemical micromachining include: (i) ma-
chining of microholes with circular or polygonal cross section; (ii) surface struc-
turing to improve structural and tribological properties of parts for medical
applications, bearing, or tooling industry; (iii) manufacturing of 3-D structures,
tools, (i.e., micromolds), parts of technological tooling, and prototypes of MEMS
parts.

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Precision Photochemical Machining

Atul R. Saraf, Shivam P. Yadav and M. Sadaiah

Abstract This chapter describes the role of photochemical machining (PCM) in

micromanufacturing and discusses the critical issues in this process. The compet-
itive market has witnessed a rapid increase in demand of low-cost microcompo-
nents and microproducts in various industrial sectors including medical implants,
optics, automotive, electronics and biotechnology. Photochemical machining is a
low-cost process for the manufacturing of such miniature components and parts.
Photochemical machining requires chemically stable resist mask with superior
adhesion quality. The photoresist chemistry and image development technology
plays an important role in precision manufacturing. This chapter has reviewed the
development of photoresist chemistry and image development technology which
improves the performance and yield. The chemistry of photoresists is very complex
due to the different components and the component characteristics required for each
photoresist. This chapter explains the role of oxygen, photoinitiator, free radical
formation and exposure time in photoresist. Review of the various assisted pro-
cesses of PCM such as magnetic field-assisted PCM and ultrasonic-assisted PCM is
discussed.

A.R. Saraf (&)

Mechanical Engineering Department, Chh. Shahu College of Engineering,
Aurangabad, India
e-mail: [email protected]
S.P. Yadav
M. Sadaiah
Mechanical Engineering Department, Dr. B. A. Technological University, Lonere, India
e-mail: [email protected]
M. Sadaiah
e-mail: [email protected]

© Springer International Publishing AG 2018 41

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_3
42 A.R. Saraf et al.

Keywords Etching

Image development
Microfluidics
Photochemical


machining Photoresist

1 Introduction

Photochemical machining is tightly controlled selective corrosion technique which

produces burr-free and stress-free flat metal components through photochemical
production mask. Ultra-precise, complex, stress-free and burr-free miniature com-
ponents of biocompatible materials can be produced in a relatively short time. PCM
industries working together with leading companies in the medical industry deliver
high-quality and high-precision metal parts. It is applied in a broad range of
industries and applications where high precision is needed. Critical shapes can be
easily produced from imaginations to actual and from prototype to a large-scale
production.
In the photochemical machining process, a phototool is used, which is a clear
polyester sheet with black lines and therefore contains the master image pattern.
The photochemical machining process is used for fabricating thin gauge metal and
ceramic or glass parts. The thickness of the part ranges from 0.001 to 0.080
in. depending on the type of metal. This phototool allows transference of this image
on the photoresist. After the development of the parts of the images, and washing
away the uncured “resist”, the metal about the part is dissolved using an etching
chemistry [1]. With constant development of medical science, the medical industry
and healthcare industry see tremendous growth opportunities as well as challenges.
Traditional manufacturing processes such as stamping, EDM, waterjet cutting and
laser cutting can no longer meet the demanding requirements the industry faces
nowadays. Photochemical etching, on the other hand, turns out to be the perfect
technology that enables continuous innovative development in medical and
healthcare application. Applications of PCM products include microneedle, hearing
aid, medical saw, medical blade, vascular stiffener, contact, grid, mesh and all kinds
of electrical parts in medical devices.

2 Need of PCM

The resulting part from the photochemical process has no deformation or burr in the
workpiece. PCM process provides an inexpensive, flexible and fast way to man-
ufacture a wide variety of precision microcomponents. Phototool replaces con-
ventional dies and tools. These phototools can be rapidly generated and
inexpensively regenerated. Since the phototool operates like a stencil, there is no
“tool wear” that needs to be monitored. Hence, PCM is an attractive alternative.
PCM offers several advantages over conventional methods such as low-cost tooling,
stress-free and burr-free, high accuracy and complexity, fast prototyping,
Precision Photochemical Machining 43

complexity without cost, unaffected material properties, easy processing of high

strength materials and high flexibility [2].

3 Steps in PCM

The process of photochemical machining can be classified into four major stages:
manufacturing of the phototool, coating of the cleaned metal part with the pho-
toresist, processing of photoresist and the etching process. Figure 1 depicts the flow
chart of PCM steps. It elaborates that the manufacturing of the phototool and the
coating of the photoresist can be carried out simultaneously.
The following steps are used in the PCM.

3.1 Phototool Manufacturing

It starts with the generation of the artwork in a 2D CAD file after which artwork is
downloaded on a laser imager which exposes the required image on the photo-
graphic film. This exposed film is then developed. Thus, film areas become opaque
which are exposed by the laser imager to UV light, while the transparency is
observed in unexposed areas. Basically, a phototool is a clear polyester sheet with
black lines and therefore contains the master image pattern. This phototool allows
transference of this image on the photoresist. In PCM, double-sided phototool is
usually manufactured, as etching is usually carried out on both sides of the metal
foil simultaneously in order to reduce undercutting phenomenon. Phototools allow

Fig. 1 Step-by-step photochemical machining process [3]

44 A.R. Saraf et al.

fine details to be obtained, and the shape of the part can be changed very easily.
Thus, modifying some details of the part is not a problem because phototools are
relatively inexpensive.

3.2 Photoresist Coating

The first part of this stage is to clean the metal surfaces prior to having the pho-
toresist applied. The cleaning operation aims to remove any substance which is at
the surface of the metal. Indeed, oil or grease could prevent good adhesion of the
photoresist on the metallic surfaces. Two main methods are considered in industry.
The first one is mechanical, in which slurry is sprayed on the sheet. Basically, the
slurry is formed of a mixture of abrasives with water. The limitation of this method
is the metal thickness because good results are not achieved with very thin gauge
metal. The second one is chemical; the most common processing cycles involve:
(i) alkaline or emulsifying soak cleaner to remove organic contamination metals;
(ii) water rinse; (iii) acidic removal of inorganic contaminants; (iv) water rinse and
drying.
It can be noticed that a good solution for checking whether or not the cleaning is
efficient is to spray water on the “clean” metal surface and determine whether a
uniform and continuous thin film of water forms over the surface. This phenomenon
indicates an efficient cleaning. Once the metal cleaning is done, the photoresist can
be applied to the dried metal. The photoresist is liquid photopolymers which have
their chemical structures altered by exposure to UV light. Two kinds of photoresist
exist, positive-working resists and negative-working resists. Basically, negative
resists harden and strengthen during UV exposure, and positive resists degrade
during UV exposure. Negative-working resists are most commonly used. Many
photoresist coating processes exist in the PCM industry, but the most accurate
method is roller coating using a grooved or structured roll.

3.3 Photoresist Processing

Before being exposed to the UV light, the substrate coating looks like a sandwich as
shown in Fig. 2. It can be noticed that there is no polyester layer because Fig. 2
represents a liquid resist coating. In the case of a photoresist coating, a polyester
layer would be between the negative-working photoresist and the phototool.
During exposure, misalignment occurs on double-sided exposures. Once the
whole assembly is in contact, it is exposed to UV light. By considering a
negative-working resist, the photoresist will harden where the phototool areas are
transparent, whereas the unhardened photoresist (i.e. areas which were protected by
the phototool) is then washed away by using an aqueous solution. Then, the pro-
tective film (polyethylene terephthalate) has to be removed if a dry photoresist is
Precision Photochemical Machining 45

Fig. 2 Processing of photoresist in photochemical machining

used. The next step is to remove the unexposed photoresist from the material
(development process). This consists in spraying the exposed material with sodium
carbonate-based solution.

3.4 Workpiece Etching

Etching is the process where the metal is machined. It consists in using an etchant
solution which dissolves the metal. Currently, ferric chloride is extensively used; it
has a low toxicity and can be recycled tool. The etchant has to be inexpensive,
environment-friendly and able to attack most of the metals. Several etchant solu-
tions can be used such as nitric acid, Dutch mordant, and ferric chloride. An
important characteristic of the etching process is the etch factor. It consists in
dividing the depth of etch by the undercut as shown in Fig. 3.
This ratio is dependent on the depth of etch and process chemistry. This is used
to achieve an accurate shape of the part. Moreover, it is more productive if the
etchant is sprayed perpendicular to the workpiece, involving a chemical process
only based on a diffusion phenomenon. It can be noticed that the etch rate slows as
the edge profile becomes vertical. Once the workpiece has been etched, the last step
is to remove the photoresist by using a chemical solution in which the stencil
dissolves.
46 A.R. Saraf et al.

4 Fine Line Challenges (Precision) Requirement

PCM technique is used to produce thin metal sheet parts with complex features.
Chemical industry utilizes the PCM technique for producing the microparts, shapes
and features (shown in Fig. 4) which requires close control over the process
parameters to get fine line over the substrate. The main parameters are image
development, fine line etching and stripping, cleaning and lamination, materials and
equipment for the development of fine lines.
In old days, companies such as Boeing, EchoStar, Rockwell, IBM, Delphi
developed the technique for producing very small lines and spaces. Figure 5 shows
the developed PCB with 38-µm line and 76-µm hole. Latest technologies have
demanded the production of board with line and spaces as small as 10 µm for the
mass production.

Fig. 3 Expression for the undercut (A–B)/2

Fig. 4 Precision microfeatures made by PCM

Precision Photochemical Machining 47

Fig. 5 PCM board with 38-lm line and 76-lm holes [3]

Fig. 6 a Side etching of normal copper substrate b very straight 25-µm line [3]

At the stage of image transfer, if the imperfections or burr are present over the
tool surface, it will get transferred over the substrate, resulting in defected image
transfer over the substrate. Also, the presence of dust particles and moisture
influences at the stage of exposure or transfer of the image.
The undercut from etching distorts the shape of track as much as 50 µm. Etching
takes place in both the direction results in sidewalls getting damaged as shown in
Fig. 6.
48 A.R. Saraf et al.

5 Photoresist Adhesion for Fine Line

While manufacturing fine line or precise features involve an integrated approach to

imaging, the PCM process requires better adhesion between photoresist and work
surface. While photoresist coating, variables and their relative importance on
adhesion are addressed, also the surface preparation of the work material goes
through critical processes with the photoresist coating. Optimum photoresist
adhesion requires special tools and processes on the work surface. There are several
changes in surface preparation and substrate construction which are partially driven
by cost and pressure required to establish the capacity to handle and clean thin
cores [3]. Metal preparation is the initial step in photochemical machining. Clean
surface is important to obtain the better adhesion with resists. Better adhesion
depends upon the pre-etching step, conversion coating, physical cleaning and
chemical cleaning.
Photochemical machining requires chemically stable resist mask with superior
adhesion quality. The photoresist chemistry and image development technology
plays an important role in photomask quality. The development of dry-film pho-
toresist chemistry and image development technology improves the performance
and yield. The chemistry of dry-film photoresists is very complex due to the dif-
ferent components and component characteristics required for each resist. The role
of oxygen, photoinitiator, free radical formation and exposure time plays an
important role in dry-film resist.
The photoresist chemistry and the patterning technique play a vital role in
accuracy and geometrical features of microsystems and patterning. The basic steps
of photoresist coating, exposing of photoresist and image development are same as
that of photolithography. In addition to this, electrodeposition requires photoresist
with high chemical stability and superior adhesion. Therefore, this investigation
deals with the requirement of resists and photoresist chemistry.

6 Dry-Film Resist

The development of dry-film resist system may be divided into two groups:
(1) processing performance, including physical characteristics of dry film such as
colour, and processing chemicals and (2) product performance, e.g. resolution, used
as a plating and/or etching resist.
The advancement of aqueous dry-film technology has always been led by the
need for a cheaper and more environmentally safe process. In recent years, far more
research time has been dedicated to aqueous dry-film technology than to solvent or
semi-aqueous systems. This is partly because of great difficulties in trying to
achieve the perfect aqueous product. So, why shouldn’t an aqueous resist perform
as good as a semi-aqueous or even a solvent resist?
Precision Photochemical Machining 49

To answer this question, it is worth considering the various tasks required of a

resist: (1) it must first laminate onto a variety of work surfaces, cleaned with one of
several types of surface preparation. (2) The product then must perform consistently
on a variety of light sources for exposure. (3) The developing of the dry film must
take place in a selection of equipment. (4) At this stage, the resist must withstand
etching or plating solutions.
With aqueous resist systems, it is at present very difficult to produce a product
which combines optimum performance in all characteristics, i.e. a universal resist. It
is also very difficult to combine chemical properties with individual physical
properties. For example, if gold plating performance is improved, it is likely that
stripping speed and size will substantially increase.

6.1 Dry-Film Chemistry

The basic film chemistry consists of:

A binder which the rest of the system is built around. The polymeric binder provides
the backbone of the structure. It also provides the physical strength and determines
whether the photoresist will be aqueous, semi-aqueous or solvent process able.

Fig. 7 Reaction mechanisms of photocross-linking, photosolubilization and photosensatization in

photochemical machining
50 A.R. Saraf et al.

A monomer which takes part in the photopolymerization process and undergoes

photopolymerization and/or cross-linking.
A photoinitiator which is activated by light to initiate the photopolymerization
process.
Plasticizers and adhesion promoters which provide physical and performance
characteristics to the dry film.
Dyes provide colour to the film at time of exposure [4].
Several different types of photopolymers are available for use in dry films. The
most common type is the free radical addition polymerization. The primary char-
acteristic of this type of system is that it is oxygen-sensitive. Another type of system
that is available is photosolubilization, which results in a positive-working film.
Characteristics of this system include long exposure times and a positive-working
image. Figure 7 identifies types of photopolymers.

Table 1 Photographic imaging speeds

Process Absolute speed Ergs/cm
Silver halide—high speed 2  106
Silver halide—medium speed 2  10
Electrophotography 1
Photopolymerization 10−2–10−6
Photochromism 10−5–10−6
Diazo and vesicular 10−6–10−8

Fig. 8 Ultraviolet-initiated free radical photopolymerization chemistry

Precision Photochemical Machining 51

Fig. 9 Kinetic mechanism of

photoinitiation in PCM

Table 2 List of Class Sensitivity range (nm)

photopolymerization initiator
systems with sensitivity range Carbonyl compounds 360–420
Azo compounds 340–400
Organic sulphur compounds 280–400
Redox systems 300–450
Halogen compounds 300–400
Sensitizing dyes 400–700
Organometallic compounds 300–450
Metal carbonyls 360–440

The photopolymerization process is relatively slow compared to high-speed

silver halide systems; however, it is much faster than diazo- and vesicular-type
systems. Table 1 identifies relative photographic imaging speeds.
During the photopolymerization process, UV light is absorbed by the pho-
toinitiator and a free radical formation is formed. Chain propagation due to reaction
of the free radical with monomers and/or binders initiates and continues the chain
formation. Termination can occur as free radicals are eliminated. Inhibition and
52 A.R. Saraf et al.

termination of the reaction can also occur due to the polymer/monomer/binder ratio.
Figure 8 reviews photopolymerization chemistry and image formation.
Many different types of photoinitiators have been evaluated in dry films over the
years. They include direct addition, fragmentation, hydrogen abstraction, electron
transfer and exciplex formation [7]. Figure 9 provides examples of some of the type
of photoinitiation systems that have been evaluated in dry films.
Photopolymerization initiator systems for dry films are usually selected to match
the spectra output of the exposure units. Many initiator systems are available and
must be carefully evaluated for compatibility with the photoresist chemistry and the
dry-film process [5]. Table 2 identifies classes of chemicals which qualify as
photopolymerization initiator systems.
The role of oxygen must be understood because it affects the polymerized resist.
Oxygen must be consumed during the induction period of exposure. Once the
oxygen is consumed, rapid polymerization occurs and polymerization decreases as
the available monomer is consumed along with available initiator.
The polyester cover sheet functions as a protective barrier from oxygen during
exposure. When the cover sheet is removed, exposure times usually increases if
oxygen is present. Figure 10 shows the role of oxygen during photopolymerization,
and how the effect may be reduced. The cover sheet serves two purposes by remaining

Fig. 10 Role of oxygen in photopolymerization

Na2CO3

C O C O C O C O
+ -
HO H3CO Na O H3CO

unexposed resin

Fig. 11 Development of aqueous resist binder

Precision Photochemical Machining 53

Table 3 Estimated Resist Percentage of total use (%)

consumption of photoresists
for PCM Dry-film photoresist 86
Screen ink 10
Liquid film photoresist 4

on the resist surface through exposure. It protects the resist from physical damage
before exposure and eliminates oxygen from the surface of the resist during exposure.
The process by which the resist forms an image includes the following:
1. UV radiation
2. Photoinitiation and free radical formation.
3. Polymerization and cross-linking of the monomer from the exposed image.
4. During the development, the unexposed areas wash off, leaving behind the
exposed developed image.
During the development process, the binder of aqueous photoresist in the
unexposed areas converts to a sodium salt and washes off. The exposed image is
insoluble to the developer solution and remains on the board to form the circuit
pattern. Solubility of the photoresist increases with increased active sites on the
binder in the unexposed resist areas. Figure 11 illustrates the development of the
aqueous resist binder.
Sodium carbonate in a 1% concentration is the ideal developing chemistry for
aqueous resist. This chemistry is inexpensive, easy to make up, controllable, rel-
atively stable and compatible with the exposed image and has good loading
capacity. Since the introduction of aqueous films in 1970, aqueous solutions have
included trisodium phosphate and various concentrations of sodium carbonate.
Today, the dry-film chemistries are optimized for the development in solutions with
a 0.5–1.0% sodium carbonate concentration.
Aqueous dry-film chemistry has been optimized during the last 40 years so that
aqueous resists can be used for pattern plating, print and etch, fine line resolution
and tenting applications. Dry-film suppliers have fine-tuned aqueous dry-film
chemistry to match industry needs. The estimated consumption of various types of
photoresist in PCM industries is given in Table 3.

7 Exposure Techniques

Once the photoresist is applied over the surface of the substrate, the next step
involved is transferring of the image from phototool over the substrate by using
different exposing techniques.
Contact printing is the common method of imaging PCB. Contact printing
involves the transfer of an image template (phototool), consisting of transparent and
opaque areas, into a polymerized resist pattern by radiating UV light through the
transparent areas of the phototool to initiate photopolymerization. Polymerization is
reasonably well limited to the exposed resist areas, if two conditions are met:
54 A.R. Saraf et al.

inhibitor levels in the resist are sufficiently high to provide a threshold against
unwanted polymerization in non-exposure areas due to scattered radiation, and
polymerization kinetics are fast compared to the speed of inhibitor migration. This
exposure process works well if the light is collimated (parallel), if it is perpendicular
to the exposure plane (no declination angle) and if the light is not scattered.
However, these conditions cannot be perfectly met, and some radiation reaches
non-exposure areas where it causes some degree of polymerization. This unin-
tended partial exposure can be minimized by bringing the phototool in very close
contact with the resist and by eliminating sources of scatter along the light path [5].

7.1 Exposure System

The circuit densities continue to shrink, and this challenges the capability of PCB
fabricators. Most manufactures of UV exposure equipment claim excellent fine line
resolution on dry-film photoresist as used during primary image processes.
Conventional UV exposure system makes use of vacuum evacuation to achieve
hard contact between phototool and resist coated substrate. To get the fine line
resolution, the equipment should have following features:
(a) A high capacity vacuum system for achieving the hard contact.
(b) Good uniformity of light intensity across the entire exposure plane.
(c) Filtering out unwanted infrared radiation.
(d) A cooling system to minimize heat build-up within the exposure system in
order to minimize temperature rise and distortion of phototool.
Fine line resolution is mainly dependent on the UV light intensity and feature of
light collimation. High declination angle ensures that phototools are opaque and
clear areas will be accurately reproduced on photoresist. Collimated light eliminates
trace nose and poor adhesion characteristics in developed photoresist lines.

7.2 Trends in Image Transfer

In case of conventional printing, some problems occur, such as working on fine line
challenges, image development due to defects, dirt or any other unwanted part,
radiation in unexposed areas. These problems are preventing by using laser direct
imaging and projection imaging technique, but these techniques are not yet usually
used.
Precision Photochemical Machining 55

7.2.1 Collimated Exposure Systems

The parallel sets of the rays of light which has the capability to spread slowly as the
rays propagate are known as the collimated light. As the distance increases from the
point source, flattening of the spherical wave fronts takes place leading it to become
flat and approach it nearer to the plane waves that are collimated perfectly.
Collimated light is produced by using a point source lamp. In most cases,
high-pressure xenon bulb is used. The collector is placed near to the lamp. The UV
light is passed through light integrator and concentrated over the collimating mirror,
where the divergence angle of beam is removed and parallel light rays are reflected
to the work area [5].
Drawbacks while using collimating exposure system are as follows:
(a) Reflective surface that is used on highly collimated exposure system is very
unstable. This will cause uniformity problem, which leads to under- or over-
exposed areas on a circuit board.
(b) Collimated light provides point-to-point print on substrate/board; therefore, any
dust particle or scratch on the phototool will be printed. Hence, the system is
required to maintain at clean atmosphere.
(c) Highly collimated unit exposes a blue light which can only be used for primary
imaging. This light cannot be used for solder mask.
(d) The use of high-pressure mercury xenon lamp is subjected to explosion.

Fig. 12 Scheme of LDI system connections [7]

56 A.R. Saraf et al.

7.2.2 Laser Direct Imaging

The growing demand for better efficiency and miniaturization of electronic devices
and components has a significant effect on the needs facing the PCB industry and
the application which require precise dimensioning. PCB manufacturers are driving
to produce high-density HDI boards while significantly reducing execution time
and cost. Microimage development of MEMS and NEMS possesses a rapidly
increasing challenge for photochemical machining manufacturers due to line width
and space having tighter and smaller registration requirements. Present methods are
unable to provide the perfect solution. Currently, LDI technology is widely using to
face these problems. LDI is a method of developing image directly on the pho-
toresist without use of phototool [6, 7].
In LDI, as per design of microcomponent, the scanning of the photoresist surface
is carried out with help of computer-controlled system as shown in Fig. 12. The

Fig. 13 Different submicron images developed by LDI [7]

Fig. 14 Patterns on PCB [7]

Precision Photochemical Machining 57

laser scanning is used to create UV expose to the photosensitive resist. The LDI
provides better alternative to contact printing, with image exposing time closer to
the contact printing. Production rate of present LDI with combination of high-speed
resist is 60 double-sided high-density panel per hour.
The significant benefits of LDI method are as follows:
• Elimination of the defects in printing and due to phototool.
• Possibility of eliminating or reducing effects of humidity and temperature on the
image/parts and minimizing the ingress of dust due to the controlled environ-
ment within the laser imaging systems.
• Due to small size of laser beam, improved resolution of image developed.
• Submicron features are easily developed.
• Due to mask-less system, the steps are reduced in imaging conductive pattern on
PCB.
Laser direct imaging method removes the use of phototool, which creates major
problems in fine line imaging, especially as the phototool moves anisotropically
with humidity and temperature changes. The different patterns developed by the
LDI are shown in Figs. 13 and 14.

7.2.3 Projection Imaging

A projection imaging is the best-known method that has become the standard
practice in integrated circuit imaging, and now, it is introducing to PCM. In
projection-type exposure, one can distinguish between traditional photomasks that
have a permanent image [5]. The schematic diagram of the projection imaging is
shown in Fig. 15.

Fig. 15 Projection imaging step and repeat [3]

58 A.R. Saraf et al.

Fig. 16 Contact-type exposures with vacuum frame [3]

7.2.4 Contact Printing

Using the spacer or shims, bleeder strips, bleeder veins and channels are formed.
Vacuum frames placed over glass-to-glass fixtures are shown in Fig. 16. In addition
to making bleeder channels, spacer or shims in glass-to-glass fixtures are used to
prevent the breaking of the glass in case of large difference between the panels on
the glass size.
The refraction of light by textured pattern negatively affects the resolution,
which is a disadvantage of textured cover sheets. The removal of dirt and the
visibility of dirt from the cover are difficult in textured pattern. To provide an air
path from the perimeter of the phototool/panel package to the vacuum port, the
proper positioning of bleeder strips is necessary. In its absence, premature gas seal
formation around the panel leaves air trapped between the phototool and the panel
[3, 5]. In conventional UV exposure, the phototool is placed in direct contact with
photoresist with the help of vacuum frames so that the off-contact exposure is
avoided. The air is removed through vacuum ports for creating the vacuum. To
prevent the entrapping of air, the air channels to these ports must be kept open.
Precision Photochemical Machining 59

Fig. 17 Spray impacts of different types of spray nozzles

8 Developing

8.1 Developer Control Parameters

To achieve high yields, resolution, good circuit line definition (sidewall) and line
uniformity, the control of photoresist aqueous development is extremely important.
The process parameters and critical equipment features are interdependent and
linked. Some of the features and process variables include the following: resist
loading, quality of water, temperature, concentrations, spray pressure, pH, devel-
opment time, break point, drying parameters, post-development rinsing and resist
loading. These parameters are important, and some are relatively easy to control
within the required limits (e.g. temperature and time).

8.2 Developer Sprays

The different spray actions are available—each with their own advantages and dis-
advantages. There are fixed spray nozzle arrays, spray bar arrays that oscillate back
and forth transverse to the machine direction and stationary bars that pivot along a
fixed axis, resulting in a spray pattern with oscillating angles shown in Fig. 17.
Achieving a uniform spray pattern across the entire surface of the
substrate/board is one of the primary objectives. Additional, high-impact spray
action helps to improve the developer chemistry with better mechanical erosion of
the photoresist and replenishment fluid dynamics. For reducing the thickness of the
60 A.R. Saraf et al.

Table 4 Various etchants and their use [1, 8, 14]

Sr. Etchant Materials
No.
1 Sodium hydroxide Aluminium, anodized aluminium
2 Acidified cupric Copper and its alloys, brass and beryllium copper
chloride
3 Acidified ferric Stainless steel, nickel, Inconel 718, Nimonic, Monel 400,
chloride phosphor bronze, brass, copper and its alloys, invar, Kovarr
4 Alkaline potassium Aluminium, Molybdenum and tungsten
ferricyanide
5 Hydrofluoric acid Glass, titanium, Hastey Alloy, beryllium, cobalt–chromium,
and niobium

stationary liquid boundary layer, high surface velocity of the developer solution is
required. This is largely determined by spray pressure and nozzle-type selection.
The highest yield was achieved by direct fan nozzles, whereas cone nozzles give
lower impact, and deflector fan nozzles provide the least impact. The direct fan
nozzles are mostly used.
For randomizing the shadowing effect, guide wires are oscillated. The resist
features that form during the development process can also shadow sprays and
interfere with clean, complete development. Close attention to the developing
chemistry and its control and process equipment design are critical to achieving
clean blind holes and straight sidewalls of the through holes.
For improving the etch factor at very low free acid normality, controlling acid
etchants is necessary. This is inline with the work that portrayed that instead of HCl,
NaCl as a source of chloride ions in acid etchers results in an improved etch factor
by complexing the copper salts and keeping them from precipitating. The etch
factor is highly dependent on the etch chemistries. Acid etchants give more
favourable etch factor than alkaline etchants. Some investigations show a less etch
factor with cupric chloride than ferric chloride, but outcomes are not always con-
clusive [8–10].

9 Etching

In photochemical machining process, the etching stage is the major machining

step. Careful attention is provided to achieve controlled etching of the complex
geometries. The fabricator must ensure excellent adhesion of the resist to the sur-
face of the substrate so that the action of the etching chemistry does not cause
excessive undercut or lead to removal or lifting of the resist. In microcomponent
manufacturing, various problems are linked with etching, few are independent, and
few are interrelated [11]. Some of the common etching problems are undesirable
Precision Photochemical Machining 61

Table 5 Tolerances in photochemical machining

Materials thickness (T) General tolerance achievable Hole/slot size
0.025–0.050 ±0.020–0.025 0.1000–0.1018
0.050–0.1000 ±0.020–0.025 0.1000–0.1018
0.100–0.125 ±0.020–0.025 120% T
0.125–0.150 ±0.020–0.025 120% T
0.150–0.200 ±0.030–0.0325 120% T
0.200–0.250 ±0.030–0.0325 120% T
0.250–0.500 ±12% T 120% T
0.500–1.000 ±12% T 120% T
1.000–2.000 ±12% T 120% T
All dimensions are in mm

lateral etching, top-to-bottom variation due to pudding effect, etch variation due to
obstruction in the way, variation in etch rate due to phototool/image pattern.
It has been found that controlling acid etchants at very low free acid normality
improves the etch factor. Some of the research findings also showed that by using
NaCl instead of HCl as a source of chloride ions in acid etchers results in an
improved etch factor by complexing copper salts and keeping them from
precipitating.
Different etch chemistries result in slightly different etch factors. Alkaline
etching typically yields a less favourable etch factor than acid etchant. Some studies
show a better etch factor with ferric chloride than with cupric chloride, but results
are not always conclusive [13].
In PCM, ferric chloride (FeCl3) is most prominently used etchant. The primary
role of the etchant is to attack and remove unwanted metal from selected area.
Table 4 shows the various etchants and their use.

10 Tolerances in PCM Process

The summary of the range of tolerance for the different material thickness in
photochemical machining is shown in Table 5 [8–15].
The width and length follow the same rules. In general, it is considered for
dimensions 1.2 thickness and 12% of thickness for tolerance.
62 A.R. Saraf et al.

Fig. 18 Effect of magnetic field on the PCM process

11 Magnetic Field-Assisted Photochemical Machining

A chemical reaction performed in a controlled strategy by the association of the

etchant with the metallic components is known as photochemical machining.
Generally, the magnetic field influenced radical intermediates found as intermediate
products in chemical reactions pave way to alter the product distribution, yield or
rate of the reaction. The molecules having odd number of electrons, accordingly
consists of an unpaired electron spin that may be found in one of 2 spin states: " or
# which represents the involvement of radicals which play a decisive role in
magnetically sensitive reactions. The low lifespan of a radical pair is considered as
an intermediate in a reaction which comprises of 2 radicals designed in tandem with
either parallel ("", a triplet state, T) or antiparallel ("#, a singlet state, S) spins of the
unpaired electrons. The external and internal magnetic fields are influenced by the
magnetic moment associated with each electron spin which in turn is affected by the
chemical fates and interconversion into the S and T states. The interpretation of
these pairs can be performed by engaging the radical pair mechanism. Figure 18
shows the schematic of the effect of magnetic field in PCM process.
FeCl3 is the most commonly used etchant. In the reaction of FeCl3 with stainless
steel, the reaction contains two types of ions, Fe(III) ions and Fe(II) ions, which are
paramagnetic and diamagnetic in nature, respectively. The hypothesis is that the
transportation of all ions in the solution takes place under the influence of a
magnetic field. This transportation takes place owing to the difference in magnetic
susceptibility. The direction of an applied magnetic driving force and velocity of
ions in the chemical reagent is the same as that of the gradient of paramagnetic ions.
Precision Photochemical Machining 63

0.35
60 min,40°C, 600gm/litre
120 min,40°C, 600gm/litre
0.30 180 min,40°C, 600gm/litre

0.25
Etch rate (μm/minute)

0.20

0.15

0.10

0.05

-5 0 5 10 15 20 25 30 35 40 45 50 55
Magnetic field Intensity (mT)

Fig. 19 Variation of etch rate with respect to magnetic field

It is clear that a magnetic field introduces two forces into the etchant—namely
Lorentz force and field gradient force. Movement of the etchant is caused by the
force acting on the moving charge carriers, which is known as the Lorentz force.
This movement improves the mass transport. Due to the force generated by the field
gradient, there is a tendency of accumulation of the paramagnetic particles near the
solenoids.
The sensitivity of a radical pair to an external magnetic field is considered as
bare minimum criteria in terms of chemical reactions. Sensitivity can be stated as
the reaction of at least one of the S and T, while the other pair is not open which can
be granted as the conservation of angular spin moment. The basic requirement at
the formation of opposite spin free radicals is represented by the chemical reaction,
which forms the basis of the construction of a magnetic compass. The step-by-step
individual reactions are as follows (assuming that the radicals are completely
immobile).
From Fig. 19, it is clear that due to magnetic field the etch rate increased as
compared to the usual PCM process. This is due to the reaction between metal and
etchant containing Fe(II) ions and Fe(III) ions that are in paramagnetic in nature.
When magnetic field is applied to the solution, Fe(II) diamagnetic ions moved away
from the coil and Fe(III) paramagnetic ions are attracted by the coil. As a result, Fe
(III) concentration is more near the coil or workpiece (as it is placed near the coil).
As Fe(III) concentration is more near workpiece, it reacts with workpiece. The
formed Fe(II) ions are moved away from the workpiece due to applied magnetic
field. Stirring action takes place automatically due to the presence of paramagnetic
and newly created diamagnetic ions at the liquid and workpiece interface by
64 A.R. Saraf et al.

Fig. 20 Principle of Ultrasonic-assisted photochemical machining

replacing diamagnetic ions formed during the reaction between ferric chloride and
workpiece. This transportation of ions also helps to increase the etch rate [6, 14].

12 Ultrasonic-Assisted Photochemical Machining

Assistance of ultrasounds towards photochemical machining leads to the chemical

reaction caused due to high energy of the ultrasound. Figure 20 represents the
complete lifespan of a bubble starting from its birth, growth and implosive collapse
which is caused by acoustic cavitation in the etchants. There is excessive heating of
the bubble during the course of the cavitational collapse leading to the formation of
localized hot spots posing temperatures around 5000 °C and pressures measuring
roughly to be 500 atm and having a lifespan of a few microseconds. Collision of the
interparticle posing high velocities is caused due to the shock waves from the
cavitation in a liquid–solid slurry, and the sufficiently, high energy of the collisions
has the capability to melt most metals. Applications to chemical reactions exist in
both homogeneous liquids and in liquid–solid systems. Metals are produced with a
clean and highly reactive surface with the combination of ultrasound with PCM
which has the special synthetic applications. It is also found that many of the
Precision Photochemical Machining 65

catalytic reactions can be both initiated and augmented with the assistance of
ultrasound in homogeneous as well as heterogeneous mediums.
Acoustic streaming and/or cavitation bubble formation is caused by the effect of
ultrasonic vibration in liquid which depends upon the parameters of ultrasonic
frequency, power, characteristics of sonic source and solution phenomena such as
volatility, viscosity and the presence of dissolved gases or other nucleation sites.
Acoustic cavitation incorporates ultrasound based on physical phenomenon for
specific activation in chemical reactions. The attractive forces in the liquid phase of
the molecule which is destroyed due to the mechanical activation process are called
as cavitation. On application of the ultrasound, the liquid is compressed initially
which is followed by rarefaction (expansion) where gaseous oscillating small
bubbles are formed due to a sudden drop in pressure. Expansion of the bubbles
formed occurs with each outgoing cycle of the ultrasonic energy, and later, they
collide and violently collapse when an unstable size of the bubbles is reached.
It can be observed from Fig. 21 that the etch rate increases with increase in
ultrasonic vibrations in PCM process. The major drawback in the conventional
etching is the formation of oxide layer on the surface of the metal during the
reaction between etchant and metal. As temperature increases, the etch rate
increases but due to natural flow of the etchant, the etch rate is slow and oxide layer
formed on the surface also reduces the etch rate. The oxide particles adhering to the
surface are responsible for the formation of layer on the surface. Some of the oxide

Fig. 21 Variation of etch rate

with respect to ultrasonic
frequency

9
8
7
6
5
4
3
2
1
Ul 35 45
tra 0 50
so 3 5 55
ni 2 )
c 60
Fr 20
eq 6 (°C
e
ue 15 70
5
tur
n c 10 e ra
y
mp
5 75
(K
Hz 0 80 Te
)
66 A.R. Saraf et al.

particles are larger than others and consequently acts as a mask. During an
ultrasonic-assisted chemical etching, due to the cavitation effect, microbubbles are
formed which consists of tremendous amount of energy inside it due to the com-
bination of pressure, temperature and velocity. Bubbles propagate through etchant
and strut near the metal surface. Collapsing of such bubbles is a combination of
erosion and corrosion due to the combination of cavitation and highly corrosive
etchant. From Fig. 21, it is also observed that as the temperature of etchant
increases etch rate also increases (in case of UAPCM). This is due to increase in the
cavitation effect.
In comparison with ultrasonic-enhanced etching and conventional etching, the
etch rate is much higher. As in case of ultrasonic-enhanced etching, the collapsing
of bubble near metal surface is helping to remove or restrict the formation of oxide
layer on the surface of metal and the metal removal is due to the combination of
both erosion and corrosion. Also, ultrasonic gives best stirring to etchant which
improves the etch rate or reaction rate.
In addition to above, with ultrasonic-enhanced stirring, the diffusion process is
accelerated significantly and eliminates the stratification of etchant. The uniform
depth is achieved during etching with the constant etch rate. It is shown in Fig. 21
that the etch rate of SS316L in ultrasonic stirring process is much greater than the
same with no agitation used, keeping temperature and solution same. In many
cases, if sufficiently high-density smut is formed on the surface, the etch rate can
drop in great amount. This explains the decreasing of rate of reaction in addition to
the reflects mentioned in the earlier paragraphs.
Comparing with electrochemical and chemical method, the ultrasonic method is
a mechanical one and could be well adopted to many etchants with no adverse
effects on the reagent and the process which is hugely advantageous to PCM.
Hence, synchronising with chemical etching, it gives more satisfactory results [6–
13].

13 Grey Photochemical Machining

There is wide range of growing importance to the microstructures in

three-dimensional (3D) features with generative power in the miniaturization of
fluidic or mechanical devices, elements of optics, tissue-engineering scaffolds and
components with capability of self-assembling, in between them. The widely used
technique for microdevice fabrication is the traditional PCM which is not suitable
for the fabrication of 3D components as its principle of working lies on the concept
of “photomask”-assisted illumination of the layer which is photosensitive (a plate
which is transparent but contains solid-state, unalterable, opaque features) that
results in unavoidable features of non-deviating height.
Precision Photochemical Machining 67

PCM considers the criticality of the size of fabrication which technically sym-
bolizes huge mainstream of microdevices including microelectromechanical system
(MEMS), microfluidic devices, microelectronic circuits and protein
microarrays/nucleic acid. Illumination with the help of UV light of the thin pho-
tosensitive layer (“photoresist”) providing a mask to the portions containing opaque
features (e.g. ink emulsion or metal) on a transparent background (e.g. plastic or
glass) is all the contents comprising of PCM. The two basic and fundamental
limitations imposed by photomasks on the production of features are as follows:
(i) the illumination process results in all—or—none exposure to non-deviating
height features of the photoresist; hence, the microstructures of three-dimensional
(3D) features for its fabrication by traditional PCM involve steps that require
multiple exposure/alignment steps. (ii) Features of photomask are existing perpet-
ually, and thus, alterations in the design demand the (slow and costly) fabrication of
an entirely new photomask, however a foremost obstacle in the investigation set-
tings consuming quick reversal of the microdevice prototyping.
The major task is to eliminate the use of multiple exposure/alignment steps. This
developed novel technique of photochemical machining using colour phototool for
the development of the three-dimensional (3D) microstructure. The realization of
controlling the three-dimensional (3D) photoresist structures may be done by the
transmitted UV light intensity in a process termed grey phototool-based photo-

Fig. 22 Top-down schematic of grey photochemical machining

chemical machining.
68 A.R. Saraf et al.

Fig. 23 Grey phototool and 3D pattern developed by the grey PCM

Traditional phototool comprises of black and white colour, which implies the
white colour is unable to absorb any UV radiations and black which absorbs all
radiations incident on it. The two distinct phases are present on the workpiece
surface, viz. the presence and absence photoresist due to traditional photochemical
etching after the development. It clearly states that the development of photoresist is
clearly based on the theory of absorbance. The absorbance is the ratio of incident
radiation to transmitted radiation through a material. The older technique PCM
requires only the presence or absence of photoresist for etching purpose which
eradicates the use of other colours in photochemical machining appearing in fade
light. The different combination of white and black is having different absorbance
capacity. The wavelength and energy level of main colour are given in Fig. 22. The
effect of various colours on the photoresist exposure reveals that the phototool
comprises of main seven combinations as shown in Fig. 22. The photoresist is
coated on the metal surface which is to be etched. For the development of an image
on the coated surface, the grey phototool and UV rays are used as shown in Fig. 23.
By using optical meter, the measurement of the wavelengths of UV light passing
through different colours is quantified. It is clear that the colour of shorter wave-
length absorbs more incident light as compared to colour of longer wavelength.
Currently, PCM on a greyscale can be developed using ultra-high-resolution
“halftone” photomasks, micromirror projection display, scanning lasers,
high-energy beam-sensitive glass photomasks or photomasks with metal-on-glass.
The production of 3D structures collaborates to be enormously useful where the
approach of these greyscales is either to (i) aggravate the costs/turnaround times of
Precision Photochemical Machining 69

PCM standardization or (ii) to permit limited levels on the greyscale. Figure 23

shows the 3D components and grey phototool developed for the PCM process.

14 Conclusions

PCM is extensively used for the manufacturing of components such as integrated

circuit lead layouts, nameplates, printed circuit boards, encoder disc, jewelleries,
microreactor and microfluidics for decorative, aerospace, precision and electronics
industries. This process plays a key role in the manufacturing of micron-size
machined parts. The manufacturing of parts with fine line features is the area of
intense research activity these days. The growing demand of manufacturing circuit
boards with lines and spacing below 1 millimetre is the requirements. The key issue
is how to control the exposure energy and controlled etching in different directions.
Fine line features can easily be achieved by making use of collimated light beams
while exposing the image, controlling the intensity of light beams during exposing,
avoiding the undercuts in etching by controlling etch rate, controlling the thickness
of photoresist over the substrate, properly aligning the phototool with substrate,
using ultrathin foils, etc. Various advanced versions of PCM technique are available
now, such as ultrasonic-assisted PCM, magnetic field-assisted PCM, greyscale PCM
to fulfil the special application requirements. Moreover, various techniques have
been developed to make the processes safe, clean and efficient.

References

1. Allen DM (2004) Photochemical machining: from ‘manufacturing’s best kept secret’ to a $6

billion per annum, rapid manufacturing process. CIRP Ann Manuf Technol 53(2):559–572
2. Wei W et al (2008) Non-traditional machining techniques for fabricating metal aerospace
filters. Chin J Aeronaut 21(5):441–447
3. Farkate S (2015) Fine line challenges in photochemical machining. M.Tech. thesis, Dr. B.A.
Technological University, Lonere
4. Saraf AR (2017) Some studies on the effect of processes parameters in photochemical
machining of SS316L. Ph.D. thesis, Dr. B.A. Technological University, Lonere
5. Pimpin A, Srituravanich W (2011) Review on micro-and nanolithography techniques and
their applications. Eng J 16(1):37–56
6. Nowak MR et al (2013) Laser prototyping of printed circuit boards. Opto-Electron Rev 21
(3):320–325
7. Barbucha R et al (2008) Laser direct imaging of tracks on PCB covered with laser photoresist.
Tech Sci 56(1)
8. Cakir O (2006) Copper etching with cupric chloride and regeneration of waste etchant.
J Mater Process Technol 175(1):63–68
9. Çakır O, Temel H, Kiyak M (2005) Chemical etching of Cu-ETP copper. J Mater Process
Technol 162:275–279
10. Çakir O, Yardimeden A, Ozben T (2007) Chemical machining. Arch Mater Sci Eng 28
(8):499–502
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11. Saraf AR, Sadaiah M (2016) Photochemical machining of a novel cardiovascular stent. Mater
Manuf Process 1–7
12. Saraf AR, Sadaiah M (2013) Application of artificial intelligence for the prediction of
undercut in photochemical machining. Int J Mechatron Manuf Syst 6(2):183–194
13. Saraf AR, Sadaiah M (2017) Magnetic field-assisted photochemical machining (MFAPCM)
of SS316L. Mater Manuf Processes 32(3):327–332
14. Allen DM, Ler LT (1999) Increasing utilisation efficiency of ferric chloride etchant in
industrial photochemical machining. J Environ Monit 1(1):103–108
15. Keskitalo T, Tanskanen J, Kuokkanen T (2007) Analysis of key patents of the regeneration of
acidic cupric chloride etchant waste and tin stripping waste. Resour Conserv Recycl 49
(3):217–243
Nano-Machining, Nano-Joining,
and Nano-Welding

Kush Mehta, Munish Gupta and Priyanranjan Sharma

Abstract This chapter sheds light on the role and use of nanotechnology in
manufacturing. The theme of this chapter is basically focused on nano-machining,
nano-joining and welding, and nano-EDM technologies exploited for the produc-
tion of precision engineered parts and components to cater the need of increasing
global trend of miniaturization. Major nano-techniques in the aforementioned
manufacturing areas, their development, current trend, salient features, and appli-
cations are exclusively discussed in this chapter.

Keywords Nano-machining
Nano-welding
Nano-EDM
Precision

Nanotechnology is a specific area of science which involves the art of manipulating

the materials between 1 and 100 nm. The word nanotechnology was first coined by
the Tokyo Science University Professor Norio Taniguchi in 1974 to describe the
precision manufacture of materials with nanometer tolerances [1]. The particular
field of technology has huge significance because when we consider any material in
nanometer scale it assumes properties that are much different from those when it is
considered in bulk form. The unique importance of this area can provide numerous
applications in all fields of science and engineering [2]. The use of nanoparticles in
cutting fluids for environment-friendly machining [3, 4], manufacturing of
nano-composites [5], and fabrication of nano-devices to be used in some important
energy and electronic-based applications has demonstrated the importance of

K. Mehta (&)
Mechanical Engineering Department, School of Technology,
Pandit Deendayal Petroleum University, Raisan, Gandhinagar, India
e-mail: [email protected]
M. Gupta
Discipline of Mechanical Engineering, National Institute of Technology Hamirpur,
Hamirpur, India
P. Sharma
Mechanical Engineering Department, Institute of Engineering and Technology,
JK Lakshmipat University, Jaipur, India

© Springer International Publishing AG 2018 71

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_4
72 K. Mehta et al.

nanotechnology in manufacturing [6]. The manufacturing sector has also been

complemented by nanotechnology. Various avenues have been explored where the
nanotechnology could assist to achieve the objectives as regards to
produce/manufacture nano-size engineered parts or components. It includes the
nanotechnology interventions in machining, welding, and joining.

1 Nano-Machining

The demand for nano-featured components is rapidly increasing in electronics,

optical, medical, automotive, communication, and aerospace industries [7–12]. The
machining of nanoscale components with high precision has become one of the
essential requirements of modern manufacturing industries. Due to the increased
demand of nanometer size machined components, new cutting edge technology
needs to be introduced [8, 9]. Manufacturing of devices at nanoscale needs some
reliable, repeatable, precise, accurate, and detailed process design fabrication
methods. Therefore, the process of nano-machining process has been established as
the major prerequisite, which further meets the above requirements namely, highly
precision and flexibility. Fundamentally, nano-machining is defined as a material
removal process in which dimensional accuracy of the component can be
achieved <100 nm [7]. The examples of nano-machining processes (see Fig. 1)
with details are presented in the subsequent sections.
Nano-indentation is a nanotechnology based technique used to measure the
mechanical properties of any material at nanoscale. These materials could be of
single-crystal type, polycrystalline type, and amorphous type. In the case of single

Nano-indenta on:
Single crystalline, Nano-cu ng: Single Nano-milling: Single
Polycrystalline, grooves, Mul ple grooving, Mul -
Amorphous material grooves etc. grooving etc.
etc.

Nano-machining processes

Fig. 1 Nano-machining processes

Nano-Machining, Nano-Joining, and Nano-Welding 73

crystalline material, a number of basic problems such as determination of stresses,

calculation of atomic scale contact area, and temperature conversion are produced.
Similarly, dislocations of material, repulsive forces, and shear stresses are the major
issues in the case of polycrystalline materials which limit its applications [13]. The
amorphous materials such as silicon carbide show a series of load dropped asso-
ciated with the local rearrangements of atoms, similar to that of crystalline 3C–SiC
[13]. Considering the aforementioned challenges, nano-indentation technology is
being developed day by day to perform the material testing task efficiently.
There have been many difficulties and/or challenges faced while scaling down
the size of any component from micro to nano. Many fruitful results have been
obtained based on the research conducted by various researchers on nano-cutting
processes. For example, Cheong et al. [14], and Zhang and Cheong [15] impres-
sively made the detailed study on molecular dynamics (MD) simulations for
nano-cutting operations, with respect to the control volume determination, potential
function selection, boundary condition setup, and time step justification. In another
work of Cheong and Zhang [16], the investigations were made on damage mech-
anisms of multiple cutting tips during the nano-cutting operation. Likewise, Zhang
et al. [17] investigated the prospect of achieving the hypothetical shear strength at
work-tool interface in the case of small depth of cut. From these current docu-
mented work, it has been clearly found that the performance of nano-cutting process
in terms of subsurface damage is merely depends upon some important factors such
as tool, workpiece material, and cutting parameters. For example, in the case of tool
material, the various types of tool materials namely diamond, tungsten, chromium,
and iron are used in nano-cutting operations. The plastic deformation of these tool
materials at nanoscale is very little as compared to other scales. The tool life is
increased with the decrease in workpiece hardness, as the tool hardness is more than
the workpiece hardness. Similarly, the rake angle is also the prominent factor,
which affects the performance of nano-cutting operations. Depending upon the
workpiece materials properties, the different rake angles in the range of −75° to 75°
have been used in the nano-cutting operations. For example, in the case of ductile
material like copper, the negative rake angle is used because the chip length is
decreased with the negative rake, which results in plowing ahead of the tool and
subsurface deformation underneath the machined surface. On the other hand, the
positive rake is used in brittle material. Thus, choosing the optimal parameters
settings is necessary for the success of the nano-cutting process [13]. The sub-
classification of these factors is presented in Fig. 2.
Nano-milling is well-known flexible process used to generate accurate 3D sur-
faces in die/mold, milling tools, and micro-electro-mechanical systems (MEMS)
applications. The complex design, high cost involvement, and complicated fabri-
cations of components are the major limitations of the nano-milling process. The
single-grooving and multi-grooving are the basic operations of nano-milling pro-
cess, whereas milling forces, groove profiles, etc., are their perspective responses.
Many studies or scientific work has been performed on these nano-milling pro-
cesses. For example, single-groove nano-end-milling operation on single crystal
copper material using diamond cutting tool has also been attempted [18].
74 K. Mehta et al.

Tool Cutting
• Tool material W/p material parameters
• Rake angle • Depth of cut
• Single crystalline
• Nose radius • Machining velocity
• Polycrstalline

Fig. 2 Factors affecting nano-cutting processes

The milling force includes two basic force components such as feed force and
transverse force, which follows the sinusoidal path and semi-sinusoidal path,
respectively. The analytical force models were used to evaluate the forces in
nano-milling operation. Equation (1) describes the use of such model:

Ft ¼ Km Ac ð1Þ

Where Ft is the tangential force, Km is the material constant, and Ac is the atomic
contact area, respectively. Similarly, there were three basic criterion used to eval-
uate groove profiles in nano-milling such as (i) top edges distorted (ii) the groove
profiled at the outlet side of the tool rotation aligned more closely with the designed
geometry, and (iii) increasing depth of cut improved groove quality. To explain the
observed phenomena, the key physics parameters, i.e., surface energy, strain rate,
and residual stress were investigated [18].
The piezoelectric Nano-Grinding process has also been developed for machining
geometric features such as channels in lab-on-chip devices for micro- and
nano-fluidic applications [19, 20]. The laser-dressed vitrified alumina grinding
wheels were identified the best option to produce finer finish than the wheels made
of other materials and dressed by other techniques.

2 Nano-EDM and ECM

It is well known that the processing of materials at nano-level is quite challenging

and limited by spacing between atoms of solid material (about 0.3 nm). The
atomic-level processing of materials requires energy density higher than atomic
bonding energy which is too high for conventional machining processes. Therefore,
to process the material at the nano-level, it requires non-conventional processing
Nano-Machining, Nano-Joining, and Nano-Welding 75

techniques which use energy particles such as electrons, photons, ions, and
chemically reactive atoms for removal of material at micro- and nano-level. A past
study carried out by Rajurkar et al. [21], Zhang et al. [22], and Benilov et al. [23]
revealed that Electrical Discharge Machining (EDM) and Electrochemical
Machining (ECM) techniques exhibit the great capability to machine nanoscale
components and can be explored further to fulfil the precision nano-machining
requirements.

2.1 Nano-EDM Process Details

With the demand of more precise nanoscale components for modern industries, the
technology as regards to the conventional EDM process needs to be developed and
extended to achieve nanometric level machining accuracy. Nano-EDM is a
non-contact electrothermal machining method in which material is removed by a
series of ultra-fine discharge pulse, and most suited for the machining of nanometric
components because of its high machining accuracy and precision. The mechanism
of nano-EDM is almost similar to the conventional EDM with the basic difference
between the two is the size of the crater formed on the machined surface. If the size
of the crater formed on the machined surface is >1 µm, then it is called as con-
ventional EDM, however, nano-EDM offers the crater size <100 nm due to its
modified pulse generator technology.
Generally, conventional EDM uses relaxation-type pulse generator, where dis-
charge energy of spark can be reduced by reducing the capacitance of the pulse
generator. According to Han et al. [24], the diameter of discharge crater can’t be
reduced <0.2 µm using conventional pulse generator technology because of its
inability to remove the stray capacitance. The stray capacitance can be found easily
in a conventional EDM between the electrode gaps which helps in machining even
if the capacitor is disconnected. According to Kawakami and Kunieda [25], stray
capacitance has a great role to control the discharge energy per spark. Further,
Egashira et al. [26] have attempted to reduce the stray capacitance by shortening the
electric feeders in order to achieve the desired miniaturization. Thereafter, Kunieda
et al. [27] have proposed the new generator technology to achieve nano-EDM. They
obtained a nanometric discharge crater of 570 nm by coupling the pulse generator
to the tool electrode. To overcome the issue of conventional pulse generator of the
EDM process, a novel pulse generator technology based on electrostatic induction
feeding (ESIF) was used by Yang et al. [28] which then utilized to achieve
miniaturization in EDM and its variants. The principle of ESIF-based pulse gen-
erator is shown in Fig. 3 where pulse voltage (V) is applied for the fixed pulse
duration. C1 represents the capacitance between feeding electrode and tool elec-
trode, whereas C2 represents the capacitance between tool electrode and workpiece.
C1 was assumed to be 10 times larger than C2. When the voltage of pulse generator
reaches to V, then C1 and C2 become charge (a). Within the working gap, workpiece
and tool electrode are charged with negative polarity which creates a strong electric
76 K. Mehta et al.

Fig. 3 Principle of electrostatic induction feeding-based pulse generator [29], with kind
permission from Elsevier

field. Consequently, discharge occurs, then, electrons are conducted from work-
piece to a tool electrode (b). After discharge, the working gap voltage becomes
equal to the discharge voltage due to the absence of current conduction in the
circuit. Further, discharge won’t occur until pulse supply voltage reaches to zero
(c). In earlier discharge, tool electrode has accepted electrons; therefore, it was
charged negative, whereas workpiece is charged positive. Accordingly, discharge
occurs with straight polarity. After discharge, the working gap voltage won’t
increase till next cycle (d). With the use of ESIF method, it became possible to
reduce the effect of stray capacitance in the generator circuit because electric
feeding was achieved without any contact between the electrodes. Therefore,
allowing single discharge for each cycle of pulse voltage and helps in maintaining
the constant discharge energy per pulse.
Further, Yang et al. [29] have applied the ESIF method to wire electrical dis-
charge machining (WEDM) process in order to achieve the miniaturization. They
have observed the better machining stability and lower discharge energy compared
to relaxation-type pulse generator. Likewise, Koyano et al. [30] also obtained the
high accuracy and machining speed using ESIF method.
In order to achieve an accurate gap of nanometers between the electrodes of
nano-EDM, scanning tunneling microscopy (STM) and atomic force microscopy
(AFM) type scanning probe techniques were employed. It resulted in the discharge
crater size <100 nm [31]. Malshe et al. [8] presented the new technology of
nanofabrication called as nano-electrical machining (nano-EM). They have
Nano-Machining, Nano-Joining, and Nano-Welding 77

achieved consistent machined features of 10 nm diameter on atomically flat gold

using scanning probe platinum-iridium tool electrode.
The use of ultra-small diameter tool is another technique to obtain success in
nano-EDM. Cheng et al. [9] have developed the ultra-precise novel tool fabrication
system to achieve nano-machining using an EDM process. With the help of fab-
ricated tool, they have achieved average surface roughness less than 10 nm. More
recently, Zhang et al. [22] have constructed a computational simulation model by
combining the two-temperature model and MD simulation model for single dis-
charge process in nano-EDM. The developed model is found to be useful to
understand the machining mechanism of nano-EDM from a thermal point of view.
Currently, nano-EDM is gaining more and more interest of researchers because of
its capability to manufacture the components with nanoscale dimension along with
high precision. Moreover, it is potentially applicable to manufacture the prototypes
and masterpiece because it is quite flexible, cost-efficient, and fully automatic. Even
though, nano-EDM is an efficient process to manufacture the components with
nanoscale precision, it is not yet fully industrialized due to the robustness of EDM
theory which hindered the advantage of nano-EDM technology. Still, nano-EDM is
on developing stage and requires a constructive effort of researchers to establish it at
industrial level.

2.2 Introduction to Nano-ECM

Nano-ECM is also an effective process to manufacture the components with fea-

tures <100 nm as it uses ultra-short pulse of nanosecond duration for material
removal and allow electrochemical reactions down to the nanometer level for high
precision and accuracy [21]. Moreover, nano-ECM offers improved control strategy
compared to traditional ECM in terms of lower pulse duration, variable voltage
pulse, and optimized duty factor. With the use of ultra-short voltage pulse of
500 ps, the machining accuracy below 100 nm can easily be achieved [32] and it is
possible to achieve complex nano-features [33]. In order to substitute the expensive
ultra-short pulse generator, Koyano and Kunieda [34] have developed an ultra-short
pulse electrochemical system using ESIF method and obtained the ultra-short
current pulse of 6 ns. Even though, nano-ECM is an emerging machining process to
obtain nanoscale components, further research is also required to industrialize it.

2.3 Nano-Machining Prospects of Other Advanced

Processes

The nano-level advancements in other advanced processes such as laser beam

machining (LBM), electron beam machining (EBM), and ion beam machining
(IBM) processes are extremely difficult due to some technological constraints.
78 K. Mehta et al.

Basically, LBM process uses photon as energy particle to ablate and machine a
wide range of materials. But, the dimensional accuracy of the machined compo-
nents mainly depends upon the laser beam diameter. The laser beam can be focused
to a diameter close to the laser wavelength which is in the range of 100 nm–10 µm
but not <100 nm [35]. Although laser has been used frequently to assist other
processes for nanofabrication [36, 37] but further advancements as nano-LBM still
requires extensive research and development in the technology. In addition, EBM
based on thermal evaporation also can’t be implemented for nano-machining.
That’s because, nano-EBM requires an electron beam of a diameter of few
nanometers but it is not effective for machining as most of the electrons are
absorbed by the surface layer of the workpiece. However, there is scope of EBM in
lithography techniques where fine focused beam of reactive electrons can be used to
produce sub-nanometer accuracy on polymer-based components. Wong et al. [38]
have worked on the new concept of nanoscale machining where a laser beam was
used to heat a workpiece to a threshold temperature within a microscopic region out
of which nanoscopic region was subjected to a focused electron beam. The
approach is found to be useful for nanoscale machining of thin metallic film
deposited on a transparent substrate. Focused ion beam process is mostly suitable
for ion implantation rather than nano-machining and is used to patch or modify
existing semiconductor devices.

3 Nano-Joining and Welding

3.1 Introduction

Nano-joining and welding is employed to fabricate nano-components or

nano-structures that are having dimensions of the order of nanoscale such as
100 nm [39, 40]. Advances in nano-joining/welding technologies provide an
extension to the applications of miniaturization at the different sectors of industries
[40]. Nano-joining has been found promising for applications of nano-electronics,
nano-medicine, nano-photonics, and nano-electromechanical systems (NEMS),
wherein joining of nanotubes, nanowires, nano-sensors, nano-structures, and
bonding of nanoparticles for semiconductors are reported in the recent literatures
[39–42]. Most of these applications require heterogeneous structure at the interface
of joint that is challenging. Additionally, nano-contact setup, fixturing, nano-joint
defect detection, testing and characterization of nano-joints, and joining repeata-
bility are challenges that one has to take into consideration for nano-joining and
welding [40]. Conventional joining processes are not applicable to
nano-components due to small size scale. Different joining processes such as
nano-soldering, nano-welding and mechanical bonding, and nano-fastening are
being progressed in order to fabricate nanoscale components [39, 40]. Classification
of nano-joining methods under four major categories are presented in Fig. 4, based
on state of art hitherto.
Nano-Machining, Nano-Joining, and Nano-Welding 79

Fig. 4 Classification of nano-joining processes

3.2 Nano-Soldering

Nano-soldering is a process where nano-components (such as nano-wires) are

joined together with the help of external nano-solder [42–44]. Nano-solder wire is
also known as sacrificial nano-wire. The melting point of this nano-solder wire is
relatively lower than the nano-base materials that is melted and subjected to the
joint area in order to form a permanent connection. Various nano-solder materials
such as indium, tin, indium-tin, tin-lead alloy, and tin-lead-copper alloy are reported
in the literatures by which different nano-wires of gold, silver, and copper can be
joined [42–44]. Nano-manipulators such as scanning electron microscopy manip-
ulators are used to position the nano-wires that consequently form the joint con-
figuration. The sacrificial nano-solder is heated by the means of electrical current
that means appropriate current and voltage is applied [42, 44]. Nano-solders such as
tin, tin-silver, and tin-silver-copper are developed with low melting point and
generally applied to the end of nano-wires through electrodeposition process. These
coated end of nano-wires are connected with each other to obtain unique
nano-structure, wherein coated area only melts and forms the joint. This technique
allows nano-soldering easy to perform for multi-nano-wires in order to assemble
nano-structure [42]. Figure 5 shows ‘NANO’ word assembly of gold nano-wires
prepared by nano-soldering [44].
Another nano-soldering approach is reported polymer adhesive coating [42].
Nano-wires that are to be joined are processed through hydrophobic thiol solution
(for gold segment) or hydrophilic solution (for nickel segment). This solution is act
80 K. Mehta et al.

Fig. 5 Assembly procedure of NANO word from individual gold nano wires, Reprinted with
permission from [44]. Copyright 2009 American Chemical Society

like adhesive when subjected to heat, which is normally applied through ultraviolet
light. Au–Ni–Au type of nano-wires can be successfully joined by this method [42].

3.3 Nano-Welding

Nano-welding is reported for joining of carbon nanotube (CNT), NEMS compo-

nents and nano-wires through various welding techniques such as beam welding,
resistance welding, cold welding, ultrasonic welding, and diffusion welding [40–
43]. Different beam welding techniques such as laser beam welding, ion beam
welding, scanning electron microscopy and transmission electron microscopy
techniques are utilized for nano-welding and joining [39].
Transmission electron microscopy (TEM) is a technique, in which the
nano-joining is performed at a high accelerating voltage such as 1.25 MV under
800 °C temperature of specimen [39]. Nano-component such as single-walled
nanotube (SWNT) is required to be dispersed in the ethanol in order to have TEM
observations and subsequent procedures. The joining is obtained with the help of
electron irradiation and annealing effect (higher than 300 °C) at the contact region
of nanotube [39]. However, the main mechanism of joint formation depends on the
target material and characteristics of nanoparticles [39, 45]. It is reported that, the
kinetic energy transfer electronic excitations, ionization are the mechanisms
observed for nano-joining by irradiation and annealing effect [39, 45]. The
knock-on atom displacements caused by kinetic energy transfer are main mecha-
nism observed for carbon nanotube atomic bonding. It is reported that, different
junctions of SWNT such as X, T, and Y, can be structured through controlled
electron irradiation of TEM [45]. Examples of these junction configurations are
shown in graphitic Fig. 6.
Electron beam of scanning electron microscope (SEM) is also utilized to gen-
erate nanoscale welds in which energy of beam to workpiece interactions is used to
Nano-Machining, Nano-Joining, and Nano-Welding 81

Fig. 6 Single-walled nanotube junctions prepared by TEM nano-joining [45], with kind
permission from American physical society

melt the small scale material [39]. It is reported that, SEM electron beam is focused
to a spot size in the range of 50–125 nm approximately that can melt area of
100 nm consequently [45]. Nanoscale weld by SEM is advantageous as for its
reliability and an unparalleled control. Defect-free sound nano-welds on nickel,
alumel, polysilicon, chromel, and tophet can be produced by high-magnification
SEM along with control of beam deflection lens current and defined amplitude of
scan area [39, 45]. TEM and SEM techniques have proved its capability as
promising technologies for nano-welding.
In case of laser welding technology, picosecond laser pulses are recruited to
adjoin, hold, and weld nano-gold particles on TEM carbon-coated copper grid [39].
It is reported that the gold nanoparticles (of 9.3 nm) with an average diameter of
13 nm are dispersed in the water that are processed for absorption of
Surface-Plasmon absorption of resonances at 520 nm prepared through HAuCl4.
This gold nanoparticles are dropper on carbon-coated TEM grid using micro-pipet.
After that, Nd:YAG laser is irradiated as second harmonic pulses of 532 nm at
duration of 30 ps at 10 Hz frequency and 4-mm spot diameter in order to adjoin,
hold, and weld closely the gold nanoparticles with TEM grid [39]. Laser irradiation
helps to make association of nanoparticles on a wet TEM grid. The control of
irradiation power is reported as important parameter for optimum nano-welding
[39].
Another nano-welding method is resistance-type nano-welding in which ohmic
controlled heating is responsible mechanism to obtain welds at nanoscale [42].
Direct resistance welding can be applied to nano-components such as nanotubes
and substrate through small current and threshold voltage by means of sharp
tungsten tips that works as electrodes [39, 42]. Direct resistance nano-welding is
obtained at current in the order of 1  10−5 A and voltage of 1–5 V [39, 42].
Resistance heating can be applied differently such as copper particles are filled into
carbon nanotube that acts as nano-spot welder. This nano-spot welder is nothing but
nano-robotic manipulator that is subjected to a joint area. Afterward, small voltage
such as 1.5 V is applied at the nano-carbon tube which is filled with copper
material. This copper gets melted due to resistance heating and subjected to the
nano-empty space of joint configuration, which consequently leads to the formation
of joint [39, 42].
82 K. Mehta et al.

Ultrasonic nano-welding is developed to join SWNT to metallic electrode, which

is also known as ultrasonic wire bonder [39]. A pressing surface was made up of
50 lm2 single crystal and welding head of 0.2 nm rms roughness is mounted on it.
It is reported that, a clamping force of 78.4 mN is required to press the welding
head, at an ultrasonic frequency of 60 kHz through ultrasonic transducer, in order to
weld 1.6 nm diameter SWNT to Ti electrodes [39]. An average ultrasonic power of
0.07 W is reported. At the time of ultrasonic nano-welding, the high-frequency
ultrasonic energy is applied to soften the material, and consequently, it leads to the
plastic deformation of the material under the effect of clamping stresses due to the
acoustic softening [39]. This process is also successful for welding of multiple
SWNT to metallic electrode.
Nano-diffusion bonding comes under the category of solid state nano-welding as
the joining occurs below the melting temperature of the materials such as 25% of
the melting temperature [42]. Acidic solvents and heat are applied to have diffusion
of Au nano-wires and subsequently that leads to the bonding of it. Diffusion
bonding can be utilized to form 3D network structure of the nano-wires for the
surface-related applications [42].
Recent advancement in nano-joining is capillary force-induced cold welding,
wherein silver nano-wire–wire joint is obtained by capillary force applied through
moisture [46]. Figure 7 shows the procedure if capillary force-induced cold
welding. The moisture is applied through humidifier for 1–3 s. This liquid provides
bridging action between two nano-wires of Ag. Now, gentle fanning action is
applied (for 30–40 s) in order to have drying action [46]. As soon as the water
evaporates, the meniscus-shaped bridge of capillary forms at the gap between two
nano-wires as shown in Fig. 7b. This consequently leads to produce attractive force
that ultimately results into formation of joint [46].

Fig. 7 Schematic of moisture treatment for capillary-force-induced cold welding of silver

nano-wires. b The mechanism of capillary interaction between two particles connected with a
liquid bridge, Reprinted with permission from [46]. Copyright 2009 American Chemical Society
Nano-Machining, Nano-Joining, and Nano-Welding 83

3.4 Mechanical Bonding

Hot pressing technique is reported as mechanical bonding nano-joining technique.

Hot embossing device is used for the hot pressing of nano-components, wherein
sandwich-type nano-wire-electrode structure can be obtained at 180 °C temperature
and suitable pressure is applied [42]. The joining mechanism is nothing but the
deformation of the material due to applied temperature and pressure. The electrodes
are used to position the nano-wires at the setup of the hot embossing [42]. Suitable
tool is used to press the nano-wires to the respective electrode. The contact surface
of tool is coated with the specific material such as silicon wafer is coated with
carbon like diamond film, in order to avoid adherence of nano-wires to the tool
[42].
The recent developments suggest that, nano-joining by mechanical pressing can
be obtained at the room temperature [47]. Ag nano-wire is joined on to Au substrate
with the help of nano-indenter whose tip is made up of diamond. The bonding force
of 200–500 µn is applied at a loading speed of 20 µN s−1 [47]. These parameters
have produced a defect free nano-joint through mechanical plastic deformation
obtained through pressure of room temperature.

3.5 Fastening

Photolithography and electrodeposition techniques are types of nano-fastening

classification [42]. Different processes such as photoresist (PR) coating, exposure,
development, metallization, and liftoff are required to be performed in order to
complete photolithography technique. Photolithography can be applicable to small
number of nano-wires or single nano-wire. Photolithography is not preferred for
joining of multiple nano-wires/structures [42]. In case of electrodeposition, the
extra material is pasted on to a nano-wire and bonding is achieved between extra
pasted material and external material [42]. The pasting of extra material can be
obtained by electrolytic plating that requires suitable external current and voltage
[42, 43].

4 Summary

This chapter discusses the fundamentals and basic knowledge used to understand
the nanotechnology interventions in machining, joining, and welding arena. The
nano-machining processes which have mainly been focused are; nano-indentation,
nano-cutting, and nano-milling. The various important aspects such as tool
geometry, work material, stresses, forces have been discussed with the relevant
examples. The recent development in the field of nano-EDM and nano-ECM has
84 K. Mehta et al.

also been reported. Further, other advanced/non-conventional processes are also

discussed in respective of their capabilities in the field of nanoscale machining.
Although nano-EDM and nano-ECM are under development stage, however,
exhibits a great potential to obtain the nanoscale dimension on the machined
components. Lastly, the nano-joining and welding techniques are discussed con-
sidering their applications and parameters. Nano-soldering, nano-beam welding,
nano-resistance welding, nano-ultrasonic welding, nano-diffusion bonding,
nano-mechanical bonding, and nano-fastening are covered. Single- and
multi-walled carbon nanotubes and nano-wires of gold, silver, lead, tin, and copper
are main applications for nano-components. In future, the nano-joining and welding
processes will be developed stable and reliable joints and scalability for assembly.
Additionally, several important problems of cost reduction, efficiency enhancement,
and massive integration of nano-wires can be considered as future prospects of
nano-welding and joining. This chapter hopes further efforts of researchers involved
in academia as well as in industries for research and development in
nano-machining, nano-joining, and welding of modern materials.

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Fabrication of Optical Components
by Ultraprecision Finishing Processes

Gourhari Ghosh, Ajay Sidpara and P.P. Bandyopadhyay

Abstract The demand of ultraprecision optical components is increasing exten-

sively with the rapid development of the modern optics. The optical components
used in X-ray microscopy and extreme ultraviolet lithography (EUVL) demand
surface roughness of about 0.1 nm rms, a figure accuracy about 1 nm
peak-to-valley (p–v) and no induced subsurface crystallographic damage.
Furthermore, an aspherical surface is gaining more interest over the past few years
for its favourable properties, and many new optical materials are also being
developed. Fabrication of ultraprecision optical components became a great chal-
lenge to the optical fabrication industry. Aspheric optical components are generally
fabricated by shaping methods followed by precision finishing processes. Near net
shape of the component can be accomplished by the shaping methods (e.g.
single-point diamond turning, deterministic micro-grinding, etc.). The application
of optical components fabricated by this method is limited to the infrared (IR) optics
owing to the presence of high-spatial-frequency surface irregularities which lead to
the possibility of scattering for shorter wavelength applications. Desired surface
finish, figure accuracy and surface integrity can be attained by precision finishing
techniques to make it suitable for shorter wavelength applications. In the recent
years, ion beam figuring, elastic emission machining, nanoparticle colloid jet
machining and magnetorheological finishing are extensively used for fabrication of
ultraprecision optics. In this chapter, principle mechanism of material removal and
applicability of aforementioned ultraprecision finishing processes to different
materials are discussed.

Keywords Optical fabrication Figure accuracy Surface roughness Subsurface



damage Ultraprecision finishing

G. Ghosh
A. Sidpara (&)
P.P. Bandyopadhyay

Mechanical Engineering Department, Indian Institute of Technology Kharagpur,
Kharagpur, India
e-mail: [email protected]

© Springer International Publishing AG 2018 87

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_5
88 G. Ghosh et al.

1 Introduction

Recently, ultraprecision optical components are in high demand in various indus-

trial and scientific applications. Ultra-smooth optical components are extensively
used in the integrated circuit, synchrotron beam line, a micro-electromechanical
system (MEMS), astronomical telescopes, cameras, high-power laser systems,
low-scatter windows, luminescence, semiconductor industry, optical communica-
tion, defence equipment, etc. [1–3]. Ultraprecise mirrors with nanometre-order
figure accuracy and atomic-order surface finish are the major requirement of the
prime technologies such as generation synchrotron radiation sources and
next-generation extreme ultraviolet lithography systems (EUVL) in the field [4, 5].
Hence, fabrications of the ultra-smooth surface become the prime concern of optical
system manufacturers.
Optical components (e.g. mirrors and lenses), are the heart of any optical system,
and are engaged to control the propagation and modulation of the light beam. The
direction of propagation, the intensity and the polarization state of light rays largely
rely on the characteristics of optical components [6]. The characteristics of optical
components and its influence on performance are shown in Table 1. In order to
maintain ultra-high reflectivity and better performance of optical components,
suitable fabrication techniques have to be applied to generate high surface finish,
high shape accuracy and minimum subsurface damage (SSD) [6, 7]. SSD have
detrimental effect on the stability of the optical system, image quality, anti-laser
damage threshold, and it may also accelerate the chance of system failure [1].
Besides the optical material properties, imaging quality of optical components is
significantly affected by geometrical aberrations (spherical aberration, coma, etc.,
and diffraction effects). The aspherical optical component has the ability to avoid
geometrical aberrations [6]. Therefore, the demands of aspherical optical compo-
nents are increasing rapidly. Apart from that, the good quality image can be
obtained by employing less number of optical components in a system. As a result,
the size and mass of the optical system can be reduced [9]. Hence, fabrication
technique is selected based on its ability to finish the aspherical surface.
Characteristics of the optical components greatly depend on its structure and
chemical composition. Optical materials can be subdivided into following groups
[10, 11]:
• Glasses (fused silica, BK7, etc.)
• Advanced ceramics (ALON, Cordierite, Silicon carbide, Spinel, Zinc selenide
and Zinc sulphide)
• Low-thermal expansion materials (ULE, Zerodur and Clearceram)
• Metals (Al, Cu or GlidCop with electroless nickel coating)
• Crystalline materials (Calcium fluoride, Germanium, Sapphire and Silicon)
In extreme ultraviolet lithography (EUV) system, near about 30% of the incident
light on the optical component is not reflected and it is converted into heat energy.
Hence, low-thermal expansion material like ULE glass and Zerodur is suitable for
Fabrication of Optical Components by Ultraprecision … 89

Table 1 Characteristics of optical components [8]

Characteristics of optical components Influence to its optical performance
Surface shape Spherical surfaces cause geometrical
aberrations
Shape accuracy Inaccurate shape causes geometrical
aberrations
Surface roughness Causes scatter and is responsible for the loss
of imaging contrast
SSD that was generated during the fabrication Causes light loss; limits lifetime and increases
(micro-cracks, stress, physical and chemical absorption by the optical component
changes of the material, etc.)
Absorption Can cause unwanted light loss in the optical
system
Reflection Can cause unwanted light loss in the optical
system and produce ghost images
Transmission Changes the intensity of the light ray
Dispersion Causes chromatic aberrations
Refractive index Inhomogeneities of the refractive index cause
distortion to the phase of the light ray
Sensitivity to environmental influences Limits lifetime of the optical component;
(temperature, mechanical vibrations, changes amount of SSD, roughness and shape
pressure, radiation, humidity, contamination accuracy
(e.g. dust))
Strength It is responsible for the deformability and
crack initiation of the optical surface
Density of the material Inhomogeneities cause unwanted changes to
absorption and refractive index and change
the phase and intensity of the light ray
Chemical and physical inhomogeneity of the Inhomogeneities cause changes in refractive
material index, reflection, the phase of the light ray,
etc.

this application [12]. Higher brilliance beam of third-generation synchrotrons gen-

erates high demands on reflection optics. To retain the reflection geometries and
properties under severe heat load density, the optical components should be cooled
significantly. Single-crystal silicon became the suitable material for front-end optics
owing to its high heat conductivity, low-thermal expansion coefficient and low
degradation quality. Fused silica and Zerodur are occasionally used for downstream
optical components where beam exposure is not much intensive. Furthermore, when
the heat load is not so much high, a metal mirror made of mostly aluminium, copper
or GlidCop (alumina dispersion strengthened OFHC copper alloy) with a thin (i.e.
100 lm) electroless Ni-coating is used [13, 14]. Recently, beryllium is gaining
interest for the space optics for its light weight and high strength. Owing to very low
X-ray absorption property, beryllium may be selected as a substrate material for
fourth-generation synchrotron X-ray mirrors [13]. Chemical-vapour-deposited
(CVD) silicon carbide mirrors are widely used for astronomical applications. Only
90 G. Ghosh et al.

small-sized CVD silicon carbide mirrors may be used at synchrotron facilities [13].
Optical materials for manufacturing optical components and its application are given
in Table 2.
The effort to develop the precision finishing technologies has been initiated in
1980s to meet the requirement of ultra-high-quality optical components [17]. The
evolution of the computer numerically controlled (CNC) machining has incorpo-
rated the determinism in optics fabrication [18]. It is more difficult to achieve

Table 2 Optical materials and its application [15, 16]

Optical Material Application
components
Precision Zinc Selenide (ZnSe), Dental imaging, dermatology, endoscopy,
lenses Zinc Sulphide (ZnS), hyperspectral imaging, lasers, machine vision
Germanium (Ge), Silicon inspection, metrology, optometry, projection, range
(Si), Chalcogenides finding, surveillance, target identification, targeting
and designating, thermal imaging
Synchrotron Single-crystal silicon, Synchrotron beamline, X-ray free electron laser
mirror Zerodur, Astrositall, (XFEL)
Fused silica, Ultra-low
expansion glass (ULE),
silicon carbide, Cu and
Al with electroless Ni
layer
EUV mirror ULE, Zerodur EUV lithography, high-order harmonics
applications
Optical ZnSe, ZnS, Ge, common Biomedical instrumentation, corrosive chemistry,
windows glasses, fused silica, directed energy applications, industrial
and flats glass-ceramics instrumentation, IR imaging, laser cavities,
machine vision, multiphoton imaging
Waveplates Crystal quartz, Aerospace, astronomy, biomedical, laser power
Magnesium fluoride control and attenuation, military, optical isolation,
(MgF2) polarimetry, remote sensing, semiconductor
metrology, spectroscopy, surveillance
Ring laser Fused silica, Zerodur GPS, hyperspectral imaging, infrared microscopy,
gyroscope laser scanning microscopy, metrology, optical
components failure analysis for semiconductor processing,
range finding, reconnaissance, surveillance, target
identification, targeting and designating
Infrared ZnSe, ZnS, Ge, Calcium Hyperspectral imaging, infrared microscopy, laser
optics fluoride (CaF2), MgF2, scanning microscopy, metrology, optical failure
chalcogenides, silicon, analysis for semiconductor processing, range
sapphire finding, reconnaissance, surveillance, target
identification, targeting and designating, thermal
imaging
Optical ZnSe, ZnS, Ge Seeker head optics, submersibles, underwater
domes cameras
Precision Metallic coating: Au, Pt, Laser cavities, laser range finders, target
mirrors Al others designators
Fabrication of Optical Components by Ultraprecision … 91

ultra-smooth surface in case of the aspherical surface compared to spherical one.

Fabrication of aspheric optical components consists of shaping mode followed by
precision finishing mode [6]. In the shaping mode, the aspheric surface is produced
by removing material at a higher rate. In this mode, brittle fracture and plastic
deformation are considered as the material removal mechanisms [19]. Therefore,
subsurface damage (dislocations, stress, micro-cracks, etc.) is induced in the sur-
face. Single-point diamond turning (SPDT) [20, 21] and deterministic
micro-grinding [22, 23] have been extensively used for the shaping of aspherical
components. Presence of turning marks on the surface is the main limitation of
SPDT and which restricts its application in the fabrication of infrared (IR) optics
owing to the possibility of scattering for shorter wavelength application [9].
Deterministic micro-grinding has the ability to fabricate optical components with
10–20 nm (rms) surface roughness, k/2 p–v figure accuracy (k = 633 nm) and SSD
of 2 µm [24]. In the finishing mode, SSD which is generated in shaping mode has
to be removed and surface finish and figure accuracy must be improved to make it
suitable for shorter wavelength application. Ultraprecision finishing processes, like
ion beam figuring (IBF) [25, 26], chemo mechanical polishing [27, 28], plasma
chemical vaporization machining (PCVM) [29], elastic emission machining
(EEM) [30, 31], nanoparticle colloid jet machining (NCJM) [32], bonnet polishing
[33, 34] and magnetorheological finishing (MRF) [35, 36] are extensively used for
the fabrication of high-quality optical components. In this chapter, mechanism of
material removal, surface integrity and applicability of ion beam figuring, elastic
emission machining, nanoparticle colloid jet machining and magnetorheological
finishing to different materials are discussed.

2 Precision Finishing Techniques Used for Fabrication

of Optical Components

In recent years, the demand for micro-sized aspherical glass lenses has been
increased rapidly. These were traditionally produced by grinding using small rigid
tools. Presence of high-spatial-frequency surface irregularities or ripples is the
inherent problem of those finishing techniques [37]. Hence, the development of
new precision finishing processes to solve the problems is greatly needed. In order
to fabricate the ultraprecision optical components, finishing techniques must be
precisely controlled and external disturbances (like vibration deformation and
thermal deformation) should be minimized. Furthermore, it should be deterministic
and capable of producing sub-nanometre figure accuracy and surface roughness
without incorporating SSD [24]. Figure 1 shows the classification of the precision
finishing processes in terms of shaping and finishing of optical materials. Near net
shape of optical components can be achieved by the shaping methods and desired
figure accuracy and surface finish to make it suitable for a particular application can
be achieved by the finishing methods.
92 G. Ghosh et al.

Fig. 1 Classification of precision finishing techniques used for optical components fabrication

2.1 Single-Point Diamond Turning (SPDT)

Single-point diamond turning (SPDT) of optics was started in 1960s, but it became
an important fabrication technique for optical components after 1970s [38]. SPDT is
a precision machining technique has the ability to produce aspherical or freeform
surface with deterministic form accuracy. It is performed by engaging a single-point
diamond tool in high-precision lathe under controlled environment [39]. The effi-
ciency of this process depends on the stiffness of the machine, accuracy of feedback
control system with a laser metrology and reliability of single-crystal diamond tool
[40]. Diamond turning machine must be stiff enough to avoid the effect of vibration
or other external disturbances on the cutting tool movement. To produce high-quality
optical components, the cutting tool should move precisely and it should be sharp
enough without any defects [41]. Lower cutting force is expected as the feed and
depth of cut are much lower compared to the conventional machining. It has the
ability to finish metal like Cu and Al to achieve nanometre range surface roughness
and figure accuracy. Furthermore, high stiffness, accuracy and lower cutting force
associated with the diamond turning machine make it suitable for precision finishing
of brittle materials. Figure 2 shows the fishbone diagram of SPDT parameters that
have a significant effect on surface roughness and form accuracy.

2.2 Grinding

Grinding is a widely accepted finishing process for machining of brittle materials. It

is recognized as a pre-finishing or shaping method in the optical fabrication. During
Fabrication of Optical Components by Ultraprecision … 93

Fig. 2 Fishbone diagram of process parameters affecting SPDT operation

Fig. 3 a Brittle mode material removal during conventional grinding (di = depth of penetration of
abrasive grit, Cm = median crack length, Cl = depth of lateral crack, a = half-apex angle of
abrasive grit) [42], b surface of fused silica which is grounded by brittle mode [43]

the conventional grinding of optical components, material is removed through the

crack propagation beneath the sharp cutting edge [42]. When the load on sharp
abrasive grit exceeds the critical value, median cracks and lateral cracks are gen-
erated beneath the abrasive grit as shown in Fig. 3a. The lateral cracks are prop-
agated to the top surface of the workpiece, and the material is removed as chips due
to the brittle fracture [42, 43]. The median cracks appear as micro-cracks below the
ground surface, which is responsible for the generation of subsurface damage.
Figure 3b shows the fused silica surface which is grounded by brittle mode having
a surface as well as subsurface damage.
Hence, the crack-prone surface which is generated by brittle mode in conven-
tional grinding does not meet the requirements of the optical components. Post
finishing of the ground sample using lapping followed by polishing became an
essential step of optical fabrication to reduce the scattering and absorption loss and
finally to get an optical quality surface [44]. Hence, the conventional technique of
optical fabrication became a time-consuming and uneconomical process.
94 G. Ghosh et al.

In the recent years, ductile mode grinding was getting significant importance in
optical fabrication as it has the ability to eliminate lapping and sometimes a part of
polishing. It is perceived that the possibility of ductile mode of grinding may be
independent of material characteristics (hard or soft, brittle or ductile), and optical
brittle materials also can be machined by ductile mode of grinding [45]. If the
energy required for crack propagation is higher than the energy employed for
material removal in grinding, material removal is taken place through the plastic
deformation. Plastic deformation energy (Ep) is proportional to the volume of
deformation (/ d3i ) while energy required for propagation of brittle fracture (Ef) is
proportional to the area generated by the crack propagation (/ d2i ).
The ratio of material removal energies can be written as follows [45]:

Ep
/ di ð1Þ
Ef

where di is the depth of indentation. Hence, when the depth of penetration is

sufficiently small, plastic flow becomes the predominant mode of machining than a
brittle fracture. Therefore, there must have a critical depth of cut to accomplish
shear (ductile) mode grinding. The critical depth of penetration for brittle–ductile
transition for grinding is modelled by Bifano, and it is written as follows [45]:
 
E Kc 2
dc ¼ 0:15 ð2Þ
H H

where E is the elastic modulus, H is the hardness, and Kc is the fracture toughness
of the material which all are material properties.
Therefore, to perform ductile mode grinding for achieving crack-free surface,
maximum undeformed chip thickness should be less than the critical chip thickness.
In ductile mode grinding, the subsurface damage can be reduced but it cannot be
eliminated completely. Hence, further polishing is required to obtain optical quality
surface.
It has been already discussed in the previous section that single-point diamond
turning (SPDT) has the capability to perform ductile mode machining of optical
materials. However, rapid tool wear becomes a problem in SPDT [46]. Therefore,
multipoint ductile cutting (grinding) for optical material become more economical
[47].
In recent days, deterministic micro/ultraprecision grinding is extensively used to
execute ductile regime grinding of optical components. The material removal rate
of different abrasive machining processes is shown in Fig. 4, and it is perceived that
there is a substantial gap between conventional grinding and polishing. This gap is
related to brittle–ductile transition and micro-grinding falls in this region.
Fabrication of Optical Components by Ultraprecision … 95

Fig. 4 Material removal rate in abrasive machining processes (mm3/mm s) [48]

2.2.1 Deterministic Micro/ Ultraprecision Grinding

Deterministic micro/ultraprecision grinding is extensively used as a pre-finish

machining step for the fabrication of optical components [49]. Generally, resin or
metallic-bonded diamond grinding tool is precisely moved using a rigid machining
centre for fabrication of spherical, aspherical and freeform surfaces as shown in Fig. 5.
The deterministic micro-grinding machine has following characteristics [48–51]:
• The main spindle is made of glass-ceramics having zero thermal expansion, and
spindle error motions should be less than 50 nm
• Hydrostatic oil bearings to impart vibration absorptivity, high rigidity and
rotational accuracy of the spindle.
• Highly precise and vibration-free set-up
• High loop stiffness between the tool and workpiece
• High-resolution motion control and smooth feedback control (resolution less
than 10 nm)
• High thermal stability
• Ability to achieve small depth of cut

Fig. 5 Ultraprecision grinding machine [48]

96 G. Ghosh et al.

As the very small depth of cut around 0.1 µm can be employed, ductile mode
grinding can be executed successfully to obtain good surface finish (less than
10 nm Ra), better form accuracy (0.5 µm p–v) and to minimize subsurface damage
(less than 1 µm) [52].
For optical glasses fabrication, the range of grinding tool rotation may be 5000–
30,000 rpm and workpiece rotation may be 50–300 rpm. A fine-grained bounded
diamond tool with a reducing grain size 100–2 µm is generally used and damaged
layer created by one tool is removed by the succeeding more fine-grained diamond
tool [52, 53].
A fine-grained diamond tool which is used in micro-grinding to obtain good
quality surface, suffer high wear rate [54]. Therefore, the tool must be dressed
periodically to maintain the sharpness of grains and the profile of the tool [55].
Self-sharpening of grinding does not take place because the very small depth of cut
is employed [49]. Besides, periodic conventional dressing processes are laborious
and time-consuming techniques. Hence, in-process dressing technique must be
coupled with ultraprecision grinding to maintain the efficiency and effectiveness of
grinding during the batch production of precision optical components.

2.2.2 Nanogrinding

Nanogrinding is comparatively an advanced process, that is gaining substantial

importance in the optical fabrication industries nowadays. It is executed in an
ultraprecision machine having high stiffness and high-resolution motion control
[56]. It has the ability to employ depth of cut in nanometre scale [57]. The very
fine-grained diamond grinding tool is used for this process. Hence, ductile regime
grinding of brittle optical material can be performed perfectly to obtain better
quality surface. Figure 6 shows the ultraprecision machine set-up for nanogrinding.
The workpiece is fixed on the rotary table, and cup-type grinding wheel is used for
machining. Rotary table spindle and grinding wheel spindle both are surrounded by
air bearing with 50 nm motion error [58].
Earlier, the soft metal plate (tin) was conditioned and then diamond particles are
embedded on the plate to make nanogrinding tool [59]. These days, vitrified dia-
mond wheel is used for the same. Nanogrinding can be employed for machining of
brittle material like Si, SiC and germanium for making lens and mirrors with high
precision.

2.2.3 Piezoelectric Nanogrinding

In piezoelectric nanogrinding, the piezoelectric material is coated with submicron

size diamond particle to make the nanogrinding tool. This can be also made by
bonding porous diamond tool to the piezoelectric crystal. The workpiece is held
Fabrication of Optical Components by Ultraprecision … 97

Fig. 6 Ultraprecision machine set-up for Nanogrinding [58]

tightly in a vice after that the tool and workpiece are aligned, and depth of cut is
employed in the step of 10 nm. Thereafter, electric current is applied to the coated
piezoelectric material and it causes straining of the material just beneath the sharp
abrasive grits. The nanoscale fragments of the materials will be removed, conse-
quently. Material removal rate can be controlled by the magnitude of the applied
current. The experiments should be performed on the precision and vibration-free
set-up to make the process more efficient and effective [60]. Processing of different
materials by deterministic grinding and major finding of the reported works are
mentioned in Table 3.
Although ultraprecision grinding and nanogrinding are performed on a very stiff,
rigid and precise machine, optical quality surface cannot be produced by grinding
alone. As the bonded abrasive tool comes in contact with the workpiece, generation
of the subsurface crack becomes an inevitable part of deterministic grinding. But, it
is far smaller than cracks created by conventional grinding. Namba et al. [67] have
reported 0.3 µm subsurface damage during ultraprecision grinding of CaF2. Huo
et al. [70] observed that during nanogrinding of Si, around 60 nm subsurface
damage consists of amorphous layer followed by dislocation layer is introduced.
The subsurface damage generated by nanogrinding is far lower than the deter-
ministic micro-grinding, but it is not totally eliminated. Hence, deterministic
grinding is recognized as a pre-finish machining step or shaping method in optical
fabrication industries. To make the optical components suitable for shorter wave-
length application, the ground sample should be further processed by some ultra-
precision finishing techniques like IBF, NCJM, PCVM, EEM, MRF.
98 G. Ghosh et al.

Table 3 Literature survey of processing of different materials by deterministic grinding

Authors Materials Major findings
Deterministic micro/ultraprecision grinding
Namba et al. Glasses • The mode of grinding (fracture, ductile and
[61] fracture and ductile mode) is influenced by grain
size of the diamond wheel
• Surface finish relies on the feed per revolution,
grain size and material properties. The depth of
cut has very small effect
• Optical quality surface with 0.2 nm rms, 2 nm
Rmax was achieved by ductile mode grinding
Bifano et al. CVD SiC • Ductile regime grinding is more economically
[62] viable than polishing owing to the
comparatively small Preston coefficient and
large critical depth
• Reflectivity of the ground surface is sufficient
for IR application
Lambropoulos Different types of • Glass properties like elastic modulus, hardness
et al. [22] glasses and fracture toughness have a significant effect
on surface quality
Namba [63] CVD SiC • Feed, cutting edge wear and average diamond
grain size have a significant effect on surface
quality. Surface finish of 0.4 nm (rms) was
reported
• Reflectivity is found 88.7% of the ground
surface when tested using 0.834 nm X-ray
Burns et al. AlON • Grain highlighting was observed owing to the
[64] polycrystalline material and having high
hardness and bigger grain size (100–200 µm)
• Small surface pits were reported during grinding
with finer grain (2–4 µm) tool
• Low feed rate is desirable to achieve good
surface finish
Yin et al. [65] Polycrystalline SiC • Spherical surface with surface roughness 9.92–
17.22 nm (Ra) and form accuracy 0.13–
0.37 µm were achieved
• During process, the diamond tools are
self-sharpened because SiC can be conducted as
a dresser
Yang et al. K9 • The form accuracy of 4–5 µm and 3–4 µm (P–
[66] V) for spherical and flat surface was achieved,
respectively
Namba et al. CaF2 • Small diamond grain size of grinding wheel and
[67] low feed rate can generate crack-free surface
• Surface roughness relies on the grinding
direction, diamond grain size, crystalline plane
and feed rate
• The surface is finished to 1 nm Ra. Subsurface
damage of 0.3 µm is observed on a 〈111〉 plane
(continued)
Fabrication of Optical Components by Ultraprecision … 99

Table 3 (continued)
Authors Materials Major findings
Yin et al. [68] Polycrystalline zirconia, • Except for zirconia, the surface roughness of
WC composite, Si, SiC materials increases with brittleness in
ultraprecision grinding
• In ultraprecision grinding of zirconia, the
stress-induced phase transformation does not
allow a fine finish
Yao et al. [69] BK7 • Feed rate and wheel speed have adequate effect
on subsurface crack and surface roughness
• The ratio of subsurface damage and surface
roughness relies on the half-apex angle of
abrasive grain
Zhao et al. [55] BK7 and Zerodur • Coarse-grained diamond wheel can perform
precision grinding in ductile mode with better
wheel profile consistency and wear rate
• Micro-cracks, subsurface cracks, micro-pits
were observed owing to its multiphase structure
Nanogrinding
Huo et al. [70] Si • 2 nm (Ra) surface roughness and 15 nm (p–v)
were found using vitrified bond (CeO2 and SiC)
#10000 diamond wheel and 7 µm/min feed rate
• Subsurface damage of 60 nm was reported
Zhang et al. Si • 0.6 nm (Ra) and 6.4 nm (p–v) were found using
[71] vitrified bond (SiC, NaCl, SiO2 and Al2O3) #
12000 diamond grinding wheel and 6 µm/min
feed rate
• A subsurface damage layer of 40–60 nm was
found
Huo et al. [58] SiC wafers • High-quality surface with 0.42 nm (Ra) and less
than 1 µm flatness is reported
• Lower subsurface damage is observed during
grinding with #600 diamond wheel

2.3 Ion Beam Figuring (IBF)

Ion beam figuring (IBF) is a deterministic ultraprecision finishing technique, and it

is widely used as a final step fabrication technique for precision finishing and
figuring of the optical components [72, 73]. The stringent requirements of the
optical components which are used in EUV lithography, synchrotron beam line and
astronomical application have been processed by IBF in the recent days [74]. It has
the ability to remove the material in atomic scale by the interaction of ion beam
with the molecules or atoms of the workpiece surface [75]. Prior to the IBF, the
ground-turned surface and diamond-turned surface are polished to attain surface
finish and figure accuracy up to a certain minimum level [76]. The residual fine
surface errors or polishing errors are removed by IBF for further improving the
contour accuracy and to meet the desired specification.
100 G. Ghosh et al.

In 1965, at first Meinel et al. [77] employed IBF for polishing of glass but it was
damaged owing to the high energy of ion beam. After developing low energy ion
beam by Kaufman [78], known as Kaufman ion source, Gale [79] started working
again in 1978. Wilson et al. [80] have successfully applied this technique for
improving contour accuracy and surface finish of Zerodur, fused silica and copper
using Kaufman ion source in 1987. Thereafter, IBF became an integral part of
optical fabrication industries.
Generally, Kaufman ion source is used for generation of ions and the generated
ions are accelerated and directed by the charged grid to form a beam. Thereafter, the
ion beam is neutralized by supplying electrons from a neutralizer to eliminate the
chance of workpiece charging and to prevent the deflection of ion beam in the
presence of electromagnetic fields [75]. When the ion beam strikes the surface
atoms of the workpiece, a collision cascade is generated within the workpiece. After
the ending of the cascade, the surface atoms acquire sufficient energy to overcome
the surface binding energy and finally removed from the surface [81]. The distance
of ion source from the workpiece, the beam energy, incident angle of the beam and
the material properties of workpiece have a significant effect on the amount and
distribution of material removal owing to the sputtering [81]. High vacuum envi-
ronment is required for avoiding beam collision during travelling from the source
towards the workpiece. For accomplishing constant sputtering rate, the fixed beam
energy is maintained. The ion beam raster scan is employed for improving figure
accuracy of the whole surface [75] as shown in Fig. 7b. The spatially and tem-
porally stable ion beam is positioned perpendicularly at a fixed distance from the
workpiece, and its motion is controlled by a 5-axis CNC system as shown in
Fig. 7a.
Figure 8 shows the basic steps of IBF process. In the first stage, the contour of
the optical surface to be processed is measured by optical interferometry.
Thereafter, the measured contour is compared with the desired surface contour to
finalize the removal map which gives the idea about the amount and distribution of
material to be removed. Next important step of IBF is the determination of material
removal function (influence function). It shows the variation of material removal

Fig. 7 a Schematic of IBF process, b ion beam raster scan [75]

Fabrication of Optical Components by Ultraprecision … 101

Fig. 8 Flow of IBF process [75]

depth with radial length from the centre of the ion beam. Thereafter, dwell time is
calculated based on the removal map and material removal function. Using CAM
system, velocity and moving routine of the ion beam are finalized. Afterwards, the
ion beam raster scan is employed over the surface based on moving routine and
dwell time. It is assumed that the material removal function is time invariant.
Material which is going to be removed (R(x, y)) can be expressed as a function of
beam removal function (B(x, y)) and dwell time (T(x, y)) [75].

Rðx; yÞ ¼ Bðx; yÞ  T ðx; yÞ ð3Þ

IBF has the following advantages [75, 82, 83]:

• Ultraprecision surface with sub-nanometre or nanometre scale figure accuracy
can be achieved as the material removal is taken place at the atomic scale. Fine
finishing error having small wavelength can be successfully removed using
narrower tool size even less than 0.5 mm. Long spatial wavelength errors can
also be removed efficiently.
• The highly deterministic material removal process can be accomplished by
maintaining constant beam parameters. As a result, the desired specification can
be attained easily and processing time requirement can also be reduced.
• The tool wear, loading force on the surface and edge roll-off effect which are
more prominent in case of mechanical machining and polishing are not asso-
ciated with IBF, as it is a non-contact finishing technique. Consequently, the
possibility of surface or subsurface damage generation is immensely reduced.
• It has the capability to figure any types of surface like spherical, aspherical or
freeform. The hard polycrystalline material also can be processed.
102 G. Ghosh et al.

It also has following disadvantages [75, 82, 83]:

• It needs vacuum environment for processing the optical component.
• During the processing, the ions having several thousand eV strike the optical
surface, which makes too much heating of the surface.
• Owing to the ion “sandblasting” effect occurred at the atomic level, surface
finish is degraded for some optical materials.
• Material removal rate is very low (hundreds of nanometre per minute)
Materials which can take a thermal load of around a few of 10 W can be
successfully processed by IBF. Very hard materials (e.g. Si, Sic and WC, etc.) and
crystalline materials (e.g. ZnSe, CaF2 and MgF2, etc.) can also be figured to the
desired accuracy [26]. For processing of the high thermal expansion materials (e.g.
BK9, BK7, etc.), special care must be taken to control the excessive heating of
workpiece by maintaining the beam parameters [75].
The variation of surface roughness evolution with the material removed depth is
reported for different optical materials. Material removal depth has less effect on the
evolution of roughness for processing of some materials (e.g. glass, CVD SiC, etc.).
However, the roughness increases rapidly during processing of electroplated metals.
During processing of polycrystalline materials, the surface roughness may increase
owing to the different material removal rate at different grain orientations [83]. Ion
beam parameters (e.g. gas, energy) have a significant influence on the surface
roughness evolution. Some unfavourable materials (polycrystalline material like
Zerodur, etc.) can also be processed by maintaining very small material removal
depth or by making a coating of suitable material on the substrate [83]. Processing
of different materials by IBF and major finding of the reported works are mentioned
in Table 4.

2.4 Nanoparticle Colloid Jet Machining (NCJM)

Nanoparticle colloid jet polishing is a newly developed deterministic polishing

process for ultraprecision optical component [91]. Optical quality surface without
introducing any crystallographic damage can be obtained by removing material in
atomic scale by utilizing the chemical reaction between the atoms of the optical
component and nanoparticle [92]. The components are shaped and pre-finished by
some shaping methods (SPDT, deterministic micro-grinding) before processing
using NCJM. The material removal rate is low as few nanometre per min owing to
the atomic scale removal [93]. The nozzle along with the colloid injection system is
generally mounted on a multi-axis computer numerical control machine having 3
linear and 3 rational motion axes. Schematic of polishing concave surface in
nanoparticle colloid jet machining is shown in Fig. 9.
The heart of this process is polishing colloid (PH value 10) which contains
nanoparticles (SiO2 or CeO2, 30% by volume), pure water, additive and surfactant
Fabrication of Optical Components by Ultraprecision … 103

Table 4 Literature survey of processing of different materials by IBF

Authors Materials Major findings
Wilson Fused silica • No appreciable variation of surface roughness
et al. [84] with the etching depth is observed
• Fused silica was finished from 1.8 waves (p–v)
and 0.41 waves (rms) to 0.27 waves (p–v) and
0.042 waves (rms), respectively
Allen Zerodur • Surface roughness and figure accuracy were
et al. [85] improved from 0.726 µm (rms) and 3.23 µm
(p–v) to 0.09 µm (rms) and 0.51 µm (p–v),
respectively
• Warping of the surface due to extreme heating
of surface is observed. Very fine surface
irregularities perpendicular to the beam
scanning direction is perceived
Drueding Fused silica and CVD SiC • The surface finish of both the components was
et al. [86] improved using precision ion machining system
(PIMS) at NASA. Severe surface defect is
observed
• Fine surface errors are successfully eliminated
by small apertures ion beam, but its removal
rate is very less
Flamm CaF2 • Low beam energy and gases having high atomic
et al. [87] masses lead to good surface finish
• CaF2 is decomposed into metallic calcium and
calcium oxide near surface owing to the
sputtering
• Self-arranged nanoscale structures like ripple,
hole, meandering and dot are observed on the
surface
Gailly CVD silicon carbide, • Rapid increase of roughness for electroplated
et al. [88] electroplated nickel, PVD nickel (> 5 nm/µm) and a small decrease of
gold roughness for PVD gold (0.3 nm after 0.2 µm)
were reported
• A roughing rate of 1 nm per µm etching depth
was observed for CVD silicon carbide
• Ion beam energy and operating gas have
significant effect on the roughness evolution
rate of CVD SiC
Weiser Fused silica, • Capable to meet the requirements of
[89] ULE, Zerodur lithographical optics
• Surface roughness is reduced to 0.13 nm
(rms) and 0.19 nm (rms) for spherical and
aspherical lenses, respectively.
Demmler Si • Figure accuracy was reduced from 513 nm (p–
et al. [90] v) to 65 nm (p–v), and surface roughness was
decreased from 120 nm (rms) to 7 nm (rms)
• No surface or subsurface defects were observed
104 G. Ghosh et al.

Fig. 9 Schematic of
polishing concave surface in
nanoparticle colloid jet
machining

[94]. Nanoparticles have large surface area, high chemical activity and unsaturated
chemical bonds [95]. Nanoparticles are hydroxylated completely owing to the
presence of hydroxide radical (OH) in the colloid [96]. The surface, which is
previously pre-finished mechanically, has some defects (dislocation, vacancies and
lattice defects). The atoms which are belonging to the defect side are highly
unsaturated [96]. The binding energy of the atoms at the defective side (also known
as a reactive side) is lesser compared to others place [97]. The OH groups are easily
adsorbed by the reactive side atoms, and complete hydroxylation is occurred. After
hydroxylation, binding energy of surface atoms (EB) is reduced and it can be
expressed as follows [94]:

1
EB ¼ EA  kT  nOH ð4Þ
2

where EA is the binding energy of the atoms of defect side before hydroxylation, k
is the Boltzmann constant, T is the temperature (in K) and nOH is the number of the
hydroxyl group adsorbed.
Presence of OH group in both the nanoparticles as well as work surface leads to
the chemical reaction between them where the binding energy of atom is lesser than
reaction activation energy. The chemical reaction is a reversible polymerization,
and decomposition reaction which will generate an oxo bond (N–O–W) and a H2O
molecule as follows [94]:

N  OH þ OH  W $ N  O  W þ H2 O ð5Þ

where N and W denote the nanoparticle surface atom and the work surface atom,
respectively.
Thereafter, the nanoparticles along with the surface atoms are removed by the
drag force of colloid jet [95]. The schematic diagram of the mechanism of material
Fabrication of Optical Components by Ultraprecision … 105

Table 5 Literature survey of processing of different materials by NCJP

Authors Material Major finding
Song et al. K9 glass • The roughness is reduced to less than 1 nm (rms) from 30 nm
[98] (rms) within 10 h
• The atoms of uppermost side have more probability to be
detached due to the less binding energy
Zhang et al. K9 glass • The surface roughness is reduced to 0.519 nm (Ra)
[93] • Material removal rates of 1 nm level per minute can be obtained
Song et al. Quartz • The surface roughness is achieved 0.540 nm from 3.16 nm
[92] glass • It has the ability to improve surface finish and microstructure
Peng et al. Silica • The MRF marks are removed completely
[96] glass • Surface roughness is reduced to 0.41 nm from 0.72 nm
• The surface figure accuracy is well maintained

removal is shown in Fig. 11 in the section of elastic emission machining (EEM).

Nozzle diameters, the velocity of the jet, incident angle, pressure and impact dis-
tance are the typical process parameters.
It has the following advantages [96]:
• The very complex shape can be processed successfully, as very fine jet has the
capability to reach and process each part of complex geometry.
• No tool wear as it is a non-contact process.
• Precipitation is not needed as the nanoparticles can suspend easily.
Besides, it has very low material removal rate (few nm per minute) and also the
impregnation mechanism of nanoparticle and material removal mechanism is very
complex. Processing of different materials by NCJM and major finding of the
reported works are mentioned in Table 5.

2.5 Elastic Emission Machining (EEM)

Elastic emission machining is widely used for the fabrication of the optical com-
ponent used in EUVL and synchrotron radiation system. It is an essential ultra-
precision finishing process to obtain sub-nanometre scale surface roughness, figure
accuracy and crystallographically perfect surface [99, 100]. In EEM, atomic scale
material removal takes place by utilizing the chemical reaction between surface
atoms and abrasive particles atoms. When two different solid materials come in
contact with each other, the binding force between the two interacting surface
develops owing to the releasing of surface energy [101]. Furthermore, the interface
region of the surfaces may be electrically polarized owing to the local charge up
induced by the presence of different types of atoms electron states. As a conse-
quence, the top work surface atoms are in a different situation than the atoms of the
underlying layer (bulk material). Hence, surface atoms can be removed easily by
some external means (abrasive particles) [102].
106 G. Ghosh et al.

In EEM, ultrafine abrasive particle (SiO2, ZrO2, etc., with a diameter less than
1 µm) which is chemically active to the work surface is mixed with ultrapure water
uniformly. The mixture is transported to the work surface. Generally, two methods
are used for generating the slurry flow: one is rotating sphere [102] and other is
nozzle jet [103]. Figure 10a shows the schematic diagram of numerically controlled
EEM machine with rotating the spherical head. A polyurethane sphere is coupled
with a variable-speed motor to achieve a different rotational speed of the sphere.
Polyurethane is selected as the sphere material due to its elasticity and stability to
water. The close-up view of finishing zone is shown in Fig. 10b where ultrafine
abrasive particles are dragged to flow over the surface by rotating the polyurethane
sphere with a little normal load [101]. Thereafter, the abrasive particles interact with
the surface to remove the material at atomic level [104] and the same can be
postulated using molecular dynamic simulation as shown in Fig. 10c.

Fig. 10 a Schematic diagram of EEM machine with rotating spherical head [101], b schematic of
close-up view of finishing zone [101], c atomic interaction between the abrasive particle and
workpiece surface [19]
Fabrication of Optical Components by Ultraprecision … 107

The probable steps of atomic removal mechanism in EEM are shown in Fig. 11.
The atoms of both workpiece and powder particle are hydroxylated in the presence
of water (Fig. 11a). Thereafter, both the hydroxylated atoms (workpiece and
abrasive particles) come closer and bonded by the hydrogen (Fig. 11b). An inter-
face structure is formed between workpiece atom and abrasive particle atom by
polymerization and dehydration as shown in Fig. 11c. Owing to the high elec-
tronegativity of the oxygen atom of the interface structure, binding energy between
the surface atoms and the atoms of the underlying layer (bulk material) decreases
[105, 106]. Consequently, the surface atom can be easily removed by the flow of
abrasive laden fluid. In this way, material removal takes place through the atom by
atom [107]. The working area is restricted to less than 1 nm2 [101].
Although the ultrafine abrasive particles interact with the surface with some
kinetic energies, the shock of the impingement on the work surface is not
aggressive as the mass of the particles is very less. Therefore, the possibility of
surface defects generation due to the impact brittle fracture and scratching can be
neglected [102]. The thickness of the fluid film in the working gap should be
retained greater than the diameter of powder particle to avoid the possibility of
surface damage (scratches and deep indentation). The film thickness varies with the
concentration of powder particles, load and the rotational speed of the sphere [104].
The material removal rate is immensely low as removal takes place atom by
atom. By controlling the abrasive particle characteristics like morphology, con-
centration, size and shape, removal rate can be improved. Agglomerated particles
may be used to enhance the removal rate, as it has notable surface irregularities
which increase the contact area with surface and removal rate increases, conse-
quently [108]. The removal rate is inversely proportional to the rotational speed of
the sphere, and it increases with the particle concentration up to 15% (by volume)
after that rapidly decreases [104].
Figure 12 shows a nozzle-type head which is used in EEM to supply ultrafine
abrasive particles to the work surface using a jet flow. It has an ability to generate a
high-shear flow rate of fine abrasive particles. The size of influence function can be
controlled by changing the aperture size of the nozzle. Spatial wavelength greater
than 0.3 mm can be successfully figured with 1 nm (p–v) figure accuracy. Influence
function is measured several times in 100 h and compared for the changes.

Fig. 11 Schematic explanation of the interaction between abrasive particles and workpiece
surface: (a) before interaction, (b) hydrogen bonding, (c) dehydration and (d) atom removal [105]
108 G. Ghosh et al.

Fig. 12 Schematic of EEM process using Nozzle-type head (W = width of the slit, D = facing
distance, h = incident angle, gap of the slit, V = inlet velocity of fluid) [109]

Table 6 Literature survey of processing of different materials by EEM

Authors Materials Major findings
Inagaki Si • SiO2 and ZrO2 powders are used separately for processing the
et al. [105] surface. The binding energy of the ZrO2 particle is less than the
SiO2 particle. Removal rate with ZrO2 particles is higher,
consequently
Kubota et al. SiC • Scratches on the pre-machined surface are removed completely,
[109] and 0.1 nm (rms) surface roughness is obtained
• Crystallographically perfect surface with atomic level flatness
can be obtained
Arima et al. Si • 0.1 nm (rms) surface roughness is achieved
[107] • Atomic level flatness of the processed surface is observed
Kanaoka ULE, • Surface roughness decreases with the increase of removal
et al. [4] Zerodur depth, and 0.1 nm surface roughness is accomplished after a
certain removal depth
• Rotating sphere head has a high temporal stability, and no
degradation of surface finish is observed after 12 h of
continuous processing
Kubota et al. SiC • Surface protrusion is selectively removed with the advancement
[110] of removal depth
• It is perceived that surface can be figured in the range of 0.07–
10 µm spatial wavelength

However, the negligible difference is observed which proves the stability of the
process over a long time usage [103]. But, the machining efficiency of nozzle head
EEM is not sufficient to fabricate EUV optics. The finishing rate of rotating sphere
head is 1000 times greater than the nozzle head [4]. Processing of different mate-
rials by EEM and major finding of the reported works are mentioned in Table 6.
Fabrication of Optical Components by Ultraprecision … 109

2.6 Magnetorheological Finishing (MRF)

Magnetorheological finishing (MRF) is a deterministic ultraprecision polishing

process. It becomes an integral part of optics manufacturing industries for its ability
to improve the figure and surface finish of complex shape optics (spherical,
aspherical and freeform lenses and mirrors) successfully without introducing any
surface or subsurface damage [111]. Many different types of optical materials have
been processed by MRF to the desired level of surface finish and figure for different
industrial applications [19, 112]. The magnetorheological (MR) fluid used in MRF
process consists of nonmagnetic abrasive particles, magnetic carbonyl iron particles
(CIPs), carrier liquid and some additives or stabilizers. Figure 13 is a schematic
presentation of finishing of small optics by MRF process. MR fluid is deposited
over the rotating carrier wheel by a nozzle and pump arrangement [113]. When
magnetic field is applied in the working gap using electromagnet or permanent
magnet, MR fluid gets stiffened as its viscosity and yield stress increases sub-
stantially and behaves like a visco-plastic fluid [114]. Stiffened MR fluid ribbon
proceeds towards the finishing zone by rotating carrier wheel, and it abrades the
workpiece. The zone of contact is restricted to a spot due to the continuous forming
of the compliant sub-aperture polishing lap which makes it suitable for finishing of
a complex surface.
When MR fluid ribbon comes in contact with the workpiece, then abrasive
particles get penetrated in the workpiece due to the action of the normal force
(Fn) and peaks are sheared off with the help of tangential force (Ft) [115].
Figure 14 shows a schematic diagram of the general shape of influence function
for the wheel type configuration of MRF set-up. The shape of influence function
varies with the different configurations of the machine set-up. It is perceived that

Fig. 13 Schematic
representation of
magnetorheological finishing
110 G. Ghosh et al.

Fig. 14 Schematic diagram

of centre profile of influence
function for wheel type MRF
set-up, a spot leading edge,
b depth of deepest penetration
and c spot trailing edge

depth of deepest penetration (ddp) is situated at the minimum working gap between
the workpiece and carrier wheel, as the MR fluid is compressed utmost here
(Fig. 14c). Influence function contains the information of material removal char-
acteristics like the depth of deepest penetration, finishing area and volume of
material removed [116]. High consistency of the influence function indicates lower
residual surface profile-error and better quality of the finished surface. Influence
function of wheel based MRF configuration depends on many parameters such as
magnetic field strength, MR fluid volume on the wheel, wheel speed, workpiece
penetration depth in MR fluid, duration of contact, MR fluid properties (viscosity,
age, constituents, etc.) workpiece material (hardness, curvature, initial surface
roughness, etc.) [117].

2.6.1 Experimentation

Figure 15 shows vertical and horizontal tool configuration of MRF process. The
vertical set-up is mostly used for finishing of flat surfaces. In case of vertical set-up,
permanent magnet (NdFeB, N48 grade) is used for magnetization of MR fluid. MR
fluid gets stiffened and forms a flexible magnetic brush under the effect of magnetic
field as shown in Fig. 15. A circular blank of single-crystal silicon (50 mm
diameter and 6 mm thickness) is chosen as a workpiece material. MR fluid consists
of CIPs of average particle size 1.1 µm (HQ grade from BASF, Germany), cerium
oxide (CeO2) as abrasive of particle size 1.1–1.8 µm (Universal Photonics Inc.,
Fabrication of Optical Components by Ultraprecision … 111

Fig. 15 Vertical and horizontal finishing tool configurations of MRF set-up

USA), glycerol as a stabilizer, sodium carbonate as a buffer (Na2CO3) and deion-

ized water. Na2CO3 (PH near about 11) retards the corrosion of CIPs in the alkaline
environment and impede the particles agglomeration by making particles charged
and mutually repulsive [118].
The rotary motion to the MR polishing brush is provided by the vertical spindle.
In the first stage of the experiment, to-and-fro tool motion has been employed and
that motion system controls the feed rate in the x-direction shown in Fig. 16. In the
second stage of the experiment, the motion of the tool used is zigzag. In to-and-fro
motion, straight distance traversed by the MR finishing tool is 80 mm. The same
straight distance is travelled by the tool in case of zigzag path. However, due to the
zigzag tool path, total distance travel by tool is more as compared to to-and-fro tool
path. The MR finishing tool diameter (60 mm) is larger than the work piece
diameter (50 mm), during finishing MR finishing tool comes in contact with the
workpiece surface.
The surface topography of the workpiece before and after finishing is analysed
by 3D non-contact profilometer (CCI MP, Taylor Hobson, UK). The surface
roughness (Sa) of silicon is reduced to 10.5 nm from 1.8 µm within 160 min using
to-and-fro tool motion. Using zigzag tool motion, 4.84 nm (Sa) is achieved from
initial Sa of 2.26 µm within 248 min. Using 3D, 2D surface profiles and actual
photographs of unfinished and finished by zigzag path are shown in Fig. 17. Low
surface roughness is achieved in case of the zigzig path due to more interaction time
between the tool and the work piece.
Horizontal configuration of the tool can be used for flat as well as concave,
convex and freeform surfaces depending on the diameter of the carrier wheel.
Carrier wheel consists of a ring-shaped permanent magnet, and magnet fixture is
mounted on the in-house designed horizontal head of the machine as shown in
Fig. 15. Sintered Nd–Fe–B ring-shaped permanent magnet (N42 grade, outer
diameter = 100 mm, thickness = 8 mm) is used for magnetization of the MR fluid,
112 G. Ghosh et al.

Fig. 16 Schematic diagram of the MRF vertical process set-up (top view) showing different tool
paths

Unfinished surface Finished surface

(a) (b)

(c) (d)

(e)

Fig. 17 Comparison of unfinished and finished surface of silicon by (a–b) 3D and (c–d) 2D
topography and (e) actual photograph
Fabrication of Optical Components by Ultraprecision … 113

Fig. 18 (a) 2D topography, (b) 3D topography of the influence function, (c) 2D surface profiles
through the deepest penetration (along the cross section A–A), arrow (b) indicates the direction of
MR fluid ribbon motion

which has maximum energy product (BHmax) of 40–43 MGOe. MR fluid is

deposited on the rotating carrier wheel, and it forms a ribbon-like compliant fin-
ishing tool as shown in Fig. 15. The width and height of the ribbon are 8.5 and
2 mm, respectively. The MR fluid ribbon is dragged into the finishing zone by the
rotating carrier wheel, and it interacts with the workpiece and material removal
takes place. It is observed by the previous researchers [36] that the quality of MR
fluid (in terms of yield stress and viscosity) deteriorates with time. Hence, MR fluid
is removed from the carrier wheel after each cycle and fresh MR fluid is loaded
(approximately 35–40 gm) for the next experiment. A circular blank of
single-crystal silicon (Ø50.8  6 mm) is chosen as a workpiece material. No feed
is given to the tool or workpiece for influence function experiments, and dwell time
is fixed as 10 min.
The surface profile of the influence functions is analysed for calculating the
material removal rate and depth of deepest penetration using 3D non-contact pro-
filometer. Figure 18a, b shows the 2D and 3D topography of influence function.
The direction of MR fluid ribbon motion is indicated by the direction of the arrow.
To find the depth of deepest penetration for each influence function, the 2D profile
is extracted along the cross section A–A as shown in Fig. 18c. The information
obtained by the influence function is important to calculate dwell time and sub-
sequently material removal for finishing of the whole workpiece precisely.

3 Summary

Some of the well-known processes for optical fabrication such as ion beam figuring,
elastic emission machining, nanoparticle colloid jet machining and magnetorheo-
logical finishing have been described in this chapter. Superfine surface finish and
high figure accuracy are the prime requirements for the commercial applications of
optical materials. Therefore, aforementioned processes which do not apply very
aggressive force during finishing are more acceptable for optical fabrication. These
processes are comparatively slower than the conventional finishing processes like
114 G. Ghosh et al.

grinding and lapping but produce much better finish and figuring accuracy than
them. It is also observed that more than one process are mostly required to achieve
the desired surface roughness and figure accuracy, as the single process is not
capable to match the required specifications. An experimental study based on fin-
ishing of the silicon surface by MRF process where an areal roughness of 4.84 nm
is achieved and has been reported. This chapter hopes to facilitate researchers and
engineers working in the field of optical fabrication and encourages further research
and development in the field.

Acknowledgements The funding support from IIT Kharagpur under ISIRD grant and Board of
Research in Nuclear Sciences (BRNS), Bombay is acknowledged.

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Condition Monitoring in Micro-Injection
Moulding

C.A. Griffiths

Abstract This chapter looks at the condition monitoring of the micro-injection

moulding process (µ-IM). This manufacturing process has been applied success-
fully to a wide range of products in the micro-scale and is also an appropriate
technology for manufacturing meso-parts with both micro- and nano-features.
Improvement in the quality and the accuracy of parts made from polymers can be
successfully achieved by determining the optimum conditions for replication.
Process control in manufacturing is critical, and condition monitoring of µ-IM is a
control method for improved understanding of the effects of selected parameter
settings. This chapter reports on the condition monitoring methods used to improve
the factors that affect part’s quality. For each of the examples, the Taguchi design of
experiments (DOE) method is used together with demonstrations of various
experimental set-ups and the acquisition of data. The chapter advises on the
obtainment of information regarding the behaviour of the µ-IM and the significant
factors affecting the process. The selected case studies demonstrate the condition
monitoring of the cavity pressure, forces, temperature distribution and air evacua-
tion. For each, the research findings are discussed and conclusions are made.

Keywords Micro-injection moulding
Design of experiments
Microfluidics

Cavity Polymer

Nomenclature
ABS Acrylonitrile Butadiene Styrene
ANOVA Analysis of variance
D Diameter of the runner
d Diameter of measuring
DOE Design of experiments
Ea Air evacuation

C.A. Griffiths (&)

College of Engineering, Swansea University, Swansea SA2 8PP, UK
e-mail: c.a.griffi[email protected]

© Springer International Publishing AG 2018 121

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_6
122 C.A. Griffiths

Ep Pressure sensitivity
e
Fmax Maximum ejection force
P Pressure
PC Polycarbonate
Pc Cavity pressure
Pi Injection pressure
Pmax Maximum pressure
PP Polypropylene
Prate Pressure rate
PVT Pressure–volume–temperature
Pwork Pressure work
Q Airflow rate
Qmax Maximum air flow rate
SVR Surface to volume ratio
Tb Melt temperature
Tm Mould temperature
t Time
tmax Maximum time
th Holding pressure time
Vi Injection speed
µ-IM Micro-injection moulding process
η Viscosity

1 Introduction

The trend for broadening existing part functionality with micro-features and the
downscaling of existing designs has led to new micro-products entering the
industrial market place. With size decreases, cost reductions can be achieved
through the use of less material, energy, storage space and transport. To capitalise
on this economic potential of new products, it is paramount that production systems
are created to allow for the translation of micro-engineering ideas into commercial
opportunities. However, downscaling requires that traditional design concepts may
need to be reconsidered. The physical properties of micro-parts may be influenced
by forces, pressures, speed, temperature and time in an unexpected way, and the
behaviour of the parts is less understood when compared to meso-scale parts.
Product miniaturisation requires the development of key technologies for producing
the parts in high volumes. In particular, mass production requires the capabilities of
replication techniques such as micro-injection moulding (µ-IM). µ-IM is a complex
process with many control factors such as temperature, pressure and injection speed
for producing quality parts. To further understand and recognise the importance of
individual or combinations of process factors, an investigative analysis is required.
Condition Monitoring in Micro-Injection Moulding 123

This chapter highlights novel condition monitoring methods for measuring the
demoulding forces and cavity pressure, temperature and airflow. The understanding
of the phenomena being monitored is presented, along with an experimental case
study. Finally, validation and verification of the results are shown in order to
demonstrate to engineers and designers the opportunities that condition monitoring
provides for further understanding the behaviour of the replication process.

2 Condition Monitoring of Cavity Pressure

2.1 Understanding Cavity Pressure

During the cooling stage of the IM process, the polymers experience volume
change. These variations are due to the pressure–volume–temperature
(PVT) behaviour. Importantly, part shrinkage can be known using the PVT data and
there is an increasing recognition that cavity pressure can be used to experimentally
validate the PVT behaviour and theoretical shrinkage.
Condition monitoring of pressure in moulding is important to compensate the
effects of shrinkage and confirm that pressure (P) in the cavity is maintained. The
monitoring of cavity P is particularly important for thin wall parts where the high
P can cause tool deformation by flexuration or compression from the polymer
material. This section will investigate a cavity pressure condition monitoring system
and highlight proven experiments for identifying pressure control for improved part
quality. The link between part quality and cavity P has been investigated by
researchers [1–7]. Condition monitoring of P in µ-IM can be used to understand the
process better and by incorporating a piezoelectric transducer into the injection pin
the following conditions can be identified:
• The start of injection.
• Filling of the cavity volume.
• The second stage pressure.
• P reduction during solidification.
• A drop to atmospheric pressure after part demoulding.
Condition monitoring is used in µ-IM to quantify relationships between part
quality and process factors. In this case study, Dynisco PCI piezoelectric force
transducer with the data acquisition unit and Labview 8 software was used to
investigate the P in the cavity area. The mould and the Battenfeld Microsystem 50
moulding machine had been adapted to allow for a transducer behind the measuring
pin (d) (see Fig. 1). When the transducer experiences a mechanical load, there is an
electrical signal which is converted into a measurable voltage using a Kistler charge
amplifier. The specifications of the transducer and charge amplifier are:
• transducer: 0 to 10,000 N range and force sensitivity (Ef) of 4.2 pC/N;
• amplifier: 5000 pC measuring range and 0–10 V output.
124 C.A. Griffiths

Fig. 1 Piezo sensor

assembled to the mould

The output is monitored with a 16-bit module instrument. The pressure sensi-
tivity (Ep) is expressed as follows:

d 2
p
0:1
Ep ¼ Ef : ð1Þ
4

P in MPa is calculated as follows:

OutputðvÞ  500ðpCÞ
P¼  10: ð2Þ
Ep

In the following example, the influence of process parameters on maximum

pressure (Pmax ), pressure work (Pwork ) and rate of pressure change (Prate ) is analysed
using a condition monitoring set-up [8]. This investigation focuses on the filling
during l-IM (Fig. 2). With a large amount of recorded condition monitoring data
pre-processing is required. In this way, it is possible to construct the data for further
analysis. A MATLAB software tool is used to identify the key values, and a t series
function provides key variables to determine the P conditions. Pmax is measured to
find the highest P value that the tool experiences. This is a maximum P that the
cavity reaches at tmax .


Pmax ¼ Pcavity ðtmax Þ ¼ max Pcavity ðtÞ : ð3Þ

Pwork is calculated using P over t. This is defined as the integral value of the
filling stage pressure Pstart and ending with Pmax . Pwork is a P sum starting at time
(tstart) and ending at the time of Pmax , tmax . This is multiplied with a time step of Dt
(0.01 s) based on the data acquisition sampling rate. Thus, Pwork is calculated with
Condition Monitoring in Micro-Injection Moulding 125

Fig. 2 Pressure during filling curve

the following equation: !

X
tmax
Pwork ¼ Pcavity ðtÞ
Dt: ð4Þ
t¼tstart

The rate of pressure change (Prate ) represents a gradient of the cavity pressure
curve during the compression stage of the process. It starts when the cavity pressure
reaches 10% above the compression threshold and the end point is determined to be
at 10% below Pmax of the pressure curve.

0:9
Pmax  1:1
Pstart

Prate ¼ ; ð5Þ
tSlope end  tSlope start

where 1.1 and 0.9 are constants to reduce the gradient error for Pstart,
1:1
Pstart ¼ Pcavity ðtslope start Þ, and Pmax , 0:9
Pmax ¼ Pcavity ðtslope end Þ, respectively.

2.2 An Experimental Case Study for Pressure Monitoring

In this study, the design of a 15 mm  20 mm  1 mm microfluidics part was

used to analyse P in the cavity during the production of micro-parts (Fig. 3a). The
126 C.A. Griffiths

Fig. 3 a Mould design and b its microfluidics features

design has commonly microfluidics features such as reservoirs and channels. The
pins are 500 µm diameter and 600 µm height, and the main channels cross section
is 50–200 µm. The tool is made of brass machined by conventional and
micro-milling techniques (Fig. 3b). Three commonly used moulding materials,
Polypropylene (PP), Acrylonitrile Butadiene Styrene (ABS) and Polycarbonate
(PC), are used for the experiments. The make of moulding machine used is
Battenfeld Microsystem 50. To investigate the process influence on P, the following
four factors Tb, Tm, Ph and Vi were considered, each was set at two different settings
and a DOE was used to plan the experiments. The assessment would be based on
the results obtained for the 50 µm channel width features and the part weight is also
considered.

2.3 Validation, Verification and Results Using Pressure

Monitoring

Using a Taguchi design of experiments approach and employing a L16 Orthogonal

array, the effects on Pmax , Pwork and Prate were studied. The average Pmax result
showed the highest Pmax was 48 MPa when processing PC material and ABS was
the lowest at 7.29 MPa. For all three materials, there was a wide distribution of
results. The Pmax normal distribution identified PC with an average pressure of
29.24 MPa, PP had 16.78 MPa and ABS was the lowest with 13.01 MPa. The
distribution result also shows that process factors have more of an influence on PC
compared to ABS and PP. The normal distribution for Pwork also shows that the
highest result was for PC (1267.8 MPa.s) and the lowest was for ABS (15.6 MPa.s).
There is also a wide variation in the results, with the highest average recorded for
PC (633.7 MPa.s) then PP (200.1 MPa.s) and ABS, (130.3 MPa.s). The results also
show that the chosen control factors influence PC the most, this indicates that the
choosing the correct settings for Pwork control this material is critical. For Prate , the
results show that the highest and lowest recorded measurements were for PC at
Condition Monitoring in Micro-Injection Moulding 127

1.88 MPa/s and 0.05 MPa/s, respectively. The highest average change in pressure
was for PP (0.54 MPa/s) then ABS (0.50 MPa/s), and PC (0.37 MPa/s).
The results were used to identify the process effects on pressure using analysis of
variance (ANOVA), in this way the influence of each parameter on Pmax , Pwork and
Prate can be known. For Pmax , the results show that there is no specific selection of
settings that is optimum for controlling the pressure for the three polymers chosen.
Temperature is shown to be the most important factor, with Tm ranking high for PP
and Tb being high for ABS and PC. A Tb increase results in a Pmax decrease for
ABS (32%) and PC (41%). The viscosity curves for ABS and PC show that melt
temperature has an influence on the polymers so the condition monitoring results
confirm this relationship. For optimisation of Pwork , there is also no specific
selection of settings for the three polymers. Vi was identified as the important factor
for ABS and PC and ranked second for PP, for all three materials an increase in Vi
reduces Pwork . An increase in Tm results in an increase in Pwork for the three
materials. The influence of the parameter setting on Prate was similar for each of the
polymers, where an increase of TB and Vi increase the Prate . The control factors of
Tm and Ph, when increased, decrease the Prate . Overall Tm had the highest influence
where an increase in the temperature setting reduced Prate , this shows that through
temperature control viscosity is maintained causing an increased rate of filling.
This case study reports on the effects of four process factors: Tb, Tm, Ph and Vi on
pressure conditions in micro-cavities when replicating parts in three different
polymers and employs a design of experiment approach. Three cavity pressure
related factors (Pmax , Pwork , Prate ) were investigated and the research showed the
following:
• It is possible to assess cavity pressure conditions during part filling by
employing a specially designed condition monitoring set-up. It was shown that
Pmax , Pwork and Prate were dependent on both materials and processing
conditions.
• The mean value of Pmax , Pwork and Prate was analysed, and the results identify a
clear relationship between Pmax and Pwork . It was shown that the mean values for
each material were similar in terms of their distribution over the considered
pressure range. PC had the broadest Pmax and Pwork distributions while PP the
narrowest, thus indicating that PC is affected more by the process factors
(Fig. 4). The Prate distributions showed that the process factors led to a similar
rate of pressure change.
• The process parameters’ effects on P suggest that in context of Pmax , Pwork and
Prate there are no specific parameter levels considered to be optimum for the
selected polymers. Temperature can be considered the most influential param-
eter for Pmax , while Vi for Pwork . Increasing both decreases the P.
• Tm dominates as the most influential parameter for Prate . Also, it can be con-
cluded that the parameters influence is similar for all materials, furthermore for
all materials, it is shown that increasing the TB and Vi increases the Prate , and an
increase of Tm and Ph decreases Prate .
128 C.A. Griffiths

700

600
Mean
Pwork [MPa s] 500 Standard deviation

400

300

200

100

0
PP ABS PC
Materials

Fig. 4 Normal distribution of Pwork results

3 Condition Monitoring of Forces

3.1 Understanding Demoulding Forces

In this section, the effect of the process on the forces in the demoulding of
micro-parts is discussed and an experimental study is reported. Micro-parts have a
high surface to volume ratio (SVR), and this causes fast cooling times that can
result in high residual stresses in the parts [9]. After cooling the parts need to be
removed from the cavity and the applied force should not be higher than the
polymer material tensile yield stress [10]. The part-mould forces are due to contact
pressure that is increased because of the inherent shrinkage of the polymer onto the
surface and the coefficients of friction at the surface [11]. Ejecting parts and the
associated demoulding force (Fe) can cause part damage such as cracks and stress to
the design features [12]. The higher SVR of micro-parts increases the risk of
damage during demoulding, and studies on Fe have shown that surface friction, the
amount of surface area and the contact pressure in this area play an important part
[11]. P is known to influence part warpage [13], but it can also increase the
demoulding stress [14]. The influence of temperature at ejection is also important;
experimental results show that surface T influenced Fe and a decrease can be
observed with an increase in T, so increasing the control factor Tm can be used to
reduce Fe [15]. A critical temperature range (Tcr) has been identified as important
when considering Fe for micro-structures [16]. The tool design also has an influence
of force where the deformation experienced by the part is influenced by the posi-
tions and the number of pins in the mould cavity [17]. Monitoring the factors in the
IM process is a method for identifying quality of the moulded parts. Therefore, it is
critical to research the influence of different factors on Fe and identify processing
optimisation routes to reduce the forces.
Condition Monitoring in Micro-Injection Moulding 129

Forces experienced during moulding can cause elastic deformation of part fea-
tures and this can influence part quality. To acquire the necessary information about
these forces, a condition monitoring experimental set-up is demonstrated
(Sect. 6.3.2). The recorded force curves are of special interest for process optimi-
sation, and in this section, a solution for extracting the force data will be shown.
This case study demonstrates a condition monitoring set-up to investigate both
injection pressure (Pi) and cavity pressure (Pc) influences on the demoulding. It has
been shown in the previous section that P can be measured by integrating a
piezoelectric transducer behind the injection pin. This study also used a second
transducer integrated behind the ejector pin where Pimax and Pcmax are used to obtain
the highest P value that the tool experiences. The pressure work (Piwork and Pcwork ) is
calculated using P over t during filling. The P curve is defined with values, cor-
responding to the data acquisition sample rate, where Pwork starting with P at tstart
and ending with the mould opening time (tmould_opening), multiplied with the time
step of Dt (0.001 s) based on the sample rate of the data acquisition. Thus, the Piwork
is calculated as follows:
tmouldX
!
opening

Piwork ¼ P ðtÞ
i

Dt: ð6Þ
t¼tstart

P during demoulding, (Fig. 5), is used to calculate Fe (Fig. 6). Here, the focus is
e
on maximum ejection force (Fmax ) that parts can experience calculated using the
following equation:
e
Fmax ¼ F e ðtmax
e
Þ ¼ maxðF e ðtÞÞ: ð7Þ

Pi is indirectly measured using a piezoelectric transducer behind the injection

pin, and Pc was measured using different transducer behind the ejector pin (Fig. 1).
The mould tool was modified to allow the measuring ejector pin at the centre of the
insert, and the transducer is positioned on the ejector assembly. When the ejector
pushes the part from the cavity, the transducer is subjected to a load that generates
an electric power. The power is then converted by a ICAM Type 5073A Industrial
Charge Amplifier. The sensor signals are then downloaded to a data acquisition unit
and ready for accessed using Labview 8 software.

3.2 An Experimental Case Study for Force Monitoring

A microfluidics part used for smart diagnostic chips is used for this study [18]. The
system design has a microfluidics channel system and sections for the application of
biosensors for disease detection. The dimensions of the chip are 10 mm in diameter
and 1 mm thickness, and the main channels are 50 µm in width with a depth of
80 µm. The mould insert shown in Fig. 7 is made of steel and the polymer material
130 C.A. Griffiths

Pimax
Piwork
Pcmax
Pcwork

Mould opening

Demoulding cycle

Start of filling cycle

Fig. 5 Injection pressure, cavity pressure and demoulding curves

15
Curve Peak 2 - Maximum
demoulding force

10
Ejector Force [N]

Curve Peak 1- Part breakaway

from tool surface
-5

6000 6040 6080 6120 6160 6200

Time [ms]

Fig. 6 Enlarged force curve from the demoulding cycle in Fig. 5

Condition Monitoring in Micro-Injection Moulding 131

Fig. 7 a Microfluidics central inlet b Mould insert c microfluidics rib features

used is Topas cyclic olefin copolymers (COC) 5013. A L16 Taguchi DOE is used to
plan experiments where the effects of Tb, Tm, Ph and Vi were investigated at two
e
levels and the response variables measured were Fmax , Pimax , Piwork Pcmax and Pcwork .

3.3 Validation, Verification and Results Using Force

Monitoring

In this case study also a Taguchi design of experiments approach was adopted. For
each trial, the effects of the four selected process factors on Fe were investigated.
e
For the 160 experiments, the mean Fmax was 21.5 N, and the highest and lowest
e
recorded Fmax were 26.3 and 8.7 N, respectively. The results for the control factors
e
and their selected levels show that they have a varying influence on Fmax and
pressure. This is identified by the difference in the results for experiments 1–16,
e
with some experiments showing significant variations. The variation in Fmax can be
explained with changes in process conditions especially those due to Ph and Vi. For
e
these two factors, the high settings cause a high Fmax . It is also observed that a high
h e
Vi with high P leads to high Fmax measurements. The high Vi and Ph settings result
e
in the highest peaks for both Fmax and pressure. A correlation between the pressure
e
and Fmax results is observed through measurement and this result from condition
monitoring shows the dynamics nature of the process and the differing state of the
polymer during processing.
In order to analyse the significance of the process parameters affecting Fe, an
ANOVA was performed based on the results of the study. The Ph was found to be
most significantly contributed (20.9%) and increase in its value causes in an
e
increase of Fmax . Vi settings provide the lowest effect (2.7%) meaning that a high or
low setting has little influence compared to Ph. The main effects of the parameters
e e
on Fmax show that force is influenced mainly by Ph but also that Fmax increases as
132 C.A. Griffiths

Tm is increased. The packing pressure factor associated with Ph compresses the

polymer in the cavity and this pressure is only released after ejection making
demoulding increasingly difficult. A further interaction analysis was used to look at
the relationships between one or more control factors. It was shown that Ph and Vi
e
interactions had a high influence Fmax , and that interactions between Tm and Vi had
e
a low influence Fmax . For optimum parameters levels, it was possible to identify the
best settings in respect to controlling Fe using the selected µ-IM parameters. In this
e
case, the best condition for part quality is when Fmax is at its lowest. It is observed
e
that the lowest Fmax values can be obtained by the low settings of the process
parameters. The only factor that did not follow this observation was Vi where the
high settings caused lower force values.
This case study reports on the effects of injection and cavity pressures on
demoulding conditions that influence the ejection of the parts from the mould. The
following conclusion can be drawn:
• It was identified that Pmax , Pwork and Fmax e
were dependent on the processing
conditions and the demoulding force behaviour can be analysed easily by
monitoring P.
• The study showed a direct correlation exists between the P and the demoulding
e
force (Fig. 8). The Fmax , Pmax and Pwork interval plots showed significant
variations between the experiments. These variations are due to the two different
e
Ph and Vi settings, with the high levels providing an increase of P and Fmax . The
i e
Pwork response is closest to the Fmax response.
• A correlation between the process and the force experienced during demoulding
is observed and it is possible to identify factors with a significant (Table 1). Pimax
variations are attributed to Ph with high settings providing a high P.
• Process setting influence on P and Fmax e
show that Tb was the most important
c c e
factor for Pmax and Pwork , Ph was important for Fmax and Piwork and Vi was for
i
Pmax . For each factor increased settings resulted in a P increase.
• The high influence of Ph shows that the holding phase is critical for filling.
A trade-off between Ph and demoulding is thus important when considering part
damage.

4 Condition Monitoring of Temperature

4.1 Understanding Cavity Temperature

In injection moulding, it is critical to completely fill the parts if a multi-impression

cavity is used, and to do this a high melt temperature (Tb) and mould temperature
(Tm) needs to be maintained [19]. For moulding of micro-components, it has been
found that filling was influenced mostly by Tm and injection speed (Vi) [20]. During
filling a frozen layer forms at the walls of the mould and this affects the polymer
Condition Monitoring in Micro-Injection Moulding 133

120000 28

100000
23
Pi Work [MPa.ms]

80000

Fe [N]
18

60000

13
40000
Pi Work

Fe
20000 8
240 240 240 240 240 240 240 240 300 300 300 300 300 300 300 300
70 70 70 70 130 130 130 130 70 70 70 70 130 130 130 130
Off Off On On Off Off On On Off Off On On Off Off On On
200 800 200 800 200 800 200 800 200 800 200 800 200 800 200 800

DOE Process parameters settings

Histogram of Piwork and Femax

47000
28

37000 23
Pc Work [MPa.ms]

Fe [N]
27000 18

17000 13
Pc
Work
Fe
7000 8
240 240 240 240 240 240 240 240 300 300 300 300 300 300 300 300
70 70 70 70 130 130 130 130 70 70 70 70 130 130 130 130
Off Off On On Off Off On On Off Off On On Off Off On On
200 800 200 800 200 800 200 800 200 800 200 800 200 800 200 800

DOE Process parameters settings

Histogram of Pcwork and Femax

e
Fig. 8 Histogram of Pwork and Fmax results
134 C.A. Griffiths

Table 1 Response table for e

Fmax results
e
Fmax , Pmax and Pwork
Factor Tb (°C) Tm (°C) Ph (±) Vi (mm/s)
DOE level 1 [N] 20.99 20.07 18.94 21.75
DOE level 2 [N] 21.91 22.84 23.97 21.16
Importance 3 2 1 4
Influence [%] 4.1 12.1 20.9 2.7

flow. Subsequently, a thicker frozen layer reduces the flow of polymer melt and
heat loss increases and further adding to the frozen layer volume. The flow resis-
tance during filling can then cause pressure increases when filling multiple cavities
[21]. Runners are generally required to fill multiple cavities and it is important to
study the effects of different runner designs on the frozen layer thickness. One
solution is to use condition monitoring to measure the maximum cavity pressure
(Pmax ) during filling [22, 23]. Runner systems for meso-scale components consider
the relationship between the part size and weight. The main runner diameter is an
important variable for controlling the heat loss [24] and several cross-sectional
shapes can also be considered. Some designs have increased heat loss at the walls
and use more material volume when compared to circular cross-sectional designs,
and for this reason circular geometry is the most efficient [11, 25]. Another option
for avoiding runner heat loss is to increase the temperature. However, high tem-
perature settings also mean additional time is required to cool down the polymer to
a sufficient ejection temperature [26].
In multi-cavity mould tools, simultaneous filling is essential in order to replicate
all features. The mould and polymer temperatures in the cavity are often unknown.
Therefore, to ensure the selected temperatures are optimum for filling and cooling
cycles, a condition monitoring system can be applied. In this section, a
state-of-the-art of cavity condition monitoring for identifying temperature variation
during the moulding filling cycle is shown. The case study investigation will
provide an experimental procedure for recording temperature readings directly from
the runner area of a mould tool. The temperature readings are taken at the entry and
end of the runner, where the difference signifies thermal efficiency. The purpose of
the runner systems is to fill all of the cavities simultaneously at the same pressure
and temperature without a drop in the melt temperature (Tb) [27]. Other than cyclic
iso-thermal temperature changes the runner temperature is the same as Tm. When
designing runner systems the selected polymer viscosity (η) change due to heat loss
is critical. The heat loss in the material starts at the runner walls where a vitrified
layer of polymer becomes an insulator to the polymer at the flow core. The chosen
Tb must be maintained for the cavity to be filled completely. For micro-moulding,
the SVR of the runner should be a consideration and this is due to the high SVR of
micro-parts having an effect on the filling behaviour [28]. As a circular geometry is
the most efficient cross section, only this runner type is looked at in this case study.
To monitor temperature variation, thermocouples at the tool–polymer interface have
Condition Monitoring in Micro-Injection Moulding 135

Fig. 9 Condition monitoring mould insert with a runner and 4  spiral parts

been used in previous studies [29]. The temperature measurements were taken
directly from the runner. K type thermocouples with 500 µm diameter were
accommodated to assess the thermal efficiency of the runners (Fig. 9). Temperature
measurements were taken at the entry and exit of the runners; the difference
between the two identifies the efficiency of the runner. The readings are measured
with a 24-bit module instrument.

4.2 An Experimental Case Study for Temperature

Monitoring

A spiral with a total length of 29 mm and a cross section of 500  250 lm was
used to investigate the runner size influence on the filling (Fig. 9) [30]. Three tools
were made with four identical spiral cavities that are symmetrical in position, and
the runner cross section is round with a melt overflow (Fig. 10). The diameter of the
runner is in the range of 1–3 mm for the three tools. Two materials PP and ABS are
chosen for the experiments and Battenfeld Microsystem 50 was used. The speed
and temperature control determine the filling of micro-cavities; therefore, the effects
of Tb, Tm, Vi and holding pressure time (th) are also considered. For each runner size
and material, a Taguchi L9 DOE is used. With three runners and two materials
selected, six L9 arrays are used and there are ten trials for each combination. For
each, the temperature difference in the runner was measured.
136 C.A. Griffiths

Fig. 10 3 mm runner test part cross section (40–200 °C scale)

34

29
PP
24
Temperature [°C]

ABS
19

14

-1
1mm 2mm 3mm
-6
Runner Diameter

Fig. 11 The temperature changes in the runner system

4.3 Validation, Verification and Results Using Temperature

Monitoring

The case study demonstrates a condition monitoring system for monitoring the
change in the temperature of micro-parts in micro-cavities with a focus on the filling
of parts and runner size. The following findings are derived from this research [30].
A temperature rise of the Tb was shown for each of the materials and the runner
sizes, except for ABS with the 1 mm runner system (Fig. 11). The use of the 2 mm
runner resulted in the highest increase of the average temperature while the 1 mm
runner was the least subjected to temperature variations. For PP, the temperature
variations in the runner system do not seem to affect the filling performance.
Markedly, the micro-cavities were completely filled when using the 1 and 2 mm
Condition Monitoring in Micro-Injection Moulding 137

runners yet not with the 3 mm one in spite of the significant increase of temperature
compared with the 1 mm runner system. This suggests that PP is not sensitive to
temperature fluctuations due to its low viscosity characteristics. On the contrary, the
results for ABS suggest that the flow temperature affects the filling performance.
Notably, the highest flow length was obtained when the highest temperature
increase was recorded using the 2 mm runner system. In contrast, for the 1 mm
runner the decrease in temperature led to the lowest flow length.

5 Condition Monitoring of Airflow

5.1 Understanding Cavity Air Evacuation

In this section, the focus will be on the factors that influence the air evacuation from
the cavity during the filling stage. One condition for consistent replication results is
the evacuation of air or gas from the cavity. Inadequate venting can result in air
pockets trapped against the cavity walls and/or between converging flow fronts.
A novel condition monitoring of airflow in the micro-cavity will be identified for
the purpose of improved part quality and also the prevention of tool damage. The
case study will focus on the factors that influence the air evacuation (Ea) from the
cavity during filling. In l-IM, the T settings can exceed those used in conventional
IM. Distinctly, high Tb can improve the polymer flow while high Tm leads to a more
uniform distribution of residual stresses in moulded parts [31]. However, high T and
Vi settings can also result in uneven melt fronts, gas traps and burning of the
moulded polymers [32]. Increasing Tb, Tm and Vi improves cavity filling, though in
some cases the part edge definition can be compromised. One explanation is that the
expanding residual air is not completely vented and therefore hinders the melt flow
[19]. Liou and Chen observed residual cavities of air in sub-micron structures with
high-aspect ratios [33]. Yuan et al. [28] identified that during injection when
trapped air was compressed, T could increase and resulting in thermal degradation
of the polymer. Ruprecht et al. [34] used Ea to prevent the burning of plastic caused
by the diesel effect. In this study, Q_ variations in the cavity area were investigated
using an airflow transducer, Omron D6F-01A1-110, as shown in Fig. 12 [35]. This
gas flow sensor uses MEMS technology to accurately measure low Q_ over a range
of T. Inside each sensor there is a MEMS flow chip that has two thermopiles on a
heater element for measuring deviations in heat symmetry from passing airflow.
With no Q_ present, the T distribution at the heater is uniform and the differential
voltage of the two thermopiles is zero volts. With a Q_ presence, the sensor facing
the source of the airflow cools and the opposite side warms thus disturbing the
T equilibrium. The T difference results in a differential voltage between the ther-
mopiles which allows Q_ to be calculated. A National Instruments cDAQ-9172 USB
data acquisition records the signal. When the gas sensor is subjected to Q, _ this
results in an electrical output that is monitored by a National Instruments NI 9205
138 C.A. Griffiths

Fig. 12 Mould moving half MEMS sensor for

measuring air flow
Part cavity with
vent channel

16-bit module. In this study, the effects of the process are analysed using a con-
dition monitoring experimental set-up which is capable to measure the maximum
flow rate, Q_ max [ml/s], and calculate the integral of Q [ml]. Q_ max is monitored in
order to determine the peak Q_ value that the gas sensor has experienced. This value
is the maximum of Q_ over t where tmax represents the time when Q_ in the cavity
reaches its maximum.


Q_ max ¼ Qðt
_ max Þ ¼ max QðtÞ
_ : ð8Þ

The total airflow over time, Q, determines Q_ over the whole duration of the
filling stage and is the integral of Q. _ Resulting from the fact that the Q_ curve
(Fig. 13) is defined by the measured discrete values, Q is the sum of Q_ from the
start of the filing stage, tstart, until its completion, tend, multiplied by a time step (Dt).
The chosen Dt is 1 ms is determined by the sampling rate of the measuring system.
Thus, Q is calculated employing the following equation:
!
X
tend
Q¼ _
QðtÞ
Dt: ð9Þ
t¼tstart

5.2 An Experimental Case Study for Cavity Airflow

Monitoring

The test design used to analyse Ea is a 5 mm  21 mm  250 µm microfluidics

part (Fig. 14). The part includes seven micro-channels with cross sections of
100  100 µm2 and 14 mm in length. The part surface area is 226.5 mm2, and the
volume is 18.7 mm3. ABS polymer is chosen for experiments and the machine used
was a Battenfeld Microsystem 50. The mould tool uses Hasco K-standard modular
system parts. To control the amount of Ea from the cavity through such a primary
Condition Monitoring in Micro-Injection Moulding 139

Fig. 13 Airflow over time

Fig. 14 Part design

250 micron thickness part with 14 mm Microfluidic channels

made for 100 x 100 micron ribs

vent, a circular channel is machined to accommodate a 4 mm diameter O-ring

(46 mm inside diameter). The O-ring surrounds the cavity, seals the shut off faces
and restricts Ea through the primary vent. The 3 mm diameter half round runner,
gate and micro-part cavity, as shown in Fig. 12, are machined on the moving half of
the mould by micro-milling. At the flow path end and as far as possible from the
gate, a secondary vent, 1 mm  5 mm  200 µm, is machined on the cavity face.
This vent leads to a 1 mm diameter air relief orifice, through which Ea from the
cavity is channelled to a sealed airflow transducer. This experimental set-up uses a
Taguchi L16 orthogonal array (OA) and the response variables considered are Q_ max,
Q and part flow length.
140 C.A. Griffiths

5.3 Validation, Verification and Results Using Monitoring

This case study reports on the effects of air evacuation conditions in micro-cavities
when moulding. To analyse the airflow during filling, a condition monitoring
system is designed and integrated into the mould cavity. The main conclusions from
the research are:
• It is possible to assess air evacuation (Ea) conditions during part filling by
employing a specially designed condition monitoring set-up. It was shown that
maximum airflow (Q_ max ) and airflow over time (Q) were dependent on the
processing conditions.
• The data recorded for Q_ max and Q shows a normal distribution of the experi-
mental results. This indicates that the process factors significantly influence
Q_ max and Q. Regarding the flow length results, it was observed that the part
length was not uniform (Fig. 16).
• The recorded Q_ max and Q data have identified the influence of the selected
factors for process control. The parameters’ effects on Ea suggest that Vi can be
considered as the most influential parameter (Fig. 15). In particular, an increase
of Vi led to an increase of Q_ max . This suggests that the increase in the speed of
the polymer entering the cavity contributes to an increase in the rate of Ea.
• The part flow length data has identified that an increased resistance to air
evacuation (EaR ) results in a lower overall flow length (Fig. 16).

40
Low settings
35
High settings
30 Difference

25
Qmax [ml/s]

20

15

10

0
Tb[°C] Tm[°C] EaR Vi [mm/s]
Factors

Fig. 15 Experiment results for Q_ max showing the high influence of Vi

Condition Monitoring in Micro-Injection Moulding 141

Experiment 1 Experiment 6 Experiment 11 Experiment 4

Fig. 16 Variation in the part flow length

6 Conclusions

The characteristics of manufacturing systems are mainly responsible for the

development of miniaturised products. Micro-injection moulding is a cost-effective
method to develop precision micro-parts in high volume. The engineering challenge
tackled in this chapter is to broadening understanding of the moulding process
using condition monitoring. To validate this method, four experimental condition
monitoring set-ups were designed and implemented, together with a design of
experiments approach. The main conclusions from the case studies are as follows:
• For monitoring of pressure conditions, it is possible to assess cavity pressure
conditions during part filling by employing a specially designed condition
monitoring set-up. It was shown that results were dependent on both materials
and processing conditions. The similar process behaviour for all three polymers
has been investigated. The significant reduction in filling has been observed
with increase in injection speed and decrease in mould temperature.
• The study on the effects of injection and cavity pressures on demoulding con-
ditions identified that pressure and force were also dependent on the processing
conditions. The findings showed a direct correlation exists between the pressure
and force and that by monitoring the pressure behaviour it is possible to analyse
the demoulding force. In terms of the chosen settings, it is possible to identify
factors with a significant influence on part quality.
• Temperature condition monitoring was used for the investigation of runner size
effects together with other process factors. The results showed that polymer
temperature and injection speed settings have a direct influence on the runner
filling performance. A chosen runner size can affect the pressure and tempera-
ture of the polymer flow and an optimum runner surface to volume ratio can aid
filling performance. Importantly, it is shown that runner selection is very
important when designing micro-moulds.
• Filling of mould cavities can be improved by understanding the effects of air-
flow. The study showed that high process settings and poor venting significantly
impact on the filling behaviour. An inability of the cavity air to vent can result in
air traps that are bad for the mould and part quality, so there is a design necessity
for vents and vacuum for air evacuation in µ-IM.
142 C.A. Griffiths

Condition monitoring as a means of gathering empirical data using a systematic

experimental approach is invaluable to engineers who need to identify processing
conditions that are difficult to predict. The chapter shows that it is possible to gather
and assess complex process behaviour by developing specially designed systems
for condition monitoring. In order for engineers to determine the best production
routes for less well-known manufacturing processes they consider a wide range of
condition monitoring approaches. It is also important for practitioners to investigate
new sensor technologies and to find innovative ways of applying those to novel
micro-manufacture systems for improved productivity and high precision of
micro-parts.

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Surface Finish Improvement of Additive
Manufactured Metal Parts

Hany Hassanin, Amr Elshaer, Redha Benhadj-Djilali,

Francesco Modica and Irene Fassi

Abstract Unlike materials subtractive technologies, additive manufacturing

(AM) works on producing near-net-shape components according to a specific
design at which the synthesis is achieved layer by layer. Additive manufacturing
allows design freedom, making design-driven manufacturing a reality. However, its
poor surface quality is considered as one of the key challenges that are worth to
overcome. The main objective of this chapter is to report a comprehensive overview
of the techniques used to improve the surface finish and their advancements of
products made by metal additive manufacturing (AM) technologies and to highlight
experimental processes and data. Powder bed fusion (PBF) and direct laser depo-
sition (DLD) are the main processes covered in this review. The chapter starts with
the literature review and introduction to the main metal AM processes and their
surface roughness limitations, the effect of their parameters and the effect of the
laser re-melting on the surface quality. Next, it is followed by a number of surface
finishing techniques such as laser polishing, chemical and electropolishing.
Experimental results of post-surface finishing of AM parts by microelectrical dis-
charge machining are also presented.

Keywords Additive manufacturing
EDM
3D printing
Laser
Surface finish

H. Hassanin (&)
R. Benhadj-Djilali

School of Mechanical and Automotive Engineering, Kingston University,
Roehampton Vale, London SW15 3DW, UK
e-mail: [email protected]
A. Elshaer
Drug Discovery, Delivery and Patient Care (DDDPC), School of Life Sciences,
Pharmacy and Chemistry, Kingston University London, Penrhyn Road,
Kingston upon Thames, Surrey KT1 2EE, UK
F. Modica
I. Fassi
ITIA-CNR, Institute of Industrial Technologies and Automation, Bari, Italy

© Springer International Publishing AG 2018 145

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_7
146 H. Hassanin et al.

1 Introduction

Additive manufacturing (AM) is looked at as the third industrial revolution [1–3].

Unlike conventional subtractive technologies, which cut or subtract from a solid
block of the material to fabricate a final part, additive manufacturing builds parts or
features on a part layer by layer according to a sliced 3D CAD model. Compared to
conventional manufacturing techniques, additive manufacturing offers a wide range
of advantages. It allows more freedom for the computer-aided design
(CAD) designers to enable design and optimise topology, hence enabling the
production of near-net-shape metal parts with intricate details and eliminating the
need of expensive moulds. It also offers reduced lead time to market, minimise
materials waste and lower the cost. The UK technology strategy board emphasised
the strategic role of AM as a game-changer for future manufacturing. It has been
anticipated that it will be possible to print buildings, constructions and complete
body organs in the next 25 years [4].
Recently, industries such as aerospace, biomedical and automotive have
implemented additive manufacturing in their research and production plans [5–8].
The global market of additive manufacturing was about $3.7 billion by 2015, and it
is estimated to continue its rapid growth to reach over $6.5 billion by 2019 [9].
Wide range of materials can be printed using additive manufacturing including
metal, ceramics and polymers. Polymers are currently the most popular material for
3D printing owning to their availability and their low cost. However, AM of metals
holds a great potential in both the design and the choice of materials. Several metals
and alloys are particularly attractive for AM such as steels, titanium, nickel
superalloys and tungsten where subtractive machining is expensive and
time-consuming. However, since its development in the 1980s, AM is held back by
several technical challenges including processed materials, manufacturing speed,
CAD software and reliability. The poor quality of the AM surfaces is another key
issue that restricts the applications of AM products. Surface finish is considered as
one of the standard quality properties for mechanical products. Typically, the
fatigue strength is highly affected by the surface finish due to the initiation of cracks
on surfaces with poor quality. On the other hand, material strength and corrosion
resistance were proved sensitive to the surface quality. The quality of products with
rough surfaces can be improved by selecting a proper AM facility, together with
optimising the AM process parameters and raw material, and finally applying
adequate post-processing operations.

2 Metal Additive Manufacturing Techniques

Metal additive manufacturing can be classified into two main groups: powder bed
fusion (PBF) and direct laser deposition (DLD). PBF is an important category of
AM processes with the highest economic impact. As a result, many research works
Surface Finish Improvement of Additive Manufactured Metal Parts 147

are available for PBF than DLD metal AM processes. PBF includes selective laser
melting (SLM), selective laser sintering (SLS) and electron beam melting (EBM),
while DLD includes blown powder (BP) and wire feed (WF) systems. The main
metal additive techniques are summarised in Fig. 1.
AM techniques require a heat source to melt or sinter the processed material that
could be in a powder or a wire form. In general, the heat source melts the selected areas
using the absorbed power and the velocity of the energy source, and upon cooling the
melted pool, it solidifies creating a layer of the part. PBF typically uses fine powder,
and therefore, the power consumption of PBF is less compared to DLD processes. The
microstructural, mechanical and physical properties of the AM parts produced by
either PBF or DLD are affected by many factors including the used process (SLM,
EDM, BP, WF), process parameters (power, speed, rate, substrate-heating, etc.) and
materials’ characteristics (particle, size, morphology, etc.). Figure 2 shows the AM
regimes with respect to the beam power and speed [10].

Metal Additive Manufacturing Techniques

Direct Laser Deposition (DLD) Powder Bed Fusion (PBF)

Blown Selective Laser

Powder (BP) Melting (SLM)

Wire Feed (WF) Electron Beam

Melting (EBM)

Fig. 1 Metal additive manufacturing techniques

Fig. 2 Metal additive

manufacturing techniques
with respect to the beam
power and speed [10]
148 H. Hassanin et al.

PBF techniques were among the early metal AM techniques, first developed at
the University of Texas. These techniques include all AM techniques that use
focused energy from either a laser or electron beam to sinter or to melt a slice of
metal material. In these techniques, a layer of powder is spread on to a build
substrate while the electron and/or the laser beam is implemented to selectively
consolidate the metal powder according to a digitalised CAD model. Then, another
layer of powder is spread on to the previous layer and the process is repeated until
the desired geometry is achieved [11, 12].
Selective laser melting (SLM) is one of the important PBF techniques to build
near-net-shape components with complex geometries. These systems utilise laser
beam as an energy source to build metal components by selectively melting layers
of metal powder according to the CAD design. SLM technology offers numerous
merits over the other AM techniques; besides, it can build complex-shaped com-
ponents with a high degree of accuracy and resolution [13]. Electron beam melting
(EBM) is another powder bed AM fusion technology. Compared to the SLM, EBM
substitutes the laser beam with an electron beam as the energy source. In EBM, an
electron beam can reach a velocity of up to 8000 m/s while the laser beam in SLM
can achieve up to 10 m/s. In addition, vacuum conditions and a preheated substrate
are required for EBM. As such, dense components can be achieved using EBM, but
the process is restricted to conductive materials only [14]. Schematic diagrams of
SLM and EBM processes are illustrated in Fig. 3.
Direct laser deposition (DLD) techniques allow the manufacturing of parts by
deposition of the molten metals according to the CAD design. On the contrary, PBF
creates selectively melted powder via laser or electron beams. DLD is achieved by
simultaneously feeding a metal wire or powder into a focal point of high-energy
laser. DLD is used as an AM of metal and functionally graded parts. In DLD, there
is not a pre-deposited layer of powder and that is why it can be used as a method to
coat or repair parts by cladding. Blown powder and wire feed systems are the two
common processes for DLD [15]. In blown powder, the powder is sprayed through
a nozzle under inert atmosphere gas such as argon. The powder is then melted on a
focal point to create dense 3D structures or to coat the surface and/or specific
feature of a part (see Fig. 4a). Blown powder is a precise process as it uses an
automated robotic arm for the deposition of the metal materials with a thickness
ranging from 0.1 mm to few millimetres [16, 17]. This offers the freedom in design
in the production of complex structures. Moreover, the focused laser energy of
blown powder process reduces the effect of the thermal effects when compared to
other welding procedures. On the other hand, wire feed systems replace metal
powder used in blown powder with a metal wire. The metal wire is extruded
through a nozzle and melts using an energy source, typically a laser beam (see
Fig. 4b). In a similar way to blown powder systems, an inert gas shielding is
utilised either in an enclosed chamber or in an open environment. This process
offers superior deposition rate in comparison with other AM techniques. Moreover,
wire feed systems are cost-effective as they use metal wires that are cheap and more
easily available than metal powders [18].
Surface Finish Improvement of Additive Manufactured Metal Parts 149

Fig. 3 Schematic of powder Laser Source

bed fusion systems a SLM (a) Mirror
system, b EBM system
Laser Beam

Re-coater blade Formed

Object
Metal Metal
Powder Powder
Powder Build
Platform Platform

(b) Electron beam column

Metal Focus Metal

Powder lens Powder
supply supply
Formed
Object

Build
platform

The AM techniques as explained above can process wide range of metals, their
number continues to expand as improved technologies, and optimised operation
parameters emerge to cover new applications. The most popular metallic materials
used for AM are titanium and titanium alloys, aluminium alloys, steels,
nickel-based superalloys, steels and others. As a result of the explained AM
sequences, AM parts are characterised with a directional and chaotic surface tex-
ture. The directional texture is caused by the layer-by-layer process, while the
chaotic texture is caused by the partially melted powder. The directional texture is
highly affected by the “stair step” or which is the layered approximation of
geometries. Minimising slices’ thickness can enhance the surface quality of AM
metal parts. However, in most cases threshold layer thickness due to the minimum
150 H. Hassanin et al.

Fig. 4 Schematic of direct Laser beam

deposition a blown powder
(a)
system, b wire feed system

Focus
Powder
lens
nozzle

Powder stream
Focal point
Deposited layer Melt Pool
Workpiece

Laser head
(b)

Laser beam
Focus
lens Wire
feeder

wire

Deposited layer Melt Pool

Workpiece

Table 1 Surface roughness and materials of metal AM processes

Process Energy/material form Surface roughness (Ra) (µm) Materials References
SLM Laser/powder 10–20 Ti, Al, Ni, Steel, W [13, 19–30]
EBM Electron beam/powder 10–50 Ti, Ni, Steel [14, 31–34]
BP Laser/powder 20–54 Ti, Ni, Steel, W [16, 35–38]
WF Laser/wire 200 Ti, Ni, Steel [18, 39–41]

powder size or a technical barrier limits this approach. Therefore, various AM

techniques result in different surface characteristics. The ranges of typical surface
roughness generated by different metal AM processes are listed in Table 1.
Surface Finish Improvement of Additive Manufactured Metal Parts 151

3 Surface Finish Improvement Techniques for AM Parts

3.1 AM Process Optimisation

SLM process is considered the best process to give a smooth surface finish of 5–
20 µm. Manufacturing on optimised SLM parameters has been implemented in
order to improve surface quality. Ghanekar et al. investigated the influence of the
powder layer thickness on the surface finish of SLM parts. The results showed that
the stair stepping effect was minimised significantly upon using less thick powder
layer [42]. Similar approach was carried out by Calignano et al. who used Taguchi
statistical approach to optimise the surface roughness of AlSi10Mg parts. It was
concluded that the scan speed has the dominant effect on the surface roughness.
They were able to optimise the process parameters, and a significant improvement
in the surface topography was obtained (see Fig. 5).
Several statistical approaches were implemented in order to evaluate the effect of
the process parameters on the surface roughness of SLM parts and hence optimise the
process parameters. Bacchewar studied the effect offive independent variables: speed,
parts orientation, layer thickness and hatching space using central rotatable composite
design (CCD) to plan the experimental work while the analysis of variance (ANOVA)
and response surface were implemented to investigate the effect of AM variables on
surface roughness. The authors also used the MATLAB optimisation tool box to carry
out the optimisation process for minimum surface roughness. They found that build
direction and the thickness of layers have the major influence on the up-facing surface
characteristics. On the other hand, layer thickness, build orientation and laser power
were proved to have major effect on down-facing surface roughness [44]. Moreover,
Kaddar et al. studied the effect of the parts orientation on the surface roughness. It was
found that SLM parts built with inclined angle range between 5° and 30° was sus-
ceptible to poor surface finish [45].

Fig. 5 SEM images of surface roughness of AlSi10Mg built a default parameters, b optimised
parameters [43]
152 H. Hassanin et al.

Electron beam melting (EBM) has the ability to fabricate parts with a surface
roughness Ra of 10–50 µm (Table 1). Similar to SLM, researchers attempted to
improve the surface roughness of EBM manufactured parts by optimising the EBM
process parameters such as number of contours, contour offset, line offset and
spacing between contours. In EBM, the energy of the electron beam increases as the
current increases and speed decreases. Klingvall et al. investigated the effect of the
EBM process parameters on the surface roughness. The authors found that contour
offset and spacing between offsets significantly affect surface quality. However, the
study could not conclude optimised process parameters, because of the large
variation in the surface roughness Ra from build to build [46]. Later on, improved
results were obtained by Safdar and co-workers [47]. The study found that the EBM
process parameters and layer thickness have major effects on the average roughness
Ra. It was revealed that the surface roughness reduces with increasing the scan
speed and the offset focus, while it increases with increasing beam current and layer
thickness. Similar to SLM, Kleszczynski et al. confirmed the dependency of surface
roughness and the parts orientation. They found that samples with 45° inclined
angle had high roughness [48]. Apart from the process parameters, the arrangement
of parts in the building platform was proven to have a significant effect on the
surface quality. For instance, more heat was generated when parts fabricated with a
small spacing distance which increased the possibility to form partially melted
powder and hence degrades the surface quality [49].
Table 1 shows that metal parts with surface roughness Ra of 10–50 µm can be
achieved using BP direct laser deposition. The main process parameters of BP are
the power and powder feed rate. The influence of BP process parameters on surface
roughness was studied by Vinod et al. [50]. It was found that surface roughness
increases as the laser power, scanning speed and feed rate increase. Side surface
roughness of Ra = 4 µm and top surface roughness of Ra = 8 µm were achieved
using the optimum process parameters. Another correlation between surface
roughness and melt pools was also introduced by Gharbi et al. [51] who believed
that the use of thin layer thickness and large melt pools enhances surface quality.
Wire feed (WF) direct laser deposition is characterised by the largest layer thickness
among the other additive manufacturing techniques. Therefore, the process is
associated with poor accuracy and surface quality. The typical surface roughness Ra
of WF products is about 200 µm (see Table 1). The main process parameters of WF
manufacturing are wire feed, welding speed and laser power. The focus of opti-
mising the WF process parameters is to enable continuous melt pool. By optimising
WF process parameters, minimum surface roughness of RZ = 63 µm can be
achieved using laser powder of 3.0 kW, welding speed of 2.0 m/min and wire feed
rate of 100 cm3/h [18, 52]. As reviewed, it can be clearly seen that the surface
roughness of AM metal parts is affected by the process, equipment, build direction
and process parameters. It can be also noted that the SLM process produces the
smoothest surfaces compared to other metal AM techniques. Process optimisation is
particularly important for metal components with complex geometries where
post-processing may be difficult to achieve.
Surface Finish Improvement of Additive Manufactured Metal Parts 153

3.2 Laser Re-melting and Laser Polishing

Laser re-melting (LR) is an approach to improve surface texture of SLM compo-

nents. LR works by duplicating the laser melting of a layer so that the second scan
enhances the part density and the surface topography. On the other hand, laser
polishing (LP) is a potential post-processing technique to reduce surface roughness
of AM metal products. It is based on melting the surface of manufactured parts
using laser energy. A schematic diagram of the LP is shown in Fig. 6. When a laser
beam hits a rough surface, it locally creates a melt pool. The liquid melt pool levels
itself by the effect of surface tension and gravity. The temperature drops rapidly as
the laser beam leaves the scanned area, and the melt pool solidifies with a reduced
surface roughness. Alrbaey et al. [53] found that LR has the ability to reduce the
surface roughness of SLM parts. They used statistical approaches to optimise the
LR process parameters to largely eliminate the balling effect and improve the
microstructure, shrinkage and agglomeration. They were able to obtain samples
with almost 100% density and significantly improve the average Ra of up to 80%
when compared to the original SLM part.
Originally, LP has been introduced to improve surface characteristics of metal
materials fabricated using conventional methods, especially for materials which are
difficult to machine. However, the process has gained much interest with the rise of
metal additive manufacturing technologies. To date, the ability of LP in improving
the surface finishing of AM metallic parts was applied successfully on a range of
metallic materials including nickel alloys, titanium alloys, steels and aluminium
alloy [54–57]. Ma et al. investigated the polishing of AM titanium alloys such as
Ti-6Al-4V and TC11 using fibre laser. They studied the surface roughness of AM
surface and laser-polished surfaces and investigated the effect of the laser polishing

Laser beam
Direction

AM Rough surface
Laser polished surface
Melt Pool
Re-melted layer
Heat affected zone
AM Original Material

Fig. 6 Schematic of laser polishing

154 H. Hassanin et al.

Before After

Fig. 7 Surface topography before and after LP [64]

microhardness, microstructure and wear resistance of the samples. It was revealed

that laser polishing was able to reduce the surface roughness of the AM samples
from more than 5 µm to about 1 µm without compromising the mechanical and
microstructural properties [56].
Due to the novelty and potential capabilities of LP process, many research
studies were devoted to investigate experimental uses of LP aiming to optimise
process parameters to enhance surface quality of AM components. Process
parameters of a typical LP are similar to those laser AM processes, and they include
laser power (P), feed rate (Vf), overlap (Ov) and strategy of LP. Rosa et al.
investigated the surface texture of AM thin parts. They were able to optimise the LP
strategy and managed to achieve a surface roughness Ra = 0.79 µm from original
Ra of 21 µm [58]. Similar results were obtained from literatures [59–63]. In general,
LP has proven to lower the surface roughness significantly by optimising the LP
process parameters (see Fig. 7) [64].

3.3 Chemical and Electropolishing

Chemical polishing is a process where chemicals are used to remove a layer of AM

surface, thus polishing it and making it smoother. The process has been used not
only for additive manufactured components but also for traditionally manufactured
parts during which a wetted layer is created on a surface of metal part so that the
peaks on the metal surface is faster dissolved than the shallower peaks. The process
of chemical polishing titanium alloys can employ baths containing hydrofluoric
acid and nitric acid [5]. The process was investigated by a number of researchers
aiming to reduce the surface roughness of AM parts. Łyczkowska et al. and Pyka
et al. chemically treated the surface of Ti–6Al–7Nb SLM components with complex
geometry. Two different chemical baths such as hydrofluoric acid and nitric acid
Surface Finish Improvement of Additive Manufactured Metal Parts 155

were employed. They found a relationship between the chemical process parame-
ters such as composition of the bath and polishing time on the mass loss, partially
melted particles and struts diameter of AM samples. It was concluded that longer
treatment time with more diluted bath under magnetic stirrer allows better control of
the process and hence having better-polished samples [65, 66]. The process is
promising especially for complex and open porous AM structures.
Electropolishing (also known as electrochemical) is a polishing technique that
removes a layer from a metal component; it is the reverse of electroplating process.
In this process, the part (anode) being polishing is placed in an electrolyte solution
and subjected to an electrical current while the metal conductor is a cathode.
Alrbaey et al. studied the effects of electropolishing on the surface morphology of
316L stainless steel parts fabricated by SLM and optimise the process parameters
using statistical approaches. They found that the electropolishing of AM samples
can improve surface roughness (Ra) to 0.5 µm (about 60% of the re-melted sam-
ples) by targeting the surface peaks via preferential dissolution, hence considered an
attractive approach to decrease roughness of AM samples (see Fig. 8). Uniform
dissolution can be achieved through optimising process parameters.
Electropolishing can also remove oxide layer created during AM [67].
Electropolishing is not limited to stainless steel only, but it can polish other additive
manufactured materials such as aluminium alloys, cobalt chrome and titanium
alloys.

Fig. 8 a SEM micrograph of the SLM, re-melted, and electropolished areas, b comparison of
surface roughness (Ra) [67]
156 H. Hassanin et al.

3.4 Microelectrical Discharge Machining

Microelectrical discharge machining (µEDM) is a thermo-electric and contactless

method that utilises discrete discharges for machining electroconductive material
regardless their hardness or strength. It is denominated as “micro” since in this
version of the process the energy used to machine the workpiece is very fine. This
feature makes this technology suitable for micromanufacturing and high-precision
machining, especially when difficult-to-machine materials (i.e. electroconductive
ceramics) are processed [68]. The surface machined via µEDM process is char-
acterised by overlapping craters derived by a series of discharges. Due to the low
discharge energy, the crater dimensions can be few microns wide and, conse-
quently, the surface roughness may range in fractions of micrometres [69, 70]. For
all these reasons, µEDM can be a good candidate to play the role in the finishing
process aimed at improving the surface roughness and enhance the quality of the
SLM parts. Four different µEDM approaches are available; their choice depends
mainly on the type of tool electrode adopted for machining. Drilling-EDM can
produce microhole with high aspect ratio (up to 40), wire-EDM is usually adopted
in case of 2D and half features because of its high material removal rate, whereas
milling-EDM and sinking-EDM are usually adopted for complex 3D shapes.
Among the µEDM approaches, wire-EDM is the fastest and less sensitive to the
initial rough surface of the workpiece. Due to the very fine energy employed,
µEDM process is not suitable when a very rough surface is machined. The problem
is related to the electrode wear phenomenon that changes the shape of the tool when
very rough surface is polished. As a result, the machining conditions changed
which causes machining error. Depending on the µEDM approach, several com-
pensation methods can be implemented (Uniform Wear Method [71] in case of
milling or multiple shaped tool electrodes for the sinking approach). On the con-
trary, the wire-EDM does not suffer from the tool wear phenomenon since the tool
is a wire that is continuously renewed during machining. For these reasons,
wire-EDM is less sensitive to rough surface produced by SLM process. Therefore,
it was selected for the application presented in this chapter. In order to obtain the
highest flexibility from µEDM, it recommended to combine multiple µEDM
approaches sequentially [72]. A µEDM machine with one rotational axis, three
linear axes (Sarix SX-200) set with a wire-µEDM is used for the present study. The
tool electrode is a brass wire with a diameter of 0.2 mm. Two sets of technological
parameters, reported in Table 2, have been tested on SLM samples in order to
assess the µEDM process in finishing and roughing regimes. Hydrocarbon oil has
been used as dielectric, and polarity of the workpiece has been set to positive. Three
components were clamped on the machine, as shown in Fig. 9, and machined on
the square and lateral faces using both roughing and finishing regimes.
The “Energy” level (E) is an index (used by Sarix micro-EDM machines) that
determines the pulse shapes (long pulses, short pulses) and the maximum discharge
energy achievable for a single spark. Hence, the erosion process regime, i.e. fin-
ishing or roughing, is chosen by the energy level parameter. The higher this index,
Surface Finish Improvement of Additive Manufactured Metal Parts 157

Table 2 Technological Regime Roughing Finishing

parameters (Sarix version)
adopted in wire-EDM Energy [index] 365 105
machining for roughing and Polarity (workpiece) ± + +
finishing regimes Frequency [kHz] 110 180
Width [ls] 5 4.5
Current [index] 70 80
Voltage [V] 110 130
Gap [index] 65 75
Gain [index] 10/20 10
Feed ratea [mm/min] 1.044/2.088 0.702
Wire Diameter [mm] 0.2 0.2
Working Diameter [mm] 0.22 0.21
a
obtained by the other parameters

Fig. 9 Microcomponents
clamped for l-wire-EDM
machining

the higher the energy released during the discharge. The “Frequency” (measured in
kHz) and the “Width” (the time interval the generator is supplying the tool and the
workpiece, often called t-on, and measured in µs) govern the number of discharged
pulses. The “Current” parameter is also an index and used to limit the maximum
current during a discharge when long pulses are considered, and it is strictly related
to the “Energy” parameter. The “Voltage” parameter refers to the open voltage
value (electric potential difference applied between electrodes, wire and workpiece)
and measured in V. The “Gap” parameter refers to the distance between the
workpiece and the tool favourable to start sparking, while the “Gain” parameter is
158 H. Hassanin et al.

the control loop for the quick response of the system and for the process stability:
these last two parameters act directly on the feed rate and process speed. Finally, the
“Working Diameter” is the sum of wire diameter and the sparking gap, and it is
measured in preliminary tests since it depends on materials and other technological
parameters.
Before wire-EDM machining, the average surface roughness of the SLM com-
ponents was estimated by confocal microscope (Zeiss CSM700) which gave back a
value of 14.7 µm. Some technological parameters and performance results of the
wire-EDM processes are summarised in Table 3. Two values of gain parameter
have been used during the roughing regime. Also, different layer thicknesses for
both regimes and different stripe widths have been considered for finishing one. The
last two parameters determine the section area of the stripe removed during the
erosion. The performance of the EDM process has been evaluated by measuring the
average speed and the resulting surface roughness Ra.
It is evident that the layer thickness and the gain parameter affect the average
speed and consequently the machining time. When the roughing regime is adopted,
thanks to the high energy level, it is possible to engage 100% of the wire diameter.
Thus, this regime is often used in cutting, contouring or shaping the workpiece. On
the contrary, for finishing regime, it is necessary to reduce drastically the layer
thickness down to few per cent of the wire diameter in order to proceed with
comparable average speed. The surface roughness is only related to the energy level
adopted for machining, and as such, its dramatic improvement is evident after the
finishing regime.
Figure 10 displays a comparison of the lateral surface of a SLM sample before
and after l-EDM machining: the surface roughness has been largely enhanced from
Ra = 14.7 µm to Ra = 4.6 µm after the first lEDM process using roughing regime.
A further improvement of surface roughness has been accomplished after finishing,
resulting in Ra = 0.8 µm. The irregular surfaces of the square face presenting
microstructure are illustrated in Fig. 11a, b (opposite face), while Fig. 11c shows a
face after l-wire-EDM finishing. It is clearly visible that the machined surface has
experienced a dramatic improvement in both Ra and flatness. Nonetheless,
l-wire-EDM process proves its insensitiveness to the geometric complexity of the
face.

Table 3 Wire-EDM: technological settings and process performance

Machining Layer Stripe Max stripe Gain Average Ra
regime thickness/percentage width section area speed (µm)
of the wire diameter (mm) (mm2) (mm/min)
Original – – – – – 14.7
Roughing 0.1 mm/50% 3 0.3 10 0.68 4.6
0.2 mm/100% 3 0.6 20 1.029
Finishing 0.025 mm/12.5% 3 0.075 10 0.463 0.8
0.01 mm/5% 3 0.03 10 0.796
0.01 mm/5% 1.5 0.015 10 1.682
Surface Finish Improvement of Additive Manufactured Metal Parts 159

Fig. 10 a Part realised by SLM Ra = 14.7 µm, b surface after the EDM machining, roughing
regime: Ra = 4.6 µm, c surface after EDM machining, finishing regime: Ra = 0.8 µm

Fig. 11 SLM sample surfaces a before, b roughing, c polishing

160 H. Hassanin et al.

It must be underlined that the proper implementation of the finishing phase via
lEDM process does require that two machining steps (roughing and finishing)
should be adopted in order to improve both surface quality (roughness and flatness)
and machining time. Consequently, an adequate stock allowance on the nominal
dimension should be taken into account before the sample is realised in SLM.
Expected surface porosity and flatness of the SLM sample determine the stock
allowance thickness.

4 Conclusion

The review and experimental work reported in this chapter indicate that research of
polishing or surface modification of AM products is still in its early stages and
many efforts are required to be done to fulfil the specific application requirements.
Each of the metal AM techniques has its own surface quality and deposition rate
characteristics that are inversely related, which makes it unfavourable trade-off to
manufacturers. The review showed that surface roughness of SLM products is the
lowest while WF deposition products are the highest. Two approaches for surface
finish of metal AM exist: (1) Improve surface quality of as-fabricated products and
(2) AM surface characteristics are not significant as many applications require
post-processing to obtain surface quality requirements. These two approaches are
valid, and research work will continue to investigate the current AM process and/or
post-processing polishing. Several researchers tried to enhance surface finish
through optimisation of AM process parameters. This trend has been implemented
to all AM techniques, and success has been achieved in improving the surface
characteristics. However, the results indicate that the obtained surface roughness
does not fulfil the surface requirements of many niche applications such as aero-
space and biomedical applications. Hence, end-user products have to be
post-processed by polishing techniques.
As reported in this chapter, post-processing polishing techniques are promising
to qualify AM products for specific applications. Laser polishing and EDM have
shown their ability to improve the AM quality of flat surfaces. The preliminary
conclusions led to the fact that laser polishing is well implemented to AM products
of large simple components that are not complex. On the contrary, chemical and
electropolishing were successfully adopted to complex geometries. The two pro-
cesses showed a great potential in this field. However, a few research exists to claim
this trend. In addition, unfavourable chemicals and contaminations are expected by
using chemical and electropolishing. In summary, the future of AM surface
improvement technology is bright and will enable manufacturing of high-quality
AM metal components for various engineering applications.
Surface Finish Improvement of Additive Manufactured Metal Parts 161

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Precision Coatings

Zoltan-Iosif Korka

Abstract Precision coatings are used to fulfil various surface engineering require-
ments such as to provide necessary protection to the surface of an engineered part, to
impart necessary strength or hardness, or to increase its aesthetics. This chapter
introduces various important surface coating technologies. It starts with presenting the
concepts of universal underlying considerations—functions of coatings and then
moves to addressing the different types of coatings. The method(s) and area of
application, and the performance properties are presented for each coating category.
Furthermore, this chapter aims to provide an effectiveness comparison of different
coating types, enabling the reader to find the proper coating system for a particular
application. In addition, some quality and precision aspects are presented. In this
regard, the chapter discusses the main issues regarding the quality control of coatings,
verification means, inspection equipment, as well as the applicable standards. Finally,
the chapter is concluded with some practical examples of precision coatings applied
on gear teeth for increasing their wear resistance and for improving their dynamic
behaviour (vibration) and reducing the acoustic emission (sound level).

Keywords Gear
Deposition
Noise
Precision
Surface engineering

Tribology Wear

1 Introduction

The terms “coating” and “painting” are often used interchangeably. “Painting” is
traditionally used to describe the application of thin film pigmented materials as
distinct from clear films such as varnishes or lacquers, while “coating” is a more
general description for the process of applying a thin continuous layer to a surface.
Therefore, the term “surface coating” may be considered by purists as tautological

Z.-I. Korka (&)

University “Eftimie Murgu” of Reşiţa, Traian Vuia Square No. 1-4,
320085 Reşiţa, Romania
e-mail: [email protected]

© Springer International Publishing AG 2018 165

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5_8
166 Z.-I. Korka

[1]. However, in the UK and North America, there is a wide contrast between
painting and other surface treatment, such as anodizing, electroplating or the
lamination of a polymer film onto a surface. In the context of this chapter, the
author will be most concerned with the term “coating”.
Given the distinction mentioned above, the term coating is defined by most
experts in the field as the process of covering the surfaces of an object, usually
referred to as the substrate, or applying a layer for functional or decorative reasons.
The coating itself may cover only parts of the substrate, or may completely cover
the substrate, being an all-over coating. Jewellers are using coatings such as metal
plating only for decorative reasons, but in industrial applications, coating is used for
improving functionality or for preventing corrosion.
Corrosion is frequently causing material and structural damage, side effects that
are associated with extremely high-operating and repair costs can appear, as a
consequence. These expenses have an impact over both economical and environ-
mental aspects.
In some of the studies of the World Corrosion Organization (WCO), it is
highlighted that the corrosion jeopardizes public safety, decreases the quality of life
and causes damage to the environment. Recent studies by independent agencies
have assessed the cost of corrosion worldwide at up to 2.2 billion US $/year,
respectively, greater than 3% of world gross domestic product (GDP) [2]. This
value includes, first, the direct costs of corrosion, such as the replacement of cor-
roded materials and damaged components, and, second, the indirect costs of cor-
rosion, for example, costs associated with production-related drops, environmental
impact, effects on traffic and fatalities. The experts [2, 3] estimate that up to 25% of
these costs can be saved through proper application of technologies and knowledge
currently available on precision coating.
Recently, due to the development of new applications in the field of medical
technology, electronics, optics, sensors and energy, where the requirements
regarding precision, uniformity, stability, as well as high deposition rate of coatings
have grown, even in case of big surfaces, the term precision coatings is used.

2 Functions of Coatings

Traditionally, the main functions of coatings are to protect and to decorate sub-
strates [4]. More recently, a growth in the research and development, as well as in
the commercialization of coatings with novel functions, has been observed, in
addition to the initial protective and decorative properties. Coatings such as ther-
mochromic, antireflective coatings for eyeglasses, or energy-efficient coatings for
buildings are commercially available for more than twenty years. These classes of
Precision Coatings 167

coatings, often referred to as functional ones, are providing a significant added

value. Generally, the function of coatings is provided in three distinct zones:
• at the interface between coating and substrate;
• in the bulk of the coating;
• at the interface between coating and the environment.
While the list is long, Table 1 highlights the main functions of coatings for
industrial applications and some typical examples of use.

Table 1 Functions of coatings and examples of use

Functions Examples of use
Protection of substrate - Coatings for sealing and waterproofing of wood
- Coatings for sealing the surface of concrete
- Coatings for preserving machineries, equipments and structures
from degradation (anticorrosion)
- Coatings for passive fire protection
Improving the wear - Hard coating with titanium nitride (TiN) and/or titanium carbide
resistance (TiC) of cutting tools
- Diamond-like carbon (DLC) coating of gears
- Fluoropolymer coating of telescoping booms, ball reversers, rocker
arms or ball joints
Improving the friction - PTFE and moly-type coatings of air-cylinder pistons, hinges or
slide bearings
Sealing - Fluoropolymer coatings are ensuring a good thread-to-thread seal
on fittings, pressure plugs, valve stems and other threaded
fluid-power components
Changing adhesion - Non-stick PTFE coating for demountable assemblies in offshore
properties applications
- Fluoropolymer coating of the throttle shaft and butterfly from a
carburettor for eliminating ice build-up
Vibration and noise - Fluoropolymer coating of gears
reduction - Fluoropolymer coating of the rotors of a supercharger
Thermal insulation - Fluoropolymer coatings applied on rubbing parts of temperature
(Work on extreme sensitive materials for preventing damaging “hot spots”
temperatures)
Optical properties - Reflective coatings for mirrors
- Antireflective coatings for eyeglasses
- UV-absorbent coatings for increasing the life of substrate
Magnetic - Coating with magnetic media such as cassette tapes or floppy disks
characteristics
Electrical properties - Conductive coatings for manufacturing some resistors
- Insulating coatings of magnet wires used in electrical transformers
168 Z.-I. Korka

3 Classification of Coatings

As previously mentioned, the coating process involves the application of a thin film
of functional material to the substrate. Classification of coatings may be based on
various different criteria, such as:
(a) Depending on the substrate on which the coating is applied
From this point of view, coatings can be applied over:
• Metallic substrates;
• Non-metallic substrates (i.e. plastic, wood, paper, glass, ceramics, composite
materials, cement-based products).
(b) Depending on the material applied on the substrate
In this respect, coatings can be:
• Non-metallic coatings;
• Metallic coatings.
Plastic coating and rubber coating are the most common non-metallic coatings,
involving the application of a layer of the given material onto the substrate. A few
examples of such coatings are:
Wire and cable coating where the whole length of an electrical cable or con-
ducting wire is coated with a polymer or plastic, in order to ensure electrical or
thermal insulation;
Planer coating which involves the deposition of a layer over a flat surface;
Counter plating applied over a 3-D object and accomplished by spraying or
dipping.
Organic coatings are also a type of non-metallic coatings applied on different
substrates in order to provide a barrier between the substrate and the environment.
The application of an organic coating improves the appearance of the substrate
surface without having an appreciable influence on its mechanical properties.
Examples of organic coatings are listed below:
• Lacquering;
• Enamelling;
• Varnishing;
• Rubber-based coatings;
• Teflon coatings;
• Bituminous coatings.
Metallic coatings can be applied over non-metallic substrates (to give plastic, for
example, a metallic appearance) as well as over metallic surfaces. A few examples
of metallic coatings are electroplating, electroforming, galvanizing or anodizing.
Precision Coatings 169

(c) Depending on the chemical composition of the applied metallic material on the
substrate
Metallic materials may be plated with various metals for multiple purposes,
among which can be mentioned: increase of corrosion resistance, decorative scopes
or increasing wear resistance. The deposition is made by an electrochemical pro-
cess, called electroplating, and the most common procedures being listed in the
following:
Cadmium plating (or cad plating) offers a long list of technical benefits like very
good corrosion resistance in salt atmospheres, even at low thickness, malleability
and softness, good galvanic compatibility with aluminium, freedom from sticky and
bulky products, good ability to lubricate and can be dyed to various colours.
Chrome plating (less frequently chromium plating) is a finishing treatment
applied to metallic surfaces using the electroplating technique. Applying a thin
layer of chromium (often referred to simply as chrome) may have one of the
following purposes: to provide corrosion resistance, for decorative and aesthetic
reasons, as simple cleaning procedure, or as an increase of surface hardness and
wear resistance. As the process involves the use of very toxic chemicals, their
disposal is regulated in most of the countries. Working well either as paint base or
as final finish, chrome plating is used in military, aviation and aerospace applica-
tions. For environmental concerns, the chrome plating process has to be done under
very strict controlled conditions, because of the high toxicity of chromium metal.
Gold plating is a method of depositing a thin layer of gold onto the surface of
another metallic material, the most often substrates being copper and silver. The
procedure improves the corrosion resistance, respectively the electrical conductiv-
ity, and is mostly used in the modern electronics industry. A major problem which
appears at gold plating of copper is the fact that the copper atoms have the tendency
to diffuse through the gold layer, causing tarnishing of its surface and forming a
sulphide and/or oxide layer. Therefore, a barrier metal layer of nickel is applied on
the copper substrate, before gold plating, as nickel atoms do not diffuse to gold.
Gold plating may be also applied to some metals for ornamental purposes, in order
to improve their aesthetics.
Nickel plating is the electroplating process of depositing a thin nickel layer on
metallic parts. The procedure may be decorative or may provide wear resistance and
corrosion resistance. It can be also used for salvage purposes in case of
overuse-related problems or to build up the undersized respective worn parts.
Substrate materials may be steel, brass or zinc die castings. Main applications can
be found in the automotive industry for bumpers, rims and exhaust pipes.
Zinc plating serves to prevent oxidation of small parts such as springs, fasteners,
crank handles and other hardware items other than sheet metal. The protection is
ensured by the zinc oxide which acts, if undisturbed, as a barrier against oxidation,
similar to the anti-oxidation mechanism of aluminium or stainless steel.
170 Z.-I. Korka

Alloy plating is the co-deposition process achieved by electroplating, of two or

more metals, forming an alloy deposit, in order to improve the physical and
chemical properties of the metallic substrate. Nickel–Cobalt is the commonly used
alloy for this process. Depending on the alloy system, the mechanism can be a solid
solution strengthened one, or a precipitation hardening one, achieved by heat
treating process.

(d) Depending on the technological process used for covering the substrate
Various functions of the coatings, of which the most important were listed
above, may be achieved by using different coating materials and numerous coating
technologies. In order to obtain the best results, these technologies have to be
regarded as a system consisting the following three components: substrate material,
coating material and coating process (Fig. 1). This system, which exists in any
industrial application and needs to be coated, has to be defined and optimized.
The various choices of coating technologies leading to compound constructions
are made possible due to a great number of coating techniques and variants, resulted
from various specific needs and economic reasons. Therefore, coating technologies
are available in a very wide range, the following section aiming to exemplify some
of the most important processes used in precision coatings.

COATING COATING
MATERIAL PROCESS

COATING FUNCTIONS: PROCESS GROUPS:

- Substrate protection; - Electrochemical deposition;
- Wear resistance; - Electroless plating
- Friction; - Thermal spraying;
- Sealing; - Vapor deposition;
- Adhesion properties; SUBSTRATE - Cladding;
- Vibration and noise reduction; - Fluoropolymer coating.
MATERIAL
- Thermal insulation;
- Optical properties;
- Magnetic characteristics;
- Electrical properties.

SUBSTRATE PROPERTIES:
- Mechanical;
- Technological;
- Physical
- Chemical;
- Temperature dependent.

Fig. 1 System of coating technology

Precision Coatings 171

4 Precision Coating Technologies

4.1 Electrochemical Deposition

Electrochemical deposition, or electrodepositing for short, is also known as elec-

troplating and consists of first, immersing the part to be coated in an electrolyte
solution of the metal to be plated, and second, passing direct current between the
respective part, and another electrode. Usually, in the electrolytic process, the
cathode is placed to the workpiece, while the anode is made of metal to be plated
onto the substrate. The electrolyte is an aqueous conducting solution containing
metal ions.
The process is based on two laws from Faraday, which state that:
(a) The mass of substance set free in electrolysis is proportional to current flowing
through the cell, and
(b) The mass of the material set free is proportional to its electrochemical equivalent
(the mass in grams of that element transported by 1 coulomb of electricity).
As such, the process can be described by the expression [5]:

V ¼ k
I
t; ð1Þ

where:
V (m3) the volume of plated metal;
k m
3 a constant depending on density and electrochemical equivalent of
A
s
electrolyte;
t (s) the time for which the current is passing through.
Consequently, the character of the deposition depends on factors such as time,
temperature and composition of the electrolytic bath. These variables can be
adjusted to produce different coating thicknesses, or different mechanical properties
(soft or hard, dull or bright, respective ductile or brittle), respectively.
Figure 2 exemplifies copper plating on a metal substrate. For such an applica-
tion, the electrolytic bath is made of copper sulphate (CuSO4), mixed with water.
A Cu plate acts as anode while the metallic piece (Me), on which we want to plate
copper, acts as cathode.
Electrochemical process occurs as follows:
– Copper is oxidized at the anode to Cu2+ by losing two electrons;
– The cathode Cu2+ is reduced to metallic copper by gaining two electrons;
– As a result, copper transfers from the anode, depositing on the cathode (the
metallic piece).
Electroplating can be done with a single metal, multiple layers of different metals
or even alloys (e.g. brass). For example, in automotive, a bumper is usually plated
with three different layers: first, a layer of copper for a good adhesion; then, an
172 Z.-I. Korka

Fig. 2 Copper plating -+

e- e-
Cathode Anode
Me Cu

Cu

Cu2+
SO42-

intermediate layer of nickel for corrosion protection; and finally, a thin layer of
chromium for aesthetic (appearance) reasons.
Most metals can be used for electrochemical deposition. In this regard, the
largest quantities of metals plated by electrochemical deposition are (in order)
nickel, tin, and cadmium, while gold, silver and platinum represent the most
common plates.

4.2 Electroless Plating

Electroless plating, as indicated by its name, is an autocatalytic method used to

deposit a metal layer onto a solid workpiece, such as plastic or metal. This chemical
deposition process occurs in a liquid solution containing ions of the metal to be
deposited, in the presence of a reducing agent, which reacts with the metal ions.
Unlike electroplating, the process does not require an electric current to pass
through the solution to form the deposit. In case of nickel electroless plating, the
reducing agent is a hydrated sodium hypophosphite (H2O + NaPO2H2), while the
liquid solution containing nickel ions is nickel sulphate (NiSO4). The chemical
reaction which occurs in this case is:

NiSO4 þ H2 O þ NaPO2 H2 !½catalyst

heat
Ni Plating þ NaHPO3 þ H2 SO4 ; ð2Þ

Copper (Cu), nickel (Ni) or nickel alloys are the most common metals used for
this plating technique. The method is applied to prevent corrosion and wear of the
substrate, providing an even deposit, regardless of the geometry of the workpiece.
The coating thicknesses range from 2.5 to 150 µm, and the typical components
used for industrial purposes having a thickness in the range 50–100 µm.
Compared to electroplating, the electroless plating has the following advantages:
• The method is suitable both on metallic as well as on non-metallic substrates.
• The process does not require a DC power source.
Precision Coatings 173

• Parts with a complex geometry can be coated with an uniform thickness.

From the disadvantages of the method, we list:
• limited lifespan of the chemicals;
• high cost of waste treatment due to speedy chemical renewal;
• porous nature of the plating, leading to inferior material structure.

4.3 Thermal Spraying

Thermal spraying is the coating process made possible by special devices, through
which melted or heated materials are sprayed at a high speed onto a cleaned and
prepared surface [6, 7]. Figure 3 shows the principle of thermal spraying.
The coating feedstock material is initially heated by chemical (combustion
flame) or electrical (plasma arc) means, after which it is driven by process gases
and, is finally sprayed on the substrate, where it crystallize onto a solid layer. As the
liquid or molten particles of the feedstock material are impacting the surface with a
high speed, the coating particles are deformed and spread in flattened form on the
substrate. After the impact, the heat from the hot particles is transmitted to the base
material, which is colder. Thereby, the particles shrink and solidify, thus creating
porosities [8]. Obviously, in the coating layer, oxide and unmelted particles may
also appear (Fig. 4).
Because the adhesion of the coating onto the base material principally consists of
mechanical bonding, special attention has to be paid to careful cleaning and
preparation of the substrate. After removing the surface impurities by mechanical or
chemical procedures, the surface is roughened by grit blasting, usually with dry
corundum. Depending on the application, alternative blasting media can be steel
grit, chilled iron or silicon carbide (SiC). Besides the grit type, other important
factors of the blasting process are particle size and shape, pressure, blast angle and
purity of the grit media.
Regarding the coating material, for thermal spraying, any material that does not
decompose during melting can be used, usually in form of powder, wire or rod.

Fig. 3 Principle of thermal

spraying
174 Z.-I. Korka

Fig. 4 Diagram of thermal 1 2

sprayed coating (1 oxide
particle; 2 porosity; 3
substrate 4 unmelted particle)

3 4

Commonly used materials are pure metals (Zn, Al, Cu, Ni), oxides (Al2O3, Cr2O3),
self-fluxing alloys (FeNiBSi), carbides (Cr2C2, WC12Co), ceramics or plastic.
Various technologies are utilized to apply a coating by thermal spraying, among
which the following can be mentioned:
• Conventional flame spray;
• Electric arc wire spray;
• Plasma spray;
• High velocity oxy-fuel spray (HVOF).
(a) Conventional flame spray coating uses combustible gases, such as acetylene,
propane, natural gas or hydrogen, to melt the coating material. Based on the
form of the feedstock material, the process is divided into three subcategories:
powder-, wire- or rod-flame spray. The schematic diagrams of the conventional
flame spray using wire/rod and powder are presented in Fig. 5.
As it can be observed, in the case of wire and rod-flame spray, the coating
material (wire or rod) is fed concentrically into the flame, where it is melt and
atomized by adding the compressed air, that also drives the melted material against
the workpiece surface. In powder flame spray, the coating material is a spray
powder, which has the advantage of being available in a larger selection of spray
materials, as compared to the wire and rod materials.
(b) Electric arc wire spray uses a low power electric arc formed between two
oppositely charged metallic wires, usually having the same composition,
leading to melting at the tip of the wires (Fig. 6). The compressed air atomizes
the melted coating material, accelerating it against the substrate. The rate of
spray is adaptable by proper adjustment of wire feed, as it is melted, so a
constant arc can be managed.
A major advantage of the electric arc spray coating is that it produces the fastest
coating rate of any thermal spray process. This technology is also the most
Precision Coatings 175

(a) (b)
Nozzle Air cap
Powder

Coating
Nozzle

Coating
Oxygen
Fuel

Substrate
Substrate
gas

Oxygen
Fuel
gas Air
Wire/ rod

Fig. 5 Schematic diagrams of conventional flame spray process. a wire/rod-flame spray;

b powder flame spray

Fig. 6 Schematic diagram of electric arc wire spray process

thermally efficient, because there is no flame or plasma and, consequentially, an

insignificant part of the associated heat is transferred to the substrate. The disad-
vantage of the method lies in the fact that it is limited to materials which are
electrically conductive and can be produced into wires. Nevertheless, this incon-
venience can be eliminated by incorporating the non-electrically conductive
materials into the core of hollow conductive wires. Thus, materials such as carbides
can be sprayed by electric arc using cored wires.
(c) Plasma spray is the most versatile of the thermal spray processes, being capable
to deposit any material considered sprayable. The principle of the method is
shown in Fig. 7.
As shown in the figure above, in the device, a high-frequency arc is formed
between two electrodes (an anode and a tungsten cathode) in a plasma gas (mixture
argon/hydrogen or argon/helium). The gas passing through the electrodes is ion-
ized, creating a plasma plume with a length of several centimetres. Inside the plum,
the temperature can reach about 16,000 K. As the gas mixture is heated by the
176 Z.-I. Korka

Fig. 7 Schematic diagram of the plasma spray technology

formed arc, it expands, being accelerated through a nozzle, creating velocities up to

Mach 2. The coating material is added as powder from outside of the nozzle into the
plasma plume, where it melts and it is then sprayed onto the workpiece surface.
Different nozzle designs and powder injection schemes, together with the ability
to reach very high plasma temperatures, provide plasma spraying the possibility to
use a very large range of coating materials. The options vary from materials with
low melting temperatures, such as nylon, to materials with very high melting points,
such as tantalum, tungsten, ceramic oxides or refractory materials. Being the most
versatile of the thermal spray processes, plasma spraying is commonly used in a
wide range of applications in industries such as agriculture, aerospace, automotive,
medical devices.
(d) High velocity oxy-fuel spray (HVOF) is a relative new process among the
thermal spray technologies. The procedure differs from conventional flame
spray in that it uses confined combustion and an extended nozzle for heating
and accelerating the powder coating material. Most of HVOF devices move the
gas at velocities greater than Mach 5 (hypersonic speed). This high kinetic
energy enables this technology to obtain very dense coatings (typically less
than 0.5%), with a good adhesion. The principle of the method is shown in
Fig. 8.
HVOF uses different types of gases, as propane, acetylene, propylene, natural
gas and hydrogen, but also liquid fuels such as kerosene and diverse coating
materials such as ceramics, stainless steel, Stelite® or Inconel®. This coating type is
usually incorporated into the design of various parts, starting with simple compo-
nents, like bolts for agriculture combines, and ending with very complex compo-
nents, just as high-tech medical devices used in complex surgeries.
Precision Coatings 177

Fig. 8 Schematic diagram of the high velocity oxy-fuel spray process (HVOF)

Transport &
Evaporation deposition
Source material
Gas phase Solid phase
(Solid/ Liquid)

Fig. 9 Process flow diagram of PVD

4.4 Vapour Deposition (VD)

Vapour deposition (VD) refers to any process in which materials are reduced from
gaseous to a liquid state by condensation or by a chemical reaction. These processes
are carried out to obtain coatings for improving corrosion resistance and optical,
thermal, electrical, mechanical and wear properties of the substrate. Vapour
deposition processes are usually accomplished in a high-vacuum chamber, where
the coating material is heated electrically and evaporated, and formed vapours being
deposited on the surface to be coated.
The most common VD technologies are:
• Physical vapour deposition (PVD);
• Chemical vapour deposition (CVD).
(a) Physical vapour deposition (PVD) describes the process in which, first, a
source material goes by evaporation from the solid or liquid phase to the vapour
phase and, then, after transport and deposition, back, to a thin film condensed
phase (see Fig. 9), which covers the entire surface of a workpiece, rather than
just certain areas. The primary PVD methods are sputtering, evaporation, ion
implantation, ion plating and laser surface alloying.
PVD is used to deposit thin films for mechanical, chemical, optical or electronic
functions, such as for semiconductor devices, solar panels, food packing or cutting
tools. The most common coating materials applied by PVD are titanium nitride
(TiN), chromium nitride (CrN), zirconium nitride (ZrN) and titanium aluminium
nitride (AlTiN).
178 Z.-I. Korka

Compared to other coating technologies, PVD has following advantages:

• PVD is more environment-friendly than traditional coating technologies, such as
electroplating or painting.
• Ability to use a various range of organic and inorganic coatings on diverse
substrates, using different finishing classes.
• A given film can be applied by more than one technique.
• PVD coatings are more corrosion resistant and harder than the coatings obtained
by electroplating methods.
• Most of the PVD coatings maintain their strength at high temperature and under
impact conditions.
• Excellent abrasion resistance and durability, so that protective topcoats are
almost never necessary.
The method is associated with a few disadvantages too:
• The deposition rate is usually quite slow.
• PVD needs a cooling system to dissipate a large amount of heat.
• Some PVD technologies work at very high temperatures and vacuums, which
require skilled operating personnel.
• The technology involves high capital costs.
(b) Chemical vapour deposition (CVD) was initially considered a subset of PVD,
but over time, as new technologies have been developed, the distinction
between CVD and PVD has blurred.
In typical CVD coating processes, reactive gases, often diluted in so called
carrier gases, are brought at ambient temperature in a reaction chamber. This gas
mixture is heated as it nears the workpiece surface which is placed upon a heated
substrate. Depending on the operating conditions, the reactive gases may be sub-
jected to homogeneous chemical reactions in the vapour phase before impacting the
surface. Adjacent to the surface, momentum, thermal and chemical concentration
boundary layers form as the gas flow heats, which then decrease due to viscous drag
and the chemical composition changes. Heterogeneous reactions of the source gases
occur at the workpiece surface, forming the coating deposition. During this process,
volatile by-products, which are removed by gas flow through the reaction chamber,
are also produced. The steps involved in the chemical vapour deposition process
and a typical CVD reactor are shown in Fig. 10.
CVD is used to deposit various materials including carbide, nitride, oxynitride,
titanium nitride, carbon or tungsten, in ways that traditional coating technologies
are not capable of.
CVD has following advantages:
• The technology allows high purities and growth rates.
• The process is economical, since more parts may be coated at the same time.
• CVD can deposit materials which are hard to evaporate.
Precision Coatings 179

(a)
Mass
transport of Reaction of
Absorption of
Formation of the reactant the
reactants in
the reactive gas through a absorbents to
the substrate
gas mixture boundary form the
surface
layer to the coating layer
substrate

(b)
Pressure sensor Heater

Gas outlet
Substrate

Gas inlet Heater Quartz tube

Fig. 10 a Process flow diagram of CVD and b typical CVD reactor

• The technology is versatile (any element or compound can be deposited) and has
a good reproducibility.
Disadvantages may be mentioned as follows:
• The process is toxic and corrosive.
• CVD involves, as well as PVD, high temperatures.
• Being a complex process, it needs high-skilled operators.
• The start-up costs are high.

4.5 Cladding

Cladding is the process in which two different metals are bonded together. It is
different from gluing or fusion welding, being achieved by extruding two metals
trough a die or rolling two layers of different metals under high pressure. For
example, an ordinary steel sheet is hot-rolled together with a thin nickel sheet for
improving the properties of the steel substrate. Another example is that in which a
high-strength aluminium alloy is often clad with a thin layer of commercial pure
aluminium, in order to provide a corrosion barrier, because the alloy is vulnerable to
stress corrosion. Materials such as aluminium, copper, nickel, titanium or stainless
steel are the most common cladding materials used for steel.
180 Z.-I. Korka

This coating technology offers a high economic advantage by using, for

example, for the construction of a high-pressure vessel, an inexpensive steel
cladded with a relative thin layer of high-corrosion resistant material. In this case,
the very high material costs, if the entire wall of the vessel would be made from
corrosion resistant material, can be significantly reduced by using the cladded
ordinary steel.

4.6 Fluoropolymer Coatings

A fluoropolymer is a chemical compound based in fluorocarbon which has many

strong carbon-fluoride bonds. As the fluorine in a fluoropolymer is electrically
negative, it provides the chemical compound the characteristic of not bonding
lightly with other materials. This gives the fluoropolymers the non-stick property.
A fluoropolymer is an umbrella term which includes many products having
trademarks like Algoflon®, Excalibur®, Fluon®, Kynar®, Maxcoat®, Solef®,
Teflon® or Xylan®. Each of the above-mentioned brands represents a family of
coatings specially designed to meet various engineering requirements, such as
environment, expected loads, temperature, prescribed tolerances and other signifi-
cant factors. For aesthetic or identification purposes, these fluoropolymer coatings
are available in different colours.
The main features of the fluoropolymer coatings can be summarized as follows:
• coating thickness range: 5–20 lm;
• temperature range: −130–260 °C;
• hydrophobic surface;
• chemically inert;
• low friction coefficient;
• anticorrosive properties;
• wear resistant;
• flame retardant;
• electrically resistive;
• lower risk of hydrogen absorption, compared to electroplating coatings.
Fluoropolymer coatings are in a high demand for industrial applications because
of the advantages they offer. Besides the advantages previously presented,
fluoropolymers reduce the friction and increase the corrosion resistance, being
suitable for the use at high temperatures, too. They are good insulators, meaning
that they do not conduct electricity and also they do not absorb water. All these
unique factors or combinations of them make fluoropolymer coatings ideal for use
in automotive, aeronautics, electronics and many other applications.
Thus, in airplanes, fluoropolymer coatings are applied to the wiring insulation
for protecting them and to reduce the fire risk. Furthermore, they are replacing
cadmium in corrosive environments, by being applied on high use surfaces from
Precision Coatings 181

aircraft cabin interiors, actuators, gears, bearings, wheels or landing gear

components.
A significant portion of high demand of fluoropolymer coatings comes also from
the automotive industry, because they improve friction and help to treat corrosion of
car parts. Lifespan of components like bearings and gears, which must withstand
intensive wear and tear processes, can be significantly improved by applying
fluoropolymer coatings. Pistons, cylinder blocks, cylinder liners, fuel pumps,
engine block covers, swivels or splines are other automotive components whose
lifetime can be extended by adopting this coating technology.
Fluoropolymers are also widely used in many other industrial settings, such as
packing and printing factories. They use fluoropolymer coatings to apply thin
protective layers on parts such as rolls, frames or ink trays. The coating prevents
moving parts to stick to items that pass through and also make them easier to clean.
In medical and pharmaceutical applications, fluoropolymers are used to coat
bone prostheses, turbo-molecular pumps, dental and pill moulds, mandrels, needles,
scalpels, stents, surgical instruments and many other tools.
Even if the request for fluoropolymer coatings is already extensive, new uses and
applications are constantly being developed, resulting in a continuous increase of
the demand.
Without claiming to be presented all the painting techniques, Table 2 synthe-
sizes the main advantages and disadvantages of the precision coating technologies
summarized in the previous sections, enabling the reader to find the proper coating
system for his application.

5 Precision Coatings—a Matter of Quality

Quality is most often defined as the sum of properties and characteristics that a
product or service must have to meet all the requirements stipulated and assumed.
In practice, the full potential of a special coating can be ensured only if the fol-
lowing conditions are simultaneously met:
• the coating materials have a proven quality;
• the necessary pretreatments of the substrate were properly fulfilled and
controlled;
• the application method was correctly chosen, performed and checked.
Therefore, one of the most important aspects of special coating technologies
involves an adequate quality control, in order to ensure the compliance with the
requirements and the agreed specifications. The quality control activities may be
divided into the following actions [9]:
(a) visual inspection;
(b) chemical composition;
182 Z.-I. Korka

Table 2 Advantages, disadvantages and typical application fields of the presented precision
coatings
Coating Advantages Disadvantages Typical applications
technology
Electrochemical - versatile and inexpensive - non-uniform - car parts
deposition - low-temperature operating plating - bath taps
conditions - time-consuming - kitchen gas burners
- good corrosion resistance process - wheel rims
- improves the mechanical - pollution potential
properties of the substrate - the electroplating
solution has to be
disposed safely after
use
Electroless - method is suitable for - limited lifespan of - aeronautics
plating non-metallic substrates the chemicals - car parts
- process does not require a - high cost of waste - food industry
DC power source treatment due to - cutting tools
- can be coated deeply speedy chemical - chemical and oil
recessed areas renewal industry
and parts with a complex - porous nature of - electronics (hard
geometry the plating, leading drive substrates,
- uniform thickness of the to inferior material printed boards)
coating structure
Thermal spraying
Conventional - simply in design and easy - high porosity - repair procedures
flame spray to operate (10-20 vol.%) to restore
- little operating training - low density and components to their
- dust, fume and noise level high oxide level initial dimensions
lower than at other thermal - very difficult to
spraying processes achieve deposition
- lower equipment costs on inner surfaces
compared to other thermal - requires special
spraying processes health and safety
measures
Electric arc wire - highest deposition rate of - very difficult to - gas turbine
spray the thermal spraying achieve deposition components
processes on inner surfaces - textile machine
- lower operating costs then - lower coating components
plasma and HVOF spraying quality compared to
- low heating of the substrate plasma and HVOF
spraying
Plasma spray - higher quality compared to - equipment is not - orthopaedic
flame and electric arc suitable for manual implants
spraying operating - paper industry
- wide range of coating - inner electrodes of (calendar rolls)
materials the spray gun need - aluminium engine
- suitable for spraying of to be often replaced blocks
refractory metals - high investment
costs
(continued)
Precision Coatings 183

Table 2 (continued)
Coating Advantages Disadvantages Typical applications
technology
High-velocity - high density and hardness - requires qualified - landing gears
oxy-fuel spray - thicker coatings due to less personnel - jet engine
(HVOF) residual stress - very difficult to components
achieve deposition
on inner surfaces
Vapour deposition
Physical vapour - more environment-friendly - slow deposition - cutting tools
deposition than traditional coating rate - automotive
(PVD) technologies - dissipates a large components
- ability to use a various amount of heat - punching and
range of organic and - require skilled forming tools
inorganic coatings on diverse operating personnel - injection moulding
substrates, using different - high capital costs tools
finishing classes - optical components
- a given film can be applied
by more than one technique
- more corrosion resistant
and harder than the coatings
obtained by electroplating
methods
- good strength at high
temperatures and under
impact conditions
- excellent abrasion
resistance and durability, so
that protective topcoats are
almost never necessary
Chemical - high purities and growth - toxic and corrosive - forging tools
vapour rates -involves high - stamping tools
deposition - economical temperatures - extrusion dies
(CVD) - can deposit materials which - needs high-skilled - semiconductors
are hard to evaporate operators and related devices
- versatile - start-up costs are
- good reproducibility high
Cladding - material costs reduction - high-pressure
- provides a good corrosion vessels
barrier - boiler tubes
- pipelines
- valve components
Fluoropolymer - hydrophobic surface - limited resistance - automotive and
coating - chemically inert to contact pressure aircraft components
- flame retardant - fasteners
- low friction coefficient - medical devices
- good damping properties - pharmaceutical
devices
- gears and bearings
184 Z.-I. Korka

(c) thickness;
(d) porosity;
(e) adhesion;
(f) stress;
(g) ductility;
(h) strength;
(i) hardness;
(j) wear resistance.
The number and method of tests to be adopted depend on the coating material,
the substrate characteristics and the deposition technology. Given the theme/scope
of this chapter, some relevant aspects regarding precision control issues of the
coatings are presented.
Hardness and thickness are important quality issues of each coating process, as
they are significantly influencing not only the appropriate selection of the coating
material, but also the longevity, the final texture of the surface and the final cost of
the product.

5.1 Hardness Measurement

Hardness is the property of a material to resist against permanent deformations. In

the coating industry, hardness measurements are performed to determine the
resistance of the coating to wear and tear, to scratching or to find out if the coating
is fully cured. Therefore, depending on the requirements and the type of the coating
(metallic or non-metallic), various methods to test the coatings hardness are
available.
For metallic coatings, the usual method to achieve the hardness value is to
measure the area or the depth of an indentation left by an indenter having a specific
shape, after applying a specific force, for a specific time period. There are four main
scales for expressing the association between hardness and the size of the pene-
tration, these being Brinell, Rockwell, Vickers and Knoop (for microhardness).
For non-metallic coatings, the following testing methods are being used in
practice:
– pendulum test;
– Buchholz indentation test;
– pencil hardness test.
The pendulum hardness test evaluates the hardness by measuring the damping
time of an oscillating pendulum. The testing method conforms to the standards ISO
1522 and ASTM D4366. Two types of pendulums (Koenig and Persoz) were
standardized for this testing method.
The Buchholz indentation test method is applicable only on coatings with plastic
deformation, consisting of a double con block, which is placed for 30 s on the
Precision Coatings 185

coating. The occurred indentation is measured with a precision microscope. The

length of the indentation mark in the coating indicates the hardness of the coated
surface. The method complies with the standard ISO 2815.
The pencil hardness test, also known as Wolff–Wilborn, is ideal for a quick eval-
uation of smooth coating surfaces, the hardness being evaluated with pencils in the
hardness range of 8B to 10H, which are drawn over the coating surface, under a 45°
angle with a constant pressure, in order to determine which pencil causes indentation.
The testing method complies with the standards ISO 15184 and ASTM D3363.
As the hardness testing can directly affect the appearance of the part being
evaluated, by causing unnatural imperfections on the evaluated surface, the mea-
surement is regularly performed on coating samples.

5.2 Thickness Measurement

For reasons of functionality or economy, the coating thickness has to be precisely

measured, in order to ensure the stipulated requirements. Together with the progress
of various precision coating technologies, a variety of equipment and methods for
testing the coatings thickness have been developed over the years. Most of them are
non-destructive and cover a wide range of applications. These non-destructive
methods are mostly used in commercial applications, while the destructive methods
are rarely used outside the laboratories. As a single standard measuring procedure
does not suite the measurement of all type of coating thicknesses, a basic under-
standing of these methods is essential when selecting the appropriate equipment.
(a) Magnetic induction method measures both non-magnetic coatings over metallic
substrates and magnetic coatings over non-magnetic substrates, being ruled by
the standards ISO 2178 and ASTM B499. The method is suitable for individual
coating layer with thicknesses from 1 to 1000 lm and relative smooth surface.
Measurement principle of the method is graphically displayed in Fig. 11. As it
can be observed, by placing the probe on the sample, the magnetic flux density of
this field is modified either by the magnetic substrate or by the thickness of the
magnetic coating. This change in the magnetic inductance is measured by a sec-
ondary coil, which is placed inside the probe. The output tension U = f(Th) is
transmitted to a microprocessor, where it is viewed on a display as a coating
thickness (Th).
The method is quick and can be used for liquid or powder coatings, as well as
cadmium, chrome or zinc plating applied on metallic substrates.
(b) Eddy current method is used to measure the thickness of electrically
non-conducting coatings applied on non-magnetic metallic substrates, such as,
for example, fluoropolymer applied on aluminium or copper. The method is
ruled by the standards ISO 2360 and ASTM B244.
186 Z.-I. Korka

Fig. 11 Principle of Iron

Low frequency
magnetic induction method core
alternating
Exciting
magnetic field
current

Measurement
signal
U= f(Th)

thickness (Th)
Coating
Substrate

Fig. 12 Principle of eddy Ferrite Low frequency

current method core alternating
Exciting magnetic field
current
U= f(Th)
Measurement
signal
thickness (Th)
Coating

Eddy
Substrate currents

The technique is similar to the previous one, quite often using the same probe
design. As shown in Fig. 12, the probe contains only one coil, but this time it has a
dual function: excitation and measurement. By bringing the probe close to the
sample, eddy currents are generated in the metallic substrate, which will cause an
impedance modification in the probe coil. This modification depends on the dis-
tance between the probe coil and the conductive substrate, i.e. the coating thickness.
Measurement results are shown on a display, the typical tolerance being ± 1%.
(c) X-ray fluorescence method is a non-contact method used for measuring very
thin multilayers of coatings applied on small substrates which have complex
shapes. The standards ISO 3497 and ASTM B568 are regulating this procedure.
The method is performed by exposing the sample part to X-radiation, which is
focused by a collimator onto an exactly defined surface of the part (Fig. 13).
Precision Coatings 187

Fig. 13 Principle of X-ray X-ray tube

fluorescence method
Cathode Anode

Detector
Collimator

thickness (Th)
Fluorescence

Coating
radiation

Substrate

Fig. 14 Principle of beta

backscatter method Counter tube
Count rate= f(Th)

Backscattered
beta particle Isotope
thickness (Th)
Coating

Aperture ring

Substrate

This radiation is generating a characteristic X-ray fluorescence emission from both the
substrate and the coating, which is identified by an energy-dispersive detector. The
energy level or wavelength of the fluorescent X-rays is proportional to the atomic
number of the material being specific for a particular substrate or coating. The amount
of the released energy depends on the thickness of the coating being measured.
(d) Beta backscatter method uses a beam of beta particles from a beta-emitting iso-
tope, which are directed through an aperture onto the test specimen. The particles
penetrate the coating layer and are reflected back (“backscattered”) towards the
source, being collected and counted with a Geiger–Mueller tube for conversion to
coating thickness. Measurement principle of the method is shown in Fig. 14.
The technique is in compliance with the standards ISO 3543 respective ASTM
B5610 and is used to measure thicker coatings, where eddy current and magnetic
induction methods are not suitable. Typical applications include thickness mea-
surements of gold plating on nickel, silver on copper and titanium nitride (TiN) on
steel.
188 Z.-I. Korka

6 Examples of Precision Coatings

Precision coating technologies have been significantly improved in the last decades,
which allowed critical industrial parts to have a higher protection against failures
and, consequentially, to prove a better reliability. Gears are critical parts to complex
systems and machinery, and any unanticipated gear-related failure can cause
interruptions in the work of the whole driving system, and generate thus auxiliary
costs which are most often higher than the gear replacement cost. Therefore, the
gear industry has also implemented gear coating technologies, for which a variety
of coating methods and materials are used. Purposes for applying coatings on gears
are various: lowering pitting and micropitting, preventing fatigue and corrosion,
improving wear resistance, reducing friction respective decrease of vibration and
noise levels. The following two sections are presenting two practical applications of
gear coatings.

6.1 Effect of Tungsten Carbon Carbide (WC/C) Coating

on the Wear Resistance of Gears

The tungsten carbon carbide (WC/C) is a metallic-hydrocarbon coating (Me–C:H),

which is increasingly used in the gear manufacturing industry [10, 11]. These
coatings are applied using a PVD technology, which permits the coating and the
substrate to reach temperatures below 200 °C, making this deposition process
suitable for case-hardened gears too. Usually, the coating has a thickness in the
range 1–4 lm.
The purpose of this section is to present the results of research regarding the
effect of a WC/C coating on the wear resistance of gears. The main properties of
this coating type are presented in Table 3.
In this research [12], first a gear pair with uncoated teeth was checked, and then a
WC/C coating with a thickness of about 2 lm was deposited on the teeth of the
gearwheel. The testing (with coated and uncoated gears) was performed both on a
laboratory back-to-back test rig, under dip lubrication conditions, and also using an
industrial gear stand (chain conveyor).
During the tests, the loading torque was sequentially increased, covering 12 load
stages. After running the test at a certain load stage, the teeth of the pinion were
checked against scuffing. Afterwards, the load was increased to the next stage, and
the test was run for the same specific duration (= 15 min). The load stage at which
the first signs of scuffing have appeared is designated as “Failure Load Stage”
(FLS) and describes the resistance against scuffing of the investigated gears.
During the laboratory test, it was observed that the uncoated gears showed a
scuffing resistance corresponding to FLS = 8, while the WC/C coating significantly
improved the scuffing resistance of the tested gears to FLS = 10. It was also noticed
Precision Coatings 189

Table 3 Main properties of PVD coating WC/C

Microhardness 1000–2200 HV
Maximum working temperature 400 °C (750 °F)
Friction coefficient against steel 0.2–0.25
Coating thickness 1–4 lm
Colour charcoal
Low-temperature method available
Main areas of use - reduced friction when elements move against each other
- precision components
- punching and metal forming
- plastic injection moulding

that the measured oil temperatures were significantly lower during the tests per-
formed with the coated gearwheel, than in case of testing uncoated gears.
The improved scuffing resistance of the pinion when driving with the WC/C
coated gearwheel was attributed to a smaller affinity by using different kinds of
materials, than when both of them were identical (i.e. uncoated). Another conclu-
sion of the study was that, if one of the gears (the coated gearwheel) is much harder
than the matting part (pinion of case-hardened steel), there is a reduction in the
friction tendency and adhesive bonding, thus scuffing. The same effect was
observed when testing bevel gears and spur gears [12, 13].
Similar results were obtained by using the industrial gear stand (chain conveyor).
It was concluded that the investigated gear coating can be applied to increase the
wear resistance and to reduce the oil temperature in the transmission, resulting thus
in improved reliability of the gears.

6.2 Fluoropolymer Coating of Gears for Noise Reduction

Along with the economic development, noise levels have become an important
factor when determining quality of life [14]. High levels of noise can cause not only
hearing loss, but also reduced concentration, having a direct effect on decreasing
productivity and raising the risk of accidents. For this reason and given that
employees tend to spend more time at work then in previous years, in many visited
sites, including the workplaces, maximum levels of noise have been imposed.
Gearboxes are widely used in mechanical systems for transferring rotation into a
wide range of conditions and with different transmission ratios. In these transmis-
sions, gear meshing is a complex process involving vibration and noise emission.
Therefore, in the last decades, a significant number of researchers have investigated
the possibilities to reduce the noise level associated with the gears.
A special method of reducing the intensity of the sound field generated by gears
consists of applying precision coating on the teeth flanks. These coatings are made
of complex metal alloys or polymeric materials.
190 Z.-I. Korka

This section aims to present the results of research conducted on reducing the
noise level of gears, by applying a fluoropolymer coating of Xylan 1052 (produced
by Whitford Plastics Ltd, U.K.), on the teeth flanks. Two layers of coating, each
having a thickness of 12–20 lm, were applied on the gears flank surfaces. The
coating technology is described in detail in [14, 15] and consists essentially in
following operations:
– degreasing of the gears;
– blasting of the teeth flanks;
– degreasing;
– application by spraying of the first coating layer;
– drying;
– inspection of the first coating layer;
– application by spraying of the second coating layer;
– drying;
– inspection of the second coating layer;
– crosslinking heat treatment of the coating;
– final inspection.
For a better visual perspective regarding this coating technology, Fig. 15 shows
the comparison between coated and uncoated pinions, and gearwheels, respectively.
The research was performed on an earlier developed test rig [16], with an open
energy circuit, where a hydraulically pump was adopted as a break; for load
variation, a spherical valve mounted on the pressure pipe of the pump was used.
Results showed that, by applying this coating technology, the noise produced by
a gearbox can be reduced, on average, and corresponding to the sound pressure
level (SPL) values, by 7.76 dB, which represents 11.25% from the initial level of
noise [14]. This fact implies a lower risk of exposure to noise pollution for the
workers who operate the gearboxes.
The obtained noise reduction was attributed to the following parameters:
– improvement of the teeth flank roughness;
– an additional damping during the gear meshing process, facilitated by the
applied fluoropolymer layers;
– a reduction of friction during the teeth meshing.
Besides noise reduction, the fluoropolymer coating of gears has another sig-
nificant benefit: it can be used both on new surfaces and on worn out ones.
Therefore, this coating technology can be applied for salvage purposes in the case
of used gears or to recondition undersized respective worn parts.
Precision Coatings 191

Fig. 15 Coated and uncoated pinions and gearwheels [15]

7 Summary

• The coating process refers to covering the surfaces of an object referred to as the
substrate and has a protecting scope against the direct and indirect costs of
corrosion.
• The main functions of coatings are substrate protection, improving the wear
resistance as well as the friction, sealing, changing adhesion properties, reducing
vibration and noise levels, thermal insulation and facilitating optical, magnetic
or electrical properties.
• Coating technologies are available in a wide range, being classified depending
on the substrate on which the coating is applied, as well as on the material
applied on the substrate (metallic vs. non-metallic), but also according to the
chemical composition of the applied metallic material and the technological
process used for covering the substrate.
• A variety of precision coating technologies are available for different applica-
tions. Electrochemical deposition requires a metal solution to be applied on a
metallic substrate based on the Faraday laws. Electroless plating comes with a
few advantages over the electrochemical deposition, such as suitability for both
metallic and non-metallic substrates, but also disadvantages, for example, high
cost of treatment. Thermal spraying involves applying any melted material
which does not decompose during melting (i.e. pure metals, carbides, ceramics)
192 Z.-I. Korka

on a prepared surface. The substrates as well as the coating material vary

depending on the spraying technology. Through vapour deposition, the substrate
is coated using materials which are reduced from gaseous to liquid state, the
most common technologies being physical or chemical vapour deposition, both
of which present specific advantages as well as disadvantages. Two additional
technologies are cladding, the process through which two metals are bonded
together and fluoropolymer coating, a popular choice which holds a large
number of advantages.
• Coating technologies having diverse industrial applications undergo a quality
control process, which influences the appropriate selection of the coating
material, as well as the longevity, the texture or the coated surface, and the
associated costs. Hardness and thickness of the coating material represent two
important quality issues.
• The tungsten carbon carbide (WC/C) coating and the fluoropolymer coating of
gears are given as practical examples of precision coatings which prevent fati-
gue and corrosion, reduce friction and decrease the gear’s vibration and noise
levels.

References

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Edition, Woodhead Publishing Ltd, Cambridge
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3. Schmitt G et al. (2009) Global needs for knowledge dissemination, research, and development
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Publishing Ltd, Cambridge
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6(5):53–59
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thermal-sprayed-coatings-usedagainst-corrosion-and-corrosive-wear
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CRC Press, Taylor & Francis Group L.L.C., Boca Raton, London, New York
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oil. Lubr Sci 28(3):127–139
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gear. J Mech Sci Tech 24(1):103–106
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mines. Mater Sci 21(3):358–363
Precision Coatings 193

13. Tuszynski W et al (2012) A New scuffing shock test method for the determination of the
resistance to scuffing of coated gears. Arc Civil and Mech Eng (ACME) 12:436–445
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fluoropolymer coating procedure. Environ Eng Manage J 14(6):1433–1439
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dintate cilindrice (Research on reducing the vibration of cylindrical gearboxes). PhD Thesis.
“Eftimie Murgu” University of Resita
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Index

A M
Additive manufacturing, 145, 146, 152, 153 Magnetic-field, 41, 62, 63, 69, 109, 110
Aspheric, 87, 91 Magnetorheological finishing, 87, 91, 109, 113
MEMS, 2, 56, 73, 88, 137
C Micro-drilling, 3, 7
Coating, 43, 44, 48, 79, 88, 90, 102, 165–168, Micro-ECM, 2, 9
170, 171, 173, 174, 176–178, 180–190 Micro-EDM, 9, 11, 12, 156
Microfluidic, 13
D Micro-injection moulding, 12, 122, 141
Diamond turning, 5, 87, 91, 92 Micro-machining, 1, 2, 13, 17, 30, 34, 37
Direct laser deposition, 146, 152 Micro-milling, 2, 3, 126, 139
Micro-turning, 3
E
Elastic emission machining, 87, 91, 105, 113 N
Electrochemical, 9, 16, 21, 22, 25–28, 30–35, Nano-EDM, 71, 74–77, 83
37, 75, 77, 155, 171, 172, 191 Nano-grinding, 74
Etching, 22, 32, 42, 43, 45–49, 60, 61, 66, 68, Nano-machining, 71, 72, 75, 77, 83
69
P
G Photochemical machining, 41, 42, 45, 48, 56,
Glass, 13, 15, 32, 58, 60, 68, 88, 91, 95, 100, 60, 62, 64, 66, 68
168 Plasma, 91, 173, 175, 176, 182
Polishing, 16, 22, 91, 93, 94, 98, 99, 101, 102,
I 104, 109, 111, 145, 153–155, 160
Ion beam figuring, 87, 91, 99, 113 Powder bed fusion, 145, 146, 148, 149

L S
Laser machining, 13 Selective laser melting, 147, 148
Lithography, 2, 13, 35, 78, 83, 87, 88, 90, 99
U
Ultrasonic, 15, 31, 35, 41, 64–66, 80, 82

© Springer International Publishing AG 2018 195

K. Gupta (ed.), Micro and Precision Manufacturing, Engineering Materials,
https://doi.org/10.1007/978-3-319-68801-5