Asme B46.1 (1995)

COPYRIGHT American Society of Mechanical Engineers
Licensed by Information Handling Services

~~
ASME B4b.L 95 m 0759b70 0573576 T37 m
The American Society o1

Mechanical Engineers
A N
A M E R I C A N A T I O N A S
L T A N D A R D
SURFACE TEXTURE
(SURFACE ROUGHNESS,
WAVINESS, AND LAY)
ASME B46.1-1UN5
(Revision of ANSIIASME B46.1-1885)

ASME B q b . 1 95 m 0759670 0573577 973m
Date of Issuance: June 14, 1996
This Standard will be revised when the Society approves the issuance of a
new edition. There will be no addenda or written interpretations of the re-
quirements of this Standard issued to this edition.
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Copyright O 1996 by
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FOREWORD
(This Foreword is not part of ASME B46.1-1995.)
The first standard on surface texture was issued in March 1940. The dates for the subsequent
changes are as follows:
Revision - February 1947
Revision - January 1955
Revision - September 1962
Revision - August 1971
Revision - March 1978
Revision - March1985
The current revision is the culmination of a major effort by the ASME Committee B46 on
the Classification and Designation of Surface Qualities. A considerable amount of new material
has been added, particularly to reflect the increasing number of surface measurement techniques
and surface parameters in practical use. Overall, our vision for the ASME B46.1 Standard is
twofold:
(1) to keep it abreast of the latest developments in the regime of contact profiling techniques
where the degree of measurement control is highly advanced, and
(2) to encompass a large rangeof other techniques that present valid and useful descriptions
of surface texture.
The present Standard includes nine sections:
Section 1 , Terms Related to Surface Texture, contains a number of definitions that are used
in other sectionsof the Standard. Furthermore, a large number of surface parameters are defined
in addition to roughness average R,. These include rms roughness R,, waviness height W,, the
meanspacing of profile irregularities S,,, andseveralstatisticalfunctions,aswellassurface
parameters for area profiling techniques.
Section 2, Classification of Instruments for Surface Texture Measurement, defines six types
of surface-texturemeasuringinstrumentsincludingseveraltypes of profilinginstruments,
scanned probe microscopy, and area averaging instruments. With this classification scheme, it
is possible that future sections may then provide for the specification on drawings of the type
of instrument to be used for a particular surface texture measurement.
Section 3, Terminology and Measurement Procedures for Profiling, Contact, Skidless Instru-
ments,isanewsectionbasedonproposalsin I S 0 TechnicalCommittee57todefinethe
characteristics of instruments that directly measure surface profiles, which then can serve as
input data to the calculations of surface texture Parameters.
Section 4, Measurement Procedures for Contact, Skidded Instruments, contains much of the
informationthatwaspreviouslycontained in ASMEB46.1-1985forspecificationofinstru-
mentsprimarilyintendedformeasurementofaveragingparameterssuchastheroughness
average R,.
Section 5 , Measurement Techniques for Area Profiling, is a new section that lists a number
of techniques, manyofthemdevelopedsincethemid1980’s,forthree-dimensionalsurface
mapping. Because of the diversity of techniques, very few recommendations can be given in
Section 5 at this time to facilitate uniformity of results between different techniques. However,
this section does allow for the measurement of the area profiling parameters, AR, and AR,, as
alternatives to the traditional profiling parameters.
111
. ..

Section6,MeasurementTechniques for AreaAveraging,updatesrecommendationsfirst
stated in thepreviousrevision,ASMEB46.1-1985,allowingfortheuse of areaaveraging
techniques as comparators to distinguish the surface texture of parts manufactured by similar
processes.Infuturesections,surfaceparametersbaseddirectlyonthesetechniquesmaybe
defined or surface specifications may be proposed that call for measurements by these types
of instruments.
Sections 7 and 8 have been reserved to accommodate future paragraphs relating to instru-
ments and procedures.
Section 9, Filtering of Surface Profiles, carries on with the traditional specifications of the
2RC cutoff filter and introduces the phase corrected Gaussian filter as well as band-pass rough-
ness concepts.
Section 10 has been reserved to accommodate future paragraphs.
Section 1 1, Specifications and Procedures for Precision Reference Specimens, describes a
number of different types of specimens useful in the calibration and testing of surface profiling
instruments. It is based on I S 0 5436, Calibration Specimens-Stylus Instruments-Types, Cali-
bration, and Use of Specimens, but contains new information as well.
Section 12, Specifications and Procedures for Roughness Comparison Specimens, describes
specimens that are useful for the testing and characterization of area averaging instruments.
Approximately 30 people have written, edited, and reviewed this Standard. However, with
suchanextensiverevision,inconsistencies in the definitions or recommendations mayhave
been overlooked. The user is invited to submit any comments or suggestions to ASME.
Secretary, B46 Committee
Codes and Standards
The American Society of Mechanical Engineers
345 E. 47th Street
NewYork,NY10017
The committee is actively working on another revision of this Standard and on an additional
standard that will contain recommendations for surface texture measurements at the nanometer
level.
This Standard was approved as an American National Standard on June 26, 1995.
iv

ASME STANDARDS COMMITTEE B46
Classification and Designation of Surface Qualities
(The following is theroster of the Committee at the time of approvalof this Standard.)
OFFICERS
J. Raja, Chair
M. B. Grant, Vice Chair
P. Stumpf, Secretary
COMMllTEE AND SUBCOMMllTEE PERSONNEL

T. C. Bristow, Chapman Instruments, Inc.
E. Brockway, Caterpillar, Inc.
J. R. Clark, Surface Analytics
D. K. Cohen, WYKO Corp.
M. E. Curtis, Jr., Rexnord. Inc.
R. F. Davie, International Metrology Services, Inc.
W. E. Drews, International Marketing Services
M. B. Grant, Vice Chair, Cummins Engine Co.
W. Holzhauer, The Timken Co.
M. Malburg, Cummins Engine Co.
D. M. Moyer, Rank Taylor Hobson, Inc.
M. E. Nordberg 111, Precision Devices, Inc.
E. R. Olear, Eastman Kodak
J. Raja, Chair, University of North Carolina, Charlotte
D. G. Risko, Extrude Hone Corp.
M. Stewart, Micromatic Textron
P. Stumpf, Secretary, ASME
A. N. Tabenkin, Federal Products Corp.
R. S. Timsit, AMP of Canada Ltd.
T. V. Vorburger, National Institute of Standards and Technology
W. T. Walraven. Traders International & Technologies
W. R. Wheeler, Tencor Instruments, Inc.
EDITORIAL WORKING GROUP
T. V. Vorburger, Chair, National Institute of Standards and Technology
ADDITIONAL CONTRIBUTORS
H. N. Amstutz
W. Belke, Caterpillar, Inc. (deceased)
J. M. Bennett, Naval Air Warfare Center
C. Brown, Worcester Polytechnic Institute
D. W. Freyberg, MT1 Corp. (deceased)
R. E. Fromson, Consultant
V. S. Gagne, National Institute of Standards and Technology
E. Green, Metrology Engineering Ltd.

Y. Harnidieh, Ford Motor Co.
A. Hatheway, Alson E. Hatheway, Inc.
Y. T. Lin, General Motors Corp.
G. Matthews, Parker-Hannifin
E. R. McClure, Moore Tool Co., Inc.
F. Parsons, Federal Products Corp.
E. Schneider (deceased)
S. Scott, Texas Instruments
R. A. Srnythe, Zygo Corp.
P. A. Swanson, Deere 81 Co.
E. C. Teague, National Institute of Standards and Technology
vi

CONTENTS
...
Foreword ............................................................................... 111
Standards Committee Roster ........................................................... V
Terms Related to Surface Texture ........................................ 1

1.1 General ................................................................ 1
1.2DefinitionsRelatedtoSurfaces ......................................... 1
1.3DefinitionsRelatedtotheMeasurement of SurfaceTextureby
Profiling Methods .................................................... 3
1.4Definitions of SurfaceParameters for ProfilingMethods ............... 7
1.5 DefinitionsRelatedtotheMeasurement of SurfaceTexture by Area
Profiling and Area Averaging Methods .............................. 15
1.6 DefinitionsofSurfaceParameters for AreaProfilingandArea
AveragingMethods .................................................. 17
Classification of Instruments for Surface Texture
Measurement ............................................................... 21
2.1ScopeofSection2 ..................................................... 21
2.2
Recommendation ....................................................... 21
2.3ClassificationScheme .................................................. 21
Terminology and Measurement Procedures for Profiling, Contact,
Skidless Instruments ....................................................... 25
3.1Scope of Section3 ..................................................... 25
3.2
References ............................................................. 25
3.3
Terminology ........................................................... 25
3.4MeasurementProcedure ................................................ 31
Measurement Procedures for Contact, Skidded Instruments ........ 33
4.1Scope of Section4 ..................................................... 33
4.2 References ............................................................. 33
4.3
Purpose ................................................................ 33
4.4 Instrumentation ......................................................... 33
Measurement Techniques for Area Profiling............................ 41
5.1ScopeofSection 5 ..................................................... 41
5.2
Recommendations ...................................................... 41
5.3 Imaging Methods ...................................................... 41
5.4 Scanning Methods ..................................................... 41
Measurement Techniques for Area Averaging ......................... 43
6.1Scope of Section6 ..................................................... 43
6.2Examples of AreaAveragingMethods ................................. 43
Filtering of Surface Profiles ............................................... 49
9.1 Scope of Section 9 ..................................................... 49
vii

9.2
References ............................................................. 49
9.3DefinitionsandGeneralSpecifications ................................. 49
9.4 2RCFilterSpecificationforRoughness ................................ 52
9.5PhaseCorrectGaussianFilterforRoughness .......................... 54
9.6FilteringforWaviness .................................................. 56
11 Specifications and Procedures for Precision Reference

Specimens ................................................................... 63
1 1 . 1 Scope of Section I l .................................................... 63
1 1.2 References ............................................................. 63
1 1.3Definitions ............................................................. 63
11.4ReferenceSpecimens:ProfileShapeandApplication .................. 63
1 1.5PhysicalRequirements ................................................. 64
1 1.6AssignedValueCalculation ............................................ 64
11.7MechanicalRequirements .............................................. 65
1 1.8Marking ................................................................ 68
12 Specifications and Procedures for Roughness Comparison

Specimens ................................................................... 75
12.1ScopeofSection12 .................................................... 75
12.2
References ............................................................. 75
12.3
Definitions ............................................................. 75
12.4 RoughnessComparisonSpecimens ..................................... 75
12.5SurfaceCharacteristics ................................................. 75
12.6NominalRoughnessGrades ............................................ 75
12.7SpecimenSize.Form.andLay ......................................... 75
12.8Calibration of ComparisonSpecimens ................................. 77
12.9
Marking ................................................................ 77
Figures
1-1SchematicDiagramofSurfaceCharacteristics ................................. 2
1-2MeasuredvsNominalProfile .................................................. 3
1-3StylusProfileDisplayed WithTwoDifferentAspectRatios ................... 4
1-4ExamplesofNominalProfiles ................................................. 4
1-5 FilteringaSurfaceProfile ..................................................... 5
1-6Profile
PeakandValley ....................................................... 6
1-7SurfaceProfileMeasurementLengths ......................................... 7
1-8IllustrationfortheCalculation of RoughnessAverage R, ...................... 8
1-9 R,. R,. and R.. Parameters ...................................................... 8
1-10SurfaceProfileContaining Two SamplingLengths. I , and I?.
Also Showing the R,,i and R.. Parameters ................................... 9
1- I 1 The R. and R,,. Parameters ................................................... IO
1-12 TheWavinessHeight. W. ...................................................... 10
1- 13TheMeanSpacingofProfileIrregularities. S... ................................ 10
1-14ThePeakCountLevel.UsedforCalculatingPeakDensity ................... 11
1-15AmplitudeDensityFunction - ADF(z) or p ( z ) ............................... 12
1- 16TheProfileBearingLength ................................................... 12
1-17TheBearingAreaCurveandRelatedParameters ............................. 13
1-18ThreeSurfaceProfiles With DifferentSkewness ............................... 13
1- I9 ThreeSurfaceProfilesWithDifferentKurtosis ................................ 14
1-20TopographicMapObtainedbyanAreaProfilingMethod ..................... 16
1-21AreaPeaks(Left)andAreaValleys(Right) ................................... 17
viii

ASME B u b - L9 5 W 0 7 5 9 6 7 00 5 7 3 5 8 4 003 W
1-22 Comparison of Profiles Measured in Two Directions on a Uniaxial.

Periodic Surface Showing the Difference in Peak Spacing as a
Function of Direction ....................................................... 18
2- 1 Classification of Common Instruments for Measurement of
Surface Texture ............................................................. 22
3- 1 Profile Coordinate System ..................................................... 26
3-2 ConicalStylusTip ............................................................ 26
3-3 Truncated Pyramid Tip ........................................................ 27
3-4 Aliasing ....................................................................... 29
4- 1 Schematic Diagrams of a Typical Stylus Probe and
Fringe-Field Capacitance Probe ............................................. 34
4-2 Effects of Various Cutoff Values .............................................. 36
4-3 Examples of Profile Distortion Due to Skid Motion ........................... 38
4-4 Example of Profile Distortion ................................................. 39
9- I Wavelength Transmission Characteristics for the 2RC Filter System .......... 51
9-2 Gaussian Transmission Characteristics Together With the
Uncertain Nominal Transmission Characteristic of a 2 pm Stylus .......... 51
9-3 Weighting Function of the Gaussian Profile Filter ............................. 52
9-4 Gaussian Transmission Characteristic for the Waviness Short-Wavelength
Cutoff and the Roughness Mean Line Having Cutoff Wavelengths
A ,. = 0.08, 0.25, 0.8, 2.5, and 8.0 mm ...................................... 53
9-5 Gaussian Transmission Characteristic for the Roughness Long-Wavelength
Cutoff Having Cutoff Wavelengths Ac = 0.08, 0.25, 0.8, 2.5, and
8.0 mm ..................................................................... 54
9-6 Example of a Deviation Curve of a Realized Phase Corrected Filter
From the Ideal Gaussian Filter as a Function of Spatial Wavelength ........ 57
11-1 Type Al Groove .............................................................. 63
11-2 TypeA2 Groove .............................................................. 64
11-3 Allowable Waviness ........................................................... 65
11-4 Assessment of Calibrated Values for Type A l ................................. 67
11-5 Type B 1 Grooves - Set of 4 Slits ............................................ 67
11-6 Type B2 or C2 Specimens With Multiple Grooves ............................ 69
11-7 UseofTypeB3 Specimen .................................................... 69
11-8 Type CI Grooves .............................................................. 70
11-9 Type C3 Grooves .............................................................. 72
11-10 Type C4 Grooves .............................................................. 72
1 1 - 1 1 Unidirectional Irregular Grooves .............................................. 72
Tables
3- 1 Cutoff Values for Periodic Profiles Using S.,, .................................. 30
3-2 Cutoff Values for Nonperiodic Profiles Using R. .............................. 31
4- 1 Measurement Cutoffs and Traversing Lengths for Continuously Averaging
Instruments Using Analog Meter Readouts ................................. 35
4-2 Measurement Cutoffs and Minimum Evaluation Lengths for
Instruments Measuring Integrated Roughness Values Over a Fixed
EvaluationLength .......................................................... 35
9- 1 Limits for the Transmission Characteristics for 2RC Long-Wavelength
CutoffFilters ............................................................... 55
9-2 Standard Cutoffs for Gaussian Filters and Associated Cutoff Ratios ........... 58
9-3 Standard Values for the Waviness Long-Wavelength Cutoff (Acw) and
Recommended Minimum Values for the Waviness Traversing Length ...... 58
ix

ASME B4b.L 95 W 0 7 5 9 b 7 0 0573585 T 4 T m
11-1 Nominal Values of Depth or Height and Examples of Width for

Type Al .................................................................... 66
11-2 Nominal Values of Depth and Radius for Type A2 ............................ 66
11-3 Tolerances for Types Al and A2 .............................................. 66
11-4 Tip Size Estimation From the Profile Graph for TypeB1 ..................... 68
11-5 Recommended R, and S., Values for Type C1 Specimens ..................... 71
11-6 Tolerances for Types Cl to C4 ................................................ 71
11-7 Nominal Values of R, and S., for Type C2 .................................... 71
11-8 Nominal Values of R, for Type C4 ............................................ 73
11-9 Tolerances for Unidirectional Irregular Profiles ................................ 73
12-1 Nominal Roughness Grades (R,) for Roughness Comparison Specimens ...... 76
12-2 Form and Lay of Roughness Comparison Specimens Representing
Various Types of Machined Surfaces ....................................... 76
12-3 Sampling Lengths for Calibration of Comparison Specimens. mm ............ 78
Appendices
A General Notes on Use and Interpretation ofDataProducedbyStylus
Instruments ..................................................................... 79
BControlandProductionofSurfaceTexture ........................................ 81
CAReviewofAdditionalSurfaceMeasurementMethods .......................... 85
DAdditionalParametersforSurfaceCharacterization ............................... 93
ECharacteristics of CertainAreaProfilingMethods ................................. 97
FDescriptions ofAreaAveragingMethods .......................................... 107
G Observations on theFiltering of SurfaceProfiles .................................. 111
Figures ~~
B 1 Surface Roughness Produced by Common Production Methods .................. 82

c1 Schmaltz Profile Microscope ..................................................... 86
c 2 ReflectanceMeasurement ........................................................ 86
c 3 Schematic Diagram of Circular Path Profiler ..................................... 87
c 4 Multiple Beam Interferometer .................................................... 87
c 5 Differential Interference Contrast Photograph of Automobile Engine
Cylinder Wall .................................................................. 88
C6 DifferentialInterferometry ....................................................... 89
c 7 Zehender Method ................................................................ 91
C8 Comparison of Optical and Transmission Electron Microscope .................. 91
c 9 Diagram of Scanning Electron Microscope ....................................... 92
Dl Average Peak-to-Valley Roughness ............................................... 93
D2 Average Spacing of Roughness Peaks ............................................ 94
D3 Swedish Height of Irregularities .................................................. 94
D4 Measured Profiles and Their Autocorrelation Functions .......................... 95
El Schematic Diagram of a Phase Measuring Interferometric Microscope in a
Michelson Configuration ....................................................... 98
E2 Schematic Diagram of an Optical Focus-Sensing Instrument ..................... 100
E3 Schematic Diagram of Nomarski Differential Profiler ............................ 101
E4 Area Scanning Stylus Profiler .................................................... 102
E5 Basic Structure ofanEarlySTM ................................................ 103
E6 Schematic Diagram of an Atomic Force Microscope With an Optical
LeverSensor .................................................................. 104
F1 Comparison of Roughness VoidVolumes ........................................ 107
F2 Principle of Capacitance Between Parallel Plates ................................. 107
F3 Schematic Diagram of an Instrument for Measuring TIS ......................... 108
F4 Schematic Diagram of an Instrument for Measuring ARS or BRDF ............. 109
X

~
ASME B4b.L 95 0759670

0.573586
98b m
ASME B46.1-1995
SURFACE TEXTURE (SURFACE ROUGHNESS, WAVINESS, AND LAY)
SECTION 1 TERMS RELATED TO SURFACE TEXTURE
1.1General Approximate nonmetric equivalents are shown for

reference.
1.1.1 Scope. This Standard is concerned with the
geometric irregularities of surfaces. It defines surface
texture and its constituents: roughness, waviness, and 1.1.4 References. This Standard is to be used in
lay. It also defines parameters for specifying surface conjunction with ASME Y 14.36M, Surface Texture
texture. Symbols, which prescribes engineering drawing and
The terms and ratings in this Standard relate to related documentation practices for specifying sur-
surfaces produced by such means as abrading, cast- face texture. Other relevant standards, which should
ing, coating, cutting, etching, plastic deformation, be used in design and measurement, are:
sintering, wear, erosion, etc. ASME B89.6.2-1973(R1988), Temperature and
Humidity Environment for Dimensional Measure-
1.1.2 Limitations. This Standard is not concerned ment
with error of form and flaws, but discusses these two ASME Y 14.5M-1994, Dimensioning and Toler-
factors to distinguish them from surface texture. ancing, Engineering Drawings and Related Docu-
This Standard isnot concerned with luster, ap- mentation Practices
pearance, color, corrosion resistance, wear resis- The above standards are available from ASME Order
tance, hardness, subsurface microstructure, surface
Department, 22 Law Drive, Box 2300, Fairfield, NJ
integrity, and many other characteristics which may
07007-2300.
govern functional considerations in specific applica-
References to other useful works are included as
tions.
footnotes.
This Section does not recommend specific surface
roughness, waviness, or type of lay suitable for spe-
cific purposes, nor does itspecify the means by 1.1.5 Cleanliness. Normally, surfaces to be mea-
which these irregularities maybe obtained or pro- sured should be free of any foreign material that
duced. Criteria for selection of surface qualities and would interfere with the measurement.
information on instrument techniques and methods
of producing, controlling, and inspecting surfaces are
included in the other sections and in the appendices. 1.2 Definitions Related to Surfaces
The appendices shall not be considered a part of this 1.2.1 Surfaces
Standard. They are included for clarification and in- sutfuce - the boundary that separates an object
formation purposes only. from another object, substance, or space
Surface texture designations as delineated in this
Standard may not provide a sufficient set of indexes
nominal surface - the intended surface boundary
for describing performance. Other characteristics of (exclusive ofany intended surface roughness), the
engineering components such as dimensional and ge- shape and extent of which is usually shown and di-
ometrical characteristics, material, metallurgy, and mensioned on a drawing or descriptive specification
stress must also be controlled. (See Fig. 1-1.)
real sut$uce - the actual boundary of an object. Its
1.1.3 SI Values. Values of quantities stated in the deviations from the nominal surface stem from the
SI' (metric) system are to be regarded as standard. processes that produce the surface.
measured surface - a representation of the real sur-
'Le Système International d'Unités face obtained by the use of a measuring instrument

~~
ASME 846.1 75 m O757670 0573587 812 m
SURFACE TEXTURE
ASME B46.1-1995 (SURFACE ROUGHNESS, WAVINESS, AND LAY)
Total proflle
(includes error in
geometric form)
(roughness heights
attenuated)
Roughness profile
(waviness heights
attenuated)
FIG. 1-1 SCHEMATIC DIAGRAM OF SURFACECHARACTERISTICS
1.2.2 Components of the Real Surface. The real cluded in surface texture. The term is applied to de-
surface differs from the nominal surface to the extent viations caused by such factors as errors in machine
thatit exhibits surface texture, flaws,and errors of tool ways, guides, or spindles, insecure clamping or
form. It is considered as the linear superposition of incorrect alignment of the workpiece, or uneven
roughness, waviness, and form with the addition wear. Out-of-flatness and out-of-roundness' are typ-
of flaws. ical examples.
roughness - thefiner irregularities of the surface
texture that usually result from the inherent action of Jaws - unintentional, unexpected, andunwanted
the production process or material condition. These interruptions in the topography typical of a surface.
might be characteristic marks left by the processes Topography is defined in para. 1.5.1. However, these
listed in Fig. B1 of Appendix B. topographical interruptions are considered to be
waviness - the more widely spaced component of flaws only when agreed upon in advance by buyer
the surface texture. Waviness may be caused by such and seller. If flaws are specified, the surface should
factors as machine or workpiece deflections, vibra- be inspected by some mutually agreed upon method
tion, and chatter. Roughness maybe considered as to determine whether flaws are present and are to be
superimposed on a wavy surface. rejected or accepted prior to performing final surface
lay - the predominant direction of the surface pat-
roughness measurements. If specifiedflaws are not
present, or if flaws are not specified, then interrup-
tem, ordinarily determined by the production method
tions in the surface topography of an engineering
used
component may be included in roughness measure-
sugam texture - the composite of certain devia- ments.
tions that are typical of the real surface. It includes
roughness and waviness.
error of form - widely spaced deviations of the real ' A S M E I A N S I B89.3.1-1972 (R 1988), Measurement of Out-of-
surface from the nominal surface, which are not in- Roundness.

~~
ASME B4b.L 95 0759b70 0573588 759
SURFACE TEXTURE
(SURFACE ROUGHNESS, WAVINESS, AND LAY) ASME 846.1-1995
I Measured profile
L Nominal profile
X
FIG. 1-2 MEASURED VS NOMINAL PROFILE
1.3 Definitions Related to the Measurement of roughness projile - themodifiedprofile obtained

Surface Texture by Profiling Methods by filtering to attenuate the longer spatial wave-
lengths associated with waviness (See Fig. 1-1.)
The features defined above are inherent to surfaces
and are independent of the method of measurement. waviness profile - the modified profile obtained by
Methods of measurement of surface texture can be filtering to attenuate the shorter spatial wavelengths
classified generally as contact or noncontact methods associated with roughness and the longer spatial
and as three-dimensional (area) or two-dimensional wavelengths associated with the part form
(profile) methods. total profile - a measured profile in which profile
heights and spacings maybeamplified differently,
1.3.1 Profiles but in which no other intentional modification or fil-
profiling method - a surface scanning measurement tering has been carried out
technique that produces a two-dimensional graph or 1.3.1.1 Aspect Ratio. In displays of surface
profile of the surface irregularities as measurement profiles generated by instruments, height deviations
data from the geometric profile are usually magnified
projile - the curve of intersection of a normal sec- many times more than distances along the geometric
tioning plane with the surface (See Fig. 1-1.) profile (see Fig. 1-3).3 The sharp peaks and valleys
nominal projile - a profile of the nominal surface: and the steep slopes seen on such profile represen-
a straight line or smooth curve tations of surfaces are thus greatly distorted images
real projile - a profile of the real surface of the relatively gentle slopes characteristic of actual
measured profile - a representation of the real pro- measured profiles.
file obtained by a measuring instrument (see Fig. 1-
2). The profile is usually drawn in a x-z coordinate 1.3.2 Reference Mean Lines
system. mean line ( M ) - the reference line about which the
modijied profile - a measured profile for which fil- profile deviations are measured. The mean line may
ter mechanisms (electrical, mechanical, optical, or be determined in several ways as discussed below.
digital) are used to minimize certain surface-texture feast squares mean fine - a line having the form of
characteristics and emphasize others. Modified pro- the nominal profile and dividing the profile so that,
files differ from unmodified,measuredprofiles in within a selected length, the sum of the squares of
ways that are selectable by the instrument user, usu- the profile deviations from this line is minimized.
ally for the purpose of distinguishing surface rough- The form of the nominal profile could be a straight
ness from surface waviness. line or a curve (see Fig. 1-4).
By previous definition (see para. 1.2.2), roughness
filtered meanline - the mean line established by
irregularities are more closely spaced than waviness
the selected cutoff filter (see para. 1.3.5) and its as-
irregularities. Roughnesscan thus be distinguished
sociated analog or digital circuitry in a surface mea-
from waviness in terms of spatial wavelengths along
thepath traced. See para. 1.3.4 for a definition of
spatial wavelength. No unique spatial wavelength is ”. E. Reason, Modern Workshop Technology, 2 ~ Processes,
defined that would distinguish roughness from wav- H. W. Baker, ed., 3rd edition(London:Macmillan, 1970), Chap.
iness for all surfaces. 23.

ASME B4b.L 95 m 0759b700573589695 9
SURFACE TEXTURE
ASME 846.1-1995 (SURFACE ROUGHNESS, WAVINESS, AND LAY)
1 . . 1 1 I l
3
0
’ 4 0 0 1 500
25: 1
I I
-5
390 385 380 395 400 405 Pm
1:l
FIG. 1-3 STYLUS PROFILEDISPLAYED WITH TWO DIFFERENTASPECTRATIOS
Least squares
mean line
Straight-Line Nominal Profile
Curved Nominal Profile
FIG. 1-4 EXAMPLES OF NOMINAL PROFILES

4

ASME 846.1 95 m 0759670 0573590 307 m
SURFACE TEXTURE
I I I I I I I I 1
0.5
O
E,
-0.5
-1
O 0.5 1 1.5 2 2.5 3 3.5 4
mm
(a) Unfiltered Profile and Filtered Mean Line
0.5
5 0
-0.5
-1 I I 1 I I I I I
O 0.5 1 1.5 2 2.5 3 3.5 4
mm
[bl Roughness Profile
FIG. 1-5 FILTERINGASURFACEPROFILE
suring instrument. Figure 1-5 illustrates the electrical betweentwo intersections of the profilewith the
filtering of a surface profile. It shows the unfiltered mean line (See Fig. 1-6.)
profileinFig. 1-5(a) along with the filtered mean projile irregularity - a profile peak and the adjacent
line or wavinessprofile. The difference between profile valley
them is the roughness profile shown in Fig. 1-5(b). system height ( z ) resolution - the minimum step
height thatcanbe distinguished frombackground
1.3.3 Peaks and Valleys, Height Resolution, noise by a measuring system. This is a key specifi-
and Height Range cation for a measuring instrument. The system back-
profile peak - the point of maximum height on a ground noise can be evaluated by measuring the ap-
portion of a profile that lies above the mean line and parent rms roughness of a surface whose actual
between two intersections of the profilewiththe roughness is significantly smaller than the system
mean line (See Fig. 1-6.) background noise.
pro$Ie valley - the point of maximum depth on a height ( z ) range - the largest overall peak-to-valley
portion of a profile that lies below the mean line and surface height that can be accurately detected by a
5

~~
ASME 846.1 95 m 0759670 0573593 243 m
SURFACE TEXTURE
imum spatial wavelength to be included in the profile

analysis should be at least five times the sampling
interval.
1.3.5 Sampling Lengths

samplinglength - the nominal interval within
which a single value of a surface parameter is de-
termined. It corresponds approximately to the long-
est spatial wavelength of profile deviation to be in-
Proflle valley fc cluded in the profile analysis. This is different from
the evaluation length and the traversing length (see
FIG. 1-6 PROFILEPEAK AND VALLEY para. 1.3.6). The range of sampling lengths is a key
specification for a measuring instrument,
roughness sampling length,' l - the sampling length
specified to separate the profile irregularities desig-
nated as roughness from those irregularities desig-
natedaswaviness. Theroughnesssampling length
measuring instrument. This is a key specification for may be determined by electrical analog filtering, dig-
a measuring instrument. ital filtering, or geometrical truncation of the profile
into the appropriate lengths.
1.3.4 Spacings roughnesslong-wavelength h,. - the nomi-
spacing - the distance between specified points on nal rating in millimeters (mm) of the electrical or
the profile measured along the nominal profile digital filter that attenuates the long wavelengths of
roughness spacing - the average spacing between the surface profile to yield the roughness profile (See
adjacent peaks of the measured roughness profile Sections 3, 4, and 9.)
within the roughnesssampling length (defined in wavinesssamplinglength - This concept isno
para.1.3.5) longer used. See wavinesslong-wavelength cutoff
wavinessspacing - the average spacing between and wavinessevaluationlength (defined in Section
adjacent peaks of the measuredwavinessprofile 9).
within the waviness long-wavelength cutoff (defined waviness short-wavelength cutoff, A,s - the nominal
in Section 9) rating in millimeters of the electrical or digital filter
spatial wavelength, h - the spacing between adja- that attenuates the short wavelengths (roughness) of
cent peaks of a purely sinusoidal profile the surface profile to yield the waviness profile (see
spatial (x) resolution - for an instrument, the small- Sections 3 and 4). It should be equal to the roughness
est surface spatial wavelengththat can be resolved long-wavelength cutoff.
to 50% of its actual amplitude. This is determined
by such characteristics of the measuring instrument 1.3.6 Overall Measurement Lengths
as the sampling interval (defined below), radius of evaluationlength, L - the length overwhich the
the stylus tip, or optical probe size. This is a key values of surface parameters are evaluated. For
specification for a measuring instrument. proper statistics it should contain a number of sam-
pling lengths (see Fig. 1-7). In some standards, five
NOTE: Concerning resolution, the sensitivity of an instrument to sampling lengths are recommended as comprising
measure the heights of small surface features may depend on the
combination of the spatial resolution and the feature spacing: as one evaluation length. However, for certain types of
well as the system height resolution. instruments or certain measurements, the evaluation
samplinginterval, do - the lateral point-to-point
spacing of a digitized profile (see Fig. 1-8). The min- 'See also Sections 4 and 9 and Appendix A.
% most electrical averaging instruments, the cutoff can be se-
lected. It is a characteristic of the instrument rather thanthe surface
4J. M. Bennett and L. Mattsson, Introduction to Surface Rough- being measured. In specifying the cutoff, care must be taken to
ness and Scattering (Washington, DC: Optical Society of America, choose a value which will include all the surface irregularities that
1989), 22. one desires to evaluate.

SURFACE TEXTURE
(SURFACE ROUGHNESS, WAVINESS, AND LAY) ASME B46.1-1995
Evaluation length ( L )
FIG. 1-7 SURFACEPROFILE MEASUREMENT LENGTHS
length may comprise only one sampling length. See 1.4.1.1 Roughness Height Parameters
Sections 3 and 4 for values which are recommended projile height function, Z(x) - the function used to
for different types of roughness and waviness mea- represent the point-by-point deviations between the
surements. The evaluation length is a key specifica- measuredprofileand the reference mean line (see
tion for a measuring instrument. Fig. 1-8). For digital instruments, the profile Z(x) is
traversing length - the length of profile which is approximated by a set of digitized values (2,)re-
traversed by a profiling instrument to establish a rep- corded using the sampling interval ( d , ) .
resentative evaluation length. Because of end effects roughness average,' R, - the arithmetic average of
in profile measurements, the traversing length must the absolute valuesof the profile height deviations
be longer than the evaluation length (see Fig. 1-7). recorded within the evaluation length and measured
from the mean line. As shown in Fig. 1-8, R, is equal
to the sum of the shaded areas of the profile divided
by the evaluation length L, which generally includes
1.4 Definitions of Surface Parameters for
several sampling lengths or cutoffs. For graphical de-
Profiling Methods
terminations of roughness, the height deviations are
Key quantities that distinguish one profile from measured normal to the chart center line.
another are their height deviations from the nominal Analytically, R , is given by:
profile and the distances between comparable devi-
ations. Various mathematicalcombinations of sur-
face profile heights and spacings have been devised
to compare certain features of profiles numerically.
For digital instruments an approximation of the R,

1.4.1 Height (2) Parameters valuemaybe obtained by adding the individual Z,
height parameter - a general term used to describe values without regard to sign and dividing the sum
ameasurement of theprofiletakenin a direction by the number of data points N .
normal to the nominal profile. Height parameters are
expressed in micrometers (pm).'
'A micrometerisone millionth of a meter(0.oooO01 m). A root mean square (rms) roughness, R, - theroot
microinchis one millionth of an inch (O.OOOOO1 in.). For written mean square average of the profile height deviations
specifications or reference to surface roughness requirements, mi-
crometer can be abbreviated as pm, and microinch may be abbre-
viated as pin. One microinch equals 0.0254 p m (pin. = 0.0254
pm). The nanometer (nm) and the angstrom unit (A) are also used XRoughnessaverage is also known as center line arithmetic av-
in someindustries. I nm = 0.001 pm, IA = 0.1 nm. erage (AA) and center line average (CLA).

SURFACE TEXTURE
R, = Average deviation of roughness profile

Z ( w )from the m u a n llne
= Total shaded area/L
FIG. 1-8 ILLUSTRATION FOR THE CALCULATION OF ROUGHNESS AVERAGE Ra
I- L L
GENERAL NOTE: The mean line is denoted by M.
FIG. 1-9 R,, ßp.AND R, PARAMETERS

ASME 846.1 95 m 0759670 0 5 7 3 5 9 4 T52 m
SURFACE TEXTURE
FIG. 1-10 SURFACEPROFILE CONTAINING TWO SAMPLINGLENGTHS, IIAND ALSO

SHOWING THE /Tpi AND R,¡ PARAMETERS
takenwithinthe evaluation length and measured R,; - the distance between the highest point of the
from the mean line. Analytically, it is given by: profile and themean line within a sampling length
segment labelled i (See Fig. 1-10.)
average maximum projile peak height, R,,,,, - the
average of the successive values of RPi calculated
over the evaluation length. This parameter is the
same as RPm (DIN) when there are five sampling
The digital approximation is: lengths within an evaluation length.
R,; - the vertical distance between the highest and
lowest points of the profile within a sampling length
segment labelled i (See Fig. 1-10.)
maximum projile peak height, R,, - the distance be- average maximum height of the projle, R, - the
tween the highest point of the profile and the mean average of the successive values of Rri calculated
line within the evaluation length (See Fig. 1-9.) over the evaluation length. This parameter is the
maximum projile valley depth, R,, - the distance be- same as Rz(DIN)9 when there are five sampling
tween the lowest point of the profile and the mean lengths within an evaluation length.
line within the evaluation length (See Fig. 1-9.) maximum roughness depth, R,,, - the largest of the
maximum height of the prujiile, R, - the vertical dis- successive values of R,, calculated over the evalua-
tance between the highest and lowest points of the tion length. In the DIN Standard 4768, the evaluation
profile within the evaluation length (See Fig. 1-9.) length consists of five sampling lengths9 (see Fig. 1-
1 1 ) . R,,, is also called R,,,, in I S 0 documents.
H,,, - a height parameter defined in terms of bearing
R, = R, + R,
length ratios (See para. 1.4.3.)
ln the DIN Standard 4768, the evaluation length con- 1.4.1.2 Waviness Height Parameters
sists of five sampling lengths9 waviness height, W, - the peak-to-valley height of
the modified profile from which roughness and part
form have been removed by filtering, smoothing, or
9Deutsche Normen DIN 4768, Determination of Surface Rough- other means (see Fig. 1-12). The measurement is to
ness Values R,. R:, R-, wirh Elecrric Stylus Instruments - Basic be taken normal to the nominal profile within the
Dara (Berlin: BeuthVerlag, GmbH, 1974). limits of the waviness evaluation length.
9

SURFACE TEXTURE
“‘1
FIG. 1-11 THE Rt AND R,,,,, PARAMETERS
Waviness evaluation length
FIG. 1-12 THE WAVINESS HEIGHT, W,
r L L
FIG. 1-13 THE MEAN SPACING OF PROFILEIRREGULARITIES, S,,,

This material is reprinted from IS0 Handbook 33 with permission of the American National
Standards Institute (ANSI) under an exclusive licensing agreementwith the International Or-
ganization for Standardization. Not for resale. No part of IS0 Handbook 33 may be copied, or
reproduced in any form, electronic retrieval system or otherwise without the prior written
consent of the American National Standards Institute. 11 West 42nd Street, New York, NY
10036.
10

SURFACE TEXTURE
1 count 2 count 3 count 4 count 5 count
Peak Count
Level
I Upper boundary line
Lower boundary line
FIG.1-14THEPEAK COUNT LEVEL, USED FOR CALCULATING PEAK DENSITY
1.4.2 Spacing Parameters profilebearing length - the sum of the section

spacing parameter - a distance that characterizes lengths obtained by cutting the profile peaks by a
the lateral spacings between the individual profile line parallel to the mean line within the evaluation
asperities length at a specifiedlevel p . The level p maybe
mean spacing of profile irregularities, S,,, - the specified in several ways including:
mean value of the spacing between profile irregular- ( I ) as a depth from the highest peak (with an op-
ities within the evaluation length. In Fig. 1-13: tional offset);
(2) as a height from the mean line; or
( 3 ) as a percentage of the R, value relative to the
highest peak (see Fig. 1- 16).
profilebearinglengthratio, t,, - the ratio of the
profile bearing length to the evaluation length at a
specified level p . The quantity r,, should be expressed
in %.
SAEpeak'O - a profile irregularity wherein the pro-
file intersects consecutively alower andan upper b, + b, + b, + e - .
boundary line. The boundary lines are located par- tp = + x 100%

L
allel toand equidistant from theprofilemean line
(see Fig. 1-14), and are set by a designer or an in-
bearingareacurve, BAC - the cumulative distri-
strument operator for each application.
bution of the ADF, also called the Abbott-Firestone
peak count leuello - the vertical distance between curve. It shows how the profile bearing length ratio
the boundary lines described in the definition of SAE varies with level.
peak (See Fig. 1-14.) H,,, - difference in the heights for two profile bear-
peak density," P,. - the number of SAE peaks per ing length ratios ?,, set at selectable values (See Fig.
unit length measured at a specified peak count level 1-17.)
skewness, R,s, - a measure of the asymmetry of the
1.4.3 Shape Parameters and Functions profile about the mean line (see Fig. 1-18). In ana-
amplitudedensityfunction, ADF(z) or p ( z ) - the lytic form:
probability density of surface heights. The amplitude
density function isnormally calculated as a histo-
gram of the digitized points on the profile (see Fig.
1-15).
For a digitized profile, a useful formula is:
"'Adapted from SAE Handbook Vol. I , Murerials (Warrendale:

Society of Automotive Engineers, 1981) SAE J91 1, Chap. 9.
II

SURFACE TEXTURE
FIG. 1-15 AMPLITUDEDENSITYFUNCTION - ADF(d OR HZ)
FIG. 1-16 THEPROFILEBEARINGLENGTH

This material is reprinted from IS0 Handbook 33 with permission of the American National
Standards Institute (ANSI) under an exclusive licensing agreementwith the International Or-
ganization for Standardization. Not for resale. No part ofIS0 Handbook 33 may be copied, or
reproduced in any form, electronic retrieval system or otherwise without the prior written
consent of the American National Standards Institute, 11 West 42nd Street, New York, NY
10036.
12

SURFACE TEXTURE
Bearing area curve
H1
rI
Hip
H2 v
hl b
O
tp1 [P2 100%
to,,tP2 = Selected profile bearing length ratios

H,,H 2 = Levels for t p , and rp2.
Hrp = Height
betweenbearlngratios
FIG. 1-17 THEBEARINGAREACURVE AND RELATEDPARAMETERS
"_
Rsk -z o
"""_
R,, = 0
A I Mean
'o
GENERAL NOTE:
Three surfaces with different skewness. Also shown are the
amplitude density functions ( h i s t o g r a m s ) of surface height.
FIG. 1-18 THREESURFACEPROFILES WITH DIFFERENTSKEWNESS
13

SURFACE TEXTURE
Profile
""""" I
r
4
FIG. 1-19 THREESURFACEPROFILES WITH DIFFERENTKURTOSIS
kurtosis, R,, - a measure of the peakedness of the where the expression inside the absolute value sym-
profile about the mean line (see Fig. 1-19). In ana-
lytic form: profile Z(x) when L -
bols approaches the Fourier transform of the surface
03. For a digitized profile of
length L,consisting of N equidistant points senarated
R!W =-- a
by sampling interval &the function may'be ap-
proximated by:
For a digitized profile, a useful formula is:
NOTE: Thecalculatedvalues of skewness andkurtosisarevery where i = m, the spatial frequency f i s equal to

sensitive to outliers in the surface profile data. KIL,and K is an integer that ranges from 1 to N/2.
power spectral density, PSD(f ) - the Fourier de- The PSD may also be calculated by taking the Fou-
composition of the measured surface profile into its rier transform of the autocovariance function dis-
component spatial frequencies (f). The function may cussed next.
be defined analytically by:" autocovariancefunction, ACV(T) - The ACV is
given by an overlap integral of shifted and unshifted
I r~12 profiles and is also equal to the inverse Fourier trans-
form of the PSD. The ACV is given by:
LI 2
"R. B. Blackmanand J. W. Tukey, The Measurement of Power ax)a x
ACV(~)= lim ( I / L ) I_,,, + 7) h
Spectra (New York: Dover, 1958). 5-9. "L
14

~
A S I E 6 4 6 . 1 95 m 07576700573b00 O86 m
SURFACE TEXTURE
where T is the shift distance. For a finite, digitized where A; is given above. Just as for the average slope
profile, it may be approximated by: Ao, the selected value of do influences the value of
1 N-j’
A4.
ACV(7) = -
N
2 Z, Zj+j.
,=I
1.5 Definitions Related to the Measurement of
where r = j ’ d o . Surface Texture by Area Profiling and Area
autocorrelation function, ACF( T) - The normalized Averaging Methods
autocovariance function: II 1.5.1 General. Several types of surface measure-
ment techniques are used to quantify the surface tex-
ACF(7) = ACV(T)/R: ture over a selected area of a surface instead of over
single profiles. Areamethods maybe divided into
correlation length - the shift distance at which the two classes, area profiling methods and area aver-
autocorrelation function falls to a selected value. aging methods, as defined below.
Typical selected values are l l e (the base of the nat-
area projîlingmethod - a surface measurement
ural logarithms) or 0.1 or O (the first zero crossing).
method by which the topographic information is rep-
resented as a height function Z(x,y)of two inde-
1.4.4 Hybrid Parameters
pendent variables &y). Ordinarily, the function
average absolute slope, Ao - the arithmetic average
Z(x,y) is developed by juxtaposing a set of parallel
of the absolute value of the rate of change of the
profilesasshownin Fig. 1-20. The height function
profile height calculated over the evaluation length.
Z(x,y) is defined in para. 1.6.l .
Analytically, it may be given by:
area averaging method - a technique that measures
a representative area of a surface and produces quan-
titative results that depend on area averaged prop-
erties of the surface texture. Such techniques include
where Id2ld.y is the local slope of the profile. Dig- parallel plate capacitance and optical scattering.
itally, it may be given by: topography - the three-dimensional representation
of geometric surface irregularities (See Fig. 1-20.)
nominal sulface - See para. 1.2.1.
real sulface - See para. 1.2.1.
measured topography - a three-dimensional repre-
where sentation of the real surface obtained by a measuring
instrument
modijîed topography - a three-dimensional repre-
sentation of the real surface obtained by a measuring
instrument for which filtering mechanisms (electri-
cal, mechanical, optical, or digital) are used to min-
The selected value of d , influences the value of Au. imize certain surface texture characteristics and
root mean square slope, Aq - the root mean square emphasize others
average of the rate of change of the profile height roughnesstopography - the modified topography
calculated over the evaluation length. Analytically, it obtained by attenuating the longer surface wave-
may be given by: lengths associated with waviness
wavinesstopography - the modified topography
Aq = (,/L i:
(dZ/dx)2& ) l i ’
obtained by attenuating the shorter surface wave-
lengths associated with roughness and the longer
wavelengths associated with the part form
Digitally, it may be given by:
1.5.2 Reference Mean Surfaces
A,, = [i 1I2
meansulface - the three-dimensional reference
surface about which the topographic deviations are
15

ASME 8 4 6 . 2 95 0759b70
0573603
T32 W
SURFACE TEXTURE
I 1 I 1
41 4
O 123 246 369 492
Distalice (/lm)
FIG. 1-20 TOPOGRAPHIC MAP OBTAINEDBY AN AREAPROFILING METHOD
measured. The mean surface may be determined in 1.5.4 Sampling Areas. Sampling areas for area
several ways, as described below. profiling methods are conceptually similar to sam-
least squares mean sudace - a surface having the
pling lengths for ordinary profiling methods (see
para. 1.3.5). In particular, the following concepts are
general form of the nominal surface such that, within
useful.
a specified area, the sum of the squares of the to-
sampling area, A,$- the area within which a single
pography deviations from this surface is minimized
value of a surface parameter is determined. The char-
jìltered mean sutface - the surface established by acteristic dimension of the sampling area should at
applying a filtering process to the measured topog- least be equal to the maximum spatial wavelength to
raphy. The filtering techniques may be electrical, me- be quantified.
chanical, optical, or digital. Someexamples are a minimum resolvable area - the area analog of spa-
Fourier filter, apolynomial fit using least squares tial resolution. This is usually determined by the ca-
techniques, or a directional based filter to eliminate pabilities of the measuring instrument by such fac-
or enhance directional surface features such as lay. tors as the sampling interval (see para. 1.3.4), radius
of the stylus tip, or optical resolution. The lateral
1.5.3 Area Peaks and Valleys
resolution maynotbe the same in every direction.
For example, in a raster scanning system, an instru-
areapeak - the point of maximum heighton a
ment may have a very small sampling interval along
topography inan area bounded by the intersection
the direction of each scan line, but may have a large
of the topography with the mean surface; the area spacing between adjacent scan lines.
analog of a profile peak (See Fig. 1-21.)
evaluation area, A, - the total area over which the
areavalley - the point of maximum depth on a valuesof surface parameters are evaluated.For
topography in an area bounded by the intersection proper statistics, itmay contain a number of sam-
of the topography with the mean surface; the area pling areas. A , = L,,L,. for a rectangular, raster
analog of a profile valley (See Fig. 1-21.) scanned area.
16

ASME B4b.L 95 m 0 7 5 9 b 7 00 5 7 3 b 0 2 959 9
SURFACE TEXTURE
1.6 Definitions of Surface Parameters for Area

Profiling and Area Averaging Methods
1.6.1 Height Parameters
height function, Z(x,y> - the function used to rep-
resent the point-by-point deviations between the
measured topography and the mean surface
average roughness, AR, - the arithmetic average of
FIG. 1-21 AREAPEAKS(LEFT) AND
the absolute values of the measured height deviations
AREA VALLEYS (RIGHT)
from the mean surface taken within the evaluation
Exploitation rights by DIN Deutsches Institut fuer Normung
area. Analytically, AR, is given in Cartesian coordi- e.V. in connection with thecopyright for DIN 4761-1978. Not
nates by: for resale. No part of this publication may be r e p r o d u a
in any form, including an electronic retrieval system, with-
out the prior written permission of DIN Deutsches Institut
fuer Normung e.V.,Burggrafenstrasse. 6, D-10787 Berlin,
Germany.
For a rectangular array of M X N digitized profile

values q,, the formula is given by:
calculations of parameters based upon these heights would be es-
timates for roughness only.
1.6.2 Waviness Parameters

area waviness height, AW,- the area peak-to-valley
root mean square (rms) roughness, AR, - the root
mean square average of the measured height devia- height of the filtered topography from which rough-
tions from the mean surface taken within the evalu- ness and part form have been removed
ation area. Analytically, AR, is given by:
1.6.3 Area Spacing Parameters
directional peak spacing - the distance between ad-
jacent peaks in a profile through the surface topog-
raphy that can be calculated in any selected direction
over the measured surface (See Fig. 1-22.)
The digital approximation is: area peak density - the number of area peaks per
unit area. Additional parameters can be defined that
include the mean area peak spacing and parameters
that count either area peaks, whose heights are above
a selected reference surface, or area valleys, whose
maximum area peak height,AR,, - themaximum depths are below a selected reference surface.
height in the evaluation area with respect to the mean
surface 1.6.4 Shape Parameters
maximum area valley depth, AR,. - the absolute skewness, AR,,, - a measure of theasymmetryof
value of the minimum height in the evaluation area surface heights about the mean surface. Analytically,
with respect to the mean surface AR,, may be calculated from:
area peak-to-valley height, AR, - the vertical dis-
tance betweenthemaximumheightand the maxi-
mum depth in the evaluation area:
For digitized profiles it may be calculated from:
AR, = ARP t AR,
1 M N
NOTE: The height parameters are defined here with respect to the
mean surface. One can use these definitions for characterization
of either roughness and/or waviness parameters by choosing an
appropriately filtered mean surface. For example, one could obtain kurtosis, AR,, - a measure of the peakedness of the
the ARq for roughness by calculating a filtered, wavy mean surface
with respect to which the heights Z(,x,s) are calculated. These surface heights about the mean surface. Analytically,
heights would contain only roughness information and hence, the AR,,, may be calculated from:
17

~ ~~~
ASME 846.1 95 m 0759670 0573603 895
SURFACE TEXTURE
Profile A Profile B
FIG. 1-22 COMPARISON OF PROFILES MEASURED IN TWO DIRECTIONS ON A UNIAXIAL,

PERIODIC SURFACE SHOWING THE DIFFERENCE IN PEAK SPACING AS A FUNCTION OF
DIRECTION
rection canbeselected to be perpendicular orpar-

allel to the lay to provide information about the lay
itself. Typically, instruments calculate this parameter
For a digitized profile, it may be calculated from: in the x or y directions or in addition may take the
square root of the sum of the squares of the x and y
slopes.
AR, = --
1
(ARJ4 M N
1
c c zi4i
M N
~ r I= i= I
directional slopes, AQ or Aq - parameters identical
to the slope parameters of para. 1.4.4. Both the av-
NOTE: Thecalculatedvalues of skewness andkurtosis are sen- erage absolute slope and the root mean square slope
sitive to outliers in the surface height data. may be calculated in any direction for a single profile
of the measured topography.
1.6.5 Other Parameters area root mean square slope, AAq - the root mean
area average absolute slope, AAQ - the arithmetic square of the derivative of the measured topography
average of the absolute value of the derivative of the along a selected direction calculated over the eval-
measured topography along a selected direction cal- uation area. The modes of calculation in the x or y
culated over the sample area. For example, the di- directions are the same as those for AAQ.
18

ASME B4b.L 95 m 0759b70 0573604 721
SURFACE TEXTURE
bearing area ratio - the ratio of [the area of inter- when the sampling interval here inboth x and y
section of the measured topography with a selected directions is the same (do).
surface parallel to the mean surface] to [the evalua- area autocovariance function, AACV - This three-
tion area]. By analogy with the projile bearing length dimensional function is used to determine the lateral
ratio (see para. 1.4.3), this ratio is normallyex- scale of the dominant surface features present on the
pressed as a percentage. measured topography. Single profiles through the
area power spectral density function, APSD - the function can be used to evaluate lay characteristics.
square of the amplitude of the Fourier transform of The function is equal to the inverse Fourier trans-
the measured topography. This three-dimensional form of the area power spectral density function but
function is used to identify the nature of periodic also may be estimated by the formula:
features of the measured topography. Single profiles
through the function can beused to evaluate lay AACV(T,,TJ = lim
(L)
L, L,
[ J 2 / L I 2
characteristics. One version of the function is given L,.L,-.= -Lx12 -Lx12
by the following formula: * Z(x,y) Z(X + T,, Y + T,) &dY
The digital approximation may be given by:
where
rx = j ' d ,
A digital approximation is given by: ry = k'd,
area autocorrelation function,AACF - the normal-
ized area autocovariance function:
AA CF( T,,T,) = AA CV(TfifY)/ (ARJ2
19

ASME B 4 6 9 1 75 M 0757670 0573605 668 W
(This page was intentionally left blank.)

ASME B 4 b - L 75 m 0 7 5 7 6 7 00 5 7 3 b O b ST4
SURFACE TEXTURE
SECTION 2 CLASSIFICATION OF INSTRUMENTS FORSURFACE

TEXTURE MEASUREMENT
2.1 Scope of Section 2 ( b ) Measureroughness andmay measure wavi-

ness and error of form with respect toan external
Instruments included in this Section are used for
datum;
measurement of surface texture, which includes
roughness andwaviness. This classification is in- (c) may have a selection of filters and parameters
tendedtoaid in choosing and understanding these for data analysis;
instruments and in determining which ASME B46.1 ( d ) For stylus-type transducers, tips are often
sections apply to their application. The classification changeable and may range from submicrometer di-
system has been made as general as possible. How- amond styli toball tips withradiiofseveral milli-
ever, instruments exist that do not clearly fit within meters;
any single instrument class. A schematic diagram of ( e ) can generate filtered or unfiltered profiles;
this classification with some examples isshownin cf> capable of either unfiltered profiling or topo-
Fig. 2-1. graphical analysis (area profiling), or both.
2.3.1.2Examples
( a ) sludless stylus-type adapted with LVDT (Lin-
2.2 Recommendation ear Variable Differential Transformer) vertical mea-
suring transducer;
In cases of disagreement regarding the interpre-
( b ) skidless stylus-type usingan interferometric
tation of surface texture measurements, it is recom-
transducer;
mended that measurements with a Type I (skidless)
(c) skidless stylus-type using a capacitance trans-
instrument with Gaussian (50%) filtering be used as
the basis for interpretation. The Type I instrument is ducer.
listedbelowandthe Gaussian filteris described in 2.3.1.3Reference
Section 9. The recommended bandwidth, stylus tip Section 3, Terminology and Measurement Proce-
radius, and sampling interval are tobe determined dures for Profiling, Contact, Skidless Instruments
using Section 9, Table 9-2, based on the desired
roughness cutoff (Ac). The recommended maximum
stylus force is given in Section 3, para. 3.3.5.2, given 2.3.2 Type II: Profiling Noncontact Instru-
the desired tip radius. ments. These techniques generally use an optical or
The above recommendation does not apply if the electrical sensor.
surface structures to be assessed are outside the 2.3.2.1 Properties
bandwidths of Section 9, Table 9-2, or if damage ( u ) capable of full profiling or topographical anal-
can occur to the surface whenusing the Type I ysis or both;
instrument. ( b ) Noncontact feature maybe advantageous for
soft surfaces;
( c ) Measurements may vary with sample material
2.3 Classification Scheme or reflectivity;
( d ) These instruments mayhavedifficulty mea-
2.3.1 Type I: Profiling Contact Skidless Instru- suring surface features with steep slopes;
ments
( e ) Selection of parameters and available filter
2.3.l. 1 Properties types mayvarywith instrument techniques or de-
( u ) Measuring range often includes very smooth fined data analysis;
and rough surfaces; cf, can generate filtered or unfiltered profiles.
21

instruments for the Measurement of Surface Texture
I1
Full Profiling Instruments with Instruments with
Instruments Parameters and Parameters Only
Limited Profile Capability
I
1 I I I

contact skidless non-contact
instruments
----------- .--------------------
-----mEXAMPLES --------.

Stylus with
- piezoelectric
transducer
lnterferometric
Stylus with
function (BRDF)
FIG. 2-1 CLASSIFICATION OF COMMON INSTRUMENTS FOR MEASUREMENT OF SURFACE TEXTURE

~ ~~
ASME 846.1 95 m 0759670 0573608 3 7 7
SURFACE TEXTURE
2.3.2.2 Examples 2.3.4.3 Reference

(u) interferometric microscope Section 4, Measurement Procedures for Contact,
(b) optical focus sensing Skidded Instruments
( c ) Nomarski differential profiling
( d ) laser triangulation
( e ) scanning electron microscope (SEM) stereos-
COPY 2.3.5 Type V: Skidded Instruments With Par-
cf, confocal optical microscope ameters Only
2.3.2.3 References 2.3.5.1 Properties
Section 5 , MeasurementTechniques for Area (u) Use a skid asa datum, usuallyin order to
Profiling eliminate longer spatial wavelengths. Therefore,
AppendixC,A ReviewofAdditional Surface waviness and error of form cannot be measured with
Measurement Methods this type of instrument;
(6) Filters are typically of the 2RC type;
(c) typically produce measurements of the R, pa-
2.3.3 Type 111: Scanned Probe Microscopes rameter, but other parameters may also be available;
( d ) For those instruments using a diamond stylus,
2.3.3.1 Properties the stylus tip radius is commonly 10 pm but may be
(a) high spatial resolution instruments (at or near smaller. With a IO p m stylus radius, these instru-
atomic scale); ments may not be suitable for measuring very short
( b ) Measurement areas may be limited. spatial wavelengths;
2.3.3.2 Examples ( e ) This type of instrument does not generate a
( a ) scanning tunneling microscope (STM) profile.
(b) atomic force microscope (AFM) 2.3.5.2 Examples
2.3.3.3 Reference ( a ) skidded, stylus-type with piezoelectric mea-
Section 5 , MeasurementTechniques for Area suring transducer
Profiling (b) skidded, stylus-type with moving coil mea-
suring transducer
2.3.5.3 Reference
2.3.4 Type IV Profiling Contact Skidded Section 4, Measurement Procedures for Contact,
Instruments Skidded Instruments
2.3.4.1 Properties
( u ) Use a skid asa datum, usually in order to
eliminate longer spatial wavelengths. Therefore,
waviness and error of form cannot be measured with 2.3.6 Type VI: Area Averaging Methods
this type of instrument; 2.3.6.1 Properties
(b) may have a selection of filters and parameters ( a ) These instruments measureaveraged para-
for data analysis; meters over defined areas;
( c ) For stylus-type tranducers, the tip radius is ( b ) Profiles are not available from these
commonly 10 pm or less. With a 10 pm stylus ra- instruments.
dius, the instrument maynotbe suitable for mea-
suring very short spatial wavelengths; 2.3.6.2 Examples
( d ) This type of instrument yields surface param- ( a ) parallel plate capacitance (PPC) method
eter values and generates an output recording of fil- (6) total integrated scatter (TIS)
tered or skid-modified profiles, (c) angle resolved scatter (ARS)/bidirectional re-
flectance distribution function (BRDF)
2.3.4.2 Examples
( a ) skidded, stylus-type with LVDT vertical mea- 2.3.6.3 Reference
suring transducer Section 6, MeasurementTechniques for Area
(b) fringe-field capacitance (FFC) transducer Averaging
23


ASME B Y 6 0 1 95 0759670 0573630 7'25 m
SURFACE TEXTURE
SECTION 3 TERMINOLOGY AND MEASUREMENT PROCEDURES FOR

PROFILING, CONTACT, SKIDLESS INSTRUMENTS
3.1 Scope of Section 3 3.3.2 MeasuringLoop. The measuring loop com-

prises all components which connect the instrument
This Section defines terminology and measure-
stylus to the workpiece surface. This loop canconsist
ment procedures for Type I, profiling, contact, skid-
of (but is not necessarily restricted to) the workpiece,
less instruments, per Section 2. It addresses termi-
fixturing, measuring stand, traverse unit, and stylus
nology, calibration, and use of these instruments for
pickup (see para. 3.3.5). Ideally, the number of com-
the assessment of individual surface profiles. In ad-
ponents in the measuring loop should be minimized.
dition, a description of theType I instrument that
This minimization generally reduces the system sen-
complies with IS0 3274 is also included. In cases sitivity to vibration and thermal effects.
of disagreement regarding the interpretation of sur-
face texture measurements,a Type I instrument in
compliance with I S 0 3274 should be used. This rec- 3.3.3 Profile Coordinate System.The profile co-
ommendation is also discussed in Section 2. Other ordinate system is that right-handed, three-dimen-
types of instruments may be used, but the correlation sional, Cartesian coordinate system defined by the
of their measurements with those ofType 1 instru- work surface and the direction of motion of the sty-
mentsthat comply with this Section must be lus. In this system, the stylus traverse defines the
demonstrated. x axis and the displacements normal to the work sur-
face define the z axis (see Fig. 3- 1).
3.2 References 3.3.4 Stylus. The stylus is the finite object which
Section 1, Terms Related to Surface Texture contacts the workpiece surface to be assessed.
Section 2, Classification of Instruments for Sur- 3.3.4.1 Stylus Tip. The stylus tip is critical in
face Texture Measurement surface profile assessment as it determines the size
IS0 3274: 1975, Instruments for the Measurement and shape of surface features which can be properly
of Surface Roughness by the Profile Method - Con- assessed. Refer to Section 9 for stylus tip size selec-
tact (Stylus) Instruments of Consecutive Profile tion when the short wavelength cutoff is specified.
Transformation - Contact Profile Meters, System Basic tip geometries are described below.
M 3.3.4.2 Conical StylusWith SphericalTip.
I S 0 4288, Rules and Procedures for the Measure- The conical stylus shall incorporate an included an-
ment of Surface Roughness using Stylus Instruments gle ( a ) of 60 deg or 90 deg (see Fig. 3-2). The ef-
fective radius ( r ) of the tip shall be 2, 5 , or 10 pm
(0.00008, 0.0002, or 0.0004 in.) A definition of ef-
3.3Terminology fective radius is given in Section 4.
3.3.1 Profiling,Contact,Skidless Instrument. 3.3.4.3 Truncated Pyramid Xp. A truncated

A profiling, contact, skidless instrument is an instru- pyramid stylus can also be used with a rectangular
ment which measures displacements of a stylus rel- contact area 2-4 pm (0.00008-0.00016 in.) on a side
ative to an external datum. This stylus is traversed ( a or b in Fig. 3-3) and an included angle ( a )(in the
over the surface of interest. The displacementsof the direction of traverse) of 60 deg or 90 deg.
stylus are linearly proportional to the heights of fea- 3.3.4.4 Stylus Generated Profile. The stylus
tures contained on the surface. The measured stylus generated profileisthatprofilewhich is generated
displacements yield the measured surface profile. by the finite stylus tip as it is traversed relative to
25

ASME 846.1 95 0759670 0573631 961
SURFACE TEXTURE
FIG. 3-1 PROFILECOORDINATE SYSTEM
FIG. 3-2 CONICAL STYLUS TIP
26

SURFACE TEXTURE
Dlrectlon of
l h e pick-up
I movement
t
A
I
A
FIG. 3-3 TRUNCATED PYRAMID TIP
the workpiece surface. This profile is not necessarily Maximum Recommended

the actual cross section of the workpiece surface as Static Measuring Force at
some surface features of the surface maybe inac- Mean Position of Stylus,
cessible for given stylus dimensions. Nominal Tip Radius N (e0
2 pm (0.00008 in.) 0.0007 (0.07)
3.3.5Pickup. The pickup comprises the stylus, 5 p m (0.0002 in.) 0.004 (0.4)
stylus holding mechanism, measuring transducer, 10 pm (0.0004 in.) 0.016 (1.6)
and any signal conditioning associated with the mea-
suring transducer. As this system is traversed across
the workpiece, z axis displacements of the stylus are 3.3.5.3 Static Measuring Force Variation.
transmitted to the measuring transducer, thus gener- Thechange in static measuring force inthe z
ating a profile of displacements relative to the ref- direction over the entire z measuring range of the
erence datum.
pickup.
3.3.5.1 Static Measuring Force. The static
3.3.5.4 Dynamic Measuring Force. Thedy-
measuring force is the force, in the z direction, ex-
namic measuring force is the instantaneous normal
erted into the workpiece surface by the stylus while
the stylus is at rest. When specifying an instrument, force associated with the motion of the stylus as it
the static measuring force isgivenat the midpoint is traversed relative to the surface. This force may
of the z range of the instrument. be difficult to quantify and varies both with stylus
location on the surface and withthe speed of the
3.3.5.2 Maximum Recommended Static traverse.
Measuring Force. The maximum recommended
values of static measuring force are determined by 3.3.5.5 Total Stylus Force. The total stylus
the stylus radius. For the truncated pyramid, use the force is that instantaneous force resulting from the
smaller of the dimensions of the truncated flat as the combination of static anddynamic normal forces
nominal tip radius. during measurement.
27

ASME B4b-L 95 m 0759b70 0573bL3 734m
SURFACE TEXTURE
3.3.5.6 PickupTransmissionCharacteristic. 3.3.6.4 x Axis Resolution. The x axis resolu-

This function indicates the percentage of the ampli- tion is defined as the smallest increment in the x
tude of a sinusoidal surface profile transmitted by the direction which can be resolved. The x axis position
pickup as a function of surface spatial wavelength can be determined either by a velocity-time system
(see Section 9). or by an encoding system.
3.3.5.7 Pickup Measuring Range. The pickup 3.3.6.5 External Datum.The external datum is
measuring range is the z axis range over which the the reference with respect to which stylus displace-
surface profile heights can be properly assessed by ments are measured.Thisdatum maybe separate
the pickup. from the reference guide or integral with it.
3.3.5.8 Pickup Measuring Resolution. The
pickup measuring resolution is the smallest z profile
height increment detectable by the pickup. Often, 3.3.7 Amplifier. The amplifier magnifies the sig-
this is a function of the magnification selection and nal generated by the pickup.
should be reported for each available magnification.
3.3.7.1 AmplifierGain. The amplifiergainis
3.3.5.9 PickupRange-to-Resolution Ratio. the amount of z magnification provided by the am-
The pickup range-to-resolution ratio is the ratio of plifier. A selection of gain settings isavailable on
total z axis measuring range to the pickup measuring many instruments.
resolution at a given magnification.
3.3.5.10 Pickup Nonlinearity. The pickup non-
linearity is the deviation in z axis magnification as a
function of stylus vertical displacement. 3.3.8Analog-to-Digital Conversion. This Sec-
tion, covering analog to digital conversion, is op-
3.3.5.11 Pickup Hysteresis. The hysteresis of tional for Type I instruments according to the clas-
a pickup is the difference in the measured stylus po- sification scheme of Section 2, which covers both
sition for upward versus downward stylus motion. analog and digital instruments. However, this Section
covers terminology associated withthe digitization
and storage of profile data which is a requirement if
3.3.6 Drive Unit. The drive unit provides x axis
range andmotion control. This motion determines an instrument is to comply with I S 0 3274.
the instantaneous x axis positions for corresponding 3.3.8.1 Analog-to-Digital Converter. The an-
z axis positions. The drive unit also controls the alog-to-digital converter (ADC) converts the analog
speed of traverse. z signal to discrete, digital values. These values, to-
3.3.6.1 Reference Guide. The reference guide gether with the sampling rate and stylus traverse
determines the plane of the measured profile through speed, or x axis encoder reading, make up the digital
the linear guidance of the stylus drive unit during the representation of the traversed profile.
traverse. In a typical application where the stylus 3.3.8.2NyquistWavelength. The Nyquist
measures height displacements in the z direction, the wavelength is the shortest detectable wavelength for
reference guide constrains the drive unit in the y and a given sampling rate. This wavelength is computed
z directions. as twice the x axis spacing of the digital values (the
3.3.6.2 x Axis Straightness. The x axis sampling interval). Itshouldbenotedthat in prac-
straightness is the measure of departure of the ref- tical terms, the measured amplitude of a sinusoidal
erence guide from a straight line in both the y and z profileat this wavelengthmaybe smaller thanits
directions. It canbecomputed as the distance be- actual amplitude because of the phase difference be-
tweentwo parallel lines in the direction under as- tween the sampled data points and the profile peaks
sessment 01 or I) whereby the two lines completely and valleys. Refer to Section 9 for further informa-
enclose the data generated by the reference guide tion pertaining to sampling interval.
and have minimum separation. 3.3.8.3 Aliasing. When analog data containing
3.3.6.3 x Axis Range. The x axis range is that wavelengths shorter than the Nyquist wavelength are
maximum length in the direction of traverse over sampled, these wavelengthswillbefalselyrepre-
which a profile measurement can be made. sented as wavelengths longer than the Nyquist wave-
28

ASME B4b.l 95 W 0759b70 0573634b70 m
SURFACE TEXTURE
FIG. 3-4 ALIASING
length. This phenomenon is referred to as aliasing 3.3.1 1Instrument Nonlinearity. The instrument
and is depicted in Fig. 3-4. nonlinearity is the deviation in measured z axis dis-
placement as a function of the actual z axis stylus
3.3.8.4 Antialiasing Filter. The antialiasing fil-
displacement.
terremoves wavelengths shorter thantheNyquist
wavelength prior to digitization. This eliminates the 3.3.12 Instrument Measuring Range. The in-
potential for aliasing. This filtering can be the result strumentmeasuringrange is the z axis rangeover
of mechanical filtering due to the finite stylus tip or which the surface profile heights can be properly as-
the result of an electronic filter typically incorporated sessed by the instrument.
in the analog-to-digital converter.
3.3.13 Instrument Measuring Resolution. The
instrument measuring resolution is the smallest de-
tectable z profile height increment. Often, thisis a
3.3.9 Primary Measured Profile. Theprimary function of the magnification and should be reported
measuredprofile is the complete representation of for each available magnification.
the measured workpiece surface after application of
a short wavelength filter to eliminate high frequency 3.3.14 Instrument Range-to-Resolution Ratio.
noise or artifacts (see Section 9). The instrument range-to-resolution ratio is the ratio
of total z axis measuringrange to the instrument
measuring resolution at a given magnification.
3.3.10 Instrument Sinusoidal Transmission 3.3.15 Zero Point Drift. The zero point drift is
Function. The instrument sinusoidal transmission the recordedchange in z reading under conditions
function describes the percentage of transmitted am- where the stylus isheld stationary at constant am-
plitude for sine waves of various wavelengths at bient temperature and where outside mechanical in-
given tracing speeds as represented in the analog or fluences are minimal.
digital signalprior to filtering. This transmission
function describes the combinedmechanical and 3.3.16 ResidualProfile. The residual profileis
electronic effects of the instrument on the stylus thatprofilewhichis generated by internal and ex-
generated profile. ternal mechanical disturbances as well as by devia-
29

ASME B4b.L 95 m O759670 0573635 507
SURFACE TEXTURE
TABLE 3-1 CUTOFFVALUES FORPERIODICPROFILES USING S,,,
Sm cutoff
Length Evaluation
Over Up to (Including) [Note 1111 Length
mm (xO.001 in.) mm (~0.001

in.) mm (in.] mm (in.)
0.013 (0.5) 0.04 (1.6) 0.08 (0.003) 0.40 (0.016)

0.040 (1.6) 0.13 (5) (0.010) 0.25 (0.05) 1.25
0.13 (5) 0.40 (16) 0.80 (0.03) 4.0 (0.16)
0.40 (16) 1.3 (50)
(0.10) 2.5 12.5 (0.5)
1.3 (50) 4.0 (160) 8.0 (1.6)
(0.3) 40.0
NOTE:
(1) For calibration specimens the recommended cutoffs are given in Section 11.
tions in the reference guideanddatum whenan 3.3.20.1 ProfileFilterCutoffSelectionFor

ideally smooth surface is measured by an instrument. Periodic Profiles
( a ) Estimate the surface roughness parameter S,
3.3.17 x AxisProfile Component Deviations. graphically from an unfiltered profile trace.
The x axis profile component deviations are those ( 6 ) Determine the recommended cutoff value
deviations between the actual profileand the mea- from the estimated or measured S, value from Table
sured profile in the x direction. 3-1.
3.3.18Short-Wave Transmission Limit. The 3.3.20.2 Profile Filter CutoffSelection For

short-wave transmission limit is the short wavelength Nonperiodic Profiles
boundary of the band of wavelengths included in the (a) Estimate the roughness parameter, R,, for the
desired profile (for example, the roughness profile). surface profile to be measured.
Ideally, this boundary is obtained via analog or dig- (b) Use Table 3-2 to estimate the cutoff length for
ital filtering whereby short wavelengths are attenu- the estimated R, value.
ated in amplitude (see also Section 9). ( c ) Measure the R, value of the profile at the es-
timated cutoff.
3.3.19 Profile Filter. The profile filter is the filter ( d ) If the measured R, is outside the range of val-
which separates the roughness ( R ) from the waviness ues for the estimated cutoff length, adjust the cutoff
(W) and form error ( F )'components of the primary accordingly. Repeat the measurement and cutoff ad-
profile ( P ) . This filter consists of either an analog or justment until an acceptable combination is reached.
a digital implementation of a 2RC or a Gaussian fil- ( e ) If the next cutoff length shorter than the ac-
ter. Based on sine wave amplitude transmission char- ceptable one has not been tested, measure R, at this
acteristics and compliance with I S 0 standards, use shorter cutoff length. If this shorter cutoff length is
of the digital Gaussian filteris recommended. For acceptable in terms of the resultant R,, then this be-
further discussion of profile filtering, refer to Section comes the measurement cutoff. If this new cutoff
9. length and R, combination do not conform to Table
3-2, then the cutoff length determined in (d) above
3.3.20 Profile Filter Cutoff Selection. Filter cut- should be used.
off length is determined in part by the x and z aspects
of the surface under evaluation. Guidelines are given
below for periodic and nonperiodic profiles based on 3.3.21 Profile Recording and Display. After fil-
estimates of S, and R,, respectively.For the mea- tering, the measured profile is typically plotted on a
surement process where no specification exists, care graph for visual interpretation. Digital instruments
must be taken to choose a cutoff value that includes can also store the discrete data points for further nu-
all of the surface irregularities to be evaluated. merical analysis and graphical display.
30

~ ~- ~~
ASME 846.1 75 m 0757670057361b 443 W
SURFACE TEXTURE
TABLE 3-2 CUTOFF VALUES FOR NONPERIODIC PROFILES USING Ra
up to cutoff Evaluation
Over (Including) Length Length
Pm (pin.) Pm (pin.) mm (in.) mm (in.)

- - 0.02 (0.8) 0.08 (0.003) 0.40 (0.016)
0.02 (0.8) 0.10 (4) 0.25 (0.010) 1.25 (0.05)
0.10 (4) 2.0 (80) 0.80 (0.03) 4.0 (0.16)
2.0 (80) 10 (400) 2.5 (0.10) 12.5 (0.5)
10 (400) - - 8.0 (0.3) 40 (1.6)
3.3.21.1 z Axis Magnification. The z axis the shaft is bent, or if the mounting surfaces (for a
magnificationis the ratio of the displayed profile detachable stylus) appear to have excessive wear, the
heightsto the actual heights of the corresponding stylus should be repaired or replaced. The stylus
surface features on the workpiece.This magnifi- must also be clean and free from any lint or residual
cation may also be represented as a surface z dis- film left from the cleaning process.
placement (in units of length) per scale division on
3.4.1.2Magnified Inspection. The stylus tip
a graph.
should also be inspected with the aid of a magnifi-
3.3.21.2 x Axis Magnification. The x axis cation device (for example, a microscope or optical
magnification is the ratio of the length ofthe dis- comparator). Once again, a broken or worn stylus
playedprofileto the actual length traversed by the should be repaired or replaced. See also Section 11
stylus. This magnification can also be represented as for procedures to evaluate the stylus tip.
surface displacement (in units of length) per scale
division on a graph. 3.4.2InstrumentCalibration. The instrument
3.3.21.3 Magnification Ratio (Aspect Ratio). should be calibrated according to the instrument
The magnification ratio or aspect ratio is the ratio of manufacturer’s specifications using a precision ref-
the z magnification to the x magnification. erence specimen (see Section 11) traceable to NIST.
This specimen should also be clean and free from
signs of wear which may affect the calibration of the
3.3.22 Profile Evaluation. The evaluation of the instrument.
primary roughness and waviness profiles shall be by
the definitions and formulas given in Section 1. 3.4.3 Workpiece Cleanliness. The workpiece to
be assessed should be cleaned with a nondamaging
solvent andistobe free from any residual film or
3.4 Measurement Procedure
other debris prior to measurement.
The following paragraphs provide guidelines for 3.4.4 Workpiece Fixturing. A visual assessment
the use of Type I instruments in the measurement of of the workpiece surface should bemade to deter-
workpiece surfaces. mine a representative portion of the surface on which
the trace is to be made. The workpiece should then
be securely fixtured relative to the instrument stylus
3.4.1 Stylus Inspection. The instrument’s sty- and traverse direction such that the lay of the surface,
lus should be inspected for cleanliness, wear,and if any, is perpendicular to the direction of traverse.
mechanical damage as per the following procedure.
3.4.1.1 Visual Inspection. Prior to its use, the 3.4.5 Instrument / WorkpieceLeveling and
stylus shouldbe visually inspected for cleanliness Alignment. The instrument andworkpieceshould
andmechanical integrity, If the stylus tipis loose, be aligned such that the underlying geometry of the
31

ASME B4b.3 95 m 0759670 0573637 38T m
SURFACE TEXTURE
surface under test and its relationship to the traverse axis of the traverse to avoid the presence of a cur-
minimize total stylus displacement during measure- vature in the trace.
ment over the evaluation length. Forflat surfaces,
this requires that the surface under test be levelled
relative to the instrument traverse unit. Commonly, 3.4.6 Assessment of the Workpiece Surface.
the measuring instrument is adjusted for tilt relative Upon fulfilling the above requirements, the stylus
to the workpiece until no significant relative tilt is may be positioned and the measurement made. If a
detected by the stylus as itis traversed. For cylin- parameter measurement is required, for example the
drical components, in addition to leveling, the axis roughness parameter R,, the value can be obtained
of the component should be closely aligned with the after proper filtering.
32

~~
ASME B4b.L 95 W 0759b70 0573bLB 2Lb W
SURFACE TEXTURE
SECTION 4 MEASUREMENT PROCEDURESFORCONTACT,SKIDDED

INSTRUMENTS
4.1 Scope of Section 4 4.3 Purpose

4.1.1 General. Contact, skidded instruments and The purpose of this Section is to foster the uni-
procedures used to determine roughness values of a formity of surface roughness evaluation among con-
given surface shall comply with the specifications in tact, skidded instruments and to allow the specifi-
this Section. The use of other principles of surface cation of desired surface texture values with
roughness measurement are explained in other sec- assurance of securing repeatable results. Special con-
tions of this Standard. figurations of instruments for special purposes such
as small radius skids, long styli, fast response, and
special cutoff characteristics do not meet the requi-
4.1.2 Types IV and V Instruments. Many instru-
rements of this Section but are useful for compara-
ments for measuring surface roughnessdepend on
tive purposes. The instrument manufacturer shall
electrical processing of the signal produced by the
supply information where deviations exist.
vertical motion of a contacting probe traversed along
the surface, in general, perpendicular to the lay di-
rection. A convenientmeans of providing a reference
surface for measuring probe movement is to support 4.4 Instrumentation
the tracer containing the probe on skids whose radii
4.4.1 RoughnessAverage Value R, from Av-
are large compared to the height and spacing of the
eraging and Digital Readout Instruments
irregularities being measured.
( a ) The readout device shall display the average
This Section is concerned onlywith such tracer
deviation from the filtered mean line in p m (pin.).
type instruments using skidded, contact probes (see
This quantity is the roughness average R,, formerly
Fig. 4-1). In the case of the stylus, both the skid and
known as arithmetic average (AA) and centerline av-
stylus contact the surface. In the case of the fringe-
erage (CLA) and is explained in further detail in Sec-
field capacitance (FFC) probe, the skid contacts the
tion1. The filteredmean line is also described in
surface but the sensor does not. These instruments
Section 1.
are classified as Type TV or Type V in Section 2.
( b ) For uniform interpretation of readings from
contact type instruments of the averaging type, it
should be understood that the reading which is con-
4.2 References sidered significant is the mean reading around which
Section 1, Terms Related to Surface Texture the valuetends to dwell or fluctuate with a small
amplitude. Analog meters are damped to minimize
Section 2, Classification of Instruments for Sur- acute deflections; nevertheless, extremelyhigh and
face Texture Measurement low momentary readings oftenoccur. These anom-
Section 3, Terminology and Measurement Proce- alous readings are not representative of the average
dures for Profiling, Contact, Skidless Instruments surface condition, and such readings should not be
Section 9, Filtering of Surface Profiles usedin determiningroughness average. An instru-
ment with a digital readout integrates these high and
Section 1 I , Specifications and Procedures for Pre- low momentary readings and displays the surface
cision Reference Specimens roughness averaged over a significant length of sur-
ASME Y 14.36M, Surface Texture Symbols face profile.
33

ASME BY6-L 95 m 0759670 0573617 152 m
SURFACE TEXTURE
Component
(a) Stylos Probe
Gap sealer
i
sensing element
I
Nonconductwe
[b) Typical Fringe-Field Capacitance Probe
GENERAL NOTES:
(a) The fringe-field capacitance (FFC) probe is comprised of a conductive thin film sensor
embedded in a non-conductive sphere. The sensor is concentric with the equatorof the
sphere, but is uniformly offset from the sphere edge.
(b) This Fig. is not drawn to scale; the skid radius is shown smaller than it in
is reality, and
the roughness structure is shown larger in comparison with the probe assembly than it
is in reality.
FIG. 4-1 SCHEMATIC DIAGRAMS OF A TYPICAL STYLUS PROBE AND FRINGE-FIELD

CAPACITANCE PROBE
34

ASME B4b.L 95 m 0759670 0573620 974
SURFACE TEXTURE
4.4.2 CutoffSelection. In all cases, the cutoff TABLE 4-1MEASUREMENT CUTOFFS AND
must be specified on drawings created or revised af- TRAVERSING LENGTHS FOR CONTINUOUSLY
ter this Standard is published. On prior drawings AVERAGING INSTRUMENTS USING ANALOG
whenthecutoffisnotspecified, the 0.8 mm (0.03 METER READOUTS
in.) value is assumed. The set of recommended cut-
off values is given in Tables 4-1 and 4-2. See Section Measurement
3 for cutoff selection guidelines. See Section 9 for cutoff Length Traversing
details of the filtering techniques. The effect of the mm (in.) mm (in.)
variation in cutoff is illustrated in Fig. 4-2.
0.08 0.003 1.5-5 0.06-0.2
0.25 0.01 5-1 5 0.2-0.6
4.4.3 Response Time. For instruments with ana-
0.8 0.03 15-50 0.6-2.0
0.10 as the
log meter readout, the response time, defined 2.5 50-1 50 2.0-6.0
time to attain 95% of the final reading, shall be no 8.0 0.3 150-500 6.0-20
shorter than 0.5 sec or l O l f , sec, whichever is the
longer period, where the frequency f , . (in hertz) cor-
responds to the long wavelength cutoff at the tra-
versing speed v, i.e.,f,. = VIA,..
TABLE 4-2MEASUREMENT CUTOFFS AND
4.4.4 Traversing Length.To provide full readings MINIMUM EVALUATION LENGTHS FOR
withthe response times specifiedinpara.4.4.3 for INSTRUMENTS MEASURING INTEGRATED
averaging type instruments using analog meter read- ROUGHNESS VALUES OVER A FIXED
outs, the traversing length used for any measurement EVALUATION LENGTH
shall be compatible withthe selected cutoffin ac-
cordance with Table 4- l . Minimum Evaluation
When these analog readout instruments are used, cutoff Length
the traversing length need not be continuous in one mm (in.) mm (in.)
direction, providedthe time required to reverse the
direction of trace is short compared to the time the 0.08 0.003 0.4 0.016
tracer isinmotion.In 0.01 must be
addition, surfaces 0.25 1.25 0.05
0.8 0.03 4.0 0.16
large enough to permit a minimum travel in one di- 2.5 0.10 7.5 0.3
rection of five times the cutoff. Otherwise, the read- 8.0 0.30 24 0.9
ings may not be representative of the actual rough-
ness of a surface but may be useful for comparative
purposes. Under these conditions, theuse of other
types of instruments may provide additional useful
information about the surface condition. inal value. This can be evaluated as showninFig.
11-7 of Section 11. Since styli of small radius are
4.4.5 Stylus Probe subject to wear and mechanical damage even when
made of diamond, it is recommended that frequent
4.4.5.1 Stylus TipRadius. Stylus dimensions
checks of the stylus be made to ensure that the tip
limitthe size ofthe irregularities that maybe de-
radius does not exceed the specified value. Changes
tected in a measurement. For all measuring instru-
in stylus condition may be checked by several meth-
ments, a nominal 10 p m (400 pin.) effective (spher-
ods discussed in Section 11.
ical) tip radius shallbeassumed unless otherwise
Other stylus radii may be used where the 10 p m
specified. Effective radius here is defined as the av-
(400 pin.) radius does not provide the information
erage radius of two concentric and minimally sepa-
desired. Recommended standard sizes are I O p m
rated circles whose centers fall on the conical flank
(400 pin.), 5 l m (200 pin.), and 2 p m (80 pin.).
angle bisector and whose arcs are limited by radial
lines drawn 45 deg either side of this bisector. The 4.4.5.2 Stylus Shape. The cone-shaped stylus
arcs and the radii must contain the stylus tip profile. with a nominally spherical tip shall be considered
The tip radius of a new stylus shallbewithin standard unless otherwise specified. The useof a
* 30% of the nominal value. The tip radius of a used chisel point or a knife edge stylus, where desired,
in-service stylus shall be within +SO% of the nom- must be specified (see Section 3).
35

ASME B4b.L 95 m 0759670 0573621 800
SURFACE TEXTURE
Measured profile without electrical filtering

/
, With 0.8 m m cutoff, R, :: 4 pm
Wlth 0.25 mm cutoff, R, :2 p m
With 0.8 mm cutoff, R, :
GENERAL NOTE: Proflles have unequal vertical and horizontal magniflcation.
FIG. 4-2 EFFECTS OF VARIOUS CUTOFFVALUES
4.4.5.3 Stylus Force (for Stylus Instru- to the dimensions of the irregularities being
ments). To ensure that the stylus accurately follows measured.
the contour of the surface being measured, a force
is required to push it against the surface. If this force
is too large, the stylus will plow through the surface 4.4.5.4 Stylus Probe Supports (Skids)
irregularities instead of following their profile. (u) If a single skid is employed to provide a ref-
For the standard tip radius of 10 pm (400 pin.), erence surface, it shallpreferablyhave a radius of
the maximum stylus force shall be 0.016 N (1.6 gf), curvature in the direction of the trace of at least 50
as determined according to Section 3. times the cutoff. If two skids transverse to the probe
Theminimum stylus force shall be sufficient to are used, their radius of curvature shall be not less
maintain contact with the surface under conditions than 9 times the cutoff.
of maximum irregularity amplitude, maximum trac- (b) The skids and the probe shall be in line either
ing speed, andminimum spatial wavelength for in the direction of motion or perpendicular tothe
which the instrument is designed. direction of motion. In some acceptable designs, the
On soft materials, the stylus may make a visible skidis actually concentric withthe probe. The ar-
mark as it is being used. Such a mark does not nec- rangement of skids, or external reference guides (see
essarily meanthat the measurement is incorrect. In Section 3) if no skids are used, shall be such as to
fact, inmany cases the mark may havebeenmade constrain the probe to move parallel to the nominal
by the skid supporting the probe. In some cases, it surface being measured. The probe support shall be
maybe desirable to make supplementary measure- such that under normal operating conditions no lat-
ments by other means to ascertain that the penetra- eral deflections sufficient to cause error in the rough-
tion of the stylus into the material is small compared ness measurement will occur.
36

ASME B4b.L 95 m 0759670 0573b22 747m
SURFACE TEXTURE
(c) If it is necessary to use skid radii smaller than 4.4.6.3 FFC Probe Support (Skid). The skid
standard, the long wavelength response of the instru- shall preferably have a radius in the direction of the
ment may be affected. Skids normally supplied with trace of at least 50 times the cutoff.
conventional stylus-type instruments often have too
small a radius to provide accurate readings on sur- 4.4.7PossibleSources of Skid Errors. If the
faces rougher than 12.5 pm (500 pin.) R,. For mea- skids undergo appreciable vertical displacement in
surements withcutoffvalues of 25 mm (1 in.) or movingovera surface, this displacement is sub-
tracted from the probe motion (see Fig. 4-3). This
more, it is generally preferable tousean external
displacement is dependent on the skid location and
reference surface rather than a skid. the wavelength of the surface waviness.In some
cases smaller skids mustbeused because only a
4.4.6 Fringe-Field Capacitance (FFC) Probe short length of surface canbe measured. In such
cases, the skid motion might cause significant errors
4.4.6.1 Probe Tip Radius. The FFC probe does on surfaces with large roughness values.
not mechanically track the surface like a stylus in- Single skid systems, where the skid leads or lags
strument; however, there is a lateral spatial resolution the probe, may produce another source of skid error
or virtual radius of measurement due to the electric as seen in Fig. 4-4.Here again, the skid vertical dis-
field’sfinite size. The profile measurement at each placement is subtracted from the probe displacement.
point in the trace corresponds to a weighted spatial This may occur specifically for relativelyfinefin-
average of height near the sensor. This physical phe- ishes where an isolated peak in the surface occurs.
nomenon acts to filterhigher spatial frequencies
from the surface profile in the same way that a stylus 4.4.8 Instrument Accuracy. The R, indication of
tip’s dimensions prevent the tracking of ultrafine as- an instrument to a sinusoidal mechanical input of
perities. The spatial resolution of the FFC probe is known amplitude and frequency within the ampli-
tude and the cutoff range of the instrument shall not
not a fixed value, but rather a function of the average
deviate by morethan 27% from the true R, value
height of the surface measured. As the average
of the input.
height decreases, the FFC probe provides a finer spa-
tial resolution. 4.4.9 Operational Accuracy. Instrument calibra-
Spatial resolution of the FFC probe along the pro- tion for R, measurementshould be checked using
filing direction shall be equivalent to that of a 10 pm precision roughness specimens at one or two points
radius stylus or smaller. For FFC probes with the in the measurement range depending on the manu-
sensing element in the form of a disc asin Fig. 4- facturer’s instructions. If two precision reference
l(b), the lateral resolution perpendicular to the pro- specimens are used, one should be characterized by
filing direction should be a concernfor the user when a large R, for checking calibration and the second
measuring surfaces that do not have a strong lay. by a small R, for checking linearity. Stylus check
specimens should not be used for this purpose. If the
4.4.6.2 FFC Probe Force. The FFC probe con- R, measurement on either specimen differs by more
tacts the surface via its nonconductive skid. The than 10% of the calibrated value, instrument recali-
probing force must be sufficient for the skid to main- bration is required. For additional information on
tain contact with the surface during profiling. precision reference specimens, refer to Section 11.
37

ASME B46.L 95 D 0759670 0573623 b 8 3
SURFACE TEXTURE
, /"""
"
"_,r-
" "_ - "_ "._.- """"
""_" """
T7m-b
""" """*
--
GENERAL NOTES:
(a) This Fig. is not drawn to scale; the skid radius is shown smaller than it is in reality,
and the roughness structure is shown larger in comparisonwith the probe assembly
than it is in reality.
(b) Skid motion (dotted line) is subtracted from the probe motion (not shown).
FIG. 4-3 EXAMPLES OFPROFILE DISTORTION DUE TO SKID MOTION
38

ASME B4b.L 95 0 7 5 9 b 7 0 0573624 5 L T
SURFACE TEXTURE
h
Path of probe
I
I
I
I
I
I I
L
Path of skld
I
///h
The detected profile resulting from the
dlfference between the two paths.
GENERAL NOTE:
This Fig. is not drawn to scale; the skid radius is
shown smaller than it is in reality.
FIG. 4-4 EXAMPLE OF PROFILE DISTORTION
39


A S I E B4b.L 95 m 0 7 5 9 6 7 00 5 7 3 6 2 63 9 2 m
SURFACE TEXTURE
SECTION 5 MEASUREMENT TECHNIQUES FORAREA PROFILING
5.1 Scope of Section 5 tween raster profiles spacedalong the y direction

and, if so, whether it routinely filters away those
Areaprofiling methodsdenote those techniques
differences.
that produce a quantitative topographical map of a
surface. Such amap often consists of a set of parallel With a knowledge of the factors listed above, buy-
profiles. This Section divides area profiling tech- ers and sellers can agree on meaningful specifica-
niques into two classes, i.e., imaging and scanning tions for surfaces as characterized by area profiling
methods. Instruments used to generate these topo- techniques. It is important to point out that the prac-
graphic maps are generally Types II or III or modi- tices described in ASME Y 14.36M do not apply en-
fications of Type I instruments. The instrument types tirely to this class of instruments.
are discussed in Section 2.
5.3 ImagingMethods
5.2 Recommendations Inan imagingmethod, the radiation emitted or
The topographic data can be usedto calculate a reflected from all points on the illuminated surface
variety of surface texture parameters. Section 1 con- is simultaneously imaged on a video camera or an
tains terms and definitions of parameters relating to optical detector array. Therefore, the topographical
these area profiling techniques. The parameters de- data from all points on the surface are accumulated
fined there include R,, R,, AR,, and AR,. However, nearly simultaneously. Examples of imagingmeth-
the measured values of these and other parameters ods are phase measuring interferometric microscopy
depend on details of the technique used for the mea- and vertical scanning interferometric microscopy,
surement. Area profiling instruments may be used to
measure AR, and AR,, provided the lateral resolution
andthe sampling length(or alternatively, the sam-
5.4 Scanning Methods
pling area) are indicated for each measurement. Fu-
ture revisions of this Standard may contain recom- These methods use a probe that senses the height
mended procedures for filtering topographicmaps variations of the surface. When the probe is raster
and measuring surface parameters. In the meantime, scanned over the surface, a profileis generated
it isimportant that theuserunderstand thoroughly through the collection of sequential measurements.
certain properties of the instrument, particularly sys- The probing technique may be optical, electrical, or
tem height resolution, height range, spatial resolu- mechanical. Examples of scanning methods include
tion, sampling length, evaluation length, andevalu- optical focus-sensing systems, Nomarski differential
ation area (discussed in Section 1) in order to profiling, stylus, scanning tunneling microscopy,
appreciate the capabilities and limits of the instru- atomic force microscopy, and scanning electron mi-
ments. In addition, itis important to determine croscopy. Appendix E describes operating principles
whether the instrument detects height differences be- for several types of area profiling techniques.
41

ASME 846.1 95 m 0759670 0573627 229 m

ASME 846.2 95 W 0759670 0 5 7 3 6 2 8 Lb5 W
SURFACE TEXTURE
SECTION 6 MEASUREMENT TECHNIQUES FORAREAAVERAGING
6.1 Scope of Section 6 parators to distinguish the surface texture of parts

Areaaveraging methods denote those techniques manufactured by similar processes or to perform re-
that measure a representative area of a surface and petitive surface texture measurements.
produce quantitative results that depend on area av-
eraged properties ofthe surface texture. They are to 6.2 Examples of Area Averaging Methods
be distinguished from area profiling methods de-
scribed i n Section 5. Terms and definitions of para- There are a variety of area averaging techniques
meters relating to area averaging techniques are for estimating surface texture overan area. Com-
contained in Section 1. When carefully used in monlyused quantitative methods include parallel
conjunction with calibrated roughnesscomparison plate capacitance, total integrated scatter, and angle
specimens or pilot specimens (described in Section resolved scatter. Appendix F describes operating
12), area averaging techniques may be used as com- principles for these area averaging methods.
43


ASME 946.1 75 m 0759b70 0573b30 B13 m
SURFACE TEXTURE
SECTION 7
This Section is intentionally left blank to accom-

modate future paragraphs relating to instruments and
procedures.
45


ASME B 4 b . l 95 m 0759670 0573b32 696 m
SURFACE TEXTURE
SECTION 8

modate future paragraphs relating to instruments and
procedures.
47

-
ASME B 4 b - L 95 H 0759670 0573633 522 m

ASME B46.L 95 0759670 0573634 469 m
SURFACE TEXTURE
SECTION9 FILTERINGOFSURFACEPROFILES
9.1 Scope
of Section 9 the roughness profile from finer fluctuations and
from the wavinessprofile or to separate the waviness
This Section specifies the metrological character-
profile from the roughness profile and, if necessary,
istics of the 2RC filter and the phase correct Gaus-
sian filter and their transmission bands as they are the form error. Profile filters with long-wavelength
used in evaluating parameters for roughness and cutoff provide a smooth mean line to a measured
waviness. These filters and transmission bands are profile, thus providing a suitable, modified profile for
specified as they should be used in Type I profiling, the calculation of parameters of roughness or wavi-
contact, skidless instruments; Type IV contact, skid- ness with respect to that mean line.
ded, instruments; andType V skidded instruments phase correct projile jilters - profile filters which
with parameters only. These filtering approaches do not causephase shifts that lead to asymmetric
may also be used inType II, profiling noncontact profile distortions
instruments, andType III, scannedprobemicro-
scopes. The instrument types are discussed in Sec- 9.3.2 Surface Lengths Associated With Filter-
tion 2. Both types of filters are suitable for the eval- ing and Parameter Assessment
uation of parameters of surface roughness defined in roughness sampling length, 1 - the nominal surface
Section 1, except for R,, Rp,, and R,, where phase
interval within which a surface roughness parameter
distortion from the 2RC filter causes errors for some
is determined. It correspondsapproximately to the
types of surface undulations. Also, the 2RC filter
longest spatial wavelength of profile fluctuations that
does not separate roughnessandwaviness as effi-
ciently as the Gaussian filter. Therefore, for evalua- may bemeasured.Theroughnesssampling length
tion of waviness parameters, only the Gaussian filter differs from the evaluation length and the traversing
should be used. For more information on why filter- length. As defined in Section 1, the roughness sam-
ing is required and on the difference between filter pling length is the sampling length specified to sep-
types, see Appendix G. arate roughness profile irregularities from waviness
profile irregularities.
roughness long-wavelength cutofl, A, - defined in
9.2 References Section 1. The cutoff of the filter is the nominal rat-
Section 1, Terms Related to Surface Texture ing in millimeters (mm) of the long wavelength limit
of the electrical (analog) or digital filter that atten-
Section 2, Classification of Instruments for Sur-
uates the long wavelength waviness fluctuations of
face Texture Measurement
the surface profiletoyield the roughness profile.
Section 3, Terminology and Measurement Proce- When an electrical or digital filter is used, the rough-
dures for Profiling Contact, Skidless Instruments ness long-wavelength cutoff value determines and is
Section 4, Measurement Procedures for Contact, equal to the roughness sampling length, i.e., 1 = A,.
Skidded Instruments Standard roughness long-wavelengthcutoff values
IS0 11562, Metrological Characterization of for all types of filters are 0.08 mm (0.003 in.), 0.25
Phase Corrected Filters and Transmission Bands for mm (0.010 in.), 0.8 mm (0.03 in.), 2.5 mm (0.10
Use in Contact Stylus Instruments in.), or 8 mm (0.3 in.). If any other roughness sam-
pling length value is used, it must be clearly
specified.
9.3 Definitions and General Specifications
roughness short-wavelength cutofl, A,v - the spatial
9.3.1 General wavelength belowwhich the fine asperities of the
projîle jìlter - the mechanical, electrical (analog), surface roughness profile are attenuated. The nomi-
or digital device or process which is used to separate nal values of this parameter are expressed in mi-
49

~
ASME B4b.L 95 M 0759670 0573635 3T5 M
SURFACE TEXTURE
crometers (Pm). This attenuation may be realize,d in length in order to keep the start and stop of the stylus
three ways: mechanicallybecause df the finite tip scan from affecting the results. For digitally filtered
radius, electrically by an antialiasing filter, or digi- roughness measurements, an adequate tracing length
tally by smoothing the data points. For digital must be added before and after the evaluation length
instruments, the mechanical and electrical cutoff for the integration requirements of the digital filter-
wavelengthsshould be smaller than the desired ing. For a roughness evaluation length of five sam-
short-wavelength cutoff valuewhich should be ac- pling lengths, the traversing length is typically equal
complished with a digital filter. The digital short- to at least six sampling lengths. For waviness, one
wavelength limit is stable whereas a mechanical or half of a waviness long-wavelengthcutoff is required
electrical short-wavelength limit may vary over time. at eachend of the waviness evaluation length for
waviness long-wavelength cutof, h,, - the spatial filtering. As a result, the waviness traversing length
wavelength above which the widely spaced undula- is equal to the waviness evaluation length plusthe
tions of the waviness profile are attenuated. Form length of one waviness long-wavelength cutoff Ac,.
error canbe separated from waviness on a surface transmission band - for roughness or waviness, the
by digital filtering with a Gaussian filter. When this range of wavelengths of sinusoidal components of
is practiced, a waviness long-wavelength cutoff for the surface profile that are transmitted by the mea-
the Gaussian filter must be specified. suring instrument. Thisrange is delineated by the
waviness short-wavelength cutofs, A,r, - the spatial values of the short-wavelength cutoff and the long-
wavelength, withnominal values typically in milli- wavelength cutoff (see, for example, Figs. 9-1 and
meters(mm), belowwhichthe roughness profile 9-2).
fluctuations of the surface profile are attenuated by weighting function (of a jilter) - the function for
electrical or digital filters. This rating is equivalent the mean line calculation that describes the smooth-
in value to the corresponding roughness long- ing process. This may be accomplished by applying
wavelength cutoff (A,, = Ac), but the filter transmis- either of the following expressions; the first is ana-
sion characteristic is the complement of the rough- lytical, the second, digital:
ness long-wavelength cutoff filter transmission
characteristic. +m
evaluation length - the length over which the val-

z’(4= I_. S ( X ) Z(X f x,)dr
ues of surface parameters are determined
roughness evaluationlength, L - the length over
which roughnessparameters are determined. The = i a,
k=-n
zi+k
roughness evaluation length, wherever possible for

statistical purposes, should consist of five roughness In the analytical expression above, z(x + x ) ) is the
sampling lengths (1). The use of an evaluation length unfilteredprofile as a function of position near a
consisting of a number of sampling lengths different point xl, Z’(X,) is the filteredprofile calculated for
from five must be clearly indicated. The use of too point x,,and S(x) is the weighting function. In the
few roughnesssampling lengths in the roughness digital expression, z,! is the ithprofile height in the
evaluation length could cause poor statistics of the filtered profile, ziis a profile height in the unfiltered
resulting average parameter values. profile, the a,’s make up the weighting function, and
wavinessevaluationlength, L,,, - the evaluation the number of profile heights included in the weight-
length overwhich waviness parameters are deter- ing function is equal to 2n + 1 . Each type of cutoff
mined. For waviness, the sampling length concept is (roughness short-wavelength cutoff h,, roughness
no longer used. Only the waviness evaluation length long-wavelength cutoff A,, waviness short-
L, and the waviness long-wavelength cutoff h,, are wavelength
cutoff ,is,, and
waviness long-
defined. The waviness evaluation length can be sev- wavelength cutoff &,) has an associated weighting
eral times the waviness long-wavelength cutoff for function (see, for example, Fig. 9-3).
the purpose of achieving better statistics in the cal- transmission characteristic (of a jilrer) - the func-
culation of parameters. tion that defines the magnitude to which the ampli-
traversing length - the length that the stylus tra- tude of a sinusoidal profile is attenuated as a function
verses in order to obtain an evaluation length over of its spatial frequencyf or spatial wavelength h. The
which stable values of surface parameters can be cal- transmission characteristic of a filter is the Fourier
culated. It is usually longer than the evaluation transform of the weighting function of the filter.
50

~~~~~
ASME B4b.L 95 m 0759670 0 5 7 3 6 3 6 231 m
SURFACE TEXTURE
-S 1oc
0.001 0.01 o. 1 1.o 10.0 50.0

Wavelength, mm
FIG. 9-1 WAVELENGTH TRANSMISSION CHARACTERISTICSFORTHE2RCFILTER SYSTEM
100 -
90 -
80 -
o
.
o
.
70 -
.-u'
W
01
Z
e
60 -
v
E
CJ
6
c
50 -
9
._
$
o)
40 -
CJ
I-
30 -
20
10
O i
0.1 vm 10 pm 0.1 mm 1 mm
Wavelength
FIG. 9-2 GAUSSIAN TRANSMISSION CHARACTERISTICSTOGETHER WITH THEUNCERTAIN

NOMINAL TRANSMISSION CHARACTERISTIC OF A 2 pm STYLUS
Courtesy of Paul Scott
51

ASME B4b.L 75 m 0757670 0573b37 L78 m
SURFACE TEXTURE
ASME 846.1-1995 (SURFACE ROUGHNESS, WAVINESS,AND LAY)
Slx ) wavelength cutoff point (cutoff Ac) to 2.5 pm

(0.OOOl in.) (see Fig. 9-1). The transmission for a
sinusoidal, mechanical input to the stylus shall be
flat to within ?7% of unity over the spatial fre-
quency passband region, except in the immediate vi-
cinity of the cutoff wavelength.
9.4.2 Long-Wavelength Cutoff. The standard

-2 -1 O I 2 x/XC
roughness long-wavelengthcutoff values for the 2RC
filter are listed in para. 9.3.2. The roughness long-
FIG. 9-3 WEIGHTING FUNCTION OFTHE wavelength cutoff h, is the wavelength of the sinu-
GAUSSIAN PROFILE FILTER soidal profile for which 75% of the amplitude is
This material is reproduced from IS0 DIS 11562 with per- transmitted by the profile filter.
mission of the American National Standards Institute. IS0
If no cutoff is specified for a measurement, then
DIS 11562 is not an approved IS0 International Standard. It
is distributed for review and comment and may be modified the appropriate cutoff value can be determined fol-
during this process. It is subject to change without notice lowing the procedure detailed in Section 3. The long-
and may not bereferred to as an International or IS0 Stan- wavelength cutoff must be specified in all cases on
dard until published as such. drawings created or revised after this Standard is
Copyright by the International Organization for Standardi- published. For drawings created or revised earlier,
zation. No part of this publication may be copied or repro-
the 0.8 mm valuewas assumed if novaluewas
duced in any form, electronic retrieval system or otherwise,
without the prior written permission of the American Na- specified.
tional Standards Institute, 11 West 42nd Street, New York,
N Y 10036, which holds reproduction rights in the United 9.4.3 Transmission Characteristics
States.
9.4.3.1
Short-Wavelength Transmission
Characteristic. The transmission characteristic near
the short-wavelength cutoff of the roughness trans-
mission band shall be equivalent to that produced by
two idealized low-pass RC networks, with equal time
Each cutoff value (roughness short-wavelength cut-
constants, in series. The transfer function is:
off h,, roughness long-wavelength cutoff A,, wavi-
ness short-wavelength cutoff A,r,, and waviness long-
wavelength cutoff Ac,,,) has a distinct transmission Filter Output
= (1 -
characteristic (see, for example, Figs. 9-4 and 9-5). Filter Input
cutof ratio - for roughness or waviness, the ratio
of thelong-wavelength cutoff to the short-wave-
where the short wavelength roughness cutoff A, is
length cutoff
less than or equal to 2.5 p m (0.OOOl in.), i =
m, and k = l / = 0.577.
~
9.4 2RC Filter Specification for Roughness The percent limits of the transmission character-
istic near the short-wavelength cutoff are calculated
The 2RC filter consists of analog circuitry of two from the following equations:
idealized RC filters in series. The capacitor and re-
sistor values are selected to yield the desired trans-
mission characteristic, consistent withthe traverse Upper Limit = 103
speed of the instrument. This type of filtering can
also be applied digitally by convolving an asymmet- 97
ric, phase distorting weighting function, having the Lower Limit =
1 + 0.39 (2.5 pm/A)’
shapeof the response of the 2RC electrical filter,
with the unfiltered digital profile.
These two limiting functions are shown on the left
9.4.1 The 2RC Transmission Band. The electri- hand side of Fig. 9- l. These limits are in addition to
cal system for 2RC filtering must transmit surface the allowable error of the amplitude transmission of
wavelengths ranging
from the designated long- the roughness transmission band stated in para. 9.4.l .
52

ASME B4b-L 95 m 0759670 0573638 004m
SURFACE TEXTURE
asw = 0.08 = 0.25 = 0.8 = 2.5 =8
0.025 0.08 0.25 O .8 25 a 25

Sine Wavelength, mm
FIG. 9-4 GAUSSIAN TRANSMISSION CHARACTERISTICFORTHE WAVINESS SHORT-

WAVELENGTH CUTOFF AND THE ROUGHNESS MEAN LINE HAVING CUTOFF WAVELENGTHS
h, = 0.08, 0.25, 0.8, 2.5, AND 8.0 mm
This material is reproduced fromIS0 DIS 11562 with permission of the American National Standards Institute. IS0 DIS 11562
is not an approved IS0 International Standard. It is distributed for review and comment and may be modified during this
process. It is subject t o change without notice and may not be referredastoan International or IS0 Standard until published
as such.
Copyright by the International Organization for Standardization.No part of this publication may be copied or reproduced in
any form, electronic retrieval system or otherwise, without the prior written permissionof the American National Standards
Institute, 11 West 42nd Street, New York, NY 10036, which holds reproduction rights in the United States.
9.4.3.2 Long-Wavelength Transmission The percent transmission limits of this transfer

Characteristic. The transmission characteristic on function are calculated from the following equations:
the long-wavelength end of the roughness transmis-
sion band shall be that produced by the equivalent 103
Upper Limit =
of two idealized, high-pass RC networks, with equal 1 + 0.29 (A/A,)*
time constants, in series. The transfer function of this 97
system is: Lower Limit =
1 + 0.39 ( A / A J *
Filter Output These limits are given in Table 9-1 and are graphed
= ( 1 - ik hlh,)”
Filter Input in Fig. 9-1. These limits are in addition to the allow-
able error of the amplitude transmission ofthe
where i and k are defined above. roughness transmission band stated in para. 9.4.l .
53

A S I E B4b.L 95 m 0759b70 0573640 762
SURFACE TEXTURE
TABLE 9-1 LIMITS FORTHE TRANSMISSION CHARACTERISTICSFOR

2RC LONG-WAVELENGTHCUTOFF FILTERS
Long-Wavelength Cutoffs
Spatial Wavelength
0.08 mm 0.25 mm 0.8 mm 2.5 mm 8.0 mm
mm (in.) (0.003 in.) (0.010 in.) 10.030 in.) (0.100 in.) (0.300 in.)
0.008 0.0003 97-103 ... ... ... ...

0.010 0.0004 96-102 ... ... ... ...
0.025 0.001 93- 1O0 97-103 ... ... ...
0.05 0.002 84-93 95-102 ... ... ...
0.08 0.003 70-80 93-100 97- 103 ... ...
0.1 0.004 60-7 1 9 1-98 96- 102 ... ...
0.25 0.01 20-27 70-80 93-100 97-1 03 ...
0.5 0.02 6-8 38-48 84-93 95-102 ...
0.8 0.03 2-3 19-26 70-80 93-100 97- 103
1 .o 0.04 ... 13-18 60-7 1 9 1-98 96- 102
2.5 o. 1 ... 2-3 20-27 70-80 93- 1O0
5.0 0.2 ... ... 6-8 38-48 84-93

8.0 0.3 ... ... 2-3 19-26 70-80
10.0 0.4 ... ... ... 13-18 60-7 1
25.0 1.o ... ... ... 2-3 20-27
50.0 2.0 ... ... ... ... 6-8
80.0 3.0 ... ... . . I
2-3
Itis determined by subtracting the mean line from 9.5.5Short-Wavelength TransmissionChar-

the measured profile. acteristic. The transmission characteristic in the re-
gion of the short-wavelength cutoff is expressed as
9.5.3 Long-WavelengthCutoff of the Gaussian the fraction to which the amplitude of a sinusoidal
Phase Correct Filter. For the phase correct Gaus- profile is attenuated as a function of its spatial wave-
sian filter, the long-wavelength cutoff h, is the spatial length. This transmission characteristic is produced
wavelength of a sinusoidal profile for which 50% of by a Gaussian profile weighting function as defined
the amplitude is transmitted by theprofilefilter. in this Section. The equation is:
Standardlong-wavelengthroughness cutoff values
are the same for both the Gaussian filter and the 2RC Filter Output -
- e-n(aA,,1)2
filterand are given in para. 9.3.2. If no cutoffis Filter Input
specified for a measurement,then an appropriate cut-
off can be determined by following the procedure where (Y = = 0.4697 and A, is the rough-
detailed in Section 3. Thelong-wavelength cutoff ness short-wavelength cutoff. Examples of the trans-
must be specified in all cases on drawings created or mission characteristic for severalvalues of A,y (and
revised after this Standard is published. For drawings also h,) are given in Fig. 9-2.
created or revised earlier, the 0.8 mm value was as-
sumed, if not specified. 9.5.6 Weighting Function for the Roughness
Short-Wavelength Cutoff. The weighting function
9.5.4Short-Wavelength Cutoff of the Gaus- of the Gaussian phase correct filter for the roughness
sian Roughness Profile. The cutoff wavelength h, short-wavelength cutoff has a Gaussian form, similar
is the spatial wavelength of a sinusoidal profile for to that to be discussed in para. 9.5.7 and shown in
which 50% of the amplitude is transmitted by the Fig. 9-3. The equation for the weighting function
short-wavelength cutoff filter. S(x) is as follows:
55

SURFACE TEXTURE
ASME 846.1- 1995 (SURFACE ROUGHNESS, WAVINESS, AND LAY)
to 100 A,. An example of the deviation curve for a

phase correct filter with triangular weighting func-
where x is the lateral position from the mean of the tion with respect to the transmission characteristic of
weighting function. The direct result of this filtering an ideal Gaussian filter is given in Fig. 9-6.
process is a smoothed profile,that is, one whose
short wavelengths are attenuated.
9.5.1 1 TransmissionBand. The transmission
band for roughness for the Gaussian filter is the
9.5.7 Weighting Function for the Roughness
range of wavelengths of the surface profile that are
Long-Wavelength Cutoff. The weighting function
transmitted by the short- and long-wavelength cutoff
of the Gaussian phase correct filter for the roughness
roughness filters. The limits are defined by the values
long-wavelengthcutoff (Fig. 9-3) has a Gaussian
of the roughness long-wavelength cutoff and short-
form. With the long-wavelength cutoff h,, the equa-
wavelength cutoff listed in Table 9-2. The transmis-
tion is:
sion bandover the spatial wavelength domain (see
Fig. 9-2), including the attenuation at the band limits,
comprises the instrument transmission characteristic,
and therefore should betaken intoaccount in any
In this case, the smoothed profile that results from
surface roughness measurement. If the short wave-
applying the filter is the roughness mean line, and
the roughness profile is found by subtracting this length limitis set at too high a value, thenpeak
mean line from the original measured profile. structures of interest may be attenuated and peak re-
lated parameters may be correspondingly erroneous.
9.5.8 Transmission Characteristicof the Gaus- If the short wavelength limit is set at too low a value,
sian-Filtered Waviness Profile (Roughness Mean then undesirable fine structure will be included in the
Line). The transmission characteristic of the rough- filtered profile and contribute to parameter results.
ness mean line is determinedfrom the weighting
function S(x) by means of the Fourier transform (see 9.5.12 Cutoff Ratio. The ratio of the long-
Section 1) and is given in Fig. 9-4. The transmission wavelength cutoff A, to the short-wavelength cutoff
characteristic for the mean line has the following h, of a given transmission bandis expressed as
equation: If not otherwise specified, the values of A, and
the cutoff ratio may be obtained from Table 9-2 pro-
vided that the long-wavelength cutoff A, is known.
The sampling interval (point spacing) should be less
than one fifth of the short-wavelength cutoff in order
9.5.9 Transmission Characteristicof the Gaus- to accurately include all spatial wavelengths that
sian-Filtered Roughness Profile. The transmission contribute to the filtered profile.
characteristic of the Gaussian filtered roughness pro- The valuesof stylus radius showninTable 9-2
file (see Figs. 9-2 and 9-5) is the complement to the provide the transmission band limits as listed without
transmission characteristic of the roughness mean the filtering effects of the stylus intruding into the
line, as defined in para. 9.5.8, because the roughness transmission band. If another cutoff ratio is deemed
profile is the difference between the measured profile necessary to satisfy an application, this ratio must be
and the roughness mean line. The equation is there- specified. The recommended alternative cutoff ratios
fore given by: are 100,300, or 1,OOO.
9.6 Filtering for Waviness

9.5.10 Errors of Approximations to the Gaus- The wavinessprofile is only determined by the use
sianFilter. No tolerance values are given for of phase correct Gaussian filters to separate rough-
Gaussian filters as they were for 2RC filters in para. ness profiles from the total profile, as this filtering
9.4.3. Instead, a graphical representation of the de- separates the two components of the total profile in
viations in transmission of the realized filter from the a clear manner. As stated in para. 9.5.8, the trans-
Gaussian filter shall be given as a percentage of unity mission characteristic for the roughness mean line
transmission over the wavelength range from0.01 A, has the following equation:
56

SURFACE TEXTURE
+ 5%
0%
-5%
100 10-2 10-1 lo1 IO2
(mc)
FIG. 9-6 EXAMPLE OF A DEVIATION CURVE OF A REALIZED PHASE CORRECTED FILTER FROM
THE IDEAL GAUSSIAN FILTER AS A FUNCTION OF SPATIAL WAVELENGTH
This material is reproduced fromIS0 DIS 11562 with permission of theAmerican National Standards Institute. IS0 DIS 11562
is not an approved IS0 International Standard. It is distributed for review and comment and may be modified during this
process. It is subjectt o change without notice and may not be referredastoan International or IS0 Standard until published
as such.
Copyright by the International Organization for Standardization. No part of this publication may be copied or reproducedin
any form, electronic retrieval system or otherwise, without the prior written permissionof the American National Standards
Institute, 11 West 42nd Street, New York, NY 10036, which holds reproduction rights in the United States.
least squares methods over profile lengths equal to

the waviness cutoff Acw.The ratio of A,,/Ac shall be
1011 unless otherwise specified. Standard values for
The profile representing waviness and form error is Ac and A,, are given in Table 9-3.
then identical to the roughness mean line andis
equal to the subtraction of the roughness profile from 9.6.3 Waviness Traversing Length. The travers-
the total profile. ing lengths for waviness when using a Gaussian filter
to separate waviness and form error are listed in Ta-
9.6.1 Gaussian Filter WavinessProfile. The ble 9-3.
wavinessprofile is the roughness mean line as de-
scribed in para. 9.6 after further separation from the 9.6.4 Methods for Determining the Waviness
form error (or straightness) profile. Mean Line. If the total unfiltered profile contains
intentional contour or form deviation, then this
9.6.2 Waviness Long-Wavelength Cutoff and should first be removed by least squares fitting. The
Evaluation Length.The waviness evaluation length remaining profilemay still contain form errors in
can consist of one or more waviness cutoff lengths addition to waviness and roughness. The further sep-
A,, to separate form error at the long-wavelength aration of form error from waviness may be accom-
waviness limit. The cutoff value A,, may be realized plished by least squares methods as mentioned in
by using a Gaussian filter as described below or by para. 9.6.2 or by phase correct filtering. This is ac-
57

ASME 846.1 95 m 0759670 0573643 471 m
SURFACE TEXTURE
TABLE 9-2 STANDARD CUTOFFS FOR GAUSSIAN FILTERS AND ASSOCIATEDCUTOFFRATIOS
'tip Max Sampling

pm (in.) Interval, pm (in.)
0.08 (0.003) 2.5 (0.0001) 30 2 (0.00008) or less [Note ( l b 1 0.5 (0.00002)

0.25 (0.01) 2.5(0.0001)
1 O0 2 (0.00008) less
or[Note (2)l
0.5
(0.00002)
0.8 (0.03) (0.0001)2.5 300 2 (0.00008) or less 0.5 (0.00002)
2.5 (0.10) 8 (0.0003) 300 5 (0.0002) or less 1.5(0.00006)
8 (0.3) (0.001) 25 300 10 (0.0004) or less 5 (0.0002)
NOTES:
(1) With a nonstandard stylus tip radius of 0.5 Pm, the cutoff ratio for h, = 0.08 m m may be set equal to 100, provided h, =
0.8 p n and the maximum point spacing = 0.16 km.
(2)With a nonstandard stylus tip radius of 0.5 km, the cutoff ratio for h, = 0.25 m m may be set equal to 300, provided h, =
0.8 p m and the maximum point spacing = 0.16 km.
TABLE 9-3 STANDARDVALUES FORTHE

WAVINESS LONG-WAVELENGTH CUTOFF (A,.,,)
AND RECOMMENDED MINIMUM VALUES FOR
THE WAVINESS TRAVERSING LENGTH
Minimum
Traversing
Length When
Using
Gaussian
Ac A, Filter
mm (in.) mm (in.) mm (in.)
0.08 (0.003) 0.8 (0.03) 1.6 (0.06)

0.25 (0.01) 2.5 (0.1) 5 (0.2)
0.8 (0.03) 8 (0.3) 16 (0.6)
2.5 (0.1) 25 (1) 50 (2)
8 (0.3) 80 (3) 160 (6)

~~
~~
ASME B4b.L 75 O757670 0573644 308 m
SURFACE TEXTURE
complished in a manner similar to that discussed in cutoff (,ir,,, = Ac), is expressed as the fraction to
para. 9.5.7, by applying the Gaussian filter to the which the amplitude of a sinusoidal profile is atten-
roughness mean line, with a cutoff value equal to the uated as a function of its spatial wavelength. This
waviness long-wavelength cutofflength ,icw. The transmission characteristic isproducedbya Gaus-
weighting function S@) for this filter is given by the sian profileweighting function as definedinpara.
equation: 9.5.6.
S@) = (aAc,,)-l ,-nh/(n&~x)I~ 9.6.5.2 Long-WavelengthWaviness Trans-
mission Characteristic. The form error may be re-
In order to minimize end effects when using a Gaus- moved by truncation or by phase correct Gaussian
sian filter, the traversing length should include half filtering. If the latter, then the long-wavelength wav-
awavinesscutoff on each end of the evaluation iness transmission characteristic is that produced by
length, so that the traverse should be equal to at least a Gaussian profile weighting function as defined in
twice the waviness long-wavelength cutoff (see Ta- para. 9.5.7. In this case, the transmission character-
ble 9-3). istic for wavinessat the Ac,, limit isgivenby the
expression:
9.6.5 Waviness Transmission Band. The limits
of the waviness transmission band are formed by a
Gaussian filteratthe short-wavelength boundaryat
A,. and by the cutoff Acw on the long-wavelength
boundary.
9.6.5.1 Short-Wavelength Waviness Trans-
mission Characteristic. The waviness transmission The form error line then is the mean line for the
characteristic in the region of the short-wavelength waviness profile.
59


ASME 846.1 95 m 0759670 0573646 180 m
SURFACE TEXTURE
SECTION 10

modate future paragraphs.
61

ASME B ' 4 b . l 95 m 0 7 5 9 b 7 0 0 5 7 3 6 4 7 O17 m

ASME B4b.L 95 W 07596700573648 T53 m,
SURFACE TEXTURE
SECTION 11 SPECIFICATIONS AND PROCEDURES FOR PRECISION

REFERENCE SPECIMENS
1 1 .I Scope of Section 1 1
This Section specifies the characteristics of spec-
imens for the calibration of instruments to measure
surface roughness. Precision reference specimens are
intended for usein the field calibration of instru-
ments for measuringroughnessaverage or surface
profile. They are not intended to have the appearance
or characteristics of commonlyproduced surfaces,
nor are they intended for use in visual or tactile com-
parisons. The calibration of the existing wide range
of instruments, in all modes of operation, calls for
more than one type of calibration specimen.Each
calibrated specimen may have a limited range of ap- FIG. 11-1 TYPE A l GROOVE
plication according to its own characteristics and
those of the instrument to be calibrated. The validity
of the calibration of an instrument will be dependent
on the correct association of the characteristics of the
calibration specimen with the machine features to be
calibrated. In this Section, specifications are given for testing or establishing one or more features of
for surface contour, material, accuracy, uniformity, the performance of an instrument
flatness, and a method for determining assigned val-
ues for different types of specimens. Other definitions of terms are given in Section 1.
11.2 References 11.4 Reference Specimens: Profile Shape and

Section 1 , Terms Related to Surface Texture Application
Section 2, Classification of Instruments for Sur- The profile of the specimen depends upon the in-
face Texture Measurement tended use of the specimen, ¡.e., for testing amplifi-
Section 3. Terminology and Measurement Proce- cation, stylus condition, parameter measurements, or
dures for Profiling, Contact, Skidless Instruments overall instrument performance. To cover the range
Section 4, Measurement Procedures for Contact, of requirements, four types of specimens are de-
Skidded Instruments scribed below, each of which may have a number of
Much of the technical information, including tables, variants.
has been adapted from IS0 5436: 1985, Calibration
Specimens - Stylus Instruments - Types, Calibra- 11.4.1 Amplification (Step Height) - Type A.
tion and Use of Specimens. Thespecimens intended for checking the vertical
magnification of profile recording instruments have
grooves or plateaus surrounded by flat surface areas.
11.3 Definitions The grooves or plateaus themselves are generally flat
precision reference specimen - a specimen having with sharp edges (as in Fig. 1 1-l), but these features
accurately determined standardized characteristics may also be rounded, as in Fig. 1 1-2.
63

SURFACE TEXTURE
11.5.2 Size of the Specimen. For specimens

d
with roughness profiles, the operative area shall be
large enough to provide for the traversing length re-
quired by other sections of this Standard for all in-
tended determinations. A single specimen or several
kinds of specimens maybe provided on a single
block.
11.5.3 Waviness Limit. For specimens with wav-

iness profiles, the waviness, measured with respect
to a flat datum, shall have waviness height, W,, no
greater than the valuesshown in Fig. 1 1-3. Step
height specimens shallhavean overall peak-to-
valley flatness that is less than 60 nm or 1% of the
step height being examined, whichever is greater.
FIG. 11-2 TYPE A2 GROOVE
11.6 Assigned Value Calculation

At the time of manufacture or before distribution,
11.4.2 Stylus Condition - Type B. The speci- each precision reference specimen shall have an as-
signed value clearly markednear the designated
mens intended primarily for checking the condition
of the stylus tip consist of grooves or edges of dif- measuring area of the specimen.
ferent types to be discussed in para. 11.7.2.
11.6.1 Assigned Value of Shop Grade Speci-
mens. For shop grade specimens,the assigned value
11.4.3 Parameter Measurements - Type C. shall be the mean of five uniformly distributed read-
The specimens intended for verifying the accuracy ings taken on the designated measuring area:
of parameter readout have a gridof repetitive
grooves of simple shape (e.g., sinusoidal, triangular, Assigned Value = ( R , + R, + R, + R, + R,)/5
or arcuate). Specimens for parameter calibration are
classified as Type C . 11.6.2AssignedValue of Reference Grade
Specimens. For reference grade specimens, the as-
11.4.4 Overall Instrument Performance - signed value shall be the mean of composite values
Type D. The specimens intended for overall checks from at least eight uniformly distributed locations on
of instrument performance simulate workpieces con- the designated measuring area:
taining a wide range of crest spacings. This type of
specimen has an irregular profile. Assigned Value = (V,+ V , + V, + V, + V, + Vh
+ V , + v8)/8
11.5Physical Requirements The composite value V, of each location shall consist

of the mean of two individual readings:
The material characteristics for the reference spec-
imen, the size of the specimen, and the waviness V, = (R,, + R,,)/2
height limit are defined in this Section.
where i = 1,2, . . . , 8.
11.5.1 Materials. The material used shall be hard
enough to ensure adequate life in relation to cost. Its 11.6.3 Assigned Value of Stylus Check Speci-
surface shall be smooth and flat enough not to affect mens. For the determination of the assigned R, val-
the evaluation of the grooves. Glass, fused silica, or ues of stylus check specimens for use with averaging
other material harder than 500 Vickers (HV) or 49 instruments, the tip radius must be held to 10 pm k
Rockwell C are favored. 2 pm as measured in the plane perpendicular to the
64

ASME B4b.L 95 m 0759670 0573650 b O L m
SURFACE TEXTURE
O 12.5 25
Waviness Wavelength
Ratio =
Roughness Cutoff
FIG. 11-3 ALLOWABLE WAVINESS
measured surface and in the direction of stylus mo- precision of the height measurement.Thespecimen
tion. See also Sections 3 and 4. should be aligned with the plane of the trace path.
ForTypeA2,shownin Fig. 11-2, a mean line
representing the upper level is drawn over the
11.7
Mechanical Requirements groove. The
depth shall be assessed from the upper
mean line to the lowest point of the groove. Nominal
11.7.1 Types A I and A2. Type Al specimens values of groove depthand radius are shown in Table
have calibrated plateau heights or groove depths (see 1 1-2.
Fig. 1 1-1)withnominalvaluesshown in Table If a skid is used with an instrument for assessing
1 1-1. The calibrated step height is shown as the dis-
these types of specimens, it shall not cross a groove
tance d in Fig. 1 1-4.A pair of continuous straight
at the same time that the probe crosses the groove
mean lines (A and B ) are drawn to represent the level
being measured. Tolerances onthe specimens are
of the outer surface. Another line represents the level
shown in Table 11-3.
of the groove or plateau. Both types of lines extend
symmetrically about the center. The outer surface on
each side of the groove is to be ignored for a suffi- 11.7.2 Types BI, 82, and B3. The stylus condi-
cient length w 1 to avoid the influence of any round- tion
evaluated
is by measurement of Type B
ing of the comers. The surface at the bottom of the specimens.
groove is assessed only over the central third of its The Type B1 specimen has a set of four grooves.
width. The portions to be used in the assessment are The widths of the individual grooves are nominally
also shown. As long as the curvature of the step 20 Pm, 10 Pm, 5 Pm, and 2.5 pm (see Fig. 11-5).
edges does not extend out to the offset distance W , , The size and condition of the stylus is estimated
the offset should be as small as possible to improve from the profile graphs (see Table 11-4).
65

ASME B 4 b - L 95 m 0759670 0573653 548 m
SURFACE TEXTURE
TABLE 11-1 NOMINAL VALUES OFDEPTH

OR HEIGHT AND EXAMPLES OF WIDTH FOR
TYPE A l
Depth, d Width, W
0.3 1O0
1.0 1O0
3.0 200
10 200
30 500
1O0 500
GENERAL NOTE: Values are in Fm.
TABLE 11-2 NOMINAL VALUES OFDEPTH

AND RADIUS FOR TYPE A2
Depth. d (pml Radius, r (mm1
1.o 1.5
3.0 1.5
10 1.5
30 0.75
1O0 0.75
TABLE 11-3TOLERANCES FOR TYPES A I

AND A2
Uniformity -
Uncertainty of One Standard
Measurement Deviation
Nominal Tolerance on in Calibrated from the
Value, Nominal Mean Depth Calibrated
Pn Value, YO [Note(lll, YO Mean, YO
0.3 * 20 *3 3
1 ? 15 c2 2
3 * 10 *2 2
10 f 10 *2 2
30 c 10 c2 2
1O0 * 10 *2 2
NOTE:
(1) Assumed in this document to be at the two standard de-
viation or approximately 95% confidence level.
66

SURFACE TEXTURE
FIG. 11-4 ASSESSMENT OF CALIBRATEDVALUES FOR TYPE A I
FIG.11-5TYPE B I GROOVES - SET OF 4 SLITS

67

SURFACE TEXTURE
TABLE 11-4TIPSIZE ESTIMATION FROM THE ommended valuesofcutofftouse

PROFILE GRAPH FOR TYPE B1 [NOTE (111 when measuring them. For tolerances
~~
and uncertainties, see Table 11-6.
Stylus Penetration of Grooves Approximate 7ip Size Type C2: Grooves having an isosceles triangle
profile (see Fig. 1 1-6). See Table 11-
First groove only 10 p m to 20 Fm
First and second grooves 5pm to 10 p m 7 for nominal values of R, and S,,,. For
First, second, and third grooves 2.5 pm to 5 p m tolerances, see Table 11-6.
All four grooves Less than 2.5 p m
Type C3: Simulated sine wave grooves include
NOTE: triangular profileswith rounded or
( 1 ) Assuming the tip has a standard 90 deg apex angle (see truncated peaks and valleys (see Fig.
Fig. 11-7). 1 1-9), the total rms harmonic content
of which shall not exceed 10% of the
rms value of the fundamental.Rec-
ommended values of R, and S , are
B2 specimens with multiple isosceles triangular the same as those shown for Type C2
grooves with sharp peaks and valleys may be used specimens in Table 11-7. Fortoler-
for estimating the radii of stylus tips (see Fig. 1 1-6). ances, see Table 1 1-6.
As the tip size increases, the measuredroughness Type C4: Grooveshaving an arcuate profile (see
average R, decreases for this type of specimen. Fig. 11-10). For recommended values
For testing 10 pm radius tips, a useful B2 speci- of R, and S,, see Table 1 1-8. For tol-
men design has CY = 150 deg and an ideal R, of 0.5 erances, see Table l 1-6.
pm t 5% (i.e., measured with a stylus with radius
much finer than 10 pm). The mean peak spacing S, 11.7.4 Type D. These specimens have an irregular
thus has a value of approximately 15 pm. ground profilewhichis repeated every evaluation
length in the longitudinal direction of the specimen.
NOTE: To assess the calibrated value of the B2 specimen, at least
I8 evenlydistributedtracesshallbetakenon each specimen, all The grooves on the measuring area have a constant
instrumentadjustmentsremainingconstantthroughoutthedeter- profile,i.e.,the surface is essentially smooth along
mination.The stylus tipradiusused to performthe assessment the direction perpendicular to the direction of mea-
must be previously measured,forexampleusing a Type B3
specimen. surement (see Fig. 11-1 l).
The nominal R, values of the specimens may
The Type B3 specimen is a fine protruding edge. rangefrom 0.01 pm to 1.5 pm. For tolerances of
Uncoated razor bladeshave tip widths of approxi- certain higher R, values in this range, see Table 1 1-
mately 0.1 pm or less. The stylus condition may be 9. Recommended tolerances for the smaller R, values
accurately measured by traversing such a specimen have not yet been determined.
as shown in Fig.11-7. If r , is the stylus tip radius
and r, is the radius of the razor blade edge, the re-
corded profile has a radius r = rl +
r,. If, in addi-
11.8 Marking
tion, rz is much less than rl, then the recorded radius
is approximately equal to the stylus tip radius itself. After eachspecimen hasbeen individually cali-
This methodcanonly be usedwith direct profile brated, it shall be accompanied by the following
recording instruments with veryslow traversing statements as applicable:
speed capability. (u) type(s) of specimen;
(b) the nominalvalue;
11.7.3 Types Cl, C2, C3, and C4 ( c ) the effective radius of the stylus tip(s) to
which each calibrated value applies;
NOTE: Thenominalvalues given inTables 11-5. 11-7, and 11-8 ( d ) the type of filter and cutoff
are values that assume negligible attenuation by the stylus or filter.
( e ) details of calibration:
Type C 1: Grooves having a sine wave profile (1) for Types A l and A2, the calibrated mean
(see Fig. 11-8). See Table 11-5 for value of the depth of the groove, the standard devi-
recommended values of R, and S,,, for ation from the mean, and the number of evenly dis-
these specimens as well as the rec- tributed observations taken;
68

~~
ASME B 4 b - L 95 m 0 7 5 9 6 7 0 0573b54 257 m
SURFACE TEXTURE
(SURFACE ROUGHNESS, WAVINESS, AND LAY)
ASME 846.1-1995
FIG. 11-6 TYPEB2 OR C2SPECIMENS WITH MULTIPLE GROOVES
Stylus - I
7 Razor
S
Recorded /
Stylus
...
...
...
...
...
....
....
....
.....
....
.....
....
.....
R 2IZC .....
.....
blade 'j
GENERAL NOTES:
FIG. 11-7 USE OF TYPE B3 SPECIMEN
69

ASME 8 4 b - l 95 0759b70 0573b55 193 m
SURFACE TEXTURE
FIG. 11-8 TYPE C l GROOVES
(2) for Type B2, the estimated mean R, value cf, the permitted uncertainty in the calibrated
for a probe tip of specified radius; mean values as given in Tables 1 1-3, 1 1-6, or 11-9;
(3) for Types C and D, the calibrated mean (g) any other reference conditions to which each
value of R, for each tip used, the value and type of calibration applies, for example the least significant
filter for which the specimen may be used, the stan- bits of digital evaluation, and whether the declared
dard deviation from each mean, and the number of values refer to direct measurement or are derived
observations taken. from surface models.
70

A S I E B4b.L 95 m 0759670 0573656 02T m
SURFACE TEXTURE
TABLE11-5 RECOMMENDED R, AND S,

VALUES FOR TYPE C l SPECIMENS
Mean Spacing
of Profile Selected Cutoffs
Irregularities
S,, mm ß.
(mm) To Check
R, Pm
0.01 0.08 0.1 0.3 1

0.03 0.25 1 0.3 3
0.1 0.8 3 1 10
0.3 2.5 3 10 30
GENERALNOTE: The nominal values given assume negli-

gible attenuation by the stylus or filter.
TABLE 11-6 TOLERANCES FOR TYPES

C l TO C4
Uncertainty of
Measurement
Standard
Nominal Tolerance on of Stated Deviation from
Value of Nominal Mean Value Mean Value,
ßa, pm Value, % of ßa,% 46
o. 1 ? 25 +3 3
0.3 ? 20 ?2 2
1 ? 15 *2 2
3 ? 10 -t2 2
10 ? 10 t 2 2
TABLE 11-7 NOMINAL VALUES OF R, AND S, FOR TYPE C2
Mean Spacing of Profile Irregularities, S, mm

~~
0.25 ff,
0.08 0.1 Pm
ß, 0.8 2.5 deg
o. 1 0.3 1.o 3.0 179

0.3 1.o 176
3.0 10.0
1.o 3.0 10.0 30.0 169
3.0 10.0 30.0 145
3.0 153
or filter.
GENERAL NOTE:The nominal values given assume negligible attenuation by the stylus
71

SURFACE TEXTURE
FIG.11-9 TYPE C3GROOVES
FIG. 11-10 TYPE C4GROOVES
-4rnrn-
I -4mm-
GENERAL NOTE: Profile repetition at 4 m m intervals.
FIG. 11-11 UNIDIRECTIONAL IRREGULARGROOVES
72

~
ASME B4b.L 95 m 0759670 0573658 9T2 m
SURFACE TEXTURE
TABLE 11-8 NOMINAL VALUESOF Ra FOR

TYPE C4 [NOTE (111
Mean Spacing of
Profile
Irregularities S,,,,
mm [Note (211 R, Pm
0.25 0.2 3.2 6.3 12.5
0.8 3.2 6.3 12.5 25.0
NOTES:
(1) Neglecting any attenuation by the filter.
(2)The filter cutoff A, must be at least 5 times the S, values
shown here.
TABLE 11-9 TOLERANCES FOR

UNIDIRECTIONAL IRREGULAR PROFILES
[NOTE (111
Uncertainty of
Measurement
of Stated Standard
Nominal Tolerance on Mean Value Deviation from
Value of Nominal of Ra Mean Value,
R, p m Value, Y' [Note (211. YO Y'
0.15 L 30 *5 4
0.5 i- 20 53 3
1.5 ? 15 *3 3
NOTES:
(1) h, = 0.8 m m
(2) Taken from 12 evenly distributed readings.
73


SURFACE TEXTURE
SECTION 12 SPECIFICATIONS AND PROCEDURESFOR ROUGHNESS

COMPARISON SPECIMENS
12.1 Scopeof Section 12 12.4.1 Individually Manufactured (Pilot) Spec-

imens. These specimens are made by direct appli-
This Section specifies the characteristics of spec-
cation of the production process the specimen is in-
imens which are intended for comparison with work-
tended to represent.
piece surfaces of similar lay and produced by similar
manufacturing methods. These comparisons may be
performed by area averaging techniques as discussed 12.4.2 Replica Specimens. These specimens are
in Section 6 or by the visual/tactile approach. positive replicas of master surfaces. Theymay be
electroformed or made of plastic or other materiais
and coated or otherwise treated to have the feel and
appearance of the surfaces produced directly by a
12.2 References selected manufacturing process.
Section 1, Terms Related to Surface Texture
Section 2, Classification of Instruments for Sur-
face Texture Measurement 12.5 Surface Characteristics
Section 6, MeasurementTechniques for Area Individually manufactured specimens, master sur-

Averaging faces for reproduction, and their replicas shall exhibit
only the characteristics resulting from the natural ac-
tion of the production process they represent. They
shall not contain surface irregularities produced by
12.3 Definitions
abnormal conditions such as vibrations, etc.
roughness comparison specimen - a specimen sur-
face with a known surface roughness parameter rep-
resenting a particular machining or other production 12.6 Nominal Roughness Grades
process
Nominal roughness grades for comparison speci-
Other definitions of terms are given in Section 1 . mens shall be from the series in Table 12-1.
Nominal roughness average (R,) grades for vari-
ous manufacturing processes are listed in Table 12-2
12.4 Roughness Comparison Specimens along with corresponding sampling lengths.
Roughnesscomparisonspecimens are used to
guide design personnel with respect to the feel and
12.7 Specimen Size, Form, and Lay
appearance of a surface of known roughness grade
produced by a selected process. The roughness com- Comparison specimens shall be of adequate size
parison specimens are intended to assist workshop to permit initial calibration and periodic verification.
personnel in evaluating and controlling the surface For specimen surfaces having nominal R, values of
topography of the workpieces by comparing them 6.3 ,um or less, no side should be less than 20 mm.
with the specimen surface. At least one surface pa- For the R, value 12.5 Pm, no side shouldbe less
rameter mustbemarkedon the specimen (conven- than 30 mm. For R, values greater than 12.5 ,um, no
tionally R,). Additional parameters to describe the side should be less than 50 mm. The general direc-
surface of the specimen could also be added. Rough- tion of the lay should be parallel to the shorter side
ness comparison specimens are not suitable for the of the specimen. In cases such as fine peripheral
calibration of surface measuring instruments. milling, when the surface irregularities resulting
75

SURFACE TEXTURE
TABLE 12-1 NOMINAL ROUGHNESS GRADES

(R,) FOR ROUGHNESS
COMPARISON SPECIMENS
0.006 0.25
0.0125 0.5
0.025 1
0.05 2
o. 1 4
0.2 8
0.4 16
0.8 32
1.6 63
3.2 125
6.3 250
12.5 500
25 1,000
50 2,000
1O0 4,000
200 8,000
400 16,000
TABLE 12-2 FORM AND LAYOF ROUGHNESS COMPARISON

SPECIMENS REPRESENTING VARIOUS TYPES OF MACHINED SURFACES
Process Represented Form of Specimen Lay
Peripheral OD Grinding Convex Cylindrical Uniaxial

ID Grinding Concave Cylindrical Uniaxial
Peripheral Flat Grinding Flat Uniaxial
Side-Wheel Grinding Flat Crossed Arcuate
Cup-Wheel Grinding Flat Crossed Arcuate
OD Turning Convex Cylindrical Uniaxial
ID Turning Concave Cylindrical Uniaxial
Face Turning Flat Circular
Peripheral Milling Flat Uniaxial
End Milling Flat Arcuate, Crossed Arcuate
Boring Concave Cylindrical Uniaxial
Shaping Flat Uniaxial
Planing Flat Uniaxial
Spark Erosion Flat Nondirectional
Shot or Grit-Blasting Flat Nondirectional
Polishing Flat, Convex Cylindrical Multidirectional
76

ASME 846.1 95 m 0759670 0573662 323 m
SURFACE TEXTURE
from imperfection of cutting edges appear to be of value of selected surface parameters to be deter-
greater consequence than the surface irregularities mined with a standard deviation of the mean of 10%
resulting from cutter feed, the dominant lay should or less. The mean value of the readings shall be be-
be parallel to the shorter side of the specimen al- tween 83% and 112% of the nominal value.
though the feed marks may be parallel to the longer
side. The form and lay of standard comparison spec-
imens representing machined surfaces shall be as
shown in Table 12-2. 12.9 Marking
Markings shall not be applied to the reference sur-
face of the specimen. The mountingof the specimen
12.8 Calibration of Comparison Specimens shall be marked with at least the following:
Specimens are to be evaluated using an instrument ( a ) the expression nominal R,, the nominaland
capable of measuring parametersin accordance with measured R, values in pm or pin., and the unit of
this Standard. The sampling lengths are given in Ta- measurement (pm or pin.);
ble 12-3. For periodic profiles, use Table 3-1, Section ( b ) the production process represented by the
3. The evaluation length shall include at least five specimen (e.g., ground, turned);
sampling lengths. A sufficient number of readings ( c ) the designation, comparison specimen.
across the lay of the surface shall be taken at evenly Optionally, roughness parameters other than R, may
distributed locations (at least 5 ) to enable the mean be added.
77

TABLE 12-3 SAMPLING LENGTHS FOR CALIBRATION OF COMPARISON SPECIMENS, mm
Nom./?,fl
Type of
Surface 0.666 0.0125 0.025 0.05 0.1 0.2 0.4 0.8 1.6 3.2 6.3 12.5 25 50 106 200 466
Machined Surfaces:
Polished 0.08 0.08 0.08 0.25 0.25 0.8 - - - - - - - - - - -
Honed - - 0.25 0.25 0.25 0.8 0.8 0.8 0.8 _ - - - - - - -
Ground - - 0.25 0.25 0.25 0.25 0.8 0.8 0.8 2.5 - _ - _ - - -
Shot Blasted - - - - - 0.8 0.8 0.8 0.8 2.5 2.5 2.5 2.5 - - - -

Grit Blasted - - - - - 0.8 0.8 0.8 0.8 2.5 2.5 2.5 2.5 - - - -
Turned - - - - - [Note(l)] [Note (I)1 [Note (I)1 [Note (l)l [Note (I)1 [Note (111 - - - - -
Bored - - - - [Note (I)1 [Note (1)l [Note (I)1 [Note (I)1 [Note (l)] [Note (III - - - - -
Milled - - - - - - [Note (VI [Note (I)1 [Note (l)] [Note (I)1 [Note (I)] [Note (l)] - - - - -
- - - - - - - - -

Shaped [Note (111 [Note(l)] [Note (1)l [Note (I)] [Note(l)] [Note (I)1 - -
Planed - - - - - [Note (1)l [Note (I)1 [Note (I)1 [Note(l)] [Note (I)1 [Note (1)l - - -
Spark Eroded - - - - 0.8 0.8 0.8 2.5 2.5 2.5 - - - -
Cast Surfaces:
Steel
Precision Cast - - - - - - - 0.8 0.8 2.5 2.5 2.5 - - - - -
Shell Molded - - - - - - 0.8 2.5 2.5 2.5 2.5 8.0 - - -
Sand Cast - - - - - - - - - 2.5 2.5 8.0 8.0 25.0 25.0
Iron
Shell Molded - - - - - - - - 0.8 2.5 2.5 2.5 2.5 - - -
Sand Cast - - - - - - - - 2.5 2.5 2.5 2.5 8.0 8.0 25.0
Aluminum Alloy
Pressure Die Cast - - - - - - 0.8 0.8 0.8 2.5 2.5 2.5 2.5 8.0 - - -
Gravity Die Cast - - - - - - - 0.8 0.8 2.5 2.5 2.5 2.5 8.0 - -
Sand Cast - - - - - - - - - 2.5 2.5 2.5 2.5 8.0 8.0 25.0
Copper Alloy
Pressure Die Cast - - - - - - - - 0.8 2.5 2.5 2.5 2.5 8.0 - - -
Gravity Die Cast - - - - - - - - 2.5 2.5 2.5 2.5 8.0 8.0 - -
Sand Cast - - - - - - - - - 2.5 2.5 2.5 8.0 8.0 - -
Mg and Zn Alloys
Pressure Die Cast - - - - - 0.25 0.8 0.8 0.8 2.5 2.5 2.5 2.5 - - - -
Sand Cast - - - - - - - 2.5 2.5 2.5 2.5 8.0 8.0 25.0 -
NOTE:
(I) Refer to Section 3, Table 3-l.
ASME B4b.L 95 m 0 7 5 9 6 7 00 5 7 3 6 6 4L T 6 m
APPENDIX A
GENERAL NOTES ON USE AND INTERPRETATION OF DATA
PRODUCED BY STYLUS INSTRUMENTS
(This Appendix is not part of ASME 846.1-1995 and is included for information only.)
A l Most surfaces of engineering interest are com- suring surface roughness in small holes, slots, and
plex, generally consisting of randomly distributed ir- recesses, and on short shoulders, gear teeth, and
r e g h i t i e s characterized by a wide range of height thread surfaces, the geometry may not permit the use
and spacing. Each surface characterization parameter of skids to support the tracer.In such cases, the
relates to a selected topographical feature of the sur- tracer body is supported and moved over a reference
face of interest. datum, and the tracer stylus ismounted at the end
of a suitable beam.
A2 One useful quantity in characterizing a surface
is the roughness average R,, as described in Section A5 Since most surfaces are not uniform, fluctua-
1 of ASME B46. l . A common method of measuring tions in instantaneous average readings will occur.
the roughness average uses the motion of a sharp- Therefore, the correct average reading willnot be
pointed stylus over the surface and the conversion of reached instantaneously. In using an instrument, a
the displacement normal to the surface into an output sufficient length of surface must be traversed to en-
reading proportional to the roughness average. A sure that the full reading characteristic of the surface
number of factors affect the results, and ASME is obtained. This length depends upon the cutoff se-
B46.1 has attempted to specify enough of those fac- lected. The roughness reading may also varywith
tors so that instruments of different design and con- location of the sampled profile on the surface. In
struction might yield similar values for R, that are in mostcommon machining processes it is generally
reasonable agreement on any given surface. possible to obtain adequate surface finish control
with three measurements. If the process usedpro-
A3 The stylus dimensions limit theminimum size duces parts that vary widely in roughness average R ,
of the irregularities which are included in a mea- over the surface, the use of a statistical average of a
surement. The specified value of stylus tip radius has number of measurements may be desirable. This sta-
been chosen to be as small as practical to include tistical averaging procedure must be clearly defined
the effect of fine irregularities. Stylus radii ranging in the surface specifications, and cannot be inferred
between 1 and 10 p m are fairly common. Since styli by stated compliance with ASME B46.1.
of such small radius are subject to wear and me-
chanical damage even when made of wear-resistant
materials, it is recommended that frequent checks of A6 In general, surfaces contain irregularities char-
the stylus be made to ensure that the tip radius does acterized by a large range of widths. Instruments are
not exceed the specified value. designed to respond only to irregularity spacings less
than a given value, called the cutoff. In some cases,
such as a surface whose actual contact area with a
A4 One meansof providing a reference surface mating surface is important, a large cutoffvalue
against which to measure stylus movement is to sup- might be selected. In other cases, such as surfaces
port the tracer containing the stylus on skids, the subject to fatigue failure, irregularities of small width
radii of which are large compared to the height and tend to be important, and more significant values will
spacing of the irregularities being measured. In mea- be obtained when a small cutoffvalueis used. In
79

ASME B4b.L 95 m 07596700573bb5 032 m
still other cases, such as identifying chatter marks on line for instruments using a cutoff filter is a wavy
machined surfaces, informationisneededononly one, generally following the shape of the larger ir-
the widely spaced irregularities. A large cutoff value regularities of the profile. In the segmentation pro-
and a large radius stylus may then be specified and cedure, the center line is composed of straight line
used to inhibit the instrument response to the more segments, each having a length equal to the rough-
closely spaced irregularities. ness sampling length. The attenuation rates for Gaus-
sian filters specified in Section 9 of ASME B46.1
A7 Threemethods are discussed in ASME B461 are such that a sinusoidal waveformwith a spatial
for separating the roughness and waviness aspects of wavelength equal to the cutoff would be attenuated
the surface (by Gaussian filtering, by 2RC filtering, by 50%. For the 2RC filter, the attenuation at the
or by segmentation of the profile into roughness cutoff is only 25%. In the segmentation procedure,
sampling lengths). These methods treat a profile in even less attenuation occurs at the cutoff spatial
differentways so that slightly different R, values wavelength. For spatial wavelengths greater than the
may be obtained. The numerical difference between cutoff or sampling length, the effective attenuation
values obtained from methods of measurement that rates of the three procedures differ. For surfaces pro-
producevalueswhich are nominallybutnot pre- duced by most material removal processes, the meth-
cisely equal is referred to as methods divergence. ods divergencefor R, measurements is usually small.
The methods divergence arises here because the In some instances the divergence may be as much as
methods use different center lines and yield different 10%.See the recommendation in Section 2 of ASME
attenuation rates for profile spatial wavelengths near B46.1 to handle cases when the differences obtained
the cutoff or roughness sampling length. The center by different methods are significant.
80

ASME B4b.L 95 O759670 O573666 T79
APPENDIX B
CONTROL AND PRODUCTION OF SURFACE TEXTURE
(This Appendix is not part of ASME 846.1-1995 and i5 included for information only.)
B1 SPECIFICATION or honed, the texture is thethe of

result action of
cutting tools, abrasives, or other forces. It is impor-
( a ) Surface texture should not be controlled on a
tant to understand that surfaces with similar rough-
drawing or specification unless such control is es-
ness average ratings maynothave the same per-
sential to the functional performance or appearance
formance, due to tempering, subsurface effects,
of the product. Unnecessary restrictions mayin-
different profile characteristics, etc.
crease production costs and will mitigate the empha-
(b) Figure B1 shows the typical range of surface
sis on specifications for important surfaces. roughness values which may be produced by com-
( b ) In the mechanical field, many surfaces do not mon production methods. The ability of a processing
require any control of surface texture beyond that operation to produce a specific surface roughness de-
required to obtain the necessary dimensions on the pends onmany factors. For example, in surface
manufactured component. grinding, the final surface depends on the peripheral
( c ) Working surfaces such as those on bearings, speed of the wheel, the speed of the traverse, the rate
pistons, and gears are typical of surfaces that require of feed, the grit size, bonding material and state of
control of the surface characteristics to perform op- dress of the wheel, the amount and type of lubrica-
timally. Control may be achieved if the procedures tion at the point of cutting, and the mechanical prop-
outlined in ASME B46.1 are followed. Nonworking erties of the piece being ground. A small change in
surfaces such as those on the walls of transmission any of the above factors may have a marked effect
cases, crankcases, or housings seldom require any on the surface produced.
surface texture control.
( d ) Experimentation or experience with surfaces
performing similar functions is the best criterion on
which to base selection of optimum surface charac- B3 INSPECTION
teristics. Determination of required characteristics
( a ) ASME B46.1 explains the interpretation of
for working surfaces mayinvolve consideration of
specifications of surface finish on drawings. Al-
such conditions as the area of contact, the load,
though ASME B46.1 permits considerable latitude
speed, direction of motion, type and amount of lu-
in the method of producing and inspecting a surface,
bricant, temperature, and material and physical char-
it specifies limits on the Characteristics of measuring
acteristics of component parts. Variations in any one
instruments, roughnesscomparisonspecimens, and
of the conditions may require changes in the speci-
precision reference specimens. These specifications
fied surface characteristics.
are essential for the reliable measurement of surface
parameters and are thus necessary for establishing
and maintaining control of surface texture. The
roughness comparison specimens allow engineers or
B2 PRODUCTION
designers to obtain an approximate idea of the sur-
( a ) Surface texture is a result of the processing face textures produced by various machining pro-
method. Surfaces obtained from casting, forging, or cesses. The instruments permit the accurate mea-
burnishing haveundergone some plastic deforma- surement of characterization parameters for surfaces
tion. For surfaces that are machined, ground, lapped, generated in production. The precision reference
81

ASME B46.L 95 m 0759b70 0573667 905 m
Roughness Average Ra - Micrometers Frn ímicroinches pin.)

Process 50 25 12.5 6.3 3.2 1.6 0.80 0.40 0.20 0.10 0.05 0.025 0.012
Snagging
Sawing
Planing, shaping
Drilling
Chemical milling
t. discharge mach
Reaming
Electron beam
Laser
Electro-chemical
Boring, turning
Barrel finishing
Roller burnishing
Grinding
Honing
Sand casting
Hot rolling
Forging
Perm mold castin
Cold rolimg, drawing

Die casting
I I
The ranges shown above are typical of the processes listed. KEY Average
Application
Higher or lower values may be obtained under special conditions. Less Frequent Application

~
ASME B4b.L 75 0757670 0573668 84%
specimens provide an accurate means of calibrating rial, the lighting conditions, viewing angle, rough-
the measuring instruments. ness width, and color, as well as roughness height.
(b) One of the methods of control and inspection
covered in ASME B46.1 istheuseof pilot speci-
mens which are actual piece parts from the produc- B4 SURFACE TEXTURE OF CASTINGS
tion setup that conform to the surface requirements
specified on the drawing. To assure reasonable ac- (u) Surface characteristics of castings should not
curacy, pilot specimens should be rated by calibrated be considered on the same basis as machined sur-
measuring instruments. Pilot specimens may be used faces. Castings are characterized by random distri-
to control production operations by sight and feel. bution of nondirectional deviations from the nominal
Because these pilot specimens are of the same size, surface.
shape, material, and physical characteristics as pro- (b) Surfaces of castings rarelyneed control be-
duction parts from the same machine setup, it is of- yondthat provided bythe production methodnec-
ten possible to determine by sight or feel when pro- essary to meet dimensional requirements. Compari-
son specimens are frequently used for evaluating
duction parts begin to deviate significantly from the
surfaces having specific functional requirements.
established norm indicated by the pilot specimen. If
Surface texture control should not be specified unless
control is required at more than one station, pilot
required for appearance or function of the surface.
specimens may be cut into the required number of Specification of such requirements may increase the
pieces. Electroformed or plastic replicas of the pilot cost to the user.
specimens may also be satisfactory. (c) Engineers should recognize that different ar-
(c) Visual aids and comparator instruments, other eas of the same castings may have different surface
than those of the stylus type, are sometimes useful textures. It is recommended that specifications of the
for comparing the work pieces with pilot specimens surface be limited to defined areas of the casting.
or roughnesscomparisonspecimens. However, the The practicality and the methods of determining that
use of roughness comparison specimens or replicas a casting’s surface texture meetsthe specification
of pilot specimens for visual inspection, requires the should be coordinated with the producer. The Soci-
adoption of precautions to assure the accuracy of ob- ety of Automotive Engineers Standard J435C, Au-
servation. Optical reflectivity is not necessarily a re- tomotive Steel Castings, describes methods of eval-
liable index of roughness, since it is dependent on uation for steel casting surface texture usedin the
such factors as the specular properties of the mate- automotive and related industries.
83


ASME B 4 6 . 1 95 0757b70 0573b70 4TT m
APPENDIX C
A REVIEW OF ADDITIONAL SURFACE MEASUREMENT METHODS
(This Appendix is not part of ASME B46.1-1995and is included for information only.
See also Appendices E and F for other commonly used methods.)
C l INTRODUCTION C2 OPTICAL METHODS

(a) This Appendix highlights certain surface mea- C2.1 Introduction
surement techniques other than those described in
Optical microscopes have spatial resolution capa-
ASME B46.1. bilities limited by the following criteria.
(b) The large number of surface examination ( u ) For spatial resolution, the generally accepted
methods (including the different characteristics of Rayleigh criterion states that two objects in the focal
probes) and the wide variety of data analysis tech- plane of a diffraction limited lens willbe resolved
niques preclude complete agreement of results ob- when they are separated by more than a distance d
tained by different techniques. However, methods di- as stated in the formula:
vergence neednotprevent a unified approach to
surface measurement agreedupon by buyerand
seller, which formsa suitable basis for necessary d=kh,
agreement between them, as well as between engi- NA
neering and manufacturing activities, between indus-
try groups, and between
the US and foreign
where
countries.
(c) Surface texture, in the sense of ASME B46.1, k = constant between 0.6 and 0.8 depending on
is generally only one of the essential elements for the shape of the object and illumination
surface description and control. Additional surface A , = wavelength of the illumination
quality information can usuallybe obtained from NA = numerical aperture of the lens
other types of instrumentation and analysis such as: ( 6 ) The numerical aperture NA is a function of
(1) optics, including microscopy, reflectance the refractive index of the medium between the lens
measurement, image analysis, and holography; and the object, usually air, and the angle subtended
(2) electron optics (both scanning and trans- at the object plane by the effective radius of the lens.
mission electron microscopy); Typical microscope lenses have NA values from 0.2
(3) nondestructive testing methods including to 0.9. The larger value maybe extended to 1.4 by
ultrasonics, eddy current, and capacitance; using immersion techniques.
( 4 ) precision dimensional engineering mea- ( c ) The highest usefulmagnification for which
surement including air gauging and measurement of valid information may be obtained is discussed in
the following descriptions of instruments. The range
form;
of useful magnification available depends largely on
(5) surface integrity measurements (see para.
the differences in numerical aperture between
C5, [ 11) of hardness changes, stress, fatigue, and de- instruments.
terioration resulting from machining processes that
cause altered zones of material at and immediately
below the surface. Component integrity may depend
significantly on these types of surface properties; C2.2 Light Section Microscopy
(6) chemical characterization including elec- (u) An oblique thin sheet of light or a projected
tron and ion spectroscopy and analysis. line image provides an outline of irregularities on the
85

~ ~~
ASME B 4 b - L 95 m 0759670 0573673 336 m
specimen surface. This approach was first mentioned /

by Schmaltz (see para. C5,[2]) in 1931 and has since /
been refined and modified by a number of designers. Vlewlng Beam of light
(b) TheSchmaltz instrument uses two objective
dlrection / /
/
lenses oriented at approximately 45 deg to the sur-
face normal. One lens transmits a thin sheet of light
onto the surface and the other lens is used to observe
//
the profile that is produced. The method is generally
limited to 4 0 0 X magnificationwith a spatial reso-
lution of about l pm (40pin.) (see Fig. Cl).
( c ) Light section microscopes can provide a
three-dimensional effect when the specimen is
slowlymovedpast the instrument. In addition
source
to Llght Eyepiece
their use as surface profile instruments, they can be
used to measure step heights, flatness, and parallel-
ism of surfaces. They can also be equipped with an
auxiliary measuring system andused as a noncon-
tacting null sensor.
C2.3 Optical Reflectance Measurement

(Glossmeters)
FIG. C l SCHMALTZPROFILEMICROSCOPE
(u) Relative measurements can be made by beam-
ing either single or multiple wavelengths obliquely
at the tested surface and measuring the ratios of
specular to scattered intensities. Glossmeters operate Llght source
on this principle (see para. C5,[3] and Fig. C2).

Specular and diffuse
reflectance detectors
C2.4 Double Beam Interferometry: Circular

Path Profiler
Beam
The circular path profiler developed by Sommar- splitter
gren (para. C5, [4] and [ 5 ] ) ,isshown in Fig. C3.
Two laser beams (with different polarization states)
are separated by a Wollaston prism and are incident Focusing
on a surface. The relative height of the two points
of illumination is measured by sensing the relative
phase of the reflected beams. The measured sample FIG.C2REFLECTANCEMEASUREMENT
is then rotated. One of the beams serves as a refer-
ence because it illuminates the stationary point on
the surface on the axis of rotation. The other beam
then serves to measure a surface height profile of the
circular pathtraced over the rotating surface with
respect to the central reference point.
the workpiecehas to be coated with a thin semi-
reflecting film having low absorption and a reflectiv-
ity approximatelymatching thatof the workpiece
C2.5 Multiple Beam Interferometry
(see Fig. C4).
(u) In this method, pioneered byTolansky (see (6) If the distance between the surfaces is small
para. C5, [6]), the side of the reference flat facing enough, of the order of a few wavelengths of light,
86

ASME B46-L 95 m 0759670 O573672 272 m
Axis of rotation
FIG.C3SCHEMATIC DIAGRAM OFCIRCULARPATHPROFILER
Eveplece
Focustng
Colltmating lens
a9
Light
source
tnterferometrlc
beam solitter
FIG.C4MULTIPLEBEAMINTERFEROMETER
87

~
ASME B q b - 1 95 0759670 0573673 LO9 H
the light will be reflected back and forth many times

between the two surfaces. Extremely sharp fringes
result, which are easier to interpret than the broader
appearing fringes from a double-beam interferome-
ter. The practical upper limit of magnification is ap-
proximately 125 X to 150X. Monochromatic light is
essential and good fringe sharpness and contrast de-
pend on high reflectivity and low absorption for the
workpiece and reference mirror. Because of the close
spacing betweentheworkpieceand the reference
mirror, the coating on the latter can become dam-
aged, and must be replaced periodically.
C2.6 Differential Interference Contrast or

Nomarski Microscope
This instrument (see para. C5, [7]) consists of a
Wollaston prism which can be attached to most met- FIG. C5DIFFERENTIALINTERFERENCE
allurgical microscopes close to the objective lens. CONTRAST PHOTOGRAPH OF AUTOMOBILE
The prism produces two images of the workpiece ENGINE CYLINDER WALL
that are sheared with respect to each other by a small
amount, usually the limit of resolution of the objec-
tive. The resulting image contains greatly enhanced
surface detail. Changes of height as small as 1 nm
or less can be identified. The measurement is quali-
tative,however. The various shades of gray in the
image represent different slopes on the work surface. of defect heights can be made by the usual methods
Differential interference contrast canbe usedwith of fringe interpretation as long as the steps or dis-
anymagnificationthat is available on the micro- continuities are small with respect to the 20% shear
scope, although the lower magnifications show more of the fieldofview. Referring to Fig. C6, if, for
surface detail. Figure C5 is a differential interference instance, a simple surface has two plane surfaces, P ,
contrast photograph of an automobile cylinder wall and Pz, with a step edge occurring along a straight
before run-in. line AB, it will appear in the eyepiece as two separate
lines A , , B , ,and A,, B,.
(b) The step height is evaluated as the fringe
C2.7 Differential Interferometry fraction:
( a ) This system is similar to differential interfer-
ence contrast. However, the amount of shear of the
two images is much greater, generally 20% of the - x -A"
a
i 2
field of view. The composite image is overlaid with
interference fringes indicating the difference in
height between the two sheared images. The fringes where
are of exceptionally high contrast because the work-
piece is acting as its own reference mirror which, of a = fringe displacement caused by the step
course, has the same reflectivity. The effects of vi- i = spacing between adjacent fringes
brationbetween the workpiece and the microscope A, = wavelength of the illumination
are cancelled because the reference mirror and work- (c) An important disadvantage of differential in-
piece are identical. The fringes are always straight terferometry is that every discontinuity appears twice
regardless of the curvature of the workpiece as long on the composite image. These double images are
as there are no discontinuities within the fieldof separated by the 20% shear of the fieldofview.If
view. White light as well as monochromatic light can there are many discontinuities, interpretation be-
be used for any magnification. Precise measurements comes extremely difficult.

~~~
ASME B 4 6 0 1 95 m 0759670 0573674 045 m
A
B
45deg A
FIG.C6DIFFERENTIALINTERFEROMETRY
C3REPLICAS the surface to be examined. The replica F is made

by pressing a piece of acetate film against the work
( a ) When the surface itself cannot beexamined
surface W which has been wet with a drop of acetone
directly, negative impressions (replicas) are some-
times used. Although all replicas initially contact the [see Fig. C7(a)].
workpiece, different types of replicas are made for After drying,the film is placed in a Zehender
contacting and noncontacting measurements. chamber that consists of a mirror and cover glass
(b) Replicas for ContactingMethods. When a combination with a replica in between. The combi-
standard stylus instrument cannot be used on a sur- nation is viewed under a two-beam type of interfer-
face because of its shape, location, or softness, a ence microscope at a suitable magnification, not ex-
replica may be made that can then be measured with ceeding 200X. Figure C7(b) is a schematic diagram
a stylus instrument. Cautions regarding the replica that shows the principle of the demagnification ef-
material include its hardness after curing, its shrink- fect. The film replica ( F ) , which has a refractive in-
age, and its fidelity.However,in certain cases itis dex n f , is placed on the mirror M with the impressed
possible to duplicate surface details down to the 2 features downward. The medium J is a liquid which
nm height range (see para. C5, [S]). is placed between the film and the mirror and has a
( c ) Replicas for Noncontacting Methods. No refractive index ni. In this arrangement, thedeflec-
hardness or wear resistant properties are required tions of the interference fringes caused by the sur-
when replicas are examinedusing noncontacting face topography are reduced by the factor (nr - n,)
methods. Therefore, softer materials such as coatings as compared with those obtained by viewing the sur-
or films may be used for replication. face directly.
( d ) Zehender Technique for Extending Utilization If nf = 1.51 and nj = 1.41, then the fringe deflec-
of Inteverence Microscopes (see para. C.5, [9]J On tions will be only one-tenth of those obtained with-
rough surfaces the interference fringes are deflected out a replica. By choosing a suitable immersion
to such a high degree that their course cannotbe fluid, the sensitivity of the interference method can
followed. Bymeansofthe Zehender method such be adapted to the roughness of the surface to be eval-
rough surfaces can, in effect, be demagnified. For uated. Commercial Zehender replica kits include the
this purpose, a transparent film replica ismadeof necessary reference mirrors, replica films, and im-
89

mersion fluids. An important secondary advantageof C4.2 Scanning Electron Microscope (SEM)
the technique is that the replica can betakenon a ( a ) In contrast to the TEM, in which the area of
curved surface such as an involute gear tooth and examination isuniformly illuminated by a broad
then flattened out with a cover glass so that it con- beam of electrons, an SEM (see para. C5, [lo]) uses
forms to the shape of the reference mirror. Pits, a beam of electrons focused on the specimen surface.
cracks, and other discontinuities can then be exam- An image of the specimen surface is produced by
ined on curved surfaces. Considerable skill and pa- modulating the intensity of an electron beam spot on
tience is required for meaningful results. the face of a cathode ray tube (CRT) with a signal
derived fromsecondary electrons or backscattered
electrons from the specimen. This electron current is
produced asthe SEM electron beam is scanned
C4 ELECTRON OPTICAL METHODS across the specimen surface in synchronization with
C4.1 Transmission Electron Microscope (TEM) the motion of the scanning spot across the face of
the CRT. X rays and photons from cathodolumines-
(a) The TEM may be compared to an optical mi- cence are other types of radiation that may be used
croscope which employs transmitted light, as illus- to produce the modulating signal. The images
trated in Fig. C8. The illuminating beam of electrons formed may then beused to obtain physicaland
is focused by condenser lens L,, formed by a prop- chemical information about the specimen surfaces.
erly shaped magnetic field, onto the specimen S . The A schematic diagram ofan SEM is shown in Fig.
electrons then pass through an objective lens L, and c9.
subsequently through a projector lens L, to form an ( b ) Theadvantages and limitations ofusingan
image I, on a fluorescent screen or a photographic instrument havingan electron beam, discussed in
plate. Figure C8 is only a schematic of the principal para. C4.1 for the TEM, also apply to the SEM.
components of a TEM and should not be interpreted However, since the SEM depends primarily upon
as inclusive of all TEM designs. Additional inter- backscattered or emitted electrons, there are no strin-
mediatecondenser and projector lenses are often gent requirements on specimen thickness.
used. (c) The extraction of quantitative information
( b ) The low penetrating power of electrons and about surface topography fromthemany possible
their short wavelength result in many differences be- outputs ofan SEM is difficultand complex, since
tween optical and electron microscopes. The low contrast in the displayed image is affected by many
penetrating power of electrons requires that the spec- factors, e.g., electric field enhancement at sharp
imen and the entire electron path be in a high vac- edges, crystallographic orientation, and the point-to-
uumregionwith absolute pressures of
Torr or point variation in atomic composition of the speci-
less. Specimens must have a thickness of 1 0 0 nm (4 men. Nevertheless, because of its excellent spatial
pin.) or less. However,the extremely shortwave- resolution (as small as 1 nm) and its large depth of
length of the electron, approximately 0.0025 nm for focus, the SEM is a convenient and frequently used
an accelerating voltage of 200 kv, allows for high tool to examine the surfaces of engineering speci-
mens. Stereoscopic pairs of images similar to those
spatial resolution (0.2 nm to 0.4 nm),anduseful
described for the TEM are one way to achieve qual-
magnifications up to 5 X IO5.
itative topographic interpretation.
( c ) To study surface topography, a suitable replica
whose thickness is less than 1 0 0 nm (4 pin.) must
be made of the surface of the test specimen. Quan-
titative information about the topographymay then C5SURFACE EXAMINATION REFERENCES
be obtained by taking two micrographs, with the [ 11 For additional information, see ANSI B21 1.1-
specimen being tilted throughan angle of about 8 1986, Sur$ace Itltegrity.
deg (0.14 rad) betweenthetwo exposures. Surface [2] Schmaltz, G . Technische Ober-achenkunde.
profiles and contour maps may be drawn from the Berlin: Springer, 1936:73; or Way, S. “Description
two micrographs with the aid of a measuring stere- and Observation of Metal Surfaces.” Proceedings of
oscope. Height resolution is significantly limited by the Special Summer Conferenceson Friction and
the measurement of tilt angle, stereoscopic interpre- Sur$ace Finish. Massachusetts Institute of Technol-
tation, and the replication procedure. ogy, (June 5-7, 1940):44.
90

~
ASME B4b.L 95 0759b70 0573b7b 918
F F J
f / /
\
W M
(a) (b)
FIG. C7ZEHENDER METHOD
LightElectron
Microscope
Microscope
u Cathode
Il
‘2
(a) lb)
FIG. C8 COMPARISON OF OPTICAL AND TRANSMISSION ELECTRON MICROSCOPE
91

~~
ASME B4b.L 95 m 07.596700573b77 854 m
Condenser
lens
Stigmator
I a m 1 I
Objective Scanning
Magniflcation
lens
75
Dlsplay unit
Vacuum system
FIG.C9 DIAGRAM OF SCANNING ELECTRONMICROSCOPE
[3] Westberg, J. “Development of Objective Yamamoto. “ANewandVery Simple Interference

Methods for Judging the Quality of Ground and Pol- System Application to the Microscope.” Optica Acta
ished Surfaces in Production.” Proceedings, Institu- 9 (1962):395.
tion of MechanicalEngineers 182 (pt-3K), (1967- [8] Gourley, D. L., H. E. Gourley, and J. M. Ben-
68): 160. nett. “Evaluation of the Microroughness of Large
[4] Sommargren, G.E. “Optical Heterodyne Pro- Flat or Curved Optics by Replication.” Thin Solid
filometry.” Applied Optics 20 (1981):610. Films 124 ( 1 985):277.
[5] “Heterodyne Profiler Moves from R&D to the [9] “An Interference Microscope With a Wide
Marketplace.” Laser Focus/Electro-Optics (July Range of Applications.” Machinery ( 1 1 March
1987):92. 1959).
[6] Tolansky, S . Multiple-BeamIntederence Mi- [lo] Hawkes, P.W. Electron Optics and Electron
croscopy of Metals. NewYork:Academic Press, Microscopy. London: Taylorand Frances, Ltd.and
(1 970). Barnes and Noble Books, 1972; Oatley, C. W. The
[7] Lang, W. “TheZeiss-Nomarski Differential Scanning Electron Microscope. Cambridge Univer-
Interference-Contrast Equipment.” Zeiss Information sity Press, 1972; and Wells, O. C . Scanning Electron
70 (1969): 114 and 71 (1969):12; Francon, M. and T. Microscopy. McGraw-Hill, 1974.
92

APPENDIX D
ADDITIONAL PARAMETERS FOR SURFACE CHARACTERIZATION
(This Appendix is not part of ASME 846.1-1995 and is included for information only.}
This Appendix discusses surface texture parame-

ters other than those described in Section 1 of ASME ""R"
B46.1, whichmaybeuseful in surface quality re- R,
search and certain areas of process control. It also
adds information about the autocovariance function
defined in Section 1. Finally, it discusses the unifor-
mityof surfaces and the variationofmeasured
parameters.
D I INTERNATIONAL STANDARDS AND R , t R + R 3 +. . . . . . R,

2
R-
PARAMETERS n
D1.l Average Peak-to-Valley Roughness R and

Others FIG. D I AVERAGEPEAK-TO-VALLEY
ROUGHNESS
This general term is intended to include those par-
ameters that evaluate the profile height by a method
that averages the individual peak-to-valley roughness
heights, each of which occur within a defined sam-
pling length' (see Fig. Dl).
that 5% of the upper line and 90% of the lower line
are contained within the material side of the rough-
D1.2 Average Spacing of Roughness Peaks A, ness profile (see Fig. D3). This parameter is the same
or A, as HIP(5, 90).
This is the average distance between peaks mea-
sured in the direction of the mean line andwithin
the sampling length. The term peaks has a wide va- D 2 .AUTOCOVARIANCE FUNCTION
riety of interpretations; therefore, this parameter
must be evaluated according to a specific standard' (u) The autocovariance function is a measure of
(see Fig. D2). similarity between two identical but laterally shifted
profiles. For a particular shift length, its value is ob-
tained by multiplying the shifted and unshifted
D1.3 Swedish Height of Irregularities waveform over the overlapping length, ordinate by
(Profiljup), R or H ordinate, then calculating the average of these prod-
ucts. The formula for computing ACV from a profile
This is the distance between two lines parallel and is given in Section 1 of ASME B46.1.
equal in length to the mean line andlocated such (b) Significant characteristics of the ACV include
the value of the root-mean-square roughness R, of
' A practical implementation is described in the French Standard, the profile, which can be determined by taking the
NF E.05.015 (Pans: AFNOR, 1984). square root of thevalueatthe zero-shift position,
93

and the correlation length described in Section 1 of
ASME B46.1, the shift distance where the ACV or
its upper boundary envelopefirst drops to a specified
fraction of the ACV value at the zero-shift position.
When two points on a profile have a spacing equal
to this correlation length, they are considered to be
independent and generally result from separate steps
in the surface forming process. Figure D4 showspro-
of files surfaces obtained by three processing meth- 4 W
ads along with the normalized autocovariance func-
tion of each profile. The normalized autocovariance
ArI + Ar2 + A r 3 + . . . . . A,
function is called the autocorrelation function (ACF) A, =
n
and is also described in Section 1 of ASME B46.1.
FIG. D2 AVERAGESPACINGOF ROUGHNESS
PEAKS
D3 UNIFORMITY OF SURFACE
( a ) The above parametersdeal with the evaluation
of a single surface profile. However,no surface is
Mean line
trulyuniform. Therefore, no single surface rough- Upper line /
ness profile or parameter measurementof that profile
is truly representative of the entire surface itself.
(6) To characterize the surface texture of an area
more completely, it is necesssary to analyze several
profiles. This analysis provides information on the
meanvalue of the parameter for the surface and
the distribution (scatter) in readings thatcanbe
expected.
( c ) The number of profiles necessary to provide FIG. D3 SWEDISH HEIGHT OF
a meaningful measurementis dependent on the char- IRREGULARITIES
acter of the surface and the accuracyof the mea-
surement required to provide the desired control of
surface quality.
( d ) Fewer profiles are required to fully character-
ize a precision reference surface consisting of a reg-
ular geometric pattern than, for example, a grit
blasted sheet metal surface with randomlyspaced
pits of varying sizes. [ I ] Abbott, E. J. and F. A. Firestone. “Speci-
( e ) Fortunately, the variation of roughness values fying Surface Quality.” Journal of Mechanical En-
measured on surfaces resulting from many produc- gineering 55 (1933):569.
tion processes is smaller than the repeatability re- [2] Proceedings:Intemational Production En-
quired for adequate control. Thus the number of pro- gineering Research Conference.Pittsburgh: Carnegie
files needed for calculations of parameters may often Institute of Technology. (September 9- 12, 1963).
be fairly small. However, the casting process is an [3] Properties and Metrology of Surfaces. Pro-
important exception (see Appendix B of ASME ceedings of the Institution of Mechanical Engineers
B46.1, para. B4). 182 (pt-3K), (1 967-68).
[4] Reason, R. E. “TheMeasurement of Sur-
face Texture.” In Modem Workshop Technology, Part
2. MacMillan and Co., Ltd., 1970.
D4 GENERAL REFERENCES ON SURFACE
[ 5 ] Proceedings, International Conference on
TEXTURE MEASUREMENTS
%@ace Technology, May 1973. Pittsburgh: Carnegie
( a ) Surface Texture Measurement and Instrumen- Mellon University, and Dearborn: Society of Manu-
tation: facturing Engineers.
94

O
pm -1
H
500 { t m
R, 16 fim
Shaped surface - =
1.0 -
0.8 1.0 1.2

I I 1
0.2 0.4 0 . 6 1
-0.2 - mm
Milled surface - R, = 2.3P m
0.4 -
H
0.2 -
n 1 I I I 1
v
O 0.20 0.40 0.60 0.80 1.G
Electrolytlc machined surface - R, = 5.2 p m
mm
FIG. D4 MEASURED PROFILESANDTHEIRAUTOCORRELATION FUNCTIONS
[6] Metrology and Properties of Engineering (b) Statistical Parameters:

Surfaces, Proceedings of the International Confer- [ 11 Blackman, R. B. and J. W. Tukey. The Mea-
ence, Leicestel; Great Britain, April 1979. Lausanne: surement of Power Spectra. New York:
Dover
Elsevier Sequoia SA. Publications, Inc., 1958.
L71 Metrologyand Properties of Engineering [2] Bendat, J. S. andA. G. Piersol. Random
Surfaces, Proceedings of the Second International Data: Analysis and Measurement Procedures. New
Conference, Leicestel; Great Britain,April 1982. York: John Wiley and Sons, Inc., 1971.
Lausanne and New York: Elsevier Sequoia SA, 1983. [3] Otnes, R. K. and L. Enochson, Digital Eme
[S] Thomas, T. R., ed. Rough Surfaces. Long- SeriesAnalysis. NewYork: John Wileyand Sons,
man: London and NewYork, 1982. Inc., 1972.
191 Bennett, J. M. and L. Mattsson. Introduc- 141 Champeney, D. C. Fourier Transforms and
tion to Surfuce Roughness und Scattering. Washing- Their Physical Applications. Academic Press, 1973.
ton, DC: Optical Society of America, 1989.
[ 101 Vorburger, T. V. and J. Raja. Surface Fin- Further general references maybe found in the
ish Metrology Tutorial. NISTIR 89-4088 Gaithers- Engineering Index (1 943-onward), under appropri-
burg: National Institute of Standards and Technol- ate headings, such as Metals Finishing, Surface
ogy, 1990. Roughness Measurement, and Metals Testing.
95


ASME B46.L 95 m 0759670 0573682 L L L m
(This Appendix is not part of ASME 846.1-1995 and is included for information only.)
This Appendix describes the operating principles E l .2 . I Performance

of several area profiling techniques and outlines their ( a ) Range. Phase measuring interferometric
range of capabilities as of March 1994. microscopes are applicable for surfaces with R,
smaller than about h J 4 . The evaluation area ranges
up to about 6 mm X 6 mm depending upon the mag-
nification of the microscope objective used. Phase
E I IMAGING METHODS measuring interferometric microscopes are limited in
E l . l PhaseMeasuringInterferometric ability to measure rough surfaces with large slopes.
Microscopy
(b) Accuracy. The accuracy of these interferom-
eters is limited by several factors, including the cal-
E l . l . l Description. One example of an interfer- ibration of the piezoelectric drive, thevariationin
ometric microscope is showninFig. E l . Light is phase change upon reflection across the surface due
reflected from the surface to be measured and made to dissimilar materials, and the quality of the optical
to interfere with light reflected from a reference mir- system such as the flatness and roughness of the ref-
ror. The resulting interference fringe pattern imaged erence mirror. The accuracy of these systems can
on the detector (CCD array) contains information also be affected by the presence of contaminants
about surface topography from which surface texture such as oil films on the surfaces. In addition, if the
information can be calculated over the area mea- reflectivityofthemeasured and reference surfaces
sured. A number of different interferometer types are different, the signal-to-noise of the measurement
(Michelson, Mirau, Linnik, Fizeau) can be used to may decrease unless compensating circuitry or
create the interference patterns (see para. E3, [ I ] and mechanisms are included in the instrument. In ad-
[2]). The systems use either a coherent laser beam dition, if the surface slope is too large, the reflected
or a spectrally filtered white light source. light signal will not enter the detection system.
Referring to Fig. EI, the computer calculates the (c) SystemNoise and HeightResolution. The
phase variations across thereflected wavefront and height resolution is limited by the system noise
relates these by a proportionality constant to the sur- which is typically a few tenths of a nanometer. The
face heights. The height at any one location on the system noise is affected by the noise of the detector
sample produces a corresponding phase difference electronics, the quantization level of the digitizing
@,y) inthe reflected lightcompared to adjacent circuitry, and environmental factors. To minimize
locations. The scaling factor for the phase change is these effects, the instruments maybemounted on
the optical wavelength A(,. Height measurements to vibration isolation tables. The noise can be estimated
a very small fraction of Ac> are possible bymoving by taking the difference between successive topog-
the reference mirror with respect to the sample sur- raphy measurements and calculating the R, value of
face and processing the modulated signal at each de- the resulting difference topography. Signal averaging
tector pixel. The measured topography Z(x,y) is cal- can be applied to reduce the system noise to nearly
culated from the relationship: 0.01 nm.
( d ) SpatialResolution. The spatial resolution is
limited by the wavelength of lightusedinthein-
strument, the optics, and the detector pixel spacing.
There is a tradeoffbetween spatial resolution and
97

~. ~~ ~
ASME B 4 6 9 1 75 W 0757670 O573683 058 W
array Detector Digitizer

7. ,.
Imaging
_"" lens
Light source """" n

""""L
tI t
' I I
I I I Computer
I
I
lW
-7 PZT drive
PZT
Controller
' I I 7
Reference rnlrror
Test surface
FIG. E l SCHEMATIC DIAGRAM OF A PHASE MEASURING INTERFEROMETRIC

MICROSCOPE IN A MICHELSON CONFIGURATION
field-of-view(evaluation area). A spatial resolution ning motion, the resulting interference fringe pat-
of about 0.8 p m can be achieved in a high magni- terns are analyzed on a pixel-by-pixel basis to de-
fication system with a field-of-viewof about 100 termine at what position in the vertical scan the
pm. With a 6 mmfield-of-view and with approxi- fringe contrast is highest. By establishing this posi-
mately 250 X 250 pixels in the camera, the spatial tion foreach pixel and the distance the scanning
resolution is limited by the pixel spacing and is ap- mechanism has translated, a pixel-by-pixel map of
proximately 25 pm. the surface heights is established.
E l .2.2Performance
E l .2 Vertical Scanning Interferometric
( u ) Range. Vertical scanning interferometric mi-
Microscopy
croscopes are applicable for surfaces with R, smaller
E1.2.1 Description. Thistype of microscope is than about 20 Pm. The evaluation area ranges up to
schematically similar to the phase measuring inter- about 8 mm X 8 mm depending on the magnification
ferometric microscope shownin Fig. El. However, of the microscope objective used. Vertical scanning
these systems typically use a white light source. interferometric microscopes are limited in ability to
Means are employed to scan the sample relative to measure surfaces with large slopes.
the interferometer system in a direction normal to (b) Accuracy. The accuracy of these interferom-
the nominal surface of the sample. During the scan- eters is limited by several factors, including the cal-
98

ibration of the scanning mechanism andvariations in the x-y motion system used and can be on the order
refractive index due to dissimilar materials. The ac- of 10-100 mmin each direction.
curacy of these systems can also be affected by con- ( 6 ) Accuracy. Both specular and diffuse samples
taminants such as oilfilmson the surfaces. In ad- may be measured with these systems. However, the
dition, lowreflectivity surfaces may decrease the accuracy of these systems can be affected by the
signal-to-noise ratio of the measurement unless com- presence of contaminantssuch as oil filmson the
pensating circuitry or mechanisms are included in surfaces. In addition, lowreflectivity surfaces may
the instrument. If the surface slope is too large, the decrease the signal-to-noise ratio of the measurement
reflected light signal willnot enter the detection unless compensation circuitry or mechanisms are in-
system. cluded in the instrument. If the surface slope is too
(c) SystemNoise and HeightResolution. The large, the reflected light signal will not enter the de-
height resolution is limited by the system noise tection system.
whichis typically a few nm.The system noise is (c) System Noise and Height Resolution. A height
affected by the noise of the detector electronics, the resolution of 10 nm is achievable. The height reso-
quantization level of the digitizing circuitry, and en- lution may be estimated by measuring the apparent
vironmental factors. To minimize these effects, the rms roughness of a sufficiently smooth optical sur-
instruments maybemounted on vibration isolation face. Thesystem noise arises fromanumber of
tables. The noise can be estimated by taking the dif- sources such as mechanical vibration and acoustical
ference between successive topographymeasure- noise.
ments and calculating the R, value of the resulting ( d ) Spatial Resolution. The spatial resolution may
diference topography. Signal averaging canbe ap- be limited by the response of the feedback circuit to
plied to reduce the system noise to less than 1 nm. control the focus mechanism or by the spot size of
( d ) SpatialResolution. The spatial resolution is the light beam. A spatial resolution of about 0.8 pm
determined by the same considerations as the phase can be achieved in a high magnification system.
measuring interferometric microscope.
E2.2 Nomarski Differential Profiling

E2 SCANNING METHODS
E 2 2 1 Description. The Nomarski differential
E2.1OpticalFocus-SensingSystems profiler (see para. E3, [4]) is basedon the optical
E2.1.1 Description. The principle of operation is technique of Nomarski differential interference con-
shown in Fig. E2 (see also para.E3, [3]). A contrast (DIC) microscopy. The profiling system(see
verging optical beamisreflected from the surface. Fig. E3) uses a laser light source, a microscope ob-
The instrument senses whether the optical beam is jective, and a birefringent (Wollaston) prism to focus
focused on the surface and records the height at two orthogonally polarized light beams at nearby lo-
which this focus occurs. The beam is raster scanned cations onthe surface. The profiling direction is
and produces profile or area topographymeasure- aligned with the direction of the beam separation.
ments by recording the focus location as a function After reflection from the surface, the two beams
of lateral position over a sample. again pass through the Wollaston prism and recom-
Many techniques have been used to sense focus. bine. The beamisthen split again by a polarizing
Customarily, they produce an error signal when the beamsplitter and directed to two detectors that mon-
beam is out of focus. The error signal is then used itor the phase shift of the reflected beams. This phase
to displace an objective lens to the correct focus po- shift arises from the difference in the vertical height
sition. The position of the sensor atbest focus is of the two adjacent areas from which the two beams
recorded as the height of the surface at that location. are reflected, and therefore, is directly proportional
These servo systems are similar to those usedin to the local surface slope. The integration of the
compact disk players and optical read-write memory slope data provides information on topographical
systems. height variations. The sensor head is rastered across
the surface to generate a series of equally spaced
E2.1.2 Performance two-dimensional profiles of the surface slope. This
( a ) Range. The height range is limited by the ver- type of system is capable of measuring surfaces that
ticalmotion of the focus system, whichis on the reflect a small percentage of the focused laser light,
order of I mm. The evaluation length is limited by typically down to about 4%.
99

ColIlmator
I I
I
Feedback
lor focus
I control
I
I
I
I
1
Dlsplxement
I I transducer
I
I I
I
Moving lens
\ I
\ I
' I
Surface
FIG. E2 SCHEMATIC DIAGRAM OF AN OPTICAL FOCUS-SENSING INSTRUMENT

ASME 846-1 95 m 0759670 0573686 867 m
Scanning system b
---"""- """_
I- 1
Polarizing beam
splitter \ I1 m Auto focus i
system
I
I
Focusing I
objective
I
L"" """"" _I
FIG.E3SCHEMATIC DIAGRAM OF NOMARSKI DIFFERENTIALPROFILER
E2.2.2 Performance the technique isbasedon the difference in optical

( a ) Range. The evaluation length ofNomarski path length of two light beams reflected from nearly
profiling systems is limited by the translation capa- the same place on the surface, it is relatively unaf-
bility in the x and y directions and may be as large fected by specimen vibrations. The height resolution
as 100-200 mm in each direction. depends on the electronic noise and the number of
(b) Accuracy. The accuracy of the rastering op- quantization levels in the digitization system. System
tical profiler is determined by the accuracy of the noise is on the order of 0.01 nm.
reference slope standard or reference height standard ( d ) Sparial Resolution. The spatial resolution of
usedin the calibration and by the variation of the this instrument depends on the choice of focusing
optical phase change on reflection over the surface. objective and the sampling intervals used during ras-
Because the recorded profile is an integration of dif- tering. Spatial resolution ofabout 0.8 pm canbe
ferential heights, there is a certain amount of vertical achieved in a high magnification system.
drift inthemeasured surface profiles, which in- ( e ) Other Considerations. Because relative
creases with traverse length. However, for profiles of heights between successive profiles are not moni-
1 mm length, the vertical drift is on the order of the tored, the recorded topography represents a collec-
system noise. If the surface slope is too large, the tion of two-dimensional profilesandisnot neces-
reflected signal will not enter the detection system. sarily complete
a representation of the three-
( c ) System Nuise and Height Resolution. Because dimensional topography.
101

~~
ASME B4691 35
0753670
0573bA3 7T3
E2.3 Stylus
E2.3.1 Description. Contacting stylus instruments
used for surface profiling methods may be adapted
for area profiling by adding a second axis of motion,
as shown in Fig. E4, to provide rastering of the sur-
face profiles (see para. E3, [5] and [6]). Character-
istics of stylus instruments are discussed in Sections
3 and 4 of ASME B46.1.
E2.3.2 Performance I@
-
( u ) Runge. The evaluation length of these instru-
Sample
ments is limited by the length of travel of the motion
system, and ranges as large as 300 mm havebeen L
realized. The height range of the transducer may be X motion
as large as 6 mm, but there is an engineering trade-
off between range and resolution.
(b) Accuracy. The accuracy of stylus instruments FIG. E4AREA SCANNING STYLUS PROFILER
is limited primarily by the accuracies of the stan-
dards used to calibrate the vertical travel and by the
linearity of the transducer. The latter is typically bet-
ter than 1%, i.e., variations in measured step height
or R, values are less than 1% over the height range
PZTs perform raster scanning of the test sample to
of the transducer.
buildup a three-dimensional image of the surface
(c) SystemNoise und HeightResolution. The
topography. Later designs generally use a piezo tube
height resolution depends on the sensor electronics
scanner to achieve the three axes of motion.
and environmental noise. For single profile stylus in-
Scanning tunneling microscopy is a noncontact
struments, the noise has beenmeasured to be as
surface profiling technique. However, damage to the
small as 0.05 nm under certain conditions (see para.
test surface is possible because of the strong electric
~ 3 [71).
, field and high current densities and because of the
( d ) Spatial Resolution. The spatial resolution de-
potential for accidental mechanical contact. The use
pends on the area of contact of the stylus tip with
of STM is generally limited to electrically conduct-
the surface and can have dimensions as small as 0.1
ing surfaces.
Pm (see para. E3, [S]).
E2.4.2 Performance
(u) Runge. The evaluation length of the instru-
E2.4 Scanning Tunneling Microscopy
ment is limited by the length of accurate travel of
E2.4.1 Description. The scanning tunneling mi- the scanning system. Useful results havebeen ob-
croscope (STM) works on the principle of electron tained with ranges as high as 500 Pm. The height
tunneling (see para.E3, [9] and [lo]). A tunneling range is limited by the travel of the z axis PZT and
current is produced when a sharpened conductingtip has typical values on the order of 2 Pm.
isbrought to within a nanometer of a conductive (6) Accuracy. Probe tip geometry can affect im-
surface and a voltage is applied between them. The aging accuracy. Artifacts arising from tunneling at
tunneling current decreases by roughly an order of multiple places from a single probe tip can confuse
magnitude for every O. 1 nm increase in the gap spac- the interpretation of the data. The test surface can
ing and hence is very sensitive to any change in the have localized regions having differing electrical
gap spacing. Figure E5 shows a schematic diagram properties, a factor which produces erroneous struc-
of an early STM design. The probe tip is mounted ture in the surface profile at the subnanometer level.
to a three-axis piezoelectric transducer (PZT) scan- In all three directions the accuracy is affected by the
ning mechanism. A feedback systemdetects the tun- linearity of the PZT transducers. Their sensitivity
neling current and drives the z axis PZT to maintain (distance traveled/voltage input) can vary up to a
a constant tunneling current and gap spacing be- factor of two or more over their range. Therefore,
tween the probe tip and the surface. The x and y axis calibration of the PZTs is an important considera-
102

Sample holder
7
Sample positloner
Dara
FIG. E5 BASIC STRUCTURE OF AN EARLY STM
tion. To calibrate the scanning mechanism,structures tip, chemically etched often to a radius of less than
with known periodicity and height can be profiled. 100 nm, is mounted to a small cantilever. The re-
(c) System Noise and Height Resolution. The pulsive or attractive forces between the sample and
height resolution is typically of an atomic scale (0.1 the probe tip deflect the cantilever. The deflection of
nm or less) and is determined primarily by the over- the cantilever can be sensed to subnanometer reso-
all stability of the gap spacing. The gap width sta- lution usingany one of several techniques. These
bility is mainly limited by vibration andthermal include an optical lever technique using a laser beam
drift. An especially high degree of vibration isolation (see para. E3, [ l l ] and Fig. E6) and an interfero-
is therefore required. Thermal drifts of more than metric technique. The sample or probe tip is usually
about 1 nm/minutecan distort animage, which mounted to a three-axis piezoelectric transducer
might take several minutes to acquire. Therefore, the ( E T ) scanning mechanism,similar to those used for
sample and stage should be isolated from any heat STMs. A feedback loop to the z axis of the PZT
source. keeps the cantilever deflection constant during scan-
( d ) SpatialResolution. Atomic scale spatial res- ning. The probe tip, when brought close to the sur-
olution (0.2 nm or better) is typically achievable. Tip face, first begins to feel an attractive force and then
sharpness and lateral vibration are primary factors the strong repulsive force of contact. Therefore,
which limit spatial resolution. Lateral drift of the AFMs can be made to operate in either the attractive
PZT transducers can also be significant. In addition, or the repulsive (contacting) mode.
as the evaluation length of the system is increased, Unlike the scanning tunneling microscope (STM),
the design tradeoffs cause an accompanying degra- no current flows between the probe tip and the sam-
dation in spatial resolution. ple surface. This permits the measurement of both
electrically conducting and nonconducting materials.
As with STMs, AFMs can operate in air as well as
E2.5 Atomic Force Microscopy in vacuum or liquid media.
E2.5.1 Description. TheAtomicForceMicro-
scope (AFM) is similar to a contacting stylus instru- E2.5.2 Performance
ment but also uses features of the STM design. The (a) Range. The vertical and lateral ranges are lim-
sensor measures the electromechanical force be- ited by the PZT transducers and are about the same
tween a probe tip and a sample surface. The probe as those of STMs.
103

8
Laser
Position
sensor
GENERAL NOTE: See para. E3, [ l l ]
FIG. E6 SCHEMATIC DIAGRAM OF AN ATOMIC FORCE MICROSCOPE WITH

AN OPTICAL LEVER SENSOR
Reprinted by permission of the American Institute of Physics from S. Alexander et al., "An
Atomic-Resolution Atomic-Force Microscope Implemented Using an Optical Lever," Journal of
Applied Physics 65 (1989): 164.
104

(b) Accuracy. As with STMs, the accuracy of pro- 131 Brodmann, R. and W. Smilga. “Evaluation of
file depends to a large extent on the nonlinearities of aCommercialMicrotopography Sensor.” Proceed-
the PZT materials. Calibration standards maybe ings SPIE 802 (1987):165.
used to calibrate both the vertical and lateral travel. [4] Bristow, T. C . “Surface Roughness Measure-
The repeatability of the PZT stage determines the ments Over Long Scan Lengths.” In Metrology and
lateral measurement repeatability. Properties of Engineering Surfuees, 1988. K. J. Stout
( c ) SystemNoise undHeight Resolution. The and T. V. Vorburger, eds. London: Kogan Page, 1988:
height resolution is determined by the degree to 281.
which the probe tip-to-surface distance is maintained
[5] Williamson, J. B. P. “Microtopography of Sur-
constant during scanning. This is determined in part
faces.” Proceedings, Institution of Mechanical En-
by the resolution of the method for sensing the de-
flection of the cantilever and may be as small as sub gineers. 182 (3K) (1967-1968):21.
0.1 nm. Vibration isolation is also required, but per- [6] Teague, E. C., F. E. Scire, S. M.Baker,and
haps not to the degree required for the STM. S. W. Jensen. “Three-Dimensional Stylus Profilo-
( d ) SpatialResolution. The primary determinant metry.” Wear 83 (1982): l .
of spatial resolution in the repulsive mode is the size [7] Bennett, J. M., V. Elings, and K. Kjoller. “Pre-
of the contact area of the probe tip with the surface. cision Metrology for Studying Optical Surfaces.”
Under certain conditions, individual atoms have been Optics & Photonics News 14 (May 1991).
resolved by an AFM. For operation in the attractive [8] Song, J. F. and T.V. Vorburger. “Stylus Profil-
mode,the spatial resolution is determined by the ing at High Resolution and Low Force.” Applied Op-
spacing between the probe tip and the sample. Spa- tics 30 (1991):42. This article shows a stylus tip pro-
tial resolution on the order of 5 nm hasbeen filemeasured along theprofiling direction withan
achieved here. overall tip width less than 0.1 Pm.
[9] Binnig, G. and H. Rohrer. “Scanning Tunnel-
ing Microscopy.” Helv. Physica Acta 55 (1982):726.
E3REFERENCES [ 101 Young, R., J. Ward, F. Scire. “The Topograf-
iner: An Instrument for Measuring Surface Micro-
[I] Creath, K. “Phase Measurement Interferome-
tryTechniques.”In Progress in Optics. Vol. 26, E. topography.” Rev. Sei. Instrum. 43 (1972):999. This
Wolf, ed. Amsterdam: North Holland, 1988. article describes a forerunner of the STM that em-
[2] Biegen, J. M.and R.A.
Smythe. “High- ployed several of its principles of operation.
Resolution, PhaseMeasuringLaser Interferometric [ 111 Alexander, S., L. Hellemans, O. Marti, J.
Microscope for Engineering Surface Metrology.” In Schneir, V. Elings, and P. K. Hansma, “An Atomic-
Metrology und Properties of Engineering Surjiuces, Resolution Atomic-ForceMicroscopeImplemented
1988, K. J. Stout and T. V. Vorburger, eds. London: Using An Optical Lever.” Journal of Applied Physics
Kogan Page, 1988:287. 65 ( 1989):164.


~
ASME B46-L 95 0759670

0573692 Ob0 m
APPENDIX F
DESCRIPTIONS OF AREA AVERAGING METHODS
(This Appendix is not part of ASME B46.1-1995 and is included for information only.)
F1PARALLELPLATECAPACITANCE(PPC)
This technique measures the capacitance ofthe
M I I
void space betweenan electrically insulated sensor
and the surface (see para. F4, [ l ] and [2]). The
method is generally limited to the assessment of
electrically conductive and semiconductive surfaces.
A probe comprised of a thin dielectric sheet, metal-
lized on one face ( M ) , is held with its insulating face FIG.F1COMPARISONOFROUGHNESS VOID
against a conductive specimen(see Fig. Fl). The ca- VOLUMES
pacitance of this interface is measured. The capaci-
tance is inversely related to the mean separation ( d )
between the insulating face of the probe and the sur-
face of the specimen. The insulated sensor contacts
the highest peaks of the surface resulting in larger
voids for rougher surfaces than for smoother ones.
The measured capacitance caused by these void vol-
umes is a measure of the surface texture.
The capacitance caused by surface texture is
equivalent to the capacitance of two parallel con-
ducting plates separated by a dielectric medium
(such as air). The capacitance is defined by:
FIG.F2PRINCIPLEOFCAPACITANCE
C = K(A/d)
BETWEEN PARALLEL PLATES
where (see Fig. F2)

C = capacitance
K = dielectric constant of the mediumbetween chined (EDM) surface would generally require a dif-
the plates ferent instrument setting or calibration reference than
A = area of the capacitor plates the measurement of a milled surface. For calibration,
d = average distance between plates one ormore calibrated comparison or pilot speci-
Capacitance instruments are relatively insensitive mens should be used. If two are used, their measured
to surface lay because an area of the surface is as- values should lienear the ends of the measuring
sessed. Surfaces to bemeasured should be free of range.
contaminants. The accuracy of PPC measurement is
also dependent on the environmental conditions and
on the accuracy of the calibration specimen.
F2 TOTAL INTEGRATED SCAlTER (TIS)
Generally,these instruments are calibrated for
each type of surface texture to be measured. For ex- This technique collects and measures light scat-
ample, the measurement of an electro-discharge ma- tered by an illuminated surface (see para. F4, [ 3 ] and
107

~~ ~
ASME 846-1 95 W 0759670 O573693 T T 7 m
Hemispherical
collecting mirror
Detector
(specular beam)
!/ ,Detector
(diffusely
scattered
radiation)
Chopper
d n .
Sample
Filters
u Detector
(incident beam)
FIG. F3SCHEMATIC DIAGRAM OF AN INSTRUMENT FOR MEASURING TIS

Reprinted by permission of the Optical Society of America from Jean M. Bennett and Lars
Mattson, Introduction to Suriace Roughness and Scattering (Washington, D.C., 1989).
[4]). This method is generally limited to measure- measures roughnessonly over a limited range of spa-
ments of surfaces with rms roughness much less than tialwavelengths.For TIS, the shortest measurable
the illumination wavelength. spatial wavelengths are approximately equal to the
This technique uses a hemispherical shell to col- wavelength of light. The longest measurable spatial
lect and measure the scattered light (Fig. F3). A laser wavelengths are determined by either the illumina-
beam is propagated through a small aperture in the tion spot size or the angular aperture defining the
top of the shell and illuminates the surface at near specular beam.
normal incidence. The test surface absorbs a fraction This technique has high repeatability when com-
of the light incident upon it and reflects the remain- paring similar surfaces and allows fast sample
ing light. The reflected light consists of a specular throughput. However, the user of these instruments
and a diffuse component. Smooth surfaces, such as should be aware of two problems: First, the specular
mirrors, reflect a large specular component and a component and near angle portion of the diffusely
small diffuse component. For rougher surfaces, more scattered light are both reflected through the hole of
of the reflected light is scattered diffusely. The spec- the light-collecting shell and cannot be easily sepa-
ular beam is transmitted back through the entrance rated. Second, the accurate measurement of Id and I,
aperture to an external detector. The hemispherical requires the use of both a diffusely reflecting stan-
shell focuses the diffusely scattered light to a detec- dard and a polished reflectance standard.
tor placed near the test surface. The rms roughness
is related to the scattered light by:
Adldí(ls + Id) F3 ANGLE RESOLVED SCAlTER (ARS)

R, =
4rr This technique measures the angular distribution
of the light scattered from a surface illuminated by
where a collimated beam (see Fig. F4 andpara. F4, [6]).
Id = the integrated diffusely scattered light From this information, the rms roughness or rms
intensity slope of the surface can be calculated over an area
1, = the specular light intensity of the sample.
As is generally the case with roughness measuring The measurementof angle resolved scatter (ARS),
instruments, the R, value measured by TIS is a band- usually called bidirectional reflectance distribution
width limited quantity (see para. F4, [5]). That is, it function (BRDF) (seepara. F4, [7]), is similar to that
108

the sample is free of particle contamination. An
ASTM standard (see para. F4, [12]) has been devel-
oped to foster the uniform performance of instru-
ments that measure BRDF from optical surfaces.
F4REFERENCES
[ l ] Brecker, J. N., R. E. Fromson, and L. Y. Shum.
“A Capacitance-Based Surface Texture Measuring
System.” CIRP Annals 25 (1) (1977):375.
121 Lieberman, A. G., T.V. Vorburger, C. H. W.
Giauque, D. G. Risko, and K. R. Rathbun. “Capac-
itance Versus Stylus Measurements of Surface
Roughness.” In Metrology and Properties of Engi-
FIG.F4SCHEMATIC DIAGRAM OF AN neeringSurfuces. K. J. Stout andT. V. Vorburger,
INSTRUMENT FOR MEASURING ARS OR BRDF eds. London: Kogan Page, 1988:1 15.
Reprinted, by permission of the author, from John Stover, [3] ASTM F 1048-87. Test Method for Measuring
Optical Scattering: Measurement and Analysis (New York
McGraw-Hill, 19901, 137. the Effective Su@ace Roughness of Optical Compo-
nents by Total Integrated Scattering.
[4] Detrio, J. A. and S. Miner. “Standardized Total
Integrated Scatter Measurements.” OpticalEngi-
neering 24, (1985):419.
[ S ] Church, E. L., H. A. Jenkinson, and J. M. Za-
of TIS except that the incident angle of light may be vada. “Relationship between Surface Scattering and
varied, and for each incident angle the scatter may Microtopographic Features.” Optical Engineering 18
be measured at each angle in the hemisphere. BRDF ( 1979): 125.
is therefore a function of four independent coordi- 161 Stover, J. C. OpticalScattering. NewYork:
nates, i.e., the two spherical angles for both the in- McGraw-Hill, 1990.
cident and scattered directions with respect to the [7] Nicodemus, F. E., J. C. Richmond, and J. J.
sample normal. Hsia. “Geometrical Considerations and Nomencla-
For surfaces with roughnesses much less than the ture for Reflectance.” NBS Monograph 160 Wash-
optical wavelength, the BRDF is related in a straight- ington, DC: US Dept. of Commerce, 1977.
forward way to the power spectral density of the sur- [8] Bennett, J. M. and L. Mattsson. Introduction
face roughness (see para. F4, [S]), and it can be used to SurfaceRoughnessund Scattering. Washington,
to assess rms roughness and surface spatial frequen- DC: Optical Society of America, 1990.
cies. For rougher surfaces the technique may be used [9] Marx, E. and T.V.Vorburger, “Direct and In-
as a comparator to estimate rms roughness over the verse Problems for Light Scattered by Rough Sur-
illuminated area provided that the specular beam is faces.” Applied Optics 29, (1990):3613.
detectable (see para. F4, 9). In addition, the rms [lo] Rakels, J. H. “Recognized Surface Finish
slope of the surface can be calculated from the over- ParametersObtained From Diffraction Patterns of
allwidth of the angular scattering distribution (see Rough Surfaces.” Proceedings SPIE 1009 (1988):
para. F4, [lo] and 1111). The optical wavelength may 119.
also be altered to examine different spatial frequency [ 111 Cao, L. X.,T. V. Vorburger, A. G. Lieberman,
components of the surface. and T. R. Lettieri. “Light Scattering Measurement of
Since the BRDF is a function of four independent the rms Slope of Rough Surfaces.” Applied Optics
spherical angles, the complete characterization of 30 (1991):3221.
surfaces by this technique requires a large volume of [ 121 ASTM E 1392-90, Test Method for Angle Re-
data. For measurements on smoother surfaces, care solved Optical Scatter Measurementson Specular or
must be taken to assess that the area examined on Diffuse Surfaces.
109


(This Appendix is not part ofASME 846.1-1995 and is included for information only.)
There is a clear distinction in the minds of design ( a ) the spatial wavelength at which a filter sepa-
engineers, quality engineers, and manufacturing en- rates roughnessfromwaviness or waviness from
gineers between roughness, waviness, and form error form error. This filter spatial wavelength is normally
in the surfaces of manufactured parts. For some ap- referred to as the cutoff;
plications, roughness relates to the lubrication reten- ( 6 ) the sharpness of a filter or how cleanly the
tiveness of the surface, waviness is associated with filter separates two components of the surface
theload bearing capacity of the surface, and form deviations;
error is associated with the distortion undergone by ( c ) the distortion of a filter or how much the filter
the surface during performance. In fabrication, alters a spatial wavelength component in the sepa-
roughness normally stems from undulations of the ration process.
surface caused by the cutting edge imprint. These In the past, when digital instruments werenot
undulations include, for example, turning marks aris- readily available, filtration of the roughness profile
ing from a single point cutting edge, or fine tracks was primarily accomplished by an analog technique
inan abrasively machined surface arising from the using two RC high-pass filters in series. This tech-
individual abrasive grains in thehoning stone or nique leads to considerable phase shifts in the trans-
grinding wheel. Waviness,on the other hand, may mission of the profile signal and therefore to asym-
arise from the vibrational motion in a machine tool metricalprofile distortions. The influence of such
or the rotational error of a spindle. Finally, form er- profile distortions on parameters such as R,, R,, and
ror typically results from straightness error of a ma- R, may be minimized by the judicious choice of in-
chine or deformation of a part caused by the method strument settings. However, for other parameters,
of clamping or loading during the machining particularly those that have come into use more re-
process. cently, these filter induced distortions are significant
Since these components of surface deviations are and may be unacceptable.
attributed to distinct processes and are considered to For digital instruments, three types of filters are
have distinctive effects on performance, they are usu- now in common use.
ally specified separately in the surface design and (u) The 2RC Filter. This is the traditional analog
controlled separately in the surface fabrication. filter still in use in totally analog instruments. In dig-
Thesecomponents of the surface deviations must ital instruments, this filter is well duplicated in dig-
thus be distinctly separable in measurement to ital form for purposes of correlation.
achieve a clear understandingbetween the surface (b) The Phase Correct or PC Filter. This is a filter
supplier and the surface recipient as to the expected generated digitally which has the characteristic trans-
characteristics of the surface in question. mission of the 2RC filter, but which is symmetric in
In order to accomplish this, either digital or analog shape so that it eliminates asymmetrical profile dis-
filters are used to separate form error, waviness, and tortions. This filter is not described in ASME B46.1.
roughness in the data representation of the surface (c) The Phase Correct Gaussian Filter. This filter
that results from a measurement.There are three is both symmetric and sharp in its response to elim-
characteristics of these filters that need to be known inate asymmetric distortion and to minimize cross
in order to understand the parameter values that an talk between the two components being separated.
instrument may calculate for a surface data set. (An example of cross talk iswaviness undulations
These are: remaining in the roughness profile after filtering.)
111

The Gaussian filter is being introduced as a stan- ter separates the total profile into complementary
dard by the International Organization for Standard- roughness and waviness profiles, in contrast to the
ization (ISO) because of the relative advantages of 2RC filter. The disadvantages of the 2RC filter stem
this filter over the long accepted2RC filter for digital from its lack of sharpness, wherein it allows contri-
instruments. One major advantage of the use of the butions from shorter-wavelength waviness features
phase correct Gaussian filter is that the separated in the roughness profile and longer-wavelength
roughness and waviness components maybe arith- roughness features in the waviness profile. This may
metically added back together to reconstruct accu- lead to significant errors in the evaluation of surface
rately the original total profile, i.e., the Gaussian fil- parameters.
112

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ASME B4b.L 95 m 0759b70 0573576 T37 m

The American Society o1

COPYRIGHT American Society of Mechanical Engineers

Date of Issuance: June 14, 1996

ASME is the registered trademark of The American Society of MechanicalEngineers.

No part of this document may be reproduced in any form,

The American Society of Mechanical Engineers

COPYRIGHT American Society of Mechanical Engineers

(This Foreword is not part of ASME B46.1-1995.)

COPYRIGHT American Society of Mechanical Engineers

COPYRIGHT American Society of Mechanical Engineers

COMMllTEE AND SUBCOMMllTEE PERSONNEL

EDITORIAL WORKING GROUP

T. V. Vorburger, Chair, National Institute of Standards and Technology

COPYRIGHT American Society of Mechanical Engineers

COPYRIGHT American Society of Mechanical Engineers

Standards Committee Roster ........................................................... V

Terms Related to Surface Texture ........................................ 1

COPYRIGHT American Society of Mechanical Engineers

11 Specifications and Procedures for Precision Reference

12 Specifications and Procedures for Roughness Comparison

COPYRIGHT American Society of Mechanical Engineers

1-22 Comparison of Profiles Measured in Two Directions on a Uniaxial.

COPYRIGHT American Society of Mechanical Engineers

11-1 Nominal Values of Depth or Height and Examples of Width for

B 1 Surface Roughness Produced by Common Production Methods .................. 82

COPYRIGHT American Society of Mechanical Engineers

ASME B4b.L 95 0759670

SURFACE TEXTURE (SURFACE ROUGHNESS, WAVINESS, AND LAY)

SECTION 1 TERMS RELATED TO SURFACE TEXTURE

1.1General Approximate nonmetric equivalents are shown for

COPYRIGHT American Society of Mechanical Engineers

ASME 846.1 75 m O757670 0573587 812 m

FIG. 1-1 SCHEMATIC DIAGRAM OF SURFACECHARACTERISTICS

COPYRIGHT American Society of Mechanical Engineers

ASME B4b.L 95 0759b70 0573588 759

FIG. 1-2 MEASURED VS NOMINAL PROFILE

1.3 Definitions Related to the Measurement of roughness projile - themodifiedprofile obtained

COPYRIGHT American Society of Mechanical Engineers

FIG. 1-3 STYLUS PROFILEDISPLAYED WITH TWO DIFFERENTASPECTRATIOS

Straight-Line Nominal Profile

Curved Nominal Profile

FIG. 1-4 EXAMPLES OF NOMINAL PROFILES

COPYRIGHT American Society of Mechanical Engineers

(a) Unfiltered Profile and Filtered Mean Line

[bl Roughness Profile

FIG. 1-5 FILTERINGASURFACEPROFILE

COPYRIGHT American Society of Mechanical Engineers

ASME 846.1 95 m 0759670 0573593 243 m

imum spatial wavelength to be included in the profile

1.3.5 Sampling Lengths

COPYRIGHT American Society of Mechanical Engineers

FIG. 1-7 SURFACEPROFILE MEASUREMENT LENGTHS

For digital instruments an approximation of the R,

COPYRIGHT American Society of Mechanical Engineers

R, = Average deviation of roughness profile

FIG. 1-8 ILLUSTRATION FOR THE CALCULATION OF ROUGHNESS AVERAGE Ra