Wear, 66 (1981) 55 - 64 55

0 Elsevier Sequoia S.A., Lausanne - Printed in The Netherlands

AN UPPER BOUND MODEL OF PLOUGHING BY A PYRAMIDAL

INDENTER

M. DE VATHAIRE, F. DELAMARE and E. FELDER

Centre de Mise en Forme des Mate’riaux, Ecole des Mines de Paris, Sophia Antipolis,
06560 Valbonne (France)
(Received November 22, 1979; in final form March 5,198O)

Summary

An upper bound method was used to study surface ploughing by a

rigid pyramidal indenter. The normal and tangential forces, the geometrical
parameters of the track, the strain and the strain rate of the ploughed
material are calculated. The model is compared with experience and is
applied to the calculation of scratch hardness.

1. Introduction

Bowden and Tabor [l] established that the plastic deformation of the
point of intimate contact between two sliding surfaces is directly related to
friction and wear. However, a mechanical analysis of this deformation is
difficult to carry out owing to the large number of possible situations. The
most complete studies currently available assume plane strain and refer to
three situations using the slip-line field method [ 21: (1) deformation of a
strong junction between two materials of similar hardnesses [3] ; (2) defor-
mation of a faceted surface by a smooth rigid tool with or without a lubricant
[4] ; (3) ploughing or micromachining of a smooth surface by a hard asperity
151.
These models correctly describe the interaction between anisotropic
rough surfaces where the dimensions of the points of intimate contact per-
pendicular to the slip velocity are large relative to the roughness. However,
the case of isotropic surfaces with quasi-circular points of intimate contact
under conditions of non-plane strain has not been studied.
In this paper we present a model for the ploughing of a smooth surface
by a rigid tool with an isotropic roughness. The model was derived within
the framework of a study of the transfer of material between workpiece and
tool in the cold rolling of stainless steel [6] . Application of the upper bound
method to a surface ploughed by a pyramidal indenter allows the geometric
shape of the track, the strain rate, the strain and the force applied to the
slider to be estimated.
56

2. Ploughing model

The hard asperity is represented schematically by a square-based

pyramid with each edge forming an angle (Ywith the axis (Fig. 1 defines the
system of axes used). The pyramid is assumed to be fixed and ploughs a
mobile body with a smooth surface. This body is rigid and perfectly plastic
and has a flow stress uo. Its velocity u. is parallel to one of the diagonals of
the pyramid base. The material flows on each side of the frontal edge DC
and forms a ridge on each side of the pyramid. This model does not take the
formation of a frontal ridge into account. The steady state flow is repre-
sented by a velocity field consisting of rigid blocks where the plane Dzy is
the plane of symmetry. Let us consider for example (Fig. 2) the left-hand
side of the figure (X > 0). The material flows at a speed u. except in the
tetrahedron ABCD where it flows at a uniform speed U; it undergoes two
successive shearings as it crosses the velocity discontinuity surfaces CBD and
ADB. Therefore the velocity field for a given depth e of indentation is
defined by the lengths h, c and d and the speed U. The incompressibility of
the material gives the following relations.
(1) u is parallel to planes ACD and ABC and thus to the vector -3 A .
(2) The normal velocity component is continuous through ABD.
(3) The normal velocity component is continuous through BCD.
(4) The conservation of the material implies that the two triangles IJK
and KLM have the same area.
Thus the velocity field is only dependent on one parameter, i.e. the
reduced height H of the ridge where
H=h/e

The mechanical work per unit time is therefore a function of H and is

expressed as [ 21

k’(H) = 2124-uoI 3s ((ABC) + (BCD)) + 2Eg IU ( ACD)

’ i

(a) (b) I
Fig. 1. General view of the indenter and the indented material: (a) side view of the
system; (b) cross section of the system.
 57

t “0 !t U.

~~~-~ Bq$jp
u. C’ _____ -_---_-

4, lJ0 x D

(4 (b)
Fig. 2. Rigid blocks formed by material flowing on each side of the indenter: (a) top view;
(b) front view.

The first term represents the power dissipated by plastic deformation and
the second is the power dissipated by friction along the sides of the pyramid.
(It is assumed that this friction is correctly described by Tresca’s friction
coefficient 6.) If the geometrical boundaries of the flow were stationary,
the upper bound theorem would ensure that W(H) is an upper bound of the
externally supplied power which can be reduced to Ft lu,,I. Although this
condition is not satisfied in this case, it can be assumed that its most
probable value is the one which minimizes the total energy, i.e. H, so that
rir* = ti(H*) < I+(H) ‘v’H
Experience has shown that such an extrapolation of the upper bound
method generally gives satisfactory results [ 21.

3. Estimation of forces and strain

The horizontal force exerted on the pyramid can be expressed as

Ft = I+*/ luol

The force F(0, -F,, F,) induced by the flow of material on the pyramid is
the sum of the friction shear stress resultants T and the normal strain N
exerted on sides ACD and A’CD:

‘F= T+N

Since the friction shear stress parallel to and in the same direction as
u is known, the vertical component F,, can be estimated. It is possible to
estimate the strain E which the material undergoes from the velocity field
u* minimizing W:
 58

lu-&-)I 1 1
E= -+-
3X/2 ( lull IUJ 1
where u1 and u2 are the normal velocity components along ABD and BCD
respectively. Finally, the mean trajectory length of a particle of material in
the deformation zone is approximately of the same order of magnitude as
AC/3. Therefore
2 3Elul
ex -
AC

4. Theoretical results

A detailed presentation of the calculations is given in Appendix A. No

difficulty was experienced in finding the minimum W(H). The results are
presented in dimensionless form in Figs. 3 - 5 and show the following. The
velocity field solution corresponds to a side ridge so that c = d (see Appen-
dix A). The width d and the height h of the track increase with increasing

2 60'

49
1 3o"
Iso

Fig. 3. Effects of indenter angle and friction on the shape of the track.

2 1 Fr/Fn
u=

3d
15
d

10 ,
a?? 45O
1’
5

4 _--30° 60°
3
05-r
2 15O I 79
20 -_---
II I I
m 01 c *
Iii
0 02 04 06 08 I? 0 02 04 06 08 1 '

Fig. 4. Effects of indenter angle and friction on the pioughing forces.

 59

30 GO 90" 60 90"

Fig. 5. Effects of indenter angle and friction on the strain and strain rate of the material.

(Y(Fig. 3). An increase in friction produces a wider but lower ridge (Fig. 3).
The tangential force Ft which is proportional to the flow stress u. of the
material increases strongly with (Yand slightly with rTz(Fig. 4). The force
ratio Ft/Fn is almost entirely dependent on the angle (Yand it is a decreasing
function of (Y(Fig. 4). The strain is very important and is not friction
dependent. It is a minimum for (Y= 30” and increases rapidly with (Y(Fig. 5).
The strain rate decreases rapidly with increasing a! and is insensitive to fric-
tion (Fig. 5).

5. Comparison with experience

Comparison of the model with previous experimental results is difficult

owing to the large diversity of indenter forms used. The results obtained by
Kudo and Tsubouchi [ 71 for a pyramid with a lozenge-shaped base and front
edge are comparable. Comparison with square-based pyramids of the same
volume is required. Figure 6 shows that the model gives a correct estimation
of the effort exerted on the slider for a given track depth. Similarly the
results of Sakahato and Tsukizoe [ 81 obtained using a conical indenter of
angle 213can be compared with those obtained with a square-based pyramid
which has the same height and volume, i.e. when

a=tan-l

the model correctly predicts the force ratio values in terms of the indenter
angle (Fig. 7).
No precise experimental results have been published on the geometrical
shape of the side ridge. The height of a side ridge formed by a hemispherical
slider [9] is h/e = 0.4. For a large angle the model predicts a ridge height of
h/e = 0.8. This difference’is probably due to the formation of a frontal ridge
in front of the hemispherical indenter [lo] .
 cl8

m- 1
0.G
,O
0.4

02

Fig. 6. Variation in the forces exerted on the indenter plotted against the track depth:
m, A, experimental results [ 71 ; -, - - -, theoretical results from the present work.
Fig. 7. Variation in the force ratio with the indenter angle: I, experimental results for a
conical indenter of angle p [ 81; - , - - -, theoretical results from the present work.

6. Application of the model to scratch hardness

It is considered that this model allows a better understanding of scratch

hardness. First the theoretical analysis of plane strain [ 51 suggests that for
a rigid perfectly plastic body the scratch hardness H, and the static hardness
H, are equivalent: H, = H,. This is experimentally verified for conical
indenters where fl < 60” (Fig. 8). For 0 > 60” the ratio Hs/Hc increases
markedly.
Figure 5(a) gives a probable explanation of this phenomenon for
metallic materials. The strain, and thus the work hardening of the indented
metal, increases markedly when the semi-angle of the slider is greater than
60”. Moreover, it is known [ll] that the strain induced in indentation hard-
ening decreases when the indenter angle increases. The difference in the
behaviour of the material is probably due to a difference in the work hard-
ening of the indented metal.
It is possible to estimate the scratch hardness ~eoretic~ly with the
model proposed here. As defined in the model
F,
H,* =
e2tan2a(1+H)
The values obtained are shown in Fig. 9 together with values of static hard-
ness deduced theoretically by Lockett [12] for Ei = 0. The calculated value
of H,* is always greater than that of H, with a moderate difference of
between 30” and 70”. As the theoretical calculation of the forces is con-
sistent with previous experimental work, the discrepancy probably arises
because the model neglects the existence of a frontal ridge, which has often
been observed experimentally [ 8, 93 , and thus underestimates the area of
contact.
 61

8 _

7 _

6 _

M/H, 5 _

3t 4 _

3 -
2
1 0 0
0 _*_ - --A

1 $-_-g__p,---“--
9___*----’
~---.A__+---
i
0
35 45 55 65 75 85
B
cL----J
0 30 60 90'

Fig. 8. Experimental comparison of the static and scratch hardnesses of copper and mild
steel: l, annealed copper; 0, work-hardened copper; A, annealed mild steel; A, work-
hardened mild steel. (From ref. 13.)

Fig. 9. Theoretical comparison of the static and scratch hardnesses. The static hardness H,
was obtained from ref. 12 and the scratch hardness H, from the present work.

As the estimation of the forces seems correct, the front ridge height h’
(Fig. 10) necessary to make H, and H, coincide can be deduced:
FIl
H, =
e tan2 a (1 + H)(e + h’)
where h’ = e(H,*/H, - 1). Figure 11 shows that h’ is of the same order of
magnitude as h between 30” and 70”; outside this interval, which is the

1 -

$2 09

J&$
08.

a7 .

“c 06_

. \ I’
IIF_
/

--II
;
‘4
w #’
‘,‘I’ 04
1
a
03 , , , , , , , , ,
0 30 60 90'

Fig. 10. Schematic diagram of the flow of material during ploughing showing the forma-
tion of the front ridge.
Fig. 11. Theoretical evaluation of the front and side ridges (m = 0).
62

model’s most valid range, h takes on very high values. For high values of cx
the result is in agreement with the observation of large front ridges produced
by hemispherical sliders [ 91, and for low values of cr the result can be asso-
ciated with the formation of chips by pointed sliders.

7. Conclusions

The upper bound method made possible the determination of the

principal characteristics (the forces, the geometrical shape of the track and
the resulting defo~ation~ of the ploughing of a surface by a pyramidal
indenter. The model is in good agreement with experiments performed in
the range 35” < (Y< 70”. The results suggest that chips are formed by
indenters with small angles and that highly developed frontal ridges are
formed by sliders with large angles, e.g. hemispheres.

Nomendature

Ah projection of the area of contact on the horizontal plane

(ABC) area of triangle ABC
d width of the side ridge
Dxyz Cartesian coordinates (see Fig. 2)
e depth of indentation
F (0, -F,, F,), force induced on the indenter by the flow of material
Ft IFn force ratio
h height of the side ridge
h’ height of the front ridge
H h/e
HC indentation hardness
HS F,/Au, scratch hardness
~31/2/a~, Tresca’s friction coefficient
E resultant force due to normal friction stress
T resultant force due to shear friction stress
u speed inside ABCD
3 speed outside ABCD
w power dissipated by the displacement of the indenter
semi-angle of the pyramidal indenter
p” tan /3 = ( 2/7T)1’2 tan cr, semi-angle of the equivalent conical indenter
T total strain induced by the indenter
e estimated total strain rate induced by the indenter
00 flow stress of the indented material
7 friction shear stress

References

1 F. P. Bowden and D. Tabor, The Friction and Lubrication of Solids, Part I, Clarendon
Press, Oxford, 1950.
2 P. Baque, E. Felder, J. Hyafil and Y. d’Escatha, Mise en Forme des Mhtaux -
Calculs par Pl~ticit~, Dunod, Paris, 1973.
 63

A. P. Green, The plastic yielding of metal junctions due to combined shear and
pressure, J. Me& Phys. Solids, 2 (1954) 197.
T. Wanheim, A model for friction in metal forming processes, Ann. CZRP, 27 (1978)
189.
J. M. Challen and P. L. B. Oxley, An explanation of the different regimes of friction
and wear using asperity deformation models, Wear, 53 (1979) 229.
F. Delamare, J. Kubie and R. Levdque, Formation de films de transfert sur les aciers
B outils au tours du laminage B froid des aciers inoxydables, Bull. Cercle Etud. Me’t.,
14 (4) (1978) 243.
7 H. Kudo and M. Tsubouchi, Development of a simulation testing machine for friction
and wear characteristics of lubricant and tool for extrusion and forging, Ann. CZRP,
24 (1975) 185.
8 T. Sakahato and T. Tsukizoe, Friction and scratch deformation of metals. In T. Sakurai
(ed.), Proc. JSLE-ASLE Znt. Lubrication Conf., Tokyo, 1975, Elsevier, Amsterdam,
1976, p. 49.
9 G. K. Lal and M. C. Shaw, Experiments with spherical tools, Wear, 29 (1974) 153.
10 M. Barquins, Contribution B l’etude du frottement des monocristaux metalliques: Cu,
Al, Be, Co, Zn and Cd, Met.: Corros. Znd., 48 (1973) 85.
11 D. Tabor, The Hardness of Solids, Clarendon Press, Oxford, 1951.
12 F. J. Lockett, Indentation of a rigid plastic material by a conical indenter, J. Mech.
Phys. Solids, 11 (1963) 345.
13 C. A. Brookes, P. Green, P. H. Harrison and B. Moxley, Some observations on scratch
and indentation hardness measurements, J. Phys. D, 5 (1972) 184.

Appendix A
Establishment of the model equations
Simple vectorial calculations make it possible to establish the relations
imposed by the incompressibility of the material:
4 UY U.2
u//AC+ -= -= -=au
t-41)
l+H -1 Hcotcz ’
l+a
zq,*(ifiiX fi?i)=u@iX i%i) + c=-h - tana
1 + 2a

u,*(sX s)=u(&bX 3) + a(l+H)(htana+d+c)

=-d-(e+h)tana (A3)
1-H’
(IJK) = (KLM) + d = e- tanff (-44)
H

The insertion of d and c in eqn. (A3) gives a second-order equation in a:

a2(2 - H2) + a(3 -Hz) +1=0

The first root a = -1 gives c = 0 and corresponds to a minimum value of

work which is always greater than that given by the second solution. There-
fore only the second solution where c = d is considered. The expression for
the reduced power is obtained from this solution as
64

31laG
rn(2 + tan2 .)r’qtans (Y(1 + (H + 1)2} + HZ] 1’2 +
ue lug le2 i

The shear friction can be resolved into

TX = 0
Eo, e2 tan OL
(1 + H)( 1 + tan2 a)112
TY =--
31’2 { 1 + (1 + H)2 + H2 cot2 CY}~‘~
-
e2H(1 + H)(l + tan2 a)l12
T, = !?!?
31’2 (1 + (1 + H)2 + H2 cot2 CX}~‘~
The normal stress can be resolved into
N, = 0
NY =X
N, =--Atan&

Since
-F, =N, +Ty
F, = N, + T,

elimination of h gives the following expression for F, :

(1 + H)(H - tan2 (u)(2 + tan2 (~)l’~

Fn=F,tanu+iii+2
(H2 cot2 CY+ 1 + (1 + H)2}1’2
Finally, d, u1 and up are obtained by geometrical calculations and the strain
E and strain rate T are given by
E = ((1+ H)2 + (1 - H2)2 + H2 cot2 CY}~‘~x
31’2(2 - H2)

1 )I 1
2 l/2
{1+ (1 -H2)2(1 + tan2 a)}‘12 + 1+ tan2 a! +

ue 3zcot 01
‘=e 2_H2