International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

A study on the forging of external spur gears: upper-bound

analyses and experiments
J.C. Choia,*, Y. Choib
a
Dept. of Mechanical Design Engineering, ERC for NSDM at Pusan National University, 30 Changjeon-dong,
Kumjeong-Ku, Pusan 609-735, Korea
b
Dept. of Mechanical Design Engineering, Graduate School, Pusan National University, 30 Changjeon-dong,
Kumjeong-Ku, Pusan 609-735, Korea
Received 2 June 1997; in final form 24 November 1997

Abstract
In this study, the forging processes of spur gears have been investigated. The forging processes of spur
gears have been classified into two types of operations, guiding one and clamping one in this investigation.
Two types of forging have been analyzed by using upper bound method. The relative average punch
pressure have been calculated and compared with each others for various modules and numbers of teeth
on the forging of spur gears. The forging experiments were carried out with a commercial aluminum alloy.
The predicted forging loads obtained by the present upper bound methods are shown to approximate to
the experimental results at final filling-up stage. The forged parts obtained through the guiding type forging
were compared with those obtained through the clamping type forging.  1998 Elsevier Science Ltd. All
rights reserved.
Keywords: Spur gear forging; Guiding type forging; Clamping type forging; Forging experiments

Notation
r,␪,z Cylindrical coordinates
E·T Total power dissipation
N Number of teeth
M Module
rb Radius of base circle
ri Radius of mandrel

* Corresponding author.

0890-6955/98/$19.00  1998 Elsevier Science Ltd. All rights reserved.

PII: S 0 8 9 0 - 6 9 5 5 ( 9 8 ) 0 0 0 0 9 - 1
1194 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

rinv(␪) Radius of involute curve

rm Partition radius
rrt Radius of root circle
rs(t) Radius of free surface when height of workpiece is t
Pav Average forging pressure
⑀ Partition height
⑀¯ Effective strain
␴¯ Effective stress

1. Introduction

Of all the many types of machine elements that exist today, gears are among the most commonly
used. In recent years, there has been an increased interest in the production of gears by the
precision forming technique. The process of precision gear forging has been developed recently
because of its advantages of giving high production rates, improved strength and surface finish.
This is due to their inherent advantages compared with conventional cutting methods. Studies on
the forming by extrusion of a gear have been practised [1,2]. Process for the cold extrusion of
spur and helical gears was presented by Samanta [1]. Choi et al. proposed a new extrusion process
for helical gears. They analyzed the new process by using the upper-bound method [2].
In comparison with the extrusion process, the advantage of the forging process lies in its high
productivity. In the forming of gears with low height, forging is more useful. In the forging of
spur gears, the way to complete filling up materials into a die cavity is regarded as the most
important for improving the dimensional accuracy and strength of forged gears. An important
aspect of the gear forging process is the load requirement.
Two processes of gear forging, are (a) guiding type and (b) clamping type [3,4]. Yang et al.
practised forging experiments respectively for spur gears and compared guiding and clamping
type forging [4]. Chitkara and Kim [5] have classified the forging process of external spline gears
into two methods, an upset forging method and a side extrusion method. The upset forging and
the side extrusion method are the same operations as the guiding type and clamping type forging,
respectively. In the guiding type forging process, the punch and the die insert are tooth-shaped.
The clamping type forging is an operation in which the product is constrained to extrude sideways
through an orifice in the container wall.
Grover and Juneja [6] studied the metal flow in the clamping type forging of gear-like compo-
nents. Abdul and Dean [7] investigated the clamping type forging of spur gear forms whose teeth
profile shapes were assumed parallel to the centerline of teeth. Kondo and Ohga [8–11] developed
the process, utilizing the divided flow technique for precision die forging. The process was based
on the guiding type forging and was applied to some machine parts such as a spline, a regular
polygon and a spur gear. The authors studied the guiding type forging of spur and helical gears
by using the forging experiments and upper-bound method [12–14]. A study of clamping type
forging of helical gears has been carried out by the authors [15].
In this paper, the two types of spur gears forging have been analyzed using the upper bound
method and axisymmetric parts forgings have been analyzed using the finite element code
DEFORM. The authors [12,13] have proposed the kinematically admissible velocity fields for the
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1195

guiding type forging of spur gears. Those for the clamping type forging of spur gears can be
obtained from the kinematically admissible velocity fields for the clamping type forging of helical
gears [15], for the helix angle is zero. Numerical calculations have been carried out to investigate
the effects of various parameters, such as modules, numbers of teeth and friction factors on the
forging of spur gears and some forging experiments were carried out with commercial aluminum
alloy. The forged parts obtained through the guiding type forging were compared with those
obtained through the clamping type forging.

2. Theoretical analysis

Two processes of gear forging, (a) guiding type and (b) clamping type are shown in Fig. 1
[3,4]. In the guiding type forging process, the punch and the die insert are tooth-shaped however,
the cylindrical punch is used in the clamping type forging. Guiding type forging is a sort of upset
forging process. The material, which is restricted by the die wall, is upset by the tooth-shaped
punch. Clamping type forging is an operation in which the product is constrained to extrude
sideways through an orifice in the container wall.

2.1. FEM analyses of two types of forgings of axisymmetric parts

The two types of forgings of axisymmetric parts have been analyzed using a commercially
available finite element program, DEFORM, for comparisons. The program works according to
the rigid-plastic material-behavior model. Figure 2 shows a comparison of cavity filling between
the guiding and clamping type forging.

Fig. 1. Die design schematics for the gear forging [5].

1196 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

Fig. 2. Comparison of cavity filling performance.

2.2. The guiding type forging of the spur gears

In guiding type forging, the punch and the ejector are tooth-shaped, as is the die insert [see
Fig. 1(a)]. The punch compresses a cylindrical billet placed in a die insert. As a consequence the
billet material flows into the tooth region. Figure 3 shows the assumed deformation zones during
guiding type forging of spur gear with teeth having involute profiles. The kinematically admissible
velocity fields for the guiding type forging of spur gears can be seen in Table 1 [12].

2.3. The clamping type forging of the spur gears

The clamping type forging is a sort of side or radial or lateral extrusion. The punch is cylindrical
and has the same dimensions as that of the root circle of the gear, which can be seen in Fig.
1(b). Figure 4 shows the assumed deformation zones during clamping type forging of spur gear
with teeth having involute profiles. The kinematically admissible velocity fields for the clamping
type forging of the spur gears can be obtained from the those for the clamping type forging of
helical gears [15], for the helix angle is zero (in Table 2).
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1197

Fig. 3. Assumed deformation zones during guiding type forging of a spur gear.

2.4. Upper bound solution

The total power dissipation can be calculated numerically from Table 1 and Table 2.
(i) The power dissipation due to deformation
The power dissipation due to deformation is given by

冕
··
Ep,i = ␴¯ ⑀¯ dV
V
(1)

where, i represents each zone.

(ii) Shear power dissipation
The shear power dissipation at the surface of velocity discontinuity is given by

·
ES = 冕
S
␴¯
√3
兩⌬V兩dS (2)

where, S represents the surface of the velocity discontinuity.

(iii) Frictional power dissipation
The frictional power dissipation at the tool/material interface is given by

·
Ef = 冕
Af
m␴¯
√3
兩⌬V兩dA (3)

where, Af represents frictional interface.

Detailed expressions for the plastic, shear and frictional power are not given here because
of their complexity. Therefore the upper-bound solution of relative average punch pressure is
given by
1198 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

Table 1
Kinematically admissible velocity fields of guiding type forging of spur gears

Region 1 u r2 ⫺ r2i
0⭐␪⭐a Ur =
2t r
ri ⭐ r ⭐ rm
U␪ = 0

Region 2
0 ⭐ ␪ ⭐ ␪b
rm ⭐ r ⭐ rrt
Ur =
2t再
u r2 ⫺ r2i
r
⫺
r2rt ⫺ r2i (r ⫺ rm)2
rrt (rrt ⫺ rm)2 冎
u r2rt ⫺ r2i (3r2 ⫺ 4rrm + r2m)
U␪ = ␪
2t rrt (rrt ⫺ rm)2

Region 3
␪b ⭐ ␪ ⭐ a
rm ⭐ r ⭐ rrt
Ur =
2t再
u r2 ⫺ r2i r2rt ⫺ r2i (r ⫺ rm)2
r
+
␪b
rrt (rrt ⫺ rm)2 ␣ ⫺ ␪b 冎
u r2rt ⫺ r2i (3r2 ⫺ 4rrm + r2m) ␣⫺␪
U␪ = ␪b
2t rrt (rrt ⫺ rm)2 ␣ ⫺ ␪b

Region 4
␪b ⭐ ␪ ⭐ a
rrt ⭐ r ⭐ rb
Ur =
2t 冉
u r2 ⫺ r2i
r
+
␪b r2rt ⫺ r2i
␣ ⫺ ␪b r 冊
U␪ = 0

Region 5
␪b ⭐ ␪ ⭐ ␪(t)
rb ⭐ r ⭐ rinv(␪)
Ur =
2t冉
u r2 ⫺ r2i
r
+
␪b r2rt ⫺ r2i
␣ ⫺ ␪b r 冊
U␪ =
2t冉
u r2 ⫺ r2i
rb
+
␣ ⫺ ␪b r b 冊
␪b r2rt ⫺ r2i √r2 ⫺ r2b
r

Region 6 u r2 ⫺ r2i 1 u √(r2 ⫺ r2b)3 u r2rt ⫺ r2i ␪b

␪(t) ⭐ ␪ ⭐ a Ur = + +
2t r ␣ ⫺ ␪(t) 2t 3rrb 2t r ␣ ⫺ ␪b
rb ⭐ r ⭐ rs(t)

+
u r2rt ⫺ r2i ␪b
2t rb ␣2 ⫺ {␪b + ␪(t)}␣ + ␪b␪(t) 冦 √r2 ⫺ r2b rb
r
⫺ tan ⫺ 1
r
√r2 ⫺ r2b
rb 冧
U␪ =
2t冉
u r2 ⫺ r2i
rb
+
␣ ⫺ ␪b r b 冊
␪b r2rt ⫺ r2i √r2 ⫺ r2b ␪ ⫺ ␣
r ␪(t) ⫺ ␣
Axial velocity component of Regions 1–6
u
Uz = ⫺ z
t
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1199

Fig. 4. Assumed deformation zones during clamping type forging of spur gear.
·
Pav Et
= (4)
␴¯ ␴¯ Au
·
where, A is punch/workpiece contact area and Et is the total power dissipation given by the
summation of all the various powers derived for the deformation zones.
· · · ·
Et = Ep + Es + Ef (5)

3. Forging experiments

The forging experiments were carried out with a commercial aluminum alloy. The material
was annealed. To determine the stress–strain relation of the material, a series of ring compression
1200 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

Table 2
Kinematically admissible velocity fields of clamping type forging of spur gears.

Region 1 Ur = 0
0⭐␪⭐a U␪ = 0
ri ⭐ r ⭐ rt Uz = ⫺ u
Z(r) ⭐ z ⭐ t

Region 2 u r2 ⫺ r2i 1
0⭐␪⭐a Ur =
2 r Z(r)
ri ⭐ r ⭐ rm
0 ⭐ z ⭐ Z(r) U␪ = 0
u z r2 ⫺ r2i 1 ∂Z(r)
Uz = ( ⫺ 2)
2 Z(r) r Z(r) ∂r

Region 3
0 ⭐ ␪ ⭐ ␪b
rm ⭐ r ⭐ rrt
Ur =
2H 再
u r2 ⫺ r2i
r
⫺
r2rt ⫺ r2i (r ⫺ rm)2
rrt (rrt ⫺ rm)2 冎
0⭐z⭐H u r2rt ⫺ r2i (3r2 ⫺ 4rrm + r2m)
U␪ = ␪
2H rrt (rrt ⫺ rm)2
z
Uz = ⫺ u
H

Region 4
␪b ⭐ ␪ ⭐ a
rm ⭐ r ⭐ rrt
Ur =
2H 再
u r2 ⫺ r2i r2rt ⫺ r2i (r ⫺ rm)2
r
+
␪b
rrt (rrt ⫺ rm)2 ␣ ⫺ ␪b 冎
0⭐z⭐H u r2rt ⫺ r2i (3r2 ⫺ 4rrm + r2m) ␣⫺␪
U␪ = ␪b
2H rrt (rrt ⫺ rm) 2
␣ ⫺ ␪b
z
Uz = ⫺ u
H

Region 5
␪b ⭐ ␪ ⭐ a
rrt ⭐ r ⭐ rb
Ur =
2H 冉
u r2rt ⫺ r2i
r
+
␪b r2rt ⫺ r2i
␣ ⫺ ␪b r 冊
0⭐z⭐H U␪ = 0
Uz = 0

Region 6
␪b ⭐ ␪ ⭐ ␪(t)
rb ⭐ r ⭐ rinv(␪)
Ur =
2H 冉
u r2rt ⫺ r2i
r
+
␪b r2rt ⫺ r2i
␣ ⫺ ␪b r 冊
0⭐z⭐H
U␪ =
2H 冉
u r2rt ⫺ r2i
rb
+
␣ ⫺ ␪b r b 冊
␪b r2rt ⫺ r2i √r2 ⫺ r2b
r
Uz = 0
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1201

Table 2
Continued.

冦
Region 7
␪(t) ⭐ ␪ ⭐ a
rb ⭐ r ⭐ rs(t) Ur =
2H 冉
u r2rt ⫺ r2i r2rt ⫺ r2i ␪b
r
+
r ␣ ⫺ ␪b
+冊 冉
u r2rt ⫺ r2i r2rt ⫺ r2i ␪b
2H rb
+ 冊 1
rb ␣ ⫺ ␪b ␣ ⫺ ␪(t)
.
0⭐z⭐H

√r2 ⫺ r2b rb
r
⫺ tan ⫺ 1
r
√r2 ⫺ r2b
rb 冧
U␪ =
2H冉
u r2rt ⫺ r2i
rb
+
␣ ⫺ ␪b rb 冊
␪b r2rt ⫺ r2i √r2 ⫺ r2b ␪ ⫺ ␣
r ␪(t) ⫺ ␣
Uz = 0

tests were performed. From the results of the tests, the flow stress and friction factor can be
calculated by using the method proposed by Osakada [16], and the friction-area-divided method
[17], respectively.

3.1. Ring compression test

The outside diameter:inside diameter:thickness ratio of the ring is 6:3:2. The MoS2 was sprayed
onto the forgings as a lubricant. The results of the tests can be seen in Table 3.
From Table 3 the flow stress and friction factor have been calculated using the method proposed
by Osakada [16], and the friction-area-divided method [17], respectively. The stress–strain
relation is
␴¯ = 504.1⑀¯ 0.16 (MPa) (6)
and the friction factor is 0.13.

Table 3
Result of ring compression test

Outer diameter Inner diameter Height, t (mm) ⌬t (mm) Load (ton) Decrease in Reduction in
(mm) (mm) inner diameter height (%)
(%)

15.35 7.588 4.75 0.25 5.0 ⫺1.173 5

17.275 8.188 3.75 1.25 7.5 ⫺9.173 25
17.925 8.025 3.4 1.6 10.0 ⫺7 32
19.113 7.888 2.9 2.1 12.5 ⫺5.173 42
21.038 7.888 2.25 2.75 17.5 ⫺5.173 55
22.2 7.85 2.0 3.0 20.0 ⫺4.667 60
1202 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

3.2. Gear forging

The diameter of the punch for the guiding type forging is less than the cavity of the die, because
the punch is moving down along the surface of the die. In this investigation, if the addendum
modification coefficient of the punch is ⫺0.05, then addendum and deddendum are less than those
of die by as much as 0.2 mm. In the clamping type forging, the clamping die is required for
restriction of backward flow. The diameters of the cylindrical punch and hole of the clamping
die are less than that of the root circle of the die.
The die has been used for two types of forging. A gear shaped die cavity was made by W-
EDM (wire-cut EDM machine). The die was shrink fitted before W-EDM to prevent deformation
which causes gear errors and excessive tensile circumferential stresses, which may result in die
fracture during forging.
The gear forging experiments were performed on a 300-ton hydraulic press and carried out at
room temperature.
The spur gear specification is shown in Table 4.

4. Results and discussion

4.1. The results of FEM analyses of the two types of forgings

The results of FEM analyses are seen in Figs 2 and 5. Figure 2 shows the deformed shape of
the two types of forgings. For the final stage of the forgings, Fig. 5 shows distribution of effective
strain and contact pressures on the punch and the die for the guiding type forging [Fig. 5(a)],
and the clamping type forging [Fig. 5 (b)]. For the analyses, the material is a commercial alumi-
num alloy, the stress–strain relation of the material is Eq. (1), and the friction factor is 0.13.
Distribution of effective strain in the guiding type forging [Fig. 5 (a)], is almost homogeneous
across the cross-section but the distribution in the clamping type forging [Fig. 5 (b)], shows a
big difference along the axis. The average punch pressure is almost the same on the die for each
process. In the guiding type forging, the maximum and average punch pressure is lower than in
the clamping type forging. From the results it is considered that the guiding type is suitable for
forging of spur gears.

Table 4
Specification of spur gear die

No. of teeth 18
Module 1.5
Pressure angle 20°
Modification coefficient 0.0
Standard pitch circle diameter. 27.0 mm
Base circle diameter 25.3667 mm
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1203

Fig. 5. The results of FEM analysis for the forging of axisymmetric parts.

4.2. The relative punch pressure

In the following figures, the results of upper-bound analyses of the spur gear forging have been
calculated by using the kinematically admissible velocity fields (Tables 1 and 2), for clamping
and guiding type forging, respectively. Figure 6 shows the relative average punch pressure of the
two types of spur gears forging. The values of relative average punch pressure are determined
for the spur gears with a pressure angle 20°. The height of the initial billet is 15 mm. The diameter
of the mandrel is 30% of the root diameter of a spur gear. The results are found by varying the
reduction in height for spur gears with 18, 20, 25 and 30 teeth and each module 1.0, 1.5, 2.0 and
3.0 at frictional condition m = 0.1, as shown in Fig. 6.

Fig. 6. Variation of the relative pressure with respect to reduction in height for different numbers of teeth and module.
1204 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

For the guiding forging, variation of the relative average pressure with respect to reduction in
height has been plotted and can be seen in Fig. 6(a), that of clamping type forging is shown in
Fig. 6(b). The relative average pressures increase abruptly near the final filling-up stage. The
relative average punch pressures of the clamping type forgings are higher than that of the guiding
type forgings. For two types of forgings, the relative average punch pressures are almost identical
for different modules. At the final filling-up states, the relative average pressure a increases slightly
with increasing number of teeth for the guiding type forging, and a decreases slightly for the
clamping type forging, respectively. This means that the guiding type forging process remains
correct in the forging of spur gears, regardless of the magnitude of module.

4.3. Forging load and pressure

The variation between that of the predicted forging loads and those obtained form experiment
has been plotted in Figs 7 and 8. In Figs 7 and 8, the height of the forged spur gear is 10 and
15 mm, respectively.
The predicted forging loads obtained by the present upper bound methods have an approximate
tendency to agree with the experimental results at final filling-up stage. Because the material of
the punch is AISI D2 (Hrc-62) of which the yield stress is 2150 MPa [18], the average punch
pressure values were controlled, to be 1800 MPa at the final state of the forgings. Therefore, the
forged spur gears have some different filling-up states. These points are discussed in following
section.
For the guiding type forging, the predicted forging loads are lower than those of the clamping
type forging. More energy is required for clamping type forging.

4.4. Comparisons of forged spur gears

Figs 9–12 show the forged spur gears. Right sides of the products are pressing directions. In
Figs 9 and 10, the forged spur gear was obtained by the guiding type forging. Figs 11 and 12

Fig. 7. Comparison of the experimental results with the upper-bound solutions (h = 10 mm).
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1205

Fig. 8. Comparison of the experimental results with the upper-bound solutions (h = 15 mm).

Fig. 9. Cold forged spur gear (guiding type, h = 10 mm). (a) R.H.: 25.35%; (b) R.H.: 26.76%; (c) R.H.: 27.80%.

show the results of the clamping type forging. In Figs 9–12, the height of billets are 14.2 and
21.3 mm, respectively.
In Figs 9 and 10, the filling-up state of the portions of the pressing direction on the right side,
is better than that of the other, because the friction force on the die wall is applied to the forged
gear in a reverse direction to the punch movement. In Fig. 9(c), the filling-up state of the lower
workpiece thickness is better than that of the other in Fig. 10(c).
Also, for the clamping type forgings (Figs 11 and 12), the filling-up state of the lower workpiece
thickness in Fig. 11(c) is better than that of the other in Fig. 12(c). However, the filling-up state
of the portion near the ejector is better than that at the pressing direction, because the material
which is compressed by the punch flows in a perpendicular direction to that of punch movement.
1206 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208

Fig. 10. Cold forged spur gear (guiding type, h = 15 mm). (a) R.H.: 24.52%; (b) R.H.: 27.70%; (c) R.H.: 28.30%.

Fig. 11. Cold forged spur gear (clamping type, h = 10 mm). (a) R.H.: 25.00%; (b) R.H.: 27.10%; (c) R.H.: 27.80%.

Therefore, spur gears with lower thickness are suitable for the guiding and clamping type
forging process. Also, it is difficult to obtain a forged spur gear that has a good filling-up state
of the portion near the ejector in guiding type forging. Conversely, complications arise near the
punch in the clamping type. Comparison of Fig. 9 with Fig. 11 and Fig. 10 with Fig. 12 show
that the filling-up state of the forged spur gear can be better obtained through guiding type forging
at the same forging punch pressure.

5. Conclusions

Through guiding and clamping type forging experiments forged spur gears have been obtained.
The forging processes have been analyzed for the axisymmetric parts and spur gears by using
 J.C. Choi, Y. Choi / International Journal of Machine Tools & Manufacture 38 (1998) 1193–1208 1207

Fig. 12. Cold forged spur gear (clamping type, h = 15 mm). (a) R.H.: 22.87%; (b) R.H.: 25.70%; (c) R.H.: 26.65%.

the finite element method and upper bound method, respectively. The comparisons for the forging
load and pressure have been discussed. The conclusions are follows:
1. The results of 2D-FEM analysis for the two types of forgings show that the average contact
pressure of guiding type forging is lower than that of clamping type forging.
2. The predicted forging loads obtained by the present upper bound methods have an approximate
tendency to agree with the experimental results at final filling-up stage. From the results of
the upper bound analyses, it is clear that the guiding type forging process is correct for the
forging of spur gears.
3. Spur gears with a lower thickness are suitable for the two types of forging processes. Also, it
is difficult to obtain a forged spur gear that has a good filling-up state of the portion near the
ejector in guiding type forging. On the other hand, difficulties arise near the punch in the
clamping type.

Acknowledgement

This study is supported by the Korean Ministry of Education through Research Fund
(ME96-E14).

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